Ensuring Ethical Behavior
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- Tracy Mathews
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1 MBA 594 Introduction to Professional Management Gather the facts Does the contemplated action: Conform to important principles? Create more good than harm? Lead to fair outcomes? Promote caring relationships? Support personal choice? Encourage virtuous character? Contribute to sustainability? Think creatively about potential actions The CENTRE for Organization Effectiveness 1
2 How reasonable is it to expect that managers can influence the ethical behavior of employees? If it is not reasonable, then what suggestions (if any) can you offer corporate managers who want to encourage ethical behavior within their organizations? Ethical Decision- making Model of Moral Decision- making Recognize Moral Issue Make Moral Judgment Establish Moral Intent Engage in Moral Behavior Moral Uncertainty Moral Dilemma Moral Distress The CENTRE for Organization Effectiveness 2
3 Numerous examples of companies which have exemplary codes of ethics, yet which have been embroiled in ethical scandals, can be provided. What accounts for this? In order to ensure ethical behavior, one has to be able to: recognize an ethical issue evaluate the ethical issue intend to follow the right course of action follow the right course of action What organizational impediments might interfere with this process? The CENTRE for Organization Effectiveness 3
4 How might these organizational impediments be overcome? Ethical Decision- making Model of Moral Decision- making Recognize Moral Issue Make Moral Judgment Establish Moral Intent Engage in Moral Behavior Moral Uncertainty Moral Dilemma Moral Distress The CENTRE for Organization Effectiveness 4
5 Compliance-based Codes vs Values-based Codes Our Credo We believe our first responsibility is to the doctors, nurses and patients, to mothers and fathers and all others who use our products and services We are responsible to our employees, the men and women who work with us throughout the world We are responsible to the communities in which we live and work and to the world community as well Our final responsibility is to our stockholders. The CENTRE for Organization Effectiveness 5
6 Shared Values Exercise Make a list of five values you hold to be of great importance The CENTRE for Organization Effectiveness 6
7 val ue P n. A principle, standard, or quality considered worthwhile or desirable Consolidate your list with the list(s) of other members in your group, eliminating redundancy Eliminate items which are close synonyms The CENTRE for Organization Effectiveness 7
8 Cull group list by eliminating all values for which there is not unanimous group consensus Allow for individual veto without requirement for explanation Transfer final group list to the board at the front of the room Eliminate items which are close synonyms The CENTRE for Organization Effectiveness 8
9 Cull class list by eliminating all values for which there is not unanimous class consensus Allow for individual veto without requirement for explanation What influence(s) motivate you to be ethical? To be unethical? The CENTRE for Organization Effectiveness 9
10 Model of Motivation (Expectancy Theory) Model of Motivation Motivation = The CENTRE for Organization Effectiveness 10
11 Model of Motivation Motivation = Expectancy Model of Motivation Motivation = Belief that effort will lead to behavior The CENTRE for Organization Effectiveness 11
12 Model of Motivation Motivation = Expectancy X Instrumentality Model of Motivation Motivation = Belief that behavior will be rewarded The CENTRE for Organization Effectiveness 12
13 Model of Motivation Motivation = Expectancy X Instrumentality X Valence Model of Motivation Motivation = Value placed on the reward The CENTRE for Organization Effectiveness 13
14 Model of Motivation Motivation = Expectancy X Instrumentality X Valence How does this model inform our understanding of why individuals behave unethically? The CENTRE for Organization Effectiveness 14
15 Suppose that you want to ensure that employees do the right thing. What steps would you take to make certain this happens? BOARD/MANAGEMENT/EMPLOYEE SELECTION CODE OF CONDUCT DEVELOPMENT AND IMPLEMENTATION TRAINING SPLIT TRAINING FROM ENFORCEMENT RECOGNITION OF ETHICAL DILEMMAS ETHICAL DECISION-MAKING CONSENSUS BUILDING/CONFLICT RESOLUTION SHAPING ORGANIZATIONAL CULTURE GROUP PROCESSES RISK MANAGEMENT INDUSTRY SPECIFI The CENTRE for Organization Effectiveness 15
16 CODE OF CONDUCT DEVELOPMENT AND IMPLEMENTATION Tailor-make your code Get employees involved Consult key stakeholders Outsource the job only carefully Seek out good examples Be clear about scope Be specific about implementation Plan for education Be clear about enforcement Specify a sunset date Sarbanes- Oxley 406 (b) THE SARBANES-OXLEY ACT: Quarterly CEO/CFO certification of periodic reports and internal controls Audit Committee Independence Financial expertise Oversight of audit firm Complaint/whistleblowing procedures Independent advisors authorized The CENTRE for Organization Effectiveness 16
17 Sarbanes- Oxley 406 (b) THE SARBANES-OXLEY ACT: CEO/CFO disgorgement of bonuses and stock profits upon restatement Loans to directors/officers prohibited New crimes and enhanced penalties Federal regulation of auditing firms Code of ethics for senior financial officers Code Building Exercise The CENTRE for Organization Effectiveness 17
18 BOARD/MANAGEMENT/EMPLOYEE SELECTION CODE OF CONDUCT DEVELOPMENT AND IMPLEMENTATION TRAINING SPLIT TRAINING FROM ENFORCEMENT RECOGNITION OF ETHICAL DILEMMAS ETHICAL DECISION-MAKING CONSENSUS BUILDING/CONFLICT RESOLUTION SHAPING ORGANIZATIONAL CULTURE GROUP PROCESSES RISK MANAGEMENT INDUSTRY SPECIFIC The CENTRE for Organization Effectiveness 18
19 TRACKING RESPONSIBILITY ENFORCEMENT REPORTING REWARDS/SANCTIONS DISSENT COMPENSATION STRUCTURE PERFORMANCE APPRAISAL TERMINATION MBA 594 Introduction to Professional Management The CENTRE for Organization Effectiveness 19
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