How to Prepare for a SOX audit (and thrive off it) – The IT perspective


Sarbanes Oxley Act

For those of you who have not gone through a Sarbanes-Oxley (SOX) audit, the experience is a bit like root canal. It doesn’t have to be. A little proactive maintenance and preparation will go a long ways towards making the process easier to deal with, will take the stress off you, and put you in a position to make findings more useful to you. We’ll cover the and why of SOX, how it impacts you, information you’ll be asked for, potential pitfalls, and tools to help along the way. I’ll use real life examples to help illustrate what’s been asked for, and how to make things better along the way.


2 hours


By the end of this course you should be able to:

  • Know what Sarbanes-Oxley is, and why it’s important to you
  • Know the areas they will concentrate their audit on
  • Things that may surprise you
  • Tools to make your job easier
  • How to fix things you found broken


Richard Muniz, the Founder of RJM Computer Consulting LLC

Richard Muniz

Mention Sarbanes-Oxley (SOX) audits to most IT types, and they’ll roll their eyes, and generally look at it as the worst experience of their life with the possible exception of root canal. Most people look at SOX as strictly an accounting function (that’s only part of the story). Since a lot of the accounting functions happen on computers these days, and we’re the keepers of said computers, servers, and resources, IT finds itself up to its eyeballs in SOX compliance.

Richard Muniz, the Founder of RJM Computer Consulting LLC, helped several companies prepare for SOX auditing, and also been in the middle of making sure they went well, providing information, and finding solutions to issues uncovered. Richard is a 15 year veteran in Systems Administration with experience ranging from Windows Administration to Virtualization to Security to Disaster Planning and Recovery and Cisco routing. A former detective and science major, Richard brings the ability to ask questions and to find answers in his field. Richard has several industry certifications and is also a teacher, having taught computer application courses for FEMA and the Colorado Fire Marshals office. He is as also an online teacher for Saisoft in California.