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1、上海交通大学管理学院主讲：张兴福博士美美国国大大亨亨欺欺诈诈成成风风池北偶池北偶诗诗朱根华朱根华画画 环球时报环球时报20020722美国隐患重重，企业欺诈成风。美国隐患重重，企业欺诈成风。大亨编造假账，犹如鬼斧神工。大亨编造假账，犹如鬼斧神工。或是虚报收入，或是隐瞒亏空。或是虚报收入，或是隐瞒亏空。前有环球安然，后有默克世通前有环球安然，后有默克世通一个接着一个，丑闻层出不穷。一个接着一个，丑闻层出不穷。股票变成废纸，引起一片惶恐。股票变成废纸，引起一片惶恐。害苦众多股民，愁煞白宫诸公。害苦众多股民，愁煞白宫诸公。此风遏制不易，前途未卜吉凶。此风遏制不易，前途未卜吉凶。难弄，难弄！难弄，难弄
2、！ 商业伦理课程大纲商业伦理引言高峰体验、佛家生命观（形而上学部分）商业伦理基本理论（哲学部分）现代功利论：第五项修炼现实中的伦理议题（实务部分，见下页）现实中的伦理议题1.公司与员工2.公司与客户3.公司与股东4.公司与供应商5.公司与竞争对手6.公司与政府7.公司与社区、社会8.公司与自然环境保护9.跨国公司与全球伦理10.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1
3、987年，John Shad捐款2000万美元给哈佛商学院，倡议开设“决策与伦理价值”课程，HBS从1988年起开设；截止1993年，美国90%的商学院开设了企业伦理方面的课程；80年代以来，企业伦理学方面的研究机构、出版物在美国、加拿大、欧洲、南美、中东、日本、韩国纷纷问世。国外企业伦理教学研究状况在美国，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
4、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 Acme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主讲：张兴福博士Learning ObjectivesWhat is “business ethic
5、s?”Why do so many people think “business ethics” is an oxymoron? (Why are people 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 us
6、e to guide their behavior. These standards are based in part on principles derived from core values such as honesty, respect and trust. Ethics Resource CenterSo. . .What is Business Ethics ?The principles, norms and standards of conduct governing an individual or a group.Trevino & Nelson, Managing B
7、usiness Ethics. NY: Wiley, 1999. P.4EthicsExamples:The Six Pillars of Character by The Josephson Institute of Ethics1.Trustworthiness: honesty, integrity, promise-keeping, loyalty 2.Respect: autonomy, privacy, dignity, courtesy, tolerance, acceptance EthicsExamples:3.Responsibility: accountability,
8、pursuit of excellence 4.Caring: compassion, consideration, giving, sharing, kindness, lovingEthicsExamples:5.Justiceandfairness: procedural fairness, impartiality, consistency, equity, equality, due process 6.Civicvirtueandcitizenship: law abiding, community service, protection of environment “Ethic
9、al Dilemmas”. . . . . . . . . . . . . a textbook definitionSituations concerning right and wrong where values are in conflict.Trevino & Nelson, Managing Business Ethics. NY: Wiley, 1999. P.4An Ethical Dilemma . . . . . . . .arises in a situation when each alternative choice or behavior is undesirabl
10、e because of potentially harmful ethical consequences. Right or wrong cannot be clearly identified. (Daft & Marcic, p.137)Are we cynical about ethics?But Sir, you said to install video monitorswhere ever we suspected unethical activity.A Workplace Perspective on Cynicism“What values should we live b
11、y? 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 little sense of direction and without a moral compass to guide us through the ethically slippery world of work.This deepens our discouragement a
12、bout work and, ultimately, about life. You probably know people who are situationally smart but spiritually bankrupt.The Management ChallengeJeffrey M. Kaplan, The Conference Board Program Director.Many companies proclaim the creation or expansion of business ethics and compliance programs with grea
13、t fanfare and the best of intentions. But often businesses are unable to maintain the credibility of their programs over the long run, with devastating consequences for employees, shareholders, and others.”Why are managers cynical about Business Ethics?GeneralCorporateValues&GoalsBusiness preoccupat
14、ion with gainPerception that only results are importantCompetition rather than collaborationCorporateResponsetoEthicalIssuesGenerally accepted unethical practices in certain industries.Acceptance of unethical behaviorIneffective enforcement of ethics codesFailure to reinforce ethical behaviorWhy are
15、 managers cynical about Business Ethics?How common is misconduct at work. About one in every three employees observe misconduct at work. typesofmisconductobservedmostfrequentlyinclude:1)Lying; 2)Withholding needed information; 3)Abusive or intimidating behavior toward employees; 4)Mis-reporting actu
16、al time or hours worked; and 5)Discrimination. 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 honesty, respect and trust applied frequently at work,
17、 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 !1.Substantially improved society2.Helps maintain a moral course in turbulent times3.Cultivate
18、s strong teamwork & productivity4.Support employee growth and meaning5.Helps ensure that policies are legal.Complete Guide to Ethics Management: Ethics Toolkit for Managers http:/www.mapnp.org/library/ethics/ethxgde.htm#anchor33077 Is Business Ethics a Fad or an Afterthought? Results from Attention
19、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: Ethics Toolkit for M
20、anagers http:/www.mapnp.org/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
21、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.FactorsthatAf
22、fectIndividualEthicalDecision-MakingBehaviorEthicalDilemmaStagesofMoralDevelopmentAWARENESSMORALJUDGMENTIndividualCharacteristicsCognitiveBiasStructuralCharacteristicsofOrganizationOrganizationalCultureEthical/UnethicalBehaviorIssueIntensityEthics vs. LawLaw reflects societys MINIMUM norms and stand
23、ards 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.”ETHICSLAWLegal Liab
24、ility and Ethics: Due Diligence and Effective Compliance 1)Establish compliance standards reasonably capable of preventing criminal misconduct.2)Assign specific high-level individuals to oversee compliance standards.3)Take care in delegating discretionary authority involving sensitive responsibiliti
25、es4)Communicate standards & procedures to all employees (emphasis on formality: training & manuals)5)Detect non-compliance w/ written standards (monitoring, auditing, systems); including retribution free reporting.6)Consistently enforce written standards through disciplinary mechanism (including fai
26、lure to detect).7)After detecting offense, act to respond & prevent repeat.TWO OPPOSING VIEWSManagersareprofessionalsTheydontownthebusinessEmployeesareresponsibleonlytoshareholdersMustoperateinbestinterestsofshareholdersInterests=FINANCIALRETURNCorporationsarecharteredbystatesCorporationsarenotindep
27、endententitiesResponsibilitytolargersocietythatendorsestheircreationCompanysfirstpriority=SURVIVALCLASSICAL/ECONOMICCLASSICAL/ECONOMICSOCIO-ECONOMICSOCIO-ECONOMICA “Stake”A “Claim”:A right to somethingA demand for something due or perceived to be due.Stakeholders IncludeEmployeesMangersOwners (Share
28、holders)CustomersSuppliersCommunity Internal External What is Corporate Responsibility ?Philanthropic & SocialEthicalLegalEconomicCON . . . Ethics & Corporate Responsibility ViolatesProfitsMaximizationLackofSkillsDilutionofPurposeLackofAccountabilityTooMuchPowerCostPreventionoverCuresBalanceResponsibility&PowerBetterEnvironmentDiscourageGovernmentRegulationPossessionofResourcesLong-runProfitsPublicImageEthicalObligationsPublicExpectationsStockholderInterestsPRO. . . Ethics & Corporate Responsibility
