IT Consulting, Legal Compliance, Small Business and Enterprise Business Solutions

:: home \| about us \| contact us

search >>

Core Competencies

Small Business Solutions

Mid-Market Business Solutions

Enterprise Business Solutions

Legal Compliance >>

Sarbanes-Oxley Compliance

SOX Compliance Challenges

SOX FAQs

SOX Auditing Checklist

SOX Implementation Survey

Free SOX Assessment

HIPAA Compliance

Tech Notes

:: IN THE NEWS

>>	Think a Server’s Too Much for your Small Business?
>>	6 Factors That Endanger Internal Network Security & How to Prevent Them
>>	Mobile Nightmare for IT
More News Articles

:: Home >> IT Consulting >> Legal Compliance >> Sarbanes-Oxley Compliance >> Free SOX Assessment

Free Sarbanes-Oxley Compliance Assessment

* indicates required field
CONTACT INFORMATION:
Company Name:	*
First Name:	*
Last Name:	*
Title:	*
Phone Number:	*
e-mail Address:	*

PROJECT INFORMATION:
Have you started your SOX Compliance on the IT side?	YesNo

Please give us a date we could meet at your facility for a free consultation:

PLEASE ANSWER THE FOLLOWING QUESTIONS FOR US TO PREPARE OUR ASSESSMENT:
Area or Department:
Responsible Party:
Describe the key business objectives of your area. (That is, what is the mission of your area?)
Describe the key business processes that occur in your area (i.e. What are the activities which are completed in your area?)
Describe the key internal controls that you believe exist in your area (i.e., how do you control the major activities, output, etc., in your area?)
What are the information systems utilized in your area?
Describe performance measures you obtain and utilize to monitor the effectiveness/efficiency of your business processes.
Describe the key means of communication you utilize to inform other departments of activities and issues occurring in your area.
Which departments would benefit from communication with your department?
Which departments do you currently communicate with?
Which areas do you believe would benefit from a detailed review (i.e. areas of immediate control concern or inefficient processes)?

Overall, how would you rate the following in your area? (1 = Poor, 5 = Excellent)
The effectiveness of your internal controls	12345
The quality of your output	12345
The efficiency of your business processes	12345
The effectiveness of network security	12345

Is there an Intrusion Detection System (IDS) in place?	YesNo


Are there known significant deficiencies or material weaknesses where a technology solution is pending?	YesNo


Are any applications characterized by any of the following?
High-value or high-volume transactions	YesNo
Automated computation and reconciliation	YesNo
Straight-through processing	YesNo
A high volume of non-routine bypasses or manual overrides	YesNo


Are any applications dependent on manual controls to complete the process?	YesNo


Have baselines been established for any key applications that affect financial data? (A baseline application is one where management has established that the application is running as planned and has accepted the application as stable and reliable.)	YesNo
If any key applications have not had a baseline establishedbeen established as baselines, please list.

Is there an effective method for error and exception reporting when an application does not run properly or fails to run?	YesNo

Rate the effectiveness of access controls to applications and databases that affect financial reporting.	12345

Is access to applications controlled by multiple levels of password security?	YesNo

Are firewalls or secure gateways in place?	YesNo

Are guest and anonymous accounts authorized and monitored?	YesNo

To learn more about PlanetMagpie's IT consulting services for Sarbanes-Oxley Compliance, please contact sox@planetmagpie.com