1. Ragini
Sarbanes-Oxley (SOX) Solution

3. Ragini SOX Framework v1.0
Customizable 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 SubCategory
Setup 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

4. Our Demo Applications
TEAMSITE
To Demonstrate SDLC Controls & Auditing
Recruitment Application
To Demonstrate IT Controls & Auditing

6. 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

7. New SDLC Control Template

8. New IT Control Template

9. TEAMSITE - Customize SDLC Template Controls for TEAMSITE Application
Business 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.

11. Lisa Mattox
Functional Analyst
Lisa Mattox Grace Towns
Functional Analyst Project Manager

12. Grace Towns
Project Manager
Lisa Grace John
Mattox Towns Smith

13. John Smith
Internal Control Auditor
Lisa Grace John Elizabeth
Mattox Towns Smith Boatman

15. 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 policies
Next Steps
• Visit Ragini.com for more Information on SOX Solution
• E-mail Sales@ragini.com for Sales Related Inquiries.