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404 Readiness Project Overview. Define Internal Control Framework. Develop Pilot Plan and Approach. Remediation and Monitoring. Roll-out Strategy and Assessments. Project Organization. Develop pilot approach Select pilot location Perform pilot Develop roll-out strategy

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404 readiness project overview
404 Readiness Project Overview

Define Internal Control Framework

Develop Pilot Plan and Approach

Remediation and Monitoring

Roll-out Strategy and Assessments

Project Organization

  • Develop pilot approach
  • Select pilot location
  • Perform pilot
  • Develop roll-out strategy
  • Review pilot results to roll-out strategy
  • Execute strategy across the entire organization
  • Document and test control activities
  • Identify control gaps
  • Develop monitoring program for control gaps
  • Develop remediation action plan, responsibility assignments, and due dates
  • Define internal control remediation requirements
  • Communicate and document as required
  • Define Scope
  • Develop project plan, milestones, and budget
  • Organize project team
  • Establish communications plan
  • Evaluate and select monitoring tools
  • Identify existing control documentation
  • Gather best practices and external audit requirements
  • Select internal controls framework (e.g., COSO), map to existing controls, and identify gaps
  • Define documentation standards
coso control framework

The process to determine whether internal control is adequately designed, executed effective and adaptive

COSO Control Framework
  • Management Analysis
  • Disclosure Committee
  • Internal Audits

The process which ensures that relevant information is identified and communicated in a timely manner

The policies and procedures that help ensure that actions are identified to manage risk are executed and timely

  • Messages from Senior Management
  • Policies and Procedures
  • Delegation of Authority
  • Approvals
  • Training
  • Code of Ethics
  • Common Processes and Systems
  • Segregation of Duties
  • Account Reconciliations

The evaluation of internal and external factors that impact an organization’s performance

  • Information Technology Controls

The control conscience ofan organization. The “tone at the top”

  • Business Risk Management
  • Process Risk Management
  • Code of Ethics
  • Internal Audit Risk Assessment
  • Documented Policies and Procedures
  • Cultural Assessment