This is a template for control self assessments and includes assessment factors and examples of strong and weak controls.
201605CSATemplate.xlsx
Microsoft Excel worksheet for a third party risk assessment questionnaire. Do you have a member of your organization with dedicated information security duties? Is a background check required for all employees accessing and handling the organization's data? Does the organization have written...
201602Third_Party_Security_Risk_Assessment_Questionnaire.xlsx
Audit Objectives for Accounts Receivable A. Accounts receivable are authentic obligations owed to the company at the balance sheet date (assertions E/O, R/O, and V/A). B. Accounts receivable include all amounts owed to the company at the balance sheet date (assertion C). ...
Accounts_Receivables_with_Data_Analytic_Tests.xlsx
COSO - Integrated Internal Control Framework COSO CONTROL COMPONENT: CONTROL ACTIVITIES COSO CONTROL OBJECTIVE: OPERATIONS - Treasury - Borrowings. COSO ORGANIZATION LEVEL OF RESPONSIBILITY: BUSINESS UNITS AND ACTIVITY LEVEL Control Objectives: Ensure that all debts correspond to valid...
COSOICFC3CATreasuryBorrowings.xlsx
Payroll Schemes Perpetrator (internal or external to the organization) produces false documents (sales order, time cards, false employee hiring records) that cause the company to unknowingly issue a check.4 The schemes fall into the following sub-categories: Ghost employees – payments to...
201505FraudPayroll.xlsx
RISKS Failure to perform complete and/or timely account reconciliations. CONTROLS Establish template to perform reconciliations; Conduct training on how to use reconciliations. Rotate responsibility of performing and reviewing reconciliations. Management review Segregation...
Operations_Financial_Management_Risk_Control_Matrix_Template.xlsx
INTERNAL CONTROLS GDPR - GENERAL DATA PROTECTION REGULATION CHAPTER V: Transfers of personal data to third countries or international organizations ARTICLE: 47 - Binding corporate rules GENERAL GUIDELINES: This Document contains the Internal Controls based on the regulation of GDPR (General...
GDPR_Article_47_Binding_corporate_rules.xlsx
An Audit Activity to provide Management with an objective assessment of contractors’ or vendors’ compliance to the terms and conditions of the contracts/agreements. Objective and Role: The objective of Vendor Audit is to develop an audit function comprising of qualified resources to...
Vendor_Audit.xlsx
COSO - Enterprise Risk Management - Integrating with Strategy and Performance COSO Component : Governance and Culture COSO Principle # 3: Establishing Operating Structures Function: Budgeting COSO -2017 - Enterprise Risk Management - Integrating with Strategy and Performance, Risk influences an...
COSO_ERM_2017_Governance_Culture_budgeting.xlsx
Title of the Audit Working Paper(s): Climate Change - EU Audit Program Purpose of the working paper. Review of the Company's Climate Change EU reporting metrics Audit objectives for the working paper. To ensure that the Company is reporting their Climate Change EU metrics using a standardized...
ESG_Reporting_EU_Climate_Change_Audit_Program.xlsx