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Sarbanes-Oxley Implementation Survey
1. Is your Company currently conducting a Sarbanes Oxley project, and is an individual acting as the primary Sarbanes Oxley (SOX) project management capacity?
Yes
No
1a. If yes, please explain (project leader, co-project leader, etc.):
1b. If no, do individuals within your company have specific SOX project responsibilities (check all that apply)?
Risk assessment coordination, facilitation and analysis
Operational self-assessment coordination, facilitation and analysis
Documenting processes
Testing
Remediation of gaps
Other (please explain):
2. What is the allocation of total internal staff time to SOX work? (if you indicated 100% you are basically saying your staff is working full time on SOX and 0% time on annual audit plan work).
3. Are you using a tool for SOX compliance work (please check all that apply)?
Risk Control Tracking System - D&T
Risk Navigator - Paisley
SarBox Portal - Protiviti
Internal Control Workbench - PwC
Virtual Commitment - JeffersonWells
Ecora – audit software
Unipress – Footprints Change Management software
Other, please specify:
4. At what stage of the process are you?
Assessment
Documentation
Testing
Remediation
Complete compliance
A combination of the above, please explain:
5. Is IA involved in the process of remediation of identified gaps in controls?
Yes
No
6. What is the process used to identify gaps?
7. Have gaps primarily been of a certain type?
No gaps identified
Segregation of duties
Formal review and approvals
Lack of process control related documentation
Other (please explain):
8. What is the role of your external auditor in the process?
None until the external audit is performed
Counselor and advisor during the process
Providing repository tools and facilitating throughout the compliance process
Other (please explain):
9. Are you co-sourcing the SOX compliance process with a third party?
Yes, please explain primary reason for engaging a third party:
No
10. Is your audit committee receiving updates regarding the status of your SOX implementation?
Yes
No
11. Have you outlined the processes that need remediation within IT for SOX compliance?
Yes
No
12. Will you be outsourcing any of the IT remediation for SOX compliance?
Yes
No
13. Have you selected the appropriate tools for SOX controls and Testing of IT processes?
Yes
No
13a. If so, what tools have you selected for the SOX controls and Testing?
14. What are the three most significant challenges your organization is facing with the SOX implementation process?
15. Additional comments about this topic or survey:
DEMOGRAPHIC INFORMATION:
Country:
Number of employees:
Industry:
Annual revenue:
Number of employees in internal audit:
CONTACT INFORMATION:
(*REQUIRED)
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