Records Management Policies and Procedures

This policy template defines a comprehensive records program built on a retention policy, procedures, and a file plan. It applies to all paper and electronic information assets and explains why disciplined records creation, management, and disposition matter: sound business practice, regulatory compliance, and the cost-effective disposal of obsolete records after legal, contractual, and usage requirements are met. The document functions as a records management policies manual and sample manual that improves uniform implementation, clarifies definitions, and serves as a training tool.

The current functions section organizes the lifecycle from creating records and defining drafts and duplicates to managing historical records, electronic communication, legal holds, audits, and destruction. It prompts organizations to establish a record classification system, indexing parameters, and indexing accuracy measures for records retrieval improvement across a document management system. It supports managing email and developing a policy for managing email, preserving text and instant messages, and handling audio-video recordings.

It covers inactive files, updates to the file plan, back-up and disaster recovery, and digital signature usage. It also encourages a vital records program aligned to the business continuity plan and the protection and preservation of records, including the preservation of electronic records during a transition to electronic records.

The compliance plan section provides structure to cite rule sets and records management guidance, such as NARA bulletins, OMB guidance (Circular A-130 and Circular A-11), the Federal Records Act, universal electronic records management requirements, the federal electronic records modernization initiative, and other records management regulations and NARA guidance from the National Archives and the Office of the Chief Records Officer. State and local references can include public records requirements, a state agency manual, or a departmental manual, RCW 40. 14, WAC 434-662, the Washington State Archives and Secretary of State, or the New York State Archives, as a model for local governments.

The plan supports records disposal authorization, records transfer guidance for transferring records and records transition departing staff, and unlawful records destruction reporting (e.g., title 18 USC 641 and 2071). Operational controls may include off-site records storage, chain-of-custody, background-screened vendors, NAID certification, shredding services, and a certificate of destruction. The template delegates responsibilities, identifies parties, and can reference communities of interest, the federal RIM maturity model, the self-evaluation guide, senior agency officials for records management, the federal records officer network, and relevant white papers and reports.

Use cases include standardizing a corporate records program, aligning a federal contractor with federal records requirements, or helping a local government modernize electronic records while managing email policy and important records.

Proposal Kit can accelerate this work with document assembly, automated line-item quoting for project scopes, an AI Writer to build supporting documents, and an extensive template library that teams find easy to use.

To expand, this template helps executives, records officers, and compliance teams translate policy into daily practice. The benefits of policies and procedures become tangible when leaders set measurable targets such as reduced records retrieval time, fewer inactive files, and faster legal hold response. Clear ownership, delegated responsibilities, and step-by-step workflows create audit readiness and business continuity while cutting storage and labor costs. The framework also supports onboarding by giving new staff sample policies and procedures they can follow from day one, and it streamlines cross-functional work between Legal, IT, and Operations during system changes or mergers.

Proposal Kit further accelerates delivery by turning a policy framework into a complete package: document assembly can generate department-specific manuals and compliance plans; automated line-item quoting can estimate implementation tasks such as file plan updates, indexing, and training; and the AI Writer can write supporting content that organizations can review, approve, and adapt. Teams can also compile referenced records management resources alongside the policy to guide uniform adoption. Typical use cases include preparing for an external audit, harmonizing practices after an acquisition, establishing a training tool for remote teams, or launching a modernization project that clarifies email, text, and media handling.

Further, the template encourages teams to translate policy into measurable operations. Map the record classification system and indexing parameters directly into the document management system so indexing accuracy and records retrieval metrics can be tracked. Establish KPIs for records retrieval improvement, legal hold timeliness, reduction of inactive files, and cycle time from records disposal authorization to certificate of destruction.

For sensitive disposals, require background-screened vendors, NAID certification, documented chain-of-custody, and shredding services with auditable receipts. For retention-expired public records or federal records, define transferring records steps and records transfer guidance, including records transition departing staff, offsite records storage cleanup, and digital signature usage controls during disposition.

Leaders can benchmark progress with the federal RIM maturity model and a self-evaluation guide, and participate in communities of interest such as the federal records officer network or engage senior agency officials for records management to drive uniform implementation. Agencies and contractors can align electronic records modernization with universal electronic records management requirements and use NARA bulletins, OMB guidance, and other records management resources to validate compliance. Local government programs can crosswalk the departmental manual and state agency manual to RCW 40.

14 and WAC 434-662, using the Washington State Archives, Secretary of State materials, or New York State Archives as a model for local governments. Clear escalation paths for unlawful records destruction reporting, including Title 18 U.S.C. 641 and 2071, reinforce accountability.

Typical situations include responding to a surge in public records requests, consolidating repositories after an acquisition, or launching a transition to electronic records that protects important records under the business continuity plan while preserving text and instant messages and audio-video recordings. The benefits of policies and procedures compound when front-line staff have sample policies and procedures, and developing a policy for managing email is paired with consistent training and audits.

Proposal Kit supports these efforts by assembling tailored manuals and compliance plans, creating consistent document sets from sample policies and procedures, producing clear estimates via automated line-item quoting, and using its AI Writer to write supporting materials from your chosen standards, improving speed and consistency without adding complexity.

How to write my 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.