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Data Retention Policies - Disclosurely Compliance

Data retention management, archiving, secure deletion, legal holds, retention periods, GDPR compliance, and automated data retention workflow policies.

Data Retention Policies

Comprehensive guide to managing data retention, archiving, and secure deletion for compliance.

Overview

Effective data retention policies balance:

  • Regulatory compliance: Meet minimum retention requirements
  • Legal defensibility: Preserve evidence for potential litigation
  • Privacy rights: Delete data when no longer needed (GDPR)
  • Storage efficiency: Manage costs and system performance
  • Business needs: Retain useful information appropriately

Regulatory Requirements

Whistleblowing Regulations

EU Whistleblowing Directive (2019/1937):

  • No specific retention period mandated
  • Must retain long enough to investigate and act
  • Member states may set requirements
  • Typically 5-7 years recommended

UK Whistleblowing Framework:

  • No statutory retention period
  • Good practice: 6 years minimum
  • Serious cases: Longer retention
  • Employment tribunal limitation: 3 months (but retain records longer)

US Sarbanes-Oxley (SOX):

  • Financial misconduct: 7 years minimum
  • Audit work papers: 7 years
  • Criminal penalties for destruction

Dodd-Frank Act:

  • SEC whistleblower program records: 7 years
  • Related documentation: 7 years

Employment Law

UK Employment Law:

  • General employment records: 6 years
  • Discrimination claims: 6 years from termination
  • Personal injury: 6 years (3 years from knowledge)
  • Wage records: 3 years minimum (6 recommended)

EU Member States:

  • Varies by country
  • Generally 5-10 years
  • Check national requirements
  • GDPR affects maximum retention

United States:

  • Varies by federal and state law
  • EEOC records: 1 year minimum
  • FLSA wage records: 3 years
  • Some states require longer
  • Litigation risk suggests 7 years

Data Protection

GDPR (Article 5):

  • Storage limitation principle
  • Retain only as long as necessary
  • Define and document retention periods
  • Delete or anonymize when period expires
  • Regular review required

Balance Required:

  • Business/legal needs vs. privacy
  • Cannot retain indefinitely "just in case"
  • Must justify retention period
  • Document reasoning

Industry-Specific

Financial Services:

  • FCA (UK): 7 years typical
  • SEC (US): 7 years typical
  • Market abuse: 7 years
  • MiFID II: 7 years

Healthcare:

  • Medical records: 7+ years
  • HIPAA: 6 years minimum
  • Clinical trials: 25+ years
  • Varies by record type

Public Sector:

  • Government retention schedules
  • Public Records Acts
  • Freedom of Information
  • Often longer than private sector

Education:

  • Student records: 6 years after leaving
  • Employee records: 6 years after termination
  • Safeguarding: Until 25th birthday or 10 years

Setting Retention Policies

Default Retention Period

Recommended Default: 7 years from case resolution

Rationale:

  • Meets most regulatory requirements
  • Covers litigation limitation periods
  • Balances retention and privacy
  • Industry standard

Configure in Disclosurely:

  1. Dashboard > Organization Settings
  2. Data Retention Policies
  3. Set "Default Retention Period"
  4. Enter years (e.g., 7)
  5. Save changes

Applies To:

  • All cases unless specific policy
  • New cases from configuration date
  • Existing cases (optional update)

Category-Specific Retention

Different case types may warrant different retention:

Financial Misconduct:

  • Period: 10 years
  • Reason: Complex litigation, regulatory scrutiny
  • Examples: Fraud, embezzlement, bribery

Harassment & Discrimination:

  • Period: 10-15 years
  • Reason: Long limitation periods, reputation risk
  • Examples: Sexual harassment, discrimination, bullying

Health & Safety:

  • Period: 10 years
  • Reason: Personal injury claims, regulatory requirements
  • Examples: Workplace accidents, safety violations

Data Breaches:

  • Period: 10 years
  • Reason: GDPR requirements, litigation risk
  • Examples: Data theft, unauthorized access

Minor Policy Violations:

  • Period: 3-5 years
  • Reason: Low risk, privacy considerations
  • Examples: Tardiness, minor expense issues

Withdrawn Reports:

  • Period: 1-3 years
  • Reason: Limited utility, privacy considerations
  • Examples: Reporter withdrew, duplicate report

Configure Category Retention:

  1. Dashboard > Organization Settings
  2. Data Retention Policies
  3. "Category-Specific Retention"
  4. Select category
  5. Set retention period
  6. Document reason
  7. Save

Outcome-Specific Retention

Substantiated Cases:

  • Period: Longer retention (10-15 years)
  • Reason: Evidence of misconduct, potential recurrence

Unsubstantiated Cases:

  • Period: Moderate retention (5-7 years)
  • Reason: Potential future claims, pattern detection

False/Malicious Reports:

  • Period: Longer retention (7-10 years)
  • Reason: Protect against future false accusations

Inconclusive Cases:

  • Period: Standard retention (7 years)
  • Reason: Incomplete information, potential relevance

Configure:

  1. Settings > Retention Policies
  2. "Outcome-Based Retention"
  3. Set periods for each outcome type
  4. Save changes

Minimum and Maximum Limits

Set Organizational Limits:

Minimum Retention:

  • Cannot delete before this period
  • Even if category policy shorter
  • Ensures regulatory compliance
  • Example: 3 years minimum

Maximum Retention:

  • Cannot retain longer than this period
  • Unless legal hold or exception
  • Privacy protection (GDPR)
  • Example: 15 years maximum

Configure:

  1. Settings > Retention Policies
  2. "Organizational Limits"
  3. Set minimum years (e.g., 3)
  4. Set maximum years (e.g., 15)
  5. Document rationale
  6. Save

Override Requires:

  • Administrator approval
  • Documented justification
  • Legal hold mechanism
  • Audit trail

Calculating Retention Period

Start Date

When Does Retention Period Begin?

Case Resolution Date (Recommended):

  • When case status set to "Resolved"
  • Clear trigger point
  • Easy to calculate
  • Disclosurely default

Case Closure Date:

  • When all follow-up actions complete
  • May be weeks/months after resolution
  • More conservative

Last Activity Date:

  • Last note, message, or evidence added
  • Can extend indefinitely
  • Not recommended for primary calculation

Configure:

  • Settings > Retention Policies
  • "Retention Start Date"
  • Select trigger (Resolution, Closure, Last Activity)
  • Save

End Date Calculation

Formula:

Deletion Eligibility Date = Start Date + Retention Period

Example:

  • Case resolved: January 15, 2024
  • Retention policy: 7 years
  • Deletion eligible: January 15, 2031

Automatic Calculation:

  • Disclosurely calculates automatically
  • Visible on case details page
  • Included in retention reports
  • Updates if policy changes

Policy Changes:

  • Apply to new cases immediately
  • Existing cases: Optional update
  • Can grandfather old cases
  • Document approach

Extensions and Adjustments

Extend Individual Case Retention:

  1. Open Case

    • Navigate to case details
    • View current deletion date

  2. Request Extension

    • Click "Extend Retention"
    • Select new period
    • Add justification (required)
    • Submit request

  3. Approval

    • Admin or Compliance Officer approves
    • New deletion date calculated
    • Audit log entry created
    • Notifications sent

Common Reasons for Extension:

  • Related ongoing investigation
  • Potential litigation
  • Regulatory inquiry
  • Pattern analysis needed
  • Historical significance

Shorten Retention (Rare):

  • Must comply with minimum
  • Privacy request (GDPR)
  • Legal requirement
  • Admin approval required
  • Document justification

Automated Retention Management

Deletion Eligibility Alerts

System Notifications:

90 Days Before Deletion:

  • Email to case owner
  • Lists approaching deletions
  • Review and extend if needed
  • First warning

30 Days Before Deletion:

  • Email to case owner
  • Email to compliance officer
  • Second warning
  • Action required soon

7 Days Before Deletion:

  • Email to case owner
  • Email to compliance officer
  • Email to administrator
  • Final warning
  • Urgent action required

Deletion Eligibility:

  • Case added to "Pending Deletions" queue
  • Requires approval to proceed
  • Will not auto-delete
  • Manual review required

Configure Alerts:

  1. Settings > Retention Policies
  2. "Alert Schedule"
  3. Set alert timing (90, 30, 7 days)
  4. Add recipients
  5. Customize message
  6. Save

Deletion Queue Management

Accessing Deletion Queue:

  1. Dashboard > Compliance > Data Retention
  2. "Pending Deletions" tab
  3. View eligible cases
  4. Filter and sort
  5. Review before deletion

Queue Information:

  • Case details
  • Deletion eligibility date
  • Retention policy applied
  • Current retention period elapsed
  • Last activity date
  • Case outcome
  • Action options

Available Actions:

  • Delete Now: Proceed with deletion
  • Extend Retention: Delay deletion
  • Legal Hold: Prevent deletion indefinitely
  • Export Case: Save copy before deletion
  • Bulk Actions: Process multiple cases

Approval Workflow

Who Can Approve Deletions:

  • Organization Administrator
  • Compliance Officer
  • Data Protection Officer
  • Cannot be delegated

Approval Process:

  1. Review Pending Deletions

    • Check each case carefully
    • Verify retention period correct
    • Assess deletion appropriateness
    • Check for related matters

  2. Approve or Extend

    • Approve deletion if appropriate
    • Extend if reason to retain
    • Apply legal hold if litigation risk
    • Document decision

  3. Bulk Approval

    • Select multiple cases
    • Apply same action to all
    • Add bulk approval note
    • Confirm action

  4. Execution

    • Approved deletions proceed
    • Secure deletion process
    • Certificate generated
    • Audit log updated

Prevent Unauthorized Deletion:

  • Approver cannot be case investigator (conflict)
  • Dual approval for high-risk cases
  • Legal review for sensitive cases
  • 48-hour cooling-off period

Secure Deletion Process

Deletion Method

Data Destruction:

  • Evidence files: 7-pass DoD 5220.22-M overwrite
  • Database records: Secure deletion
  • Encryption keys: Immediate destruction
  • Backups: Purged on next backup cycle
  • Archive storage: Removed

Cannot Be Recovered:

  • Data irretrievable after deletion
  • Military-grade destruction
  • No backups remain
  • Encryption keys destroyed
  • Permanent and complete

What Gets Deleted:

  • Report content
  • All evidence files
  • All messages
  • Case notes (investigator notes)
  • Investigation reports
  • Personal data
  • Metadata
  • All associated records

What Gets Retained:

  • Audit log entry (anonymized)
  • Aggregate statistics (no personal data)
  • Deletion certificate
  • Policy compliance record

Deletion Certificate

Auto-Generated After Deletion:

Certificate Contents:

  • Deletion date and time
  • List of cases deleted (by case ID)
  • Retention policy applied
  • Approver name
  • Deletion method
  • Compliance attestation
  • Certificate number

Purpose:

  • Proves deletion occurred
  • Demonstrates compliance
  • Defensible in litigation
  • Required for some audits
  • GDPR evidence

Retention:

  • Certificates retained indefinitely
  • Separate from deleted data
  • Cannot be deleted
  • Available for audit
  • Export for records

Access Certificates:

  1. Dashboard > Compliance > Data Retention
  2. "Deletion Certificates" tab
  3. View all certificates
  4. Download PDFs
  5. Export for audit

Verification

Deletion Verification:

  • System verifies deletion complete
  • Checks all storage locations
  • Confirms backup purging
  • Validates encryption key destruction
  • Runs verification report

Failed Deletion:

  • Rare but possible (system error)
  • Administrator alerted immediately
  • Retry deletion process
  • If persistent, support ticket
  • Document issue

Audit Trail:

  • Every deletion logged
  • Cannot be altered
  • Shows what, when, who, why
  • Available for audit
  • Retained permanently

Triggers:

  • Litigation filed or reasonably anticipated
  • Regulatory investigation
  • Subpoena or court order
  • Employment tribunal claim
  • Internal investigation (serious)
  • Criminal investigation

Effect:

  • Overrides retention policy
  • Prevents deletion
  • Prevents archiving (optional)
  • Preserves evidence
  • Compliance with discovery obligations

Process:

  1. Identify Cases

    • Determine which cases relevant
    • Include related cases
    • Err on side of inclusion
    • Document scope

  2. Apply Hold

    • Open case(s)
    • Click "Legal Hold"
    • Complete form:
      • Matter name/number
      • Reason for hold
      • Legal counsel contact
      • Expected duration
      • Related cases
    • Submit for approval

  3. Approval

    • Administrator approves
    • Legal counsel may review
    • Hold activated
    • Notifications sent

  4. Hold Active

    • Case flagged prominently
    • Deletion prevented
    • All users notified
    • Audit log entry
    • Monitoring activated

Bulk Legal Holds:

  • Hold multiple cases simultaneously
  • Filter by criteria (date range, category)
  • Apply hold to all matching
  • Document scope clearly

Monitoring:

  • Dashboard > Legal Holds
  • View all active holds
  • Duration of hold
  • Responsible counsel
  • Related matter

Regular Review:

  • Quarterly review minimum
  • Assess if hold still needed
  • Extend if necessary
  • Release if matter resolved
  • Document review

Releasing Legal Hold:

  1. Matter Resolved

    • Litigation settled
    • Investigation closed
    • Regulatory matter concluded
    • Tribunal complete

  2. Request Release

    • Legal counsel approval required
    • Administrator approval required
    • Document resolution

  3. Release Hold

    • Remove legal hold flag
    • Normal retention policy resumes
    • Deletion date recalculated
    • Notifications sent
    • Audit log entry

Communication:

  • Notify all stakeholders
  • Document hold and release
  • Train staff on hold obligations
  • Ensure compliance

Anonymization Alternative

When to Anonymize vs. Delete

Anonymize Instead of Delete:

  • Want to retain for statistical analysis
  • Pattern detection valuable
  • Benchmarking purposes
  • Training and improvement
  • No personal data needed

Delete Completely:

  • Privacy request (GDPR right to erasure)
  • No legitimate need
  • Retention period expired
  • Low value information
  • Storage constraints

Anonymization Process

What Gets Anonymized:

  • Reporter identity removed
  • Subject identity removed
  • Witness names removed
  • Locations generalized
  • Dates generalized
  • Identifying details removed

What Gets Retained:

  • Case category
  • Allegation type
  • Investigation outcome
  • Resolution method
  • Timeline (approximate)
  • Process followed

Cannot Re-Identify:

  • True anonymization, not pseudonymization
  • Cannot reverse process
  • No linkage to individuals
  • GDPR compliant
  • Useful for analysis

How to Anonymize:

  1. Dashboard > Data Retention
  2. Select cases
  3. "Anonymize Instead of Delete"
  4. Confirm action
  5. Anonymization executed
  6. Audit log entry

Retention Reports

Compliance Reports

Generate Reports:

  1. Dashboard > Compliance > Data Retention
  2. "Reports" tab
  3. Select report type
  4. Set parameters
  5. Generate

Available Reports:

Retention Compliance Report:

  • Cases by retention status
  • Upcoming deletions
  • Overdue deletions
  • Compliance rate
  • Policy adherence

Deletion Activity Report:

  • Cases deleted in period
  • Deletion method
  • Approvers
  • Certificates generated
  • Statistics

Legal Hold Report:

  • Active legal holds
  • Hold duration
  • Related matters
  • Review status
  • Released holds

Retention Policy Report:

  • Current policies
  • Policy changes
  • Cases affected
  • Impact analysis

Storage Report:

  • Total cases stored
  • Storage by category
  • Storage by age
  • Growth trends
  • Capacity planning

Audit Preparation

For Internal/External Audits:

  1. Generate Comprehensive Report

    • All retention policies
    • Deletion certificates
    • Legal holds
    • Policy exceptions
    • Compliance rate

  2. Export Documentation

    • Retention policy documents
    • Approval records
    • Extension justifications
    • Deletion certificates
    • Audit trail excerpts

  3. Prepare Evidence

    • Demonstrate automated processes
    • Show alert mechanisms
    • Prove secure deletion
    • Document oversight
    • Training records

Auditor Questions:

  • "How do you determine retention periods?"
  • "Who approves deletions?"
  • "How do you ensure secure deletion?"
  • "What's your legal hold process?"
  • "How do you handle extensions?"

Have Ready:

  • Written retention policy
  • Approval workflows
  • Deletion certificates
  • Legal hold documentation
  • Training materials

Best Practices

Document Your Policy

Written Retention Policy Should Include:

  • Retention periods by category
  • Rationale for periods
  • Roles and responsibilities
  • Approval processes
  • Legal hold procedures
  • Extension criteria
  • Deletion methods
  • Review schedule

Review Annually:

  • Regulatory changes
  • Litigation experience
  • Business needs
  • Storage capacity
  • Privacy considerations
  • Update as needed

Balance Competing Interests

Consider All Factors:

  • Legal/regulatory requirements (minimum)
  • Privacy rights (maximum)
  • Business value
  • Storage costs
  • Litigation risk
  • Organizational learning

Document Decisions:

  • Why this retention period?
  • What factors considered?
  • Who decided?
  • When reviewed?
  • Updates needed?

Train Your Team

Who Needs Training:

  • Investigators (don't delete manually)
  • Administrators (manage retention)
  • Compliance team (oversee process)
  • Legal team (legal holds)
  • Leadership (approve policy)

Topics:

  • Retention policy overview
  • Why retention matters
  • Legal obligations
  • Using Disclosurely retention features
  • Legal hold process
  • When to seek guidance

Monitor and Review

Monthly:

  • Check upcoming deletions
  • Review extension requests
  • Monitor legal holds
  • Address alerts

Quarterly:

  • Review retention compliance
  • Assess policy effectiveness
  • Check storage capacity
  • Legal hold review

Annually:

  • Comprehensive policy review
  • Update retention periods
  • Regulatory compliance check
  • Train staff
  • Report to board/leadership

Related:

Data Retention Policies - Disclosurely Compliance | Disclosurely Docs