OCEG Announces the 2013 GRC Achievement Awards and Principled Performance Prize

SCOTTSDALE, Ariz.--()--The Open Compliance & Ethics Group (OCEG) is pleased to announce that it has recognized three organizations with the 2013 GRC Achievement Awards. The recipients of this year’s awards, presented on May 21st at the Compliance Week Conference in Washington, D.C. are:

· Dell

· Shire Pharmaceuticals

· Woolworths Proprietary Limited (S.A.)

"The GRC Achievement Awards recognize the successes that organizations have had in improving and integrating the governance, management and assurance of performance, risk and compliance,” says OCEG Co-Founder and Chair, Scott L. Mitchell. “Principled Performance is supported by taking an integrated, rather than siloed approach across your business areas and the processes of governance, assurance and management of performance, risk, and compliance,” he continues, “and we are pleased that this year’s winning projects from Dell, Shire Pharmaceuticals and Woolworths offer clear and repeatable examples and inspiration for organizations of all types and sizes to follow.”

In addition, the judging panel has selected Dell to also receive the Principled Performance Prize for the winning project that best demonstrates an overall approach to GRC enabling Principled Performance, which is the reliable achievement of objectives while addressing uncertainty and acting with integrity.

“One recipient of the GRC Achievement Awards is selected each year by the judging panel as having the project that best exemplifies a pathway to Principled Performance,” says OCEG Co-Founder and President, Carole Switzer, “and this year’s winner, Dell, impressed our panel by describing an entity-wide organizational structure to oversee and manage its GRC efforts, enabling Dell to - as Dell says - get it done, but get it done with integrity.”

Dell’s Chief Ethics and Compliance Officer, Mike McLaughlin, says, “At Dell, we see having strong focus on governance, risk and compliance as absolutely essential, but not enough. The real journey to success is winning the hearts and minds of every team member, so that doing the right thing, every time, is a personal imperative and at the core of their daily work. We are honored to be recognized, although we know our work is never finished.”

The awards were formally presented to the recipients before the audience of the Compliance Week conference on May 21st at the Mayflower Hotel, in Washington, D.C.

“We were very honored to have the services of an excellent judging panel,” said Ms. Switzer, “and I’d like to thank committee chair, Paul Liebman, who serves as an OCEG Fellow, for coordinating their activities, and also thank each individually for their thoughtful consideration of the nominated projects.”

Decisions were made by the judges based on review of submitted videos describing the projects each nominee had undertaken as part of their efforts to integrate governance, risk and compliance processes or technology applications. These may be viewed on the OCEG site at http://www.oceg.org/about/2013-grc-achievement-awards.

About the 2013 OCEG GRC Achievement Awards Winning Projects

Dell developed a sophisticated entity-wide structural approach to GRC that includes a four pronged compliance and ethics team, a unified seven part risk program and deep involvement of the business units, operating under the oversight of the Dell Global Risk and Compliance Council, which includes members of the Dell Leadership Team and functional heads such as audit and accounting. This Council ensures both top level leadership support and appropriate resources are available for the risk and compliance capabilities, and that information from them informs strategic decision-making. Key wins identified in the Dell nomination include gaining governance and business leadership understanding and enthusiastic support for the anti-corruption program, establishment of a globally consistent 3rd party vetting and due diligence process, and enterprise-wide use of software supported data-labelling and other controls that strengthen data security and information management. To further solidify the effectiveness of these and other GRC controls, Dell has focused on ensuring that its entire team believes in Dell’s message to “get it done, but get it done with integrity”, understands what they should do, and knows that anything less won’t be tolerated. Overall, the Dell approach ties closely to the standards of the OCEG Red Book and moves Dell forward on the on-going mission of maintaining principled performance.

Shire Pharmaceutical’s mission, through its focus on providing treatments in Neuroscience, Rare Diseases, Gastrointestinal, Internal Medicine and Regenerative Medicine, is to enable people with life-altering conditions to lead better lives. In support of this mission, Shire undertook a project to jump-start an effective GRC program that would return immediate results to help drive overall company performance with three important components: define required controls and improve the ability to measure compliance state, mitigate compliance risk by identifying and codifying requirements for in-scope regulations, and create a service platform that greatly reduced the effort required to respond to audits and that could rapidly accommodate new compliance obligations. Shire had already acquired the Archer GRC platform, and in their nominated project they used it to deliver and collect answers to 100 plus questions that enabled a clear picture of the current state of the GRC capability as compared to the practices set out in the 8 components and related universal outcomes of the OCEG Red Book. This allowed Shire to determine areas of its GRC capability that needed immediate attention, establish longer term projects, and track the maturing of the GRC capability -- going beyond a more commonly applied simple gap analysis to support documented and repeatable GRC processes.

Woolworths (Proprietary) Limited is a highly respected South African chain of over 400 retail stores, which offers a range of quality clothing, food, homeware, beauty and financial services under its own brand name in South Africa, Africa and the Middle East. As a supplier of private label food items, Woolworths faces complex and challenging safety and quality management obligations while managing its multi-level supply chain and seeking to please its customers. To address these needs, with goals of ensuring customer trust and maintaining profitability, the Woolworths Food Division’s Sustainable Food Quality and Safety Management project introduced a single, overarching and sustainable food safety and quality system that follows the principles and standards set out in the OCEG Red Book. Woolworths defined a governance model to drive quality as a corporate initiative, set objectives and established a framework for adopting an integrated approach to the management of quality and safety across the supply chain. The team developed policies and guidelines as the benchmark for all stakeholders – Employees, Suppliers, Auditors, Distribution Centers and Stores. Woolworths adopted the MetricStream solution to automate the program and to provide a central repository of information, metrics and insights. Through the project, Woolworths was able to strengthen overall brand image, greatly reduce customer complaints, increase efficiency in quality and safety programs, and ensure compliance with regulations.

The judging panel included the following individuals:

PAUL LIEBMAN, chair of the judging panel, is an OCEG Fellow and former representative on the OCEG Leadership Council. Paul is a recognized compliance, ethics and integrity thought leader. During his 24 year career, he has served as Vice President of Compliance for Flextronics Inc., Chief Compliance Counsel for Dell Inc., Assistant General Counsel and Director of Compliance for Temple-Inland, and Global Compliance Counsel for KoSa, a global manufacturing subsidiary of Koch Industries. He now assists companies of all sizes in strengthening their compliance programs and GRC capabilities.

BRIAN BARNIER is an OCEG Fellow, and Principal Analyst and Member, ValueBridge Advisors. He focuses on risk to corporate performance in a complex and changing global environment. He serves on the ICGN Committee on Risk Oversight, several editorial boards, penned over 100 articles, contributed to Risk Management in Finance (Wiley, 2009) and authored The Operational Risk Handbook (Harriman House, 2011).

WAYNE BRODY is a senior member of the ethics and compliance advisory practice at LRN, where he works with a variety of LRN partners, focusing on analytics, E&C program design and implementation, and innovative solutions all aimed at creating sustainable, values-inspired cultures. He was formerly a principal of the Park Hill Consultancy and the Chief Compliance Officer and Vice President, Legal Affairs, of Arrow Electronics.

MICHAEL HICKEY is the recently retired Vice President and General Counsel of Rosetta Resources Inc. a mid-sized independent oil and natural gas exploration and production company. Michael has more than 33 years upstream and downstream energy related experience, domestic and international. Prior positions include Vice President and General Counsel, Technip Offshore Company, Vice President and Managing Counsel, North American Fuels Group, Calpine Corporation, and Vice President and General Counsel KoSa B.V.

KEITH REID is an award-winning thought leader and expert in compliance, ethics, culture and governance. He is currently the European Knowledge Leader for LRN and formerly was the Group Director of Compliance and Ethics for BT (British Telecom) in London. Keith is a past winner of the Compliance Register’s Best Compliance Officer award, and he also won the Best Compliance Company award.

JOSE TABUENA, JD, CFE, CHC, is an OCEG Fellow and serves as compliance counsel with Orion Health, a health IT provider. He brings a broad and distinct perspective on compliance and auditing issues, having Big Four firm experience and having held a variety of audit-related roles, including compliance auditor, risk manager, corporate counsel, and chief compliance officer. He has evaluated compliance programs and processes for global organizations in a wide-range of highly regulated fields. A frequent speaker and author on compliance topics he is also a regular columnist with Compliance Week and compliance course content developer for UL EduNeering.

About OCEG:

OCEG is a non-profit think tank dedicated to helping organizations reliably achieve their objectives, while addressing uncertainty and acting with integrity. This is what OCEG calls Principled Performance, and it is a goal that every organization can achieve by integrating and aligning their approaches to the governance, assurance and management of performance, risk and compliance. OCEG offers hundreds of resources, online and live training opportunities, and a community within which individuals can continually build their skills and organizations can collaborate. Learn more at www.oceg.org.


Scott Mitchell, 602-955-6234

Release Summary

Dell, Shire Pharmaceuticals and Woolworths, have won the OCEG GRC Achievement Awards for projects driving improvement in governance, risk and compliance integration. View their winning videos.


Scott Mitchell, 602-955-6234