Sarbanes-Oxley Best Practices and Information in .NET

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Exhibit 81
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document retention policy and storage protocols worksheet (cont)
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Documents containing information that an auditor or regulator would need to review Contracts with vendors for services, including insurance policies, auditor contracts (particularly to demonstrate that the auditing firm is not providing any other services to your nonprofit) Contracts with external clients (such as public sector agencies) to provide services to these external clients Client files and correspondence Donor files and correspondence with donors Proposals in response to Requests for Proposals (RFPs) Documents related to your nonprofit s operations Instant Message or e-mail that contains negotiations for a contract or other legal agreement Business transactions Any document that would provide proof that your nonprofit took action in a business, contractual or legal matter Special designations for sensitive documents Design a simple classification system that allows for some of the documents to be classified as confidential, private, or other designation that precludes them from general access Storing and archiving the documents The rules for managing, storing, preserving, and archiving electronic messages or other electronic data should address the important issues, including listing the types of documents that are to be retained and how these documents are to be stored The rules should also include steps to be taken to ensure the documents cannot be tampered with such as using PDF files or passwords It is particularly important to store financial records in such a way as to ensure that they represent a true and honest picture of the nonprofit s financial profile and/or other financial description Regulators will expect to be able to rely on the accuracy of all of your electronic records no exceptions Testing the System Develop a means by which the Document Retention system will be tested on a regular basis to ensure that documents are stored properly, and, more importantly, can be retrieved quickly Staff and volunteers should understand that the audits will be random and unannounced Consequences for noncooperation should be meted out quickly to send a message to the entire organization
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Storing and Archiving the Documents Develop rules for managing, storing, preserving, and archiving electronic messages or other electronic data The rules should address the important issues, including listing the types of documents that are to be retained and how these documents are to be stored The process need not be complicated, but the rules need to be standardized there is no room for doing your own thing Staff and volunteers need to understand that they are obligated to adhere to the rules or face the consequences The rules should also include steps to be taken to ensure that the documents cannot be tampered with, such as using PDF files or passwords It is particularly important to store financial records in such a way as to ensure that they represent a true and honest picture of the
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nonprofit s financial profile and/or other financial description Regulators will expect to be able to rely on the accuracy of all of your electronic records no exceptions Testing the System Develop a means by which the Document Retention system will be tested on a regular basis to ensure that documents are stored properly, and, more importantly, can be retrieved quickly Staff and volunteers should understand that the audits will be random and unannounced There should be consequences for noncooperation that should be meted out quickly to send a message to the entire organization Policy on Prohibition of Destruction of Documents Why is there a rule against document destruction When should you not destroy materials If an official investigation is underway or even suspected, nonprofit management must stop any document purging to avoid criminal obstruction charges SarbanesOxley legislation is clear about the requirement to provide investigators with any and all documents necessary for the investigation This means that the nonprofit, and its IT division, need to be able to retrieve documents in a timely fashion Draft a brief policy with simple language that is easily understood that prohibits the destruction of documents while the nonprofit is part of an investigation or other crisis scenarios The policy need not be lengthy, just a statement that in the event of an investigation or crisis, there will be a general order circulated that prohibits the destruction of any documents Failure to comply can result in termination Important! It is essential that your nonprofit be prepared to execute the consequences that it states in a policy like this If your nonprofit is not prepared to terminate someone for violation of this policy, don t include language to that effect Exhibit 82 will help you develop an effective document destruction statement
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