190501685290BSBLDR813
28575-89598500
190501685290BSBLDR813
Lead and Influence Ethical
Practice
Learner Workbook
00BSBLDR813
Lead and Influence Ethical
Practice
Learner Workbook
Table of Contents
TOC o "1-3" h z u Instructions to Learner PAGEREF _Toc102650822 h 2Assessment instructions PAGEREF _Toc102650823 h 2Assessment requirements PAGEREF _Toc102650824 h 5Candidate Details PAGEREF _Toc102650825 h 6Assessment BSBLDR813 - Lead and influence ethical practice PAGEREF _Toc102650826 h 6Learner Workbook Activity answers PAGEREF _Toc102650827 h 7Activity 1A PAGEREF _Toc102650828 h 7Activity 1B PAGEREF _Toc102650829 h 16Activity 1C PAGEREF _Toc102650830 h 18Activity 1A-1C checklist for assessor PAGEREF _Toc102650831 h 19Activity 2A PAGEREF _Toc102650832 h 20Activity 2A checklist for assessor PAGEREF _Toc102650833 h 27Activity 3A PAGEREF _Toc102650834 h 28Activity 3B PAGEREF _Toc102650835 h 31Activity 3C PAGEREF _Toc102650836 h 32Activity 3A-3C checklist for assessor PAGEREF _Toc102650837 h 33Knowledge Assessment Activity PAGEREF _Toc102650838 h 35Knowledge Assessment Activity Checklist for assessor PAGEREF _Toc102650839 h 36Competency record to be completed by the assessor PAGEREF _Toc102650840 h 37
Instructions to LearnerAssessment instructionsOverviewPrior to commencing the assessments, your trainer/assessor will explain each assessment task and the terms and conditions relating to the submission of your assessment task. Please consult with your trainer/assessor if you are unsure of any questions. It is important that you understand and adhere to the terms and conditions, and address fully each assessment task.
Written workAssessment tasks are used to measure your understanding and underpinning skills and knowledge of the overall unit of competency. When undertaking any written assessment tasks, please ensure that you address the following criteria:
Address each question including any sub-points
Demonstrate that you have researched the topic thoroughly
Cover the topic in a logical, structured manner
Your assessment tasks are well presented, well referenced and word processed
Active participationIt is a condition of enrolment that you actively participate in your studies. Active participation is completing all the assessment tasks on time.
PlagiarismPlagiarism is taking and using someone else's thoughts, writings or inventions and representing them as your own. Plagiarism is a serious act and may result in a learners exclusion from a course. When you have any doubts about including the work of other authors in your assessment, please consult your trainer/assessor. The following list outlines some of the activities for which a learner can be accused of plagiarism:
Presenting any work by another individual as one's own unintentionally
Handing in assessments markedly similar to or copied from another learner
Presenting the work of another individual or group as their own work
Handing in assessments without the adequate acknowledgement of sources used, including assessments taken totally or in part from the internet.
If it is identified that you have plagiarised within your assessment, then a meeting will be organised to discuss this with you, and further action may be taken accordingly.
CollusionCollusion is the presentation by a learner of an assignment as their own that is, in fact, the result in whole or in part of unauthorised collaboration with another person or persons. Collusion involves the cooperation of two or more learners in plagiarism or other forms of academic misconduct and, as such, both parties are subject to disciplinary action.
Competency outcomeThere are two outcomes of assessments: S = Satisfactory and NS = Not Satisfactory (requires more training and experience).Once the learner has completed all the assessments for this unit of competency, the learner will be awarded Competent (C) or Not Competent (NC) for the relevant unit of competency.
Confidentiality
The college will treat anything, including information about your job, workplace, employer, with strict confidence, in accordance with the law. However, you are responsible for ensuring that you do not provide us with anything regarding any third party including your employer, colleagues and others, that they do not consent to the disclosure of. While we may ask you to provide information or details about aspects of your employer and workplace, you are responsible for obtaining necessary consents and ensuring that privacy rights and confidentiality obligations are not breached by you in supplying us with such information.
Assessment appeals processIf you feel that you have been unfairly treated during your assessment, and you are not happy with your assessment and/or the outcome as a result of that treatment, you have the right to lodge an appeal. You must first discuss the issue with your trainer/assessor. If you would like to proceed further with the request after discussions with your trainer/assessor, you need to lodge your appeal via the complaint and appeal form which is available on the college website.
Recognised prior learningLearners will be able to have their previous experience or expertise recognised on request.
Special needsLearners with special needs should notify their trainer/assessor to request any required adjustments as soon as possible. This will enable the trainer/assessor to address the identified needs immediately.
Assessment requirementsAssessment can be:
Direct observation
Product-based methods e.g. reports, role plays, work samples
Portfolios annotated and validated
Questioning.
The assessment activities in this workbook assess aspects of all the elements, performance criteria, skills and knowledge and performance requirements of the unit of competency.
To demonstrate competence in this unit, you must undertake all activities in this workbook and have them deemed satisfactory by the assessor. Once you have demonstrated the required level of performance, you will be deemed competent in this unit.
As part of the assessment process, all learners must abide by any relevant assessment policies as provided during induction.
Candidate DetailsAssessment BSBLDR813 - Lead and influence ethical practicePlease complete the following activities and hand in to your trainer/assessor for marking. This forms part of your assessment for BSBLDR813 - Lead and influence ethical practice
Name: _____________________________________________________________
Learner ID: ______________________________________________________________
Email:_____________________________________________________________
Declaration
I declare that no part of this assessment has been copied from another persons work with the exception of where I have listed or referenced documents or work and that no part of this assessment has been written for me by another person. I also understand the assessment instructions and requirements and consent to being assessed.
Signed:____________________________________________________________
Date:____________________________________________________________
If activities have been completed as part of a small group or in pairs, details of the learners involved should be provided below:
This activity workbook has been completed by the following persons and we acknowledge that it was a fair team effort where everyone contributed equally to the work completed. We declare that no part of this assessment has been copied from another persons work with the exception of where we have listed or referenced documents or work and that no part of this assessment has been written for us by another person.
Learner 1:____________________________________________________________
Signed:____________________________________________________________
Learner 2:____________________________________________________________
Signed:____________________________________________________________
Learner 3:____________________________________________________________
Signed:____________________________________________________________
Learner Workbook Activity answersActivity 1APerformance Criteria
P.C. 1.1 To identify importance of ethics and standards for organisation
Question 1:
Use your own word to briefly explain the term of workplace ethics and standards.
Question 2:
Identify at least three (3) reasons why each organisation needs to have ethics and standards.
Case Study A - A Case Study of Ethical Issue and Code of Conduct: The Commonwealth Bank of Australia (CBA)
CBA Ethical Dilemmas
According to Gordon (2018), in the case of CBA and its financial planning scandal there are three examples of unethical behaviour which are interlinked to each other.
Firstly, there is the individual behaviour of rogue financial planners who acted unethically by placing elderly retirees savings into high-risk investment products, contrary to instructions; lack of disclosure; and falsifying of documents. There is also an example of forged documents by a CBA financial planner (Gordon, 2018).
Secondly, there is the issue of the CBA encouraging unethical behaviour by providing incentives to financial planners in the form of commissions, bonuses and overseas sales trips for top performing financial planners who met their sales targets. CBA fostered a sales based culture amongst its financial planners and many former planners recall being actively encouraged to generate excess sales and threatened with dismissal if they didnt meet their targets (Gordon, 2018).
Thirdly, there is the behaviour of CBA to cover up the misconduct by financial planners. CBA first became aware of the transgressions involving financial planner, Don Nguyen in 2006 and suspended him for a month in August 2008. Following his one month suspension he was then promoted to senior financial planner (Gordon, 2018). Jeff Morris who was a whistle-blower working for the CBA then reported that while the compliance team at CBA had recommended that Nguyen be sacked for his misconduct, the compliance team had evidently been warned to back off by CBA management on a sufficiently senior level (Gordon, 2018).
Financial Planning Industry Issues
The impact of the global financial crisis (GFC) on the financial planning industry highlighted the moral problems due to lack of ethical and socially responsible behaviour (Gordon, 2018). Of particular focus are the banking sector financial planning divisions and by what method their financial planners are compensated and rewarded for meeting their sales targets.
There are two types of financial planners. Firstly, sales people, mainly working for banks, that are deliberately disguised as advisers and have permanent conflicts of interest. These financial planners account for about 80 per cent of the industry. Then there are the genuine independent advisers trying to help savers and retirees. Despite the protestation of the banks, the fact is that the majority of Australias financial planners are employed by banks to distribute their wealth management products, not to provide actual advice.
Individual behaviour of Financial Planners
According to research conducted by Smith 2010, age, experience and professional designation influence the cognitive ethical reasoning of an individual that can impact the ability of financial planners to exercise judgment in the resolution of ethical dilemmas and to act ethically.
Conflict of Interest and Commissions vs. Customer Benefits
Financial planners regularly run into conflicts between the interests of their clients and the financial products that they offer that can earn the most commissions for themselves.There is a concurrence in the field between fee only planners and planners that sell product. A fee only planner charges for their advice, but receives no commission from the clients implementation of that advice. Most financial planners working on behalf of banks that offer financial products are not fee only, and do not charge for their advice, but are remunerated through a commission on the implementation of that advice. This creates a conflict of interest dilemma which is does my advice purely service the needs of the client or do I shade my advice depending on the structure of a fee schedule?(Gordon, 2018). Financial planners are put into the position where unethical conduct is associated with misleading statements about the performance, features and risks of recommended financial products or misleading statements about the business reputations of those associated with the management and administration of financial products. In CBAs case there is also a question mark about the commoditised approach to financial advice used by some of their financial advisers as well as the ongoing failure to accurately match financial products to the needs, circumstances and objectives of their clients.
Commonwealth Bank Code of Conduct
Purpose of the Code
This Code sets out expectations for how we act, solve problems and make decisions.
Our Code of Conduct is the ultimate guide for how we do things at the Commonwealth Bank. It describes the standards of conduct we expect. The Code connects our Purpose, Values, with a Should We? test, and key Group Policies to help us to deliver the right outcomes for all our stakeholders. We all need to live by this Code every day. It applies to every single one of us, including Board Members, employees and contractors. No one is exempt. And it applies to how we interact with everyone we encounter, both at work and outside of work colleagues, customers, clients, shareholders, regulators, government, business partners, suppliers, competitors, and the wider community.
What we expect of you
Read the Code, so you know where to find answers when you need them.
Familiarise yourself and comply with the Values, including the Should We? test, key Group Policies and outcomes we expect.
If anything is unclear, talk to your Line Manager and colleagues.
Welcome constructive challenge, and raise concerns and follow through if something doesnt seem right.
Regularly take time to reflect on how you and your colleagues are contributing to the outcomes we expect.
If you set the direction or lead the work of others, you need to understand our Additional expectations for Leaders in the Code.
What you can expect from the Commonwealth Bank
The Commonwealth Bank is committed to bringing the Code to life by ensuring that all of our activities and decisions deliver the outcomes we want to achieve.
You can expect:
Clear and consistent expectations that everyone adheres to the Code, and consequences for those who do not.
Help in navigating tough situations.
Safe harbour when you SpeakUP.
Following the Code is mandatory
The Code applies to everyone in the Group.
Following the Code will ensure we achieve great outcomes, but not following the Code can have serious consequences for you and the Commonwealth Bank, customers and communities.
If you dont follow the Code, you will face consequences up to and including dismissal and/or us ending your business engagement.
How to use this Code
Use the Code to help you to do the right thing, including when faced with tough decisions, or when you arent sure what to do. Each of us must take personal responsibility to follow the Code and to question if something doesnt seem right, or doesnt reflect our Values and to take action to put it right. The Code brings together a set of tools to help you navigate the complexity we face every day and to help you do the right thing.
Our Values
Our Values are what we stand for; we need to be guided by them in everything we do.
Care - We care about our customers and each other we serve with humility and transparency.
Courage - We have the courage to step in, speak up and lead by example.
Commitment - We are unwavering in our commitment we do whats right and we work together to get things done.
Speaking up and getting help
We believe that our people want to do the right thing. But sometimes the right answer isnt obvious.
You might see something that doesnt sit right with you. You might be facing a new situation that no one has had to resolve before. Challenging, taking ownership and following through are fundamental to ensuring we achieve the right outcomes. It is up to every one of us to make sure we live by this Code. If you have questions or concerns, you can always contact your Line Manager, your Compliance team, or the CEO directly.
We also have a dedicated SpeakUP Service you can use any time, 24/7, to report concerns. Specifically, you can use the Service to raise:
Issues that affect your role or wellbeing at work.
Concerns about activities you believe are inconsistent with this Code or could be damaging to our stakeholders or the Commonwealth Bank.
Our Group Whistleblower Policy provides further information on how we will support individuals who may have concerns regarding retaliation for raising issues.
Commonwealth Bank key Group Policies and the outcomes we expect
Our Values guide how we behave. Our actions and decisions need to be consistent with our key Group Policies. Together, our Values and Policies describe the standards of conduct we expect. We have grouped our key Group Policies and the outcomes we expect into the following three categories to help you locate and access the most relevant to you.
Customers and Communities
Governance and Controls
People
We encourage you to read the policies referenced in this Code for further guidance, in addition to those specific policies relevant to your role and area of business.
Customers and Communities
When making decisions that affect Customers and Communities, apply our Values and the following key Group Policies to achieve the outcomes we expect.
Outcomes
Fair customer outcomes are at the heart of our strategy, plans, decisions, judgements and actions.
Our products and services are fair, transparent, and meet customer needs, and our distribution approach is appropriate for customers. We are compassionate to the circumstances of customers, including the most vulnerable.
The potential for unfair outcomes is proactively identified, and complaints and issues are mitigated and managed in a timely manner.
Market manipulation, insider trading, failure to manage conflicts of interest, and inappropriate control and use of confidential information are not tolerated.
We recognise that environmental and social risks can impact our business and communities and we are committed to ensuring that these risks are identified and managed appropriately.
Governance and Controls
When making decisions that affect Governance and Controls, apply our Values and the following key Group Policies to achieve the outcomes we expect.
Outcomes
The standards in our policies and practices ensure fair customer and community outcomes and that the spirit, as well as the letter, of regulations are adhered to.
Privacy, including of our customers, is respected, and personal and confidential information is kept secure, protected from unauthorised use and not inappropriately used for personal gain.
We protect our community and the integrity of the financial system, including through meeting our anti-bribery and corruption, and anti-money laundering and counter-terrorism financing obligations, and managing fraud.
Our governance supports good decisions and outcomes that align with this Code, our Risk Management Framework, and Risk Appetite Statements.
People
Our people are critical to achieving fair outcomes for customers and communities. When making decisions that affect our people, apply our Values and the following key Group Policies to achieve the outcomes we expect.
Outcomes
Our workplace is safe and inclusive, wellbeing is promoted, and everyone is free from unlawful discrimination, bullying and harassment.
People are only hired, promoted and rewarded when they demonstrate the highest standards and strong values.
Individuals act within their authority, and use Group technology, other assets and social media responsibly.
All individuals complete the training and learning, and competency requirements, and hold any accreditations required for their role.
Individuals understand and comply with their personal obligations to prevent detriment to the Commonwealth Bank or its stakeholders, including taking steps to ensure that any personal or outside interests do not give rise to a conflict of interest or perceived conflict of interest.
Reporting ethical issue procedure:
The Foundations Code of Ethics requires directors, officers and employees to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. As employees and representatives of the Foundation, we must practice honesty and integrity in fulfilling our responsibilities and comply with all applicable laws and regulations. Employees should report promptly to supervisors, managers or other appropriate personnel when they observe illegal and or unethical behavior, and any violations of law in the state incorporated, rules, or regulations, and when in doubt about the best course of action in a particular situation. Examples of unlawful or improper behavior include, but are not limited to, any of the following: fraud, theft, or embezzlement;
intentionally misleading financial reporting;
improper or undocumented financial transactions;
improper destruction of records; improper use of property;
violations of NOFs conflict-of-interest policy;
any other improper occurrence regarding cash, financial procedures, or reporting;
improper use of assets;
safety/health violations; discrimination and abusive practices;
bribery or kickbacks; or
unauthorized use or disclosure of confidential information.
The supervisor, manager or other appropriate personnel to whom such matters are reported should not be involved in the reported illegal or unethical behavior or violation of law, rules, or regulations. Any supervisor or manager who receives a report of violation or potential violation must report it immediately to the persons listed below. It is the policy of the organization not to allow retaliation for reports of misconduct by others made in good faith by employees. Employees must cooperate in internal investigations of misconduct. Any person involved in an investigation of possible misconduct in any capacity must not discuss or disclose any information to anyone outside of the investigation unless required by law or when seeking his or her own legal advice. Any use of these reporting procedures in bad faith or in a false or frivolous manner is a serious violation of this organizations commitment to ethical behavior in the workplace. We must all work to ensure prompt and consistent action against illegal or unethical behavior.
These are some steps to keep in mind:
1. Seek help. In the rare case where it may not be appropriate to discuss an issue with your supervisor, or where you do not feel comfortable approaching your supervisor with your question, discuss it with the CEO, the Director of Operations, legal counsel, or, if necessary, a member of the Board.
2. Your report of ethical violations may be made in confidence and without fear of retaliation. If your situation requires that your identity be kept secret, your anonymity will be protected. This organization does not permit retaliation against employees for good faith reports of potential ethical violations or questionable accounting or auditing matters.
3. Always ask first, act later. If you are unsure of what to do in any situation, seek guidance before you act.
References:
Gordon, N. (2018). Business and Management Review. Ethics, Leadership and Decision Making: A Case Study on CBA. Retrieved from https://thinkspace.csu.edu.au/bamr/2018/03/06/ethics-leadership-and-decision-making-a-case-study-on-cba/
Commonwealth Bank. (2020). Code of Conduct. Retrieved from https://www.commbank.com.au/content/dam/commbank-assets/about-us/2018-09/CBA-code-of-conduct.pdf#:~:text=Our%20Code%20of%20Conduct%20is%20the%20ultimate%20guide,need%20to%20live%20by%20this%20Code%20every%20day.
Reporting Illegal or unethical behaviour (Whistleblower policy). Retrieved from
HYPERLINK "https://cdn.nof.org/wp-content/uploads/2017/12/Reporting-Illegal-or-Unethical-Behavior-%E2%80%9CWhistleblower%E2%80%9D-Policy.pdf" https://cdn.nof.org/wp-content/uploads/2017/12/Reporting-Illegal-or-Unethical-Behavior-%E2%80%9CWhistleblower%E2%80%9D-Policy.pdf
Activity 1BPerformance Criteria
P.C. 1.2 To identify strengths, weaknesses and threats to ethical conduct in the organisation
P.C. 1.3 To develop solutions to mitigate identified threats to ethical conduct according to organisational and industry practice
Instruction: Read a provided case study of The Commonwealth Bank of Australia (CBA)s Ethical Issue and Code of Conduct and clearly answer the following questions by using your own words.
Question 1:
What are strengths, weaknesses and threats to ethical conduct of CBA?
Guideline: Ensure that you clearly identify these factors based on CBA ethical conduct. You may also analyse these based on CBA ethical issues.
Question 2:
Identify the steps to resolve ethical threats that you identified in question 1.
Guideline: Your answers may be various; however, you have to ensure that the steps are listed logically.
Question 3:
Create at least one (1) solution that could be effectively deal with the ethical threat that you identified in question 1.
Guideline: The solution must be created consistent with the identified threat.
Activity 1CPerformance Criteria
P.C. 1.4 Communicate reporting procedures to staff for suspected unethical conduct according to organisational policy.
Question 1
Refer to Case Study A - A Case Study of Ethical Issue and Code of Conduct: The Commonwealth Bank of Australia (CBA) in Activity 1B.
You are a HR manager, write an email to your staff regarding reporting procedures for suspected unethical conduct. The email must contain topics below:
- Subject
- What is unethical behaviour
- How to report the suspected unethical issue
Activity 1A-1C checklist for assessorThis should be used by the trainer/assessor to document the learners skills, knowledge and performance as relevant to the unit activity. Indicate in the table below if the learner is deemed satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.
Checklist Performance criteria
Did the learner use thier own word to briefly explain the term of workplace ethics and standards? Yes No
(Please circle) 1.1
Did the learner identify at least three (3) reasons why each organisation needs to have ethics and standards? Yes No
(Please circle) 1.1
Did the learner correctly identify strengths, weaknesses and threats to ethical conduct of CBA? Yes No
(Please circle) 1.2
Did the learner correctly identify the steps to resolve ethical threats that was identified in question 1? Yes No
(Please circle) 1.3
Did the learner correctly create at least one (1) solution that could be effectively deal with the ethical threat that was identified in question 1? Yes No
(Please circle) 1.3
Did the learner write an email communication regarding reporting unethical issue procedures to staff correctly? Yes No
(Please circle) 1.4
Comments
Provide your comments here:
The learners performance was: Not yet satisfactory Satisfactory
Activity 2APerformance Criteria
PC 2.1 Analyse complex ethical matters according to relevant legislation, industry codes of practice and organisational standards.
PC 2.2 Resolve complex ethical matters within the scope of responsibility.
PC 2.3 Develop and implement frameworks for ethical decision-making and policy setting.
Refer to Case study A - A Case Study of Ethical Issue and Code of Conduct: The Commonwealth Bank of Australia (CBA). There are three case scenarios mentioned in Case study A as follows:
Scenario 1 A financial planner placed elderly retirees savings into high-risk investment products.
Scenario 2 CBA encouraged financial planners to reach sales targets by offering commissions, bonuses and overseas sales trips for the top-performing financial planner.
Scenario 3 A staff who has a one-month suspension due to unethical behaviour got promoted to be a senior financial planner from the management team.
Question 1
Explain why each scenario is considered unethical behaviour or encourage unethical behaviour? How can unethical behaviour in each scenario cause problem(s)?
Guideline: A learner is required to answer two questions (i) the learner must give at least one reason why the behaviour in each scenario is considered unethical behaviour. (ii) the learner gives at least one problem that can occur from the unethical behaviour in each scenario.
Note: the instruction asked you to provide at least one answer for each scenario. It means you are required to give at least three answers in total.
Question 2
Refer to CBA Code of Conduct from case study A, outline the organisational code of conduct that relates to each scenario.
Guideline: A learner outline the organisational code of conduct that the staff did not follow in each scenario.
Note: the instruction asked you to provide at least one answer for each scenario. It means you are required to give at least three answers in total.
Question 3
Refer to the Banking Code of Practice below and outline principle(s) that is not complied by CBAs staff from Case study A.
Question 4
Outline at least one relevant legislation relates to each scenario.
Guideline: Research information about relevant legislation related to each scenario. The instruction asked you to provide at least one answer for each scenario. It means you are required to give at least three answers in total.
Banking Code of Practice:
Please see below for the Banking Code of Practice.
Question 5: If you are a direct supervisor of the financial planner in scenarios 1 to 3. What will you do to solve the ethical matter?
Question 6: Develop a policy that can prevent unethical behaviour in scenarios 1 to 3.
Question 7: Develop a framework for ethical decision-making and policy. The policy must specify the roles and responsibilities of Managers and the Human Resources department regarding ethical decision-making.
Activity 2A checklist for assessorThis should be used by the trainer/assessor to document the learners skills, knowledge and performance as relevant to the unit activity. Indicate in the table below if the learner is deemed satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.
Checklist Performance criteria
Did the learner explain at least one (1) reason why the behaviour in each scenario is considered unethical behaviour? Yes No
(Please circle) 2.1
Did the learner give at least one (1) problem that can occur from the unethical behaviour mentioned in each scenario? Yes No
(Please circle) 2.1
Did the learner outline at least (1) an organisational code of conduct that relates to each scenario? Yes No
(Please circle) 2.1
Did the learner outline at least one (1) principle that is not complied by CBAs staff from the case study? Yes No
(Please circle) 2.1
Did the learner outline at least one (1) relevant legislation relates to each scenario? Yes No
(Please circle) 2.1
Did the learner explain how to solve the ethical matter correctly? Yes No
(Please circle) 2.2
Did the learner develop a policy that can prevent unethical behaviour from the case study? Yes No
(Please circle) 2.3
Did the learner develop a framework for ethical decision-making? Yes No
(Please circle) 2.3
Did the learner develop an ethical decision-making policy? Yes No
(Please circle) 2.3
Comments
Provide your comments here:
The learners performance was: Not yet satisfactory Satisfactory
Activity 3APerformance Criteria
PC 3.2 Influence the development and review of policies and procedures to include and address ethical considerations.
Question 1
You are required to make a group of three to five or as instructed by the trainer. Select two policies in Activity 2A Question 6 from your group member, and review the policies. You must explain the following topics:
- Objective of each policy
- Identify gap(s) in the policy
- Policies adjustment
Guideline: During a group discussion, assuming you are a manager in one department, you must use active listening and questioning techniques in the conversation.
Question 2
Instruction Read Three Frameworks of ethical decision making below. Select two frameworks and develop a flow chart explaining the ethical decision-making procedures of each framework.
Three FrameworksBased upon the three-part division of traditional normative ethical theories discussed above, it makes sense to suggest three broad frameworks to guide ethical decision making: The Consequentialist Framework; The Duty Framework; and the Virtue Framework.
While each of the three frameworks is useful for making ethical decisions, none is perfectotherwise the perfect theory would have driven the other imperfect theories from the field long ago. Knowing the advantages and disadvantages of the frameworks will be helpful in deciding which is most useful in approach the particular situation with which we are presented.
The Consequentialist FrameworkIn the Consequentialist framework, we focus on the future effects of the possible courses of action, considering the people who will be directly or indirectly affected. We ask about what outcomes are desirable in a given situation, and consider ethical conduct to be whatever will achieve the best consequences. The person using the Consequences framework desires to produce the most good.
Among the advantages of this ethical framework is that focusing on the results of an action is a pragmatic approach. It helps in situations involving many people, some of whom may benefit from the action, while others may not. On the other hand, it is not always possible to predict the consequences of an action, so some actions that are expected to produce good consequences might actually end up harming people. Additionally, people sometimes react negatively to the use of compromise which is an inherent part of this approach, and they recoil from the implication that the end justifies the means. It also does not include a pronouncement that certain things are always wrong, as even the most heinous actions may result in a good outcome for some people, and this framework allows for these actions to then be ethical.
The Duty FrameworkIn the Duty framework, we focus on the duties and obligations that we have in a given situation, and consider what ethical obligations we have and what things we should never do. Ethical conduct is defined by doing ones duties and doing the right thing, and the goal is performing the correct action.
This framework has the advantage of creating a system of rules that has consistent expectations of all people; if an action is ethically correct or a duty is required, it would apply to every person in a given situation. This even-handedness encourages treating everyone with equal dignity and respect.
This framework also focuses on following moral rules or duty regardless of outcome, so it allows for the possibility that one might have acted ethically, even if there is a bad result. Therefore, this framework works best in situations where there is a sense of obligation or in those in which we need to consider why duty or obligation mandates or forbids certain courses of action.
However, this framework also has its limitations. First, it can appear cold and impersonal, in that it might require actions which are known to produce harms, even though they are strictly in keeping with a particular moral rule. It also does not provide a way to determine which duty we should follow if we are presented with a situation in which two or more duties conflict. It can also be rigid in applying the notion of duty to everyone regardless of personal situation.
The Virtue FrameworkIn the Virtue framework, we try to identify the character traits (either positive or negative) that might motivate us in a given situation. We are concerned with what kind of person we should be and what our actions indicate about our character. We define ethical behavior as whatever a virtuous person would do in the situation, and we seek to develop similar virtues.
Obviously, this framework is useful in situations that ask what sort of person one should be. As a way of making sense of the world, it allows for a wide range of behaviors to be called ethical, as there might be many different types of good character and many paths to developing it. Consequently, it takes into account all parts of human experience and their role in ethical deliberation, as it believes that all of ones experiences, emotions, and thoughts can influence the development of ones character.
Although this framework takes into account a variety of human experience, it also makes it more difficult to resolve disputes, as there can often be more disagreement about virtuous traits than ethical actions. Also, because the framework looks at character, it is not particularly good at helping someone to decide what actions to take in a given situation or determine the rules that would guide ones actions. Also, because it emphasizes the importance of role models and education to ethical behavior, it can sometimes merely reinforce current cultural norms as the standard of ethical behavior.
Source: Brown University https://www.brown.edu/academics/science-and-technology-studies/framework-making-ethical-decisionsQuestion 3
Read the case scenario below and answer the question.
Case scenario David is a manager in the procurement department. He is assigned to manage ICT security projects for the company. He decided to hire an ICT consultant company to analyse the existing cyber security system of the company. As per the company policy, David needs to send bidding invitation emails to at least three companies and hire the company that can offer the highest benefit. David tells Jenny, his sister, to send a proposal to him since Jenny owns a cyber security consultant company. Even though Jennys company proposes a higher price than others, she wins the bidding.
3.1 Assuming that David is your manager, what will you do if you apply the Duty framework?
3.2 Assuming that you are a CEO of the company, what will be your ethical decision-making if you apply The Consequentialist Framework?
3.3 How would you promote ethical decision-making practices to high-level managers?
Activity 3BPerformance Criteria
PC 3.1 Identify opportunities to promote ethical industry practices for organisation
PC 3.3 Create opportunity to promote dialogue on organisational values and ethics with and between staff
Question 1
If you are a branch manager of CBA Central, how would you promote ethical industry practices in your workplace? (Give at least two examples)
Question 2
Refer to the company value below and explain how you will promote dialogue on organisation values and ethics to your staff.
Activity 3CPerformance Criteria
PC 3.4 Establish a strategy for continuous improvement in ethical conduct for staff.
Question 1
Develop a strategic plan for continuous improvement in ethical conduct for staff.
Guideline: Learner must explain the plan in detail including topics as follows:
- Strategy
- Objective
- Target audience/ target group
- Location (if applicable)
- Budget
- Individual/Team/department roles and responsibilities
Activity 3A-3C checklist for assessorThis should be used by the trainer/assessor to document the learners skills, knowledge and performance as relevant to the unit activity. Indicate in the table below if the learner is deemed satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.
Checklist Performance criteria
Did learners explain select two policies to review and discuss in a group about topics as follows?
- Objective of each policy
- Identify gap(s) in the policy
- Policies adjustment Yes No
(Please circle) 3.2
Did the learner engage in and encourages two-way conversation (encourage contributions and elicit ideas from others)? The learner uses active listening and questioning techniques in the discussion. Yes No
(Please circle) Did the learner maintain appropriate tone, body language and eye contact with the audience? Yes No
(Please circle) Did the learner uses formal language to the context discussed? Yes No
(Please circle) Did the learner select two frameworks and develop a flow chart explaining the ethical decision-making procedures of each framework? Yes No
(Please circle) Did the learner explain how he/she apply the Duty framework? Yes No
(Please circle) Did the learner explain how he/she apply the Consequentialist Framework? Yes No
(Please circle) Did the learner explain how would he/she promote ethical decision-making practices to high-level managers?
Yes No
(Please circle) Did the learner provide at least two (2) examples of promoting ethical industry practices in your workplace? Yes No
(Please circle) 3.1
Did the learner explain how to promote dialogue on organisation values and ethics to staff based on provided companys values? Yes No
(Please circle) 3.3
Did the learner develop a strategic plan for continuous improvement in ethical conduct for staff? Yes No
(Please circle) 3.4
Comments
Provide your comments here:
The learners performance was: Not yet satisfactory Satisfactory
Knowledge Assessment ActivityThis section is to ensure that learners can demonstrate knowledge in the following topics if there is not mentioned in the performance Activity 1A to 3C.
The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:
industry, state, national and international trends in ethical conduct
frameworks for ethical decision making/problem solving and policy setting
organisational ethics, values and standards
role of organisational codes of ethics/conduct
key features of procedural fairness
procedures, strategies or protocols that can be used to identify and address unethical conduct
legislative and regulatory context of the organisation, as it relates to ethical work practices.
Question 1
Do you think that the Covid19 Pandemic affects ethical conduct in the workplace? Please provide your answer in detail.
Question 2
Read ethical trends from the Australian ethics index 2020 report and summarise ethical trends in Overall Australia and by sector.
Question 3
Give at least two examples of organisational ethics, values and standards.
Question 4
Explain the role of organisational code of ethics/conduct
Question 5
What are the key features of procedural fairness?
Question 6
Describe a strategy that can be used to identify unethical conduct.
Question 7
Outline procedures that can be used to address unethical conduct.
Knowledge Assessment Activity Checklist for assessorThis should be used by the trainer/assessor to document the learners skills, knowledge and performance as relevant to the unit activity. Indicate in the table below if the learner is deemed satisfactory (S) or not satisfactory (NS) for the activity or if reassessment is required.
Checklist Performance criteria
Did the learner explain whether Covid19 Pandemic impact on ethical conduct in the workplace? Yes No
(Please circle) Knowledge Evidence
Did the learner correctly summarise ethical trends in overall Australia and by sector based on ethical trends of the Australian ethics index 2020?
Yes No
(Please circle) Did the learner provide give at least two (2) examples of organisational ethics, values and standards? Yes No
(Please circle) Did the learner explain the role of organisational code of ethics/conduct? Yes No
(Please circle) Did the learner correctly explain key features of procedural fairness? Yes No
(Please circle) Did the learner describe a strategy that can be used to identify unethical conduct? Yes No
(Please circle) Did the learner outline procedures that can be used to address unethical conduct? Yes No
(Please circle) Comments
Provide your comments here:
The learners performance was: Not yet satisfactory Satisfactory
Competency record to be completed by the assessorThis section should be completed by the trainer/assessor to document the overall outcomes of the learners assessments in Learners Workbook. The table below indicates whether the learner is deemed competent or not competent
Learners name Assessors name Unit of Competence
(Code and Title) Date Has the learner completed all required assessments in this workbook to a satisfactory standard? Yes No
(Please circle)
Comments from trainer/assessor:
Learner is deemed Not competent Competent
Assessors signature
