Compliance Records

Records that document the rules or guidelines put in place in units to ensure compliance within their field. File may include correspondence, policies and procedures, reports, reviews, and other related records.

Category

Compliance and Risk Management

Retention Period

Retain for five years after administrative usefulness is completed then dispose of.

Disposition Instructions

Confidential destruction is required. Paper must be shredded, pulped, or incinerated; electronic records must be overwritten or the storage media physically destroyed. Deletion of information in computer files or on electronic storage media is not sufficient.

Last Updated: December 31, 2008