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Training Index
Sarbanes Oxley Home Page
Spreadsheet backup and archiving
General Rule on spreadsheet backups and archiving
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Sarbanes Oxley spreadsheets need to be backed up and archived
to ensure that it is possible to recover from loss of information and
to be able to go back to a particular date to see how a calculation
was performed and the inputs that were used i.e. audited.
Information relating to
SoX 404 needs to be maintained for several years and the spreadsheet for
each reportable event must be archived.
The first important issue is to ensure that your naming is correct
so that it is clear what the spreadsheet relates to (see
version
control).
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The spreadsheet should be saved in folders that will be regularly
backed up and, after a period, archived. Speak to your IT department
for assistance in this matter.
If the individual needs to perform their own backup and archiving
the following is recommended.
For backup purposes you can use Microsoft Windows Briefcase
feature. View the video clip below to see how you can, with 3 clicks,
synchronize files so that a backup always exists using Microsoft
Windows Briefcase feature.
For archiving you should periodically (say every quarter or 6
months) cut a CD of your spreadsheets (at the very least).
How to implement spreadsheet backup and archiving
Suggested spreadsheet backup and archive procedures for spreadsheet files
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If there is inadequate backup and archiving folders in your
organisation (and even if there is) you can use the BRIEFCASE feature
to make sure you always have at least two copies of all your files.
View the video clip to see how to use it (coming soon). |
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Links to our other
Sarbanes Oxley Spreadsheet Controls:
Documentation Control
Access Controls
Input Control
Testing
Version Control
Audit Trails (coming soon)
Change Control
Backup and Archiving
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Quote of the page:
Learn all you can from the mistakes of others. You won't have time to
make them all yourself. - Anon
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