Ragini SOX Framework v1.0Customizable Framwork as per your processes and procedures to Identify, Document, Test and Audit internal Controls to enable SOX Compliance Setup Organization Customize Controls Organization Details Customize Default Template for an Application Setup Business Year Setup Signature Matrix Setup WorkStream / Group Business Year Quality Gate Corporate Application / Setup Application / Process Report Standards Processes Setup Risk Setup Corporate Standards Artifacts / Test Questions WorkStream / Deliverables Groups SignOff SOX Control Categories Signature Matrix Sign Off Process Category & Document Archiving SubCategorySetup Controls Controls Document Tracking Audit Controls Setup Categories View Risk Setup SubCategories Workflow Foundation GAP Report Internal Audit View Submitted Documents Setup Artifacts View Corporate Standards Setup Test Questions Complete Audit Questions Link Artifacts with Corporate Stanadards Sign Off an Artifact Management Reports Company Wide Controls Audit Status of An Application (Three Variants) Signature Matrix Report GAP Report Quality Gate Report
Our Demo Applications TEAMSITE To Demonstrate SDLC Controls & Auditing Recruitment Application To Demonstrate IT Controls & Auditing
SOX CONTROL CATEGORY FOR DEMO APPLICATIONS • Requires SDLC Controls TEAMSITE • Create New SDLC Control Template • Requires IT Controls RECRUITMENT • Customize Enterprise IT Control Template provided by Ragini SOX Framework 1.0
New SDLC Control Template
New IT Control Template
TEAMSITE - Customize SDLC Template Controls for TEAMSITE ApplicationBusiness Requirement Document Artifact Steps : Signature Matrix Workflow 1. Apply SDLC Template to TEAMSITE Lisa Mattox 2. Customize Category Required for Functional Analyst this Application. Grace Towns Project Manager 3. Select Required Artifacts for Selected SubCategory John Smith Internal Control Auditor 4. Select Questions per Artifacts 5. Setup Signature Matrix Elizabeth Boatman CEO 6. Finalize Template.
Lisa MattoxFunctional Analyst Lisa Mattox Grace Towns Functional Analyst Project Manager
Grace TownsProject Manager Lisa Grace John Mattox Towns Smith
John SmithInternal Control Auditor Lisa Grace John Elizabeth Mattox Towns Smith 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 policiesNext Steps • Visit Ragini.com for more Information on SOX Solution • E-mail Sales@ragini.com for Sales Related Inquiries.