Insurance Record Retention Checklist
Ensure compliance & avoid costly fines! Our Insurance Record Retention Checklist simplifies the process, guiding you through legal requirements and best practices for secure document management.
Policy Records
Checklist items related to retention of original policy documents, applications, and endorsements.
Policy Issuance Date
Policy Number
Summary of Coverage Terms
Original Application Form
Policy Type
Coverage Amount
Last Endorsement Date
Claims Records
Checklist items covering retention of claim files, correspondence, investigation reports, and payment records.
Date of Loss Incident
Description of Loss Incident (Insured's Statement)
Photos/Videos of Damage
Estimated Loss Amount (Initial)
Investigator's Notes and Findings
Claim Status
Date of First Payment (if applicable)
Total Payment Amount (if applicable)
Underwriting Records
Checklist items concerning retention of underwriting guidelines, risk assessments, and pricing data.
Underwriting Guideline Last Updated
Risk Score Threshold for Review
Underwriting Authority Level
Summary of Key Risk Factors Considered
Supporting Documentation (e.g., Property Inspection Report)
Premium Adjustment Factor (if applicable)
Coverage Exclusions Applied
Financial Records
Checklist items relating to premium collection records, investment documentation, and audit trails.
Total Premium Collected (Year 1)
Total Claims Paid (Year 1)
Date of Last Financial Audit
Investment Income (Year 1)
Attach Year-End Financial Statements
Audit Type Performed
Net Operating Income (Year 1)
Legal & Regulatory Compliance
Checklist items ensuring compliance with legal and regulatory requirements for record retention periods.
Applicable State Regulations
Last Regulatory Compliance Review Date
Number of States Covered
Privacy Law Compliance (e.g., GDPR, CCPA)
Summary of Relevant Regulatory Changes Implemented
Upload copy of most recent regulatory audit report
NAIC Model Law Adherence
Digital Records Management
Checklist items specific to the management and security of digitally stored insurance records.
Document Storage System Used?
Average Document Upload Time (seconds)
Last Data Backup Date
Access Control Levels Defined?
Encryption Methods Used?
Description of Data Loss Prevention (DLP) measures
System Vulnerability Scanning Performed?
Physical Records Storage
Checklist items related to the physical storage conditions and security of paper records.
Storage Facility Address
Temperature (Degrees Celsius)
Humidity Level (%)
Security System Type
Last Physical Inspection Date
Notes on Condition of Storage Environment
Fire Suppression System
Data Disposal Procedures
Checklist items ensuring secure and compliant disposal of records at the end of their retention period.
Disposal Method Selected
Date of Disposal
Number of Records Disposed
Detailed Description of Disposal Process
Proof of Secure Disposal (e.g., Certificate of Destruction)
Method Used for Digital Data Wiping
Audit Trail & Documentation
Checklist items ensuring proper documentation of record retention and disposal processes.
Record Retention Policy Last Reviewed Date
Summary of Changes Made to Record Retention Policy (if applicable)
Number of Records Subject to Retention Schedule Review
Record Retention Schedule Review Method
Time of Scheduled Record Destruction
Description of Data Disposal Method Used
Authorized Personnel Signature (Record Destruction)
Training & Awareness
Checklist items relating to employee training on record retention policies and procedures.
Employee Role Responsible for Record Retention?
Last Training Session Date
Number of Employees Trained
Training Session Summary / Key Takeaways
Training Method Used?
Upload Training Materials (e.g., Presentation, Handouts)
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Lista de verificación de auditoría interna de seguros
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