ethical management and business practices training

Ethical Management and Business Practices Training

“[Excellence] is never an accident; it is always the result of high intention, sincere effort, intelligent direction and skillful execution; it represents the wise choice of many alternatives." William A. Foster

Esmieu Management Group, LLC. © 2012


ABC Corp.’s Commitment to Excellence

ABC Corp.’s objective in employee relations is to maintain a well-trained , enthusiastic, and efficient staff whose combined efforts contribute to the company’s success and enhance the career objectives of every employee.

In order to achieve these objectives, ABC Corp. strives to: Treat all employees as individuals, with full respect for

their dignity and rights in everyday work situations; Maintain fair, equitable and competitive employee

wages and benefits within the limits of available funds and industry standards;

Hire, promote and compensate solely on the basis of merit, consistent with ABC Corp.’s Equal Employment Opportunity/Affirmative Action Program, without regard to race, creed, color, religion, sex, age, national origin, disability, marital status, sexual orientation, gender identity or any other characteristic protected by federal, statue or local law;

ABC Corp.’s Commitment to Excellence

Train each employee to perform high quality work efficiently;

Encourage all employees to take an active interest in what they do, and to contribute to their best efforts and abilities towards making all ABC Corp.’s operations successful;

Encourage all employees to discuss freely with their Supervisor(s) ideas that could improve working conditions, productivity, policies and practices of ABC Corp.


The Ingredients of Ethical Management/Business Practices:


Personal Integrity

ETHICS

Professional Responsibility

Code of Ethics

All ABC Corp. employees are expected to use good judgment, to adhere to high ethical standards, and to avoid situations that create an actual or potential conflict between the employee’s personal interests and the interest of the company.

What is your definition of ethics?


The dictionary defines Ethics as: Intrinsic knowledge of good and bad,Professionally endorsed principles and practices,Knowing the difference of right and wrong, Demonstrating a sense of moral duty and obligation,Acting in accord with approved standards, Conforming to societal, cultural or social norms.

That’s a mouthful! But as you will hopefully see by the end of this training, in business matters Ethics is really a matter of common-sense.

Ethics: Begins with an organization’s ability to prescribe to and

reinforce a strong-and-understandable Code of Ethics. Requires enormous Personal Integrity. Offers all parties involved significant Professional

Responsibility.


Ethics

The Do’sDo

Build a positive rapport with your customers, vendors, community partners, and all ABC Corp. staff.

Provide your customers, vendors, community partners, and all ABC Corp. staff with unconditional positive regard.

Mentor encourage, and assist subordinate staff. Document any adverse interactions with customers,

and subordinate staff. Report conflicts of interest to your immediate

supervisor. Consult your supervisor if you have any questions

regarding possible conflicts of interest and/or have knowledge of inappropriate staff/customer relationships.


The Don’ts

Don’t Engage in personal relationships with customers,

vendors, or community partners. Physically, emotionally, or verbally abuse customers,

co-workers, vendors, or community partners. Accept any gifts from customers, vendors or

community partners Loan or lend money to customers, vendors or

community partners. Abandon services for a customer without making all

reasonable efforts to arrange alternatives. Keep secrets that violate ABC Corp.’s Code of Ethics.

Regardless of who makes the allegation, if you receive information that someone has been involved in an Ethics Violation—REPORT IT TO YOUR SUPERVISOR OR HR IMMEDIATELY !



PERSONAL INTEGRITY

Ethics

Professional Responsibility


Personal Integrity

Personal integrity involves, a strongly held sense of commitment to openness, honesty, inclusiveness and high standards.

Characteristics of Personal Integrity: Acts consistently and behaves consistently with own stated values and

beliefs. Delivers on what they have promised, or is open about their own

shortcomings. Models and promotes the organizational values – i.e. “walks the walk”. Chooses transparency. Creates an environment of openness, cutting through ambiguity to

provide clarity in communication. Requires and expects others to be equally as open in their

communication with others. Shows personal courage and stands up for what is right. Acts as a role model for subordinate staff and peers, even when this

may challenge to how things are done. Is always prepared to support others.


“Personal integrity is about setting guidelines in three areas: work, behavior and relationships.”

Jim Lukaszewski,

How does your integrity affect your interactions with customers, subordinate

staff, co-workers, vendors, and community partners?


How to Foster HealthyPersonal Integrity

Do Don’tBe Open Be Resistant to ChangeBe Truthful Make Promises, Lie, or “Cut

Corners”Be Responsive Ignore Problems Uphold Confidentiality Share in Office Gossip




Personal Integrity

Ethics

PROFESSIONAL RESPONSIBILITY

Professional ResponsibilityWhat is Professional Responsibility?The act or acts of : (a) being accountable, (b) adhering to company

policy, (c) avoiding dual relationships, and (d) putting the interests of the organization and those that it serves ahead of one’s own interests.

Common violations include: Conflicts of interest. Inept representation of ABC Corp. Inept advocacy for a customer, ABC Corp. staff, vendor or

community partner. Mismanagement of funds/fiscal budget. Disclosure of confidential customer/fiscal information. Improper solicitation, lobbying and advertising.


Identifying Deficits in Professional Responsibility


1. Lax management of customer grievances or subordinate staff behaviors. 2. A pattern of conversing about confidential employee and/or business

matters in public areas.3. Poor time-management and/or organization.4. Under-reporting or failing to report violations of ABC Corp. policies and

procedures. 5. Overlooking unethical business practices by staff, community partners or

vendors. 6. Permitting questionable methods (i.e. customer harassment;

discrimination, & misinformation).7. Not following up on adverse public relations information given to you by a

customer, staff, community partner, or stake-holder.8. Structuring compromising incentives (i.e. Quid Pro Quo—This for that…).9. Gossiping about customers, ABC Corp. staff, community partners,

vendors or stakeholders.10. Disclosing information pertinent to ABC Corp.’s Operations, Acquisitions

or Bids to competing entities.

ABC Corp. Standards of ConductAll ABC Corp. staff have the professional responsibility to: (a) use good

judgment, (b) adhere to high ethical standards, and (c) avoid situations that create an actual or potential conflict between the staff’s personal interests and the interest of the company.

ABC Corp. defines Professional Responsibility as Treating co-workers, subordinate staff, customers, and others with

respect, courtesy, and dignity. Demonstrating a professional attitude, as indicated by the ability to:o Take instruction and learn new procedures.o Accept constructive criticism. o Be open-minded. o Share resources and job duties. o Be friendly and approachable. ABC Corp. Standards of conduct also includes: (a) Reporting

Violations of ABC Corp. policies and procedures, (b) Demonstrating Consistency in Word and in Deed and (c) adhering to ABC Corp. policies and procedures.


What HappensWhen An Ethics Violation Is

Reported to ABC Corp.?


ABC Corp. Code of Ethics Violations

The Company’s Role:

1. ABC Corp. will ensure that Ethics Violations, are investigated with fairness and consistency.

2. To ensure impartiality, ABC Corp. will contract a third party affiliate to lead investigations .These investigation will also be co-lead by the applicable ABC representative.

3. An investigation that confirms the allegations will result in immediate and appropriate action being taken.


Who will assist in an investigation?It is everyone’s duty to follow ABC Corp.’s policies and procedures.

Therefore, at the discretion of those who will direct and/or lead an investigation-everyone is accountable for culminating data to ensure accuracy, fairness and neutrality.

All staff have a duty to cooperate in any fact finding investigation. All staff involved are responsible to tell the truth.

Be advised that investigations are confidential: With the discretion of those directing and/or leading an investigation, only select parties will be asked for general information pertaining to the issue at hand. Once investigated, however, these issues are not to be discussed with other ABC Corp. staff, customers, vendors, or community partners.

Note: ABC Corp. will, to the maximum extent feasible, maintain the confidentiality of such complaints on a need-to-know basis. However, an investigation of such complaints or grievances may require disclosure to the accused party and other witnesses in order to gather pertinent facts.


Tips to Remember… Be prudent with documentation: Although an event may

seem benign, be sure to follow-up an Incident Report that documents the Who, What, Where, When, Why and How of all adverse incidents. What may seem to be a small incident may be the beginning of larger issues in the future.

Only report the facts: if you do not have first-hand information—then if appropriate, have the individual who does to write a statement of facts.

Remember that Incident Reports are legal documents: If you have not observed an incident first hand and cannot validate it, be sure to relate it as an “allegation.”

Forward all Incident Reports to your immediate supervisor w/in 24 hours of the incident, but also be sure to have a back-up. It is a best practice to keep a Site-Specific Incident Report Log under lock in the Administrative office.


If you have any questions or would like EMG to conduct a Human Resources/Management training or investigation for your organization, please feel free to email us at: [email protected]


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