How to Fix Business Rules
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Highly regulated operating environments are required to balance business rule compliance and effectiveness. Here's an approach to evaluate and improve an organization's business rules.
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Sociedad SCCE de Ética y Cumplimiento Corporativo
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GAO
United States Government Accountability Office
By the Comptroller General of the
United States
December 2011
Government
Auditing
Standards
2011 Revision
GAO-12-331G
GAO
United States Government Accountability Office
By the Comptroller General of the
United States
Government
Auditing
Standards
2011 Revision
The 2011 revision of Government Auditing Standards supersedes the 2007
revision. The 2011 revision should be used by government auditors until further
updates and revisions are made. An electronic version of this document can be
accessed on GAO's Yellow Book Web page at http://www.gao.gov/yellowbook.
The 2011 revision of Government Auditing Standards is effective for financial
audits and attestation engagements for periods ending on or after December 15,
2012, and for performance audits beginning on or after December 15, 2011. Early
implementation is not permitted.
Revised on January 20, 2012, to correct a typo in paragraph 7.19.
December 2011
GAO-12-331G
http://www.gao.gov/yellowbook
Contents
Letter 1
Chapter 1
Government
Auditing:
Foundation ...
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5. For the final paper, what topic or area would you like to condu.docx
5. For the final paper, what topic or area would you like to conduct an audit? What will the challenges with the audit be and what type of important information would the audit provide?
Student 1 Response to Question 5
Final Paper
I would like to do an Audit on the Contra Costa County Sheriffs office officer professionalism when it relates to the off duty social media accounts. I find that this will be a solid audit based on how prevalent social media is with most employees. I think that many social media policies often are outdated due to social media progressing faster then policy can keep up with them.
Student 2 Response to Question 5
Final paper area for audit.
The topic which I am looking at for an audit would be auditing a local university campus police’s policies and procedures for responding to an active shooter on campus. Specifically, Salem State University has its own police department and there have been a couple of active-shooter incidents over the past few years. The challenge of the audit would most likely be determining if those internal policies are being followed and are in compliance with standards established by the Massachusetts University system’s standards and expectations. The benefit of such an audit is that it could determine the preparedness of the university’s campus police should an active shooter incident occur again.
For my response to Question 5:
Final paper area for audit (this is the header)
The topic I would like to conduct an audit is the Department Homeland Security (DHS) guards located at the Phillip Burton Federal Building downtown San Francisco where I work. I would like to know their protocol in responding to an active shooter. I want to know what type of trainer that have or if they are really trained.
Note: this is my topic so you can say something to this. Now you have an ideal and examples given
GAO
United States Government Accountability Office
By the Comptroller General of the
United States
December 2011
Government
Auditing
Standards
2011 Revision
GAO-12-331G
GAO
United States Government Accountability Office
By the Comptroller General of the
United States
Government
Auditing
Standards
2011 Revision
The 2011 revision of Government Auditing Standards supersedes the 2007
revision. The 2011 revision should be used by government auditors until further
updates and revisions are made. An electronic version of this document can be
accessed on GAO's Yellow Book Web page at http://www.gao.gov/yellowbook.
The 2011 revision of Government Auditing Standards is effective for financial
audits and attestation engagements for periods ending on or after December 15,
2012, and for performance audits beginning on or after December 15, 2011. Early
implementation is not permitted.
Revised on January 20, 2012, to correct a typo in paragraph 7.19.
December 2011
GAO-12-331G
http://www.gao.gov/yellowbook
Contents
Letter 1
Chapter 1
Government
Auditing:
Foundation ...
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- 1. Page 1 December 1, 2017Business Rules Review Process Revision: 1.2 Updated By: Robert W. Simmons Updated On: 2017.12.01 Process Owner: ERP PMO Description: A modified method for reviewing regulations, borrowed from the State of Ohio EO 2008-04S. Legend A business rule has been identified that governs process activities Add pertinent details that describe the ruleto the Rule Analysis Tracker Tied to a Documented Procedure? No Recommend New Procedureto bedrafted by S&P Yes Procedure References a published local policy? No Recommend the Procedureto be updated to include relevant policy information Yes Policy is clear in guidance for business rules No Request clarification from policy owner. Yes Business rule conforms to policy No Go to Remediation Yes Is there a specified or implied local regulation Yes Business Rule conforms to local regulation Go to Remediation No No Is the rule related to an underlying statute? YesNo Is the rule related to a federal regulation or national standard? Yes Business Rule conforms to statutory implementation Go to Remediation Yes The rule supports implementation of a federal/national order. Go to Remediation Yes Go to Reasonableness. No Changes Needed? No Go to Remediation Yes Initial Review Process No
- 2. Page 2 December 1, 2017Business Rules Review Process Revision: 1.2 Updated By: Robert W. Simmons Updated On: 2017.12.01 Process Owner: ERP PMO Description: A modified method for reviewing regulations, borrowed from the State of Ohio EO 2008-04S. Legend Business Rule conforms to a relevant policy and regulation. The business rule is concise No Is this a compound rule? Yes Split the rule into concise components and review each component Yes The rule is easy to understand No Restate the rule to be concise No Simplify the rule to improve the plain meaning . Yes The rule is efficient in support of policy. Yes The timeliness of the rule is clear No Effective Date No Expiration Date Yes If necessary, add the triggering event or absolute date. Yes If relevant, add the expiration conditions and sunset actions. Yes The rule is effective: consistent application and expected results. Yes Review by stakeholders Rule is Passed No Go to Remediation +No No Reasonableness Tests
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