SOX Monitoring

MediationZone has been used to facilitate compliance with Sarbanes-Oxley Act (SOX) with regards to the SOX Control Environment process. DigitalRoute customers have had their IT department as well as other departments use reports and GUIs for operational "SOX-CONTROL ENVIRONMENT PROCESS", including:

• Configuration and Change Management

• Separate Development, Test and Production Environments

• Segregation of duties

• Identification and Authentication

• Clearly defined roles & responsibilities ("Access Controller")

• Audit & Control

  • With the counters and their reconciliation we assure that there are no records lost

  • By monitoring the processing chain we assure that no files get lost, that all are processed

  • The error counters where checked manually on at least a monthly basis by the RA department, in case of abnormalities an explanation was requested

• Daily Reports

  • Error Correction System statistics (which error codes and the number of occurrences)

• Automated Checks

  • Number of input files and records in a normal range

  • Percentage of erroneous records in a normal range