SOX Content Pack dashboard and reports
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Summary of SOX Content Pack dashboard and reports
The SOX Content Pack in ServiceNow provides comprehensive dashboards that consolidate multiple SOX-related reports into single views. These dashboards are designed to support various Governance, Risk, and Compliance (GRC) roles by offering tailored read or edit access to critical SOX compliance, risk, and audit information.
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Access and Roles
- Policy and Compliance Management:
- Compliance Reader: Read access to SOX Compliance Dashboard.
- Compliance Manager: Read access to SOX Compliance and Risk Dashboards; can edit SOX Processes.
- Compliance Admin: Read SOX Risk Dashboard; can edit SOX Compliance Dashboard and SOX Processes.
- Risk Management:
- Risk Reader: Read SOX Risk Dashboard and SOX Processes.
- Risk Manager: Read SOX Compliance and Risk Dashboards; can edit SOX Processes.
- Risk Admin: Read SOX Compliance Dashboard; can edit SOX Risk Dashboard and SOX Processes.
- Audit Management:
- Audit User: Read SOX Compliance, Risk Dashboards, and SOX Processes.
- Audit Admin: Read SOX Compliance and Risk Dashboards; can edit SOX Audit Dashboard and SOX Processes.
SOX Compliance Dashboard
This dashboard provides a holistic view of SOX controls, attestations, and control issues, allowing compliance teams to monitor adherence and exceptions effectively.
- Compliance Overview: Displays key controls, compliance status by profile and type, failed controls, and exceptions.
- Attestation Overview: Tracks attestation status including pending, past due, by profiles, and personal attestations.
- Issue Overview: Highlights control issues by due dates, profiles, owners, and closure rates.
SOX Risk Dashboard
This dashboard focuses on risks, assessments, and risk-related issues, helping risk teams prioritize and manage SOX-related risks efficiently.
- Risk Overview: Shows risk levels (very high to very low), risks by profile and response, and heatmaps for inherent and residual risks.
- Assessment Overview: Displays assessment statuses including pending, past due, by profiles, and personal assessments.
- Issue Overview: Provides details on risk issues by due dates, profiles, owners, and closure rates.
SOX Audit Dashboard
This dashboard supports audit management by providing visibility into audit progress and related issues.
- Audit Overview: Monitors ongoing SOX audits and audit task due dates to assist audit managers in tracking progress.
- Issue Overview: Tracks audit-related issues by due dates, profiles, owners, and entities to facilitate timely resolution.
Practical Benefits for ServiceNow Customers
By leveraging the SOX Content Pack dashboards, customers can:
- Gain consolidated, role-specific visibility into SOX compliance, risk, and audit data.
- Monitor controls, attestations, risks, assessments, and audit tasks efficiently to ensure timely compliance and risk mitigation.
- Facilitate collaboration among compliance, risk, and audit teams through tailored access and editable processes.
- Drive proactive management of SOX-related issues and improve overall governance and audit readiness.
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