IT Support Service Desk Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s IT support service desk management process and to assist its progress from the initial/ad-hoc state toward the optimized state.
Guidance for Documenting Test Results: Sarbanes-Oxley Section 404
This guide outlines steps to complete when documenting SOX Section 404 test results. The steps specifically describe how to set up a standard process for referencing work papers, documenting test results, documenting control remediation, and filing work papers.
Risk Assessment Workshop Guide: Facilitation Tips
This guide provides tips and tricks that can be used when facilitating a risk assessment workshop. These tips are organized to guide you through the high-level phases of a risk assessment discussion and provide insight into the facilitator’s role for this process.
Updated Audit Report
Accounts Payable Proposed Standardization Procedures Report
This sample audit report provides an overview of an organization's current accounts payable process and outlines proposed process improvements.
Tax Compliance Process Internal Control Questionnaire
This sample questionnaire can be used to assess the internal controls related to a company’s tax compliance process. It focuses on deferred taxes, income tax, tax footnotes and property taxes.
Sales Order Entry Questionnaire
This sample questionnaire is designed to document a review of the sales order entry process. This process focuses on evidence of an arrangement, delivery, price and fees, international requirements, and collections.
Supply Chain Risk Questionnaire
This sample questionnaire document offers several questions to consider when evaluating supply chain risk.
Pre-Audit Self-Assessment Questionnaire
Use this questionnaire before an audit kickoff meeting to elicit input from the auditee(s) and to help focus the audit. The questionnaire covers areas such as policies and procedures, reporting requirements and control issues.
Is Your Board Focused on the Right Risks? Board Perspectives: Risk Oversight, Issue 117
This issue of Board Perspectives: Risk Oversight highlights they key points defining our road map for strengthening the board’s risk oversight in today’s complex and unpredictable marketplace.