Ethics and Internal Control

This survey is anonymous! However, if you would like to have a final copy of this report, please provide email address below.

Question Title

* 1. Please provide email address for free copy of report.

Email Address:

Question Title

* 2. What is your role at your company?

Senior financial executive with primary responsibility for ethics and internal controls

Senior financial management with primary responsibility for ethics and internal controls

Senior financial management who reports to an executive who has responsibility for ethics and internal controls

Other management with primary responsibility for ethics and internal controls

Other management with an interest in ethics and internal controls but currently with no reporting responsibilities

Other (please specify)

Question Title

* 3. Does your company have an ethics training program?

Yes

Question Title

* 4. Does your company’s ethics program include discussions of internal controls?

Yes

N/A

Question Title

* 5. If your company has an ethics training program, do you believe your company’s ethics training program is effective?

Yes

Question Title

* 6. Please describe what you believe makes your company’s program effective if you answered Yes to 5 above or not effective if you answered No to 5 above

Question Title

* 7. Has your company adopted the following (select all that apply):

COSO 1992 Framework

COSO 2013 Framework

SOX Section 404 Assessment

None of the above

I don’t know

Question Title

* 8. How effective do you believe COSO and SOX have been in preventing fraud and unethical behavior?

Very effective

Somewhat effective

Not effective at all

No opinion

Question Title

* 9. What do you believe is the most common way of unethical behavior being caught?

Through external audits

Through internal audits

Through internal controls being followed

Through employee hotline (whistleblower) reports

I don’t know

Question Title

* 10. Is your company’s ethics training conducted through

Live, instructor lead discussion sessions

Live, instructor lead lecture sessions

Assigned reading

Online webinar

Online, interactive training

None of the above

Question Title

* 11. Do you believe your company’s ethics training program should be conducted differently?

Yes

I don't know

Question Title

* 12. If you answered Yes to question 11, which methodology currently not being used would you believe would make your ethics training more effective?

Live, instructor lead discussion sessions

Live, instructor lead lecture sessions

Assigned reading

Online webinar

Online, interactive training

None of the above

Other (please specify)

Question Title

* 13. Does your company have a whistleblower hotline?

Yes

I don’t know

Question Title

* 14. Do you feel that the organization does enough to protect employees from retaliation that use/or will use the hotline

Yes

I’m not sure

Question Title

* 15. Do you feel that if you report unethical behavior there will retaliation for speaking up or penalized for reporting it?

Yes

I’m not sure

Question Title

* 16. What would you like to tell your management about your ethics training? (Results will be aggregated and anonymously included in the final report)