SOX Control Evaluator

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)

  entityId

  The 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.

• Control being remediated (required)

  controlId

  Enter control being remediated.

• Deficiency being remediatedoptional

  deficiencyId

  Enter deficiency being remediated.

ScreenSarbanes-Oxley (SOX)·step 2

Complete the Remediation fields. Each value is validated against the schema before the next step unlocks.

• Remediation gate (required)

  remediationGate

  Enter remediation gate.

• Owner (required)

  remediationOwner

  Enter owner.

• Target dateoptional

  targetDate

  Enter target date.

• Implemented atoptional

  implementedAt

  Starts the operating period. Required from the operating gate onward.

ScreenSarbanes-Oxley (SOX)·step 3

Complete the Operating fields. Each value is validated against the schema before the next step unlocks.

• Control frequency (required)

  controlFrequency

  Determines how many instances constitute a sufficient operating period. A daily control fixed in November has sixty instances by year end; a quarterly control has one.

• Instances observed since implementation (required)

  instancesObserved

  Enter instances observed since implementation.

ScreenSarbanes-Oxley (SOX)·step 4

Complete the Retest fields. Each value is validated against the schema before the next step unlocks.

• Retest passedoptional

  retestPassed

  A retest is a full test, not a checkbox. This records its outcome.

• Retest resultoptional

  retestResultId

  Enter retest result.

ScreenSarbanes-Oxley (SOX)·step 5

Complete the Analysis fields. Each value is validated against the schema before the next step unlocks.

• Root causeoptional

  rootCause

  Remediation addresses the root cause, not the description. A remediation that does not tends to recur — which is how a repeat filer becomes one.

• Recurrence basisoptional

  recurrenceMatchBasis

  Set where this repeats a previously-remediated deficiency. Over 60% of adverse ICFR reports come from repeat filers.

• Prior deficiencyoptional

  priorDeficiencyId

  Enter prior deficiency.

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.