sarbanes-oxley (sox) solution
TRANSCRIPT
Ragini
Sarbanes-Oxley (SOX) Solution
Ragini SOX Framework v1.0Customizable Framwork as per your processes and procedures to Identify, Document, Test and Audit internal Controls to enable SOX Compliance
Business Year Quality Gate Report
Corporate Standards
Application / Processes
Artifacts / Deliverables
Test Questions WorkStream / Groups
Sign Off Process
Document Archiving
Signature Matrix
Category & SubCategory
Controls Document Tracking
Workflow Foundation GAP Report Internal Audit
Core Framework Elements
Setup Organization Organization Details
Setup Business Year
Setup WorkStream / Group
Setup Application / Process
Setup Risk
Setup Corporate Standards
SignOff
SOX Control Categories
Setup Controls Setup Categories
Setup SubCategories
Setup Artifacts
Setup Test Questions
Link Artifacts with Corporate Stanadards
Customize Controls Customize Default Template for an Application
Setup Signature Matrix
Audit Controls View Risk
View Submitted Documents
View Corporate Standards
Complete Audit Questions
Sign Off an Artifact
Management Reports Company Wide Controls
Audit Status of An Application (Three Variants)
Signature Matrix Report
GAP Report
Quality Gate Report
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ABC Financial, Inc.
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ABC Financials, Inc.
Our Demo Applications
TEAMSITE To Demonstrate SDLC Controls & Auditing
Recruitment Application To Demonstrate IT Controls & Auditing
TEAMSITE•Requires SDLC Controls•Create New SDLC Control Template
RECRUITMENT•Requires IT Controls•Customize Enterprise IT Control Template provided by Ragini SOX Framework 1.0
SOX CONTROL CATEGORY FOR DEMO APPLICATIONS
New SDLC Control Template
New IT Control Template
TEAMSITE - Customize SDLC Template Controls for TEAMSITE Application
Steps :
1. Apply SDLC Template to TEAMSITE
2. Customize Category Required for
this Application.
3. Select Required Artifacts for
Selected SubCategory
4. Select Questions per Artifacts
5. Setup Signature Matrix
6. Finalize Template.
Lisa MattoxFunctional Analyst
Grace TownsProject Manager
John SmithInternal Control Auditor
Elizabeth BoatmanCEO
Signature Matrix Workflow
Business Requirement Document Artifact
Lisa MattoxFunctional Analyst
Grace TownsProject Manager
Lisa MattoxFunctional Analyst
Grace TownsProject Manager
Lisa Matto
x
Grace Towns
John Smith
John SmithInternal Control Auditor
Lisa Mattox
Grace Town
s
John Smit
h
Elizabeth
Boatman
Summary
● Reduces time-to-compliance with quick implementations and minimal training requirements
● Expands and scales as business conditions change and the financial control environment broadens and matures
● Incorporates changes in the regulatory environment, new PCAOB interpretations and pronouncements
● Overcomes organizational and geographical barriers to enforce compliance policies
Next Steps
• Visit Ragini.com for more Information on SOX Solution• E-mail [email protected] for Sales Related Inquiries.