SARBANES-OXLEY 404 COMPLIANCE TOOL

Our Sarbanes Oxley 404 Compliance Tools provide a complete system for planning, documenting, testing and evaluating your controls. Whether you are implementing SOX for the first time, or looking to streamline your approach, our top-down risk-based system helps you to focus your test work on the areas of your business that represent the highest risk.

Developed by accountants for accountants, our Tool was originally designed for use with our own consulting clients. Using our extensive compliance knowledge, we have created a straightforward product that helps you work through the entire compliance task.

The SOX 404 Tool will help you plan for compliance and document your systems in the first year. It walks you through evaluating your risks and identifying mitigating controls. Most importantly, it provides a framework and a set of powerful tools to test your controls and allows you to track and correct deficiencies. It will help you manage the process, keep track of your compliance efforts, evaluate the results and determine the reporting language.

The Tool includes linked Microsoft® Word & Excel components that you will use to enter a small set of company information that describes your organization. Your organization will then be divided into systems and then each system will be divided into processes or steps. The software creates a customized spreadsheet for each system described during the documentation phase. The spreadsheets are used to store processes, risks and controls, as well as testing details for each system. Each spreadsheet utilizes software tools which are used to automate the complex and repetitive testing and remediation tasks. Once customized, these components are reused year after year to meet your compliance needs.

See the Demo for more information and actual screen-shots.

We offer three version of our Tool. Our Standard Edition is the most affordable, but requires that you identify your own systems, processes, risks and controls. It is ideal for those companies in unusual industries, or those who have already identified their systems, processes, risks and controls.

Our Jump Start Edition comes pre-configured for use with most companies with systems, processes, risks and controls, as well as process narratives. Using expertise gathered from numerous consulting engagements, we have compiled the most commonly seen systems and controls. The provided documentation combines all of this content saving you many hours of setup time. You can then add or modify the existing systems and narratives for a truly custom installation. The Jump Start Edition is ideal for those in the service, manufacturing, wholesale and retail industries. The Jump Start edition also includes up to three hours of email-based, remote assistence which can help answer questions and get you on your way to achieving compliance.

Our Financial Services Edition is like the Jump Start Edition described above, but for those in the financial services industry. It includes systems and narratives (such as Loans, Deposits and Regulatory) tailored for financial institutions. It is ideal for community banks, finance companies and other lenders. We also provide a FDICIA Tool for financial institutions. This same tool works for FDICIA and SOX 404.

Ordering Information - Standard Edition

The Sarbanes Oxley 404 Tool Download is available for $1,799 (US Dollars). The annual service fee is $299 and includes software updates.

Download: Use PayPal to purchase and immediately Download our SOX 404 Tool! (Download size: 5.4MB) Simply use the 'Buy Now' button:

IMPORTANT: After completing the PayPal payment, click the 'Return to Merchant' button to start the download.

Order Form Payment Options (Sales Tax applies for California Shipments):

1. FAX Form: Download the form using the below link and FAX to +1 (800) 706-2905. We will then enclose an invoice with your Tool.

2. Mail-in Form: Download the form using the below link and return by mail with a check payable to ProCognis, Inc. per the form.

Download Standard Edition Order form Excel spreadsheet (31KB)

Ordering Information - Jump Start Edition

CD Delivery: Add $39.95 S&H (and Sales Tax for California Orders) to the purchase price. The Jump Start edition annual service is $599 and includes up to three hours of remote email assistence and software updates.

There are three ways to complete the order for CD shipment:

1. Online payment: use the PayPal Buy Now button to purchase the Tool and pay via PayPal/credit card. We will then ship the CD after receiving the signed contract.

2. FAX Form: Download the form using the below link and FAX to +1 (800) 706-2905. We will then enclose an invoice with your Tool.

3. Mail-in Form: Download the form using the below link and return by mail with a check payable to ProCognis, Inc. per the form.

Download Jump Start Order form Excel spreadsheet (31KB)

Ordering Information - Financial Services Edition

CD Delivery: Add $39.95 S&H (and Sales Tax for California Orders) to the purchase price. The Jump Start edition annual service is $599 and includes up to three hours of remote email assistence and software updates.

There are three ways to complete the order for CD shipment:

1. Online payment: use the PayPal Buy Now button to purchase the Tool and pay via PayPal/credit card.

2. FAX Form: Download the form using the below link and FAX to +1 (800) 706-2905. We will then enclose an invoice with your Tool.

3. Mail-in Form: Download the form using the below link and return by mail with a check payable to ProCognis, Inc. per the form.

Download Jump Start Order form Excel spreadsheet (31KB)

Financial institutions may also be interested in our FDICIA Compliance Tool. This is a related product but aimed at the specific requirements for FDICIA compliance.

Not directly subject to Sarbanes-Oxley, but still looking for a product to help document and test internal controls? Try our Internal Control Compliance Tool which is designed for private companies, government agencies and non profits.

Also, see the Tool Comparison sheet for a side-by-side comparison between the Tools and their respective applications. Also, if you are just looking for simple but powerful testing tool, please see our Sample Selection Tool.