1. The Compliant and Ethical Person
Andrew G.McGrady Ph.D.

2. The presentation will explore the relationship between ethics and compliance from the perspective of the human person who as 'actor' is responsible for compliance.

4. (Regulatory) Compliance
‘Adherence to standards, regulations, and other requirements’.
AMG: Rule governed behaviour based upon judgements.
Personal
Organizational
External
The person who adheres.
The standards, regulations and requirements to be adhered to.
The person about whom a decision is being made

5. Compliance, as an organizational requirement, is a process carried out by human actors.

7. Starting points…..
Ethical action is at the heart of being a human person.
In every action the individual is constantly invited to be a free, relational and rational ethical agent.
Human failure is a reality, as is organizational failure.

8. COGNITIVE
What I /we
KNOW
AFFECTIVE
What I
FEEL
VALUATIONAL
What I / we
VALUE
VOLITIONAL
What I
CHOOSE

9. KNOW
FEEL
VALUE
CHOOSE

10. Being Ethical is a Personal Journey
From egocentricity to altruism (decentring).
From external rules to appropriated ethical principles and values.
The cognitive component of ethics (moral reasoning and judgement) emerges through a clearly defined set of stages which set the upper limit of capability.

11. in the Individual person
Pre-Conventional
CONVENTIONAL
Post-Conventional

12. Pre-Conventional Morality
Stage 1
Rules are obeyed to AVOID PUNISHMENT by one more powerful.
Stage 2
Rules are obeyed if they lead to
PERSONAL GAIN

13. CONVENTIONAL MORALITY
Stage 3
Rules are obeyed for the APPROVAL of significant others
Stage 4
Rules are obeyed to maintain the SOCIAL ORDER

14. Post-Conventional Morality
Stage 5
Morality based upon agreed SOCIAL CONTRACT and HUMAN RIGHTS
Stage 6
Morality based upon UNIVERSAL MORAL PRINCIPLES

17. Case Study 1: Why be compliant?
Avoid Punishment
Personal Gain
Approval of Significant Other
Maintain Social Order
Social Contract and Human Rights
Universal Moral Principles
A red light means ‘stop’. If the light is red as you approach it, you must not go beyond the stop line at the light, or if there is no stop line, beyond the light.
A green light means you may go on if the road is clear.
(RSA Ireland, Rules of the Road)

18. Case Study 2: Why be compliant and to what rule?
Avoid Punishment
Personal Gain
Approval of Significant Other
Maintain Social Order
Social Contract and Human Rights
Universal Moral Principles
After stopping officers may proceed against a red light only during a Code 1 response provided that the officer has taken reasonable care to ensure that the crossing is visually cleared with all potential lines of traffic or pedestrians accounted for and that it is safe to proceed. (Queensland Ambulance Service, Code of Practice)

19. VIRTUE CHARACTER CITIZENSHIP AUTONOMY CONSCIENCE

20. How can organizations support the ethical development and action of their employees?

21. Organizational Culture and Ethos

22. Organizational Culture Is… Watkins 2013 (Harvard Business Review)
how organizations ‘do things’.
what is incentivized.
‘civilization’ in the workplace.
the organization’s immune system.
part of the main culture of the society we live in.
varied, existing in organizational sub-cultures.
living and adaptive.

23. The LEGAL test: is the choice I make LAWFUL?
Kidder 1995
The LEGAL test: is the choice I make LAWFUL?
The GUT test: do I feel comfortable with this decision?
The FRONT PAGE test: would I be happy to defend this decision to the public?
The ROLE-MODEL test: if I was X would I make this decision?

24. Organizational Leadership
Richard L. Daft (Management and Leadership) Implications of Kohlberg’s Theory for
Organizational Leadership

26. MA in Ethics (Corporate Responsibility
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MA in Ethics (Corporate Responsibility