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

• 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?