Step 1 of 6: Identity
Sarbanes-Oxley (SOX)
Approval, external audit & audit committeeThe "SOX Service Organization Reliance" workflow has 6 steps, in this order: Step 1 Identity, Step 2 SOC1, Step 3 Subservice, Step 4 CUEC, Step 5 Reliance, Step 6 Audit. Steps must be completed in order; each unlocks the next.
Sarbanes-Oxley Act Sections 302/404/906; PCAOB AS 2201; COSO 2013
6 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 6
ScreenSarbanes-Oxley (SOX)step 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Domain entity ID (required)
entityIdThe organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.
Service organization (required)
serviceOrganizationNameEnter service organization.
Step 2 of 6
ScreenSarbanes-Oxley (SOX)step 2
Complete the SOC1 fields. Each value is validated against the schema before the next step unlocks.
SOC 1 report type (required)
soc1ReportTypeEnter soc 1 report type.
Report period startoptional
reportPeriodStartEnter report period start.
Report period endoptional
reportPeriodEndEnter report period end.
Our reporting period endoptional
reportingPeriodEndA SOC 1 covering Oct-Sep does not cover a December year end. The gap needs a bridge letter, roll-forward, or our own testing.
Step 3 of 6
ScreenSarbanes-Oxley (SOX)step 3
Complete the Subservice fields. Each value is validated against the schema before the next step unlocks.
Subservice method (required)
subserviceMethodEnter subservice method.
Separate assurance obtained for carved-out subserviceoptional
subserviceAssuranceObtainedEnter separate assurance obtained for carved-out subservice.
Step 4 of 6
ScreenSarbanes-Oxley (SOX)step 4
Complete the CUEC fields. Each value is validated against the schema before the next step unlocks.
Complementary user entity controlsoptional
cuecIdsEnter complementary user entity controls.
CUEC status (required)
cuecStatusA CUEC recorded and never tested is exactly as much protection as one never read.
Step 5 of 6
ScreenSarbanes-Oxley (SOX)step 5
Complete the Reliance fields. Each value is validated against the schema before the next step unlocks.
Reliance placed on this SOC 1optional
relianceLevelHow far our conclusion rests on the service organization's report. A Type I cannot support an operating-effectiveness conclusion at any level.
Step 6 of 6
ScreenSarbanes-Oxley (SOX)step 6
No manual input is captured here: this step is completed from the preceding sections or by the platform.
No manual inputs in this step.
Continue with the next guide in this framework's table of contents.
The "SOX Approval and Sign-Off" workflow has 5 steps, in this order: Step 1 Identity, Step 2 Segregation, Step 3 Delegation, Step 4 Timing, Step 5 Audit. Steps must be completed in order; each unlocks the next.
Read guide Approval, external audit & audit committeeThe "SOX Audit Committee Oversight" workflow has 7 steps, in this order: Step 1 Identity, Step 2 Content, Step 3 Timing, Step 4 Requests, Step 5 Oversight, Step 6 Attestation, Step 7 Audit. Steps must be completed in order; each unlocks the next.
Read guide Approval, external audit & audit committeeThe "SOX External Auditor Coordination" workflow has 8 steps, in this order: Step 1 Identity, Step 2 Applicability, Step 3 Request, Step 4 Fulfilment, Step 5 Reliance, Step 6 Mechanism, Step 7 Findings, Step 8 Audit. Steps must be completed in order; each unlocks the next.
Read guide