Process-Level Control

The following 113 items are listed by Content Data.
Checklists & Questionnaires

Financial Close Process Questionnaire

This sample questionnaire can be used by auditors to analyze and enhance the financial close process.
Mon, Oct 24, 2022
Methodologies & Models

Legal Spend Management Capability Maturity Model (CMM)

This capability maturity model can be used to measure the maturity of an organization’s legal spend management process a...
Subscriber Content
Mon, Sep 12, 2022
Checklists & Questionnaires

Accounts Receivable Internal Controls Questionnaire

The two sample questionnaires in this document can be used to perform a control self-assessment of the accounts receivab...
Subscriber Content
Mon, Mar 21, 2022
Checklists & Questionnaires

Tax Process Questionnaire

The two sample questionnaires in this document focus on an organization’s tax process, including corporate income taxes,...
Subscriber Content
Mon, Mar 7, 2022
Risk & Control Matrices - RCMs

Manage Data Center Operations: Metadata Management RCM

This document outlines risks and controls common to metadata management in a risk control matrix (RCM) format.
Subscriber Content
Mon, Feb 28, 2022
Risk & Control Matrices - RCMs

Manage Data Center Operations: Reference and Master Data Management RCM

This document outlines risks and controls common to reference and master data management in a risk control matrix (RCM) ...
Subscriber Content
Mon, Dec 20, 2021
Risk & Control Matrices - RCMs

Manage Data Center Operations: Data Warehouse and Business Intelligence Management RCM

This document outlines risks and controls common to data warehouse and business intelligence management in a risk contro...
Subscriber Content
Mon, Dec 6, 2021
Benchmarking Tools

Transportation Risk Key Performance Indicators (KPIs)

This benchmarking tool is designed to help an organization improve its transportation function and assess performance on...
Subscriber Content
Mon, Nov 15, 2021
Risk & Control Matrices - RCMs

Manage Security and Privacy: Manage Security Configurations RCM

This document outlines risks and controls common to managing security configurations during the security and privacy man...
Subscriber Content
Mon, Sep 27, 2021
Audit Programs

Application Audit Work Program

This tool includes three audit program samples that can be used by organizations to evaluate and improve business unit a...
Subscriber Content
Mon, Aug 23, 2021
Checklists & Questionnaires

Sarbanes-Oxley Policy Evaluation Checklist

This tool provides points to consider when conducting an organization’s Sarbanes-Oxley (SOX) policy evaluation.
Subscriber Content
Mon, Aug 2, 2021
Checklists & Questionnaires

​Sarbanes-Oxley Testing Documentation Questionnaire

This tool includes questions to consider when documenting Sarbanes-Oxley (SOX) testing procedures, results and recommend...
Subscriber Content
Mon, Jul 19, 2021