Process-Level Control

The following 92 items are listed by Content Data.
Checklists & Questionnaires

IT Application Management Self-Assessment Questionnaire

This high-level self assessment questionnaire can be used by an auditee prior to a review of IT application management.
Subscriber Content
Mon, Nov 5, 2018
Checklists & Questionnaires

IT Asset Management Self-Assessment Questionnaire

This tool includes questions to consider when reviewing an organization’s IT management process.
Subscriber Content
Mon, Oct 29, 2018
Risk & Control Matrices - RCMs

Manage Fixed Assets: Disposals RCM

This document outlines risks and controls common to the “disposal risk” aspect of the fixed assets process in a risk con...
Subscriber Content
Mon, Oct 22, 2018
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
Mon, Sep 24, 2018
Guides

Process Overview Form Guide

This sample document provides instructions on using process overview forms and includes a blank template and a completed...
Subscriber Content
Mon, Jul 2, 2018
Checklists & Questionnaires

Quarterly Internal Control Self-Assessment Questionnaire

This questionnaire helps to identify company’s internal control issues in order to maximize internal audit resources and...
Subscriber Content
Mon, Apr 2, 2018
Audit Reports

Sarbanes-Oxley Section 404 Process Prioritization Audit Report

This document outlines the process that management utilizes for determining the final process criticality for a SOX 404 ...
Subscriber Content
Mon, Jan 8, 2018
Risk & Control Matrices - RCMs

Purchase Materials and Supplies: P-Card Purchases RCM

This document outlines risks and controls common to the p-card purchases component of the “purchase materials and suppli...
Subscriber Content
Mon, Oct 23, 2017
Policies & Procedures

IT Automated Controls Policy

This sample policy outlines the internal control testing processes and the testing frequency of automated controls at a ...
Subscriber Content
Mon, Aug 7, 2017
Guides

Process Documentation Narrative and Flow Chart Guide

This guide outlines documentation techniques to develop an adequate understanding of any processing environment. It also...
Subscriber Content
Mon, Jul 24, 2017
Checklists & Questionnaires

Internal Controls Structure Questionnaire

The purpose of this questionnaire is to help in the assessment of a company’s general controls and internal controls by ...
Subscriber Content
Mon, Mar 6, 2017
Process Flows

Tax Process Flow

This sample tax process flow focuses on income tax provision, forecast of annual book income, tax reserves, discrete ite...
Subscriber Content
Mon, Dec 5, 2016