Sarbanes-Oxley Internal Controls Toolkit

Save time, empower your teams and effectively upgrade your processes with access to this practical Sarbanes-Oxley Internal Controls Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Sarbanes-Oxley Internal Controls related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Sarbanes-Oxley Internal Controls specific requirements:

STEP 1: Get your bearings

Start with...


• The latest quick edition of the Sarbanes-Oxley Internal Controls Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.


Organized in a data driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…


• Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation


Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 993 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Sarbanes-Oxley Internal Controls improvements can be made.

Examples; 10 of the 993 standard requirements:


1. What critical results are you expected to achieve on a regular basis to eliminate fraudulent financial management and reporting practices covered by the Sarbanes-Oxley Act within your organization?
   
   

2. Do the new certification requirements really ensure the reliability of financial statements by adding layers of bureaucratic review that is costly and time consuming?
   
   

3. When stock is the Sarbanes-Oxley reflects a simple code, it a formal agreement requires management to be transparent and to debt securities laws and protections for?
   
   

4. Should the auditor be prohibited from performing an audit of internal control over financial reporting without also performing an audit of the financial statements?
   
   

5. What kind of total impact of preparing for, implementing and maintaining full compliance with the requirements of the Sarbanes-Oxley Act had on your organization?
   
   

6. What resources are being devoted to assessing the adequacy and integrity of internal control, and does management have the expertise to perform the assessment?
   
   

7. How much of your Sarbanes-Oxley compliance effort was outsourced to an external services provider in each of the years since you were first required to comply?
   
   

8. How much of your Sarbanes-Oxley compliance effort was outsourced to an external service provider in each of the years since you were first required to comply?
   
   

9. Should the accounting oversight board established by the Sarbanes Act conduct audit inspections or should the inspections be performed by private contractors?
   
   

10. How will data confidentiality and integrity be protected without affecting the legitimate access and productivity of authorized people and processes?
    
    


Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:


• The workbook is the latest in-depth complete edition of the Sarbanes-Oxley Internal Controls book in PDF containing 993 requirements, which criteria correspond to the criteria in...


Your Sarbanes-Oxley Internal Controls self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:


• The Self-Assessment Excel Dashboard; with the Sarbanes-Oxley Internal Controls Self-Assessment and Scorecard you will develop a clear picture of which Sarbanes-Oxley Internal Controls areas need attention, which requirements you should focus on and who will be responsible for them:
  
  


• Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix

• Gives you a professional Dashboard to guide and perform a thorough Sarbanes-Oxley Internal Controls Self-Assessment

• Is secure: Ensures offline data protection of your Self-Assessment results

• Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:



STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Sarbanes-Oxley Internal Controls projects with the 62 implementation resources:


• 62 step-by-step Sarbanes-Oxley Internal Controls Project Management Form Templates covering over 1500 Sarbanes-Oxley Internal Controls project requirements and success criteria:


Examples; 10 of the check box criteria:


1. Activity Duration Estimates: Are costs that may be needed to account for Sarbanes-Oxley Internal Controls project risks determined?
   
   

2. Lessons Learned: For the next Sarbanes-Oxley Internal Controls project, how could you improve on the way Sarbanes-Oxley Internal Controls project was conducted?
   
   

3. Variance Analysis: Are estimates of costs at completion generated in a rational, consistent manner?
   
   

4. WBS Dictionary: Is each control account assigned to a single organizational element directly responsible for the work and identifiable to a single element of the CWBS?
   
   

5. Team Member Performance Assessment: To what degree are the relative importance and priority of the goals clear to all team members?
   
   

6. Project Portfolio management: Why would the work force want to know the force rank order of the portfolio?
   
   

7. Cost Management Plan: Is there anything unique in this Sarbanes-Oxley Internal Controls projects scope statement that will affect resources?
   
   

8. Planning Process Group: In what ways can the governance of the Sarbanes-Oxley Internal Controls project be improved so that it has greater likelihood of achieving future sustainability?
   
   

9. Procurement Audit: Where funding is being arranged by borrowings, do corresponding have the necessary approval and legal authority?
   
   

10. Human Resource Management Plan: Pareto diagrams, statistical sampling, flow charting or trend analysis used quality monitoring?


 
Step-by-step and complete Sarbanes-Oxley Internal Controls Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:


• 1.1 Sarbanes-Oxley Internal Controls project Charter

• 1.2 Stakeholder Register

• 1.3 Stakeholder Analysis Matrix


2.0 Planning Process Group:


• 2.1 Sarbanes-Oxley Internal Controls project Management Plan

• 2.2 Scope Management Plan

• 2.3 Requirements Management Plan

• 2.4 Requirements Documentation

• 2.5 Requirements Traceability Matrix

• 2.6 Sarbanes-Oxley Internal Controls project Scope Statement

• 2.7 Assumption and Constraint Log

• 2.8 Work Breakdown Structure

• 2.9 WBS Dictionary

• 2.10 Schedule Management Plan

• 2.11 Activity List

• 2.12 Activity Attributes

• 2.13 Milestone List

• 2.14 Network Diagram

• 2.15 Activity Resource Requirements

• 2.16 Resource Breakdown Structure

• 2.17 Activity Duration Estimates

• 2.18 Duration Estimating Worksheet

• 2.19 Sarbanes-Oxley Internal Controls project Schedule

• 2.20 Cost Management Plan

• 2.21 Activity Cost Estimates

• 2.22 Cost Estimating Worksheet

• 2.23 Cost Baseline

• 2.24 Quality Management Plan

• 2.25 Quality Metrics

• 2.26 Process Improvement Plan

• 2.27 Responsibility Assignment Matrix

• 2.28 Roles and Responsibilities

• 2.29 Human Resource Management Plan

• 2.30 Communications Management Plan

• 2.31 Risk Management Plan

• 2.32 Risk Register

• 2.33 Probability and Impact Assessment

• 2.34 Probability and Impact Matrix

• 2.35 Risk Data Sheet

• 2.36 Procurement Management Plan

• 2.37 Source Selection Criteria

• 2.38 Stakeholder Management Plan

• 2.39 Change Management Plan


3.0 Executing Process Group:


• 3.1 Team Member Status Report

• 3.2 Change Request

• 3.3 Change Log

• 3.4 Decision Log

• 3.5 Quality Audit

• 3.6 Team Directory

• 3.7 Team Operating Agreement

• 3.8 Team Performance Assessment

• 3.9 Team Member Performance Assessment

• 3.10 Issue Log


4.0 Monitoring and Controlling Process Group:


• 4.1 Sarbanes-Oxley Internal Controls project Performance Report

• 4.2 Variance Analysis

• 4.3 Earned Value Status

• 4.4 Risk Audit

• 4.5 Contractor Status Report

• 4.6 Formal Acceptance


5.0 Closing Process Group:


• 5.1 Procurement Audit

• 5.2 Contract Close-Out

• 5.3 Sarbanes-Oxley Internal Controls project or Phase Close-Out

• 5.4 Lessons Learned


Results

With this Three Step process you will have all the tools you need for any Sarbanes-Oxley Internal Controls project with this in-depth Sarbanes-Oxley Internal Controls Toolkit.

In using the Toolkit you will be better able to:


• Diagnose Sarbanes-Oxley Internal Controls projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices

• Implement evidence-based best practice strategies aligned with overall goals

• Integrate recent advances in Sarbanes-Oxley Internal Controls and put process design strategies into practice according to best practice guidelines


Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Sarbanes-Oxley Internal Controls investments work better.

This Sarbanes-Oxley Internal Controls All-Inclusive Toolkit enables You to be that person.

Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.