Whistleblowing and Sarbanes-Oxley

Assignment 1: Whistleblowing and Sarbanes-Oxley 

Write a two to three (2-3) page paper; does not include cover page and reference page. Refer to APA Manual for guidelines.

  1. Describe the key characteristics of a whistleblower,and briefly summarize one (1) researched instance of whistleblowing in one (1) publicly traded company within the last 12 months. Include the details of the issue that the whistleblower reported and the effect of the whistleblower’s actions on both the whistleblower himself and the company. [Here, you get to set the foundation for the paper up. What is whistleblowing, what are the elements, what does it protect, who does it protect, when are these protections invoked, what are its major provisions a whistleblower and the company should know. Think about it this way, if you were the CEO of a publicly traded company, what would you want to know about these statutes to minimize risk and exposure to your company. Once you show what the key characteristics are, you identify a publicly traded company, which means they are regulated by SOX. Discuss the issues reported by the whistleblower, give whistleblower info where known, what were the facts, what was the impact and effect on the company and the whistleblower (your source used should be properly cited in the body of the paper where this information is presented)]
  2. Decide whether or not the whistleblower was justified in reporting the company’s actions. Provide a rationale for your response. [This will be a law v. ethics response. What was the whistleblower position? What was the employee duty to the company? What was the social harm prevented or caused? Did the law protect the whistleblower or not. Use the cases o support how your decision, how did courts find in other cases, e.g. Gracetti (public employee, not private…if case used, does public v. private make a difference in whether his actions were justified.), and so on.]
  3. Examine the extent to which the whistleblower would be protected under the Sarbanes-Oxley Act. Justify your response. [SOX governs public traded companies…remember the insider trading situation from How to Get Away with Murder, where the agency was going through the companies documents. Well SOX allows the SEC to come in and investigate/audit. When these publicly traded companies are reported against for wrongdoing, e.g. violations of SOX -insider trading, is the whistleblower protected. Explain and show the circumstances for which a whistleblower is protected under SOX. Remember the question ask you to examine.

[Hopefully, the notes above for the Assignment help. Similar to threads, receiving weekly commentary and guidance on how to think about the questions and approach them, is not guaranteed or a part of the curriculum, but courtesy to assist you in getting in the mode and practice of performing with excellence and meeting expectations. Take these things to consider as a guide.]

  1. Use 2 quality resources.  (Cite properly in body of paper where source is used, this includes, explicitly and/or paraphrased.  For substantive and  supportive writing, which should be performed in all academic classes, your thought should accompany a source, as the source is your support. This is the concept behind the questions stating for you to support your rationale, explain, etc. 

Your assignment must follow these formatting requirements:

  • Be typed, double spaced, using Times New Roman font (size 12), with one-inch margins on all sides; citations and references must follow APA or school-specific format. Check with your professor for any additional instructions.
  • Include a cover page containing the title of the assignment, the student’s name, the professor’s name, the course title, and the date. The cover page and the reference page are not included in the required assignment page length.

The specific course learning outcomes associated with this assignment are:

  • Determine the underlying causes for passage of the Sarbanes-Oxley Act and determine protections afforded to whistleblowers.
  • Use technology and information resources to research issues in law, ethics, and corporate governance.
  • Write clearly and concisely about law, ethics, and corporate governance using proper writing mechanics.

Click here to view the grading rubric for this assignment.


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