M2. Performance Monitoring

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Canada

Treasury Board of Canada Secretariat Internal Audit Web Site

Multinational

ISO 14001:2004 - Environmental management systems -- Requirements with guidance for use (Purchase Site)
ISO Management Standards - Specific applications
International Organization for Standardization (ISO)

United States

SEC, Public Company Accounting Oversight Board: Releases Issued by the SEC on PCAOB Rule Proposals
SEC, Field Offices Integrity Program (2005)
SEC, Spotlight On: Internal Control Reporting Provisions
Time Is Ticking On QAS Compliance
Time to Consider Revising Compliance and Ethics Programs in Light of New Federal Sentencing Guidelines (2004)
Nasdaq, Summary of Corporate Governance Proposals
NASDAQ Stock Market, Inc. Corporate Governance Guidelines for the Board of Directors
Defense Ethics Program: Opportunities Exist to Strengthen Safeguards for Procurement Integrity (GAO Report, April 2005)
Sarbanes-Oxley Sections 302 & 404: A White Paper Proposing Practical, Cost Effective Compliance Strategies (April 2003)
Measuring the Effectiveness and Performance of Your Program (July 2007)
Building a Partnership for Effective Compliance: The Third Government-Industry Roundtable
ISO 9000 essentials (9001:2008)
DHS, Risk Management Approaches to Protection (October 2005)
Federal Sentencing Guidelines: Enterprise Risk Management (2004)
Key Elements of Antifraud Programs and Controls (2003)
Internal Control Guide for Managers, The State of Massachusetts, Office of the Comptroller
Public Company Accounting Oversight Board: Standards Setting, Text of Auditing Standards and Standards Related Rules
Compliance Assessments: A First Step Toward Ensuring an Effective Compliance Program (2005)
Measurement & Metrics Guide (MMG) Full Listing
ISO Code of Ethics
ISO Annual Reports
ISO, 14000 Family of International Standards
Nasdaq Code of Conduct for the Board of Directors
ISO, Quality management principles
Selection and Use of the ISO 9000:2000 family of standards (ISO 9001:2000.)
OCEG Measurement & Metrics Guide
ISO 9001 Auditing Practices Group
ISO 9001 Accreditation Auditing Practices Group
2007 National Business Ethics Survey (ERC)
PCOAB, Standards - Staff Questions and Answers
SEC, Commission Statement on Implementation of Internal Control Reporting Requirements
Federal Financial Institutions Examination Council (FFIEC) IT Handbook Infobase
GAO/NSAA, Management Planning Guide for Information Systems Security Auditing (2001)
SEC, Briefing Paper: Roundtable on Implementation of Internal Control Reporting Provisions (2005)
U.S. Office of Government Ethics (OGE) Web site
Chief Information Officers Council (CIO)
Auditing System Conversions (IIA)
Conduct an Ethics Audit (The Physician's Resource)
Ethics Audit Essential for Every Business (2004)
Audit Your Ethics
Information Technology Process Institute (ITPI) Reading Room
Looking for Risk in all the Right Places (2006)
Auditing a Compliance and Ethics Program (2007)
COSO, Internal Control - Integrated Framework Executive Summary
TheCRO: The Magazine of Corporate Responsibility
J-SOX Newsletter, Issue No.1
Elephant in the Room: Program Evaluation and Performance Measurement
AICPA, Audit and Attest Standards
Guide 6: Managing and Auditing IT Vulnerabilities (IIA, 2007)
OCEG Internal Audit Guide
Institute of Internal Auditors (IIA)
Board of Environmental, Health & Safety Auditor Certifications (BEAC)
Frequently Asked Questions (FAQs) About the Internal Audit Profession, IIA
National Association of Corporate Directors (NACD)
AICPA, Audit Committee Effectiveness Center
Ethics Resource Center (ERC)
Information Systems Audit and Control Association (ISACA)
American Society for Quality
Technology - The Institute of Internal Auditors (IIA)
IT Security, IIA Resources Page
International Systems Security Engineering Association (ISSEA)
CCCure.org - An Open Study Guides Web Site
Ethics & Compliance Officer Association (ECOA)
Ethics in Computing
Expressing an Opinion on Internal Control Resources, IIA
Sustainable Development, IIA
AICPA Antifraud & Corporate Responsibility Resource Center
Business Ethics
Professional Security Testers Web Site
Forrester Research
Office of Government Commerce (OGC) IT Infrastructure Library (ITIL)
Guidance: Popular Internal Audit Guidance Downloads, IIA
SEC, Final Report of the Advisory Committee on Smaller Public Companies (2006)
Role of Internal Audit in Sensitive Communications, IIA
Sarbanes-Oxley Section 404 Work: Looking at the Benefits, IIA
GAO Special Publications: Computer and Information Technology
Approva 2007 Compliance Survey Results
Tools and Resources for Ethics, IIA
Responsible Care ToolKit
SANS, What Works in Internet Security
OCEG Metrics Qualification Tool
Complete Guide to Ethics Management: An Ethics Toolkit for Managers
Taking Control: A Guide to Compliance with Section 404 of the Sarbanes-Oxley Act of 2002
Sarbanes-Oxley Section 404: 10 Threats to Compliance (2006)
Compliance Journey: Making Compliance Sustainable (KPMG, 2005)
How to move your company to sustainable Sarbanes-Oxley compliance - from project to process (2002)
Guide to the Sarbanes-Oxley Act: Internal Control Reporting Requirements - Frequently Asked Questions Regarding Section 404 (2003)
Tripwire Documents: White Papers Collection
Internal Control from a Risk-Based Perspective (IFAC, 2007)
Sustaining SOX Compliance: Moving from chaos to consistency (2005)
New York Stock Exchange (NYSE), Corporate Governance
Nasdaq, Corporate Governance (2004)
USSC, Amendments to the Sentencing Guidelines - Reader Friendly Version of Amendments (Aprill 28, 2011)
Brief Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
ARRA and Single Audits: Addressing the Risks and Challenges (2010)
OMB Circular A-133 Compliance Supplement March 2009

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Related terms
M2. Performance Monitoring
M1. Context Monitoring
M3. Systemic Improvement
M4. Assurance
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