Description Course Paper Issue: You have been hired as a CEO (or you have been elevated to a se ...
Description Course Paper Issue: You have been hired as a CEO (or you have been elevated to a senior leadership position) of a corporation, other business entity, public entity (government entity), university or non-profit organization.The organization has been having trouble with corporate governance issues; more specifically, its ethics and compliance program.Regulators have been threatening legal or administrative action and that’s why you’ve been hired and/or elevated to a senior position.Besides legal issues, lack of establishing/enhancing your ethics and compliance program may lead to loss of business, loss or reputation, (loss of donations in the case of a non-profit), loss of employees to other companies and/or loss of employee moral for employees who stay.Because of regulatory, business, stockholder, public and/or stakeholder pressures, you need to institute an effective ethics and compliance program which should encompass an understanding of legal, business and organizational risk.It should reflect an awareness in anticipating ethics/compliance issues.It should reflect a critical-thinking and problem-solving process or approaches to address ethics/compliance challenges.In sum, it should reflect a leadership and decision-making structure, as well as processes that establish an effective ethics and compliance program. The Board of Directors will consider your recommended ethics and compliance program at its next meeting. ----------------------------------------- See Page 5 of the syllabus for a description and instructions regarding course paper – reprinted here: e. Ethics/Compliance Leadership, Management and Decision-making Paper A 10-15-page ethics/compliance leadership paper will be due at the end of the course, on the last day of class, March 12, 2024, by 11:59pm.The topic of this paper will involve ethics management and decision-making.At different times in the course, we will discuss matters related to ethics, culture, values, tone, anti-retaliation for reporting misconduct and what makes for an effective ethics and compliance program at a company or entity. The paper should reflect your thinking in how ethics and compliance should function in an entity’s management of people, processes, leadership and decision-making.(With advanced notice, the course paper topic may change.If so, this matter will be discussed in class.)See, CLO #s 1-7; PLG #s 4, 5 & 7. The paper will be worth 15 points.Five points will be deducted if your paper is late.Papers submitted 5 days after the due date will not be accepted.Exceptions to these deadlines may be granted if prior permission is sought and if good cause exists (e.g., illness; personal emergency). Requirements/Formatting of Course Paper:Papers should be at least 10-15 pages long. Your paper should have 10+ footnotes/citied sources.Footnotes or endnotes do not count towards the length of the paper. Papers should be double-spaced with 12-point letter size. Papers should have one-inch margins: left and right, and top and bottom. Headers are a plus. It should be submitted in one of the following forms: doc., docx or pdf (not Pages or any other form).In other words, papers should be consistent with the MLA writing/formatting style. Grading will be based the above instructions as well as on effort -- inclusive of research; analysis; a point of view supported by analysis, research, logic and other evidence; proof-reading -- as displayed/reflected in your paper.Course papers may be scanned for plagiarism and AI issues; if determined to be the case, no points will be awarded, and the matter may be referred to the School of Management Administration. As noted above, the course paper is due on Tuesday, March 12 by 11:59pm.The Course Paper is to be submitted via Canvas. ----------------------------------------- Course Paper Library: The following represents a start -- a partial library and suggestions which may be of assistance to you in conducting research for your course paper. Culture (what type of culture do you want; how establish) and values statement Tone at the top (executive messaging to differing levels of the organization) Code of conduct (consider Costco Code of conduct (see textbook chapter 3) and Google’s current code of conduct as an example, among other company/industry codes of conducts // SJSU code of conduct // particular non-profit organizations codes of conduct) // https://www.ey.com/en_us/global-code-of-conduct https://abc.xyz/investor/other/google-code-of-cond... U.S. Sentencing Guidelines on establishing an effective ethics and compliance program // https://www.ussc.gov/guidelines/2015-guidelines-ma... U.S. Department of Justice guidance on evaluating ethics and compliance programs // https://www.justice.gov/jm/jm-9-28000-principles-f... Review other government agency regulator guidance on ethics and compliance Ethics decision-making process (see example in textbook chapter 3) Consider emulating your current employer’s ethics and compliance program Leadership structures you’re familiar with or develop one which you think may be effective Considerations of varying types of risk Training programs Budget issues Regular evaluation of the program Test or evidence of effectiveness of an E/C program are consistent narratives/testimonials/story telling by several individuals // Moreover, the test or evidence of an effective ethics and compliance program is documentation of that program.
