Document Retention ScheduleTemplates & Guidelines
Industry-specific retention schedules ensuring compliance with HIPAA, SOX, GDPR, and other regulations. Download templates and implement best practices.
Select Your Industry
| Document Type | Category | Retention Period | Trigger Event | Regulation | Destruction |
|---|---|---|---|---|---|
Patient Medical Records Adult records: 6 years minimum. Minor records: Until age 18 + statute of limitations | Clinical | 6-10 years | From last patient encounter | HIPAA | Secure Shred |
X-rays and Imaging | Clinical | 5-7 years | From date of service | State regulations vary | Secure Shred |
Insurance Claims | Financial | 7 years | From date of service | IRS/Medicare | Secure Shred |
Employee Health Records | HR | 30 years | From termination | OSHA | Secure Shred |
Appointment Schedules | Administrative | 3 years | From appointment date | Electronic Wipe | |
HIPAA Authorizations | Compliance | 6 years | From expiration | HIPAA | Secure Shred |
1. Assess Current State
Inventory all document types and current retention practices
2. Map to Requirements
Align document types with regulatory requirements
3. Create Policies
Document retention and destruction procedures
4. Train Staff
Ensure all employees understand their responsibilities
5. Automate & Monitor
Implement systems to enforce retention schedules
Regular Reviews
Review and update schedules annually or when regulations change
Legal Hold Procedures
Establish clear processes for litigation holds
Secure Destruction
Use certified destruction methods for sensitive documents
Audit Trail
Maintain records of retention and destruction activities
Cloud vs. On-Premise
When storing documents in cloud systems, ensure your retention schedules account for cloud provider policies, automatic backups, and disaster recovery procedures. Some regulations require specific geographic storage locations.
Backup and Archive Strategy
Distinguish between operational backups and archive storage. Backups serve disaster recovery and may be exempt from retention schedules if destroyed with operational data. Archive storage should follow documented retention timelines.
Electronic Records Management
Digital documents require systems that can enforce retention automatically, prevent premature deletion, ensure authentic records, and provide audit trails demonstrating compliance with your schedule.
Cross-Departmental Coordination
Retention schedules require input from records managers, IT, legal, compliance, and business leaders. Each department may have unique retention needs. Regular cross-functional review meetings ensure the schedule reflects organizational reality.
Documentation and Communication
Create a master retention schedule document that clearly identifies document types, retention periods, destruction methods, and responsible parties. Distribute and train all staff annually. Update as regulations change or new document types emerge.
Litigation Holds and Exceptions
Establish procedures for placing documents on legal hold when litigation is pending, overriding normal retention schedules. Document hold notices, maintain records of what is held and why, and ensure holds are lifted when appropriate.
Statutory/Tax Periods
Regulations like the IRS requirement for 7-year tax record retention stem from statutes of limitation. Documents must be retained until the period expires during which disputes, audits, or claims could be filed.
Operational/Historical Value
Some documents are retained for operational continuity, historical reference, or to protect against future claims. Conflict check records in law firms or manufacturing specifications have permanent retention value beyond regulatory requirements.
Privacy and Security
GDPR, HIPAA, and state privacy laws require secure destruction to protect personal information. Retention schedules must balance legitimate business needs against the principle of data minimization—not keeping personal information longer than necessary.
Industry-Specific Standards
Manufacturing quality standards, financial audit requirements, and educational accreditation standards create additional retention needs beyond basic legal compliance. Your schedule must account for your industry's specific standards.
What happens if we don't follow retention schedules?
Non-compliance can result in significant penalties, including regulatory fines, lawsuits, and loss of professional licenses. Additionally, failing to produce documents during litigation discovery (when required) can result in adverse inference—the court may assume missing documents would have been harmful to your case. Beyond legal risks, poor retention practices waste storage resources and create security vulnerabilities.
How often should retention schedules be updated?
Industry best practices recommend annual review of your retention schedule, or immediately whenever regulations change. Many organizations conduct quarterly reviews to identify new document types or changing business needs. When regulations change (like amendments to HIPAA or GDPR), update your schedule within 30-90 days depending on compliance urgency. Subscribe to relevant regulatory updates for your industry to catch important changes early.
Can we override retention schedules for litigation?
Yes, through legal holds. When litigation is pending or anticipated, organizations must place relevant documents on legal hold, overriding normal retention schedules. These documents cannot be destroyed until the legal hold is lifted. Your retention schedule should include clear procedures for implementing, documenting, and managing legal holds. Failure to comply with holds can result in sanctions from the court.
What's the difference between retention and archival?
Retention refers to keeping documents to meet regulatory, legal, or business requirements. Archival is preserving documents permanently for historical or organizational value. While some documents are archived indefinitely (like historical records or legal conflict checks), others are retained for specific periods then destroyed. Your schedule should clearly distinguish between these two approaches for each document type.
How do we handle documents in different jurisdictions?
Multistate and multinational organizations must apply the longest applicable retention period for each document. If a document falls under both state and federal regulations, follow the longer retention period. Document where each requirement comes from. For global organizations, consider whether GDPR's stricter privacy standards apply, as they often override less restrictive requirements in other regions.
Need Help Implementing Your Retention Schedule?
Our document management experts can help you create and automate compliant retention schedules for your organization.