... SOX Compliance Solution ***************** CMGT 16FEB2015 ******** SOX Compliance Solution The following Memo is to address the issue of organizing training for all company management personal, in the training of MetricStream© a software solution to The Sarbanes-Oxley Act (SOX). The Memo will address the main issue and how the training will be provided. The memo will also address how the company will be able to measure how successful the training was, and any problems that will be needed to be address had the company decided to conduct any future training sessions. MEMORANDUM TO: All Managers FROM: Head Office DATE: February 16, 2015 SUBJECT: SOX Compliance Solution Compliance to the Sarbanes-Oxley Act is mandatory and requires the financial reports are accurate and reviewed by internal auditors to ensure accountability ("The Sarbanes-Oxley Act ", 2006). To ensure adherence to the SOX requirements and in order to streamline the process while reducing cost at the same time; the company has decided to implement MetricStream© as a software solution for managing the requirements of the act. MetricStream© not only provides tools for the management of internal auditing and reporting process, but also provides a way to show evidence of report findings. This tool also provides collaborative assistance tools to streamline the underlining process required by section 302 of SOX (MetricStream, Inc, 2015). The training required as part of the implementation...
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...| TRG International Inc. | Memo To: | Johnson, Aja CMGT/410 | From: | Tony R. Gill | cc: | Managers | Date: | June 8, 2014 | Re: | Project Budget | | | The Stampede Project The TRG International Inc. Stampede project for the company offsite 2-day training session has been given a preliminary go-ahead. This memo will address the budget needs that will be submitted for approval. There are cost estimates that will be addressed per resources for both labor and materials as it pertains to this project. The cost estimates per resources are as follows: 1. Facility procurement: The organization has acquired the use of the 914 3MSONS building to conduct the necessary training required for the compliance system training. 2. Compliance materials: New compliance policy manuals and packages will be procured and issued. 3. Training, trainers, and testing materials: The training will be conducted over a period of two days with a total of 10 hours divided between each training period. During this period the new platform will be introduced along with new technical manuals, software packages, and web application bundles. As previously stated managers will be arriving from various locations. Included in the cost estimates: 1. Transportation to and from the airport 2. Hotel accommodations (food/lodging) 3. Transportation to and from the training location offsite (rental services) Cost estimates: Resources: Travel | # of personnel:20Airline tickets...
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...CMGT 410 February 25, 2015 Chin Wong | Devo’s Transportation, Inc | Memo To: | Management, all employees, stakeholders | From: | [Your Name] | cc: | Managers at all locations | Date: | February 18, 2015 | Re: | New Companywide Compliance System | | | With this expanding company, new companywide compliance systems will be needed to ensure that the company’s goals and objectives stay in sight. Every manager will need to be trained in order to manage our new systems and help our employees do their jobs. Training will be done by a Devo’s Transportation employee and be named the Devo Project. Project Stakeholders The new companywide compliance (Devo Project) will affect many different people. The main people it will affect is the managers and the employees. This will be companywide so each branch manager will need to complete the training. The business itself will not be affected by these changes. The employees will also not be affected by the changes at first, but will also need to complete training by their branch manager. The CEO will not be affected by the changes as well. He will be aware of the changes that are going on at all time and will monitor the changes. If anyone has any feedback due to the changes feel free to send a memo to him. Objective The objective of the Devo project is update our systems to help the company run smother. We want to use these new systems to increase our production. With the increase production, we want to secure...
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...Memo To: Daffy Duck From: Allen Kerr Date: January 16, 2013 Purpose: To provide quality training for the new audit compliance system there will be necessary expenditures. This memo will present the final budget proposal these expenditures include but are not limited to: wages, materials, travel expenses, and training materials. Steps have been put in place to minimize the overall cost of the training but not at the cost of quality of the project. Budgetary Numbers: Humane Resources Cost: While the Looney Tune Bank and Trust Corporation has many internal resources that will be used to make this training successful but there are certain task that must be outsourced. The internal resource includes one resource from project management, two resources from the training department, two resources from human resources, and two subject matter specialist from the IT department. External resources include three resources from a printing company and two resources from a travel agency. The overall cost of the wages for the human resources to complete the Being Compliant training project total $9,700 dollars. Material Resources Cost: Material costs include the materials for training packages, note-taking materials, and registration material. The material and printing cost are estimated at $1000. Traveling Expenses: The Human Resource Department has identified 25 branch managers that will be required to attend the training. The travel expenses will include round-trip...
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...Proposal Memo Attn: Management and Stakeholders Purpose of Proposal New Companywide Compliance System and Policies Project Description Due to the nature of an expanding company, a new companywide compliance system is needed for Integrity Testing, LLC. In addition to the new compliance system, new compliance policies will be introduced. All managers will require training to properly perform their jobs as well as ensure their subordinates perform properly. This training will be coordinated and undertaken as part of the New Horizons project. Project Stakeholders New Horizons affects many individuals both directly and indirectly. The main stakeholders of this project include all of the managers at each branch location across the country. The managers are affected directly since they will be attending the training sessions. Each of the employees at the branch locations across the company will be affected indirectly by New Horizons. The training the managers receive will be passed on to each of their respective employees. The CEO of Integrity Testing, LLC. will be indirectly affected by this project as well. The CEO requires feedback to evaluate training sessions and therefore is an important factor to the project for future training. Objectives and Outcomes New Horizons will provide the training and information required for all managers to effectively and efficiently run and operate the new compliance system according to the new policies. During the training sessions...
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...Compliance Mem CMGT 410 January 26, 2015 Compliance Memo To: Team Leaders From: (Your Name) Training Project Manager Date: January 26, 2015 Subject: New Compliance System Training ABC Corporation is excited to announce the roll out of their new compliance system database with a two-day training session Southern California at the all exclusive Ocean Side Resort on April 1 and 2, 2015. A team of project developers from ABC Corporation will be this year's educational instructors, teaching the group through hands on training simulations. There will be one on one time with our training team for any questions or concerns. Included within the training will be the review of updated compliance policies and procedures and how they will directly impact Team Leaders and the processes of daily operations within ABC Corporation. Each day will consist of five hours of training with time allotted for lunches and Q&A time with the instructors. With these new and exciting times approaching us it is required that all management attend the compliance training course so they can continue to support ABC Corporation in their quest for excellence of service to our customers and our employees. As leaders within the ABC Corporation it is vital to keep up with technology and the benefits it brings to all who work with it. The more knowledge we have as leaders, the better we can be as leaders in the world of changing technology. Please note that those managers that cannot or refuse...
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...Project Proposal Memo By Lisa Young 09/14/2014 CMGT/410 Adam Hawlk Technology Implementation Training Memo To: Micheal Smith Project Sponsor From: Lisa Young Project manager Mr Smith I have been hired to assist with the rollout of a new companywide compliance system all branches will comply with the changing and the implementation to the new technology. There will be 10 hours of training for all the managers across the country on both the use of the new platform as well as a host of new compliance policies being introduced. The training will take place at the main branch in Kansas City because it is located half way between California Branch and the New York City branch and that way no branch will needs to travel more than half way across the country. There will be ten hours of hands on training that will be conducted at the Kansas City branch; this training will be conducted in three training sessions with groups no larger than twenty. The training will help the managers to help others such as the employees to use the new technology that will be implemented into all branches no later June of 2015. The outcome of this training will help to train the employees and overall performance of the company that will help to bring in new clients to the company. This training is important to the company and those involved in the company’s success, so the outcome of this training is important not just to the company but to the customer and employees...
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...Memo To:] Traci Goodman From: [Bonnie McMullen] Date: [August 3rd.2015] Subject: [Employment Law Compliance Plan] Comments: This memo is on the subject of the demand of an Employment Law Compliance Plan for Bradley Stonefield's limousine service located in Austin, Texas. The Stone field’s limousine service hopes to hire at least 25 employees during the first year of operation. The memo will also explain the four local, state, and federal laws influencing the hiring and employment of the limousine service employees. The memo also mentions the consequences of noncompliance to the laws. [The Americans with Disability Act of 1990] This law developed by the ADA prevents a corporation from discriminating against people with disabilities. These are qualified people who are able to meet the requirements with or without accommodation. Disability is a physical or mental impairment considerably reducing one or more major life activities such as talking, learning, walking, seeing, and hearing. People are protected under this law if he or she has a current record for impairment or if the employer assumes he or she has a disability. This can include individuals with controlled diabetes, people who are rehabilitated drug and alcohol abusers. The current alcohol and drug abused will be fired and are not protected. The law will protect individuals who are tested positive for HIV and AIDS The Age Discrimination of Employment Act 1967 The Age Discrimination in Employment...
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...Ethics, Compliance Auditing, and Emerging Issues INTERNAL MEMO TO: John Doe CEO FROM: Glen Leonard RE: Ethics Program / Training /Compliance Auditing ------------------------------------------------- DATE: February 22, 2016 This memo serves as notice that we will soon initiate efforts to develop and implement an ethics program as well as the appropriate training and an effective way to monitor those plans. As you are aware, consumers and partners want to work with companies they can trust, and having a program that will build management skills and effectively structure business controls is a great way to become transparent and build that trust. Overall, an effective ethics and compliance program will protect the organization by identifying and preventing inappropriate conduct while promoting adherence to the legal and ethical responsibilities of the organization. The core components of the proposed ethics program will include: * Establishing Standards and Procedures – this will include code of conduct, policies and procedures * Training and Education, to ensure employees are trained on the code of conduct, policies and procedures and other programs and objectives that are relevant to the program * Monitoring, Auditing and Evaluation establishing a system to detect and prevent unethical conduct and to ensure the system is effective and being adhered to. To close, with the establishment of an effective ethics programs...
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...------------------------------------------------------------- Please take the time and read this important memo in detail, it is complied with pertinent information explaining the reasons why a new employee handbook will be issued for future use. As the Baderman Island Resort continues to grow in popularity and lure old and new travelers to the island, the Boardman Management Group understands the necessity of having a well-developed employee handbook will be beneficial tool for current employees as well the future employees that will be desired as a result of the expansion of the resort. Also, The Boardman Management Group would like every employee to understand the organization’s specific goals, cultural values, and significance of each member of the organization providing the finest customer service to our guests. Below is an explanation of several different aspects of the mission and vision statement that the company requests the staff is familiar with as well as a description of what the main focus areas that will be covered in the employee handbook. To begin with, the company would like each employee to be aware that we will be changing our organization to follow a more strict compliance-based cultural system. The achievement and success that the organization has experienced thus far is the result of combining both compliance and values based ethical systems and the company feels that more structure will allow the opportunity for growth and continued success and profitability...
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...TO: FROM: SUBJECT: TRAINING PROPOSAL DATE: CC: A new compliance system and policy is to be put in place at the Richardson Corporation, the company-wide implications of the compliance system rollout include: — IT and technical obstacles — Increased pressure on human resources — Leadership challenges to upper level management Our major assumption is that the system will have to be used by staff that might otherwise spend more time trying to learn the system then doing their jobs. We intend to eliminate that issue before it begins. This memo outlines the scope of work you requested, including objectives, procedures, identification of responsibilities and estimated cost. OBJECTIVTIVE: Implement the Model 801 accounting system on the network. Install the Model 801 software, including implementation and setup, training, conversion assistance and support of accounts payable and receivables department. The success of this project depends not only on the software, but on your personnel’s skill, effort and willingness to work with each other as a team. SCOPE OF SERVICES 1. Procedures A. Assist in planning and implementation of the model 801 accounting system. B. Recommend steps required to successfully install the new system and assist in assembling setup information and accounting data used in this implementation process. C. Import the information to the Model 801 software...
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...Project Proposal Project Proposal Robert Dutton, University of Phoenix CMGT/410 Timothy Phillips June 28, 2013 Project Proposal Memo Attn: Management and Stakeholders Purpose of Proposal New Platform and Companywide Compliance System “Touchdown” for Technology Cowboys Project Description It is vital to Technology Cowboys to modify our business information systems into a central technology platform. We can make this happen by using a common database and common development environment. Our first goal to ensure that this modification go smoothly is to establish a common set of processes within the organization. The new compliance system or Touchdown will ensure that all laws and regulations of Technology Cowboys’ internal rules and regulations are updated. This will be the foundation for all business activities within our organization. This newly incorporated compliance system, Touchdown, will become the stepping stone of our understanding of integrity. Project Stakeholders Stakeholders in this project are the company’s managers and employees. Each member will be slowly introduced to the new compliance system. There will be requirements for managers. One requirement for managers is to train at least 10 hours on the new platform. They will also be responsible for training on a host of new compliance policies. The new platform will integrate the all offices across the company, into a common database. The database may be used to access data stored in several...
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...Customer Support Software Companywide Compliance By Charles A. Kennedy July 6, 2012 CMGT/410 Project Planning and Implementation University of Phoenix Introduction The following memo is designed to provide our Management Team Employee’s and relevant stockholders the company’s plan to start implementing Customer Relation Software throughout the company. It will be explained in the following memo how this software will help us to be more competitive within the global market. Also this software will save the company monies and generate more sales by reducing some of the current redundancy we now have in our sales divisions. Once all relevant personal is trained there we be one hundred percent (100%) compliance throughout our company. MEMORANDUM TO: All Employees FROM: Corporate Office DATE: July 6, 2012 SUBJECT: Company Compliance System CC: Management and Relevant Stakeholders Over the past few years the company has expanded onto the global environment, with this new expansion there is a need for us up to integrate Customer Relation Marketing (CRM) into our business information systems, by integrating this new software it will allow the company to achieve the maximum return on marketing, fully capitalize on sales leads and prospects, and cultivate ongoing, lifetime relationships with our current and established customers. By integrating all data about sales leads, current customers, associated companies, and employees throughout...
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... | | | | | | | | | | Memo To: InterClean Management From: Students 1 CC: HR Manager Date: April 22, 2010 Re: New Sales Team – Job Analysis and Selection To help with our company’s new direction of selling full -service cleaning solutions, I have been asked to select a new sales team from the combined employees of Interclean and EnviroTech. To accomplish this task, I needed to develop a new job analysis for the sales team, consider a workforce planning system, identify a selection method, and select the team members by using the job analysis and the selection method. This memo explains this process. Nice intro Job Analysis You may think that I should just select the appropriate employees without doing a job analysis. I contend that job analysis not only helps define a job, it gives our company a competitive advantage because we will understand the type of employees our company needs to accomplish our new sales initiative (Siddique, 2004, p. 219). Good I think we can all agree that giving our company a competitive...
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...District | Memo |To: |School Principals, Classified Employees & Certificated Teachers | |From: |Rafael Astolpho | |cc: |Teacher Assistants | |Date: |March 2nd, 2015 | |Re: |New School wide compliance system | | | | Comments: Our school district has been expanding in the past five years with two new elementary schools being opened this past September. This rapid expansion has caused the need to revise our compliance system that contains new policies that will need to be introduced. Every school principal will need to take their time to learn these new policies and properly train their staff to follow these policies as well. The Management Team at the District Office will also need to take their time to revise these new policies and all staff will be trained on how to abide them as well. This training project will be named Project Imagine Learning...
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