The Sarbanes-Oxley Section 404 Implementation Toolkit, with CD ROM Practice Aids for Managers and Auditors
by Ramos, Michael J.Edition: 2nd
Format: Hardcover
Pub. Date: 2008-04-25
Publisher(s): Wiley
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Summary
The Sarbanes-Oxley Section 404 Implementation Toolkit: Practice Aids for Managers and Auditors with CD-ROM, Second Edition provides detailed implementation practice aids for Sarbanes-Oxley compliance based on the new rules just released by PCAOB and SEC.
Author Biography
Michael J. Ramos, CPA, also author of Wiley Practitioner's Guide to GAAS and How to Comply with Sarbanes-Oxley Section 404: Assessing the Effectiveness of Internal Control, Third Edition is a consultant and professional writer primarily in auditing and accounting technical matters. He has written numerous successful products, including nonauthoritative practice aids, implementation guides, and authoritative AICPA audit and accounting guides. In addition to text-based products, he has authored a variety of training programs, including computer-based multimedia training and audio and video scripts. Ramos has also written in the areas of ethics, auditing, and fraud detection.
Table of Contents
| About the Author | |
| Preface | |
| Acknowledgments | |
| Tools for Management | |
| General Work Program | |
| Project Planning Summary | |
| Checklist for Summarizing Project Team Competence and Objectivity | |
| Worksheet for Determining and Documenting Significant Accounts and Disclosures | |
| Mapping of Business Processes to Significant Accounts and Disclosures | |
| Example Inquiries to Identify Changes to Internal Control | |
| Senior Management Review Checklist | |
| Checklist for Preparation of Management's Report on Internal Control Effectiveness | |
| Documentation of Internal Control Design | |
| Work Program for the Review of Documentation of Entity-Level Controls | |
| Assessment of Internal Control Effectiveness: Overall Approach to review of the Documentation of Entity-Level Controls | |
| Assessment of Internal Control Effectiveness: Checklist for the review of the Documentation of Entity-Level Controls | |
| Work Program for the Review of Documentation of Activity-Level Controls | |
| Assessment of Internal Control Effectiveness: Overall Approach to review of the Documentation of Activity-Level Controls | |
| Assessment of Internal Control Effectiveness: Checklist for the review of the Documentation of a Significant Transaction or Business Unit/Location | |
| Documentation Techniques and Selected Examples for Routine Transactions | |
| Checklist for Evaluating SOX 404 Software | |
| Internal Control Testing Programs | |
| Entity-Level Controls Testing Tools | |
| Summary of Observations and Conclusions about Entity-Level Control Effectiveness | |
| Checklist for Small Business Entity-Level Controls | |
| Work Program for Testing Entity-Level Control Effectiveness | |
| Index to Tests of Entity-Level controls: Inquiries and Surveys | |
| Entity-Level Tests of Operating Effectiveness: Inquiry Note Sheets-Management | |
| Entity-Level Tests of Operating Effectiveness: Inquiry Note Sheets-Management | |
| Entity-Level tests of Operating Effectiveness: Inquiry Note Sheets-Audit Committee members | |
| Entity-Level Tests of Operating Effectiveness: Inquiry Note Sheets-Employees | |
| Example Employee Survey | |
| Index of Tests of Entity-Level controls: Inspection of Documentation | |
| Worksheet to Documentation Inspection of Documentation of Performance of Entity-Level Controls | |
| Index to Tests of Entity-Level Controls: Observation of Operations | |
| Worksheet to Document Observation of Operation of Entity-Level Controls | |
| Index to Tests of Entity-Level Controls: Reperformance of Controls | |
| Work Program for Reviewing a Report on IT General Control Effectiveness | |
| Planning and Review of Scope of Tests of IT General Control Effectiveness | |
| Work Program for Performing an IT General Controls review | |
| Guidelines for Testing Activity-Level control Effectiveness | |
| Guidelines and Example Inquiries for Performing Walkthroughs | |
| Example Testing Program for Activity-Level Tests of Controls | |
| Example Testing Program for Control Operating Effectiveness: Revenue | |
| Example Testing Program for Control Operating Effectiveness: Purchases and expenditures | |
| Example Testing Program for Control Operating Effectiveness: Cash receipts and Disbursements | |
| Example Testing Program for Control Operating Effectiveness: Payroll | |
| Work Program for eh Review of a type 2 SAS No. 70 report | |
| Type 2 SAS No. 70 report review Checklist | |
| Process Owners' Monitoring of Control Effe | |
| Table of Contents provided by Publisher. All Rights Reserved. |
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