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3964305-70358000Sample Records Management Processes at a GlanceDecember 2018right355600Contoural provides information regarding business, compliance and litigation trends and issues for educational and planning purposes. However,?legal information is not the same as legal advice – the application of law to an individual or organization's specific circumstances. Contoural and its consultants do not provide legal advice.?Readers should consult with competent legal counsel for professional assurance that our information, and any interpretation of it, is appropriate to each reader’s situation.00Contoural provides information regarding business, compliance and litigation trends and issues for educational and planning purposes. However,?legal information is not the same as legal advice – the application of law to an individual or organization's specific circumstances. Contoural and its consultants do not provide legal advice.?Readers should consult with competent legal counsel for professional assurance that our information, and any interpretation of it, is appropriate to each reader’s situation.Mark Diamond, CEO & Founder, Contoural, Inc.Although most records should be classified and managed through routine manual processes or preferably data placement, companies will still need to set up a series of additional processes and procedures to capture, classify, manage and dispose of records and information that may be created or received outside of these every day processes. Table?3 list typical records management processes.ProcessDescriptionDeparting Employee Records Management ProceduresProvides guidance for dealing with the work-related records of departing or transferred employees, to ensure that the department/function does not lose any knowledge of the departing individual, or that potentially important documents are not abandoned, deleted or otherwise lost as a result of the departure.Email/Voicemail Management GuidelinesRecognizing that both email and voicemail can be discoverable documents in litigation or regulatory matters, these guidelines inform users on best practices for drafting, securing, and disposing of these messages.Procedures for Managing Records during Merger, Acquisition or DivestitureWhen a company merges with or acquires another company, or divests itself of a business unit, there are always records of that organization that must be considered and organized. These procedures provide guidance on how to manage company records that are either acquired with a new company or divested with a departing business.Paper Records Management ProceduresProcedures on proper onsite management and storage of paper records, as well as procedures on how to organize, box, and send paper records to offsite storage, as well as retrieve those records when they are needed onsite.Records & Information Management Program Change RequestProcedures for requesting revisions to, and then revising the Records Retention Policy, Records Retention Schedule, or other RIM processes and procedures.RIM Program Compliance AuditProcedures and audit checklists that enable a RIM organization to perform an audit each year of a business unit/department/ function’s compliance with company RIM policies and the Retention Schedule. Includes an audit plan, audit checklists, and remediation plan. These audits are important to demonstrate diligence to courts and regulators.Records Clean Up DayProcedures and communication plans for conducting periodic “Records Clean Up Days” within the company or individual departments/business units.Annual RIM Self-AssessmentAn assessment process administered each year to departments/ business units/functions, to determine the current state of their RIM maturity.Table 1. Typical records management processed and procedures for capturing and classifying records not managed through data placement.Typically, the biggest risk with these types of processes is not lack of development, but instead that they were not applied consistently across the enterprise. This is particularly true for foreign subsidiaries, acquired entities, or applying governance to document and data sets preserved under legal holds under matters that have been adjudicated. Additional Information on This TopicCreating a California Consumer Privacy Act Action Plan – Part 2Part Two lists the key activities companies must undertake to become compliant, including specific policies, processes, technology and training. Together they provide an efficient, concise and prescriptive plan for ensuring CCPA compliance.To view this white paper, click here.California Consumer Privacy Act Series Part 3: Creating CCPA Governance and ProcessesCCPA requires companies to be able to identify, produce and selectively delete consumer privacy information. In this third webinar of the series we discuss smart strategies for implementing data and Information Governance controls and processes. To view the webinar, click here.How Legal and Records Management Can Get What It Needs From IT Without Becoming Tech Experts From retention of electronic records to controlling privacy information to supporting e-Discovery activities, many responsibilities of in-house legal department and records management have a strong information technology component. Information governance technologies can have an overwhelming variety of options and configurations, and as a result, in-house counsel and records managers may feel they must become a tech expert to assert and get what they need. But this doesn’t have to be the case. Join us for this engaging webcast, where we will review in lay terms different information governance technologies, how they work, what options are available, and how they can be configured to best support legal policies and processes. To view the webinar, click here. Creating Litigation Hold Processes in a World of Electronic DocumentsOrganizations have a huge amount of documents -- most of which are in electronic format. These documents and information tend to be on various systems and across a number of employees’ devices. Both the quantity and distribution of documents is creating a challenge for many organizations when it comes time to invoke a legal hold. How do you know what you have and how do you properly preserve electronic documents? To view the webinar, click here.About ContouralContoural is the largest independent provider of privacy and Information Governance consulting services. Selling no products nor providing any “reactive” eDiscovery services the company serves as a trusted advisor to more than 30% of the Fortune 500 as well as numerous small and medium-sized enterprises. Contoural is sponsor of ACC’s Information Governance Network as well as sponsor of ACC’s Legal Operations Network Records Management Toolkit. 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