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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 2: Scoping

The Compliance Playbook® comes complete with tools to help you quickly map your accounts to key processes and business units. This will help you to prioritize documentation and testing activities and focus on high-risk areas.

Click on the image below to see an example of some of the Scoping Tools available to get your team focused on mapping key financial statement accounts to business unit processes, 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)