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Model

Vendor Management Capability Maturity Model (CMM)

This capability maturity model can be used to measure the maturity of an organization’s vendor management process and to assist its progress from the initial/ad-hoc state toward the optimized state.

Updated Work Program

Fixed Asset Accounting Review Audit Work Program

This audit program reviews the adequacy and efficiency of current capital asset management policies and procedures as they relate to asset procurement, tracking and monitoring, recording and reporting, disposal of assets, and depreciation.

Updated Audit Report

Corporate Treasury Review Audit Report

This sample internal audit report illustrates treasury review objectives, scope and procedures performed. It includes a sample of treasury review observations and management implementation plans that address these issues.

Updated Questionnaires

Financial Close Process Questionnaire: Generate Financial Statements and Disclosures

This questionnaire focuses on the financial close process, specifically generating financial statements and related disclosures.


Entity-Level Control Environment Questionnaire

This questionnaire template provides a number of COSO elements and the related control objectives for entity-level controls. Within the questionnaire, you can document whether the control exists, whether it was designed properly, related test procedures, and management's action plan for deficiencies.


IT Capacity and Scalability Risk Questionnaire

This questionnaire outlines business risks and leading practices for both capacity and scalability in the IT business environment.


Enterprise Risk Assessment Process Questionnaire

This questionnaire addresses key issues that boards and management should consider as they evaluate their confidence in the organization’s enterprise risk assessment process.

Updated Request for Proposal

Request for Proposal: Establishing an Internal Audit Function

This sample request for proposal (RFP) is used to solicit services to establish an internal audit function. It discusses the standard information providers should include in their proposals.

Article

Managing Risk in an Agile Organization

This article shares Protiviti’s perspective and philosophy on establishing leading practices for ensuring that risk management is designed appropriately to keep pace with agile organizations.

June 17, 2019

Hot Issue Articles

Top Risks 2019: Anxiety Grows Over ‘‘Born Digital’’ Competitors

In this article, Protiviti Managing Director Jonathan Wyatt explains what organizations need to do to obtain a true digital mindset.


Pursuing Next-Gen Business Opportunities With Better Data Governance

This article provides an overview of data governance as an essential business exercise, presents some strategic opportunities it will enable, and discusses key data governance considerations.


Cyber Risk Assessment: Moving Past the ‘‘Heat Map Trap’’

In this article, Protiviti Associate Director Vince Dasta offers a clear path to implementing a risk assessment program that is authentically quantitative and in which confidence is justified.

Featured Links

@ISACA Volume 11

This edition of ISACA's newsletter discusses risk analysis, how to view your cybersecurity program holistically, how to implement continuous oversight and monitoring of your enterprise’s cloud services, the results of Protiviti and ISACA's 2019 IT Audit Benchmarking Study, and more. Source: isaca.org


Internal Auditors’ Response to Disruptive Innovation

This report identifies 10 of the most current innovations and disruptions occurring in the business environment; explores how internal audit functions are responding (or not responding) to this disruption; and provides best practices for internal audit functions of all sizes to respond to disruptions, individually or as a whole, in a proactive manner. Source: theiia.org

KnowledgeLeader Blog Post

How to Evaluate Your Corporate Culture

Internal auditors often talk about the “tone at the top” – the idea that corporate culture begins with the example set by senior management. But while conduct at the top is where it all starts, it does not end there. This week's blog post explores how to evaluate the corporate culture at your company.

Featured KLplus CPE Training Course

Internal Control Over Financial Reporting: Understanding Section 404 of Sarbanes-Oxley

This basic-level training provides an overview of Section 404 of the Sarbanes-Oxley Act of 2002. The completed course is worth 0.5 CPE credit.

Did You Know?

Entity-Level Control Topic

KnowledgeLeader has over 80 pieces of content focused on entity-level controls. So, what are you waiting for? Come explore our publications and tools!

CCH Tax and Accounting - Accounting Research Manager Updates

Weekly Summary of Accounting, SEC, and Auditing Developments

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