Sarbanes Oxley Toolkit

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Ensure Internal Controls per Sarbanes Oxley (SOX) requirements related to Data Center Access Controls, Inventory Control and record keeping.

More Uses of the Sarbanes Oxley Toolkit:

  • Secure that your organization assures protection for the assets of the business through Internal Control (Sarbanes Oxley) compliance.

  • Support your clients with implementation of Sarbanes Oxley (sox) controls.

  • Confirm your organization Sarbanes Oxley act reporting (soar) reporting; ensure compliance and audit readiness.

  • Establish that your organization performs defined audit procedures to perform testing of Sarbanes Oxley (SOX) Compliance Controls.

  • Analyze project actual and forecast data accuracy to ensure compliance with annual internal and external Sarbanes Oxley Audits.

  • Maintain, review, and ensure adherence in process and procedures as it relates to Sarbanes Oxley requirements.

  • Maintain, review, and ensure adherence by all branch locations in process and procedures as it relates to Sarbanes Oxley requirements.

  • Assure your organization Sarbanes Oxley Audit Evidence collection and audIt Management.

  • Establish that your organization Sarbanes Oxley (sox) knowledge in the areas of Change Management and segregation of duties.

  • Provide database compliance for Sarbanes Oxley (sox).

  • Secure that your organization Sarbanes Oxley compliance.

  • Ensure Internal Controls per Sarbanes Oxley (SOX) requirements related to your area are fulfilled.

  • Establish that your organization assesses Internal Controls over Financial Reporting as part of your organizations ongoing Sarbanes Oxley compliance efforts.

  • Ensure Internal Controls per Sarbanes Oxley (SOX) requirements related to area are fulfilled.

  • Ensure full compliance with Sarbanes Oxley and other key operating standards.

  • Ensure you write; lead IT related Regulatory Compliance initiatives, as adherence to Sarbanes Oxley act (sox) controls.

  • Make sure that your organization Sarbanes Oxley (sox) compliance or other cobit/nist/iso frameworks.

  • Ensure compliance with Sarbanes Oxley, ISO, PCI and other necessary controls to protect data and information assets.

  • Be accountable for managing Sarbanes Oxley (sox) compliance and controls.

  • Be certain that your organization Sarbanes Oxley design management.

  • Lead Sarbanes Oxley audit and reporting requirements.

  • Guide: a knowledge Center in COSO and Found a shared facility managing Sarbanes Oxley (SOX) audit control testing methods


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 889 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 889 standard requirements:

  1. Has management conducted a comprehensive evaluation of the entirety of Enterprise Risk Management at least once every three years or sooner if a major strategy or management change occurs, a program is added or deleted, changes in economic or political conditions exist, or changes in operations or methods of processing information have occurred?

  2. Have the It Security cost for all investments/projects been integrated in to the overall cost including (Certification and Accreditation/re-accreditation, system security plan, risk assessment, privacy Impact Assessment, configuration/Patch Management, security control testing and evaluation, and Contingency Planning/testing)?

  3. Have senior managers been apprised of Risk Management and control deficiencies affecting their units (e.g., circumstances where assets with a specified monetary value are not adequately protected, where the competence of employees is lacking, or where important financial reconciliations are not performed correctly)?

  4. Is the full extent of a given risk and its priority compared to other risks understood? Failure to address the most important risks first leads to dangerous exposures. Nearly all managers believe that their risks are the most important in the enterprise (or at least they say so) but whose risks really matter most?

  5. Does the information infrastructure convert raw data into more meaningful, relevant information to create knowledgeable and wise decisions that assists personnel in carrying out their Enterprise Risk Management and other responsibilities?

  6. Is management periodically considering advise from external parties (e.g., customers, vendors and others doing business with the entity, External Auditors, and regulators) on the functioning of an entitys Enterprise Risk Management?

  7. In deciding what needs to be communicated, has management considered qualitative factors, as well as quantitative measures, especially when considering the implications of findings related to fraud, waste, and abuse?

  8. Do you have an anonymous and confidential Whistleblower policy for communicating and receiving information regarding fraud, errors in Financial Reporting and misrepresentation or false statements made by management?

  9. Are findings of Enterprise Risk Management deficiencies reported to the individual responsible for the function or activity involved, as well as to at least one level of management above that person?

  10. Is consideration given to hiring the most qualified individuals, with emphasis on educational background, prior work experience, past accomplishments, and evidence of integrity and ethical behavior?

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 889 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:

  1. Schedule Management Plan: Have all documents been archived in a Sarbanes Oxley project repository for each release?

  2. Planning Process Group: In what way has the program contributed towards the issue culture and development included on the public agenda?

  3. Activity Duration Estimates: Are risks monitored to determine if an event has occurred or if the mitigation was successful?

  4. Risk Register: Is further information required before making a decision?

  5. Variance Analysis: Is the entire contract planned in time-phased control accounts to the extent practicable?

  6. Requirements Management Plan: Which hardware or software, related to, or as outcome of the Sarbanes Oxley project is new to your organization?

  7. Project Management Plan: Is there an incremental analysis/Cost Effectiveness analysis of proposed mitigation features based on an approved method and using an accepted model?

  8. Risk Register: Risk categories: what are the main categories of risks that should be addressed on this Sarbanes Oxley project?

  9. Project Performance Report: To what degree do team members frequently explore the teams purpose and its implications?

  10. Initiating Process Group: Do you understand all business (operational), technical, resource and vendor risks associated with the Sarbanes Oxley project?

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

1.0 Initiating Process Group:

2.0 Planning Process Group:

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



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.