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A critical analysis of whether ethics and compliance functions should be combined or separated in organisations
Thesis (MPhil)--Stellenbosch University, 2021.
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| Format: | Thesis |
| Language: | en_ZA |
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Stellenbosch : Stellenbosch University
2021
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| _version_ | 1867613994810867712 |
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| access_status_str | Open Access |
| author | Makhura, Puseletso Eunice |
| author2 | Woermann, Minka |
| author_browse | Makhura, Puseletso Eunice Woermann, Minka |
| author_facet | Woermann, Minka Makhura, Puseletso Eunice |
| author_sort | Makhura, Puseletso Eunice |
| collection | Thesis |
| dc_rights_str_mv | Stellenbosch University |
| description | Thesis (MPhil)--Stellenbosch University, 2021. |
| format | Thesis |
| id | oai:scholar.sun.ac.za:10019.1/123624 |
| institution | Stellenbosch University (South Africa) |
| language | en_ZA |
| last_indexed | 2026-06-10T12:44:59.428Z |
| license_str | Other — see source repository |
| provenance_str_mv | Harvested via OAI-PMH from SUNScholar — Stellenbosch University Repository |
| publishDate | 2021 |
| publishDateRange | 2021 |
| publishDateSort | 2021 |
| publisher | Stellenbosch : Stellenbosch University |
| publisherStr | Stellenbosch : Stellenbosch University |
| record_format | dspace |
| source_str | SUNScholar — Stellenbosch University Repository |
| spelling | oai:scholar.sun.ac.za:10019.1/123624 A critical analysis of whether ethics and compliance functions should be combined or separated in organisations Makhura, Puseletso Eunice Woermann, Minka Stellenbosch University. Faculty of Arts and Social Sciences. Dept. of Philosophy: Centre for Applied Ethics. Ethics -- Societies, etc. UCTD Applied ethics Organizations -- Ethical behavior Thesis (MPhil)--Stellenbosch University, 2021. ENGLISH ABSTRACT: Recent global corporate scandals have demonstrated the importance of strong ethical organisations. Ethics and compliance functions play a critical role in fostering an organisational culture that accentuates ethical conduct. The challenge is how to optimally structure the two functions, given that they are unique but have common goals. The goal of both functions is to embed the ethical culture across an organisation. Compliance however involves following rules and policies to control and monitor unethical behaviour, while ethics involves engendering values and principles to self-regulate behaviour. The aim of my research is, firstly, to draw on pertinent academic literature exploring the structuring of ethics and compliance functions, notably Painter et al.’s (2019) Values Driven Business Alignment Framework and Mintzberg (1983) approach to grouping functions and aligning processes; and, secondly, to forward an argument for a suitable structuring of the ethics and compliance functions. Whether to separate, combine or separate-but-collaborate the ethics and compliance functions is influenced by both the regulatory framework of a specific country and the pertinent design principles. Separation or combination of the two functions is based on features of what is called vertical alignment, whereas the separate-but-collaborate approach is based on features of horizontal alignment. Past research focused on vertical alignment; however, an increasing body of knowledge on horizontal alignment has been produced in recent years. The hybrid model promotes collaboration on common issues while maintaining the independence of each function. The benefits of a hybrid model are fourfold: it improves synergy between the functions, reduces inter-functional tension, prevents silos and expands cooperation. This study is valuable in that, firstly, it contributes to the debate by providing justification for a hybrid model founded on horizontal alignment and functional design principles. Secondly, the study provides a practical guide on how to implement an appropriate design for value-driven functions in an organization. AFRIKAANSE OPSOMMIMG: Onlangse wêreldwye korporatiewe skandale beklemtoon die belangrikheid van sterk etiese organisasies. Etiek- en nakomingsfunksies speel ‘n kritieke rol in die organisasie kultuur deur klem te lê op etiese gedrag. Die uitdaging is om die twee funksies optimaal te sktruktureer, siende dat beide uniek is, maar het gemeenskaplike doelstellings. Die doelpunt van albei funksies is om ‘n etiese kultuur dwars oor die organisasie te vestig. Nakoming behels die onderworpenheid aan reëls en beleide om onetiese gedrag te monitor en te beheer, terwyl etiek die self regulering van waardes en beginsels meebring. Die doel van my navorsing is om eerstens die toepaslike akademiese literatuur wat die struktuering van etiese- en nakomingsfunksies ondersoek te onttrek, veral Painter et al.’s (2019) se Values Driven Business Alignment Framework en Mintzberg (1983) se benadering tot groeperingsfunksies en aanpassingsprosesse. Tweedens om ‘n argument voor te lê vir geskikte struktuering van etiese- en voorkomingsfunksies. Die reguleringsraamwerk en toepaslike ontwerpbeginsels van ‘n spesifieke land sal die vraag van of die etiek-en nakomingsfunksies gekollaborateur, geskei of gekombineer moet word beïnvloed. Kombinasie of skeiding van die twee funksies is gebaseer op die eienskappe van vertikale belyning en kollaboratering-en-skeiding op die horisontale belyning. Waar daar in die verlede op vertikale belyning navorsing gefokus was, is daar die afgelope paar jaar toenemende navorsing en kennis oor horisontale belyning geproduseer. Die hibriede model bevorder samewerking tussen algemene kwessies maar handhaaf die onafhanklikheid van die twee funksies. Die voordele van ‘n hibriede model is viervoudig: - dit verbeter sinergie tussen die funksies, verminder interfunksionale spanning, voorkom ensilering en skep samewerking. Hierdie studie bied waarde :- eerstens dra dit by tot die argument vir die regverdiging vir ‘n hibriede model, gebaseer op horisontale belyning en funksionele ontwerpbeginsels en, tweedens, bied die studie ‘n praktiese gids om ‘n geskikte plan vir waardegedrewe funksies in ‘n organisasie te implimenteer. Masters 2021-07-19T18:22:06Z 2021-12-22T14:12:45Z 2021-07-19T18:22:06Z 2021-12-22T14:12:45Z 2021-12 Thesis http://hdl.handle.net/10019.1/123624 en_ZA Stellenbosch University 67 pages application/pdf Stellenbosch : Stellenbosch University |
| spellingShingle | Ethics -- Societies, etc. UCTD Applied ethics Organizations -- Ethical behavior Makhura, Puseletso Eunice A critical analysis of whether ethics and compliance functions should be combined or separated in organisations |
| title | A critical analysis of whether ethics and compliance functions should be combined or separated in organisations |
| title_full | A critical analysis of whether ethics and compliance functions should be combined or separated in organisations |
| title_fullStr | A critical analysis of whether ethics and compliance functions should be combined or separated in organisations |
| title_full_unstemmed | A critical analysis of whether ethics and compliance functions should be combined or separated in organisations |
| title_short | A critical analysis of whether ethics and compliance functions should be combined or separated in organisations |
| title_sort | critical analysis of whether ethics and compliance functions should be combined or separated in organisations |
| topic | Ethics -- Societies, etc. UCTD Applied ethics Organizations -- Ethical behavior |
| url | http://hdl.handle.net/10019.1/123624 |
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