enterprise risk management: why the ethics and compliance function ...

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CONTRIBUTING AUTHORS/EDITORS: JACLYN KUPCHA, Researcher ALLISON PENDELL JONES, Former ERC Fellows Program Director Ethics Resource Center RYAN HICKS, Graduate Assistant Seattle University ERC FELLOWS RISK ASSESSMENT WORKING GROUP of the Ethics Resource Center Working Group Chair: JOHN DIENHART, Frank Shrontz Chair for Business Ethics Seattle University THE ERC FELLOWS are a select group of corporate, government, non-profit and educational senior-level leaders who share an expertise and strong practical interest in the field of organizational ethics. The purpose of the ERC Fellows Program is to identify, examine and further understand the critical organizational ethics questions challenging organizations today. The ERC Fellows pledge to accomplish their mission through open dialogue around cutting edge ethics issues, collaborative research, communications, and work products with practical applications. Founded in 1922, the ETHICS RESOURCE CENTER (ERC) is America’s oldest non-profit organization devoted to the advancement of high ethical standards and practices in public and private institutions. For more than 85 years, ERC has been a resource for public and private institutions committed to a strong ethical culture. ERC’s expertise also informs the public dialogue on ethics and ethical behavior. ERC researchers analyze current and emerging issues and produce new ideas and benchmarks that matter – for the public trust. For more information about ERC, please visit WWW.ETHICS.ORG.
TABLE OF CONTENTS Executive Summary 1 Introduction 2 Part I: Ethics and Compliance: A Valuable Addition to the ERM Team 4 Part II: Cases 6 A. Large Perishable Goods Manufacturer and Distributor 6 B. Very Large Chemical Company 9 C. Another Very Large Chemical Company 10 D. Large Technology and Manufacturing Corporation 11 E. Large Healthcare System 12 F. Incredibly Large Health System 14 G. Large Manufacturer of Wood Products 16 H. International Distributor of Commodities Company 17 I. Financial Services Company 18 Part III: Summary 19
Page 1: Enterprise Risk Management: Why the
Page 5 and 6: experience with fraud or as a react
Page 7 and 8: PART I: ETHICS AND COMPLIANCE: A VA
Page 9 and 10: PART II: CASES A. Large Perishable
Page 11 and 12: A recent development in the company
Page 13 and 14: Key Learnings: • While ERM began
Page 15 and 16: controls appropriate to the area us
Page 17 and 18: which generate a variety of risks r
Page 19 and 20: What surprised ILHS was the difficu
Page 21 and 22: • Ethics and Compliance can take
Page 23: We discussed nine cases where Ethic

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