M2. Performance Monitoring | by OCEG the Open Compliance and Ethics Group

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

Key Elements of Antifraud Programs and Controls (2003)

Core Knowledge / OCEG Publications, OCEG Guides, Handbooks, Maturity Models, Audit & Evaluation

Burgundy Book (GRC Assessment Tools) v2.1.1

Finance & Accounting, Governance, Risk Assessment

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

OCEG Guides, Handbooks, Maturity Models, Risk Assessment

OCEG Measurement & Metrics Guide

OCEG Guides, Handbooks, Maturity Models

OCEG Internal Audit Guide (OIAG)

OCEG Guides, Handbooks, Maturity Models, Audit & Evaluation

OCEG Metrics Qualification Tool

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)

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

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

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

One Minute Polls, Audit & Evaluation

OCEG One Minute Poll: Evaluate What?

One Minute Polls

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

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

OCEG Benchmarking, GRC Planning and Organization

OCEG 2008 Benchmarking Series Report: GRC Measurement and Metrics

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, GRC Capability and Processes

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)

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

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

Audit & Evaluation, Risk Assessment

Federal Sentencing Guidelines: Enterprise Risk Management (2004)

Audit & Evaluation, Education & Training

Evaluating Governance, Risk & Compliance Performance

GRC Planning and Organization

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

Risk Assessment, GRC Capability and Processes

DHS, Risk Management Approaches to Protection (October 2005)

Risk Assessment

United Kingdom, The Orange Book Management of Risk - Principles and Concepts (2004)

Looking for Risk in all the Right Places (2006)

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)

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