Earlier this week, we hosted a 30 minute training session that walked through a couple of different scenarios for how to roll-forward your SOX or compliance content from one year to the next. The training session took a very practical approach – with a step by step view of how you can roll-forward from one testing period to the next.
We wanted to follow-up on a couple of great questions that came up during our training session
We did receive a couple of questions during the training session that we wanted to be sure to address here in more detail.
Q: If we do not copy the entire folder but rather copy only the Test pages, can we still make a 2010 folder in the folder view?
A: The simple answer is “yes”, but we’d love to talk to you more about the purpose of your folders by year, if not for the purpose of roll-forward. Adding a folder to archive older Test pages – and removing them from the “view” for most users – is often a great idea. You can still report on those Test pages by filtering for a “Test Period” or through their link relationships to the Controls – but they are no longer cluttering up the application for the majority of your users.
However, in most cases, you do not want to separate your current Test pages from your Controls and Risks in the Process folders. The critical question is – how easily will I be able to report on my Test results? If you already have a drop down field that indicates the year of the testing, adding another folder to your structure may complicate rather than simplify the process.
Q: In the training session, you used Advanced Search to pull back lists of pages and make updates or copies. Is there an advantage to using Advanced Search rather than Reports?
A: There are LOTS of advantages to Advanced Search. The reason we used it for training was sheer laziness efficiency. Why click over to Reports when I have a feature handy right there in the left that can bring me the same results? Advanced Searches can be saved in every module, and give you a great way to create your own custom navigation in the left hand side. For example, if you are a SOX Tester and the Test pages that you have fill out are all in a status of Checked Out to Me, you might create an Advanced Search for those pages Checked Out to Me – but add additional columns for things like Testing Status or Test Steps to make it easier for you manage your work.
And Advanced Searches are available to Standard Users in the Home module, while Reports are only available to Advanced Users.
Access all of the great information available on the subject of Roll-Forward
When we were planning this training session, we debated a bit internally about whether or not the timing was too late. Was March the right time to talk to people about roll-forward or would most of you have already moved on with 2010 already? Over the course of the past week, we’ve received a great deal of feedback that seems to indicate that our timing was right on. So many of you are in the middle of this process right now – and we want to be sure that we remind you of all of the great materials that are at your fingertips!
Your policyIQ Help guide
Within your policyIQ Help guide, you will find a recently added chapter with loads of information related to Sarbanes-Oxley compliance in policyIQ. A sub-chapter here deals exclusively with the roll-forward process. (See illustration for navigation.)
Recorded Training on Roll-Forward available on-demand
Our training session from earlier this week has been recorded, and is now available within the policyIQ Training center.
Comparison of various methods in an earlier blog post
Both the Help pages and our recent training session provide practical information on how to complete the roll-forward steps. If you are interested in exploring the pros and cons of the various options for rolling forward your content, please take a look at our blog post from earlier this month for more information.
Your policyIQ Team!
Most importantly, don’t forget to contact us if you have any questions about specific steps or if you’d like to talk to someone about what roll-forward method might be best for your organization.