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SOX Documentation

Quality of SOX documents and procedures

All auditors, whether for accounts or any other compliance issue, seek proof and supporting documentation. If the documentation is well-structured, in clear, international business language, it will save them time and reduce their fees and your costs.

In the case of Sarbanes-Oxley, a major issue has been the translation of the statement of Law into controls which can provide compliance and, importantly, be seen to provide compliance. Major accounting firms and independent organizations have created their interpretations which are now being used by internal and external audit teams. Typically these comprise a set of Key Controls and a testing regimen applying principally to Accounting and IT issues.

In a SOX project a client company calls in its appointed auditors to discuss the issues. As a result of the discussions there is an agreement on the precise standards to be used, which of the client sites are to be tested and a schedule of activity. With this information, much preparation work can be done by the client in advance, either independently or with the help of less expensive external support.

With the experience of past project work, CHL and its associates provide assistance in reviewing existing systems and procedures and guidance concerning the Key Controls, the testing which will be undertaken by internal and external auditors and the documentation required. At the same time, CHL can improve and standardize all related documentation for the client organization.

CHL undertakes pre-audit testing, post internal / external audit testing and has the focus and diligence to update the documentation inline with any remediation (that is, remedies recommended by auditors to facilitate compliance) undertaken post audit. Such updates are made much easier when the documents, charts and reference materials are formally structured, as is all CHL documentation, whether on screen or for print.

CHL is dedicated to providing this kind of consultancy and documentation for your processes and procedures, charts and templates as well as the crucial Narratives for Sarbanes-Oxley compliance. For more information contact CHL, see Contacts. See also Procedures. For formal Technical Writing training see Technical Writing.

The quality and structure of SOX documents is important.

The quality and structure of SOX documents is important.

SOX document: IT Incident response

SOX document: IT Incident response New External User

The quality and structure of procedures for SOX documents is important.

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