1. SOX GCC Requirements as Defined by ITGI
- overview of S-OX regulations
- review of COBIT and COSO frameworks
- SOX methodology for identifying and testing GCC controls
- risk assessment methodology focused on the IT environment
- mapping business processes to their computing platforms
- COBIT areas focused on SOX compliance
- the role of policies, procedures, and standards in SOX engagements

2. IT SOX Testing Methodology
- creating the SOX IT controls project and team
- COBIT areas focused on SOX compliance
- working with the business process testing team
- defining the SOX scope of work for IT controls
- working with the external audit firm
- teaming with the IT function
- creating the IT SOX control’s plan

3. GCC Documentation
- process for documenting the GCC environment
- identifying key controls
- identifying control design and implementation gaps
- documentation strategies, including the use of third party software
- evaluating control design, ranking risks, remediation plans, and compensating controls
- real-world examples

4. GCC Testing
- constructing efficient and effective test plans
- executing GCC test plans
- testing documentation standards
- identifying and ranking control implementation gaps
- developing methodology for ranking control gaps
- real-world examples

5. GCC Remediation
- effective communication strategies for GCC gaps
- methods for remediating gaps
- identifying compensating controls
- review of GCC environment to determine more effective and efficient controls
- strategies for next year’s SOX efforts
- real-world examples

6. Automated Testing Techniques and Tools
- the significance of automated controls
- selected automated vendor tool sets: a demo
- evaluation criteria and ROI analysis for using third-party tools

7. IT Recommended Practices for SOX and Other Compliance Initiatives
- review of automated tools and testing techniques
- maximizing the return of SOX efforts
- common best practices
- feedback from SOX engagements from seminar participants
- analyzing on-going guidance from the Big 4 and regulatory agencies
- examining other compliance regulations and affect on SOX