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Conclusion: SOX impact on Process Deliverables

Process and Owner deliverable

The process and ownership deliverable is concerned with:

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Describing the process

bullet

Agreeing ownership

Given this deliverable is concerned mainly with the “what” not “how”, the impact of SOX is not so profound at this stage. What is important to define for the process and ownership level to satisfy SOX is:

bulletIdentification of role and appropriate assignation of responsibility to it
bulletIdentification of risk areas and acceptance of ownership of named (but not designed) controls to mitigate them

Process Design deliverable

The Process Design deliverable is concerned with:

bullet

Describing the procedural steps

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Agreeing responsibility and handover

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Defining interaction between parties

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Formalising delivery and control

As is described in the previous sections, it can be seen that the majority of the areas mandated by SOX will pertain to this deliverable as this is concerned mainly with the “how” not the “what”.  

 

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© 2002-2007 Codel Services Ltd

This paper has been prepared by Codel Services Ltd to illustrate how structured business modelling can help your organisation. Codel Services Ltd is an IT Consultancy specialising in business modelling. If you would like further information, please contact us at: Deryck Brailsford, Codel Services Ltd, Dale Hill Cottage, Kirby-Le-Soken, Essex CO13 0EN,United Kingdom. Telephone: +44 (0)1255 862354/Mobile: + 44 (0)7710 435227/e-mail: info@codel-services.com