SOX Issue and Action Plan best practices
I'm looking for any tips and tricks related to the Issue and Action Plan sections of the SOX database. We are getting ready to use this feature and are looking for some best practices.
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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. 0We 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.0We 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. 0请先登录再写评论。
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