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.
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.
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.
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.
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
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
E. Acknowledge sources, using in-text citations and references, for content that is quoted, paraphrased, or
F. Demonstrate professional communication in the content and presentation of your submission.
A1. Corporate Social Responsibility
MD Anderson is one of the most prestigious networks in regards to treating cancer care in America. I chose to analyze this network due to the increasing popularity of physicians from other networks becoming “MD Anderson certified.” MD Anderson does a great job of making information available to their patients, physicians, and general public in regards to their CSR’s. MD Anderson’s vision statement is as follows: “We shall be the premier cancer center in the world, based on the excellence of our people, our research-driven patient care and our science. We are Making Cancer History”(About MD Anderson, 2017). The code of ethics that MD Anderson has set for themselves supports their vision statement. There are 10 different principles outlined in the code of ethics that focuses on the networks core values which are carrying, integrity, and discovery. I do not feel that they are lacking in the area of CSR due to the detailed outline of each principle on the code of ethics.
A2. Legal Mandate
One major area for legal concern for all healthcare networks is the area of HIPPA or the health insurance portability and accountability act. This simply means keeping patients information confidential. MD Anderson sets out one principle specifically detailing how they will keep patients information safe. The principle states that, “Patients’ information is confidential and may not be disclosed to third parties without patient consent. All information must be recorded accurately and communicated responsibly. Access confers an obligation to protect patient privacy and personal interests (About MD Anderson, 2017).” MD Anderson is well aware of the repercussions that their network would face if any type of large spread HIPPA violation occurred. They do a fantastic job ensuring…………………….