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1SOXTrainingSOXTraining&SOXMonitoringplan&SOXMonitoringplanLearChang’An,ChongqingMay24&25,20062PRESENTATIONCONTENT1.SOXCALENDAR,REPORTING&3CYCLEREVIEW•SOXLocationsStratification•SOXCalendar•SOXRegularreporting(SOXCertificate&DeficiencyReport)•3CycleReviewReviewscheduleReviewfocusIntroductionofnewreviewworkingpaperDocumentofReviewAnalysisoftypicalreviewquestions2.SOXPROCESSNARRATIVES&PLANTCONTROLMATRIX•ProcessNarrativeObjective•ProcessNarrativeContents•SignificantProcessinEachCycle•ToolsinProcessNarrative(PlantControlMatrix)3.Internal&ExternalAuditPreparation•Pre-auditphase•Startofauditphase•Duringaudit&pre-closereview•Auditclosingphase•Postauditphase•Softskillstoauditors•Lessonslearnedfrompreviousaudit4.PreviousInternalAuditFindings(RoundTableDiscussion)5.20061stQuarterSOXOpenIssueAnalysis(RoundTableDiscussion)3SOXCALENDAR,REPORTING&3CYCLEREVIEW4LocationsStratificationsSOXisapplicablefor‘ConsolidatedLocations’only.LocationsStratificationsasfollows:•Tier1>US$75millionincommercialSales•Tier2Specificfunctionse.gCorporatefinancialsharedservices,WARRIORandCorporateAccounting..etc•Tier3>US$25~US$75millionincommercialsales•Tier4US$75MILCOMMERCIALSALES)504HanyilSouthKorea169,5075,281YAug'06GusParkJudeShin158LearChangchunChina79,52109,238YJune,2006JinDaoqiWrenZhu156ChongqingChanganChina98,76404,933NAlexWangWrenZhu513LearJapanJapanYSep'06ArataTetsutaro(Resigned)NaomiMatsumotoTIER2(DIVISIONOFFICE,ENGINEERINGCENTRE…ETC)233APODIVOfficeSingapore--7,927NJanTaiJanTaiSR1&SR2ShanghaiRHQChina(Shanghai)--10,586NRichardWangWrenZhuTIER3(>US$25~US$75MILCOMMERCIALSALES)NIGSTThailand50,08475910,100NChamaipornKooptavanichSiriwanKlunwarin418Wuhan/ChongqingDPACChina71,897666,313NRobertYuan/StevenYuWrenZhu155GondeIndia36,9051024,497NPiyushRanjanMorPrashant419WuhanLearYunheChina32,88406,036NRobertYuanWrenZhu295ShenyangChina37,86305,119NBorisDingWrenZhuTIER4(