Compliance from the low rung on the ladder 415

  • Hello All,
    I am an employee at a corporation that must comply with the Sarbanes-Oxley Act. I was fine with the changes made recently in regard to Payroll, tracking benefit time, etc. These changes made sense. However…
    As of today, one of the managers started visiting our individual offices. She is looking at our email, computer files, and hard copy files. According to the guidelines provided by our auditors, we can no longer keep emails/paperwork/memos that do not fit within specified authorized folders. We are no longer allowed to keep copies of personal performance reviews in our office. We are no longer allowed to keep benefit information in our desk drawers (company provided insurance, etc). We can not keep our pay stubs in a folder in our desk. Phone agents have been advised they cannot keep copies of written warnings (or exemplary performance) in their personal files at work. I heard the manager telling a supervisor that she cannot keep pre-filled out forms for her monthly team reviews. They are hoping to get a special ‘exclusion’ so that phone agents can keep ‘cheatsheets’ that help them find computer codes. Any memo outlining these changes sites the Sarbanes-Oxley Act as the reason (oh, yeah, these memos cannot stay in the office either).
    Seriously, is all of this covered within the scope of the act?

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  • This sounds more like a security issue. There’s no requirement for something like this coming out of sox.

  • True, there’s nothing like this in SOX - However, if your SOX team came up with this type of control then the auditors are going to audit against that - no matter how ridiculous it is. That’s one of the big issues we are now facing how to live with the things we put in place in the heat of the battle. The good news is that there is nothing stopping us from fixing this and doing what makes sense and truly adds value and control.

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