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CEO Company Policies Procedures Manuals


The CEO Company Procedures Series Includes:
Policies, Procedures Manual 1 2 3 4 5 6 7 8 9 Accounting Policies, Procedures & Forms Finance Policies, Procedures & Forms Computer & IT Policies, Procedures & Forms Human Resources Policies, Procedures & Forms Business Sampler Policies, Procedures & Forms Sales & Marketing Policies, Procedures & Forms Security Planning Policies, Procedures & Forms Disaster Recovery Policies, Procedures & Forms ISO 9001 Policies, Procedures & Forms Total You Save Your Price Price $ 595 $ 595 $ 595 $ 595 $ 695 $ 595 $ 595 $ 595 $ 595 $ 5,455 $ 2,560 $ 2,895 # of Pages 580 590 700 880 950 700 530 550 400 5,880 # of Procedures 38 36 40 35 111 32 42 5 23 362 # of Forms 54 58 30 65 124 89 31 26 48 525
Prices are subject to change without prior notice

Guide/Sample Manual(s) Included Sample Accounting Manual, Guide to Embezzlement Prevention Sample CFO's Manual, Small Business Management Guide Sample IT Manual, IT Security Guide Sample HR Manager's Manual, Sample Employee Handbook, Over 60 Sample Job Descriptions

Sample Executive's Manual, Internet Marketing Guide Sample Security Manual, Guide to Workplace Violence Sample Disaster Recovery Plan, Guide to Workplace Violence, Disaster Recovery Contacts Sample Quality Manual

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This sample package contains the table of contents and a sample policy, procedure and form set from each of the nine component manuals.

Dear Business Executive: Thank you from downloading the sample procedures from the Bizmanualz CEO Company Policies Procedures Manuals. This comprehensive collection of nine policies and procedures manuals provides you a complete solution to many of your procedure development needs and compliance requirements. Bundle Price Reflects Steep Discount The CEO Series includes nine policies and procedures manuals Finance, Accounting, Computer & Network, Sales & Marketing, Human Resources, Business Sampler, ISO 9001 QMS, Disaster Recovery and Security Planning. Together, you will get over 5,800 pages of content available in easily editable Microsoft Word format. And, you will enjoy a saving of over 46% from the combined list prices of all nine manuals. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains the table of contents and one sample policy/procedure set from each of the nine component manuals in the series. If you have any questions after reviewing this sample package, please feel free to contact us. You may call us at 1-800-466-9953 (toll free, US only) or at 314-8635079, contact us online from our website, or send an email to sales@bizmanualz.com. Thanks again. Best regards,

Chris Anderson Managing Director, Bizmanualz

CEO Series Sample - Page 2

Included Samples
Scroll down or click on any image to view samples

Manual Name

# of Pages

Policy Procedure/Form Set Included in the Sample

Accounting

20

Account Collections

Finance

20

Merchant Accounts

Computer & Network

22

IT Asset Assessment

Human Resources

26

Employment Application

Business Sampler

30

Internet Usage

Sales & Marketing

26

Situational Analysis

Security Planning

10

Security Devices

Disaster Recovery

12

Emergency Notification

ISO QMS

14

Customer Property

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Sample Package

Accounting
Policies, Procedures & Forms
Quick Facts
This manual includes 570 Pages of content: 38 pre-written policies & procedures 54 accompanying forms Sample Accounting Manual and a Guide to Embezzlement Prevention What you will get, when you buy: 1. Editable Microsoft Word files for immediate download. 2. Optional hardbound book(s) containing all content.

This Sample Package contains: A: Overview of the Sample Package (1 page) B: Table of Contents (11 pages) C: Policy, Procedure, and Form Set (7 pages)

View Product Details Online: http://store.bizmanualz.com/Accounting-Procedures-Manual-p/abr31m.htm


CEO Series Sample - Page 5

Dear Business Executive: Thank you from downloading this sample content from Bizmanualz. Whether you are looking to write policies and procedures, or are trying to manage and share them, Bizmanualz has the right solution. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important to you ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains a complete table of contents and a complete policy, procedure and form(s) set. The purpose is to give you a clear idea of how our policies and procedures are written, formatted, and presented for you to customize. If you have any questions after reading this sample package, please feel free to contact us online or call us at 1-800-466-9953 (toll free, US only) or at 314-863-5079, or send an email to sales@bizmanualz.com. Thanks again.

Each policy/procedure template includes: Policy Purpose Scope Responsibilities Definitions Procedure Activities, references & forms where applicable. TERMS & DEFINITIONS Manual: A system of approved policy statements and corresponding procedural guidelines and supporting forms that direct an organization toward its operational goals. Policy: A stated course of action with a defined purpose and scope to guide decision-making under a given set of circumstances within the framework of corporate objectives, goals and management philosophies. Procedure: A series of prescribed steps followed in a definite regular order which ensure adherence to the guidelines set forth in the Policy to which the Procedure applies Activity: An action, element or decision representing a prescribed step in the Procedure process. Task: A detailed component of an Activity specifying required behavior to complete the activity. Form: A pre-formatted document containing instructions and placeholders for data entry to monitor progress through a particular Procedure and to ensure proper recordkeeping.

Best regards,

Chris Anderson Managing Director, Bizmanualz St. Louis, Missouri

Comprehensive Bizmanualz Policies and Procedures Library Accounting Finance Computer & IT Human Resources CFO Series Bundle (save 42%) Sales & Marketing Human Resources Business Sampler Security Planning CEO Series Bundle (Save 53%)
CEO Series Sample - Page 6

ISO 9001 QMS ISO 22000 Food Safety AS 9100 Aerospace Employee Handbook Industry Supplements

Accounting Policies, Procedures & Forms

www.Bizmanualz.com

Accounting Policies, Procedures & Forms Table of Contents


Introduction ......................................................................................................... Section 1 Manual Preparation............................................................................................ Section 2 Accounting Manual............................................................................................. Section 3 PROCEDURES General & Administrative.................................................................................. Section 4 G&A101 Chart Of Accounts
Activities

1.0 2.0
Forms

Design Of Accounts Description Of Accounts

G&A101 Ex1 Account Codes G&A102 Files And Records Management


Activities

1.0 2.0 3.0


References

Filing System Record Retention And Long-Term Storage Record Destruction Health Insurance Portability Accountability Act (HIPAA) Age Discrimination In Employment Act (ADEA) Americans with Disabilities Act (ADA) Civil Rights Act of 1964 Employee Retirement Income Security Act (ERISA) Employee Polygraph Protection Act Equal Pay Act Executive Order 11246 Fair Labor Standards Act (FLSA) Family and Medical Leave Act (FMLA) Immigration Reform & Control Act (IRCA) Occupational Safety & Health Act (OSHA) Rehabilitation Act of 1973 Right To Financial Privacy ACT Guide to Record Retention Requirements

A. B. C. D. E. F. G. H. I. J. K. L. M. N. O.

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P.
Forms

IRS Revenue Procedure 98-25 Records Retention

G&A102 Ex1 Master File Guide Index G&A102 Ex2 Records Retention Periods G&A103 Travel And Entertainment
Activities

1.0 2.0 3.0 4.0


Forms

Travel Arrangements Expense Guidelines Expense Report Preparation And Reimbursement Additional Information Resources

G&A103 Ex1 Travel Arrangements Form G&A103 Ex2 Travel And Miscellaneous Expense Report G&A103 Ex3 Entertainment And Business Gift Expense Report G&A104 Management Reports
Activities

1.0 2.0 3.0 4.0 5.0 6.0 7.0


References

Preparation Guidelines Daily Flash Report Weekly Financial Report Six-Week Cash Flow Report Budget Vs. Actual Report Financial Statements Department Reports Federal Accounting Standards Board (FASB) Generally Accepted Accounting Principles (GAAP)

A. B.
Forms

G&A104 Ex1 Department Reporting Summary G&A104 Ex2 Daily Flash Report G&A104 Ex3 Weekly Financial Report G&A104 Ex4 Six Week Cash Flow Report G&A104 Ex5 Budget vs. Actual Report G&A104 Ex6 Financial Statements G&A105 Period-End Review & Closing
Activities

1.0 2.0 3.0

Closings Preparations Balance Sheet: Assets Balance Sheet: Liabilities And Stockholders' Equity

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4.0 5.0 6.0

Income Statement: Revenues Income Statement: Expenses Financial Ratio Analysis

G&A106 Controlling Legal Costs


Activities

1.0 2.0 3.0

Arbitration Legal Services Legal Billings

G&A107 Taxes And Insurance


Activities

1.0 2.0 3.0 4.0 5.0 6.0 7.0


References

Organization Fees And Taxes Business Activity Fees And Taxes Payroll Fees And Taxes Excise Taxes Other Taxes And Credits Tax Payments Insurance Trust Fund Recovery Penalty

A.
Forms

G&A107 Ex1 Federal Tax Calendar G&A108 Property Tax Assessments


Activities

1.0 2.0

Review Of Assessments Appealing Of Assessments

G&A109 Confidential Information Release


Activities

1.0 2.0 3.0


Forms

Financial Information Requests Personnel Information Requests Credit Reference Inquires

G&A109 Ex1 Non-Disclosure Agreement G&A110 Document Control


Activities

1.0

Document Distribution

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2.0 3.0 4.0


Forms

Document Revision Procedure and Work Instruction Format Temporary Changes

G&A110 Ex1 Request For Document Change (RDC) G&A110 Ex2 Document Change Control Cash ...................................................................................................................... Section 5 CSH101 Cash Drawers And Credit Cards
Activities

1.0 2.0 3.0 4.0 5.0 6.0


Forms

Opening Transactions Special Tender Items Closing Chargebacks And Disputed Transactions Security Precautions

CSH101 Ex1 Daily Cash Report CSH102 Cash Receipts And Deposits
Activities

1.0 2.0 3.0


Forms

Receiving Cash Drawers Application Of Accounts Receivable Deposit

CSH102 Ex1 Deposit Log CSH103 Problem Checks


Activities

1.0 2.0 3.0 4.0


References

Unsigned Checks Partial Payment Checks Marked "Payment In Full" Returned Checks Redeposited Checks Uniform Commercial Code (UCC) Bad Check Law

A. B.
Forms

CSH103 Ex1 Bad Check Notice


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CSH104 Wire Transfers


Activities

1.0 2.0
References

Incoming Wires Outgoing Wires FRB Reg D: Reserve Requirements Of Depository Institutions FRB Reg E: Electronic Fund Transfer Act

A. B.
Forms

CSH104 Ex1 Bank Wire Instructions CSH104 Ex2 Wire Transfer Form CSH105 Check Signing Authority
Activities

1.0 2.0 3.0


Forms

Authorized Check Signers Changing Check Signers Authority Levels

CSH105 Ex1 Check Signing Authority Log CSH106 Check Requests


Activities

1.0 2.0
Forms

Check Origination Check Stop Payment

CSH106 Ex1 Check Request CSH107 Bank Account Reconciliations


Activities

1.0 2.0 3.0 4.0 5.0


Forms

Bank Statement Preparation Computerized Format Manual Preparation And Reconciling Items Computerized Preparation And Reconciling Items Adjustments And Other Troubleshooting

CSH107 Ex1 Sample Bank And Book Balances Reconciliation Inventory & Assets.............................................................................................. Section 6 INV101 Inventory Control
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Activities

1.0 2.0 3.0 4.0 5.0


References

Inventory Stocking And Storage Inventory Usage Inventory Protection Inventory Obsolescence Inventory Disposal Food And Drug Administration (FDA) Food Code

A.
Forms

INV101 Ex1 Inventory Requisition INV102 Inventory Counts


Activities

1.0 2.0 3.0 4.0 5.0 6.0


Forms

Inventory Types Preparation For Inventory Counting Period End Cut-Off Complete Physical Count - Cost (Or "Sku") Method Complete Physical Count - Retail Method Cycle Count

INV102 Ex1 Inventory Count Sheet INV102 Ex2 Inventory Tag INV103 Fixed Asset Control
Activities

1.0 2.0 3.0


Forms

Acquisitions Dispositions Asset Records

INV103 Ex1 Capital Asset Requisition INV103 Ex2 Asset Disposition Form INV103 Ex3 Bill Of Sale INV104 Customer Property
Activities

1.0 2.0 3.0 4.0

Receipt, Inspection And Stocking Unsuitable Or Missing Items Customer Supplied Tooling And Fixtures Intellectual Property

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Forms

INV104 Ex1 Material Return Notice INV105 Fixed Asset Capitalization & Depreciation
Activities

1.0 2.0

Capitalization Depreciation

References A. IRS Publication 946 How To Depreciate Property Revenue ................................................................................................................ Section 7 REV101 Sales Order Entry
Activities

1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0


Forms

Sales Representatives Internet Orders Credit Department Sales Administration Manufacturing/Shipping Customer Service Accounting/Billing Changes To Orders Additional Information Resources

REV101 Ex1 Sales Order REV101 Ex2 Order Form REV102 Point-Of-Sale Orders
Activities

1.0 2.0 3.0

Point Of Sale Sales Orders And Invoices Sales Invoices And Accounts Receivable

REV103 Customer Credit Approval And Terms


Activities

1.0 2.0 3.0 4.0

Credit Application Credit Investigations Credit Approval/Rejection Additional Information Resources

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References

A. B. C. D. E. F.
Forms

Equal Credit Opportunity Act (ECOA) Truth In Lending Act (TILA) Fair Credit Billing Act (FCBA) Fair Credit Reporting Act (FCRA) FRB Reg B: Equal Credit Opportunity Act FRB Reg Z: Truth In Lending Act

REV103 Ex1 Credit Application REV103 Ex2 Request For Credit Approval REV103 Ex3 Credit Inquiry REV104 Sales Order Acceptance
Activities

1.0 2.0 3.0


Forms

Document Verification Telephone Confirmation Order Acceptance

REV104 Ex1 Phone Confirmation Checklist REV105 Shipment Of Goods


Activities

1.0 2.0 3.0 4.0 5.0


Forms

Shipping Inspection And Packaging Export Shipping Manifest Systems Shipment Pick-Up Additional Information Resources

REV105 Ex1 Shipping Log REV105 Ex2 Commercial Invoice REV106 Invoicing And Accounts Receivable
Activities

1.0 2.0 3.0 4.0


Forms

Sales Order Routing And Review Invoice Preparation And Posting Distribution Accounts Receivable

REV106 Ex1 Invoice


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REV106 Ex 2 Accounts Receivable Write-Off Authorization REV107 Sales Tax Collection


Activities

1.0 2.0 3.0 4.0 5.0

Basis Of Tax Applicable Sales Tax Rates Nontaxable Sales Sales Outside Of Our Jurisdiction Sales Tax Billing

REV108 Progress Billing


Activities

1.0 2.0 3.0 4.0

Contract Types Breakdown Of Contract Amount Progress Claims Release Of Holdback

REV109 Account Collections


Activities

1.0 2.0 3.0 4.0


References

Collection Process Seriously Delinquent Or Unresponsive Accounts Working With Collection Agencies Writing Off Uncollected Debt Fair Debt Collection Practices Act (FDCP)

A.
Forms

REV109 Ex1 Account Collection Control Form REV110 Customer Returns


Activities

1.0 2.0 3.0


Forms

Origination Receiving Goods And Processing Returned Goods Disposition

REV110 Ex1 30-Day Satisfaction Guarantee REV110 Ex2 Returned Goods Authorization

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Purchasing ........................................................................................................... Section 8 PUR101 Vendor Selection


Activities

1.0 2.0 3.0


Forms

Vendor Selection Vendor Inspections Vendor Files

PUR101 Ex1 New Vendor Notification PUR101 Ex2 Vendor Survey Form PUR102 General Purchasing
Activities

1.0 2.0 3.0 4.0


Forms

Order Determination And Requisition Order Placement Recordkeeping And Matching Sundry Purchases

PUR102 Ex1 Purchase Requisition PUR102 Ex2 Purchase Order PUR102 Ex3 Purchase Order Log PUR102 Ex4 Purchase Order Follow-Up PUR102 Ex5 Daily Sundry Payable Log PUR103 Project Purchasing
Activities

1.0 2.0 3.0 4.0 5.0 6.0 7.0


Forms

Purchasing Overview Requisition For Material Order Orders And Arrivals Follow-Up Receiving Procedures Material Transfers Sundry Purchases

PUR103 Ex1 Order And Arrival Log PUR104 Receiving And Inspection
Activities

1.0

Receiving

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2.0 3.0 4.0 5.0


Forms

Inspection Rejection, Discrepancies And Disposition Stocking Product Returns

PUR104 Ex1 Receiving Log PUR104 Ex2 Receiving and Inspection Report PUR104 Ex3 Inventory Inspection Levels PUR105 Shipping And Freight Claims
Activities

1.0 2.0 3.0 4.0


References

Shipping Receiving Claims Procedures Additional Information Resources Interstate Commerce Act

A.

PUR106 Accounts Payable And Cash Disbursements


Activities

1.0 2.0 3.0 4.0 4.0

Documenting Accounts Payable Recording Merchandise Payables Recording Non-Merchandise Payables Payment Of Accounts Payable Manual Checks

Embezzlement Prevention ................................................................................. Section 9 Index .................................................................................................................. Section 10

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SOP # Revision: Effective Date: Title: REV109 ACCOUNT COLLECTIONS Policy:

Prepared by: Approved by:

All open accounts receivable with late or delinquent payment activity will be handled in a timely and effective manner to ensure maximum collections and an optimum accounts receivable turnover ratio. To provide the actions and methods for processing late or delinquent payments. This procedure applies to the Credit Department involved with collection of past due accounts receivable. The Sales and/or Shipping Departments may be involved in reference to shipping holds or special credit arrangements. The Credit Department reviews all records for a customer to determine a possible explanation for non-payment prior to commencing the collection process.

Purpose: Scope:

Responsibilities:

Definition:

Bad Debt consists of unpaid accounts receivable invoices that are considered to be uncollectible. Debt collector is any person who regularly collects debts owed to others. This includes attorneys who collect debts on a regular basis.

Procedure:

1.0
1.1

Collection Process
No matter how careful customers are screened prior to credit approval, slow pay or delinquent accounts will occur from time to time. Once an account becomes past due by even a few days, the collection process should commence immediately. Studies have shown that the sooner the collection process starts then the more likely that the debt will be collected. Prior to commencing the collection process, the following should be reviewed by the assigned Credit Department Representative: Verify that after the sale the Invoice was immediately sent out, along with a copy of the Purchase Order, to the correct billing address. Sometime Purchase Orders will be sent by one contact, for delivery to a second contact, with bills to be sent for payment to originate from a third contact. Therefore, make sure the billing contact noted on the Purchase Order correctly receives a copy of the invoice along with a copy of the Purchase Order. This is frequently the cause for the delay of payment for many Invoices. Make certain that the Company has not received the customer's payment or applied it to the wrong account. Verify that a Returned Goods Authorization

1.2

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has not been issued. These seem obvious, but it can avoid an uncomfortable situation in wrongly accusing the customer of delinquent payments. Verify with the Customer Service Department that the customer has received the product(s) and that they are satisfied.

Review the customer's past payment activity. Determine if they are chronically late and what their response has been to any other overdue notices to determine payment patterns or trends. 1.3 Upon review of the above, the Credit Department Representative should then proceed with the collection process by completing an REV109 Ex1 ACCOUNT COLLECTION CONTROL Form. This form will assist in planning and tracking the collection effort. Depending on the amount and the customer situation, the representative can choose to follow-up with collection letters, telephone calls or both. Record all actions taken (late payment notice, telephone call, etc.) with a date on an ACCOUNT COLLECTION CONTROL Form filed in the customer folder. All customer agreements and explanations should be noted. If payment has not reached the Company by the expected date, immediate follow-up action should be taken with another collection call or letter. The longer an overdue account is ignored, the longer the customer will ignore it, too. 1.4 Telephone communication will often speed up the collection process. Credit representatives, when speaking with a delinquent account, should observe a few tips or principles. Identify yourself and the Company and state the reason for calling. Be direct and use a controlled, confident voice. Concentrate on listening to the customer and don't rush through the call. Get the Facts - The most powerful tool is knowledge. During the phone conversation, try to gain as much insight into the situation as possible. Remember, the goals and objectives are to:

Collect the money! Identify reasons for non-payment Settle on an agreement for clearing the debt, including special payment plans and exact dates when a check will be sent.

Never argue, accuse or be condescending - Verbally fighting or talking down to the customer will only serve to produce negative feelings and may hamper the collection effort. The ultimate purpose is to secure payment, and this is best accomplished without becoming defensive or irritated. There are several common objections, complaints and excuses used to elude payment. Study the following examples to learn the most effective responses to the most frequently used ploys.

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"I didn't get the invoice." - Respond by verifying the debtor's name and address, and then review the account information with them. "The check is in the mail." - Extend your thanks, then ask for a check number, amount, date posted and address to which it was mailed. "Your payment is being processed." - Ask when the payment will be ready for the mail. Determine the process that the payment undergoes after it leaves your contact's desk. "I need proof of delivery." - Give the customer the name of the person who signed the delivery slip. "The computer is down." - When do you expect it to be up? Can we get a manual payment? "I'll pay you when we get paid." - Respond calmly, but make a direct request for payment, such as When can I expect payment?" "I have no money" - Create a payment plan. Be flexible and consider alternatives offered by the customer. Work toward making the plan acceptable to both of you. 1.5 Many people find it difficult to confront customers regarding delinquent payments. Just keep in mind that it is the customer, who should feel uncomfortable in this situation. If customers stop paying, their phone has been disconnected, and you cannot find them, consider using these resources to locate these debtors and their assets:

1.6

City directories Post office (for a forwarding address) A customers employer Department of motor vehicle license and registration records "In case of emergency" contact, references or closest relatives listed on a credit application Old files and correspondence The Internet (i.e. http://www.isleuth.com/peop.html) Skip-tracing services or private investigator Credit bureau reports Neighbors Directory assistance

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2.0
2.1

Seriously Delinquent or Unresponsive Accounts


When an account becomes more than 60 days past due, the immediate target of securing prompt payment should take on a greater sense of urgency. The Credit Manager should review the account with sales to determine if the customer's business is valued. If their business is valued, the following strategies may be used to collect payment: Restrict any further credit until the past due amount is paid in full. Withhold delivery of products or services already ordered. The harsh reality of having inventory/supplies curtailed often can spur a delinquent account into action. Invoke a "COD-plus" system. Deliver merchandise on a COD basis with an additional amount added to the cost of the order to cover past unpaid balances

2.2 2.3

If all other avenues for collection of the account have been exhausted, the Credit Manager should determine and authorize the use of an outside collection agency. All uncollectible accounts will be reviewed by the Credit Manager for disposition. Reference procedure REV106 INVOICING AND ACCOUNTS RECEIVABLE.

3.0
3.1

WORKING WITH COLLECTION AGENCIES


Collect all material records for the debt in question and send them to the collection agency. The agency will require a copy of the invoice, credit application (if available), proof of delivery, and/or any other correspondence that may help them collect the debt. Record the date the debt was sent to collections in the accounts receivable file. If payments are received after the debt has been sent to collections, then notify the collection agency immediately in order to stop any further collection efforts. The agency will take their fee for any debt that has been collected once it has been registered by the agency. If all other avenues for collection of the account have been exhausted, the owner and/or store manager should consider further legal action.

3.2 3.3

3.4

4.0
4.1 4.2 4.3

WRITING OFF UNCOLLECTED DEBT


Write-off any debts remaining uncollected or that are returned from the collection agency and record as a bad debt expense and deduct from accounts receivable. If any payments are received after being written-off from accounts receivable, then receive them in as income and recovery of bad debt. If bad debt is a recurring problem then consider setting up a reserve account or allowance for bad debt at the beginning of the year. Also, look into tightening up

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the credit process and restrict credit granted to customers as outlined in REV103 CUSTOMER CREDIT APPROVAL AND TERMS. References:

A.

Fair Debt Collection Practices Act (FDCP)


The FDCP requires that debt collectors treat consumers fairly and prohibits certain methods of debt collection. Personal, family, and household debts are covered under the Act. This includes money owed for the purchase of an automobile, for medical care, or for charge accounts. Business debt is not included. Debt collectors may not 1) harass, oppress, or abuse the debtor or any third parties they contact. 2) Use any false or misleading statements when collecting a debt. For example, debt collectors may not: Use threats of violence or harm; Publish a list of consumers who refuse to pay their debts (except to a credit bureau); Use obscene or profane language; or Repeatedly use the telephone to annoy someone. Falsely imply that they are attorneys or government representatives; Falsely imply that the debtor may have committed a crime; Falsely represent that they operate or work for a credit bureau; Misrepresent the amount of the debtors debt; Indicate that papers being sent to the debtor are legal forms when they are not Indicate that papers being sent to the debtor are not legal forms when they are. Give false credit information about the debtor to anyone, including a credit bureau; Send the debtor anything that looks like an official document from a court or government agency when it is not. Use a false name. Collect any amount greater than the debtors debt, unless the debtors state law permits such a charge; Deposit a post-dated check prematurely; Use deception to make the debtor accept collect calls or pay for telegrams; Take or threaten to take the debtors property unless this can be done legally. Contact the debtor by postcard. Say the debtor will be arrested if they do not pay the debt;

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Say they will seize, garnish, attach, or sell the debtors property or wages, unless the collection agency or creditor intends to do so, and it is legal to do so. Say they will take actions, such as a lawsuit against the debtor, when such action legally may not be taken, or when they do not intend to take such action.

Revision History: Revision 0 Date Description of changes Requested By

11/06/02 Initial Release

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REV109 Ex1 ACCOUNT COLLECTION CONTROL FORM


Account Name: Action Taken Address: Date Customer Reply or

Contact(s): Telephone #'s: Payment Terms: Comments:

Invoice

Date Due Amount

Date Paid

Running Total Due

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Sample Package

Policies, Procedures & Forms


Quick Facts
This manual includes 570 Pages of materials: 36 pre-written policies & procedures 58 accompanying forms Sample Chief Financial Officers Manual and Small Business Management Guide What you will get, when you buy: 1. Editable Microsoft Word files for immediate download. 2. Optional hardbound book containing all content.

Finance

This Sample Package contains: A: Overview of the Sample Package (1 page) B: Table of Contents (11 pages) C: Policy, Procedure, and Form Set (7 pages)

View Product Details Online: http://store.bizmanualz.com/Financial-Policies-and-Procedures-p/abr42m.htm


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Dear Business Executive: Thank you from downloading this sample content from Bizmanualz. Whether you are looking to write policies and procedures, or are trying to manage and share them, Bizmanualz has the right solution. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important to you ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains a complete table of contents and a complete policy, procedure and form(s) set. The purpose is to give you a clear idea of how our policies and procedures are written, formatted, and presented for you to customize. If you have any questions after reading this sample package, please feel free to contact us online or call us at 1-800-466-9953 (toll free, US only) or at 314-863-5079, or send an email to sales@bizmanualz.com. Thanks again.

Each policy/procedure template includes: Policy Purpose Scope Responsibilities Definitions Procedure Activities, references & forms where applicable. TERMS & DEFINITIONS Manual: A system of approved policy statements and corresponding procedural guidelines and supporting forms that direct an organization toward its operational goals. Policy: A stated course of action with a defined purpose and scope to guide decision-making under a given set of circumstances within the framework of corporate objectives, goals and management philosophies. Procedure: A series of prescribed steps followed in a definite regular order which ensure adherence to the guidelines set forth in the Policy to which the Procedure applies Activity: An action, element or decision representing a prescribed step in the Procedure process. Task: A detailed component of an Activity specifying required behavior to complete the activity. Form: A pre-formatted document containing instructions and placeholders for data entry to monitor progress through a particular Procedure and to ensure proper recordkeeping.

Best regards,

Chris Anderson Managing Director, Bizmanualz St. Louis, Missouri

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Finance Policies, Procedures, and Forms Table of Contents


Section ID 100 Section Name Tab

Introduction .................................................................................................... Section 1

200 1. 2. 3. 4. 5.

Manual Preparation ....................................................................................... Section 2 Introduction Installation Instructions Your CFO Manual Effective Communication Finance Procedures

300 1.0 2.0 3.0 4.0 5.0 6.0

CFO Manual ................................................................................................... Section 3 Purpose Scope Management Responsibility Financial Management System Processes and Controls Resource Management

Procedures 400 FA1000 1.0 2.0 3.0 4.0 5.0 Finance Administration.................................................................................. Section 4 Financial Objectives Financial Objectives Plan Creating Specific Financial Objectives Balancing Financial Objectives Approval and Monitoring of Financial Objectives Improving Financial Objectives Forms/Records FA1000-1 Financial Objectives

FA1010 1.0 2.0 3.0

Management Responsibility Management Commitment to the Financial Management System Financial Policy Planning

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Section ID 4.0 5.0

Section Name Responsibilities, Authority, and Communication Management Review Forms/Records

Tab

FA1010-1

Sample Management Review Agenda

FA1020 1.0 2.0 3.0 4.0

Continuity Planning Continuity Planning Implementing the Continuity Plan Testing the Continuity Plan Maintaining and Updating the Plan Forms/Records

FA1020-1

Continuity Plan Worksheet

FA1030 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0

Document Control Procedure Format Work Instructions Forms Document Approval Temporary Document Changes Document Revisions External Documents Document Distribution Forms/Records

FA1030-1 FA1030-2

Document Request Document Control Database

FA1040 1.0 2.0 3.0 4.0 5.0

Record Control Identification of Records Record Generation Recordkeeping and Traceability Record Retention and Long-Term Storage Record Maintenance Forms/Records

FA1040-1

Sample Master File Guide Index

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Section ID FA1040-2 FA1040-3 List of Finance Records Record Retention Guidelines

Section Name

Tab

FA1050 1.0 2.0 3.0 4.0 5.0

Annual Stockholders' Meetings Structure of Corporate Authority Meeting Notification Conduction Stockholders' Meetings Stockholder Meeting Review Stockholder Meeting Improvements Forms/Records

FA1050-1 FA1050-2 FA1050-3

Notice of Shareholders' Meeting Authorization of Proxy to Vote Shares Minutes of Shareholders' Meeting

FA1060 1.0 2.0 3.0 4.0

Board of Directors' Meetings Preparing for the Board of Directors' Meeting Board Meeting Procedure Board Meeting Process Review Board Meeting Process Improvements Forms/Records

FA1060-1

Minutes of Board of Directors' Meeting (Sample)

410 RC1000 1.0 2.0 3.0 4.0

Raising Capital ............................................................................................... Section 5 Business Plan Business Plan Background Developing the Business Plan Reviewing and Finalizing the Business Plan Monitoring the Business Plan Forms/Records

RC1000-1

Business Plan

RC1010 1.0 2.0 3.0

Capital Plan Capital Plan Background Preparing the Capital Plan Monitoring the Capital Plan

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Section ID 4.0 Improving the Capital Plan Forms/Records RC1010-1 RC1010-2 RC1010-3 Capital Analysis Capital Plan Worksheet Capital Plan

Section Name

Tab

RC1020 1.0 2.0 3.0 4.0

Valuation Valuation Plan Valuation Valuation Review Reaching Valuation Targets Forms/Records

RC1020-1 RC1020-2 RC1020-3

Valuation Plan Valuation Improvement Plan Valuation History

RC1030 1.0 2.0 3.0 4.0 5.0 6.0

Bank Loans Assessing Capital Requirements Preparing the Loan Application Applying for the Loan Closing the Loan Loan Servicing and Reporting Loan Analysis Forms/Records

RC1030-1

Loan Application Checklist

RC1040 1.0 2.0 3.0 4.0

Stock Offerings Stock Offering Plan Executing the Stock Offering Reviewing the Stock Offering Process Improving the Stock Offering Process Forms/Records

RC1040-1

Stock Offering Plan

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RC1050 1.0 2.0 3.0 4.0

Debt and Investment Debt and Investment Plan Debt and Investment Activities Debt and Investment Review Debt and Investment Plan Improvement Forms/Records

RC1050-1 RC1050-2

Debt and Investment Plan Debt and Investment Action Log

RC1060 1.0 2.0 3.0 4.0

Asset Acquisition Asset Acquisition Planning Asset Acquisition Asset Acquisition Review Improving the Asset Acquisition Process

Forms/Records RC1060-1 RC1060-2 Asset Acquisition Criteria Asset Acquisition Request/Worksheet

RC1070 1.0 2.0 3.0 4.0

Leasing Leasing Plan Leasing Evaluations Reviewing Lease Evaluations Improving the Lease Evaluation Process Forms/Records

RC1070-1

Lease/Buy Financial Analysis

420 TM1000 1.0 2.0 3.0 4.0

Treasury Management ................................................................................... Section 6 Working Capital Working Capital Plan Working Capital Performance Reviewing the Working Capital Plan Improving the Working Capital Plan Forms/Records

TM1000-1

Working Capital Plan

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TM1010 1.0 2.0 3.0 4.0

Cash Management Cash Management Plan Cash Management Reviewing the Cash Management Plan Improving the Cash Management Plan Forms/Records

TM1010-1

Cash Management Plan

TM1020 1.0 2.0 3.0 4.0 5.0

Inventory Management Inventory Management Overview Inventory Management Planning Inventory Management Reviewing the Inventory Management Plan Improving Inventory Management Forms/Records

TM1020-1 TM1020-2

Inventory Management Plan Inventory Management Results

TM1030 1.0 2.0 3.0 4.0

Related Party Transactions Related Party Transactions Plan Related Party Transactions Related Party Transactions Plan Review Improving the Related Party Transaction Plan Forms/Records

TM1030-1 TM1030-2

Related Party Transaction Policy & Conflict Of Interest Questionnaire Related Party Transaction Questionnaire Log

TM1040 1.0 2.0 3.0 4.0

Foreign Exchange Management Foreign Exchange Management Plan Foreign Exchange Management Reviewing Foreign Exchange Management Improving Foreign Exchange Management Forms/Records

TM1040-1 TM1040-2

Foreign Exchange Management Plan Foreign Exchange Management Results

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TM1050 1.0 2.0 3.0 4.0

Managing Bank Relationships Bank Relationship Plan Managing Banking Relationships Reviewing Banking Relationships Improving Management of Bank Relationships Forms/Records

TM1050-1 TM1050-2

Banking Relationship Contact Management Log Bank Meeting Agenda/Minutes

TM1060 1.0 2.0 3.0 4.0

Merchant Accounts Merchant Account Plan Merchant Account Comparisons Merchant Account Comparison Review Merchant Account Improvements Forms/Records

TM1060-1

Merchant Account Review

TM1070 1.0 2.0 3.0 4.0 5.0

Letters of Credit Letter of Credit Plan Executing a Letter of Credit as a Buyer Executing a Letter of Credit as a Seller Reviewing the Letter of Credit Process Improving the Letter of Credit Process Forms/Records

TM1070-1

Letter of Credit Checklist

430 FS1000 1.0 2.0 3.0 4.0 5.0 6.0

Financial Statements ...................................................................................... Section 7 Financial Forecasting Financial Forecasting Plan Collecting Information for Financial Forecasts Creating Financial Forecasts Reviewing and Completing Financial Forecasts Financial Re-Forecasting Improving the Financial Forecasting Process

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Forms/Records FS1000-1 Financial Forecast Checklist

FS1010 1.0 2.0 3.0 4.0 5.0 6.0 7.0

Financial Reporting Financial Statement Reporting Plan Annual Report to Stockholders Financial Statements for Business Operations Additional Financial Statement Reporting Public Company Quarterly Reporting Public Company Annual Reporting Improving the Financial Statement Reporting Process Forms/Records

FS1010-1

Financial Report Checklist

FS1020 1.0 2.0 3.0 4.0

Financial Statement Analysis Financial Statement Analysis Plan Collect and Calculate Financial Data Financial Statement Analysis and Reporting Improving the Financial Statement Analysis Process Forms/Records

FS1020-1

Financial Analysis Plan

FS1030 1.0 2.0 3.0 4.0

Financial Management Review Financial Management Plan Conducting Financial Management Meetings Reviewing Financial Management Improving Financial Management Forms/Records

FS1030-1 FS1030-2

Financial Management Plan Financial Management Meeting Agenda

FS1040 1.0 2.0 3.0

Financial Restatements Financial Restatement Plan Financial Restatements Reviewing the Financial Restatement Process

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4.0

Improving the Financial Restatement Process Forms/Records

FS1040-1

Financial Restatement Checklist

FS1050 1.0 2.0 3.0

Financial Information Release Financial Statement Release Plan Financial Information Release Financial Information Release Review Forms/Records

FS1050-1 FS1050-2

Financial Information Release Log Financial Information Request

440 AC1000 1.0 2.0 3.0 4.0 5.0 6.0 7.0

Internal Controls ..................................................................................... Sarbanes-Oxley Compliance Sarbanes-Oxley Act of 2002 (Sox) Background SOX Audit Committee Plan SOX Auditor Plan Corporate Responsibility Plan Internal Control System Plan Completing the SOX Checklist Improving SOX Compliance Forms/Records

Section 8

AC1000-1

Sarbanes-Oxley Compliance Checklist

AC1010 1.0 2.0 3.0 4.0

SAS 70 Compliance SAS 70 Compliance Plan Creating and Completing a SAS 70 Compliance Checklist SAS 70 Compliance Checklist Review SAS 70 Compliance Checklist Improvements

Forms/Records AC1010-1 SAS 70 Compliance Checklist

AC1020 1.0 2.0

Risk Assessment Form a Risk Management Committee Identify Hazards/Threats

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3.0 4.0 5.0 6.0

Identify Threat Impact and Likelihood Determine Risk Levels Rank Threats Risk Assessment Review Forms/Records

AC1020-1 AC1020-2 AC1020-3

Risk Assessment / Management Worksheet Sample Chart of Accounts Internal Control Checklist

AC1030 1.0 2.0 3.0 4.0

Risk Management Developing a Risk Management System Implementing the Risk Management System Evaluating the Risk Management System Adapting the Risk Management System

AC1040 1.0 2.0 3.0 4.0 5.0

External Auditing External Audits Background Planning for an External Audit Supporting the External Audit Reviewing External Audit Results External Audit Follow-Up Forms/Records

AC1040-1

Corrective Action Plan

AC1050 1.0 2.0 3.0 4.0 5.0

Internal Auditing Internal Audit Background Internal Audit Planning Conducting the Internal Audit Internal Audit Reporting Internal Audit Follow-Up Forms/Records

AC1050-1 AC1050-2 AC1050-3 AC1050-4

Audit Schedule Audit Plan Audit Checklist Audit Opinion

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AC1050-5

Final Audit Report

AC1060 1.0 2.0 3.0 4.0 5.0 6.0

Corrective Action Nonconformity Reports Initiating Corrective Action Investigating the Cause Taking Corrective Action Preventing Recurrence Verification and Closure Forms/Records

AC1060-1 AC1060-2 AC1060-3

Nonconformity Report Corrective Action Request Corrective Action Log

500

Business Guide ........................................................................................

Section 9

600

Index ........................................................................................................

Section 10

700

Notes .........................................................................................................

Section 11

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Document ID TM1060 Revision 0.0 Effective Date: mm/dd/yyyy

Title MERCHANT ACCOUNTS Prepared By Preparer's Name / Title Reviewed By Reviewer's Name / Title Approved By Final Approver's Name / Title

Print Date mm/dd/yyyy Date Prepared mm/dd/yyyy Date Reviewed mm/dd/yyyy Date Approved mm/dd/yyyy

Policy: Purpose: Scope: Responsibilities:

The Company shall plan for, monitor, and review its merchant accounts in order to ensure the greatest value for the service. To ensure the selection of a merchant account that meets the Company's need to balance service and cost. This procedure applies to the Finance department. The Chief Financial Officer (CFO) is responsible for overseeing the selection of merchant accounts and for conducting periodic reviews of merchant accounts. Merchant Account Service provider that processes credit card payments for a merchant (business), such as our Company. Chargeback Reversal of a credit card transaction; can be accompanied by penalties and fees to the merchant. Discount Rate Fee paid by the merchant as a percentage of the transaction amount (e.g., 3%). Fixed Transaction Fee Flat fee paid by a merchant on every transaction. Holdback Percentage of transactions paid by the merchant and held by the merchant account provider to cover any transaction related dispute. Funds in the "holdback account" are released to the merchant at a predetermined time (e.g., after six (6) months).

Definitions:

Procedure: 1.0 1.1 MERCHANT ACCOUNT PLAN The CFO shall periodically (e.g., annually) review the Company's use of merchant accounts, to ensure that the Company is receiving the required service level and that fees are competitive. A small reduction in fees can result in significant overall savings, especially for high volume and high dollar amount transactions; however, cost must be balanced with the level of service. Credit

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card transactions must be conducted swiftly and smoothly, and without interruption of service. 1.2 The CFO shall periodically review existing and potential merchant account providers, considering and comparing attributes such as: 1.3 Monthly fixed fees; Discount rates; Fixed transaction fees; Chargebacks; Termination fees and contract requirements; Accuracy and timeliness of the existing merchant account's processing and reporting; and Return fees and policies.

The CFO shall create a total cost estimate for each month or quarter based on fee information gathered (Section 1.2), using historical merchant account use and projecting future use. The CFO shall create a method for evaluating merchant account service levels (for example, listing key service areas required by the Company and rating availability of the service by existing and potential merchant accounts). Examples of important service features include: Chargebacks; Customer service availability (responsiveness, speed of resolution); Ease of use; Reliability; and Holdback policies.

1.4

1.5

Based on the review of overall fees and service levels (see Sections 1.1, 1.2), the CFO shall: Continue the existing merchant account under the current terms; Attempt to renegotiate terms with the existing merchant account; or Find and negotiate with an alternate merchant account provider.

2.0 2.1

MERCHANT ACCOUNT COMPARISONS The CFO shall annually complete the TM1060-1 MERCHANT ACCOUNT REVIEW with existing and potential merchant account providers fee information. The CFO shall calculate the estimated total fees per period (e.g., month, quarter) for existing and potential merchant account providers and record the estimated
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2.2

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total fees on TM1060-1. The CFO shall consider the following when calculating estimates: 2.3 Information about the various merchant account fees; Historical merchant account use; Projected future merchant account use;

The CFO shall list and rate important service features of existing and potential merchant account providers on the TM1060-1 MERCHANT ACCOUNT REVIEW form (see Section 1.4). MERCHANT ACCOUNT COMPARISON REVIEW The CFO shall use the information on the TM1060-1 form to determine if any action is required in the Companys merchant account provider (see Section 1.5). The CFO shall list reasons and justifications for the decision to continue, renegotiate, or change merchant accounts on TM1060-1. MERCHANT ACCOUNT IMPROVEMENTS The CFO shall make changes and adjustments to its merchant accounts, in accordance with the decision described on TM1060-1. As part of the annual merchant provider review, the CFO shall (re)evaluate the merchant provider evaluation process, to ensure its continuing suitability and usefulness. The CFO shall be responsible for making any recognized improvement to this procedure and the associated form TM1060-1 to enhance the merchant account review/selection process. Lowest merchant account total fees Effective merchant account service Merchant account ease of use

3.0 3.1 3.2 4.0 4.1 4.2

Effectiveness Criteria:

References: A. CFO Manual Section 5.3.7, "Merchant Accounts" B. Carroll, Jim, and Broadhead, Rick, Selling Online: How to Become a Successful E-Commerce Merchant, Dearborn Trade, a Kaplan Professional Company, 2001. ISBN-10 #0-7931-4517-1. C. Ogden, Anthony L., What Every Business Should Know About Accepting Credit Cards, BankCardLaw Media Corp., June, 2004. ISBN-10 # 0-9759-6050-4; ISBN-13 # 978-09759-6050-9. Additional Resources:

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A. Dont Fly By Night: The Inside Information on Merchant Accounts, available at http://www.powerhombiz.com/vol39/merchant.htm. B. Choosing an Internet Merchant Account, available at http://www.findmyhosting.com/web-resources/Articles/internet-merchant.htm. C. "Merchant Account 'How-To' Tips for Beginners", available at http://www.goemerchant.com/getting_started.htm. Forms/Records: TM1060-1 MERCHANT ACCOUNT REVIEW Meeting minutes and reports

Revision History: Revision 0.0 Date 1/1/2007 Description of changes Initial Release Requested By

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TM1060-1 MERCHANT ACCOUNT REVIEW 1. Merchant Account Fees


Merchant Account Provider Fixed Fees Discount Rate Transaction Fees Termination Fees Misc. Fees Estimated Total Fees (per period)

Comments:

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2. Merchant Account Services


Merchant Account Provider Service Feature 1 Service Feature 2 Service Feature 3 Service Feature 4

List Specific Service Feature >

Comments:

Decisions, Justifications, and Actions for Merchant Accounts

Approval: Date

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Sample Package

Computer & Network


Policies, Procedures & Forms
Quick Facts
This manual includes 700 Pages of materials: 40 pre-written policies & procedures 30 accompanying forms Sample IT Manual, IT Security Guide What you will get, when you buy: 1. Editable Microsoft Word files for immediate download. 2. Optional hardbound book containing all content.

This Sample Package contains: A: Overview of the Sample Package (1 page) B: Table of Contents (11 pages) C: Policy, Procedure, and Form Set (9 pages) View Product Details Online: http://store.bizmanualz.com/Computer-and-IT-Policies-and-Procedures-p/abr34m.htm
CEO Series Sample - Page 45

Dear Business Executive: Thank you from downloading this sample content from Bizmanualz. Whether you are looking to write policies and procedures, or are trying to manage and share them, Bizmanualz has the right solution. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important to you ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains a complete table of contents and a complete policy, procedure and form(s) set. The purpose is to give you a clear idea of how our policies and procedures are written, formatted, and presented for you to customize. If you have any questions after reading this sample package, please feel free to contact us online or call us at 1-800-466-9953 (toll free, US only) or at 314-863-5079, or send an email to sales@bizmanualz.com. Thanks again.

Each policy/procedure template includes: Policy Purpose Scope Responsibilities Definitions Procedure Activities, references & forms where applicable. TERMS & DEFINITIONS Manual: A system of approved policy statements and corresponding procedural guidelines and supporting forms that direct an organization toward its operational goals. Policy: A stated course of action with a defined purpose and scope to guide decision-making under a given set of circumstances within the framework of corporate objectives, goals and management philosophies. Procedure: A series of prescribed steps followed in a definite regular order which ensure adherence to the guidelines set forth in the Policy to which the Procedure applies Activity: An action, element or decision representing a prescribed step in the Procedure process. Task: A detailed component of an Activity specifying required behavior to complete the activity. Form: A pre-formatted document containing instructions and placeholders for data entry to monitor progress through a particular Procedure and to ensure proper recordkeeping.

Best regards,

Chris Anderson Managing Director, Bizmanualz St. Louis, Missouri

Comprehensive Bizmanualz Policies and Procedures Library Accounting Finance Computer & IT Human Resources CFO Series Bundle (save 42%) Sales & Marketing Human Resources Business Sampler Security Planning CEO Series Bundle (Save 53%)
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Computer & Network Policies, Procedures, and Forms Table of Contents


Introduction....................................................................................... Section 100 Manual Preparation .......................................................................... Section 200 IT Manual ........................................................................................... Section 300
PROCEDURES

IT Administration .............................................................................. Section 400 ITAD101 Information Technology Management Activities 1.0 Business Planning 2.0 IT Department Objective Planning 3.0 IT Plan Development 4.0 IT Plan Implementation 5.0 IT Plan Review 6.0 IT Plan Update Forms ITAD101-1 Information Technology Plan ITAD101-2 IT Plan Review Checklist ITAD102 IT Records Management Activities 1.0 Identification of Records 2.0 Record Generation 3.0 Record Management 4.0 Technology Obsolescence 5.0 Records Audit Forms ITAD102-1 Records Classification and Retention Guide ITAD102-2 Records Management Database ITAD103 IT Document Management Activities 1.0 Planning Document Management 2.0 Document Management Plan 3.0 Document Management Plan Review 4.0 Document Management Plan Update Forms ITAD103-1 Document Control List

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ITAD103-2 Document Change Request Form ITAD103-3 Document Change Control Form ITAD104 IT Device Naming Conventions Activities 1.0 Server Naming Conventions 2.0 Network Host Naming Conventions 3.0 Mainframe Naming Conventions 4.0 Infrastructure Device Naming Conventions ITAD105 TCP/IP Implementation Standards Activities 1.0 TCP/IP Address 2.0 Dynamic Host Configuration Protocol 3.0 Network Address Translation 4.0 Subnet Addressing Standards 5.0 WAN Link Addressing Conventions ITAD106 Network Infrastructure Standards Activities 1.0 Network Infrastructure Standards Development 2.0 Network Infrastructure Standards Implementation 3.0 Network Infrastructure Standards Review Forms ITAD106-1 Network Infrastructure Standards List ITAD107 Computer and Internet Usage Policy Activities 1.0 Acceptable Use 2.0 Inappropriate Use 3.0 Internet and E-Mail Etiquette 4.0 Security 5.0 Penalties 6.0 Conclusion 7.0 User Compliance ITAD108 E-Mail Policy Activities 1.0 E-Mail Policy Development 2.0 E-Mail Policy Implementation 3.0 E-Mail Policy Review 4.0 E-Mail Policy Changes Forms ITAD108-1 Company E-Mail Policy Acknowledgement

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ITAD109 IT Outsourcing Activities 1.0 Identifying a Candidate Function for Outsourcing 2.0 Selecting an IT Outsourcer 3.0 Outsourcer Billings 4.0 Arbitration 5.0 Outsourcer Relationship Management Forms ITAD109-1 IT Outsourcer Due Diligence Checklist ITAD109-2 IT Outsourcer Record ITAD110 IT Department Satisfaction Activities 1.0 General 2.0 Post-Service Follow-Up 3.0 User Survey 4.0 User Satisfaction Review Forms ITAD110-1 IT Post-Service Satisfaction Report ITAD110-2 User Satisfaction Survey IT Asset Management....................................................................... Section 410 ITAM101 IT Asset Standards Activities 1.0 IT Asset Standards Development 2.0 IT Asset Standards Implementation 3.0 IT Asset Standards Assessment Forms ITAM101-1 IT Asset Standards List ITAM101-2 IT Asset Configuration Worksheet ITAM101-3 IT Asset Standards Exception Request ITAM102 IT Asset Management Activities 1.0 IT Asset Planning 2.0 IT Asset Acquisition 3.0 IT Asset Inspection, Acceptance, & Distribution 4.0 IT Asset Disposal 5.0 IT Asset Verification Forms ITAM102-1 IT Asset Requisition/Disposal Form

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ITAM102-2 IT Asset Acquisition List ITAM102-3 Tech Support Receiving Log ITAM102-4 Nonconforming IT Asset Form ITAM102-5 IT Asset Inventory Database ITAM102-6 IT Network Map ITAM103 IT Vendor Selection Activities 1.0 IT Vendor Evaluation 2.0 Request For Proposal 3.0 IT Vendor Selection 4.0 IT Vendor Review 5.0 IT Vendor Files Forms ITAM103-1 IT Vendor Notification Form ITAM103-2 IT Vendor Survey ITAM103-3 Approved IT Vendor Data Sheet ITAM103-4 IT Vendor List ITAM103-5 IT Vendor Disqualification Form ITAM104 IT Asset Assessment Activities 1.0 IT Asset Assessment Plan 2.0 IT Asset Scan 3.0 Documentation and Distribution 4.0 Nonconformance Handling 5.0 IT Asset Records Update Forms ITAM104-1 IT Asset Assessment Checklist ITAM104-2 IT Asset Scan Summary ITAM105 IT Asset Installation Satisfaction Activities 1.0 IT User Satisfaction Plan 2.0 IT Asset Installation Follow-Up 3.0 User Satisfaction Data Review 4.0 Corrective/Preventive Action 5.0 Ongoing Evaluation Forms ITAM105-1 IT Asset Installation Follow-Up Report

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IT Training & Support ....................................................................... Section 420 ITTS101 IT System Administration Activities 1.0 Planning System Administration 2.0 System Administration Plan 3.0 System Administration Plan Review 4.0 System Administration Plan Update Forms ITTS101-1 System Administration Task List ITTS102 IT Support Center Activities 1.0 IT Support Center Overview 2.0 IT Support Center Plan (Operations) 3.0 IT Support Plan Review 4.0 IT Support Plan Update Forms ITTS102-1 Tech Support Log ITTS102-2 System Trouble Acknowledgement Form ITTS103 IT Server / Network Support Activities 1.0 Server / Network Support Planning 2.0 Server / Network Support Plan 3.0 Support Plan Review 4.0 Support Plan Update Forms ITTS103-1 Server / Network Planning Checklist ITTS103-2 Server / Network Support Plan ITTS104 IT Troubleshooting Activities 1.0 IT Troubleshooting Planning 2.0 IT Troubleshooting Plan 3.0 IT Troubleshooting Plan Review 4.0 IT Troubleshooting Plan Update Forms ITTS104-1 IT Troubleshooting Plan ITTS104-2 User Troubleshooting Guide

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ITTS105 IT User-Staff Training Plan Activities 1.0 Planning IT User-Staff Training 2.0 The IT User-Staff Training Plan 3.0 IT User-Staff Training Plan Evaluation (Review) 4.0 IT User-Staff Training Plan Update Forms ITTS105-1 IT Training Requirements List ITTS105-2 IT Training Log IT Security & Disaster Recovery ......................................................Section 430 ITSD101 IT Threat And Risk Assessment Activities 1.0 Threat and Risk Assessment Introduction 2.0 Threat Assessment Preparation 3.0 Threat Assessment 4.0 Threat/Risk Management Review Forms ITSD101-1 IT Threat / Risk Assessment Report ITSD102 IT Security Plan Activities 1.0 Preparing The IT Security Plan 2.0 Developing The IT Security Plan 3.0 Implementing The IT Security Plan 4.0 IT Security Plan Review 5.0 IT Security Plan Update Forms ITSD102-1 IT Security Assessment Checklist ITSD102-2 IT Security Plan ITSD102-3 IT Security Plan Implementation Schedule ITSD103 IT Media Storage Activities 1.0 IT Storage Planning 2.0 IT Storage Plan 3.0 IT Storage Plan Review 4.0 Updating The IT Storage Plan Forms ITSD103-1 Information Storage Plan

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ITSD104 IT Disaster Recovery Activities 1.0 IT Disaster Recovery Planning 2.0 IT Disaster Recovery Plan 3.0 IT Disaster Recovery Plan Review 4.0 IT Disaster Recovery Plan Revision Forms ITSD104-1 IT Disaster Recovery Plan ITSD105 Computer Malware Activities 1.0 Malware Defense Planning 2.0 Malware Defense Plan 3.0 Malware Defense Plan Review 4.0 Malware Defense Plan Update ITSD106 IT Access Control Activities 1.0 Planning Access Control 2.0 IT Access Control Plan 3.0 IT Access Control Plan Review 4.0 IT Access Control Plan Update Forms ITSD106-1 Access Control Plan ITSD106-2 User Access Control Database ITSD106-3 Access Control Log ITSD106-4 User Account Conventions ITSD107 IT Security Audits Activities 1.0 IT Security Audit Planning 2.0 IT Security Audit Plan 3.0 IT Security Audit Review 4.0 Corrective Action Forms ITSD107-1 IT Security Audit Report ITSD107-2 IT Nonconformity Report ITSD107-3 IT Security Audit Plan ITSD108 IT Incident Handling Activities 1.0 IT Incident Handling Preparation
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2.0 IT Incident Handling 3.0 IT Incident Handling Review Forms ITSD108-1 IT Incident Report/Response Form IT Software Development .................................................................Section 440 ITSW101 IT Project Definition Activities 1.0 IT Project Needs Identification 2.0 IT Project Definition 3.0 IT Project Definition Review 4.0 IT Project Plan Forms IEEE Software Engineering Standards List ITSW101-1 IT Project Plan ITSW102 IT Project Management Activities 1.0 IT Project Setup 2.0 IT Project Schedule 3.0 IT Project Cycle Management 4.0 IT Project Review Forms ITSW102-1 IT Project Development Database ITSW102-2 IT Project Status Report ITSW102-3 IT Project Team Review Checklist ITSW102-4 IT Project Progress Review Checklist ITSW103 Systems Analysis Activities 1.0 Introduction 2.0 System Requirements 3.0 Information Flows Documentation 4.0 Acceptance Test Plan 5.0 Beta Test Plan 6.0 Systems Analysis Review ITSW104 Software Design Activities 1.0 Introduction 2.0 Software Design Specification

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3.0 Software Design Review Forms ITSW104-1 Design Review Checklist ITSW105 Software Programming Activities 1.0 Programming Standards 2.0 Programming Tasks 3.0 Software Development 4.0 Programming Reviews Forms ITSW105-1 Work Product Review Checklist ITSW106 Software Documentation Activities 1.0 Software Assessment 2.0 Documentation Production 2.0 Final Review 3.0 Documentation Release 5.0 Document Revision 6.0 Procedure and Work Instruction Format Forms ITSW106-1 Request for Document Change (RDC) ITSW106-2 Document Change Control ITSW107 Software Testing Activities 1.0 Software Testing Overview 2.0 Acceptance Testing 3.0 Beta Testing 4.0 Final Release Testing Forms ITSW107-1 Project Test Script ITSW107-2 Project Test Checklist ITSW107-3 Project Test Problem Report ITSW108 Design Changes During Development Activities 1.0 Introduction 2.0 Design Change Review 3.0 Design Change Implementation

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Forms ITSW108-1 Design Change Request Form ITSW109 Software Releases and Updates Activities 1.0 Introduction 2.0 Version Control Standards 3.0 Configuration Control Standards 4.0 Release Control Standards 5.0 Software License, Warranty, and Copyright Forms ITSW109-1 Product License Agreement ITSW109-2 Limited Warranty ITSW109-3 Copyright Notice ITSW110 Software Support Activities 1.0 Support Overview 2.0 Support Services Management 3.0 Free Basic Support Services 4.0 Extended Support Services 5.0 User Group Support 6.0 Phone Support Services ITSW111 Software Consulting Services Activities 1.0 Introduction 2.0 Cost Estimates 3.0 Enhancements and Customizations 4.0 Software Problems 5.0 Consulting Services Review Forms ITSW111-1 Consulting Agreement ITSW111-2 Statement of Work ITSW111-3 Customer Support Log ITSW112 Software Training Activities 1.0 Introduction 2.0 Standard Training Courses 3.0 Customized Training Courses 4.0 Teaching Training Courses

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Forms ITSW112-1 Software Training Evaluation Form IT Security Guide .............................................................................. Section 500 Index .................................................................................................. Section 600 Notes ................................................................................................. Section 700

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SOP # Revision: Effective Date: Title: Policy: Purpose: ITAM104 IT ASSET ASSESSMENT

Prepared by: Approved by:

The Company shall assess (evaluate) its IT assets for conformance to Company requirements. To identify hardware and software (IT assets) on the Company IT network, determine if those assets are appropriate for the Companys needs, determine if these assets are properly licensed and versioned, and if they conform to Company standards. All IT assets that make up the Companys IT system/network are subject to this procedure. The IT Asset Manager is responsible for supervising the IT asset assessment program. Technical Support (Tech Support) is responsible for conducting complete, detailed, and objective IT asset assessments, writing nonconformance reports, and reporting findings of IT asset assessments.

Scope:

Responsibilities:

Definitions: Network scan (or scan) Scanning an IT network (with specialized software) to confirm the presence or absence of computer hardware or software, check asset configurations, verify software versions, manage software licenses, track lease and warranty information, detect network vulnerabilities, etc. Commercial and open source software for conducting IT asset scans is readily available; see Additional Resource A for guidance. IT Asset Any computer hardware, software, IT-based Company information, related documentation, licenses, contracts or other agreements, etc. In this context, IT assets may be referred to as just assets. Nonconformance A significant, material failure to conform to one or more requirements; also referred to as a nonconformity. Moving a PC from one desk/user to another without the knowledge or permission of the IT Asset Manager is one example of a nonconformance. Procedure: 1.0 1.1 IT ASSET ASSESSMENT PLAN IT asset assessments shall be conducted at regular intervals. Assessments should be conducted annually, at a minimum. (See Reference A.) IT asset assessments should also be conducted whenever a large turnover of assets (for example, a large number of PC leases expires in a short time frame) occurs.
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1.2

Prior to an assessment, the IT Asset Manager shall review ITAM104-1 IT ASSET ASSESSMENT CHECKLIST for possible modifications. This checklist shall be used by Tech Support as a guide to conducting IT asset assessments. IT ASSET SCAN The IT Asset Manager shall ensure that Tech Support staff has the current version of the following on hand prior to conducting a network scan: ITAM102-5 IT ASSET INVENTORY DATABASE; ITAM102-6 IT NETWORK MAP; and ITAM104-1 IT ASSET ASSESSMENT CHECKLIST.

2.0 2.1

2.2

Tech Support shall run a scan on the Companys IT network to determine the status of all IT assets on the network and compare the results with the documents listed in 2.1, looking for information such as: What IT hardware is on the network and who are the registered owners; Whether hardware is in use or not; What software is installed on each computer, whether it is the correct version, and whether it is a licensed copy; and/or Whether unapproved/unauthorized software has been installed on any PC.

2.3 3.0 3.1 3.2 4.0 4.1

If a nonconformance is found, Tech Support shall report it in accordance with procedure ITSD109 IT INCIDENT HANDLING. DOCUMENTATION AND DISTRIBUTION Tech Support shall consolidate and summarize asset scan results on ITAM104-2 IT ASSET SCAN SUMMARY. Tech Support shall prepare and submit their findings including forms ITAM104-1 and ITAM104-2 to the IT Asset Manager. NONCONFORMANCE HANDLING If a nonconformance is discovered in the course of an asset assessment, the IT Asset Manager shall write a Corrective Action Request (CAR), in accordance with procedure ITSD109 IT INCIDENT HANDLING. The CAR shall be submitted to the Manager of the department where the nonconformance occurred. The Department Manager receiving the CAR shall submit a reply in accordance with procedure ITSD109 IT INCIDENT HANDLING. If a corrective action was taken, the IT Asset Manager should review the situation within three (3) months to verify that the corrective action was effective.

4.2 4.3 4.4

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5.0

IT ASSET RECORDS UPDATE After the IT asset assessment and subsequent corrective actions, The IT Asset Manager shall ensure timely and accurate updates to ITAM102-5 IT ASSET INVENTORY DATABASE and ITAM102-6 IT NETWORK MAP. (See Reference B.)

Additional Resources: A. There are many types of scans that may be conducted on a computer network hardware scans, software scans, wireless and wired network scans, security scans, etc. Microsoft System Management Server (SMS) 2003 Asset Management (http://www.microsoft.com/smserver/evaluation/capabilities/asset.mspx) is one form of asset management software. Additional asset management software providers and their products may be found by searching the Internet. References: A. ISO STANDARD 27002:2005 CODE OF PRACTICE FOR INFORMATION SECURITY MANAGEMENT, CLAUSE 5 (ASSET CLASSIFICATION AND CONTROL) Clause 5 of the Standard is the Asset Classification and Control standard, which deals with asset accountability and information classification. ISO Standard 27002:2005 and its companion standards, ISO 27001:2005 and ISO 27005:2008, provide a comprehensive set of controls comprising best practices in the field of information security. NOTE: ISO 27002 was formerly known to ISO as 17799 and may continue to be known that way in the business and IT world for some time. For more information on ISO 27002:2005, see http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumbe r=50297. B. SARBANES-OXLEY ACT OF 2002 Sarbanes-Oxley, passed by the U.S. Congress in 2002, is designed to prevent manipulation, loss, or destruction of records within publicly-held companies doing business in the U.S. Because virtually all companies keep records electronically, Section 404 of the Act implies that an adequate internal control structure is IT-based. Therefore, regular scanning of the Companys IT network, evidence of regular scanning, and keeping an up-to-date IT asset inventory are all evidence of adequate internal controls.

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Revision History: Revision 0 Date Description of changes Requested By

10/25/2005 Initial Release

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ITAM104-1 IT ASSET ASSESSMENT CHECKLIST Assessment #: Area Evaluated: Dept. Mgr.: Lead Assessor: Assessor: IT Asset Accountability 1) Is every IT asset hardware, software, and related documentation accounted for? 2) Is an IT asset inventory maintained? 3) Is an IT asset classification scheme in place? 4) Does the inventory identify the owner and location of each asset? 5) Does the company have a clear set of standards for IT assets? Are the standards up to date? How often are they reviewed? Do they conform to industry standards and/or legal requirements? 6) Is the IT asset inventory reviewed regularly to see the company does not risk having obsolete IT assets in inventory? 7) Does every hardware asset conform to company standards? Are they clearly and properly identified? 8) Do all software assets conform to company standards? Are they clearly and properly identified? 9) Does the IT asset inventory thoroughly and accurately account for software versions and licenses? 10) Is there an IT network diagram? Is it accurate? Is it readily produced? When was it last reviewed? How frequently is it reviewed? Response and Comments Date:

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Tech Support Area 1) Are workers organized and scheduled? 2) Are adequate working areas provided for tasks? 3) Are drawings and schematics organized, inventoried and readily accessible? 4) Are work instructions sufficient? 5) Are all items (new hardware/software, items being repaired, etc.) inventoried? 6) Is there any obvious disorganization? Tools randomly scattered about? Parts on benches disorganized? Components or parts for other assemblies present? 7) Are work areas (benches) clean? 8) Are parts organized and stored efficiently? Are stores clearly marked? 9) Are staging areas organized? Tech Support Equipment 1) Are tools properly inventoried? Are records accurate and up-to-date? 2) Are tools properly stored when not in use? 3) Are tools in good working order? 4) Are tools requiring calibration being recalibrated on a regular basis? Are calibration records current?

Response and Comments

Response and Comments

Tech Support Records 1) Are production records (installations, repairs, etc.) maintained? Are they complete and up-todate? Are they readily accessible? 2) Are work pending and work in process records included with the above? Are they likewise complete and up-to-date? Are they also readily accessible?

Response and Comments

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User Complaints 1) Is there a log of user complaints and concerns? Is it complete, up to date, organized, and readily accessible? 2) What is the level of detail in the log file? Are complaints/concerns classified clearly and logically? 3) Is this complaint file periodically reviewed for trends?

Response and Comments

Authorization Comments:

Tech Support: IT Asset Manager:

Date: Date:

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ITAM104-2 IT ASSET SCAN SUMMARY


(Attach results from scanning software to this sheet.)

Hardware scan results:

Software scan results:

Nonconformities (discrepancies) found:

Other comments:

Tech Support: IT Asset Mgr.:

Date: Date:

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Human Resources
Policies, Procedures & Forms
Quick Facts
This manual includes 780 Pages of materials: 35 pre-written policies & procedures 65 accompanying forms Sample IT Manual, IT Security Guide What you will get, when you buy: 1. Editable Microsoft Word files for immediate download. 2. Optional hardbound book containing all content.

This Sample Package contains: A: Overview of the Sample Package (1 page) B: Table of Contents (15 pages) C: Policy, Procedure, and Form Set (9 pages) View Product Details Online: http://store.bizmanualz.com/Human-Resources-Policies-and-Procedures-p/abr41m.htm
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Dear Business Executive: Thank you from downloading this sample content from Bizmanualz. Whether you are looking to write policies and procedures, or are trying to manage and share them, Bizmanualz has the right solution. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important to you ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains a complete table of contents and a complete policy, procedure and form(s) set. The purpose is to give you a clear idea of how our policies and procedures are written, formatted, and presented for you to customize. If you have any questions after reading this sample package, please feel free to contact us online or call us at 1-800-466-9953 (toll free, US only) or at 314-863-5079, or send an email to sales@bizmanualz.com. Thanks again.

Each policy/procedure template includes: Policy Purpose Scope Responsibilities Definitions Procedure Activities, references & forms where applicable. TERMS & DEFINITIONS Manual: A system of approved policy statements and corresponding procedural guidelines and supporting forms that direct an organization toward its operational goals. Policy: A stated course of action with a defined purpose and scope to guide decision-making under a given set of circumstances within the framework of corporate objectives, goals and management philosophies. Procedure: A series of prescribed steps followed in a definite regular order which ensure adherence to the guidelines set forth in the Policy to which the Procedure applies Activity: An action, element or decision representing a prescribed step in the Procedure process. Task: A detailed component of an Activity specifying required behavior to complete the activity. Form: A pre-formatted document containing instructions and placeholders for data entry to monitor progress through a particular Procedure and to ensure proper recordkeeping.

Best regards,

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Human Resources Policies, Procedures & Forms

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Human Resources Policies, Procedures & Forms Table of Contents


100 Introduction .................................................................................... Section 1 200 Manual Preparation ........................................................................Section 2 300 HR Managers Manual ....................................................................Section 3 400 Administration Procedures ...........................................................Section 4 ADM101 Personnel Records Activities 1.0 Employee Information 2.0 HR Personnel Records 3.0 Contents of Personnel Files 4.0 Employee's Personnel Records Review 5.0 Management Review of Personnel Files 6.0 Company Release Of Employee Information 7.0 Record Retention and Long-Term Storage 8.0 Record Destruction References A. Health Insurance Portability Accountability Act (HIPAA) B. Age Discrimination In Employment Act (ADEA) C. Americans with Disabilities Act (ADA) D. Civil Rights Act of 1964 E. Employee Retirement Income Security Act (ERISA) F. Employee Polygraph Protection Act G. Equal Pay Act H. Executive Order 11246 I. Fair Labor Standards Act (FLSA) J. Family and Medical Leave Act (FMLA) K. Immigration Reform & Control Act (IRCA) L. Occupational Safety & Health Act (OSHA) M. Rehabilitation Act of 1973 N. Right To Financial Privacy Act O. Guide to Record Retention Requirements P. IRS Revenue ProcEDURE 98-25 Records Retention Q. Federal Insurance Contribution Act (FICA) R. Federal Unemployment Tax Act (FUTA) Forms ADM101 Ex1 Personnel Records Access Log ADM101 Ex2 HR Records Retention Periods ADM102 Form Development Activities 1.0 Form Development and Format 2.0 Authorization and Printing
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3.0 Form Numbering and Placement 4.0 Forms Index and Manual Forms ADM102 Ex1 Form Printing Request ADM103 Document Control Activities 1.0 Document Distribution 2.0 Document Revision 3.0 Document 4.0 Temporary Changes Forms ADM103 Ex1 Request For Document Change (RDC) ADM103 Ex2 Document Change Control ADM104 Mail & Express Services Activities 1.0 General Mail Usage 2.0 Addressing Mail 3.0 Express Mail 4.0 Overnight Packages 5.0 Additional Information Resources Forms ADM104 Ex1 Outgoing Mail Register ADM105 Telephone Answering Activities 1.0 Answering Techniques and Etiquette 2.0 Answering and Directing Calls 3.0 Taking Messages 4.0 Telephone User's Guide Forms ADM105 Ex1 Important Message ADM106 Property & Access Control Activities 1.0 Background Checks 2.0 Physical Access Controls 3.0 Key Controls 4.0 Proprietary Information Controls 5.0 Collection Of Access Controls 6.0 Visitors & Guests Forms ADM106 Ex1 Key Issue Policy ADM106 Ex2 Visitor Log

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ADM107 Separation Activities 1.0 Resignations 2.0 Involuntary Terminations And Layoffs 3.0 Terminations For Cause 4.0 Termination Meeting 5.0 Additional Information Resources References A. Consumer Credit Protection Act (CCPA) B. Health Insurance Portability Accountability Act (HIPAA) C. Worker Adjustment and Retraining Notification Act (WARN) of 1989 D. COBRA E. Title VII Of The Civil Rights Act Of 1964 F. Age Discrimination in Employment Act G. Americans with Disabilities Act H. The Civil Rights Act of 1991 Forms ADM107 Ex1 Exit Interview Checklist ADM107 Ex2 Exit References Authorization ADM108 Workplace Rules & Guidelines Activities 1.0 Alcohol And Drugs 2.0 Breaks And Lunch Time 3.0 Company Property 4.0 Grievances And Complaints 5.0 Inclement Weather 6.0 Parking 7.0 Personal Telephone Calls 8.0 Smoking 9.0 Solicitations 10.0 Suggestions 11.0 Visitors Forms ADM108 Ex1 Suggestion Form ADM109 Human Resources Reports Activities 1.0 Preparation Guidelines 2.0 OSHA Reports 3.0 EEO-1 Reports 4.0 Training Plan 5.0 ERISA Notices 6.0 VETS-100 Report 7.0 Hiring Status Report 8.0 Compensation Summary
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Forms ADM109 EX1 Human Resource Reporting Summary ADM109 EX2 HR Hiring Status Report ADM110 Dress Code Activities 1.0 Dress Code 1.1 Business Attire 1.2 Business Casual Attire 1.3 Casual Attire 1.4 Uniformed Attire 1.5 Production Attire 1.6 Safety Attire 1.7 Black Tie & Formal Attire 1.8 Inappropriate Attire 2.0 Business Situations 2.1 Recreation & Parties 2.2 Dinners & Receptions 2.3 Evening Business Dress 3.0 Personal Hygiene 4.0 Disciplinary Action 410 Hiring Procedures ..........................................................................Section 5 HRG101 Employee Hiring Activities 1.0 Needs Analysis 2.0 Personnel Requisition 3.0 Job Posting & Screening 4.0 Interviewing 5.0 Pre-Employment Screening & Testing 6.0 Background Investigation 7.0 Hiring And Employee Offers 8.0 Motor Vehicle And Equipment Operation 9.0 Applicant Files 10.0 Additional Information Resources References A. Immigration Reform And Control Act (IRCA) Of 1986 B. Title Vii C. Age Discrimination In Employment Act D. Equal Pay Act E. Americans With Disabilities Act F. The Civil Rights Act Of 1991 G. Fair Labor Standards Act (FLSA) Of 1938 H. Davis Bacon Act I. Walsh-Healey Public Contracts Act (PCA) J. Service Contract Act (SCA)
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Forms HRG101 Ex1 Personnel Requisition HRG101 Ex2 Offer Letter HRG101 Ex3 Personnel Change Notice HRG101 Ex4 New Employee Hiring Checklist HRG101 PDF Employment Eligibility Verification (Form I-9) HRG101 PDF Employees Withholding Allowance Certificate (Form W-4) HRG102 Job Descriptions Activities 1.0 Job Description Preparation 2.0 Format And Content 2.1 Job Title 2.2 Effective Date 2.3 Department 2.4 Summary Of Functions 2.5 Essential Duties And Responsibilities 2.6 Organizational Relationships 2.7 Qualifications 2.8 Physical Demands 2.9 Work Environment 3.0 Job Description Approval & Distribution References A. Americans With Disabilities Act (ADA) Of 1990 Forms HRG102 Ex1 Job Description Format HRG103 Employment Applications Activities 1.0 Application For Employment 2.0 Application Information 2.1 Personal Information 2.2 Employment Interest 2.3 Education & Training 2.4 Employment History 2.5 Military Service Record 2.6 References 3.0 Compliance Information References A. Fair Credit Reporting Act (FCRA) B. State Credit Reporting Acts C. Americans With Disabilities Act (ADA) Of 1990 D. Section 503 Of The Rehabilitation Act Of 1973 E. Executive Order 11246 F. Civil Rights Acts G. Uniform Guidelines On Employee Selection Procedures (1978) H. Age Discrimination In Employment (ADEA) Act Of 1967
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Forms HRG103 Ex1 Employment Application HRG103 Ex2 Employment Application Supplement HRG104 Interviewing Applicants Activities 1.0 Interviewing Objectives 2.0 Resume Examination 3.0 Telephone Interviews 4.0 E-Mail Interviews 5.0 In-Person Interviews References A. Immigration Reform And Control Act (IRCA) Of 1986 B. Title VII Of The Civil Rights Act Of 1964 C. Age Discrimination In Employment Act D. Americans With Disabilities Act E. The Civil Rights Act Of 1991 Forms HRG104 Ex1 Employment Interview Questions HRG104 Ex2 Interview Form HRG105 Background Investigations Activities 1.0 Background And Hiring 2.0 Investigative Consumer Reporting 3.0 Employee Reference Checks 4.0 Motor Vehicle Record (MVR) Inquiry References A. Fair Credit Reporting Act (FCRA) B. State Credit Reporting Acts Forms HRG105 Ex1 Employee Investigation Checklist HRG105 Ex2 Employee Background Authorization HRG105 Ex3 New References Authorization HRG105 Ex4 Reference Check Survey 420 Compensation Procedures ........................................................... Section 6 COM101 Payroll Activities 1.0 Payroll Records 2.0 Timesheets 3.0 Payroll Deductions 3.1 Unemployment Tax 3.2 Worker's Compensation Insurance 3.3 Social Security & Medicare 3.4 State Income Tax
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Earnings Tax Tax Withholding Payments 401k Withholding 4.0 Payroll Adjustments 4.1 Advances 4.2 Garnishments 5.0 Paychecks 5.1 Direct Deposit 5.2 Lost Paychecks 5.3 Final Paychecks 6.0 Vacation Pay 7.0 Additional Information Resources References A. Fair Labor Standards Act (FLSA) B. Equal Pay Act C. Family And Medical Leave Act (FMLA) D. Irs Revenue Procedure 98-25 Records Retention E. Federal Insurance Contribution Act (FICA) F. Federal Unemployment Tax Act (FUTA) Forms COM101 Ex1 Bi-Weekly Time Sheet COM101 Ex2 Electronic Funds Transfer Authorization COM101 PDF Supplemental Data Sheet for Application for Authority to Employ Workers with Disabilities at Special Minimum Wages (WH-226a) COM101 PDF Federal Contractor Payroll (WH-347) COM102 Paid & Unpaid Leave Activities 1.0 Paid Time Off 2.0 Jury Duty 3.0 Military Leave 4.0 Unpaid Time Off 5.0 Absence Request And Notification 6.0 Holidays 7.0 Vacation Eligibility 7.1 Vacation Schedules 7.2 Vacation Over Holidays 8.0 Additional Information Resources References A. Uniformed Services Employment And Reemployment Rights Act B. Family And Medical Leave Act (FMLA) Of 1993 C. Pregnancy Discrimination Act Forms COM102 Ex1 Absence Request Form

3.5 3.6 3.7

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COM103 Insurance Benefits Activities 1.0 Life Insurance 2.0 Long Term Disability Insurance 3.0 Social Security 4.0 Workers' Compensation 5.0 Wage Continuation 6.0 Unemployment Compensation 7.0 Health Insurance 8.0 Additional Information Resources COM104 Healthcare Benefits Activities 1.0 Cost And Premiums 2.0 Eligibility 3.0 Enrollment 4.0 Coverage 5.0 Filing A Claim 6.0 Termination And Conversion Of Coverage 7.0 Additional Information Resources References A. Health Insurance Portability And Accountability Act (HIPAA) Of 1996 B. Consolidated Omnibus Budget Reconciliation Act (COBRA) C. Family And Medical Leave Act (FMLA) F. Pregnancy Discrimination Act Forms COM104 Ex1 Benefits Enrollment/Change Form COM105 Employee Retirement Income Security Activities 1.0 Plan Administration 1.1 Investment Policy Statement 1.2 Fidelity Bond 1.3 Fiduciary Liability Insurance 1.4 Employer Matching 1.5 In-Service Loans And Withdrawals 2.0 Employee Participation 3.0 Notice Procedures 3.1 Initial Notice 3.2 Annual Notices 4.0 Erisa Enforcement 5.0 Additional Information Resources COM106 Consolidated Budget Reconciliation Activities 1.0 Plan Administration 2.0 Qualifying Events
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3.0 Notice Procedures 4.0 COBRA Elections 5.0 Benefits Protection 6.0 COBRA Payments 7.0 Enforcement 8.0 Additional Information Resources References A. Family And Medical Leave Act (FMLA) Forms COM106 Ex1 Continuation Of Coverage (COBRA Notice/Election Form) 430 Development Procedures ..............................................................Section 7 DEV101 Development Management Activities 1.0 Development Planning 2.0 Training Effectiveness 3.0 Training Records 4.0 Training Courses 5.0 Performance Evaluations 6.0 Additional Information Resources References A. Occupational Safety And Health Act (OSHA) Of 1968 Forms DEV101 Ex1 Training Plan DEV102 Training Reimbursement Activities 1.0 Eligibility 2.0 Approved Programs 3.0 Reimbursement Forms DEV102 Ex 1 Request For Training DEV103 Computer User & Staff Training Activities 1.0 MIS Training And Certification 2.0 MIS/LAN User Training 3.0 E-Mail Training 4.0 Software Applications DEV104 Internet & E-Mail Acceptable Use Activities 1.0 Acceptable Use 2.0 Inappropriate Use 3.0 Internet And E-Mail Etiquette 4.0 Security
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5.0 User Compliance 6.0 Additional Information Resources Forms DEV104 Ex1 Computer And Internet Usage Policy DEV105 Performance Appraisals Activities 1.0 Performance Appraisal Guidelines 2.0 Appraisal Preparation 3.0 Appraisal Discussion 4.0 Salary Adjustments 5.0 Appraisal Conclusion 6.0 Additional Information Resources References A. Pregnancy Discrimination Act B. Title VII Of The Civil Rights Act Of 1964 C. Age Discrimination In Employment Act D. Equal Pay Act E. Americans With Disabilities Act F. The Civil Rights Act Of 1991 G. Fair Labor Standards Act (FLSA) Of 1938 Forms DEV105 Ex1 Self Appraisal Form DEV105 Ex2 Performance Appraisal Form DEV106 Employee Discipline Activities 1.0 Introduction To Misconduct 2.0 Responses To Misconduct 2.1 Verbal Warning 2.2 Written Warning 2.3 Suspension 2.4 Termination 3.0 Serious Misconduct 4.0 Very Serious Misconduct 5.0 Inexcusable Misconduct 6.0 Misconduct Investigations References A. Fair Credit Reporting Act (FCRA) Forms DEV106 Ex1 Disciplinary Notice 440 Compliance Procedures ................................................................Section 8 CMP101 Workplace Safety Activities 1.0 Worksite Analysis
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2.0

Hazard Prevention And Control 2.1 Safe Work Procedures 2.2 Protective Equipment 2.3 Fire Prevention 3.0 Hazard Communication Program 4.0 Medical Emergencies 5.0 Workplace Safety Training 6.0 Reporting And Record Keeping 7.0 Additional Information Resources Forms CMP101 Ex1 Safety Suggestion Sheet CMP101 Ex2 Workplace Safety Self-Inspection Checklist CMP101 Ex3 Workplace Safety Action Plan CMP101 Ex4 Workplace Safety Rules CMP101 Ex5 Index of Hazardous Chemicals & MSDS CMP101 PDF Material Safety Data Sheet (Form 174) CMP101 PDF Injuries and Illness Log (Form 300) CMP101 PDF Summary of Injuries and Illness (Form 300A) CMP101 PDF Injuries and Illness Incident Report (Form 301) CMP101 PDF Instructions for for OSHA Forms CMP102 Americans With Disabilities Activities 1.0 Background 2.0 Who Is Covered? 3.0 Employment Issues 4.0 Public Accommodations 5.0 Enforcement Of The Act 6.0 Additional Information Resources CMP103 Family And Medical Leave Activities 1.0 Reasons For Taking Leave 2.0 Advance Notice And Medical Certification 3.0 Job Benefits And Protection 4.0 Unlawful Acts 5.0 Enforcement 6.0 Employer Notices 7.0 Additional Information Resources Forms CMP103 Ex 1 Certification Of Healthcare Provider CMP103 Ex 2 Employer Response To Employee Request For Fmla CMP104 Drug Free Workplace Activities 1.0 General 2.0 Prohibitions
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3.0 Authorized Use Of Prescription Medicine 4.0 Drug Awareness Program 5.0 Disciplinary Actions 6.0 Additional Information Resources References A. Drug-Free Workplace Act Of 1988 B. Americans With Disabilities Act CMP105 Health Insurance Portability And Accountability Activities 1.0 Management 1.1 Privacy Standards 1.2 Consumer Control Over Health Information 1.3 Balancing Public Responsibility With Privacy Protections 1.4 Equivalent Requirements For Government Entities 1.5 State Confidentiality Laws 2.0 Medical Records Maintenance 3.0 Medical Records Access 4.0 Additional Information Resources Forms CMP105 HIPAA Authorization Form CMP106 Harassment & Discrimination Activities 1.0 Unacceptable Behavior 2.0 Complaint 3.0 Corrective Measures 4.0 Enforcement 5.0 Additional Information Resources References A. Title VII Of The Civil Rights Act Of 1964 B. Civil Rights Act Of 1991 C. Age Discrimination In Employment (ADEA) Act Of 1967 D. Older Workers Benefit Protection Act (OWBPA) E. Americans With Disabilities Act (ADA) Of 1990 F. Pregnancy Discrimination Act CMP107 Federal Posting Requirements Activities 1.0 Equal Employment Opportunity (EEO) Poster 2.0 Family And Medical Leave Act (FMLA) Poster 3.0 Fair Labor Standards Act (FLSA) Minimum Wage Poster 4.0 Notice To Workers With Disabilities/Special Minimum Wage Poster 5.0 Employee Polygraph Protection Act (EPPA) Poster 6.0 Davis-Bacon Poster (Government Construction) 7.0 Walsh-Healey Poster (Service Contract Act) 8.0 Occupational Safety And Health Act (OSHA) Poster
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Forms CMP107 PDF Equal Employment Opportunity Poster CMP107 PDF Family Medical Leave Act Poster (WH-1420) CMP107 PDF Fair Labor Standards Act Poster (WH-1088) CMP107 PDF Notice to Workers with Disabilities/Special Minimum Wage Poster (WH-1284) CMP107 PDF Employee Polygraph Protection Act Poster (WH-1462) CMP107 PDF Davis-Bacon Poster (WH-1321) CMP107 PDF Walsh-Healey Poster (WH-1313) CMP107 PDF Occupational Safety and Health Act Poster (OSHA 3165) CMP108 Equal Employment Opportunity Activities 1.0 EEO Posting Requirements 2.0 EEO-1 Reports 3.0 VETS-100 Report References A. Employer Information Eeo-1 Survey Form 100 B. Title VII, Civil Rights Act Of 1964 C. Vietnam Era Veterans' Readjustment Assistance Act D. Executive Order 11246 Forms CMP108 PDF EEO-1 Report CMP108 PDF VETS-100 Report 500 Job Descriptions Section ............................................................. Section 9 APPENDIX 2 SAMPLE JOB DESCRIPTIONS...............................................................27 Accounting Manager....................................................................................................29 Accounts Payable Clerk ...............................................................................................31 Accounts Receivable Clerk ..........................................................................................33 Administrative Assistant ..............................................................................................35 Broadcast Technician ...................................................................................................37 Carpenter ......................................................................................................................39 Carpentry Supervisor ...................................................................................................41 Cement Mason .............................................................................................................43 Civil Engineer ..............................................................................................................45 Controller .....................................................................................................................47 Credit Manager ............................................................................................................49 Customer Service Manager ..........................................................................................51 Data Processing Technician .........................................................................................53 Computer Programmer.................................................................................................55 Director Sponsorship Marketing ..................................................................................57 Director Of Quality Assurance ....................................................................................59
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Drafter/Graphic Illustrator ...........................................................................................61 Electrician ....................................................................................................................63 Engineering Manager ...................................................................................................65 Field Sales Representative ...........................................................................................67 Fund Raiser ..................................................................................................................69 Grants Coordinator.......................................................................................................71 General Accounting Manager ......................................................................................73 Health Services Administrator .....................................................................................75 Human Resources Manager .........................................................................................77 Industrial Engineer .......................................................................................................79 Internet Marketing Manager ........................................................................................81 Insurance Agent ...........................................................................................................83 Insurance Claims Representative .................................................................................85 Insurance Claims Supervisor .......................................................................................87 Laboratory Technician .................................................................................................89 Machinist......................................................................................................................91 Marketing Coordinator.................................................................................................93 Marketing Researcher ..................................................................................................95 Mechanic ......................................................................................................................97 Mechanical Engineer ...................................................................................................99 Media Specialist .........................................................................................................101 Medical Assistant .......................................................................................................103 Medical Record Administrator ..................................................................................105 Nurse ..........................................................................................................................107 Office Manager ..........................................................................................................109 Packaging Engineer ...................................................................................................111 Physician Assistant ....................................................................................................113 President .....................................................................................................................115 Product Development Assistant .................................................................................117 Project Manager .........................................................................................................119 Production Manager ...................................................................................................121 Purchasing Manager...................................................................................................123 Quality Control Manager ...........................................................................................125 Radio And Television Announcer .............................................................................127 Receptionist................................................................................................................129 Respiratory Therapist .................................................................................................131 Restaurant Manager ...................................................................................................133 Retail Manager ...........................................................................................................135
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Sales Manager ............................................................................................................137 Sales Representative ..................................................................................................139 Sales Order Clerk .......................................................................................................141 Shipping & Receiving Clerk ......................................................................................143 Sound Technician.......................................................................................................145 Stock Clerk.................................................................................................................147 Telemarketing ............................................................................................................149 Vice President Of Finance And Administration ........................................................151 Vice President Sales And Marketing .........................................................................153 Webmaster .................................................................................................................155 510 Sample Employee Handbook ..................................................... Section 10 Section 1: Introduction .........................................................................................................7 Section 2: Employment .....................................................................................................17 Section 3: Compensation & Benefits .................................................................................23 Section 4: Employee Responsibilities................................................................................35 Employee Handbook Forms ..............................................................................................49 600 Index ............................................................................................ Section 11 700 Index ............................................................................................ Section 12

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SOP # Revision: Effective Date:

Prepared Approved

by: by:

Title: HRG103 EMPLOYMENT APPLICATIONS


Policy: Purpose: Scope: The Company is an Equal Opportunity Employer that strives to match the best applicant to each available job opening. To collect standard applicant information that provides a fair and equal foundation to make hiring decisions. These procedures apply to all existing and potential company employees. The HR Manager is responsible for administrating the application process and then tabulating and distributing all compliance information. Definitions: Consumer Report. A report prepared by a Consumer Reporting Agency. This report contains information about a persons personal and credit characteristics, character, general reputation, and lifestyle.

Responsibilities:

Procedure: 1.0 1.1 APPLICATION FOR EMPLOYMENT All candidates for employment must fully complete, date and sign the standard Company Employment Application (HRG103 Ex1 EMPLOYMENT APPLICATION). A resume may be accepted in addition to the employment application. The form should be completed in detail and signed by the applicant. The company may investigate any portion of the requested information and may deny or later terminate the employment of anyone giving false or incomplete information. It is essential that all applicants sign their employment application. The signature provides specific protection for the company on several important terms and conditions. The completed application and resume should be made part of the personnel file (see ADM101 PERSONNEL RECORDS) of those applicants accepted for employment. Applications from applicants not selected for available openings should be maintained in an applicant file by the HR Manager for one (1) year and reviewed as suitable openings occur. INFORMATION Complete contact information is required for most parts of the application in order to verify the applicants credentials during the background investigation.

1.2

1.3

1.4

2.0 APPLICATION

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2.1 PERSONAL

INFORMATION

The application should include their name along with complete contact information including: mailing address, home and business phone numbers, and email. 2.2 EMPLOYMENT INTEREST

The Applicant should list the position applied for and possible start date for employment. 2.3 EDUCATION & TRAINING Complete contact information is required in order to verify the applicants credentials during the background investigation. Most positions require a minimum of a high school education. 2.4 EMPLOYMENT HISTORY

Complete contact information is required in order to verify the applicants credentials during the background investigation. If the applicant has little work experience then list part-time jobs, volunteer work, or training classes taken instead of experience. 2.5 MILITARY SERVICE RECORD

Complete contact information is required in order to verify the applicants credentials during the background investigation. 2.6 REFERENCES The application should include the name, position, complete mailing address, and work and home phone numbers of at least three references, such as prior supervisors, who have first hand knowledge of the candidates professional preparation and competence. References from relatives are not acceptable. 3.0 COMPLIANCE 3.1 INFORMATION

In order for the company to comply with federal government regulations regarding affirmative action requirements of section 503 of the Rehabilitation Act of 1973 to employ people without discrimination, it is necessary for the company to compile and maintain detailed information on each formal candidate for employment and those who are hired. This information may include the candidate or employee's sex, race, handicap status and veteran's status including service during the Vietnam Era to satisfy the section 503 affirmative action requirements. Once this data is collected, then the HRG103 Ex2 EMPLOYMENT APPLICATION SUPPLEMENT should be detached and kept as a separate, confidential record, apart from regular personnel records.

3.2

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NOTE: A pre-employment inquiry about a disability is allowed if required by another Federal law or regulation such as those applicable to disabled veterans and veterans of the Vietnam era. Pre-employment inquiries about disabilities may be necessary under such laws to identify applicants or clients with disabilities in order to provide them with required special services. 3.2.1 4.0 At the end of each year, the HR Manager should compile and tabulate the data collected to determine the diversity of the applicant pool versus those hired. ADDITIONAL INFORMATION RESOURCES More information is available from the following resources: Answers to Commonly Asked Questions About the Fair Credit Reporting Act (FCRA) http://www.gcwf.com/articles/elu/elu6_99_1.html Avoiding Liability When Responding To Job Reference Requests http://www.reinhartlaw.com/Articles/lab/jobref.htm Issues and Trends in Employment References and Defamation http://www.ljx.com/practice/laboremployment/0606deflab.html Complete text of the Fair Credit Reporting Act www.ftc.gov/os/statutes/fcra.htm California Investigative Consumer Reporting Agencies Act, California Civil Code 1786, http://www.privacy.ca.gov/code/ccra.htm References: A. Fair Credit Reporting Act (FCRA) The FCRA is designed to promote accuracy and ensure the privacy of the information used in consumer reports and to guarantee that the information supplied by consumer reporting agencies is as accurate as possible. Amendments, which went into effect September 30, 1997, expanded employer responsibilities to ensure: (1) That individuals are aware that consumer reports may be used for employment purposes and agree to such use, and (2) That individuals are notified promptly if information in a consumer report may result in a negative employment or credit granting decision. B. State Credit Reporting Acts The Federal Fair Credit Reporting Act (FCRA) sets national standards for employment screening. Many states have additional laws, such as Californias Investigative Consumer Reporting Agencies Act (Civil Code 1786) and the California Consumer Credit Reporting Agency Act (Civil Code 1785). In addition, many state labor laws and employment guidelines limit the information obtainable in an employment background check.

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C.

AMERICANS WITH DISABILITIES ACT (ADA) OF 1990 The Americans with Disabilities Act gives civil rights protections to individuals with disabilities similar to those provided to individuals on the basis of race, color, sex, national origin, age, and religion. It guarantees equal opportunity for individuals with disabilities in public accommodations, employment, transportation, State and local government services, and telecommunications. The title I employment provisions apply to private employers with 15 or more employees, State and local governments, employment agencies, and labor unions. The ADA prohibits discrimination in all employment practices, including job application procedures, hiring, firing, advancement, compensation, training, and other terms, conditions, and privileges of employment. It applies to recruitment, advertising, tenure, layoff, leave, fringe benefits, and all other employmentrelated activities.

D.

Section 503 of the Rehabilitation Act of 1973 Federal contractors and subcontractors who are covered by the affirmative action requirements of section 503 of the Rehabilitation Act of 1973 may invite individuals with disabilities to identify themselves on a job application form or by other pre-employment inquiry, to satisfy the section 503 affirmative action requirements. Employers who request such information must observe section 503 requirements regarding the manner in which such information is requested and used, and the procedures for maintaining such information as a separate, confidential record, apart from regular personnel records. A pre-employment inquiry about a disability is allowed if required by another Federal law or regulation such as those applicable to disabled veterans and veterans of the Vietnam era. Pre-employment inquiries about disabilities may be necessary under such laws to identify applicants or clients with disabilities in order to provide them with required special services.

E.

Executive Order 11246 Applies to federal contractors and requires the preparation of affirmative action plans. Affirmative action plans must be updated annually and retained for two years along with all applications and other personnel records that form the basis of the companys employment decisions. Generally, personnel and employment records must be retained for two years.

F.

CIVIL RIGHTS ACTs TITLE VII OF THE CIVIL RIGHTS ACT of 1964, as amended, prohibits employers from discriminating against individuals on the basis of race, color, sex, national origin or religion with respect to hiring, discharge, compensation, promotion, classification, training, or other terms, conditions, and privileges of

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employment. Sexual harassment is considered a form of discrimination based on sex, and is therefore covered under Title VII. The CIVIL RIGHTS ACT OF 1991 adds compensatory and punitive damages, up to a total of $300,000, to the available remedies when employers are found to have engaged in intentional unlawful discrimination as prohibited by the Civil Rights Act of 1964, the Americans with Disabilities Act, or the Vocational Rehabilitation Act of 1973. THE CIVIL RIGHTS ACT OF 1991 also prohibits employers from adjusting the scores of employment-related tests, or using different cut-off scores, or otherwise altering test results, on the basis of race, color, religion, sex, or national origin. G. UNIFORM GUIDELINES ON EMPLOYEE SELECTION PROCEDURES (1978) The Uniform Guidelines on Employee Selection Procedures are regulations originally developed by the Federal government for use in the enforcement of civil rights legislation. The Uniform Guidelines require that employers demonstrate the validity of any procedure, process, or examination that tests, screens, or otherwise impacts an individual's ability to obtain or retain employment or to advance in that organization. The use of any selection procedure that has an adverse impact on the hiring, promotion, or other employment opportunities of persons in under represented classes is considered discriminatory unless the procedure has been validated in accordance with these Guidelines. When the selection rate for any underutilized group is less than 4/5ths (80%) of the rate of the group that has the highest selection rate, the selection procedure is considered to have adverse impact on that group, and a prima facie case of discrimination will have been established. For example: If the selection rate for white applicants in an employment examination is 100 out of 500 (20%), a selection rate less than 16% (80% of 20%) of applicants from any under represented group would constitute adverse impact. If adverse impact is found, the employer should prove the validity of its procedures using professional standards from the field of testing and measurement as outlined in the Uniform Guidelines. The importance of appropriate, job-related recruitment, selection, promotion, placement, training and retention decision-making procedures cannot be overstated. This requires careful scrutiny of the decision-making process used in all personnel actions. Staffing patterns should be monitored to identify under represented groups at all levels in The Company's work force. When disparities exist, special strategies may then be initiated to identify and recruit individuals from under represented groups. Human Resources is available for consultation with managers regarding any aspect of personnel assessment.
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H.

AGE DISCRIMINATION IN EMPLOYMENT (ADEA) ACT OF 1967 The ADEA prohibits discrimination against persons aged 40 and over on the basis of age with regard to hiring, discharge, compensation or other terms of employment. The ADEA is enforced by the EEOC.

Revision History: `Revision 0 05/02/03 Date Description of changes Initial Release Requested By

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HRG103 Ex1 EMPLOYMENT APPLICATION


Application Date: This company is an equal opportunity employer and will not discriminate in the hiring process because of sex, religion, race, color, age, national origin, or disabilities.

PERSONAL INFORMATION
Last Name Street Address City, State, Zip Are you 18 years of age or older? Yes No E-mail First Middle Social Security No. Home Phone ( ( ) ) Business Phone Are you legally eligible for employment in the U.S? Yes No

EMPLOYMENT INTEREST
Position: ______________________________________ Date you can start? Salary Desired: ___________ Can you work overtime if necessary? Yes No

Have you ever applied for employment with this company before? Yes No If yes, when

EDUCATION AND TRAINING


School High Trade or Business College Graduate Other License or Certificate Training Other Special Training Name and Location of School Course of Study No. Years Completed Did you Graduate? Yes No Yes No Yes No Yes No Yes No Yes No Degree or Diploma

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EMPLOYMENT HISTORY
(list below last three employers, starting with last one first) Company Name Employed (Mo and Year) From To Address and Telephone State Job Title and Describe Your Work Pay or Salary Reason for Leaving

Company Name Address and Telephone State Job Title and Describe Your Work

Employed (Mo and Year) From To Pay or Salary Reason for Leaving

Company Name Address and Telephone State Job Title and Describe Your Work

Employed (Mo and Year) From To Pay or Salary Reason for Leaving

Have you served in the U.S. Armed Forces? Date of Entry Date of Discharge

MILITARY SERVICE RECORD

Yes No Branch of Service Final Rank

Indicate service school attended or special training received

REFERENCES

Name & Address

(Do not list Relatives or Former Employers)

Telephone Years Known

Occupation

CERTIFICATE OF APPLICANT
I HEREBY ATTEST that all statements made in this application are true and correct to the best of my knowledge. I understand and agree that any deception, fraud or my providing false or misleading statements of material facts in this application or examination process may cause the forfeiture of all rights to any employment or immediate termination if discovered after starting employment. Signature of Applicant _______________________________________________ ______________________________________________________________________________________ Sample Package Page 25 of 26
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HRG103 Ex2 EMPLOYMENT APPLICATION SUPPLEMENT


This information is needed for statistical purposes to meet Federal Affirmative Action reporting requirements on Equal Employment Opportunity. Your participation in this survey is voluntary and your replies will be kept confidential. This survey will be detached from the application form prior to review of your qualifications. 1. POSITION APPLYING FOR: ________________________________ 2. SEX: 3. AGE: Male Under 20 Female 20-39 40-65 66 and over

4. ETHNIC BACKGROUND: Please review all categories listed below. Determine the category, which you believe best represents your ethnic background. Check one category only. A. B. C. White, Non-Hispanic - A U.S. Citizen having origins in any of the original peoples of Europe, North Africa, or the Middle East. Hispanic - A U.S. Citizen of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race. Asian - Includes Chinese, Japanese, Korean, Filipino, Burmese, Thais, Vietnamese, Pacific Islanders, and others from Asia.

D. Black (African-American) - A U.S. Citizen having origins in any of the Black racial groups of Africa. Non-Hispanic. E. F. American Indian - Includes Alaskan and other Native Americans. OTHER - Check here if you are uncertain of the category to which you belong and enter either: 1. Specific ethnic descent: _________________________________ 2. Mixture of ethnic descent: _______________________________ 5. Did you serve in the US armed forces during the Vietnam Era*? 6. Are you a Disabled Veteran? 6. Do you have a Disability? Yes Yes Yes No No No

*Active duty for 180 consecutive days between 5 Aug, 1964, and 7 May 1975.

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Sample Package

Business Sampler
Policies, Procedures & Forms
Quick Facts
This manual includes 760 Pages of materials: 111 pre-written policies & procedures 124 accompanying forms What you will get, when you buy: 1. Editable Microsoft Word files for immediate download. 2. Optional hardbound book containing all content.

This Sample Package contains: A: Overview of the Sample Package (1 page) B: Table of Contents (21 pages) C: Policy, Procedure, and Form Set (7 pages) View Product Details Online: http://store.bizmanualz.com/Business-Policies-and-Procedures-Sampler-p/a490m.htm
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Dear Business Executive: Thank you from downloading this sample content from Bizmanualz. Whether you are looking to write policies and procedures, or are trying to manage and share them, Bizmanualz has the right solution. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important to you ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains a complete table of contents and a complete policy, procedure and form(s) set. The purpose is to give you a clear idea of how our policies and procedures are written, formatted, and presented for you to customize. If you have any questions after reading this sample package, please feel free to contact us online or call us at 1-800-466-9953 (toll free, US only) or at 314-863-5079, or send an email to sales@bizmanualz.com. Thanks again.

Each policy/procedure template includes: Policy Purpose Scope Responsibilities Definitions Procedure Activities, references & forms where applicable. TERMS & DEFINITIONS Manual: A system of approved policy statements and corresponding procedural guidelines and supporting forms that direct an organization toward its operational goals. Policy: A stated course of action with a defined purpose and scope to guide decision-making under a given set of circumstances within the framework of corporate objectives, goals and management philosophies. Procedure: A series of prescribed steps followed in a definite regular order which ensure adherence to the guidelines set forth in the Policy to which the Procedure applies Activity: An action, element or decision representing a prescribed step in the Procedure process. Task: A detailed component of an Activity specifying required behavior to complete the activity. Form: A pre-formatted document containing instructions and placeholders for data entry to monitor progress through a particular Procedure and to ensure proper recordkeeping.

Best regards,

Chris Anderson Managing Director, Bizmanualz St. Louis, Missouri

Comprehensive Bizmanualz Policies and Procedures Library Accounting Finance Computer & IT Human Resources CFO Series Bundle (save 42%) Sales & Marketing Human Resources Business Sampler Security Planning CEO Series Bundle (Save 53%)
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Business Sampler Policies, Procedures & Forms Table of Contents


Introduction ........................................................................................... Section 1 Manual Preparation ............................................................................... Section 2 Business Procedures ........................................................................... Section 3 Accounting Procedures ........................................................................ Section 4 ACT101 Accounts Payable and Cash Disbursements Sections 1.0 Documenting Accounts Payable ................................................................. 1 2.0 Recording ...................................................................................................2 3.0 Payment of Accounts Payable .................................................................... 2 4.0 Manual Checks and C.O.D. Payments .......................................................2 ACT102 Bad/NSF Checks Sections 1.0 Returned Checks ........................................................................................ 1 2.0 Redeposited Checks ..................................................................................1 ACT103 Bank Account Reconciliation Sections 1.0 Reconciliation Format .................................................................................1 2.0 Preparation and Reconciling Items ............................................................. 1 3.0 Adjustments and Journal Entries ................................................................2 Forms ACT103-1 / Reconciliation of Bank and Book Balances to Corrected Balance ..3 ACT104 Cash Drawers Sections 1.0 Opening ......................................................................................................1 2.0 Closing .......................................................................................................1 ACT105 Cash Receipts Sections 1.0 Receiving .................................................................................................... 1 2.0 Application ..................................................................................................1 3.0 Deposit .......................................................................................................2 ACT106 Check Requests Sections 1.0 Origination ..................................................................................................1 2.0 Processing .................................................................................................. 1 Forms ACT106-1 / Check Request ................................................................................ 3
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ACT107 Check Signing Authority Sections 1.0 Authorized Check Signers ..........................................................................1 2.0 Signature Levels Required .........................................................................1 ACT108 Chart of Accounts Sections 1.0 Design of Accounts.....................................................................................1 2.0 Description and Definition of Accounts .......................................................2 Forms ACT108-1 / Sample Company Account Codes ..................................................5 ACT109 Capitalization and Depreciation of Fixed Assets Sections 1.0 Capitalization ..............................................................................................1 2.0 Depreciation ...............................................................................................2 ACT110 Fixed Asset Control Sections 1.0 Acquisitions ................................................................................................1 2.0 Dispositions ................................................................................................2 3.0 Asset Records ............................................................................................2 Forms ACT110-1 / Capital Asset Requisition ................................................................5 ACT110-2 / Asset Disposition Form ...................................................................7 ACT111 Invoice Billings and Accounts Receivable Sections 1.0 Sales Order Routing and Review ...............................................................1 2.0 Invoice Preparation and Posting ................................................................. 1 3.0 Distribution .................................................................................................2 4.0 Accounts Receivable ..................................................................................2 Forms ACT111-1 / Sales Order .....................................................................................5 ACT111-2 / Invoice .............................................................................................7 ACT111-3 / Accounts Receivable Write-off Authorization ..................................9 ACT112 Petty Cash Sections 1.0 Fund Control ..............................................................................................1 2.0 Petty Cash Draws .......................................................................................1 3.0 Petty Cash Replenishment .........................................................................1 ACT113 Unsigned or Partial Payment Checks Sections 1.0 Unsigned Checks .......................................................................................1
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2.0 Partial Payment Checks Marked "Payment In Full" ....................................1 ACT114 Year-End Closing Sections 1.0 Assets.........................................................................................................1 2.0 Liabilities and Stockholders Equity .............................................................2 3.0 Revenues ...................................................................................................3 4.0 Expenses .................................................................................................... 3 Administration Procedures .................................................................. Section 5 ADM101 Board of Directors' & Shareholders' Meetings, Minutes, and Protocol Sections 1.0 Structure of Corporate Authority .................................................................2 2.0 Shareholder Meetings and Minutes ............................................................2 3.0 Directors' Meetings and Minutes ................................................................4 Forms ADM101-1 / Notice of Stockholders' Meeting .....................................................7 ADM101-2 / Waiver of Notice of Stockholders' Meeting .....................................9 ADM101-3 / Authorization of Proxy to Vote Shares .......................................... 11 ADM101-4 / Minutes of Stockholders' Meeting ............................................................ 13 ADM101-5 / Minutes of Board of Directors' Meeting ......................................... 17 ADM102 Controlling Legal Costs Sections 1.0 Arbitration ...................................................................................................1 2.0 Legal Services ............................................................................................2 3.0 Legal Billings ..............................................................................................2 ADM103 File and Record Management Sections 1.0 Current Filing System .................................................................................1 2.0 Record Retention and Long-Term Storage .................................................2 3.0 Record Destruction ..................................................................................... 2 Forms ADM103-1 / Master File Index ............................................................................5 ADM103-2 / Record Retention Guidelines .......................................................... 9 ADM104 Form Development and Forms Manual Sections 1.0 Form Development and Format .................................................................. 1 2.0 Authorization and Printing ..........................................................................2 3.0 Form Numbering and Placement ................................................................ 2 4.0 Forms Index and Manual ............................................................................2 Forms ADM104-1 / Form Printing Request....................................................................5
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ADM105 Job Descriptions Sections 1.0 Job Description Preparation .......................................................................1 2.0 Job Description Format and Content ..........................................................2 3.0 Job Description Approval and Distribution ..................................................3 4.0 Job Description Review ..............................................................................4 Forms ADM105-1 / Job Description ............................................................................... 7 ADM106 Mail and Express Services Sections 1.0 Mail .............................................................................................................1 2.0 Express Mail / Package Delivery ................................................................2 ADM107 Management Reporting Sections 1.0 Report Development...................................................................................1 2.0 Reporting Summary....................................................................................1 Forms ADM107-1 / Department Reporting Summary ....................................................3 ADM108 Telephone Answering Sections 1.0 Answering Techniques and Etiquette .........................................................1 2.0 Answering and Directing Calls .................................................................... 3 3.0 Taking Messages .......................................................................................3 4.0 Telephone Users Guide .............................................................................4 ADM109 Travel & Entertainment Sections 1.0 Travel Arrangements ..................................................................................1 2.0 Expense Guidelines....................................................................................2 3.0 Expense Report Preparation and Reimbursement .....................................4 Forms ADM109-1 / Travel Arrangements Form ............................................................. 7 ADM109-2 / Travel and Miscellaneous Expense Report ....................................9 ADM109-3 / Entertainment and Business Gift Expense Report .......................11 Customer Service Procedures ............................................................. Section 6 CSV101 Customer Satisfaction Survey Sections 1.0 Satisfaction Survey Preparation .................................................................1 2.0 Satisfaction Survey Follow-up ....................................................................1 Forms CSV101-1 / Customer Satisfaction Survey .........................................................3
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CSV102 Customer Service Contact / Complaint Handling Sections 1.0 Receiving a Contact/Complaint from a Customer ....................................... 2 2.0 Trouble Shooting/Problem Diagnosis .........................................................3 3.0 Repairs and/or Replacements ....................................................................3 4.0 Trend Analysis ............................................................................................ 4 Forms CSV102-1 / Customer Service Contact ..............................................................7 CSV102-2 / Customer Service Log.....................................................................9 CSV103 Service Satisfaction Sections 1.0 Post-Service Follow-up...............................................................................1 2.0 Reporting ....................................................................................................1 Forms CSV103-1 / Customer Service Satisfaction Report ............................................2 CSV104 Post-Sale Customer Follow-Up Sections 1.0 Post-Sale Follow-up ...................................................................................1 2.0 Reporting Post-Sale Satisfaction ................................................................2 Forms CSV104-1 / Post-Sale Satisfaction Report .........................................................3 CSV105 Service Parts Pricing Sections 1.0 Parts Pricing ...............................................................................................1 2.0 Shipping and Handling ...............................................................................1 CSV106 Warranty and Service Policies Sections 1.0 Warranty Coverage ....................................................................................1 2.0 Service Programs .......................................................................................2 Forms CSV106-1 / Limited Warranty .............................................................................5 Disaster Management Procedures ...................................................... Section 7 DMP101 Disaster Management Plan Sections 1.0 Disaster Management Team ......................................................................1 2.0 Annual Risk Assessment and Evaluation ...................................................3 Forms DMP101-1 / Disaster Management Plan Test ....................................................9

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DMP102 Service Agreements, Emergency Services Agencies, and Community Resources Sections 1.0 Emergency Services...................................................................................1 2.0 Service Agreements ...................................................................................1 Forms DMP102-1 / Emergency Services and Related Agencies List ............................3 DMP103 Centers of Operation Sections 1.0 Supplies and Equipment.............................................................................1 2.0 Storage Site ................................................................................................2 DMP104 Emergency Notification Procedures Sections 1.0 Employee Lists ...........................................................................................1 2.0 Notification and Response .......................................................................... 1 3.0 Emergency Activity Log ..............................................................................2 Forms DMP104-1 / Employee Personal Profile .............................................................5 DMP104-2 / Chronological Log of Events ...........................................................9 DMP105 Office and Department Recovery Sections 1.0 Telephone Use ...........................................................................................1 2.0 Immediate Actions ......................................................................................3 3.0 Company Functions....................................................................................3 4.0 Duties and Responsibilities ........................................................................4 5.0 Evacuation .................................................................................................. 5 6.0 Alternate Sites ............................................................................................5 7.0 Recovery ....................................................................................................5 Forms DMP105-1 / Recovery Worksheet ......................................................................9 DMP105-2 / Restoration Worksheet .................................................................11 DMP105-3 / Resumption Worksheet ................................................................13 DMP105-4 / Reconstruction Worksheet ........................................................... 15 DMP105-5 / Disaster Recovery Log ................................................................. 17 Engineering Procedures ....................................................................... Section 8 ENG101 Drawings and Schematics Sections 1.0 Drawing Requirements ...............................................................................1 2.0 Drawing Control .......................................................................................... 1

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ENG102 Engineering Change/Document Change Control Sections 1.0 Request for Design and/or Process Changes ............................................2 2.0 Engineering Change Notice and Document Change Control .....................3 Forms ENG102-1 / Request for Engineering Action ......................................................5 ENG102-2 / Engineering Change Notice/Document Change Control.................7 ENG103 Labeling Sections 1.0 Labeling Preparation ..................................................................................2 2.0 Labeling Approval and Implementation ......................................................2 3.0 Label Control ..............................................................................................3 Forms ENG103-1 / Approval Form for Labels and Labeling ..........................................5 ENG104 Device Master Record Sections 1.0 Preparation of Device Master Record.........................................................1 2.0 Records Retention and Location ................................................................4 3.0 Authorization and Change Control .............................................................5 Forms ENG104-1 / Device Master Record Contents .....................................................7 ENG104-2 / Device Master Record Index ........................................................11 ENG104-3 / Device Specification .....................................................................13 ENG105 Operation/Service Manuals Sections 1.0 Preparation and Updating of Operation/Service Manuals...........................1 2.0 Operation/Service Manuals Content ........................................................... 1 3.0 Operation/Service Manuals Style, Format and Production ......................5 ENG106 Patents Sections 1.0 Qualifying Ideas or Designs ........................................................................ 1 2.0 Documenting the Development of an Idea or Invention ..............................2 3.0 Patent Application ......................................................................................2 ENG107 Preproduction Quality and Planning Sections 1.0 Design Completion .....................................................................................1 2.0 Design Transfer and Documentation ..........................................................2 3.0 Production Plan ..........................................................................................3 Forms ENG107-1 / Design Completion Checklist for Electromechanical Devices .........7 ENG107-2 / Design Completion Checklist for Non-Electromechanical Devices11
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ENG107-3 / Finished Product Release ............................................................. 13 ENG108 Product Design and Development Sections 1.0 New Product Initiation.................................................................................2 2.0 Design Planning .........................................................................................4 3.0 Product Development .................................................................................4 4.0 Product Testing and Qualification ............................................................... 5 5.0 Design Review and Verification ..................................................................6 6.0 Product Design Documentation ..................................................................7 Forms ENG108-1 / Product Design Review Checklist ...................................................7 ENG109 Product Identification and Safety Hazard Labels Sections 1.0 Product Identification Labels ......................................................................1 2.0 Safety Hazard Labels .................................................................................2 Forms ENG109-1 / Product Identification Label ............................................................5 ENG109-2 / Product Safety Hazard Label (examples) .......................................7 Environmental Management Procedures ............................................ Section 9 ENV101 Environmental Protection Sections 1.0 Waste Minimization ....................................................................................1 2.0 Recycling ....................................................................................................2 3.0 Energy Conservation ..................................................................................2 4.0 Pesticide Application ..................................................................................2 5.0 Refrigerant Disposal ...................................................................................3 6.0 Company Vehicle Maintenance ..................................................................3 ENV102 Hazardous Waste Management Sections 1.0 Hazardous Waste Determination ................................................................ 1 2.0 Hazardous Waste Generator Classification ................................................2 3.0 Compliance Self-Inspection ........................................................................3 4.0 Hazardous Waste Management Training ...................................................4 5.0 Regulatory Inspections ...............................................................................5 Forms ENV102-1 / Hazardous Waste Determination Checklist .....................................7 ENV102-2 / Hazardous Waste Determination Sheet ..........................................9 ENV102-3 / Compliance Self-Inspection Checklist ...........................................11 ENV102-4 / Environmental Management Action Plan ...................................... 15 ENV103 Air/Water/Soil Resource Management Sections
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1.0 2.0 3.0 4.0 5.0

Air Pollution ................................................................................................1 Asbestos Management ............................................................................... 2 Water Pollution ...........................................................................................2 PCB Management ......................................................................................3 Underground Storage Tank Management ..................................................3

Finance and Credit Procedures ......................................................... Section 10 FCR101 Account Collection Process Sections 1.0 Collection Process ...................................................................................... 1 2.0 Seriously Delinquent or Unresponsive Accounts ........................................3 Forms FCR101-1 / Accounts Receivable Collection Control Form ................................5 FCR102 Bank Loan Applications Sections 1.0 Assessment of Capital Requirements.........................................................1 2.0 Preparation of Loan Application .................................................................2 FCR103 Banking Policy and Relations Sections 1.0 Banking Relations.......................................................................................1 2.0 Banking Policy and Arrangements .............................................................2 FCR104 Business Plans and Forecasts Sections 1.0 Business Plans Background and Management Philosophy .....................1 2.0 Business Plans Development and Format ............................................... 1 3.0 Business Plan Preparation .........................................................................2 FCR105 Customer Credit Approval and Credit Terms Sections 1.0 Credit Application .......................................................................................1 2.0 Credit Investigations ...................................................................................1 3.0 Credit Approval/Rejection ...........................................................................3 Forms FCR105-1 / Credit Application ............................................................................5 FCR105-2 / Request for Credit Approval ............................................................7 FCR105-3 / Credit Inquiry ...................................................................................9 FCR106 Exercise of Incentive Stock Options Sections 1.0 Notification of Exercise ...............................................................................1 2.0 Payroll Deduction Plan ...............................................................................2 Forms FCR106-1 / Stock Option Exercise Letter (sample) ............................................3
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FCR106-2 / Payroll Deduction - Stock Purchase ................................................5 FCR107 Property Tax Assessments Sections 1.0 Review of Assessments .............................................................................1 2.0 Appealing Assessments .............................................................................3 FCR108 Release of Financial or Confidential Information Sections 1.0 Written Requests for Confidential/Financial Information .............................1 2.0 Telephone/Personal Requests ...................................................................1 FCR109 Stock Transactions Sections 1.0 Stock Issuances .........................................................................................1 2.0 Stock Transfers ..........................................................................................1 Forms FCR109-1 / Stock Issuances Journal .................................................................3 FCR109-2 / Stock Transfer Ledger.....................................................................5 FCR110 Weekly Financial and Six Week Cash Flow Reports Sections 1.0 Preparation Guidelines ...............................................................................1 2.0 Weekly Financial Report .............................................................................1 3.0 Six Week Cash Flow Report ....................................................................... 2 Forms FCR110-1 / Weekly Financial Report .................................................................3 FCR110-2 / Six-Week Cash Flow Report ...........................................................5 Manufacturing Procedures ................................................................. Section 11 MFG101 Assembly Manuals Sections 1.0 Preparation of Assembly Manuals ..............................................................1 2.0 Models or Samples .....................................................................................2 MFG102 Bill of Materials Sections 1.0 Preparation of a Bill of Materials ................................................................. 1 2.0 Contents of a Bill of Materials .....................................................................1 3.0 Change to Bill of Materials ..........................................................................2 Forms MFG102-1 / Bill of Materials form (sample) ........................................................5 MFG103 Calibration for Testing and Measuring Equipment Sections 1.0 Storage, Handling, and Maintenance .........................................................2
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2.0 Calibration and Recalibration .....................................................................2 3.0 Recordkeeping and Labeling ......................................................................3 4.0 Recall System ............................................................................................4 5.0 Out-of-Tolerance Conditions ......................................................................4 6.0 Control of Subcontractor Calibration...........................................................4 Forms MFG103-1 / Calibration Record .......................................................................... 7 MFG104 FDA Inspections Sections 1.0 Audit Selection Process..............................................................................1 2.0 Inspection Announcement Protocol ............................................................2 3.0 Conduct During the Inspection ...................................................................3 4.0 Areas of Inspection ..................................................................................... 4 5.0 Close-Out Meeting and Post-Inspection .....................................................4 Forms MFG104-1 / Triggers and Decision Points for GMP Inspections ........................7 MFG104-2 / Excerpts of the FDA Two-Track GMP Inspection Strategy and Compliance Program .......................................................................9 MFG105 ISO 9000 Compliance Sections 1.0 Background ISO and ISO Standards .......................................................2 2.0 Overview of ISO 9001 ................................................................................2 3.0 Quality System Objectives and Principles ..................................................4 4.0 Quality Management System Development ...............................................6 5.0 ISO Registration .........................................................................................6 MFG106 Master Parts List and Files Sections 1.0 Master Parts List.........................................................................................1 2.0 Parts Files ..................................................................................................2 Forms MFG106-1 / Master Parts List ............................................................................5 MFG106-2 / Part Number Record.......................................................................7 MFG107 Part Number Designation Sections 1.0 Number Designation ................................................................................... 1 2.0 Part Number Assignment/Recordkeeping ..................................................1 3.0 Classification System .................................................................................2 MFG108 Serial Number Designation Sections 1.0 Serial Numbering ........................................................................................ 1
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MFG109 Quality Control for Finished Goods Sections 1.0 Assembly ....................................................................................................1 2.0 Finished Goods ..........................................................................................1 3.0 Rejection and Disposition ...........................................................................2 MFG110 Quality Assurance Audit Procedures Sections 1.0 Audit Guide .................................................................................................1 2.0 Audit Process ........................................................................................................... 1 3.0 Corrective Action ........................................................................................2 4.0 Audit Records .......................................................................................................... 2 Forms MFG110-1 / Quality Assurance Audit Checklist .................................................. 5 MFG111 Corrective Action Sections 1.0 Initiating a Corrective Action .......................................................................2 2.0 Investigating the Cause ..............................................................................2 3.0 Taking Corrective Action ............................................................................2 4.0 Verification and Closure .............................................................................3 Forms MFG111-1 / Corrective Action Request ..............................................................5 Information Technology Procedures ................................................. Section 12 MIS101 IT Asset Standards Sections 1.0 IT Asset Standards Development ........................................................................... 1 2.0 IT Asset Standards Implementation........................................................... 2 3.0 IT Asset Standards Assessment ............................................................... 2 Forms MIS101-1 / IT Asset Standards List ....................................................................5 MIS101-2 / IT Asset Configuration Worksheet ...................................................9 MIS101-3 / IT Asset Standards Exception Request.......................................... 11 MIS102 Use of Non-Standard Software Sections 1.0 Requesting Non-Standard Software ........................................................................ 2 2.0 Adding Non-Standard Software to the COE ........................................................... 2 3.0 Software Not Permitted Under Any Circumstances ................................................ 2 Forms MIS102-1 / Non-Standard Software Request .....................................................5 MIS103 IT Incident Handling Sections 1.0 IT Incident Handling Preparation ............................................................................ 2
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2.0 IT Incident Handling................................................................................................ 2 3.0 IT Incident Handling Review .................................................................................. 3 Forms MIS103-1 / IT Incident Report/Response Form ..................................................7 MIS104 Computer Viruses and Malware Sections 1.0 Malware Defense Planning ...................................................................................... 2 2.0 Malware Defense Plan ............................................................................................. 3 3.0 Malware Defense Plan Review ................................................................................ 4 4.0 Malware Defense Plan Update ................................................................................ 4 MIS105 IT User-Staff Training Plan Sections 1.0 Planning IT User/Staff Training ..................................................................1 2.0 IT User-Staff Training Plan .........................................................................2 3.0 IT User-Staff Training Plan Evaluation (Review) ........................................3 4.0 IT User-Staff Training Plan Update.............................................................3 Forms MIS105-1 / IT Training Requirements List ..........................................................7 MIS105-2 / IT Training Log .................................................................................9 MIS106 Computer and Internet Usage Policy Sections 1.0 Acceptable Use Computers and Internet .................................................1 2.0 Inappropriate Use Computers and Internet .............................................2 3.0 Internet and E-Mail Etiquette ......................................................................2 4.0 Computer and Internet Usage Security ...................................................3 5.0 Computer and Internet Usage Penalties..................................................3 Forms MIS106-1 / Computer and Internet Usage Policy Acknowledgement .................7 MIS107 E-Mail Policy Sections 1.0 E-Mail Policy Development ......................................................................... 2 2.0 E-Mail Policy Implementation .....................................................................2 3.0 E-Mail Policy Review ..................................................................................2 4.0 E-Mail Policy Changes ...............................................................................2 Forms MIS107-1 / Company E-Mail Policy Acknowledgement ......................................5 MIS108 IT Support Center Sections 1.0 IT Support Center Overview .......................................................................2 2.0 IT Support Center Operations ....................................................................2 3.0 IT Support Review ......................................................................................4
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Forms MIS108-1 / Tech Support Log ............................................................................5 MIS108-2 / System Trouble Acknowledgement form..........................................7 Personnel Procedures ........................................................................ Section 13 PNL101 Americans with Disabilities Act Sections 1.0 ADA Background ........................................................................................1 2.0 Who is Covered ..........................................................................................2 3.0 Employment Issues ....................................................................................3 4.0 Public Accommodations .............................................................................6 5.0 Enforcement of the Act ...............................................................................8 PNL102 Drug Free Workplace Sections 1.0 Drug Free Workplace General ................................................................. 1 2.0 Prohibitions ................................................................................................. 1 3.0 Authorized Use of Prescription Medicine ....................................................2 4.0 Drug Awareness Program ..........................................................................2 5.0 Disciplinary Actions ....................................................................................3 Forms PNL102-1 / Drug-Free Workplace Policy Agreement .........................................5 PNL103 Employment Policies Sections 1.0 Employment General ..............................................................................1 2.0 Equal Employment Opportunity ..................................................................1 3.0 Nepotism ....................................................................................................2 4.0 Moonlighting ...............................................................................................2 5.0 Ethics and Confidential Information ............................................................2 6.0 Employee Behavior ....................................................................................3 7.0 Employment at Will .....................................................................................3 8.0 Personnel Files and Records .....................................................................3 PNL104 Employee Hiring and New Employee Orientation Sections 1.0 Personnel Requisition.................................................................................1 2.0 Employee Recruitment ...............................................................................1 3.0 Interviewing ................................................................................................2 4.0 Hiring and Employee Orientation ................................................................ 2 Forms PNL104-1 / Personnel Requisition......................................................................5 PNL104-2 / Employment Application ..................................................................7 PNL104-3 / Employment Interview Questions Chart ..........................................9 PNL104-4 / Personnel Change Notice .............................................................. 13 PNL104-5 / Company Policy and Procedure Acknowledgement ......................15
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PNL105 Family and Medical Leave Act Sections 1.0 Reasons for Taking Unpaid Leave .............................................................1 2.0 Advance Notice and Medical Certification ..................................................1 3.0 Job Benefits and Protection ........................................................................ 2 4.0 Unlawful Acts under the FMLA ...................................................................2 5.0 Enforcement of FMLA.................................................................................2 PNL106 Health Care Benefits Sections 1.0 Costs and Premiums Health Care ...........................................................1 2.0 Eligibility .....................................................................................................1 3.0 Benefits Enrollment ....................................................................................2 4.0 Health Care Coverage ................................................................................2 5.0 Filing a Claim ..............................................................................................5 6.0 Termination and Conversion of Coverage ..................................................5 PNL107 Paid and Unpaid Time Off Sections 1.0 Paid Time Off .............................................................................................1 2.0 Jury Duty ....................................................................................................1 3.0 Military Leave .............................................................................................2 4.0 Unpaid Time Off .........................................................................................2 5.0 Absence Request and Notification .............................................................2 6.0 Holidays ......................................................................................................3 Forms PNL107-1 / Absence Request Form ...................................................................5 PNL108 Pay and Payroll Matters Sections 1.0 Employee Pay Classifications ....................................................................1 2.0 Pay Periods, Payday, and Hours of Work ..................................................2 3.0 Timesheets .................................................................................................2 4.0 Payroll Deductions......................................................................................2 5.0 Pay Adjustments ........................................................................................3 6.0 Advances .................................................................................................... 3 7.0 Garnishments ............................................................................................3 8.0 Cashing of Paychecks ................................................................................3 9.0 Lost Paychecks ..........................................................................................3 10.0 Final Paychecks .........................................................................................3 Forms PNL108-1 / Biweekly Time Sheet .......................................................................5 PNL109 Performance Appraisals and Salary Adjustments Sections 1.0 Performance Appraisal Guidelines .............................................................1
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2.0 Appraisal Process.......................................................................................2 3.0 Salary Adjustments.....................................................................................4 Forms PNL109-1 / Employee Self-Appraisal .................................................................5 PNL109-2 / Performance Appraisal ....................................................................7 PNL110 Resignations and Terminations Sections 1.0 Resignations ............................................................................................... 1 2.0 Involuntary Termination and Layoffs...........................................................2 PNL111 Sexual Harassment Sections 1.0 Unacceptable Behavior ..............................................................................2 2.0 Complaint of Sexual Harassment ...............................................................2 3.0 Corrective Measures ..................................................................................2 PNL112 Training/Tuition Reimbursement Sections 1.0 Eligibility for Reimbursement ......................................................................1 2.0 Approved Training Programs ...................................................................... 1 3.0 Reimbursement Tuition and Fees............................................................2 Forms PNL112-1 / Request for Training ........................................................................5 PNL113 Workplace Rules & Guidelines Sections 1.0 Alcohol and Drugs ......................................................................................1 2.0 Breaks and Lunch Time..............................................................................1 3.0 Company Property......................................................................................1 4.0 Dress Code ................................................................................................2 5.0 Grievances and Complaints .......................................................................2 6.0 Inclement Weather .....................................................................................2 7.0 Parking .......................................................................................................3 8.0 Personal Telephone Calls ..........................................................................3 9.0 Sexual Harassment ....................................................................................3 10.0 Smoking .....................................................................................................3 11.0 Solicitation for Business or Charitable Purposes ........................................4 12.0 Suggestions ................................................................................................ 4 13.0 Visitors........................................................................................................4 PNL114 Workplace Safety Sections 1.0 Worksite Analysis .......................................................................................1 2.0 Hazard Prevention and Control ..................................................................2 3.0 Hazard Communication Program ...............................................................4
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4.0 Medical Emergencies .................................................................................5 5.0 Safety Training ...........................................................................................5 6.0 Safety Reporting and Recordkeeping .........................................................6 Forms PNL114-1 / Safety Suggestion Sheet .................................................................9 PNL114-2 / Workplace Safety Self-Inspection Checklist ..................................11 PNL114-3 / Workplace Safety Action Plan .......................................................25 PNL114-4 / General Workplace Safety Rules ..................................................27 PNL114-5 / List of Hazardous Chemicals and MSDS Index .............................29 Security and Operations Procedures ................................................ Section 14 SAO101 Intrusion Protection Sections 1.0 Doors, Windows, and Entryways ................................................................1 2.0 Motion Sensing Devices .............................................................................2 3.0 Alarm System .............................................................................................2 4.0 Redundant or Alternate Signaling ............................................................... 3 5.0 Installation, Maintenance, and Testing .......................................................3 SAO102 Physical Security Sections 1.0 Security Considerations..............................................................................1 2.0 Parking Lots ...............................................................................................1 3.0 Building Exteriors .......................................................................................2 4.0 Loading Entries ..........................................................................................2 5.0 Access Controls .........................................................................................2 6.0 Locks and Lighting......................................................................................2 SAO103 Personnel Sections 1.0 Background and Hiring ...............................................................................1 2.0 Proprietary Information ...............................................................................2 Forms SAO103-1 / Employee Hiring Packet Checklist ..................................................5 SAO103-2 / Key Issue/Policy .............................................................................7 SAO104 Guard Force Management Sections 1.0 Criteria for Daily Activity .............................................................................1 2.0 Basic Training Program ..............................................................................1 Forms SAO104-1 / Special Incident Report Form .........................................................5 SAO105 Electronic Countermeasures Sections 1.0 Video Surveillance ...................................................................................... 1
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2.0 Intrusion Detection......................................................................................1 3.0 Fire Detection .............................................................................................1 4.0 Access Control ...........................................................................................2 5.0 Panic/Duress ..............................................................................................2 6.0 Environmental Controls ..............................................................................2 Forms SAO105-1 / Guidelines for Selecting an Alarm System/Vendor .........................5 SAO106 Executive Protection Sections 1.0 Risk Analysis ..............................................................................................1 2.0 Executives' Home and Family ....................................................................1 3.0 Transportation and Office ...........................................................................2 4.0 Domestic Terrorism ....................................................................................2 5.0 Foreign Travel and Emergency Planning ...................................................2 Sales and Marketing Procedures ....................................................... Section 15 SMK101 Collection of Sales Tax Sections 1.0 Basis of Tax ................................................................................................1 2.0 Applicable Sales Tax Rates ........................................................................ 1 3.0 Nontaxable Sales .......................................................................................2 4.0 Sales Outside of Company Jurisdiction ......................................................2 5.0 Billing of Tax ...............................................................................................3 SMK102 Copyrights and Trademarks Sections 1.0 Copyrights ..................................................................................................2 2.0 Trademarks ................................................................................................4 SMK103 Marketing Plans Sections 1.0 Marketing Plan General ...........................................................................1 2.0 Market Analysis ..........................................................................................1 3.0 Advertising Sources....................................................................................3 4.0 Competitive Analysis ..................................................................................4 5.0 Advertising Planning Schedule/Diary..........................................................4 6.0 Customer/Reference List ............................................................................4 SMK104 Model Number Designation Sections 1.0 Model Number Designation and Assignment .............................................1 2.0 Model Number Recordkeeping ...................................................................1

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SMK105 Public Relations Sections 1.0 Media Requests .........................................................................................1 2.0 News Releases and Conferences ..............................................................2 SMK106 Return of Goods from Customers Sections 1.0 Origination ..................................................................................................1 2.0 Receiving Goods and Processing ..............................................................1 Forms SMK106-1 / Returned Goods Authorization form ...............................................2 SMK107 Sales Leads Sections 1.0 Incoming Sales Calls ..................................................................................1 2.0 Business Reply Cards and Letters .............................................................1 3.0 Trade Shows/Seminars ..............................................................................2 Forms SMK107-1 / Sales Lead Tracking form ...............................................................3 SMK108 Sales Order Entry Sections 1.0 Sales Representatives................................................................................1 2.0 Sales Administration ...................................................................................1 3.0 Credit Department ......................................................................................2 4.0 Manufacturing/Shipping ..............................................................................2 5.0 Customer Service .......................................................................................3 6.0 Accounting/Billing .......................................................................................3 SMK109 Sales Training Sections 1.0 Orientation and Training .............................................................................1 2.0 Professional Conduct .................................................................................2 3.0 Sales Process ............................................................................................2 SMK110 Trade Shows Sections 1.0 Planning Trade Shows and Exhibits ...........................................................1 2.0 Exhibiting ....................................................................................................2 3.0 Trade Show/Exhibit Evaluation ................................................................... 3 Forms SMK110-1 / Trade Show Worksheet ..................................................................5 SMK110-2 / Trade Show Checklist ..................................................................... 7 SMK110-3 / Trade Show/Exhibit Supply Checklist .............................................9 SMK110-4 / Equipment Request Form Inventory .............................................11 SMK110-5 / Show Registration......................................................................... 13
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SMK110-6 / Trade Show/Exhibit Summary ......................................................15 Shipping, Purchasing, and Inventory Control Procedures.............. Section 16 SPI101 Packing, Storage and Distribution Sections 1.0 Packaging Design and Materials ................................................................1 2.0 Packaging Process ..................................................................................... 2 3.0 Product Storage .........................................................................................2 4.0 Product Distribution ....................................................................................3 Forms SPI101-1 / Shipping Log ..................................................................................... 5 SPI102 Physical Inventory Sections 1.0 Inventory - General ..................................................................................... 1 2.0 Cleaning and Organization of Inventory Areas ...........................................2 3.0 Year End Cut-Off ........................................................................................2 4.0 Counting Procedures and Instructions........................................................2 5.0 Master Inventory and Pricing Report ..........................................................4 Forms SPI102-1 / Inventory Sheet ................................................................................7 SPI103 Purchasing Sections 1.0 Order Determination and Requisition .........................................................1 2.0 Order Placement ........................................................................................2 3.0 Recordkeeping and Matching .....................................................................2 4.0 Purchasing Review .....................................................................................3 Forms SPI103-1 / Purchase Requisition ........................................................................ 5 SPI103-2 / Purchase Order ................................................................................7 SPI103-3 / Purchase Order Log .........................................................................9 SPI103-4 / Purchase Order Follow-Up .............................................................11 SPI104 Receiving, Inspection, and Stocking of Parts and Materials Sections 1.0 Receiving Goods ........................................................................................1 2.0 Detailed Inspection .....................................................................................2 3.0 Rejection, Discrepancies, and Disposition..................................................2 4.0 Stocking Received Goods ..........................................................................2 5.0 Receiving and Inspection Review ............................................................... 3 Forms SPI104-1 / Receiving Log ...................................................................................5 SPI104-2 / Receiving and Inspection Report ......................................................7 SPI104-3 / Inventory Inspection Levels ..............................................................9
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SPI105 Shipping and Freight Claims Sections 1.0 Shipping Goods ..........................................................................................1 2.0 Receiving .................................................................................................... 2 3.0 Freight Claims ............................................................................................2 SPI106 Vendor Selection, Files, and Inspections Sections 1.0 Approved Vendors ......................................................................................1 2.0 Vendor Inspections ..................................................................................... 2 3.0 Vendor Disqualification / Reevaluation .......................................................2 4.0 Vendor Files ...............................................................................................3 Forms SPI106-1 / Approved Vendor List .......................................................................5 SPI106-2 / Approved Vendor Notification ...........................................................7 SPI106-3 / Vendor Survey Form.........................................................................9 SPI106-4 / Vendor Performance Log................................................................ 15 SPI106-5 / Nonconformity Report ..................................................................... 17 Index ..................................................................................................... Section 17 Notes ...................................................................................................... Section 18

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Document #: ENG109 Revision #: 0.0 Effective Date: 2/1/2006 Standard: N/A Policy:

Title: PRODUCT IDENTIFICATION AND SAFETY HAZARD LABELS Prepared By: Reviewed By: Approved By:

Print Date: 2/1/2006 Date Prepared: 2/1/2006 Date Reviewed: 2/1/2006 Date Approved: 2/1/2006

Engineering will assure that all products are labeled with adequate information to properly identify products and give warning statements to satisfy requirements by regulatory agencies, customers and internal departments such as shipping and customer service. To outline the content and format requirements of identification and caution labels attached to products. This procedure applies to all products manufactured and sold by the Company. PRODUCT IDENTIFICATION LABELS Product Identification labels (or tags) shall, at a minimum, contain the following information: The generic name of the product, if applicable; The Company's trade or model name for the product; The model number and serial number; Product description, as required by applicable statutes and regulations; Company name and address; Country where material originated and where assembled (e.g., "Made in the USA", "Assembled in Mexico of USA components"); Patent number(s), if applicable and as required by law; and Independent testing agencies' certifications (e.g., Underwriters' Laboratories (UL), CSA, etc.).

Purpose: Scope: Procedure: 1.0 1.1

For electromechanical products, the following additional information should be provided: The product or common name. Date of manufacture (Month and Year-Unabbreviated). Electrical requirements including volts, hertz and amperes or watts.

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2.0 2.1

Other pertinent electrical characteristics

SAFETY HAZARD LABELS The following guidelines and formats should be used for safety hazard labels: CAUTION labels are used to indicate a potentially hazardous situation which, if not avoided, may result in minor or moderate injury. They may also be used to alert against unsafe practices that may cause property damage. Black letters on Yellow background WARNING labels indicate a potentially hazardous situation which, if not avoided, could result in death or serious injury. This signal word ("WARNING") should not be used for property damage hazards unless personal injury risk appropriate to this level is also involved. Black letters on Orange background DANGER labels indicate an imminently hazardous situation which, if not avoided, will result in death or serious injury. This signal word is to be limited to the most extreme situations. This signal word should not be used for property damage hazards unless personal injury risk appropriate to this level is also involved. White letters on Red background

2.2

2.3

References: A. Statutory and Regulatory Requirements Statutes and regulations governing product identification and labeling may vary by country, state, and municipality. The Company must be aware of and must comply with applicable product identification and labeling laws in all locations where it conducts business. Examples of product identification and labeling legislation include: General labeling requirements for medical devices in the USA, see 21 CFR Part 801; U.S. Anti-Tampering Act of 1999 (18 USC 1365); U.S. FDA Labeling Requirements for Television Receivers (21 CFR 1020.10); U.S. FDA Labeling Requirements for Microwave and Radio Frequency (RF) Emitting Products (21 CFR 1030.10); and Patient Safety and Quality Improvement Act (H.R. 3205, pending).

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Forms: ENG109-1 PRODUCT IDENTIFICATION LABEL (EXAMPLE) ENG109-2 PRODUCT SAFETY HAZARD LABEL (EXAMPLE)

Revision History: Revision 0.0 Date 2/1/2006 Description of changes Initial Release Requested By

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ENG109-1 PRODUCT IDENTIFICATION LABEL (EXAMPLE) CATEGORY


Company trade / model name Generic product name Model number Serial number Product description List of components / ingredients (if required) Company name / address Country of origin Location of final assembly Patent number(s) Product certification(s)

DESCRIPTION

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ENG109-2 PRODUCT SAFETY HAZARD LABEL GUIDELINES PART ONE Caution BLACK lettering on YELLOW background

Warning BLACK lettering on ORANGE background

Danger WHITE lettering on bright RED background

PART TWO Pictorial representation of hazard PART THREE Narrative description of hazard SAFETY HAZARD LABELING EXAMPLES:

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Sample Package

Sales & Marketing


Policies, Procedures & Forms
Quick Facts
This manual includes 700 Pages of materials: 32 pre-written policies & procedures 89 accompanying forms Sample Executive's Manual and a Guide to Internet Marketing What you will get, when you buy: 1. Editable Microsoft Word files for immediate download. 2. Optional hardbound book containing all content.

This Sample Package contains: A: Overview of the Sample Package (1 page) B: Table of Contents (12 pages) C: Policy, Procedure, and Form Set (12 pages)

View Product Details Online: http://store.bizmanualz.com/Sales-and-Marketing-Policies-Procedures-p/abr44m.htm


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Dear Business Executive: Thank you from downloading this sample content from Bizmanualz. Whether you are looking to write policies and procedures, or are trying to manage and share them, Bizmanualz has the right solution. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important to you ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains a complete table of contents and a complete policy, procedure and form(s) set. The purpose is to give you a clear idea of how our policies and procedures are written, formatted, and presented for you to customize. If you have any questions after reading this sample package, please feel free to contact us online or call us at 1-800-466-9953 (toll free, US only) or at 314-863-5079, or send an email to sales@bizmanualz.com. Thanks again.

Each policy/procedure template includes: Policy Purpose Scope Responsibilities Definitions Procedure Activities, references & forms where applicable. TERMS & DEFINITIONS Manual: A system of approved policy statements and corresponding procedural guidelines and supporting forms that direct an organization toward its operational goals. Policy: A stated course of action with a defined purpose and scope to guide decision-making under a given set of circumstances within the framework of corporate objectives, goals and management philosophies. Procedure: A series of prescribed steps followed in a definite regular order which ensure adherence to the guidelines set forth in the Policy to which the Procedure applies Activity: An action, element or decision representing a prescribed step in the Procedure process. Task: A detailed component of an Activity specifying required behavior to complete the activity. Form: A pre-formatted document containing instructions and placeholders for data entry to monitor progress through a particular Procedure and to ensure proper recordkeeping.

Best regards,

Chris Anderson Managing Director, Bizmanualz St. Louis, Missouri

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ISO 9001 QMS ISO 22000 Food Safety AS 9100 Aerospace Employee Handbook Industry Supplements

Sales & Marketing Policies, Procedures & Forms

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Sales and Marketing Policies, Procedures, and Forms Table of Contents


Section ID 100 200 Section Name Tab

Introduction ............................................................... Section 1 Manual Preparation................................................... Section 2 1. Introduction 2. Installation Instructions 3. Your Sales and Marketing Executives' Manual 4. Effective Communication 5. Sales and Marketing Procedures

300

Sales and Marketing Executives' Manual ............... Section 3 1.0 Purpose 2.0 Scope 3.0 Management Responsibility 4.0 Sales & Marketing Management System 5.0 Processes and Controls 6.0 Resource Management

400 MP1000

Marketing Planning ................................................... Section 4 Strategy Team 1.0 Forming the Strategy Team 2.0 Planning a Development Schedule 3.0 Project Cycle Management 4.0 Project Review Forms/Records

MP1000-1 Project Planning Timeline MP1000-2 Project Status Report MP1000-3 Strategy Team Review Checklist MP1000-4 Project Progress Review Checklist ______________________________________________________________________
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Section ID MP1010

Section Name Stakeholder Analysis

Tab

1.0 Identify Project Stakeholders and Interests 2.0 Determine Stakeholder Influence and Importance 3.0 Stakeholder Analysis Review 4.0 Stakeholder Analysis Report Forms/Records MP1010-1 Stakeholder Analysis Matrix MP1010-2 Stakeholder Analysis Review Checklist MP1010-3 Stakeholder Analysis Report MP1020 Vision and Mission 1.0 Vision and Mission Statement Background 2.0 Mission Statement 3.0 Vision Statement 4.0 Communicating the Vision / Mission 5.0 Vision / Mission Review MP1030 Marketing Research / Analysis

1.0 Objective The Target Market 2.0 Identifying the Target Market 3.0 Collecting and Organizing Market Data 4.0 Analyzing and Interpreting Market Data 5.0 Findings & Conclusions 6.0 Adjusting the Marketing Database Forms/Records MP1030-1 Market Segmentation Worksheet MP1030-2 Marketing Database MP1030-3 Market Analysis MP1040 Situational Analysis

1.0 Situational Analysis Introduction ______________________________________________________________________


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Section ID 3.0 Scoring Attributes 4.0 Analyzing Data

Section Name

Tab

2.0 Assessing the Company's Situation

5.0 Situational Analysis Report Forms/Records MP1040-1 SWOT Analysis Worksheet MP1040-2 Competitive Analysis Worksheet MP1040-3 Situational Analysis Report MP1050 Goals and Objectives

1.0 Goals and Objectives Background 2.0 Setting Goals and Objectives 3.0 Reviewing and Finalizing Goals and Objectives 4.0 Communicating Goals and Objectives 5.0 Monitoring Goals and Objectives Forms/Records MP1050-1 Goals/Objectives Worksheet MP1050-2 Goals/Objectives Statement MP1060 1.0 2.0 3.0 4.0 Marketing Strategy Marketing Strategy Introduction Developing Marketing Strategy Finalizing Marketing Strategies Marketing Strategy Review Forms/Records MP1060-1 Marketing Strategy Matrix MP1060-2 Strategy Checklist MP1060-3 Marketing Strategy MP1070 Marketing Plan

1.0 Marketing Plan Background ______________________________________________________________________


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Section ID

Section Name

Tab

2.0 Developing the Marketing Plan 3.0 Reviewing and Finalizing the Marketing Plan 4.0 Monitoring the Marketing Plan Forms/Records MP1070-1 Marketing Plan MP1070-2 Marketing Budget Template 410 MT1000 Marketing Tactics...................................................... Section 5 Advertising 1.0 Advertising Plan Background 2.0 Developing the Advertising Plan 3.0 Monitoring & Measuring the Advertising Plan 4.0 Updating the Advertising Plan Forms/Records MT1000-1 Advertising Review Worksheet MT1000-2 Advertising Objectives-Strategies Worksheet MT1000-3 Advertising Plan MT1000-4 Advertising Schedule (Sample) MT1010 Internet Marketing

1.0 Internet Marketing Background 2.0 Developing the Internet Plan 3.0 Implementing the Internet Plan 4.0 Monitoring the Internet Plan 5.0 Updating the Internet Plan Forms/Records MT1010-1 Internet Planning Worksheet MT1010-2 Internet Plan MT1010-3 Keyword Log MT1020 Public Relations 1.0 Background ______________________________________________________________________
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Section ID

Section Name

Tab

2.0 Developing a Public Relations Plan 3.0 Implementing the PR Plan 4.0 Monitoring the PR Plan 5.0 Updating the PR Plan Forms/Records MT1020-1 Public Relations Plan Worksheet MT1020-2 PR Event Checklist MT1020-3 Public Relations Plan MT1020-4 Media Kit Checklist MT1020-5 Press Release Template MT1020-6 PR Events Log MT1030 Trade Shows / Events

1.0 Planning Trade Shows and Events 2.0 Exhibiting 3.0 Trade Show/Exhibit Evaluation 4.0 Adjusting the Trade Show/Exhibit Plan Forms/Records MT1030-1 Trade Show / Event Planning Worksheet MT1030-2 Trade Show Plan MT1030-3 Trade Show Worksheet MT1030-4 Trade Show Checklist MT1030-5 Trade Show / Event Supply Checklist MT1030-6 Equipment Request from Inventory MT1030-7 Show Registration MT1030-8 Visitor Evaluation MT1030-9 Trade Show / Exhibit Summary

MT1040

Direct Mail

1.0 Introduction / Background ______________________________________________________________________


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Section ID 2.0 Direct Mail Planning

Section Name

Tab

3.0 Direct Mail Campaign 4.0 Monitoring and Measuring Direct Mail 5.0 Adjusting the Direct Mail Plan Forms/Records MT1040-1 Direct Mail Planning Worksheet MT1040-2 Direct Mail Budget Worksheet MT1040-3 Direct Mail Plan MT1050 Lead Management

1.0 Planning Lead Management 2.0 Implementing the Lead Management Plan 3.0 Monitoring and Measuring Lead Management 4.0 Improving Lead Management Forms/Records MT1050-1 Lead Management Plan MT1050-2 Leads Database MT1050-3 Lead Management Status Report 420 SL1000 Sales .......................................................................... Section 6 Customer Life Cycle Management 1.0 Customer Life Cycle Stages and the Sales Pipeline 2.0 Customer Life Cycle Management Plan 3.0 Customer Life Cycle Management 4.0 Monitoring Customer Life Cycle Management 5.0 Improving Customer Life Cycle Management Forms/Records SL1000-1 Customer Life Cycle Management Plan SL1010 Sales Management

1.0 Sales Management Plan Overview ______________________________________________________________________


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Section ID

Section Name

Tab

2.0 Developing the Sales Management Plan 3.0 Executing the Sales Management Plan 4.0 Monitoring the Sales Management Plan 5.0 Correcting the Sales Management Plan Forms/Records SL1010-1 Sales Management Plan SL1010-2 Sales Forecast SL1010-3 Weekly Sales Summary SL1020 Qualifying Leads

1.0 Qualifying Leads Planning 2.0 Qualifying Leads 3.0 Monitoring the Qualifying Process 4.0 Improving the Qualifying Process Forms/Records SL1020-1 Prospect Management Plan SL1020-2 Prospect Database SL1020-3 Qualifying Questionnaire SL1030 Sales Calls

1.0 Planning Sales Calls 2.0 Conducting Sales Calls 3.0 Monitoring Sales Call Effectiveness 4.0 Adjusting the Sales Call Process 5.0 Sales Account Maintenance Forms/Records SL1030-1 Sales Plan SL1030-2 Customer Database SL1030-3 Order Database SL1030-4 Customer Contact Worksheet SL1030-5 Sales Account Maintenance Plan ______________________________________________________________________
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Section ID SL1040

Section Name Customer Improvement

Tab

1.0 Customer Improvement Plan 2.0 Customer Improvement Actions 3.0 Measuring Customer Improvement 4.0 Enhancing Customer Improvement Forms/Records SL1040-1 Customer Improvement Plan SL1040-2 Customer Improvement Goals Worksheet SL1050 Customer Service

1.0 Customer Service Goals 2.0 Customer Service Plan 3.0 Servicing Complaints and Feedback 4.0 Measuring Customer Service 5.0 Improving Customer Service Forms/Records SL1050-1 Customer Feedback Form SL1050-2 Customer Complaint-Feedback Strategy 430 AD1000 Sales / Marketing Administration ............................ Section 7 Document Control 1.0 Procedure Format 2.0 Work Instructions 3.0 Forms 4.0 Sales Collateral 5.0 Document Approval 6.0 Temporary Document Changes 7.0 Document Revisions 8.0 External Documents 9.0 Document Distribution ______________________________________________________________________
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Section ID Forms/Records AD1000-1 Document Request

Section Name

Tab

10.0 Document / Collateral Review

AD1000-2 Document Control Database AD1010 Record Control

1.0 Identification of Records 2.0 Record Generation 3.0 Filing and Tracking 4.0 Record Maintenance Forms/Records AD1010-1 Sales/Marketing Records List AD1020 Sales Supplies

1.0 Identifying Sales Supplies 2.0 Supplying Salespeople 3.0 Measuring Use and Effectiveness of Sales Supplies 4.0 Updating the Sales Supply List Forms/Records AD1020-1 Sales Supply Checklist/Order Form AD1030 Sales Compensation

1.0 Sales Compensation Plan - Background 2.0 Creating the Sales Compensation Plan 3.0 Monitoring the Sales Compensation Plan 4.0 Improving the Sales Compensation Plan Forms/Records AD1030-1 Sales Compensation Plan AD1040 Sales Hiring

1.0 Sales Hiring Plan ______________________________________________________________________


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Section ID

Section Name

Tab

2.0 Selecting Sales Candidates 3.0 Interviewing Sales Candidates 4.0 Second Interviews and Making an Offer 5.0 Monitoring the Sales Hiring Process 6.0 Improving the Sales Hiring Process Forms/Records AD1040-1 Qualification Checklist AD1040-2 Interview Guidelines AD1050 Sales Training

1.0 Sales Training Plan 2.0 Sales Training 3.0 Monitoring Sales Training 4.0 Improving Sales Training Forms/Records AD1050-1 Sales Competency Matrix AD1050-2 Individual Sales Training Record AD1050-3 Sales Training Plan AD1060 Meetings

1.0 Meetings Background 2.0 Preparing for Meetings 3.0 Conducting Meetings 4.0 Meeting Follow-Up 5.0 Meeting Review Forms/Records AD1060-1 Meeting Agenda

440 PM1000

Product Management ............................................... Section 8 Product Life Cycle Management

______________________________________________________________________
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Section ID

Section Name

Tab

1.0 Product Life Cycle Management Background 2.0 Product Life Cycle Management Plan 3.0 Following the Product Life Cycle 4.0 Monitoring Product Life Cycle Management 5.0 Improving Product Life Cycle Management Forms/Records PM1000-1 Product Life Cycle Management Plan PM1010 Product Development

1.0 Product/Process Initiation 2.0 Determining Requirements and Objectives 3.0 Meeting Requirements and Objectives 4.0 Design Acceptance 5.0 Design Validation and Testing Forms/Records PM1010-1 Request for Engineering Action PM1010-2 Requirements Definition PM1010-3 Product Brief PM1010-4 Design Review Checklist PM1010-5 Design Completion Checklist Electromechanical Devices PM1010-6 Design Completion Checklist Non-Electromechanical Devices PM1010-7 Product Test PM1020 Product Launch

1.0 Product Launch Plan 2.0 Executing the Product Launch Plan 3.0 Monitoring the Product Launch Plan 4.0 Improving the Product Launch Plan Forms/Records ______________________________________________________________________
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Section ID PM1020-1 Product Launch Plan PM1030 Product Recalls

Section Name

Tab

1.0 Product Recall Initiation 2.0 Product Recall Communications 3.0 Handling Recalled Product 4.0 Review of Product Recall Process Forms/Records PM1030-1 Product Recall Request (Internal) PM1030-2 Food Product Recall Checklist PM1030-3 Non-Food Product Recall Checklist PM1030-4 Product Return Form PM1040 Customer Requirements

1.0 Requirements General 2.0 Requirements Acquisition 3.0 Revised Requirements 4.0 Requirements Review Forms/Records PM1040-1 Customer Requirements Checklist 500 600 700 Guide to Internet Marketing ..................................... Section 9 Index .......................................................................... Section 10 Notes .......................................................................... Section 11

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Document ID MP1040 Revision 1.0 Effective Date

Title SITUATIONAL ANALYSIS Prepared By Reviewed By Approved By

Print Date mm/dd/yyyy Date Prepared Date Reviewed Date Approved

Applicable Standard: None Policy: Purpose: The Company should periodically (annually, at a minimum) conduct an investigation and analysis of the market environment. To develop an understanding of where and how the Company is situated and how it interacts with the business environment; to realistically evaluate its current situation and prospects in order to develop a meaningful business (and marketing) strategy; to know where the Company stands, where it wants to go, and how it is going to get there; to leverage the Company's strengths and correct or minimize its weaknesses. This procedure applies to the Company President/CEO, the Marketing Manager, and the Sales Manager. The CEO/President is responsible for ensuring the situational analysis is appropriate for developing marketing and sales strategies. The Strategy Team is responsible for gathering information on the Company's situation, analyzing the information, and preparing and presenting a situational analysis report. Definitions: Situational analysis An in-depth process for developing an understanding of the needs of the customer, which involves a combination of data gathering techniques conducted from a variety of internal and external perspectives; a methodology used to aid the organization's strategic planning process; identifying, evaluating, and planning around the organization's strengths, weaknesses, opportunities, and threats. Also known as a "SWOT analysis". SWOT Stands for "Strengths, Weaknesses, Opportunities, and Threats", aspects of a situational analysis. Procedure:

Scope: Responsibilities:

SITUATIONAL ANALYSIS INTRODUCTION


1.1 Strengths and weaknesses, when compared and contrasted with opportunities and threats, offer meaningful insight into the Company's condition and potential. The value of ______________________________________________________________________
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1.2

situational analysis lies in bringing all this information together, helping the Company evaluate and prioritize critical issues. The Strategy Team should review the MP1010-3 STAKEHOLDER ANALYSIS REPORT and the MP1030-3 MARKET ANALYSIS and from those, assemble a list of Company and target market attributes. Attributes may be perceptual as well as factual; for example:
Company Attributes
Company size (sales volume, number of employees/locations, etc.) Breadth of product/service line Financial soundness Uniqueness, quality of products/services Company management structure Highly-skilled, trained, qualified employees ISO 9001 certified Small but diverse customer base Not technologically astute (savvy)

Target Market Attributes


Small businesses (< $5,000,000 annual sales) Privately-held, stand-alone firms Major purchasing/leasing decisions made or approved by President/CEO/ owner In business < 5 years Sales growth rate averaging > 20% per year Outsourcing some back-office functions (e.g., payroll, Web design) but not key functions

1.3

The Strategy Team should consider a wide range of attributes/issues. However, all attributes should be realistic and should be evaluated realistically.

ASSESSING THE COMPANY'S SITUATION


2.1 The Strategy Team should list the Company's strengths the Company's strengths and those of its products/services on MP1040-1 SWOT ANALYSIS WORKSHEET, section "A". Strengths are positive internal attributes the Company has control over them and, therefore, should maintain, strengthen, or utilize (leverage) them to its advantage. (NOTE: Examples of Company strengths, weaknesses, opportunities, and threats are shown on the MP1040-1 SWOT ANALYSIS WORKSHEET following this procedure.) 2.2 2.3 The Strategy Team should list the Company's weaknesses negative internal attributes that it should work to stop, remedy, or prevent in section "B" of MP1040-1. The Strategy Team should list opportunities in section "C" of MP1040-1. Opportunities are typically external events or issues that represent the Company's potential what the Company can be if it recognizes and acts appropriately on the right opportunities. The Team should check as many sources of information (government reports, industry/trade or general news media, word of mouth, etc.) as possible for awareness and knowledge of opportunities. The Strategy Team should list threats in section "D" of MP1040-1. Threats are usually external in nature they are outside the Company's ability to control them. Threats represent the Company's negative potential, or what the Company will become if it fails
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2.4

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to recognize and appropriately deal with threats. Awareness and knowledge of threats comes from listening to or searching as many sources of information (government reports, news media, word of mouth, etc.) as possible.

SCORING ATTRIBUTES
3.1 The Strategy Team should score (rank) Company or product strengths on the basis of differentiation. If the market wants a certain product feature and your product is the only one that has it, that feature differentiates your product from the competition. If most or all competitors have the same feature, it doesn't differentiate your product from the rest. (See MP1040-1 SWOT ANALYSIS WORKSHEET, right side of sections A-D, for guidance on scoring/ranking strengths, weaknesses, etc.) 3.2 The Strategy Team should score Company/product weaknesses according to how much of an impact they are having (or could have, if not corrected) on the Company's ability to compete or satisfy the needs of the market. As an example, the Team would score "do not receive orders via the Web" high if some or all competitors could take orders on their web sites. The Strategy Team should score Company/product opportunities by balancing the potential risks and rewards associated with each. Every opportunity has an upside and a downside the Team has to decide whether the rewards promised are worth the risk of failure (see Figure 1).
Reward High Low Poor (1) Fair (2) Fair-Good (2-3) Medium Fair (2) Good (3) High Fair-Good (2-3) Better (4)

3.3

Risk

Medium

Low

Better (4)

Best (5)

Figure 1 Sample Opportunity Risk / Reward Matrix

3.4

The Strategy Team should score Company/product threats based on the likelihood of their happening and the potential impact to the business if or when the threat materializes (see Figure 2). The Strategy Team, having listed and scored strengths, weaknesses, opportunities, and threats, should lay them out in a "SWOT matrix" (see MP1040-1, section "E") to promote discussion and help Team members understand how these attributes fit into the big picture.

3.5

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Impact High Likelihood

Low Low-Medium (2-3) Low (2) Very Low (1)

Medium High (4)

High Very High (5) High (4) Low-Medium (2-3)

Medium

Medium (3)

Low

Low (2)

Figure 2 Sample Risk Matrix / Threat Scoring

ANALYZING THE DATA


The Strategy Team should identify and list the Company's competition (chief competitors, at least). It should then make a list of each competitor's strengths and weaknesses. The Strategy Team should use MP1040-2 COMPETITIVE ANALYSIS WORKSHEET to list important attributes strengths, weaknesses, opportunities, and threats (col. 1) and indicate where the Company places with regard to those attributes (col. 2). The Strategy Team should next address the competition how they compare with the Company, attribute for attribute, in columns 3-5 of MP1040-2. The Strategy Team should identify which attributes are of greatest importance to the marketplace in column 6 of MP1040-2, to help the Company focus its attention and resources on strengths, weaknesses, opportunities, and threats that are most important to the market.

SITUATIONAL ANALYSIS REPORT


The Strategy Team should prepare a preliminary (draft) report, using MP1040-3 SITUATIONAL ANALYSIS REPORT for guidance. Executive Summary The Strategy Team should present a concise overview of the situational analysis, summarizing the sections of the report that follow it. Though this section is presented first, the Strategy Team should develop it after all the other sections are complete. SWOT Analysis The Strategy Team should list the Company's greatest strengths, its most glaring weaknesses, etc., and explain how the Company can use its strengths to take advantage of opportunities that may lie ahead. The Team should also how explain how the Company could minimize, eliminate, or prevent weaknesses and thereby minimize harm to the Company if/when threats materialize. Conclusions / Action Items This final section is where the Strategy Team brings all the information together and addresses the most promising opportunities and crucial issues discovered in the analysis. The Strategy Team identifies action items issues the Company needs to address as well as responsible parties and target dates.

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The Strategy Team should meet with department Management (e.g., Marketing, Sales, Production) to review the analysis draft, checking its work and gaining additional insights prior to finalizing the MP1040-3. After making any adjustments to the analysis, The Strategy Team should finalize the MP1040-3 SITUATIONAL ANALYSIS REPORT and present it to the President/ CEO for approval. The President/CEO should use the results of the situational analysis in the development of the Company's goals and objectives (see MP1040 GOALS / OBJECTIVES). Effectiveness Criteria: A reasonably thorough and unbiased assessment of the Company's situation. Ease of developing Company goals and objectives (see MP1040).

References: A. Sales & Marketing Manual SMM (section number) "Situational Analysis" B. Regulations/statutes None Additional Resources: A. None Records: MP1040-1 SWOT ANALYSIS WORKSHEET MP1040-2 COMPETITIVE ANALYSIS WORKSHEET MP1040-3 SITUATIONAL ANALYSIS REPORT

______________________________________________________________________
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Revision History: Revision 0.0 Date 1/1/2007 Description of changes Initial Release Requested By

______________________________________________________________________
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MP1040-1 SWOT ANALYSIS WORKSHEET


A. Strengths1 Our (number) years of experience in the (type of) business We offer customized solutions Our cash position, credit rating, etc. Quality of our products/services Our ability to respond quickly to customer demands Highly skilled/trained/certified personnel Lean production
(5=differentiator / 1=not)

5 5 5 5 5 5 5

4 4 4 4 4 4 4

3 3 3 3 3 3 3

2 2 2 2 2 2 2

1 1 1 1 1 1 1

B. Weaknesses Our per-unit production cost is higher than the industry average Large percentage of Company's business comes from one customer Personnel are not adequately trained Personnel lack certification(s) Cash flow has decreased over the last three quarters (name) department lacks adequate process controls Web site poorly designed, not user-friendly Relying on outdated equipment/technologies Lacking special subject matter expertise

(5=critical / 1=not critical)

5 5 5 5 5 5 5 5 5

4 4 4 4 4 4 4 4 4

3 3 3 3 3 3 3 3 3

2 2 2 2 2 2 2 2 2

1 1 1 1 1 1 1 1 1

C. Opportunities Rising costs mean companies need to extend useful life of equipment Our product (name) can be easily adapted to alternative uses Explosive growth in (name) business sector Rising personnel costs leading to more outsourcing Increasing competition in (name) sector leading to greater reliance on our subject matter expertise

(5=great / 1=poor)

5 5 5 5 5

4 4 4 4 4

3 3 3 3 3

2 2 2 2 2

1 1 1 1 1

D. Threats Single location, near a major fault susceptible to earthquake Rising fuel prices may cause us to limit or stop free delivery Small businesses in (name) sector not surviving more than two years, on average Unstable political situation in (location) No business continuity plan in place A key component is supplied by only one vendor Important patent about to expire

(5=very high / 1=very low)

5 5 5 5 5 5 5

4 4 4 4 4 4 4

3 3 3 3 3 3 3

2 2 2 2 2 2 2

1 1 1 1 1 1 1

Form MP1040-1 (30 Apr 2007)


1

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Strengths, opportunities, etc., are for illustrative purposes only the Company should replace them with its own pertinent attributes/issues.

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E. SWOT Matrix

Strengths 1. 2. 3. 4. 5. 1. 2. 3. 4. 5.

Weaknesses

Opportunities 1. 2. 3. 4. 5. 1. 2. 3. 4. 5.

Threats

Form MP1040-1 (30 Apr 2007)

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MP1040-2 COMPETITIVE ANALYSIS WORKSHEET


1. Attributes2 Product Price Quality Reliability Service Selection / Variety Stability Expertise Reputation / Image Location Appearance Sales Method Credit Policies Advertising Borrowing rate Supply, price of fuel Other Other 2. My Business3 3. Competitor A 4. Competitor B 5. Competitor C 6. Attribute's Importance to Marketplace4

2 3

From "MP1030 Market Research and Analysis" and "MP1040 Situational Analysis" S=Strength; W=Weakness; O=Opportunity; and T=Threat 4 Assign value on scale from 0=Unimportant to 10=Most important Sample Package
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MP1040-3 SITUATIONAL ANALYSIS REPORT


I. Executive Summary

II. SWOT Analysis

Form MP1040-3 (10 Dec 2006)

Page 1 of 2

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III. Conclusions / Action Items

IV. Acknowledgement

Date
(Sales Management)

Date
(Marketing Management) Form MP1040-3 (10 Dec 2006) Page 2 of 2

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Sample Package

Policies, Procedures & Forms


Quick Facts
This manual includes 520 Pages of materials: 42 pre-written policies & procedures 31 accompanying forms What you will get, when you buy: 1. Editable Microsoft Word files for immediate download. 2. Optional hardbound book containing all content.

Security Planning

Sample security manual and a guide to workplace violence

This Sample Package contains: A: Overview of the Sample Package (1 page) B: Table of Contents (2 pages) C: Policy, Procedure, and Form Set (6 pages) View Product Details Online: http://store.bizmanualz.com/Security-Planning-Policies-Procedures-and-Forms-p/abr32m.htm
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Dear Business Executive: Thank you from downloading this sample content from Bizmanualz. Whether you are looking to write policies and procedures, or are trying to manage and share them, Bizmanualz has the right solution. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important to you ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains a complete table of contents and a complete policy, procedure and form(s) set. The purpose is to give you a clear idea of how our policies and procedures are written, formatted, and presented for you to customize. If you have any questions after reading this sample package, please feel free to contact us online or call us at 1-800-466-9953 (toll free, US only) or at 314-863-5079, or send an email to sales@bizmanualz.com. Thanks again.

Each policy/procedure template includes: Policy Purpose Scope Responsibilities Definitions Procedure Activities, references & forms where applicable. TERMS & DEFINITIONS Manual: A system of approved policy statements and corresponding procedural guidelines and supporting forms that direct an organization toward its operational goals. Policy: A stated course of action with a defined purpose and scope to guide decision-making under a given set of circumstances within the framework of corporate objectives, goals and management philosophies. Procedure: A series of prescribed steps followed in a definite regular order which ensure adherence to the guidelines set forth in the Policy to which the Procedure applies Activity: An action, element or decision representing a prescribed step in the Procedure process. Task: A detailed component of an Activity specifying required behavior to complete the activity. Form: A pre-formatted document containing instructions and placeholders for data entry to monitor progress through a particular Procedure and to ensure proper recordkeeping.

Best regards,

Chris Anderson Managing Director, Bizmanualz St. Louis, Missouri

Comprehensive Bizmanualz Policies and Procedures Library Accounting Finance Computer & IT Human Resources CFO Series Bundle (save 42%) Sales & Marketing Human Resources Business Sampler Security Planning CEO Series Bundle (Save 53%)
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ISO 9001 QMS ISO 22000 Food Safety AS 9100 Aerospace Employee Handbook Industry Supplements

Security Planning Policies, Procedures & Forms

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Security Planning Policies, Procedures & Forms Table of Contents

Section 100 Introduction ..................................................................... Section 1 Section 200 Manual Preparation ......................................................... Section 2 Section 300 Security Manual............................................................... Section 3 Section 400 Policies and Procedures ................................................ Section 4 1. Procedural Security 2. Annual Risk Assessment And Evaluation 3. Ethics And Employee Conduct 4. Fingerprinting And Photographing Of Employees 5. Policy And Criminal Violations 6. Employee Use Of Drugs Or Alcohol 7. Possession And Carrying Of Firearms 8. First Aid And Medical Emergencies 9. Suspicious Persons And Activities 10. Employee Identification Procedures 11. Internal Investigations 12. Court Testimony By Employees 13. Proprietary Information 14. Company Guard Program 15. Information Security And The EDP Center 16. Fire Prevention And Detection 17. Hazardous Material 18. Inventory, Delivery And Receiving Controls 19. Security Devices 20. Opening And Closing Cash-Handling Facilities 21. Transportation Of Currency 22. Combinations 23. Key And Access Device Control 24. Workstation Security 25. Employee Assignments During Emergency Responses 26. Emergency Operating Procedures: All Personnel 27. Robbery Procedures: Staff 28. Robbery Procedures: Management 29. Extortion Procedures: Staff 30. Extortion Procedures: Management 31. Bomb Threat Procedures: Staff 32. Bomb Threat Procedures: Management 33. Emergency Procedures: Management 34. Disaster Response Procedures: Staff 35. Disaster Response Procedures: Management
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36. Workplace Violence 37. Personal Protection And Safety For Employees 38. Executive Protection Program 39. Testing And Training Requirements 40. Security Program Training Program 41. Documenting Investigations 42. Media Relations Section 410 Forms ............................................................................... Section 5 1. Alarm Activation Form 2. Bomb Call Warning Form 3. Chronological Log Of Events Form 4. Combination Control Form 5. Combination Number Change Form 6. Currency Transportation Form 7. Employee Assignments Form 8. Employee Profile Information Form 9. Extortion Phone Call Form 10. Incident Tracking Log 11. Key Control Form 12. Opening And Closing Form 13. Report Of Investigation: Initial Report 14. Report Of Investigation: Continuation 15. Report Of Investigation - Evidence Tag Form 16. Report Of Investigation: Handwriting Exemplar - 1 17. Report Of Investigation: Handwriting Exemplar - 2 18. Report Of Investigation: Investigator's Checklist 19. Report Of Investigation: Property Receipt 20. Report Of Investigation: Follow Up 21. Report Of Investigation: Contact Log 22. Report Of Investigation: Statement Continuation 23. Report Of Investigation: Contact Notes 24. Report Of Investigation: Statement - S 25. Report Of Investigation: Statement V-W-I 26. Suspicious Or Threatening Phone Call Form 27. Suspicious Activity Report 28. Suspect Description Form 29. Security Log Form 30. Security Education Systems Annual Projection 31. Security Education Systems 6 Month Expense Forecast Section 500 Appendix .......................................................................... Section 6 Violence in the Workplace

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24.0 SECURITY

DEVICES

24.1

24.2

24.3

24.4

24.5

Purpose: The Purpose of this section is to describe and define standard security devices and related procedures that the company may use to protect its employees, customers and other persons, facilities, assets and records. The need for new, additional or improved security devices in each office is a continuing concern to all company personnel. Any suggested improvement or device shall be transmitted to the Security Director for study and recommendation. Personnel in each office shall be trained in the activation of alarms for that office, and in the methods of police response by the law enforcement agency responsible for the jurisdiction in which the office is located. Employees shall be able to activate, reset and stop all alarms and surveillance cameras. It is the responsibility of the Unit Security Officer to administer training regarding the location and manner of operation of each device. When an alarm is activated and a law enforcement agency is notified of the activation, police officers are dispatched to the office, assuming that one or more persons is threatening persons in the office. Those police officers proceed to the office under emergency vehicle conditions, which place them and the public at risk. All employees shall consider this risk when activating any alarm system. The alarm shall not be activated intentionally except in a situation where a physical threat is imminent or in progress, or some other crime of a serious nature is actually being committed, and a rapid arrival by a police officer may result in the reduction of personal risk and the apprehension of the person(s) responsible. In questionable situations where observation or information does not warrant an emergency response from a law enforcement agency, employees shall notify the appropriate agency by other means and activate suspicion cameras or monitor video cameras to photograph the suspect for future investigation, if this activation does not also activate the alarm system. Each activation of the alarm system shall be described in writing to the Security Director or designate, whether or not the activation was intentional. The following devices shall meet or exceed the minimum standards set forth in all applicable regulations: 1. A means of protecting cash or other liquid assets, such as a vault, safe, or other secure space. The area around all vaults visible from outside the office shall be illuminated during the hours of darkness. 2. All exterior doors and exterior windows designed to be opened shall be equipped with tamper-resistant locks. 3. All work areas shall be separated from customer's areas by counters or partitions, and all walk-through doors between these areas shall be secured during business hours. 4. Each appropriate area shall contain a device for promptly notifying the nearest responsible law enforcement agency, by a signal not detectable by unauthorized persons, of an attempted or completed crime or unauthorized entry.

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5. All vaults, safes and night depositories in each office shall be equipped with alarm devices for promptly notifying the nearest responsible law enforcement agency by a signal, not detectable by unauthorized persons, of an attempted or completed crime or unauthorized entry. 6. All vaults shall be equipped with a timing device which can be set against the opening of the vault during the hours the office is closed. Safes do not need to be equipped in this way. 7. Each office shall be equipped with a system for surveillance of the areas open to the public and other areas considered appropriate, in the event of an attempted or completed crime or unauthorized entry. Surveillance equipment must be capable of recording activity in the office and should be installed to record persons while transacting business, or while entering or leaving the facility. All recording devices should be capable of being activated at several locations within the facility and monitored and coordinated with the alarm system. 8. Certain high-risk locations may require the installation of bullet-resistant barriers. These barriers are to isolate employees from persons outside the windows or stations. Surveillance systems may also be installed, recording the actions of persons in a position to transact business at the location. 24.6 Alarms, intrusion detection systems and CCTV systems will be controlled at the central monitoring point. The systems will be integrated to provide optimum protection. Sensors will be located at the following areas: 1. Entry points. 2. Remote entry points. 3. Vehicle entry ways; 4. EDP areas. 5. Executive Suite. 6. Sensitive areas. 24.7 The type of sensor utilized will consist of contact, Passive Infra-Red, Vibration and other technologies as they emerge and become commercially reasonable to purchase. 24.8 Before purchasing this type of equipment the Security Director shall: 1. Complete a survey to determine requirements; 2. Determine what the system is designed to protect; 3. Determine appropriate alternatives; 4. Design the integrated of alarms, intrusion detection systems, CCTV, and any other appropriate means; and 5. Solicit vendors to participate in the bidding process. 24.9 All security devices shall be maintained under a maintenance agreement with a bonded and qualified equipment service agent as determined by the Security Director. The security system shall be inspected, serviced and tested by the vendor at least annually with a copy of the certification forwarded to the Security Director. 24.10 In addition to the testing by a qualified agent, the Unit Security Officer or a member of the Guard Force, shall test the office alarm system monthly. If any fault is found in the alarm system, the Unit Security Officer shall report that fault
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24.11 24.12

24.14

24.15

24.16

to the Security Director immediately. Reference SEC 1XX Ex1 SECURITY DEVICE TESTING, INSPECTION AND SERVICE RECORD LOG. All lighting must conform to UL standards and will be installed and maintained by licensed electricians only. Protective lighting is that lighting system utilized as part of the overall Security Program. Applications include: 1. Perimeter; 2. Entry way; 3. Loading docks; 4. Stand off zone; and 5. Parking lots and garages. It is the responsibility of the Security Director to insure that all protective lighting systems are adequate and functioning appropriately including: 1. Perimeter lighting that will improve visual surveillance of the outer perimeter. 2. Entryway lighting that will be of sufficient power to enable the Guard Force to identify persons at the entry way, either directly or on the CCTV screen. 3. Loading dock areas that will be sufficiently illuminated to enable the Guard Force to monitor, on camera, all activity in the area. 4. Stand off zone lighting that will be sufficient to allow the Guard Force to monitor any activity in that area between the perimeter and the entry way. 5. Parking lots and garage lighting that will be of sufficient power to illuminate all darkened areas to at least one (1) candle foot power. Parking lots and garages are of special concern and to provide adequate protection to employees, customers and other persons, these areas will also utilize the following systems: 1. CCTV where appropriate. 2. Zoned alarm systems. 3. Talk back communications. 4. Guard escort when necessary. 5. Multiple lighting fixtures. Interior lighting will be of sufficient power to adequately illuminate all areas of the building. All areas of the facility shall meet standards set out by appropriate building and related codes.

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Revision History: Revision 0 Date 11/06/02 Description of changes Initial Release Requested By

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SEC120 Ex 1 SECURITY DEVICE TESTING, INSPECTION AND SERVICE RECORD LOG


Date Device Test Inspect Service Comments

This log is to be maintained and kept by the Office Manager. When this log is filled, a copy is to be retained by the office, and the original forwarded to the Security Director. This log is also to be included in each office audit done by the Audit Department. Devices to be included are cameras, alarms (both robbery and burglary), locks and lighting.

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Sample Package

Disaster Recovery
Policies, Procedures & Forms
Quick Facts
This manual includes 570 Pages of materials: 5 sample procedures 26 sample memos, agreements and forms What you will get, when you buy: 1. Editable Microsoft Word files for immediate download. 2. Optional hardbound book containing all content.

Sample disaster recovery plan, guide to workplace violence, and disaster recovery contact directory

This Sample Package contains: A: Overview of the Sample Package (1 page) B: Table of Contents (3 pages) C: Policy, Procedure, and Form Set (7 pages)

View Product Details Online: http://store.bizmanualz.com/Business-Disaster-Recovery-Plan-and-Procedures-p/abr33m.htm


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Dear Business Executive: Thank you from downloading this sample content from Bizmanualz. Whether you are looking to write policies and procedures, or are trying to manage and share them, Bizmanualz has the right solution. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important to you ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains a complete table of contents and a complete policy, procedure and form(s) set. The purpose is to give you a clear idea of how our policies and procedures are written, formatted, and presented for you to customize. If you have any questions after reading this sample package, please feel free to contact us online or call us at 1-800-466-9953 (toll free, US only) or at 314-863-5079, or send an email to sales@bizmanualz.com. Thanks again.

Each policy/procedure template includes: Policy Purpose Scope Responsibilities Definitions Procedure Activities, references & forms where applicable. TERMS & DEFINITIONS Manual: A system of approved policy statements and corresponding procedural guidelines and supporting forms that direct an organization toward its operational goals. Policy: A stated course of action with a defined purpose and scope to guide decision-making under a given set of circumstances within the framework of corporate objectives, goals and management philosophies. Procedure: A series of prescribed steps followed in a definite regular order which ensure adherence to the guidelines set forth in the Policy to which the Procedure applies Activity: An action, element or decision representing a prescribed step in the Procedure process. Task: A detailed component of an Activity specifying required behavior to complete the activity. Form: A pre-formatted document containing instructions and placeholders for data entry to monitor progress through a particular Procedure and to ensure proper recordkeeping.

Best regards,

Chris Anderson Managing Director, Bizmanualz St. Louis, Missouri

Comprehensive Bizmanualz Policies and Procedures Library Accounting Finance Computer & IT Human Resources CFO Series Bundle (save 42%) Sales & Marketing Human Resources Business Sampler Security Planning CEO Series Bundle (Save 53%)
CEO Series Sample - Page 160

ISO 9001 QMS ISO 22000 Food Safety AS 9100 Aerospace Employee Handbook Industry Supplements

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Disaster Recovery Policies, Procedures & Forms Table of Contents


Tab 100 200 300 Title Introduction Manual Preparation Disaster Recovery Plan Sample Policy and Procedure Statements ......................................................7 Introduction and Purpose of the Disaster Management Plan .............8 Plan Development and Implementation: Guidelines and Scope.......10 Disaster Management Team ............................................................11 Notification of Emergency Responsibilities.......................................14 Personnel Duties and Responsibilities .............................................14 Emergency Notification Procedures .................................................20 Emergency Response Procedures All Personnel ..........................22 Service Agreements, Emergency Services Agencies and Community Resources ..............................................................37 10.0 Centers of Operation ........................................................................67 11.0 Testing and Training Requirements..................................................69 12.0 Annual Risk Assessment and Evaluation .........................................71 13.0 Department Recovery Plan - Administration.....................................75 14.0 Department Recovery Plan Cash handling facility.........................83 15.0 Department Recovery Plan Data Processing ................................91 16.0 Department Recovery Plan General..............................................97 17.0 Training Program............................................................................103 18.0 Update Information .........................................................................107 19.0 Sample Forms ................................................................................109 20.0 Resolutions for the Disaster Management Plan .............................129 21.0 Disaster Management Executive Committee Appointment..........134 22.0 Disaster Management Executive Committee Acknowledgement ..........................................................................136 23.0 Board of Directors Certification Resolution.....................................138 24.0 Board of Directors Re- Certification Resolution .............................139 25.0 Copies of Resolutions & Succession Documentation ....................141 26.0 Confidential Information..................................................................142 27.0 Leaders Guide: Disaster Management & Business Recovery Guide .......................143
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page

1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0

Disaster Recovery Policies, Procedures & Forms

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400

Action Plan General Information....................................................................................5 Phase 1: Philosophy and Structure ...........................................................9 Phase 2: Arrange For Selection and Assembly of Committees ..................9 Phase 3: Review Emergency Notification Procedures..............................13 Phase 4: Risk Assessment Analysis.........................................................15 Phase 5: Testing and Training Requirements ..........................................18 Phase 6: Review All Recovery Scripts......................................................19 Phase 7: Review All Resolutions for the Disaster Management Plan .......................................................20 Phase 8: Review Contracts / Insurance Policies / Corporate Records .....................................................................................22 Phase 9: Centers of Operation and Recovery Scripts ..............................23 Phase 10: Forms ......................................................................................24 Phase 11: Confidential Personnel Information .........................................25 Phase 12: Policy and Procedure Statements ...........................................25 Phase 13: Update Information ..................................................................27 Phase 14: Examination and Audit Guideline Questions ...........................28 Hypothetical Disasters: Could these happen to you? ...............................39

410

Sample Procedures DMP101 Disaster Management Plan ........................................................5 DMP102 Service Agreements, Emergency Services Agencies and Community Resources ...........................................................15 DMP103 Centers of Operation ................................................................35 DMP104 Emergency Notification Procedures .........................................37 DMP105 Office and Department Recovery .............................................47 Sample Memos, Agreement and Forms Exhibit 1 Disaster Management & Business Recovery...........................5 Exhibit 2 Annual Risk Assessment Exercise ..........................................7 Exhibit 3 Disaster Management Plan Annual Testing & Training Program ....................................................................9 Exhibit 4 Disaster Management and Business Recovery Plan Orientation .....................................................................11 Exhibit 5 Synopsis Disaster Management Plan .................................13 Exhibit 6 Disaster Management Plan Items for Review and Completion......................................................................15 Exhibit 7 Disaster Management Plan Data Base Screens.................17

420

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Exhibit 8 Exhibit 9 Exhibit 10 Exhibit 11 Exhibit 12 Exhibit 13 Exhibit 14

Sample Personnel Database .................................................19 Sample Equipment Data Base...............................................20 Sample Facilities Data Base ..................................................21 Sample Emergency List Data Base .......................................22 Disaster Recovery Questionnaire ..........................................23 Disaster Management Plan Annual Review........................25 Emergency Supplies for Office Departments .........................27

Sample Service Agreements: Sample Services Agreement ....................................................................39 Sample Data Processing Services Agreement .........................................47 Sample Forms: Exhibit 1 Disaster Recovery Log...........................................................59 Exhibit 2 Chronological Log..................................................................61 Exhibit 3 Testing of Solutions Documentation ......................................63 Exhibit 4 Recovery Worksheet .............................................................65 Exhibit 5 Restoration Worksheet ..........................................................67 Exhibit 6 Resumption Worksheet for: ______________.......................69 Exhibit 7 Reconstruction Worksheet for: ____________......................71 Exhibit 8 Employee Personal Profile.....................................................73 Exhibit 9 Sample Facilities Diagrams ...................................................77 Sample Training Handout: Section 1 Introduction Disaster Management and Business Recovery .82 Section 2 Goals of Disaster Management and Business Recovery .......84 Section 3 Disaster Management Plan....................................................85 Section 4 Disaster Management Team..................................................86 Section 5 Emergency Staging Areas and Facility Evacuation ...............89 Section 6 Telecommunications ..............................................................90 Section 7 Alternate Work Sites ..............................................................90 Section 8 Media .....................................................................................91 Section 9 Personal vs. Business Responsibilities..................................91 Section 10 Attachments...........................................................................92 430 500 600 Workplace Violence Contact Directory Index

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SAMPLE COMPANY SOP # Revision: Effective Date: Title: Policy: Purpose: Scope: Procedure: 1.0 1.1 EMPLOYEE LISTS

Page 1 of 3 Prepared by: Approved by:

DMP104 EMERGENCY NOTIFICATION PROCEDURES The information within this section shall be maintained and updated by the Disaster Management Team Chairpersons, Coordinators and Department Leaders. To provide required procedures for emergency notification. This statement applies to all disaster management team members.

The Disaster Management Team Chairpersons, Coordinators and Department Leaders shall maintain appropriate lists of employees' names, titles, position descriptions, home addresses and home telephone numbers. This information shall be maintained with the Disaster Management Plan for contact, if necessary. This personnel information shall be updated at least annually, and shall remain confidential. (Reference EXHIBIT 1) NOTIFICATION AND RESPONSE Upon notification of an emergency, the Disaster Management Team Chairpersons shall authorize the notification and immediate response of appropriate personnel. This notification shall be made by phone or in person, and according to one of the three levels of threat as follows: 1. ALERT 3: STAND-BY: Appropriate personnel are to be notified of the emergency and placed on stand-by status, and shall remain available for emergency assignment, either by phone or by other means as necessary. If the emergency occurs during business hours: 2. All personnel are placed on alert. All appropriate records, equipment and documents are prepared for transfer to secure areas or facilities. All operations may resume routine functions.

1.2 2.0 2.1

ALERT 2: MINIMUM RESPONSE: Only selected personnel will be called to respond immediately, and all other personnel will remain on stand-by status. If the emergency occurs during business hours: All personnel are to remain at current locations, until instructed to leave. All appropriate records, equipment and documents are transferred to secure areas or facilities; and business operations involving customers are

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discontinued, and internal tasks, functions and assignments continue until further instructions are received. 3. ALERT 1: MAXIMUM RESPONSE: All designated personnel shall respond The Company or any of its facilities may be closed immediately, and all personnel are to remain at their current locations. All appropriate records, equipment and documents are locked within a secure facility. All business operations are discontinued, and personnel and customers remain at their locations until escorted from those locations by company officials or emergency services personnel.

2.2

In considering the appropriate response, the Disaster Management Team shall consider which stage(s) of emergency is present: Detection Reaction Assessment Notification Mobilization Recovery Restoration Resumption Reconstruction

3.0 3.1

ACTIVITY LOG In the event of any activation of this plan, the Disaster Management Team Coordinators shall cause an activity log to be kept at all times during the activation. This log shall be maintained in a chronological sequence of events, and clearly identify the following information: Time activity begun, actions taken, activity terminated. Locations involved. Person maintaining log entries. Person generating information. Person assigned a task, if applicable. Notification of other personnel, if applicable: Name of person notified Time of notification Action requested

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Disposition Unusual events requiring follow-up when normal operations resume. Termination date/time of emergency activation, including name and title of person making termination. (Reference EXHIBIT 2)

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EMPLOYEE PERSONAL PROFILE The information requested in this questionnaire is voluntary and confidential, and is not to be used for any purpose other than during an actual emergency. The contents of this questionnaire shall be kept in a sealed envelope in a secure area, and shall not be opened unless in the case of an actual emergency. The contents of this questionnaire and a photograph shall be updated annually during your performance evaluation. PERSONAL IDENTIFYING INFORMATION: Employee: Nicknames or other names used: Employment classification: Employment location: Permanent residence: Phone: Secondary residence: Phone: Other employment, if applicable: Date of birth: / / Place of birth: Name of hospital: Mothers name: Race: Sex: Complexion: Weight: Hair color: Eye color: Height: Scars/marks/tattoos: Hobbies: Are your fingerprints on file with the company? Is a current photograph on file with the company?

EXHIBIT 1
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FAMILY AND EMERGENCY NOTIFICATION INFORMATION: Marital status: Name of spouse/roommate: Number of children: Anniversary date: Nickname: Childrens names are: Birthdate: Birthdate: Birthdate: Birthdate:

PERSONS TO CONTACT IN CASE OF EMERGENCY: Name: Address: Name: Address: Name: Address: Phone: Relationship: Phone: Relationship: Phone: Relationship:

IMMEDIATE CLOSE RELATIVES: Name: Address: Name: Address: Name: Address: Phone: Relationship: Phone: Relationship: Phone: Relationship:

EXHIBIT 1

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OTHER PERSONS LIVING OR WORKING IN HOUSEHOLD: Name: Address: Name: Address: Phone: Relationship: Phone: Relationship:

MOTOR VEHICLES USED BY FAMILY: Year: License: Year: License: Make: Make: Model: Driven by: Model: Driven by: Color: Color:

MEDICAL INFORMATION: Blood type: Allergic to: Medical condition requiring treatment or medication:

Medication required: Personal physician: Address:

Dosage: Phone:

AUTHORIZATION FOR THIS PHYSICIAN TO RELEASE CONFIDENTIAL INFORMATION IN THE EVENT OF AN EMERGENCY SITUATION REQUIRING TREATMENT: Signature: Date:

EXHIBIT 1

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CHRONOLOGICAL LOG OF EVENTS DATE: LOCATION: OFFICER IN CHARGE: Time Person Activity/request TIME STARTED: TIME ENDED: OPERATOR: Disposition Time

EXHIBIT 2

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Sample Package

ISO 9001 QMS


Policies, Procedures & Forms
Quick Facts
This manual includes 400 Pages of materials: 23 pre-written policies & procedures 48 accompanying forms What you will get, when you buy: 1. Editable Microsoft Word files for immediate download.

Sample quality manual

This Sample Package contains: A: Overview of the Sample Package (1 page) B: Table of Contents (6 pages) C: Policy, Procedure, and Form Set (6 pages)

View Product Details Online: http://store.bizmanualz.com/ISO-9001QMS-Policies-Procedures-Forms-p/abr211m.htm


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Dear Business Executive: Thank you from downloading this sample content from Bizmanualz. Whether you are looking to write policies and procedures, or are trying to manage and share them, Bizmanualz has the right solution. Prewritten Policies and Procedures Templates Over the last decade, Bizmanualz has helped thousands of companies, in the United States and abroad, implement best practices through pre-written policies and procedures templates. Written by expert authors and editors, these prewritten procedures are general enough to fit most business situations. And, since all content is provided in Microsoft Word files, you can easily edit and customize the documents to fit your own specific needs. Onpolicy Procedures Management Software Onpolicy is our newest offering and simplifies your policy and procedures management by providing an easy online interface to manage, control and share your important documents. Onpolicy is a Software-as-a-Service (SaaS) solution, so there is nothing to install or maintain. Focus on what is important to you ensure that your documents are up-to-date, are used as intended, and provide the compliance evidence that your auditor requires. Sample Policy Procedure This sample package contains a complete table of contents and a complete policy, procedure and form(s) set. The purpose is to give you a clear idea of how our policies and procedures are written, formatted, and presented for you to customize. If you have any questions after reading this sample package, please feel free to contact us online or call us at 1-800-466-9953 (toll free, US only) or at 314-863-5079, or send an email to sales@bizmanualz.com. Thanks again.

Each policy/procedure template includes: Policy Purpose Scope Responsibilities Definitions Procedure Activities, references & forms where applicable. TERMS & DEFINITIONS Manual: A system of approved policy statements and corresponding procedural guidelines and supporting forms that direct an organization toward its operational goals. Policy: A stated course of action with a defined purpose and scope to guide decision-making under a given set of circumstances within the framework of corporate objectives, goals and management philosophies. Procedure: A series of prescribed steps followed in a definite regular order which ensure adherence to the guidelines set forth in the Policy to which the Procedure applies Activity: An action, element or decision representing a prescribed step in the Procedure process. Task: A detailed component of an Activity specifying required behavior to complete the activity. Form: A pre-formatted document containing instructions and placeholders for data entry to monitor progress through a particular Procedure and to ensure proper recordkeeping.

Best regards,

Chris Anderson Managing Director, Bizmanualz St. Louis, Missouri

Comprehensive Bizmanualz Policies and Procedures Library Accounting Finance Computer & IT Human Resources CFO Series Bundle (save 42%) Sales & Marketing Human Resources Business Sampler Security Planning CEO Series Bundle (Save 53%)
CEO Series Sample - Page 172

ISO 9001 QMS ISO 22000 Food Safety AS 9100 Aerospace Employee Handbook Industry Supplements

ISO 9001 QMS Policies, Procedures & Forms

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ISO 9001 QMS Policies, Procedures, and Forms Table of Contents


ID 100 200 1. 2. 3. 4. 5. 300 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 400 QP1000 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 Name Introduction ..................................................................... Manual Preparation ......................................................... Introduction Installation Instructions Your Quality Manual Effective Communication Quality Procedures Quality Manual ................................................................. Purpose Scope Relation to ISO 9001:2008 Our Companys Quality Management System Management Responsibility Resource Management Product Realization Measurement, Analysis, and Improvement Revision History Section 1 2

Quality Procedures ......................................................... Document Control1 Procedure Format Work Instruction Forms Document Approval Temporary Document Changes Document Revisions External Documents Document Distribution Forms QP1000-1 Document Request QP1000-2 Document Control file/database Record Control2 Identification of Quality Records Record Generation Record Maintenance

QP1010 1.0 2.0 3.0

1 2

Procedures QP1000 QP1050 are required by ISO 9001:2008 Procedures QP1000 QP1050 are required by ISO 9001:2008

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Forms QP1010-1 Quality Records List QP1020 1.0 2.0 3.0 4.0 5.0 QP1020-1 QP1020-2 QP1020-3 QP1020-4 QP1030 1.0 2.0 3.0 4.0 5.0 Internal Audits Internal Audit Program Internal Audit Planning Conducting the Internal Audit Internal Audit Reporting Internal Audit Follow-Up Forms Audit Program Audit Plan Quality Audit Checklist Final Audit Report

Control of Nonconforming Product/Material Identification and Segregation Nonconformance Report Returned Goods Nonconformance Disposition Corrective Action Forms QP1030-1 Nonconformance Report QP1030-2 Nonconforming Material Log QP1030-3 Return Goods Authorization Corrective Action3 Determining the Need for Corrective Action Initiating Corrective Action Investigating the Cause Taking Corrective Action Verification and Closure Forms QP1040-1 Corrective Action Report QP1040-2 Corrective Action Log Preventive Action Preventive Action - Background Risk Analysis - Evaluating the Need for Preventive Action Determining Actions Required and Implementing Them Preventive Action Review Forms QP1050-1 Preventive Action Report QP1050-2 Preventive Action Log

QP1040 1.0 2.0 3.0 4.0 5.0

QP1050 1.0 2.0 3.0 4.0

Procedures QP1000 QP1050 are required by ISO 9001:2008

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QP1060 Management Reviews 1.0 Managements Commitment to the Quality Management System 2.0 Management Review Meetings Forms QP1060-1 Management Review Meeting QP1070 1.0 2.0 3.0 4.0 5.0 6.0 7.0 QP1070-1 QP1070-2 QP1070-3 QP1070-4 QP1070-5 QP1080 1.0 2.0 3.0 4.0 5.0 Competence, Training, and Awareness New Employee Selection New Employee Orientation Employee Development Planning Ongoing Training Training Effectiveness Training Records Performance Appraisal Forms Employee Competence Matrix Employee Development Plan Group Training Record Individual Training Record Sample Job Descriptions

Sales Orders Starting the Sales Process Customer Service Credit Internet (Electronic) Orders Changes to Orders Forms QP1080-1 Customer Order Project Definition Product Needs Identification Project Definition Project Definition Review Building the Project Plan Reviewing the Project Plan Forms QP1090-1 Project Plan Design and Development Design Inputs Design and Development Design and Development Review Design Verification

QP1090 1.0 2.0 3.0 4.0 5.0

QP1100 1.0 2.0 3.0 4.0

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5.0 Design Validation and Testing 6.0 Project Assessment Forms QP1100-1 Design Review Checklist QP1100-2 Design Completion Checklist for Electromechanical Devices QP1100-3 Design Completion Checklist for Non-Electromechanical Devices QP1100-4 Sample Verification Checklist QP1100-5 Product Test QP1110 1.0 2.0 3.0 Design Change Requesting Design Changes Engineering Change Notice Change Design and Development, Review, Verification, Validation, and Testing 4.0 Preproduction Planning and Manufacturing Forms QP1110-1 Engineering Change Notice Vendor Evaluation Vendor Files Vendor Screening Vendor Evaluation Vendor Notice Vendor Removal Forms Approved Vendor List Vendor Audit Checklist Critical Vendor-Contractor Evaluations Vendor Performance Log

QP1120 1.0 2.0 3.0 4.0 5.0 QP1120-1 QP1120-2 QP1120-3 QP1120-4 QP1130 1.0 2.0 3.0 4.0

Preproduction Planning Design Completion Design Transfer and Documentation Production Plan Plan Roll-Out Forms QP1130-1 Product Design Release Manufacturing Production Control Production Inspection and Testing Packaging and Labeling Final Verification Final Release

QP1140 1.0 2.0 3.0 4.0 5.0 6.0

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Forms QP1140-1 Inspection/Testing Checklist QP1140-2 Product Release Authorization QP1150 1.0 2.0 3.0 4.0 Identification and Traceability Identification and Traceability - General Identification and Traceability System Development Identifying / Tracing Items Identification and Traceability Review Forms None

QP1160 Customer Property 1.0 Receipt, Inspection, and Stocking of Customer-Supplied Items 2.0 Unsuitable or Missing Items 3.0 Intellectual Property Forms QP1160-1 Material Return Notice QP1170 1.0 2.0 3.0 4.0 5.0 Control of Monitoring and Measuring Equipment Monitoring and Measuring - General Requirements Storing, Handling, and Maintenance Calibration System Out-of-Tolerance Conditions Control of Subcontractor Calibration Forms QP1170-1 Calibration Record QP1170-2 Calibration Database Process Monitoring and Measurement General Monitoring and Measurement Requirements Reporting Monitoring/Measurement Data Process Nonconformity Review of Process Monitoring/Measurement Forms None

QP1180 1.0 2.0 3.0 4.0

QP1190 1.0 2.0 3.0 4.0

Customer Satisfaction Customer Satisfaction - General Post-Sale Follow-Up Customer Satisfaction Survey Customer Satisfaction Review Forms QP1190-1 Post-Sale Satisfaction Report QP1190-2 Customer Satisfaction Survey

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QP1190-3 Customer Service Log (database) QP1200 1.0 2.0 3.0 Data Analysis and Continual Improvement Data Collection Data Analysis Continual Improvement Forms None Receiving and Inspection Receiving and Stocking Detailed Inspection Items Received on Certificate of Conformance or Certificate of Analysis Receiving/Inspection Review Forms Receiving Log First Article Inspection Report Receiving Inspection Report Purchasing Order Determination and Requisition Order Placement Recordkeeping and Matching Purchasing Review Forms Purchase Requisition Purchase Order Purchase Order Log Purchase Order Follow-Up Index ................................................................................. Notes ................................................................................ 5 6

QP1210 1.0 2.0 3.0 4.0 QP1210-1 QP1210-2 QP1210-3 QP1220 1.0 2.0 3.0 4.0 QP1220-1 QP1220-2 QP1220-3 QP1220-4 500 600

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ISO 9001 QMS Policies, Procedures & Forms

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Document # QP1160 Revision # 0.0 Effective Date: Standards: ISO 9001:2008, clause 7.5.4 Policy: Purpose: Scope:

Title: CUSTOMER PROPERTY Prepared By: Reviewed By: Approved By:

Print Date: Date Prepared: Date Reviewed: Date Approved:

Responsibilities:

Definitions:

The Company shall exercise due care in the storage, use, and disposition of customer-supplied property. To define the methods to be used to identify, verify, protect, and safeguard customer property while it is in the Company's control. This procedure applies to any items supplied by customers, including components and materials supplied for inclusion in products, tooling and fixtures used in manufacturing and inspection processes, and intellectual property. Customer Service is responsible for notifying Production and Purchasing of the customers intent to supply materials during the quotation and contract review processes and coordinating delivery of customer supplied materials. Inventory Control is responsible for identifying items as coming from or belonging to the customer, keeping those items segregated from other production materials/tools, and maintaining control of customer inventory. Production or Engineering is responsible for managing customer supplied tooling and fixtures. Engineering is responsible for managing and safeguarding customers intellectual property. Intellectual property Creation(s) of intellect having commercial value, including copyrighted (e.g., literary or artistic) and ideational property (e.g., patents, appellations of origin, business methods/processes).

Procedure:

1.0 RECEIPT, INSPECTION, AND STOCKING OF CUSTOMER SUPPLIED ITEMS


1.1 Components and/or materials provided by the customer for use in the production of their finished products will be received and inspected in accordance with QP1210 RECEIVING AND INSPECTION. After customer-supplied items have satisfactorily passed the appropriate inspection criteria, Inventory Control shall identify (mark) those items as passed inspection and

1.2

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segregate them in storage until they are required by Production, in accordance with QP1150 IDENTIFICATION AND TRACEABILITY.

2.0 INTELLECTUAL PROPERTY


2.1 Engineering shall maintain, safeguard, and coordinate transmission (dissemination) of customer intellectual property (e.g., blueprints, schematics, flow diagrams, narratives). Note that the customers intellectual property may be in electronic (digital) or in printed form. Engineering shall control customer proprietary information in accordance with QP1000 DOCUMENT CONTROL and dispose of such information after its use (e.g., return to customer, destroy) in accordance with customer requirements. In the event a customer-supplied item is found damaged, deteriorated, or otherwise unsuitable for use during inspection, Receiving shall process that item in accordance with QP1030 CONTROL OF NONCONFORMING PRODUCT-MATERIAL and report the discovery to the customer using form QP1160-1 MATERIAL PROBLEM REPORT (in accordance with clause 7.5.4 of ISO 9001). Receiving shall place a copy of QP1160-1 in the Customer file. If, for any reason, a shortage or loss of items is discovered after the original Receiving and Inspection report is prepared, the Inventory Control manager shall report the discrepancy to the customer, using form QP1160-1. Inventory Control shall place a copy of the QP1160-1 in the Customer file. Inventory Control and Production shall manage the ongoing awareness, discovery, and control of customer-supplied materials, using such methods as: Periodic physical inventories; Using (and reviewing) Customer Property Log; and/or Customer property audits (periodically or as needed).

2.2

3.0 UNSUITABLE OR MISSING ITEMS


3.1

3.2

4.0 ONGOING CONTROL


4.1

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Effectiveness Criteria: Customer property stored, tracked, and used appropriately References: A. ISO 9001:2008, Quality Management Systems - References, International Organization for Standardization (ISO), Nov., 2008. B. Quality Procedures QP1000 DOCUMENT CONTROL QP1030 CONTROL OF NONCONFORMING PRODUCT-MATERIAL QP1150 IDENTIFICATION AND TRACEABILITY QP1210 RECEIVING AND INSPECTION

Forms/Records: Form # Record/Form/Activity Name Satisfies ISO 9001 Clause 7.5.4

Required by ISO 9001:2008 QP1160-1 Material problem report Customer file (database) Customer tooling & fixture file (database) Customer property log Other Forms/Records

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Revision History: Revision 0.0 Date June 20, 2009 Description of changes Initial Release Requested By

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QP1160-1 MATERIAL PROBLEM REPORT


REPORT TO: DATE AUTHORIZED BY

PO/CONTRACT NO.

INVOICE NO.

_________________________________
REPORTED BY:

QTY

PART ID

ITEM DESCRIPTION

NATURE OF PROBLEM

Describe what is wrong with the part (e.g., pkg. read 20 pcs. but only 19 in box, component defective when received, incorrect color of part).

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Thank you for viewing the CEO Management Sample Package. We hope you found it informative and helpful.

To learn more about the Finance Procedures Manual, click on the following link: www.bizmanualz.com/financial_compliance/ To learn more about the Computer & Network Manual, click on the following link: www.bizmanualz.com/computer_it_security_policy_management/ To learn more about the Accounting Manual, click on the following link: www.bizmanualz.com/accounting/ To Learn more about the Sales and Marketing Manual, click on the following link: http://www.bizmanualz.com/sales_marketing_process/ To learn more about the Business Sampler, click on the following link: www.bizmanualz.com/policy_procedures_manuals/ To learn more about the Human Resources Manual, click on the following link: www.bizmanualz.com/employee_policies_procedures/ To learn more about the ISO 9001 QMS Manual, click on the following link: www.bizmanualz.com/ISO9000-2000/

Questions? Call us at 800-466-9953 or at 314-863-5079 Email us at sales@bizmanualz.com Contact us online at www.bizmanualz.com/contact_us/

To place an order on-line, visit: www.bizmanualz.com To place an order by phone, call us at 800-466-9953 or at 314-863-5079 Our website (http://www.bizmanualz.com/order_form.pdf) has a fillable PDF order form. You can fill the form and send it to us via fax (314-863-6571) or email (sales@bizmanualz.com).

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