Verify the SOX Content Pack in Audit Management

After importing the SOX Content Pack, verify and edit the entity types, entities, audit engagements, audit tasks, test templates, and test plans within the Audit Management application.

Before you begin

Role required: Audit admin (sn_audit.admin)

Procedure

1. Navigate to All > Audit > Entity Type.
   A SOX Processes entity type is added and is used to generate the SOX entities:

   • Accounts Receivable
   • Accounts Payable
   • Commissions
   • Equity
   • Entity Level
   • Financial Reporting
   • Fixed Assets
   • General Ledger
   • Human Resources
   • In Scope Application
   • Inventory
   • ITGC
   • Payroll
   • Purchasing
   • Revenue Recognition
   • SAP
   • SDLC
   • Tax
   • Travel and Expense
   • Treasury
2. Under the Profile filters related list, a filter is added to query the SOX processes table for the generation of SOX profiles.
3. Navigate to Audit > All Engagements.
   The SOX Audit engagement has been added in the Scope state with the following fields set as empty:

   • Assigned to
   • Auditor
   • Approver
4. Navigate to Audit > All Audit Tasks.
5. In the search bar, enter SOX in the Name field.
   Note:

   The names of all SOX-related audit tasks start with SOX.
   The SOX Audit tasks have been added with the following fields:

   • Type is interview or walkthrough
   • Assigned to is empty
   • Assigned parent (engagement) is SOX Audit
6. Navigate to Audit > Audit Testing > Test Templates.
   The SOX test templates have been added and assigned to policy statements.
7. Navigate to Audit > Audit Testing > Test Plans.
   The SOX test plans have been generated for controls based on the test templates.

Result

For information about the SOX Audit Dashboard, see SOX Content Pack dashboard and reports.