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Methodology Overview

The Compliance Playbook® provides a COSO-based, step-by-step framework to undertaking your Section 404/302 compliance efforts and review of internal controls. What makes the product unique is that it takes a total "start-to-certification" approach and delivers it in an intuitive and rapid manner as follows:

Overview: Total Approach - Year 1 and Beyond

Step 1: Project Planning

Step 2: Scoping

Step 3: Entity-Level Control Review

Step 4: Documentation of Processes

Step 5: Testing and Remediation

Step 6: Reporting and Ongoing Monitoring

(A brief description of each step is provided along with sample screenshots and reports that can be accessed by clicking on the Steps above)

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Step 6: Reporting and Ongoing Monitoring

The Compliance Playbook® makes it easy for you to provide a variety of customizable reports and management dashboards to facilitate compliance monitoring. This capability improves communication within your team, and with the audit committee and external auditor.

Click on the image below to see an example of the Management Overview Tools available to help key stakeholders review your internal control compliance progress and status, or Click on one of the other Steps on the left hand side of this screen to drill into the details of the Compliance Playbook® .

(click image for larger view)