ISO 13485
ISO 9004
SOx ISO 9001

BRS is about adherence to legal obligations such as Sarbanes-Oxley (SOx) and current Management System ISO 9001 Efforts:

sarbanes oxley in USAISO 9001 propitiates coexistence with SOx requirements including control of records, reports, management reviews, audit program, monitoring, measurements, interaction of controls (404), et al are within the realm of legal obligations to meet Sarbanes Oxley. And with BRS, as USA based certification body, the protocols are transparent to Federal agencies. Et al, even if SOx fades away, the control requirements will prevail.

As a Registration body, we assist client-organization in verifying and attesting to the effectiveness of controls, when Sarbanes Oxley is a legal obligation. In our commitment to add value, our team of exclusive professionals provide reliable and insightful information to assist with The Committee of Sponsoring Organizations of the Treadway Commission (COSO) weather your organization publicly trades under NASDAQ, AMEX or NYSE.

    Disclaimer: BRS is not a legal advisor, accountants or COSO registered organization, however BRS is accredited by a platform registered with the Department of Justice (DoJ).

Efforts to comply with laws and regutaions based Sarbanes-Oxley (SOx or SORBOX or its successor) reporting requirements can effectively integrate with ISO 9001, ISO 9001 provides as a support tool that assist organizations in: (1) meeting Sarbanes- Oxley (404); (2) maintaining management system registration ISO 9001 (or ISO 14001:2004, ISO 22000...); and (3) in fulfillment of Sarbanes-Oxley (and meeting COSO) obligations. Auditing and documentation are two of the few aspects wherein ISO 9001 can help others including verification of control points throughout process activities. 

    Section 404 of Sarbanes-Oxley requires verification that financial-reporting meets the legal act for publicly trading and other organizations, and applies to organizations operating facilities or maintaining liaison with US based corporations. After November 15, 2004 the CEO and CFO need to attest that these controls are in place and effective for fiscal-reporting periods (for foreign organizations is require yearly and for foreign "US based" corporation needs to report quarterly).

With the advent of new technologies and the use of management system controls and tools, through ISO 9001 provides:

  • Effective identification of requirements,
  • Setting policies and controls,
  • Communication of policies,
  • Controlling documentation requirements,
  • Verification of controls,
  • Identifying preventive measures, 
  • Taking necessary (prudent) action, and
  • Accreditation entity dependent; antifraude, antidorruption and antitrust legally bound

The above pointers provide a basis toward effectiveness of an organization's system and application and improve process for compliance and managing changes relating to risks and competitiveness linking to ISO 9001. As organizations within the US need conducting quarterly verifications of their internal controls to maintain compliance ISO 9001 integrating requirement 8.2.2 (Internal Auditing) can be an excellent aid.

BRS, upon request can plan and conduct an assessment-audit fusing ISO 9001 with legal requirements of Sarbanes-Oxley (404), in assisting organizations not only benchmarking international management systems requirements but complying with SORBOX as well. This provides a basis for more effective and efficient business process integration of ISO 9001 and Sarbanes-Oxley while enhancing the organization's ability to manage future compliance requirements.

Some thoughts on defining Adding-Value-Assessment in the light of ISO 9001 and legal obligations for publicly trading organization Sarbanes-Oxley

Some may think that audits focuses in financial audits exclusively, however QMS ISO 9001 can bring much favorable contributions to controls required by Sarbanes - Oxley. Both, management systems (a horizontal view) and financial (a vertical view) auditing, can be inclusive when assessing controls.

For download of SORBOX / SOx and ISO 9001, visit our English Portal Management System Registration top page.



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Last Modified 19 July, 2021