Chapter 1 The importance of Business Ethics
Ethics:
Is a part of decision making at all levels of work and management
道德是各级工作和管理决策的一部分
-Just important as functional areas of business 与业务功能领域
一样重要
-there are no universally accepted approaches for resolving
issues. 没有普遍接受的解决问题方法
Business Ethics:
Comprises organisational principles, values, and norms that may
originate from individuals.
Organisational statement, or from the legal system法律制度 that
primarily guide individual and group behaviour in business
Ethical decisions: It occurs when accepted rules no longer serve and decision makers
must weigh values and reach a judgment 当公认的规则不再适
用，决策者必须权衡该价值观并作出判断.
-value and judgments (这时就很重要）
Morals
Refer to a person’s personal philosophies个人哲学 about what is
right or wrong. The point is that when one speaks of morality, it
is personal or singular.
Principles:
Specific and pervasive普遍 boundaries for behaviour that
should not be violated (具体和普遍的界限 that 不应该被违反的
行为）
Exp: Human rights, freedom of speech and justice
Values:
Values are enduring beliefs and ideals that are socially enforced.
Several desirable or ethical values for business today are teamwork,
trust, and integrity.
A Crisis in
Business Ethics
After the financial crisis, business decisions and activities have
come under scrutiny (审查）
*Financial sector has not fully regained stakeholder trust
Misconduct
Misuse of company resources 滥用公司资源
Abusive Behavior 骚扰
Harassment 骚扰
Accounting fraud 会计欺诈
Conflicts of interest 利益冲突
Defective products 有缺陷的产品
Bribery 受贿
Employee theft 员工盗窃
Having good individual morals is not enough to stop ethical
misconduct
-
Why is it
important that
business people
study business
ethics?
-Ethics training helps provide collective agreement in diverse
organizations不同组织的集体协议
- Business ethics decisions can be complicated
Studying business ethics will help you begin to identify ethical issues
when they arise and recognize the approaches available for
resolving them. You will learn more about the ethical decisionmaking process and about ways to promote ethical behavior within
your organization. By studying business ethics, you may also begin to
understand how to cope with conflicts between your own personal
values and those of the organization in which you work.
Amidst growing scrutiny of business practices, it’s more important
than ever for companies to carry out work the right way. Ethics
programs are an exceptional tool for promoting moral conduct.
Organizations also need employees dedicated to ethical decisionmaking.
Tutorial Question
2
Role of
organizational
ethics in
performance组
1)Employee Commitment and Trust Commitment comes from employees who are invested in the
organization and willing to make personal sacrifices for the
organization. The more company dedication to ethics, the greater the
employee dedication. This include a safe work environment,
competitive salaries and benefits packages, and fulfillment of
contractual obligations 承诺来自于对组织进行投资并愿意为组织做出
织伦理在绩效中
个人牺牲的员工。公司对道德的奉献越多，员工的奉献就越大。问题
的作用
包括安全的工作环境、有竞争力的薪酬和福利待遇，以及履行合同义
务
Employee
commitment and
trust
2)Investor Loyalty and Trusti)Investors are interested in a company’s reputation and recognize
how: ethical culture provides a foundation for efficiency, productivity,
and profitability and negative publicity, lawsuits, and fines threaten a
company’s long-term viability 投资者对公司的声誉越来越感兴趣，并
认识到：道德文化为效率、生产力和盈利能力奠定了基础，而负面宣
传、诉讼和罚款威胁着公司的长期生存能力
ii)Gain investors’ trust and confidence is vital to sustaining financial
stability
ii) 赢得投资者的信任和信心对于维持金融稳定至关重要
3)Customer Satisfaction and TrustCustomer satisfaction is an important factor in a successful business
strategy.
Companies seen to be socially responsible increase customer trust and
satisfaction.
Trust is essential for long-term customer relationships.
A strong organisational ethical climate places customers’ interests
first.
Ethical conduct toward customers builds a strong competitive position
and this positively affect performance and innovation
客户满意度是成功商业战略的重要因素。被视为对社会负责的公司会
增加客户的信任和满意度。信任对于长期的客户关系至关重要。强大
的组织道德氛围将客户利益放在首位。对客户的道德行为可以建立强
大的竞争地位，从而对绩效和创新产生积极影响
4)Companies Profit
-Companies need profits in order to meet their responsibilities
-Corporate concern for ethical conduct is being integrated with
strategic planning (Maximising profitability)企业对道德行为的关注
正在与战略规划相结合（最大化盈利能力）
Tutorial Question
3
1.Discuss the
evolution of
business ethics as
a field of study
from before 1960
to the present.
A Timeline of
Ethical and
Social
Responsibility
Concerns
The Development of Business Ethics
The study of business ethics in North America has evolved
through five distinct stages – before 1960s, the 1960s, the
1970s, the 1980s, the 1990s and continues to evolve发展 in the
twenty-first Century.
Before 1960:
Theological discussions of ethics emerged出现了神学讨论.
Catholic social ethics天主教社会理论 were concerned with
morality in business商业道德,
workers’ rights工人权力,
and living wages生活工资.
The Protestant work ethic新教的职业道德 encouraged
individuals to be frugal节俭, work hard and attain 取得success
in the capitalistic system资本主义.
These traditions provided a foundation for the future field of
business ethics 这些传统为未来的商业道德领域奠定了基础
The 1960’s: The rise of Social Issues in Business.
Ethical Climate道德分为/风气
Social unrest社会动荡.
Anti-war sentiment反战情绪.
Employees have an adversarial relationship with management
员工与管理层之间存在敌对关系.
Values shift away from loyalty to an employer to loyalty to
ideals. 忠诚转变为对理想的忠诚
Old values are cast aside.旧价值观被抛弃
JFK outlined the four basic consumer rights (Consumers’ Bill of
Rights)
The right to safety
The right to be informed
The right to choose
The right to be heard
Issue:
Environmental issues, Civil right issues公民权利问题, , Rising
drug use
Ethics and Compliance Program Developments道德与合规计划
发展
1.Companies begin establishing codes of conduct
2.Birth of social responsibility movement
The 1970s: Business Ethics as an Emerging Field
Ethical Climate
Defence contractors 国防承包商and other major industries
riddled by scandal. 其他充斥着丑闻的主要行业
The economy suffers through recession. 因衰退而受苦
Unemployment rates increase. 失业率上升
Issues:
Employee militancy员工好战, Human rights issues, Covering up
rather than correcting issues选择掩盖而不是解决问题,
Transparency issues.
Ethics and Compliance Program Developments
Business professors began to teach and write about corporate social
responsibility, an organisation’s obligation to maximise its positive
impact on stakeholders and to minimise its negative impact.哲学家们
通过建议某些原则可以应用于商业活动奠定了基础。商科教授开
始教授和撰写有关企业社会责任的内容，这是一个组织有义务最
大限度地提高对利益相关者的积极影响并尽量减少其负面影响
The 1980’s: Consolidation合拼
Ethical Climate:
The social contract between employers and employees is redefined.
Defence contractors are required to obey the stringent rules.
Corporations downsize and employees’ attitudes about loyalty to the
employer are eroded.
Health care ethics emphasised.
雇主和雇员之间的社会契约被重新定义。国防承包商必须遵守严
格的规定。公司规模缩小，员工对雇主忠诚度的态度受到侵蚀。
强调医疗保健伦理
Issues:
Bribery行贿, Price collusion勾结, Deceptive advertising欺骗性广
告
Ethics and Compliance Program Developments
Business ethics became an acknowledged field of study and firms
established ethics committees. Ethics centres provided publications,
courses, conferences, and seminars.商业道德成为公认的研究领域，
公司成立了道德委员会。伦理中心提供出版物、课程、会议和研
讨会。
在 1980 年代，制定了国防工业商业道德和行为倡议，以指导企
业支持道德行为
In the 1980’s, the Defense Industry Initiative on Business Ethics and
Conduct was developed to guide corporate support for ethical conduct.
The 1990s: Institutionalisation of Business Ethics
Ethical Climate:
Global expansion brings new risks. There are major concerns about
child labor, facilitation payments疏通费 (bribe贿赂s), and
environmental issues. The emergence出现 of the Internet
challenges
互联网的出现挑战文化边界
Issues:
Unsafe working conditions in third-world countries, Rising
corporate liability for personal damage 企业对人身损害的责任不断
上升
(cigarette companies)
Ethics and Compliance Program Developments
Continued support for self-regulation and free trade. Healthrelated issues are more regulated. FSGO emerged. Set tone for
compliance. Preventative actions against misconduct. A company
could avoid/minimise potential penalties
继续支持自律和自由贸易。与健康相关的问题受到更多监管。
1991 年的联邦组织量刑指南 (FSGO)。为合规设定基调。针对不
当行为的预防措施。公司可以避免/减少潜在的处罚
The 21st Century of Business Ethics
Ethical Climate
Unprecedented economic growth is followed by financial failures.
Combination of excessive risk-taking and lack of effective controls
destroys high-profile firms. Personal data is collected and sold
openly. Hackers are harmful to businesses and government agencies.
21st Century of Business Ethics 空前的经济增长之后是金融失败。
过度冒险和缺乏有效控制相结合会摧毁高知名度的公司。个人数
据是公开收集和出售的。黑客和数据窃贼困扰着企业和政府机
构。
21 世纪的商业道德
Issues: Cybercrime, Financial misconduct, Global issues, chinese
product safety, sustainability, Intellectual property theft 网络犯
罪、金融不端行为、全球问题、中国产品安全、可持续性、知识
产权盗窃
Ethics and Compliance Program Developments
i)Increased public/political demand for improved ethical standards v
Sarbanes-Oxley Act (2002) Ø Increased accounting regulations
ii)FSGO reforms -Requires governing authorities to be informed of
business ethics programs
iii)Dodd-Frank Wall Street Reform and Consumer Protection Act
(2010) -Aimed at making the financial industry more
transparent/responsible
i)公众/政治对改进道德标准的需求增加 v Sarbanes-Oxley Act
(2002) Ø 增加会计法规
ii) FSGO 改革 - 要求管理当局了解商业道德计划
iii)Dodd-Frank Wall Street Reform and Consumer Protection Act
(2010) - 旨在使金融业更加透明/负责任
Ethical Culture
Acceptable behavior as defined by the company and industry
Goals of Ethical
Value
i)Minimize need for enforced compliance尽量减少强制合规的需要
ii)Maximize utilization of principles/ethical reasoning in difficult or
new situations在困难或新情况下最大限度地利用原则/道德推理
Tutorial Question
Value and
Judgement
There are no set rules so decision maker must weigh values to reach a
judgement; amount of emphasis on own values & accepted practices
determined by company - corporate culture has rules & regulations
that determine what decisions employees consider right/wrong as
relates to firm 没有固定的规则，因此决策者必须权衡价值才能做
出判断；公司确定的对自身价值观和公认实践的重视程度 - 企业
文化具有确定员工认为与公司相关的正确/错误决策的规则和规定
Tutorial Question
We all learn
values from
sources such as
family, religion,
and school. Why
might these
sources of
individual values
not prove very
helpful when
making complex
business
decisions?
The values we learn as a child growing up depend on everything from
our mom or our religions. Your values may depend on whether the
place or the activities that you have joined such as you went to church
as a child or not, or if you were home schooled, went to public, or
private school. Every decision in your life shapes your personal values
and the way you look at the world. Maybe someone who grew up in a
cheating family may think it is ok to cheat your way into a better
business deal but that goes against the real world's ethics. Or maybe
you grew up being a very strict Christian and you are now the
President and CEO of a major company so you would like to be
closed on Sundays. This could be a problem in the face of ethics
towards those not as religious as you. And you finance advisors think
that you would lose major revenue if that was the case. Hence, you
now have to decide between your company and your faith. Sometimes
your values help and sometimes your values but you in a bad situation
Chapter 2 Stakeholder利益相关者 Relationships, Social
Responsibility and Corporate Governance公式治理
Topic to Discuss
Stakeholder Relationship
Stakeholder Influences in Social Responsibility
Corporate Governance
Stakeholder
Definition: A person, group or organisation that has interest or
concern in an organisation
Theory: A conceptual framework of business ethics商业道德
的概念框架 and organisational management addresses 解决
企业或其他组织管理中的道德和伦理价值观 moral and ethical
values in the management of a business or other
organisation.
An individual or group is considered a stakeholder of a business
unit when:
- The actor has the potential thinking
-
The actor can withdraw撤回 or grant resources needed
授予组织活动所需资源 for organisational activities
-
The actor is valued by the organizational culture受到公
司重视
Relationships and
Business
Building effective relationships is one of the most important areas
of business today
-
Business ethics is a team sport and few decisions are
made by only one individual 是群体而不是个人的
i)Stakeholder framework:
- Help identify internal and external stakeholders
- Help monitor and respond to needs, values, and
expectations of stakeholder groups
ii)Corporate governance:
the formal system of accountability and control of ethical and
socially responsible behaviour
Stakeholders
Define ethical
Issues in Business
Stakeholder: those who have a stake or claim in some aspect of a
company’s products, operations, markets, industry, and outcomes
-customers
-employees
-investors
-suppliers
-government agencies
-communities
The relationship between companies and their stakeholder is a twoway street
Three approaches
of Stakeholder
Theory
Normative规范: Principles and values help identify ethical
guidelines that dictate how to treat stakeholders原则和价值观
有助于如何指导道德准则在那些利益相关者身上
Descriptive 描述性: Focuses on actual behaviour, addressing
decisions and strategies in stakeholder relationships关注实际
行为，解决利益相关者关系中的决策和策略
Instrumental工具 : Examines stakeholder relationships and
describes outcomes for particular behaviours 检查利益相关者
关系并描述特定行为的结果
Identifying
Stakeholders
Primary stakeholders: those whose continued association is
absolutely necessary for a firm’s survival. 公司需要这些人才
能生存For example, Employees, customers, investors,
governments, and communities
Secondary stakeholders: do not typically engage in transactions
with the firm and are not essential to a firm’s survival通常不与
公司进行交易，对公司的生存不是必要的 For example, media,
trade associations商业协会, and special interest group.
A Stakeholder
Orientation
The degree to which a firm understands and addresses
stakeholder demands.
Involves activities that facilitate促进and maintain value with
stakeholders
-Generation of data about stakeholder groups
-Distribution of that information 信息在整个公司的分布
-Responsiveness of the organisation as a whole 真各个组织
对此的反应信息
Social
Responsibility
An organisation’s obligation to maximise its positive impact on
stakeholders and minimise its negative impact
Four level of Social Responsibility
i) Economic: Maximising Stakeholder wealth/ or value
ii)Legal: obey all laws and government regulations
iii)Ethical: following standards of acceptable behaviour as judged
by stakeholders遵循利益相关者判断的可接受行为标准
iv)Philanthropic慈善: “giving back” to society
Corporate
The extent to which businesses strategically meet their
Citizenship 企业公
民
economic, legal, ethical and philanthropic responsibilities.
Four Dimensions
-Strong sustained economic performance强劲的持续经济表现
-Rigorous compliance严格合规
-Ethical actions beyond what is legally required超出法律要求
的道德行为
-Voluntary contributions to advance reputation and
stakeholder commitment自愿捐款以提高声誉和利益相关者的
承诺
Reputation
Is one of an organisation’s greatest intangible assets with tangible
value
-Difficult to quantify but very important
-A single negative incident单一的负面事件 can influence an
organisation’s image and reputation instantly and for years
afterwards
Social
Responsibility
Issues
Social: Deals with concerns that affect the welfare of our
entire society, associated with the common good 处理影响我
们整个社会福利的问题，与共同利益相关
Consumer Protection: The company has the responsibility of
taking precautions to prevent consumer harm. Nowadays, Many
consumers are shocked when they realise marketers are using
cookies and other mechanisms to track their online activity.
Sustainability: Businesses can no longer afford to ignore the
natural environment as a stakeholder 作为利益相关者，企业
不能再忽视自然环境
Corporate Governance: Research show corporate governance has
a strong positive relationship with social responsibility
Social
Responsibility and
Stakeholder
Orientation
Caring about stakeholders can lead to increased profits.
The purpose of a stakeholder orientation is to maximise positive
outcomes that meet stakeholder’s needs.
Stakeholder support companies they perceive to be socially
responsible, enhancing profitability
Corporate
Governance
Accountability: Accountability is an important part of
corporate governance. Accountability refers to how closely
workplace decisions same with a firm’s stated strategic
direction and its compliance遵守 with ethical and legal
considerations 问责制是指工作场所决策与公司既定战略方向的一
致性及其对道德和法律考虑的遵守程度
- A clear delineation of accountability helps employees, customers,
investors, government regulators, and other stakeholders understand why
and how the organization identifies and achieves its goals. Corporate
governance establishes fundamental systems and processes for preventing
and detecting misconduct, for investigating and disciplining, and for
recovery and continuous improvement. Effective corporate governance
creates a compliance and ethics culture so employees feel integrity is at
the core of competitiveness. 5
Oversight监督: provides a system of checks and balances
that limit employees’ and managers’ opportunities to deviate
偏离政策 from policies and strategies aimed at preventing
unethical and illegal activities.
Control: is the process of auditing 审核 and improving
organisational decisions and actions
Views of Corporate Compare and contrast the stakeholder and shareholder models of
corporate governance.
Governance
The shareholder model of corporate governance is founded in
classic economic precepts, including the goal of maximizing
wealth for investors and owners. 公司治理的股东模式建立在
经典的经济准则之上，包括为投资者和所有者实现财富最大化
的目标。
Focus on developing and improving the formal system for
maintaining accountability performance between top
management and shareholders. 专注于开发和改进维护高层管
理人员和公司股东之间绩效问责制的正式制度。
A shareholder orientation should drive a firm’s decisions toward
serving the best interests of investors. 以股东为导向应该推动
公司的决策朝着为投资者的最大利益服务的方向发展。
The stakeholder model of corporate governance adopts a
broader view of the purpose of business because it must
answer to other stakeholders, including employees, suppliers,
government, communities, and special-interest groups. 公司
治理的利益相关者模型采用更广泛的业务目的观，因为它必须
对其他利益相关者做出回应，包括员工、供应商、政府监管机
构、社区和特殊利益集团。
Role of Boards of
Directors
Holds final responsibility for its firm’s success, failure, and
ethicality of actions对其公司的成功，失败和行为道德负有最
终责任
-The global financial crisis motivated many to demand greater
accountability from boards 全球金融危机促使许多人要求董事
会承担更大的责任
-In reality, boards rarely manage but instead monitor
executive decisions实际上，董事会很少管理而是监督执行决
策
-Executive compensation is a growing ethical concern高管薪
酬是一个日益严重的道德问题
Demands for
Accountability and
Transparency
Stakeholders demand that boards are accountable and transparent
Directors offer expertise, competence能力, and diverse
perspectives to strategic decisions
Qualified, knowledgeable, diverse, fair can prevent misconduct
Interlocking directorate 连锁董事会 is the concept of board
members being linked to more than one company
Implementing a
Stakeholder
Perspective
1.Assessing the corporate culture 评估企业文化: is to identify
the organisational mission, values, and norms likely to have
implications影响 for social responsibility. Relevant existing
values and norms are those that specify the stakeholder
groups and stakeholder issues deemed most important by the
organization. Often, relevant organizational values and norms
can be found in corporate documents such as the mission
statement使命宣言, annual reports年度报告, sales brochures
销售手册, and websites网站.
2. Identifying stakeholder groups 识别利益相关者群体: it is
important to recognize stakeholder needs and wants. Many
important issues gain visibility because consumer groups,
regulators, or the media express an interest. Managers can identify
relevant stakeholders who may be affected.
认识到利益相关者的需求、愿望和愿望很重要。由于消费者团体、
监管机构或媒体等关键支持者表达了兴趣，许多重要问题获得了关
注。管理人员可以识别可能受到或可能影响组织政策制定的相关利
益相关者
3. Identifying stakeholder issues 识别利益相关者问题: consists
of understanding the main issues to these stakeholders. Conditions
for collaboration exist when problems are so complex that multiple
stakeholders are required to resolve the issue包括了解这些利益相关
者关心的主要问题。当问题如此复杂以至于需要多个利益相关者来
解决问题时，协作的条件就存在了
Identifying stakeholder issue: consist of understanding the main issue of
stakeholder. Conditions of collaboration exist when problems are complex
need multiple stakeholder to solve together
5. Identifying resources and determining urgency 识别资源并确
定紧迫性: When the challenge under consideration is viewed
as significant and stakeholder pressures on the issue, the
challenge is considered urgent. 当正在考虑的挑战被视为重大并
且可以预期利益相关者对该问题的压力时，该挑战被认为是紧迫
的。
6. Gaining stakeholder feedback获得利益相关者的反馈: First,
stakeholders’ general assessment of a firm and its practices can be
obtained through satisfaction or reputation surveys. Second, to
gauge stakeholders’ perceptions of a firm’s contributions to specific
issues, stakeholder-generated media such as blogs, websites,
podcasts, and newsletters can be assessed. Third, more formal
research may be conducted using focus groups, observation, and
surveys首先，利益相关者对公司及其实践的总体评估可以通过
满意度或声誉调查获得。其次，为了衡量利益相关者对公司对
特定问题的贡献的看法，可以评估利益相关者生成的媒体，如
博客、网站、播客和新闻通讯。第三，可以使用焦点小组、观
察和调查进行更正式的研究
Chapter 4: The Institutionalisation制度化 of Business
Ethics
Three Dimensions of
Voluntary practices自愿实践: A management-initiated
Institutionalisation
boundary of conduct - Beliefs, values, and voluntary contractual
obligations of a business
管理发起的行为边界-信念，价值观，和企业的自愿合同义
务
*Philanthropy慈善: Giving back to communities and causes
回馈社会和事业
Core practices核心实践: Documented best practices,
often encouraged by legal and regulatory forces and trade
associations通常受到法律和监管力量以及行业协会的鼓励
Mandated boundaries强制边界: An Externally imposed
boundary of conduct (e.g. laws, rules, regulations and
other requirements)外部强加的行为边界(例如法律、规则、
规定和其他要求)
Types of Laws
Civil law 民法 defines the rights and duties of individuals
and organizations规定了公民的权利和义务
*Individuals (in court) enforce civil laws 个人（在法庭上）
执行民法 （注重于对受害人的补偿）
Criminal law刑法 prohibits specific actions and imposes
punishments for breaking the law刑法禁止具体行为，并对
违法行为进行处罚 (刑法是指处理犯罪活动、违法行为及其处罚的
法律主体)
*State or nation enforces criminal laws国家或国家执行刑法
Mandated
Requirement 强制要
Laws establish the basic ground rules for responsible business
activities
Five categories of laws
求 for Legal
●
Regulating competition 调节竞争
Compliance
●
Protecting consumers 保护消费者
●
Promoting equity and safety促进公平和安全
Encourage organization
●
Protecting the environment保护环境
compliance program to
●
Encourage organizational compliance programs to
deter misconduct
deter misconduct鼓励组织合规项目的激励措施，以
阻止不当行为
i) Laws Regulating
Competition
Prevent monopolies,
Laws passed to prevent monopolies防止垄断, inequitable
pricing不公平定价, and other practices that reduce or
restrict competition 其他减少或限制竞争的行为
inequitable pricing,
and other practices
can reduce or restrict
*Sometimes called procompetitive legislation有时被称为促
competition
进竞争立法 because they encourage competition and
prevent activities that restrain trade它们鼓励竞争，防止限
制贸易的活动
ii) Laws Protecting
Consumers
C
Consumer protection laws require businesses provide
accurate information about products and services and
follow safety standards要求企业提供准确的产品和服务信
息，并遵循安全标准
iii) Laws Promoting
Equity in the workplace, protecting the rights of minorities,
Equity and Safety
women, older persons, and persons with disability.工作场所;
保护少数群体的权利，妇女、老年人和残疾人
Affirmative action programs平等权利
Mandates that women and men who do equal work must receive
equal pay.
Gatekeepers and
Stakeholders
Trust is the glue that holds businesses and their
stakeholders together信任是将企业和利益相关者联系在一
起的粘合剂
Gatekeepers看门人 : Overseers of business actions业务行
动的监督者
Accountants, regulators监管师, lawyers, financial rating
firms, auditors
Critical in providing accurate information to stakeholders对
向利益相关者提供准确信息至关重要
Accountants
Measure and disclose financial information to the public衡
量并向公众披露财务信息
Assure accuracy确保准确性
Some accountants have not adhered to their stakeholder
responsibilities一些会计师没有遵守他们的利益相关者责任
-Excessive focus on growth and profits过分关注增长和利润
Conflicts of interest利益冲突
Risk Assessors
Assess financial risk and express that risk through letter
ratings from “AAA” to “C”评估财务风险，并通过从“AAA”到
“C”的字母评级来表达这种风险
Problems with risk models and violations of codes of
conduct led to inaccurate ratings风险模型的问题和违反行
为准则导致不准确的评级
Misled investors and stakeholders误导投资者和利益相关者
High Appropriate
Focus on sound organisational practices and integrity for
Core Practices高度适 performance measures关注良好的组织实践和绩效衡量的
当的核心实践
完整性
Not a focus on individual morals不关注个人道德
Most ethical issues are non-financial大多数道德问题与财务
无关
Voluntary
Business’s contributions to stakeholders
Responsibilities:
Four major benefits to society
●
Improves communities quality of life
●
Reduces government involvement
●
Develops employee leadership skills
●
Helps create an ethical culture
Cause-related marketing事业相关营销: Ties an
organization’s product(s) to a social concern through a
marketing program通过营销计划将组织的产品与社会关注
联系起来
Strategic philanthropy战略性慈善: The synergistic and
mutually beneficial use of core competencies and
resources to deal with stakeholders, benefit the company
and society协同、互惠地利用核心能力和资源与利益相关者
打交道，造福公司和社会
Institutionalisation in
Business Ethics
involves embedding values, norms, and artifacts in
organizations, industries, and society包括在组织、行业和
社会中嵌入价值、规范和工件
Tutorial Question
When businesses compete unfairly, legal and social
1.What ethical issues
responsibility issues can result. Competing to harm a competitor
affecting consumers
and society as a
results in reduced product choices for consumers. Price
collusion by large companies results in higher prices for
consumers
whole are created by
unfair competition?
不正当竞争造成了哪
些影响消费者和整个
社会的伦理问题？
2）According to the
text, the opinions of
The role of laws is not so much to determine what is ethical or
unethical as to determine the appropriateness of specific
activities or situations. In other words, laws establish the basic
society, as expressed ground rules for responsible business activities. Laws, or public
policy, is dynamic and changes in response to business abuses
through legislation,
and consumer demands for safety and equality.
can change overtime,
and different courts
and government
legislatures may take
different views about
the acceptability of
specific business
activities. Why is this
so?
Chapter 5 Ethical Decision Making
Ethical Decision
is the processes of choosing the best alternative for achieving
Making Process
the best results or outcomes compliance with individual and
social values, moral, and regulations 是选择最佳选择的过程，以达
到最佳的结果或结果符合个人和社会的价值，道德和法规
A Framework for
Organisational pressures have a strong influence.
Ethical Decision
Making in Business
The ethical decision making process includes道德决策过程
包括
Ethical issue intensity
Individual factors
Organizational factors
Framework for
Understanding Ethical
Decision Making in
Business
i)Ethical Issue
Intensity强度
The importance of an ethical issue to the individual, work
group, and/or organisation道德问题对个人、工作团队和/或
组织的相关性或重要性
Workplace
Family
Community
Profession
Religion
Legal system
● Reflects the ethical sensitivity of the individual and/or
work group
● Triggers the ethical decision making process触发道
德决策过程
Individuals are subject to six spheres of influence
● Work Place
● Family
● Religion
● Legal System
● Community
● Profession
Moral Intensity: Relates to a person’s perception of social
pressure and the harm his/her decision will have on others
涉及到一个人对社会压力的感知，以及他/她的决定会对他
人造成的伤害
ii) Individual Factors
People base their ethical decisions on their own values and
principles of right or wrong人们根据自己的价值观和是非原
则做出道德决定
● Values are learned through socialization价值是通过
社会化学习的
● Good personal values decrease unethical behaviour and
increase positive work behaviour
● Values are subjective; vary across cultures价值观是
主观的，因文化而异
An organisation may intend to do right, but organisational
or social forces can alter this intent一个组织可能打算做正
确的事，但是组织或社会力量可以改变这个意图
Locus of Control: 控制点理论
Relates to individual differences in relation to a general belief
about how one is affected by internal versus external events
or reinforcements关于一个人如何受到内部事件和外部事件
或强化的影响的普遍信念
Managers with external locus of control, go with the flow
because that;s all they can do
Managers with
External locus of control go with the flow because that‘s all
they can do 只能跟着做
Internal locus of control believe they can control events; are
masters of their destinies and trust in their capacity to influence
their environment 认为自己可以控制事件; 掌握自己的命运，
相信自己有能力影响环境
具体来说，控制点是指个体将责任/归因于自身的内部因素
还是外部因素，如命运、运气或机遇。
内控者
对某些人来说，个人生活中多数事情的结果取决于个体在做
这些事情时的努力程度，所以这种人相信自己能够对事情的
发展与结果进行控制。此类人的控制
点在个体的内部，称为内控者。
外控者
对另外一些人，
个体生活中多数事情的结果是个人不能控制的各种外部力量
作用造成的，他们相信社会的安排，相信命运和机遇等因秦
决定了自己的状况，认为个人的努力无济于事。这种人倾向
于放弃对自己生活的责任
内控者和外控者的不同
由于内控者与外控者理解的控制点来源不同，因而他们对待
事物的态度与行为方式也不相同。内控者相信自己能发挥作
用，面对可能的失败也不怀疑未来可能会有所改善，面对困
难情境，能付出更大努力，加大区作投入他们的态度与行为
方式是符合社会期待的。而外控者看不到个人努力与行为结
果的积极关系面对失败与困难，往往推卸责任于外部原因
iii) Organizational
Organizational culture has a stronger influence on employees
Factors
than individual values
Has a stronger
Corporate culture: A set of values, norms, and artifacts
influence on
employees than
that members of an organization share企业文化:组织成员
individual values
共享的一套价值观、规范和工件
Significant others: Those who have influence in a work
group重要的其他人:那些在团队中有影响力的人They help
workers on a daily basis with unfamiliar tasks and provide
advice and information
Obedience to authority服从权威: helps explain why many
employees resolve business ethics issues by simply
following the directives of a superior有助于解释为什么许多
员工解决商业道德问题只要服从上级的指示就行了
● If 有问题，可以直接推卸责任说是老板给的order来
的
Opportunity
The conditions in an organization that limit/permit
ethical/unethical behavior
Immediate job context直接工作环境:: Where employees
work, with whom they work, and the nature of the work
*偷东西 （粉笔，钢笔，订书机那些）
Opportunities for misconduct can be reduced by
establishing formal codes, policies, and rules 通过建立正
式的代码、政策和规则，可以减少不端行为的机会
●
Aggressive enforcement is required 需要积极执行
●
Knowledge can sometimes lead to unethical behaviour
●
A person who has an information base, expertise,
or information about competition has an opportunity
to exploit knowledge利用知识
Business Ethics
Ethical dilemmas involve situations where rules are vague模
Intentions,
Behaviors and
Evaluations
糊 or in conflict 道德困境包括以下情况
● Critical thinking skills and ability should exist in this
part to have a determination批判性思维技能和承担
责任的能力很重要
● The final step is deciding what action to take based on a
person’s intentions 最后一步是根据一个人的意图决
定采取什么行动
● Guilt or uneasiness is the first sign that an unethical
decision has occurred 不道德的决定发生的第一个
迹象是内疚或不安
● Most businesspeople will make ethical mistakes
大多数商人都会犯道德错误
Example: 小美被老板委托要做一个误导性的广告，如果他
做了就能升职加薪 如果不做就会被踢出公司，
小美觉得进退两难，他不想做这种误导性的广告，但最终因
为想加工钱（意图），因此他还是做了。于是他感到愧疚
Using the Ethical
Decision-Making
Impossible to objectively determine if a business decision
Model to improve
is right or wrong不可能客观地判断一个商业决策是对是错/
Ethical Decisions
cannot tell you if a business decision is ethical or
unethical.
Understanding how ethical decisions are made will not solve
ethical problems
-Business ethics involves value judgments and collective
agreement about acceptable patterns of behavior商业道德
包括价值判断和关于可接受的行为模式的集体协议
Ethical decision making in business does not rely on
personal values and morals商业中的道德决策不依赖于个
人价值观和道德
-Organizations have their own culture组织有自己的文化
-Informal relationships enforce an ethical culture非正式关
系加强道德文化
Normative
Considerations in
Ethical Decision
Normative approaches规范方法:
How organizational decision makers should approach an
issue组织决策者应该如何处理问题
Making道德决策中的
规范考虑
● Different from a descriptive approach that examines
how organizational decision makers approach
Fairness and Justice
ethical decision making不同于一个描述性的方法，
检查组织决策者如何进行道德决策
● Concepts like fairness and justice are highly important
in a normative structure像公平和正义这样的概念在
规范结构中是非常重要的
Most organizations develop a set of core values to provide
enduring beliefs about appropriate conduct大多数组织建立
了一套核心价值观，以提供有关适当行为的持久信念
● Core values are central to an organization and
provide direction for action核心价值观是一个组织的
核心，并提供行动的方向
● By incorporating stakeholder objectives into
corporate core values, companies begin to view
stakeholders as significant通过将利益相关者的目标
纳入公司的核心价值观，公司开始把利益相关者视为
重要的
Institutions as the
Foundation for
Normative Values制
度是规范价值的基础
Institutions are important in establishing a foundation for
normative values制度对于建立规范价值的基础很重要
Organizations face certain normative pressures from
different institutions to act a certain way组织面临来自不同
机构的特定规范压力，以某种方式行事
● Internally and/or externally
● Sort institutions into three categories: Political,
economic, and social
Political influences can take place within the organization政
治影响可能发生在组织内部
● An ethical organization has policies and rules in
place to determine appropriate behaviour一个有道
德的组织有适当的政策和规则来决定适当的行为
● Often the compliance component of the firm’s
organizational culture通常是公司组织文化中的合规
部分
● Failure to abide by these rules results in disciplinary
action不遵守这些规则将会受到纪律处分
Normative business ethics takes into account the political
realities outside the legal realm in the form of industry
standards考虑到法律领域之外的政治现实
Legal issues such as price fixing, antitrust issues, and
consumer protection are important in maintaining a fair and
equitable marketplace价格操纵、反垄断问题和消费者保护
等法律问题对维护公平和公平的市场非常重要
These issues must be major considerations for business when
making ethical decisions
Competition affects how a company operates as well as the
risks employees take for the good of the firm竞争影响公司的
运作方式，也影响员工为公司利益所承担的风险
Amount of competition in an industry can be
determined/described according to…
● Barriers to entry into the industry进入该行业的壁垒
● Available substitutes for the products produced by
the industry rivals行业竞争对手生产的产品的替代品
● Power of the industry rivals over their customers竞
争对手的力量
● Power of the industry rivals’ suppliers over the
industry rivals行业竞争对手的供应商的力量超过行
业竞争对手
Social institutions include religion, education, and
individuals such as the family unit社会机构包括宗教、教育
和个人，如家庭单位
● There are laws meant to ensure an organisation
acts fairly, but there are no laws saying people
should do to others as they would prefer to have
done to them有法律旨在确保一个组织的公平行为，
但没有法律说人们应该以自己喜欢的方式对待他人
● Many cultures adopt this rule that has been
institutionalized into businesses with standards on
competing fairly, being transparent with consumers,
and treating employees with respect许多文化都采用
一种规则 而这一种规则已经被制度化，成为企业的
标准，公平竞争，对消费者透明，尊重员工
Industry shared values promote organizational effectiveness
when linked to goals
Can also hinder effectiveness
● Risk that organizations might sacrifice new ideas or
● methodologies in order to be more acceptable组织
可能会为了更容易被接受而牺牲新想法或方法的风险
● Can limit innovativeness and productivity会限制创新
和生产力
Important that organization does not stray too far from
industry norms and values组织不要偏离行业规范和价值观
太远
When values from political, economic, and social institutions
are embedded into the organizational culture to provide
incentives for appropriate behavior, firms tend to act more
socially responsible当来自政治、经济和社会制度的价值观
嵌入到组织文化中，为适当的行为提供激励时，企业往往会
表现出更多的社会责任
Implementing
Two main principles of justice…
Principles and Core
Liberty principle (equality principle)自由原则: States that
Values in Ethical
Decision Making
each person has basic rights that are compatible to the
basic liberties of others指出每个人都有与他人基本自由相
容的基本权利
Difference principle差异原则: States that economic and
social equalities (or inequalities) should be arranged to
provide the most benefit to the least advantaged members
of society指出经济和社会的平等(或不平等)应该安排为社会
中最弱势的成员提供最大的利益
Does not advocate for the complete elimination of
inequalities in society不主张完全消除社会上的不平等
The most ethical decision seeks to benefit and not harm
disadvantaged populations
Companies take basic principles and translate them into
core values公司将基本原则转化为核心价值
Core values provide the abstract ideals that are distinct
from individual values and daily operational procedures核
心价值观提供了不同于个人价值观和日常操作程序的理想
Value practices evolve and are translated into normative
definitions of ethical or unethical价值实践演变并被转化为
道德或不道德的规范定义
Leaders, stakeholders, and the organizational culture impact the
development of core values领导者、利益相关者和组织文化
影响核心价值观的发展
A firm’s core values provide a blueprint into the firm’s
purpose as well as how it views ethical decision making
and prioritizes stakeholders一个公司的核心价值观提供了
一个蓝图，该公司的目标，以及如何看待道德决策和优先利
益相关者
Principles and Values:
Principle:
Widely accepted
Used to develop values and standards
Establishes pervasive boundaries for behaviour 为行为建
立普遍的界限
Valued across cultures重视跨文化
Values:
Subjective and related to choice主观的和与选择有关
Used to develop norms用来建立规范
Provides guidance to organization为组织提供指导
Differs across cultures and firms
Understanding Ethical Ethical issue intensity, individual factors, and opportunity
Decision Making
result in business ethics evaluations and decisions伦理问
题的强度、个人因素和机会导致商业伦理评估和决策
● An organizational ethical culture is shaped by
effective leadership一个组织的道德文化是由有效的
领导塑造的
● Top level support is required for ethical behaviour道
德行为需要最高层的支持
● An ethical corporate culture needs shared values
and proper oversight一个有道德的企业文化需要共
同的价值观和适当的监督
● The more you know about ethical decision making,
the more likely you will be to make good decisions
你对道德决策了解得越多，你就越有可能做出好的决
策
Chapter 6: Individual Factors Moral Philosophies and
Values
Economic System
Adam Smith （亚当斯密）
The father of free market capitalism (自由市场资本主义之
父）
Developed the idea of the invisible hand (提出了看不见的
手的概念）
Individuals pursuing their own best self-interest would result in
the greatest overall good to society, and that levels and kinds of
goods and services in the market should be determined by the
free market alone (i.e., not by government
个人追求自己的最佳利益将导致对社会的最大整体利益，
市场中商品和服务的水平和种类应由自由市场单独决定
(即，而不是由政府决定)
Value Orientation
Idealism理想主义: Places special value on ideas 特别重视
思想和理想
*Positive correlation to ethical decision-making与道德决策
正相关
Realism现实主义: The view that an external world exists
independent of our perceptions 认为外部世界独立于我们
的感知而存在的观点
*Everyone is guided by self-interest每个人都受自身利益的
引导
*Negative correlation to ethical decision-making 与道德决
策无相关
Moral Philosophy
Types
Instrumental and Intrinsic Goodness
● Teleology目的论
● Deontology义务论
● Relative perspectives 相对的观点
● Virtue Ethics美德伦理
● Justice争议
Teleology
assess the moral worth of a behavior by looking at the
consequences, so these theories are often referred to as
Consequentialism通过观察结果来评估行为的道德价值，所
以这些理论通常被称为结果主义
Egoism defines right or acceptable behavior in terms of
consequences to the individual利己主义根据对个人造成的
后果来定义正确或可接受的行为
*Maximizes personal interests最大化个人兴趣
Enlightened egoists: Take a long-term perspective and
allow for the well-being of others through their own selfinterests 开明的利己主义者:从长远的角度考虑，虽然他们
自己的利益仍然是最重要的，但允许他人的幸福remain
paramo
Utilitarianism in Teleology
Utilitarianism seeks the greatest good for the greatest
number of people功利主义为大多数人谋求最大的利益
Rule规则 utilitarians: Determine behavior based on
principles designed to promote the greatest utility
Act行为 utilitarians: Examine a specific action itself; not
the rules governing it
*Goodness or badness is determined by the results or outcomes
*Can justify the behaviour as ethical if it produces greatest
good for the greatest number如果一种行为能为最多的人带
来最大的好处，那么这种行为是否可以证明是合乎道德的
Deontology 道义论
Moral philosophies focusing on the rights of individuals
and on the intentions associated with a particular
behaviour 关注个人权利和与特定行为相关的意图的道德哲
学
Believe individuals have certain absolute rights相信个人有
一定的绝对权利
Believe compliance with stable moral principles defines
ethicalness相信遵守稳定的道德原则
Goodness or badness is determined by the action
The only behaviour that can be considered ethical is the one that
has good will behind it.唯一可以被认为是道德的行为是背后
有善意的行为。
Relativist Perspective
Individuals and groups derive definitions of ethical
相对论者的角度来看
behavior subjectively from experience个人和群体主观地从
经验中得出道德行为的定义
Virtue Ethics
Ethical behavior follows conventional moral standards and
compares behavior against a standard “good” moral
character伦理行为遵循传统的道德标准，并将行为与标准
的“好”道德品质进行比较
Justice
Fair treatment and due reward in accordance with ethical
or legal standards符合道德或法律标准的公平待遇和应有报
酬
Kohlberg’s Model of
Consists of six stages
Cognitive Moral
1. Punishment and obedience惩罚和服从
Development
2. Individual instrumental purpose and exchange个人工具
目的和交换
3. Mutual interpersonal expectations, relationships, and
conformity相互的人际期望，关系和顺从
4. Social system and conscience maintenance社会制度与
良知维护
5. Prior rights, social contract, or utility优先权，社会契约或
效用
6. Universal ethical principles普通的道德原则
Kohlberg’s Model
Reduced to three levels of ethical concern减少到三个层次的
伦理关注
1. Concern with immediate interests and rewards and
punishments关注眼前的利益和奖惩
2. Concern with right as expected by the larger society 对
更大的社会或一些重要参照群体所期望的权利的关注
3. Seeing beyond norms, laws, and the authority of groups
or individuals超越规范、法律和团体或个人的权威
White Collar Crime白
Illegal acts committed for personal and/or organizational
领犯罪
gain by abusing the trust and 、authority associated with a
*指的是以取得钱财
given position
（尤其是钜额）为动
机之非暴力犯罪。
White collar criminals are educated people in positions of power
and respectability within a business or organization.
因为白领阶级往往掌
握企业营运上的重要
角色，有较多机会从
事多种与财务相关的
犯罪。个人层面的例
如：背信、侵占、贿
赂官员或收受对手企
业贿赂、吸金卷款、
内线交易、洗钱、伪
造文书、冒用身分；
企业犯罪的层面例
如：指使公司侵犯智
慧财产权（尤其专
利）、垄断市场、不
正竞争等等。
They commit illegal acts for personal and/or organizational
gains by abusing the trust and authority normally
associated with their positions. 他们滥用通常与他们的职位
相关的信任和权力，为个人和/或组织利益进行非法行为。
Reasons for White
Collar Crime
Patterns of activities become institutionalised and may
encourage unethical behaviours活动模式变得制度化，可
能会鼓励不道德的行为
● Undecided employees go along with the majority,
whether ethical or unethical犹豫不决的员工和大多
数人一样，无论道德与否
● WCCs increase after economic recessions经济衰退
后wcc增加
● Some businesspeople may have inherently criminal
personalities, corporate psychopaths有些商人可能
天生就有犯罪人格，企业心理变态
Top internet fraud
Overpayment Fraud超额支付欺诈
complaints 互联网诈
Non-Auction Non Delivery of Merchandise
骗投诉最高
Advance Fee Fraud
Identify Theft身份盗窃
FBI-Related Scams
Common Justifications
for White Collar Crimes
白领犯罪的常见理由
1. Denial of responsibility. (Everyone can, with varying
degrees of plausibility, point the finger at someone else.)1.
否定的责任。(每个人都可以把责任推给别人，尽管有不同
程度的合理性。)
2. Denial of injury. (White-collar criminals often never meet
or interact with those who are harmed by their actions.)拒
绝伤害。(白领罪犯通常从不与那些因他们的行为而受到伤
害的人见面或互动。)
3. Denial of the victim. (The offender is playing tit-for-tat
and claims to be responding to a prior offense inflicted by
the supposed victim.)否认受害者。(犯罪者是在以牙还牙，
声称这是对所谓受害者之前犯下的罪行的回应。)
4. Condemnation of the condemners. (Executives dispute
the legitimacy of the laws under which they are charged,
or impugn the motives of the prosecutors who enforce
them.)谴责谴责者。(高管们对他们受到指控的法律的合法
性提出质疑，或者质疑执行这些法律的检察官的动机。)
5. Appeal to a higher authority. (“I did it for my family”
remains a popular excuse.)向上级申请。(“我这么做是为了
我的家人”仍然是一个流行的借口。
6. Everyone else is doing it. (Because of the highly
competitive marketplace, certain pressures exist to
perform that may drive people to break the law.)其他人都
在这么做。(由于市场竞争激烈，某些压力的存在可能会驱
使人们违法。)
7. Entitlement. (Criminals simply deny the authority of the
laws they have broken.) 权利。(罪犯只是否认他们所违反
的法律的权威性。
1. Usually involve the use of deceit and concealment, Unlawful
Gain通常涉及使用欺骗和隐瞒，非法获取
2. Sometimes involves abuse of power有时涉及滥用权力
3. Often difficult to detect通常很难察觉
4. Fraud vs Forgery - obtain money from making the
misrepresentation.欺诈vs伪造——通过虚假陈述获得金钱。
5. Perjury作伪证
6. Violation of tax laws违反税法
7. Identity theft身份盗窃
8. Scam骗局
9. Views as less serious because does not involve violence观点不
那么严重，因为不涉及暴力
Blue-collar worker
是一个西方传来的生活型态定义。简单来说就是从事劳动
工作的雇员，典型的代表可能是工厂作业员、操作员、工
地的营造工人、家庭装修的装修工、各类民生水电设施的
维护人员，蓝领经常被用来与白领比较，蓝领族的生活型
态很明显的不是在办公桌前从事文书工作。
Discuss how the
Ethical decision-making is the process of choosing the best
concept of ethical issue
alternative for achieving the best results or outcomes
intensity, individual
compliance with individual and social values, morals, and
factors, organizational
regulations. Besides that, it can be affected by the ethical issue
factors, and opportunity
intensity, individual and organisational factors, and opportunity
(variables of ethical
result in business ethics evaluations and decisions. This is
decision-making
because an organizational ethical culture is shaped by effective
framework) can
leadership and an ethical corporate culture needs shared values
influence the ethical
and proper oversight. As the saying goes, “the more you know
decision-making
about ethical decision making, the more likely you will be to
process in an
make good decisions”.
organization. (20
marks)
First, ethical issue intensity is the perceived relevance or
importance of an ethical issue to the individual, work group, and
organization. It reflects sensitivity of the individual and work
group and triggers the ethical decision-making process. For
individuals, it is subjected to six spheres of influence such as the
workplace, family, religion, legal system, community, and
profession. Other than that, moral intensity relates to a person’s
perception of social pressure and the harm which is delivered on
others by the individuals’ decision.
Second, individual factors can be defined as the people base
their ethical decisions on their own values and principles of right
or wrong. For example, values are learned through socialization
and values are subjective and vary across cultures. Good
personal values can decrease unethical behavior and increase
positive work behavior. However, organizational, or social
forces can alter an organization although it may intend to do
right. Not only that, research shows that various factors can
influence ethical behavior such as women are more ethical than
men from gender perspective.
Third, organizational cultures which is one of the organizational
factors has a stronger influence on its employees rather than
individual values. An organizational culture can be explained as
a set of values, norms, and artifacts that members of an
organization share while an ethical culture reflects whether the
firm has an ethical conscience. As a result, it helps to explain
why many employees unquestioningly follow their superior's
orders.
Last but not least, opportunity is the conditions in an
organisation that limit ethical or unethical behaviour.
Opportunities for misconduct can be reduced by establishing
formal codes, policies, and rules such as using aggressive
enforcement. On the other hand, knowledge can sometimes lead
to unethical behavior. For instance, a person who has an
information base, expertise, or information about competition
has an opportunity to exploit knowledge.
In conclusion, the top management of an organisation should
understand all these variables in order to establish ethical
decision making for the benefit of their business and avoid
unethical behaviour which may be harmful to the organisation
and its employees
How does the TWO (2)
(Concern for people)
dimensions of
The organization’s efforts to care for its employees’well-being.
organizational culture
A caring culture exhibits high concern for people but minimal
(i.e., concern for people
concern for performance issues. From an ethical standpoint, the
and concern for
caring culture seems appealing. However, it is difficult to find
performance) influence
nationally recognizable companies that maintain little or
the ethical behavior of
no concern for performance.
an organization?
Discuss.
(Concern for performance)
The organization’s efforts to focus on output and employee
productivity. An exacting culture shows little concern for people
but a high concern for performance, It focuses on the interests of
the organization.
What is white collar
White collar crime describes crime that occurs within the
crime and why has it
workplace. Usually, white collar crimes are nonviolent crimes
become such a
that include acts of embezzlement, money laundering and/or
widespread problem?
misappropriating funds in some form or another. White collar
crime has become a widespread problem because they tend to
occur when organizational cultures do not have a great sense of
control over its employees. In addition, such crimes have the
tendency to transpire through intricate networks that can be very
difficult for a company to decipher and decode.
白领犯罪指的是发生在工作场所的犯罪。通常，白领犯罪
是非暴力犯罪，包括贪污、洗钱和/或以某种形式挪用资金
的行为。白领犯罪已经成为一个普遍的问题，因为他们往
往发生在组织文化对其员工没有很大的控制意识的时候。
此外，这类犯罪往往会通过复杂的网络传播，公司很难对
其进行破译和解码。
Chapter 7: Organisational Factors: The Role of Ethical
Culture and Relationships
Corporate Culture
The shared belief top
managers have about
how they should
A set of values, norms, and artefacts, including ways of
solving problems shared by organisational members一组
价值观、规范和工件，包括组织成员共享的解决问题的方法
manage themselves
and other employees
and how they should
● The shared beliefs top managers have about how
conduct their business
they should manage themselves and other
Giving organisational
employees and how they should conduct their
members meaning and
set the internal rules
business 高层管理者对于他们应该如何管理自己和
其他员工以及他们应该如何管理他们的业务都有共同
的信念
● Gives organizational members meaning and sets
the internal rules of behaviour赋予组织成员意义并
设置内部行为规则
● All organizations have culture所有的组织都有文化
Two Dimensions of
Concern for people: The organization’s efforts to care for its
Organisational Culture
employees’ well-being
Concern for performance: The organization’s efforts to focus
on output and employee productivity
Four Organizational
Culture Types
Apathetic冷漠: Minimal concern for people or performance
对他人或行为漠不关心
Caring关爱: High concern for people; minimal concern for
performance对人高度关怀;对性能的最小关注
Exacting严格: Minimal concern for people; high concern for
performance对人最少的关心;高度关注绩效
Integrative整合: High concern for people and performance
高度关注人和表现
Cultural Audit
is an assessment of the organization’s values
Ethics and Corporate
Ethical corporate culture is a significant factor in ethical
Culture
decision making企业伦理文化是企业伦理决策的重要因素
*If a firm’s culture encourages/rewards/does not monitor
unethical behavior, employees may act unethically如果一
个公司的文化鼓励/奖励/不监督不道德的行为，员工可能会
做出不道德的行为
*Management’s sense of an organizational culture may
differ from that guiding employees管理层对组织文化的感觉
可能与指导员工的感觉不同
Compliance-based cultures （他是比较传统化的)
use a legalistic approach to ethics利用法律和监管规则来制
定准则和要求 *Law defines everything
-Revolve around risk management, not ethics公司注重风险管
理，而不是道德
-Lack of long-term focus and integrity缺乏长远眼光和诚信
Value-based cultures （定义了公司的核心价值观以及应该
如何对待客户和员工）
rely on mission statement that define the firm and
stakeholder relations基于价值的文化依赖于定义公司和利
益相关者关系的使命宣言
-Focus on values, not laws关注价值，而不是法律
-Top-down integrity is critical自上而下的完整性是至关重要的
-The focus of this type of corporate culture is on values such as
trust, transparency, and respect to help employees identify and
deal with ethical issues. 这种类型的企业文化的重点是信
任、透明和尊重等价值观，以帮助员工识别和处理道德问
Whistle-Blowing 有告
密者、告密人
Exposing an employer’s wrongdoing to company outsiders
向公司外部人士揭露雇主的不法行为
指的是揭露一个组织
The term whistle-blowing is sometimes used to refer to internal
（无论其是私有还是
reporting of misconduct to management, especially through
公共的）内部非法
anonymous reporting mechanisms, often called hotlines.
的、不诚实的或者有
告密”一词有时指的是向管理层举报内部的不当行为，特别
不正当行为的人
是通过匿名举报机制，通常称为热线。
Legal protection for whistleblowers exists to encourage
reporting of misconduct.对举报人的法律保护是为了鼓励举
报不当行为
Leaders influence
Corporate Culture
An effective leader is one who does well for the
stakeholders of the corporation一个有效的领导者是为公司
的利益相关者做得很好的人
*Effective leaders are good at getting followers to common
goals effectively and efficiently
Power refers to the influence that leaders and managers
have over the behavior and decisions of subordinates权力
是指领导和管理者对下属的行为和决策所具有的影响
*A individual has power when his/her presence causes people to
behave differently
Power and influence shape corporate culture
Five Power Bases
Reward power奖励力量: Offering something desirable to
influence behaviour提供一些令人满意的东西来影响行为
Coercive power强制力: Penalising negative behaviour惩罚
消极行为
Legitimate power合法权利: The consensus that a person
has the right to exert influence over others一个人有权对他
人施加影响的共识
Expert power专家权力: Derives from knowledge and
credibility with subordinates来源于知识和对下属的信任
Referent power参考力量: Exists when goals or objectives
are similar当目标或目标相似时存在
Centralised
Organisational
Structure
Decision making authority is concentrated in the hands of
top-level managers决策权集中在高层管理人员手中
Little authority delegated to lower levels 下级的权力很少
Best for organizations…
i) That make high-risk decisions做高风险的决定
ii)Whose lower-level managers are not skilled in decisionmaking其较低级别的管理者在决策方面不熟练
iii) Where processes are routine进程是例程
May have a harder time responding to ethical issues可能
会更难回应道德问题
Decentralised
Organisation Structure
所谓分权，就是现代
Decision making authority is delegated as far down the
chain of command as possible决策权被下放到尽可能远的
指挥系统
企业组织为发挥低层
组织的主动性和创造
性，而把生产管理决
策权分给下属组织，
Flexible and quicker to recognize external change灵活和更
快地识别外部变化
Can be slow to recognize organizational policy changes能
否缓慢地识别组织政策的变化
最高
Units may diverge and develop different value systems单
领导层只集中少数关
位可能会分化，形成不同的价值体系
系全局利益和重大问
Ethical misconduct may result可能导致道德失当
题的决策权
As a result, one of the main strengths of decentralised
organisations are their adaptability and early recognition of
external change. With greater flexibility, managers can react
quickly to changes in their ethical environment. Google is
known for being decentralised and empowering its employees.
因此，权力下放的主要优势之一组织是其适应能力和对外部
变化的早期认识。以更大的灵活性，管理者可以迅速对道德
环境的变化做出反应。谷歌以权力下放和赋予员工权力而闻
名。
Structural Comparison
of Organizational Types
Emphasis
Examples of
Centralised and
Decentralised
Corporate Cultures
Groups in Corporate
Formal groups
Structure and Culture
Committees, work groups, and teams
Informal groups
The grapevine小道消息
Group norms
Standards of behavior that groups expect of members群体
期望成员的行为标准
Define acceptable/unacceptable behavior within the group
在组内定义可接受/不可接受的行为
Tutorial Question1:
Because of the strict formalization and implementation of ethics
Why do centralized
policies and procedures in centralized organizations, they tend to
organizations tend to
be more ethical in their practices than decentralized
be more ethical than
organizations. Centralized organizations may also exert more
decentralized ones?
influence on their employees because they have a central core of
Can you think of a
policies and codes of ethical conduct.
situation or example
in which a
However, it is also true that decentralized organizations may
decentralized
avoid ethical dilemmas through the use of effective codes of
organization might be
conduct and ethics. Students will come up with their own
more ethical than a
examples of ethical decentralized companies
centralized one?
42. How do societal
Societal expectations affect corporations and their ethical
expectations affect
initiatives in that no matter their sizes, corporations have to
corporations and their conduct their activities and operations in a manner that is
ethical initiatives?
approved of by the society.
Give an example of a
company that had to
If society deems a certain action taken by a business as
alter a product or
unethical, even if it's legal, it is likely legislation will follow.
service because of
Conversely, members of society are important stakeholders;
society's concerns
therefore, companies know they must meet their expectations not
about its health,
only so they are viewed as ethical, but also as a way to attract
moral, or social
stakeholders to their good or service. Students may come up
impacts
with many examples of companies that have changed
社会期望如何影响企
社会期望会影响企业及其道德倡议，因为无论企业规模大
业及其道德倡议?举一
小，企业都必须以社会认可的方式开展活动和运营
个公司的例子，由于
社会对其健康、道德
或社会影响的担忧，
该公司不得不改变其
产品或服务
学生可以用整个章节来讨论这个问题。如果社会认为企业的
某些行为是不道德的，即使它是合法的，也可能会立法。相
反，社会成员是重要的利益相关者;因此，公司知道他们必
须满足他们的期望，这样他们不仅被视为有道德，而且是吸
引利益相关者的一种方式，他们的产品或服务。学生们可能
会举出许多公司根据社会期望改变其产品、服务或商业实践
的例子。快餐业就是一个很好的例子。出于对儿童肥胖的担
忧，许多餐馆在儿童餐中加入了更健康的食品，或取消了儿
童餐中的玩具
43. Describe the four
The four types of corporate cultures are apathetic, caring,
organizational
exacting, and integrative and are based on how much concern
cultures and provide a they have for people and profits.
company example of
each organizational
culture.
An apathetic culture shows minimal concern for people or
profits. Individuals in this culture focus mainly on their own
self-interests. Countrywide might be an example of this
before the recession. Employees were encouraged to sell
to borrowers, even when they could not afford the loan,
going so far as to create "liar loans" for them. This
seriously jeopardised the long-term well-being of the
organization. 全国金融服务公司可能是经济衰退前的一个例
子。公司鼓励员工向借款人出售贷款，甚至当他们无力支付
贷款时，甚至为他们创造了“骗子贷款”。这严重损害了本组
织的长远利益。
A caring culture exhibits high concern for people over profits.
The Container Store might be a good example of this. The
Container Store views employees as its most important
stakeholder.
An exacting culture shows more concern for profits over people.
UPS has an exacting culture and holds employees to high
standards. However, even an exacting culture should show
concern for people if it wants to be successful.
An integrative culture shows high concern for both people and
profits. Starbucks is an example of an integrative culture. This
culture is characterized by the fact that employees see
themselves as important to meeting the firm's performance
criteria.
44.Describe the
different kinds of
The five power bases include reward power, coercive power,
legitimate power, expert power, and referent power.
power. Are some
Reward power refers to a person's ability to influence the
types of power more
behavior of others by offering them something desirable.
likely to result in
Reward power can get people to change their behavior in
ethical behavior than
the long-run but is not as effective in the short-run as
others?.描述不同种类 coercive power. 奖励权力指的是一个人通过提供他人想要
的权力。是否某些类
的东西来影响他人行为的能力。从长期来看，奖励权力可以
型的权力比其他权力
让人们改变他们的行为，但在短期内不如强制性权力有效。
更容易导致道德行为?
Coercive power penalizes actions or behaviors to induce
change. It is highly effective in the short-run. However,
followers get resentful in the long-run and coercive power
tends to fall apart.强制力惩罚诱发改变的行为或行为。它在
短期内非常有效。然而，追随者在长期内会产生怨恨情绪，
强制力往往会下降
Legitimate power stems from the belief that a person has
the right to exert influence and certain others have an
obligation to accept it. A boss often has legitimate power.
Many people tend to acquiesce to individuals perceived to
have legitimate power. 合法的权力源于这样一种信念:一个
人有权施加影响，而其他人有义务接受这种影响。老板通常
拥有合法的权力。许多人倾向于默许那些被认为拥有合法权
力的个人。
Expert power is derived from a person's knowledge (or a
perception that a person possesses knowledge). Expert
power has high credibility among followers. 专家权力来源
于一个人的知识(或一个人拥有知识的感知)。专家力量在追
随者中具有较高的可信度。
Referent power may exist when one person perceives that
his or her goals or objectives are similar to another's.
Identification with others helps boost the decision maker's
confidence.当一个人感知到他或她的目标与另一个人的目
标相似时，就可能存在指称力。对他人的认同有助于提升决
策者的信心。
45. How do group
norms influence the
ethical behavior of an
Group norms are standards of behavior groups expect of
their members. Just as corporate culture establishes
organization? What
happens when the
norms of a particular
behavior guidelines for an organization's members, group
norms help define acceptable and unacceptable behavior
group conflict with the within a group. 群体规范是群体对其成员期望的行为标准。
organization's
正如企业文化为组织成员建立行为准则一样，群体规范有助
corporate culture or
objectives?
于定义群体内可接受和不可接受的行为。
群体规范如何影响组
织的道德行为?当一个
In particular, group norms define the limit allowed on
特定群体的规范与组
deviations from group expectations. Norms also provide
织的企业文化或目标
explicit ethical directions. They have the power to enforce
发生冲突时，会发生
a strong degree of conformity among group members. At
什么?
the same time, they define the different roles for various
positions within the organization. Sometimes group norms
conflict with the values and rules prescribed by the
organization's culture. 特别地，群体规范定义了偏离群体期
望的限度。规范还提供了明确的伦理指导。他们有能力在团
队成员中强制实现高度的一致性。同时，他们定义了组织内
不同职位的不同角色。有时群体规范与组织文化规定的价值
观和规则相冲突。如果这种情况发生，往往会导致一种与其
所宣扬的规则和价值观不一致的文化。在这种情况下，管理
层应该采取纠正措施，不仅要持续监控企业文化，而且要持
续监控组织中所有不同群体的规范。
If this happens, it often results in a culture that is inconsistent
with its purported rules and values. In this case, management
should take corrective action and continually monitor not only
the corporate culture but the norms of all the various groups in
the organization.
如果这种情况发生，往往会导致一种与其所宣扬的规则和价
值观不一致的文化。在这种情况下，管理层应该采取纠正措
施，不仅要持续监控企业文化，而且要持续监控组织中所有
不同群体的规范。
Chapter 8 Developing an Effective Ethics Program
Corporations as
Moral Agents
Corporations have the same rights and responsibilities as
individuals公司与个人拥有同样的权力和责任
All employees must obey laws and regulations defining
acceptable business conduct 可接受的商业行为
Corporate culture without values and appropriate communication
about ethics can facilitate individual misconduct
Ethical corporate culture does not evolve, but requires ethical
polices 道德企业文化不会演变，但需要道德政策
Implementing a corporate ethics program实施企业道德计划
将公司变成（moral agent） promotes the corporation as a
moral agent
There are accountable for their conduct to stakeholders
Most common
Personal business on company time
observed forms of
Abusive behavior辱骂
misconduct
Lying to employees
Discrimination
Health/safety violations
Company resource abuse 公司资源滥用
Internet abuse
The Need for
Ethics programs increase ethical awareness
Organisational Ethics
Established ethics programs help employees determine what
Programs
behaviors are acceptable
*Top management must integrate these codes, values and
standards into the corporate culture 必须整合这些规范，价
Components of a
Strong Ethics
Program
值观和标准融入企业文化
A strong ethics program includes一个强大的道德课程包括
● Written codes of conduct 书面的行为准则
● Ethics officers to oversee the program 监督该计划的
道德官员
● Careful delegation of authority 谨慎授权
● Formal ethics training 正式的到的培训
● Rigorous auditing严格的审计, monitoring监督,
enforcement执行, and revision of program standards
以及项目标准的修订
An Effective Ethics
Program
Effective ethics program 有效的道德计划 ensure that all
employees understand and comply遵守伦理文化 with the
ethical culture
Ethics programs act as important deterrents to organizational
misconduct道德计划起到重要的威慑作用组织不当行为
Ethics Programs and
Avoiding Legal
Problems
Firms can use assessments to update their internal control
mechanisms 公司可以利用评估来更新他们的内部控制机制
Ethics programs must be designed and implemented to
address these risks 解决风险
Minimum
Code of ethics, that are reasonably capable of detecting and
Requirements for
preventing misconduct
Ethics/Compliance
High-level personnel who are responsible for an ethics and
compliance program
System to monitor, audit and report misconduct
Ethics program with a
Compliance
Orientation
Compliance Orientation (遵从性取向）
● Requires employees identify with and commit to specific
conduct
● Uses legal terms法律术语, statutes法规, and
Ethics Program with a
contracts to teach the rules and penalties for
Values Orientation
noncompliance
Values Orientation 价值观取向
Together develop shared values努力发展共同的价值观;
focuses on ideals, such as accountability and commitment
承诺
is more effective at creating ethical reasoning, the
foundation of an organizational ethical culture 组织道德文
化的基础
行为准则
Formal statements that describe what an organisation
Codes of Conducts:
expects of its employees 描述组织对员工期望的正式声明
Codes of ethics道德规范:
Most comprehensive最全面的; consists of general statements
serving as principles and the basis for the rules in a code of
conduct
Statement of values
Serves the general public and addresses stakeholder
interests 服务于公众，关注利益相关者的利益
Benefits of Having an
● Guide employees in situations where the ethical course of
Ethics Code
action is not that obvious在道德行为不明显的情况下指
Guide employee in the
导员工。
situation where the
ethical course is not
that obvious
● Help the company reinforce new employees familiar
with its culture and values. A code can help create a
climate of integrity and excellence. 创造一种正直和卓
越的分为
● Help the company communicate its expectations for
its staff to suppliers, vendors, and customers. 帮助公
司将对员工的期望传达给...
● Minimize subjective and inconsistent management
standards. 尽量减少主观和不一致的管理标准。
● Build public trust and enhance business reputations.
建立公众信任，提高企业声誉
● Enhance morale提高士气, employee pride员工的自豪
感, loyalty, and the recruitment of outstanding
employees招聘优秀的员工.
● Promote social change by raising awareness of the
community’s needs 透过提高公众对社会需要的认识
and encouraging employees and other stakeholders
to help.
● Promote market efficiency, especially in areas where
laws are weak or inefficient, by rewarding the best
and most ethical producers of goods and services通
过奖励商品和服务的最佳和最具道德的生产者
Developing/
Implementing a Code
of Ethics/ Conduct
1. Consider areas of risk and state the values as well as
conduct necessary to comply with laws and regulations. 并
说明遵守法律法规所需的价值和行为Values are an
important buffer in preventing serious misconduct.价值观是
防止严重不当行为的重要缓冲
2. Identify values that address current ethical issues.
3. Consider values that link the organization to a stakeholder
orientation. Attempt to find overlaps 重叠部分in
organizational and stakeholder values.
4. Make the code understandable by providing examples that
reflect values.
5. Communicate the code frequently and in language that
employees can understand.
6. Revise the code修改代码 every year with input from
organizational members and stakeholders.
Corporate Codes of
Six core Values:
Ethics
Trustworthiness
Respect
Responsibility
Fairness
Caring
Citizenship
Ethics Officers (CEO) Responsible for managing the ethics and legal compliance
What is the role of an
ethics officer within an programs法律合规项目
organization? What are
● Assessing the needs and risks that an organisation-
his or her duties?
wide ethics program must address 评估一个组织范
围内的道德项目必须解决的需求和风险
● Developing and distributing a code of conduct or
ethics制定和传播行为准则或道德规范
● Conducting training programs for employees 开展员
工培训计划
● Establishing and maintaining a confidential service to
answer employees' questions about ethical issues,
● Making sure that the company is in compliance with
government regulation 确保公司遵守政府法规
● Monitoring and auditing ethical conduct 监督和审计
道德行为
● Taking action on possible violations of the company's
code对可能违反公司准则的行为采取行动
● Reviewing and updating the code检查和更新代码
Ethics Training and
Communication
Ethics training can
● Educate employees about policies, expectations, laws,
regulations, and general social standards
What are the major
features of a successful
ethics
training program and
communication
systems？
● Raise awareness of resources and support systems
提高对资源和支持系统的认识
● Empower employees 授权员工
Goals of Successful Ethics Training Programs
1. Identify key risk areas employees will face.确定员工将面
临的关键风险区域。
Ethics program 里面
2. Let employees know wrongdoing will never be supported
会有keyrisk
in the organization and employee evaluations will take their
employee 可能会面
conduct in this area into consideration.让员工知道公司永远
对道德
不会支持他们的不当行为，员工评估也会考虑他们在这方面
的行为。
让员工知道不当行为
公司是不接受的
让他们知道他们需要
为自己的行为负责
3. Let employees know they are individually accountable
for their behavior.让员工知道他们每个人都要对自己的行为
负责。
4. Align employee conduct with organizational reputation
and branding.使员工行为与组织声誉和品牌相一致。
是员工行为与公司的
5. Provide ongoing feedback to employees about how they
声誉达成一致
are handling ethical issues.向员工提供关于他们如何处理道
德问题的持续反馈
向员工提出他们该如
何解决道德问题
6. Allow a mechanism for employees to voice their
concerns that is anonymous, but provides answers to key
questions (24-hour hotlines).许员工匿名表达他们的担忧，
但提供关键问题的答案(24小时热线)。
7. Provide a hierarchy of leadership for employees to
contact when they are faced with an ethical dilemma they
do not know how to resolve当员工面临不知道如何解决的道
德困境时，为他们提供一个领导层级
Systems to Monitor
Effective programs employ various methods to measure
and Enforce Ethical
effectiveness
Standards
● Observing employees观察员工
● Internal audits and investigations内部审计和调查
● Surveys调查
● Reporting systems报告系统
● External audits外部审计
Common Design and
● Failure to understand and appreciate goals
Implementation
● Setting unrealistic/immeasurable objectives
Mistakes
● Unsupportive top management
● Ineffective or incomprehensible content无效或不可
理解的内容
Chapter 11 Ethical Leadership
Leadership
● Is the ability or authority权力 to guide and direct others
toward a goal实现目标的能力
● Ethical leadership creates an ethical culture.
● It has the power to motivate others and enforce the
organisation’s norms, policies, and viewpoints.
Requirements for
Ethical Leadership
● Ethical leaders must model organizational values 树立组
织价值观
● Place what is best for the organization over their own
interests 把对组织最好的东西放在利益至上
● Train and develop employees throughout their careers
培训和发展员工的职业
● Establish reporting mechanisms 建立报告机制
● Understand employee values and perceptions 了解员工的
价值观和看法
● Recognize the limits of organisational rules and value 认
识组织规则和价值的局限性
Strong Ethical
Leaders are:
-those passionate about the organization and act in the
organization’s best interests.对组织和组织活动充满兴趣的人
-They do not wait for ethical problems to arise.
-Ethical leaders must model the organization’s values
Seven Habits of
1.Ethical leaders have strong personal character.
Strong Ethical
2.Ethical leaders have a passion to do right
Leaders
3.Ethical leaders are proactive积极主动
4.Ethical leaders consider all stakeholders’ interests.
5.Ethical leaders are role models for the organization values.
6.Ethical leaders are transparent and actively involved in
decision making有道德的领导者是透明的 并积极参与决策
7.Ethical leaders take a holistic view 有一个整体的看法of the
firm’s ethical culture.
Benefits for Ethical
Leadership
1. Communicate and monitor an organization’s values,
ensuring that employees are familiar with the company’s
purpose and beliefs.
2. Provide cultural motivations for ethical behavior为道德
行为提供文化行动, such as reward systems for ethical
conduct.例如道德行为的奖励制度
3. Can lead to higher employee satisfaction and
employee commitment可以带来更高的员工满意度和承
诺
4. Create strong relationships with external stakeholders.
5. Positive association正相关系 between ethical
commitment of employees员工的道德承诺 and a firm’s
valuation on the stock market.公司在股票市场上的估值
Ethical Leadership
There are TWO approaches
and Organisational
i)Compliance-based approach基于合规的方法: emphasize
Culture
obedience(遵从)to rules and regulations and set process in
place to ensure compliance 确保合规的流程到位
ii)Integrity-based approach (基于诚信的方法): views ethics as
an opportunity to implement core values讲道德视为一种实现
核心价值观的机会
*take responsibility for the firm’s ethical culture and hold
employees accountable
Unethical Leaders:
-Ego-centric (自我为中心), and often do whatever it takes to
achieve the organization’s objectives and their own.不惜一切
代价实现公司于自己的目标
Apathetic
Are not necessarily unethical, but they care little for ethics within
the company
Leader(冷漠的领导 *Does not listen to employees and does not communicate well
者)
Ethical Conflicts
When there are two or more positions on an ethical decision
Conflict
Five styles:
Management Styles
Competing, Avoiding, Accommodating包容, Collaborating and
Compromising 妥协
Conflict based on TWO dimensions:
Assertiveness (坚定自信，果断): is acting in one’s own best
interests自信是为自己的最大利益行事
Cooperativeness: working toward the best interests of the other
person
Competing conflict: Highly Assertive, not very cooperative,
believe in winning at any cost相信不惜一切代价获胜, and
measure success by how much the other side loses. 并以对
方损失多少来衡量成功
Avoiding conflict: Not effective because they avoid conflict at any
cost even if it leads to misconduct, uncooperative, and are non-
assertive.
Accommodating conflict: Highly cooperative, non-assertive, and
give in to the other side even if it means sacrificing their own
interests and values
Compromising conflict: In between the assertiveness and
cooperativeness dimensions, believe best approach to resolving
conflicts is for each side to give something up in order to gain
something of value
Collaborating conflict: Most advantageous最多的优势,
leaders are cooperative and assertive, and leaders
collaborate with others to find a creative way to obtain a
beneficial solution
Ethical Leaders
Empower employees
Employee empowerment is an essential component 员工授权
是必不可少的of a values-based organizational culture基于价
值观的组织的组成部分文化
● Encourages employees to express concerns, bring up
ethical issues提取道德问题, and take a proactive
approach toward resolving conflicts
● Ethical leadership training for both managers and employees
is helpful
● Important in creating employee-centered ethical
leadership 创建以员工为中心的道德规范方面很重要
大概看，case
study 可以用
Ethical Leadership
TWO major dimensions of Ethical Communication:
Communication
i)Transparency: create transparency by developing a culture where
ethics is frequently discussed.
ii)Reporting: two-way process in which the communicator
communicates with superiors上司 and subordinates下属
Four Categories of
Four Categories:
Communication
i)Interpersonal Communication:
Two or more people interact with one another
*often difficult to communicate to a superior, Ethical leader must
work to reassure employees(让员工放心) by balancing the
interest of all relevant stakeholders.
ii)Small Group Communication:
● Can increase collaboration and generate a variety of
difficult perspectives and opinions on a particular issue
● Groupthink集体思维 occurs when one or more group
members feel pressured to conform 符合/融入to the
group’s decision even if they personally disagree
● Group polarisation(群体极端化) refers to the fact that a
group is more likely to move toward a more extreme
position than the group members might have done
individually
iii)Nonverbal Communication:
is communication expressed through actions, body language,
expressions, or other forms of communication not written or oral
iv)Listening:
paying attention to both verbal and nonverbal behaviour. Good
listening skills tend to establish credibility and trustworthiness with
employee
Ways to avoid
●
Emphasise to each team member that he or she is a “critical
Groupthink in
evaluator” with the responsibility to express opinions and
Small-group
objections freely 向每个团队成员强调他或她是“关键
decision making
评估员”，可自由的发表想法和反对意见
●
Eliminate leadership biases by refusing to express an
opinion when assigning tasks to a group 通过拒绝发表意见
来消除领导偏见
●
Set up a number of independent groups to work on the
same issue 成立多个独立小组来处理同一问题
● Encourage each team member to express the group’s ideas
with someone he or she can trust from outside the group
● Express the need to examine all alternatives检查所有
备选方案
●
Invite outside experts into group meetings, and allow
members to interact with these experts 邀请外部专家参加小
组会议，并允许成员与这些专家互动
Leader- Follower
Relationships in
Communication
Leader-follower congruence(领导者与追随者的一致性):
occurs when leaders and followers share the same vision愿
景, ethical expectations道德期望, and objectives 目标for the
company
Leader-exchange theory :领导者交换理论
claims that leaders form unique relationships with followers
through social interactions （通过社交互动,领导者与追随者形
成独特的关系)
Ethics Programs and
连接公司里的追随者最熟悉公司的道德价值观
Communication
Power differences
Ethical leaders can mitigate power differences through frequent
and Workplace
communication with workers可以缓解权力差异通过与工人的频繁沟
Politics
通
Organizational
Politics
Is often perceived as trying to achieve one’s own ends 试图以
达到自己的目的为前提 even if it means harming others in the
organization就算会伤害到别人
Exp: Gossip八卦, manipulation操纵, playing favorites, and
taking credit for another’s work拿走归功于他人的工作
Feedback
Need for organizational leaders to get feedback from their
employees
Example to get feedback:
i) Informal Method: Simple Conversation
ii)Formal Method: Employee Performance Evaluations
*Can be generated in many ways: interviews, anonymous surveys..
Leadership Styles
Emotional Intelligence: possess the ability to manage themselves
influence Ethical
and their relationships with others effectively
Decisions:
1.Coercive leader 强制领导
2.Authoritative leader 权威领导
3.Affiliative leader 附属领导
4.Democratic leader 民主领袖
5.Pacesetting leader 领跑者
6.Coaching leader
Transactional
attempt to create employee satisfaction through negotiating谈
leaders 交易型领
判, or “bartering以物易物,” for desired behaviors or levels of
导
performance以获得所需的表现和行为
Transformational
Leaders变革型领
strive to raise employees’ level of commitment and foster trust and
motivation 提高员工的承诺水平和建立信任和动机
导
Authentic Leaders
真实型领导
(authentic
leadership)是一种
are passionate about the company, live out实践企业价值观
corporate values daily in their behavior in the workplace, and
form long-term relationships with employees and other
stakeholders
领导理论和方式，
他们诚实、正直、
忠于自己，会与下
属构建真实的关系
The RADAR Model
When ethical misconduct or issues arise, the leader should
have plans in place to answer stakeholder concerns 回答相关
利益者的担忧and recover from misconduct
● Recognize: ethical issues
● Avoid: misconduct whenever possible
● Detect/Discover: ethical risk areas
● Answer: stakeholder concerns when an ethical issue comes
to light
● Recover: from a misconduct disaster by improving upon
weaknesses in the ethics program
Chapter 12 Sustainability:
Ethical and Social Responsibility Dimensions
Corporate Social
There are four reasons social responsibility became such an issue for
Responsibility
organizations
(CSR)
● CSR can create competitive advantages 可以创造竞争优
势
● Stakeholders have more power with increased access to
information, both positive and negative 利益相关者拥有更大
的权力获取信息，包括正面和负面的
● Companies can use their brand identity to create social
value, quality and customer loyalty
● Allows a firm to differentiate themselves and promote
their products 使公司能区分自己和推广他们的产品
Social Responsibility: is part of the budget
Sustainability可持续性: is a tool for ethical decision making
and financial performance 是道德决策的工作制作的财务业绩
Ethical Decisions
affect
Sustainability
Example of Social Responsibility Concerns:
1.Social Issues社会问题
2.Employee Well-Being员工福利
3.Legal Responsibilities法律责任
4.Sustainability可持续性
5.Philanthropy慈善事业
6.Consumer Protection
7.Corporate Governance公司治理
Global
Atmospheric
Environmental
Water
Issues
Land
Atmospheric (空气 The most far reaching and controversial issues relate to the air we
的问题）
breathe 影响最深远和最有争议的问题与我们呼吸的空气有关
i) Air Pollution: Air pollution comes from three sources,
Stationary sources such as factories and power plants
Mobile sources such as cars, trucks, planes…
Natural sources such as windblown dust 风尘and volcanic eruptions
火山爆发
ii) Acid Rain: When certain elements in air pollution mix with
air and water to create a new element, falling from the sky as
corrosive rain腐蚀性的雨
*Can corrode paint 会腐蚀油漆and deteriorate stone 石头崩烂
iii)Global Warming: Most scientists believe our concentration of
greenhouse gases accelerates global warming, a natural phenomenon
Water
i)Water Pollution:
● Pollutants can come from various sources with many
unknown side effects on humans and wildlife
● Contaminated oceans 污染的海洋compromise 危害
human food supplies
ii)Water Quantity: While concerned about quality, some countries
are increasingly worried about water quantity
Land
i)Land Pollution:
Results from residential and industrial waste住宅和工业废物的
浪费, strip mining采矿 and poor forest conservation 不完善的
森林保护
Causes health issues, habitat destruction, erosion侵蚀,
altered waterways改变水道 and poisoned groundwater污染地
下水
ii)Waste Management:
● Plastics, obsolete computers过时的电脑 and cell
phones in our landfills垃圾填埋场 leach chemicals 将化
学物质浸入地球into the Earth
● Many stakeholders believe manufacturers should be
responsible for their products’ proper disposal
iii) Deforestation:
● Reasons include the boom in biofuels生物燃料的增加,
poverty贫困, farming 农业and short-term profits from
lumber sales 短期内木材销售的利润
●
Companies must take a long-term view of environmental
management公司必须以长远的眼光看待环境管理
iv)Biodiversity生物多样性: Because each species plays a unique
role in its ecosystem, the loss of any one may threaten the entire
ecosystem因为每个物种在其生存过程中都扮演着独特的角色生态系
统，任何人的损失都可能威胁到整个生态系统
Environmental
Policy and
Regulation
Environmental Protection Agency (EPA) 环境保护署
● The most influential regulatory agency最具影响力的监
管机构; deals with environmental issues and enforces
environmental legislation in the U.S. 监管环境问题并强
制执行美国的环境立法
● Can file civil suits提起民事诉讼 against companies that
violate environmental laws 对那些违反规定的公司
● Established five strategic goals that reflect public priorities
Environmental
Legislation
感觉不会考
Alternative Energy
i) Wind Power
Sources
ii) Geothermal Power: Provides a constant source of heat and
is more reliable than other alternative fuels比其他燃料更可靠,
but expensive
iii) Solar Power: 100% renewable energy but the technology
remains expensive and inefficient
iv) Nuclear Power: Pollution free and cost competitive具有成本
竞争力 but remains controversial存在争议 due to dangers of
meltdown and waste storage.基于融化和废物储存的危险性
v) Biofuels
vi)Hydropower: Largest form of renewable energy 可再生能源
but controversial due to habitat destruction 会造成栖息地的破
坏
Business Response
Better environmental performance环保性能 can increase
to Sustainability
Issues:
revenue:
Access to new markets进入新市场, product differentiation and
sale of air pollution technologies
Better environmental performance can decrease costs:
Improve risk management改善风险管理 and stakeholder
relationships, reduce materials and energy used能源 and
reduce capital 降低资本and labor costs
Positive Links Between Environmental and Economic
Performance:
Green Marketing:
is a strategic process involving stakeholder assessment 利益
相关者评估to create long-term relationships with customers,
while
maintaining, supporting and enhancing the natural environment
*Firms that want to become sustainability leaders should
embed 融入sustainability into their values, norms and beliefs
Greenwashing漂
involves misleading误导消费者 consumers into thinking a
绿
product/service is more environmentally friendly than it is
(green 象征环保&
whitewash漂
白)*Bad
说明一家公司、政府
或是组织以某些行为
或行动宣示自身对
环境保护的付出但实
际上却是反其道而
行
Research indicates greenwashing destroys consumer trust and
creates confusion 研究表明漂绿会破坏消费者信任并制造混乱