Step 1 of 6: Identity
Sarbanes-Oxley (SOX)
Evidence, analytics & program governanceThe "SOX Programme Analytics" workflow has 6 steps, in this order: Step 1 Identity, Step 2 Measure, Step 3 Population, Step 4 Period, Step 5 Reporting, 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.
Measure (required)
measureIdEnter measure.
Measure label (required)
measureLabelEnter measure label.
Step 2 of 6
ScreenSarbanes-Oxley (SOX)step 2
Complete the Measure fields. Each value is validated against the schema before the next step unlocks.
Measure kind (required)
measureKindCounts, proportions of a defined population, ages and trends. Nothing else.
Grouped by (required)
dimensionEnter grouped by.
Indicator type (required)
indicatorTypeEnter indicator type.
Step 3 of 6
ScreenSarbanes-Oxley (SOX)step 3
Complete the Population fields. Each value is validated against the schema before the next step unlocks.
Population definition (required)
populationDefinitionEnter population definition.
Records producing this figure (required)
constituentRecordIdsEnter records producing this figure.
Denominator records (required)
denominatorRecordIdsRequired for a proportion — a percentage of nothing named is the beginning of a score.
Step 4 of 6
ScreenSarbanes-Oxley (SOX)step 4
Complete the Period fields. Each value is validated against the schema before the next step unlocks.
Period start (required)
periodStartEnter period start.
Period end (required)
periodEndEnter period end.
Scope version in force (required)
scopeVersionIdA trend line across a scope change compares two different populations.
Scope changed since the prior point (required)
scopeChangedSincePriorPointEnter scope changed since the prior point.
What changed in scopeoptional
scopeChangeNarrativeEnter what changed in scope.
Step 5 of 6
ScreenSarbanes-Oxley (SOX)step 5
Complete the Reporting fields. Each value is validated against the schema before the next step unlocks.
Governed source recordoptional
sourceRecordIdApplied to internal reporting: a material weakness in a management view, an executive summary and the risk register is ONE record.
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 Evidence" workflow has 6 steps, in this order: Step 1 Identity, Step 2 Custody, Step 3 Validity, Step 4 Storage, Step 5 Review, Step 6 Audit. Steps must be completed in order; each unlocks the next.
Read guide Evidence, analytics & program governanceThe "SOX Transition Readiness" workflow has 8 steps, in this order: Step 1 Identity, Step 2 Status, Step 3 Planning, Step 4 Build, Step 5 EGC, Step 6 Obligations, Step 7 History, Step 8 Audit. Steps must be completed in order; each unlocks the next.
Read guide Evidence, analytics & program governanceThe "SOX Whistleblower Channel" workflow has 6 steps, in this order: Step 1 Identity, Step 2 Routing, Step 3 Substance, Step 4 Outcome, Step 5 Protection, Step 6 Audit. Steps must be completed in order; each unlocks the next.
Read guide