Public Company Readiness: Getting Ready for Prime Time Before the Market Does
In this issue of The Bulletin, we focus on certain aspects of the IPO preparation process, including the need for a rea...
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Business Ethics Questionnaire
This questionnaire is designed to help risk management professionals determine how well their companies are addressing b...
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Internal Audit Qualitative Diagnostic Report
This audit report sample can be modified and utilized to present the results of an internal audit department evaluation ...
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Internal Audit Activity Report: External Quality Assessment
This audit report sample focuses on the external quality assessment review (QAR) conducted for a company’s internal audi...
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Pre-Audit Self-Assessment Questionnaire
Use this questionnaire before an audit kickoff meeting to elicit input from the auditee(s) and to help focus the audit. ...
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Update Testing: Control Self-Assessment Questionnaire
This questionnaire helps to assess if the controls are operating effectively within a business unit.
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General IT Controls Review: Passwords Questionnaire
This tool provides questions to consider while reviewing general IT controls password standards.
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Healthcare Provider Baseline Controls Assessment Questionnaire
This tool provides questions to consider for assessing and improving the controls in different business processes.
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Quarterly Disclosure Controls Assessment Questionnaire
The purpose of this questionnaire is to facilitate the quarterly assessment of controls surrounding the financial report...
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Guide to Prioritizing Using the Nominal Group Technique
This guide allows a group to rank a list of options or ideas in order of importance in a group meeting or brainstorming ...
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IT Application Management Self-Assessment Questionnaire
This high-level self assessment questionnaire can be used by an auditee prior to a review of IT application management.
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IT Operations Management Self-Assessment Questionnaire
This tool is a high-level self-assessment questionnaire for use by an auditee prior to reviewing an organization’s infor...
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Control Self-Assessment Questionnaire: Financial Reporting and General Ledger
This sample helps a company determine whether its established controls for financial reporting and the general ledger ar...
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Facilitated Meetings Guide
This guide discusses ground rules, meeting purpose statements and techniques for building agreements. It also provides s...
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Business Continuity Management Self-Assessment Questionnaire
This a self-assessment tool to use prior to a review of the business continuity management process. It gives the auditee...
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An Effective Way to Conduct a Risk Assessment Guide
This guide outlines and compares various options and approaches to conducting an effective risk assessment.
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Self-Assessment Process Questionnaire: Process Owner Accountability
This questionnaire provides a format to evaluate current self-assessment practices and identify areas for improvement.
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SOX Self-Assessment and Self-Testing Guide
This guide provides instructions to companies performing a self-assessment and self-testing for Sarbanes-Oxley complianc...
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Assessing Effectiveness of a Process or Program Guide
This sample guide can be used to evaluate the design effectiveness of a process or program and to develop a subsequent t...
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Human Resources Internal Controls Questionnaire
This questionnaire can be used as a checklist of the basic controls for Sections 302 and 404 of the Sarbanes-Oxley Act. ...
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Healthcare Management Planning Risk Assessment Questionnaire
This questionnaire is intended to be sent to managers throughout an organization in order to gather opinions on a number...
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Audit Committee Questionnaire: Auditor Effectiveness
This tool discusses questions to consider for soliciting internal audit performance feedback from members of the audit c...
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Self-Assessment Sample Session Guide
This guide focuses on a discussion document that can be used to facilitate a business self-assessment meeting.
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Do Not Call Registry Policy
This sample policy ensures that all rules and regulations related to telemarketing are complied with and nothing is done...
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