The Quality Professional’s Role in Sarbanes Oxley Implementation The Sarbanes Oxley law was not aimed primarily at quality systems. It was aimed at all systems that may impact a company’s financial information. The system of financial controls is remarkably similar to the system of quality controls and sometimes they overlap. The quality department owns and maintains a great many documented procedures in many companies and some of those policies or procedures potentially impact the company’s financial information. This would be true in areas like inspection of incoming items, systems for handling warranty returns, handling and accounting for inventory, and conformity with government regulations, e.g., FAA regulations. After reviewing some real life examples of compliance efforts involving the quality department, the quality professional should come away from this clinic with: An appreciation of the relationship between the Quality Professional and Sarbanes Oxley An understanding of exactly what quality policies affect Sarbanes Oxley A better understand of their role in helping their company achieve and maintain compliance with Sarbanes Oxley requirements. Speaker: Donald E. Bradshaw, Kaiser Electroprecision, a Rockwell Collins Company Biography: Accounting department manager for Kaiser Electroprecision, an aerospace manufacturing company and champion of their Sarbanes Oxley compliance effort for the last three years. He teaches financial accounting and taxation at Golden West College in Huntington Beach. He spent fifteen years in the nursing profession before becoming a CPA, where he gained significant auditing experience over approximately seven years in public accounting. Ironically, his first job out of college was with Arthur Andersen & Co., the accounting firm that audited Enron. More recently he became a Six Sigma Black Belt as his company sponsored an initiative to spread appreciation and understanding for the quality function throughout the different areas of the company. He spends his free time catching extraordinarily large fish while not even thinking about Sarbanes Oxley.
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