Project Management Pack / All Documents / Records Management Policies and Procedures

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This Records Management Policies and Procedures is included in an editable format that can be customized for your own needs.

2. Download and install after ordering.

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3. Customize the project template with your own information.

You can customize the project document as much as you need. You can also use the included Wizard software to automate merging in name/address data.

Writing the Records Management Policies and Procedures document

Records Management Policy

The company policies pertaining to insert the policies in question are outlined below. Outline your company policies as they apply to your Records Management program.

Topic: RECORDS MANAGEMENT POLICIES

The Records Retention Policy and Program Procedures and the Records Retention Schedule outlined in the file plan together comprise the Records Retention Program for Company Name. This Policy and Procedure applies to all records and information, both paper and electronic.

The Objectives of the Program:

Objective #1 List reasons and benefits for the records program such as " Follow good business practices for record keeping" or " Destroy records when they have fulfilled all legal, regulatory, contractual, and usage requirements to reduce storage and equipment costs. This portion of the policy contains the definitions for special terms used in the Records Management Program. Records management terms used within the context of this policy are listed and key words or phrases with potential for multiple meanings have been defined below.

Define the vocabulary terms specific to your company or industry. Your goal should be to avoid confusion by stating the exact definitions you intend for the key words and phrases used in your program.

Current Functions

Detail policy statements regarding the various functions of records management activities involved with content or records lifecycle. Describe the functions of the Records Program. Ownership and Management of Content.

• Creating Records
• Defining Records
• Drafts and Duplicates
• Historical Records
• Electronic Communication
• Monitoring and Audits
• Back-up and Disaster Recovery
• Legal Requirements - Litigation and Legal Hold
• Regulations
• Destruction of Records
• Updates to the File Plan and Changes in Retention

Following is a description of the procedures to be followed for the program. There are many possible types of procedures. Typically a procedure will be a step-by-step guide as to how a task will be performed. Examples include file reviews, calculating the destruction date of records, record destruction, methods for destruction, and changes to the retention schedule, legal holds, audits, and reports.

Compliance Plan

Use this Compliance Plan to describe how you will comply with specific rules and regulations, whether they are internal to an organization or externally imposed, such as rules imposed by law. To fill out the rules below; insert the name of the rule set or regulations that must be followed. For example, you might put in " XYZ Corporate Code of Conduct," " XYZ Lawsuit Summary Judgment," or " Americans with Disabilities Act.

" Then describe the effect of that rule set on your organization and how you will comply with all the details. Rule(s) to Be Complied With. Details: Cite details of the rule set or refer to document or website that contains the details. Parties Affected: Name individuals, groups or companies that are affected by these rules within the context of this proposal.

Compliance Measures: List the steps you will take to comply with the rules. Name responsible individuals and specific measures you will take. Notes: Insert any important notes about the measures you will take, including changes to be made in basic procedures or personnel, and any important dates or cycles, such as those for monitoring or inspections. Penalty for Noncompliance: List the penalty for not complying with these rules, such as fines, loss of licenses, or firing of personnel.

Rule(s) to Be Complied With. Details: Cite details of the rule set or refer to document or website that contains the details. Parties Affected: Name individuals, groups or companies that are affected by these rules within the context of this proposal.

Compliance Measures: List the steps you will take to comply with the rules. Name responsible individuals and specific measures you will take. Notes: Insert any important notes about the measures you will take, including changes to be made in basic procedures or personnel, and any important dates or cycles, such as those for monitoring or inspections.

Penalty for Noncompliance: List the penalty for not complying with these rules, such as fines, loss of licenses, or firing of personnel. This project is legally required to meet the rules and regulations listed below.

Legal Requirements Applicable to This Project:

Briefly describe the requirement and state how it will be met.

The records management program requires the following roles:

Add any relevant summary information. Provide contact information for people who may want to apply for or make recommendations for these roles. The following are the responsibilities and duties of the parties in the records management program.

Completion of the project requires the coordination and interaction of insert the major parties here. Describe in general what the responsibilities and duties will be and why they are important to the project. The Responsibilities template is used to describe all the responsibilities and duties of each party involved in the project.

The parties could be companies, government agencies, departments within an organization, and/or individuals. For example, you might substitute Retention Administrator, Legal Department, Department Managers, records officers, Staff and IS department for Party #1, Party #2 and Party #3 below. Responsibilities may also be grouped by when they occur instead of by party.