M2. Performance Monitoring

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Anti-Corruption & Fraud, GRC Capability and Processes, Whistleblowing and Retaliation

Key Elements of Antifraud Programs and Controls (2003)

Finance & Accounting, Governance, Risk Assessment

Consultation Paper on Corporate Governance Regulations and Guidelines, Monetary Authority of Singapore, March 2010

GRC Capability and Processes

Enterprise Governance: Getting the Balance Right (2003)
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)
FDIC, Strategies for Enhancing Corporate Governance, Audit Report No. 04-032 (2004)
Seven Habits Of Highly Effective Compliance Programs, Executive Summary (July 12, 2005)
Compliance Assessments: A First Step Toward Ensuring an Effective Compliance Program (2005)
ISO Code of Ethics
ISO Annual Reports
Nasdaq Code of Conduct for the Board of Directors

GRC Capability and Processes, Audit & Evaluation

Nasdaq, Summary of Corporate Governance Proposals
NASDAQ Stock Market, Inc. Corporate Governance Guidelines for the Board of Directors
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)
ISO, 14000 Family of International Standards
ISO 14001:2004 - Environmental management systems -- Requirements with guidance for use (Purchase Site)
International Organization for Standardization (ISO)

GRC Capability and Processes, GRC Planning and Organization, Audit & Evaluation

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

GRC Capability and Processes, Risk Assessment

DHS, Risk Management Approaches to Protection (October 2005)

GRC Capability and Processes, GRC Planning and Organization, Governance, Ethical Culture

USSC, Amendments to the Sentencing Guidelines - Reader Friendly Version of Amendments (Aprill 28, 2011)

GRC Planning and Organization

Building a Partnership for Effective Compliance: The Third Government-Industry Roundtable

GRC Planning and Organization, Research and Survey Reports

OCEG 2008 Benchmarking Series Report: GRC Measurement and Metrics

GRC Process and Technology Standards, GRC Assessment Tools

Burgundy Book (GRC Assessment Tools) v2.1.1

Governance, Audit & Evaluation

New York Stock Exchange (NYSE), Corporate Governance

Governance

Nasdaq, Corporate Governance (2004)
Asian Corporate Governance Association (ACGA) - Singapore Codes and Rules

Governance, Executive Compensation

Brief Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

OCEG Guides and Handbooks

OCEG Measurement & Metrics Guide
OCEG Internal Audit Guide

Risk Assessment

United Kingdom, The Orange Book Management of Risk - Principles and Concepts (2004)
Looking for Risk in all the Right Places (2006)

Risk Assessment, Audit & Evaluation

Federal Sentencing Guidelines: Enterprise Risk Management (2004)

Ethical Culture, Audit & Evaluation

SEC, Field Offices Integrity Program (2005)
Time to Consider Revising Compliance and Ethics Programs in Light of New Federal Sentencing Guidelines (2004)

GRC Tools and Templates

OCEG Metrics Qualification Tool

Investigations

SEC, Public Company Accounting Oversight Board: Releases Issued by the SEC on PCAOB Rule Proposals
Public Company Accounting Oversight Board: Standards Setting, Text of Auditing Standards and Standards Related Rules

Audit & Evaluation

SEC, Spotlight On: Internal Control Reporting Provisions
Time Is Ticking On QAS Compliance
Defense Ethics Program: Opportunities Exist to Strengthen Safeguards for Procurement Integrity (GAO Report, April 2005)
SEC, Briefing Paper: Roundtable on Implementation of Internal Control Reporting Provisions (2005)
Sustaining SOX Compliance: Moving from chaos to consistency (2005)
ARRA and Single Audits: Addressing the Risks and Challenges (2010)
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)
Treasury Board of Canada Secretariat Internal Audit Web Site

Audit & Evaluation, One Minute Polls

OCEG One Minute Poll: Evaluate What?

Audit & Evaluation, Education & Training

Evaluating Governance, Risk & Compliance Performance

One Minute Polls

OCEG One Minute Poll: How Do You Screen Vendor Compliance? September, 2011

Training & Education

Complete Guide to Ethics Management: An Ethics Toolkit for Managers

Education & Training

Proving the Value of Governance, Risk & Compliance
Evaluating Governance, Risk & Compliance Effectiveness

Whistleblowing and Retaliation

Whistleblower Protection: Sustained Management Attention Needed to Address Long-standing Program Weaknesses (GAO, 2010)

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OCEG All Access Pass

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