AssureSwarm

workflow

SOX Process Walkthrough

Runs on the existing Process item being walked (process_type=financial_reporting) — one workflow instance per walkthrough unit (process × location × variant), with the SOX program's Audit item (audit_type=sox_testing) linked as engagement context. It enriches that Process item and seeds its controls; it never creates a duplicate process. Consumes upstream: the significant-account and location scoping baseline, which it takes as a handoff package from the SOX Scoping Decision workflow rather than re-deriving. Produces the named deliverables: the documented process understanding, the identified key controls and their attributes, the control-to-risk mapping (the Risk & Control Matrix, RCM), the walkthrough memo (which doubles as the process's standing narrative), and draft Control records seeded into the register. Out of scope, owned downstream: design-effectiveness conclusions, sampling, and control testing — the handoff splits the control population so confirmed-design controls go to the SOX Key Control TOD/TOE Test workflow and open-design-gap controls go to the Control Design workflow first. It can stand alone but is designed to exchange handoff packages with these related workflows 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
finance
lineOfDefense
assure

Details

teams
  • finance
  • internal-audit
domains
  • sox
standards
  • sox
  • coso-ic
sourceTemplateId
workflow-library:sox-walkthrough
releaseId
sha256:4101b1b96bb5de07faf7ed2dca53bb57b8bb08318564ae7f48a0d60671344586
canonicalUrl
https://workflow-library.com/all/?w=sox-walkthrough
capabilities
    mappingStatus
    mapped
    lineOfDefense
    assure
    controls
    • UC-AUDIT-21
    • UC-AUDIT-13
    • UC-FIN-01
    • UC-FIN-05
    roleIntegrity
    activityCount
    0
    ermPhases
      lineRoles
        serviceModes
          warnings

            Source

            No record-specific source URL is provided.

            Download workflow template · Release: sha256:4101b1b96bb5de07faf7ed2dca53bb57b8bb08318564ae7f48a0d60671344586

            Connections