Sarbanes-Oxley Resources - The Institute of Internal Auditors

Sarbanes-Oxley Related Resources

IIA Resources
Framework for Internal Audit's Entity-Wide Opinion on Internal Control

Jim Kaplan of AuditNet has organized a Sarbanes-Oxley 404 listserv and comprehensive resource repository. Kaplan of AuditNet recently wrote, "I am in the process of setting up a Sarbanes-Oxley 404 discussion list on AuditNet. It will be in conjunction with a new resource sharing site that will soon be available. It will be similar in structure to Auditors Sharing Audit Programs but will focus on Sarbanes-Oxley 404. There will also be a forum for asking questions. I have also set up a page on AuditNet that focuses on Sarbanes-Oxley with links to resources and tools."

Key Controls: The Solution for Sarbanes-Oxley Internal Control Compliance

The IIA Corporate Governance repository

The IIA Research Foundation Research Foundation has produced a new report, "Sarbanes-Oxley Act of 2002: Effect on Organizations Not Publicly Traded"

Internal Auditing's Role in Sections 302 and 404of the U.S. Sarbanes-Oxley Act of 2002 (PDF)
Internal auditors have been confronted with a range of questions and issues related to their role and involvement in Sections 302 and 404 initiatives. These questions include both short-term issues during the implementation phase of reporting processes, as well as longer-term questions on the role and responsibilities of internal audit in this process. The purpose of this paper is to provide CAEs with relevant guidance to assist them in responding to these questions in a manner that is most helpful to their organizations while maintaining the ultimate objectivity and independence that is required by the Standards.

In addition to these sites listed above we recommend you visit The IIA Web site periodically and use the search function to identify resources that will help in your research efforts.

Resources from other organizations
American Society for Quality SOX

ISACA Sarbanes-Oxley resource repository

JeffersonWells International and The Institute of Internal Auditors (IIA)

Sarbanes-Oxley Implementation Survey Report May 2004 (PDF)

PricewaterhouseCoopers (PwC) has recently released a major paper regarding 404 titled: Sarbanes-Oxley Act: Section 404 - Practical Guidance for Management.

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