Save time, empower your teams and effectively upgrade your processes with access to this practical Sarbanes Oxley Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Sarbanes Oxley 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 specific requirements:
STEP 1: Get your bearings
Start with...
- The latest quick edition of the Sarbanes Oxley 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 995 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 improvements can be made.
Examples; 10 of the 995 standard requirements:
- What is the Chief Compliance Officer's role in ensuring that the organization's compliance program is regularly reviewed and updated to reflect changes in regulations, industry practices, and the organization's risk profile?
- What are the COO's responsibilities in ensuring that the company's section 302 certifications are accurate and complete, and that they reflect the CEO and CFO's understanding of the company's internal controls?
- What is the Chief Compliance Officer's role in ensuring that the organization's compliance program is transparent and that stakeholders are informed about the organization's compliance efforts and progress?
- How does the internal auditor determine whether management has properly identified and assessed the risks associated with financial reporting and has implemented adequate controls to mitigate those risks?
- How does the COO work with the CEO and CFO to ensure that the company's section 404 attestation is accurate and complete, and that it reflects the auditor's assessment of the company's internal controls?
- What is the Chief Compliance Officer's role in collaborating with other senior executives to ensure that compliance is integrated into the organization's strategic planning and decision-making processes?
- What is the internal auditor's role in evaluating the operating effectiveness of controls around the financial reporting process for companies with significant intangible assets or intellectual property?
- How does the Chief Business Officer oversee the development and implementation of corrective actions to address deficiencies or weaknesses identified in the company's Sarbanes-Oxley compliance program?
- What are the procedures in place to review and evaluate the design and operating effectiveness of financial reporting controls, including those related to information technology and manual processes?
- How does the organization assess the risks associated with complex financial transactions, such as derivatives and hedging activities, and ensure that these risks are properly reported and disclosed?
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 book in PDF containing 995 requirements, which criteria correspond to the criteria in...
Your Sarbanes Oxley 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 Self-Assessment and Scorecard you will develop a clear picture of which Sarbanes Oxley 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 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 projects with the 62 implementation resources:
- 62 step-by-step Sarbanes Oxley Project Management Form Templates covering over 1500 Sarbanes Oxley project requirements and success criteria:
Examples; 10 of the check box criteria:
- Risk Management Plan: What are the cost, schedule and resource impacts if the risk does occur?
- Stakeholder Management Plan: Describe the process that will be used to design, develop, review, accept, distribute and change outputs. Will all outputs delivered by the Sarbanes Oxley project follow the same process?
- Stakeholder Management Plan: Are post milestone Sarbanes Oxley project reviews (PMPR) conducted with your organization at least once a year?
- Probability and Impact Matrix: What will be cost of redeployment of the personnel?
- Decision Log: Decision-making process; how will the team make decisions?
- Team Member Performance Assessment: What were the challenges that resulted for training and assessment?
- Scope Management Plan: Pop quiz â what changed on Sarbanes Oxley project scope statement input?
- Stakeholder Analysis Matrix: Alliances: with which other actors is the actor allied, how are they interconnected?
- WBS Dictionary: Appropriate work authorization documents which subdivide the contractual effort and responsibilities, within functional organizations?
- Procurement Management Plan: Was the Sarbanes Oxley project schedule reviewed by all stakeholders and formally accepted?
Step-by-step and complete Sarbanes Oxley Project Management Forms and Templates including check box criteria and templates.
1.0 Initiating Process Group:
- 1.1 Sarbanes Oxley project Charter
- 1.2 Stakeholder Register
- 1.3 Stakeholder Analysis Matrix
2.0 Planning Process Group:
- 2.1 Sarbanes Oxley 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 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 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 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 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 project with this in-depth Sarbanes Oxley Toolkit.
In using the Toolkit you will be better able to:
- Diagnose Sarbanes Oxley 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 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 investments work better.
This Sarbanes Oxley 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.
