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sox audit email

General Information

Obtain a copy of the current SOX audit email checklist template

Review and update the checklist based on the specific requirements of the Information Technology organization

Assign responsibilities to team members for completing different sections of the checklist

Access Controls

Identify and document all access controls within the organization's email system

Review and verify the effectiveness of user access controls, including user account provisioning and de-provisioning processes

Ensure that appropriate segregation of duties is maintained for email administration tasks

Review and validate the organization's password policies and controls

Assess the implementation of multi-factor authentication for email access

Email Security

Evaluate the effectiveness of the organization's email security measures, including spam filters, antivirus software, and encryption protocols

Assess the adequacy of email monitoring and logging mechanisms to detect and respond to security incidents

Review the organization's policies and procedures related to email security awareness and training for employees

Verify the implementation of secure email transmission protocols, such as Transport Layer Security (TLS)

Email Retention and Archiving

Review and validate the organization's email retention policy and procedures

Assess the effectiveness of email archiving systems and processes, ensuring compliance with legal and regulatory requirements

Verify that email backups are performed regularly and can be restored if required

Document any exceptions or deviations from the email retention and archiving policies

Email Monitoring and Auditing

Evaluate the organization's email monitoring and auditing controls, including the use of email content filtering and data loss prevention mechanisms

Verify that appropriate logs and audit trails are maintained for email-related activities

Assess the effectiveness of email monitoring processes to detect unauthorized access, data breaches, or policy violations

Review any incident response procedures related to email security incidents

Compliance and Reporting

Review previous SOX audit reports and recommendations related to email controls

Assess the organization's compliance with relevant regulations, such as GDPR or HIPAA, regarding email usage and data protection

Document any identified non-compliance issues and recommend remedial actions

Prepare a comprehensive report summarizing the findings and recommendations of the SOX audit email checklist

Follow-up and Remediation

Assign responsibility for addressing the identified issues and implementing remedial actions

Establish a timeline for resolving the identified deficiencies

Conduct periodic follow-up assessments to track the progress of remediation efforts

Document the completion of remedial actions and update the SOX audit email checklist accordingly.

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