Critical controls documentation 745

  • Hi there,
    As anyone know,s controls identification, design and operating efficiently is the MUST in SOXA.
    Does anyone used a special presentation, sheets to fully describe all aspects of the control, allowing efficient testing later on. Examples of data to be in: title of the control, process related, owner, regularity, description…
    If so, is any possibility to share your sheets, layout and content? It just to avoid starting from scratch and eventually have it all wrong.
    my e-mail address:
    Thanks a lot 😉

  • Hi Thanks for your answer.
    I have tried to access the excell templates from the link in your referred page with no success.
    I am not sure what you are considering to be a matrix risk control. This for me should be a straigth list of all the risks likely to happen within a process and there for the controls types identified to address them.
    From this matrix, you may have identified only few critical controls that are the most impacting your financial reporting accuracy. These will then need to be thoroughly documented in a separate sheet with all features considered to allow a proper testing afterwards.
    I have already seen such examples, but unfortunaly not kept them with me. That is the reason for my request… In case anyone had followed the same methodology…

  • I could access the spreadsheet with no problems.
    Are you looking for specific control objectives, risks and controls for various business processes or just a more robust risk matrix? There are a few examples that I have come across, but not too many.

  • Hi I will have to check with IT then to understand the reason not acessing to the spreadsheet.
    I do not need any description of controls, but just a format that hangs on a page and includes the different features that we need to describe on a control allowing later a efficient testing…
    Thanks a lot

  • I really do not get it…
    Can anyone send them to me by e-mail?
    Very kind of you…
    and thanks a lot

  • Email sent

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