Three PNSQC policies are posted here:
PNSQC Documentation Retention Policy
V1.0 July 19, 2008
This policy sets out the Pacific Northwest Software Quality Conference (PNSQC) record retention policy. It specifies which records to keep and length of time to keep specific records to minimize expense of retaining records by not keeping unnecessary records.
Generally, PNSQC keeps records as needed to:
- Provide information and data needed for operations.
- Comply with requests of internal or external auditors.
- Comply with federal, state, and local laws.
- Comply with tax or other regulations of administrative bodies.
Keep only final copies to avoid confusion with drafts. Do not keep working copies in archival storage to reduce expenses.
Definitions:
Leaders: Directors and committee chairpersons of PNSQC and contractors under the direction of PNSQC.
President: President of the board of directors of PNSQC.
General Procedures
The President shall:
- be accountable for storage and preservation of records listed herein, whether written or electronic or in other forms.
- maintain an index generally showing what records exist and which records have been destroyed. This index shall include by reference the index of electronic records.
- set retention periods for records not covered by this policy.
- obtain legal counsel if he or she has questions.
Refer questions regarding retention periods for specific records to the President.
The President
Record of Destruction: The President keeps a permanent record of the archival records destroyed and the method of disposition. When archival records are destroyed, the destruction will be reported to the President.
Identification of Records: Each record shall have a unique identifier that, at a minimum, states the document name, version, and date of the last change (example “PNSQC Conflict of Interest Policy, V0.93, 5/23/2007″).
Secretary is responsible for maintenance throughout the year of:
- minutes of board meetings, annual meetings, and other meetings as directed by the President,
- votes as recorded in real or virtual meetings,
- Bylaws,
- Articles of Incorporation,
- proceedings of conferences,
- signed Conflict of Interest Disclosure statements.
Treasurer is responsible for maintenance throughout the year of financial records.
President is responsible for vendor contracts; formal complaints made by members; background checks (if any).
Leaders keep documents and backups on their own during the year and transfer annually to independent archival storage.
Legal Interruption of Normal Operations: On occasion, the President may issue instructions to Leaders to retain specific records required for legal actions or proceedings. When such instructions are issued, the records shall be held until specific authorization is granted for their destruction. In addition, whenever it is known that there are pending controversies, claims, or disputes, the pertinent records shall be held until specific authorization is granted for their destruction. The President, with assistance of the Operations and Infrastructure chair, shall form a procedure for notifying all Leaders with dispatch if certain categories of documents are exempted from destruction by events such as pending, threatened, or reasonably foreseeable, litigation.
Record Retention Time Periods
Records are kept in either electronic or paper form and stored in the specified location as approved by the President and Operations and Infrastructure chair.
- Keep plans, strategies, minutes of meetings of other committees or groups for a period of three years.
- Maintain an on-going record of all “meeting of directors” as defined in the Bylaws.
- File approved annual budget with the board minutes.
- Keep 1099s, vendor invoices and reports of audited invoices for seven years or after completion of IRS audit, whichever is later.
- Retained for 7 years: Voucher copies or checks, approved travel expense records, bank statements of all accounts, record of voided checks, record of charge and bad checks returned from the bank, bank reconciliations, check requests, cash advances.
- Keep internal audit papers for 6 years. This is in line with the standard 7 year requirement minus the year after in which the audit occurs.
- Keep formal complaints and background checks for 7 years.
- Keep agreements, contracts, leases, permits, and insurance policies six years after expiration or termination of the agreement whichever is later. One copy of each regulatory filing shall be kept as long as they are valid.
Maintain the following 40 years:
- General ledgers
- Disbursements books
- Check support
- Annual Reports (both financial statements and reports)
Any financial records as required by the IRS for the period specified by the IRS
Legal Claims against PNSQC
Refer claims or threats of claims against the Pacific Northwest Software Quality Conference to the President. The President shall maintain these records for a period of time determined by the applicable statutes of limitation.
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PNSQC Conflict of Interest Policy
V1.0 August 10, 2007
PURPOSE
The purpose of the this policy is to prevent the personal interest of board members, staff members, and volunteers from interfering with the performance of their duties to the Pacific Northwest Software Quality Conference (PNSQC), which could result in personal financial, professional, or political gain at the expense of PNSQC or its members, supporters, and other stakeholders.
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Definitions |
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| Term | Definition |
| Conflict of Interest (also Conflict) | A conflict or the appearance of a conflict between the private interests and official responsibilities of a person in a position of trust. Persons in a position of trust include, but are not limited to, board members, officers, committee chairs, and staff members of the Pacific Northwest Software Quality Conference |
| Board of Directors | The board elected by the members of the PNSQC. |
| Member | A member of PNSQC which shall be a state association of non profit organizations that represent a statewide and multiple-sector or sub-sector 501(c)(3) constituency with a diverse range of corporate identities, or a regional association of nonprofit organizations that represent a specific region with a state or multi-state geographic area and a multi-sector or sub-sector constituency with a diverse range of corporate identities. |
| Officer | An officer of the Board of Directors. |
| Staff Member | A person who receives all or part of her/his income from the payroll of PNSQC. |
| Supporter | A corporation, foundation, or individual, or other nonprofit organization who contributes anything of monetary value, including but not limited to, salary or other payments for services (consulting fees, honoraria), equity interests (stocks, stock options, or other ownership interests), and intellectual property rights (e.g., patents, copyrights, and royalties from such rights) to PNSQC. |
| Volunteer | A person — other than a board member — who does not receive compensation for services and expertise provided to the PNSQC and retains a significant independent decision-making authority to commit resources of the organization (an example would be the Publicity Committee Chairperson). |
POLICY
1. Full disclosure, by notice in writing, shall be made by the specified parties to the full Board of Directors in all conflicts of interest, including but not limited to the following:
- A board member is related to another board member or staff member by blood, marriage or domestic partnership.
- A staff member in a supervisory capacity is related to another staff member whom s/he supervises.
- A board member her/his organization, relative, or domestic partner stands to benefit from a PNSQC transaction or staff member of such organization receives payment from the PNSQC for any subcontract, goods, or services other than as part of her/his regular job responsibilities or as reimbursement for reasonable expenses incurred as provided in the bylaws and board policy.
- A board member’s organization receives grant funding from the PNSQC.
- A board member or staff member is a member of the governing body of a contributor to the PNSQC.
- A volunteer working on behalf of PNSQC who meets any of the situations or criteria listed above.
2. Following full disclosure of a possible conflict of interest or any condition listed above, the Board of Directors shall determine whether a conflict of interest exists, and if so, the Board shall vote to authorize or reject the transaction or take any other action deemed necessary to address the conflict and protect the best interest of PNSQC. Votes shall be by simple majority without counting the vote of any interested director, even if the disinterested directors are less than a quorum.
3. A Board member who is considering employment with PNSQC must take a temporary leave of absence until the position is filled. Such a leave will be taken within the Board member’s elected term which will not be extended because of the leave. The Board member who is considering employment with the PNSQC must submit a written request for a temporary leave of absence to the President of the PNSQC (unless it’s the President then the request will be made to the Vice President) indicating the time period of the leave. The President/Vice President will then inform the rest of the board of directors of such a request and will bring the request to the Board for action. The request and any action taken shall be reflected in the official minutes of the PNSQC.
4. An interested Board member, officer, or staff member shall not vote on or be present for any discussion or debate of the Board of Directors, or of any committee or subcommittee thereof in which the subject of discussion is a contract, transaction, or situation in which there may be a perceived or actual conflict of interest. However, their presence may be requested to provide clarifying information in such a discussion or debate unless objected to by any present board or committee member.
5. Anyone in a position to make decisions about spending the resources of the PNSQC (e.g., transactions such as purchases contracts) who also stands to benefit from that decision has a duty to disclose that conflict as soon as it arises (or becomes apparent); s/he shall not participate in any final decisions.
6. A copy of this policy shall be given to all Board members, staff members, volunteers and other key stakeholders upon commencement of such person’s relationship with PNSQC or at the official adoption of stated policy. Each board member, officer, staff member, and volunteer shall sign and date the policy at the beginning of her/his term of service or employment and each year thereafter. Failure to sign does not nullify the policy.
7. The PNSQC Secretary will file this policy annually and whenever it is amended by the Board of Directors.
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Pacific Northwest Software Quality Conference
Conflict of Interest Disclosure
This form must be filed annually with the Secretary by all board members and volunteers, as identified in the Pacific Northwest Software Quality Conference Conflict of Interest Policy (ratified by the PNSQC Board of Directors on {Date of ratification}).
Initial one of the following:
_____ I have no conflict of interest to report
_____ I have the following conflict of interest to report (please specify):
________________________________________________________________
________________________________________________________________
I the undersigned, by my affixed signature, note my understanding of the implications of this policy.
Signature __________________
Printed Name __________________
Date __________________
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PNSQC Whistle Blower Policy
Version 1.1 July 19, 2008
General
The Pacific Northwest Software Quality Conference requires board members, officers, volunteers, and contractors to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. As representatives of the Pacific Northwest Software Quality Conference (PNSQC), they must practice honesty and integrity in fulfilling their responsibilities and comply with all applicable laws and regulations.
Reporting Responsibility
It is the responsibility of all board members, officers, volunteers, and contractors to comply with the law and to report violations or suspected violations in accordance with this Whistle Blower Policy.
No Retaliation
This Whistle Blower Policy is intended to encourage and enable members to raise serious concerns within the Organization prior to seeking resolution outside the Organization. No member, board member, officer, volunteer, or contractor who in good faith reports a violation shall suffer harassment, retaliation or adverse consequence. If such retaliation occurs, the board shall ensure that the offending person is removed from any contract position or position of authority within the organization.
Reporting Violations
Pacific Northwest Software Quality Conference has an open door policy and suggests that members share their questions, concerns, suggestions or complaints with someone who can address them properly. In most cases the committee chairman for each of the conference committees is in the best position to address an area of concern. However, if the member is not comfortable speaking with the chairperson or is not satisfied with their response, he/she is encouraged to report the matter to a member of the board whom the member is comfortable in approaching and a board member so approached is required to report promptly to both the Compliance Officer and to the full board; preserving the complainant’s anonymity to the extent possible. For suspected fraud, or when individuals are not satisfied or are uncomfortable with following the Organization’s open door policy, individuals should contact the Organization’s Compliance Officer directly.
Compliance Officer
The Organization’s Compliance Officer is responsible for investigating and resolving all reported complaints and allegations concerning illegal or unethical conduct and, at his/her discretion, shall advise the president and/or the audit committee. The Compliance Officer has direct access to the audit committee of the board of directors and is required to report to the audit committee at least annually on compliance activity. The Organization’s Compliance Officer is the chair of the audit committee.
Accounting and Auditing Matters
The audit committee for PNSQC shall address all reported concerns or complaints regarding corporate accounting practices, internal controls or auditing. The Compliance Officer shall immediately notify the audit committee of any such complaint and work with the committee until the matter is resolved.
Acting in Good Faith
Anyone filing a complaint concerning a violation or suspected illegal or unethical conduct must be acting in good faith and have reasonable grounds for believing the information disclosed indicates a violation. Any allegations that prove not to be substantiated and which prove to have been made maliciously or knowingly to be false will be viewed as a disciplinary offense.
Internal Controls
PNSQC has established systems, standards, controls and records for accountability in authorizing, executing, and recording transactions involving assets, liabilities, and compliance with internal policies, laws, and regulations, collectively known as internal controls. No PNSQC representative will engage in any activity that circumvents PNSQC’s system of internal controls. Administrative and accounting internal controls will be in place to assure that financial, operational, and other reports are accurately and reliably prepared, and fully and fairly disclose pertinent information.
Confidentiality
Violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted anonymously. Reports of violations or suspected violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation.
Handling of Reported Violations
The Compliance Officer will notify the sender and acknowledge receipt of the reported violation or suspected violation within a month. All reports will be promptly investigated and appropriate corrective action will be taken if warranted by the investigation.
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