上海交通大学管理学院课件

1、上海交通大学管理学院商业伦理主讲：张兴福博士美国大亨欺诈成风池北偶诗朱根华画 环球时报20020722美国隐患重重，企业欺诈成风。大亨编造假账，犹如鬼斧神工。或是虚报收入，或是隐瞒亏空。前有环球安然，后有默克世通一个接着一个，丑闻层出不穷。股票变成废纸，引起一片惶恐。害苦众多股民，愁煞白宫诸公。此风遏制不易，前途未卜吉凶。难弄，难弄！ 现实中的伦理议题公司与员工公司与客户公司与股东公司与供应商公司与竞争对手公司与政府公司与社区、社会公司与自然环境保护跨国公司与全球伦理从企业文化到伦理型公司Fortune 500强，90%的公司有成文的伦理守则；60%以上的美国大企业和50%的欧洲大企业设有企业

2、伦理机构；美国制造业和服务业前1000家企业中，20%聘有伦理主管；90年代中期，40%左右的美国企业进行了伦理培训。欧美公司伦理建设的情况在美国，企业如果违反了消费者的利益，究竟要付多少罚款？根据美国裁判委员会的资料，罚款的多寡由一组因素决定。这组因素包括：企业是初犯还是前科累累？是否曾向有关方面举报罪行？是否愿意承担责任？是否与有关方面合作？是否有有效措施防止或监察不法行为？最多最少有防止犯罪措施，举报，肯负责27468.5只有防罪措施1096548无措施、无举报、不合作、不肯负责27401370无措施无举报不合作不负责高层参与58402740违反消费者利益罚款数目（单位：万美元）实例 A

3、cme公司被裁定邮政欺诈罪。控方指出Acme一贯滥收那些损坏了租赁汽车用家的维修费用，同时也收取了一些用户无需负责的维修费用。在未被法庭定罪之前，Acme已归还那些被多收取费用的顾客总数接近4000万美元的巨款。法官引用了“1991年联邦裁决指引”作为裁判的基础，下令Acme缴交685万美元，约为顾客损失总数的一半。上海交通大学管理学院商业伦理引言主讲：张兴福博士Learning ObjectivesWhat is “business ethics?”Why do so many people think “business ethics” is an oxymoron? (Why are p

4、eople cynical and what can we do about it?) Is business ethics a fad or an afterthought?Can business ethics be taught?What is Ethics ?Ethics can be understood as sets of formal and informal standards of conduct that people use to guide their behavior. These standards are based in part on principles

5、derived from core values such as honesty, respect and trust. Ethics Resource CenterEthics Examples: The Six Pillars of Character by The Josephson Institute of EthicsTrustworthiness: honesty, integrity, promise-keeping, loyalty Respect: autonomy, privacy, dignity, courtesy, tolerance, acceptance Ethi

6、cs Examples: Responsibility: accountability, pursuit of excellence Caring: compassion, consideration, giving, sharing, kindness, loving“Ethical Dilemmas”. . . . . . . . . . . . . a textbook definitionSituations concerning right and wrong where values are in conflict.Trevino & Nelson, Managing Busine

7、ss Ethics. NY: Wiley, 1999. P.4An Ethical Dilemma . . . . . . . .arises in a situation when each alternative choice or behavior is undesirable because of potentially harmful ethical consequences. Right or wrong cannot be clearly identified. (Daft & Marcic, p.137)Are we cynical about ethics?But Sir,

8、you said to install video monitorswhere ever we suspected unethical activity.A Workplace Perspective on Cynicism“What values should we live by? What are we here to do? Modern workplaces offer little help in finding answers to these perplexing queries. As a result, too many of us drift along with lit

9、tle sense of direction and without a moral compass to guide us through the ethically slippery world of work.This deepens our discouragement about work and, ultimately, about life. You probably know people who are situationally smart but spiritually bankrupt.The Management ChallengeJeffrey M. Kaplan,

10、 The Conference Board Program Director.Many companies proclaim the creation or expansion of business ethics and compliance programs with great fanfare and the best of intentions. But often businesses are unable to maintain the credibility of their programs over the long run, with devastating consequ

11、ences for employees, shareholders, and others.”Corporate Response to Ethical IssuesGenerally accepted unethical practices in certain industries.Acceptance of unethical behaviorIneffective enforcement of ethics codesFailure to reinforce ethical behaviorWhy are managers cynical about Business Ethics?H

12、ow common is misconduct at work. About one in every three employees observe misconduct at work. The Good News:Survey of Workplace Ethicsfound that employee perceptions and key ethics outcomes are more positive when: Organizations have ethics programs in place, Employees see ethical values like hones

13、ty, respect and trust applied frequently at work, and Organizational leaders and supervisors are seen as modeling ethical behavior. 2000 National Business Ethics SurveyIs Business Ethics a Fad or an Afterthought? Results from Attention to business ethics !Substantially improved societyHelps maintain

14、 a moral course in turbulent timesCultivates strong teamwork & productivitySupport employee growth and meaningHelps ensure that policies are legal.Complete Guide to Ethics Management: Ethics Toolkit for Managers /library/ethics/ethxgde.htm#anchor33077 Is Business Ethics a Fad or an Afterthought? Res

15、ults from Attention to business ethics !Helps avoid criminal acts “of omission” & can lower finesHelps manage values associated with quality management, strategic planning and diversity managementPromotes a strong public imageCumulative Benefits the “bottom line”Complete Guide to Ethics Management:

16、Ethics Toolkit for Managers /library/ethics/ethxgde.htm#anchor33077 Can Business Ethics Be Taught in College Programs?Felix Rohatyn - “No, not past the age of 10”Lester Thurow - “Not unless students have already learned ethics from families, clergy, previous school or employers”Should Employees Know

17、 the Difference between Right & Wrong?“Bad Apples”Individuals of good character should be able to choose well without special training.“Bad Barrels” Good character doesnt prepare individuals to deal with very special ethical problems unique to their particular occupation or organization.Factors that

18、 Affect Individual Ethical Decision-Making BehaviorEthicalDilemmaStages of Moral DevelopmentAWARENESSMORALJUDGMENTIndividual CharacteristicsCognitiveBiasStructuralCharacteristics of OrganizationOrganizationalCultureEthical/UnethicalBehavior IssueIntensityEthics vs. LawLaw reflects societys MINIMUM n

19、orms and standards of business conduct.There is a great deal of OVERLAP between whats legal & whats ethical.ETHICSLAWLaw-abiding behavior is generally believed to also be ethical.There are many particular situations not covered strictly by law that fall under the umbrella of “ethical dilemmas.”ETHIC

20、SLAWLegal Liability and Ethics: Due Diligence and Effective Compliance Establish compliance standards reasonably capable of preventing criminal misconduct.Assign specific high-level individuals to oversee compliance standards.Take care in delegating discretionary authority involving sensitive respon

21、sibilitiesCommunicate standards & procedures to all employees (emphasis on formality: training & manuals)Detect non-compliance w/ written standards (monitoring, auditing, systems); including retribution free reporting.Consistently enforce written standards through disciplinary mechanism (including f

22、ailure to detect).After detecting offense, act to respond & prevent repeat.TWO OPPOSING VIEWSManagers are professionalsThey dont own the businessEmployees are responsible only to shareholdersMust operate in best interests of shareholdersInterests = FINANCIAL RETURNCorporations are chartered by statesCorporations are not independent entitiesResponsibility to larger society that endo