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Do you want a workplace culture where it is safe to speak up at work? Is transparency, accountability and continuous improvement important in your organization? Are you still learning to navigate the waters of unconscious bias, diversity and equality and want employees to feel like they can be authentic while at work? This 2-Day Compliance and Business Ethics Certificate Program will guide you on creating ethics and compliance policies, ethics training programs and conducting organizational assessments to make sure you have the right resources in place to improve and evolve as an organization. You’ll learn the difference between morals, values, principles, purpose, ethics, business ethics, ethos, conflict of interest, code of ethics, core values and code of conduct. You’ll also learn the laws surrounding ethics and how you can create an ethical organization. A company’s business ethics will determine its reputation and even the most straightforward situations can have hidden traps that impact both the law and ethics. This course will equip you to identify those hidden traps and prevent them in the future. Implementing these strategies will put you well on your way to becoming an Employer of Choice or Best Places to Work!


  • Day 1 from 9:00 AM to 5:00 PM Central Time
  • Day 2 from 9:00 AM to 5:00 PM Central Time

2-Day Business Ethics Certificate Program – Learning Overview by the Numbers:

  • 25+ learning objectives
  • Review 3 large organizations as it relates to their approach to Business Ethics.
  • Identify 5 Top Trends impacting ethics.
  • Review 40+ suggestions to include in Ethics and Compliance policies.
  • Review 20+ Federal laws.
  • Review 10 common ethical dilemmas.
  • Outline red flags to potential unethical behavior.
  • Understand 5 competitive advantages to being an ethical employer.
  • Review 8 common lies told during interviews.
  • Learn what 92% of hiring managers are willing to overlook.
  • Identify 5 questions to ask during the interview process regarding ethical behavior patterns.
  • Discuss 12 common behaviors that someone may be lying during an interview.
  • Review 133,000+ claims filed against employers in 2020 alone.
  • Understand 2 ways to make an Ethics and Compliance Program more interactive.
  • Discuss 6 ethical theories.
  • Review behaviors that every organization must routinely demonstrate.
  • Learn who 44% of employees are most likely to report workplace misconduct.
  • Understand 4 exceptions to Employment-at-Will.
  • Review 3 common pitfalls to implementing an effective Ethics and Compliance Program
  • Complete 25 knowledge check questions to identify return on investment.

Learning Objectives – 25+

  1. Define morals, principles, ethics, values, and purpose and how they intersect.
  2. Understand the meaning of ethics, ethos, and business ethics.
  3. Differentiate between a Code of Ethics, Code of Conduct, Core Values and Conflict of Interest.
  4. Discuss why some professions require a commitment to uphold a Code of Ethics/Conduct and some don’t.
  5. We’ll review 3 large associations to gain insights into how each association handles business ethics.
  6. Dive into unethical behavior and human nature to better understand why unethical behavior happens.
  7. Engage in an exercise regarding biased behavior to better understand how ethics impacts the treatment of employees.
  8. Review recent survey data capturing the state of ethics and compliance in the workplace.
  9. This includes an extensive review of the top 5 trends that influence ethical behaviors in the workplace as of March 2021.
  10. Identify how ethics define company culture and employee trust.
  11. Define decision-making documents and policies and procedures every organization should have in place to be viewed as an ethical employer by employees.
  12. This includes identifying 40+ suggestions on what to include within the policy.
  13. Discuss strategies for managing employee attitudes, behaviors, and accountabilities regarding business ethics.
  14. Identify common ethical dilemmas in the workplace and “red flags” that unethical behavior might be approaching.
  15. Capture the competitive advantage of being an ethical organization.
  16. Outline strategies to implement to ensure you’re hiring ethical people.
  17. Realize the role ethics plays in authentic diversity, equity, inclusion and belonging.
  18. Review business cases and the cost of unethical behavior.
  19. Understand the importance and frequency of ethics training as well as how to get started in creating a meaningful and impactful training program.
  20. Distinguish between the roles of an Ethics & Compliance Officer, Ombudsman, Human Resources, Ethics Hotline, and Helpline.
  21. Highlight common Ethical Theories.
  22. Identify how communication can impact ethics and the perception of ethical or unethical behavior displayed by a coworker.
  23. Identify how you can enhance performance evaluations and employee engagement surveys to capture ethical gaps and opportunities for improvement.
  24. Discuss Emotional Intelligence and what impact it has on displaying ethical behaviors.
  25. Understand how ethics can impact employee safety and programs.
  26. Review 20+ Federal laws and discuss how many of them, if any, were created specifically with ethics in mind.
  27. Review Constructive Discharge meaning and lawsuit landmines.
  28. Understand Employment-at-Will across states and organizations as well as advantages to both employees and employers.

2-Day Compliance and Business Ethics Certificate Program

  • The knowledge and resources to make the distinction between several terms that are often used interchangeably, and incorrectly, within the workplace.
  • Access to certified and knowledgeable instructors on matters of compliance as it relates to people operations.
  • Expanded network of both like-minded professionals and resources.
  • An official 2-day Business Ethics Certificate for display in your workplace.
  • Continuing education units for certified HR professionals.
  • A colorful booklet capturing the presentation that allows for a physical resource to review anywhere, anytime and to capture your thoughts and notes.

Target Audience:

  • Individuals
  • HR Professionals
  • Business Owners
  • Executives

Day #1

Understanding the definitions of terms surrounding business ethics and begin the discussion on implementing effective Business Ethics in Your Workplace.

Instructor Introduction and Objectives Review

  • Certified HR Professional with 20+ years of expertise.
  • 25+ objectives have been identified for this program!

Introductions and Course Readiness Exercise

  • Opportunity for each participant to make an introduction and to expand their network.
  • Permission to lean into training.
  • Remove learning distractions.

 Knowledge Check

  • Review 25 current knowledge check questions so participants can have a baseline of their knowledge before and then after the program.

Business Ethics Terminology and Timeline

  • Ethics/Ethos
  • Business Ethics
    • Review a timeline of Business Ethics for the last 6 decades.
  • Morals, Values, Principles and Purpose
  • Code of Ethics, Code of Conduct, Core Values and Conflict of Interest

Commitment to Uphold

  • Discuss why some professions require a commitment to uphold a Code of Ethics or Professional Responsibility.
  • Review the Code of Ethics/Professional Responsibility requirements for the National Association of Social Workers (NASW) and the Human Resources Certification Institute (HRCI), 2 very large communities of certified professionals (later review the Society for Human Resources Management).

Unethical Behavior and Human Nature

  • Discuss the cause of unethical behavior.
  • Identify examples of typical behavior believed to be unethical.
  • Define bias.
  • Conduct an exercise of biased treatment in the workplace/society.
  • Review the difference between motives and consequences.

Recent Survey Data

  • Review the Global Business Ethics Survey from March 2021.
    • Outline the Top 5 Trends influencing unethical behavior in the workplace.

 Ethics Defines Company Culture

  • Discuss how culture influences moral judgment.
  • Identify significant benefits of a strong ethical culture.

Policies and Procedures

  • Regardless of title: Code of Ethics, Code of Conduct, Conflict of Interest, Core Values, Preamble, Principles or Ethics and Professional Responsibility (Collectively “code”) – discuss what an effective “Code” is within an organization.
  • Outline what a Code should include.
  • Discuss how implementation impacts Code effectiveness.
  • Review the impact that fear of retaliation and social pressure has on the Code.
  • Identify Action Steps for effectiveness.
    • Annual Code of Ethics Assessment
    • Focus Groups

Day #2 –

Conclude the discussion on implementing effective Business Ethics in Your Workplace and review the laws that impact them.

Managing Employee Attitudes

  • Understand the importance of meaningful conversations.
  • Identify questions to engage in dialogue and active listening.
  • Review the meaning of Locus of Control.

Ethical Dilemmas

  • Review 10 common ethical dilemmas.
  • Gain awareness of 9 red flags that a potential unethical behavior is looming.

 Competitive Advantage

  • Discuss how Business Ethics impacts marketing.
  • Outline 5 competitive advantages to being an ethical employer.

Hiring Ethical People

  • Review survey data about candidate and hiring manager behaviors during the interview process.
  • Identify the 8 most common lies told during the interview process.
  • Learn what lies 92% of hiring managers are willing to overlook from a candidate.
  • Discuss at least 5 questions to ask during the interview to better understand how the candidate understands ethical behavior.
  • Discuss 12 common behaviors that may imply someone is not telling the truth during their interview.
  • Review best practices to determine if a candidate is ethical.

Diversity, Equity, Inclusion and Belonging (DEI&B)

  • Identify the meaning of each word from the perspective of Dr. Shirley Davis.
  • Understand how authentic DEI&B impacts the employment lifecycle.

Business Case and Cost

  • Outline the impact of having a Code.
  • Review the purpose of a Code.
  • Review the Fiscal Year 2020 data from the Equal Employment Opportunity Commission listing the 133,000+ claims made against employers.
  • Identify the role of the Federal Sentencing Guidelines (FSGO) and the impact it has on employer accountability.
  • Learn about Social Responsibility in Business.

 Ethics Training

  • Identify who should attend ethics training and the frequency of trainings.
  • Review what to include in ethics training.
  • Discuss the difference between conducting in-person, web-based and self-paced ethics training.
  • Discuss why selecting the right facilitator for your organization matters.
  • Identify 2 ways to make ethics training more interactive.

Distinguish Between Roles

  • Take a deep dive into the roles of the Ethics and Compliance Officer compared to an Ombudsperson.
  • Review the impact of having HR oversee ethics and compliance.
  • Discuss the difference between a hotline and a helpline.

Ethics Theories

  • Review 6 theories and their impact on ethical beliefs.


  • Identify 3 necessary behaviors that every organization must demonstrate to communicate ethically in the workplace.
  • Review survey data showing that 44% of employees report misconduct in the workplace.

Performance Evaluations and Employee Engagement

  • Review how to include a demonstration of ethical behaviors in both the performance evaluation and employee surveys.
  • Discuss observations regarding employee and manager interactions.
  • Review SMART definition as it relates to goal setting.

Emotional Intelligence

  • Define emotional intelligence at the most basic level.
  • Review the impact emotional intelligence has on human behaviors.

Employee Safety

  • Review safety as it relates to psychological safety in the workplace.

Conduct an Overview of How Federal Laws Impact Business Ethics

  • FCA: False Claims Act
  • FCPA: Foreign Corrupt Practices Act
  • SOX: Sarbanes-Oxley Act
  • Dodd-Frank Wall Street Reform and Consumer Protection Act
  • Lily Ledbetter Fair Pay Act
  • EPA: Equal Pay Act
  • Whistleblower Protection Act
  • Title VII: Title VII of the Civil Rights Act of 1964
  • USERRA: Uniformed Services Employment and Reemployment Rights Act
  • Executive Order 11246
  • FLSA: Fair Labor Standards Act
  • OSHA: Occupational Safety and Health Act
  • ERISA: Employee Retirement Income Security Act
  • FMLA: Family Medical Leave Act
  • ADA: Americans with Disabilities Act
  • ADAAA: Americans with Disabilities Amendment Act
  • ADEA: Age Discrimination in Employment Act
  • PDA: Pregnancy Discrimination Act
  • NLRA: National Labor Relations Act
  • WARN: Workers Adjustment and Retraining Notification Act
  • COBRA: Consolidated Omnibus Budget Reconciliation Act
  • HIPAA: The Health Insurance Portability and Accountability Act

Constructive Discharge

  • Define constructive discharge and the impact on business ethics.
  • Review how constructive discharge can lead to lawsuits and be costly to employers.


  • Discuss the meaning of Employment-at-Will.
  • Distinguish between employer and employee advantages.
  • Review 4 exceptions to Employment-at-Will.
  • Understand how Employment-at-Will changes across states.
  • Outline what rights employees have within at-will organizations.

Common Pitfalls

  • Discuss 3 common pitfalls to an effective Ethics and Compliance Program.

Review and Knowledge Check Return on Investment (ROI) Exercise

  • Summarize learning objectives.

Conduct a review of knowledge check items from Day 1 to identify participants’ increased knowledge due to course participation.

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