· 3008.1.2 Ethical Leadership and Code of Ethics

· 3008.1.2 Ethical Leadership and Code of Ethics

· The graduate identifies influences on ethical leadership and analyzes a code of ethics.

· 3008.1.3 Policy and Program Development

· The graduate develops policies, practices,procedures, and programs that foster organizational ethics and socially responsible behavior.

· 3008.1.5 Legal and Regulatory Requirements

· The graduate analyzes applicable legal and regulatory requirements to determine whether organizations meet legal responsibilities.

· INTRODUCTION

·

· As a leader in your organization, it is vital that you are familiar with the laws that regulate your industry. Sparked by the dramatic corporate and accounting scandals of Enron, Arthur Andersen, Adelphia and WorldCom, the Sarbanes-Oxley Act was implemented in 2002 in an effort to restore confidence in the stock markets. Sarbanes-Oxley represents the most important securities legislation since the original federal securities laws of the 1930s as it increased governmental regulation and oversight of publicly-traded companies and established protections for whistleblowers. The False Claims Act and the Dodd-Frank Wall Street Reform and Consumer Protection Act provide a financial incentive for those who “blow the whistle” and report fraudulent activity within their organization.

·

· In this task, you will select and analyze an established company’s code of ethics, analyze how an employee would raise an ethical concern within an organization, and consider the current laws and US Sentencing Guidelines with respect to whistleblowers.

·

· SCENARIO

·

· You are an experienced ethics officer who has recently been hired by an established company. You have been tasked with analyzing the company’s current code of ethics, and identifying areas in need of improvement.

· REQUIREMENTS

·

· Your submission must be your original work. No more than a combined total of 30% of the submission and no more than a 10% match to any one individual source can be directly quoted or closely paraphrased from sources, even if cited correctly. An originality report is provided when you submit your task that can be used as a guide.

·

· You must use the rubric to direct the creation of your submission because it provides detailed criteria that will be used to evaluate your work. Each requirement below may be evaluated by more than one rubric aspect. The rubric aspect titles may contain hyperlinks to relevant portions of the course.

·

· Prepare a report (suggested length of 6–8 pages) in which you do the following:

·

· A. Select an established company and analyze the company’s code of ethics by doing the following:

·

· Note: You should be able to find the company’s code of ethics on the company’s website or in the company’s annual 10k report. Only use the code of ethics for part A.

·

· 1. Analyze whether the code of ethics is lacking in the area of corporate social responsibility.

· 2. Analyze whether the code of ethics is lacking in compliance with legal mandates.

· a. Describe the implications of being noncompliant with legal mandates.

· b. Describe two legal or ethical safeguards your chosen company has in place or could put into place.

·

· Note: If the code of ethics is not lacking in these areas, you must explain why.

·

· 3. Analyze whether the code of ethics facilitates the development of an ethical culture.

· 4. Explain how an employee would raise an ethical concern in this company.

· a. Describe three resources available to employees.

· b. Discuss which resources you would most likely use.

· 5. Include the code of ethics you analyzed in part A by copying and pasting the code into a separate document. Please include this document as a separate attachment.

·

· B. Develop a policy that instructs employees how to address unethical conduct observed at work by doing the following:

· 1. Discuss the factors an employee would need to consider before deciding to blow the whistle about unethical conduct observed at work.

· 2. Describe the process the employee should follow if the employee decided to blow the whistle.

·

· C. Analyze the advantages and disadvantages of paying whistle-blowers based on current laws (i.e., the False Claims Act, Dodd-Frank Wall Street and Consumer Protection Act, and the Sarbanes-Oxley Act).

·

· D. Analyze the impact the U.S. Sentencing Guidelines might have on an organization.

· 1. Discuss three culpability factors that are used to determine fines under the U.S. Sentencing Guidelines.

·

· E. Acknowledge sources, using in-text citations and references, for content that is quoted, paraphrased, or summarized.

·

· F. Demonstrate professional communication in the content and presentation of your submission.

· RUBRIC

·

· A1. CORPORATE SOCIAL RESPONSIBILITY:

· NOT EVIDENT

· An analysis of the code of ethics is not provided or the analysis makes no reference to whether the code of ethics is lacking in corporate social responsibility.

· APPROACHING COMPETENCY

· The analysis of whether the code of ethics is lacking in the area of corporate social responsibility is illogical, or the ideas presented are poorly supported.

· COMPETENT

· The analysis explains whether the code of ethics is lacking in the area of corporate social responsibility and the ideas presented are logical and well supported.

· A2. LEGAL MANDATE COMPLIANCE:

· NOT EVIDENT

· An analysis of the code of ethics is not provided, or the analysis makes no reference to compliance with legal mandates.

· APPROACHING COMPETENCY

· The analysis of whether the code of ethics is lacking in compliance with legal mandates is illogical, or the ideas presented are poorly supported.

· COMPETENT

· The analysis addresses whether the code of ethics is lacking in compliance with legal mandates, and the ideas presented are logical and well supported.

· A2A. IMPLICATIONS OF NONCOMPLIANCE:

· NOT EVIDENT

· A description is not provided, or the description makes no reference to the implications of being noncompliant with legal mandates.

· APPROACHING COMPETENCY

· The description of the implications of being noncompliant with legal mandates is illogical or the implications described are inaccurate or irrelevant to the legal mandates.

· COMPETENT

· The description of the implications of being noncompliant with legal mandates is logical and the implications described are accurate and relevant to the legal mandates.

· A2B. LEGAL OR ETHICAL SAFEGUARDS:

· NOT EVIDENT

· A description is not provided, or the description makes no reference to legal or ethical safeguards.

· APPROACHING COMPETENCY

· The description does not address 2 legal or ethical safeguards, does not contain sufficient detail or is illogical or not relevant to the chosen company.

· COMPETENT

· The description addresses 2 legal or ethical safeguards, contains sufficient detail, and is logical, and relevant to the chosen company.

· A3. DEVELOPMENT OF AN ETHICAL CULTURE:

· NOT EVIDENT

· An analysis of the code of ethics is not provided or the analysis makes no reference to facilitating the development of an ethical culture.

· APPROACHING COMPETENCY

· The analysis of whether the code of ethics facilitates the development of an ethical culture is illogical, or the ideas presented are poorly supported.

· COMPETENT

· The analysis explains whether the code of ethics facilitates the development of an ethical culture, and the ideas presented are logical and well supported.

· A4. RAISING AN ETHICAL CONCERN:

· NOT EVIDENT

· An explanation is not provided, or the explanation makes no reference to how an employee would raise an ethical concern in the company.

· APPROACHING COMPETENCY

· The explanation of how an employee would raise an ethical concern in the company is illogical, or the ideas presented are missing key details.

· COMPETENT

· The explanation addresses how an employee would raise an ethical concern in the company, and the ideas presented are logical and include key details.

· A4A. AVAILABLE RESOURCES:

· NOT EVIDENT

· A description was not provided, or the description makes no reference to any of the resources available to employees.

· APPROACHING COMPETENCY

· The description does not address 3 resources available to employees or the description is illogical or is missing key details.

· COMPETENT

· The description logically addresses 3 resources available to employees, and includes key details.

· A4B. PREFERRED RESOURCES:

· NOT EVIDENT

· A discussion was not provided, or the discussion makes no reference to which resources the candidate would most likely use.

· APPROACHING COMPETENCY

· The discussion of which resources the candidate would most likely use is poorly supported or is illogical.

· COMPETENT

· The discussion logically addresses which resources the candidate would most likely use and is well supported.

· A5. CODE OF ETHICS:

· NOT EVIDENT

· The code of ethics the candidate analyzed is not included in a separate document.

· APPROACHING COMPETENCY

· N/A

· COMPETENT

· The code of ethics the candidate analyzed is included in a separate document.

· B1. WHISTLE-BLOWING CONDITIONS:

· NOT EVIDENT

· A discussion was not provided, or the discussion makes no reference to the factors that would need to be considered before an employee blows the whistle about unethical conduct observed at work.

· APPROACHING COMPETENCY

· The discussion about the factors that would need to be considered before an employee blows the whistle about unethical conduct observed at work is illogical, or the ideas presented are poorly supported.

· COMPETENT

· The discussion about factors that would need to be considered before an employee blows the whistle about unethical conduct observed at work is logical, and the ideas presented are well supported.

· B2. WHISTLE-BLOWING PROCESS:

· NOT EVIDENT

· A description was not provided, or the description makes no reference to the process the employee should follow if the employee decided to blow the whistle.

· APPROACHING COMPETENCY

· The description of the process the employee should follow if the employee decided to blow the whistle is illogical, or contains some inaccuracies.

· COMPETENT

· The description of the process the employee should follow if the employee decided to blow the whistle is logical and accurate.

· C. ADVANTAGES AND DISADVANTAGES OF PAYING WHISTLE-BLOWERS:

· NOT EVIDENT

· An analysis was not provided, or the analysis makes no reference to the advantages and disadvantages of paying whistle-blowers.

· APPROACHING COMPETENCY

· The analysis of the advantages and disadvantages of paying whistle-blowers is illogical, is missing key details, or does not specifically reference current laws.

· COMPETENT

· The analysis is logical, appropriately details both the advantages and disadvantages of paying whistle-blowers, and specifically references current laws.

· D. IMPACT OF U.S. SENTENCING GUIDELINES:

· NOT EVIDENT

· An analysis is not provided, or the analysis makes no reference to the impact the U.S. Sentencing Guidelines might have on an organization.

· APPROACHING COMPETENCY

· The analysis of the impact the U.S. Sentencing Guidelines might have on an organization is missing key details, or the analysis is illogical.

· COMPETENT

· The analysis is logical and appropriately details the impact the U.S. Sentencing Guidelines might have on an organization.

· D1. CULPABILITY FACTORS:

· NOT EVIDENT

· A discussion is not provided, or the discussion makes no reference to culpability factors that are used to determine fines under the U.S. Sentencing Guidelines.

· APPROACHING COMPETENCY

· The discussion of 3 culpability factors that are used to determine fines under the U.S. Sentencing Guidelines is missing key details or contains some inaccuracies.

· COMPETENT

· The discussion is logical and accurately addresses 3 culpability factors that are used to determine fines under the U.S. Sentencing Guidelines.

· E. SOURCES:

· NOT EVIDENT

· The submission does not include both in-text citations and a reference list for sources that are quoted, paraphrased, or summarized.

· APPROACHING COMPETENCY

· The submission includes in-text citations for sources that are quoted, paraphrased, or summarized, and a reference list; however, the citations and/or reference list is incomplete or inaccurate.

· COMPETENT

· The submission includes in-text citations for sources that are properly quoted, paraphrased, or summarized and a reference list that accurately identifies the author, date, title, and source location as available.

· F. PROFESSIONAL COMMUNICATION:

·


Comments are closed.