Prova Resources

Pre-populated control matrix for mid-market SOX ITGC — 85 controls across five core families mapped to PCAOB AS 2201 §.39 characteristics.

A starter control matrix for a 650–900 emp PE portco covering access management (22 controls), change management (18), ITGC operations baseline (16), configuration management (14), and logging/monitoring (15). Each row pre-populated with control objective, risk addressed, test procedure, evidence type, frequency, and AS 2201 paragraph alignment. Editable XLSX plus structured YAML for ingestion into evidence platforms. Framework-tag columns emit overlapping SOC 2 TSC CC6/CC7/CC8 mappings.

Format

XLSX + YAML + 12-page methodology PDF

For

Controllers, Internal Audit Directors, IT Audit Managers at 300–1,500 emp mid-market finance teams

Paired with

PCAOB AS 2201 Control Testing for IT General Controls (ITGC)

18-month pre-IPO SOX readiness roadmap for 300–1,500 emp companies with monthly milestones, external auditor coordination points, and 404(a)-to-404(b) transition sequence.

A month-by-month checklist covering the 18-month runway from decision-to-file through post-IPO 404(b) attestation. Covers control scoping (months 1–3), SSP/walkthrough drafting (months 3–6), IA function staffing and vendor selection (months 4–8), external audit partner walkthrough dry-run (months 8–11), 404(a) testing cycles (months 11–18), S-1 filing window (months 15–18), and 404(b) transition (post-IPO). Each milestone includes deliverables, decision gates, and risk indicators.

Format

Markdown + XLSX timeline + 24-page readiness playbook PDF

For

Controllers, Internal Audit Directors, CFOs at 300–1,500 emp companies 12–24 months from S-1

Paired with

SOX Automation for PE Portfolio Companies in 2026

Quarterly audit cadence template for PE-backed 300–1,500 emp portcos balancing sponsor operating-partner reviews, external audit firm timing, and IA function capacity.

A planning template that sequences control testing, walkthrough execution, deficiency remediation, sponsor quarterly reviews, and external audit coordination across a four-quarter cadence. Calibrates IA function hours against the control population and identifies capacity bottlenecks before they surface as PCAOB inspection risk. Includes sponsor reporting framework for SOX deficiency surfacing at operating-partner quarterly meetings.

Format

XLSX + 18-page cadence methodology PDF

For

Controllers, Internal Audit Directors, PE Operating Partners at portfolio companies

Paired with

Internal Audit Team Size to Controls Ratio Benchmark for 300–1,500 Emp Companies (2026 Data)

Production-grade scripts and queries for automating user access reviews across Okta, Workday, NetSuite, and AWS IAM — the starter kit for replacing quarterly UAR spreadsheet cycles.

A library of tested queries, reconciliation scripts, and documentation covering the five most common SOX access review scenarios: role-entitlement alignment, orphan account detection, terminated-user access verification, privileged access review, and segregation of duties at the entitlement level. Includes Okta API queries, Workday HRIS reports, NetSuite SuiteScript, AWS IAM Python scripts, and a reconciliation pattern that produces evidence-grade output suitable for external audit walkthrough. All code is read-only — no write-back to source systems.

Format

Git repository with Python 3.12+ + TypeScript Node.js scripts, README + 16-page deployment guide PDF

For

Internal Audit Directors, IT Audit Managers, SOX IT Auditors at mid-market companies

Paired with

Continuous Control Testing for SOX: A Primer on What Agents Can (and Can't) Do in 2026

Architectural specification for a continuous control monitoring dashboard that satisfies PCAOB AS 2201 §.39 evidence characteristics while providing executive-level SOX program visibility.

A 32-page specification covering the dashboard data model, evidence schema, visualization components, drill-down patterns, and external auditor read-only access architecture. Includes entity-level, control-family-level, and control-level views with deficiency surfacing, reasoning trace exposure, and framework-tag filtering (SOX / SOC 2 / DORA / CMMC 2.0 / ISO 42001). Designed for implementation by internal engineering teams or integration with platform vendors.

Format

Markdown spec + Figma mockups + 32-page architectural document PDF

For

Internal Audit Directors, Chief Audit Executives, IT Architects building or evaluating continuous monitoring platforms

Paired with

Continuous Control Testing for SOX: A Primer on What Agents Can (and Can't) Do in 2026

Board-grade audit committee deck template with calibrated content for PE portcos, public microcaps, and multi-entity mid-market — covering SOX program status, deficiency trends, regulatory-scope changes, and 404(b) readiness.

A template deck (20 slides) sequenced for quarterly audit committee meetings at 300–1,500 emp companies. Covers executive summary, SOX program status (by control family), deficiency surfacing and remediation, control-testing coverage metrics, external auditor coordination, regulatory-scope changes (DORA, CMMC 2.0, EU AI Act, SOC 2), and forward-quarter priorities. Includes variants for PE portco (sponsor operating-partner audience), public microcap (public audit committee), and multi-entity (parent-level roll-up).

Format

PPTX + Keynote + Figma + 14-page facilitation guide PDF

For

Controllers, CFOs, Internal Audit Directors, Chief Audit Executives preparing for audit committee reviews

Paired with

AuditBoard Alternatives for the 300–1,500 Employee Tier: An Honest 2026 Comparison