Entity-Level Control

The following 30 items are listed by Content Data.

Risk Assessment Guide

This tool contains four guides that can be used by auditors to understand and improve their risk assessment process.
Mon, Mar 13, 2023

Guide to Implementing a Self-Assessment Program

In this tool, we have included three guides that outline the best-practice elements and processes related to developing ...
Mon, Nov 21, 2022
Audit Reports

Entity-Level Controls Assessment Report

This document contains two sample audit reports that can be used to document management’s assessment of internal control...
Subscriber Content
Mon, Nov 16, 2020
Audit Programs

Monitoring Entity-Level Controls Audit Work Program

This document contains two sample programs that include general steps organizations can use when performing an entity-le...
Subscriber Content
Mon, Sep 14, 2020
Checklists & Questionnaires

Control Rationalization and Cost-Effectiveness Questionnaire

This tool highlights questions to consider when implementing and measuring an organization’s cost-effectiveness and cont...
Subscriber Content
Mon, Jun 8, 2020
Methodologies & Models

Business Self-Assessment Methodology

This tool provides an overview of the business self-assessment process and includes four components of business self-ass...
Subscriber Content
Mon, Dec 9, 2019
Checklists & Questionnaires

Sarbanes-Oxley Sustainable Compliance Questionnaire

This questionnaire addresses how organizations can make Sarbanes-Oxley compliance sustainable while improving business p...
Subscriber Content
Mon, Jan 21, 2019

SOX IT Testing Planning Memo

This memo captures details for SOX IT testing, including objectives, project scope, transaction types, key risks, coordi...
Subscriber Content
Mon, Aug 13, 2018

Corporate Culture: Are You Curious Enough?

In issue 12 of The Bulletin, Protiviti explores the question, “Are organizations curious enough to really understand all...
Subscriber Content
Mon, Jul 30, 2018

An Involved and Agile IT Audit Function Is Key to Cybersecurity

This article lists some questions for you to consider as you seek greater IT audit agility to manage cybersecurity and a...
Subscriber Content
Mon, May 21, 2018
Policies & Procedures

Sarbanes-Oxley Section 404 Management Testing Plan Policy

This sample policy helps to summarize management’s approach to plan, organize, execute, document and support its assessm...
Subscriber Content
Mon, Sep 11, 2017
Audit Reports

Entity-Level Risk Assessment Audit Report

This sample IT risk assessment audit report presents findings from an entity-level risk analysis review.
Subscriber Content
Mon, Jul 10, 2017