Process-Level Control

The following 92 items are listed by Content Data.
Policies & Procedures

Business Continuity Management Policy

This sample policy contains guidelines and procedures employees should follow when developing, maintaining and exercisin...
Tue, Jan 17, 2023
Guides

Internal Controls and Shareholder Value Guide

This sample provides an overview of internal controls and how they help with creating shareholder or stakeholder value.
Tue, Jan 3, 2023
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
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 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
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
Checklists & Questionnaires

Root Cause Analysis Questionnaire

This questionnaire can be used by organizations as a starting point for sourcing the root causes of problems or risks.
Subscriber Content
Mon, Jul 5, 2021
Checklists & Questionnaires

Process-Level Analytics Questionnaire

This sample questionnaire explains the benefits of using analytics tools to monitor and enhance process-level monitoring...
Subscriber Content
Mon, Oct 12, 2020
Policies & Procedures

Finance End-User Computing Policy

This document contains two sample policies that provide guidelines and procedures for reviewing an organization’s financ...
Subscriber Content
Mon, Jun 15, 2020