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SOX Audit Checklist Template

Security controls are crucial to ensuring the safety and security of your company’s data. However, it’s important to verify that these controls have been implemented properly before you can be sure that they’re effective. This SOX audit checklist can help you do just that.

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SOX Audit Checklist
Establish safeguards to prevent data tampering
Implement an ERP system or GRC software that tracks user logins access to all computers that contain sensitive data.
This system detects break-in attempts to computers, databases, fixed and removable storage, and websites.
Establish safeguards to establish timelines
Implement an ERP system or GRC software that timestamps all data as it is received in real-time.
This data should be stored at a remote location as soon as it is received, thereby preventing data alteration or loss.
Log information should be moved to a secure location and an encrypted MD5 checksum created, thereby preventing any tampering.
Establish verifiable controls to track data access
Implement an ERP system or GRC software that can receive data messages from virtually an unlimited number of sources.
The collection of data should be supported by file queues, FTP transfers, and databases, independent of the actual framework used, such as ISO/IEC 27000.
Ensure that safeguards are operational
Implement an ERP system or GRC software that can issue daily reports to e-mail addresses.
This system distributes reports via RSS, making it easy to verify that the system is up and running from any location.
Periodically report the effectiveness of safeguards
Implement an ERP system or GRC software that generates multiple types of reports, including a report on all messages, critical messages, alerts.
This system uses a ticketing system that archives what security problems and activities have occurred.
Detect Security Breaches
Implement an ERP system or GRC software that performs semantic analysis of messages in real-time and uses correlation threads, counters, alerts, and triggers that refine and reduce incoming messages into high-level alerts.
These alerts then generate tickets that list the security breach, send out emails, or update an incident management system.
Disclose security safeguards to SOX auditors
Implement an ERP system or GRC software that provides access to auditors using role-based permissions.
Auditors may be permitted complete access to specific reports and facilities without the ability to actually make changes to these components, or reconfigure the system.
Disclose security breaches to SOX auditors
Implement an ERP system or GRC software capable of detecting and logging security breaches, notifying security personnel in real-time, and permitting resolution to security incidents to be entered and stored.
All input messages are continuously correlated to create tickets that record security breaches and other events.
Disclose failures of security safeguards to SOX auditors
Implement an ERP system or GRC software that periodically tests network and file integrity, and verifies that messages are logged.
Ideally the system interfaces with common security test software and port scanners to verify that the system is successfully monitoring IT security.
Sign Off
Additional Observation
Internal Auditor Name
Internal Auditor Signature
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Verify your security controls prior to implementation with a sox audit checklist


Security is one of the most important aspects of running a successful business. However, many businesses don’t take adequate precautions to protect themselves from potential security threats. One such threat comes in the form of cyberattacks – attacks that involve exploiting vulnerabilities in an organization’s systems in order to gain unauthorized access to confidential data or resources. Cybersecurity experts often refer to these attacks as “snowballing,” because once one vulnerability is discovered and exploited, it can quickly lead to other problems being exposed.


Lumiform’s sox audit checklist includes a number of items related to company security management, such as risk assessment and control planning, incident response plan, physical security measures, and employee training. By checking off each item as it is completed, you will ensure that all necessary precautions have been taken in order for your organization to protect its data safely.


The Sarbanes-Oxley Act (SOX) is a law that was passed in 2002. The law requires public companies to take steps to protect their data from unauthorized access, destruction, or alteration. This includes implementing safeguards such as standardizing and documenting policies and procedures related to security management, monitoring data access and retention practices and reporting any suspected breaches of security.


To help internal auditors carry out their responsibilities under SOX, they use a checklist as the sox audit checklist. This checklist helps auditors identify whether company policies and procedures are effective at protecting their data from unauthorized access.

Please note that this checklist template is a hypothetical appuses-hero example and provides only standard information. The template does not aim to replace, among other things, workplace, health and safety advice, medical advice, diagnosis or treatment, or any other applicable law. You should seek your professional advice to determine whether the use of such a checklist is appropriate in your workplace or jurisdiction.
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