by Brent Martindale – Attorney, Senior Director of Professional Services and Legal Research
Creating a records retention schedule is a critical first step—but it’s only the beginning. The real challenge lies in putting that schedule into practice across your organization. From gaining stakeholder buy-in to managing exceptions and ensuring long-term compliance, a successful rollout requires more than just a well-documented policy.
In this article, we answer nine of the most common questions organizations face after the retention schedule is finalized, helping you move from planning to execution with confidence.
1. I have a defensible retention schedule. What’s next?
Implementation. This means integrating your schedule into your organization’s records and information management (RIM) processes. Start by communicating it to all relevant employees, updating recordkeeping systems, and training your organization on its application. Designate record custodians to oversee specific content types and put procedures in place for reviewing and disposing of records on schedule.
The success of your RIM program depends on the consistent application of approved retention periods and the prompt disposal of records that have reached the end of their retention period.
2. How do I get buy-in from other departments?
Buy-in starts at the top. Secure a senior-level program sponsor, such as General Counsel or a C-level executive, who can champion the retention schedule and drive adoption across the organization.
From there, engage stakeholders across IT, Legal, HR, Compliance, and Operations. Show each group how proper retention benefits them by reducing risk, saving time, reducing cost, and improving data discovery.
3. How can I help business units comply?
The easier you make it for them, the better. Communicate the retention schedule clearly to each business unit through brief training sessions so employees understand their areas of responsibility. Then, ensure you provide periodic updates to inform them of important key changes as your schedule evolves. Monitor compliance through audits and feedback loops and address non-compliance promptly to ensure consistent adherence across the organization.
4. How often should we review retention periods?
At a minimum, review retention periods annually. If you are in a highly regulated industry or have a significant global presence, you may consider reviewing your schedule on a quarterly basis to keep up with any changes.
We recommend engaging a legal resource to help keep you informed of emerging laws and regulations and adjust your schedule as needed. Staying current helps you avoid noncompliance and potential fines.
5. Can we destroy records as soon as the retention period ends?
Not necessarily. Before destruction, check whether the records are subject to legal holds, internal investigation, or client agreement. Many organizations use a Records Disposition Approval Form to ensure they obtain proper sign-offs before deletion or destruction.
6. What should we do with old records from before our schedule existed?
Develop a strategic plan to locate data “landfills” and legacy records. We’ve found that older records are often disorganized, with various record types loosely grouped or stored together without clear categorization. Therefore, it’s recommended that you work closely with your IT and Legal departments to analyze legacy data, identify records with no business or legal value, and prioritize low-risk records for disposition.
7. What if we acquire another company or expand?
Your retention schedule should be flexible enough to evolve with your business. Regular reviews and updates to your schedule will help reflect iterative organizational changes, such as acquisitions, mergers, or divestitures. Map in new record content types and update retention rules, legal/regulatory requirements, and file plans accordingly. If the acquisition involves business operations in new states, provinces, territories, or countries, ensure the legal research you rely on includes retention requirements from these new jurisdictions.
8. Who is responsible for retention compliance?
A retention schedule is the backbone of a defensible RIM program, ensuring compliance with legal mandates, reducing risks, and enhancing operational efficiency. Everyone plays a role, but oversight usually falls to a central Records or Information Governance team. That team should coordinate with Legal (for legal holds), IT (for system support), and departmental leaders (for day-to-day compliance). Regular audits and cross-department collaboration will help keep everything on track.
9. What are common misconceptions about information governance?
Here are a few common misconceptions and why they are wrong:
- Organizations should keep all records indefinitely to avoid risk. Over retention increases storage costs, data breach risks, and the possibility of regulatory fines/sanctions.
- Retention schedules are static. They require regular updates to reflect changing laws and business needs.
- I can automatically destroy a record without approval if I retain it for the requisite period. As detailed above, proper authorization and documentation are critical to ensure defensibility.
Hopefully, we’ve shown that rolling out a successful retention schedule requires more than simply publishing a document—it involves communication, training, monitoring, and a clear understanding of both regulatory and operational needs. By addressing these frequently asked questions, your organization can take a more informed and proactive approach to implementation.
Contact us if you need support implementing your retention schedule. We can help you turn your schedule from a compliance requirement into a powerful tool for reducing risk and improving efficiency for your organization.