Templates
IT
SOX Compliance Checklist: Information Technology
🔒

SOX Compliance Checklist: Information Technology

1
Identify SOX-related IT Controls
2
Evaluate the design and operating effectiveness of IT Controls
3
Document the IT Controls
4
Identify areas of non-compliance
5
Plan and execute remediation efforts
6
Evaluate remediation effectiveness
7
Approval: Remediation Results
8
Track and report SOX-compliance status
9
Designate a SOX IT Compliance Officer
10
Determine Control Deficiency or Significant Deficiency
11
Review company’s IT Risk Assessment
12
Approval: IT Risk Assessment Review
13
Monitor changes in IT environment for SOX implications
14
Develop training and education program
15
Conduct continuous internal control testing
16
Maintain records of IT controls testing and results
17
Approval: IT Controls Testing Results
18
Develop a system to track IT deficiencies and remediation status
19
Generate reports for external auditors
20
Implement corrective measures