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Our Non-Audit Services

K. A Parker & Associates, Inc., offers a wide variety of services to help your company achieve compliance as quicckly and as seamlessly as possible without disrupting your business.

KAPA Non-Audit Services Comprise Compliance Solutions
for the Following Departments or Functions:

Information Technology Processes
Finance

Human Resources Compliance
Compliance Training

Under Sarbanes-Oxley in particular, programs and systems written for financial reporting must have additional auditing and other new programs needed to provide for the timeliness of reports mandated by the law. All of the tasks necessary for compliance are process driven.

Sarbanes-Oxley mandates the following IT-related compliance issues, among others:

  • Immediate changes to financial software and the financial reporting process to reflect stricter time constraints on reporting.
  • Process-oriented canned software may not be able to comply. Anciliary processes and systems may have to be created.
  • Strict quality control on financials with upper management oversight and responsibility will probably means new software to provide visibility of data and process.
  • Enterprise rollups mean necessitatey to combininge purchased companies quickly.
  • The Cost of software revamps may no longer be the issue. Time constraints to declare intentions and merge financials will adds internal IT and network pressures.
  • Reliance on software or just one financial system may not be the norm.
  • Extensive back up plans will be needed to insure cross functional and quality of reporting demanded by the top management and regulatory agencies.
  • Strict quality control on financials with upper management oversight and responsibility means new software to provide visibility of data and process.

    Section 403 of the bill specifies additional disclosures relating to transactions with management and principal stockholders. Nasdaq requires companies to disclose transactions in company stock by officers or directors within 2 business days for transactions exceeding $100,000.

Using The Parker Process Method, our quick process improvement strategy tool, we can design an IT and workflow process that will provide a solution as “rapid” and “current” as is technologically and humanly possible. The model created can be crafted in two weeks, and it will define the process for review and improvement.

Our combined IT experience has enabled us not only to conduct software audits , but to help in the development of new applications designed specifically for your company. In addition, since virtually every aspect of compliance involves processes, our Parker Process Method is completely customized to fit the needs of your company, and will help you comply not only in a timely way, but less painfully, as well.

KAPA's Parker Process Method

The Parker Process Method begins with a comprehensive discussion with affected individuals to determine and engineer or reengineer "mandated" processes, “problem” processes, “opportunity” processes or the entire enterprise. This is usually done on a recurring cycle at the customer’s discretion. This service has a process-modeling training capability option, if desired, which enables the customer to be self-sufficient.

The Parker Process Method is a necessary tool for compliance achievement.

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If your browser blocks popup windows, you can view information about the Parker Process Method by clicking here.

The Parker Process Method was developed by team leader, Kim Parker, Kim Parker, President & Chairman, K. A Parker & Associates, Inc.

To learn how this model was developed, click here.

To learn how the Parker Process Method can help your Information Technology team, please contact Kim Parker by calling: (919) 369-2373, or by sending him e-mail at: kparker@kaparkerassoc.com.

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Obviously, any law written to focus on corporate fraud will put finance departments under regulatory microscopes. Under Sarbanes-Oxley, programs written for financial reporting must be audited, undergo additional auditing scrutiny and additional programs will be needed to provide for the timeliness of reports mandated by the law. All of the tasks necessary for compliance are process driven.

Sarbanes-Oxley mandates the following finance-related compliance issues, among others:

  • Processes/Procedures must be produced in order to be in compliance.
  • Audit and outside audit processes must be produced for compliance. In addtion, there are implied changes relating to Sarbanes-Oxley.
  • Reliance on software or just one financial system may not be the norm.
  • Process-oriented canned software may not be able to comply.
  • Extensive backup plans will be needed to insure cross-functional and quality of reporting demanded by the top management and regulatory agencies.

Our Finance and Accounting Compliance Team has decades of diverse accounting, financial and operational experience. We can help you comply by assessing what may need to be changed for your accounting and finance function, then chart a course to compliance and implement it with our Training Team.

All of the initiatives above require a group with an in-depth understanding of how Sarbanes-Oxley will impact the finance and accounting functions and departments. K. A Parker & Associates, Inc. has exactly the team you need.

Our Finance and Accounting Services meet all of the demands necessary for compliance. Our team can assess how compliance will affect your finance department and then define a compliance process customized specifically for your company.

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Achieving compliance requires specific and in-depth processes. The combined experience of our associates in assessing finance department process issues enables us to design workable compliance processes using templates we have developed with great success over the yearsin real time by using the Parker Process Method.

KAPA's Parker Process Method

The Parker Process Method begins with a comprehensive discussion with affected individuals to determine and engineer or reengineer "mandated" processes, “problem” processes, “opportunity” processes or the entire enterprise. This is usually done on a recurring cycle at the customer’s discretion. This service has a process-modeling training capability option, if desired, which enables the customer to be self-sufficient.

The Parker Process Method is a necessary tool for compliance achievement.

If your browser blocks popup windows, you can view information about the Parker Process Method by clicking here.

The Parker Process Method was developed by team leader, Kim Parker, Kim Parker, President & Chairman, K. A Parker & Associates, Inc.

To learn how this model was developed, click here.

To learn how the Parker Process Method can help your Information Technology team, please contact Kim Parker by calling: (919) 369-2373, or by sending him e-mail at: kparker@kaparkerassoc.com.

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Sarbanes-Oxley poses some thorny compliance challenges for HR departments. It changes the way companies conduct HR practices and has specific provisions for whistle blowers. For instance, can a whistle blower be terminated for any reason, cause or not?

The law mandates the following changes:

  • Rules regarding the terms “independence” and “financial expert” imply extensive background checks of all financial, management, board or directors, information technology, legal, inside human resource, non-audit consultants and outside audit resources.
  • Extensive publishing and presentations to entire staff regarding compliance issues. Much like the “sensitivity” issues of the past.
  • Whistle blower procedures that will allow for anonymity. This may or may not include an I.T. capability. Must not hold employees liable.
  • New class of departure: “For compliance reasons.” Employee worked for an audit firm within the last five years, which is the audit group of current record.
  • Enforcement of “code of ethics.”
  • Reconstitution of the term “ethics” as it applies to foreign interests.
  • Conveying ethical principles and rationale for these principles to all personnel. The issue here is that enforcement of codes of ethics will bring about little behavioral change long-term unless there is an understanding and acceptance of the ethical principles underpinning the codes. The question remains can you legislate ethics? You can enforce and mandate, but not motivate to a code unless there is a full understanding of the value of the practices.
  • Providing a cultural understanding to personnel of cross-cultural ethical issues. Again, it is imperative that we understand the cross-cultural issues if we are to work in multi-national organizations. What we think is ethical here in the U.S. may not be deemed so in Asia or Africa.

Our combined HR experience, understanding of the law and our unique expertise in the definition and application of ethics enables us to assess each of these issues in the context of your corporate culture and design and implement compliance processes that will make adhering to the law less stressful for your company. We can do that with several of our services:

KAPA's Ethics Definition and Implementation Services can make the journey to compliance much easier.

Inasmuch as the predicate for this act is ethics, most of SarBox's provisions focus on new ethical prerogatives. K. A Parker & Associate's Dr. David Powell not only did his doctoral thesis on ethics, he has taught medical ethics at both Harvard and Yale. He clearly understands the nuances of the law and is well able to tailor processes to make ethical compliance fit your corporate culture within the mandates of the law.

If your browser blocks popup windows, you can view information about our Interactive and Publishing Services by clicking here.

To see how KAPA's Ethics Definition and Implementation Services can help your Human Resources team comply with Sarbanes-Oxley, please contact Dr. David Powell by calling: (860) 653-4470, or by e-mail at: dpowell@kaparkerassoc.com.

KAPA's Parker Process Method

The Parker Process Method begins with a comprehensive discussion with affected individuals to determine and engineer or reengineer "mandated" processes, “problem” processes, “opportunity” processes or the entire enterprise. This is usually done on a recurring cycle at the customer’s discretion. This service has a process-modeling training capability option, if desired, which enables the customer to be self-sufficient.

The Parker Process Method is a necessary tool for compliance achievement.

If your browser blocks popup windows, you can view information about the Parker Process Method by clicking here.

The Parker Process Method was developed by team leader, Kim Parker, Kim Parker, President & Chairman, K. A Parker & Associates, Inc.

To learn how this model was developed, click here.

To learn how the Parker Process Method can help your Information Technology team, please contact Kim Parker by calling: (919) 369-2373, or by sending him e-mail at: kparker@kaparkerassoc.com.

Return to List


KAPA's Compliance Training Services

Training Services Crafting an ethics statement and defining processes must be followed by a highly focused training program that ensures that compliance goals are met and that adaptation to changes in the law or regulations are made successfully on an on-going basis. We are well able to assess not only who needs to take compliance training, but more importantly from a cost standpoint, who does not need such training.

Because we are a non-audit company, we can design and implement the pathway to compliance while keeping your corporate culture in perspective during that process.

To learn more about how KAPA's Compliance Training Services can help your Human Resources team, please contact Robert Fuller by calling: (919) 606-6371, or by e-mail at: rfuller@kaparkerassoc.com, or John Cannon by calling: (919) 345-4238, or by e-mail at: jcannon@kaparkerassoc.com

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KAPA's Interactive and Publishing Services

Our Interactive (E-Learning) and Publishing Services can deliver training content on a range of media from paper to your intranet. Because we compose the content of our training programs, we can also provide the presentations mandated by the law for your employees and deliver training conventionally or electronically. If you prefer that we use your training content, we can certainly develop programs using that.

In addition, we offer subscription-based newsletters that help companies stay informed about Sarbanes-Oxley, SEC regulations and how developing case law will impact implementation. If you prefer, we can produce the content of a customized newsletter designed to keep your company's prespective on relevant events.

If your browser blocks popup windows, you can view information about our Interactive and Publishing Services by clicking here.

To learn more about how KAPA's Interactive and Publishing Services can help your Human Resources team, please contact Jim Hyde by calling: (802) 253-0194, or by e-mail at: jhyde@kaparkerassoc.com.

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Sarbanes-Oxley poses some daunting compliance-training challenges and will result in the following:

  • Massive training efforts relating to all of the above.
  • Changes in Information Technology to meet financial reporting and quality compliance targets IT programs.
  • Financial training regarding process and quality.
  • Human resource training for all management and financial staff regarding terminating offenses and information shuffling.
  • Entire staff training on new whistleblower initiatives.
  • Entire staff training on ethics.
  • Entire staff training on terminating offenses.
  • Human Resouce staff training on above and handling of enforcement agents on premises, privacy rights of offending party.

In the Future:

  • Many small to medium sized companies will try to “opt out” by de-listing.
  • Many large companies may immediately try to sell off their foreign interests to avoid the “ethics” challenges. This makes it much tougher to “go public” and will put a strangle hold on Initial Public Offerings. There will be a great amount of money spent on legal challenges to these laws and regulations. Most companies will hold off challenging until they are confronted. Some are addressing legal strategies and developing talking points to avoid a confrontation. Tyco reportedly hired an army of about 125 lawyers that spent 65,000 hours scouring Tyco's books across more than 45 operating units in 15 U.S. and 12 foreign countries.
  • There will be fewer big accounting firms and more medium sized ones.

Our combined HR experience and understanding of the law enables us to assess each of these issues in the context of your corporate culture and design and implement compliance processes that will make adhering to the law less stressful for your company. We can do that with several of our services:

KAPA's Ethics Definition and Implementation Services can make the move to compliance a smoother road to follow.

Inasmuch as the predicate for this act is ethics, most of SarBox's provisions focus on new ethical prerogatives. K. A Parker & Associate's Dr. David Powell not only did his doctoral thesis on ethics, he has taught ethics at both Harvard and Yale. He clearly understands the nuances of the law and is well able to tailor processes to make ethical compliance fit your corporate culture within the mandates of the law.

If your browser blocks popup windows, you can view information about our Interactive and Publishing Services by clicking here.

To see how KAPA's Ethics Definition and Implementation Services can help your Human Resources team comply with Sarbanes-Oxley, please contact Dr. David Powell by calling: (860) 653-4470, or by e-mail at: dpowell@kaparkerassoc.com.

Return to List


KAPA's Parker Process Method

The Parker Process Method begins with a comprehensive discussion with affected individuals to determine and engineer or reengineer "mandated" processes, “problem” processes, “opportunity” processes or the entire enterprise. This is usually done on a recurring cycle at the customer’s discretion. This service has a process-modeling training capability option, if desired, which enables the customer to be self-sufficient.

The Parker Process Method is a necessary tool for compliance achievement.

If your browser blocks popup windows, you can view information about the Parker Process Method by clicking here.

The Parker Process Method was developed by team leader, Kim Parker, Kim Parker, President & Chairman, K. A Parker & Associates, Inc.

To learn how this model was developed, click here.

To learn how the Parker Process Method can help your Information Technology team, please contact Kim Parker by calling: (919) 369-2373, or by sending him e-mail at: kparker@kaparkerassoc.com.

Return to List


KAPA's Compliance Training Services

Training Services Crafting an ethics statement and defining processes must be followed by a highly focused training program that ensures that compliance goals are met and that adaptation to changes in the law or regulations are made successfully on an on-going basis. We are well able to assess not only who needs to take compliance training, but more importantly from a cost standpoint, who does not need such training.

Because we are a non-audit company, we can design and implement the pathway to compliance while keeping your corporate culture in perspective during that process.

To learn more about how KAPA's Compliance Training Services can help your Human Resources team, please contact Robert Fuller by calling: (919) 606-6371, or by e-mail at: rfuller@kaparkerassoc.com, or John Cannon by calling: (919) 345-4238, or by e-mail at: jcannon@kaparkerassoc.com

Return to List


KAPA's Interactive and Publishing Services

Our Interactive (E-Learning) and Publishing Services can be delivered on a range of media from paper to your intranet. Because we compose the content of our training programs, we can also provide the presentations mandated by the law for your employees and deliver training conventionally or electronically. If you prefer that we use your training content, we can certainly develop programs using that.

In addition, we offer subscription-based newsletters that help companies stay informed about Sarbanes-Oxley, SEC regulations and how developing case law will impact implementation. If you prefer, we can produce the content of a customized newsletter designed to keep your company's prespective on relevant events.

If your browser blocks popup windows, you can view information about our Interactive and Publishing Services by clicking here.

To learn more about how KAPA's Interactive and Publishing Services can help your Human Resources team, please contact Jim Hyde by calling: (802) 253-0194, or by e-mail at: jhyde@kaparkerassoc.com.

Return to List


KAPA's Coaching and Business Communications Services

The compliance process means changes that may be disconcerting to some employees. Our Business Coaching and Communications Services are designed to help employees cope with the psychology of change. They also help people achieve a healthy work/life balance.

Myriad factors both on and off the job affect an employee's perfomance and productivity. The complexion of the workplace has changed dramatically over the last half century. During the 1950's the average person got a job and made a career of it. Today, individuals in the workforce may change careers three or four times before they retire. This dramatic shift in work philosophy is due in part to the employee's inability to juggle work and life responsibilities effectively. More moms are in the workplace than ever before, but their responsibilities at home are still there. Likewise, in situations where both moms and dads work, there is more pressure on the dads to help out at home. These factors have a definitive impact on both employers and employees.

Among them are:

  • Managing Stress: The Power of the Mind-Body Connection
  • The Working Mother
  • Accessing the Power of Your Mind Using Self-Hypnosis
  • Smoking Cessation
  • Guided Relaxation
  • Breath Meditation
  • Hypnosis
  • Lifestyle Evaluation and Coaching

To learn more about how KAPA's Business Communications Group can help your Human Resources team, please contact Jeff Fine by calling: (646) 638-9391, or by e-mail at: jfine@kaparkerassoc.com.

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