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ITGC SOX

Governance and Compliance

Ensure IT governance framework is established and documented.

Identify and document all applicable regulations and compliance requirements.

Define roles and responsibilities for SOX compliance within the IT team.

Risk Assessment

Conduct a risk assessment to identify key IT risks.

Evaluate the impact and likelihood of identified risks.

Document risk assessment findings and mitigation strategies.

Control Environment

Establish a control environment that supports compliance.

Define and document IT general controls (ITGC) relevant to financial reporting.

Create a communication plan for control policies and procedures.

Access Controls

Implement user access management procedures.

Maintain an up-to-date list of user access rights and roles.

Regularly review and update access controls to ensure proper segregation of duties.

Change Management

Document change management processes for IT systems.

Ensure all changes are authorized, tested, and approved before implementation.

Maintain records of change requests and approvals.

Data Backup and Recovery

Establish and document data backup procedures.

Regularly test data recovery processes to ensure effectiveness.

Maintain logs of backup and recovery activities.

Monitoring and Reporting

Implement continuous monitoring of IT controls.

Develop reporting mechanisms for control deficiencies and incidents.

Ensure timely remediation of identified deficiencies.

Training and Awareness

Conduct regular training sessions for staff on ITGC and SOX compliance.

Provide awareness programs to highlight the importance of compliance.

Evaluate the effectiveness of training programs through assessments.

Documentation and Evidence

Maintain comprehensive documentation of all IT controls and processes.

Collect and store evidence of control operation and effectiveness.

Ensure documentation is easily accessible for audits.

Internal Review and Audit

Schedule regular internal reviews of ITGC compliance.

Prepare for external audits by ensuring all documentation is current.

Address any findings from internal or external audits promptly.

This checklist provides a structured approach to ensuring ITGC compliance with SOX requirements in consulting organizations.

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