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Effective records management is an essential element of an effective compliance program. Such a program ensures that necessary documents are maintained for the required period of time in an efficient manner. A records compliance program also operates as one of the internal controls that aids an organization in detecting, preventing and addressing conduct that may violate legal, regulatory or ethical requirements. A fully operational records management program will be imperative in the event that an organization is called on to demonstrate to regulators or courts that it has implemented and is adhering to its compliance program.

Calfee’s Compliance attorneys routinely assist clients in developing and implementing new records management programs, as well as maintaining, updating or streamlining existing ones.


Calfee counsels clients in:

  • Preserving business records that are required to be maintained, as well as those that are important and useful.
  • Providing efficient access to this information and archiving or storing information that may not need to be retrieved on a frequent basis.
  • Setting parameters for the disposal of unnecessary records and providing a structure and framework that ensures compliance with these parameters.
  • Providing a structure and framework for responding to requests by regulators or litigants, including the implementation of litigation “holds” and suspension of regular document destruction policies.
  • Providing a structure and framework that comports with an organization’s obligations to safeguard confidential, sensitive, protected and/or private information.
  • Ensuring that the records management practices differentiate between traditional hard copy records and electronically stored information.

Contact Fritz E. Berckmueller, Partner 

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