CPE Webinar: Taking RPA to the Next Level
Register now for our May 14 webinar, where we will share details on the overall survey results and insights, including top challenges for adopting RPA and lessons learned from executives worldwide.
IT General Controls Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s IT general controls and to assist its progress from the initial/ad-hoc state toward the optimized state.
IT Governance Diagnostic Memo
This sample memo serves as a report of an internal audit function’s high-level assessment of the company’s IT governance function.
UPDATED AUDIT REPORTS
Program Management Office Initiative Report
This audit report sample outlines an organization's plan for reviewing the expectations and process of establishing a project management office program.
Internal Audit Qualitative Diagnostic Report
This audit report sample can be modified and utilized to present the results of an internal audit department evaluation to the audit committee, particularly following the quality assessment review process.
Preliminary Controls Assessment Questionnaire: Fixed Assets
This sample questionnaire can be presented to managers or process owners before conducting an audit. It is intended to help the internal audit department understand existing business processes and management’s view of the internal control environment.
Entity-Level Controls Monitoring Questionnaire
Monitoring is a process that assesses the quality of the entity's internal control performance over time. This template provides a number of COSO elements and the related control objectives for entity level controls. Within the questionnaire you can document items such as whether the control exists; whether it was designed properly; related test procedures; and management action plan for deficiencies.
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.
FAQ: Understanding the General Data Protection Regulation
Organizations have many questions about the General Data Protection Regulation (GDPR), and in response, Protiviti has developed this GDPR Readiness FAQ to help organizations understand, prepare for and operate under the GDPR.
2019 RPA Survey Podcast
One of the biggest topics organizations are currently working to address is how to employ robotic process automation (RPA). For this podcast, Protiviti's Kevin Donahue sat down with Managing Directors Tony Abel and Evan Campbell to discuss the hot topic of RPA in the context of the results of the 2019 RPA Survey.
HOT ISSUE ARTICLES
Armed with Artificial Intelligence, Hackers and the Guardians of IT Square Off on a New Digital Battleground
This article explores the virtual ‘‘battle of the bots’’ between cyber thugs and those tasked with blocking their invasions, which is only going to accelerate, given the pace of technological advances and the skyrocketing number of interconnected digital devices.
Back Off, Inefficiencies: Conquering Chaos in the Back Office Is Closer Than You Think
This article explains how a hard-working team of internal resources and external partners can apply their respective expertise to not only clean up the chaos of an organization’s back finance office operation, but also rebuild the structures that may have toppled.
Legacy Core Systems Outlook: Advancing Technologies Are Hastening the Necessity to Modernize
This article summarizes key points from Protiviti’s recent white paper on the disruptive influence that the cloud and APIs have had on the financial industry and offers additional insights on the topic.
Managed Fixed Assets: Maintenance RCM
This document outlines risks and controls common to the asset acquisition component of the “maintenance” process in a risk control matrix (RCM) format.
@ISACA Volume 9
This edition of ISACA's newsletter discusses auditing Amazon Web Services, meeting consumers’ demand for data privacy, and more. Source: isaca.org
New DOJ Guidance Confronts "Effectiveness" of Compliance Programs
The U.S. Justice Department issued new guidance detailing how prosecutors will evaluate the effectiveness of corporate programs to prevent fraud and other misconduct, a key consideration in determining the penalties imposed against companies. Source: law.com
TOP 5 PAGES ON KNOWLEDGELEADER
These were the most popular items on KnowledgeLeader last week:
- Internal Audit Performance Measures Key Performance Indicators (KPIs)
- Segregation of Duties Questionnaire: Financial Controls
- ISO 27001 Information Security Assessment Report
- Inventory Policy
- Segregation of Duties Questionnaire: Accounts Receivable