Entity-Level Control

The following 37 items are listed by Content Data.
Guides

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
Guides

Risk Assessment Guide

This tool contains three guides that can be used by auditors to understand and improve their risk assessment process.
Mon, Oct 31, 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

Entity-Level Controls Information and Communication Questionnaire

This questionnaire template provides a number of COSO elements and their related control objectives for entity-level con...
Subscriber Content
Mon, May 27, 2019
Audit Reports

Sarbanes-Oxley Year-End Audit Committee Report

This sample report to the audit committee focuses on the progress of an organization's Sarbanes-Oxley Section 404 progra...
Subscriber Content
Mon, Apr 29, 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
Memos

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
Newsletters

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
Articles

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