AssureSwarm

workflow

SOX IPE Validation

SOX IPE Validation as a modular, decision-aware workflow that runs on — and enriches — the existing relying Control item (a key control, framework⊇sox) whose evidence depends on an Information Produced by the Entity (IPE) report: the report's identity, test history, and C&A test date are recorded onto that control rather than into a separate record. In scope: the completeness-and-accuracy conclusion for one IPE report for one period. It consumes its starting key-control population from the upstream SOX scoping / RCM build — the Control library with its Control ↔ Risk links. Its named deliverables are a reperformable completeness-and-accuracy (C&A) memo attached to the control and a validated-IPE evidence-and-decision package. Out of scope: testing the relying control's own operation — that belongs to the downstream SOX Key Control TOD/TOE Test, which anchors on the control's fiscal-year Control-hosted SOX testing workflow and cites this workflow's C&A package instead of re-validating. It can stand alone, but hands its validated-IPE package to SOX Key Control TOD/TOE Test instead of duplicating repeated work.

Record JSON · Open in map · Data retrieval guide

Catalog revision: 24028ffcfc2b295fa1b08ee6caa84b765f0731b321496bf4f548c49ad2177028. A connection does not establish full coverage.

Attributes

domain
sox
department
internal-audit
lineOfDefense
assure

Details

teams
  • internal-audit
  • finance
domains
  • sox
standards
  • sox
sourceTemplateId
workflow-library:sox-ipe-validation
releaseId
sha256:51cfc7bd7a4f244e2478b5c44f256f648735995ccef48c11995f306b73e6e40f
canonicalUrl
https://workflow-library.com/all/?w=sox-ipe-validation
capabilities
    mappingStatus
    mapped
    lineOfDefense
    assure
    controls
    • UC-FIN-09
    • UC-AUDIT-13
    roleIntegrity
    activityCount
    0
    ermPhases
      lineRoles
        serviceModes
          warnings

            Source

            No record-specific source URL is provided.

            Download workflow template · Release: sha256:51cfc7bd7a4f244e2478b5c44f256f648735995ccef48c11995f306b73e6e40f

            Connections