Policy Information

The NYBB Group Policy Information


Section 1: Intent & Purpose

Our policy introduces document retention and destruction procedures with a statement of intent and purpose of the policy. Example purposes include:

  • The organization takes seriously its obligations to preserve information related to litigation, audits, and investigations.
  • The purpose of this document retention policy is for the organization to enhance compliance with The Statement on Standards for Continuing Professional Education (CPE) Programs (2019 Standards) published jointly by the American Institute of Certified Public Accountants (AICPA) and the National Association of State Boards of Accountancy (NASBA) in order to provide a framework for the development, presentation, measurement, and reporting of CPE programs.


Section 2: Legal Holds

The NYBB Group is responsible for accurately reporting the appropriate number of CPE credits earned from CPAs and must retain appropriate documentation of their participants information and their learning activities.

To protect the public interest; regulators require CPAs to document, maintain, and improve the professional competence through periodic reporting of CPE.

Legal holds require suspension from any document destruction due to the reasonable likelihood of litigation, audits, government investigations, or similar proceedings. Generally, a legal hold specifies the type of documents that should not be destroyed even if scheduled for destruction.


Section 3: Document List & Retention Time Period

The NYBB Group has a 7-year retention requirement that holds specific documents under the CPE Standards Reference: Standard No. 24; such as:

  • Records of Participation
  • Dates and Location of Program Offerings
  • Authors/Instructor
  • Reviewers Name & Credentials
  • Number Of CPE Credits Earned by Participants
  • Result Of Program Evaluations
  • Program Descriptive Materials
  • State Of Licensure
  • License Number
  • Status Of License


Section 4: Electronic Documents & Records

This section outlines producers to retain electronic documents or correspondence. Our organization may require that electronic documents be printed and stored with other physical files or allow for electronic documents to be achieve electronically with backup and recovery methods in place to prevent loss of data.


Section 5: Emergency Planning

This section generally requires that records are stored in a safe, secure, and accessible manner.


Section 6: Document Destruction

This section generally outlines who is responsible for overseeing the document destruction process and mechanisms for destruction. Some policies also include an affirmative statement that requires suspension of any document destruction upon notice of an official investigation.

After the 7-year retention period is over, you, the client will get a letter in the mail stating that you have the availability to delete your data. You will then get a secondary follow up depending if you would want to know the timestamp and date of when the deletion of the data occurred.


Section 7: Compliance

The NYBB Group is responsible for compliance with all applicable CPE requirements, rules, regulations of state licensing bodies, other governmental entities, membership associations, and other professional organizations or bodies. CPAs should contact each appropriate entity to which they report to; in order to determine its specific requirements or any exceptions it may have to the standards presented herein.

For more information on who to contact please visit this section on our website: CPE Contact.


Section 8: The NYBB Group Complaint

If the participant is unsatisfied with the course given by the instructor, you can contact us to fill in a complaint form. Your feedback is very important to us. The NYBB Group takes these measures very seriously. We want all participants to learn and get the most out of their time with us.

For more information on a complaint please visit this section on our website: File A Complaint.


Section 9: NASBA Complaint Process

NASBA will investigate complaints against CPE program sponsors to determine whether any non-compliance with the Statement on Standards for Continuing Professional Education (CPE) Programs (Revised December 2019) or other National Registry program requirements has occurred. Only complaints submitted using the Online Record of Complaint Form will be accepted. All submitted complaint forms will be investigated, regardless of their source. For more information navigate on NASBA’s Complaint Process.


Section 10: Refund Policy

No fee is charged for attending our programs, but it may be subject to change. In case if these changes occurring in the future, we will announce an updated refund policy that announces the changes to the “Section 10: Refund Policy” of the Document Retention Policy. All changes will be subjected to be announced and would be shown on our policy page to be viewed.


Section 11: Cancellation Policy

Cancellation of the course must be done in writing (mail, or email preferred) two weeks prior to when the course is given. In the case where an event has been cancelled, we will notify the participants two weeks before the event through email, phone, and mail.

For more information regarding cancellation of the program please Contact Us though email or phone.


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