This is a template for control self assessments and includes assessment factors and examples of strong and weak controls.

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 ...

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 ...

COSO - Integrated Internal Control Framework COSO CONTROL COMPONENT: CONTROL ACTIVITIES COSO CONTROL OBJECTIVE: OPERATIONS - Treasury - Borrowings. COSO ORGANIZATION LEVEL OF RESPONSIBILITY: BUSINESS ...

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 ...

RISKS Failure to perform complete and/or timely account reconciliations. CONTROLS Establish template to perform reconciliations; Conduct training on how to use reconciliations. Rotate ...

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: ...

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 ...

COSO - Enterprise Risk Management - Integrating with Strategy and Performance COSO Component : Governance and Culture COSO Principle # 3: Establishing Operating Structures Function: Budgeting COSO -2017 ...

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. ...

This is a template for control self assessments and includes assessment factors and examples of strong and weak controls.

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 ...

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 ...

COSO - Integrated Internal Control Framework COSO CONTROL COMPONENT: CONTROL ACTIVITIES COSO CONTROL OBJECTIVE: OPERATIONS - Treasury - Borrowings. COSO ORGANIZATION LEVEL OF RESPONSIBILITY: BUSINESS ...

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 ...

RISKS Failure to perform complete and/or timely account reconciliations. CONTROLS Establish template to perform reconciliations; Conduct training on how to use reconciliations. Rotate ...

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: ...

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 ...

COSO - Enterprise Risk Management - Integrating with Strategy and Performance COSO Component : Governance and Culture COSO Principle # 3: Establishing Operating Structures Function: Budgeting COSO -2017 ...

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. ...

This template covers the following areas: Policies & Procedures Board Composition Board Oversight Risk Acceptance Each area includes details for each column: Objective Risk Risk Indication ...

RISKS Improper safeguarding of capital assets Improper valuation Improper write-off Lack of documentation to support capitalization Asset does not exist Misuse of asset Improper recording ...

NOTE: The Tool/Template/Work Product in this workbook includes a template and instructions for using the template to develop an internal controls assessment, as well as an example internal controls assessment. ...

Objective(s) Purchasing function is performed in accordance with management’s policies and procedures. Purchasing is performed in an effective, efficient, and economical manner. Purchasing function ...

Verify the existence of accounts receivable employees and that the controls designed work properly. Audit objectives for the working paper: 1- Verify compliance with the authorization controls of accounts ...

DATA ANALYSIS USES TECHNOLOGY to detect anomalies, patterns, and risk indicators within the data set. It can be used to establish a hypothesis or to quantify detected issues if the hypothesis was found ...

Title of the Audit Working Paper(s): IT Risk Management - IT Governance and Control system Purpose of the working paper. In simple IT Risk Management Framework is set of best practices and internal controls ...

Framework of how to develop and maintain an effective insider threat program. These guidelines reflect surveyed financial services firms and do not wholly represent all suggested best practices. #Operational-IT-Fraud ...

Objective In accordance with the Internal Audit Plan approved by the Audit Committee, the Department of Internal audit will perform an audit of the Budget Process and Related Controls.    This communication ...

Planning The auditor should determine whether specialized skill or knowledge is needed. The engagement team may need specialized skill or knowledge in the areas of cryptography, distributed ledger ...