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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
1: Project Planning
Effective project planning is a weak point in many organizations. To
help your team get off to a clean start the Compliance Playbook® comes
complete with a series of customizable project planning templates to
help you Plan, Organize and Prioritize. You will be able to formally
define roles and responsibilities across the organization and clarify
resource and timing requirements. You will also have access to the product's
Legislation Navigator with links to the various legislative and standard
setting bodies (i.e.-SEC and PCAOB) to stay abreast of the latest developments
Click on the image below to see an example of some of the Project Planning
Tools available to get your team headed in the right direction, 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® framework.
(click
image for larger view)
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