This tool contains three sample policies that outline guidelines and procedures related to managing and retaining business records.

In these samples, the general counsel is responsible for providing interpretation of this policy; the general counsel must oversee ongoing training regarding compliance with this policy; department heads are responsible for serving as the record custodian; each record custodian is responsible for ensuring that all employees review their files each year; and the compliance officer is responsible for testing to ensure that department heads are monitoring compliance with the record management procedures.