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 and reports that consolidate multiple SOX compliance, risk, and audit metrics into single views. These dashboards support different Governance, Risk, and Compliance (GRC) roles with tailored read and edit permissions, enabling efficient monitoring and management of SOX-related controls, risks, attestations, issues, and audits.
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Role-Based Access
- Policy and Compliance Management: Roles range from Compliance Reader (read-only access to SOX Compliance Dashboard) to Compliance Admin (read and edit access for SOX Compliance Dashboard and SOX Processes).
- Risk Management: Roles include Risk Reader (read access to SOX Risk Dashboard) up to Risk Admin (read and edit access to SOX Risk Dashboard and SOX Processes).
- Audit Management: Audit User can read various dashboards, while Audit Admin has edit permissions on the SOX Audit Dashboard and processes.
SOX Compliance Dashboard
This dashboard offers an overview of controls, attestations, and control issues relevant to SOX compliance. Key reports include:
- Compliance Overview: Displays status of SOX policies, key controls, control compliance and exceptions, and failed controls.
- Attestation Overview: Tracks attestation status including pending, past due, and by profile, helping compliance teams monitor progress.
- Issue Overview: Highlights control issues by due dates, profiles, owners, and closure rates.
SOX Risk Dashboard
This dashboard summarizes risks, risk assessments, and risk issues related to SOX processes and controls. Main reports include:
- Risk Overview: Categorizes risks by severity, profile, compliance status, and provides inherent and residual risk heatmaps.
- Assessment Overview: Shows pending and past due assessments and assessment status by profile.
- Issue Overview: Tracks risk issues by due dates, profiles, owners, and closure rates.
SOX Audit Dashboard
This dashboard provides visibility into ongoing SOX audits and audit issues to support audit management. Key reports include:
- Audit Overview: Monitors audit task progress and due dates.
- Issue Overview: Tracks audit issues by due dates, profiles, owners, and entities.
Practical Benefits for ServiceNow Customers
- Centralized visibility into SOX compliance, risk, and audit activities enables faster, informed decision-making.
- Role-based access ensures appropriate control and collaboration among compliance, risk, and audit teams.
- Detailed dashboards with status indicators and issue tracking help proactively manage SOX requirements and mitigate risks.
- Improves efficiency in monitoring attestations, controls, risk assessments, and audit tasks within a unified platform.
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