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M2. Performance Monitoring
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OCEG Contributed
OCEG Measurement & Metrics Guide
Measurement & Metrics Guide (MMG) Full Listing
Elephant in the Room: Program Evaluation and Performance Measurement
OCEG One Minute Poll: Evaluate What?
OCEG 2008 Benchmarking Series Report: GRC Measurement and Metrics
OCEG One Minute Poll: How Do You Screen Vendor Compliance? September, 2011
M1 Monitoreo del Contexto-v2.1
M2 Monitoreo del Desempeno.v2-1
OCEG Internal Audit Guide
AICPA, Auditing Standards
IIA, Using Nonfinancial Measures to Assess Fraud Risk (2008)
SEC Publishes Its Guidance for Management on Evaluating Internal Controls (FSA, IIA, 2007)
Burgundy Book (GRC Assessment Tools) v2.1.1
ARRA and Single Audits: Addressing the Risks and Challenges (2010)
Treasury Board of Canada Secretariat Internal Audit Web Site
Whistleblower Protection: Sustained Management Attention Needed to Address Long-standing Program Weaknesses (GAO, 2010)
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
Consultation Paper on Corporate Governance Regulations and Guidelines, Monetary Authority of Singapore, March 2010
Asian Corporate Governance Association (ACGA) - Singapore Codes and Rules
OMB Circular A-133 Compliance Supplement March 2009
AICPA, Technical Practice Aid 8700.03, “Auditor’s Responsibilities for Subsequent Events Relative to a Conduit Debt Obligor" (September 2010)
Member Contributed
Evaluating Governance, Risk & Compliance Effectiveness
Evaluating Governance, Risk & Compliance Performance
EthicsPoint: Tools and Insight to Achieve Corporate GRC Maturity
Information Systems Audit and Control Association (ISACA)
Federal Financial Institutions Examination Council (FFIEC) IT Handbook Infobase
American Society for Quality
Auditing System Conversions (IIA)
Conduct an Ethics Audit (The Physician's Resource)
Ethics Audit Essential for Every Business (2004)
Audit Your Ethics
Technology - The Institute of Internal Auditors (IIA)
Information Technology Process Institute (ITPI) Reading Room
Tripwire Documents: White Papers Collection
GAO/NSAA, Management Planning Guide for Information Systems Security Auditing (2001)
IT Security, IIA Resources Page
SANS, What Works in Internet Security
International Systems Security Engineering Association (ISSEA)
CCCure.org - An Open Study Guides Web Site
Professional Security Testers Web Site
Forrester Research
GAO Special Publications: Computer and Information Technology
UK, Office of Government Commerce (OGC) Successful Delivery Toolkit
Office of Government Commerce (OGC) IT Infrastructure Library (ITIL)
Chief Information Officers Council (CIO)
FAQs for COSO's Enterprise Risk Management Integrated Framework
COSO, Enterprise Risk Management Integrated Framework: Executive Summary
DHS, Risk Management Approaches to Protection (October 2005)
Enterprise Governance: Getting the Balance Right (2003)
Sarbanes-Oxley Sections 302 & 404: A White Paper Proposing Practical, Cost Effective Compliance Strategies (April 2003)
International Organization for Standardization (ISO)
International Organization for Standardization (ISO) Understand the basics
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
Nasdaq Code of Conduct for the Board of Directors
Nasdaq, Summary of Corporate Governance Proposals
Nasdaq, Corporate Governance (2004)
NASDAQ Stock Market, Inc. Corporate Governance Guidelines for the Board of Directors
New York Stock Exchange (NYSE), Corporate Governance
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)
Corporate Compliance Programs in the Aftermath of Sarbanes-Oxley (ABA)
FRB, To the Officer in Charge of Supervision and Appropriate Supervisory and Examination Staff at each Federal Reserve Bank and to each Domestic and Foreign Banking Organization Supervised by the Federal Reserve (2002)
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
FDIC, Strategies for Enhancing Corporate Governance, Audit Report No. 04-032 (2004)
Compliance Assessments: A First Step Toward Ensuring an Effective Compliance Program (2005)
SEC, Field Offices Integrity Program (2005)
Defense Ethics Program: Opportunities Exist to Strengthen Safeguards for Procurement Integrity (GAO Report, April 2005)
Time Is Ticking On QAS Compliance
Sustaining SOX Compliance: Moving from chaos to consistency (2005)
Time to Consider Revising Compliance and Ethics Programs in Light of New Federal Sentencing Guidelines (2004)
Federal Sentencing Guidelines: Enterprise Risk Management (2004)
SEC, Briefing Paper: Roundtable on Implementation of Internal Control Reporting Provisions (2005)
SEC, Spotlight On: Internal Control Reporting Provisions
Key Elements of Antifraud Programs and Controls (2003)
Seven Habits Of Highly Effective Compliance Programs, Executive Summary (July 12, 2005)
Internal Control Guide for Managers, The State of Massachusetts, Office of the Comptroller
United Kingdom, The Orange Book Management of Risk - Principles and Concepts (2004)
Building a Partnership for Effective Compliance: The Third Government-Industry Roundtable
2007 National Business Ethics Survey (ERC)
OCEG Corporate Governance Maturity Model
OCEG Corporate Compliance and Ethics Maturity Model
J-SOX Newsletter, Issue No.1
20 Questions Directors Should Ask About Internal Audit (2d Edition, 2007)
Auditing a Compliance and Ethics Program (2007)
OCEG Metrics Qualification Tool
SEC Interpretation, Commission Guidance Regarding Management's Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (June 27, 2007)
SEC, Final Rule: Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting (2007)
Approva 2007 Compliance Survey Results
Measuring the Effectiveness and Performance of Your Program (July 2007)
SEC, Definition of the Term Significant Deficiency - Final Rule (2007)
OCEG Internal Audit Guide - Executive Summary
Internal Control from a Risk-Based Perspective (IFAC, 2007)
Looking for Risk in all the Right Places (2006)
Measurement & Metrics Guide Executive Summary
Measurement Program Strategy Template
Guide 6: Managing and Auditing IT Vulnerabilities (IIA, 2007)
PCOAB, Standards - Staff Questions and Answers
SEC, Commission Statement on Implementation of Internal Control Reporting Requirements
AICPA, Audit Committee Effectiveness Center
AICPA Antifraud & Corporate Responsibility Resource Center
AICPA, Audit and Attest Standards
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)
Ethics Resource Center (ERC)
Business Ethics
TheCRO: The Magazine of Corporate Responsibility
Ethics in Computing
U.S. Office of Government Ethics (OGE) Web site
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Related terms
M2. Performance Monitoring
M1. Context Monitoring
M3. Systemic Improvement
M4. Assurance
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