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SOX Testing Readiness

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Hi everyone,

I'm getting ready to use Workiva for the first time for our SOX testing.

Does anyone has a guideline for the set up process?

What needs to happen step by step? A checklist would be nice.

Thanks,

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Comments

9 comments

Date Votes
  • Ruth Nouanesengsy
    Hi Henry, we had all of our testing set up by Workiva for us as part of the on-boarding. Did you not have this? Otherwise, I would be happy to help, but don't really understand the question. 
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  • Henry Bui (Termed)

    Ruth,

    Thanks for your reply.  Yes, I think we had some of that on-boarding activities. However, the one that was in charge of the on boarding process is no longer here. Plus, our account has been assigned to a new person at Workivia.  I'm picking up the project, and I feel like I need some sort of road map to guide me.

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  • Ruth Nouanesengsy
    Henry,
    That is difficult to have not been part of the initial process. Assuming you are on the database? If so, there will be a good bit to do to get ready. You will want to work with your CSM to ensure that everyone you will need to provide support for the testing is on the system and set up so they can upload support documentation. You will need to prepare the PBC listing (separate requests for population and samples). Part of the work will be determined by how much you will be using the various functionality within the system. For example, we don't have due dates on the testing and we don't actually assign it to a particular person. This is due to being such a small department. If you are a larger department, you may want to start by establishing due dates and assigning testing. The tester should then prepare the PBC request for each assigned test. I hope this helps but there is more than I can go through here. We do not actually have a checklist. I do think the CSM could provide a great deal of support, or the project manager from the on-boarding can provide some as well. Even though the project may be "complete" they are usually very gracious to provide additional help.
    Ruth
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  • Henry Bui (Termed)

    Thanks Ruth,

    I reached out to CSM last week, and she provided me with lots of video training.  Hopefully, after I watch them all, I can figure this out.  

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  • Mike
    Great convo, Henry!

    Ruth is right on the money--your CSM is certainly a great resource to provide some additional tips and resources for learning more about Controls Management in Wdesk. There is a wealth of knowledge available too through our Getting Started materials and Help articles. And of course, you are always welcome to ask any questions you might have in the Community.

    In the meantime, do let me know if you have any questions for me or need anything else. Thanks and have a great day!
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  • Donna White
    I would be happy to walk you through what we did and keep in mind the test forms are flexible so if you need changes to match your approach your CSM can help. We have also created user guides and distributed to users which they can keep since most of them won't use the system ofter.  Feel free to reach out to me. 
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  • Henry Bui (Termed)

    Donna,

    I like your idea of the user guides.  A walk through would be helpful.  How can I reach out to you?

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  • Donna White
    email me at dowhite@werner.com and we'll set up a skpe call.  
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  • Katie Wolford
    Henry,
    I'm happy to help if you still have questions.  Even after our in-person on-boarding I was calling my CSM daily to ask questions when I started out!  If you want to set up a call, email me at katie.wolford@welbilt.com. 
    -Katie
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