Mon, Sep 18, 2023
ByProtiviti KnowledgeLeader

Assess the state of your company’s IT internal control environment with the SOX compliance checklist samples linked in this blog post.

1. Sarbanes-Oxley Compliance and Disclosure Timeline Guide

This sample document can be used as a general guide to help companies comply with the Sarbanes-Oxley Act of 2002 pursuant to a public debt offering.

2. Guide to Implementing a Self-Assessment Program

In this tool, we have included three guides that outline the best-practice elements and processes related to developing and maintaining a self-assessment program.

3. Sarbanes-Oxley Section 302: Executive Certification Questionnaire

Organizations can use the questions included in this template to address their executive certification requirements.

4. Control Deficiency Assessment Questionnaire

This questionnaire serves as a guide to determining the severity of deficiencies cited during the internal control testing process.

5. Integrating Section 404 and Section 302 Compliance Questionnaire

This tool contains two sample questionnaires that can be used by management and board members to achieve a sustainable internal control structure.


Browse our Section 302 - Executive Certifications topic page to see all of the SOX tools and publications we have published.