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 Evaluating Organizational Ethics

Seminar
2/12/2018 8:30 AM
2/13/2018 4:30 PM
Ernst & Young s.r.l./S.E.N.C.R.L. | Ernst & Young LLP, 800, boul. René-Lévesque O., Bureau 1900, Montréal, QC H3B 1X9 |  

​Creating a strong ethical climate is essential for organizations today. Participants in this course will learn best practices and current trends related to supporting an ethical culture and achieving compliance. Through facilitator presentations, practical exercises, group discussions, and case studies, auditors will learn how to assess and evaluate ethics programs and determine the key players and elements necessary to work toward a strong ethical climate.

Ethics and Compliance Defined

  • Discuss the terminology of ethics, business ethics and professional ethics.
  • Determine differences between ethics and compliance.
  • Identify key elements in the Professional Practices Framework Rules.
  • Understand how the Code of Ethics relates to and is significant to internal auditors.
  • Evaluate organizational culture against Practice Advisory 2130-1.

Ethics Framework

  • Determine the importance of ethics.
  • Distinguish how ethics may be intertwined with corporate social responsibility.
  • Understand various categories that can be used to assess ethics at organizations.
  • Identify key elements of risk management and internal control frameworks.
  • Assess the role of following frameworks in organizational ethics: COSO and CoCo.
  • Evaluate a checklist of consideration for ethical dilemmas.

Ethical Culture

  • Evaluate the role of senior management and the Board of Directors (BOD) in maintaining an ethical culture in an organization.
  • Determine elements that affect the tone at the top in your organization and the role senior management plays.
  • Identify the key components and participants related to Organizational Governance.
  • Determine elements of an effective Code of Conduct.
  • Evaluate the different approaches for developing the Code of Conduct (CoC/Code): Principles vs. Rules based.

Internal Influences

  • Define and determine the impacts of internal stakeholders in relation to an ethical culture.
  • Identify various best practices to incorporate into an ethics hotline or reporting system.
  • Determine policies and procedures that can encourage an ethical environment including hiring practices.
  • Understand key components related to training and communication practices that impact ethics.

External Influences

  • Define various examples of external stakeholders.
  • Determine your organization’s responsibility towards external stakeholders as well as the external stakeholders’ responsibilities toward your organization.
  • Understand the impact external stakeholders can have on your organization.
  • Identify best practices for interactions with external stakeholders ensuring ethical compliance.

Red Flags and Ethics Investigation Protocol

  • Determine red flags that indicate unethical behavior.
  • Identify the investigation protocol for ensuring complete investigation of allegations and equitable treatment of violations.
  • Identify the protocol to deal with breach of ethics situations.

Audit Procedures

  • Understand a risk assessment that can be used to evaluate an organization’s ethical climate.
  • Identify questions that can be used to assess knowledge of an organization’s ethical environment.
  • Review sample audit program steps and other audit procedures, practice advisories, and tools.
  • 2-day course provides 16 CPE.

Pricing

Early Bird pricing is in effect until January 1. Group rates start at 3 individuals from the same organization.  Please email iiacanada@theiia.org for a price.

2-day course: Early Bird Members: $800.00 / Non-members: $940.00. Regular price Members $900.00 / Non-members: $1,050.

*Prices do not include HST/GST

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