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SOX 404 / ICFR Evidence & Implementation Kit

$249.00
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SOX 404 / ICFR · Sarbanes-Oxley Section 404 · Evidence & Implementation Kit
Pass your SOX 404 assessment, without building the ICFR program from the statute yourself.
Every part of internal control over financial reporting handed to you as an adopt-ready control, from governance and scoping through risk, process and IT general controls to testing, deficiencies and the management assertion, with the evidence an auditor examines.
ICFR-ready in a weekend, not a quarter.

Here is the honest situation. Sarbanes-Oxley Section 404 requires management to assess and assert on the effectiveness of internal control over financial reporting, and the external auditor to opine on it in an integrated audit. That means a recognised control framework, top-down risk-based scoping, documented process and IT general controls, tested design and operating effectiveness, and a disciplined evaluation of any deficiency up to a material weakness. It is demanding and evidence-heavy, and every year it comes around again. An organization that runs its controls but cannot show the scoping, the testing evidence or the deficiency evaluation is exactly where organizations fall short.

This Kit removes the guesswork. It is the ICFR requirement written as adopt-ready controls you personalize in a weekend, with the evidence an auditor examines.

What you get, the moment you buy

18
ICFR requirements as adopt-ready controls. Every part, from governance and scoping through risk, process and IT general controls, testing, deficiencies and the assertion, written so you personalize and apply it.
18
Evidence-they-examine checklists. For each control, exactly what an auditor examines, plus where organizations fall short, so you close the gap first.
1
ICFR Control Matrix, pre-built. Every control in a working spreadsheet, ready to record status, owner and evidence location.
1
Gap & Readiness Assessment. Score each control and the workbook returns your readiness as a single percentage, and exactly what to fix before the auditor arrives.

Grounded in Sarbanes-Oxley Section 404 and a COSO-based approach, with governance and scoping, financial reporting and fraud risk, entity-level, process and IT general controls, design and operating-effectiveness testing, deficiency evaluation and the management assertion called out. Editable Word and Excel files.

The assertion is only as good as the evidence behind it
Management signs an assertion on ICFR effectiveness, and the auditor tests it. An organization that cannot show its risk-based scoping, its operating-effectiveness testing or its evaluation of a deficiency has an assertion it cannot defend, and a material weakness is a disclosure no one wants. This Kit builds the scoping, testing and deficiency controls with the evidence an auditor asks for.

What one control looks like

This is establishing ICFR governance and ownership, where the assessment begins. All 18 are built to this depth.

SOX-1 Establish ICFR governance and ownership GOVERNANCE
Put this control in place

Establish governance over [your organization name]'s internal control over financial reporting, with management ownership, audit committee oversight, and defined roles across finance, control owners and internal audit, and document it, so that ICFR is directed and overseen and the organization can evidence its governance for the Section 404 assessment.

Regulatory note.

SOX Section 404 requires management to assess and report on ICFR under board and audit committee oversight.

Evidence an auditor examines
  • The ICFR governance and roles
  • Audit committee oversight records
  • Management ownership of ICFR
Common finding they raise: ICFR has no clear owner or oversight for the 404 assessment.

Why this is not another template pack

  • The evidence is the point. An assertion you cannot evidence is exposure, and a material weakness is a disclosure. This tells you what an auditor examines and where organizations fall short, for every part of ICFR.
  • Scoping, testing and deficiencies built in. The top-down risk-based scoping, the design and operating-effectiveness testing and the deficiency evaluation are written into the controls, the substance Section 404 requires.
  • Built on a mapped compliance corpus, not one person's opinion, from a graph of thousands of controls across standards.
  • It compounds. ICFR rests on COSO and your IT general controls, so this work feeds your wider control environment and audit readiness.

Who buys this

Public companies and those preparing to be, and the finance, controllership, internal audit and SOX program leads who own ICFR. Whether it is a first 404 program or a tune-up before the integrated audit, you save weeks and walk in with scoping, controls, testing and deficiencies structured.

By the end of the weekend you will have
✓  An adopt-ready control across the whole ICFR program
✓  A completed ICFR control matrix
✓  The evidence an auditor examines
✓  Your scoping and operating-effectiveness testing in place
✓  A readiness percentage and a fix list
✓  The deficiency and reporting gaps closed

Common questions

Is it really editable? Yes. Word and Excel files you own and adapt. No portal, no subscription.

Is this audit or legal advice? No. It is an implementation toolkit grounded in Section 404 and COSO. For a specific matter consult your auditor or counsel; this gets your controls and evidence in order fast.

Does it cover IT general controls? Yes. Access, change and operations ITGCs over financial systems are built as controls.

Does it cover deficiencies? Yes. Evaluating, remediating and communicating deficiencies up to a material weakness is built as controls.

What if it is not for me? A 30-day money-back guarantee.

Do not sign an ICFR assertion you cannot defend.
Every part of the SOX 404 program is fast to adopt with the Kit. It is instant, and it is guaranteed.
Add it to your cart and be ICFR-ready this weekend.

Instant digital download · 30-day money-back guarantee · The Art of Service Pty Ltd, GPO Box 2673, Brisbane QLD 4001 · support@theartofservice.com

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