Process-Level Control

The following 94 items are listed by Content Data.
Checklists & Questionnaires

Process Control Questionnaire: Managing Patient Financial Services

This document demonstrates one way that an internal auditor can creatively use a simple questionnaire to gain an underst...
Subscriber Content
Tue, Feb 19, 2019
Risk & Control Matrices - RCMs

Manage Service Contracts: Entering Contracts into the System RCM

This document outlines risks and controls common to the ‘‘support end users” process in a risk control matrix (RCM) form...
Subscriber Content
Mon, Feb 11, 2019
Checklists & Questionnaires

Month-End Walk-Through Questionnaire

This tool provides questions to consider when reviewing an organization's month-end close process and determining whethe...
Subscriber Content
Mon, Feb 11, 2019
Checklists & Questionnaires

Sarbanes-Oxley Sustainable Compliance Questionnaire

This questionnaire addresses how organizations can make Sarbanes-Oxley compliance sustainable while improving business p...
Subscriber Content
Mon, Jan 21, 2019
Checklists & Questionnaires

Control Self-Assessment Questionnaire: Financial Reporting and General Ledger

This sample helps a company determine whether its established controls for financial reporting and the general ledger ar...
Subscriber Content
Mon, Dec 3, 2018
Checklists & Questionnaires

IT Operations Management Self-Assessment Questionnaire

This tool is a high-level self-assessment questionnaire for use by an auditee prior to reviewing an organization’s infor...
Subscriber Content
Mon, Nov 19, 2018
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
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