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Setting the Audit Committee Agenda for 2018

Protiviti recently published a suggested 2018 agenda of items audit committees should consider over the next twelve mont...

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Topics: Financial Reporting, Intellectual Property, Revenue, Training & Development, Compliance, Laws & Regulations, Audit Committee & Board, Risk Assessment, Internal Controls, PCAOB

Articles

Are You a Biotech Company Eyeing an IPO? Be Sure to Assess These 3 Areas First

This article outlines three specific areas that biotech companies should thoroughly assess when deciding whether to go p...

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Topics: Initial Public Offering, Intellectual Property, Investments & Foreign Exchange, Performance Management/Measurement, Self-Assessment, IT Strategy

Articles

Maintaining Staffing Equilibrium With a Flexible Workforce

Historically, accounting has been a straightforward function. However, leaders in finance and accounting may find that t...

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Topics: Accounting/Finance, Change Management, Close the Books, Culture, Financial Reporting, Human Resources, Intellectual Property, Performance Management/Measurement, Corporate Governance, Financial Services Industry

Newsletters

Ransomware: Analyzing Risk and Protecting Critical Assets

In this issue of Board Perspectives, we provide four ways boards can respond strategically to ransomware exposures.

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Topics: Audit Committee & Board, Business Continuity Management, Performance Management/Measurement, Intellectual Property, Compliance, Culture, Cybersecurity

Audit Programs

Product Development Audit Work Program

This sample product development audit program includes risk analysis, special and operational considerations, and evalua...

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Topics: Cost Management, Internal Audit, Sales Process & Marketing, Intellectual Property, Inventory & Materials Management, Supply Chain, Strategic Risk, IT Audit, Audit Testing

Checklists & Questionnaires

Record Retention Questionnaire

This tool helps to assure that records are retained in compliance with any regulatory record retention requirements and ...

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Topics: Compliance, Document Retention, Governance Risk & Compliance, Intellectual Property, Internal Controls, IT Controls

Audit Reports

Security Policy and Procedure Evaluation Report: Data Security

This report records the results of an evaluation of data security policies and procedures. This report format that can b...

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Topics: Audit Reporting, Intellectual Property, IT Audit, IT Security, Data Security, Privacy

Audit Reports

Business Partner Royalty Audit Report

This sample audit report covers business partner agreement compliance and includes a review of company compliance relate...

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Topics: Accounting/Finance, Credit & Collections, Revenue, Internal Audit, Audit Reporting, Intellectual Property

Policies & Procedures

Disclosure of Private Data Policy

This sample policy outlines procedures for the disclosure, protection and transfer of a company's private data.

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Topics: Intellectual Property, Knowledge Management, Data Security, Identity and Access Management, Privacy

Audit Programs

Direct Deposit of Royalty Payments Audit Work Program

This audit work program focuses on determining whether the sensitive information collected for the direct deposit of roy...

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Topics: Accounting/Finance, Internal Audit, Change Management, Intellectual Property, Audit Testing

Process Flows

Contract Management Process Flow

Contract management consists of the steps taken to request and approve consulting, royalty and other service contracts. ...

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Topics: Supply Chain, Internal Audit, Audit Testing, Change Management, Internal Controls, Process-Level Control, Intellectual Property, Inventory & Materials Management

Audit Reports

Intellectual Property Process Audit Report

This audit report shares findings from a review of a company’s patents, trademarks and trade secrets processes.

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Topics: Audit Reporting, Enterprise Risk Management, Intellectual Property, Risk Assessment

Policies & Procedures

Confidentiality Policy: Sample 3 (Healthcare)

This policy outlines a set of procedures to protect patients' right to privacy, to protect confidential information...

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Topics: Training & Development, Laws & Regulations, Healthcare & Pharmaceuticals Industry, Intellectual Property, Internal Controls, Ethics

Policies & Procedures

Research and Development Expense Policy

Research and development expenses include the conceptual formulation, design and testing of product alternatives, constr...

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Topics: Accounting/Finance, Financial Reporting, Healthcare & Pharmaceuticals Industry, Manufacturing & Distribution Industry, Intellectual Property

Audit Reports

Third-Party Licensing Process Audit Report

This audit report reviews the processes utilized by a company to comply with third-party licensing agreements.

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Topics: Intellectual Property, Vendor Management, Internal Audit, Audit Reporting

Guides

Social Media Risks Guide

This document can be used as a guide for identifying and mitigating social media risks within an organization.

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Topics: Intellectual Property, Communications Industry, Internal Audit, Data Security, Physical Security, Privacy, IT Infrastructure

Policies & Procedures

Acceptable Use Policy

This tool contains two sample policies that establish standards and procedures organizations should follow for governing...

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Topics: Privacy, Intellectual Property, IT Controls, Ethics, IT Audit, Enterprise Resilience

Policies & Procedures

Email Policy

This document contains two sample policies that provide guidelines and procedures for understanding and following an org...

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Topics: Fraud, Intellectual Property, Internal Controls, Privacy, Human Resources, Training & Development, Data Security

Policies & Procedures

Confidentiality Policy

This tool includes three sample policies that highlight guidelines and procedures for maintaining the confidentiality of...

Subscriber Content

Topics: Intellectual Property, Corporate Governance, Reporting/Disclosure, Privacy

Audit Reports

Risk Assessment and Internal Audit Plan

This tool contains three sample reports that detail results from an annual risk assessment designed to help organization...

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Topics: Audit Planning, Cash & Treasury, Intellectual Property, Payroll, Accounts Payable & Purchasing, Supply Chain, Internal Audit, Audit Committee & Board, Governance Risk & Compliance, Risk Assessment, Strategic Risk, Section 404-Internal Control Reporting

Benchmarking Tools

Intellectual Property Risk: Key Performance Indicators (KPIs)

This tool defines core risks and key performance indicators related to an organization's intellectual property (IP)...

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Topics: Enterprise Risk Management, Risk Assessment, Strategic Risk, Intellectual Property, Performance Management/Measurement, Data Security

Policies & Procedures

End-User Information Security Background Policy

This policy sample establishes guidelines and procedures common to use of all company information technology systems.

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Topics: Human Resources, Intellectual Property, Privacy, IT Security, Cybersecurity

Policies & Procedures

Internet Usage Policy

This tool includes four sample policies that define a company’s guidelines and procedures related to employee use of the...

Subscriber Content

Topics: Intellectual Property, Fraud, Internal Audit, IT Audit, IT Security, Privacy, IT Governance

Guides

Work Papers Guide: You Are as Good as Your Work Papers

Work papers are documents produced during an audit engagement. These papers are formally referred to as audit documentat...

Topics: Business Continuity Management, Audit Reporting, Quality Assessment Review, Internal Audit, Intellectual Property, Training & Development

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