Performing post-detection analysis in ACL Analytics (CPE) (GRC 224 V1)

2 - Intermediate → Automating and Monitoring Policy Compliance Program


Description

In this course, you’ll perform analysis on your Gift Registry data in order to:
• Identify policy violations such as gifts approved by someone who's not the employee's manager
• Identify red flags of waste and abuse by discovering top spenders and instances of excessive spending
• Test efficiency of the approval process by calculating average turnaround time and identifying anomalies

Keep in mind that what you learn in this course can be applied to ANY approval workflow management, including:
• Compliance with anti-bribery laws (FCPA, Sunshine Act, UK Bribery Act, CFPOA, etc.)
• Compliance with internal gift approval policies
• Conflict resolution
• Security incident event reporting
• Off-hour access management
• Privileged access monitoring

This is the third course in the Managing Your Conflicts Compliance Risk Program:
1. Automating approval workflows in Results (GRC 222)
2. Communicating findings, measuring success, and automating monitoring in Results (GRC 223)
3. Performing post-detection analysis in ACL Analytics (GRC 224)

Estimated Time: 2 hours Level: Intermediate CPE: 1.5 *After passing final exam

Content
  • CPE eligibility
  • Course outline
  • Navigating this course
  • Activity data files
  • Important Program overview information
  • Program overview: Automating and monitoring policy compliance
  • An introduction to post-detection analysis
  • Section 1 | identifying policy violations
  • 1 | IDENTIFYING POLICY VIOLATIONS
  • Purchases without pre-approval: Test #1
  • Maximum aggregate value exceeded: Test #2
  • Requests not approved by manager: Test #3
  • Review quiz: Identifying policy violations
  • Section 2 | Identifying waste and abuse red flags
  • 2 | IDENTIFYING WASTE AND ABUSE RED FLAGS
  • Excessive expenditure: Test #1
  • Top 5: Test #2
  • Review quiz: Identifying waste and abuse red flags
  • Section 3 | Testing the efficiency of the workflow
  • 3 | Testing the efficiency of the workflow
  • Testing the efficiency of the gift pre-approval workflow
  • Review quiz: Testing the efficiency
  • CPE exam overview and next steps
  • What's next?
  • Course evaluation
  • Appendix
  • Gift Giving Policy - Vandelay Industries
Completion rules
  • You must complete 90.00% of the content
  • Leads to a certification with a duration: Forever