Workflow Templates: Document Retention Policy Checklist

Identify the types of documents created and handled by the firm and categorize them.

Determine legal requirements for document retention specific to the jurisdiction and practice areas of the firm.

Consult with key stakeholders, including legal, compliance, and IT departments, to draft the policy.

Define the retention period for each category of documents based on legal, regulatory, and operational needs.

Establish guidelines for the review and extension of retention periods when necessary.

Incorporate provisions for retaining documents related to pending or anticipated litigation, audits, or government investigations.

Implement secure physical and electronic storage solutions that protect against unauthorized access and environmental threats.

Regularly train staff on proper document storage procedures and the importance of compliance with the retention policy.

Develop a system for tracking document destruction dates and ensure secure destruction methods are used.

Disseminate the policy throughout the organization and ensure that all employees understand their roles and responsibilities.

Integrate document retention requirements into the firm’s case management and document management systems.

Schedule regular audits to ensure compliance with the document retention policy.

Regularly review the policy to ensure it stays current with changing laws and business practices.

Update the policy to reflect changes in technology that affect document storage and management.

Ensure that any changes to the policy are communicated promptly to all employees.

Establish clear protocols for the secure destruction of documents after the retention period has expired.

Keep records of all destroyed documents, including the method and date of destruction.

Conduct periodic reviews to ensure that destruction procedures are being followed correctly.