Sarbanes-Oxley Compliance Using COBIT and Open Source Tools


  • Christian Lahti, Computer services consultant, SOX compliance expert, U.S.A.
  • Roderick Peterson, Information Technology Director, NeoMagic, USA

This book illustrates the many Open Source cost savings opportunities available to companies seeking Sarbanes-Oxley compliance. It also provides examples of the Open Source infrastructure components that can and should be made compliant. In addition, the book clearly documents which Open Source tools you should consider using in the journey towards compliance. Although many books and reference material have been authored on the financial and business side of Sox compliance, very little material is available that directly address the information technology considerations, even less so on how Open Source fits into that discussion.Each chapter begins with an analysis of the business and technical ramifications of Sarbanes-Oxley as regards to topics covered before moving into the detailed instructions on the use of the various Open Source applications and tools relating to the compliance objectives. The bootable CD contains fully configured demonstrations of Open Source tools.
View full description


CFO, VP, Director of Finance ¿ Since the Sarbanes-Oxley act is squarely aimed at responsible financial controls and reporting, the executive finance team of any company should be interested in the ways Open Source can reduce their cost of compliance. Every chapter in the book will begin with the management perspective of compliance as it relates to the subject material contained within. CIO, VP Director of IT ¿ This book is very focused on the IT aspects of compliance, in both the use of Open Source as the infrastructure components which make up the core IT footprint within the enterprise as well as the use of Open Source to assist and automate the task of documenting and tracking compliance and internal controls, independent of whether they are derived from proprietary or Open Source systems. IT Operations Management, Administration ¿ Although the book will deal with many of the management considerations in the deployment of Open Source, The examples included in the book and the companion Web site impart a wealth of technical information that IT can directly employ to streamline their compliance processes. IT Consultants ¿ Since Sarbanes-Oxley compliance can present a daunting task, many organizations are choosing to outsource all or portions of their compliance preparation to third parties in order to leverage best known methods and the success of other client audits to ensure their audit goes smoothly. This being the case, the book will arm the consultant with a powerful toolset in which to quickly and efficiently streamline the preparation process while avoiding the cost of proprietary software solutions. Due to this they may be able to reduce their fees and win more business CEO, VP, Owner ¿ Non-Public Companies ¿ The specter of spending time, money and resources on Sarbanes-Oxley compliance now surely weighs into the decision for a privately held company to go public. This book will assist those companies in assessing their infrastruc...


Book information

  • Published: September 2005
  • Imprint: SYNGRESS
  • ISBN: 978-1-59749-036-8

Table of Contents

Introduction ¿ The Goals of this Book Chapter 1: Sox and Cobit Defined Chapter 2: Cost of Compliance Chapter 3: Why Open Source Chapter 4: Domain 1 - Planning and Organization Chapter 5: Domain 2 - Acquisition and Implementation Chapter 6: Domain 3 - Delivery and Support Chapter 7: Domain 4 - Monitoring Chapter 8: The Bottom Line Appendix - CD Contents At a Glance