Retention Guidelines

Notes/Disclaimers:

  • This table is intended as a general reference, and these guidelines are subject to change. Consult with your organization’s Legal/Risk/Compliance departments before applying retention guidelines. If your organization needs help developing a retention policy, please contact us.
  • Most State guidelines exceed Federal guidelines. Many more specific guidelines exist for laboratory, OSHA, and Veteran’s Medical Records. Please consult your state and specific application guidelines, if necessary.
  • Sources: Code of Federal Regulations, United States Code, Occupational Safety Health Administration, Department of Veteran’s Affairs, State Codes of New York/New Jersey


Medical Records Retention Guideline – New York Residents

General Medical Records:

  • Adult (Over 18 years old at time of service): At least 6 years past the discharge date or death. Cases involving litigation, Psychiatric records, and Veteran’s Affairs are often held indefinitely.
  • Pediatric (Under 18 years old at time of service): At least 6 years past the discharge date, or 3 years after the patient reaches age 18, whichever is longer. Cases involving litigation and Psychiatric records are often held indefinitely.
  • Healthcare Facility Employees (OSHA): At least 30 years past the term of employment.

Laboratory Material and Records:

  • Tissue Blocks: Vary from 3-20 years, depending on specimen type.
  • Cytology Slides: Vary from 1-25 years, depending on specimen type.
  • Laboratory material: May be stored offsite after 2 years, providing accurate records are kept and the material can be recalled to the lab within 24 hours, if necessary.
  • Pathology and Research Material: Federal Guideline for Pathology is 10 years, although this material is often held indefinitely.

Radiology:

  • Adult (Over 18 years old at time of service): At least 6 years past the discharge date. Mammograms and cases involving litigation are often held indefinitely.
  • Pediatric (Under 18 years old at time of service): At least 6 years past the discharge date, or 3 years after the patient reaches age 18, whichever is longer. Cases involving litigation are often held indefinitely.

Medical Records Retention Guideline – New Jersey Residents

General Medical Records:

  • At least 6 years past the discharge date or death, or until the patient reaches age 23, whichever is longer. Cases involving litigation, Psychiatric records, and Veteran’s Affairs are often held indefinitely.
  • Medical Record summary sheets are to be held for at least 20 years.
  • Healthcare Facility Employees (OSHA): At least 30 years past the term of employment.

State and local agencies may have an influence on record retention requirements. Be sure to check local statutes if they might be a factor in developing your schedule. This guideline is provided to assist in developing a record retention schedule, but is not intended to be a final authority. Have your legal counsel or corporate attorney review the schedule before it becomes official policy within your organization.


LEGEND

AC: After Completion of Contract.
ACT: Active; while the subject matter of the document is still active.
ACY: ACY + CY: Active; Active plus Current Year.
AT: After Termination.
CY: Current Year. Records created in the same year are as if they were created on December 31 of that year.
P: Permanent.
US: Until Superseded.

RECORD
YEARS TO RETAIN

ACCOUNTING and FISCAL
Accounts Payable Ledger P
Accounts Receivable 10
Automatic Data Processing Records Represents
Bank Deposit Statements 6
Balance Sheets 5
Bank Statements 8
Bills, Collectible 7
Bills of Sale (Bonds) 3
Bill Stubs 7
Budget Projections 4
Capital Stock Bills of Sales P
Capital Stock Certificates P
Capital Stock Ledger P
Cash Books 25
Cash Receipts 6
Check Records 7
Checks, Paid & Canceled 9
Check Register 10
Correspondence, Accounting 5
Customer Ledger P
Drafts, Paid 8
Earnings Register 3
Entertainment, Meals, Gratuities 3
Estimates, Projections 7
Expense Reports 5
Financial Statements, Certified P
General Ledger P
Ledgers 10
Payroll Register 4
Petty Cash Register 3
Profit/Loss Statements P
Property Asset Summary 10
Royalty Ledger P
Salesman Commission Reports 3
Stock Ledger P
Stockholder Reports 7
Trial Balance Sheets P
Tax Records Information See Attached
Uncollectible Account Reports 5
Vouchers 5 Years
Work Papers, Rough 2
ADMINISTRATIVE
    Accountants’ & Audit Reports

  • a) Reports of examinations and audits by accountants and auditors not in the regular employ of the utility (such as reports of public accounting firms and commission accountants) 5 years after date of report
  • b) Internal audit reports and working papers 5 years after date of report
Audit Reports, Internal 10
Audit Reports, Public & Government P
Audit Work Papers, Internal 6
Correspondence, Accounting 5
Correspondence, Advertising 3
Correspondence, General 3
Correspondence, Purchase 5
Correspondence, Sales & Service 3
Correspondence, Tax 20
Credit Records, Customer AC+3
Requisitions 5
Forms Management US
Leasing/Purchase Records AC+3
Procurement 6 Years
Sales Plans 3
ADVERTISING
Activity Reports 5
Advertising See attached CFR
Contracts AC+9
Correspondence 5
Drawings & Artwork P
Market Data & Surveys 5
Tear Sheets 3
BUSINESS ORGANIZATION
Annual Reports P
Annual Reports 5 Years
Authorization for Expenditures 5
Bonds, Surety 10
Charters, Bylaws & Amendments P
Contracts 4 Years after expriation or until the expiration or until the conclusion of any contract disputes pertaining to such contracts, whichever is later.
Contracts, Employee P
Contracts, Government P
Contracts, Vendor 10
Dividend Checks 10
Dividend Register P
Easements P
Election Records, Corporate 10
General Cashbooks 25
Incorporation Records P
Licenses – Federal, State, Local P
Operations and Maintenance information See attached CFR
Permits P
Plant and Depreciation information See attached CFR
Records of Mergers & Acquisitions P
Reports to SEC P
Securities: Documents of Issuance P
Stock Applications for Issuance P
Stock Certificates Canceled 10
Stockholder Proxies 10
Stockholder Reports P
Stockholder Reports 5 Years
Voter Proxies 15
Executive
Correspondence 3
Policy Statements, Directives P
Projects, Notes 10
Research Reports P
Speeches, Articles, Publications P
Insurance
Accident Reports 10
Appraisals P
Claims, Automobile 10
Claims, Group Life & Hospital 7
Claims, Loss or Damage 5
Claims, Workman’s Compensation 10
Expired Policies 3
Losses and Claims Policies in force 6 Years after expiration
Legal
Affidavits 10
Charters P
Claims & Litigation P
Copyrights P
Mortgages AC+5
Patents P
Trademarks P
Personnel
Accident Reports AS+10
Attendance Records 6
Correspondence 6
Daily Time Reports 5
Disability & Sick Benefits 8
Earnings Records P
Employee Service Records, Contracts P
Health & Safety Bulletins 4
Injury Frequency Charts 10
Job Descriptions US
Medical Folders 5
Paychecks P
Payroll Records P
Pension Plan Records P
Pension Plan Correspondence P
Workman’s Compensation Reports P
Sales & Marketing
Claims (Loss or Damage) 5
Contract Progress Reports 3
Contracts, Customer AC+3
Contracts – Agents, Distributors AC+3
Guarantees, Warrantees 6
Invoices 6
Mailing & Prospect Lists US
Market Research & Analysis P
Price Lists P
Rate Schedules 6 Years (see attached CFR)
Shipping Notices & Reports 4
Tax-Exempt Sales Data 5
Transportation and Travel

Bills of Lading 4
Delivery Reports 4
Employee Travel 2
Export Declarations 4
Freight Bills 5
Freight Claims 5
Leases 6
Receiving Documents 6
Shipping Instructions 5
Title Papers P
Tonnage Summaries P
Vehicle Operations & Maintenance 10

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