Download - Ethics Practitioners` Association of Canada

Ethics Practitioners’ Association of Canada
Strategies for Effective Ethics Programs:
The Importance of Codes of Ethics and Conduct
December 7, 2010
Keith T. Darcy, Executive Director
Ethics & Compliance Officer Association (ECOA)
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Mark Deier, $400 million
Marcus Schrencker, $100 million
Arthur Nadel, $300 million
Joseph Forte, $100 million
Nicholas Cosmo, $300 million
Paul Greenwood, $900 million
Danny Pang, $100 million
Milowe Brost, C$400 million
Bertran Earl Jones, C$50 million
Weizhen Tang, C$60 million
----- Bernard Madoff, $65 billion -----
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Satyam Computer - $1 billion
Siemens - $1.6 billion settlement
Halliburton - $599 million
ABB - $850 million reserves
Stanford Financial Group - $8 billion
Galleon Group - $1 billion
BAE - $400 million
Daimler - $400 million
Pfizer - $2.3 billion
Novartis - $422.5 million
Glaxco - $75o million
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“Four Sama Dubai Employees Are Held In Corruption Probe”
“Ex-Head of Bank of Italy to Go on Trial”
“Bahrain Kickback Investigation Widens”
“Siemens Excluded from World Bank Contracts for Two Years”
“Control Components Admits to Violating FCPA in 36
Countries”
“Ex-Sinopec Corporate Chairman Sentenced to Death for
Bribery”
“China Executes 2 For Role in Tainted Milk Scandal”
“Chevron Offers Evidence of Bribery Scheme in Ecuador
Lawsuit”
“Maybey & Johnson To Be Sentenced in Bribery Case”
“Postmaster General in India Held for Corruption”
“UN Cuts Back on Investigating Fraud”
“Rio Tinto Employees Admits to Taking Bribes in China”
“Nine British Companies in US Bribe Inquiry”
“Alstom UK Directors Arrested in SFO Bribery Investigation”
“Greece Condemned for Falsifying Data”
“Nortel Will Liquidate Assets”
“Italian Notables Feel Heat in Corruption Scandal”
“Ex-Gome Head is Sentenced”
“How German Companies Bribed Their Way to Greek deals”
“Avon Bribery Probe”
“BHP Billiton in US Anti-Corruption probe”
“Alcatel Agrees to Pay $137 Million to Avoid U.S. Prosecution”
“Russia’s Two Top IKEA Execs Sacked Over Suspected Bribery”
“Nexus Technologies and Three Employees Plead Guilty to Paying
Bribes to Vietnamese Officials”
 “Bribe Case Focuses on Negotiator for Alcoa”
 “Total Indicted for Alleged Corruption in Iraq”
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“Canada Too Soft on Bribery”
“eHealth Scandal Cost $1 Billion”
“Quebec: The Most Corrupt Province”
“Nortel Being Liquidated”
“Quebec’s Liberal Government Engulfed By Scandals”
“Inquiry into Sell-Off of Taseko in Canada”
“Corruption Scandals Widen in Quebec”
“The Disgrace at Veterans Affairs Canada”
Code of Conduct
What is it?
Code of Conduct
 A set of conventional principles and expectations that
are considered binding on any person who is a member
of a particular group.
 A set of rules outlining the responsibilities of or proper
practices for an individual or organization.
 Rules of correct or appropriate behavior of a group,
organization or profession.
 Policies defining the manner in which an organization,
employees, contractors and services providers are
expected to conduct business.
Google
Code of Conduct
 A code of professional conduct is a necessary
component to any profession to maintain standards for
the individuals within that profession to adhere. It
brings accountability, responsibility and trust to the
individuals that the profession serves.
Registry of Interpreters for the Deaf
Code of Conduct
Why have a code of ethics/conduct?
Why have a code?
 To define accepted/acceptable behaviors
 To promote high standards and practices
 To establish a framework for professional behavior
and responsibility
 To tell the world who you are, what you stand for
and what to expect when conducting business with
you.
Why have a code?
“The very exercise of developing a code is in itself
worthwhile; it forces a large number of people…to
think through their mission and the important
obligations they as a group and as individuals have
with respect to society as a whole.”
Prof. Richard DeGeorge
What will be its purpose?
 To regulate behavior?
 To inspire?
What will be its purpose?
“We must remember that good laws, if they
are not obeyed, do not constitute good
government. Hence, there are two parts to
good government: one that is the actual
obedience of citizens to the laws; the other
part is the goodness of the law which they
obey.”
Aristotle (Politics, 1294a306)
How should you proceed (process)?
1. Tailor the code to the needs and values of your
organization
2. Consider creating a mission statement, and identify
the organization’s core values
3. Consider two components: (a) aspirational
statement; (b) rules or principles to adhere to
4. Create a multidisciplinary advisory group
5. Consult key stakeholders
6. Seek out good examples of other codes
7. Consider drafting from a stakeholder perspective
8. Be clear about scope, and specific about
implementation
9. Be clear about enforcement
10. Consider renewal of your code in the future
Values and Ethics Code for the Public Service
“The role of the Public Service of Canada is to
provide for peace, order and good government.”
“The Values and Ethics Code for the Public Service
sets forth…to guide and support public servants in all
their professional activities.”
Values and Ethics Code for the Public Service
Public Service Values
Democratic Values
-Helping Ministers, under the law, to serve the public
interest.
Professional Values
-Serving with competence, excellence, efficiency, objectivity
and impartiality
Ethical Values
-Acting in all ways to uphold the public trust
People Values
-Demonstrating respect, fairness and courtesy in their dealings
with both citizens and fellow public servants
You can’t legislate trust.