Re: Sarbane Oxley process and procedure documentation: how granular?

Subject: Re: Sarbane Oxley process and procedure documentation: how granular?
From: Andrew Plato <gilliankitty -at- yahoo -dot- com>
To: "TECHWR-L" <techwr-l -at- lists -dot- raycomm -dot- com>
Date: Sun, 14 Dec 2003 11:24:07 -0800 (PST)


"Mike O." wrote in message news:222381 -at- techwr-l -dot- -dot- -dot-
>
> Andrew Plato wrote:
> > Do you know what Sarbanes-Oxley is and its purpose?
>
> I only know what I've read in the recent news articles... but the regulatory
> landscape is familiar, no matter what industry. If you are a tech writer, it
> doesn't matter how well you know the regulations. From the tech writer's
> point of view, "compliance" is whatever your boss says it is, no matter how
> wacky his interpretation.

It isn't merely about the regulation. If you understand your industry, its
market, your company, AND the regulation, you're in a very good position to
provide advice on the process. But, if you throw up your arms and say "I know
nothing just give me a template" then you become a slave to the process and
you're right - you won't have any say in the process.

> In a big enough organization, compliance directives are set by higher-level
> executives or consultants. These are revolving-door lobbyist types who wine
> and dine directly with the writers of the regs. If you as a tech writer come
> in and tell everybody "Look, here's what you need to do to be compliant,
> you're doing it all wrong - see, here's the regs, read them yourself!!!"
> you won't be there very long, even if you are 100% right.

Well, if you're insolent about it and act like you know better, yeah, people
will ignore you. If you work diplomatically with people and focus on the
issues, you can be part of the process.

The biggest problem with regulatory compliance work is that most people see
regulations as absolutes. They are not absolutes, but general suggestions.
Those suggestions need to be interpreted and suited to the company. Consultants
work at that level. They understand the industry, the market, and the
regulation and they help the organization suit its processes to regulatory
requirements.

> Nonetheless, reading up on Sarbanes-Oxley is still on my to-do list. Even if
> I never get to use it in the workplace, just as a citizen I want to watch
> and see how it is evaded or worked-around in the coming years :-)

SB is about internal controls in a business. Its mostly about ensuring that the
board and executive management have adequate control over the organization. Its
a direct result of what Enron and others tried to do. The board tried to say
they weren't aware of what some executives were doing. SB aims to close that
gap. There are also some security elements (which is what I deal with most).

Like all regulations, they must be interpreted and situated to each industry.
Again, they are not absolutes.

Andrew Plato


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