Assessment of internal control effectiveness senior management review checklist
This form summarizes the nature and timing of the involvement of the company’s principal executive officer and its principal financial officer in the company’s process for assessing internal control effectiveness.
Project Planning
1. Review the composition of the project team and satisfy yourself that
a. The team as a whole has the skills to perform the work competently.
b. The project manager has sufficient status within the company to ensure sufficient internal control testing coverage and adequate consideration of, and actions on, the findings and recommendations of the individuals performing the testing.
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source: SOX Implementation Toolkit, Michael Ramos
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