Intermediate
SOX control narrative and walkthrough script for a process
Builds a control narrative and walkthrough interview script for a specified process (e.g., revenue, AP). Ideal for SOX teams documenting processes and testing design effectiveness.
Create a SOX/COSO control narrative and walkthrough script for the {process_name} process.
Inputs:
- Process description: {process_description}
- Systems used and key reports: {systems_and_reports}
- Key roles: {key_roles}
- Identified risks: {identified_risks}
- Existing controls list (if any): {existing_controls}
Deliver:
1) Narrative: process overview, key steps, systems, handoffs.
2) Walkthrough script: questions by step, evidence to request, red flags.
3) Risk-control matrix: risk, control, frequency, nature, owner, evidence, COSO component.
4) Design effectiveness conclusion points and potential gaps.
Write in a format suitable for workpapers.Related Prompts
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