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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 3: Entity-Level Control Review

Critical to any complete assessment of internal controls is an entity-level review including "Tone At The Top" (Management Direction) evaluations, Audit Committee effectiveness, IT Controls, Human Resource Controls, and more. The Compliance Playbook® contains a strong set of customizable tools to facilitate assessment of these vital controls.

Click here for Article 1 of a Series on Entity Level Controls for Smaller Companies

Click on the image below to see an example of some of the Entity-Level Control Review Tools available to help assess the overall control environment, 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® content.

(click image for larger view)