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SOX Issue and Action Plan best practices

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Opmerkingen

3 opmerkingen

  • Xiaozhou Xu
    One tip is when you name the issue ID, name it something like "2018 issue no.1" or "2018 Q1 XXX" because the system itself will not assign a number to the issue and action plan. This will let you sort your issues by the age of the issue.
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  • Ruth Nouanesengsy
    We use a naming convention and then for action plans we use the same name as the issue with "A" at the front to more easily track between the two.
    We have also established some standards for the completion of each and when the status is changed.
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  • Katarina Jastrab
    We include the control ID in the issue ID and action plan ID -- > if the control id was ITGC.01, we would do D.ITGC.01 or OI.ITGC.01 (we use D for deficiency and OI for operational improvement). The action plan would be AP.ITGC.01.  The issue source section allows you to tag an Audit program and the Audit program can be a column in the report. Therefore, you can filter by year that way. 
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