1. In the "bad apple-bad barrel" analogy, the bad barrel refers to a. b. c. d. e. |
e |
2. Which of the following statements about codes of conduct is false? a. b. c. d. e. |
b |
3. A strong ethics program includes all of the following elements except a. b. c. d. e. |
a |
4. In the absence of ethics programs, employees are likely to make decisions based on a. b. c. d. e. |
a |
5. _____ are formal statements that describe what an organization expects of its employees in terms of ethical behavior. a. b. c. d. e. |
b |
6. Because a corporation can be considered a moral agent, it is therefore a. b. c. d. e. |
c |
7. A(n) _____ orientation creates order by requiring that employees identify with and commit to specific required conduct, whereas a(n) _____ orientation strives to develop shared standards. a. b. c. d. e. |
b |
8. For an ethics and compliance program to properly function, a. b. c. d. e. |
a |
9. Which of the following is the most comprehensive? a. b. c. d. e. |
c |
10. At the heart of the Federal Sentencing Guidelines for Organizations is a a. b. c. d. e. |
d |
11. The Federal Sentencing Guidelines for Organizations require federal judges to increase fines for organizations that continually a. b. c. d. e. |
e |
12. Which of the following legislation has increased the responsibilities on ethics officers and boards of directors to monitor financial reporting? a. b. c. d. e. |
a |
13. _____ may be more inclined to engage in unethical organizational conduct because of social isolation that creates insensitivity and a lower level of motivation to regulate ethical decision making. a. b. c. d. e. |
c |
14. Top managers tend to focus on _____ because their jobs and personal identity are often connected to quarterly returns. a. b. c. d. e. |
a |
15. What is one of the responsibilities of an ethics officer? a. b. c. d. e. |
c |
16. What is one of the goals of ethics training? a. b. c. d. e. |
b |
17. When measuring the effectiveness of an ethics program, it is important to a. b. c. d. e. |
e |
18. What is a major problem organizations tend to have when implementing organizational ethics program? a. b. c. d. e. |
e |
19. Which of the following is an advantage of a values-based ethics program over a compliance-based one? a. b. c. d. e. |
a |
20. Which of the following is a common mistake made in implementing an ethics program? a. b. c. d. e. |
b |
21. Aurico is a company that offers ethics hotline maintenance for organizations. Which component of the Federal Sentencing Guidelines for Organizations compliance program does this service help organizations to satisfy? a. b. c. d. e. |
d |
22. Organizations can become "bad barrels" because a. b. c. d. e. |
a |
23. Which of the following statements about training is false? a. b. c. d. e. |
b |
24. Which of the following is true about a compliance orientation? a. b. c. d. e. |
c |
25. A _____ generates an ethical program that creates order by requiring that employees identify with and commit to specific required conduct using legal terms and statutes. a. b. c. d. e. |
e |
26. In the long run, a(n) ______ orientation may be better for companies, perhaps because it increases employees’ awareness of ethics issues at work. a. b. c. d. e. |
d |
27. Which of the following is not a main goal of successful ethics training programs? a. b. c. d. e. |
d |
28. The individual responsible for implementing disciplinary action for violation of a firm’s ethics standards is usually the a. b. c. d. e. |
d |
29. To ensure that an ethics program addresses the needs of the average employee, it should include all of the following except a. b. c. d. e. |
d |
30. ____ serve as a central contact point where critical comments, dilemmas, and advice can be assigned to the person most appropriate for handling a specific case. a. b. c. d. e. |
d |
31. One of the main reasons employees do not report observed misconduct is a. b. c. d. e. |
c |
32. The ultimate "stick" associated with the FSGO is fines or probation, which involves on-site observation by consultants, monitoring of the company’s ethical compliance efforts, and a. b. c. d. e. |
a |
33. Which of the following strives to create order by requiring that employees identify with and commit to specific required conduct? a. b. c. d. e. |
e |
34. Because top managers may be more insensitive to ethical issues due to their focus on financial performance, the FSGO guidelines suggest that ethics officers report to the _____ instead. a. b. c. d. e. |
b |
35. With regard to ethics, training and communication initiatives should reflect a. b. c. d. e. |
d |
36. What are some of the ways that organizations can develop effective ethics programs? |
1. Standards and procedures, such as codes of ethics, that are reasonably capable of detecting and preventing misconduct 2. High-level personnel who are responsible for an ethics and compliance program 3. No substantial discretionary authority given to individuals with a propensity for misconduct 4. Standards and procedures communicated effectively via ethics training programs 5. Systems to monitor, audit, and report misconduct 6. Consistent enforcement of standards, codes, and punishment 7. Continuous improvement of the ethics and compliance program |
37. How can ethical dilemmas and behavioral simulations help employees make more ethical decisions? |
Many feel "hands on" training when employees are forced to confront actual or hypothetical ethical dilemmas helps them understand how their organization would like them to deal with potential problems. Lockheed Martin, for example, developed training games that include dilemmas that can be resolved in teams. Each team member offers his or her perspective, thereby helping other team members fully understand the ramifications of a decision for coworkers and the organization. |
38. What are the major features of a successful ethics training program and communication systems? Think of an example of a company with strong employee ethics training. |
1. Identify key risk areas employees will face. 2. Provide experience in dealing with hypothetical or disguised ethical issues within the industry through mini-cases, online challenges, DVDs, or other experiential learning opportunities. 3. Let employees know wrongdoing will never be supported in the organization and employee evaluations will take their conduct in this area into consideration. 4. Let employees know they are individually accountable for their behavior. 5. Align employee conduct with organizational reputation and branding. 6. Provide ongoing feedback to employees about how they are handling ethical issues. 7. Allow a mechanism for employees to voice their concerns that is anonymous, but provides answers to key questions (24-hour hotlines). 8. Provide a hierarchy of leadership for employees to contact when they are faced with an ethical dilemma they do not know how to resolve. |
39. What is the role of an ethics officer within an organization? What are his or her duties? To whom does the FSGO guidelines recommend that the ethics officer report? |
Ethics officers are usually responsible for assessing the needs and risks to be addressed in an organization-wide ethics program, developing and distributing a code of conduct or ethics, conducting training programs for employees, establishing and maintaining a confidential service to answer questions about ethical issues, making sure the company is complying with government regulations, monitoring and auditing ethical conduct, taking action on possible violations of the company’s code, and reviewing and updating the code. FSGO guidelines suggest the ethics officer report to the board of directors rather than the general counsel. |
40. Discuss the advantages and disadvantages of implementing an ethics program with a compliance orientation versus one with a values orientation. Is one better than the other at maintaining an ethical organization? |
Research into compliance- and values-based approaches reveals both types of programs can interact or work toward the same end, but a values orientation has the added benefit of sparking ethical reasoning among employees. Values-based programs increase employees’ awareness of ethics at work, integrity, willingness to deliver information to supervisors, use of reporting mechanisms, and perception that ethical decisions are being made. Compliance-based programs are linked to employees’ awareness of ethical risks at work and a clear understanding of rules and expectations that facilitates decision making. In the final analysis, both orientations can be used to help employees and managers; however, a values-based program is the foundation of an organizational ethical culture. |
41. Which document serves the general public and also addresses distinct groups such as stakeholders? a. b. c. d. e. |
a |
42. The best way to develop an ethical corporate culture is to provide character education to existing employees or hire employees with good character and sensitize them to ethical issues. a. b. |
b |
43. What is the difference between a code of ethics and a code of conduct? a. b. c. d. e. |
c |
44. The FSGO encourages federal judges to reduce or eliminate fines for firms with extensive compliance programs that make due diligence attempts to abide by ethical and legal standards. a. b. |
a |
45. Companies should model their ethics training and communication initiatives after those of their competitors’. a. b. |
b |
46. The support of top management is essential to the successful effectiveness of an ethics and compliance program. a. b. |
a |
47. The most effective hotlines operate on an anonymous basis and are supported 24 hours a day, 365 days a year. a. b. |
a |
48. One common problem found with corporate codes of ethics is that the codes were written too legalistically. a. b. |
a |
BUSI 4601 Chapter 8
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