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sarbanes oxley compliance

Pinnacle Intertech has partnered with several firms to provide a variety of services, including Sarbanes-Oxley compliance.  For one such engagement, PII was asked to lead the Information Technology Applications SOX compliance effort.  The PII team worked with the IT and User management personnel of the client to identify the required applications and processes which were to be evaluated.  Additionally, PII worked closely with the external audit firm to insure that the decisions reached would be acceptable during the eventual compliance audit.  The major tasks involved in this project were:

  • Scoping of the effort

  • Alignment of the scope with CobiT guidelines

  • Negotiation of scope with external audit firm

  • Analysis and documentation of key control processes (Flow charts and narratives)

  • Identification and documentation of controls

  • Creation of test cases for all controls

  • Testing of controls

  • Modification to documents based on test results

The PII team was quite successful in gaining the trust of the client.  In fact, the client eventually asked PII to be the technical lead for the project even though PII’s partner was the primary contractor on the program.  This was based on the client’s satisfaction with PII’s work with all of the parties involved in the process.

The initial program was completed per schedule.  The client subsequently made some radical changes in their strategy and management team.  Almost a year later, PII has been asked to return to work with the new external audit firm and continue the SOX compliance effort.

 

 

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