Tools
The following tools were published on KnowledgeLeader this week:
Risk Assessment Facilitation Guide
Today’s economy requires companies to identify and respond more quickly to changing risk profiles. This guide can be used by auditors to facilitate a risk assessment workshop.
Guide to Implementing a Self-Assessment Program
Self-assessment is a process in which organizations utilize their internal knowledge to identify and assess uncertainties and the extent to which current practices are sufficient and appropriate. In this tool, we have included three guides that outline the best-practice elements and processes related to developing and maintaining a self-assessment program.
Enterprise Risk Management Project Plan Guide
Enterprise risk management (ERM) requires clear risk management goals and objectives. It aligns strategy, processes, people, technology and knowledge for the purpose of evaluating and managing risks. This guide can be used during the planning phase of implementing ERM across an organization.
IT Operations Policy
The purpose of this policy is to establish requirements for supporting effective information system operations while minimizing service interruptions. According to this policy, incidents must be logged in an approved ticketing system used to track the resolution of all incidents.
Email Policy
This document contains two sample email policies that provide guidelines and procedures for understanding and following an organization’s email use process. Due to the changing regulatory environment, organizations should continuously update this policy to ensure documentation reflects business operations and compliance with relevant regulations.
Dispute Resolution Policy
This dispute resolution policy provides an effective problem-solving and dispute resolution process, which every employee can utilize without concern for reprisal or recrimination. It is a vehicle by which employees may lodge complaints or express concerns to management about their employment relationships.
Payroll/Human Resources Audit Work Program
The two sample work programs included in this document are intended to help you develop your own work program to identify and mitigate compliance risks, improve compliance with applicable laws and policies, and protect your employees and your assets.
Publications
KnowledgeLeader has also published several publications this week.
Three Essential Security Considerations for Your SAP S/4 Implementation
SAP S/4 implementations can and do bring improved operational efficiency to organizations, but only if they get their implementations right. This article highlights the essential elements of planning SAP S/4 implementation efforts.
Modernizing Legacy Infrastructure to Increase Competitiveness: The Board’s Role
Based on the results of a recent global survey of board members and C-suite executives, the rapid speed of disruptive innovation ranks among the top risk issues for organizations over the next decade. This article summarizes how boards can increase agility and sustain the company’s innovation and transformation journey successfully over the long term.
Reshaping Loan Servicing Compliance
Servicers in lending organizations are challenged with navigating economic headwinds that are pushing delinquency- and default-rate projections higher. This whitepaper explores how servicers can address the growing set of regulatory asks and sharpen their focus on operational efficiency.
Recommended Resources
This list of recommended resources from the web may be of interest to you. Click each link to learn more.
- Four Questions CFOs Need to Ask Before Q3
- Four Steps to Transform Supply Chain Management Amid Today’s New World Order
- SEC Proposals Address Risk Management for Clearinghouses