Does a written information governance policy actually protect a company in court if records were mishandled?

A written information governance (IG) policy can help a company in court, but it is not a shield by itself. Courts generally look at what an organization actually did, not only what its policy said. A strong policy matters because it establishes intent and a reasonable, good-faith process; a policy that exists only on paper offers little protection if practice contradicts it.

Why a Written Policy Helps

A documented IG policy can support a defense in several ways:

• Demonstrates good faith. It shows the organization acted reasonably and in the ordinary course of business, not arbitrarily or to hide evidence.
• Justifies routine disposition. If records were destroyed under a consistently applied retention schedule before any duty to preserve arose, that disposition is far easier to defend.
• Creates a defensible standard. Courts and opposing parties can see the expected process, making lapses easier to explain and isolate.

Why It Is Not Automatic Protection

A policy loses much of its value if the organization cannot show it was followed. Mishandling becomes a serious problem when it occurs after a litigation hold should have been triggered. Once a party reasonably anticipates litigation, the duty to preserve relevant records overrides routine destruction. Disposing of records at that point — even per a normal schedule — can expose the organization to sanctions for spoliation.

Key factors a court typically weighs include:

• Whether the policy was consistently and uniformly applied
• Whether preservation obligations were recognized and acted on promptly
• Whether the organization can show proof of process (training, logs, audit trails)
• Whether any loss was inadvertent versus negligent or intentional

What Makes a Policy Defensible

Recognized records management standards emphasize that records processes should be systematic, documented, and verifiable. The most defensible programs pair a clear written policy with evidence of execution: regular training, reliable hold procedures, and records of what was retained, destroyed, and when. Guidance from The Sedona Conference on preservation and discovery is widely cited on these points.

In short, a written IG policy is a meaningful asset in litigation — but its protective value comes from disciplined, documented practice, not the document alone. Learn more on the information governance topic hub.