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Welcome to the website of the Health and Disability Ethics Committees (HDECs)The meeting dates for 2024 are now available here.Ethics Review Manager (Ethics RM)Our new system for submissions to the HDEC, the Ethics Review Manager (Ethics RM), has replaced Online Forms. Ethics RM is accessible at: https://nz.forms.ethicalreviewmanager.com/(external link)An Ethics RM user manual is availableFor more information about Ethics RM please see the Ethics Review Manager page.
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新西兰的商业伦理 Business ethics in New Zealand
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>> 研究 >> 伦理学知识周周享 >> 商业伦理基本知识 >> 商业伦理学 Business ethics >> 新西兰的商业伦理 Business ethics in New Zealand
新西兰的商业伦理 Business ethics in New Zealand
随着新西兰商业环境与商业行为的国际化进程，在这一人口只有340万的岛国，商业伦理学的概念已经超越了国家地理及民族特征的界限。本词条主要集中讨论当地文化、制度与当代思潮等方面的突出特点。
新西兰的民族文化高度崇尚务实精神，但也不乏对个性的尊重。这一价值观在工商界得到了普遍的反映，尤其体现在工程、建筑、农业等领域。几乎各行各业都密切关注海外的发展，并努力身体力行。然而，与此同时，他们对海外的竞争状况仍然缺乏充分的认识，故而在一些地方性问题上依旧倾向于通过集体合作的方式从内部寻求解决方案。
新西兰四周被辽阔的大海所环绕，这种地缘因素使得许多新西兰人感受到一种特殊的思想开化和精神洗礼。其《资源管理法案》就是新西兰人关心环境的具体体现，该《法案》明确了个人和集体对环境污染的责任，并且要求把环境问题纳入资源利用的最优化决策之中。另一方面，这种地缘的感受又与日益活跃的毛里人的土著文化建立了契合。毛里人的商业制度虽然十分独特，但能够与主流工商业和平共处。而且，毛里人的商业精神与更注重经济理性的主流做法在很多方面都能够协作发展。
这种协作精神体现在许多方面，诸如协商一致的决策、价值观的认同以及对自然资源的管理等。尤其是后者，生态保护和经济发展二者齐头并重的战略方针带来了可喜的成果。旅游业和出口的协调管理都要求维护清洁、绿色的国家形象，进而有助于提升大多数“几维”（新西兰所特有的一种不能飞行的鸟，被奉为新西兰的“国鸟”——译者）产品与服务的原产国形象。
在商业伦理的其他领域，文化信念与现实之间的融合尚不够密切。“公平”的观念对新西兰的人来讲是很重要的，然而，在生活的各个方面，这一信条逐渐地屈从于市场体制的意识形态。强大的联合组织大力兜售这一概念，并冠冕堂皇地打出为集体利益服务的幌子。例如，旨在直接改善妇女、毛里人和太平洋岛居者的《平等就业机会法案》很快变成了一个政治皮球，右翼坚持由市场决定公正的结果，而左翼所奉行的罗尔斯与康德所倡导的“公正”观念在目前仍居下风。
与“公平”观念相伴而来的是反对特权；但矛盾的是，甚至到目前为止，早期（1850年之前）欧洲定居者的家族及其成员仍然拥有和控制着新西兰大量的（尽管按国际标准尚属很小）大批工商业企业，这显然有些比例失调。另外，毛里人的企业中也存在某种类似的紧张关系，主要是基于裙带关系的职位与管理层的专家之间发生的冲突。“公平”的商业做法意味着限制性和勾结性的共谋，这种风气在前英属殖民地的国家已经由来已久，新西兰当然也不例外。
与商业伦理学相关的“几维”精神风貌的另一特征是“一派大好”（即，一团和气，不斤斤计较）。可惜，近来的一些商业与职业伦理已经淡漠了这种纯朴的遗风。一笔日常的财产交易就能够把顾客的资金洗劫一空，濒临破产的公司在经过审计的会计账簿上仍显示盈余，凡此种种都是商业交易中世风日下的表现。有感于此，制度改革的呼声日渐高涨。近来，有人强烈地倡议，要求明确董事的责任，加强监督机制，增进各行业机构之间的协调。此外，新西兰的反欺诈局正果敢而成功地对各种形式的公司犯罪行为提起公诉。尽管如此，在推行统一的商业标准和职业诚信方面，仍存在阻力。
体育的伦理问题极为独特。像英国一样，体育在近年来呈现迅速向职业化转变的趋势，这极大地增强了体育与商业之间的关系。在这一领域里，以市场为基础的社会的弊病显得更加严重了，其中包括：（1）娱乐与实际体育竞技的分离；（2）对体育的赞助资金更多地投向电视行业；（3）限制了那些负担不起费用的人参与的机会；（4）对酒类和烟草类产品的促销的争议。尤其在后一领域，法律上的讼争仍在继续。制度化的体育行为与商业原则之间也发生了冲突，例如，“新西兰橄榄球联盟”的章程近来被发现属于对“贸易的无理限制”。
新西兰的商业伦理的发展状况与世界其他许多地区具有相似之处。其中最值得一提的是受撒切尔主义影响的当代思潮，它旗帜鲜明地号召脱离国家福利制度，降低所得税和削减国债，并相应地缩减公共及福利支出。许多前政府部门已得到改组，国有企业也展开了改革。国营企业被赋予双重目标——与私营部门同样获利，同时要“极力顺应并促进社会利益”。许多国有企业已经开始从私营部门招聘经理人员。
人们期待已久的“企业文化”已成雏形，但结果并非尽如人意。例如，由于20世纪80年代的企业并购风潮的冲击，经济犯罪活动也呈现了空前猖獗的局面，相当多的“雄心勃勃”的企业巨头因此而走上了铁窗生涯。针对这些问题，公司兼并的规则作出了必要的修改，目的是为了保护少数股权者的利益。为改善商业伦理，许多公司采取了顾客服务计划（TQM，即全面质量管理），并因之得到了“满意的”回报。除此之外，在法律约束（例如，《平等就业机会法案》）和压力集团的推动下，公司对社会问题的反应力度正在加大。
在新形势的推动下，新西兰必须再次直面商业伦理的一个中心问题：直接介入社会条件的改善。几家新西兰的公司最近首开风气之先，设立慈善信托组织，为地方学校的科学实验室提供资助，并对那些长期失业的人士敞开了大门。在本文成稿之际，新西兰确实处于十字路口。这个弹丸岛国选择了以市场为调节机制，其社会中不可避免地埋藏了财富分化与怨恨的种子，只要稍有不慎就会导致国家福利的体制的复辟。另外一条中间道路就是超越传统的市场逻辑，走向一种由多元福利主体组成的社会，在这样的社会里，人人都至少部分地出于自己的需要而真诚地为他人服务。第三条选择方案的确值得极其认真地尝试。
参考文献
阿兰·辛格尔（Alan E. Singer）
本文摘自刘宝成教授译著的《布莱克韦尔商业伦理学百科辞典》
版权所有 国际经济伦理研究中心-CIBE京ICP备09022775号
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The Health Research Council Ethics Committee (HRCEC) provides advice on health research ethical issues and the ethical review process. The committee approves Health and Disability Ethics Committees and Institutional Ethics Committees.
Section 25 of the Health Research Council Act 1990 outlines the functions of the Ethics Committee, and the criteria for membership is set out in Section 26.
Committee members
Associate Professor Monique Jonas - Chair, Ethicist
Associate Professor Donna Cormack, Māori health researcher
Professor Parry Guilford, Health researcher
Ms Helen Davidson, Legal
Associate Professor Josephine Johnston, Ethicist
Dr Lindsey Te Ata O Tū MacDonald, Political theorist
Dr Anna Ponnampalam, Biologist
Professor Elaine Rush, Health researcher
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The Ethics Committee holds four meetings annually, usually in February, May, August and November.
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It is the responsibility of the HRCEC to ensure that independent ethical assessment of any proposed research submitted for an HRC grant has been carried out by an ethics committee approved by the HRCEC.
To ensure that appropriate standards are met, the HRCEC has developed a formal approval process in which they review and monitor an ethics committee.
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The Health and Disability Ethics Committees (HDECs) are independent ethics committees administered by the Ministry of Health. They only review health and disability research. The HRCEC currently approves four HDECs (Northern A, Northern B, Central and Southern).
Institutional Ethics Committees (IECs) and other human ethics committees: IECs are established and supported by the institution to which they belong, usually a university, and they review research that’s occurring within their institution, which can span a broad range of research applications involving human participants. The HRCEC currently approves 13 IECS:
Auckland Health Research Ethics Committee
Auckland University of Technology Ethics Committee
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University of Auckland Human Participants Ethics Committee
University of Otago Human Ethics Committee
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Victoria University of Wellington Human Ethics Committee
Wintec Human Ethics in Research Group
If you are an ethics committee seeking approval or would like further information on the approval process, please read the HRC guidelines for approval of ethics committees.
Annual reporting and re-approval
The approval of ethics committees by the HRCEC is a formal process. Once approved, ethics committees need to provide an annual report from an ethics committee, which allows the HRCEC to monitor the activity and functioning of the committee as well as address any issues which arise out of the ethical review process.
In addition to the annual report, on re-approval year (a maximum of three calendar years from approval) the ethics committees are asked to complete a report from an ethics committee seeking re-approval, which summarises the activity of the committee over the past three years and primarily focuses on issues of process and procedure.
The HRCEC requires this information to satisfy itself that the on-going delegation of its functions regarding independent ethical assessment is appropriate.
Additional: HRC Ethics Committee Terms of Reference
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Steps in the HDEC decision process1. The application is checked for validityThe screening questionnaire portion of the HDEC application on ETHICS RM determines the scope of your submission. A successful submission is checked by an advisor before being assigned for review.Invalid applicationsIf your application is invalid (that is, either incomplete or outside the scope of HDEC review), we will advise you of this in writing via a notification in Ethics RM.An application is in Invalid if it is missing required authorizations or mandatory documents. You will be able to amend it and submit it back once these corrections have been made.If your application is out of scope, it will be marked as such with a letter provided via Ethics RM.Valid applicationsValid applications are assigned for HDEC review through one of these two pathways:
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If your application is valid, we will advise you in writing of the pathway by which it will be reviewed. If this is the full review pathway, we will also provide details of the relevant meeting, and invite you to attend in person or by phone. Full applications are assigned on a schedule as outlined in the schedule of dates found here and you will not receive prior notification until an agenda has closed.2. HDEC reviewThe HDEC review process is set out in detail in the Standard Operating Procedures for Health and Disability Ethics Committees (SOPs): Read more about the SOPs for HDECs.Full review pathwayHigher-risk applications are reviewed by the full review pathway. This means that a decision is made on the application at an HDEC full meeting held in accordance with chapter 5 of the SOPs for HDECs. Final decisions on full review applications must be made within 35 days.You can find more information on what to expect from full review here.Expedited review pathwayLower-risk applications are reviewed by the expedited review pathway. This means that a decision is made on the application online between meetings, by a sub-committee of HDEC members, including the Chair. Final decisions on applications reviewed by the expedited review pathway, which is described in section 6 of the SOPs for HDECs, must be made within 15 days.You can find more information on what to expect from full review here.3. Decision made on your applicationHDECs must make one of the following decisions on each application they review regardless of pathway:
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This means that the HDEC is satisfied that your proposed research meets or exceeds established ethical standards.
Please note that HDEC approval alone is not usually sufficient to allow research to proceed. You may need to obtain other approvals (for example, from Medsafe, your university or polytechnic, or the localities where your research will be conducted) before you can start your study.
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This means that the HDEC requires changes to (or further information about) your research in order to be satisfied that it meets or exceeds established ethical standards. You have 90 days to make these changes or provide this further information. Not responding to a request for further information will result in the submission being considered withdrawn. Each application may be provisionally approved only once.
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This means that the HDEC is not satisfied that your proposed research meets or exceeds established ethical standards. There are a number of options for challenging HDEC decisions to decline, which are set out in section 9 of the SOPs for HDECs. For more information about these options: Contact us. A Decline means an applicant may submit to the HDECs again after making the changes requested to try again. There is no limit to how many times an applicant can re-apply after a Declined.
We will advise you in writing of the decision that has been made on your application via Ethics RM.
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Codes of Ethics & Codes of Conduct
July 30, 2018
|
We appreciate we have probably run the risk of losing most readers at the title, such are the excitement levels normally generated by Codes of Ethics or Codes of Conduct. But bear with us!
Ethics is actually a fascinating topic. Especially when you are presented with an instance of an absence of ethics!
Some people have the view it shouldn't be a topic at all, such is the fundamental nature of it. However, therein lies the issue; what one person may see as an unquestionable part of their moral make-up, another person brought up differently may have an entirely different view and hence ethical frame of reference.
So that's why we have Codes of Ethics, or sometimes entitled Codes of Conduct, within organisations. These should help to, hopefully clearly and concisely, explain the expected values and behaviours of the organisation and of those within it. After all; an organisation does not do anything by itself. Rather it is its people who bring everything about it to life.
What type of organisations will benefit from having a Code of Ethics/Code of Conduct?
In our view: all.
However they also need to be contextual. i.e. Entity size and type appropriate, or as grandfather used to say; "horses for courses".
Your authors are Chartered Accountants and as such bound by our professional body's Code of Ethics. This is effectively an international Code written to apply to all professional accountants working in whatever area of accounting, anywhere in the world. Accordingly, it is a complex, detailed, and lengthy document extending to some 200 pages of requirements and application guidance. As much as this sometimes makes me groan, because of the wide range of activities that accountants around the world are involved in and the importance of their actions in many cases, this level of detail is appropriate. However for most organisations, a more concise Code is probably much more appropriate.
To be effective Codes should ideally be "principles based" rather than "rules based". Albeit, there may be some cases where strict rules are also appropriate. Being principles based allows them to more easily be applied to a wide range of often changing situations that people within organisations find themselves having to deal with.
Going back to our International accounting Code of Ethics; even though it has over 200 pages, it is essentially just based on 5 fundamental principles. The rest of it is largely the elaboration of these as well as application guidance to assist with the multitude of different situations that may commonly occur in practice. These fundamental principles, which we suspect would apply to many organisations, are:
1. Integrity - to be straightforward and honest in all dealings
2. Objectivity - to avoid bias, conflict of interest or undue influence of others
3. Professional Competence and Due Care - obtain and maintain the skills and experience required, and act diligently
4. Confidentiality - respect confidentiality of information obtained
5. Professional Behaviour - comply with relevant laws and regulations
While obviously designed for an environment where there is a formal structured engagement and a client and professional provider relationship, these may be of use to many other contexts. Interestingly when you look at a wide variety of different Codes, or comparative studies of the same, you will see that there are very many similarities in the core messages. And given that Codes are setting out to define or clarify expected moral behaviours or key values then this should not be overly surprising.
The Growth in the Spread of Codes in Recent Times
Without question there has been a growth in the number and different types of organisations developing and implementing Codes in recent times.
This increased interest in and spread of Codes, in our observation, is due to a mix of the following:
1. An increased appreciation that an organisation has a social licence to operate and must act accordingly
2. Increased globalisation of business and organisations - which in turn introduces different cultures, regulatory environments, and cultural norms into the mix with different frames of reference
3. The rise of social media and consumer consciousness and the ability to call out questionable behaviour
4. Generational differences and perhaps a faster pace of change
5. An increase in legislation and regulation.
However, most of the above could be characterised as reactive reasons. There is also a very compelling positive proactive reason. A study of long term successful businesses and organisations will often show they put a lot of emphasis on their clarity of purpose along with a strong and clear value set for those within it to be guided by. This in turn drives long term sustainable success.
Bringing Codes to Life
"A code is nothing, coding is everything".
An interesting statement we recently read in an article about the importance of ethical leadership for directors. In essence, it was saying that while Codes and guidelines were undoubtedly important in any organisation to set the expected behaviour, without that Code being lived behaviour it was effectively worth nothing.
Many of us will be able to relate to the concept of being part of a group of people who have collectively invested considerable time, skill and energy in wordsmithing and crafting a fine document only for it then to be considered "done", filed away, and it effectively just gathering dust from then on.
But a Code is essentially about defining expected behaviours. The culture of an organisation. And culture is a living thing. The Institute of Directors' excellent Four Pillars reference publication explains that functional culture is essential to a high performing board:
"Within the corporate structure, the board has the highest standards of accountability and liability while operating with the least amount of time and almost no day-to-day control. Some board architecture and processes provide a platform for good governance but do not guarantee it. The key is to build and nurture a healthy operating culture with effective interaction between skilled and experienced people."
One of the primary board architecture and processes to assist building and nurturing a healthy culture is the Code of Ethics/Conduct for the organisation. Some practical ways the board can integrate and keep this alive are:
Ideally involve the whole team in its initial development
Ensure this is a key part of the induction of new team members
Make it easily accessible and ideally highly visible – eg posters on walls
Share internally and externally - making your values visible to clients will positively increase accountability
Ensure your Code is covered in team training at least annually, but ideally more frequently. (When it comes to education; a dripping tap is generally far more effective than an occasional bucket!)
Alignment of remuneration and incentives to organisational values
Regular celebration of those living the values
Summary
Codes of Ethics or Codes of Conduct are useful and important. Sadly, to many, they have an equivalent interest level to watching paint dry. But it needn't be that way.
Increasingly important as part of an organisation's licence to operate or social licence, done well they can also be a core part of an organisation's long term sustainable success.
Lastly, some very useful questions to make a Code of conduct come to life from Mike Bennetts, CEO of Z Energy. Mike's 3 useful questions that people should answer when they face a difficult decision are:
1. Does it feel right?
2. Can I tell my grandmother?
3. If it is in the paper, will I mind?
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Part of NEAC’s role is to monitor and review the operation of the Health and Disability Ethics Committees (HDECs). In June 2021, NEAC wrote to the Minister of Health to raise concerns on the membership-levels and timeliness of appointments to the HDECs. NEAC advised that it considered a lack of timely appointments to the HDECs fundamentally risked a critical failure in the health and disability research sector, and would impact potential treatment outcomes for New Zealanders.NEAC asked that the importance of appointing new members to the HDECs and adequate resourcing is addressed by Ministers.In September 2021, the Minister responded to NEAC. The Minister advised that responsibility for appointments to the HDECs was delegated to Hon Peeni Henare, Associate Minister of Health. The Associate Minister of Health had recently selected candidates for several ethics committees and those appointments would address the committees' gaps in expertise and ensure that they continue to deliver on their core mandate.
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Last modified: 11 July 2023
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In April 2023, NEAC wrote to the Minister of Health to raise concerns about the low levels of membership that Health and Disability Ethics Committees (HDECs) are operating under. These committees secure for New Zealand and New Zealanders the benefits of health and disability research by checking that it meets or exceeds established ethical standards. Without a quorum of appropriate members, New Zealand’s health and disability research sector cannot function and is increasingly at risk.NEAC advised the Minister to formally appoint more technical experts through the appointments process before the election shut down period, and for additional appointments to be made to the HDECs to ensure the research system can continue functioning smoothly through to 2024.
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