D2. Notification

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OCEG Contributed

Helpline & Hotline Handbook (HHH)
OCEG One Minute Poll: Worry About Retaliation?
D2 Notificacion-v2.1
Why Corporate Defence Management is a Strategic Imperative (2006)
Challenges Facing Contemporary Corporate Defense (2006)
An Executive Guide to Corporate Defence Management (CDM) (2006)
Corporate Defence Continuum, Governance, Risk and Compliance, The (Part 1) (2007)
New E-Discovery Burden, The (2007)
Examining E-Discovery Chain of Custody (2007)
California, Electronic Discovery: Legislation and Rules (2008)
Judicial Council proposes new electronic discovery rules (2008)
Issue and Incident Investigation
NIST, Computer Security Incident Handling Guide (2008)
OCEG for Technology
2006 Corporate Governance and Compliance Hotline Benchmarking Report (Deloitte)

Member Contributed

High-Performing Investigations Management
Federal Sentencing Guideline Manual, 2006 (Complete Text with Links to Appendices)
International Organization for Standardization (ISO)
ISO, 14000 Family of International Standards
ISO 14001:2004 - Environmental management systems -- Requirements with guidance for use (Purchase Site)
ISO 9000 essentials (9001:2008)
ISO Management Standards - Specific applications
ISO, Quality management principles
ISO 9001 Auditing Practices Group
ISO 9001 Accreditation Auditing Practices Group
ISO Code of Ethics
ISO Annual Reports
ISO Strategic Plan 2005 – 2010
Implementation of the Sarbanes-Oxley Act and Restoring Investor Confidence
USSC, Report of the Ad Hoc Advisory Group on the Organizations Sentencing Guidelines (2003)
Sarbanes-Oxley "Hotline" Procedures: Who Should Be Doing the Listening? (2003)
Sarbanes Oxley Ethical Hotlines: Options for Compliance with EU Laws
Anonymous Sarbanes-Oxley Hotlines in the E.U.: Practical Compliance Guidance for Global Companies
Fraud Prevention: An Investment No One Can Afford to Forego (2006)
Selection and Use of the ISO 9000:2000 family of standards (ISO 9001:2000.)
Case for Compliance, The: An article from the American Bar Association (ABA, 2003)
Sarbanes-Oxley (SOX), Section 105: Investigations and Disciplinary Proceedings
PCAOB Rulemaking: Public Company Accounting Oversight Board; SEC Order Approving Proposed Rules Relating to Investigations and Adjudications (2004)
IRS, Corporate Fraud - Criminal Investigation (CI)
DOJ, Prosecuting Corporate Crimes
SEC, Division of Enforcement
FRB, Effective Corporate Governance and the Role of Counsel, Federal Reserve Board
SEC, Office of the Chief Accountant (OCA)
SEC, International Reporting and Disclosure Issues in the Division of Corporation Finance
Investigating Tips from the Hotline: An Examination of the Unique Oversight Done by Corporate Directors
Turning a Deft Ear to Signs of Corporate Foul Play (NACD)
Sarbanes-Oxley 'Ax', The (2005)
Corporate Compliance Programs in the Aftermath of Sarbanes-Oxley (ABA)
Public Company Accounting Oversight Board
Public Company Accounting Oversight Board: Standards Setting, Text of Auditing Standards and Standards Related Rules
SEC, Public Company Accounting Oversight Board: Releases Issued by the SEC on PCAOB Rule Proposals
Association of Certified Fraud Examiners (AFCE)
DOJ, Fraud Section
Corporate and Criminal Fraud Accountability Act: Sectional Analysis
Best Practices in Ethics Hotlines: A Framework for Creating an Effective Anonymous Reporting System (2006)
Hotlines News Room
Advisory Group on Organizational Guidelines to the United States Sentencing Commission
Compliance Programs, Codes of Conduct, Whistleblowers and Hotlines (2004)
General Rules and Regulations Promulgated under the Securities Exchange Act of 1934
Key Elements of Antifraud Programs and Controls (2003)
Creating a Non-Retaliatory Workplace Survey Results (2005)
Helpline/Hotline Operation in France: CNIL Requirements and the Single Authorization Process Explained
Whistleblower.Org: Government Accountability Project
Federal Whistleblower and Retaliation Laws
Report to the Nation on Occupational Fraud and Abuse
2007 National Business Ethics Survey (ERC)
Fraud Hotlines: Early Warning Systems (2003)
Compliance Program Reporting Mechanisms: Hotlines and Whistleblowers (April 2005)
Anonymous Submission of Suspected Wrongdoing (Whistleblowers)
Practical Solutions for Dealing with Whistleblowers
It's Not Your Father's Hotline (2005)
Who Blows the Whistle on Corporate Fraud? (2007, Rev. 2011)
Managing Preservation Obligations After The 2006 Federal E-Discovery Amendments (2007)
Electronic Discovery Best Practices (2004)
Plan for E-Discovery Should be in Place Now, A (2007)
Looking for Risk in all the Right Places (2006)
Role of Internal Audit in Sensitive Communications, The (IIA, 2006)
Inquiry & Issue Resolution Process RACI Development Tool
Helpline/Hotline Capability Development RACI Tool
Helpline/Hotline Issue Management Executive Briefing
Issue & Inquiry Project Charter Template
Accommodating Would-be Whistleblowers (2005)
Measurement & Metrics Guide Executive Summary
SEC, Final Rule - Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002

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D2. Notification
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