Course Information

In this fast-paced session, we’ll build a bridge from organizational ethics proclamations to the reality of compliance audit results. We’ll keep theory to a minimum – because we already agree that ‘business ethics is good!’. Instead, we’ll focus on why far too many leaders and employees in business, government, education and not-for-profits stare ethics right in the eye – then do the wrong thing anyway.

Most important: we’ll address proven practical actions for audit professionals like you aimed at nudging, leading and outright mental shoving of organizational leaders to get serious about ethics, integrity, compliance and accountability – all tailored to your industry, organization and culture.

Objectives:

• Understand what works – and what doesn’t – in building and sustaining ethical business practices

• Explore relevant recent business ethics cases, red flags, successes and failures

• Examine how to add ethics risks to audit projects – without adding to time budgets or diluting the primary purpose of the projects

• Analyze the roles of belief, skepticism and even cynicism in audits

• Explore why the trend toward ‘truth elasticity’, ‘alternative facts’ and ‘it depends on the circumstances’ all undermine an ethics and integrity

• Understand why ‘tone in the middle’ outweighs ‘tone at the top’ – every day

• Understand the power of meaningful relevant ‘ethics skills training’ for every employee and business partner – and how every auditor can ‘train’ those we serve without compromising objectivity and independence

In this how-to interactive course for government auditors and managers, participants will learn about:

• How to bridge from ethics standards to Compliance testing

• Understand what works – and what doesn’t – in building and sustaining ethical business practices

• How and where audit project fraud risk brainstorming and response actions support ethical management practices

• The theory and daily actions behind true Professional Skepticism for auditors and managers

• 15 barriers to auditor skepticism – and how to break through them once and for all

• Why all controls break down over time – and the ethics violations that often result

• The four-legged stool model of ethics, integrity, compliance and accountability

• What auditors can do every day to influence ethical practices – while honoring our standards of objectivity and independence.

• How to influence thru specific ethics-based auditee questions

• Why weak and/or inconsistent accountability undermines ethics policies – and what we can do about it

Prerequisite not required.

YB 4.23 (L)

TAC Rule 523.142(g) requires the CPE Sponsor to monitor individual attendance and assign the correct number of CPE credits. Participants will be asked to document their time of arrival and departure in compliance with this Rule. Additionally, attendance will be monitored throughout the day and CPE certificates will reflect actual attendance of each participant.

If you are making travel plans to come to Austin, we recommend making "refundable" air and hotel reservations or waiting until 14 days before the class to actually book your reservations. Courses are occasionally canceled or rescheduled due to low enrollment. We determine whether a course has enough participants 16 days prior to the course date. If we cancel or reschedule, we will email the participant and his or her billing contact no later than 14 days before the original class date.

To see answers to our Frequently Asked Questions, visit Texas State Auditor's Office - Professional Development FAQs