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Sarbanes Oxley Act –General IT Controls Governance

Softlab was enlisted to assist a leading Telco operator, which is part of a group listed at the New York Stock Exchange, in carrying out Management Assessment Process activities to comply with the requirements of Sarbanes-Oxley Act (SOX) – Section 404. Softlab’s activities were necessary and preparatory to external audits for assessing the internal control system to comply with the SOX requirements.

 

    Process steps

    Approach

    Softlab assisted in defining the System Scope Risk Assessment to identify the perimeter of IT systems and network elements for limited assessment. The team planned, implemented, and managed activities of assessing the control model, both by analyzing the control and operational activities' design effectiveness and operating effectiveness. They identified potential improvements in the control model and the general governance model related to information technology processes. Softlab provided staff assistance to the Customer's external audit and improved the general GITC framework management to optimize its effectiveness and efficiency.

    Outcome

    Softlab assessed about 100 controls on 30 systems and identified no issues during the external audit. This resulted in no slippage questioned by the group leader, indicating the success of Softlab's approach.

    Technology

    The project involved carrying out Management Assessment Process activities to comply with the requirements of Sarbanes-Oxley Act (SOX) - Section 404. Softlab assisted in defining the System Scope Risk Assessment and operated the general GITC

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