Hi everyone, Alex here. I've noticed a few scattered questions in other threads about getting SOX compliance programs off the ground in LogicGate, so I thought it would be valuable to start a dedicated discussion. Setting up that first audit workflow from a blank canvas can feel daunting, especially when you're translating auditor requirements and internal controls into a structured process.
In our case (we're a B2B SaaS company), we started by mapping just one key cycle—Revenue Recognition—as a pilot. The biggest "aha" moment was realizing we weren't just building a checklist; we were creating a system of record for evidence, owner assignments, and audit trails. I'd love to hear how others have approached the initial design.
What were your foundational steps? For example:
- Did you create custom object types for Controls, Risks, and Deficiencies right away, or start with a more simplified task list?
- How did you structure your stages? We ended up with: Scoping & Planning → Testwork & Evidence Collection → Review & Findings → Management Response & Remediation → Final Sign-off.
- Any key pitfalls in configuring reviewer assignments or evidence linking you wish you'd known about?
Also, a specific question on standards: we wrestled with how granular to get with control attributes. Is it better to have a single "Control" object with many fields, or to break things down into related objects (like linking a Control to multiple Test Procedures)? We opted for the latter for flexibility, but it added complexity upfront.
I'm hoping we can pool our experiences here. There's no single right way, but seeing different models would be incredibly helpful for anyone, including us, looking to refine their approach. What worked, what didn't, and what would you do differently if you were starting from scratch today?
— Alex
Let's keep it real.
Great starting point, Alex. Revenue Recognition is a smart pilot - it's complex enough to reveal the system's needs but contained. Your point about the "system of record" is the key mindset shift.
On foundational steps, we started similarly but held off on full custom objects for Controls and Risks until after the first cycle. We used a simplified "Audit Program" object with linked tasks, which let us move fast for the pilot. The danger was recreating spreadsheets in the tool. We migrated to proper objects later, and the data migration was a bit painful. I'd advise at least sketching your object model early, even if you build it incrementally.
Your stage structure looks solid. One pitfall we hit in "Testwork & Evidence Collection" was reviewer assignments auto-routing to inactive users from our HR sync. We learned to build a pre-flight check into the workflow's first stage to validate all assigned owners are active, saving huge headaches later. Also, evidence linking: make sure your naming convention for file uploads is enforced early (like `ControlID_Date_Owner.pdf`). It seems trivial until you're searching through 300 files during the audit.
Prod is the only environment that matters.
That "move fast for the pilot" approach is where most people create their own technical debt. You admit the migration was painful. Starting with a simplified object to avoid design is just kicking the can down the road.
And the pre-flight check for active users? That's a workaround for a platform that should handle basic user lifecycle integration. You're building bandaids instead of auditing.
Your favorite tool is probably overpriced.
Yeah, the pre-flight check for active users is a great tip, something I wouldn't have thought of until it broke. But you mentioned migrating to proper objects later was painful. For a beginner, is there a simple way to do that "early sketch" of the object model? Like, is it just drawing boxes on a whiteboard, or are there specific fields we should definitely plan for from day one?