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Featured Webinars

2020 Sarbanes-Oxley Compliance Survey

In this webinar, Protiviti and Audit Board will present relevant data points and insights on today's environment of Sarbanes-Oxley compliance.

How Should You Communicate with Customers During a Crisis?

Register for this CPE webinar to learn about how a company manages through this period will be remembered not only by a company’s employees, but also by its customers.

Performer Profile

Synchrony: Investing in a Data-Driven, Digital Future for Internal Audit

In this profile, Synchrony Executive Vice President and Chief Audit Executive of Internal Audit Mark Martinelli shares his team’s efforts to help evolve a more real-time assurance model for Synchrony.

Audit Report

IT Internal Audit Report

This sample audit report discusses steps auditors can use when conducting an information technology (IT) audit.

Benchmarking Tools

Manage Inventories Key Performance Indicators (KPIs)

This benchmarking tool outlines the leading practices for effective inventory management.

Warehouse and Storage Key Performance Indicators (KPIs)

This tool outlines leading practices and key performance indicators for the warehouse and storage process.

Questionnaires

Sarbanes-Oxley (SOX) Sections 302 and 404 Integration Questionnaire

This tool highlights questions to consider when preparing and reviewing integrated policies for Sarbanes-Oxley Sections 302 and 404.

Inventory Management Questionnaire

This detailed questionnaire is organized into the following categories: forecasting requirements to match the marketplace demands, utilizing technology and electronic organization and automation, ensuring accuracy of inventories, optimizing supply bases, and management tactics and controls.

Risk Oversight and Risk Management Questionnaire

The purpose of this questionnaire is to help boards and management think about how they can develop a deeper knowledge of the risk oversight and risk management processes.

Memo

Data Governance Audit Scoping Memo

This sample memo serves as a report of an internal audit function’s high-level assessment of the company’s data governance function.

Model

IT Governance Capability Maturity Model (CMM)

This document focuses on the capability maturity model for the IT governance process.

Audit Analytics Article

Decade of Data: Trends in Audit Fees Across Europe

In this article, Audit Analytics examines 10 years of annual audit and non-audit fee trends of companies listed on regulated and select unregulated exchanges in the European Economic Area (EEA).

Hot Issue Articles

Section 1135 Waivers: “Patients Over Paperwork” Does Not Mean NO Paperwork

This article summarizes the "Patients Over Paperwork" initiative and identifies six key actions that can be taken to help maintain proper documentation and tell a meaningful COVID-19 story.

In Latest Operational Resilience Proposals for UK Institutions, Regulators Outline Expectations for Outsourcing Arrangements and Third-Party Risk Management

This article outlines the Prudential Regulation Authority’s (PRA) significant proposal, which provide the strongest indication yet that global regulators are moving in the right direction.

The 2020 Audit Committee Agenda: Asking the Right Questions

This article discusses seven key questions audit committees should consider for enhancing the context of their risk oversight activities in 2020.

Featured Links

U.S. Federal Buildings Put Away the Welcome Mat as Coronavirus Hits

The U.S. Congress, Supreme Court and White House closed their doors to much of the public on March 8, 2020, to minimize health risks as the coronavirus spreads across the United States. Source: Reuters.com

U.S. Companies Announced 633 Job Cuts From Coronavirus So Far

This article covers the first tally of American job losses at global placement firm Challenger, Gray and Christmas from what has mushroomed into a global pandemic. Source: Reuters.com

Featured KLplus CPE Training Course

Process Mapping to Understand and Document Processes

This course will provide an overview of process mapping, including its business utility and guidelines for creating and understanding different types of process maps. The completed course is worth 1.2 CPE credits.

Featured Premium Content

Support End Users RCM

This document outlines risks and controls common to the ‘‘support end users” process in a risk control matrix (RCM) format.

KnowledgeLeader's Greatest Hits

Process Classification Scheme (PCS)

The Process Classification Scheme (PCS) is a framework used by Protiviti that can be utilized to organize information about a company according to relevant business and/or industry processes.

Did You Know?

Fraud Topic

KnowledgeLeader has over 125 tools and publications related to fraud in our database, and they are all right at your fingertips. Check out our Fraud Topic Page to explore all of the fraud content available to you.