The following 330 items are listed by Content Data.
Policies & Procedures
Company-Leased Vehicle Policy
This sample policy is designed to help organizations establish guidelines for the business use of company-leased vehicle...
Subscriber Content
Benchmarking Tools
Payroll Key Performance Indicators (KPIs)
This document includes key performance measures an organization can use to improve its payroll process.
Subscriber Content
Policies & Procedures
Employee Expense Policy
This tool includes two sample policies that document recommended processes for the corporate AP department to follow whe...
Subscriber Content
Audit Programs
Integrity and Ethical Values Audit Work Program
This audit program sample can be used by organizations to ensure a commitment to high ethical standards.
Subscriber Content
Articles
Executive Outlook on Cities and Strategy, 2030
The perspective of global business leaders on cities is extremely positive: 64% of respondents to the Executive Outlook ...
Subscriber Content
Process Flows
Termination Process Flow
This sample process flow can be used as a general guide to understanding and reviewing the steps in an organization’s te...
Subscriber Content
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...
Subscriber Content
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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Policies & Procedures
Record Retention Policy
This tool contains five sample policies that establish standards and procedures for the retention of electronic and pape...
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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...
Subscriber Content
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...
Subscriber Content
Methodologies & Models
Six Elements of Infrastructure for Stock Compensation Processes and Controls
This sample document includes the six elements of infrastructure for an organization's stock compensation process.
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Policies & Procedures
Technology Acquisition Policy
Organizations can use this policy to establish guidelines and set forth the appropriate accounting policies related to t...
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Methodologies & Models
Employee Labor/Management Relations Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s employee labor/management relati...
Subscriber Content
Protiviti Booklets
Internal Auditing Around the World: Volume 18
The new edition of Internal Auditing Around the World addresses how internal audit functions are using the pandemic expe...
Subscriber Content
Process Flows
Voluntary Exit Process Flow
This sample process flow can be used as a general guide to understanding and reviewing the steps in an organization’s vo...
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Benchmarking Reports
2022 Sarbanes-Oxley Compliance Survey
The 2022 edition of Protiviti's annual SOX report shows that costs and hours continue to increase across most, if not al...
Subscriber Content
Audit Programs
Executive Compensation Audit Work Program
With this tool, you get two sample work programs that provide general steps and questions organizations can use during a...
Subscriber Content
Process Flows
New-Hire Process Flow
This process flow can be used as a general guide to understand and review the steps in an organization’s new-hire proces...
Subscriber Content
Job Descriptions
Vice President, Internal Audit Job Description
This tool includes two sample job descriptions that outline the responsibilities, key selection criteria and general inf...
Subscriber Content
Methodologies & Models
Equal Employment Opportunity Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s equal employment opportunity pro...
Subscriber Content
Methodologies & Models
Human Resources Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s human resources management proce...
Subscriber Content
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...
Subscriber Content
Policies & Procedures
Personnel Security Policy
The purpose of this sample policy is to reduce the risks of human error, theft, fraud or misuse of facilities.
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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 ...
Subscriber Content
Memos
Security Access Badges Memo
This sample memo serves as a report of an internal audit function’s high-level assessment of the security access badges ...
Subscriber Content
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...
Subscriber Content
Job Descriptions
Chief Risk Officer Job Description
Organizations can use this sample job description as a starting point to fully define the responsibilities and qualifica...
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Audit Programs
Expenditure Cycle Audit Work Program
This document provides two sample audit work programs for reviewing the expenditure cycle, with one leveraging computer-...
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Policies & Procedures
Corporate Aircraft Policy
This tool contains two policy samples that outline administrative and accounting procedures organizations should follow ...
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Policies & Procedures
Employee Termination Policy
This sample policy contains guidelines and procedures organizations should follow during the employee termination proces...
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Guides
Ethics Program Guide
This tool contains two sample guides that can be used by auditors to implement an effective ethics program.
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Memos
Staff Success Sharing Plan Memo
This sample memo serves as a report of an internal audit function’s high-level assessment of the company’s staff success...
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Audit Programs
Human Resources Review Audit Work Program
Organizations can use the samples included in this audit work program to measure and improve the effectiveness of their ...
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Process Flows
Pay Change Process Flow
This process flow can be used as a general guide to understand and review the steps in an organization’s pay change/incr...
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Audit Programs
Control Environment Audit Work Program
This audit work program focuses on the control environment component of the COSO Framework.
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Job Descriptions
Project Controls Manager Job Description
This job description sample summarizes the responsibilities, key selection criteria and general information for the role...
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Process Flows
Recruitment Process Flow
This sample process flow can be used as a general guide to understand and review the steps in an organization’s recruitm...
Subscriber Content
Checklists & Questionnaires
Business Continuity IT Process Questionnaire
This tool contains two IT questionnaire samples that can be used to assess an organization’s business continuity plannin...
Subscriber Content
Newsletters
The World Is a Zoo: Framing Risks in the Boardroom
This issue of Board Perspectives identifies six key takeaways from a National Association of Corporate Directors (NACD) ...
Subscriber Content
Guides
IT Security Awareness and Training Program Guide
We've designed this guide to help companies implement and strengthen security training and awareness.
Subscriber Content
Benchmarking Tools
Human Resources Risk Key Performance Indicators (KPIs)
The leading practices included in this tool can be applied to manage the online recruiting risks of an organization’s hu...
Subscriber Content
Benchmarking Tools
Human Resources Leading Practices
The leading practices included in this tool can be applied to improve an organization’s human resources function.
Subscriber Content
Articles
Resilience and the Workforce Are Key Concerns in 2021 and Over the Next Decade, According to Protiviti-NC State Global Survey
Here, we highlight the results of our ninth annual risk survey and illustrate the top 10 risks for 2021 and 2030 in orde...
Subscriber Content
Policies & Procedures
IT Personnel Security Policy
The objective of this policy is to define the security standards that must be applied in regard to personnel.
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Benchmarking Tools
Payroll and HR Leading Practices
This tool features a number of leading practices to assist with payroll and HR process improvement.
Subscriber Content
Benchmarking Tools
Sales Compensation Leading Practices
This tool features several leading practices to assist with evaluating and improving an organization’s sales compensatio...
Subscriber Content
Job Descriptions
Chief Audit Executive Job Description
For organizations looking to hire a chief audit executive, this sample job description provides a solid starting point f...
Subscriber Content
Benchmarking Tools
Incentive Compensation Leading Practices
This tool contains a number of leading practices to assist with evaluating and enhancing an organization's incentive com...
Subscriber Content
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...
Subscriber Content
Articles
Business Continuity Programs: Beware of Complacency
Protiviti Managing Director Matthew Watson outlines the looming danger of post-COVID complacency.
Subscriber Content
Charters
HR and Compensation Committee Charter
This sample establishes guidelines for creating an HR and compensation committee charter.
Subscriber Content
Job Descriptions
Project Controls Group Master Scheduler Job Description
This description summarizes the responsibilities and qualifications for the project controls group master scheduler role...
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Job Descriptions
Chief Information Officer (CIO) Job Description
This job description sample summarizes the responsibilities, key selection criteria and general information for the role...
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Job Descriptions
Chief Credit Officer Job Description
This job description sample outlines the responsibilities, key selection criteria and general information for the role o...
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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...
Subscriber Content
Job Descriptions
Sarbanes-Oxley (SOX) Coordinator Job Description
This job description sample outlines the responsibilities, key selection criteria and general information for the role o...
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Job Descriptions
Director of IT Job Description
This job description sample outlines the responsibilities, key selection criteria and general information for the role o...
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Job Descriptions
Vice President, Internal Audit/Chief Audit Executive Job Description
This sample job description summarizes the responsibilities, key selection criteria and general information for the role...
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Job Descriptions
Senior Internal Auditor Job Description
This senior internal auditor job description sample outlines the responsibilities, key selection criteria and general in...
Subscriber Content
Newsletters
The Top Risks for the Next Decade: A Global Perspective (2021)
This issue of Board Perspectives summarizes seven key takeaways from Protiviti’s Executive Perspectives on Top Risks in ...
Subscriber Content
Job Descriptions
Vice President, Corporate Audit Job Description
This job description outlines the responsibilities and qualifications for the vice president, corporate audit role. This...
Subscriber Content
Job Descriptions
Senior Director of Internal Audit Job Description
This job description sample outlines the responsibilities, key selection criteria and general information for the role o...
Subscriber Content
Performer Profiles
Zurich Insurance Company Ltd: The Leading Edge of Internal Audit Transformation
In this profile, Zurich Head of Group Audit Martin Struder summarizes the key drivers of his internal audit team’s trans...
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Job Descriptions
Vice President, Chief Compliance Officer (CCO) Job Description
This sample job description notes the responsibilities, key selection criteria and general information for the role of t...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2021 and 2030
This report contains results from our ninth annual risk survey of directors and executives worldwide to obtain their vie...
Subscriber Content
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...
Subscriber Content
Audit Programs
Business Continuity Management Audit Work Program
This tool contains three sample work programs that provide general steps organizations can take when conducting a busine...
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Memos
Incentive Compensation Review Memo
This sample memo serves as a report of an internal audit function’s high-level assessment of the company’s incentive com...
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Policies & Procedures
End-User Information Security Background Policy
This policy sample establishes guidelines and procedures common to use of all company information technology systems.
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Memos
Security Access Badges Memo
The purpose of this sample memo is to outline the utilization of security access badges by a company to restrict access ...
Subscriber Content
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...
Subscriber Content
Benchmarking Tools
Develop Public Relations Program Key Performance Indicators (KPIs)
This tool contains leading practices and key performance indicators companies should consider when creating their public...
Subscriber Content
Benchmarking Tools
Measure Organizational Performance Key Performance Indicators (KPIs)
This tool includes key performance indicators and questions organizations should consider when evaluating their performa...
Subscriber Content
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...
Subscriber Content
Policies & Procedures
Employee Stock Purchase Plan Policy
This sample policy can be used by auditors to understand and review the essential components of an organization’s employ...
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Checklists & Questionnaires
Compliance Overview Questionnaire
This tool contains 24 sample questionnaires that provide organizations with key risks, expected key controls and questio...
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Guides
Interview Essentials Guide
This tool contains two guides management can use to understand the essential components of the interview process and to ...
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Policies & Procedures
Authorization to Use or Disclose PHI: HIPAA Policy
This sample policy outlines procedures organizations should follow common to proper use or disclosure of protected healt...
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Process Flows
Payroll Process Flow
This process flow can be used as a general guide to understand and review the steps in an organization’s payroll process...
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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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Policies & Procedures
Printer Policy
This sample printer policy can be used by organizations to facilitate the appropriate and responsible business use of th...
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Policies & Procedures
HIPAA PHI Policy
This sample contains eight policies that outline procedures governing the handling of protected health information (PHI)...
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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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Audit Reports
Entity-Level Controls Assessment Report
This document contains two sample audit reports that can be used to document management’s assessment of internal control...
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Articles
Going Back to the Office: Determining Key Personnel Risk in a New Reality
This article explores the topic of key personnel risk and gives management several back-to-office factors to consider.
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Articles
Risk Awareness and Analytic Insight: Driving Audit Into the Future
The next generation of audit, described in this article, is heavily focused on identifying and responding to organizatio...
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Policies & Procedures
Code of Business Conduct Policy
This tool contains three sample policies that outline procedures an organization should use for following proper busines...
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Policies & Procedures
Paid Time Off Policy
This tool contains two sample policies that establish standards associated with providing time off with compensation to ...
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Audit Programs
Project Management Office (PMO) Audit Work Program
This sample tool contains two work programs that provide general steps organizations should take when conducting a proje...
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Audit Reports
Payroll Data Analytics Audit Report
This sample audit report can be used by auditors reviewing and validating an organization’s payroll and procurement data...
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Audit Programs
Travel Review Audit Work Program
This sample audit program provides general steps to use during an organization’s travel review process.
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Charters
Compensation Committee Charter
This document contains three samples that provide guidelines for creating an organization's compensation committee chart...
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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
Audit Programs
Procurement Card Audit Work Program
This tool contains two sample work programs that highlight general steps organizations should follow when conducting a p...
Subscriber Content
Audit Programs
Payroll/Human Resources Audit Work Program
This tool contains two sample work programs that outline general steps organizations can use for managing and reviewing ...
Subscriber Content
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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Audit Reports
Regulatory Compliance Review Audit Report
This sample audit report can be used by auditors for assessing and improving an organization’s compliance risk managemen...
Subscriber Content
Audit Programs
Travel and Expense Reporting Audit Work Program
This tool contains two sample work programs that provide general steps organizations can use for performing a travel and...
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Policies & Procedures
Equal Employment Opportunity Policy
This tool contains two policies that establish guidelines and procedures an organization can follow for understanding an...
Subscriber Content
Audit Reports
Equity Compensation Review Audit Report
This document contains two sample audit reports that can be used by auditors for assessing and reviewing an organization...
Subscriber Content
Job Descriptions
Internal Audit Manager Job Description
This tool contains two sample job descriptions that outline the responsibilities, key selection criteria and general inf...
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Policies & Procedures
Travel and Entertainment Policy
This tool contains two policies that establish guidelines and standards an organization can use for understanding and co...
Subscriber Content
Policies & Procedures
Company Holiday Policy (United States)
This tool contains two policies that establish guidelines and procedures an organization can follow when defining employ...
Subscriber Content
Checklists & Questionnaires
Internal Audit Risk Assessment Questionnaire
This tool contains three sample internal audit risk assessment templates that provide questions organizations can use fo...
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Articles
Risks at the Intersection of Talent, Culture, Innovation and Technology
This article takes a closer look at seven top risks leaders are facing and describes innovative digital thinking strateg...
Subscriber Content
Job Descriptions
Senior Vice President of Internal Audit Job Description
This sample job description outlines the responsibilities, key selection criteria and general information for the role o...
Subscriber Content
Articles
Automation — Healthcare’s Next Great Workforce
This article outlines several changes for healthcare organizations to incorporate and identifies key areas that serve as...
Subscriber Content
Job Descriptions
Director of Internal Audit Job Description
These two samples outline the responsibilities, key selection criteria and general information for the role of the direc...
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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...
Subscriber Content
Audit Reports
Payroll Review Audit Report
This sample report can be used by auditors to conduct and analyze an organization's payroll process audit.
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Policies & Procedures
Email Policy
This document contains two sample policies that provide guidelines and procedures for understanding and following an org...
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Policies & Procedures
Acquisition Policy
This tool contains two sample policies that detail the acquisitions/new business developments process for an organizatio...
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Benchmarking Tools
Ethics and Compliance Hotline Leading Practices
This tool features several leading practices for managing and understanding an organization’s ethics and compliance hotl...
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Policies & Procedures
Sexual Harassment Policy
This tool contains two policies that establish guidelines and standards for dealing with sexual harassment in an organiz...
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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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Policies & Procedures
Policy and Practice Development Policy
This tool contains two sample policies that establish guidelines for the formulation, finalization and maintenance of an...
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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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Policies & Procedures
Equity Award Valuation Policy
This sample policy provides an overview of procedures organizations should perform during the equity award valuation pro...
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Articles
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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Policies & Procedures
Facility Access Controls Policy
This sample policy provides an overview of procedures organizations should perform during the facility access controls p...
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Policies & Procedures
Equity Grant Policy
This sample policy provides an overview of procedures organizations should take during the equity grant process.
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Audit Reports
Close-the-Books, Finance, IT and Human Resources Review Report
This sample audit report can be used for evaluating the financial close and payroll processes with respect to use of the...
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Policies & Procedures
Compensation Expense Policy
This policy establishes guidelines and procedures for calculating compensation expenses for the employee stock purchase ...
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Checklists & Questionnaires
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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Guides
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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Articles
The Human(e) Side of Digital
This article looks at some current and historical digital transformation trends that provide key lessons for boards and ...
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Articles
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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Audit Reports
Temporary Labor Service Contract Review Report
This sample audit report focuses on an organization's temporary labor process and contracts.
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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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Checklists & Questionnaires
Workplace Dynamics Questionnaire: Technology and Labor Model
This sample questionnaire covers questions directors should consider for a successful workplace and digital labor transf...
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Articles
New Staffing Strategies Can Help Finance Leaders Address Business Challenges
This article provides strategic input to help companies manage organizational changes associated with new technology imp...
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Checklists & Questionnaires
Compliance Overview Questionnaire: HIPAA
This sample questionnaire provides an overview, key risks, expected key controls and questions to consider when reviewin...
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Checklists & Questionnaires
Compliance Overview Questionnaire: Drug-Free Workplace Act
This sample questionnaire provides an overview, key risks, expected key controls and questions to consider when reviewin...
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Methodologies & Models
Staffing and Professional Services Risk Model
This staffing and professional services risk model focuses on risks that are inherent to the organization from the envir...
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Checklists & Questionnaires
Compliance Overview Questionnaire: Americans with Disabilities Act (ADA)
This sample questionnaire provides an overview, key risks, expected key controls and questions to consider when reviewin...
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Articles
Emerging Companies and Innovation for the Back Office
This article discusses innovative strategies an organization can apply to the back office to secure a flexible and agile...
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Articles
Skills and Scale: Why Emerging Companies Must Innovate How They Resource Back-Office Functions
By sticking with a reactive, hire-or-outsource approach to staffing the finance and accounting function, emerging compan...
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Articles
How Emerging Technology Companies Can Win the War for Talent
This article discusses ways to retain top talent within an organization and provides incentives to maximize an employee’...
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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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Articles
Top Risks: Winning the War for Talent
This article shares strategies organizations should incorporate to up their recruiting game.
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Audit Reports
Human Resources Risk Management Assessment Report
This sample audt report can be used to obtain and evaluate the capabilities of existing global human resources risk mana...
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Articles
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 ...
Subscriber Content
Audit Reports
Payroll and Human Resources Review Audit Report
This sample audit report focuses on the payroll and human resources functions within an organization’s key executive ret...
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Audit Reports
Contract Terms and Conditions Review Report
This sample audit report provides internal audit's analysis of the terms and conditions of two construction project cont...
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Articles
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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Guides
Candidate Evaluation Guide
This sample document can be used by recruiters as a guide to rating an applicant for an internal audit position.
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Checklists & Questionnaires
Employee New Hire Checklist
This sample checklist includes a list of forms, benefits and communications to consider including in the new hire proces...
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Process Flows
Employee Selection Process Flow
This process map defines the steps taken by an organization during the employee selection process.
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Checklists & Questionnaires
IT Employee Termination Checklist
This checklist outlines steps to follow when an IT employee stops working for a company.
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Checklists & Questionnaires
Employee Expense Reimbursement Process Review Checklist
This tool addresses items to consider when reviewing an organization’s employee expense reimbursement process.
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Checklists & Questionnaires
Site Audit Questionnaire
This questionnaire includes an extensive — but not exhaustive — list of questions typically used to drill down to the fa...
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Articles
Could Your RPA Implementation Team Be on Board Already?
This article summarizes leaders in finance organizations’ current RPA efforts and suggests how to deliver an RPA impleme...
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Articles
Recognizing the People Element in Data Security Implementations
This article explains how better communication and a structured change management plan can help organizations better man...
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Audit Programs
Employee Benefits Audit Work Program
This audit program can be used by an organization to review its benefits program eligibility and administration and its ...
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Process Flows
HR Compliance Process Flow
This flowchart defines the steps an organization can take to implement an HR compliance process.
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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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Checklists & Questionnaires
International Human Resources Audit Questionnaire
This sample questionnaire outlines key considerations an organization should incorporate when performing an internationa...
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Checklists & Questionnaires
Recruitment Process Interview Questionnaire
This tool outlines questions to consider when developing process documentation for the recruitment process.
Subscriber Content
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
Preparing for the Acquisition Your CEO Hasn’t Announced Yet: Three Actions to Take Now
This article provides proven advice that can help a company avoid the detrimental effects of poor acquisition integratio...
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Requests for Proposals - RFPs
Request for Proposal: Internal Audit Services and Sarbanes-Oxley Regulatory Compliance
This sample request for proposal for co-sourcing internal audit and Sarbanes-Oxley compliance services provides a variet...
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Articles
Tech Firms Helped Shape the New Labor Model – But They Need to Keep Evolving Themselves
Protiviti Managing Directors Gordon Tucker and Kurt Underwood explain why tech leaders need to keep a close eye on chang...
Subscriber Content
Methodologies & Models
Payroll Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s payroll process and to assist it...
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Risk & Control Matrices - RCMs
Formulate EH&S Management: External Relationships RCM
This document outlines risks and controls common to the external relationships aspect of the environmental health and sa...
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Process Flows
Elder Care Process Flow
This process map defines the steps taken by an organization implementing an elder care benefits program.
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Articles
Maintaining Staffing Equilibrium With a Flexible Workforce
Historically, accounting has been a straightforward function. However, leaders in finance and accounting may find that t...
Subscriber Content
Audit Reports
Business Continuity/Disaster Recovery Program Assessment Report
This audit report sample focuses on whether an appropriate enterprise-wide governance structure is in place to manage th...
Subscriber Content
Guides
Fraud: Internal Audit's Role in Detection and Prevention Guide
The objectives of this guide are to raise awareness about internal audit’s responsibilities related to fraud detection a...
Subscriber Content
Audit Reports
Human Resources (HR) Process and Compliance Audit Report
This sample human resources process and compliance internal audit report focuses on time reporting, payroll, recruiting,...
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Audit Programs
Health Reimbursement Accounts Audit Work Program
This work program sample can be used to review a company’s health reimbursement account program.
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Articles
The Ideal Workforce: Why a 30-Year-Old Employment Model Is Relevant Again
It’s been nearly 30 years since Charles Handy first described what he calls the “shamrock organization” in his groundbre...
Subscriber Content
Process Flows
Employee Rights Process Flow
This sample flowchart defines steps for implementing an employee rights process within an organization.
Subscriber Content
Audit Reports
Security Policy and Procedure Evaluation Report: Administrative Personnel
This report records the result of an evaluation of security policies and procedures. The sample illustrates administrati...
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Process Flows
Health Reimbursement Accounts Process Flow
This sample flowchart defines steps for implementing a health reimbursement process at a company.
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Process Flows
Employee Bonus Process Flow
This sample flowchart defines the steps for implementing an employee bonus program.
Subscriber Content
Process Flows
COBRA Process Flow
This flowchart provides suggested steps for the implementation of the Consolidated Omnibus Budget Reconciliation Act of ...
Subscriber Content
Risk & Control Matrices - RCMs
Manage and Administer Benefits: Healthcare Reimbursement Accounts RCM
This document outlines risks and controls common to the ‘‘manage healthcare reimbursements accounts process’’ in a risk ...
Subscriber Content
Process Flows
Career Planning Program Process Flow
This process flow provides steps for creating a career planning program at any 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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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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Memos
Compliance and Regulation Management Review Memo
This tool outlines the steps for the review of policies, procedures and internal controls within a company’s compliance ...
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Articles
Focus on Culture: How Culture Assessments Can Support the Audit Committee’s Agenda
In this article, Protiviti Executive Vice President Susan Haseley offers some suggestions on how organizations might inc...
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Guides
Internal Audit Competency Model and Assessment Guide
This guide suggests competency objectives for internal auditors at junior, intermediate and senior levels.
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Audit Reports
Out-of-Contract Life Claims Settlements Audit Report
This sample audit report reviews the out-of-contract life claims settlement process at a company.
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Articles
Six Areas to Assess When Diagnosing Organizational Culture
In this article, popular KnowledgeLeader writer Ann Butera explores and defines six areas you should focus on when evalu...
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Checklists & Questionnaires
Hazard Assessment Checklist and Corrective Action Report
This tool provides questions to consider while conducting periodic hazard assessments.
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Audit Reports
Internal Audit Plan Status – Report to the Audit Committee
This sample internal audit report includes a status summary and recommendations for quarter 1 of the fiscal year.
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Process Flows
Executive Bonus Process Flow
This flowchart defines the steps for the executive bonus process.
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Process Flows
Health Insurance Broker/Agent Process Flow
This flowchart defines the steps for the health insurance broker/agent process.
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Checklists & Questionnaires
System Privileges for Terminated Employees Checklist
This sample provides action steps to consider for protecting an organization’s critical systems and data and secure syst...
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Process Flows
Financial Reporting Process Flow
This flowchart defines the steps for flexible benefits process at a company.
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Process Flows
Healthcare Dependents Process Flow
This flowchart defines the steps for dependents healthcare process.
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Articles
Measuring Ethical Culture: Tapping Into “Open Secrets”
A number of corporate scandals have played out on the front pages in the past year that have raised the discourse around...
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Audit Programs
Executive Compensation Plan Payout Audit Work Program
This audit program sample helps to review an organization’s executive compensation plan payout process.
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Guides
Human Resources Risk Management Guide
This guide defines human resources risk and identifies the major HR processes and sub-processes which involve risks.
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Audit Programs
COBRA Audit Work Program
This work program outlines the steps to audit the COBRA process.
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Articles
Feeling Benched? Four Ways to Become the Indispensable Auditor
As internal audit departments change in what they audit, the importance of who audits becomes a priority. Highly effecti...
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Process Flows
Child Care Process Flow
This flowchart defines the steps in a child care process including the controls and procedure specifications.
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Policies & Procedures
Career Planning Policy
This sample policy provides an overview of career planning and development of employees in an organization.
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Audit Programs
Healthcare Dependents Audit Work Program
This sample audit work program outlines the steps to audit the healthcare dependents process.
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Methodologies & Models
Equal Employment Opportunity: Capability Maturity Model and Six Elements of Infrastructure
This document includes the capability maturity model and six elements of infrastructure for equal employment opportuniti...
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Methodologies & Models
Employee Labor/Management Relations Capability Maturity Model (CMM)
This capability maturity model can be used to measure the maturity of an organization’s employee labor/management relati...
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Audit Reports
Team Member Resources Audit Report
This audit report outlines findings and business risks/impacts from a review of the team member resources function at a ...
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Audit Reports
Special Accounts Staffing Process Assessment Report
This report provides findings from a company’s special accounts staffing process assessment.
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Checklists & Questionnaires
Health and Wellness Compliance Overview Questionnaire
This questionnaire covers the common initiatives, tax implications, legal issues, key risks, expected key controls and i...
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Risk & Control Matrices - RCMs
Manage and Administer Benefits: Health Insurance Broker/Agent RCM
This document outlines risks and controls common to the health insurance broker/agent component of the “manage and admin...
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Process Flows
Employee Leave Benefits Process Flow
This employee leave benefits process flow focuses on steps for the development of a leave policy and the processing of l...
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Policies & Procedures
Stock Grant Quarterly Approval Policy
This sample policy outlines the procedures for grant approval by senior management and the compensation committee.
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Risk & Control Matrices - RCMs
Manage and Administer Benefits: Adoption Assistance RCM
This document outlines risks and controls common to the adoption assistance component of the “manage and administer bene...
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Policies & Procedures
Workstation Use Policy
This sample policy outlines the measures and actions an organization uses to safeguard equipment and information on comp...
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Process Flows
Executive Compensation Process Flow
This sample process flow focuses on steps for the creation, composition and review of executive compensation packages an...
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Risk & Control Matrices - RCMs
Manage Employee Compensation: Executive Compensation RCM
This document outlines risks and controls common to the executive compensation component of the “manage employee compens...
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Policies & Procedures
Emergency Policies and Procedures Manual
This is a sample of emergency policies and procedures for a business office. It includes procedures for safety teams, fi...
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Policies & Procedures
Workplace Violence Policy
This sample policy establishes procedures to minimize and/or prevent violence and unacceptable behavior in the workplace...
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Policies & Procedures
Dispute Resolution Policy
The sample policy provides an effective problem-solving and dispute resolution process which every employee can utilize ...
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Checklists & Questionnaires
Diversity and Inclusion Process Questionnaire
This tool provides insights on the diversity and inclusion process, including key risks, expected key controls and quest...
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Checklists & Questionnaires
Career Planning Program Process Questionnaire
This tool provides insights on the development of a career planning program, including key risks, expected key controls ...
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Policies & Procedures
Employment: Conflicts of Interest Policy
This sample policy communicates a company’s position on what matters could constitute a conflict of interest and establi...
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Audit Programs
Appeals and Grievances Audit Work Program
This sample work program reviews the appeals and grievances function, focusing specifically on transformation.
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Policies & Procedures
Dress Code Policy
This sample sets and describes a company’s dress code policy for a classy, contemporary business casual environment.
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Audit Programs
Manage Labor-Management Relationships Audit Work Program
This sample work program provides a test plan for managing labor-management relationships.
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Risk & Control Matrices - RCMs
Manage and Administer Benefits: Healthcare Dependents RCM
This document outlines risks and controls common to the healthcare dependents component of the “manage and administer be...
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Risk & Control Matrices - RCMs
Manage and Administer Benefits: Flexible Benefits RCM
This document outlines risks and controls common to the flexible benefits component of the “manage and administer benefi...
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Policies & Procedures
Employee Expense Reimbursement Audit Policy
This sample establishes standard procedures for the auditing of expense reimbursements submitted by employees.
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Policies & Procedures
Employer and Employee Rights Policy
This sample policy outlines the statutory and contractual rights of employees in the workplace.
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Policies & Procedures
Internet and Email Acceptable Use Policy
This sample policy helps company employees optimize their use of the internet, protect confidential information, preserv...
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Risk & Control Matrices - RCMs
Manage and Administer Benefits: Employee Leave Benefits RCM
This document outlines risks and controls common to the employee leave component of the “manage and administer benefits”...
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Policies & Procedures
Complaint Handling Policy and Procedures (Non-U.S.)
This sample outlines a set of policies and procedures governing the handling of complaints regarding harassment, discrim...
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Policies & Procedures
Harassment and Discrimination Policy (Non-U.S.)
This sample outlines policies regarding discrimination and harassment in the workplace from a non-U.S. perspective.
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Policies & Procedures
Employee Selection Process Policy
This sample policy is helpful as a referral guide for all of the personnel that play a part in the employee selection pr...
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Policies & Procedures
Employee Stock Option Termination Policy
This sample policy outlines procedures for terminated employees to exercise vested options.
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Policies & Procedures
Cellular Phone Policy
This sample policy provides company associates with a cost-effective and convenient way to manage cellular phones requir...
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Audit Programs
Global Human Resources Effectiveness Review Audit Work Program
This sample audit work program reviews the effectiveness of global HR capabilities using the capability maturity model (...
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Risk & Control Matrices - RCMs
Payroll and Benefits: Employee Bonus RCM
This document outlines risks and controls common to the employee bonus component of the payroll and benefits process in ...
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Risk & Control Matrices - RCMs
Manage and Administer Benefits: Elder Care RCM
This document outlines risks and controls common to the elder care component of the “manage and administer benefits” pro...
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Risk & Control Matrices - RCMs
Manage and Administer Benefits: Child Care RCM
This document outlines risks and controls common to the child care component of the “manage and administer benefits” pro...
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Risk & Control Matrices - RCMs
Manage and Administer Benefits: COBRA RCM
This document outlines risks and controls common to the manage and administer benefits process when administering COBRA ...
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Policies & Procedures
Internal Use of Inventory Policy
This sample policy establishes guidelines for the purchase of a company's products (including sales force units, interna...
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Audit Programs
Flexible Benefits Audit Work Program
This sample work program reviews the flexible benefits provided by a company.
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Policies & Procedures
Restricted Stock Vesting Policy
This policy outlines procedures related to restricted stock vesting in a company, largely depending on employee election...
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Audit Programs
Executive Bonus Audit Work Program
This sample work program reviews the executive bonus program of an organization.
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Audit Programs
Employee Bonus Audit Work Program
This sample audit work program reviews an organization’s employee bonus process.
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Audit Programs
Employee Leave Benefits Audit Work Program
This audit work program reviews a company’s processes and procedures related to employee leave benefits.
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Audit Programs
Employee and Labor Management Relations Audit Work Program
This audit program sample evaluates the effectiveness and efficiency of the employee and labor/management relations proc...
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Audit Programs
Elder Care Audit Work Program
This sample audit work program outlines steps to review a company’s elder care program and the related reimbursement pro...
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Audit Programs
Child Care Audit Work Program
This audit work program sample outlines steps to review a company’s child care program and related reimbursement process...
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Policies & Procedures
Infrastructure Policy: Laptops
This policy describes the security precautions to be taken by all individuals who have a company-issued laptop, or who a...
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Process Flows
Equity Stock Compensation Process Flow
This process flow focuses on stock awards, stock option exercises, employee stock purchase plans, and stock-based compen...
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Protiviti Booklets
Internal Auditing Around the World: Volume 12
In our latest edition of Internal Auditing Around the World, we interviewed 22 inspiring female internal audit leaders w...
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Checklists & Questionnaires
Risk Culture Assessment Questionnaire
This tool focuses on topics that can help shape and support an effective risk culture.
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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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Memos
Expense Reporting Policy Violation Memo
This expense reporting violation review focuses on an employee’s potential noncompliance with this standard corporate po...
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Risk & Control Matrices - RCMs
Manage Labor-Management Relationships RCM
This document outlines risks and controls common to the "manage labor-management relationships" process in an RCM format...
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Risk & Control Matrices - RCMs
Manage Travel and Entertainment Expenses RCM
This document outlines risks and controls common to the "manage travel and entertainment expenses" process in a risk con...
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Policies & Procedures
Bereavement Policy
This policy establishes procedures for bereavement benefits, in order to provide employees sufficient time to attend ser...
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Audit Programs
Diversify Workforce Audit Work Program
This audit work program evaluates a company's diversity and inclusion compliance processes.
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Audit Programs
HR System Pre-Implementation Audit Work Program
This audit program focuses on testing human resources system controls during the pre-implementation phase.
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Policies & Procedures
Payroll Policy
This payroll policy outlines procedures relating to payroll payments, time reporting, holiday schedules, vacation, non-o...
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Memos
Merger and Integration Memo
This memo outlines a project to document a company’s finance and accounting processes, as well as to identify the system...
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Risk & Control Matrices - RCMs
Diversify Workforce RCM
This document outlines risks and controls common to the diversify workforce process.
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Audit Programs
Physician Credentialing Audit Work Program
The audit objective of this review is to analyze and evaluate the current hospital credentialing process and identify th...
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Guides
Facilitated Meetings Guide
This guide discusses ground rules, meeting purpose statements and techniques for building agreements. It also provides s...
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Risk & Control Matrices - RCMs
Payroll and Benefits RCM
This document outlines risks and controls common to the payroll and benefits process in a risk control matrix (RCM) form...
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Risk & Control Matrices - RCMs
Business Continuity Management RCM
This document outlines risks and controls common to the "business continuity management" process in a risk control matri...
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Policies & Procedures
Family Medical Leave Policy
This policy outlines a set of procedures for Family Medical Leave, in accordance with the U.S. Family and Medical Leave ...
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Policies & Procedures
Firearms, Weapons and Explosives Policy
This policy outlines a set of procedures for firearms, weapons and explosives in order to maintain a safe working enviro...
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Policies & Procedures
Employment of Related Persons Policy
This policy outlines a set of procedures for employment of related persons in order to maintain an atmosphere of fair an...
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Policies & Procedures
Insider Trading Policy
This policy outlines a set procedures for insider trading. Transactions must comply with these procedures in order to co...
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Policies & Procedures
Industrial Leave of Absence Policy
This policy outlines procedures for an industrial leave of absence, in accordance with all U.S. state and federal regula...
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Policies & Procedures
Immigration Policy (United States)
This sample outlines a set of policies and procedures to comply with the requirements of applicable immigration laws.
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Policies & Procedures
Individuals with Disabilities Policy
This sample outlines a set of policies and procedures for employing individuals with disabilities in accordance with the...
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Audit Programs
Social Responsibilities Programs Audit Work Program
This audit program helps internal audit functions identify social responsibility issues that an organization may not be ...
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Policies & Procedures
Harassment Policy
This sample outlines a set of policies and procedures for investigating and reporting harassment in the workplace.
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Audit Programs
Plant Operation Safety Audit Work Program
This sample audit program reviews the safety of plant operations, ensuring compliance with company and governmental requ...
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Process Flows
Payroll Calculation Process Flow
Payroll calculation involves following a process to ensure employees are paid precisely and punctually. This process flo...
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Audit Programs
Stock Administration Audit Work Program
This work program focuses on the internal responsibilities of corporate stock program administration.
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Audit Programs
Stock Option Review Audit Work Program
This internal audit work program focuses on understanding and evaluating a company's stock option management process, pe...
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Process Flows
Human Resources Management and Employee Setup Process Flow
This process flow focuses on the human resources management and employee setup processes. It addresses the risk of setti...
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Process Flows
Subcontractor Approval and Payment Process Flow
There is pervasive business risk associated when a subcontractor's work is overpaid or not properly approved. In this sa...
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Audit Programs
Temporary Employee Management Review Audit Work Program
The purpose of this work program is to provide the general steps used to perform an audit of temporary employee manageme...
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Audit Programs
Payroll and Leave Management Audit Work Program
This audit work program focuses on the payroll and leave management process, specifically assessing whether the organiza...
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Audit Programs
Ethical Business Conduct Guidelines Audit Work Program
The purpose of this work program is to provide the general steps used to perform an audit of ethical business conduct gu...
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Audit Programs
Payroll Audit Work Program
The purpose of this work program is to provide the general steps on how to audit payroll.
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Audit Programs
Payroll Cycle Data Analytics Audit Work Program
This six-page work program describes 22 risks associated with payroll cycle data analytics, with a focus on the tests us...
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Audit Programs
Health, Safety and Security Audit Work Program
The purpose of this work program is to evaluate the health, safety and security processes of an organization.
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Protiviti Booklets
Internal Auditing Around the World: Volume 9
In this booklet, we profile eight organizations and discuss the trend towards greater collaboration extending to interna...
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Policies & Procedures
Change of Access Status Policy
The following sample outlines a set of policies and procedures governing all changes to the access granted to a user of ...
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Policies & Procedures
Injury and Illness Prevention Policy
The following sample outlines a set of policies and procedures for protecting the safety and health of the employees at ...
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Policies & Procedures
Conflict of Interest Policy
This sample outlines a set of policies and procedures to help a company and each of its direct and indirect subsidiaries...
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Protiviti Booklets
Internal Auditing Around the World: Volume 8
In this booklet, we detail internal audit best practices, processes and strategies being employed at some of the world’s...
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Policies & Procedures
Blog and Social Networking Policy
The purpose of this policy is to ensure that all employee blog and social networking activities incorporate consistent s...
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Policies & Procedures
Background Checks and Confidentiality Policy: Contractors
This policy outlines procedures for extending background checks to temporary personnel and independent contractors.
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Policies & Procedures
Fringe Benefit Adjustment Policy
This policy establishes procedures for the proper accounting treatment of fringe benefit adjustments.
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Policies & Procedures
Internal Company Knowledge Sharing Policy
This policy outlines a set of procedures governing knowledge sharing within a company by using a knowledge management (K...
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Policies & Procedures
Termination of Benefits Liability Policy
This policy establishes guidelines for appropriate recognition of a liability relating to employee termination benefits ...
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Policies & Procedures
Sick Leave Policy
The following sample outlines a set of policies and procedures for employee sick leave.
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Policies & Procedures
Standards of Conduct Policy
This policy includes standards for work performance, unauthorized possession or removal of property, and failure to safe...
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Policies & Procedures
Grievance Policy and Procedures
This sample outlines a set of procedures to follow for employees to file grievances and the related resolution process.
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Policies & Procedures
New Hire Paperwork - Pay Data Policy
The following sample outlines a set of policies and procedures for new hire paperwork - pay data.
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Policies & Procedures
New Hire Paperwork Policy
The following sample outlines a set of policies and procedures for new hire paperwork.
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Policies & Procedures
Vacation Policy
The following sample outlines a set of policies and procedures for employee vacation accrual.
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Policies & Procedures
Accounts Receivable – Employee Receivable Policy
This sample policy outlines the requirements for approving, processing and collecting employee receivables.
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Audit Programs
Adoption Assistance Audit Work Program
The objective of this work program is to assess the internal controls in place for the adoption assistance process.
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Policies & Procedures
Relocation Assistance Policy
The following sample outlines a set of policies and procedures for relocation assistance.
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Policies & Procedures
Referral Bonus Policy
The following sample outlines a set of policies and procedures for referral bonuses to encourage employees to become inv...
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Policies & Procedures
Military Leave of Absence Policy
The following sample outlines a set of policies and procedures for military leave of absence.
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Policies & Procedures
Hourly Payroll Policy
This policy provides consistent hourly payroll processing procedures to ensure adequate standards of internal accounting...
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Policies & Procedures
Independent Contractor Policy
This sample outlines a set of policies and procedures for hiring and paying independent contractors, including the defin...
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Policies & Procedures
Internal Transfer/Job Posting Policy
This sample outlines a set of policies and procedures for an internal transfer or job posting, to foster a workplace whe...
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Policies & Procedures
Jury Duty Policy
The following sample outlines a set of policies and procedures to allow employees to fulfill their civic obligation to j...
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Policies & Procedures
Overtime Policy
The following sample outlines a set of policies and procedures for overtime worked to ensure compliance with relevant re...
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Policies & Procedures
Personal Leave of Absence Policy
The following sample outlines a set of policies and procedures for personal leave of absence to coordinate the needs of ...
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Policies & Procedures
Personnel Records Policy
The following sample outlines a set of policies and procedures to keep company personnel records and employee health fil...
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Policies & Procedures
Smoking Policy
The following sample outlines a set of policies and procedures to prohibit smoking in the workplace.
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Policies & Procedures
Tuition Reimbursement Policy
The following is a sample policy statement for Tuition Reimbursement.
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Policies & Procedures
Alcohol and Other Drugs Policy
The following is a sample policy statement for use of alcohol and other drugs in the workplace.
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Policies & Procedures
Background Checks Policy
The following sample outlines a set of policies and procedures for background checks, which includes verification of: Ed...
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Policies & Procedures
Workers' Compensation Policy
The following sample outlines a set of policies and procedures for workers' compensation.
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Blog
A Guide to Reviewing Your Organization’s Data Mining and Data Analytics Practices
In the realm of computer science, the term data mining is interchangeable with the term knowledge discovery...
Blog
Best Practices for Developing Strong Public Relations
Are you using strong strategic communication processes that build great relationships between your organiza...
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
How Can Human Resources Risk Be Managed?
“All of the blame and none of the praise”
This was how one Human Resource professional described their job...
Blog
How to Keep Your Organization’s Policies Up to Date
Defined policies and procedures play an integral role in efficient and effective company operations. They a...
Blog
Human Resources Best Practices: Tools to Help Meet the Challenge
The Challenge
Human resources (HR) professionals have a real and ongoing responsibility to the employees o...
Blog
Important Factors of Data Analytics You Need to Know
Auditors can use data analytics to avoid the massive waste spending that often goes hand-in-hand with hiri...
Blog
Ten Tips You Need to Know for Making High-Impact Presentations
In order to be a high-performing auditor, you must be able to deliver messages in a clear and compelling m...