Quality managers, operations managers, internal quality/environmental auditors, risk managers
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Without a doubt, the Sarbanes-Oxley law (SOX) is the single most important piece of legislation affecting corporate governance, financial disclosure and the practice of public accounting since the U.S. securities laws of the early 1930s. Passed in response to recent corporate financial scandals (at Enron, WorldCom, and other organizations) the law means that the CEOs and CFOs of public companies must now certify their organization's financial statements. The risks in these regulations that top management often worry about include an organization's highly outsourced supply chains, government-mandated environmental requirements, the effects of homeland security on the timely supply of materials and the delivery of finished product. The regulations mandate a system of internal controls to provide the management of these risks. Failure may mean civil suits or even jail time. This one-day workshop will explain how elements of the Sarbanes-Oxley law can be supported by the effective management and auditing of QMS and EMS systems. It will show how the requirements of ISO 9001:2008 (and ISO 14001:2004) support the system of internal controls mandated by the regulations, and how the QMS and EMS audits can be combined with internal financial audits to reduce the risks to an organization. Case studies will be presented and a panel discussion will close the workshop.
- Learning Objectives
- Provide an awareness of how quality and environmental management systems (QMS/EMS) can support the compliance of the Sarbanes-Oxley law (SOX).
- Identify the Business value of QMS/EMS support of SOX compliance.
- Provide examples of QMS and EMS experts’ experiences in SOX effort.
- Provide reference material and define terms useful for supporting SOX compliance.
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Course Data
- CEU Hours: 0.60
- ASQ RU: 0.60
- Provider: ASQ
- Course ID: SOX
- Course Length: 6 hours
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