PART A: CONTROL
MODULE 1: WHAT IS CONTROL, OR INTERNAL CONTROL?
• Characteristics of controls
• Types of control
• Hard controls, soft controls
• Tangible control and intangible controls
MODULE 2: BENEFITS / PURPOSES OF HAVING CONTROLS IN ORGANISATIONS
• To meet business, corporate and overall organisational objectives
• As a management tool
• Administrative controls
• Management controls
MODULE 3: UNDERSTANDING MANAGEMENT’S APPLICATION OF CONTROLS, THRESHOLD/TOLERANCE LIMITS
• To manage risks and uncertainties
• To avoid surprises and unknown agendas
• To ensure quality and consistent standards of operations and services
MODULE 4: THE EMPHASIS OF CONTROLS BY SUPPORTING SERVICES IN ORGANIZATIONS
• Internal audit function
• Risk management function
• Back-office and support function
• Quality assurance function
• Compliance management function
MODULE 5: USING CONTROLS TO MAP YOUR PRIORITIES AND DEVELOP KEY RISK INDICATORS
• How control influences the level (low, medium, high) risk in organisations
• The relationship of control with inherent and residual risks
• Mapping organisation’s KRIs using control as a moderator
MODULE 6: YOUR INTERNAL CONTROL MANAGEMENT FRAMEWORK
• COSO: For non-IT related business and non-business operations and environment
• COBiT: For IT / IS and systems applications and environment
PART B: COMPLIANCE
MODULE 7: INTERNALLY-GENERATED COMPLIANCE
• Knowing your in-house compliance programme and initiatives
• Why the need for internally or in-house compliance guidelines and framework?
MODULE 8: EXTERNALLY-DRIVEN COMPLIANCE
• Types of regulatory or external compliance programmes and initiatives today that organisations need to implement and adhere to
• Why the need for externally regulated compliance guidelines and rulings?
PART C: SYMBIOSIS OF CONTROL WITH COMPLIANCE, AND CSFa FOR EFFECTIVE CONTROL & COMPLIANCE PROGRAMME
MODULE 9: HOW CONTROLS INFLUENCE OR DRIVE COMPLIANCE AND VICE VERSA
• Three main agendas to manage when running a business or non-business organization and they are your (i) Production/product/services, (ii) Network/distribution channels, and (iii) Customers/users
• How to ensure consistent standards and quality in your 3 main agendas above by implementing controls and compliance guidelines
MODULE 10: KNOWING YOUR CRITICAL SUCCESS FACTORS (CSFS) FOR EFFECTIVE AND MEANINGFUL CONTROL AND COMPLIANCE PROGRAMME IN YOUR ORGANISATION
• What can go wrong, and pitfalls to avoid
• What give rise to effective compliance programme?
