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Thought & Discourse Seminar: Governance & Accountability 2 Credits

933.610.XX[NOTE: Each section must have a separate syllabus.]

[Day & Time / ex: Monday, 6pm-9pm][Start & End Date / ex: 3/24/15-5/12/15]

[Semester / ex: Fall 2016][Location / ex: Washington, DC]

Instructor[Full Name]

Contact Information[Phone Number, (###) ###-####][Email Address]

Office Hours[Day(s)/Times]

Required Text

De Kluyver, C. A. (2013). A primer on corporate governance, 2nd ed. New York: Business Expert Press.

Articles and Chapters available through Blackboard

Bennis, W., Goleman, D., & O’Toole, J. (2008). Transparency: How leaders create a culture of candor. San Francisco, CA: Jossey-Bass. Chapter 1.

Bok, S. (1980, Summer). Whistleblowing and professional responsibility. New York University Education Quarterly, 11. In Donaldson, T., & Werhane, P. (2008). Ethical issues in business:A philosophical approach (8th ed.). (pp. 128-35). Upper Saddle River, NJ: Pearson.

Freeman, R.E. (2007). Managing for stakeholders. In Ethical issues in Business: A Philosophical Approach (8th ed.) Edited by Thomas Donaldson and Patricia Werhane. Upper Saddle River,NJ: Pearson/Prentice Hall.

Friedman, M. (1970, September 13). The social responsibility of business is to increase its profits. The New York Times Magazine.

Hamilton, S. (2003). Case study: The Enron collapse. In Ethical issues in business: A philosophical Approach (8th ed.). Edited by Thomas Donaldson and Patricia Werhane. Upper Saddle River,NJ: Pearson/Prentice Hall.

Hess, D. (2007). Social reporting and new governance regulation: The prospects of achievingcorporate accountability through transparency. Business Ethics Quarterly 17:3.

Hopkins, B. R. (2009). Legal Responsibilities of Nonprofit Boards. Washington, DC: BoardSource.

930.610.XX – Thought & Discourse Seminar: Governance and Accountability – Instructor Name – of 20

Mead, E., & Werhane, P. (2007). Case study: Cynthia Cooper and WorldCom. In Ethical issues in business: A philosophical approach (8th ed.). Edited by Thomas Donaldson and Patricia Werhane. Upper Saddle River, NJ: Pearson/ Prentice Hall.

Monks, A.G., & Minow, N. (2011). Corporate governance (5th ed.). Hoboken, N.J.: John Wiley & Sons Ltd.

Perrino, F. (2006, Winter). The practitioner’s perspective on non-financial reporting.California Management Review. Volume 48: 2.

Porter, M., & Kramer, M. (2006, December). Strategy and society: The link between competitive advantage and corporate social responsibility. Harvard Business Review.

Prentice, R., & Bredeson, D. (2009). Student guide to the Sarbanes-Oxley Act (2nd ed.). Mason, OH: South-Western Cengage Learning.

U.S. Senate, Permanent Subcommittee on Investigations (2002, July 8). Senate report: The role of the board of directors in Enron’s collapse. 107th Congress, 2d session. Retrieved at www.findlaw.com

Singer, P. (2002). One world. New Haven, CT: Yale University Press. Ch. 1.

Savitz, A. W. (2006). The triple bottom line. San Francisco, CA: John Wiley & Sons. Ch 1, 2, 13.

Films

Achbar, M., & Abbott, J., Directors (2005). The corporation. Zeitgeist Films, Ltd.

Gibney, A. (2005). Enron: The Smartest Guys in the Room. New York, NY: Magnolia Pictures.

Course DescriptionThe many corporate scandals that have surfaced in the past 15 years (Enron, WorldCom, Lehman Brothers, AIG) have drawn increasing attention to corporate governance. What gives rise to the kinds of risky behavior that these scandals reveal? What mechanisms do—or should—corporations have in place to prevent such disasters? To whom are they ultimately responsible: shareholders and owners or a wider spectrum of stakeholders? What are the roles and responsibilities of boards of directors normally and in times of crisis? How do boards monitor performance and compliance among corporate officers, and what kinds of reporting structures exist? What laws and regulations seek to limit and punish corporate malfeasance? How do the approaches to self- and external-regulation of companies differ in other countries and in a global context? These are some of the questions addressed in this seminar. Through lectures, guest speakers, case studies, and team projects, students explore corporate governance, with an eye to best practices.

PrerequisitesNone

Learning ObjectivesBy the end of this course, students will have demonstrated an understanding of—and ability to apply—the principles and practices regarding

1. corporate structure and function, agency problems, and the need for governance 2. the roles and responsibilities of managers, boards of directors, shareholders, and governments3. mechanisms for evaluating managerial and corporate performance and compliance 4. global regulation and corporate governance in different countries (Japan, Germany . . .)


5. corporate social responsibility as an element of corporate strategy.

To view the complete list of Carey Business School’s general learning goals and objectives, visit the Teaching & Learning@Carey website.

Attendance Students are expected to attend all class sessions. If you must miss a class, you are nevertheless responsible for all information covered. Failure to attend two or more class sessions will likely impact your final grade; if you must miss a class, you should inform the instructor in advance. Out of respect to your classmates and instructor, you should plan to arrive on time in this course, and to be courteous and respectful in all class interactions. Turn off cell phones and laptops in class unless they are needed for a group project or to retrieve a reading assignment.

AssignmentsThe following percentages apply to course assignments; for specifics on how they will be assessed, please refer to the rubrics for essays and team presentations on pages 12-15.

Assignment Learning Objectives WeightAttendance and Class Participation 1 – 5 15%Reflections on Course Readings 1 – 5 15%Team Presentation 1: Current Events 1 – 5 15%Essay 1: Enron and the Sarbanes–Oxley Act 1 – 3 20%Team Presentation 2: Governance and CSR Audit 1 – 5 15%Essay 2: Governance and CSR Audit of a Firm 1 – 5 20%Total 100%

Attendance and Class Participation (15%)Classes are designed to be interactive; you are expected to prepare all readings and assignments and to participate actively in class discussions and exercises. The grade for class participation will be based not merely on passive attendance but on the quantity and quality of a student’s active contributions to class discussion and team exercises. At the end of each class you will be given a participation form to fill out on which you rate your own performance and provide evidence of your contributions to class to support the rating.

Reflections on Course Readings (15%)At the end of each class session, you will be given ten minutes to reflect on an issue or topic brought up in class. You should demonstrate knowledge of the readings for that class and apply them to the issues discussed.

Team Presentation 1: On Deck (15%)You will be assigned a team at the beginning of the term and a class session for which your team will be responsible. The presentation should introduce a major aspect of governance covered by the readings assigned for that day and apply it to a current event of your team’s choosing. The goal is to apply course concepts and theories to a real-life organizational issue. Presentations should be no longer than 15 minutes, should use PowerPoint or other AV support, and will be followed by Q & A and discussion. The key to this presentation is to focus on analysis rather than description. An excellent presentation will step back from the event itself and, using a compelling delivery, succinctly highlight key points while making a broader connection to course content.

http://carey.jhu.edu/faculty-research/learning-at-carey/accreditation/


Essay I: Enron and the Sarbanes–Oxley Act (20%)Analyze the Enron case and identify the key ethical issues that arose. What were the salient facts in the case? Who were the key decision makers and stakeholders? How did Enron’s culture contribute to the wrongdoing of its leaders and traders? How did the internal and external mechanisms of Enron’s governance structure fail? Look particularly at conflicts of interest among managers and the role of Enron’s investors, board of directors, partners, auditors, government agencies, and the press. What was the role of the Board of Directors in the collapse? What provisions in the Sarbanes–Oxley Act address each of the major issues that arose? Combine your answers to these questions into a coherent, unified, well developed essay and consider how Enron might have foreseen and avoided the mistakes made by its leaders. Apply class readings (Hamilton’s case study, the Senate Subcommittee report, de Kluyver, Monks & Minow, The Student Guide to the Sarbanes–Oxley Act). Provide citations and references in APA style. Scope: 4 – 5 pages (1000 – 1250 words), double spaced, 12-point font.

Team Presentation 2: Governance and CSR Audit of a Firm (15%) Building on team presentation 1, your team should choose a firm from the Fortune 100 list and conduct an audit of its governance and corporate social responsibility. Your team should address the following questions:

What governance structures does the company have in place? How do they relate to its mission and reason for existing? How effective is its board, and how is it structured? Do shareholders have a say in key decisions (e.g. CEO pay)? How do its board, shareholders, executive, and employees hold each other accountable? What reports does the firm generate? Has the firm been involved in corporate wrongdoing or scandals in the past? How is it regulated and to what government agencies does it report? What criticisms of the firm’s responsibility to society can you find in print? Are there apparent conflicts of interest among board members and managers?

Then apply Porter and Kramer’s article, “Strategy and Society,” and Savitz’s The Triple Bottom Line to the firm’s CSR initiatives. You should provide a brief overview of what some of its CSR initiatives are, and then focus on one major effort that is international in scope and that illustrates Savitz’s and Porter and Kramer’s thesis, that corporations and society can be mutually beneficial and not antagonists. The authors give as an example Nestlé’s network of dairy farms in India.

Each team will have 20 minutes to present, and every member should participate in the presentation. You will be evaluated as a group on your team’s knowledge of the company, the quality of your research, your use of time and AV, your ability to engage the audience, and your ability to apply the Porter and Kramer model to your firm. Individuals will be evaluated on their preparation, knowledge, presentation skills, and ability to answer questions. Essay 2: Governance and CSR Audit of a Firm (20%)Using the information gathered by your team, you should write up your own analysis of the company’s governance and CSR efforts, using the questions listed above for Team Presentation 2. Your analysis should present an argument, taking a position on whether the company has demonstrated strong or weak accountability to its various stakeholders, as well as society in general, and whether the CSR initiative on which your team has focused exemplifies the kind of synergy between business and society that Porter and Kramer advocate.


Your essay should demonstrate critical thinking, giving both positive and negative accounts of the firm you are examining. It should also show a detailed understanding of the article by Porter and Kramer and the chapters by Savitz: what do the authors see as the deficiencies of traditional arguments in favor of CSR. What do they mean by value proposition and value chain and sweet spot. Can you map P & K’s model onto one of the company’s CSR efforts and how it relates to the firm’s value chain, through inside-out and outside-in linkages. You should apply at least four course readings (including the readings by Savitz and Porter and Kramer) and at least four additional sources related to your firm. Follow APA format and citation guidelines. Scope: 5 pages (1500 words), double spaced, 12-point font.

GradingThe grade of A is reserved for those who demonstrate extraordinarily excellent performance. The grade of A- is awarded only for excellent performance. The grade for good performance in this course is a B+/B. The grades of D+, D, and D- are not awarded at the graduate level.

Please refer to the Carey Business School’s Student Handbook for grade appeal information.

Class Schedule and Assignments

[date] What is a Corporation? What is Corporate Governance? Rights and responsibilities; theory of the firm; the agent/principle problem. Read de Kluyver, chapters 1 & 2; review essays by Friedman and Freeman (Bb). Film clip: The Corporation (in class)Reading reflection 1; participation form

[date] Shareholders and StakeholdersWho owns the corporation? To whom is it accountable?Read Monks & Minow, chapter 2, pp. 102-158. On Deck: Team 1 (Current Events)Reading reflection 2; participation form

[date] The Board of DirectorsRole and composition; fiduciary responsibility; compliance and risk managementRead de Kluyver, chapters 3 & 6; Legal Responsibilities of Non-profit BoardsOn Deck: Team 2 (Current Events)Reading reflection 3; participation form

[date] The CEO and Management TeamCEO selection and compensation; setting strategyRead de Kluyver, chapters 5, 7, & 8 On Deck: Team 3 (Current Events) Reading reflection 4: participation form

[date] Government Regulation: Enron and WorldComRead de Kluyver, chapter 4 and Appendix A; Hamilton (Enron case); Senate Report:The Role of the Board of Directors in Enron’s Collapse. Prentice, Student Guide to

http://carey.jhu.edu/students/student-handbook-and-academic-catalog/


The Sarbanes Oxley Act, executive summary; View film, Enron: The Smartest Guys in the Room. Recommended: Mead & Werhane (WorldCom); Bok, Whistleblowing)Reading reflection 5; Participation formEssay 1: Enron and Sarbanes Oxley (due by [DATE])

[date] Government Regulation (continued); International Governance Read Monks & Minow, Chapter 5, pp. 416-436, 445-467; OECD Guidelines (Bb); Singer, Ch. 1; UN’s Global Compact, Review Prentice & Bredesen on the Sarbanes Oxley ActOn Deck: Team 4 (Current Events)Reading Reflection 4; participation form

[date] Global CSR and Non-Financial ReportingThe triple bottom line; connecting the firm’s CSR with its value chain.Read articles by Porter and Kramer, Perrino (Bb), Hess (Bb), and Slavitz (Bb)Teams prepare presentation.On Deck: Team 5 (Current Events)Reading reflection 5; Participation form

[date] Governance, Strategy, and SocietyTeam Presentations applying material on governance and the readings by Porter and Kramer and Savitz to the firm your team has chosen.Team Presentation 2: Governance Audit of a FirmEssay 2: CSR and Strategy (due by [DATE])


Carey Business SchoolPolicies and General Information

Blackboard SiteA Blackboard course site is set up for this course. Each student is expected to check the site throughout the semester as Blackboard will be the primary venue for outside classroom communications between the instructors and the students. Students can access the course site at https://blackboard.jhu.edu. Support for Blackboard is available at 1-866-669-6138.

Course EvaluationAs a research and learning community, the Carey Business School is committed to continuous improvement. The faculty strongly encourages students to provide complete and honest feedback for this course. Please take this activity seriously; we depend on your feedback to help us improve. Information on how to complete the evaluation will be provided toward the end of the course.

Disability ServicesJohns Hopkins University and the Carey Business School are committed to making all academic programs, support services, and facilities accessible. To determine eligibility for accommodations, please contact the Disability Services Office at time of admission and allow at least four weeks prior to the beginning of the first class meeting. Students should contact Priscilla Mint in the Disability Services Office by phone at 410-234-9243, by fax at 443-529-1552, or by email.

Honor Code/Code of ConductAll students are expected to view the Carey Business School Honor Code/Code of Conduct tutorial and submit their pledge online. Students who fail to complete and submit the pledge will have a registrar’s hold on their account. Please contact the student services office via email if you have any questions.

Students are not allowed to use any electronic devices during in-class tests. Calculators will be provided if the instructor requires them for test taking. Students must seek permission from the instructor to leave the classroom during an in-class test. Test scripts must not be removed from the classroom during the test.

Other Important Academic Policies and ServicesStudents are strongly encouraged to consult the Carey Business School’s Student Handbook and Academic Catalog and Student Resources for information regarding the following items:

Statement of Diversity and Inclusion Student Success Center Inclement Weather Policy

http://carey.jhu.edu/students/student-resources/

http://carey.jhu.edu/students/student-handbook-and-academic-catalog

http://carey.jhu.edu/students/student-handbook-and-academic-catalog

mailto:[email protected]

http://carey.jhu.edu/students/student-resources/honor-code/honor-code-pledge/

http://carey.jhu.edu/students/student-resources/honor-code/

mailto:[email protected]

http://carey.jhu.edu/students/student-resources/disability-services/

http://carey.jhu.edu/students/student-resources/disability-services/

https://blackboard.jhu.edu/


Academic Writing: Checklist

Writing Process

1. Are you certain you understand what is expected on the assignment? Have you asked your instructor for clarification on anything you don't understand?

2. Who is your audience? What are the purpose and scope of your essay?

3. Have you scheduled adequate time to plan, research, write, and revise your paper?

4. Did you conduct a preliminary review of what's available on your topic?

5. Have you used an outline to see logical relationships between the parts of your essay?

Topic and Thesis

1. Is your topic too narrow or too broad for the scope of the assignment?

2. Have you adequately distinguished between your topic (your general area of interest) and your thesis (your central idea and attitude about that idea)?

3. Have you expressed your thesis clearly in the introduction to your paper?

4. Is your thesis reflected in the title of your paper?

Organization

1. Does your introductory paragraph establish the significance of your topic and provide necessary background?

2. Does your introduction articulate the thesis of your paper? Suggest subtopics and the order in which they will be developed in the body of your paper? Or is there a research question that suggests the material you will cover and your approach to it?

3. Are the subtopics related logically to the thesis?

4. Are the subtopics different, yet related to each other?

5. Does your conclusion restate your thesis in a fresh way? Answer a question posed in the beginning? Suggest an appropriate action?

Paragraph Structure

1. Does each paragraph have a single central topic, stated or implied?


2. Is each paragraph well developed? (Have you provided enough reasons, examples, facts, definitions, etc., to support the topic sentence?)

3. Is each paragraph unified? (Do all sentences clearly relate to one topic?)

4. Is each paragraph coherent? (Does each sentence relate to the ones before and after it in a logical way? Are there appropriate transitions?)

Mechanics (Grammar, Punctuation, etc.)

1. Have you proofread your sentences carefully to detect and correct errors in• sentence completeness (fragments, run-ons)?• subject/verb agreement?• pronoun reference (be sure all pronouns have only one antecedent)?• modifiers (adjective/ adverb form; misplaced and dangling modifiers)?• verb tense?• punctuation?

2. Where appropriate, have you• eliminated unnecessary words?• varied your syntax, sentence length, and word choice?• put parallel thoughts into parallel form?• checked to see that comparisons are worded logically?• preferred active to passive verb forms?

3. Have you checked your words to be sure that they are• correctly spelled and used? Have you consulted a dictionary? Thesaurus? • appropriate? (Avoid inappropriate slang, trite expressions and clichés.)

4. Have you used the proper format? Is your paper• typed, double spaced with 1½-inch margins, in 12-point font, with page numbers and name

on all pages? • in line with APA style for quotes, citations, reference list, etc.?

Information Sources

1. Have you properly attributed all quotes and paraphrases of other's work?

2. Have you checked your sources to see that they are sufficiently numerous, authoritative, various, relevant, and timely?

Evaluating Academic Writing

Criteria for Grading:A Assignment (parameters, instructions, purpose)M Mechanics (grammar, style, usage, format) O Organization (thesis, introduction, body, conclusion, paragraphing, transitions)


T Thought (analysis, research, content, creativity, logic)

Characteristics of the “Excellent” Paper (A) [exceeds expectations for graduate work]

A • Response to the assignment fully addresses its purpose • Paper follows instructions regarding length, number of sources, etc.• Tone and approach are appropriate for and sensitive to the target audience’s needs • Choice of topic meets and exceeds the instructor’s expectations• The topic is distinguished from the paper’s central thesis

M • Format follows appropriate guidelines (MLA, APA, instructor's own)

• Usage is correct and language is appropriate and unbiased (gender, culture)• Punctuation, spelling, capitalization, etc., are correct; paper was carefully proofread• Sentences are clear, varied, and concise• Writing style is concrete, avoiding jargon and preferring active to passive voice

O • The paper is logically organized, with an introduction, body and conclusion• Writer has clearly articulated his/her thesis or controlling idea • Paragraphs are coherent, well developed, and unified around a single topic• Transitions are logical, signaled by connecting language • Introduction captures attention, establishes topic’s significance, and articulates a thesis• Conclusion effectively ties together the paper’s key points, whether through a creative restatement of the thesis, or by offering recommendations and actions to be taken

T • Paper demonstrates in-depth knowledge of subject• Controlling idea (thesis) is fully supported with evidence, reasons, quotes, etc.• Conclusions follow from the information presented• Writer shows ability to think critically and creatively• Sources of information are examined critically and weighed against other sources

Characteristics of the “Good” Paper (B) [at expectation for graduate work]

A • The paper topic addresses the purpose of the assignment• The paper follows instructions regarding length, number of sources, format, etc.• Choice of topic considers assignment’s scope and purpose• Effort was made to identify and address target audience

M • Sentences are clear, complete, and generally varied in length and structure• Format follows appropriate guidelines (MLA, APA, instructor’s own)• Usage is generally correct and language is appropriate• Punctuation, spelling, capitalization, etc., are generally correct

O • The paper is generally focused, with an introduction, body, and conclusion• Writer has clearly articulated his/her thesis or controlling idea• Paragraphs are coherent, well developed, and unified around a single topic• Transitions are logical, signaled by connecting language


• Introduction identifies topic and thesis• Conclusion restates thesis and provides helpful clarifications

T • Paper demonstrates knowledge of subject• Controlling idea (thesis) is supported with evidence, reasons, quotes, etc.• Conclusions follow from the information presented• Writer shows some ability to think critically and creatively• Sources of information are examined critically and weighed against other sources

Characteristics of the “Adequate” Paper (C) [below expectations for graduate work]

A • Choice of topic may show lack of care in considering assignment's scope and purpose• Student has not adequately considered the audience(s) for which he/she is writing • Student does not follow instructions in all regards. Paper may be too short or long; it may not incorporate enough sources, etc.

M • Occasional grammar errors appear (e.g., fragments, subject/verb agreement)• There is little variety or sophistication in the length and structure of sentences• Writing is occasionally wordy and unclear• Format may be inconsistent or does not fully follow academic guidelines• Other errors appear (in usage and word choice, spelling, capitalization, punctuation…)

O • Organization is not always logical; introduction, body, or conclusion may be incomplete • Student attempts to provide coherence and unity but is not always successful

• Controlling idea is unfocused and only partially developed; thesis is too narrow/ broad• Paper occasionally skips around without adequate transitions

T • Knowledge of subject is adequate but not deep• Controlling idea is supported but not extensively• Conclusions are incomplete or do not follow directly from the information presented• Information sources are flawed or accepted uncritically• Approach to subject lacks creativity, mastery

Assessment Criteria: The team Not Good Enough

0≤ score <6

Good6≤score<9

Excellent9≤score≤10 Score

1. made good use of time, presenting neither too much nor too little information /10

1. designed and made effective use of PowerPoint slides and/or other audio/visual media

/10

2. coordinated well with one another, defining clear roles and distributing time and tasks /10

3. engaged the audience effectively /10

4. organized the material effectively (presentation was unified, coherent, and developed) /10

3. showed a detailed understanding of the assigned readings (x 3)

/30


6. selected a relevant current event and applied course content to it, effectively and meaningfully (x 3) /30

7. stimulated discussion and answered questions well (x 2) /20

8. identified and used credible information sources, including course readings /10

4. Showed critical thinking, considering divergent perspectives on the issues at hand /10

Total Score/ 150

Comments:

Rubric, Team Presentation 1: On Deck (Readings and Current Events)


Rubric, Essay 1: Enron and the Sarbanes–Oxley Act

Assessment Criteria: The essay Not Good Enough

0≤ score <6

Good6≤score<9


I. Assignment: Enron, Corporate Governance, and the Sarbanes–Oxley Act

1. provided a brief but clear background on Enron (its purpose, industry, history, and business model)

/10

2. clearly identified internal failures in Enron’s governance that helped to lead to its collapse

/10

3. clearly identified external failures in oversight and the partners/institutions that were complicit in wrongdoing

/10

4. clearly identified internal and external stakeholders who were impacted by Enron’s success and collapse

/10

5. analyzed thoroughly the firm’s values and culture, and the role of its leaders in exemplifying them (x 2)

/20

6. analyzed the major governance issues that the case raises (the role of boards, management & shareholders) (x 3)

/30

7. explained the key issues in the Enron and WorldCom cases that the Sarbanes Oxley Act addressed (x 3)

/30

II. Research and Application of Readings

8. showed conversance with, and applied, Hamilton’s case study, the Enron film, the Senate Subcommittee report, de Kluyver, Monks and Minow, and the Student guide to the Sarbanes–Oxley Act (x 2)

/20

9. used APA style for citations, and references /10

III. Organization

10. was well organized; paragraphs and the overall composition were unified, coherent, and developed (x 2)

/20

IV. Mechanics

11. demonstrated a sophisticated command of English with a minimum of errors in grammar and diction (x 2)

/20

12. followed APA guidelines for manuscript format /10

Total Score/ 200


Comments:

Rubric, Team Presentation 2: Governance and CSR Audit of a Firm

Assessment Criteria: The team Not Good Enough

0≤ score <6

Good6≤score<9


1. made good use of time, presenting neither too much nor too little information

/10

2. designed and made effective use of PowerPoint slides and/or other audio/visual media

/10

3. coordinated well with one another, defining clear roles and distributing time and tasks

/10

4. engaged the audience effectively /10

5. organized the material effectively (presentation was unified, coherent, and developed)

/10

6. reviewed and took a clear position in assessing the firm’s overall social responsibility, including scandals (x 2)

/20

7. gave a concise summary of the firm’s internal governance (mission, vision, code of conduct, board of directors, management structure) (x 2)

/20

8. identified and evaluated the effectiveness of external governance mechanisms (reports, government regulation, credit and analyst ratings, news media) (x 2)

/ 20

9. selected one of the firm’s signature programs and evaluated it in terms of Porter and Kramer’s model of responsive CSR and Savitz’s ‘sweet spot’ (x 4)

/40

10. identified and used a variety of information sources, including other course readings

/10


Total Score/ 160

Comments:


Assessment CriteriaNot Good

Enough0≤ score <6

Good6≤ score <9

Excellent9≤ score ≤10 Score

Internal Governance (x3) The paper • reviewed the company’s mission and vision.• evaluated the effectiveness of the board structure• evaluated checks on executive power• reviewed voting rights of owners and access to the

board • identified other governance tools (e.g., ethics code)

/30

External Governance (x2) The paper • identified key laws and government agencies regulating• the company and its industry, and its compliance• reviewed the firm’s transparency (e.g., information that

it makes available to shareholders, the public, and rating agencies)

/20

CSR (x3) The paper • provided a general overview of the firm’s CSR

initiatives• identified previous scandals and governance lapses • focused on a singular CSR initiative and applied Porter

& Kramer’s model of strategic CSR and Savitz’s ‘sweet spot’ to it

• evaluated the firm’s corporate social responsibility • made recommendations for how the firm could improve

its governance and CSR profile

/30

Research (x2) The paper• applied the Porter and Kramer article and at least 3

other course readings in its analysis of the firm.• based its analysis and evaluation of the firm’s

governance, previous scandals, and CSR initiatives on credible sources.

• used APA style guidelines for references and citations.

/20

Mechanics (x 2) The paper• showed proper format, grammatical correctness, and

sophisticated use of language.

/20

Organization (x 2) The paper• was unified, coherent, and developed, with a clear thesis

/20

Maximum Points: 140 Total Score ____/100

Comments:

Rubric, Essay 2: Governance and CSR Audit of a Firm


APA Manuscript Style: Checklist*

Paper and Font

8 ½ x 11 white paper

Font is 12-point Courier or Times New Roman and the same font is used throughout the paper

Bolding and underlining are not used

Page Elements

Margins: One inch on all sides (top, bottom, left, right).

Spacing: The entire paper is double-spaced, including the title page, abstract, body, references, appendixes, footnotes, tables, and figure captions. Extra spaces are not added between paragraphs.

Page numbering begins with the title page. The short title and page number appear one inch from the right edge of the paper on the first line of every page (1/2 inch from the top margin). Figure pages that are not embedded are not numbered.

Paragraphs: Each paragraph is indented 5-7 spaces. The only exceptions are the abstract and paragraphs within block quotations. Paragraphs should be more than one sentence, but less than a page.

Bulleted items should be punctuated as part of a complete sentence. See Seriation APA 3.03, pp. 63-64.

Headings: Three levels of headings will suffice for most papers. See APA 3.02, page 62. (see next page for example)

The First Level, Centered Boldface, with Uppercase and Lowercase Typing

Second Level, Flush-Left, Boldface, Uppercase and Lowercase Heading

Third level, indented, boldface, lowercase paragraph heading ending with period.

* Please note: Section and page numbers in this checklist refer to the Sixth Edition of the Publication Manual of the American Psychological Association (2009).


Title Page

The Title Page is page 1.

The Running head (the first 50 characters of the title) should be typed flush left in uppercase letters following the words “Running head:” It appears on the line below the short title and page number. Running heads should not exceed 50 characters, including punctuation and spacing.

Paper Title: Uppercase and lowercase letters are used. The title is centered on the page. The recommended length for a title is 10-12 words.

Author: Uppercase and lowercase letters are used; the author’s name is centered on the line following the title.

Affiliation: Uppercase and lowercase letters are used; the affiliation is centered on the line following the author.

See APA sample paper, section 2.1, page 41; section 8.03, page 229; and sections 2.01-2.03, pages 23-25.

Abstract

The abstract, if required, is page 2.

The heading “Abstract” is centered on the first line.

The abstract (not indented) begins on the line following the Abstract heading.

The abstract does not exceed 120 words.

All numbers in the abstract (except those beginning a sentence) are typed as digits rather than words.

The abstract is a brief, comprehensive summary of the contents of the paper. A good abstract is accurate, self-contained, concise, non-evaluative, and coherent.

Body

The body of the paper begins on page 3 (or page 2 if no abstract is required).

The title of the paper (in uppercase and lowercase letters) is centered on the first line below the short title and page number.

The introduction (which is not labeled) begins on the line following the paper title.


Punctuation and Numbering

Use the last serial comma (e.g., in a series, place a comma before “and”).

All numbers 10 and above are expressed in figures (e.g., 15) with the exception of numbers beginning a sentence; these are expressed in words.

All numbers below ten are expressed in words (e.g., four). An exception to this rule is numbers that represent time, dates, ages (4 hours, 3 weeks, 7 years old) and numbers that represent parts of manuscripts (e.g., Part 3, Table 2, pages 4-9).

Quotations and In-text Citations

All material that is not the author’s own and is not common knowledge is cited.

All direct quotations are enclosed in quotation marks and are cited. The citation includes the author(s) last name(s), the year of publication and the page or paragraph number.

Direct quotations of 40 words or less are indicated by quotation marks at the beginning and end of the quotation.

Direct quotations of 40 or more words are in block format (indented 5 spaces from the left margin) and without quotation marks.

In-text citations provide:

author’s last name (sometimes in a signal phrase)

last names for multiple authors of a single document are joined with an ampersand (&)

the year of publication (n.d., for “no date,” is used when the year of publication is not available

a page number in parentheses for direct quotations and paraphrases. The abbreviation for page is “p.” For electronic sources, include a paragraph number or combine a section description with a paragraph number: (¶7) or (para. 7) or (Conclusions section, ¶ 4).

Example: (Doe, 2006, p.3)(Doe & Smith, 2006, p.3)(Doe, n.d., p.3)(Doe, 2006, para. 7)

Consult APA sections 6.11-6.21, pages 174-179 for formatting in-text citations when there are more than two authors, when the author is a company, when no author is credited, etc.


Reference Page

All sources included in the reference section are cited in the body of the paper.

All in-text citations (with the exception of personal communications, which are not retrievable) appear on the reference page.

The heading “References” is centered on the first line.

Reference entries are double-spaced, as is the rest of the manuscript.

References (with hanging indent) are arranged alphabetically by the last names of first authors. Entire reference page is double-spaced.

All references include author(s), year of publication, title, and publishing data.

All author’s names are inverted and first initials are used rather than first names. e.g., Jane Doe becomes Doe, J.

The titles and subtitles of books are italicized; only the first word of the title and the subtitle (and all proper nouns) are capitalized. Example:

Doe, J. (2006). The art of writing well: A guide for writing in APA style. Boston: Great Books

Publishing.

The names of periodicals and volume numbers are italicized. The names of periodicals are capitalized as you would capitalize them normally. e.g.,

Doe, J. (2006). The challenge of writing well. Writing Review, (42) 1.

The names of Web pages or the titles of sections are italicized and only the first word of the title and subtitle (and all proper nouns) are capitalized. e.g.,

Doe, J. (2006). Writing well made easy: A writer’s guide. Retrieved April 5, 2006, from

http://writing.well.com

When referencing an electronic source, one approach is to give the date it was retrieved and the url (see example above). Another is to give its digital object identifier (doi):

Johnson, B.T., & Eagly, A. H. (1989). Effects of involvement in persuasion: A meta-analysis.

Psychological Bulletin, 106, 290-314. doi: 10.1037/0033-2909.106.2.290

See References, APA sections 6.22-6.32, pages 180-189. Sample reference list, page 59.

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