SOX Engine
Control Library
Sarah Chen
Auditor
15 controls
8 passing
2 failing
Import YAML
All
Access Management
Change Management
IT Operations
Segregation of Duties
All Severities
Critical
High
Medium
Low
ITGC-AM-001
ITGC-AM-001
Timely Termination of Access
Access Management · continuous
5 open
FAIL
critical
ITGC-AM-002
ITGC-AM-002
Periodic User Access Reviews
Access Management · quarterly
2 open
EXCEPTIONS
high
ITGC-AM-003
ITGC-AM-003
Segregation of Duties — Conflict Detection
Segregation of Duties · continuous
8 open
FAIL
critical
ITGC-AM-004
ITGC-AM-004
Privileged Access Monitoring
Access Management · monthly
PASS
critical
ITGC-CM-001
ITGC-CM-001
Change Approval Documentation
Change Management · continuous
3 open
EXCEPTIONS
critical
ITGC-CM-002
ITGC-CM-002
Developer Access to Production
Change Management · monthly
PASS
critical
ITGC-CM-003
ITGC-CM-003
Emergency Change Procedures
Change Management · continuous
1 open
EXCEPTIONS
high
ITGC-OPS-001
ITGC-OPS-001
Backup Completion Verification
IT Operations · daily
2 open
EXCEPTIONS
high
ITGC-OPS-002
ITGC-OPS-002
Batch Job Monitoring
IT Operations · daily
PASS
medium
ITGC-OPS-003
ITGC-OPS-003
Incident Response Documentation
IT Operations · weekly
PASS
high
ITGC-AM-005
ITGC-AM-005
Password Policy Enforcement
Access Management · quarterly
PASS
high
ITGC-AM-006
ITGC-AM-006
New User Provisioning Authorization
Access Management · continuous
1 open
EXCEPTIONS
critical
ITGC-CM-004
ITGC-CM-004
SDLC Testing Documentation
Change Management · continuous
PASS
high
ITGC-OPS-004
ITGC-OPS-004
Database Direct Access Restriction
IT Operations · monthly
PASS
critical
ITGC-OPS-005
ITGC-OPS-005
Security Log Monitoring & Alerting
IT Operations · weekly
PASS
high
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