RubinBrown Team Member Manual

Table of Contents

800 - Personal Conduct

1200 - Risk Management

• Personal Appearance of Team Members • Financial Integrity of Team Members • Client & Engagement Relations • Use of Telephone, Email, & Personal Mail

• Engagement Acceptance – Litigation Support & Valuation Services • Review of Workpapers by Third Parties • Protected Health Information Privacy & Security Including Release of PHI

• Corrective Action Procedures • Drugs, Narcotics, & Alcohol • Driving Safety

• Business Associate Agreement • HIPAA Team Member Training • Internally Generated PHI • Record Retention • Policies for Signing Tax Returns

900 - Ethics & Business Conduct

• Confidentiality of Client & Firm Affairs • Conflict of Interest • Acceptance of Gifts & Fees • Work in a Client’s Office • Soliciting Employment • Anti-Bribery & Corruption Policy • Client Service Standards • Whistleblower Policy • Handling Potential Client Irregularities & Notification of Third-Party Investing • Career & Leadership Development • Performance Management Program • Learning & Development / Continuing Education • Organization Memberships • Accreditations / Designations / Certification Reimbursement/Examination • CPA License Policy

• Engagement Letters • Client Continuance • Circular 230 Regulations • Client Acceptance Risk Evaluation Policy & Procedures • Providing Copies of K-1s to Clients • Client Cash Disbursement Policy • Preparer Tax Identification Number • IRC 7216 Compliance • Continuing Professional Education (CPE) & Mandatory Training • Licensure & Professional Certification • Information Security • Insider Trading Policy • Fiduciary Relationships

1000 - Performance Management

1300 - Miscellaneous

• Public Relations & Media Policy • Logo Usage • Social Media

1100 - Workplace Safety

• Accidents & Medical Emergencies • Emergency Evacuation Procedures • Building Security • AED Unit • Workplace Violence • Work Travel Safety

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