Ethics Audit Table Worksheet

Audit Step Description

$($instructions: this column is here

to help you $$ you can delete this

column when you are ready$)$

Organizational Examples

$($instructions: customize the

contents of this column for your

chosen organization$)$

Analysis of Ethical Relevance

$($instructions: fill in the contents of

this column for your chosen

organization$)$

Foundations of

organizational ethical

culture

How do actual employee

behaviors compare to ethical

guidance for employee behaviors

in policies and procedures?

$$ Compare any formal org.

system $($written down$)$ to

informal org. systems $($how

things actually are$)$

Metrics What ethics measures, if any, are

part of formal systems $($e$.$g$.,$

hiring, performance management,

compensation policies$)?$

$$ Quotas for hiring women or

employees of color

$$ Performance reviews tied to

ethical practices$/$DEI

$$ Specific target for reducing

emissions or metric tons of

waste production

Close up view of

organizational ethics

from multiple angles

What is the close up view of the

organization in terms of ethics

from different stakeholders'

perspectives? How $($in$)$consistent

are these perspectives?

$$ How do employees versus

customers see org. ethics?

$$ How do investors versus

employees see org. ethics?

Efficiencies What do you know about other

auditing processes?

$$ Quarterly$/$annual financial

reporting

$$ Employee surveys

$$ Annual training

Other issues What are synergistic

improvement opportunities

$($risks$)?$ Ethics issues in one area

typically matter in others too.

$$ Org. pain points broadly $($e$.$g$.,$

employee

discrimination$/$harassment

issues, business integrity

issues, bad public perception$)$

Response practices What practices are in place to

respond to ethical lapses?

$$ Discipline practices

$$ Reflection practices

$$ Training practices