SOX Content Pack dashboard and reports
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Summary of SOX Content Pack dashboard and reports
The SOX Content Pack dashboards provide a centralized view of multiple SOX-related reports, facilitating compliance, risk, and audit management within ServiceNow. These dashboards consolidate critical information on controls, risks, assessments, attestations, and audit tasks, helping various GRC roles monitor and manage SOX processes effectively.
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Access and Roles
Access to SOX dashboards and reports is role-based, ensuring appropriate permissions for different GRC functions:
- Policy and Compliance Management: Compliance Reader can read the SOX Compliance Dashboard; Compliance Manager can read both Compliance and Risk Dashboards and edit SOX Processes; Compliance Admin has broader edit access including Risk Dashboard.
- Risk Management: Risk Reader can read the Risk Dashboard and SOX Processes; Risk Manager has read access to Compliance and Risk Dashboards and can edit SOX Processes; Risk Admin can edit Risk Dashboard, Compliance Dashboard, and SOX Processes.
- Audit Management: Audit User can read all Compliance, Risk, and Processes dashboards; Audit Admin can also edit the Audit Dashboard and SOX Processes.
SOX Compliance Dashboard
This dashboard offers a comprehensive overview of all SOX controls, attestations, and control issues, helping compliance teams track status and compliance progress.
- Compliance Overview: Displays key controls, controls by profile/type, control compliance, failed controls, and exceptions.
- Attestation Overview: Tracks pending, past due, and profile-based attestations, including user-specific attestations.
- Issue Overview: Highlights issues by due dates, profile, owner, closure rates, and related policies.
SOX Risk Dashboard
This dashboard provides insights into SOX-related risks, assessments, and issues, enabling risk teams to prioritize and manage risks effectively.
- Risk Overview: Categorizes risks by severity and profile, shows inherent and residual risk heatmaps, and compliance-related risks.
- Assessment Overview: Tracks pending and past due assessments by profile and individual assignments.
- Issue Overview: Displays risk issue status by due dates, profile, owner, closure rates, and policy association.
SOX Audit Dashboard
This dashboard monitors audit progress and related issues, supporting audit managers and teams in tracking audit tasks and resolving issues promptly.
- Audit Overview: Tracks audit task deadlines across various time frames.
- Issue Overview: Provides detailed status of audit issues by due dates, profile, owner, and entity.
Practical Benefits for ServiceNow Customers
By leveraging the SOX Content Pack dashboards and reports, ServiceNow customers can:
- Gain a unified, role-based view of compliance, risk, and audit data related to SOX requirements.
- Effectively monitor and manage controls, risks, attestations, and audit activities.
- Improve visibility into overdue tasks and issues, enabling timely remediation and compliance adherence.
- Ensure clear accountability through issue owner tracking and closure rate metrics.
The SOX Content Pack dashboards display multiple SOX reports on a single screen. Various GRC roles have read or edit access to these dashboards.
Policy and Compliance Management roles for SOX
- The Compliance Reader (sn_compliance.reader) can read SOX Compliance Dashboard and SOX Processes
- Compliance Manager (sn_compliance.manager) can read SOX Compliance Dashboard, SOX Risk Dashboard, and edit SOX Processes
- The Compliance Admin (sn_compliance.admin) can read SOX Risk Dashboard and edit SOX Compliance Dashboard and SOX Processes
Risk Management roles for SOX
- Risk Reader (sn_risk.reader) can read SOX Risk Dashboard and SOX Processes
- Risk Manager (sn_risk.manager) can read SOX Compliance Dashboard, SOX Risk Dashboard and edit SOX Processes
- Risk Admin (sn_risk.admin) can read SOX Compliance Dashboard and edit SOX Risk Dashboard and SOX Processes
Audit Management roles for SOX
- Audit User (sn_audit.user) can read SOX Compliance Dashboard, SOX Risk Dashboard and SOX Processes
- Audit Admin (sn_audit.admin) can read SOX Compliance Dashboard, SOX Risk Dashboard and edit SOX Audit Dashboard and SOX Processes
SOX Compliance Dashboard
The SOX Compliance Dashboard displays an overview of all controls, attestations, and control issues. Navigate to . The following reports are available:
- Compliance Overview
- This dashboard shows the compliance overview of SOX policies and controls, and the effect on the entities related to SOX processes. It also shows:
- Key Controls
- Controls by Profile
- Control Compliance
- Controls by type
- Failed Controls
- Control Exceptions
- Attestation Overview
- This dashboard provides an overview of all the attestations related to SOX controls, and it helps to monitor the status and progress of attestations for the compliance teams to track. It shows:
- Pending Attestations
- Past due Attestations
- Attestations by Profiles
- My Attestations
- Issue Overview
- This dashboard provides an overview of all issues related to the SOX controls. It shows:
- Issues past due 90 days
- Issues pending 30 to 90 days
- Issues pending 30 days
- Issues due in next 30 days
- Issues by Profile
- Pending Issues by Owner
- Issues Closure Rate
- Control Issues by Policy
SOX Risk Dashboard
The SOX Risk Dashboard displays an overview of all risks, assessments, and risk issues. Navigate to . The following reports are available:
- Risk Overview
- This dashboard provides an overview of the risks related to SOX processes and controls. It shows:
- Very high risk
- High risk
- Moderate risk
- Low risk
- Very low risk
- Risks by profile
- Risks by Response
- Inherent risk heatmap
- Residual risk heatmap
- Risks by Compliance
- Risk Exception
- Assessment Overview
- This dashboard provides the overview of the risk assessment for risks related to SOX processes and controls. It shows:
- Pending Assessments
- Past due Assessments
- Assessments by Profiles
- My Assessments
- Issue Overview
- This dashboard provides the overview of the risk issues related to SOX processes and controls, and helps the risk teams monitor the open issues that are assigned to the owners. It shows:
- Issues past due 90 days
- Issues pending 30 to 90 days
- Issues pending 30 days
- Issues due in next 30 days
- Issues by profile
- Pending Issues by Owner
- Issues Closure Rate
- Risks Issues by Policy
SOX Audit Dashboard
The SOX Audit Dashboard displays an overview of all audits and audit issues. Navigate to . The following reports are available:
- Audit Overview
- This dashboard provides the progress of the ongoing SOX audits and monitors the various audit tasks. This is useful for the Audit managers. It shows :
- Audit Tasks Due > 90 Days
- Audit Tasks Due 90 to 30 Days
- Audit Tasks Due Last 30 Days
- Audit Tasks Due in Next 30 Days
- Issue Overview
- This dashboard provides the progress of issues and helps audit teams to monitor the pending issues. It shows:
- Issues Due > 90 days
- Issues Due 30-90 days
- Issues Due Last 30 days
- Issues Due in Next 30 days
- Issues by profile
- Issues by Owner
- Pending Issues by Entity