Webclass 79: Data analytics to increase SOX efficiency

Q1. Why is it not such a good idea to get lists of user access in Excel from the controller?

List might not be complete/ accurate

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Because Excel takes longer to automate

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Q2. Where is the best place to get logs of changes to tables?

From the system itself

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From the internal control records

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Q3. What is wrong with simply checking that there are table logs?

We also need to think about whether or not all sensitive tables/ which tables are logged

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We also need to think about which fields are logged for changes

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Q4. If we wanted to have a real check on the use of fire fighter accounts what could we do?

Check all users entering transactions to see if any of them are fire fighter accounts

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Check on users that are service users

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Q5. Where in SAP do we find the list of security/parameter tables that are to be logged?

Partly in DD09L

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In CDHDR

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Q6. What is Design & Implementation?

It means the design of the control and the communication/ assignment of that control

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It means that a control is fully operational

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Q7. Does the SOX law state which controls actives an organization should have?

No, but it recommends, basing the list of control activities on a recognised framework such as COSO

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Yes, all of the control activities that are required are listed

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Q8. How can we decide which business processes are important to be covered in SOX testing?

By analysing the balance sheet and the P&L and looking at which accounts make up those the most

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By mapping out all the processes in the organization and doing a risk assessment on all

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Q9. What information in SAP gives us a clue as to how a journal entry was made?

The transaction code

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The general ledger accounts

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Q10. What would be the sample size for a control that is occurring daily and of high importance?

Probably about 60

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Probably about 25

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Webclass 79: Data analytics to increase SOX efficiency

Webclass 79: Data analytics to increase SOX efficiency

admin June 9, 2026

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