Client Records Retention and Disposal Policy Template — editable Microsoft Word
A professionally structured, editable Client Records Retention and Disposal Policy in Microsoft Word (.docx). Replace the amber [placeholders] with your organization's details and you're audit-ready in minutes — no consultant fees. It ships inside the ComplianceDocs toolkit below, aligned to FTC Safeguards Rule + IRS Pub 4557 (WISP).
Why a documented Client Records Retention and Disposal Policy matters
The FTC Safeguards Rule (16 CFR Part 314), referenced by IRS Publication 4557, requires tax and accounting firms to keep a written information security program.
What you get in the Client Records Retention and Disposal Policy
As a policy, it states the rules and management intent your organization commits to and holds people to.
- A pre-written, professionally structured document in editable Microsoft Word (.docx).
- Amber [bracketed placeholders] for every organization-specific detail — name, role titles, systems, dates and thresholds.
- Plain, audit-ready language your team and your auditor can both follow.
- A single-organization license, with the same document supporting your work across FTC Safeguards Rule + IRS Pub 4557 (WISP).
How to use this template
- Get the toolkit below that fits your framework — the Client Records Retention and Disposal Policy is included.
- Open the .docx in Microsoft Word, Google Docs or LibreOffice.
- Use Find & Replace to swap every amber [placeholder] for your organization's details.
- Review the content so it matches how you actually operate, and adjust what doesn't fit.
- Have the document owner approve it, share it with your team, and set a review date.
Get the Client Records Retention and Disposal Policy in this toolkit
WISP Toolkit for Tax Professionals
Complete Written Information Security Plan package for tax preparers, CPAs and accounting firms — FTC Safeguards Rule (16 CFR 314) crosswalk, IRS Pub 4557-aligned policies, risk assessment workbook, training logs and incident response — everything Pub 5708 doesn't operationalize.
Inside the WISP Toolkit for Tax Professionals, the Client Records Retention and Disposal Policy works alongside 8 other editable documents — including Data Incident Response Plan, Office Data Security Policy and PTIN Renewal and W-12 Data Security Checklist.
New to the framework? Read our FTC Safeguards Rule + IRS Pub 4557 (WISP) guide.
Client Records Retention and Disposal Policy template — FAQ
- What format is the Client Records Retention and Disposal Policy template?
- It is a fully editable Microsoft Word (.docx) file. It also opens cleanly in Google Docs and LibreOffice, so you can work in whatever your team already uses.
- Do I have to write the Client Records Retention and Disposal Policy from scratch?
- No. It is pre-written and professionally structured — replace the amber [bracketed placeholders] with your organization's details and confirm it reflects how you actually operate, usually in well under an hour with Find & Replace.
- Does buying the Client Records Retention and Disposal Policy template make my organization compliant or certified?
- No single document does that. Meeting the FTC Safeguards Rule depends on implementing and maintaining the security program, not just adopting the written plan. The template gives you the audit-ready documentation auditors expect, so the remaining work is operating the controls it describes.