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Corporate Governance Case Study: Tesla, Twitter, and the Good Weed

Justin Slane, Sharon Makower and Joe Green are editors for the Capital Markets & Corporate Governance Service at Thomson Reuters Practical Law. This post is based on a Practical Law article by Mr. Slane, Ms. Makower and Mr. Green.

Perhaps no company in the world has the perception of its brand being tied to one person more than Tesla Inc. (Tesla) and its CEO and now former chairman of the board, Elon Musk. As at least one journalist phrased it, “ Elon Musk is Tesla. Tesla is Elon Musk .” And Musk is not just the face of Tesla, but a co-founder of PayPal and Solar City, the founder and current CEO of SpaceX and founder of its subsidiary, The Boring Company. He has crafted a “real-life Iron Man” persona, including all the eccentricity, and is undoubtedly one of the most recognizable and polarizing CEOs in the world.

But 2018 has not been the best year for Elon Musk. In what Musk would call negative propaganda pushed by short sellers, Tesla has faced heightened scrutiny and increasingly negative media attention related to a litany of issues, including cash burn , vehicle safety , production capabilities , and a string of employment-related lawsuits and executive exits ( only made worse recently ). Analysts and investors began to publicly cool on Tesla and question its long-term value, which Musk also attributed to short sellers .

In May, citing independence concerns and questioning whether Musk may be stretched too thin, proxy advisory giants Glass, Lewis & Company (Glass Lewis) and Institutional Shareholder Services, Inc. (ISS) opposed the re-election of current Tesla board members and supported splitting Musk’s roles as CEO and chairman.

As the pressure mounted, Musk became increasingly combative, especially on Twitter, lashing out at short sellers and anyone criticizing Tesla or him. Musk’s erratic behavior and obsession with short sellers and critics drew more criticism of his leadership and that of Tesla’s board of directors .

But it all came to a head on August 7, when in the middle of the trading day, without notice or warning to anyone (including other executives and directors at Tesla or contacts at Nasdaq, the exchange on which Tesla’s common stock is listed), Musk tweeted:

Then, for reasons still unknown, nobody took his phone away, and Musk continued tweeting and interacting with shareholders throughout the day:

The public reaction to Musk’s tweets was strong and immediate. Tesla’s stock soared before Nasdaq eventually halted trading for several hours later in the day, and there was instant speculation about whether Musk actually had the funding to take Tesla private (spoiler: he did not).

Musk’s drastic departure from normal public disclosure standards and the subsequent media circus arising from it unsurprisingly captured the attention of the Securities and Exchange Commission (SEC), which ultimately resulted in an enforcement action and settlement with Elon Musk over the tweets. Tesla also settled with the SEC. The end results of the settlements include the following:

• Musk must step down as chairman of the board and be replaced by an independent chairman, but Musk will be allowed to remain as CEO. On November 7, 2018, Tesla appointed an independent chairman.
• Musk and Tesla must each pay $20 million in fines.
• Tesla must add two independent directors and create a formal disclosure committee to oversee communications from Musk.
• Tesla must hire an experienced securities lawyer, subject to approval by the SEC Division of Enforcement (Tesla’s current general counsel was Elon Musk’s divorce attorney and worked primarily in family law before joining Tesla).

This post examines this corporate governance cautionary tale, focusing primarily on the Regulation FD (Reg FD) issues raised by Musk’s tweets and public statements. The full article from which this post is excerpted also examines a host of other issues including disclosure controls and procedures, stock exchange requirements, conflicts of interest, board independence, and more, highlighting for each issue where things went wrong and identifying resources that perhaps could have helped avoid this type of mess. To learn more about these issues, the full article can be accessed here .

Complying with Regulation FD

Much of the initial reporting surrounding Musk’s tweets questioned whether the use of his personal Twitter account violated Reg FD. Reg FD, which took effect in 2000, prohibits selective disclosure by requiring that material nonpublic information disclosed to securityholders or market professionals (including research analysts) must also be disclosed to the public in a broad, non-exclusionary manner. And in fact, in finally answering why he tweeted about taking Tesla private, Musk explained in an August 13 blog post that he wanted to have discussions with key shareholders and he felt it “wouldn’t be right to share information about going private with just [Tesla’s] largest investors.” While Musk’s intentions are noble and in line with the basic principle of nearly 20-year-old federal securities law, the reports were correct that Reg FD generally requires more than tweets.

SEC guidance issued in 2008 and 2013 regarding the use of company websites and social media for disclosure suggests that companies can still satisfy Reg FD requirements if they notify investors of where they can expect material information to be disclosed online, making it a “recognized channel of distribution.” In particular, the 2013 guidance dealt with the Netflix CEO disclosing monthly viewing hours on his personal Facebook page.

The SEC stated that disclosing material nonpublic information on the personal social media site of an individual corporate officer, without advance notice to investors that the site may be used for this purpose, is unlikely to satisfy Regulation FD because it is not likely a method “reasonably designed to provide broad, non-exclusionary distribution of the information to the public” that Reg FD requires. The SEC stated this is true even if “the individual in question has a large number of subscribers, friends or other social media contacts, so that the information is likely to reach a broader audience over time.”

The SEC used its 2013 guidance to highlight the concept that whether a Regulation FD violation occurred will turn on whether the investing public was alerted to the channels of distribution a company will use to disseminate material information. The SEC’s 2008 guidance on the use of company websites outlines the factors that indicate whether a particular channel (whether it be a corporate website or a corporate executive’s social media account) is a recognized channel of distribution for communicating with investors.

In this case, Tesla and Musk had a few factors in their favor:

• A Form 8-K filed on November 5, 2013 , encourages investors to follow Elon Musk’s personal Twitter account for material information being disclosed to the public. Ideally the notice would be repeated, including in Tesla’s annual reports on Form 10-K or additional Form 8-K reports, but at least some form of notice was provided to shareholders.
• Elon Musk also has nearly 23 million Twitter followers. His original tweet was widely picked up and further broadcast by major news sources within minutes, and within hours, former SEC Chairman Harvey Pitt was on major cable news networks discussing whether Musk committed securities fraud.

While it was far from a safe use of social media for Reg FD purposes, Musk and Tesla appear to have a decent argument that shareholders had notice that information could be disclosed through Musk’s personal Twitter account and his account was reasonably designed to provide broad, non-exclusionary disclosure of the information.

Most public companies typically adopt formal policies regarding compliance with Reg FD (as well as the use of social media by their employees and executives). A strong Reg FD policy should contain:

• A complete outline of the procedures and practices of the company concerning disclosure of information to the public.
• A formal limitation on which company personnel are permitted to communicate with analysts and securityholders on behalf of the company. These people should be well-versed in Reg FD and familiar with the company’s public disclosures. Ideally these people should also understand the concept of materiality and what may constitute securities fraud under Rule 10b-5.
• A restatement of the company’s policy on confidentiality of information.
• A guide to disclosing material information.

Companies should also address the use of social media by their employees and executives, whether in their Reg FD policies or in separate social media guidelines that cover both personal social media use and social media use as an authorized company spokesperson.

While a Tesla Reg FD policy, set of social media guidelines, or other corporate communications policy addressing these concerns does not seem to be publicly available, the Tesla Code of Business Conduct and Ethics (last revised in December 2017) refers to a “Communication Policy … [that covers] Tesla’s social media guidelines, media relations and marketing guidelines, and the circumstances and the extent to which individuals are allowed to speak on Tesla’s behalf.” Musk should have been aware of Tesla’s communications policy, ideally having been reminded frequently through regular training for Tesla officers regarding the company’s policy and their obligations under Regulation FD, and never tweeted to begin with.

Twitter Was Always a Bad Choice

Musk’s tweets are also an extreme, yet useful, example of why casual social media use and disclosure of material nonpublic information should not be mixed. Section 10(b) of the Exchange Act prohibits material misstatements and omissions of fact, and companies must always avoid making disclosures in informal social media posts that lack material information or the context necessary for investors to be fully informed. If a company decides that there is material information that should be disclosed to the public, it must then determine when that information must be disclosed. Information should only be disclosed when it is definitive, accurate, clear, and specific.

Twitter can be an excellent tool for supplementing more formal corporate disclosure, such as linking to SEC filings, the company’s website, or attaching a press release as an image. However, individual Twitter posts as the sole medium of disclosure might be the worst form of social media use for disclosing material nonpublic information. The primary differentiating factor between Twitter and other social media platforms is it limits user posts to just 280 characters. Musk used 61 characters in his original going private tweet (if you pro rate his $20 million SEC fine to the characters in that tweet, Musk spent over $2.6 million on spaces alone). While some may applaud his succinctness, Musk’s August 7 tweets and blog post are textbook examples of public disclosures that lack context and completeness.

What does “funding secured” and “investor support is confirmed” mean? Who is/are the buyer(s)? How was the $420 per share price calculated? Has the board received or approved a proposal? None of these basic questions had answers. We later learned in the SEC’s civil complaint against Musk:

• A Tesla investor texted Musk’s chief of staff “What’s Elon’s tweet about? Can’t make any sense of it….”
• A reporter emailed Musk to ask if his tweet was a 420 joke and whether “an actual explanation” was coming.
• The following investor relations exchange happened in real life seven hours, ten tweets, and one blog post after Musk’s initial “going private” tweet:

“After Tesla’s head of Investor Relations received another inquiry from another investment bank research analyst at approximately 7:20 PM EDT, he asked whether the analyst had read Tesla’s ‘official blog post on this topic.’ The analyst responded, ‘I did. Nothing on funding though?’ The head of Investor Relations replied, ‘The very first tweet simply mentioned ‘Funding secured’ which means there is a firm offer. Elon did not disclose details of who the buyer is.’ The analyst then asked, ‘Firm offer means there is a commitment letter or is this a verbal agreement?’ The head of Investor Relations responded, ‘I actually don’t know, but I would assume that given we went full-on public with this, the offer is as firm as it gets.'” (see SEC Complaint, par. 52 .)

It took six full days before Musk or Tesla provided any clarification about what Musk meant by “funding secured” and the rest of his going private tweets on August 7.

Corporate Disclosure or Personal Statements?

Musk’s claim he was making statements in his personal capacity as a potential buyer of Tesla as opposed to on Tesla’s behalf as CEO and Chairman adds another element to this case illustrating why disclosure of material nonpublic information requires full context. If his personal Twitter account is both a recognized channel for corporate communications and a means for him to make disclosures as a private individual, how are investors supposed to know what is corporate information and what is personal?

Nothing in the August 7 tweets or blog post definitively stated Musk was not speaking on behalf of Tesla as its CEO and Chairman. In fact, in the investor relations exchange mentioned above, Tesla’s head of Investor Relations says “… I would assume that given we went full-on public with this…” (emphasis added), phrasing that certainly implies he thought the statements were made on Tesla’s behalf.

It is generally good corporate governance practice that if a company discovers a Reg FD violation, to minimize risks, it should promptly disclose the information by a Reg FD-compliant method. For example, if an executive officer selectively discloses material nonpublic information, the company can correct the situation by filing a Form 8-K to disclose the information.

Given the potential confusion for investors resulting from Musk’s initial tweets and his claim that he made the statements in his “personal capacity,” Tesla should have immediately filed a Form 8-K (which also happens to allow for more than 280 characters) to correct any potentially selective or misleading disclosure made by Musk and provide any additional context necessary. No Form 8-K was filed though. Again, it was six days before Musk or Tesla provided any clarification or additional explanation for his statements on August 7.

The SEC Settlement and Ongoing Fallout

The ultimate fallout from Musk’s brief foray into a possible going private transaction is still ongoing:

• Class action lawsuits are still pending.
• The Department of Justice is still investigating Musk’s tweets.
• Significant investors are engaging with Tesla requesting changes to the board of directors (and other corporate governance practices).

Musk doesn’t seem to be fazed by any of this, and could do something tomorrow that turns this all on its head again. But the SEC settlement with Musk has now been approved by the Southern District of New York, and Tesla has settled separately with the SEC without a formal enforcement action. The terms of the settlements bring us full circle to where the year started, with the recognition that Tesla was facing an increasing battle between responsible corporate governance and Elon Musk’s persona. Tesla lost this round. If the added disclosure controls and expanded board continues losing battles, well, who knows? There is always Teslaquilla (or maybe not )!

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The Role of Ethics in Corporate Governance [+ Case Study]

Welcome to our comprehensive guide on the crucial role of  ethics in corporate governance . In the dynamic and complex landscape of business, ethics play a pivotal role in governing operations and ensuring the integrity and trustworthiness of organizations.

When it comes to corporate governance, ethics encompass the principles and values that guide decision-making processes and practices. It is imperative to understand the place of  ethics in corporate governance  and the significant impact they have on the overall success and reputation of businesses.

In this article, we will explore the  importance of ethics in corporate governance  and its profound influence on transparency, accountability, finance, banking, accounting, and even the global business environment. We will also discuss the role of a  code of ethics in corporate governance  and strategies for addressing ethics violations.

By delving into these topics, we aim to provide you with valuable insights into the integration of ethics into corporate decision-making processes and maintaining the highest standards of integrity in today’s business landscape.

Understanding Corporate Governance and Ethics

Ethics in corporate governance refers to the system of moral principles and values that guides the behavior of an organization and its decision-making processes.

It encompasses the responsibilities of organizational leaders to make choices that are not only legal but also right in terms of societal and stakeholder expectations

The Relationship Between Corporate Governance and Ethics

In business, corporate governance serves as a set of principles that guides the behavior and actions of individuals involved in the decision-making processes.

It involves establishing structures, policies, and procedures that promote ethical conduct and protect the interests of stakeholders.

The role of ethics in corporate governance  is fundamental, as it dictates the moral compass by which organizations operate. Ethical considerations provide the foundation for responsible decision-making, fostering an environment of integrity, trust, and transparency. 

Corporate governance and ethics in business  are inseparable, as they ensure that organizations are not only focused on maximizing profits but also on creating long-term value for all stakeholders.

How to Integrate Ethics into Corporate Governance

Integrating ethics into corporate governance requires a comprehensive approach that encompasses all levels of an organization.

Ethical guidelines and codes of conduct must be established to outline the expected behavior of individuals within the company.

Regular training and communication initiatives are also vital to promote ethical awareness and understanding.

Achieving effective  corporate governance in ethics  requires accountability and oversight mechanisms to ensure compliance with ethical standards.

Boards of directors play a crucial role in upholding ethical principles, setting the tone from the top and overseeing the implementation of ethical practices throughout the organization.

The Benefits of Ethical Corporate Governance

When ethics and corporate governance align, organizations experience numerous benefits. Not only does ethical corporate governance promote public trust and reputation, but it also attracts and retains top talent by creating a positive organizational culture.

Moreover, ethical decision-making contributes to sustainable growth, as companies that prioritize ethical practices are more likely to maintain long-term success and weather crises.

By prioritizing  the role of ethics in corporate governance  and integrating ethical considerations into decision-making processes, businesses can demonstrate their commitment to responsible conduct, build stakeholder trust, and contribute to a more sustainable and ethical business environment.

Ethical behavior guides decision-making processes, ensuring that actions align with organizational values and principles.

 It creates a framework for responsible conduct, protecting against fraudulent practices and unethical behavior that could harm the company and its stakeholders.

Organizations that prioritize  business ethics in corporate governance  gain a competitive advantage in the marketplace.

By embracing and promoting ethical behavior, companies demonstrate their commitment to doing business in a responsible and sustainable manner, positively influencing public perception and attracting like-minded stakeholders.

“Business ethics is not a mere buzzword – it is the foundation of a strong corporate governance framework that ensures long-term success and a positive impact on society.”

Overall, the  importance of business ethics in corporate governance  is undeniable. It goes beyond legal compliance and encompasses fostering a culture of integrity and ethical behavior throughout the organization. 

By embracing and prioritizing business ethics, companies can build trust, improve stakeholder relationships, and enhance their long-term sustainability in a dynamic and competitive business environment.

The Role of Ethics in Ensuring Transparency and Accountability

Transparency and accountability are crucial elements of effective corporate governance. They promote trust, integrity, and responsible decision-making within organizations. Adopting ethical practices plays a vital role in safeguarding these principles and ensuring that businesses operate ethically and responsibly.

Ethics serve as a guiding framework for corporate governance, helping organizations establish transparent communication channels and accountability mechanisms.

By adhering to ethical standards, companies can maintain open lines of communication with stakeholders, providing them with accurate and timely information about the organization’s performance, goals, and values.

Ethical practices also contribute to accountability within corporate governance. When ethical guidelines are firmly ingrained in an organization’s culture, employees are more likely to take personal responsibility for their actions and decisions.

Ethical conduct establishes clear expectations and norms for behavior, encouraging individuals to act in an accountable manner.

The Limitations of Corporate Governance in Incorporating Ethical Values

While corporate governance plays a central role in shaping an organization’s ethical practices, it is not without limitations.

Corporate governance frameworks often prioritize financial performance and shareholder value, sometimes neglecting the broader ethical implications of business decisions. This narrow focus can create a gap between corporate governance practices and ethical considerations.

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Another limitation is the potential for conflicts of interest. In some cases, corporate governance structures may be influenced by individuals with their own personal agendas, which can compromise ethical decision-making processes.

It is crucial for organizations to establish checks and balances to mitigate these conflicts and ensure that the interests of all stakeholders are prioritized.

Ethics in Finance and Corporate Governance

When it comes to corporate governance, the integration of ethics and finance is crucial for the long-term success of an organization. 

Ethics in finance and corporate governance  refer to the principles and standards that guide financial decision-making while ensuring accountability and transparency.

However, the neglect of ethical considerations in financial decision-making can lead to significant challenges for investors and stakeholders.

One of the main problems that investors face in corporate governance and ethics is the potential for unethical behavior within financial institutions.

The lack of ethical guidelines and oversight can result in actions that prioritize short-term gains over long-term value creation.

This can include misleading financial reporting, insider trading, and excessive risk-taking, all of which can detrimentally impact investors’ interests.

Additionally, the absence of  ethics in finance and corporate governance  can erode trust between investors and companies.

When ethical considerations are disregarded, investors may question the integrity of the decision-making process and hesitate to invest their capital. 

This lack of trust can have far-reaching consequences, including reduced market confidence and limited access to capital.

To address these challenges, it is essential for organizations to prioritize  ethics in finance and corporate governance . 

This can be achieved by adopting robust ethical frameworks, implementing effective internal controls, and promoting a culture of accountability and transparency. 

By integrating ethics into financial decision-making processes, companies can safeguard investor interests, build trust, and enhance long-term value creation.

By addressing these challenges and placing ethics at the forefront of finance and corporate governance, organizations can inspire investor confidence, attract capital, and contribute to the overall integrity and sustainability of the business ecosystem.

Ethics and Corporate Governance in the Banking Industry

When it comes to ethics and corporate governance, the banking industry faces unique challenges that require careful consideration and adherence to ethical standards.

As banks play a crucial role in the economy by managing financial transactions and providing essential services, maintaining ethical practices is of utmost importance to ensure trust, integrity, and stability in the financial system.

The Ethical Challenges in the Banking Industry

The banking industry operates in a complex environment with various stakeholders, including customers, employees, shareholders, and regulatory bodies. This complexity gives rise to several ethical challenges that banks must navigate:

• Conflicts of interest:  Banks often face conflicts of interest when dealing with clients, shareholders, and their own financial interests. Managing these conflicts ethically is vital to avoid compromising the interests of stakeholders.
• Transparency and accountability:  Banks must strive to maintain transparency and accountability in their operations and reporting practices. Ethical behavior ensures that all stakeholders have access to accurate and timely information.
• Risk management:  Ethical considerations play a significant role in risk management within the banking industry. Banks must balance the pursuit of profit with the responsibility to manage risks ethically and safeguard the financial well-being of their customers and investors.

Maintaining Ethical Standards

To address these ethical challenges, banks need to establish robust corporate governance frameworks that prioritize ethics and integrity. This includes:

• Developing a strong ethical culture:  Banks must foster an ethical culture throughout their organization, starting from the top leadership down to every employee. Clear ethical guidelines and regular training programs are essential to promote ethical behavior.
• Implementing effective risk management:  Banks should have comprehensive risk management systems in place that identify, assess, and mitigate potential ethical risks. This ensures that ethical considerations are integrated into decision-making processes.
• Engaging stakeholders:  Banks should actively engage with stakeholders to understand their expectations and concerns. This includes maintaining open lines of communication and soliciting feedback to address governance issues effectively.

Case Study: Wells Fargo’s Ethical Crisis

In 2016, Wells Fargo was embroiled in one of the most significant ethical crises in the banking industry when it was revealed that employees had opened millions of unauthorized customer accounts.

This unethical practice was driven by an aggressive sales culture that incentivized employees to meet unrealistic sales targets, often at the expense of customer interests.

As a result, employees created fake email addresses and forged customer signatures to set up new accounts and generate fees.

The scandal came to light through a series of investigations that unveiled systemic failures in corporate governance, including a lack of oversight from senior management and inadequate internal controls.

This failure not only breached ethical standards but also violated legal frameworks, leading to fines and penalties for Wells Fargo.

The U.S. Consumer Financial Protection Bureau (CFPB), along with other regulatory bodies, fined the bank $185 million, reflecting the severity of the misconduct.

Following the crisis, Wells Fargo took several remedial actions to restore its reputation and realign its operations with ethical standards.

This included overhauling its sales practices, eliminating sales goals for retail bankers, and implementing a new system for whistleblowers to report unethical activities safely.

The bank also made changes at the executive level, signaling a commitment to ethical reform by appointing new leadership and enhancing board oversight.

Despite these efforts, the scandal had far-reaching consequences, damaging customer trust and leading to a broader industry-wide examination of sales practices in banking.

The Wells Fargo case serves as a stark reminder of the critical importance of ethics in corporate governance. It underscores the need for organizations to foster a culture of integrity and transparency and to establish robust mechanisms that prevent, detect, and address ethical violations effectively.

The Code of Ethics in Corporate Governance

Corporate governance is essential for maintaining integrity and ethical standards within organizations. A crucial component of corporate governance is the establishment and implementation of a  code of ethics . 

This code serves as a guiding framework that outlines the expected behaviors and principles that all employees and stakeholders should adhere to.

A well-developed  code of ethics in corporate governance  helps foster a culture of transparency, trust, and accountability. It provides employees with clear guidelines and expectations, ensuring that ethical decision-making is prioritized in all aspects of business operations.

Some key elements typically addressed in a  code of ethics in corporate governance  include:

• Integrity and honesty: Upholding high ethical standards and acting with honesty and integrity in all business interactions and transactions.
• Conflicts of interest: Recognizing and managing conflicts of interest to ensure that personal interests do not compromise professional judgment.
• Compliance with laws and regulations: Adhering to all applicable laws, regulations, and industry standards.
• Fair competition: Engaging in fair competition and avoiding practices that could result in antitrust violations.
• Confidentiality: Respecting and safeguarding confidential information, both internally and externally.
• Respect and diversity: Treating all individuals with respect, valuing diversity, and promoting an inclusive work environment.

“A code of ethics is not just a piece of paper; it sets the tone for the entire organization and shapes its culture.”

Having a well-communicated and regularly reinforced code of ethics is essential for maintaining trust and credibility among stakeholders, including employees, customers, investors, and the wider community.

It demonstrates a commitment to ethical conduct and helps organizations navigate complex ethical dilemmas.

Corporate Governance Ethics in the Global Business Environment

In the increasingly interconnected and complex global business environment, the ethical practices of corporations play a crucial role in maintaining effective corporate governance.

With multinational companies operating in diverse cultural and regulatory contexts, the integration of ethics into corporate governance becomes paramount for long-term success and sustainability.

When multinational corporations prioritize corporate governance ethics in their global operations, they demonstrate their commitment to responsible and ethical decision-making.

By adhering to high ethical standards, these companies foster trust among stakeholders, including shareholders, employees, and customers.

One of the key challenges that organizations face in promoting corporate governance ethics in a global business environment is navigating the differences in cultural values and legal frameworks.

What may be considered ethically acceptable in one country may be viewed as unethical in another. Therefore, multinational corporations must be mindful of the cultural nuances and legal requirements of the countries in which they operate.

Furthermore, multinational corporations must prioritize ethical behavior not only within their own operations but also among their suppliers, partners, and stakeholders throughout the global supply chain.

This commitment to ethical practices in the global business environment helps prevent unethical practices such as corruption, human rights abuses, and environmental degradation.

To emphasize the importance of corporate governance ethics in the global business environment, the following table highlights the key factors and their impact:

By prioritizing corporate governance ethics in the global business environment, multinational corporations can contribute to the development of sustainable and resilient economies that benefit both societies and shareholders.

Addressing Ethics Violations in Corporate Governance

When ethics violations occur in corporate governance, the consequences can be far-reaching, impacting not only the reputation of the company but also its stakeholders and the overall integrity of the business ecosystem.

It is crucial for organizations to address and rectify such violations promptly to restore trust and maintain ethical standards.

Effective strategies for addressing  ethics violations in corporate governance  involve a multi-faceted approach that encompasses prevention, detection, investigation, and remediation.

The following steps can help organizations navigate the challenges posed by ethics violations:

• Develop and enforce a robust code of ethics:  A well-defined and comprehensive code of ethics serves as a guiding framework for ethical behavior and decision-making. Organizations should clearly communicate their expectations and ensure compliance through regular training, monitoring, and enforcement mechanisms.
• Establish an independent and effective ethics reporting mechanism:  Whistleblower hotlines and reporting systems provide avenues for employees and stakeholders to report potential ethics violations confidentially and without fear of retaliation. These channels should be readily accessible and supported by a culture that encourages ethical reporting.
• Conduct thorough investigations and implement appropriate disciplinary actions:  When ethical misconduct is reported, organizations must conduct timely and impartial investigations. This process should be carried out by an independent team or external experts. If violations are substantiated, appropriate disciplinary actions, such as employee reprimands, suspensions, or terminations, should be taken to reinforce the seriousness of ethical breaches.
• Strengthen internal controls and risk management systems:  Robust internal controls and risk management frameworks help identify and mitigate the potential for ethics violations. These mechanisms should encompass regular audits, risk assessments, and compliance monitoring to ensure adherence to ethical guidelines.
• Cultivate a strong ethical culture:  A culture of ethics starts at the top with leaders who demonstrate and prioritize ethical behavior. Organizations should promote ethical values and integrity through training, communication, recognition of ethical conduct, and aligning performance evaluations with ethical standards.

By proactively addressing  ethics violations in corporate governance , organizations can foster a culture of trust, accountability, and transparency. This, in turn, enhances stakeholder confidence , protects reputations, and contributes to sustainable business success.

“Ethics is not just about avoiding wrongdoing; it’s about doing what is right, even when no one is watching.”—Aldo Leopold

The Triple Bottom Line: Ethics and Corporate Governance

Corporate governance is not solely concerned with financial performance and shareholder value. In recent years, a broader perspective called the triple bottom line has emerged, emphasizing the interconnection between social, environmental, and financial sustainability. 

In this context, ethics in corporate governance play a crucial role in ensuring responsible and sustainable business practices.

When we examine the triple bottom line, we can see how ethics weave into each dimension:

• Social sustainability:  Ethics in corporate governance drive organizations to consider the well-being of their employees, customers, and communities. It includes fair labor practices, diversity and inclusion, and responsible marketing. By prioritizing social sustainability , companies build trust and foster positive relationships with their stakeholders.
• Environmental sustainability:  Ethics in corporate governance involve responsible resource management, waste reduction, and minimizing the organization’s ecological footprint. By integrating environmental ethics into decision-making processes, companies contribute to a sustainable and resilient future, mitigating the negative impact of their operations on the environment.
• Financial sustainability:  Ethical considerations in corporate governance play a vital role in long-term financial success. By practicing transparency, accountability, and integrity, companies maintain the trust and confidence of investors, attract sustainable capital, and foster long-term profitability.

Measures that include corporate ethics and governance ensure that organizations navigate the complexities of the triple bottom line effectively. By embedding ethics into the governance framework, companies can align their values with their business strategies and enhance overall sustainability.

What is the place of ethics in corporate governance?

Ethics play a crucial role in corporate governance by guiding decision-making processes and ensuring the integrity and trustworthiness of business operations.

What is the role of ethics in corporate governance?

Ethics influence the practices and processes of corporate governance, helping to establish transparency, accountability, and responsible behavior within organizations.

Why is ethics important in corporate governance?

Upholding business ethics in corporate governance is essential for maintaining a positive reputation, fostering stakeholder trust, and achieving long-term organizational success.

What is the relationship between ethics, finance, and corporate governance?

Ethical considerations are crucial in financial decision-making within corporate governance. Overlooking ethics can lead to problems such as conflicts of interest, insider trading, and unethical financial practices.

How are ethics integrated into corporate governance in the global business environment?

In a global business context, ethics in corporate governance are vital for multinational corporations to navigate diverse cultural norms, regulatory frameworks, and stakeholder expectations.

How should ethics violations in corporate governance be addressed?

Ethics violations in corporate governance should be taken seriously and addressed through effective policies, mechanisms for reporting misconduct, and appropriate consequences for wrongdoing.

In summary, ethics play a vital role in corporate governance, ensuring integrity, transparency, and accountability within organizations. Upholding business ethics is essential for building trust among stakeholders and maintaining a positive reputation.

Integrating ethics into decision-making processes is a corporate governance best practice that fosters responsible and sustainable business practices. It promotes a culture of professionalism, fairness, and respect, which ultimately contributes to the overall success of an organization.

By recognizing the  importance of ethics in corporate governance , businesses can navigate the complexities of the global business environment while upholding ethical standards.

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Case Studies of Good Corporate Governance

This second fully revised edition of "Case Studies of Good Corporate Governance Practices" presents the experiences of a set of leading companies in Latin America in reforming and improving how their firms are governed, and the results these changes have achieved. Each chapter's contents reflect the views of one company's management and directors of the motivations, challenges, solutions and rewards for devising and putting in place better governance rules and practices.

The full publication download also includes the case studies translated into Spanish and Portuguese.  

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ESG Case Studies

The esg initiative at the wharton school, the environmental, social and governance initiative seeks to advance academic research on esg topics. , we drive innovative research in the field of esg to investigate when, where, and how esg factors impact business value., esg integration in finance, esg integration in strategy, esg and organizational change.

Parnassus Investments and Wells Fargo & Co.: Balancing Morals, Metrics and Materiality

A look at the efforts of Ben Allen, CEO of Parnassus, to invest in Wells Fargo while advancing the financial welfare of the firm’s investors and the ESG values so important to many of them and to the staff of the firm.

Engine No. 1: An ESG Upstart Challenges Fund-Industry Assumptions About Organizing An ETF and Everyone’s Assumptions About Proxy Fights

A look into Engine No. 1’s efforts to combine a new ETF that both met a need in the market for active ownership and satisfied gatekeepers with a hedge fund that occasionally pursued activist campaigns needing the support of the Big Three to succeed.

Striking a Balance Between Valuation and Values: Investment Managers Weigh Whether Investments in a Major Oil Company and an Ethanol Producer Serve their Dual Mandate

A look at the decisions Michelle Dunstan and Jeremy Taylor, co-managers of the Alliance Bernstein Global ESG Improvers Strategy, had to make in their effort to buy stocks they believed had the best chance to deliver excellent long-term financial results and improve their ESG performance.

Calculating the Net Present Value of Sustainability Initiatives at Newmont’s Ahafo Mine in Ghana

This case study examines the value and strategy of estimating the net present value of sustainability at Newmont’s Ahafo Mine in Ghana.

Choppies’ Waters: Retailing in Botswana and Sub-Saharan Africa

This case study looks at the impact of Choppies, under the guidance of CEO  Ramachandran (“Ram”) Ottapathu, on Botswana and Sub-Saharan Africa.

Designing and Implementing an Integrated Project Management System at Minas-Rio

This case study examines the design and implementation of an Integrated Project Management System to achieve the ultimate goal of First Ore on Ship (FOOS) by November 30, 2014, by Paulo Castellari, CEO of the Anglo American subsidiary Iron Ore Brazil.

Glenmede: How to Credibly Bring an ESG Lens to Investing and Secure Buy-in from Analysts and Clients

A look at Amy Wilson’s efforts to direct ESG investing within the Glenmede Investment Firm credibly and effectively.

Abraaj Group’s Integration of ESG Policies into the Turnaround of K-Electric

This case study explores the efficacy of the Abraaj Group’s strategy in changing the K-Electric company’s direction, with the aim of transforming it into a sustainable, growth-oriented, private sector utility.

Kerovka simulation

The Kerovka simulation is a highly innovative software tool that is used as part of an organised workshop, either in a classroom or in remote format, to deliver an intense experience that helps participants with a wide variety of experience levels to develop skills for dealing with challenges such as managing crisis scenarios, and leading responsibly & sustainably.

About the Environmental, Social and Governance Initiative

The Environmental, Social and Governance Initiative conducts academically rigorous and practically relevant research with industry partners and across all Wharton departments that investigates when, where, and how ESG factors impact business value. Informed by research, we offer 30+ courses that MBA and undergraduate students can assemble into a major or concentration, over a dozen co-curricular experiences, and three Executive certificate programs. Led by Vice Dean Witold Henisz, the ESG Initiative advances Wharton’s best-in-class education of current and future leaders, enabling them to serve a world undergoing tremendous change.

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Governance issues - case studies

Mirova: Using the SDGs to accelerate sustainable economic transformation

2023-06-05T10:43:00+01:00

SDG outcomes case study

MPower Partners: Supporting start-ups in their ESG journey

2022-09-20T16:05:00+01:00

MPower explains its approach to integrating ESG factors in different stages of the investment process.

Sofinnova Partners: Our evolving ESG philosophy as an early-stage venture capital investor

2022-07-04T14:00:00+01:00

Sofinnova Partners on why and how it assesses the ESG maturity of its companies at each phase of their development.

Southern Asset Management: fixed income engagement in the Chinese context

2022-05-25T01:00:00+01:00

Case study by Southern Asset Management (SAM)

Manulife Investment Management: enhancing gender diversity in Chinese holdings

Case study by Manulife Investment Management

Harvest Fund Management: Exercising stewardship to drive transitions towards carbon neutrality

Case study by Harvest Fund Management

Fidelity International: Early-stage stewardship in the Chinese market

Case study by Fidelity International

E Fund Management: improving corporate governance in China through engagement

Case study by E Fund

ChinaAMC: Improving ESG performance via engagement

Case study by ChinaAMC

BPEA: Driving solutions to plastic issues in the Chinese market

Case study by BPEA

BlackRock: addressing ESG risks in China’s energy sector

Case study by BlackRock

Wafra: Taking a holistic approach to ESG diligence in venture capital

2022-04-13T06:00:00+01:00

Wafra Inc. discusses its practical approach to ESG integration, which focuses on financially or operationally material issues.

Fin Capital: ESG incorporation in venture capital investment

Fin Capital on why ESG metrics are as important as financial measurements and how it works with companies to close any identified gaps.

Openspace Ventures: ESG value creation work at start-ups

Openspace Ventures on how it works with companies to create long-term value creation strategies that can scale sustainable businesses.

Engagement International: Addressing responsible tax

2021-10-20T07:56:00+01:00

Engagement International helps institutional investors act as active responsible owners through corporate engagement.

Corporate Governance 2020 Annual Study – performance of Latin American companies

2020-11-01T06:00:00+00:00

Case study by GovernArt and Vigeo Eiris Chile SpA

The importance of corporate governance in strategic asset allocation

2020-08-13T10:24:00+01:00

Case study by Aberdeen Standard Investments (ASI)

Engaging on corporate public policy lobbying

2019-09-30T15:01:00+01:00

As a long-term shareholder of publicly traded companies, Boston Trust Walden has worked to strengthen company policies, practices and transparency on key environmental, social and governance (ESG) issues through active ownership.

Case study: seeking clarity on third-party lobbying practices

2018-05-30T16:37:00+01:00

Case study by LGS

Case study: focusing on the climate lobbying practices of Swedish companies

2018-05-30T16:30:00+01:00

Case study by Öhman

Case study: understanding lobbying practices as part of carbon risk management

2018-05-30T16:26:00+01:00

Case study by GES International

Case study: Putting the spotlight on corporate climate lobbying

2018-05-30T16:18:00+01:00

Case study by AP7

Climate lobbying case study: ExxonMobil - perspective from Walden Asset Management

2018-05-30T15:07:00+01:00

Case study by Walden Asset Management

Engaging with companies on anti-corruption

2013-09-01T16:54:00+01:00

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Assessment of Good Governance Practices In Southern Philippines

2019, International Journal of Arts, Humanities, and Management Studies

Good governance promotes the collective responsibility of the government, civil society and private sector for improving the lives of all citizens, particularly the poor. In this study, 95 registered voters of North Poblacion, Maramag, Bukidnon were interviewed using a researcher-made questionnaire to assess the good governance practices of the barangay officials in terms transparency, participation, accountability, rule of law, leadership, continuity in the implementation of programs, predictability and sustainability. Results show that the voters perceived that the six key indicators of good governance practices are possessed by incumbent local political leaders, however they are weakly implemented. This implies that there is a flow and accessibility of information between the local barangay council and the albeit it needs to be strengthened. The respondents also gave suggestions on how to improve good governance practices for future local government leaders.

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DR. DAVID C . BUENO

The creation of the Local Government Code of the Philippines envisioned a self-reliant community that contributes to national development. This study was focused on the assessment on local governance of the barangays of Olongapo city as viewed by the barangay council members including the barangay secretaries and the barangay treasurer based on accountability, direction, fairness, legitimacy and voice, and performance. It utilized the descriptive type of research. The data gathered were recorded, tabulated, and analyzed by means of Percentage, Mean and ANOVA. The findings revealed that the public officials in a metropolitan setting, regardless of age, gender, educational attainment, and civil status as well as population size, they are serving, they are visionary leaders. It means, they are in providing strategic directions to their constituents. They have strategic vision to the community. Moreover, they always have in mind, the principle of good governance being accountable and transparent in every transactions in the government service. Thus, fairness as evidenced by equity, and rule of law, is excellently portrayed and provided among constituents. The presence of congruency in governing the various barangays in the metropolitan area, still needs some enrichments in areas of performance to include responsiveness, effectiveness and efficiency, and legitimacy and voice such as on participation, consensus orientation.

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Research and Statistics Center

There is a large body of literature that studies the link between good governance and development in a country level. However, only a few have exploited the same study in the local government unit (LGU) setting. This study attempts to establish the relationship between the quality of governance and the state of local development of the Top 9 Performing LGUs in the Philippines (La Union, Albay, Cavite, Ilocos Norte, Makati City Valenzuela City, Taguig City, Davao City and Angeles City) as measured by the Local Governance Performance Management System (LGPMS), the nationwide governance performance evaluation and management tool used in the Philippines. I used the data generated by the LGPMS, particularly the state of local governance and the state of local development, to see if there is a relationship between the two variables using Spearman's correlation coefficient. Results revealed that that there is no relationship between the quality of governance and the state of local development in the consistently top performing LGUs in the Philippines for the period 2009-2011. The findings of this study will be useful to government officials such as public administrators, LGU executives, policy makers, researchers, and students of public administration in addressing the issue of good governance and local development in their respective LGUs.

Filbert Anthony B Mejorada

Marecon Viray

Governance has been defined as “the manner in which power is exercised in the management of the country’s economic and social resources for development”. However, governance is not simply about how government conducts business in its own sphere. It is also about how government interacts with civil society. It tells how well government has encouraged and facilitated people’s participation not only in the delivery of services but also in evaluation and monitoring of government performance itself. In spite of technological advancement in information systems, people remain the most important factor in private and public organization. None of these techniques or management methods is effective unless they are administered and carried out by competent Barangay officials. Considering the importance of human power development, The City Government of Bayugan, Agusan del Sur conducted training programs, leadership seminars, and other Seminar-Workshop to fully reach the competence of leadershi...

Aser Javier

A set of enduring requirements for good governance has surfaced again for both the public and private sectors in the 21 st century in developing

International Journal of Social Quality

alex brillantes

Almer Czarina Ravina

This study was conducted to evaluate the good governance and corporate responsibility practices of local government officials in Malaybalay City, Bukidnon. The study was limited only to 5 barangays in Malaybalay City, specifically barangay 1, 3, 5, Aglayan, and Cabangahan. A purposive sampling technique was utilized in obtaining participants that fit the criteria for the study. The data was gathered through a set of structured questionnaires, the questionnaires are composed of the respondent’s personal information and the basic services and facilities namely: legislation, transparency, human resource management and development, record and property management, the functionality of the barangay peace and order committee, development planning, revenue generation, revenue allocation and utilization, financial accountability, facilities and customer service, social services, education, culture, and sports, barangay disaster risk reduction management, agriculture and fisheries development, and environmental management. Results showed that all of the basic services and facilities gathered a total mean of 4.78 which indicated a Very Satisfactory rating. The results showed that the majority of Malaybalay City's selected barangays were able to provide very satisfactory public service in their respective barangays, enabling them to handle all of the roles and responsibilities that would have a greater impact on local governance and community development. Keywords: Governance, Corporate Responsibility, Services, Facilities

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Governance of dual practice in the public and private health sectors

Dual practice, the combination of public and private practice in the same or different sites, is ubiquitous in most national health systems. Within the literature, there has been more focus on the dual practice of physicians and specialists, although nurses, midwives and other health workers also engage in the practice. The adverse consequences of dual practice for universal health care vary by context, and evidence is largely descriptive and fails to quantify and analyse its effects. Governance response also remains inherently contextual and varies by level of implementation intensity and capacity. Overall, the effects of different governance tools in response to dual practice remain unexplored in the literature. Studies do not elicit much insight into the process of policy reform in response to dual practice.

Cybersecurity Governance: Case Study and Best Practices

• July 23, 2024

• Sourabh Hajela
• Executive Editor - CIO Strategies

This case study on cybersecurity governance presents a strategic approach to managing cybersecurity across government, public, and private sectors. It offers actionable insights on leadership, policy implementation, risk management, incident response, information sharing, and workforce education.

Cybersecurity governance is a critical aspect of any organization's risk management strategy. It provides a structured approach to identifying, assessing, and mitigating cyber threats, ensuring the confidentiality, integrity, and availability of sensitive information.

Organizations are increasingly reliant on technology and interconnected systems, making them vulnerable to cyberattacks. The consequences of a breach can be severe, ranging from financial losses and reputational damage to legal liabilities and operational disruptions. The ever-evolving threat landscape, coupled with the complexity of modern IT environments, makes it challenging for organizations to keep pace with emerging risks.

The absence of a robust cybersecurity governance framework can exacerbate these challenges. Without clear policies, procedures, and accountability measures, organizations may struggle to effectively manage cyber risks, leaving them exposed to potential breaches. Moreover, a lack of awareness and understanding of cybersecurity threats among employees can further increase vulnerabilities.

The potential impact of inadequate cybersecurity governance is not limited to individual organizations. A single breach can have a ripple effect, disrupting supply chains, compromising customer data, and eroding trust in digital systems. In a world where cyber threats are constantly evolving and becoming more sophisticated, the need for effective governance has never been greater.

A well-defined cybersecurity governance framework can provide a roadmap for organizations to navigate the complex world of cyber risks. By establishing clear roles and responsibilities, implementing comprehensive policies and procedures, and fostering a culture of security awareness, organizations can significantly enhance their resilience to cyber threats. Additionally, regular risk assessments, incident response planning, and continuous monitoring can help identify and address vulnerabilities before they are exploited.

Cybersecurity governance is not a one-time fix but an ongoing process that requires continuous adaptation and improvement. By investing in a robust governance framework, organizations can not only protect themselves from cyber threats but also gain a competitive advantage in the digital age. A strong cybersecurity posture can enhance customer trust, improve operational efficiency, and contribute to long-term business success.

The cybersecurity case study presents a solution by detailing a successful model of cybersecurity governance. By establishing a centralized cybersecurity body, organizations can ensure consistent and coordinated efforts across all departments and sectors. Leadership plays a pivotal role in this model, with top executives actively involved in setting priorities and allocating resources. Comprehensive policies and standards are developed to guide cybersecurity initiatives, while cross-organizational committees facilitate collaboration and information sharing. Risk management practices are standardized, and robust incident response plans are implemented to handle threats effectively. Workforce education and training programs are also emphasized to build a capable and informed cybersecurity team.

Main Contents

• Leadership and Governance Structure: Emphasizes the role of leadership in prioritizing cybersecurity and establishes a centralized governance structure for consistent efforts across the organization.
• Comprehensive Policies and Procedures: Outlines the development and implementation of comprehensive cybersecurity policies and standards to guide initiatives and ensure alignment with organizational goals.
• Cross-Organizational Coordination: Details the formation of cross-functional committees to facilitate collaboration and communication between various departments and sectors.
• Risk Management and Incident Response: Highlights standardized risk management practices and the implementation of robust incident response plans to effectively address and mitigate cybersecurity threats.
• Workforce Education and Training: Emphasis is placed on the importance of ongoing education and training programs to build a capable and informed cybersecurity workforce.

Key Takeaways

• Prioritize Leadership Involvement: Active involvement of top executives in cybersecurity initiatives is crucial for setting priorities and allocating resources effectively.
• Develop and Enforce Comprehensive Policies: Implementing detailed cybersecurity policies and standards ensures consistent and proactive approaches to managing threats.
• Facilitate Cross-Organizational Collaboration: Establishing cross-functional committees enhances coordination and communication, leading to more effective cybersecurity governance.
• Standardize Risk Management Practices: Regular risk assessments, vulnerability testing, and compliance audits are essential for identifying and mitigating potential threats.
• Invest in Workforce Education: Ongoing training and education programs are vital for building a skilled and knowledgeable cybersecurity team capable of responding to evolving threats.

Effective cybersecurity governance is critical for CIOs and IT leaders who are tasked with safeguarding their organizations against an ever-evolving landscape of cyber threats. By leveraging the insights and strategies outlined in the cybersecurity governance case study and best practices, these leaders can address a range of challenges and enhance their organization’s cybersecurity posture.

• Establishing Leadership Commitment: By emphasizing the role of top executives in prioritizing cybersecurity, CIOs can advocate for greater involvement and support from the organization's leadership, ensuring that cybersecurity initiatives receive the necessary resources and attention.
• Developing Comprehensive Policies: The case study provides a framework for creating and enforcing detailed cybersecurity policies and procedures. CIOs and IT leaders can use this to guide the development of robust policies that align with their organization’s goals and regulatory requirements.
• Facilitating Cross-Departmental Collaboration: CIOs can implement the cross-functional committee structures described in the document to enhance coordination and communication between various departments. This ensures a unified approach to cybersecurity across the organization.
• Enhancing Risk Management Practices: The standardized risk management practices highlighted in the case study can be adopted to conduct regular risk assessments and vulnerability tests, helping CIOs to proactively identify and mitigate potential threats.
• Investing in Workforce Development: By following the document’s emphasis on workforce education and training, CIOs can implement ongoing training programs to build a skilled cybersecurity team, capable of handling current and future threats.

Don’t Miss These Related References:

• Executive Cybersecurity Handbook: Aligning Strategy, Risk, and Governance
• e-Book: Global Excellence through Effective Project Management (A Comprehensive Best Practices Guide)
• Case Study: Maximizing Efficiency and Innovation through Advanced Automation Strategies
• e-Book: Cybersecurity and the Digital Business [Threats, Impact, Mitigation]
• AI in HR: Enhancing Employee On-boarding with Chatbots [Case Study]

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Digitalizing Smallholder Farmer Agri-Food Supply Chains: A Case Study from a Developing Economy

• Conference paper
• First Online: 07 September 2024
• Cite this conference paper

• W. Madushan Fernando   ORCID: orcid.org/0000-0003-4505-980X 19 , 20 ,
• Amila Thibbotuwawa   ORCID: orcid.org/0000-0002-5443-8839 20 ,
• R. M. Chandima Ratnayake   ORCID: orcid.org/0000-0003-2222-8199 19 &
• H. Niles Perera   ORCID: orcid.org/0000-0001-6329-5967 20  

Part of the book series: IFIP Advances in Information and Communication Technology ((IFIPAICT,volume 731))

Included in the following conference series:

• IFIP International Conference on Advances in Production Management Systems

Smallholder farming is critical to ensuring food security and alleviating rural poverty. Poor agricultural practices, supply chain inefficiencies, weather challenges, and market disruptions all diminish productivity in this sector. As modern technology and digitalization reshape agriculture, there is a significant augmentation of stakeholder connectivity within smallholder farmer Agri-Food Supply Chains (AFSCs). The progress of technology allows smallholder farmers to gain access to high-quality farming inputs while expanding their market reach. While there are proven benefits of digitally transforming smallholder farmer AFSCs, there is still a significant knowledge gap in effectively assessing the potential of digital technologies from a supply chain perspective. As the overall approach in this paper, we used the case study research method along with inductive reasoning. We combined the AHP and Technique for Order Preference by Similarity to Ideal Solution (TOPSIS) methods to include both industry practitioners and academic perspectives in the decision-making process. The process involved using AHP to analyze supply chain inefficiencies, with a focus on their impact on yield, harvest quality, and farmer livelihood, and then using the TOPSIS method to prioritize digital solutions for the chosen case study. The case study revealed that 61% of inefficiencies arose in the early supply chain stages, notably in regulation (28.26%) and farm input supply (33.03%), emphasizing the critical need for prioritizing digital farm record-keeping and registration for improved efficiency. This study emphasizes practical digital solutions for smallholder farming supply chains while integrating industry and academic perspectives, offering a systematic approach to prioritizing interventions.

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Acknowledgment

The authors would like to acknowledge the financial support given by the Norwegian Program for Capacity Development in Higher Education and Research for Development (NORHED II – Project number 68085), the “Politics and Economic Governance” sub-theme, the project “Enhancing Lean Practices in Supply Chains: Digitalization”, which is a collaboration between the University of Stavanger (Norway), ITB (Indonesia), and the University of Moratuwa (Sri Lanka).

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Department of Mechanical and Structural Engineering and Materials Science, University of Stavanger, Stavanger, Norway

W. Madushan Fernando & R. M. Chandima Ratnayake

Center for Supply Chain, Operations, and Logistics Optimization, University of Moratuwa, Katubedda 10400, Moratuwa, Sri Lanka

W. Madushan Fernando, Amila Thibbotuwawa & H. Niles Perera

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Chemnitz University of Technology, Chemnitz, Germany

Matthias Thürer

West Saxon University of Applied Sciences Zwickau, Zwickau, Germany

Ralph Riedel

ZF Friedrichshafen AG, Friedrichshafen, Germany

Gregor von Cieminski

Tecnológico de Monterrey, Mexico City, Mexico

David Romero

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Fernando, W.M., Thibbotuwawa, A., Ratnayake, R.M.C., Perera, H.N. (2024). Digitalizing Smallholder Farmer Agri-Food Supply Chains: A Case Study from a Developing Economy. In: Thürer, M., Riedel, R., von Cieminski, G., Romero, D. (eds) Advances in Production Management Systems. Production Management Systems for Volatile, Uncertain, Complex, and Ambiguous Environments. APMS 2024. IFIP Advances in Information and Communication Technology, vol 731. Springer, Cham. https://doi.org/10.1007/978-3-031-71633-1_12

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Case studies for safe working in general practice

Case study: a realistic rota, how it works.

• We limit consultations to 13 per session. 
• Have a number of appointments that are pre-bookable either by the GP or by patients with different timeframes from when they are available. 
• The duty doctor then calculates how many on the day appointments are available that day.  The duty list is then capped at this number.   
• This includes the duty doctor doing 10 consultations as well as the triage, but these are for simple things like med3s rather than complex care 
• Comments are added to the duty list in the morning of when to move to the pm duty list 
• The pm duty list has a comment adding at what point to turn off online consulting and another comment added, typically about 10 slots further down, stating 'emergencies only discuss with duty doctor prior to booking'.  Typically we have 10-15 of these slots. 
• The 111 list sits separate to this with 2 appts in the morning and 2 in afternoon but the duty doctor will move these to the triage list if they are going to need a consultation so that they are included in the capacity count. 
• When we move over to emergencies only, the telephone message changes to make the patient aware that we only have emergency appointments that day so that they are not on hold for 30+ minutes to be told we have nothing left for that day. 
• We don't hold a waiting list, if we are at the points of emergencies only, the patient doesn't need an emergency appointment and there are no pre-bookable appointments available, the patient has the option to put in an econsult the next day, call for an appointment the next day or if they feel it can't wait contact 111, IUC etc. This is the one bit of our system that I don't like as I would like a solution that doesn't require a patient to call back. The reason we don't add them to the list for the next day is that a sig proportion never call back and we can't fill up the following days capacity as the system fails. 
• We do use apex Edenbridge to monitor our appointments, as I think it would be hard to challenge our approach if we are also demonstrating that we are offering more than the average number of appointments per 1000 patients per week than the other practices in our ICB. 

This has made a huge difference to our clinicians. We spend longer with patients but it is based on a realistic rota which also enables us to do the clinical administrative work and complete all tasks in the allotted time so I no longer work 2 sessions in a day which actually take 11 hours to complete, this use to be the case. 

Case study: Standard and on-call days

Standard gp day.

Morning 

• 12 x 15mins consultations (face-to-face or phone) - split between advance and on-the-day. 
• 2 x 15mins consultations for GPs to book into (eg. Telcon with DN or task necessitating them to initiate call to patient). 

Lunch 

• 1x visit maximum (unless at care home, where may be 2x).

Afternoon 

• 12 x 15mins consultations, as per morning.  

On-call GP day

• As per standard day. 
• As per standard day but ONLY visits if all others have a visit already (duty triages requests). 
• 6x 15mins advance-booked consultations. 
• 3x 15mins 111-bookable slots. 
• Rest of afternoon for admin, answering queries from reception and urgent (EOL/hot kids/DN calls), also reviews and actions any abnormal bloods/urgent scripts coming in after 5pm. 

Case study: Practice example using triage

This practice serves 20,000 patients in a deprived, multi-cultural population using a GP led total clinical triage called CAS (clinical assessment screen) GPs. 

• Patients access appointments via reception, telcon or accuRx. 
• GP appointments default to telephone: 11 telcons and 3 face-to-face per session. If more face-to-face sessions are needed, telcons are blocked.
• Slot types are either red (same day), amber (1 week), amber (2 weeks), or routine.
• AHPs such as ANPs/paramedics/MHP are used for face-to-face appointments only.
• CAS GPs have no booked appointments - they make clinical decisions on RAG rating of clinical triage and use F12 protocol to communicate this. Routine patients may go on a waiting list if there are not enough appointments.
• CAS screen is capped at either 3:30pm or when each CAS GP has clinically triaged 50 patients per session (which may happen earlier at 2pm). When the cap is reached, all on-line access is closed and patients are told it's urgent only, which are first triaged by care navigators and then CAS GP.  
• GPs much happier 
• Continuity much higher 
•  Complaints have gone up as patients don't like waiting when it's not urgent.

Case study: Fully online triage

Breakdown by day .

• 12 patient consultations every 4 hours (counted as one session). 
• Face-to-face majority, couple of phonically, and 2 GP Follow ups (mainly MH and continuity of care). 
• 13-minute appointments.  
• One third protected admin time. 
• 15-minute break per session worked.  

System was fully online triage:  

• initially Egerton and then switch to Accurx
• clinical triage by GP in the morning (previously did two sets of triage, am and pm, but this proved difficult to manage workload and demand, as too open ended and labour intensive in terms of GP time and resource)
• window for online triage forms open from 7.30am to 11.00am - clear communication to patients re timings (used to be open over the weekend and all day, but risky in terms of safety if people ignore the red flags, and demand management)
• closed earlier if capacity reached, or if staff sickness etc.

Capacity is mapped out, and a RAG (Red/Amber/Green) rating approach taken according to clinical prioritisation, patients with specific needs and vulnerabilities have alerts on system:  

• on the day urgent: red
• less urgent but not routine: amber (48 hours)
• routine - next available: green (safe to wait, no clinical urgency). 

Appointments capacity mapped out in terms of:

• clinicians 
• practice - in house 
• enhanced access - GP Fed - on the day evening and any the weekend (routine) 
• PCN: mole clinic, women's health, minor surgery, social prescriber, physio (this is in addition to the city wide FPOC physio)
• straight to physio (FPOC city wide offer) 
• external services eg Pharmacy first, minor ailments.  

We stopped the PCN MHPs, and reverted to direct practice ones as the MH trust offer didn't really address our needs.

Booking of appointments

• Patients are sent booking links to self-book face to face on the day via Accurx (this helps reduce DNAs as patients can pick the most convenient time). 
• Appointments can be booked in via telephone for nurse and bloods/smears etc (helps prevent inappropriate booking). 
• If patients are unable to use online triage, the forms are completed on their behalf by reception or direct booking into an appointment.  

In tandem with the above, we use an Oncall GP:  

• they have a lighter clinic in place, with empty slots for ad hoc queries  
• their capacity would be used only if the on the day capacity had been reached, and for those patients that could not wait  
• they would also deal with urgent docman (usually mental health or safe guarding. cases), third party queries and review urgent bloods that needed to be actioned for those clinicians that were not in  
• the workload of the on call has greatly reduced since the introduction of total triage ( I used to do the Mondays and art times would have 26 urgent consultations in addition to usual workload, from the morning!)
• if the urgent, moderately urgent and routine appointments are all used up patients are either signposted to other services or, if not appropriate, informed that they will be allocated an appointment once this becomes available
• all text messages including failed contacted have safety netting advice included with NHS111 contact information.  

Case study: A new system for patients

This example is from a practice that services 23.5k patients, semi-rural, deprived population with no UCC locally.

We are not quite down to 25 contacts a day yet but at 28 on routine days and 15 per session for on call clinicians (mix of GPs and ANPs).  

Some routine appointments are pre-bookable, some embargoed for on the day use (more embargoed on Mondays). 14 appointments per session, about half face to face although many of us convert telephone/online slots to face-to-face if needed. All appointments are fifteen minutes.

Triage hub 

2-3 clinicians per session in a triage hub with receptionists. 2 clinicians ‘on call’ seeing the urgent face to face appointments booked by the hub clinicians - 15-minute appointments.  

Can flex clinicians if needed to/from triage/on call.  

We switch off incoming electronic forms when the hub clinicians judge that we have no more slots to book into. Usually they go off around three pm but can be earlier or later depending on demand and clinical capacity. Patients can then ring in and will be triaged if emergency/directed to 111 if absolutely no capacity left.  

Recently we’ve changed so that if we are on maximum clinicians off for leave we load more on the day appointments.  

Separate appointments

We have separate twenty-minute appointments for coils, implants, first menopause appointments and joint injections. We have a GP with an hour blocked for visits (and visiting matrons) and one with an hour blocked to deal with the blood results of any clinician not in that day.  

Clinicians are generally happier than when we had unending duty demand. Patients objected at first but now seem to be mostly okay with the system. 

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