What You Didnt Know You Dont Know About Compliance Mar 29 07a

What You Didn’t Know You Don’t Know About Compliance And What it Means to You as a Project Manager March 29, 2007 ProjectWorld Toronto Boyd Carter, PMP elegantsolutions.ca Please note that the content of this document is dated as at March 29, 2007. While the concept is valid, the regulations may have been amended since then. The content is best viewed in Slide Show format; the notes are useful.

Agenda ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

Survey – Compliance Knowledge and Risk ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

What You Know You Don’t Know About Compliance ,[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

What You Know You Don’t Know About Compliance (Cont.) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

What You Know You Don’t Know About Compliance (Cont.) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

What You Know You Don’t Know About Compliance (Cont.) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

What You Know You Don’t Know About Compliance (Cont.) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

[object Object],[object Object],[object Object],What You Know You Don’t Know About Compliance Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca) Control Effectiveness Control Design

What You Didn’t Know You Don’t Know About Compliance ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

What You Didn’t Know You Don’t Know About Compliance - Frameworks Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca) Internal Controls - Integrated Framework (Not ERM) Version 2.0 benefits from lessons learned during the first two years. Auditing Standard 2 (AS2) COBIT Control Objectives ITIL Activities ISO 17799 Security Sarbanes-Oxley Act of 2002 Bill 198

[object Object],[object Object],[object Object],[object Object],What You Didn’t Know You Don’t Know About Compliance - Frameworks Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca) COBIT COSO COSO COMPONENT COBIT DOMAIN THE CORE FRAMEWORK Pre-populated, fully annotated COSO and COBIT Control Objectives in increasing levels of detail. > The company’s detailed processes for achieving the Control Objectives > Risk of Non-compliance N-C THE EXTENDED FRAMEWORK The Compliance Teams may populate the Processes, Risks, Controls and Tests at their preferred levels of granularity. Activity-level guidance is provided with exemplar sets of controls and tests. > Company Controls ,[object Object],[object Object]

[object Object],What You Didn’t Know You Don’t Know About Compliance - How to Develop a Control Design and Evaluate Control Effectiveness Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca) If remediation is required, action plans are executed and the control re-tested. The current state of remediation (and future activity, if required) is documented at the time of certification. > Remediation > Remediation Action Plans Achieving Operational Effectiveness Documented at this level are the processes of the company Documented at this level are specific risks associated with the process Documented at this level are specific controls associated with the mitigation of risk > The company’s detailed processes for achieving the Control Objectives > Risk of Non-compliance N-C > Company Controls > Tests Documented at this level are specific tests associated with the control Control Design Control Effectiveness

[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],What You Didn’t Know You Don’t Know About Compliance - How to provide evidence to support Certifications and Attestations Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca) ,[object Object],[object Object]

What it Means to You as a Project Manager - How to provide evidence to support Certifications and Attestations Road Map Items 1 & 2 Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

What it Means to You as a Project Manager Lets repeat the survey you took at the beginning of this session ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

Resources for the Project Manager ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

Resources for the Project Manager Final thoughts for those attending today – buy these products for educational and project management purposes ,[object Object],[object Object],[object Object],[object Object],[object Object],Copyright © 2006 elegantsolutions.ca www.elegantsolutions.ca (Permission is granted to use unchanged. elegantsolutions.ca)

What You Didnt Know You Dont Know About Compliance Mar 29 07a

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