Answer true-or-false questions about the Sarbanes-Oxley Act (LO4–1)

E4–2 Below are several statements about the Sarbanes-Oxley Act (SOX).

1. SOX represents legislation passed in response to several accounting scandals in the early 2000s.

2. The requirements outlined in SOX apply only to those companies expected to have weak internal

controls or to have manipulated financial statements in the past.

3. Section 404 of SOX requires both company management and auditors to document and assess the

effectiveness of a company's internal control processes that could affect financial reporting.

4. Severe financial penalties and the possibility of imprisonment are consequences of fraudulent

misstatement.

5. With the establishment of SOX, management now has primary responsibility for hiring an external

audit firm.

6. The lead auditor in charge of auditing a particular company must rotate off that company only when

occupational fraud is suspected.

Required:

State whether the answer to each of the statements is true or false.

 

 

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Week 7 Capstone Project: Outline of Content & Project Type/Format

You will submit an outline of their Paper/Project, detailing the structure and content of the final product. The thesis statement should be noted at the beginning. You will discuss method of presentation – video, website, presentation, etc. with media. It is assumed that as a graduate student, you are familiar with writing outlines. If you need assistance, you should contact the Online Writing Center, other student services, or search for tutorials on the Internet.

Now that you have worked with the graphic organizers to organize your thoughts, direction of research, and possible outcomes/conclusions, you need to begin putting your ideas down in a fashion that will become your final project.

Traditional papers will NOT be accepted.

The Outline is divided into two parts: content and form.

1. Content (20 points):
2. Top of page: 1) state your name, 2) area of research, and 3) thesis statement.
3. In outline format, describe the ideas, sub-ideas, causes-and-effects, comparison-and-contne page if it is complete and comprehensive.
4. Form (20 points): Describe the type of project you will be creating, for example:
5. If you are creating a video, describe the types of scenes and dialogue you will script. Include sample storyboards if you have some created.
6. If a website, describe the various pages you will build and the content you will include on them.

The following content is partner provided

 

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GovDept is a mid-size governmental department providing important services of a social nature to the

population of a large territory. From the technology perspective, the organization can be considered

as a late adopter of innovations and characterized by relative underinvestment in IT, which has certain

implications for both its IT landscape and respective management practices. On the one hand,

GovDept’s IT landscape is very heterogeneous and includes many legacy information systems and

technologies some of which have been in use for decades. On the other hand, its IT-related

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management practices are also rather archaic. For instance, the relationships between business and

IT leaders in the organization exhibit evident signs of “us and them” mentality, while new investments

in IT are viewed by business mostly as a means to reduce costs of the existing operations.

GovDept has a centralized IT department headed by the CIO and responsible for developing and

supporting information systems for all its business units. The IT department employs around 250

specialists and consists of three main functions: architecture, development and service. The

architecture function includes a few architects focused predominantly on specific IT solutions.

GovDept previously tried to uplift the maturity of its EA practice and extend the scope of architectural

planning beyond separate initiatives, but these attempts did not succeed and respective architects

had been made redundant.

Then, the CIO decided to undertake another deliberate effort to evolve GovDept’s EA practice with

the involvement of external consultants. For this purpose, the organization engaged a rather wellknown boutique EA consultancy to help initiate a full-fledged EA practice. The consultancy formed a

project team consisting of four architects specialized in different subject areas. This consulting team

acted according to a detailed engagement plan agreed with GovDept’s senior IT leadership. The plan

stipulated in which sequence and when exactly various EA artifacts will be produced. In total,

consultants worked for 2-3 months, analyzed the organization, interviewed numerous stakeholders

and developed all the EA artifacts specified in the plan. Specifically, they started from analyzing

GovDept in terms of current and desired maturity of its business capabilities and mapped existing

applications to respective capabilities. Then, they captured all relevant data entities, documented all

technologies used in the organization, depicted current and defined target application portfolios and

created more detailed CRUD (create, read, update and delete) relationship matrices.

1. You are required developed a comprehensive roadmap specifying what projects should be

executed in the next 2-3 years.

2. Discuss 5 key roles that IT will play in the GovDept if implemented.

3. Discuss 5 key EA artifacts that would be delivered in 2-3 months.

4. Explain the taxonomy of documentations that you will implement and why you have

considered it important to GovDept.

5. Discuss the operating model that you will implement and why you have chosen the operating

model.

6. Discuss the roles of standard and landscapes in implementation of GovDept’s EA?

7. Discuss 5 types of IT initiatives that you have considered very important to GovDept’s EA

8. Explain considerations as EA Artifacts that will be delivered in GovDept’s EA

9. Discuss 5 subtypes of visions that you used in EA artifacts implementation.

 

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You are a team leader of four systems analysts. You have one analyst who has never done a structured walkthrough of her work. How would you help the analyst to get started? How would you ensure that the walkthrough was effective?

 

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