...BA 3301 Legal Environment of Business Compliance Interview and Report Assignment Associate Professor Lee Usnick, JD I. ASSIGNMENT OVERVIEW Virtually all business activities conducted in the United States are highly regulated, not only by governmental entities, but by professional entities as well. Compliance with all federal, state, and local laws and regulations is a prerequisite to the long term health and survival of a business. Equally important is a business's compliance with standards issued by the professional and accrediting bodies responsible for licensing and certification. Certain industries are more regulated than others. For example, health care, financial services, and public utilities are all highly regulated with extensive licensing and operational standards. When a business fails to comply with all applicable regulations and standards, the business and the individuals who manage it can face a variety of sanctions, from loss of license and program certification, to civil and criminal sanctions that include monetary penalties and prison. In this assignment, you will learn how someone in your selected industry meets the challenges of current compliance requirements. It is not necessary to address all aspects of compliance in this industry or selected company. Rather, you should educate yourself in broad terms about the kinds of governmental and industry standards covering your interviewee's business, then select a few key aspects to explore in depth with...
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...BA 3301 Legal Environment of Business Compliance Interview and Report Assignment Associate Professor Lee Usnick, JD I. ASSIGNMENT OVERVIEW Virtually all business activities conducted in the United States are highly regulated, not only by governmental entities, but by professional entities as well. Compliance with all federal, state, and local laws and regulations is a prerequisite to the long term health and survival of a business. Equally important is a business's compliance with standards issued by the professional and accrediting bodies responsible for licensing and certification. Certain industries are more regulated than others. For example, health care, financial services, and public utilities are all highly regulated with extensive licensing and operational standards. When a business fails to comply with all applicable regulations and standards, the business and the individuals who manage it can face a variety of sanctions, from loss of license and program certification, to civil and criminal sanctions that include monetary penalties and prison. In this assignment, you will learn how someone in your selected industry meets the challenges of current compliance requirements. It is not necessary to address all aspects of compliance in this industry or selected company. Rather, you should educate yourself in broad terms about the kinds of governmental and industry standards covering your interviewee's business, then select a few key aspects to explore in depth with...
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...NumberStrayer Online Technical SupportEcollege HelpDesk | 1-877-540-1733“As a student, you should choose 1 then 3 for academic issues from the automated menu.”1-877-642-2999“Used for problems entering the class”1-866-448-6703 or 1-303-873-0005“Used for problems once in the class” | INSTRUCTIONAL MATERIAL | Kubasek, N. K., Brennan, B. A., & Browne, N. (2009). The legal environment of business: A critical thinking approach (5th ed.). Upper Saddle River, NJ: Pearson-Prentice Hall.Ferrell, O. C., Fraedrich, J., & Ferrell, L. (2010). Business ethics: Ethical decision making and cases (7th ed.). Boston: Houghton Mifflin Company/South-Western/Cengage Learning.PLEASE READ SYLLABUS PART II in the Course Home tab, it contains important University policies.GETTING TECHNICAL HELPTechnical questions regarding eCollege or classroom issues should be referred to helpdesk@strayeronline.net. Or you may phone the helpdesk at 1(866)448-6703.If the question regards a Strayer system, technical support can be reached at 1(877) 642-2999. Any technical inquiries sent to the instructor will, as a matter of course, be forwarded to the Helpdesk. The eCollege helpdesk is available 24 hours a day, seven days a week, and 365 days a year. Strayer Tech Support is available during normal Strayer Online business hours.QUESTIONS AND ANSWERS TABIn the course home area tab you may ask content related questions to your fellow students or your Professor. You should check this area to see anyone has a question...
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...Compliance Interview and Report Assignment BA 3301 Legal Environment of Business Associate Professor Lee Usnick, JD I. ASSIGNMENT OVERVIEW Virtually all business activities conducted in the United States are highly regulated, not only by governmental entities, but by professional entities as well. Compliance with all federal, state, and local laws and regulations is a prerequisite to the long term health and survival of a business. Also important is compliance with standards issued by the professional and accrediting bodies responsible for licensing and certification. Certain industries are more regulated than others. For example, health care, financial services, and public utilities are all highly regulated with extensive licensing and operational standards. When a business fails to comply with all applicable regulations and standards, the business and the individuals who manage it can face a variety of sanctions, from loss of license and program certification, to civil and criminal sanctions including monetary penalties and prison. In this assignment, you will learn how a person working in your selected industry meets the challenges of current compliance requirements. It is not necessary to address all aspects of compliance in this industry or selected company. Rather, you should educate yourself in broad terms about the kinds of governmental and industry standards covering your interviewee's business, then select a few key aspects to explore in depth with your...
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...Security or equivalent Corequisite: None Table of Contents Course Overview 5 Course Summary 5 Critical Considerations 5 Instructional Resources 6 Required Resources 6 Additional Resources 6 Course Management 8 Technical Requirements 8 Test Administration and Processing 8 Replacement of Learning Assignments 9 Communication and Student Support 9 Academic Integrity 10 Grading 11 Course Delivery 13 Instructional Approach 13 Methodology 13 Facilitation Strategies 14 Unit Plans 15 Unit 1: Information Security Policy Management 15 Unit 2: Risk Mitigation and Business Support Processes 25 Unit 3: Policies, Standards, Procedures, and Guidelines 33 Unit 4: Information Systems Security Policy Framework 42 Unit 5: User Policies 50 Unit 6: IT Infrastructure Security Policies 58 Unit 7: Risk Management 66 Unit 8: Incident Response Team Policies 74 Unit 9: Implementing and Maintaining an IT Security Policy Framework 83 Unit 10: Automated Policy Compliance Systems 90 Unit 11: Course Review and Final Examination 97 Course Support Tools 101 Evaluation of Student Learning 102 STUDENT COPY 103 Graded Assignment Requirements 104 Unit 1 Discussion 1: Importance of Security Policies 105 Unit 1 Assignment 1: Security Policies Overcoming Business...
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...objective, free from bias, fully informative, and free from material error--intentional or inadvertent. The audit opinion of an independent-PA auditor helps resolve those doubts because the auditor's success depends upon his independent, objective, and competent assessment of the conformity of the financial statements with GAAP. The auditor's role is to lend credibility to the statements, hence the outsider will likely seek his independent audit opinion. 1-3 Client: the company, board of directors, agency, or some other person or group who retains (hires) the auditor. Usually the party who pays the fee. Auditee: the entity (e.g., business firm, hospital, city government) whose financial information is under audit. Auditors: report to the client on the auditee's financial or control information. Three party accountability consists of...
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...the Organization, it is imperative that Contracts Management is up to date and monitored closely. The Contracts Monitor will be responsible for the complete maintenance and monitoring Contracts, created by the Contracted Legal Team. All issues related to Contracts will be reported to the Board and addressed by the Contracts Monitor. Any further non-compliance will be reported to the Contracted Legal team for further review. The Contracts Monitor, will need to work closely with the Contracted Legal team to monitor and create the following: • Authoring and negotiation • Baseline management • Commitment management • Communication management • Contract visibility and awareness • Document management • Issue and change management • Service level agreement compliance • Transaction compliance (Wikipedia.org, 2010) Authoring and Negotiation: The Contracts Monitor and the Contracted Legal Team will formulate, author and negotiate the Contracts for all elements of the pilot program. The legal documents will vary with each contract created. Contracts will include agreements with the Corporations, Contractors and Students. Baseline: The Contracts Monitor will monitor the baseline management of the service level agreements, including but not limited to: Accounting temp contracts, IT contracts, Human Resource Contracts, and Facility Contracts. The baseline will determine milestones in the contract, and the baseline requirements for each Contract entered into. ...
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...VRIJE UNIVERSITEIT AMSTERDAM COURSE ETHICS 4.3 with special reference to PROFESSIONAL ETHICS Code 61432100 [final version January 10, 2012] Academic year 2011-2012 Period 3: January. Faculty of Economics and Business Administration: MSc Program Business Administration. Prof. dr. Eduard Kimman course assistant: Karin Tjeerdsma (k.t.tjeerdsma@vu.nl) Background This course, in the setting of various Master Programmes at the Faculty of Economic and Business Sciences, is about the morality of professional people acting in the context of a business organization. Business organizations or organizations as such do have a formal structure in which responsibility ultimately lies with a director or the board of directors. A business organization forms a context for a great variety of decisions. In a juridical perspective the organization is the bearer of numerous transactions. Inside organizations one may find remarkable opportunities for just or unjust behaviour, for moral or immoral behaviour, for situations of equality or inequality which deserve to be evaluated ethically. As FEWEB is a school for the study of economics and business administration in an economic perspective we focus on so-called “economic decisions” which are decisions being taken with some form of economic calculus. In this course we will spend time on questioning whether the economic or financial outcomes of these decisions are morally neutral or deserve some further moral investigation...
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...Student ID: 082168461 The impact of the Sarbanes-Oxley Act on Corporate Governance and US Companies An examination to determine the impact of the Sarbanes Oxley Act, the costs and benefits of its implementation and how it has affected Corporate Governance and US Companies. Table Of Contents 1. Abstract...................................................................................................................... 4 1.1 Introduction ................................................................................................. 4 1.2 Methodology................................................................................................ 4 1.3. Limitations .................................................................................................. 5 1.4 Analysis and conclusion .............................................................................. 5 1.5 Further research ........................................................................................... 6 2. Literature Review: An Overview of Corporate Governance ..................................... 6 2.1 United Kingdom ........................................................................................ 14 2.2 Self-regulation prior to SOX ..................................................................... 18 3. Literature Review: The SOX Act ................................................................ 19 3.1 Enron, the trigger to SOX? ....................................
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...AUO1 – Auditing and Information Systems Additional Study Questions Accounting Information Systems Competency 302.1.1: Nature and Purpose The student understands the nature and purpose of information systems. 1. What is the difference between transaction processing systems, management information systems, and decision support systems? Transaction processing systems - document financial activities Management information systems - used to collect qualitative as well as quantitative information for decision making within organizations Decision support systems - help the developers of an AIS identify what information they need for their planning, decision making, and control functions 2. How is a flowchart used? A document flowchart traces the physical flow of documents through an organization—that is, the flow of documents from the departments, groups, or individuals who first created them to their final destinations. 3. How is the accounting information system documented? An accounting information system is a collection of data and processing procedures that creates needed information for its users. An information system's components: Data or information is input, processed, and output as information for planning, decision-making, and control purposes. 4. What are effective coding systems used in AIS? 1) mnemonic codes, (2) sequence codes, (3) block codes, and (4) group codes. 5. How do accounting information software packages differ? Owners will have to...
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...Accounting and Ethics DO ETHICAL STANDARDS EXIST IN ACCOUNTING DEPARTMENTS? Purpose: This analytical report is a required assignment in Kimmerly Brady’s Business 205 course. Due to time constraints the primary data (survey) required for the report were gathered in a limited fashion. A survey was developed, an a procedure was considered; however, the responses are the results of only ten collected surveys. The responses are only included to demostrate a n understanding of primary data usage. The purpose of this report is to convey the message that ethics are the foundation of the accounting profession. In order to maintain discipline & order in the professional realm, rules of ethics are not satisfactory enough to ensure the integrity of Accountants. Education and training in ethical matters should be mandatory for Accountants; evaluation and monitoring of their adherence to these rules is climacteric for maintaining standards. Ethical codes of conduct and compliance of these codes should be required in today’s accounting firms for honorability to exist. CPA’s are licensed practitioners, who as Accountants express opinions about financial statements. The globalization of business operations and technological advances have radically changed how accountants work. New ethical issues have been raised by this ...
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...GO GREEN - A CHANGE THAT CAN CHANGE OUR LIVES 1. 2. 3. 4. 5. 6. 7. 8. 9. Contents.......................................................................................................... 1 Vision and Mission and definition of Corporate Governance ............................ 2 Introduction..................................................................................................... 3 ICSI Map ......................................................................................................... 4 Objectives and Functions ................................................................................. 5 Council and its Committees and Organisation Structure of the ICSI .................. 6 Role of Company Secretary.............................................................................. 7 Career Path.....................................................................................................11 ICSI at your Desktop.......................................................................................13 10. Company Secretary Management Information Center ...................................14 11. Professional Development and Continuing Education .....................................16 12. Publications ....................................................................................................18 13. Memorandum of Understanding (MOU) .........................................................19 14. ICSI's Major Initiatives in Corporate Governance...
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...in Organization: Module 1 Question 1: Following the way that concepts are used on this course, why might we expect obedience to be higher than compliance? provide specific examples. Obedience and compliance are used in a different way in this course than they are usually used. Obedience means “ following direct instructions from someone with legitimate authority”. Compliance is “following formal legitimate rules and procedures in the absence of direct instruction.” Studies such as The Milgram Experiments indicates that people tend to follow direct instructions more than they do with the indirect ones. when people get direct instructions, they get the feeling that those instructions are aimed toward them and they have been warned personally. Also, under surveillance, people are under the pressure that they are being watched and they will get caught if they break those instructions. On the other hand, when the instructions are indirect, people have the assumption that those instructions are not important or less important than the direct ones. Moreover, some people believe that breaking those rules may have no consequences due to the lack of surveillance. As an example, in Douglas College there are signs in every classroom that say “ No Food, No drinks”. following this would and example of compliance, yet most students and instructors do not follow this rule because they feel it is not important and there is no consequences to breaking it. On the contrary, at the...
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...Change Model Overview Rosswurm and Larrabee six-step change plan that can guide nurses in improve medical compliance include; Step 1: Asses the Need for Change in Practice The student provided only two things important things. They include the statement of need for proper investigation to identify the problem for taking any action. The second is the advice to medical practitioners to identify their patients’ preferences and dissatisfaction. The student needs to do a wide research on the area. Step 2: Link the Problem with Interventions and Outcomes The student has fairly linked his problem with intervention measures. The intervention measures to the problem are clearly stated and they include; family members inclusion in patient care, increasing nurse-patient contact. However, the student should also add other intervention measures like use of community-based medical services and care of patients’ rights during medication. The mention of desired outcomes is not exploitative and should be expanded. Step 3: Synthesize the Best Evidence The simplified best evidence methods of ensuring medical compliance stated include; setting of alarms as per medication schedule, use of medication that acts for a longer time, training of pharmacists and family members on administering medication especially on missed sessions. The student should consider adding statistical data on the effectiveness of the methods. Step 4: Design a Change in Practice Inclusion of a family member during...
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...This worksheet and accompanying documentation should be kept on file with a copy of the School Master Plan for Discipline and the Student Handbook for purposes of review or monitoring. A. School-Based Leadership Team Membership: (Complete Chart Below or Attach List) Member’s Name Member’s Title Member’s Phone Member’s E-mail B. School-Level Data System Requirements: Requirement Collection Tool Exists (Yes/No) If Yes, List. If No, Suggestion(s) Average Referrals per Day per Month Referrals By Problem Behavior Referrals by Location Referrals by Time Referrals by Student Referrals by Staff Individual Student Report by Month and by Year Referrals by Grade Level Other: Other: C. Type “Yes” or “No” in the box as applicable to the following. 1. School consistently and uniformly utilizes the two BESE-approved forms. If no, explain: _____________________________________________________________________________ 2. School has addendum to two BESE-approved forms to assist with data collection. If yes, attach a copy of the addendum with worksheet. 3. School has a Zero Tolerance Policy. If Yes, go to #4. If no, go to # 6. 4. Leadership Team has reviewed the Zero Tolerance Policy to ensure compliance with R.S. 17:416.15, including R.S. 17:416 (H) which prohibits disciplinary action against any pupil reasonably acting in self-defense. 5...
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