Tone At The Top in Entity-Level Controls Disaster Recovery Toolkit (Publication Date: 2024/02)


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Discover Insights, Make Informed Decisions, and Stay Ahead of the Curve:

  • What are the main features of your organizations risk culture in terms of tone at the top?
  • Is the board establishing the tone at the top to reinforce and promote a risk aware culture?
  • Can the same tone at the top be sent to all employees in a hierarchical organization?
  • Key Features:

    • Comprehensive set of 1547 prioritized Tone At The Top requirements.
    • Extensive coverage of 100 Tone At The Top topic scopes.
    • In-depth analysis of 100 Tone At The Top step-by-step solutions, benefits, BHAGs.
    • Detailed examination of 100 Tone At The Top case studies and use cases.

    • Digital download upon purchase.
    • Enjoy lifetime document updates included with your purchase.
    • Benefit from a fully editable and customizable Excel format.
    • Trusted and utilized by over 10,000 organizations.

    • Covering: Electronic Records, Software As Service, IT Staffing, HR Policies And Procedures, Board Composition, Backup And Restore Procedures, Employee Background Checks, Access Controls, Vendor Management, Know Your Customer, Reputation Management, Intrusion Detection And Prevention, Platform As Service, Business Continuity, Financial Statement Audits, Compliance Certifications, External Audits, Senior Management, Patch Management, Network Security, Cloud Computing, Segregation Of Duties, Anti Money Laundering, Customer Complaint Handling, Internal Audit Function, Information Technology, Disaster Recovery, IT Project Management, Firewall Configuration, Data Privacy, Record Management, Physical Records, Document Retention, Phishing Awareness, Control Environment, Equal Employment Opportunity, Control System Engineering, IT Disaster Recovery Plan, Business Continuity Plan, Outsourcing Relationships, Customer Due Diligence, Internal Audits, Incident Response Plan, Email Security, Customer Identification Program, Training And Awareness, Spreadsheet Controls, Physical Security, Risk Assessment, Tone At The Top, IT Systems, Succession Planning, Application Controls, Entity Level Controls, Password Protection, Code Of Conduct, Management Oversight, Compliance Program, Risk Management, Independent Directors, Confidentiality Policies, High Risk Customers, End User Computing, Board Oversight, Information Security, Governance Structure, Data Classification And Handling, Asset Protection, Self Assessment Testing, Ethics Culture, Diversity And Inclusion, Government Relations, Enhanced Due Diligence, Entity-Level Controls, Legal Compliance, Employee Training, Suspicious Activity Monitoring, IT Service Delivery, File Transfers, Mobile Device Management, Anti Bribery And Corruption, Fraud Prevention And Detection, Acceptable Use Policy, Third Party Risk Management, Executive Compensation, System Development Lifecycle, Public Relations, Infrastructure As Service, Lobbying Activities, Internal Control Assessments, Software Licensing, Regulatory Compliance, Vulnerability Management, Social Engineering Attacks, Business Process Redesign, Political Contributions, Whistleblower Hotline, User Access Management, Crisis Management, IT Budget And Spending

    Tone At The Top Assessment Disaster Recovery Toolkit – Utilization, Solutions, Advantages, BHAG (Big Hairy Audacious Goal):

    Tone At The Top

    Tone at the top refers to the attitude and actions of top-level management towards risk management and ethical behavior. It sets the tone for the organization′s risk culture and includes values, leadership styles, and communication practices.

    1. The tone at the top should demonstrate commitment to key values and ethical practices.
    Benefits: Helps align employee behavior with organizational values and promotes a positive work culture.

    2. Encourage open communication and transparency between leadership and employees.
    Benefits: Allows for early identification and mitigation of potential risks and boosts employee morale and trust in management.

    3. Foster a culture of accountability and responsibility from top-level executives.
    Benefits: Demonstrates to employees the importance of following policies and procedures, reducing non-compliance risks.

    4. Lead by example and ensure consistency in messaging and actions from leadership.
    Benefits: Provides a clear guideline for employees to follow and sets the standard for their behaviors.

    5. Promote diversity and inclusion at all levels of the organization.
    Benefits: Encourages diverse perspectives and promotes a culture of acceptance and understanding, reducing potential conflicts and risks.

    6. Prioritize training and development for all employees on compliance and ethical standards.
    Benefits: Ensures employees are educated and aware of their roles and responsibilities in maintaining strong entity-level controls.

    7. Regularly review and update company policies and procedures to reflect ever-changing risks and regulations.
    Benefits: Keeps the organization aligned with industry best practices and regulations, reducing the likelihood of compliance issues.

    8. Establish regular communication channels for employees to raise concerns and ask questions.
    Benefits: Encourages proactive risk identification and allows for timely resolution of potential issues before they escalate.

    9. Conduct regular risk assessments and involve all levels of the organization in the process.
    Benefits: Increases overall risk awareness within the organization and fosters a collaborative approach to managing risks.

    10. Recognize and reward adherence to ethical standards and compliance throughout the organization.
    Benefits: Reinforces the importance of following entity-level controls and encourages a positive organizational climate.

    CONTROL QUESTION: What are the main features of the organizations risk culture in terms of tone at the top?

    Big Hairy Audacious Goal (BHAG) for 10 years from now:

    The main feature of Tone At The Top risk culture in 10 years will be a strong and unwavering commitment to ethical behavior and compliance. This will be evident in every aspect of the organization, from the top leadership to the front line employees. The tone at the top will be one of transparency, integrity, and accountability.

    The leadership team will set a clear and ambitious goal of fostering a culture of trust and ethical decision-making throughout the organization. This will be achieved through regular communication, training, and reinforcement of the company′s core values.

    In addition to ethical behavior, the organization′s risk culture will also emphasize the importance of risk management and mitigation. Leaders will actively promote a proactive approach to identifying and addressing potential risks, rather than reacting to them after they occur.

    One of the key pillars of this risk culture will be open and honest communication. The top leadership will encourage employees to speak up about any concerns or potential risks without fear of retaliation. This will foster a culture of collaboration and inclusion, where all employees feel empowered to contribute to the overall success and safety of the organization.

    Furthermore, the organization′s tone at the top will also prioritize diversity and inclusion. The leadership team will work towards creating a diverse and inclusive work environment that values different perspectives and experiences. This will not only lead to a stronger risk culture but also drive innovation and better decision-making throughout the organization.

    Overall, in 10 years, Tone At The Top risk culture will be characterized by strong leadership, ethical behavior, proactive risk management, open communication, and diversity and inclusion. This will not only ensure the long-term success and sustainability of the organization but also set a positive example for other companies to follow.

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    Tone At The Top Case Study/Use Case example – How to use:


    The client in this case study is a multinational corporation in the banking industry with a global presence and millions of customers. The organization has recently come under scrutiny for various risk-related issues, including unethical practices, compliance violations, and failure to meet regulatory requirements. As a result, the company′s reputation has been significantly damaged, and there is a growing concern about the effectiveness of the organization′s tone at the top. The board of directors has recognized the need to assess and improve the company′s risk culture, starting with the tone at the top. They have engaged a consulting firm to conduct a comprehensive review of the organization′s risk culture and provide recommendations for improvement.


    To assess the organization′s risk culture and tone at the top, the consulting firm conducted a thorough review of the company′s policies, procedures, and practices related to risk management. This was done through document reviews, interviews with key personnel, and surveys to gather feedback from employees at various levels of the organization. The consulting firm also benchmarked the company′s practices against industry standards and best practices.


    Based on the methodology used, the consulting firm provided the following deliverables:

    1. Risk Culture Assessment Report: This report provided an overview of the organization′s risk culture, including strengths, weaknesses, and areas for improvement. It also included a summary of the findings from the document review, interviews, and employee surveys.

    2. Tone at the Top Recommendations: The consulting firm provided recommendations for improving the tone at the top based on their assessment of the organization′s risk culture. These recommendations focused on key areas such as leadership, communication, accountability, and control.

    3. Implementation Plan: An implementation plan was developed to guide the company in implementing the recommended improvements. This plan included timelines, responsibilities, resources needed, and key performance indicators (KPIs) to measure progress.

    Implementation Challenges:

    One of the main challenges faced during the implementation of the recommendations was resistance to change. The organization′s leadership had been reluctant to acknowledge the issues and make necessary changes. It was important for the consulting firm to provide evidence-based recommendations and gain the trust and support of key stakeholders. Another challenge was the need for cultural transformation, as many of the risk-related issues were deeply embedded in the company′s culture. The consulting firm had to work closely with the company′s leadership to develop a plan for addressing this challenge.


    The following KPIs were identified to measure the effectiveness of the implemented changes:

    1. Employee surveys on risk culture and tone at the top: This KPI measured the employees′ perception of the organization′s risk culture and tone at the top before and after the implementation of the recommendations.

    2. Compliance violations and regulatory fines: This KPI measured the number and severity of compliance violations and regulatory fines before and after the implementation of the recommendations.

    3. Employee retention rates: This KPI measured the employee turnover rate before and after the implementation of the recommendations, as a reflection of the organization′s culture and employee satisfaction.

    Management Considerations:

    Implementing the recommended changes to improve the tone at the top required the full support and commitment of the company′s leadership. The management team had to lead by example and foster a culture of transparency, accountability, and ethical behavior. Clear roles and responsibilities had to be assigned to ensure effective communication and decision-making processes. Additionally, the organization had to invest in training and development programs to enhance employees′ risk awareness and promote a culture of risk management.


    In conclusion, the main features of the organization′s risk culture in terms of tone at the top were identified, and recommendations were made to improve it. Despite the challenges faced during the implementation, the consulting firm′s approach was effective in helping the organization address its risk culture and tone at the top. By implementing the recommendations, the company was able to rebuild its reputation, regain the trust of its customers and stakeholders, and minimize risks in its operations. Ongoing monitoring and evaluation of the KPIs will help ensure that the improvements are sustained in the long term.

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