Oracle SOX Controls Checklist

1. 1. Sox checklist for Project Releases
Project Name: Project Number:
Remedy CR #: Remedy RR #:
Date of review:
ITGC Sox
Control #
Control
Name
PDF
Checkpoint
Checklist items
26.10.01 Project
Approval
Project Kickoff 1. Opportunity Summary completed
2. Project Approval Form document completed
3. Project Approvals captured
a. Finance approvals updated and stored
b. Documents maintained by Finance
26.20.01 Initial
Stakeholder
Approval
Commit to
Solution
1. Business Requirements Document is stored in the appropriate project repository (e.g.
Perforce) (Owner: Business Analyst)
a. BRD hyperlink is posted in the Remedy CR work log
b. Approvers clearly identified in BRD Document Information section
2. BRD signoffs captured (Owner: Business Analyst)
a. Signoffs from all approvers
b. Signoff Request email contains requester’s job title
c. Approval email contains approver’s job title
d. Approvals are stored in the appropriate project repository
e. Hyperlinks to the approvals are posted in the Remedy CR work log
26.10.02
26.20.04
UAT
Approval
User
Acceptance
1. User Acceptance Testing test scripts
a. UAT scripts are stored in the project repository
b. Hyperlink to the UAT scripts document is posted in the parent Remedy RR
work log (Owner: Business Analyst)
2. UAT signoff email contains (Owner: Business Analyst)
a. Names of approvers
b. Names of stakeholders who do not need to approve
c. Requester’s job title
d. Brief description of the project for which approval is being requested
3. UAT approval email contains (Owner: Business Analyst)
a. Approver’s job title
b. Reference to the functionality being approved
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2. 4. UAT signoffs captured (Owner: Business Analyst)
a. Signoffs from all identified approvers
b. Approvals are stored in the appropriate project repository
c. Hyperlinks to the approvals are posted in the parent Remedy RR work log
26.10.03 Go Live
Readiness
Signoff
Go Live
Acceptance
1. Stakeholder approvals for release are captured (Owner: Release Manager)
a. Approvals from all stakeholders
b. Approval Request email contains requester’s job title
c. Approval email contains approver’s job title
d. Approvals are stored in the appropriate project repository
e. Hyperlinks to the approvals are posted in the parent Remedy RR work log
26.21.01 Separate RTP
team
Go Live
Acceptance
1. Migration documents created and attached to Remedy RR (Owner: Release Manager)
26.10.04 Go Live
Acceptance
(after
migration to
Production)
Project Closure 1. QA provides Build Acceptance Signoff in Production (Owner: QA)
a. Approval is recorded in the parent Remedy RR work log
2. Customer post-production signoff (Owner: Business Analyst)
a. Approvals from all UAT approvers
b. Approval Request email contains requester’s job title
c. Approval email contains approver’s job title
d. Approvals are stored in the appropriate project repository
e. Hyperlinks to the approvals are posted in the parent Remedy RR work log
3. Remedy ticket is closed (Owner: Business Analyst)
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3. 2. Sox checklist for Maintenance releases
Remedy CR #: Remedy RR #:
Date of review:
ITGC Sox
Control #
Control
Name
PDF
Checkpoint
Checklist items
26.20.01 Initial
Stakeholder
Approval
Commit to
Solution
1. Business Requirements form is stored in the appropriate project repository (e.g.
Perforce) (Owner: Business Analyst)
a. BR form hyperlink is posted in the Remedy CR work log
b. Approvers clearly identified in BR form
2. BR signoffs captured (Owner: Business Analyst)
a. Signoffs from all approvers
b. Signoff Request email contains requester’s job title
c. Approval email contains approver’s job title
d. Approvals are stored in the appropriate project repository
a. Hyperlinks to the approvals are posted in the Remedy CR work log
26.20.04 UAT
Approval
User
Acceptance
1. User Acceptance Testing test scripts
a. UAT scripts are stored in the project repository
b. Hyperlink to the UAT scripts document is posted in the parent Remedy RR
work log (Owner: Business Analyst)
1. UAT signoff email contains (Owner: Business Analyst)
a. Names of approvers
b. Names of stakeholders who do not need to approve
c. Requester’s job title
d. Brief description of the project for which approval is being requested
2. UAT approval email contains (Owner: Business Analyst)
a. Approver’s job title
3. UAT signoffs captured (Owner: Business Analyst)
a. Signoffs from all identified approvers
b. Approvals are stored in the appropriate project repository
a. Hyperlinks to the approvals are posted in the parent Remedy RR work log
26.21.01 Separate RTP
team
Go Live
Acceptance
1. Migration documents created and attached to parent Remedy RR (Owner: Release
Manager)
2. Stakeholder approvals for release are captured (Owner: Release Manager)
a. Approvals from all stakeholders
b. Approval Request email contains requester’s job title
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4. c. Approval email contains approver’s job title
d. Approvals are stored in the appropriate project repository
e. Hyperlinks to the approvals are posted in the parent Remedy RR work log
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