The following 394 items are listed by Content Data.
Articles
Future of Sustainability and ESG Standards With Janine Guillot, Value Reporting Foundation CEO
Protiviti’s Bob Hirth and Value Reporting Foundation CEO Janine Guillot sat down to discuss the agenda of the ISSB and t...
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Articles
Attack Operational Inefficiencies to Align With Strategy and Optimize Costs
This article lists the issues created by a lack of process knowledge and efficiency and shares how organizations can opt...
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Methodologies & Models
IT General Controls Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s IT general controls and to assis...
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Articles
Value Chain to Blockchain: AWS Energy Solutions Lead on Scope 3, “Data Obesity” and a Decarbonized Future
Protiviti sat down with Shy Muralidharan, worldwide energy solutions lead with Amazon Web Services, to discuss the futur...
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Articles
Sanctions Enforcement: A New Era
A look at the advances in sanctions enforcement in the U.S., the EU and the U.K. and how finance firms can reposition th...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2022 And 2031: Future of Work – The Defining Business Challenge of the Next Decade
This report contains critical short- and long-term considerations for boards and executives, based on the results of Pro...
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Newsletters
Finding Stability and Opportunity Amid Economic Uncertainty
This issue of Board Perspectives explains how directors and management can focus on the fundamentals during these intere...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2022 and 2031
This report provides insights about top risks for the short term — 2022 — and the long term — 2031 — from survey respond...
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Articles
Protiviti-Oxford Survey: Executives Say Emerging Technologies Will Add Jobs Over the Next Decade
A staggering 88% of global business executives say AI will be key for a “radical transformation” of their company over t...
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Policies & Procedures
Information Technology (IT) Security Policy
This document contains three sample policies that establish guidelines an organization should follow to ensure that its ...
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Newsletters
Get Into the Quantum Game: Use Cases Are Emerging
In this issue of Board Perspectives, we suggest four ways boards can start planning for quantum computing.
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Articles
Skyscrapers Circa 2030: What's Their Place in the Future City?
Here, we discuss the future of cities in 2030 and explore how skyscrapers are an important part of the conversation.
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Newsletters
Ensuring Technology Fluency in the Boardroom
In this issue of Board Perspectives, we provide six ways boards can ensure technology fluency and be technology-engaged.
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Newsletters
The Top Risks for the Next Decade: A Global Perspective (2022)
In this issue of Board Perspectives, we summarize seven key takeaways from our ninth annual risk survey and rank the hig...
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Articles
The Russian Sanctions: A Catalyst for ESG?
A look at some of the key challenges across the ESG dimensions and how finance firms can shape a more robust and mature ...
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Articles
Protiviti's Claire Gotham and Tyler Chase on Powering the City of the Future
As IoT grows exponentially, data platforms will become more important in ensuring that the energy needed to run a city i...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2021 and 2030: Chief Audit Executive Results
This report recaps the top risks CAEs should keep in mind over the next decade, according to the results of Protiviti’s ...
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Benchmarking Reports
2022 Internal Audit Capabilities and Needs Survey
The results of our latest Next-Generation Internal Audit Survey reveal that two out of three internal audit functions wo...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2021 and 2030: Private-Equity Owned Company Results
This report outlines the top risks PE-owned firms need to know moving forward, based on the results of Protiviti’s Execu...
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Newsletters
The Top Risks for 2022: A Global Perspective
This issue of Board Perspectives summarizes eight key takeaways from the 2021 Executive Perspectives on Top Risks Survey...
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Checklists & Questionnaires
IT Change Management Process Questionnaire
Use the questions included in this tool to ensure that all changes to IT resources and infrastructure configurations are...
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Methodologies & Models
Change Management Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s change management process and to...
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Newsletters
Determining the Digital Investment Question in the Boardroom
This issue of Board Perspectives provides six ways boards can assess a company’s level and velocity of digital investmen...
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Newsletters
Is Your Company Part of the Energy Revolution?
This issue of Board Perspectives explains how non-energy company boards can better prepare for the energy revolution.
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Regulatory Updates
Developments at and During COP26: The Second Week
In this Flash Report, we summarize developments during the second week of the UN Climate Change Conference of the Partie...
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Audit Programs
Enterprise Resource Planning (ERP) Post-Implementation Review Audit Work Program
This audit program sample provides best-practice general steps for an enterprise resource planning post-implementation r...
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Regulatory Updates
Developments at and During COP26: The First Week
In this Flash Report, we offer suggestions for companies to consider in the aftermath of the first week of the UN Climat...
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Checklists & Questionnaires
Site Planning and Review Checklist
This sample checklist serves as a working document that can be used by auditors to determine whether all site visit task...
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Articles
Building a Comprehensive Data Privacy Program
Protiviti offers advice on how companies can both formalize and improve data privacy practices, including a four-step ap...
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Benchmarking Tools
IT Change Management Leading Practices
This tool features leading practices that can be used to evaluate and improve an organization’s IT infrastructure.
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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...
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Benchmarking Tools
Enterprise Security Key Performance Indicators (KPIs)
The purpose of this tool is to encourage dialog and help an organization assess the state of its network security. Areas...
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Articles
Recharging Your Agile Transformation
This article, part five in a five-part series, explores how to determine preparedness for an agile transformation and ho...
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Newsletters
Lessons From the Pandemic: Crisis as a Catalyst for Innovation
This issue of Board Perspectives recaps a discussion from a recent NACD event on the significance of agility as an impor...
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Articles
Transforming Delivery Through Value Streams
Protiviti's Evan Campbell and Sofia Hansen discuss how organizations can achieve the benefits of value streams by implem...
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Articles
CFPB Ready for Heightened Enforcement
How finance firms can prepare for the CFPB’s forthcoming supervisory activities throughout 2021 and beyond.
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Articles
Program Management as a Service — Transforming the PMO Through a Scalable Service Model
In this article, we illustrate why organizations should use a PMaaS solution to execute and transform all critical areas...
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Articles
Skills and Scale — The New Finance Labor Model Proves Its Real-World Value
Here, we discuss the results of Protiviti's 2020 Finance Trends Survey and offer steps CFOs and finance leaders can take...
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Newsletters
The Future Workplace: Getting It Right
This issue of The Bulletin suggests four areas that will present important differentiators for success in articulating a...
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Articles
Business Continuity Programs: Beware of Complacency
Protiviti Managing Director Matthew Watson outlines the looming danger of post-COVID complacency.
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Articles
Managing Connected Devices in Today’s Evolving Business Environment
A look at how a managed service approach, developed in conjunction with IT, can be used to maintain an entire device lif...
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Articles
Seven Key Factors to a Successful PMO Transformation
Protiviti’s Joe Breithaupt and James Eick discuss the drivers behind PMO evolution and identify what factors a PMO must ...
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Articles
How Firms Can Tackle Technology Risk Blind Spots to Build Resilience
Protiviti’s Ewen Ferguson and Hirun Tantirigama identify common critical technology risks and illustrate what organizati...
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Charters
IT Change Advisory Board Charter
This sample provides key roles and responsibilities for creating an IT change advisory board charter.
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Articles
The Three C’s of a Quality Cloud Audit
This article outlines Protiviti's comprehensive cloud audit approach, which is based on leading practices and frameworks...
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Guides
Data Analytics and Audit Coverage Guide
This document includes two sample guides that can be used for understanding and leveraging an organization’s data analyt...
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Articles
As Tech CFOs Escalate Return-to-Office Strategies, Opportunities to Innovate Abound
Here, we outline what the technology industry is doing to execute a safe and smooth return to the workplace.
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Articles
Excellence Starts at Home: Why CEOs Should Hold Functional Leaders Accountable for Serving Their Internal Customers
Protiviti Associate Director Michael Allenson explains why the internal customer experience (iCX) should be more popular...
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Articles
Counting on Cycle Counts? A Re-Think May Be in Order
To ensure the reliability of cycle counts and stave off the necessity for a full wall-to-wall inventory count at year-en...
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Benchmarking Reports
2021 Internal Audit Capabilities and Needs Survey
For most internal audit groups, the next-generation audit journey is just beginning. The results of our 2021 Internal Au...
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Job Descriptions
Director of IT Project Management Job Description
This sample job description summarizes the responsibilities, key selection criteria and general information for the role...
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Articles
Changes to Accounting Standards Offer Transformational Opportunities for Insurers, With Extended Time to Implement
This article shares how insurers can take advantage of the FASB’s deferred compliance dates to transform key business fu...
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Articles
To Meet Today’s Challenges, CAEs Must Stay Focused on Next-Gen Internal Audit Practices
This article explains how audit leaders can initiate and maintain next-generation capabilities in today's dynamic enviro...
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Articles
A Tale of Two Crises — Hurricane Preparedness in the Midst of COVID-19
The business continuity guidelines outlined in this article can be applied beyond oil and gas companies and to any organ...
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Articles
Know Your Customer: It’s All About Risk
This article offers valuable KYC tips and lists several questions AML compliance officers can address to redirect their ...
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Benchmarking Tools
Manage Improvement and Change Key Performance Indicators (KPIs)
This tool features key performance indicators an organization should use to manage enterprisewide change and improvement...
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Articles
Architecting Your Cloud Infrastructure for Failure (and Resilience)
This article notes five keys to architecting for failure that firms should consider to meet the evolving threat and regu...
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Benchmarking Tools
IT Performance Risk Key Performance Indicators (KPIs)
This tool outlines leading practices and questions for organizations to consider when evaluating IT performance.
Subscriber Content
Performer Profiles
Milaha: Challenging the Status Quo, Including From Within
In this profile, Milaha Chief Internal Auditor Asem Alnaser explains how his team has used the right internal systems an...
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Articles
Post-Pandemic Real Estate Strategies: It Pays to Be Nimble
This article offers several work-from-home strategies organizations can use to remain agile in a post-COVID world.
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Regulatory Updates
SEC Indicates Greater Interest in Climate Change Disclosures
This Flash Report identifies five proactive steps companies should take to evaluate how their climate-related disclosure...
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Articles
Top of Mind Compliance Issues for 2021 – The AML Act of 2020
This article summarizes many key provisions from the Anti-Money Laundering Act of 2020 that should be top of mind for ma...
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Articles
The Critical Importance of Employee Well-Being in the Time of COVID-19
In this article, we offer some ideas for organizations looking to ensure the physical, emotional and social health of em...
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Benchmarking Tools
Benchmark Performance Key Performance Indicators (KPIs)
This tool outlines key performance indicators and process steps organizations should follow when benchmarking.
Subscriber Content
Articles
Furlough Planning: An Art and a Science Supported by Technology and Sound Change Management
This article outlines the benefits of furlough planning and provides questions senior leaders should consider as they sh...
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Performer Profiles
Olympus Corporation: ‘‘T’’ Is for Transformation ... and Team
In this profile, Richard Lebitz, global chief internal audit officer at Olympus, summarizes his internal audit team’s fi...
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Articles
Fintechs and Regulatory Compliance — A Happily Ever After?
Protiviti’s Owen Strijland shares his insights on how fintechs can overcome the AML challenges related to becoming PSD2-...
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Benchmarking Tools
Measure Organizational Performance Key Performance Indicators (KPIs)
This tool includes key performance indicators and questions organizations should consider when evaluating their performa...
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Performer Profiles
Rabobank: An Appetite for Audit Innovation
In this profile, Rabobank Global Head of IT Risk and Continuity Management Klaas Leendert Leijendekker explains how his ...
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Audit Programs
Systems and Data Audit Work Program
This sample work program can be used by auditors to identify and mitigate risks associated with an organization’s critic...
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Newsletters
The Top Risks in 2021: A Global Perspective
This issue of Board Perspectives shares some of the key takeaways from the 2021 Executive Perspectives on Top Risks surv...
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Benchmarking Tools
Apply Best Practices Across the Organization Key Performance Indicators (KPIs)
This tool defines leading practices and questions to consider related to implementing and maintaining best practices acr...
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Articles
Automating Revenue — Healthcare Revenue Cycle Quick Wins Amid COVID-19
This article explores the benefits of automation and identifies opportunities healthcare organizations can use to improv...
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Articles
Executing Successful Transactions: Key Considerations for Buyers
In this article, we discuss best practices that will improve the chances of a successful merger or acquisition (M&A)...
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Newsletters
Unleash the Power of Adhocracy in the Face of Emerging Risks
This issue of Board Perspectives offers six suggestions from an NACD report outlining how management can foster a risk-s...
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Policies & Procedures
IT Change Management Policy
This document contains multiple sample policies that provide an overview of procedures organizations should perform duri...
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Newsletters
Setting Sights on Digital Transformation and Innovation
This issue of Board Perspectives spotlights an NACD Master Class discussion about how boards and their companies can bes...
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Newsletters
Dispel the Myth of ‘‘Fit’’: Improve Diversity on Your Board
In this issue of Board Perspectives, we provide six suggestions for making demonstrable progress in improving diversity ...
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Articles
Getting to Resilient: Re-Imagining Crisis Management and Business Continuity Planning in a New Reality
This article provides an overview of operational resilience and identifies key concepts organizations should consider wh...
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Articles
Cloud Oversight in Financial Services: Understanding Responsibility and Control
This article explains how internal audit functions can provide ongoing assurance on their institutions’ use of cloud com...
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Articles
Harnessing Intelligent Automation to Increase Resilience
This article explains how intelligent process automation (IPA) can help companies manage costs and increase resilience f...
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Articles
Get Ready to Resume Elective Procedures and Surgeries
This article highlights the current procedural and surgical process and includes key considerations healthcare professio...
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Articles
LIBOR Transition During the Pandemic: Is Your Program Management Office Ready to Take on the Challenge?
This article provides an overview of the LIBOR migration journey and offers key strategies PMOs can use to benefit their...
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Benchmarking Tools
Warehouse and Storage Key Performance Indicators (KPIs)
This tool outlines leading practices and key performance indicators for the warehouse and storage process.
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Articles
Assessing Risk in Dynamic Times: Challenge Brings Opportunity to Internal Audit
This article summarizes what businesses and auditors need to plan for right now, as well as ‘‘next’’ and ‘‘eventually.’’
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Newsletters
Operational Resilience Gets a Makeover in the ‘‘New Normal’’
This issue of Board Perspectives discusses the board’s role in overseeing operational resilience in the post-pandemic wo...
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Articles
SOX Compliance Under COVID-19: The Show Must Go On (Part 1)
Part one of this two-part discussion uncovers the challenges of maintaining the full rigor of internal control requireme...
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Articles
Taking Physical Inventory While Working Remotely — A Unique Challenge in Manufacturing
This article explores what has changed the inventory process during the COVID-19 era and shares how companies can adapt ...
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Articles
Lessons Learned from COVID-19: A Discussion for Board Members
This article outlines the remaining questions from Protiviti’s webinar discussion about ways board members can adjust to...
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Articles
Transparency, Empathy, Consistency, Frequency – Keys to Crisis Communications
This article recaps key takeaways from a Protiviti webinar discussion, focusing on best practices for communicating with...
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Articles
Process Analytics Provides Edge in Coping With Pandemic-Stricken Supply Chains
This article highlights key strategies and tactics companies should employ both now and in the future as they look towar...
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Articles
Re-Entry Considerations for Finance as Companies Begin to Re-Open
This article determines what measures the financial services industry must take to identify and operationalize process i...
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Benchmarking Reports
2020 Finance Trends Survey Report
Protiviti’s latest Global Finance Trends Survey Report highlights how CFOs are committed to ongoing finance transformati...
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Articles
Compliance Assurance During the Time of COVID-19 – And Beyond
This article uncovers the economic challenges the financial services industry is facing and identifies how finance firms...
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Articles
New SOX Survey: COVID-19 Environment Further Drives Need for Greater Automation and Technology Adoption for Compliance Processes
This article outlines some of the most significant results from Protiviti’s 2020 Sarbanes-Oxley Compliance Survey, which...
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Articles
Rethinking Offshoring? Ideas to Consider as Momentum for Nearshoring Builds
In this article, Protiviti’s Bernie Donachie and John F. Weber discuss the challenges of outsourcing in the new economy ...
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Newsletters
Going Digital: The Future Auditor in Action
This issue of The Bulletin offers a compendium of some of the best practices obtained from mining the respective journey...
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Policies & Procedures
Delegation of Authority Policy
This tool contains two sample policies that outline standards and procedures related to assigning authority within an or...
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Articles
Opportunities Abound in Pandemic Re-Emergence Planning
This article uncovers what opportunities are available to organizations looking for ways to re-emerge from the pandemic ...
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Articles
So You Had a Plan…Resetting the Technology Portfolio to Align With the Re-Emergence Strategy
This article describes the challenges of the new economy and offers steps the PMO should take to create a technology por...
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Articles
A Finance Labor Model Tailor-Made for Navigating Crises
This article details the challenges finance leaders have faced during COVID-19 and explains what makes a managed service...
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Articles
Further Measures From the Bank of England to Support LIBOR Transition
This article outlines the Bank of England’s continuous efforts to “turbo-charge sterling LIBOR transition,” including tw...
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Articles
The Future of Privacy Regulations: Coping With a Complex and Evolving Landscape
This article explains what companies can expect from privacy regulations and how to go about creating a data privacy pro...
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Articles
Leading Remote Teams in Times of Uncertainty
This article provides a checklist with leading practices and tips for organizations looking to develop more effective re...
Subscriber Content
Protiviti Booklets
A Guide to Business Continuity Management – Top 15 Frequently Asked Questions (July 2020)
Organizations have many questions about business continuity management (BCM), and in response, Protiviti has developed t...
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Benchmarking Reports
2020 Internal Audit Capabilities and Needs Survey
This report contains results from Protiviti’s latest Internal Audit Capabilities and Needs survey of chief audit executi...
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Articles
Moving Finance to the Cloud: What Finance Leaders Need to Know
This article summarizes the importance of cloud migration and provides insight finance leaders need to execute their mig...
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Articles
Assembling a New Labor Model in the Manufacturing Industry: Four Innovations to Consider
This article describes the workforce challenges of the manufacturing industry and provides four approaches that should b...
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Articles
Risk Realities and Enterprise Risk Management in 2020
This article offers a list of questions that provides a bird’s-eye view of where your organization is in terms of ERM an...
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Articles
Economic Conditions, Digital Adoption and Talent Shortage Headline the Top Risks List for Tech Companies in 2020
This article highlights the top risks technology, media and telecommunications (TMT) organizations should keep in mind d...
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Articles
Innovating AML Compliance: The Next Regulatory Imperative?
This article explains how regulatory expectations around innovation will continue to evolve and drive leading anti-money...
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Performer Profiles
Delta Air Lines: Process First, Tools Second
In this profile, Brandi Thomas, vice president of corporate audit at Delta Air Lines, outlines how her team has added va...
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Newsletters
Is Your Board Digitally Savvy?
This issue of Board Perspectives focuses on why boards should possess the digital savviness needed to support the CEO’s ...
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Checklists & Questionnaires
SWOT Analysis Questionnaire
This tool contains two sample documents that provide questions organizations should consider when analyzing their streng...
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Newsletters
Getting There Eventually: Finding Equilibrium in Uncertain Times Part 2 — Resilience is the North Star
This issue of The Bulletin is the second of a two-part discussion on the challenge of finding equilibrium amid the coron...
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Articles
Telehealth — The Game Has Changed
This article outlines why healthcare services professionals will continue to see telehealth as a viable option for provi...
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Newsletters
What Directors Should Be Asking Right Now
This issue of Board Perspectives: Risk Oversight poses 10 questions meriting consideration for most industries during th...
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Articles
Your Healthcare Organization’s Lifeline — A Business Continuity Plan
This article takes a closer look at how organizations can be fully prepared to weather the current COVID-19 pandemic, as...
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Newsletters
COVID-19: Paradigm Shift in the Boardroom
This issue of Board Perspectives discusses five megatrends directors should keep in mind that can impact an organization...
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Newsletters
Getting There Eventually: Finding Equilibrium in Uncertain Times Part 1 — Build on Your Strengths
This issue of The Bulletin is the first of a two-part discussion on the challenge of finding equilibrium after unprecede...
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Checklists & Questionnaires
System Development Life Cycle Questionnaire
This tool contains two sample documents that highlight questions to consider when creating and measuring an organization...
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Articles
Automation — Healthcare’s Next Great Workforce
This article outlines several changes for healthcare organizations to incorporate and identifies key areas that serve as...
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Articles
Remote Workforce Challenges — Managing Employee Productivity
This article discusses agile methodology practices to track time and provides helpful tips for structuring a workday and...
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Performer Profiles
Zain Group: The Front Lines of Internal Audit Innovation
In this profile, Zain Group Chief Internal Auditor Venkatesh Jandhyala focuses on his team’s strategic transformation in...
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Articles
An Intelligent Workplace Can Help Finance Leaders Navigate the COVID-19 Turbulence and Future Disruptions
This article shares the top five 2020 financial services industry risks and describes what methods finance leaders need ...
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Articles
COVID-19 Affects Transaction Agreement for L Brands, Inc.
In this article, Audit Analytics examines the effects of COVID-19 on retailer L Brands, Inc. (known for its stores Victo...
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Performer Profiles
TD Bank Group: Assigning a Human Face to Internal Audit Transformation
In this profile, TD Bank Group’s Vice President and Global Head of Audit Strategy and Transformation Michael Pagan outli...
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Articles
The CARES Act: Understanding Expectations for Healthcare Providers
This article articulates why the CARES Act, signed into law on March 27, 2020, clearly amplifies that healthcare is ‘‘to...
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Articles
Gender Diversity Can Aid Cybersecurity: CISO Panel Suggests Keys to Greater Female Participation
This article expands on the key takeaways from the Women Leaders in Cyber Security discussion panel of chief information...
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Articles
Next-Gen Risk Management
This white paper looks at the essential components and risks of artificial intelligence (AI) and outlines key actions or...
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Articles
Succession Planning in Finance: Sourcing the Next Generation of Leaders
This article explains why today’s finance leaders are compelled to adapt their succession planning approaches and offers...
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Articles
CECL and the New AICPA Practice Aid (Part 2): Financial Statement Presentation and Enhanced Financial Statement Disclosures
Part two of our CECL discussion will drill down into requirements intended to ensure that financial statement presentati...
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Articles
Internal Audit Applications of AI: It Doesn’t Have to Be Complicated to Be Effective
This article takes a closer look at how internal audit organizations can get started with AI methods and offers a specif...
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Articles
Make ESG Part of the Public Company Readiness Checklist — Your Valuation Could Depend on It
This article describes how environmental, social and governance (ESG) reporting could move over time to becoming a must-...
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Articles
The Implications of COVID-19 on Power and Utility Services
This article outlines what considerations utility organizations should be weighing to adapt and develop the aptitude to ...
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Articles
Utilizing Technology to Streamline Documentation, Coding and Billing Requirements of COVID-19 Cases
This article explores the new ICD-10-CM code expedited by the Centers for Disease Control and Prevention (CDC) due to th...
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Articles
Section 1135 Waivers: “Patients Over Paperwork” Does Not Mean NO Paperwork
This article summarizes the "Patients Over Paperwork" initiative and identifies six key actions that can be taken to hel...
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Performer Profiles
Synchrony: Investing in a Data-Driven, Digital Future for Internal Audit
In this profile, Synchrony Executive Vice President and Chief Audit Executive of Internal Audit Mark Martinelli shares h...
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Articles
After the Virus: Reassessing and Future-Proofing Your Business From a Customer Experience Perspective
This article describes a plan for enhancing customer-focused strategies and identifies six key actions companies can tak...
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Articles
SOX Risk Assessment in the Time of COVID-19
This article discusses six key considerations a company should take when performing its Sarbanes-Oxley (SOX) risk assess...
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Checklists & Questionnaires
Executive Sponsorship Change Management Questionnaire
This tool outlines questions to consider for effectively managing all essential elements of organizational change in an ...
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Newsletters
COVID-19’s Workplace Disruption: A Test of Board Resiliency
This issue of Board Perspectives: Risk Oversight provides 10 suggestions for board members to consider as CEOs and organ...
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Articles
BlackRock’s Larry Fink Draws Another Line in the Sand — The Message Is Getting Clearer
This article covers important points from Protiviti’s recent Flash Report on BlackRock Chairman and CEO Larry Fink's mos...
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Articles
RPA Deployments Remain Untapped Opportunities for Oil and Gas Companies
This article provides some insight on why it’s time for energy and utilities firms to consider kicking their robotic pro...
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Performer Profiles
Capital One: Transforming Digitally and Operationally to Become an ‘‘Industry Beacon’’
In this profile, Capital One Chief Technology Auditor and Managing Vice President, Technology Audit, Innovations and Ana...
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Checklists & Questionnaires
Change Recognition Process Questionnaire
This tool outlines questions organizations should consider when implementing a robust change recognition process.
Subscriber Content
Articles
LIBOR Transition: Preventing History From Repeating Itself
This article describes the financial markets’ preparedness to replace the London Interbank Offer Rate (LIBOR) and provid...
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Benchmarking Reports
A Look at Key IT Audit Issues: Six Focal Points for CAEs
This paper shares six items at the top of IT audit leaders’ growing priority lists that should resonate with CAEs, based...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2020: Healthcare Industry Group Results
This report illustrates the top risks healthcare organizations should keep in mind throughout 2020, based on the results...
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Articles
Getting Ready for the Threat of Cyber Warfare
This article explains the recent rise in malicious cyber activity directed at U.S. industries and government agencies an...
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Articles
RPA Offers a Fast and Cost-Effective Way to Automate Account Reconciliations
This article shares how one of the most labor-intensive finance department activities, robotic process automation, can o...
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Newsletters
Strategic Resilience: Are You Among the 30%?
This issue of Board Perspectives highlights some of the important points outlined in the National Association of Corpora...
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Articles
Artificial Intelligence and Internal Audit: A Pragmatic Perspective
In this article, we shed light on the basic elements of AI and provide some thoughts on how internal audit organizations...
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Articles
CECL and the New AICPA Practice Aid: What Audit Committee Members Need to Know (Part 1)
This article explores the Current Expected Credit Loss (CECL) accounting standard updates and introduces the AICPA’s Pra...
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Performer Profiles
NTT Communications: Enablers of Digital Transformation
In this profile, Masakazu Inori, communications team leader of legal affairs and internal auditing, discusses how his in...
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Articles
Changes to Auditor Independence Regulations: US vs. UK
This article reviews the anticipated changes proposed by the SEC and revised standards implemented by the Financial Repo...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2020: Energy and Utilities Industry Group Results
This report illustrates the top risks energy and utilities organizations should keep in mind throughout 2020, based on t...
Subscriber Content
Articles
Focused on Digital Transformation? Lead With People, Not Technology
This article explains why humans continue to be an essential element of company advancement and identifies five key step...
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Articles
In Transformations, People Are at the Heart of Success
This article describes the four stages of change management and offers suggestions on how finance leaders can promote a ...
Subscriber Content
Policies & Procedures
Policy and Practice Development Policy
This tool contains two sample policies that establish guidelines for the formulation, finalization and maintenance of an...
Subscriber Content
Guides
Capital Project Management Risks Guide
This document can be used as a guide to mitigating risks common to an organization’s capital project management process.
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Articles
FFIEC’s Updated BCM Booklet Highlights Operational Resilience Concepts
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Performer Profiles
Mitsubishi UFJ Financial Group (MUFG): Global Audit Transformation Unlocks Value
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Methodologies & Models
Capability Maturity Model (CMM)
The capability maturity model can be used to measure the maturity of an organization’s improved performance and to assis...
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Articles
Looking for Innovation? 10 Ideas to Help Companies Break the Mold
In this article, Protiviti’s Barbi Goldstein and Kevin Khan outline 10 ideas organizations should consider that can help...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2020: Consumer Products and Services Industry Group Results
This report illustrates the top risks consumer products and services firms should keep in mind throughout 2020, based on...
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Articles
Client Lesson #3: “Don’t Send Me Resumes, I Need a Partner”
This article is the third of a three-part series sharing what Protiviti and Robert Half learned from a recent CFO panel ...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2020: Financial Services Industry Group Results
This report illustrates the top risks financial services firms should keep in mind throughout 2020, based on the results...
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Articles
In Many Technology Firms, the “Tech Balance” Wave Is Building in the Finance Function
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Methodologies & Models
Project Management Methodology
This sample document can be used as a guide for understanding and reviewing an organization’s project management process...
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Performer Profiles
The Jardine Matheson Group: Creating Future Value Through Innovation
In this profile, Linda Chan, head of Group Audit and Risk Management at the Jardine Matheson Group, outlines her team’s ...
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Articles
With FASB Deadlines Finalized, a Final Checklist for CECL Readiness
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Newsletters
Board Oversight of an AI-Transforming Workplace
This issue of Board Perspectives highlights some of the important points and key takeaways outlined during Protiviti’s m...
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AI in the Technology Industry
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Benchmarking Reports
Executive Perspectives on Top Risks in 2020
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Lease Accounting Changes: The Journey So Far
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Newsletters
Revamping Risk Culture in the Digital Age
This issue of Board Perspectives: Risk Oversight focuses on why organizations might have to undertake more risk than the...
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Performer Profiles
Fidelity Investments: From Goodness to Greatness — Going All-In on Agile Auditing
In this profile, Jeffrey Jarczyk, executive vice president and chief auditor at Fidelity, explains how his team blends s...
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Articles
Internal Audit Leaders Adopt Agile Methods to Meet Next-Gen Audit Expectations
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Learning From Clients: ‘‘Fix What We Have’’
This article is the second of a three-part series sharing what Protiviti and Robert Half learned from a recent CFO panel...
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Healthcare Key Issues Bulletin: Issue No. 9
This industry bulletin highlights recent significant issues and changes within the healthcare industry and provides solu...
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Articles
With a Change in the Credit Cycle, a Rise in Special Assets Is Likely: Is Your Institution Prepared?
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Audit Programs
Database Audit Work Program
This sample audit program lists various security, change management and monitoring control activities and audit procedur...
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Articles
SOX Control Awareness and Communication Is One Way Organizations Can Help Reduce Costs and Hours
This article outlines some communication techniques organizations can use to reduce the total number of hours spent on S...
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Performer Profiles
DriveTime: Internal Audit Takes the Wheel on RPA
In this profile, Erik Rasmussen, managing director of internal audit at DriveTime, discusses how his internal audit team...
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Articles
Is Your Company Managing Data in the Cloud? Consider These Risks
This article outlines some of the most frequently ignored cloud-related risks organizations should consider and provides...
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The New Tech Balance: Innovation, Talent and Responsibility
This article outlines three necessary pillars of tech balance that can help tech companies thrive today and in the futur...
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Newsletters
The Purpose of the Corporation and the Future of Work
This issue of The Bulletin focuses on addressing the corporation’s role in shaping the future of work.
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Articles
Internal Auditing Around the World, Volume 15: Dawn of the Audit Bots
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Articles
Responsible Privacy: Is the Board Doing Its Part? — Protiviti Whitepaper
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New Finance Trends Survey by Protiviti Reveals a Strategic Shift in CFO Priorities
This article takes a closer look at the significant shift in priorities and activities for CFOs and senior finance execu...
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Newsletters
Responsible Privacy: Is the Board Doing Its Part?
This issue of Board Perspectives: Risk Oversight discusses some of the important points covered during Protiviti’s meeti...
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Performer Profiles
Deutsche Telekom: Stronger Connections — Internationalizing Internal Audit
In this profile, Maria Rontogianni, group audit and group risk governance senior vice president at Deutsche Telekom, dis...
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Better Together: CFOs Reveal the Challenges That a Blended Team of Experts Helped Them Overcome
This article is the first of a three-part series to share what Protiviti and Robert Half heard from CFOs who participate...
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Leaders in Audit: How the Financial Services Industry Is Applying Next-Gen Audit Practices
This article outlines the next-generation audit efforts employed by leading financial services industry organizations lo...
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The U.S.-China Trade War: What It Means for Manufacturers
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Capitalizing on Predictive Maintenance (PdM) Benefits in Manufacturing
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Performer Profiles
Country Road Group and David Jones: Influencing Stakeholders via Commercial Insights
In this profile, Mark Rogan, regional head of internal audit at Country Road Group and David Jones, highlights how his t...
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Benchmarking Reports
2019 Finance Trends Survey Report
Protiviti’s latest Global Finance Trends Survey Report highlights the top issues facing CFOs and finance leaders, includ...
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Articles
RPA or AI? To Achieve Most Automation Goals, You Need Both
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Newsletters
How Does Your Company Measure Up Against Digital Leaders?
This issue of Board Perspectives: Risk Oversight discusses five levels of digital maturity: digital skeptic, digital beg...
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Articles
New Staffing Strategies Can Help Finance Leaders Address Business Challenges
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Risk & Control Matrices - RCMs
Provide Financial Information to External Parties: Risk Reporting RCM
This document outlines risks and controls common to the risk reporting aspect of the “provide financial information to e...
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Articles
Energy and Utilities Companies Can Build an On-Ramp to the AI Fast Lane With Intelligent Automation
This article provides tips to help an organization create a road map that will lead them toward sustained innovation exc...
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How Artificial Intelligence Can Add Value to the Supply Chain
This article highlights the transformative potential of AI and suggests ideas that could lead organizations to a more in...
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Guides
PMO Interim Status Reporting Guide
This guide outlines the interim status reporting process set up by a project management office (PMO).
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Articles
Programs, Policies, Principles and People Can Move ‘‘Ethical AI’’ From a Nebulous Concept to a Meaningful Practice
This article describes four key areas organizations should consider for the ethical development and use of AI.
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Who Is Watching the Bots? Part Two: Operational Challenges and Solutions
Part two of our RPA discussion addresses several operational challenges related to security, change management and busin...
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For Technology Startups, Taking a Potentially Faster Path to Going Public Doesn’t Mean Skipping Critical Steps
In this article, Protiviti Managing Directors Gordon Tucker and Chris Wright explore the pros and cons of listing on the...
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Paving the Way for Sustainable RPA
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Newsletters
The Caremark Standard: Tough but Not Impregnable
This issue of Board Perspectives: Risk Oversight describes the background and implications of the Caremark decision and ...
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Articles
Advanced Data Mining Technologies and AI Can Aid Firms’ Transition from LIBOR to Alternative Risk-Free Rates
In this article, Protiviti Managing Directors Douglas Wilbert and Todd Pleune explain how replacing the LIBOR rate affec...
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Emerging Companies and Innovation for the Back Office
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Skills and Scale: Why Emerging Companies Must Innovate How They Resource Back-Office Functions
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How Emerging Technology Companies Can Win the War for Talent
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Checklists & Questionnaires
IT General Controls Questionnaire
This sample questionnaire provides several COBIT areas and related control objectives for each IT general control.
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Performer Profiles
Accenture PLC: Assessing Internal Audit’s Competencies of the Future Today
In this profile, Accenture Internal Audit Services Managing Director Kathy Perrott discusses how she uses advanced techn...
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Articles
Overcoming ERP Change Management Challenges: Part Two
Part one of this discussion with Protiviti’s Ronan O’Shea and Kathie Topel introduced some of the biggest challenges com...
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SEC Expected to Approve Reg BI in ‘‘the Next Few Months’’ but Final Outcome Remains Uncertain
In this article, Protiviti Managing Director Douglas Wilbert outlines the Securities and Exchanges Commission's standard...
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Articles
Three Risks and Opportunities for Technology, Media and Telecommunications Companies
This article takes a look at three risks that leaders of technology, media and telecommunications (TMT) companies will w...
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Bridging the Divide: Auditing Digital Risk
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Overcoming ERP Change Management Challenges: Part One
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Companies Could Use More CFO Insight, and CFOs Could Use More AI
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Newsletters
Is Your Board Focused on the Right Risks?
This issue of Board Perspectives: Risk Oversight highlights the key points defining our road map for strengthening the b...
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Articles
Energy and Utilities Firms Need to Prepare for a Digital Future
Protiviti Managing Directors Tyler Chase and Evan Campbell offer advice on how to recognize and take stock of the powerf...
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Articles
Corporate Social Responsibility: Are Tech Firms Doing Enough?
In this podcast transcript, Protiviti leaders Gordon Tucker, Jim DeLoach and Matt Moore discuss corporate social respons...
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Checklists & Questionnaires
IFRS Questionnaire
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Newsletters
Is Your Board Future-Ready?
This issue of Board Perspectives: Risk Oversight provides eight suggestions for preparing to be a future-ready board.
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Articles
You’ve Heard of Next-Gen Internal Auditing: Here’s a Look Inside
Here, Protiviti Managing Directors Andrew Struthers-Kennedy and Michael Thor explore the three themes internal audit fun...
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Ignoring Naysayers, Blockchain Forges Ahead in Bid to Restore Trust in Business and Government
This article from Protiviti’s Ed Page and Kevin Gray explores the possibilities of blockchain, providing guidance on dev...
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Making RPA Sustainable
Adhering to the three basic principles described in this article will help enterprises ensure that they can achieve and ...
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Your Firm Is Growing: Condolences About That Chaos in Finance
This article offers advice for managing the sharp acceleration in finance and accounting workload that inevitably comes ...
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Pursuing Next-Gen Business Opportunities With Better Data Governance
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A Clear and Broad View of Digital Transformation Can Create Long-Term Value for Manufacturing Firms
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Despite Slow Adoption, Companies Are Putting Artificial Intelligence on Fast Track, Protiviti Survey Finds
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Private Companies: Avoid Revenue Reckoning — Tackle Revenue Recognition Now
Although it is possible for private companies to wait until year-end to comply with new revenue recognition rules, this ...
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Newsletters
The Future Auditor Goes Digital
This issue of The Bulletin discusses the future auditor’s journey to a next-generation function.
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Articles
Chief Risk Officers on the 2019 Risk Landscape: Keep Calm, Carry On
Protiviti Managing Director Matthew Moore discusses the risks that proved to be top-of-mind for CROs in our 2019 Executi...
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Newsletters
Getting More from Internal Audit in the Digital Age
This issue of Board Perspectives: Risk Oversight focuses on two questions: Is internal audit adjusting quickly enough to...
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Articles
Insurance Accounting Changes Are Coming Globally, and a Coordinated Approach Is Best
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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...
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Finance Transformation: Change Management and Overcoming Resistance
Protiviti’s Ken Thomas and Kathie Topel explain how organizations can leverage effective people management during any tr...
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Checklists & Questionnaires
PMO Change Control Form
This change control form can be used to document the process of submitting system development requests to a project mana...
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Emerging Technology Companies: Create Your Game Plan Now for Going Public
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Memos
IT Change Management Review Memo
This sample memo summarizes the findings of an internal audit review of an organization’s IT change management process.
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Articles
Armed with Artificial Intelligence, Hackers and the Guardians of IT Square Off on a New Digital Battleground
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Articles
Back Off, Inefficiencies: Conquering Chaos in the Back Office Is Closer Than You Think
This article explains how a hard-working team of internal resources and external partners can apply their respective exp...
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Protiviti Booklets
FAQ: Understanding the General Data Protection Regulation
Organizations have many questions about the General Data Protection Regulation (GDPR), and in response, Protiviti has de...
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Legacy Core Systems Outlook: Advancing Technologies Are Hastening the Necessity to Modernize
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Benchmarking Reports
2019 Global RPA Survey
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Articles
Enhancing Security Strategy for Cloud-Based Technology
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Memos
System Conversion Review Memo
This memo summarizes the findings of an internal audit review of an organization’s system conversion process.
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Articles
A Guiding Principle for a Smooth Transition: Get Smart While Getting Things Done!
In this article, Protiviti Managing Directors Jim Ryan and Jay Thompson offer several best practices for a smooth acquis...
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Next-Generation Internal Auditing: Addressing Risk in the Midst of Rapid Change
At the 2018 SIFMA Internal Audit Society Annual Conference, Protiviti sponsored a breakout session of future-minded inte...
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Articles
The Responsible Tech Firm Series Part 4: Corporate Social Responsibility
Protiviti has published a four-part series on key considerations for the responsible technology firm of the future. This...
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Hamstrung by Technology: What Organizations Can Do Now to Address Technical Debt
Ed Page, a managing director with Protiviti’s Technology Strategy practice, provides his insights on the growing risk of...
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Why Organizations Should Consider a Cybersecurity Program Office
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Articles
Could Your RPA Implementation Team Be on Board Already?
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Ready for RPA? Five Implementation Risks to Keep in Mind
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Finance Trends: RPA Paves the Way for Process Improvement
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Articles
Recognizing the People Element in Data Security Implementations
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Trends in Tech: What Emerging Technology Firms Must Keep an Eye On
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Cloud Solutions in Healthcare Should Not Be Shunned, and Here’s Why
Many healthcare organizations resist innovations that could help them adapt more easily to today’s demands by patients a...
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Articles
The Responsible Tech Firm Series, Part 3: Preparing for the Regulatory Wave
Protiviti Managing Directors Gordon Tucker and Matthew Moore add to the insights offered in Part Three of Protiviti’s re...
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Articles
Success Factor: The People Side of Digital Transformation
Everybody knows that organizations are primarily made of people. Yet too often, the people side of digital transformatio...
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Transforming AML Compliance With Technology
In this article, Protiviti Managing Directors Shaun Creegan and Vishal Ranjane outline the critical steps to take toward...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2019: Healthcare Industry Group Results
Find out what risks and concerns the healthcare industry faces in 2019 in this summary report, based on the results of P...
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Articles
GDPR: Dealing With the Mandatory 72-Hour Breach Notification Requirement
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Top Risks 2019: CFOs Focus on People and Technology
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Articles
2018 Finance Trends: Security, Privacy and Governance of Finance Data Are Top Concerns, for Good Reason
Protiviti Managing Directors Ken Thomas and Scott Laliberte discuss the results of Protiviti’s most recent Finance Trend...
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Benchmarking Reports
2018 Global AI and ML Survey
This report paints a picture of how artificial intelligence and machine learning will dramatically change the face of bu...
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Articles
GDPR: Here’s What’s Happened So Far
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Benchmarking Reports
Executive Perspectives on Top Risks in 2019: Manufacturing and Distribution Industry Group Results
The results of Protiviti’s latest Executive Perspectives on Top Risks Survey suggest that manufacturing and distribution...
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Articles
GDPR and How It Affects Third-Party/Vendor Handling of Personal and Employee Data
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Preparing for the Acquisition Your CEO Hasn’t Announced Yet: Three Actions to Take Now
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Benchmarking Reports
Executive Perspectives on Top Risks in 2019: Technology, Media and Telecommunications Industry Group Results
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Managed Services Can Help Emerging Tech Firms Scale for Growth and Maintain Momentum
This article describes how managed services providers can help emerging technology businesses implement the processes th...
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How Is GDPR Enforced? Who Resolves Disputes? This Detailed Podcast Offers Answers
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Tech Firms Helped Shape the New Labor Model – But They Need to Keep Evolving Themselves
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Blueprint for Change: Digital Architecture Considerations
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Achieving a World-Class Finance Function by Reaching Outside the Box
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Blueprint for Change: How a Capability Reference Architecture Can Help Map the Road to Organizational Transformation
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Articles
To Reduce CX Risk, Make CX a Strategic Priority
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Benchmarking Reports
Executive Perspectives on Top Risks in 2019: Financial Services Industry Group Results
For financial services organizations, the years since the global financial crisis that began in 2008 have been marked by...
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Articles
Is Your Company Approaching Digital Transformation in the Right Way?
Protiviti Digital Leader Jonathan Wyatt explains the difference between a true transformation and what he calls a ‘‘digi...
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Navigating Third-Party Approaches to Meet Finance Team Needs
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Benchmarking Reports
Executive Perspectives on Top Risks in 2019: Energy and Utilities Industry Group Results
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Maintaining Staffing Equilibrium With a Flexible Workforce
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Newsletters
Oversight of Digital Transformation
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Articles
Modernizing Legacy Systems at Financial Institutions
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On the Road to Digital Transformation, One Map Does Not Fit All
It seems that everywhere one looks today, yet another organization is going through a digital transformation. In this ar...
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Why Internal Auditors Must Care About Blockchain
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CAQ’s New Cybersecurity Risk Management Oversight Tool: A Protiviti Analysis
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Newsletters
Is Technical Debt Limiting Your Company’s Competitiveness?
This article presents options to address technical debt and create an organization’s overall road map that is tailored t...
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Reality Check: Global Risks, Unexpected Opportunities on the Rise
This article explores some of the top risks impacting the World Economic Forum’s (WEF) five global risk categories – eco...
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The Journey to Implementation Continues
Under new requirements, credit losses under generally accepted accounting principles (GAAP) move from an “incurred” meas...
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Audit Reports
Technology Change Management Audit Report
This report discusses the results of a technology change management (TCM) process audit. The document offers insight int...
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Articles
Is Internal Audit Ready for Disruptive Innovation?
The rapid speed of disruptive innovation is now rated the top concern for senior executives and board members of Protivi...
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Managing the New Currency: Developing a High-Performing Data Management Organization
This article discusses a few things organizations should consider when analyzing their data management organizations (DM...
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Should All Energy Companies Be Planning for Blockchain?
All energy companies should begin examining what future benefits and disruptions blockchain might hold. This article out...
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Making Fintech Fit — Banks Weigh Risks, Rewards of Fintech
Forward-thinking banks are acquiring and partnering with fintech firms to survive and thrive in an increasingly tech-ena...
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A Rose by Any Other Name…Is Still a Rose
In this article, Protiviti Managing Director Scott Wisniewski discusses why you shouldn't forget about governance entire...
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Articles
Customer Experience Must Be at the Center of Digital Transformation Strategies
Customers have access to significant amounts of information about a company and the products it sells, and they are cons...
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Performer Profiles
Parkview Health System: Mining Integrated Data for Insights
Innovators look for opportunity in adversity. Parkview Health System found its opportunity in the electronic health reco...
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Women in Cybersecurity: A Vital Subset of the Women in Tech Movement
Women have played and continue to play a remarkable role as inventors, programmers, problem-solvers and strategy-setters...
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Going Digital? Make Data Strategy a Priority
This article provides guidance on what organizations should do in order to plan and implement a data strategy and also i...
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Performer Profiles
Digital Transformation Keeps Rising at Panera
In this profile, Panera Director of Internal Audit and Chief Auditor Peter Odman explains how his team finds new ways to...
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Articles
Internal Audit Capabilities and Needs Survey: The Analytics Imperative
In this article, Protiviti Managing Director Andrew Struthers-Kennedy explores one aspect of internal audit in need of a...
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Checklists & Questionnaires
IT Implementation Review Scoping Checklist
This checklist assists with the scoping of an application controls review and/or implementation review that covers both ...
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Articles
The Responsible Technology Firm of the Future: Corporate Social Responsibility
This article, part four of Protiviti’s four-part series, explores ideas to enhance corporate social responsibility by in...
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Benchmarking Reports
2018 Finance Trends Survey Report
As revealed in the results of Protiviti’s latest Finance Trends Survey, the standout priority for CFOs and finance leade...
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Articles
The Responsible Technology Firm of the Future: Market Forces
This article, part three of Protiviti’s four-part series, presents suggestions for maximizing the company’s innovative p...
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Reflections on London Tech Week
In this article, Gordon Tucker and Matthew Troupe note some of the hot topics discussed during London Tech Week and outl...
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Performer Profiles
Juniper Networks, Inc.: Audit Team Builds Guardrails, Not Roadblocks
In this profile, Juniper Global Internal Audit Vice President Joe Cooney explains how his team is using automated tools ...
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The Responsible Technology Firm of the Future: Part 1 of 4
This article provides a summary of and additional insights on Part 1 of Protiviti’s Responsible Technology series, which...
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Risk, Strategy, Culture: Internal Auditors Shoot for the Stars
While most people are uncomfortable going into areas that may challenge them, internal auditors need to get comfortable ...
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Audit Reports
IT General Controls Assessment Report
This sample report provides findings from a current IT general control framework review at a company.
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Newsletters
Oversight of Workplace Dynamics: Impact of Technology
New and emerging technologies will greatly influence—often by enabling and sometimes by making more complex—how companie...
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The Responsible Technology Firm of the Future: A Rapidly Changing and Unpredictable Landscape
This article, part one in a four-part series, focuses on the changing landscape that is altering the conversation at the...
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From Tried and True to Something New: The Energy and Utilities Industry Wrestles With Disruptive Innovation
In this article, Protiviti’s Tyler Chase explores how the energy and utilities industry is handling the risks associated...
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Performer Profiles
JPMorgan Chase & Co.: The Drive to Digital
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Newsletters
Oversight of Workplace Dynamics: The Labor Model
This issue of Board Perspectives: Risk Oversight explores the concept of the “shamrock organization” and provides a list...
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Articles
Innovation with a Capital “C” – Culture Concerns Climb for Technology, Media and Communications Companies in 2018
In this article, Protiviti’s Gordon Tucker describes the role culture plays in TMC companies’ ability to compete effecti...
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Articles
The Current State of Internal Audit Data Analytics
In this article, Protiviti’s Michael Thor explores some of the trends and challenges associated with internal audit data...
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Articles
Want to Increase User Adoption? Try This Simple FRA2MEwork
This article explains how the FRA2ME methodology, a simple, six-step process devised by the Protiviti Data and Analytics...
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Articles
Is Servitization Manufacturing’s Future? For Many, the Answer Is Yes.
Servitization, like digitalization (to which it is often related), is a unique and complex journey for any company. In t...
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Newsletters
Sustainability: The What, Why and How
In this issue of The Bulletin, Protiviti discusses sustainability — what it is, why it’s important, and the obstacles to...
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Performer Profiles
HEINEKEN International: Tapping a Long History of Innovation to Build a Digital Future
Innovation is very much at the heart of HEINEKEN’s business and important to its future success. “We integrate technolog...
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Articles
Tech-tonic Shift: PreView Examines Seismic Risks Wrought by Technology
This article provides a synopsis of technology topics covered in a recent issue of Protiviti’s PreView newsletter, inclu...
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Articles
Avoiding “IoT Inertia” in the Oil and Gas Sector Requires an IoT Strategy
This article covers the topic of “Internet of Things (IoT) Inertia” and explains how companies may struggle without a vi...
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Articles
To Thrive, Utilities Must Have a Data Analytics Strategy and a Business Intelligence Plan
In this article, Protiviti Managing Directors Tyler Chase and Steve Freeman provide important questions companies should...
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Performer Profiles
Accenture PLC: A Mission to Continuously Rotate to “the New”
Over the past six years, Accenture PLC has been working to accelerate its digital transformation so that it can more exp...
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Audit Reports
SAP Change Management Review Audit Report
This sample audit report provides management with an assessment of its current state and associated SAP change managemen...
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Articles
Digital to the Core: Companies Must Have the Right People and Mindset to Succeed at Digital Transformation
Without the right leadership and mindset, companies risk becoming digital only on the surface. Over the next few years, ...
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Articles
Transitioning Risk Management to the Digital Age
More needs to be done to elevate risk management to help organizations face the dynamic realities of the 21st century an...
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Articles
Digital Innovation: From Boardroom to Execution
For digitalization in today’s environment, companies need to ensure an agile, actively managed and risk-aware approach a...
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Articles
The Labor Model for Finance in the Digital Age
As businesses transform, a profound ripple effect is created throughout the enterprise, especially within finance and ac...
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Articles
Don’t Squash the Butterfly: Three Steps to Technology Acquisition Success
Mature companies acquiring technology companies need to take steps to preserve the unique success characteristics that m...
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Articles
AI in AML, Consumer Protection Developments Interview
This interview features Christine Bucy of Protiviti’s Risk and Compliance practice and Steven Stachowicz to discuss the ...
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Articles
Trade, Populism and the Price of Progress: How Is Your Industry Adjusting?
In developed countries, jobs involving routine tasks are increasingly replaced by technology, leading to job displacemen...
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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...
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Articles
Security Advisory: Hackers Target Remote Email Access
As organizations look for workable ways to accommodate an increasingly mobile work force with remote access to email, ha...
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Newsletters
Sustaining an Innovation Culture in the Digital Age
Digital transformation is disrupting entrenched incumbents and even whole industries. This issue of Board Perspectives: ...
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Articles
Wealth 2022: Wealth and Asset Management Firms Need to Get the Trust Equation Right When Going Digital
This article summarizes some of the key points made at a Protiviti media breakfast in London talking about the impact of...
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Articles
Digitalization Expands Audit Scope Into New Territory
Organizations across industries are racing to migrate analog approaches to customers, products, services and operating m...
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Audit Reports
Pre-Year 1 SOX Roadmap Audit Report
This audit report summarizes the observations, recommendations, and related remediation prioritization for business and ...
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Newsletters
The Top Global Risks for 2018
This issue of Board Perspectives: Risk Oversight provides a context for understanding the most critical uncertainties co...
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Guides
Sarbanes-Oxley Program Implementation Guide
This guide provides procedures, checklists and summaries that can be used to implement changes within an organization’s ...
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Newsletters
Is Your Strategy Focused on Digital?
In this edition, Protiviti discusses four important activities for organizations to consider as they contemplate what di...
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Policies & Procedures
Information Security Development Policy
This document provides an outline and framework for creating a set of policies and procedures focused on the organizatio...
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Checklists & Questionnaires
IT General Controls Survey Questionnaire
This sample tool helps to map IT responses to various questions related to different IT general controls and related pro...
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Policies & Procedures
Software Acquisition, Implementation and Maintenance: Application Development and Implementation Policy
The purpose of this sample policy is to control application development and to ensure that application development is ef...
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Guides
Managing Large Scale Business Projects Guide
This guide discusses the common challenges faced by finance leaders and suggests structuring a finance program managemen...
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Policies & Procedures
Approved Software Policy
This sample policy outlines procedures for the usage and maintenance of approved software in a company.
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Newsletters
Attributes for Facing the Future Confidently
This issue of The Bulletin articulates a deeper understanding of the requisites of organizational confidence so that lea...
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Policies & Procedures
Business Impact Analysis Policy
This sample policy outlines procedures to identify a company’s most critical business processes and support functions an...
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Policies & Procedures
Crisis Management and Emergency Operations Policy
This sample policy provides an overview of procedures organizations should take during the crisis management and emergen...
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Checklists & Questionnaires
Risk Oversight and Risk Management Questionnaire
The purpose of this risk management questionnaire is to help boards and management think about how they can develop a de...
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Risk & Control Matrices - RCMs
Manage Systems Development Lifecycle (SDLC) RCM
This document outlines risks and controls common to the “manage systems development lifecycle (SDLC)” process in a risk ...
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Memos
Delegated Entity Review Memo
This memo focuses on IT SOX readiness procedures for an application, testing change management, computer operations and ...
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Memos
Minimum Testing Standards for Systems and Data Memo
This memo outlines minimum IT controls around user access, change control, backup, privacy, licenses and document retent...
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Audit Programs
Computer Operations/Job Scheduling Audit Work Program
This audit work program focuses on computer operations and IT job scheduling. Audit objectives and test steps help deter...
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Newsletters
Board Oversight of Talent Strategy
This issue of Board Perspectives: Risk Oversight discusses current challenges and effective practices in the board’s ove...
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Checklists & Questionnaires
Setting the Audit Committee Agenda Questionnaire
Good business leaders are aware that the world is changing–dramatically. This questionnaire is for executive management,...
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Newsletters
Facing Change With Confidence
This issue of Board Perspectives: Risk Oversight discusses the what, why, when and how underlying “facing change with co...
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Audit Programs
Program Changes Audit Work Program
This audit program focuses on auditing program change controls.
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Newsletters
Does Your Organization Face Change With Confidence?
In this issue of The Bulletin, we discuss how facing change with confidence is crucial in a rapidly shifting business en...
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Newsletters
Sooner or Later, Your Fundamentals Will Change
This issue of Board Perspectives: Risk Oversight looks at why the ability to recognize the vital signs of change and act...
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Process Flows
Program Authorization Process Flow
Program authorization consists of the steps taken to authorize a project. This process flow sample focuses on the progra...
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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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Risk & Control Matrices - RCMs
Deploy and Maintain Solutions RCM
This document outlines risks and controls common to the "deploy and maintain solutions" process in a risk control matrix...
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Audit Programs
Desktop Management Audit Work Program
This document outlines steps to audit the process used to deploy software to desktop computers.
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Audit Programs
End-User Computing Audit Work Program
This work program focuses on auditing end-user computing, specifically concentrating on identifying the IT controls to b...
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Newsletters
Setting the 2015 Audit Committee Agenda
This issue of The Bulletin details 10 items that audit committees should consider as they look forward in 2015.
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Process Flows
IT Change Management Process Flow
To regulate information technology (IT) changes from beginning to end, it’s important to have an IT change management pr...
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Newsletters
COSO 2013: Why Should You Care?
This issue of Board Perspectives: Risk Oversight outlines six reasons why board members should care about the updated CO...
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Audit Programs
Systems and Application Audit Work Program
The purpose of this work program is to provide the general steps used to perform a systems and application audit.
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Protiviti Booklets
Guide to Mergers and Acquisitions
In this booklet, we provide a starting point for answering the core questions identified in M&A deals – from due dil...
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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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Guides
Post-Merger Integration Activities Guide
This guide discusses the broad scope of an organization’s key post-merger integration activities.
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Newsletters
Intersecting Risk Management and Crisis Management
This issue of Board Perspectives: Risk Oversight stresses the importance of being prepared early for a potential crisis,...
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Guides
Internal Control Strategy Communication Guide
This guide outlines an example process to facilitate and communicate changes necessary to strengthen an organization’s i...
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Policies & Procedures
Systems Development Lifecycle (SDLC) and Change Management Policy
This sample outlines a set of policies and procedures designed to provide an orderly process in which changes to a compa...
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Newsletters
Refocusing the Internal Audit Agenda: Capitalizing on Changing Expectations
In this issue of The Bulletin, we explore some of the factors that are driving higher expectations for internal audit an...
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Newsletters
Four Foundational Elements of Risk Management
In this issue of Board Perspectives: Risk Oversight, we examine the four elements that define what executives should ass...
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Newsletters
Setting the 2010 Audit Committee Agenda
In this issue of The Bulletin, we provide 10 major challenges for board members to consider as they set the 2010 audit c...
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Protiviti Booklets
Internal Auditing Around the World: Volume 5
This booklet profiles 11 successful international companies undergoing significant changes, such as restructuring, merge...
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Blog
Change Management Audits: Key Factors You Need to Know
Information technology is critical to the long-term success of most organizations. It is a key driver for ...
Blog
Five Tips for Increasing Your Influence as an Auditor
Written by Ann Butera, president of The Whole Person Project, Inc.
By definition, “influence” is ...
Blog
Guide to Managing Large-Scale Business Projects
It seems like everybody is wearing a lot more hats these days and finance leaders are no exception. Of cour...
Blog
How Important is Due Diligence to the M&A Process?
There are several key phases of the mergers and acquisitions (M&A) process:
Growth/Portfolio strategy
...
Blog
How to Achieve Remarkable Value From Internal Audit in the Digital Age
In a world of rapid change on almost every front at which organizations must adapt and grow or risk decline...
Blog
Six Successful Warehouse and Storage Strategies You Need to Know
There are two main goals that companies with leading practices strive to achieve in the warehousing process...
Blog
What You Need to Align IT Management With Business Priorities
The "Holy Grail" for IT has always been to be closely aligned with business efforts. For years, business ha...