POLYPROC™ Table of Contents

SECTION I - GENERAL LEDGER

	filename	number
Chart of Accounts	chart_up	GL-1000
Chart of Accounts Maintenance	chart_up	GL-1100
Chart of Accounts Updates	chart_up	GL-1110
Chart of Accounts Design Theory	chart_up	GL-1120
Bank Account Master File	bankmstr	GL-2000
Bank Account Master File Maintenance	bankmstr	GL-2100
Assigning Bank Master Numbers	bankmstr	GL-2110
Cash Position	cashposi	GL-3000
Cash Position Report Preparation	cashposi	GL-3100
Cash-in-Bank Reconciliation	bankrec	GL-4000
Cash-in-Bank Reconciliation Procedure	bankrec	GL-4100
Prepare Bank Statements for Reconciliation	bankrec	GL-4110
Bank Reconciliation and General Ledger Proof	bankrec	GL-4120
Bank Reconciliation Form	rec_prof .xls	GL-4121
Journal Entries	jrnentry	GL-5000
Journal Entry Procedure	jrnentry	GL-5100
Journal Entry Form	jeform.xls	GL-5101
Petty Cash	pettycsh	GL-6000
Petty Cash Releases	pettycsh	GL-6101
Petty Cash Reconciliation Form	pettyrec.xls	GL-6101
Financial Accounting Process Flow Diagram	financial accounting process flow.xls	Appendix C
Record Retention Checklist	record retention checklist.xls	Appendix C
Record Retention Policy	record retention policy	Appendix C
Record Retention Timetable	record retention timetable.xls	Appendix C

SECTION II - CREDIT AND ACCOUNTS RECEIVABLE

CREDIT

	filename	number
Commission Statement Form	commission statement
Extending Credit	credit	CT-1000
Processing Credit Applications - Department	credit	CT-1100
Processing Credit Applications - Desk	credit	CT-1110
Chart of Reports and Letters	credit	CT-1110
Credit Policy Statement	ctpolicy	CT-1110
Credit Application Form	ct_app	CT-1111
Credit Application Form/Agreement	credit app
Financial Analysis of Customer Financial Data	analysis .xls	CT-1112
Credit Recommendation Report	ctrecrpt	CT-1113
Commitment Letter	ctcommit	CT-1114
Denial/Alternative Payment Plan Letter	ct_deny	CT-1115

COLLECTIONS

	filename	number
Collection of Outstanding Accounts	collect .doc	CT-2000
Handling Collection Issues	collect.doc	CT-2100
Customer Contact Log	contact.doc	ct-2101
Dunning Notice Letter	dunning.doc	ct-2102
Follow-up Letter of Commitments	commit.doc	ct-2103
Warning of Pending Credit Hold	cthold.doc	ct-2104
Warning of Cancellation of Credit Terms	ctcancel.doc	ct-2105
Notice-Start of Formal Collection Process	leglcoll.doc	ct-2106

ACCOUNTS RECEIVABLE

	filename	number
AR Flowchart (black and white)	ar flow bw.xls	Appendix C
AR Flowchart (colored)	ar flow.xls	Appendix C
Customer Master File	custmstr	AR-1000
Customer Master File Maintenance	custmstr	AR-1100
Customer Number Assignment	custmstr	AR-1110
Customer Invoicing and Reports	stmtproc	AR-2000
Customer Invoicing - Departmental	stmtproc	AR-2100
Manual Billings	stmtproc	AR-2110
Invoicing - Desk Procedure	stmtproc	AR-2150
Cash Receipts	cshrcpts	AR-3000
Cash Receipts Processing	cshrcpts	AR-3100
Customer Set-up	customer set-up
Customer Receipts Processing	custrcpt	AR-3110
Cash Receipts Entry Form	cshrecfm	AR-3120
Cash Receipts Log	cshlog	AR-3130
Prepare Bank Deposit	bankdpst	AR-3140
Reconcile Bank Deposits	bankdpst	AR-3150
Bank Deposit Variance	bankdpst	AR-3160
Cash Receipts Reports	crrptflg	AR-3170
Clear Cash Receipts Suspension	crcorrec	AR-3190
Regional Cash Receipts	rmtrcpts	AR-3200
Regional Cash Receipts Process	rmtcshpr	AR-3210
Regional Cash Receipts Entry	rmtentry	AR-3220
Miscellaneous Cash Receipts	miscrcpt	AR-3400
Cash Receipts Exception Handling Form	crsusp.xls
Partner Statement Processing	ptnrstmt	AR-4100
Wire Transfer Receipts	wirercpt	AR-5000
Wire Transfer Receipt Processing	wirercpt	AR-5100
Wire Transfer Deposit Form Use	wirinfrm	AR-5110

SECTION III - PURCHASING AND ACCOUNTS PAYABLE

PURCHASING

	filename	number
System of Authorities	purchase authorizations	PO-900
Procurement	pos	PO-1000
Purchase Authorization	purchase authorizations	PO-900
Purchase Requisitions of Products or Services	pos	PO-1100
Purchase Requisition	purchreq	PO-1101
Bidding Policy	bidding_policy
Purchase Order Processing	pos	PO-1110
Purchase Order	purchord	PO-1111
Purchase Order Tracking	pos	PO-1120
Purchase Order Contract	pur_cntrt	---

ACCOUNTS PAYABLE

	filename	number
Accounts Payable Flow Diagram	ap flow bw.xls
Accounts Payable Processing	invproc	AP-1000
Payment Request Processing	invproc	AP-1100
Payment Request Review	invproc	AP-1110
Payment Request Batching	invproc	AP-1120
Vendor Master File	vendmstr	AP-2000
Vendor Master File Maintenance	vendmstr	AP-2100
Vendor Master Update Requests	vmmform	AP-2110
Vendor Number Assignment	vendnum	AP-2120
Vendor Insurance	vendins	AP-2200
Initiate Vendor Insurance Summary Form	vndrcert	AP-2210
Process Vendor Insurance Certificate	vndrcert	AP-2220
Vendor Insurance Invoice Review	vndrins	AP-2230
Cash Disbursements	manlchek	AP-3000
Automated Check Processing	autocks	AP-3100
Voucher Adjustments	autocks	AP-3110
Automated Check Printing	autocks	AP-3120
Manual Check Disbursements	wrtmnlck	AP-3200
Producing Manual Checks	wrtmnlck	AP-3210
Batch Manual Checks	bchmnlck	AP-3220
Check Signing Requirements	cksig	AP-3400
Prepare Checks for Signature	autocks	AP-3500
Vendor Invoice Filing	invfile	AP-4100

SECTION IV - FIXED ASSETS

	filename	number
Fixed Asset Accountability	faovrvw	FA-1000
Fixed Asset Procurement	faprocur	FA-2000
Fixed Asset Marking and Inventory	fainvmrk	FA-3000
Fixed Asset Reporting	farprtng	FA-4000
Inventory Control	inventory control	IN-1100
Depreciation Using Match LOOKUP	depreciation using match lookup
Depreciation Pub 946 – How to Depreciate Property	depreciationpub946.pdf

SECTION V - PAYROLL AND GARNISHMENTS

	filename	number
Labor Laws – ESA and Wage & Hour Toolkit	wage & hour
Employee Determination	payroll	PR-1100
Employee Payroll Processing	payroll	PR-1200
Processing Salaried Payroll	payroll	PR-1210
Processing Hourly Payroll	payroll	PR-1220
Employee Compensable Waiting Time	payroll	PR-1300
Employee Overtime Determination:
Employee Non-exempt Worker	payroll	PR-1400
Employee Exempt Worker	payroll	PR-1500
FLSA White-Collar Exemption Test (5 Charts)	exempt.xls	PR-1501
FLSA Exemption Rules Tested-Case Law	flsa exemption rules tested-case law	FLSA Folder
Paycheck Distribution	payroll	PR-1600
Paycheck Compensable Travel Time	payroll	PR-1700
Garnishments and Child Support Orders	payroll	PR-2000
Garnishments Form	garn_ws .xls	PR-2001
Tables for Figuring Amount Exempt from Levy on Wages, Salary, and Other Income	pub1494 exempt wage levy.pdf	---
Federal Garnishment Facts	fedgarnish	---
Hawaii Federal Garnishment Case File	hawaiigarn	---
Family & Medical Leave:
Approval of Leave Time	payroll	PR-2100
Unpaid Leave Deductions	payroll	PR-2200
EMPLOYEE POLICY AND PROCEDURE MANUAL	emplymnl	---
Code of Ethics	code­_eth	---
E-mail Policies	e-mail policies	---
E-mail Policy Template and Checklist of Concerns	e-mail policy template and checklist of concerns	---
E-mail Outage Charts	e-mail outage charts.xls	---
E-Mail Archive RFP Toolkit	e-mail-archive-rfp-toolkit	---
Essential Archive Requirements for e-Discovery	essential archive requirements for e-discovery	---
Ten Deadly Sins of a Corporate Retention Program	ten deadly sins of a corporate retention program	---
E-Mail Management Crisis (The)	the e-mail management crisis	---

SECTION VI - SALES & USE TAX

	filename	number
Taxing the Transaction	slsustax	SU-1000
Determining Tax on Sales - Sales	slsustax	SU-1100
Determining Tax on Sales - Accts Receivable	slsustax	SU-1200
Determining Tax on Purchases - Requisitioning	slsustax	SU-1300
Determining Tax on Purchases - Purchasing	slsustax	SU-1400
Determining Tax on Purchases - Accts Payable	slsustax	SU-1500
Sales Tax Analysis Matrix	salestax.xls	SU-1401
Drop Shipments	dropship.xls	SU-1402
Sales Tax Returns	sales tax returns	---
SSUTA Certificate of Exemption	ssuta certificate of exemption.pdf	---
Uniform Sales and Use Certificate	uniform sales and use certificate.pdf	---

SECTION VII – TRAVEL

	filename	number
Travel	travpol	EE-5000
Booking Your Trip	travpol	EE-5100
International Travel	travpol	EE-5200
Domestic Travel	travpol	EE-5300
Rental Car	travpol	EE-5310
Other Transportation	travpol	EE-5320
Lodging	travpol	EE-5330
Meals and Entertainment	travpol	EE-5340
Telephone Usage	travpol	EE-5350
Travel Insurance	travpol	EE-5360
Expense Reporting	travpol	EE-5400
Payment Methods	travpol	EE-5410
Non-reimbursable Expenses	travpol	EE-5420
Expense Report Form Instructions	travpol	EE-5430
Personal/Vacation Time	travpol	EE-5500
Guest Travel Authorization	travpol	EE-5510
General Travel Safety Tips	travpol	EE-5600
Travel Time – Is It Compensable?	travel.doc	PR-1700
Travel Time - Is It Compensable?	travel.xls	PR-1700
Travel Advances	payroll	PR-1800
Expense Report Form	t&e.xls	PR-1801
Tips for Travel Under Increased Security Initiatives	trav_sec	---
Tips for Travel Fly Rights	trav_fly	---

APPENDIX

	filename	number
Glossary of Terms	glossary .doc	Appendix A
Exhibit Cross-reference	appendb .doc	Appendix B
Accepted Payment Requests	invproc	AP-1111
Annual Certification of Employee Inventory Form	farprtng	FA-4105
Attach Machine Tapes Here	bankrec	GL-4124
Bad Debt Write Off Analysis	bdwrtoff.xls	---
Bad Debt Write Off Letter	bad_debt	CT-2107
Bank Account Master Input Form	bankmstr	GL-2101
Bank Master Listing	cashposi	GL-3102
Bank Reconciliation Control Schedule	bankrec	GL-4111
Bank Reconciliation Form	bankrec	GL-4121
Cash Receipts Batches	cshrcpts	AR-3102
Cash Receipts Entry Form	cshrecfm	---
Cash Receipts Exception Handling Form	crsusp.xls	---
Cash Receipts Log	cshlog	AR-3131
Cash Receipts Processing Time Table	cshrcpts	AR-3101
Chart of Accounts Change Form	chart_up	GL-1101
Chart of Accounts Manual - Control Log	chart_up	GL-1112
Chart of Tax Reports and Tax and Withholding Disbursements	payroll	PR-1201
Check Usage Control Log	autocks	AP-3121
Coding Stamp	invproc	AP-1112
Commission Statement Form	commission statement	---
Commitment Letter	ctcommit	CT-1114
Credit Application Form	ct_app.xls	CT-1111
Credit Application Form/Agreement	credit app	---
Credit Policy Statement	ctpolicy	---
Credit Recommendation Report	ctrecrpt	CT-1113
Customer Contact Log	contact	CT-2101
Customer Set-Up Form	customer set-up	---
Denial/Alternative Payment Plan Letter	ct_deny	CT-1115
Distribution of A/R Aged Summary Listing	stmtproc	AR-2152
Distribution of Tenant History Printouts etc.	stmtproc	AR-2151
Drop Shipments	dropship	---
Dunning Notice	dunning	CT-2102
Early Pay Discounts	earlypay.xls	---
Employee Certification Form	farprtng	FA-4106
Expense Report Form	t&e.xls	PR-1801
Financial Analysis of Financial Data	fs_analysis.xls	CT-1112
Follow-up Letter of Commitments	commit	CT-2103
Garnishment Form	garn_ws.xls	PR-2001
Insurance Premium Recovery Authorization Form	payroll	PR-2201
Inventory Requisition	inventory control	IC-1101
Journal Entry Form	jeform.xls	---
Key Contacts and Phone Numbers	travpol	EE-5302
Lease vs Purchase Analysis Tool	lease purchase.xls	---
Manual Journal Entry Form	jnlentry	GL-5101
Master Layout for Policies & Procedures	procmstr	---
Notice of Start of Formal Collection Process	leglcoll	CT-2106
Outline of Insurance File Contents	vndrcert	AP-2222
Outstanding Checks Listing Form	bankrec	GL-4122
Pay Envelop Stuffer	payroll	PR-1202
Petty Cash Reconciliation Form	pettyrec.xls	GL-6101
Procedures Manual - Control Log	chart_up	GL-1113
Policies & Procedures Project Time & Cost Budget	budget.xls	---
Purchase Order	pos	PO-1111
Purchase Requisition	pos	PO-1101
Quarterly Fixed Asset Reconciliation	farprtng	FA-4103
Quarterly Report of Fixed Assets	farprtng	FA-4104
Reconciliation of Cash Position to Bank Master	cashposi	GL-3103
Remitter’s Slip	custrcpt	AR-3113
Report of Cash Position	cashposi	GL-3101
Request for an Over-Weekend Stay Reimbursement	travpol	EE-5301
Request for Deletion From Inventory Form	farprtng	FA-4102
Request for Family & Medical Leave Form	payroll	PR-2101
Request for Property Transaction Form	farprtng	FA-4101
Sales Tax Analysis Matrix	salestax.xls	SU-1401
Standard A/P Pay Cycles	invproc	AP-1113
Policies & Procedures Steering Team Response Control	control	---
Supplemental Pay Gross-Up Calculation	gross_up.xls	---
System of Authorities	purchase authorizations	---
Template for Policies & Procedures Input	template	---
Transmittal Methods by Region	rmtcshpr	AR-3211
Travel Booking Request Form	travpol	EE-5102
Travel Expense Report Form	t&e.xls	PR-1801
Traveler Profile	travpol	EE-5101
Uniform Sales and Use Certificate	uniform sales and use certificate	---
Update Instructions Page	chart_up	GL-1111
Vendor Insurance Invoice Register	vndrins	AP-2231
Vendor Insurance Summary	vndrins	AP-2211
Vendor Master Maintenance Form	vmmform	AP-2111
Voucher Adjustment Form	vouchadj	AP-1101
W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding	w-8_fw8ben.pdf	---
W-8ECI Certificate of Foreign Person’s Claim That Income is Effectively Connected With the Conduct of a Trade or Business in the United States	w-8_fw8eci.pdf	---
W-8EXP Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding	w-8_fw8exp.pdf	---
W-8IMY Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding	w-8_fw8imy.pdf	---
W-9 Request for Taxpayer Identification Number and Certification	w-9_2007.pdf	---
W-9(SP) Request for Taxpayer Identification Number and Certification (Spanish)	w-9_sp.pdf	---
Warning of Cancellation of Credit Terms	ctcancel	CT-2105
Warning of Pending Credit Hold	cthold	CT-2104
Wire Transfer Deposit Form	wirein	AR-5111
Process Flow DIAGRAMS		Appendix C
Accounts Payable Flowchart (B/W)	ap flow bw.xls
Accounts Receivable Flowchart (B/W)	ar flow bw.xls
Accounts Receivable Flowchart (Colored)	ar flow.xls
Extending Credit Flow Diagram	ct_app_c
Financial Accounting Process Flowchart	financial accounting process flow.xls
Record Retention Checklist	record retention checklist.xls
Record Retention Timetable	record retention timetable.xls
Taxability of Transactions	taxability of transactions
Drop Shipments (Sales & Use Tax)	dropship.xls
FORMS, LETTERS, LISTS & SPREADSHEETS		Appendix D
Procedures for Project Administration:
Quick Start Installation File	quickstart	---
Register	register	---
Readme File	readme	---
Executive Summary - Project Structure, Layout and Oversight Plan	summary	---
Policies & Procedures Project Outline	policy & procedures project outline	---
Steering Team Response Control	control	---
Introduction Letters To/From Top Management	top_mgt	---
Announcement Letter To Staff	announce	---
Project Time & Cost Budget	budget.xls	---
Style Template Layout for Policies & Procedures	template	---
Master Layout for Policies & Procedures	procmstr	---
Industries with Specialized Accounting Requirements	specacct	---
Recommended Reading List	rec_read	---
Useful Letters:
Bad Debt Letter (Using Form 1099-C)	bad_debt	---
Commitment Letter to Company	comitmnt	---
Request for Form W-9/W-8	w_9_ltr	---
Sales & Use Tax Liability Letter	sut_ven	---
Sales Tax Exempt Letter	sutexemt	---
Useful Spreadsheets:
Bad Debt Write Off Analysis	bdwrtoff.xls	---
Bank Reconciliation Form	rec_prof.xls	GL-4121
Early Pay Discounts	earlypay.xls	---
Expense Report Form	t&e.xls	PR-1801
Financial Analysis of Financial Data	fs_analysis.xls	---
FLSA White-Collar Exemption Test (5 Charts)	exempt.xls	---
Garnishment Calculations Worksheet	garn_ws.xls	PR-2001
Tables for Figuring Amount Exempt from Levy on Wages, Salary, and Other Income	pub1494 exempt wage levy.pdf	---
Lease Vs Purchase Analysis Tool	lease purchase.xls	---
Significant Accounts & Relevant Assertions (Sarbanes-Oxley Act/COSO Framework)	significant accounts and relevant assertions.xls
Supplemental Pay Gross-up Calculations	gross_up.xls	---
Useful Forms:
Bank Reconciliation Form	rec_prof.xls	---
Journal Entry Form	jeform.xls	---
Petty Cash Reconciliation Form	pettyrec.xls	---
Credit Application Form	ct_app	---
Credit Application Form/Agreement	credit app	---
Cash Receipts Entry Form	cshrecfm	---
Cash Receipts Log	cshlog	---
Cash Receipts Exception Handling Form	crsusp.xls	---
Purchase Requisition	purchreq	---
Purchase Order	purchord	---
Initiate Vendor Insurance	vndrcert	---
Check Request	manlchek	---
SSUTA Certificate of Exemption	ssuta certificate of exemption.pdf	---
Uniform Sales and Use Certificate	uniform sales and use certificate.pdf	---
W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding	w-8_fw8ben.pdf	---
W-8ECI Certificate of Foreign Person’s Claim That Income is Effectively Connected With the Conduct of a Trade or Business in the United States	w-8_fw8eci.pdf	---
W-8EXP Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding	w-8_fw8exp.pdf	---
W-8IMY Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding	w-8_fw8imy.pdf	---
W-9 Request for Taxpayer Identification Number and Certification	w-9_2007.pdf	---
W-9(SP) Request for Taxpayer Identification Number and Certification (Spanish)	w-9_sp.pdf	---
Other Tools
Website Links	website links	---
Polyproc Product List with Order Form	polyproc order.xls	---
Guide to Paperless Automation of Cash Cycle	guide to paperless automation	---
2003 vs 2007 – Translator table between function keys of Excel 03 vs Excel 07	2003 vs 2007.xls	---

Sarbanes-Oxley Index of Compliance Tools

The Sarbanes-Oxley Act:
Sarbanes-Oxley Act of 2002 and resource reference list
Final Rules Issued by the SEC:
Final Rules SEC Web Index
Strengthening Auditor Independence Requirements
Standards on Audit Committees
Certification of Disclosure in Companies’ Quarterly and Annual Reports
Improper Influence on Conduct of Audits
Implementation of Standards of Professional Conduct for Attorneys
Off-Balance Sheet Arrangements Disclosure Requirements
Conditions for Use of Non-GAAP Financial Measures
Filing Guidance Related To: Conditions for Use of Non-GAAP Financial Measures; and Insider Trades During Pension Fund Blackout Periods
Mandated Electronic Filing and Website Posting for Forms 3, 4 and 5
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
SOX Sec. 404a Management’s Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Disclosure Required by Sections 406 & 407 of SOX
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
Regulation Analyst Certification
Retention of Records Relevant to Audits and Reviews
Rule 404a Compliance Deadline Extension to July 15, 2007 for Non-Accelerated Filers
Voluntary Reporting Using XBRL
FAQs from the SEC
Management’s Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
FAQs Regarding the Use of Non-GAAP Financial Measures
FAQs Division of Corporation Finance Current Report on Form 8-K
Application of the Commission’s Rules on Auditor Independence
FAQs Div of Corp Finance #s 1-28 11-8-02
FAQs Div of Corp Finance Staff Views on Certain Issues Raised in the Implementation of Section 404 #s A-J 5-16-05
Final Standards/Rules Issued by the PCAOB:
PCAOB LINKS
Auditing Standard No 1
Auditing Standard No 2 SOX Sec. 404b Compliance – Audits of Internal Controls
Auditing Standard No 3 SOX Sec. 404b Compliance – Audit Documentation
Auditing Standard No 4 Previous Weakness Continues
Auditing Standard AS4 Summary
Auditing Standard No 5 Integration of IC Audit with FS Audit
Auditing Standard AU5 Guidance for Small Companies
Auditing Standard No 6 Evaluating Consistency of FS
Auditing Standard No 7 Engagement Quality Reviews
Final Rule – Ethics and Independence Rules: Independence Tax Services Contingent Fees 2005-07-26_Release_2004-014
FAQs from the PCAOB
Attest Engagements Regarding XBRL Financial Information Furnished Under the XBRL Voluntary Financial Reporting Program on the Edgar System, May 25, 2005
Auditing Internal Control Over Financial Reporting, June 23, 2004, Revised July 27, 2004 (Questions 1 - 26)
Auditing Internal Control Over Financial Reporting, October 6, 2004 (Questions 27 - 29)
Auditing Internal Control Over Financial Reporting, November 22, 2004 (Questions 30 - 36)
Auditing Internal Control Over Financial Reporting, January 21, 2005 (Question 37)
Auditing Internal Control Over Financial Reporting, May 16, 2005 (Questions 38 – 55)
Audits of Financial Statements of Non-Issuers Performed Pursuant to the Standards of the PCAOB, June 30, 2004
Trickle Down – NonProfits:
Panel on the Non-Profit Sector
Final Report of the Panel – Strengthening Transparency Governance Accountability of Charitable Organizations
Impact of SOX on Private & Nonprofit Companies
Guidance for Smaller Public Companies Reporting on Internal Control over Financial Reporting (Draft)
Helpful Checklists:
Up-the-ladder Attorney Reporting Checklist
Audit Committees
Audit Committee Agendas
Audit Committee Charter
Design Decisions Checklist of Audit Committee Complaint System
Non-audit Service Approval Checklist
AICPA/SOX Toolkits-
For Profit Issuers
Governments
Non Profits
Auditor Independence Requirements – NYSE Vs NASDAQ
Auditors’ Cooling Off Period Checklist
Checklist for Internal Audit Function
Checklist for Sr. Management Assessment
Financial Expert –
Financial Literacy Requirements – NYSE/NASDAQ
Required Knowledge Attributes and Experience-SEC
Framework for Evaluating Control Exceptions & Definitions
Internal Control Deficiency Flowchart
Sec. 302 Certification Checklist
Sec. 302 Certification Due Diligence Checklist
Sec. 906 Certification Due Diligence Checklist
Project Planning Guide including spreadsheet of Significant Accounts and Relevant Assertions
Medieval Approach to SOX Compliance
Supplemental Tools:
Sarbanes-Oxley web site
AICPA web site Index Page
COSO Internal Control Enterprise Risk Framework Powerpoint Presentation
Purchase the IC Integrated Framework here for $28
Webinar on SOX available online
SOX Updates via “The Bulletin”
Guide to IT Risks and Controls
Guide to SOX IC Reporting Requirements-FAQs RE: Sec 404
Guide to Internal Audit FAQs RE: NYSE Requirements and Developing an Effective Internal Audit Function
ALSTON+BIRD1 on Final Rules relating to Audit Committees (not able to hyperlink) contained in the Supplemental Tools Folder or online
IT Governance Institute (ITGI)
Information Systems Audit and Control Association (ISACA)
CobiT Internal Control Framework – Primer
CobiT Executive Summary
Cobit Management Guidelines
CobiT Control Objectives
CobiT Implementation Tool Set
The IIA Home Page on Sarbanes-Oxley
The IIA view of Mapping COSO and CobiT
The Internal Auditors Role in Complying with 302 and 404
Sarbanes-Oxley – Project Management
Sarbanes-Oxley – The IT Dimension
The IIA Response Letter to the First Year of Sarbox 3/31/05
Managing Your Sarbanes-Oxley Project and Ensuring Positive ROI
The IIA Tookit from Richard Lanza, CPA
NASDAQ & NYSE Rulemaking: Relating to Corporate Governance
NASDAQ Corporate Governance Rules
NYSE Corporate Governance Rules
ALSTON BIRD on Final Rules relating to Codes of Conduct – Comparison of NASDAQ & NYSE Rules (not able to hyperlink) contained in the SEC Updates/Code of Conduct Folder or online
Whistle Blower Protections – Final Rules – Federal Register Aug 24, 2004
US Dept of Labor – Whistleblower Program
Whistle Blower Protections – Corporate Fraud - Fact Sheet

Disaster Recovery Planning Tools and Examples

Index of Tools and Models
Generally Accepted Practices for Business Continuity Practioners
IBM Business Continuity: New risks, new imperatives and a new approach
Disaster Plan Development Checklist
Business Recovery Plan – EMERGENCY OPERATIONS CENTER
Plan Development Model – Disaster Recovery Journal = Business Resumption Plan Development Guide
Team Plan - Disaster Recovery Journal = Business Resumption Plan @ Department Level
Business Contingency Plan - Vendor Resiliency Questionnaire
Training Drills – Disaster Recovery Journal
Vulnerabilities Analysis Chart
Contingency Planning Guide for IT Systems from NIST (National Institute of Standards and Technology)
FEMA Emergency Management Guide for Business and Industry Parts 1-41:
Introduction, Risk Assessment and Plan Development
Emergency Management Considerations
Hazard-Specific Information
Information Sources
Emergency Management Guide for Business and Industry
CDC Pandemic Planning and Response Tools
Pandemic Influenza Overview
Business Pandemic Checklist
Health Info Sheet
Personal Pandemic Checklist
Other Related Pandemic Tools
Emergency Notification Tools
Emergency Notification System
Auto-Notification and Escalation Solution Evaluation Matrix
Emergency Notification RFP Template
Emergency Notification System by Message One
Varolii Pandemic Planning Tools
Workforce Continuity White Paper
Spotlight on Pandemic
Pandemic Kit
Ensuring Workforce Continuity During a Pandemic
Index of Examples
KS Model Contingency Planning Outline
MIT Business Continuity Plan
Business Recovery Plan – EMERGENCY OPERATIONS CENTER

US Dep't of Labor - Wage and Hour Laws Compliance Toolkit

The Laws of Labor - ESA:
Compliance Assistance – Laws of the Employment Standards Administration
Handy Reference Guide to Employment Law -USDOL
The Fair Labor Standards Act - FLSA:
The Fair Labor Standards Act-FLSA
Exempt Employee Regulations – Federal Register
US Department of Labor Compliance Assistance Fair Labor Standards Act (FLSA)
Fact Sheet #14 Coverage Under the FLSA-general info.htm
Overtime Security of the 21st Century Workforce
Defining and Delimiting the Exemptions for Executive, Administrative, Professional, Outside Sales and Computer Employees; Final Rule [04/23/2004]
Exemption Analysis Worksheet (.xls)
Fair Pay Model Salary Basis Policy
Fair Pay Frequently Asked Questions (FAQs)
Exempt Executives
Exempt Administrative Employees
Exempt Professionals
Exempt Computer Related Occupations
Exempt Outside Salespeople
FLSA Exemption Rules Tested-Case Law
Specific Industries:
Claims Adjusters
Construction Industry
Blue Collar Workers
Financial Services Industry
First Responders
Journalists
Salary Basis
Highly Compensated
Nurses
Technicians
Veterans
Administrative – Court Ruling - Geico
The Family and Medical Leave Act - FMLA:
FMLA Summary - Key Provisions
The Family and Medical Leave Act
FMLA Regulations – CFR 29 Chapter 5 Part 825