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 comprehensive view of SOX compliance, risk, and audit reports within ServiceNow, consolidating critical information into single screens tailored for various Governance, Risk, and Compliance (GRC) roles. These dashboards enable organizations to monitor SOX controls, attestations, risks, assessments, audits, and associated issues efficiently.
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Role-Based Access
Access to SOX dashboards is controlled by specific GRC roles, each with defined read or edit permissions to ensure appropriate data visibility and management:
- Policy and Compliance Management: Roles range from Compliance Reader (read-only access to SOX Compliance Dashboard) to Compliance Admin (read and edit across Compliance and Risk Dashboards and SOX Processes).
- Risk Management: Roles include Risk Reader (read-only), Risk Manager (read and edit SOX Processes), and Risk Admin (full edit permissions on Risk and Compliance Dashboards and SOX Processes).
- Audit Management: Audit User has read access to Compliance, Risk, and Processes dashboards; Audit Admin can read and edit Audit Dashboard and SOX Processes.
SOX Compliance Dashboard
This dashboard offers an overview of SOX controls, attestations, and control issues, helping compliance teams track policy adherence and control effectiveness. Key reports include:
- Compliance Overview: Displays status of SOX policies, controls, key controls, failed controls, exceptions, and controls by profile and type.
- Attestation Overview: Monitors attestation statuses such as pending, past due, and by profile, supporting attestation progress tracking.
- Issue Overview: Highlights control issues by due dates, profiles, owners, and closure rates, facilitating issue resolution management.
SOX Risk Dashboard
This dashboard provides visibility into SOX-related risks, assessments, and risk issues, supporting risk management activities. Available reports include:
- Risk Overview: Shows risk levels (very high to very low), risks by profile and compliance, and heatmaps for inherent and residual risks.
- Assessment Overview: Tracks risk assessments including pending, past due, and user-specific assessments.
- Issue Overview: Enables monitoring of risk issues by due dates, profiles, owners, closure rates, and related policies.
SOX Audit Dashboard
The audit dashboard tracks the progress and issues of SOX audits, aimed at audit managers and teams. Reports include:
- Audit Overview: Displays audit tasks by due dates, helping manage ongoing audit activities.
- Issue Overview: Tracks audit issues by due dates, profiles, owners, and entities to support issue resolution.
Practical Benefits for ServiceNow Customers
By leveraging the SOX Content Pack dashboards, ServiceNow customers can:
- Gain centralized, role-specific visibility into SOX compliance, risk, and audit statuses.
- Efficiently monitor control effectiveness, attestation progress, risk levels, and audit task completion.
- Improve issue management and resolution with detailed overviews segmented by due dates, ownership, and policy.
- Support compliance and audit teams with actionable insights to maintain SOX regulatory requirements.
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