P1. Proactive Actions & Controls

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Staying Out of Trouble: The Role of a Global Anti-Corruption Program resource Articles OCEG Reviewed
Submitted by OCEG Staff on Mar, 11 2008
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BY WILLIAM HENDERSON
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Operational Controls event WebinarOCEGFree Recorded
Tuesday June 26, 2007 3:00pm
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Effective operational controls add value by ensuring that the people, processes and technology which drive the organization’s core functions remain aligned. In addition to flagging potential risks as they occur, operational controls can identify misalignments that arise from inefficient business processes, poor training, improperly configured IT systems and fraud.
Operational Controls -
 
Effective operational controls add value by ensuring that the people, processes and technology which drive the organization’s core functions remain aligned.
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OCEG for Technology marketing
The OCEG Technology Council (TC) was formed to address strategic, operational and technical issues that professionals face when applying Information Technology to governance, risk, compliance (GRC) and ethics management. Technology Council members meet monthly in specialized working groups focused on GRC technology standards, implementation tools and taxonomy. The entire council convenes to review the progress of the working groups, discuss key issues facing GRC and IT professionals, and to identify new technology program opportunties for OCEG.
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Why is GRC important? blog
Submitted by nmarks on May, 17 2010

I have been blogging about what GRC is, advocating the definition developed by the Open Compliance and Ethics Group, OCEG (see this and subsequent posts). But, I haven’t really talked about why the concept of GRC has value.

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Bribery Act of 2010, United Kingdom resource National Laws

The Bribery Act applies to both public and private corporations, and to individuals.

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Business Continuity Maturity Model® (BCMM®) resource OCEG Reviewed
The Business Continuity Maturity Model® (BCMM®) is a free open access tool created to assist businesses in building and maintaining a sustainable BC program. New standards for business continuity are continuously emerging, pressuring BC managers to find a business continuity program diagnostic tool that is objective, consistent and repeatable.
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FFIEC, Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Examination Manual (2010) resource Agency Guidances

Introduction: This Federal Financial Institutions Examination Council (FFIEC) Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Examination Manual provides guidance to examiners for carrying out BSA/AML and Office of Foreign Assets Control (OFAC) examinations.

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AS8015-2005 - Australian Standard for Corporate Governance of Information and Communication Technology (ICT) resource International Materials OCEG Reviewed
The standard provides a framework through which "Directors", those to whom they turn to for advice or those to whom they delegate responsibilities for managing the operations of the organisation, such as Senior managers, technical specialists, vendors and service providers, can understand their obligations and work more effectively to maximise the return and minimise the cost of ICT to their organisations.   AS8015 was adopted as ISO/IEC 38500 in May 2008.
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New York Stock Exchange (NYSE) Listed Company Manual resource Guides  Member contributionOCEG Reviewed

The New York Stock Exchange Listed Company Manual is the comprehensive rulebook for listed companies. The Manual also details original and continued listing requirements of the Exchange and sets forth NYSE rules and policies on such matters as corporate governance, shareholder communications, and shareholder approval.

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Federal Sentencing Guidelines Manual §8B2.1. Effective Compliance and Ethics Program (2010) resource Agency Guidances Member contributionOCEG Reviewed

To have an effective compliance and ethics program, for purposes of subsection (f) of §8C2.5 (Culpability Score) and subsection (c)(1) of §8D1.4 (Recommended Conditions of Probation - Organizations), an organization shall -

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Related terms
P7. Risk Financing
P5. Incentives
P4. Education
P2. Codes Of Conduct
P1. Proactive Actions & Controls
P3. Policies
P6. Stakeholder Relations