Step 1 of 6: Identity
Sarbanes-Oxley (SOX)
Certification: Sections 302, 404 & 906 CoreEach quarter, before the CEO and CFO certify the periodic report.
The "SOX 302 Certification" workflow has 6 steps, in this order: Step 1 Identity, Step 2 Certification, Step 3 Chain, Step 4 Changes, Step 5 Fraud, Step 6 Audit. Steps must be completed in order; each unlocks the next.
Sarbanes-Oxley Act Sections 302/404/906; PCAOB AS 2201; COSO 2013
6 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 6
ScreenSarbanes-Oxley (SOX)step 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Domain entity ID (required)
entityIdThe organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.
Fiscal period (required)
fiscalPeriodEnter fiscal period.
Fiscal year (required)
fiscalYearEnter fiscal year.
Step 2 of 6
ScreenSarbanes-Oxley (SOX)step 2
Complete the Certification fields. Each value is validated against the schema before the next step unlocks.
Section (required)
certificationSectionEnter section.
Certifying officer (required)
certifyingOfficerRoleSec 4.2 — individuals certify, not roles. CEO and CFO each certify personally.
Certifying officer name (required)
certifyingOfficerNameSec 4.2 — a representation carries a NAMED PERSON. The role is who they were; the name is who knew.
Step 3 of 6
ScreenSarbanes-Oxley (SOX)step 3
Complete the Chain fields. Each value is validated against the schema before the next step unlocks.
Sub-certification chainoptional
chainLinksEnter sub-certification chain.
Representation as ofoptional
representationAsOfAn issue discovered after this date is not covered by it.
Step 4 of 6
ScreenSarbanes-Oxley (SOX)step 4
Complete the Changes fields. Each value is validated against the schema before the next step unlocks.
ICFR changes this quarteroptional
icfrChangesThisQuarterAsked, not awaited. A system migration reported here re-opens scoping under
The ICFR-change question was put to the certifieroptional
icfrChangeQuestionAskedAn empty list means "asked and none" only if the question was asked. Otherwise it means nothing.
Step 5 of 6
ScreenSarbanes-Oxley (SOX)step 5
Complete the Fraud fields. Each value is validated against the schema before the next step unlocks.
Fraud involving management or significant-ICFR-role employeesoptional
fraudReportedRaised in `fraud-risk` under , where it carries NO materiality threshold. Recorded here because the 302 certification discloses it.
Step 6 of 6
ScreenSarbanes-Oxley (SOX)step 6
No manual input is captured here: this step is completed from the preceding sections or by the platform.
No manual inputs in this step.
Continue with the next guide in this framework's table of contents.
The "SOX 404(a) Management Assertion" workflow has 7 steps, in this order: Step 1 Identity, Step 2 Blockers, Step 3 Applicability, Step 4 Basis, Step 5 Disclosure, Step 6 Invalidation, Step 7 Audit. Steps must be completed in order; each unlocks the next.
Read guide Certification: Sections 302, 404 & 906The "SOX Disclosure Controls and Procedures" workflow has 7 steps, in this order: Step 1 Identity, Step 2 Period, Step 3 Scope, Step 4 Escalation, Step 5 ICFR, Step 6 Findings, Step 7 Audit. Steps must be completed in order; each unlocks the next.
Read guide Certification: Sections 302, 404 & 906The "SOX Section 906 Certification" workflow has 6 steps, in this order: Step 1 Identity, Step 2 Basis, Step 3 Gap, Step 4 Signature, Step 5 Invalidation, Step 6 Audit. Steps must be completed in order; each unlocks the next.
Read guide