IT General Controls & SOX Compliance Audit Dashboard

Vantage Capital Partners | FY2025 SOX Certification | 102 In-Scope ITGCs

Audit Period
Q1–Q4 FY2025
Test Completion
87.3%
+4.2% vs LW
Exception Rate
12.1%
+3.9% vs LW
Material Weaknesses
0
Target: 0
Significant Deficiencies
0
Target: 0
Control Deficiencies
14
+7 vs LW
Remediation Velocity
6.2d
-1.3d vs LW

Deficiency Classification Flow

Pass 89 controls Exception 13 controls No Deficiency 89 Control Deficiency 14 Compensated 6 Clean Opinion 95 controls Monitor 14 items

Flow visualization showing test results → deficiency classification → audit opinion impact. 14 control deficiencies identified; 6 covered by compensating controls; 0 significant deficiencies or material weaknesses.

Exception Rate by Control Domain (8 Weeks)

Spike in Week 6: 23 unauthorized SAP changes pushed by Cloud Engineering team.

Evidence Request Aging

Access Review Completion by System

Change Management Exception Breakdown

ITGC Test Results & Deficiency Register

Control ID Domain Control Description Test Status Exception Deficiency Class Owner Remediation Due
CM-003 Change Mgmt Emergency change authorization review Exception 23 unauthorized changes Control Def. T. Chen 2025-02-15
LA-012 Logical Access Quarterly user access review - SAP Pass — — R. Patel —
LA-019 Logical Access Terminated user access revocation Exception 3 users active 48h post-term Control Def. K. Johnson 2025-01-30
CO-007 Computer Ops Daily backup verification & monitoring Pass — — M. Singh —
FR-004 Fin. Reporting Journal entry approval workflow Pass — — L. Martinez —
CM-018 Change Mgmt Segregation of duties - dev vs prod Exception 2 users dual access Compensated T. Chen 2025-02-28
LA-025 Logical Access Privileged account monitoring Pass — — R. Patel —
CO-014 Computer Ops System availability monitoring Pass — — M. Singh —

Prior-Year Deficiency Rollforward Status

Domain
Wk 1
Wk 2
Wk 3
Wk 4
Wk 5
Wk 6
Wk 7
Wk 8
Change Mgmt
3
3
2
2
2
1
0
0
Logical Access
2
2
1
0
0
0
0
0
Computer Ops
1
1
1
1
0
0
0
0
Fin. Reporting
0
0
0
0
0
0
0
0

Open prior-year deficiencies by week. All FY2024 findings remediated by Week 7.

Fieldwork Timeline & Rollforward Progress

Planning
100%
Interim Testing
92%
Rollforward
68%
Fieldwork Close
31-Oct-2025

Control Owner Remediation Velocity by Domain

Compensating Control Coverage

Covered Deficiencies 6 / 14
Coverage Rate 42.9%