IAPP (UK) - Policies and Procedure Materials

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POLICIES AND PROCEDURE MATERIALS

This documentation provides the basic information that should be included when developing an organised and integrated structure for formalised policies and standard operating procedures within AP.

Policies and procedures define and classify how an AP department should function and be administered. They exist to ensure the rules and methods of conducting AP tasks are clearly and uniformly communicated. When combined with a vision and strategic plan, these documents can create the foundation for a strong and successful AP operation.

All items within this section should be reviewed for appropriateness and modified as required to ensure they meet with internal company and department guidelines and standards.

The information contained in the IAPP-UK Resource Centre web pages is for general information only. The statements, comments or opinions expressed are those of their respective authors, who are solely responsible for them. Inclusion of these documents and links does not necessarily constitute, or imply endorsement, recommendation or favouring of the IAPP-UK. While IAPP-UK endevours to keep the information up to date and correct, we make no guarantees of any kind, express or implied about the completness, accuracy, reliability, suitability or availability with respect to the information, products or services contained within the IAPP-UK Resouce Centre.

Some of the following documents have been sourced in the USA.


	AP CHEQUE DISBURSEMENT POLICY TEMPLATE This template can be used to help develop a policy that will ensure cash is disbursed only with proper management authorisation, for valid business purposes; and, that all disbursements are properly recorded. VIEW DOCUMENT

	COMPONENTS OF AN INTERNAL CONTROLS PROGRAMME Understand the operating unit - A key component of a controls programme is ensuring that the control points and responsibilities of the operating unit are understood and compliance tests are in place to adequately address each aspect of the unit. VIEW DOCUMENT

	GENERAL STANDARDS TO ESTABLISH CONSISTENT INVOICE NUMBERS Internal Cheque Requests are stamped when received in AP with the date and sequence number, use these numbers as the invoice (e.g. CK0606011234 sequence numbers are reset at 1 for each new date, enter sequence as 0001 to be consistent). VIEW DOCUMENT

	GENERIC SEGREGATION OF DUTIES POLICY It is company policy that an appropriate segregation of duties shall be maintained in accordance with the principles set forth in this document. The company shall identify, remediate, and maintain a separation of incompatible business functions. VIEW DOCUMENT

	GUIDELINES FOR ESTABLISHING POLICY & PROCEDURE DOCUMENTS Policy and procedure documents should be standardised. They should be easy to understand, and provide clearly stated guidelines and instructions. The information below can be used to aide in the establishment... VIEW DOCUMENT

	INTERNAL CONTROLS POLICY Internal Controls are the structured means used to obtain reasonable assurance of achieving the company's objectives, and include responsibilities to all stakeholders, which are employees, customers, and suppliers. VIEW DOCUMENT

	PAYMENT INTERNAL CONTROL GUIDELINES It is essential to exercise reasonable promptness in examining bank statements. Consider the situation where a company's cheques are used illegally because of a forged signature. VIEW DOCUMENT

	POLICY AND PROCEDURE MATERIALS These standards have been developed as guidelines for adding new vendors or making changes to existing vendors in the centralised vendor file, to help to ensure integrity. The standards are based on United States Postal Service Publication 28... VIEW DOCUMENT

	POLICY TEMPLATE AND INSTRUCTIONS This template provides guidelines for creating a policy, including policy statement, scope, definitions and more. VIEW DOCUMENT

	PROCEDURE TEMPLATE AND INSTRUCTIONS This template provides guidelines on how to document a procedure, including overview, scope/responsibility, and definitions. VIEW DOCUMENT

	PROCURE TO PAY INTERNAL CONTROL STANDARDS The procurement and expenditure cycle includes the functions of securing and qualifying sources of supply; initiating requests for materials, equipment, merchandise, supplies, or services; obtaining information... VIEW DOCUMENT

	SYSTEMS ACCESS POLICY The System Access policy applies to both domestic and international financial and operational systems and is an integral part of segregation of duties. The scope of the Systems Access policy is worldwide. VIEW DOCUMENT

	TRAVEL AND ENTERTAINMENT MANUAL The purpose of the company Travel Manual is to provide direction for employees and others who undertake travel on behalf of the company in accordance with the Company Travel Expense Policy. VIEW DOCUMENT

	BACK ORDER POLICY This tool is used to establish the associated responsibilities, controls and processes to monitor and handle back orders. It should implemented across all corporate areas. VIEW DOCUMENT

	AP CODE OF ETHICS The purpose of this tool is to create a policy to further emphasise the company's commitment to ethical conduct and compliance with the law. VIEW DOCUMENT

	CREDIT & RETURNS POLICY The company goals for credits and returns should be to exceed the customer's expectations. The company should make every effort to make the customer feel completely satisfied. VIEW DOCUMENT

	AP DISCOUNTS & REBATES POLICY This tool will assist in looking for ways to help companies keep their overall costs down. It will provide access to a range of financial incentives to encourage the company to take action today with its vendors. VIEW DOCUMENT

	INCOMING MAIL INTERNAL CONTROL POLICY Incoming mail needs to be collected and sorted efficiently to ensure that it gets to the addressee in a minimal amount of time. VIEW DOCUMENT

	AP INTERNAL CONTROL POLICY A tool that will establish and maintain a system of internal controls to promote effectiveness and efficiency of operations. VIEW DOCUMENT

	AP MANUAL ACKNOWLEDGEMENT FORM I acknowledge that I have received the Accounts Payable Manual, and I understand that it is my responsibility to read and comply with the policies contained in the manual and any revisions and updates made to it. VIEW DOCUMENT

	AP MANUAL TABLE OF CONTENTS This tool provides a table of contents for assembling a company accounts payable manual. VIEW DOCUMENT

	MISSION STATEMENT TEMPLATE This tool is to provide the framework necessary to illustrate that the mission statement's principle function is not to sound catchy, but to let people in and out of the organisation know what its purpose is and to guide decision-making. VIEW DOCUMENT

	ORGANISATION CHART This chart demonstrates the model AP organisation. VIEW DOCUMENT

	PERSONNEL CHANGE FORM TEMPLATE This form illustrates a form that can be utilised to record corporate personnel changes. VIEW DOCUMENT

	AP PERSONNEL INTERNAL CONTROL POLICY This personnel internal control policy template for business guidelines will help protect the company from liabilities and give it the basic ground rules for employees in protecting their rights. VIEW DOCUMENT

	AP RECONCILIATION INTERNAL CONTROLS POLICY Provides policies and procedures on reconciling and reviewing departmental ledgers for oversight of transactions and protection of company assets. VIEW DOCUMENT

	RECONCILIATION POLICY This tool should be utilised to provide policies and procedures on reconciling and reviewing departmental ledgers for oversight of transactions and protection of company assets. VIEW DOCUMENT

	AP REFUNDS AND DEBIT BALANCES INTERNAL CONTROL POLICY This tool provides a template for formulating an internal policy for debits and credits. VIEW DOCUMENT

	TRAVEL AND ENTERTAINMENT CODE OF CONDUCT POLICY This tool enables the company to conduct its business consistent with the highest standards of business ethics. VIEW DOCUMENT

	TRAVEL AND ENTERTAINMENT POLICY A policy used to ensure that all Employees have a clear and consistent understanding of policies and procedures for business travel and entertainment on behalf of the company. VIEW DOCUMENT

	AP PAYMENT POLICY Policy applies to the engagement of and all payments to individuals or firms who are not employees of the company. VIEW DOCUMENT

	AP POLICY MANUAL This tool provides the structure for formulating an accounts payable policy manual for the company. VIEW DOCUMENT

	MONTH END POLICY This tool seeks to ensure that the policies and procedures related to the monthly accounting periods are documented VIEW DOCUMENT

	TRAVEL POLICY Tool for general corporate travel compliance, required documentation and a matrix of travel areas showing the who, what, why, where, and how to comply, along with miscellaneous guidelines and corporate forms for use VIEW DOCUMENT

	EXPENSE REIMBURSEMENT POLICY - OTHER THAN TRAVEL A tool used for answering compliance questions concerning technology usage, cell phone usage, office product purchases, personal articles, gifts, favours and con-cash awards. VIEW DOCUMENT