This tool provides an overview of an organization’s Sarbanes-Oxley (SOX) Section 404 compliance process and illustrates a high-level outline of Protiviti’s approach.

Sample steps include identifying the project sponsor; identifying team members; identifying roles, responsibilities and resources; defining objectives; establishing a critical path; defining key performance indicators; defining milestones and checkpoints; identifying external advisors; validating the approach with external auditors; agreeing upon a common process and risk language; incorporating key financial reporting elements; identifying key processes; and utilizing significant control units.