P5. Incentives

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Compliance v. Culture: Employees Judge Ethical Conduct in the Workplace (2007) resource Articles OCEG Reviewed

Author: Patricia J. Harned, Ph.D., President, Ethics Resource Center

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Creating a Non-Retaliatory Workplace Survey Results (2005) resource Research / Studies Member contributionOCEG Reviewed
The International Business Ethics Institute (IBEI), conducted research aimed at analyzing how companies can foster open environments where employees are comfortable coming forward to report misconduct. This research also sought to address retaliation against individuals that identify wrongdoing.
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Federal Sentencing Guideline Manual: §8A1.2. Application Instructions - Organizations (2009 ed.) resource Agency Guidances Member contributionOCEG Reviewed
Commentary 3(c): "Substantial authority personnel" means individuals who within the scope of their authority exercise a substantial measure of discretion in acting on behalf of an organization.
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Federal Sentencing Guidelines Manual §8B2.1. Effective Compliance and Ethics Program (2010) resource Agency Guidances Member contributionOCEG Reviewed

To have an effective compliance and ethics program, for purposes of subsection (f) of §8C2.5 (Culpability Score) and subsection (c)(1) of §8D1.4 (Recommended Conditions of Probation - Organizations), an organization shall -

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ISO 9000 essentials (9001:2008) resource Books / Publications Member contributionOCEG Reviewed

The ISO 9000 family of standards represents an international consensus on good quality management practices. It consists of standards and guidelines relating to quality management systems and related supporting standards.

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ISO Management Standards - Specific applications resource Examples Member contributionOCEG Reviewed

The tremendous impact of ISO 9001 and ISO 14001 on organizational practices and on trade has stimulated the development of other ISO standards and deliverables that adapt the generic management system approach to specific sectors or aspects. It should be noted while ISO 31000 also adapts aspects of the management system approach, it is not a certification standard.

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ISO, Quality management principles resource Examples Member contributionOCEG Reviewed
This document introduces the eight quality management principles on which the quality management system standards of the revised ISO 9000:2000 series are based. This document gives the standardized descriptions of the principles as they appear in ISO 9000:2000 and ISO 9004:2000.
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OCEG for Technology marketing
The OCEG Technology Council (TC) was formed to address strategic, operational and technical issues that professionals face when applying Information Technology to governance, risk, compliance (GRC) and ethics management. Technology Council members meet monthly in specialized working groups focused on GRC technology standards, implementation tools and taxonomy. The entire council convenes to review the progress of the working groups, discuss key issues facing GRC and IT professionals, and to identify new technology program opportunties for OCEG.
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Selection and Use of the ISO 9000:2000 family of standards (ISO 9001:2000.) resource Guides  Member contributionOCEG Reviewed
The three standards ISO 9001, ISO 9002 and ISO 9003 have been integrated into the new ISO 9001:2000. ISO 9001:2000 specifies requirements for a quality management system for any organization that needs to demonstrate its ability to consistently provide product that meets customer and applicable regulatory requirements and aims to enhance customer satisfaction.
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Why is GRC important? blog

I have been blogging about what GRC is, advocating the definition developed by the Open Compliance and Ethics Group, OCEG (see this and subsequent posts). But, I haven’t really talked about why the concept of GRC has value.

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