(Ebook) The Sarbanes Oxley Section 404 Implementation Toolkit Practice Aids for Managers and Auditors 2nd Edition by Michael J Ramos ISBN 0470169311 9780470169315

(Ebook) The Sarbanes Oxley Section 404 Implementation Toolkit Practice Aids for Managers and Auditors 2nd Edition by Michael J Ramos ISBN 0470169311 9780470169315

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ISBN 10: 0470169311 
ISBN 13: 9780470169315
Author: Michael J Ramos 

Now updated and fully revised, The Sarbanes-Oxley Section 404 Implementation Toolkit, Second Edition helps large or small companies continue to meet the complex internal control reporting requirements of Sarbanes-Oxley. Brimming with a wealth of forms and checklists, the new edition helps you get up to speed quickly with SOX 404 requirements and makes the compliance process repeatable, more efficient, and more effective.

(Ebook) The Sarbanes Oxley Section 404 Implementation Toolkit Practice Aids for Managers and Auditors 2nd Table of contents:

Part I: Tools for Management

1. ADM-1 General Work Program

2. ADM-2 Project Planning Summary

3. ADM-2A Checklist for Summarizing Project Team Competence and Objectivity

4. ADM-2B.1 Worksheet for Determining and Documenting Significant Accounts and Disclosures

5. ADM-2B.2 Mapping of Business Processes to Significant Accounts and Disclosures

6. ADM-2C Example Inquiries to Identify Changes to Internal Control

7. ADM-3 Senior Management Review Checklist

8. ADM-4 Checklist for Preparation of Management’s Report on Internal Control Effectiveness

Part II: Documentation of Internal Control Design
9. DOC-1 Work Program for the Review of Documentation of Entity-Level Controls
10. DOC-1A Assessment of Internal Control Effectiveness: Overall Approach to Review of the Documentation
11. DOC-1B Assessment of Internal Control Effectiveness: Checklist for the Review of the Documentation of Entity-Level Controls
12. DOC-2 Work Program for the Review of Documentation of Activity-Level Controls
13. DOC-2A Assessment of Internal Control Effectiveness: Overall Approach to Review of the Documentation
14. DOC-2B Assessment of Internal Control Effectiveness: Checklist for the Review of the Documentation of Activity-Level Controls
15. DOC-3 Documentation Techniques and Selected Examples for Routine Transactions
16. DOC-4 Checklist for Evaluating SOX 404 Software

Part III: Internal Control Testing Programs
17. TST-ENT-1 Summary of Observations and Conclusions about Entity-Level Control Effectiveness
18. TST-ENT-1A Checklist for Small Business Entity-Level Controls
19. TST-ENT-2 Work Program for Testing Entity-Level Control Effectiveness
20. TST-ENT-3 Index to Tests of Entity-Level Controls: Inquiries and Surveys
21. TST-ENT-3A Inquiry Note Sheets—Management
22. TST-ENT-3B Inquiry Note Sheets—Board Members
23. TST-ENT-3C Inquiry Note Sheets—Audit Committee Members
24. TST-ENT-3D Inquiry Note Sheets—Employees
25. TST-ENT-3E Example Employee Survey
26. TST-ENT-4 Index to Tests of Entity-Level Controls: Inspection of Documentation
27. TST-ENT-4A Worksheet to Document Inspection of Documentation of Performance of Entity-Level Controls
28. TST-ENT-5 Index to Tests of Entity-Level Controls: Observation of Operations
29. TST-ENT-5A Worksheet to Document Observation of Operation of Entity-Level Controls
30. TST-ENT-6 Index to Tests of Entity-Level Controls: Reperformance of Controls
31. TST-ENT-6A Worksheet to Document Reperformance of Entity-Level Controls
32. TST-ENT-7 Work Program for Reviewing a Report on IT General Control Effectiveness
33. TST-ENT-7A Planning and Review of Scope of Tests of IT General Control Effectiveness
34. TST-ENT-8 Work Program for Performing an IT General Controls Review
35. TST-ACT-1 Guidelines and Example Inquiries for Performing Walkthroughs
36. TST-ACT-2 Example Testing Program for Activity-Level Tests of Controls
37. TST-ACT-2A Revenue Control Operating Effectiveness
38. TST-ACT-2B Purchases and Expenditures Control Operating Effectiveness
39. TST-ACT-2C Cash Receipts and Disbursements Control Operating Effectiveness
40. TST-ACT-2D Payroll Control Operating Effectiveness
41. TST-ACT-3 Work Program for the Review of a Type 2 SAS No. 70 Report
42. TST-ACT-3A Type 2 SAS No. 70 Report Review Checklist
43. TST-ACT-4 Process Owners’ Monitoring of Control Effectiveness

Part IV: Example Letters and Other Communications
44. COM-1 Example Engagement Letter for Outside Consultants to Management
45. COM-2 Example Management Representation Letter
46. COM-3 Example Management Reports on Effectiveness of Internal Control over Financial Reporting
47. COM-4 Example Subcertification

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Tags: Michael J Ramos, Sarbanes, Oxley