How to sarbanes-oxley excel audit: map cell dependencies for financial reporting compliance
- Step 1Identify reportable line items — Determine the Excel cells representing figures that appear in financial statements (revenue, EBITDA, EPS).
- Step 2Generate dependency maps — Run the Dependency Map for each reported line item cell.
- Step 3Review for hardcoded inputs — Cells marked 'hardcoded' require additional control documentation — are they approved inputs?
- Step 4Attach to SOX evidence package — Include the dependency tree reports in your SOX control testing evidence.
Frequently asked questions
Is a dependency map sufficient for SOX control documentation?+
It provides the formula audit trail component. SOX documentation also requires access controls, version history, and review sign-off — consult your compliance team.
Can the output be exported to PDF?+
The text report can be copied into a Word or Google Docs document and saved as PDF for inclusion in SOX evidence packages.
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