Set Workbook Retention Rules

Protect the investor workbook without hiding ownership

Investor workbook history can support accountability, but indefinite retention expands exposure and confusion. Tie retention to reporting close, post-reporting close review, contractual duties, litigation holds and investment-record needs. Distinguish deleting an archive entry from verified sanitization of every underlying device and backup.

Run the control sequence

1. 01

   Classify artifacts by decision, legal and operational value.

2. 02

   Assign review dates tied to reporting close and post-close review dates.

3. 03

   Check holds, contracts and records obligations before disposal.

4. 04

   Retire superseded access and document archive disposition.

5. 05

   Use approved media sanitization for storage that truly must be cleared.

Preserve decision evidence

Record class, reporting period, retention basis, owner, review date, hold status, access removal, archive action, media action, approver and completion evidence.

Stop when

• Retention is “forever” without a stated reason.
• A hold or contractual duty has not been checked.
• Vault deletion is described as guaranteed device sanitization.

The record should show the approved reporting period, tested environment, responsible people and known limitations without storing passwords or unnecessary investor workbook content.

Separate the surrounding controls

Does not replace provider permissions, guaranteed backup, password recovery or enterprise identity management. Encryption does not assign provider permissions, verify a recipient, preserve every backup or remove plaintext working copies automatically.

Investor workbook archive questions

Primary references

• NIST: Media protection
• NIST SP 800-53: Access control and contingency planning

References support specific boundaries and do not imply endorsement.