ENTITY LEVEL DOCUMENTATION REQUEST CHECKLIST

No. Document Name Source Received Notes

1 Code of Conduct

2 Code of Conduct Acknowledgements

3 By-Laws

4 Proxy Statement

5 SEC Comment Letters

6 Management Letters

7 Corporate Governance Policies

8 Bios of Committee Members

9 Passed Adjustments

10 Business Plans

11 Management Operating Reports

12 2004 Corporate Budget

13 2004 Risk Assessment

14 Anti-Fraud Risk Assessment

15 Anti-Fraud Programs

16 Audit Committee Charter

17 Audit Committee Meeting Minutes

18 Audit Committee Agenda/Schedule

19 Internal Audit Charter

20 Internal Audit Job Descriptions

21 Internal Audit Organizational Chart

22 Internal Audit Training Program

23 2004 Internal Audit Plan

24 Other Committee Charters

1 Source: www.knowledgeleader.com
 25 Organizational Chart

26 Subsidiary Structure

27 Significant Relationship Monitoring

28 Accounting Procedures

29 Corporate Purchasing Policies

30 Purchasing Chart of Authority

31 Expenditure Chart of Authority

32 Vendor Relationship Guidelines

33 New Employee Orientation Materials

34 Human Resource Policies

35 Hiring Policies

36 Job Descriptions

37 Background Check Procedures

38 Employee Discipline Policies

39 Training Programs

40 Employee Evaluation Policies

41 Incentive Compensation Plans

42 Employee Retention Procedures

43 Ethics Hotline Procedures/Analysis

44 Mission and Value Statements

45 Critical System List

46 Strategic IT Plan

47 IT Org Chart

48 Report Change Request Monitoring

49 Financial Systems Monitoring

2 Source: www.knowledgeleader.com