Customized Administration Manuals

Process review and documentation provide the roadmap for a well-managed employee equity program

Customized Stock Plan Administration Manuals

To begin the creation of the Stock Plan Administration Manual, CompIntelligence will work in partnership with the Client to perform a comprehensive evaluation of the current internal equity compensation-related processes using industry subject matter experts (SMEs). CompIntelligence will spend the initial part of this phase with due diligence where we will interview key stakeholders, management, and vendors to understand the current process.

In the discovery and due diligence process, we will uncover the pain points and wish list items for all areas. CompIntelligence will develop documentation with data flows and system diagrams. We will also include recommendations for changes to the currently-used processes. We will create specifications for the ideal new processes based on what the Client stakeholders have shared with us, as well as our SME knowledge, and also create a roadmap of the steps to achieve the defined goals. Finally, we will create new, detailed process documentation incorporating new processes and newly adopted solutions if applicable.

Sample PDF Table of Contents

Sample Project Scope:

  • Project typically consists of both onsite and remote work
  • Due diligence and process analysis
    • Review of Client Stock Plans and current documentation
    • Interviews with stakeholders, management and daily operations
    • Process analysis and review with Client on equity platform procedures
    • Data analysis and review with Client on transaction data and reporting
    • Data flow analysis detailing integration/automation strategy
    • Participant communication flow
  • Provide guidance and recommendations based on analysis to incorporate into Client’s current documentation or proceed with the Stock Plan Administration Manual as described below.
  • Initial Deliverable: Executive Presentation of process review and recommendations

Overall Project Deliverable: Stock Plan Administration Manual

  • More detailed identification of key recommendations not included in current process
  • Document the equity administration and reporting business processes including, but not limited to:
    • Business process mapping
    • Data flows
    • Tools / systems used in the process
    • Control points
    • Manual reconciliations performed
    • System and data flow diagrams
    • International processes and areas of concern
    • Vendor interfaces and management
  • The deliverable is a navigational PDF and Word version of the manual
  • CompIntelligence will conduct a review meeting of the final deliverable with Client to explain all contents of the manual.

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