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Case Archiving - Disclosurely Data Retention Guide

Manage case archiving, data retention, and secure deletion. Learn retention policies, legal holds, GDPR compliance, and best practices for long-term case management.

Case Archiving

Long-term case management, data retention, and secure disposal practices.

Overview

Proper archiving ensures:

  • Compliance: Meet regulatory retention requirements
  • Defensibility: Preserve evidence for potential litigation
  • Efficiency: Keep active cases list manageable
  • Security: Protect sensitive historical data
  • Learning: Enable analysis of patterns over time

Archive vs. Closed vs. Deleted

Closed Cases

Status: Resolved/Closed

  • Investigation complete
  • Outcome communicated
  • Actions implemented
  • Still in active system
  • Fully searchable
  • Included in reports
  • Can be reopened easily

When: Immediately after resolution

Archived Cases

Status: Archived

  • Removed from active case list
  • Moved to archive storage
  • Still accessible but requires extra step
  • Preserved according to retention policy
  • Not in standard reports
  • Harder to reopen

When: After retention period begins (typically 6-12 months after resolution)

Deleted Cases

Status: Permanently deleted

  • Removed from system entirely
  • Cannot be recovered
  • Evidence destroyed
  • Only after retention period expires
  • Requires approval
  • Audit log remains

When: After retention period expires (typically 7+ years)

Retention Requirements

Employment Law:

  • UK: 6 years after case closure
  • EU: Varies by country (typically 5-7 years)
  • US: Varies by state and federal law (typically 3-7 years)

Financial Services:

  • FCA (UK): 7 years minimum
  • SEC (US): 7 years minimum
  • MiFID II (EU): 7 years minimum

Healthcare:

  • Medical records related: 7+ years
  • HIPAA requirements: 6 years minimum

Education:

  • Student-related: 6 years typical
  • Employee-related: 6 years typical

General Business:

  • Contract disputes: 6-7 years
  • Negligence claims: 6-7 years
  • Fraud cases: Indefinite (may never delete)

Industry Best Practices

Recommended Retention:

  • Minor policy violations: 5-7 years
  • Serious misconduct: 10-15 years
  • Termination cases: 10-15 years
  • Legal settlements: Indefinite
  • Criminal matters: Indefinite
  • Unsubstantiated allegations: Varies (3-7 years common)
  • Withdrawn reports: Shorter period (1-3 years common)

Setting Retention Policies

In Disclosurely:

  1. Navigate to Settings

  2. Set Default Retention

    • All cases: Default period (e.g., 7 years)
    • Calculated from resolution date

  3. Category-Specific Retention

    • Financial misconduct: 10 years
    • Harassment: 15 years
    • Safety: 10 years
    • Minor violations: 5 years
    • Custom categories: Set individually

  4. Outcome-Specific Retention

    • Substantiated: Longer retention
    • Unsubstantiated: Shorter retention
    • Withdrawn: Shortest retention

  5. Legal Holds

    • Override retention for litigation
    • Preserve indefinitely
    • Remove hold when case settles

Automatic Calculation:

  • Resolution date + retention period = deletion eligibility date
  • System calculates automatically
  • Alerts before deletion
  • Requires approval to delete

Archiving Process

Automatic Archiving

Configure Automatic Archive:

  1. Set Archive Trigger

    • X months after resolution
    • Typical: 12 months
    • Reduces active case clutter

  2. Archive Actions

    • Move to archive storage
    • Remove from default views
    • Maintain full searchability
    • Preserve all evidence
    • Keep audit trail

  3. Notification

    • Alert case owner before archiving
    • Allow opt-out if still active
    • Log archiving event

Benefits:

  • Automatic management
  • Consistent approach
  • Reduced manual work
  • Maintains compliance

Manual Archiving

Archive Individual Case:

  1. Open Case

    • Navigate to resolved case
    • Verify all actions complete
    • Check no pending follow-up

  2. Click Archive

    • Button on case detail page
    • Add reason for archiving
    • Confirm action

  3. Case Archived

    • Removed from active list
    • Moved to archive section
    • Notification sent to team
    • Logged in audit trail

Bulk Archiving:

  1. Filter Cases

    • Resolved cases
    • Older than X months
    • Specific category
    • Specific outcome

  2. Select Cases

    • Checkboxes for bulk selection
    • Up to 100 at once

  3. Bulk Action

    • "Archive Selected Cases"
    • Add bulk archive note
    • Confirm action
    • Processing notification

Use Cases:

  • Year-end cleanup
  • Department reorganization
  • System migration
  • Audit preparation

Accessing Archived Cases

Finding Archived Cases

Via Archive Section:

  1. Navigate to Archives

    • Dashboard > Cases > Archived Cases
    • Separate from active cases

  2. Search & Filter

    • Same filters as active cases
    • Date range
    • Category
    • Outcome
    • Investigator
    • Keywords

  3. View Case

    • Click to open
    • Full case details available
    • All evidence accessible
    • Read-only by default

Via Search:

  • Global search includes archived cases
  • Check "Include Archived" box
  • Results show archive status
  • Can filter results to archived only

Reopening Archived Cases

When to Reopen:

  • New information emerges
  • Related new complaint
  • Appeals or legal proceedings
  • Follow-up investigation needed
  • Errors discovered

How to Reopen:

  1. Open Archived Case

    • Find case in archives
    • Click to view details

  2. Request Reopen

    • "Reopen Case" button
    • Add reason for reopening
    • Specify expected duration

  3. Approval

    • Admin or Org Admin approves
    • Case moved back to active
    • Status changed to "Under Review"
    • Notifications sent

  4. Investigation Continues

    • All history preserved
    • New notes added
    • Additional evidence uploaded
    • Original timeline visible

Data Deletion

Approaching Deletion Date

System Alerts:

  • 90 days before: Warning email
  • 30 days before: Second warning
  • 7 days before: Final warning
  • Deletion date: Requires approval

Review Before Deletion:

  • Is retention period correct?
  • Any litigation risk?
  • Historical significance?
  • Related pending cases?
  • Regulatory inquiries?

Extend Retention:

  • Click "Extend Retention"
  • Select new period
  • Add reason
  • Approve extension
  • New deletion date calculated

Deletion Process

Approval Required:

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

Deletion Steps:

  1. Review Deletion Queue

    • Dashboard > Data Management > Pending Deletions
    • List of cases eligible for deletion
    • Review each carefully

  2. Bulk or Individual

    • Approve deletions individually
    • Or approve batch
    • Cannot be undone

  3. Confirm Deletion

    • Final confirmation prompt
    • Acknowledges permanent deletion
    • Documents compliance with retention policy

  4. Deletion Executed

    • All case data deleted
    • All evidence deleted
    • Encryption keys destroyed
    • Audit log entry created (preserved)
    • Certificate of deletion generated

What Gets Deleted:

  • Report content
  • All messages
  • All evidence files
  • Case notes
  • Investigation reports
  • Personal data
  • All associated records

What's Preserved:

  • Audit log (anonymized)
  • Aggregate statistics
  • Policy compliance metrics
  • Retention certificate

Secure Deletion

Deletion Method:

  • Military-grade data destruction
  • Multiple overwrite passes
  • Encryption key destruction
  • Database record removal
  • Backup purging
  • Compliance with GDPR "right to erasure"

Verification:

  • Deletion completion check
  • Backup verification
  • Certificate generation
  • Audit log entry
  • Annual deletion report

Purpose:

  • Preserve evidence for litigation
  • Prevent destruction during proceedings
  • Comply with discovery obligations
  • Avoid spoliation sanctions

Effect:

  • Overrides retention policy
  • Prevents deletion
  • Prevents archiving (optional)
  • Flags case prominently
  • Requires legal team approval to remove

When to Use:

  • Litigation filed or anticipated
  • Regulatory investigation
  • Subpoena or court order
  • Internal investigation into legal matter
  • Employment tribunal proceedings

How to Implement:

  1. Open Case

    • Navigate to relevant case
    • Click "Legal Hold" button

  2. Complete Hold Form

    • Matter name/number
    • Reason for hold
    • Authorizing attorney/counsel
    • Related cases to hold
    • Expected duration

  3. Activate Hold

    • Admin approval required
    • Hold icon appears on case
    • Deletion disabled
    • All users notified
    • Audit log entry

Bulk Legal Holds:

  • Hold multiple related cases
  • Filter by criteria
  • Apply hold to all
  • Document scope clearly

Monitoring:

  • Dashboard shows all held cases
  • Duration of hold
  • Responsible attorney
  • Hold status

Notifications:

  • Annual review reminders
  • Hold extended notifications
  • Hold released notifications

Releasing Hold:

  • Legal team approval required
  • Document reason for release
  • Normal retention policy resumes
  • Audit log entry created

Retention Reports

Compliance Reports

Generate Reports:

  • Dashboard > Reports > Data Retention
  • Date range
  • Case categories
  • Retention status

Report Contents:

  • Cases archived during period
  • Cases deleted during period
  • Cases under legal hold
  • Upcoming deletions
  • Retention policy compliance
  • Exceptions and extensions

Use For:

  • Audit preparation
  • Board reporting
  • Compliance documentation
  • Policy review
  • Capacity planning

Deletion Certificates

Auto-Generated:

  • After each deletion
  • Lists cases deleted
  • Deletion method
  • Date and time
  • Approver name
  • Compliance attestation

Retention of Certificates:

  • Keep indefinitely
  • Proves compliance
  • Defensible in litigation
  • Required for some audits

Best Practices

Regular Review

Quarterly Reviews:

  • Upcoming deletions
  • Legal hold status
  • Retention policy appropriateness
  • Archive size and costs
  • Access patterns

Annual Reviews:

  • Retention policy update
  • Regulatory changes
  • Storage optimization
  • Deletion certificate review
  • Audit preparation

Document Exceptions

Every Time You:

  • Extend retention beyond policy
  • Delete before retention period
  • Apply legal hold
  • Release legal hold
  • Reopen archived case

Document:

  • Why exception needed
  • Who approved
  • Supporting rationale
  • Related cases
  • Follow-up required

Maintain Audit Trail

Audit Log Captures:

  • All archiving actions
  • All deletion approvals
  • Legal hold implementations
  • Retention extensions
  • Case reopenings
  • Access to archived cases

Preservation:

  • Audit logs never deleted
  • Even after case deleted
  • Anonymized if necessary
  • Meet regulatory requirements
  • Available for investigations

Balance Retention and Privacy

Longer Isn't Always Better:

  • Privacy laws favor deletion
  • GDPR "right to erasure"
  • Storage costs increase
  • Breach exposure grows
  • Discovery burdens expand

Minimum Necessary:

  • Retain only as long as needed
  • Delete when legally permissible
  • Consider privacy rights
  • Balance business needs
  • Document decisions

Troubleshooting

Cannot Find Archived Case

Check:

  • Include archived in search
  • Correct date range
  • May have been deleted
  • Check audit log
  • Verify access permissions

Case Auto-Archived Too Soon

Fix:

  • Reopen case
  • Adjust retention settings
  • Review archive triggers
  • Update auto-archive rules

Cannot Delete Case Past Retention

Verify:

  • Legal hold in place?
  • Retention calculation correct?
  • Administrator permissions?
  • Related cases pending?
  • System error? Contact support

Regulator Requests Deleted Case

If Properly Deleted:

  • Provide deletion certificate
  • Demonstrate retention policy
  • Show regulatory compliance
  • Provide audit log (anonymized)
  • Explain data destruction process

Lessons Learned:

  • Review retention adequacy
  • Consider longer retention
  • Implement legal hold earlier
  • Better regulatory communication

Related:

Case Archiving - Disclosurely Data Retention Guide | Disclosurely Docs