Sarbanes-Oxley Process Walkthrough Questionnaire

This tool contains two sample questionnaires that provide guidance to business units in the performance of walk-throughs associated with Sarbanes-Oxley Act compliance requirements.  

These templates provide guidance information on several matters associated with planning and conducting walk-throughs and evaluating the results of such walk-throughs. In addition, these templates can be used as a mechanism for documenting the results of walk-throughs. Sample questions include: Are all key process elements appropriately described? Are process elements in a logical order and do they represent the actual sequence of the transaction flow? Is it clear what happens to rejected transactions at each point in the process flow?