January 1, '07January 8, '07January 15, '07January 22, '07January 29, '07February 5, '07February 12, '07February 19, '07February 26, '07March 5, '07
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Indicators
Task Name
Duration
Start
Finish
Predecessors
Resource Names
-SOX Compliance and Technology Options52 days?Mon 01.01.07Tue 13.03.07
-SOX Compliance Review Preparation4 days?Mon 01.01.07Thu 04.01.07
Meeting with the external audit firm1 day?Mon 01.01.07Mon 01.01.07External Auditing Firm
Define SOX compliance review roles and responsibilities1 day?Tue 02.01.07Tue 02.01.072External Auditing Firm,CFO,Internal Audit Director
Define SOX compliance review and decision processes1 day?Tue 02.01.07Tue 02.01.07External Auditing Firm,CFO,Internal Audit Director
Create SOX compliance review project plan1 day?Wed 03.01.07Wed 03.01.074External Auditing Firm,CFO,Internal Audit Director
Conduct kickoff meeting1 day?Thu 04.01.07Thu 04.01.075External Auditing Firm,CFO,Internal Audit Director
SOX Compliance Review Preparation Completed0 daysThu 04.01.07Thu 04.01.076
-Initiation and Scope5 days?Fri 05.01.07Thu 11.01.07
Determine the systems and processes that are in scope0 days?Fri 05.01.07Fri 05.01.074,6Accounting,SOX Compliance Team
Build communications plan for project participants and stakeholders1 day?Fri 05.01.07Mon 08.01.079SOX Compliance Team
Identify SOX training requirements for project participants1 day?Mon 08.01.07Tue 09.01.0710SOX Compliance Team
Define project plan, key milestones, budget, and key project participants1 day?Tue 09.01.07Wed 10.01.0711SOX Compliance Team
Define project progress reporting and structure for senior management1 day?Wed 10.01.07Thu 11.01.0712SOX Compliance Team
Project Initiation Complete0 daysThu 11.01.07Thu 11.01.0713
-Review and Identify Improvement Opportunities24 days?Thu 11.01.07Tue 13.02.07
-Perform Risk Assessment4 days?Thu 11.01.07Tue 16.01.07
Review and confirm risk factors1 day?Thu 11.01.07Fri 12.01.0714SOX Compliance Team
Validate probability and impact of risk factors1 day?Fri 12.01.07Mon 15.01.0717SOX Compliance Team
Estimate and validate size and complexity of risk factors1 day?Mon 15.01.07Tue 16.01.0718SOX Compliance Team
-Identify Significant Accounts and Internal Controls2 days?Tue 16.01.07Wed 17.01.07
Identify and validate application controls over the initiating, recording, processing, and reporting1 day?Tue 16.01.07Wed 17.01.0719SOX Compliance Team
-Confirm General IT Controls3 days?Wed 17.01.07Fri 19.01.07
Review Security Policies and Procedures1 day?Wed 17.01.07Thu 18.01.0721IT Network & Infrastructure Team,SOX Compliance Team
-Review Change Management Policies and Procedures2 days?Wed 17.01.07Thu 18.01.07
Review version management/release management procedures1 day?Wed 17.01.07Thu 18.01.07IT Applications Team,IT Network & Infrastructure Team,SOX Compliance Team
Review source code/document version control procedures1 day?Wed 17.01.07Thu 18.01.07IT Applications Team,IT Network & Infrastructure Team,SOX Compliance Team
Review Disaster Recovery Procedures1 day?Wed 17.01.07Thu 18.01.07IT Network & Infrastructure Team,SOX Compliance Team
Review Backup and Recovery Procedures1 day?Wed 17.01.07Thu 18.01.07IT Network & Infrastructure Team,SOX Compliance Team
Review Service-Level Agreement Policies1 day?Wed 17.01.07Thu 18.01.07IT Director / Manager,IT Applications Team,IT Network & Infrastructure Team,SOX Compliance Team
Review Application Development and Coding Standards/Review Procedures1 day?Wed 17.01.07Thu 18.01.07IT Applications Team,SOX Compliance Team
Review Testing Policies and Procedures1 day?Wed 17.01.07Thu 18.01.07IT Applications Team,SOX Compliance Team
Review QA procedures1 day?Wed 17.01.07Thu 18.01.07IT Applications Team,SOX Compliance Team
Summarize Improvement Opportunities Findings1 day?Thu 18.01.07Fri 19.01.0723,25,26,27,28,29,30,31,32SOX Compliance Team
-Confirm Control Design4 days?Fri 19.01.07Wed 24.01.07
Identify policies and procedures1 day?Fri 19.01.07Mon 22.01.0733Accounting,SOX Compliance Team
Review narratives and flowcharts1 day?Mon 22.01.07Tue 23.01.0735Accounting,SOX Compliance Team
Review system configuration documentation1 day?Mon 22.01.07Tue 23.01.07IT Applications Team,SOX Compliance Team
Validate internal control checkpoints and processes1 day?Tue 23.01.07Wed 24.01.0737
-Evaluate Operational Effectiveness4 days?Wed 24.01.07Mon 29.01.07
Identify/confirm labor-intensive and cost-inefficient internal controls1 day?Wed 24.01.07Thu 25.01.0738CFO,Accounting,IT Director / Manager,SOX Compliance Team,Internal Audit Director
Prioritize inefficiencies - ongoing costs/internal control risks/cost and efficiency impacts1 day?Thu 25.01.07Fri 26.01.0740CFO,SOX Compliance Team,Internal Audit Director
Develop cost estimates and efforts for prioritized improvement1 day?Fri 26.01.07Mon 29.01.0741CFO,SOX Compliance Team,Internal Audit Director
-Finalize Cost/Benefit Analyses12 days?Mon 29.01.07Tue 13.02.07
Group improvements opportunities into technology improvement projects1 day?Mon 29.01.07Tue 30.01.0742CFO,Accounting,IT Director / Manager,SOX Compliance Team,Internal Audit Director
Develop cost/benefit analyses1 day?Tue 30.01.07Wed 31.01.0744CFO,Accounting,IT Director / Manager,SOX Compliance Team,Internal Audit Director
Develop future state scenarios and opportunity savings1 day?Wed 31.01.07Thu 01.02.0745CFO,Accounting,IT Director / Manager,SOX Compliance Team,Internal Audit Director
Identify gaps1 day?Thu 01.02.07Fri 02.02.0746CFO,Accounting,IT Director / Manager,SOX Compliance Team,Internal Audit Director
Identify project risks and impacts of doing nothing5 days?Fri 02.02.07Fri 09.02.0747SOX Compliance Team
Identify additional key resources and information sources1 day?Fri 09.02.07Mon 12.02.0748CFO,Accounting,IT Director / Manager,SOX Compliance Team,Internal Audit Director
Validate scope, participants and efforts1 day?Mon 12.02.07Tue 13.02.0749CFO,Accounting,IT Director / Manager,SOX Compliance Team,Internal Audit Director
Improvement Design Complete0 daysTue 13.02.07Tue 13.02.0750
-Control Design10 days?Tue 13.02.07Mon 26.02.07
Project kickoff meeting1 day?Tue 13.02.07Wed 14.02.0750IT Applications Team,SOX Compliance Team
Design new systems and cross-reference to related internal controls1 day?Wed 14.02.07Thu 15.02.0753IT Applications Team,SOX Compliance Team
-Identify technologies that will be implemented2 days?Thu 15.02.07Fri 16.02.07
Identify data capture and editing systems1 day?Thu 15.02.07Fri 16.02.0754IT Applications Team,SOX Compliance Team
Identify logging and monitoring systems1 day?Thu 15.02.07Fri 16.02.07IT Applications Team,SOX Compliance Team
Identify analysis and reporting systems1 day?Thu 15.02.07Fri 16.02.07IT Applications Team,SOX Compliance Team
Design necessary process changes1 day?Fri 16.02.07Mon 19.02.0756,57,58IT Applications Team,SOX Compliance Team
Create policies, standards, and procedures1 day?Mon 19.02.07Tue 20.02.0759IT Applications Team,SOX Compliance Team
Communicate changes that will required1 day?Tue 20.02.07Wed 21.02.0760IT Applications Team,SOX Compliance Team
Identify appropriate frequency of control1 day?Wed 21.02.07Thu 22.02.0761IT Applications Team,SOX Compliance Team
Finalize design1 day?Thu 22.02.07Fri 23.02.0762IT Applications Team,SOX Compliance Team
Obtain approvals needed (SOX Compliance/Management)1 day?Fri 23.02.07Mon 26.02.0763IT Applications Team,SOX Compliance Team
Control Design Complete0 daysMon 26.02.07Mon 26.02.0764IT Applications Team,SOX Compliance Team
-Development4 days?Mon 26.02.07Thu 01.03.07
Develop/implement redesigned systems and/or controls1 day?Mon 26.02.07Tue 27.02.0765IT Applications Team,SOX Compliance Team
Re-communicate all changes to all impacted groups1 day?Tue 27.02.07Wed 28.02.0767IT Applications Team,SOX Compliance Team
Validate internal controls maintained and/or improved1 day?Wed 28.02.07Thu 01.03.0768IT Applications Team,SOX Compliance Team
Development complete0 daysThu 01.03.07Thu 01.03.0769
-Testing5 days?Thu 01.03.07Wed 07.03.07
Validate control effectiveness1 day?Thu 01.03.07Fri 02.03.0770IT Applications Team
Document test cases/results in detailed test plans and summaries1 day?Fri 02.03.07Mon 05.03.0772IT Applications Team
Validate improvement and/or remediation actions accomplished1 day?Mon 05.03.07Tue 06.03.0773IT Applications Team
Document testing results1 day?Tue 06.03.07Wed 07.03.0774IT Applications Team
Testing complete0 daysWed 07.03.07Wed 07.03.0775
-Implement5 days?Wed 07.03.07Tue 13.03.07
Update procedures and control documentation1 day?Wed 07.03.07Thu 08.03.0776Accounting,IT Applications Team,IT Network & Infrastructure Team
Implement system changes1 day?Thu 08.03.07Fri 09.03.0778Accounting,IT Applications Team,IT Network & Infrastructure Team
Monitor results and improvements1 day?Fri 09.03.07Mon 12.03.0779Accounting,IT Applications Team,IT Network & Infrastructure Team,SOX Compliance Team
Document results and summarize to senior management1 day?Mon 12.03.07Tue 13.03.0780Accounting,IT Applications Team,IT Network & Infrastructure Team,SOX Compliance Team
Implementation complete0 daysTue 13.03.07Tue 13.03.0781
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