POLYPROC™ Table of Contents

List of POLYPROC™ policies, procedures and forms.

  1. General Policies and Procedures
  2. Sarbanes-Oxley Index of Compliance Tools
  3. Disaster Recovery Planning Tools and Examples
  4. US Dep't of Labor - Wage and Hour Laws Compliance Toolkit

SECTION I - GENERAL LEDGER

 filenamenumber
Chart of Accountschart_upGL-1000
Chart of Accounts Maintenancechart_upGL-1100
Chart of Accounts Updateschart_upGL-1110
Chart of Accounts Design Theorychart_upGL-1120
Bank Account Master FilebankmstrGL-2000
Bank Account Master File MaintenancebankmstrGL-2100
Assigning Bank Master NumbersbankmstrGL-2110
Cash PositioncashposiGL-3000
Cash Position Report PreparationcashposiGL-3100
Cash-in-Bank ReconciliationbankrecGL-4000
Cash-in-Bank Reconciliation ProcedurebankrecGL-4100
Prepare Bank Statements for ReconciliationbankrecGL-4110
Bank Reconciliation and General Ledger ProofbankrecGL-4120
Bank Reconciliation Formrec_prof .xlsGL-4121
Journal EntriesjrnentryGL-5000
Journal Entry ProcedurejrnentryGL-5100
Journal Entry Formjeform.xlsGL-5101
Petty CashpettycshGL-6000
Petty Cash ReleasespettycshGL-6101
Petty Cash Reconciliation Formpettyrec.xlsGL-6101
Financial Accounting Process Flow Diagramfinancial accounting process flow.xlsAppendix C
Record Retention Checklistrecord retention checklist.xlsAppendix C
Record Retention Policyrecord retention policyAppendix C
Record Retention Timetablerecord retention timetable.xlsAppendix C

SECTION II - CREDIT AND ACCOUNTS RECEIVABLE

CREDIT

 filenamenumber
Commission Statement Formcommission statement
Extending CreditcreditCT-1000
Processing Credit Applications - DepartmentcreditCT-1100
Processing Credit Applications - DeskcreditCT-1110
Chart of Reports and LetterscreditCT-1110
Credit Policy StatementctpolicyCT-1110
Credit Application Formct_appCT-1111
Credit Application Form/Agreementcredit app
Financial Analysis of Customer Financial Dataanalysis .xlsCT-1112
Credit Recommendation ReportctrecrptCT-1113
Commitment LetterctcommitCT-1114
Denial/Alternative Payment Plan Letterct_denyCT-1115

COLLECTIONS

 filenamenumber
Collection of Outstanding Accountscollect .docCT-2000
Handling Collection Issuescollect.docCT-2100
Customer Contact Logcontact.docct-2101
Dunning Notice Letterdunning.docct-2102
Follow-up Letter of Commitmentscommit.docct-2103
Warning of Pending Credit Holdcthold.docct-2104
Warning of Cancellation of Credit Termsctcancel.docct-2105
Notice-Start of Formal Collection Processleglcoll.docct-2106

ACCOUNTS RECEIVABLE

 filenamenumber
AR Flowchart (black and white)ar flow bw.xlsAppendix C
AR Flowchart (colored)ar flow.xlsAppendix C
Customer Master FilecustmstrAR-1000
Customer Master File MaintenancecustmstrAR-1100
Customer Number AssignmentcustmstrAR-1110
Customer Invoicing and ReportsstmtprocAR-2000
Customer Invoicing - DepartmentalstmtprocAR-2100
Manual BillingsstmtprocAR-2110
Invoicing - Desk ProcedurestmtprocAR-2150
Cash ReceiptscshrcptsAR-3000
Cash Receipts ProcessingcshrcptsAR-3100
Customer Set-upcustomer set-up
Customer Receipts ProcessingcustrcptAR-3110
Cash Receipts Entry FormcshrecfmAR-3120
Cash Receipts LogcshlogAR-3130
Prepare Bank DepositbankdpstAR-3140
Reconcile Bank DepositsbankdpstAR-3150
Bank Deposit VariancebankdpstAR-3160
Cash Receipts ReportscrrptflgAR-3170
Clear Cash Receipts SuspensioncrcorrecAR-3190
Regional Cash ReceiptsrmtrcptsAR-3200
Regional Cash Receipts ProcessrmtcshprAR-3210
Regional Cash Receipts EntryrmtentryAR-3220
Miscellaneous Cash ReceiptsmiscrcptAR-3400
Cash Receipts Exception Handling Formcrsusp.xls 
Partner Statement ProcessingptnrstmtAR-4100
Wire Transfer ReceiptswirercptAR-5000
Wire Transfer Receipt ProcessingwirercptAR-5100
Wire Transfer Deposit Form UsewirinfrmAR-5110

SECTION III - PURCHASING AND ACCOUNTS PAYABLE

PURCHASING

 filenamenumber
System of Authoritiespurchase authorizationsPO-900
ProcurementposPO-1000
Purchase Authorizationpurchase authorizationsPO-900
Purchase Requisitions of Products or ServicesposPO-1100
Purchase RequisitionpurchreqPO-1101
Bidding Policybidding_policy
Purchase Order ProcessingposPO-1110
Purchase OrderpurchordPO-1111
Purchase Order TrackingposPO-1120
Purchase Order Contractpur_cntrt---

ACCOUNTS PAYABLE

 filenamenumber
Accounts Payable Flow Diagramap flow bw.xls
Accounts Payable ProcessinginvprocAP-1000
Payment Request ProcessinginvprocAP-1100
Payment Request ReviewinvprocAP-1110
Payment Request BatchinginvprocAP-1120
Vendor Master FilevendmstrAP-2000
Vendor Master File MaintenancevendmstrAP-2100
Vendor Master Update RequestsvmmformAP-2110
Vendor Number AssignmentvendnumAP-2120
Vendor InsurancevendinsAP-2200
Initiate Vendor Insurance Summary FormvndrcertAP-2210
Process Vendor Insurance CertificatevndrcertAP-2220
Vendor Insurance Invoice ReviewvndrinsAP-2230
Cash DisbursementsmanlchekAP-3000
Automated Check ProcessingautocksAP-3100
Voucher AdjustmentsautocksAP-3110
Automated Check PrintingautocksAP-3120
Manual Check DisbursementswrtmnlckAP-3200
Producing Manual CheckswrtmnlckAP-3210
Batch Manual ChecksbchmnlckAP-3220
Check Signing RequirementscksigAP-3400
Prepare Checks for SignatureautocksAP-3500
Vendor Invoice FilinginvfileAP-4100

SECTION IV - FIXED ASSETS

 filenamenumber
Fixed Asset AccountabilityfaovrvwFA-1000
Fixed Asset ProcurementfaprocurFA-2000
Fixed Asset Marking and InventoryfainvmrkFA-3000
Fixed Asset ReportingfarprtngFA-4000
Inventory Controlinventory controlIN-1100
Depreciation Using Match LOOKUPdepreciation using match lookup
Depreciation Pub 946 – How to Depreciate Propertydepreciationpub946.pdf

SECTION V - PAYROLL AND GARNISHMENTS

 filenamenumber
Labor Laws – ESA and Wage & Hour Toolkitwage & hour
Employee DeterminationpayrollPR-1100
Employee Payroll ProcessingpayrollPR-1200
Processing Salaried PayrollpayrollPR-1210
Processing Hourly PayrollpayrollPR-1220
Employee Compensable Waiting TimepayrollPR-1300
Employee Overtime Determination:  
Employee Non-exempt WorkerpayrollPR-1400
Employee Exempt WorkerpayrollPR-1500
FLSA White-Collar Exemption Test (5 Charts)exempt.xlsPR-1501
FLSA Exemption Rules Tested-Case Lawflsa exemption rules tested-case lawFLSA Folder
Paycheck DistributionpayrollPR-1600
Paycheck Compensable Travel TimepayrollPR-1700
Garnishments and Child Support OrderspayrollPR-2000
Garnishments Formgarn_ws .xlsPR-2001
Tables for Figuring Amount Exempt from Levy on Wages, Salary, and Other Incomepub1494 exempt wage levy.pdf---
Federal Garnishment Factsfedgarnish---
Hawaii Federal Garnishment Case Filehawaiigarn---
Family & Medical Leave:  
Approval of Leave TimepayrollPR-2100
Unpaid Leave DeductionspayrollPR-2200
EMPLOYEE POLICY AND PROCEDURE MANUALemplymnl---
Code of Ethicscode­_eth---
E-mail Policiese-mail policies---
E-mail Policy Template and Checklist of Concernse-mail policy template and checklist of concerns---
E-mail Outage Chartse-mail outage charts.xls---
E-Mail Archive RFP Toolkite-mail-archive-rfp-toolkit---
Essential Archive Requirements for e-Discoveryessential archive requirements for e-discovery---
Ten Deadly Sins of a Corporate Retention Programten deadly sins of a corporate retention program---
E-Mail Management Crisis (The)the e-mail management crisis---

SECTION VI - SALES & USE TAX

 filenamenumber
Taxing the TransactionslsustaxSU-1000
Determining Tax on Sales - SalesslsustaxSU-1100
Determining Tax on Sales - Accts ReceivableslsustaxSU-1200
Determining Tax on Purchases - RequisitioningslsustaxSU-1300
Determining Tax on Purchases - PurchasingslsustaxSU-1400
Determining Tax on Purchases - Accts PayableslsustaxSU-1500
Sales Tax Analysis Matrixsalestax.xlsSU-1401
Drop Shipmentsdropship.xlsSU-1402
Sales Tax Returnssales tax returns---
SSUTA Certificate of Exemptionssuta certificate of exemption.pdf---
Uniform Sales and Use Certificateuniform sales and use certificate.pdf---

SECTION VII – TRAVEL

 filenamenumber
TraveltravpolEE-5000
Booking Your TriptravpolEE-5100
International TraveltravpolEE-5200
Domestic TraveltravpolEE-5300
Rental CartravpolEE-5310
Other TransportationtravpolEE-5320
LodgingtravpolEE-5330
Meals and EntertainmenttravpolEE-5340
Telephone UsagetravpolEE-5350
Travel InsurancetravpolEE-5360
Expense ReportingtravpolEE-5400
Payment MethodstravpolEE-5410
Non-reimbursable ExpensestravpolEE-5420
Expense Report Form InstructionstravpolEE-5430
Personal/Vacation TimetravpolEE-5500
Guest Travel AuthorizationtravpolEE-5510
General Travel Safety TipstravpolEE-5600
Travel Time – Is It Compensable?travel.docPR-1700
Travel Time - Is It Compensable?travel.xlsPR-1700
Travel AdvancespayrollPR-1800
Expense Report Formt&e.xlsPR-1801
Tips for Travel Under Increased Security Initiativestrav_sec---
Tips for Travel Fly Rightstrav_fly---

APPENDIX

 filenamenumber
Glossary of Termsglossary .docAppendix A
Exhibit Cross-referenceappendb .docAppendix B
Accepted Payment RequestsinvprocAP-1111
Annual Certification of Employee Inventory FormfarprtngFA-4105
Attach Machine Tapes HerebankrecGL-4124
Bad Debt Write Off Analysisbdwrtoff.xls---
Bad Debt Write Off Letterbad_debtCT-2107
Bank Account Master Input FormbankmstrGL-2101
Bank Master ListingcashposiGL-3102
Bank Reconciliation Control SchedulebankrecGL-4111
Bank Reconciliation FormbankrecGL-4121
Cash Receipts BatchescshrcptsAR-3102
Cash Receipts Entry Formcshrecfm---
Cash Receipts Exception Handling Formcrsusp.xls---
Cash Receipts LogcshlogAR-3131
Cash Receipts Processing Time TablecshrcptsAR-3101
Chart of Accounts Change Formchart_upGL-1101
Chart of Accounts Manual - Control Logchart_upGL-1112
Chart of Tax Reports and Tax and Withholding DisbursementspayrollPR-1201
Check Usage Control LogautocksAP-3121
Coding StampinvprocAP-1112
Commission Statement Formcommission statement---
Commitment LetterctcommitCT-1114
Credit Application Formct_app.xlsCT-1111
Credit Application Form/Agreementcredit app---
Credit Policy Statementctpolicy---
Credit Recommendation ReportctrecrptCT-1113
Customer Contact LogcontactCT-2101
Customer Set-Up Formcustomer set-up---
Denial/Alternative Payment Plan Letterct_denyCT-1115
Distribution of A/R Aged Summary ListingstmtprocAR-2152
Distribution of Tenant History Printouts etc.stmtprocAR-2151
Drop Shipmentsdropship---
Dunning NoticedunningCT-2102
Early Pay Discountsearlypay.xls---
Employee Certification FormfarprtngFA-4106
Expense Report Formt&e.xlsPR-1801
Financial Analysis of Financial Datafs_analysis.xlsCT-1112
Follow-up Letter of CommitmentscommitCT-2103
Garnishment Formgarn_ws.xlsPR-2001
Insurance Premium Recovery Authorization FormpayrollPR-2201
Inventory Requisitioninventory controlIC-1101
Journal Entry Formjeform.xls---
Key Contacts and Phone NumberstravpolEE-5302
Lease vs Purchase Analysis Toollease purchase.xls---
Manual Journal Entry FormjnlentryGL-5101
Master Layout for Policies & Proceduresprocmstr---
Notice of Start of Formal Collection ProcessleglcollCT-2106
Outline of Insurance File ContentsvndrcertAP-2222
Outstanding Checks Listing FormbankrecGL-4122
Pay Envelop StufferpayrollPR-1202
Petty Cash Reconciliation Formpettyrec.xlsGL-6101
Procedures Manual - Control Logchart_upGL-1113
Policies & Procedures Project Time & Cost Budgetbudget.xls---
Purchase OrderposPO-1111
Purchase RequisitionposPO-1101
Quarterly Fixed Asset ReconciliationfarprtngFA-4103
Quarterly Report of Fixed AssetsfarprtngFA-4104
Reconciliation of Cash Position to Bank MastercashposiGL-3103
Remitter’s SlipcustrcptAR-3113
Report of Cash PositioncashposiGL-3101
Request for an Over-Weekend Stay ReimbursementtravpolEE-5301
Request for Deletion From Inventory FormfarprtngFA-4102
Request for Family & Medical Leave FormpayrollPR-2101
Request for Property Transaction FormfarprtngFA-4101
Sales Tax Analysis Matrixsalestax.xlsSU-1401
Standard A/P Pay CyclesinvprocAP-1113
Policies & Procedures Steering Team Response Controlcontrol---
Supplemental Pay Gross-Up Calculationgross_up.xls---
System of Authoritiespurchase authorizations---
Template for Policies & Procedures Inputtemplate---
Transmittal Methods by RegionrmtcshprAR-3211
Travel Booking Request FormtravpolEE-5102
Travel Expense Report Formt&e.xlsPR-1801
Traveler ProfiletravpolEE-5101
Uniform Sales and Use Certificateuniform sales and use certificate---
Update Instructions Pagechart_upGL-1111
Vendor Insurance Invoice RegistervndrinsAP-2231
Vendor Insurance SummaryvndrinsAP-2211
Vendor Master Maintenance FormvmmformAP-2111
Voucher Adjustment FormvouchadjAP-1101
W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholdingw-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 Statesw-8_fw8eci.pdf---
W-8EXP Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholdingw-8_fw8exp.pdf---
W-8IMY Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholdingw-8_fw8imy.pdf---
W-9 Request for Taxpayer Identification Number and Certificationw-9_2007.pdf---
W-9(SP) Request for Taxpayer Identification Number and Certification (Spanish)w-9_sp.pdf---
Warning of Cancellation of Credit TermsctcancelCT-2105
Warning of Pending Credit HoldctholdCT-2104
Wire Transfer Deposit FormwireinAR-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 Diagramct_app_c
Financial Accounting Process Flowchartfinancial accounting process flow.xls
Record Retention Checklistrecord retention checklist.xls
Record Retention Timetablerecord retention timetable.xls
Taxability of Transactionstaxability of transactions
Drop Shipments (Sales & Use Tax)dropship.xls
FORMS, LETTERS, LISTS & SPREADSHEETSAppendix D
Procedures for Project Administration:
Quick Start Installation Filequickstart---
Registerregister---
Readme Filereadme---
Executive Summary - Project Structure, Layout and Oversight Plansummary---
Policies & Procedures Project Outlinepolicy & procedures project outline---
Steering Team Response Controlcontrol---
Introduction Letters To/From Top Managementtop_mgt---
Announcement Letter To Staffannounce---
Project Time & Cost Budgetbudget.xls---
Style Template Layout for Policies & Procedurestemplate---
Master Layout for Policies & Proceduresprocmstr---
Industries with Specialized Accounting Requirementsspecacct---
Recommended Reading Listrec_read---
Useful Letters:
Bad Debt Letter (Using Form 1099-C)bad_debt---
Commitment Letter to Companycomitmnt ---
Request for Form W-9/W-8w_9_ltr---
Sales & Use Tax Liability Lettersut_ven---
Sales Tax Exempt Lettersutexemt---
Useful Spreadsheets:
Bad Debt Write Off Analysisbdwrtoff.xls---
Bank Reconciliation Formrec_prof.xlsGL-4121
Early Pay Discountsearlypay.xls---
Expense Report Formt&e.xlsPR-1801
Financial Analysis of Financial Datafs_analysis.xls---
FLSA White-Collar Exemption Test (5 Charts)exempt.xls---
Garnishment Calculations Worksheetgarn_ws.xlsPR-2001
Tables for Figuring Amount Exempt from Levy on Wages, Salary, and Other Incomepub1494 exempt wage levy.pdf---
Lease Vs Purchase Analysis Toollease purchase.xls---
Significant Accounts & Relevant Assertions (Sarbanes-Oxley Act/COSO Framework)significant accounts and relevant assertions.xls
Supplemental Pay Gross-up Calculationsgross_up.xls---
Useful Forms:
Bank Reconciliation Formrec_prof.xls---
Journal Entry Formjeform.xls---
Petty Cash Reconciliation Formpettyrec.xls---
Credit Application Formct_app---
Credit Application Form/Agreementcredit app---
Cash Receipts Entry Formcshrecfm---
Cash Receipts Logcshlog---
Cash Receipts Exception Handling Formcrsusp.xls---
Purchase Requisitionpurchreq---
Purchase Orderpurchord---
Initiate Vendor Insurancevndrcert---
Check Requestmanlchek---
SSUTA Certificate of Exemptionssuta certificate of exemption.pdf---
Uniform Sales and Use Certificateuniform sales and use certificate.pdf---
W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholdingw-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 Statesw-8_fw8eci.pdf---
W-8EXP Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholdingw-8_fw8exp.pdf---
W-8IMY Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholdingw-8_fw8imy.pdf---
W-9 Request for Taxpayer Identification Number and Certificationw-9_2007.pdf---
W-9(SP) Request for Taxpayer Identification Number and Certification (Spanish)w-9_sp.pdf---
Other Tools
Website Linkswebsite links---
Polyproc Product List with Order Formpolyproc order.xls---
Guide to Paperless Automation of Cash Cycleguide to paperless automation---
2003 vs 2007 – Translator table between function keys of Excel 03 vs Excel 072003 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

Note: Most of the listings are on the POLYPROC CDs. Additional material, which contains copyright reprint protections, is accessible and downloadable via direct web address links.