Audit Record Retention Compliance Checklist
Assess your organization's compliance with audit record retention requirements using this comprehensive checklist.
Organization Name
*
Department or Business Unit
*
Name of Person Completing the Checklist
*
First Name
Last Name
Date of Assessment
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Does your organization have a formal, documented record retention policy?
*
Yes
No
In Progress
How often is the record retention policy reviewed and updated?
*
Please Select
Annually
Every 2-3 years
Every 5 years
Never
Record Retention Practices Assessment
*
Rows
Yes
No
Not Applicable
Records are stored securely (physical and/or electronic)
1
2
3
Retention periods are clearly defined for each record type
4
5
6
Records are disposed of according to policy
7
8
9
Access to records is restricted to authorized personnel
10
11
12
Retention schedules are communicated to staff
13
14
15
How would you rate overall compliance with record retention requirements?
*
1
2
3
4
5
Describe any gaps or areas for improvement in your current record retention practices.
Have staff received training on record retention policies and procedures?
*
Yes, all relevant staff
Some staff
No
When was the last internal or external audit of record retention practices conducted?
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
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