WHISTLE-BLOWERS AND POST-CONVENTIONAL MORAL DEVELOPMENT: TOWARD IDENTIFYING ETHICAL & MORAL LEADERSHIP by
DAVID J. BAZZETTA
Submitted in partial fulfillment of the requirements for the degree of Doctor of Management in Executive Leadership
Approved by:
WALSH COLLEGE OF ACCOUNTANCY AND BUSINESS ADMINISTRATION March 2015
Copyright © 2015 by David J. Bazzetta All rights reserved
ABSTRACT During the last 40 years, more than a 500,000 individuals from different professions, of various ages, educational backgrounds, and political beliefs have been formally tested and assigned a specific level of cognitive moral development. However, during that time, an assessment of the cognitive moral development and moral reasoning skills of whistle-blowers has never been done. This study used the Defining Issues Test 2 (DIT2) developed by James Rest in 1979 to survey, examine, and measure (1) the level of Cognitive Moral Development (CMD) of whistle-blowers, and (2) the correlation between whistleblowers' moral judgment and their intended moral actions. Additionally, information was gathered from four interviews with a sub-set of whistle-blowers to enhance and enrich the survey results. Contrary to the popular perception of whistle-blowers, and to the expectations of this study, the results suggest that whistle-blowers do not possess high levels of cognitive moral development or superior moral reasoning skills. This study provides the basis to question popular beliefs regarding whistleblowers and creates opportunities for future research about whistle-blowers and cultures within organizations that enable ethical, moral decision-making. Keywords: Whistle-blowers, Cognitive Moral Development, Moral Reasoning
DEDICATION
To my wife Cheryl, whose unconditional love and support continue to provide me with the reasons to be able to claim that each day of my life, is “the best day ever.” To my two intelligent, talented, and beautiful daughters, Sarah and Ashley, who experienced first-hand the impact that a whistle-blowing event has on the family. To my grandchildren Benjamin and Emma, who will always be encouraged to make decisions based on the right thing to do. To those men and women who make decisions to do the right thing despite overwhelming pressure to conform to the status quo, and the possibility of dire personal consequences associated with making a decision to do the right thing. Lastly, this project is dedicated to the continued pursuit of ethical and moral leaders who will develop learning organizations that foster a culture of open, honest communication for all individuals.
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ACKNOWLEDGMENTS
The following individuals deserve special recognition for their efforts to provide guidance, encouragement, and support for this project: Dissertation Committee Members: Dr. Linda Hagan, Dr. Sheila Ronis, and Dr. Marla Scafe, who provided thoughtful direction and encouragement. Lead Advisor and Dissertation Committee Chairperson, Dr. James McHann, whose patience and belief in this study provided me the encouragement to persevere and continue. As a kindred spirit, Jim provided academic guidance, as well as a creative, thoughtful and consistent approach to the research process. Dr. Keith Pretty and Dr. Rod Hewlett were instrumental in helping me get started on this journey. My father John Bazzetta, brothers Rick Bazzetta and Joseph Bazzetta, my sister Lorie McKellar, and my son-in-law Dr. Ryan Pettengill. Friends and colleagues, Bill Wehrle, Joel Johnson, Bill Gossett, John Walch, Jimmie D’Alessio, Cassandra Blandford, Dr. Kristin Steyhower, Dr. Lisa Fairbairn, Barbara Koch, and Ed Lindow. Finally, to those countless casual acquaintances that I have met on airplanes, hotel lobbies, and at dinner parties it was their natural curiosity and genuine interest in the topic of ethics and moral leadership that continued to fuel my passion for this topic of research. v
TABLE OF CONTENTS
List of Tables.………………………………………………………………………
xiv
List of Figures……………………………………………………………………...
xv
CHAPTER I: SIGNIFICANCE AND PURPOSE OF STUDY……………….....
1
Introduction and Overview………………………………….......................
1
Researcher’s Interest...……………………………………………….
10
Types of Whistle-blowing…..……………………………………….
13
Measuring Cognitive Moral Development (CMD)…..…………...
16
Ethical and Moral Leadership............................................................
19
Purpose of the Study………………………………………………………..
21
Moral Decision-Making Process..…………………………………..
23
Significance of the Study……………………………………………………
26
Research Questions and Hypotheses……………………………………..
28
Objectives of the Study……………………………………………………...
29
Assumptions…………………………………………………………………
30
Limitations…………………………………………………………………...
34
Delimitations…………………………………………………………………
35
Research Theories and Concepts…………………………………………..
38
vi
Operational Definitions……………………………………………………..
44
Whistle-blower...……………………………………………………..
45
Cognitive Moral Development (CMD)...…………………………..
51
Post-Conventional Level of CMD...................................................
53
Moral Reasoning..................................................................................
54
Defining Issues Test (DIT)..................................................................
54
Center for the Study of Ethical Development (CSED)..........……..
56
National Whistle-blower Center (NWC)…………………………..
57
Government Accountability Project (GAP)......................................
57
Ethics Research Center (ERC)............................................................
57
Summary.........................................................................................................
58
CHAPTER II: REVIEW OF LITERATURE..............................……………….....
59
Overview of Literature..................................................................................
59
History of Ethical Theory..............................................................................
61
Non-Normative Ethics..……………………………………………..
63
Normative Ethics…..…………………………………………………
64
Teleology Ethics………………………………………………………
65
Virtue Ethics…...……………………………………………………...
66
Deontology Ethics…...……………………………………………….
67
vii
Challenges to Ethical Theories………………………………………
68
Cognitive Moral Development……..……………………………………...
71
Theory of Moral Development.……………………………………...
71
Sources of Morality...………………………………………………...
76
Challenges to the CMD Theory……………………………………...
77
CMD and Gender……………...……………………………………...
78
The Four Component Model………..……………………………………...
80
Assessment of Moral Reasoning Skills…………………………………….
86
Tools to Measure Moral Judgment.…………………………………
87
Defining Issues Test (DIT).…………………………………………..
89
DIT Metrics.………..………………………………………………….
90
The Act of Whistle-blowing and Whistle-blower Characteristics……...
95
Whistle-blowers and CMD………………………………………….
100
Leadership and the Moral Decision-Making Process……………………
105
Historical Background of the Research Opportunity……………………
112
Moral Development Theory.………………………………………...
113
Moral Judgment and Moral Action.………………………………...
116
Whistle-blower Characteristics..…………………………………….
117
Retaliation Against Whistle-blowers.……………………………….
120
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Review and Analysis of Related Theories and Concepts………………..
122
Moral Identity.………………………………………………………...
124
Locus of Control.……………………………………………………...
125
Theories of Action…………………………………………………….
128
Current Research Relevant to Study.…….………………………………..
128
Moral Decision-Making.……………………………………………..
132
Summary of Literature Related to Study…………………………………
136
Ethical Theory and CMD.……………………………………………
136
Moral Reasoning Process.……………………………………………
137
Summary of Literature Reviewed......................................................
138
CHAPTER III: METHODOLOGY……………...………………………………...
141
Introduction and Overview...........................................................................
141
Hypotheses........................................………………………………………...
144
Appropriateness of the Methodology..……………………………………
147
Survey Strengths and Weaknesses..……………………………………….
149
Research Design and Procedures..…………..……………………………..
154
Survey Sample Size and Response Rate...…………………………
157
Survey Process and Participant Material………………………….
163
Techniques, Instruments, and Protocols...………………………………...
164
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Quantitative Survey Protocol.....…………………………………….
164
Validity and Reliability..……………………………………………..
167
Demographic Variables..................…………………………………..
170
Data Collection Procedures...........................................................................
170
Survey Responses and Statistics........................................................
171
Qualitative Research Process……………………………………………….
174
Data Collection......................................................................................
174
Data Analysis........................………………………………………….
176
IRB Concerns and Procedures..…………………………………………….
177
Ethical Considerations..……………………………………………………..
178
Quality Assurance...…………………………………………………………
179
Possible Limitations...……………………………………………………….
179
Summary of Data Management...………………………………………….
180
CHAPTER IV: RESULTS AND DISCUSSION..………………………………...
183
Introduction..................................…………………………………………...
183
Quantitative Research............................….………………………………...
184
Data Collection...………..…………………………………………….
184
Response Rate.....………..…………………………………………….
186
Demographics..………….…………………………………………….
188
x
Results and Analysis..………………….….………………………………...
189
Quantitative Survey Results..……...……………………………………….
189
Summary of Quantitative Research.......…………………………....
199
Qualitative Research…...........................….………………………………...
202
Data Collection...………..…………………………………………….
202
Interviews.....................................…………………………………….
203
Results and Analysis...................…………………………………………...
204
Data Consolidation...............................................................................
205
Qualitative Survey Results…………………………………………..
205
Summary of Qualitative Research.....……………………………….
212
Summary of Study Results....................….………………………………...
213
CHAPTER V: IMPLICATIONS AND CONCLUSIONS......…………………...
215
Introduction..................................…………………………………………...
215
Overview of Study......….…..………………………………………..
215
Original Expectations………………………………………………...
220
Presuppositions and Mental Models….…………………………….
222
Summary of Major Findings..….…………………………………….
225
Implications Related to Research Hypotheses….………………………...
232
Implications of Findings......................................................................
236
.
xi
Limitations of the Study..…...….…………………………………….
239
Future Research...………………………….....................…………………...
241
Opportunities for Future Research.....................................................
242
Other Types of Survey Protocols.......……………………………….
242
Other Survey Participants........................…………………….……...
245
Sustainable Ethical and Moral Organizations.........……………….
246
Summary & Conclusion...……………….......................…………………...
247
Center for Ethical Leadership and Moral Development....……….
249
Conclusion…..........................................................................................
251
References…....…………………………………...………………………………...
253
Appendix A: Principle Investigator Whistle-blower Experience.………………...284
Appendix B: Defining Issues Test 2 (DIT2) and Response Form.………………...285
Appendix C: Permission to Use the DIT2.……………………….………………….290
Appendix D: Qualitative Research - Interview Protocol..……….………………...291
Appendix E: Quantitative Research – Informed Consent........…………………...296
Appendix F: Quantitative Research - Invitation to Participate......………………298
xii
Appendix G: Qualitative Research – Informed Consent...…….….……………….299
Appendix H: Qualitative Research – Invitation to Participate..…………………..301
Appendix I: NDA Agreement with Transcription Service.......................……….302
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LIST OF TABLES
Table 1
Correlation between P Scores and U
Scores.....…..…………………..197 Table 2
Correlation between P Scores, U Scores and
Education.……………198 Table 3
Correlation between P Scores, U Scores and
Age.……….…………..199 Table 4
Interview Questions aligned with Research
Hypotheses.…………..202 Table 5
List of Whistle-blowers
Interviewed....………….…..………………..204 Table 6
Content Matrix for Research Hypothesis
(H1)....…..………………..206 Table 7
Content Matrix for Research Hypothesis
(H2)....…..………………..209
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LIST OF FIGURES
Figure 1
Overview of Models used in Research
Study...…..………………….18 Figure 2
Stages of cognitive Moral
Development..……………..……………...21 Figure 3
Four Component Model
(FCM)....……………………………………..25 Figure 4
Ethical Theory with associated Level of
CMD......…..……………….32 Figure 5
Influences on the Moral Decision-Making
Process..…………….…..43
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Figure 6
Sequence of Literature
Reviewed...………....………………………....60 Figure 7
Ethical thought and Post-Conventional Level of
CMD.……….……62 Figure 8
Cognitive Moral Development Levels and Stages of
CMD..……......74 Figure 9
Four Component Model and the Correlation between Moral Judgment and Moral Action...………...………………………………..82 Figure 10
P Scores based on Education Level &
Gender....……………..……...84 Figure 11
P Scores from Accounting
Professionals.....……………………….….95 Figure 12
P Scores from Various
Professions....………………………………...109 Figure 13
History of Research
Opportunity.…..……………………………......113 Figure 14
Model of Related Theories and
Concepts..……………………….…122
xvi
Figure 15
Ethical & Moral Training and
Development.......……...……..……..130 Figure 16
Moral Reasoning Scores of Automotive
CEOs..…..………………...134 Figure 17
Components of Research
Plan.……………………..………………...142 Figure 18
CMD Levels Aligned with Moral
Schema…………………………..185 Figure 19
DIT2 P scores based on Moral
Schema.……………………………...190 Figure 20
Means of DIT2 Scores based on Moral Schema and
CMD………...192 Figure 21
Means of DIT2 N2 Scores based on levels of
Education…..…….....194 Figure 22
Means of DIT2 P Scores based on
Gender…..……………………....195 Figure 23
P Scores from Professionals including Whistle-
blowers……...…...226
xvii
Figure 24
U Scores from Whistle-blower
Survey….…………………………...228 Figure 25
Correlation between P Scores and U
Scores………………………...231 Figure 26
Center for Ethical Leadership & Moral
Development…………......251
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CHAPTER I: SIGNIFICANCE AND PURPOSE OF STUDY Introduction and Overview As organizations continue the transition from traditional Industrial Age business models to flexible, globally focused Knowledge Age business models built on speed, creativity, and innovation, there are increasing pressures on leaders to achieve organizational objectives. Global leaders need to be able to design, develop and implement sustainable learning organizations (Senge, 2006). Covey (1990) stated that leaders who manage organizations in the 21st century must possess principle-centered characteristics in order to be highly effective. These characteristics include attributes from their physical, mental, social, and spiritual being. Covey (1990) further stated that leaders should continuously improve all aspects of their lives, and suggested that the universal values of trust, combined with the moral integrity related to one’s visions and actions, are the most important characteristics of effective leadership. Collins (2001) added to the definition of the effective leader through the following: identifying characteristics of the extraordinary leader by looking at the organizational results of companies then correlated those operating results to
1
effective leadership. Collins (2001) called this “extraordinary individual” a “category five” (on a scale of 1 to 5) leader who is thought to be responsible for moving companies from Good to Great. In his research, Collins (2001) thought that humility was the single most important leadership characteristic. According to Collins (2001), many great leaders attribute much of their success to good luck rather than personal greatness (p. 12). However, given all the important characteristics of leaders identified in the category 5 leader, there is no specific reference to the importance of ethical and moral leadership skills. This study provides insight into the moral reasoning skills of a unique group of individuals who have demonstrated a strong link between moral judgment and moral action based on a specific decision made in the past. The need for ethical and moral leadership is found in the forward of the Ethics Research Center (2011). The report states a need for more ethical, moral leadership in organizations. Although the evidence from the 2011 NBES research indicates that workplace ethics will continue to decline, the report noted that the extent of the decline is dependent on how business leaders respond. The measurement of moral judgment and moral action is the foundation of this study. Seminal research from Freud, Piaget and Kohlberg illustrated a common moral behavioral pattern that existed during the 1930s, 1940s, and 1950s 2
respectively. The perception was that individuals tended to behave in accordance with the norms of society. For instance, Milgram (1974) demonstrated an example of a societal norm known as blind obedience to authority, or the idea of following the orders of a superior figure without question. This blind obedience is most commonly found in military settings and specific organizational structures where orders are expected to be followed. However, when left unchecked, this unquestioned willingness to follow without regard to one’s own fundamental ethical and moral principles has been used to justify the behavior of individuals who caused one of the most horrific events in the history of man. After World War II, twenty one German military officers were brought to trial for crimes against humanity. Their defense was that they were following orders. They claimed there was no choice; they either carried out the orders or be killed. This legal defense became known as the Nuremberg defense which is based on the assumption that an order is an order, Befehl ist Befehl and contended that the individual was not responsible for his crimes (Horan, 1995). During the 1960s and 1970s, a shift in the understanding of moral behavior took place. Kohlberg (1976) believed that individuals made moral decisions based on what was right and what was wrong at three levels of moral development. Kohlberg (1976) therefore developed a process to quantify moral 3
judgment (a component in the moral decision-making process). Once measured, the moral judgment score was then aligned with a specific stage and level of Cognitive Moral Development (CMD) (Kohlberg, 1976). Although operational definitions are discussed in detail later in Chapter I, some commentary is relevant regarding the use of key terms at this point. Kohlberg (1976) stated that individuals make decisions consistent with one of three levels of CMD. Level 1 is the pre-conventional level; decisions made at this level of reasoning are based on avoiding punishment. Level 2, the conventional level of CMD, is what the decisions are based on, the impact of personal consequences, and the desire to fit in and be accepted (Kohlberg, 1976). The highest level of CMD is the post-conventional level. Decisions made at this level are based on the individual’s adherence to a duty or set of moral principles (Kohlberg, 1976). According to Kohlberg (1976), fewer than 20% of American adults reach the principled level of CMD. This research study was focused on those individuals who have been labeled as whistle-blowers because of specific actions they have chosen to make. The sample set of whistle-blowers invited to participate in this study represent only a specific sub-set of whistle-blowers. The common characteristics of those individuals chosen to participate in this study were: (1) they have already had their whistle-blowing cases litigated in the court system, or public documents 4
were available that detailed their out-of-court settlement, and (2) they had worked for a private or public organization in the United States. While prior research in Miceli and Near (1992) has shown the motivation for the actions of a whistle-blower can be based on a pure moral intent, it is conceivable that sometimes the act of whistle-blowing could be predicated on vindictive, immoral or punitive motives. Although this study did not judge whether the actions of whistle-blowers were good or bad, it was assumed that the individuals who participated in this study were good whistle-blowers. Further discussion on good and bad whistle-blowers will be detailed later in this chapter. A fundamental premise of this study was that an individual’s moral judgment is linked to a specific level of CMD. A unique opportunity existed for this study to measure the moral judgment skills of a group of whistle-blowers. In nearly 40 years of testing levels of CMD with the Defining Issues Test (DIT), there has been no specific CMD research on whistle-blowers. A primary hypothesis of this study was that whistle-blowers have moral judgment skills aligned with the post-conventional level of CMD. Another hypothesis of this study was that there is a strong, positive correlation between moral judgment and intended moral actions of whistle-blowers.
5
In addition to the DIT2 survey results, this study also gathered and reported on demographic variables associated with the sample of whistleblowers. Those variables include: gender, race, education, and political affiliation. The overall intent of this study was to provide a starting point from which a holistic model could be developed to assist in the identification of ethical, moral leaders and provide organizations a basis for developing a culture that encourages moral decision-making. A model to identify ethical, moral leaders is important given the emergence of global competition and technological advances that have created a flattened world (Friedman, 2007). International opportunities have created the need to transfer traditional business models to more flexible, sustainable models in a variety of cultures with different ethical and moral standards. Aside from the positive aspects associated with a growing global economy, there is no single global code of ethics and morals. What is considered acceptable in one culture might be viewed as immoral in another. Therefore, it seems as if there is a need for organizations to identify individuals who could make decisions based on principles, rather than the status-quo or norms of a specific country, culture, or society.
6
In order to appreciate the basic tenets of this study, it is necessary to illustrate the assumption made between the use of the terms “ethics” and “morals.” Unfortunately, all too often those terms are used interchangeably, when in fact there are distinct differences between the two. Ethics is a theory of philosophy dealing with what is morally right or wrong (Ethics, 2014). Morals refer to a standard for right behavior, considered right and good by most people (Morals, 2015). To illustrate this difference, Paul Cox, Ph.D., an expert and author in the field of philosophy and ethics, has suggested that ethics is the examination of unreflective morality. Once ethics defines the morality of a people, the results should become the accepted behavior in society (P. M. Cox, personal communication, January 12, 2012). Kidder (2005) defined morals as a structure consisting of five ideals: (1) honesty, (2) responsibility, (3) respectfulness, (4) fairness, and (5) compassion. If an individual’s moral structure is in conflict with the ethical culture of an organization, the individual would be in a constant state of cognitive dissonance. A unique degree of courage may be necessary to stay aligned with one’s moral standards. Perhaps less courage is necessary to acquiesce and succumb to the influences of others than to stay firm in one’s belief of what is right (Kidder, 2005). 7
With an understanding of the link between ethics and morals, Trevino Hartman, and Brown (2000) associated moral judgment with moral development. They noted that individual ethical compositions are obtained from a combination of inherited, acquired, and learned traits and behaviors that become the foundation for reasoning skills (Trevino et al., 2000). Those reasoning skills lead to decisions that result in behaviors or actions. One could then assume that the ethical leader would have a more complete set of ethical values and principles affecting the moral reasoning process used to make decisions that include concerns about the broader society and community (Trevino et al., 2000). This study linked the process of deciding what is the right thing to do (moral judgment) with evidence of intended moral behavior. The difficulty in predicting how people will act has produced research results showing only a moderate correlation between moral judgment and actual moral behavior (Blasi, 1980). However, the intent was to triangulate the actual moral behavior from each survey participant with their intended moral action score as measured in the DIT2 survey. However, it was not possible to retrodictively correlate the survey results between moral judgment, intended moral action, and actual moral behavior. The term retrodiction, for purposes of this study, was defined by Ryle (1949) as “a strong form of explanation, where knowing the outcome allows one 8
to discover the forces that produced it” (p. 124). Each of the whistle-blowers who participated in this study demonstrated at least one actual example of moral behavior in their specific whistle-blowing experience. That known behavior (action) was not able to be linked retrodictively to the intended action determined from survey results and correlated with the survey determined level of CMD. The use of retrodiction is supported in Robin, Gordon, Jordan, and Reidenbach (1996), their research suggested that the common variance between moral judgment and intended moral action was the unknown actual moral actions of survey participants. An objective of this study was to provide information and results that could reduce the unknown variance between intended actions and actual actions. During the last 40 years, the DIT (Defining Issues Test) test has been administered by researchers to more than 500,000 individuals, but only a small percentage of those individuals have attained the highest level of CMD known as the post-conventional level of CMD (Rest & Narváez, 1994). Individuals at the post-conventional level of CMD are more likely to make decisions based on moral values driven by a set of guiding principles (Weber & Gillespie, 1998). The primary research hypothesis stated that whistle-blowers would achieve moral judgment scores aligned with the post-conventional level of CMD. 9
Researcher’s Interest In an effort to introduce all relative aspects of this study, it is important to establish certain events in the Principle Investigator’s (P.I.) past experience related to a well-documented whistle-blowing event (Appendix A). The P.I. would acknowledge the potential benefit of a whistle-blowing experience in providing a unique vantage point to develop the study by utilizing that unique existential experience to observe, analyze, and form conclusions from the data. However, the P.I. also recognized the risk for researcher bias. The objective was to use the whistle-blowing experience as a positive influence and research tool in this study. Heidegger (1962) provided support for the “first person” perspective in research projects from a philosophical context when he confirmed that a person’s pre-understanding is a necessary tool in all creations of new knowledge. There are many examples of pre-understandings and presuppositions being used in research. The seminal research of Kohlberg (1976) was based on the presuppositions associated with normative ethical theories. For example, women researchers who have worked on gender studies and African Americans who have researched racial equality efforts during the 1960s would have had a unique interpretation of the presuppositions related to those subject matters.
10
Further understanding of the moral reasoning skills and the level of CMD of whistle-blowers is necessary to determine if the decision-making process of whistle-blowers is unique and different from others. The primary research hypothesis in this study stated that whistle-blowers are more inclined to make their decisions based on a set of guiding principles rooted in a deontological influence, rather than by a self-serving set of teleological ideals that are based on the personal consequences associated with the decision as the primary factor in the decision-making process. During the last decade, numerous examples of unethical and immoral behavior have occurred in various types of private and public organizations. For example, Enron, WorldCom, UBS, DaimlerChrysler, Archer Daniels Midland, the Federal Bureau of Investigation, and Sikorski Helicopter are just a few examples of organizations that have been associated with whistle-blower activities. The unethical and immoral actions by some leaders have left the stakeholders of those organizations unfairly burdened with billions of dollars of lost economic value. In order to prevent this type of unethical behavior, the Sarbanes Oxley Act of 2002 was enacted to tighten the organizational controls in order to prevent unethical and immoral actions and restore stakeholder trust. What caused these individual leaders to “go bad?” Were they born into this world as unethical and immoral individuals? Did they learn to be unethical? 11
Was it a lack of cognitive reasoning skills, or was it organizational pressures that caused these leaders to make these destructive decisions? Trevino and Youngblood (1990) suggested that it was all of the above. Zimbardo (2008) provided research in an attempt to explain why individuals “go bad” with a series of experiments referred to as the Stanford Prison Experiment. During these experiments in blind obedience to authority, orders were given by subjects acting as prison guards to other subjects acting as prisoners. The guards were told to engage in increasingly harsh, physical tactics to influence control over the prisoners. Although it was only a game, a majority of subjects acting as guards carried out their orders without questioning the authority figure who was giving the orders (Zimbardo, 2008). Additionally, Zimbardo (2008) suggested that individuals who choose to act in accordance with principles must have courage (p. viii). Fear, greed, and insecurity are some of the reasons why individuals in organizations succumb to and obey leaders who are unethical and immoral (Zimbardo, 2008). More than 80% of individuals who witness questionable acts in business do not report the indiscretion to anyone in the organization (Ethics Research Center, 2009). The study focused on those 20% of individuals who witnessed questionable acts, chose to speak up, and chose to make a decision regardless of the personal consequences associated with the decision. An 12
objective of this research was to provide survey results that showed whistleblowers are individuals who have moral reasoning skills influenced by universal principles and a set of moral guidelines in order to make decisions consistent with the definition associated with the post-conventional level of CMD.
Types of Whistle-blowing The decision-making process for individuals at the highest level of CMD may not be affected by external influences such as the probability of the event, or the consequences to the individual, in the same manner as individuals at lower levels of CMD. This concept was explored in the literature review in Chapter II. Not all whistle-blowing events are clearly understood as pro-social acts with good intention. While the individuals invited to participate in this study have been vindicated in legal proceedings, and therefore viewed by many as good whistle-blowers, there are other examples of whistle-blowing that have been carried out for purposes of power or revenge. For example Daniel Ellsberg, Julian Assange, and Edward Snowden are whistle-blowers who are heralded by some and hated by others. Miceli and Near (1992) stated that most whistle-blowers have pro-social and altruistic motives. However, Davis (1989) pointed out that there is also a destructive side of whistle-blowing. This bad whistle-blowing typically does not get the same attention as the good whistle-blowing, but it is important to establish 13
the fact that bad whistle-blowing does exist. The individuals interviewed in this study were assumed to be good whistle-blowers after the public information and court documents that supported their individual cases were reviewed. It is important to acknowledge that there are two types of whistleblowing. One type is associated with the positive aspects of whistle-blowing, such as pro-socialism, altruism, and a sense of doing what is right for the organization (Miceli & Near, 1992). This act of citizenship was assumed to the motivation for the decision to blow the whistle for a majority of whistle-blowers including those who participated in this study. Another type of whistle-blowing can be identified as bad whistle-blowing; it is destructive and based on intent to harm an individual or organization with lies, accusations, and through the distortion of facts. This bad whistle-blowing appears to be motived by revenge or immoral motives. Barnett (1992) stated that the disgruntled employee could vent their frustration in the form of false accusations against superiors in order to achieve revenge. According to Perlis and Chais (2010), the passage of the Dodd-Frank Wall Street Reform and Consumer Act legislation would lead to a flood of ill-informed and frivolous claims. Although the research on this type of whistle-blowing is limited, the following examples are offered as evidence of whistle-blowing based on questionable motives of the whistle-blower. 14
Daniel Ellsberg was a consultant working on a research project to gather information related to the Vietnam War in 1971. During his research, information was discovered that was potentially detrimental to U.S. President Richard Nixon. Daniel Ellsberg chose to contact a reporter from the New York Times and turn over copies of the information he found. In June 1971, portions of the report were leaked to the press and widely distributed. It was a political embarrassment for President Nixon and his administration, who tried to prevent the information from being published for the benefit of national security (Holcomb, 2003). Another example of whistle-blowing based on questionable objectives is that of Julian Assange, the editor-in-chief of the WikiLeaks website. Assange had been accused of posting previously classified information obtained from sources within the military on the WikiLeaks website. Some say the release of that information compromised the military strategy of the United States in the current war on terrorism. Edward Snowden is an example of one of the most complicated cases of whistle-blowing to have ever occurred. As an analyst for the NSA, Snowden took a number of electronic files that proved U.S. intelligence agencies were gathering information on American citizens as well as many prominent world leaders. By making this information public Snowden was called a courageous whistleblower by the Government Accountability Project (GAP). However he is also one 15
of the most wanted fugitives in the world. After his disclosure in 2013, he has received asylum in Russia, which has protected him from the U.S authorities.
Measuring Cognitive Moral Development (CMD) A premise in this research study was that moral judgment provided a link to the individual’s intention to choose a moral action. Cognitive Moral Development (CMD) is not a predictor of moral behavior because it does not capture the situational influence, timing, and context of specific factors that affect the decision-making process (Rest, 1986). However, one would expect that the higher the level of CMD, the greater likelihood an individual had to behave in a moral manner. One of the most widely used measures to assess the level of Kohlberg’s CMD is the Defining Issues Test (DIT) developed by Rest (1979). The DIT was a simpler method of measuring the moral judgment compared to the Moral Judgment Interview (MJI) developed by Kohlberg (1976). The DIT measured survey responses that were principle based (associated with the post-conventional level of CMD). Thus, the Principle score, also called the Post-conventional, or P score, measured moral judgment responses in the DIT. A total P score is then translated to the appropriate level of CMD. Rest (1979) defined the moral decision-making process with a model he created called the Four Component Model (FCM). Rest (1979) described the FCM as, (1) moral judgment (measured 16
by the P score), (2) moral sensitivity, (3) moral motivation, and (4) moral character (p.22). More than 80% of individuals who have taken the DIT have P scores aligned with the conventional level of CMD (Rest & Narváez, 1994). Few adults ever progress to the highest level of CMD, which is referred to as the postconventional level of CMD. One example that illustrated a majority of individuals surveyed having moral judgment scores at the conventional level of CMD was found in Weber (1990). Research results from Weber (1990) indicated that 86% of a group of 1,000 corporate managers had P scores at the conventional level of moral development. Only 8% of corporate managers surveyed had P scores that were aligned with the post-conventional level of CMD. After being introduced in 1979 as a tool used in moral reasoning research, the original DIT was revised in 1999. The DIT2 was introduced in 1999 with the following updates: fewer ethical stories, enhanced indexing and ranking of responses, and an improved method for detecting unreliable participants. Since the DIT2 was used as the survey tool for this study, all references to earlier versions of the survey protocol are the DIT, all other references are the DIT2. Rest, Narváez, Thoma, and Bebeau (1999) stated that the DIT2 was shorter, more streamlined, more updated, and had a slight validity advantage over the DIT.
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A summary of the key concepts for this study are illustrated in Figure 1. The Four Component Model (FCM) starts with the question “What must we suppose happens psychologically in order for moral behavior to take place?” (Rest & Narváez, 1994, p. 3).
Figure 1. Overview of Models used in Research Study (Relationship model developed by the Principal Investigator).
The DIT and DIT2 are the most often used research protocols to measure individual levels of moral development (Ponemon & Gabhart, 1990; Trevino & Youngblood, 1990). 18
An additional benefit of using the DIT2 protocol is that the results from this research could be compared to the survey results gathered during the last 30 years. The Center for the Study of Ethical Development (CSED) at the University of Alabama has thousands of records from DIT and DIT2 results.
Ethical and Moral Leadership Previous research by Rest, Narváez, Bebeau, and Thoma, (1999) focused primarily on survey results and data that provided insight into the intended behavior of an individual. However, Blasi (1980) raised challenges related to a lack of quantitative evidence for the link between moral judgment and moral actions. The uncertainty associated with the likelihood that survey participants would actually behave morally in a real world situation challenged the usefulness of the DIT as a predictive tool. Although the results of this project are not intended to be used to predict moral actions, insights from this study are intended to provide assistance in the identification of ethical, moral leaders. There may also be a useful link provided from the results from this study and the description of highly effective people in Covey (1989). In a commencement address to the graduates of the A.B. Freeman School of Business at Tulane University in 1987, Willard Butcher, retired chair of Chase Manhattan Corp., said, “Ethical behavior and effective leadership are intertwined and inseparable” (Butcher, 2005). 19
Darwin (2004) believed that the human species was moral, capable of comparing past with future actions, and therefore able to approve or disapprove of them. As Robert Wright (1994) contended, “to be moral animals, we must realize how thoroughly we aren’t” (p. 4). Miceli, Near, and Dworkin (2008) called for the need of CMD research for whistle-blowers: Too much misinformation has proven the basis for the conventional wisdom about whistle-blowers that we see promulgated in the media, in Legislatures and elsewhere. Whistle-blowing can be a force for constructive organizational and societal change, but only if we learn more about why it happens and how to best deal with its impact. This represents our best effort to summarize what is known, based on empirical results and to launch a plea for future research to resolve what we do not yet know about whistle-blowing (p. xiv). Results from this study could provide a basis for developing an assessment methodology used to measure CMD levels of individuals in organizations. Understanding of the existing gaps between moral judgment and moral action could be important in the development of ethical and moral training. The development of tools to help identify and assist in the training of
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principle-based decision-making could perhaps reduce the need for whistleblowing activities in organizations.
Purpose of the Study A primary purpose of the study was to measure the moral judgment skills of whistle-blowers and align those findings with specific levels of CMD. Kohlberg (1981) introduced the theory of CMD as six stages that make up three levels of cognitive moral development. An illustration and description of each stage and level of CMD is found in Figure 2.
Figure 2. Stages of Cognitive Moral Development (Based on description from Logsdon and Yuthas, 1997).
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The primary hypothesis (H1) of this study stated that the moral judgment scores of whistle-blowers, as measured by the DIT2, are aligned with the postconventional level of cognitive moral development. The post-conventional level of CMD indicates that decisions are made based on principles regardless of internal or external influences. The secondary hypothesis (H2) in this study focused on the link between moral judgment and intended moral actions as measured in the DIT2. At the post-conventional level of CMD, whistle-blowers should also demonstrate a strong correlation between judgment and action. Research has shown that there are a number of internal and external factors that influence whistle-blowing. One example of an external factor is the situational influence of the moral dilemma. Miceli and Near (1992) reviewed a number of theories related to the situational influence associated with the act of whistle-blowing. They called out three possible scenarios that confront a whistleblower when they encounter an ethical dilemma: (1) assimilate the new standards and values of the organization, (2) conform behaviorally without accepting the new value, and (3) protest or refuse to comply with the wrongdoing (Miceli & Near, 1992). Miceli and Near (1992) concluded that the whistle-blower typically tests each scenario before deciding to blow the whistle externally. 22
Moral Decision-Making Process Kohlberg’s levels of CMD are also subjected to the influence of internal and external forces on the decision-making process. The higher the stage of CMD that an individual has attained, the more likely that moral judgment will translate into moral behavior and not be as influenced by external forces compared to the lower levels of CMD (Kohlberg, Levine, & Hewer, 1983). This point is fundamental to this research study in that most whistle-blowers must endure pressures from family, friends, and co-workers to relinquish any thoughts of blowing the whistle because of the negative personal consequences typically associated with the act of whistle-blowing. Support for the hypothesis (H1) of this study was in the idea that moral behavior is not random or accidental, but rather a result of a cognitive decisionmaking process that leads an individual to make moral decisions based on a set of guiding principles and a duty to do the right thing. At the post-conventional level, it is believed there is a relatively low likelihood that an individual will make a decision that is not in accordance with a set of moral principles and the duty to act morally. Fraedrich, Thorne, and Ferrel (1994) proposed that at the post-conventional level of CMD an individual intuitively makes decisions based on principle. Any other type of acquiescence or compromise would cause a high
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degree of cognitive dissonance. In other words, the person could not live with themself (Fraedrich et al., 1994). Forte (2004) claimed that individuals at the post-conventional level of CMD share a common belief that universal principles outweigh any rules and specific self-interests in the decision to do what is right. These individuals are also concerned with the dignity of the individual when making moral decisions (Lewin & Stephens, 1994). According to Weber (1990), stages 5 and 6 of CMD moral judgment are based on the intuitive use of rights and duties in certain situations to make decisions that result in actions. The post-conventional level of CMD (stages 5 and 6) are based on the ethical theory of deontology. Rest and Narváez (1994) indicated that the philosophical writings of Rawls and Habermas influenced Kohlberg in the design of stage 6 CMD. Rights and duties are key components in the definition of the ethical theory of deontology (Singer, 1993). As introduced earlier, Rest (1986) stated that moral decisions result from a four-step cognitive process; that at the ideal state would produce not only a moral decision, but would also persumably result in a moral action. In order to measure the cognitive steps in the process, the DIT was designed to measure the decision step known as moral judgment.
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The final result of any decision-making process is an actual behavior or action. Although not part of the Rest (1979) FCM model, it is necessary to recognize an outcome as a result of a decision. Figure 3 illustrates the FCM along with both the intended action (as derived from the DIT2) and the actual action (as demonstrated by the whistle-blower actions). This study utilized a measure in the DIT2 that scores the intended moral action based on survey responses. Those intended moral action scores can then be correlated to the actual moral actions of the survey participants (whistle-blowers).
Figure 3. Four Component Model (FCM) (Relationship model developed by the Principal Investigator).
Rest (1979) defined the FCM as four logical steps in the moral reasoning process: Moral Sensitivity (interpreting the situation), Moral Judgment (judging which action is right/wrong), Moral Motivation (prioritizing moral value relative
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to other values), and Moral Character (having courage, persistence, overcoming distractions, and implementing skills) (p. 24). Linstrum (2009) stated that much research has been done on the first two components of the model: sensitivity to moral dilemmas and judging what to do concerning a moral dilemma; however, it was difficult to measure an individual’s judgment, and even more difficult to predict what type of action that judgment would lead to. It would be unlikely that the moral intensity of an issue would influence the moral judgment of a whistle-blower. However, up to this point, researchers have been able to show only a moderate correlation between moral judgment and moral action. The link between intended moral actions and actual moral actions is even less understood because of the difficulty in researching such a topic. Although this study did not provide results of a strong correlation between moral judgment and moral action, a new level of understanding was provided from the results of the DIT2 survey.
Significance of the Study This study represented the first time that the DIT2 was used to determine the moral judgment scores from a group of whistle-blowers. The results from this study supported Blasi (1980) with weak correlation results between moral judgment scores of whistle-blowers and their intended moral actions. 26
Miceli, Near, & Dworkin (2008) stated that numerous research projects have been completed dealing with whistle-blowers, but most have relied on anecdotal information. Miceli et al. (2008) called for future research that relies on rigor and relevance in developing models to understand the characteristics of whistle-blowers and the decisions they make. They state that “research in this area is sorely needed and never more relevant” (p. 31). However, empirical research up to this point has only moderately supported the correlation between moral judgment and the actual behavior of the individual. Blasi (1980) questioned the strength of the link between moral judgment and moral behavior. Blasi (1980) contended that given the nature of the DIT, a survey participant may indeed score highly in terms of principled reasoning (moral judgment), and thus be classified as having attained the postconventional level of moral development. However, DIT scores alone are not an accurate prediction of how that individual will actually behave when confronted with an ethical dilemma. What are missing in the empirical literature are significant statistical correlations between moral judgment and moral actions (Blasi, 1980). A statistical correlation used in this study to establish the link between moral judgment and moral behavior is called the utilizer score (U score). The U score is used to quantify the correlation between principled responses as 27
measured by the P score and the intended actions for each moral dilemma as measured by the U score. In Rest and Narváez (1994), the U Score was introduced as a critical measure of the subject’s reliance on justice reasoning. Although the survey results will indicate what the individual believes they ought to do through the U score that does not, however, guarantee what they will do. Demographic variables were collected from survey participants, and certain variables have been analyzed to help understand the influence on the overall survey results.
Research Questions and Hypotheses From the review of literature, two research questions were developed for this study. Research question one: (RQ1) Are the moral reasoning scores (Pscores) of whistle-blowers aligned with the post-conventional level of CMD? The hypothesis associated with the first research question is: (H1) Whistle-blowers have moral judgment scores aligned with the post-conventional level of CMD as measured by the P score in the DIT2 survey. The second research question is associated with the relationship between moral judgment and moral action: (RQ2) Is there correlation between moral judgment and moral action in the DIT2 scores of whistle-blowers? The second hypothesis is stated as: (H2) Whistle-blowers at the post-conventional level of
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CMD (measured moral judgment), exhibit an intention to take moral action as measured by the DIT2 -Utilizer score (U score). In order to collect information from the survey participants that could be part of future research to analyze the influence of independent variables on the P scores of whistle-blowers, a set of demographic variables were designed. Answers to these questions could add to the current foundation of knowledge regarding moral reasoning and moral behavior. To further validate the results from this study, the consolidated CMD score from the study of whistle-blowers was compared and with the results from other DIT and DIT2 studies performed over the last 40 years. O’Fallon and Butterfield (2005) cited more than 75 moral reasoning studies from groups tested with the DIT and DIT2 survey tool. Details from these studies, along with a sample of the DIT scores from groups of individuals including doctors, dentists, lawyers, business managers, accountants, MBA students, police officers, and others are detailed in Chapter IV.
Objectives of the Study The primary objective of this study was to analyze the moral reasoning P scores obtained from a group of whistle-blowers and align those scores with a corresponding level of CMD. Those P scores indicated the frequency that a survey participant chooses a response to an ethical dilemma consistent with the 29
post-conventional level of CMD. The determination of the level of CMD level for the whistle-blowers as a group provided support to reject the primary hypothesis of this study. An opportunity existed to compare the moral judgment P scores developed from the DIT2 survey of the whistle-blowers with previous P scores generated from the DIT and DIT2 surveys. This comparison highlighted differences and similarities in the moral reasoning skills of whistle-blowers compared to other individuals. Finally, by using additional data regarding the characteristics of the survey participants, the ability to perform additional sample analysis provided insight on key variables such as gender, age, education, religion, and political identity. Each of the research variables chosen to be used in this study has been studied in prior research studies.
Assumptions This study assumed that the actions taken by whistle-blowers are part of their instinctive decision-making process. The assumption was that these moral behaviors were instinctive and consistent in all situations. Actions by whistleblowers have been defined as a type of pro-social organizational behavior (Dozier & Micelli, 1985). For this study, whistle-blowers are assumed to be individuals who have demonstrated pro-social behavior. Alford (2001) described 30
whistle-blowers as noble, strong, moral individuals who stand up for what is true and just. The documented actions of these individuals add to the evidence of their moral actions and their determination to resist pressures from internal influences and not succumb to the status quo (Glazer & Glazer, 1989). Another assumption of this study was related to the levels of CMD and general theories of ethics. In particular, it was assumed that the deontological ethical theory provided a general foundation for the cognitive moral development theories of Piaget (1932) and Kohlberg (1976). As the individual progresses to higher levels of moral development throughout a lifetime, they rely on cognitive skills that allow them to make decisions based on principles (deontology) rather than consequences (teleology). As the individual advances through each higher stage of CMD, their instinctive decision-making process tends to be more centered on a set of obligations and duties, rather than centered on the consequences of their decision (Kohlberg, 1976). Kohlberg (1969) introduced a theory of cognitive moral development. Kohlberg’s work concluded that an individual’s progress through the different stages of moral development was based on his or her moral maturity and moral reasoning skills (Kohlberg, 1969). More than 30 years of research have provided considerable support for the Kohlberg model (Trevino, 1992). Kohlberg indicated
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that an individual could progress and regress from stage to stage (stage theory) throughout a lifetime. A general premise for this study was that the normative theory of ethics, which is based on what people ought to do, was the fundamental ethical theory selected for this study. The results of the DIT2 survey will be an example of descriptive ethics in which the comparison of responses to ethical, moral dilemmas will be compared and analyzed. To further illustrate this point, Figure 4 depicts each level of CMD, and a definition for each stage of moral development along with the appropriate ethical theory.
Figure 4. Ethical Theory with Associated Level of CMD. (Based on description from Kohlberg, 1976).
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Another assumption in this study was that individuals who demonstrate advanced moral reasoning skills are aligned with the post-conventional level of CMD. These individuals make decisions based on principle and demonstrate moral behavior more often than those individuals with lower levels of CMD (Donaldson & Werhane, 2008). However, the majority of P-scores from the whistle-blowers in this study were not aligned with the post-conventional level of CMD, therefore, further research will be necessary to explain these results and explore other topics related to the decision-making process. Kant (1963) proposed that within the deontological theory of ethics, there is a categorical imperative or duty that an individual has to do the right thing. Kant (1963) also implied that the categorical imperative was the proper basis for all moral actions and decisions. This rational principle also stated that moral actions are freely chosen and that the consequences of those actions did not matter in the decision-making process (Kant, 1963). Ettore (1994) provided statistics that showed the typical whistle-blower is well-educated, well-liked and committed to the organization, generally in middle-to-senior-level positions. Whistle-blowers are viewed by many as moral heroes whose intent is to improve a bad situation. George (2007) suggested that a set of universal guiding principles that illuminate right and wrong should be the true north setting on an individual’s moral compass. The suggestion by George 33
(2007) indicated that true north is aligned with the post-conventional level of CMD. The sample of whistle-blowers chosen for this study, were gathered from evidence, documentation and public records that suggested the act of whistleblowing was done within a positive context. Bouville (2008) stated that “whistle-blowing is an activity that should only be entered into with pure motives,” and “it is acceptable to blow the whistle to protect the public interest, but not to exact revenge upon fellow employees, supervisors, or your company” (p. 581).
Limitations Along with the research assumptions in this study, there are natural limitations associated with the study parameters and the overall design of the research methods. Choosing only whistle-blowers as the specific sample group limits the ability to draw on conclusions outside of the chosen survey sample. Although not a pure random sample, this purposive sample is more statistically correct than a convenience sample (Zikmund, 2003). However, the likelihood of taking the survey results from this study and applying them to other types of individuals (i.e., non-whistle-blowers) was not possible. This study utilized a non-probability type of sampling technique to eliminate the possibility that an individual who is not a whistle-blower might 34
become part of the survey sample. The sample population in this study was based on initial invitations to 228 whistle-blowers who were selected from whistle-blower cases in two public databases. Whistle-blowers chosen for the survey sample met a set of qualifying criteria. However, due to the small sample size, the results from the survey are not able to be extrapolated to a larger population of whistle-blowers. Another limitation of the research was the period of time since the ethical, moral dilemmas in the DIT2 were last updated. The social, economic, and political relevance of the survey questions may be dated. The original DIT was created in 1979 as an alternative to the MJI created by Lawrence Kohlberg in the mid-1950s (Kohlberg, 1981). The first change to the DIT came in 1999 with the introduction of the DIT2. The DIT2 included updated and enhanced moral dilemmas as well as streamlined survey instructions.
Delimitations Instead of a detailed comparison of all the different ethical theories that have evolved in human history, only those ethical theories most closely aligned with this study were reviewed. The primary ethical theories to be highlighted are: teleology, virtue ethics, and deontology. Additionally, egoism and relativism will be presented as challenges to any type of ethical philosophy.
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Another delimiting factor is associated with the process of selecting a sample of whistle-blowers invited to participate in this survey. As previously stated, this study recognized two types whistle-blowing: good and bad. In a true random sample of the population of all whistle-blowers, examples of both good and bad whistle-blowers would be included in the sample. However for this study, a purposive sample of only those whistle-blowers that have had adjudicated cases or out-of-court settlements were chosen. This sample process does not suggest that all whistle-blowers are good, moral people, or that all whistle-blowers are at the post-conventional level of CMD. For purposes of this study, those other types of whistle-blowers have been delimited from the survey sample. One of the primary criteria used in the survey sample selection process is that each survey participant had demonstrated a specific whistle-blower behavior in the past. However, because of the use of a purposive sample instead of a pure random sample, and the sample size, the likelihood of applying the whistle-blower scores to all whistle-blowers is not considered to be a reliable application of the results from this study. The significance of ethics and morality is in virtually every aspect of human life. Another delimitation of this study is that not all types of ethical scenarios will be tested as part of the DIT2 survey. The DIT2 is made up of 5 36
ethical dilemmas (Appendix B). Those dilemmas in the DIT2 represent a variety of hypothetical stories on famine, protecting a media source, a cancer victim in need of medicine, a school board decision, and a story about a political demonstration. Other types of ethical scenarios such as business, environmental, and medical will not be included in this study. There are a number of different types of survey tools available for this type of research. The DIT2 offers the widest range of statistical scores to validate and accredit the post-conventional scores that will equate to a specific level of CMD. The advantages and disadvantages of the DIT2 compared to many of the other survey tools will be detailed in Chapter III as part of the research methodology. Permission to use the DIT2 is found in Appendix C. The reasons that cause an individual to blow the whistle, as well as the intent of the whistle-blower, were not researched in this study. What type of moral judgment takes place in the decision-making processes that causes someone to blow-the-whistle? The results from this study showed that in most cases the type of moral reasoning skills of whistle-blowers are not that different than most other people? However, whistle-blowers are usually misunderstood, retaliated against, and shunned by the corporate establishment long after their act of moral courage (Alford, 1999).
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Retaliation is most often cited as the reason that an individual will not blow the whistle (Ethics Research Center, 2011). Alford (1999) reported that 65% of all whistle-blowers are retaliated against. Previous research has demonstrated that variables such as gender, age, education, and organizational tenure have an effect on an individual’s propensity to blow the whistle (Sims & Keenan, 1998). Mesmer-Magnus and Viswesvaran (2005) have researched such variables as job satisfaction, responsibility, locus of control, and tenure as possible determinants of whistle-blowing, and in many cases these variables do influence the decisionmaking process. However, instead of retaliating, organizations have the capability to tolerate ethical dissent and treat the conscientious employee as an internal messenger highlighting opportunities for improvement. Nonetheless, this study focused on discovering the relationship between internal and external variables and the decision-making process as well as the correlation between judgment and intended action for whistle-blowers.
Research Theories and Concepts After a review of ethical theory, it appears that a difference exists between normative prescriptive ethics, or “what ought to be,” and comparative descriptive ethics, or “what is.” The major difference can be described per the following: normative ethics is the study of moral actions, and descriptive ethics is the measurement of moral beliefs. This difference was a determining factor in the 38
overall design of this study. To further illustrate this difference, an overview of the alignment between ethical theory and the individual levels of CMD is provided. A focus on the alignment of consequential ethics (teleological) with the conventional level of CMD and duty ethics (deontological) with the postconventional level of CMD is provided as part of the assumptions for this study. A more detailed review is provided in the review of literature in Chapter II. This research study focused on normative ethics because the objective of this study was based on what individuals think they ought to be. However, information from the DIT2 survey also provided empirical data on whistleblowers beliefs about right and wrong. Survey results based on attitudes of individuals or groups of people are also referred to as descriptive ethics. The dual use of ethical theories was a key aspect of the design of this study. The ethical theory of teleology refers to the influence of personal consequences on the decision-making process. In contrast, when the decisionmaking process is based on an individual’s need to be consistent with a set of principles and duties, this is referred to as the ethical theory of deontology. The ethical theories of teleology and deontology provide the best ethical platforms from which to analyze their association to the hypotheses of this study. Normative Ethical Theories reviewed:
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Teleology—(Consequentialism) – Jeremy Bentham and John Stuart Mill suggest that individuals ought to act so as to produce the greatest balance of good over evil (maximize utility).
Virtue Ethics—(Moral character) – Plato and Aristotle developed an ethical theory with happiness as the key to a moral life. Character traits of an individual are important in determining how one ought to live.
Deontology—(Principles and Duties) – Immanuel Kant offered The Categorical Imperative that described a universal set of principles or duties that affect moral actions.
Challenges to Ethical Theories:
Egoism—Decisions are guided by a selfish interest in what is best for the individual who is making the decision.
Relativism—Moral decisions are based on what is approved or accepted in a specific culture or society of individuals. The fundamental basis for the ethical theory of deontology rests upon the
foundation of the law of nature or natural law. Murphy (2011) indicated that natural law theory is a view that certain values are universally recognizable and inherently part of human nature and the moral reasoning process. Murphy stated that natural law theory has deep-rooted religious foundations interpreted by many individuals including Thomas Aquinas, Thomas Hobbes, and John 40
Locke. Therefore, there are intersections between natural law and natural rights. Two documents based on natural law are the Declaration of Independence and the United States Constitution. Natural law, stated that the human role as the recipient of natural law is to adhere to the principles of practical rationality, or in other words, “man accepts the law of God, thereby accepts the principles of right and wrong” (Murphy, 2011). A general belief was that an individual’s morality was developed by three distinct means: genetic inheritance, acquisition, and experience. Levy (2004) stated that evolution provides the preconditions for morality, but that it is through the cultural elaboration of that raw material that man becomes a moral being (p. 205). Kohlberg (1976) stated that an individual moves up or down through the various stages of moral development throughout a lifetime. Beauchamp, Bowie, and Arnold (2008) provided an ethical, moral foundation for leadership by illustrating the differences between the ethical theory of consequentialism (teleology) and the ethical theory of duty (deontology). Harshman and Harshman (2008) presented moral foundations, structures, and schemas as ethical behavior models composed of a series of cognitive filters that constantly adjust sensations, events, and experiences before decisions are made. An important objective of this research study was to select, 41
highlight, and focus upon the fundamental pieces of research that are most aligned with the hypotheses and research questions in this study. A significant theory was developed as part of early CMD testing. The theory demonstrated that a higher P score as measured from the responses provided in the DIT and DIT2 surveys was correlated to the likelihood that the individual would behave morally. Kohlberg (1981) claimed that individuals at stage 5 (included in the post-conventional level) CMD were more likely to make positive ethical judgments when compared to individuals at a lower stage of CMD (pre-conventional or conventional level). Kohlberg asserted that individuals at the post-conventional level of CMD were making decisions based on principled reasoning, and they aligned with the Kantian deontological ethical theory (Kohlberg, 1984). There are many types of influences on the decision-making process. Those influences can be categorized as both external and internal forces and may affect the individual’s cognitive moral reasoning process. Internal, organizational forces and external, institutional forces are more likely to influence decisions made by individuals at the conventional level of CMD (Miceli & Near, 1992; Rest & Narváez, 1994). Decisions made by individuals at the conventional level (stages 3 and 4 of CMD) are based on a desire to fit into the norm and to not rock-the-boat. In 42
contrast, individuals at the post-conventional level of CMD tend to make decisions based on a strong adherence to a set of guiding principles (Kohlberg, 1981). Figure 5 represents a summary of some of the key influences that impact the decision-making process.
Figure 5. Influences on the Moral Decision-Making Process (Illustration developed by the Principal Investigator).
Research studies on moral decision-making have linked moral judgment to moral action, but the empirical data collected and analyzed in O’Fallon and Butterfield (2005) indicated that a wide variety of constructs influenced the 43
relationship between judgment and action (e.g., Rest, 1986; Jones, 1991; Trevino, 1986). Many of these constructs can be summarized under the heading of moral intensity. Jones (1991), Weber (1991), Fraedrich and Farrell (1992) claimed that ethical and moral decision-making can be influenced by the context and content of the situation that individuals face. Blasi (1980) found a positive, albeit moderate, relationship between moral judgment and moral action. However, Blasi (1980) went further to challenge Kohlberg’s theory by calling into question the applicability of survey results of moral judgment in a real ethical, moral dilemma. Just because a survey participant responded to a set of survey questions in a certain way, this did not necessarily take into account the specific conditions associated with a real world ethical dilemma (Blasi, 1980). In one of only a few field experiments related to whistle-blowing, Brabeck (1984) discovered that students who had P scores at the post-conventional level of CMD also tended to act in an ethical and moral manner more frequently than those with P scores at lower levels of CMD. The Brabeck (1984) study is detailed in Chapter II.
Operational Definitions It is important to highlight and define the key terms and concepts that are referenced as part of this study. Whistle-blower has become a commonly used 44
reference in today’s culture. The word whistle-blower is used to describe any individual who speaks up against an organization or another individual. As mentioned earlier, whistle-blowing can be done for positive, pro-social reasons, or it could be based on revenge or spiteful tendencies. In order to understand the complexity of the word, and those individuals who have been labeled as whistleblowers, a review of characteristics and definitions associated with good whistleblowing are provided.
Whistle-blower Alford (2007) stated that in many cases unethical decisions are made by only a few but are followed, implemented, and perpetuated by many. What about those individuals who choose to disobey authority and not “go along with” unethical decisions simply to conform to the status quo? Those who defy authority are organizational outliers, and they are typically labeled whistle-blowers (p. 27). The term whistle-blower has a European origin referring to the English “bobbies” who blew their whistles to warn of a wrongful act in progress (Magnus & Viswesvaran, 2005). In the United States, a formal law known as the False Claims Act was enacted in 1863 to protect whistleblowers, who at that time were primarily individuals who reported crimes against the U.S. government during the Civil War (Magnus & Viswesvaran, 2005). 45
Based on the actions of whistle-blowers, they appear to have a different view of what is right and wrong, as well as the capability to turn their decisions into actual behaviors. Serpico (2002) referred to these individuals as lamplighters because they possess the courage to speak up and shine the light on issues when others chose to remain silent. The most acceptable and frequently cited definition of a whistle-blower is found in Near and Miceli (1985). A whistle-blower is defined in Near and Miceli (1985) as “the disclosure by organizational members (former or current) of illegal, immoral, or illegitimate practices under the control of their employers, to persons or organizations that may be able to take action” (p. 4). Alford (2001) suggested that anyone who speaks out in the name of the public good within the organization is a whistle-blower, but they are defined by the retaliation they receive. Glazer and Glazer (1989) defined whistle-blowers as “ethical resisters who are committed to the principles of honesty, responsibility, and concern for the public good” (p. 7). Furthermore, the Government Accountability Project (GAP), the nation’s leading whistle-blower protection and advocacy organization, defines a whistle-blower as “an individual who raises concerns that affect the public interest” (Government Accountability Project, 2011). In addition to the various definitions of a whistle-blower, there are specific attributes of a whistle-blower that are stated in a research paper published by the 46
Ethics Research Center (ERC), America’s oldest nonprofit organization devoted to the advancement of high ethical standards and practices in public and private institutions. The ERC paper stated that employees are more likely to blow the whistle when they feel good about their company and believe management has a strong commitment to ethical conduct (Ethics Research Center, 2010). The U.S. Securities and Exchange Commission (SEC) is the government agency that protects employees in government agencies or private enterprise who have gained information related to mismanagement, corruption, illegality, or some other wrongdoing on the part of those in authority. The SEC definition of a whistle-blower is the first individual who provides to the SEC original information based on independent knowledge that an organization is involved in illegal activities related to securities violations or foreign corrupt practices (Dodd-Frank Wall Street Reform and Consumer Protection Act, 2010) Whistle-blowers are protected by at least two primary types of legislation under which these acts of wrongdoing are reported: (1) the False Claims Act (FCA), and (2) the Sarbanes Oxley Act (SOx). Each of the individuals that were invited to participate in this research study sought some type of protection and or legal remedy to their particular cases of whistle-blowing. The False Claims Act, 31 U.S.C. Sections 3729 through 3733, is also referred to as qui tam actions. Defined as the term qui tam, short for “qui tam pro 47
domino rege quam pro sic ipso in hoc parte sequitur,” which, in Latin means “who as well for the king as well for himself sues in this matter” (U.S Department of Justice, 2011). The False Claims Act (FCA) allows persons and entities with evidence of fraud against federal programs or contracts to sue the wrongdoer on behalf of the United States government. In qui tam actions, the government has the right to intervene and join the action. If the government declines, the private plaintiff may proceed on their own. Sarbanes Oxley (SOx) legislation was enacted in 2002 and provided the legal means to help restore investor confidence after the scandals at WorldCom and Enron destroyed the wealth and trust of thousands of individuals, employees, and investors. SOx legislation was enacted primarily to remedy retaliatory practices against those who would report wrongdoing, including criminal penalties for those taking action against whistle-blowers. It is now illegal for any firm (including private firms) to punish whistle-blowers in any way. The most significant difference between these two pieces of legislation is that under the FCA, individuals (referred to as actors) act on behalf of the government to file legal actions against contractors who are claimed to be defrauding the federal government. As an actor in the initial claim of
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wrongdoing, these whistle-blowers then share in the money that is collected from the company and paid to the government (i.e., penalty and fines). Recent legislation, H.R. 14783, (July 2010), also known as Dodd-Frank, stipulates that in successful whistle-blower cases, the actor (individual) will be awarded a minimum of 10% and up to a maximum of 30% of the total amount the government recovers against the organization or individual found to be guilty of illegal activities. According to Carson, Verdu, and Wokutch (2008), the amount of money recovered by the government because of whistle-blower cases in the last 20 years is nearly $8 billion. The word whistle-blower in the context of the survey participants in this research project is associated with specific characteristics. The whistle-blowers that were invited to participate in this study were individuals who had worked at a public or private organization in the United States, and had a whistle-blower case that resulted in some type of decision (i.e., adjudication or out-of-court settlement). At the time an individual discloses the observance of unethical or illegal behavior they become a whistle-blower (Jubb, 1999). To the outside world, this person is portrayed as a disgruntled employee and not a team player. The negative stigma toward the whistle-blower is a usual form of retaliation against the individual by the organization that is being accused of unethical activity. 49
Alford (2007) stated that there is a negative view held by most people regarding whistle-blowers, “Those who raise ethical issues are treated as disturbed or morally suspect.” Alford (2007) suggested that in some cases whistle-blowers are viewed as corporate villains. On the other side of the spectrum, the whistle-blower can be viewed as a hero. TIME magazine went as far as naming three whistle-blowers as persons of the year in 2002. Lacayo and Ripley (2002) referred to Sherron Watkins, Coleen Rowley, and Cynthia Cooper as “individuals who represented people who did the right thing, by doing their jobs with the bravery that the rest of us hope we have and may never know if we do” (p. 2). Terms other than whistle-blower have been offered over the years. In 1971, Frank Serpico, one of the most famous whistle-blowers in the United States, shed light on the corruption embedded in the New York City Police Department. Since then, Mr. Serpico has insisted that he was a lamplighter by shedding light on the dark side of police corruption, and therefore not a whistle-blower (Serpico, 2002). In addition, Glazer and Glazer (1989) used the term “ethical resister” to describe an individual labeled as a whistle-blower. Whether or not whistle-blowers are viewed as good or bad, was not the objective of this study. Instead, the objective was to determine if whistle-blowers had moral judgment scores aligned with the post-conventional level of CMD. 50
Results from this study did not provide support for Miceli and Near (1992) suggesting that whistle-blowers have different moral standards than nonwhistle-blowers. Morality is another term widely defined in the literature. An example of an all-encompassing definition is found in Gert (2011), where morality was defined as having either a non-normative meaning, “a code of conduct put forward by a society that an individual accepts” or a normative interpretation which states, “a code of conduct given certain conditions is accepted by all rational persons” (p. 1). This dual definition, although complete, is too broad for this study. This study relied on definition of morality linked to ethics from P. M. Cox (personal communication, January 12, 2012) that stated, once ethics defines the morality of a people, the results should become the accepted behavior in society. That definition was more closely aligned with the objectives of this study and is consistent with the normative meaning of ethics previously discussed.
Cognitive Moral Development (CMD) The early part of the 20th century was the starting point for the study of moral development. Sigmund Freud was one of the original researchers in the field of moral development. Jensen (in press) states that Freud argued that every child by age five has developed a moral conscience. The moral development at this age is influenced by societal norms and family traditions. 51
Erik Erikson elaborated on the work of Freud by describing eight stages of moral development that started with an infant’s development of basic trust and mistrust and concluded with the moral development of integrity and despair in the mature adult. Erikson’s research was influenced by the work of Sigmund Freud. Erikson was the first to consider the impact of external factors (e.g., parents, friends, and society) on an individual’s life-long moral development. Following the work of Erikson, a significant amount of information is available from the work of Swiss psychologist, Jean Piaget, who studied the cognitive development of children during the 1950s and 1960s. The primary concept introduced by Piaget was that the cognitive development process is based on the basic principles of adaptation (change to meet situational needs) and equilibrium (balance between self and outside influences). Piaget’s work was significant because it set up distinct stages of moral development associated with age groups (Reimer, Paolitto, & Hersh, 1990). Lawrence Kohlberg, who continued the work of Piaget in his doctoral dissertation at the University of Chicago, was considered to have made the most significant advances in the study of cognitive moral development by making it a legitimate subject in scientific research (Rest, 1979). Kohlberg (1981) introduced the idea that individuals progress through six distinct stages of moral development in a lifetime (Figure 2). 52
Post-Conventional Level of CMD This is the most advanced level of Cognitive Moral Development. At this level, the decision-making process is influenced by moral principles, obligations and duties. At the post-conventional level the individual has a need to make decisions based on the guidance of rules and laws, rather than the personal consequences that would result from those decisions (Kohlberg, 1981). James Rest, using existing moral development research, enhanced the Kohlberg theory of CMD by creating a model consisting of four psychological moral components; sensitivity, judgment, motivation, and character (Figure 3). The Four Component Model (FCM) represents the psychological process in which an individual relies on cognitive skills to arrive at a decision. To actually live an ethical, moral life, one would need to integrate and reflect on the cognitive, affective, and behavioral elements of morality (Rest, 1981). According to Rest, moral behavior is the outcome of the four characteristics in the Four Component Model (FCM). Trevino and Youngblood (1990) stated that the FCM established measurable criteria necessary in the understanding of moral development in order for an individual to recognize issues and make correct moral decisions throughout all stages of a person’s life.
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Moral Reasoning Moral reasoning is described as a cognitive process that people use in making moral decisions (Trevino & Youngblood, 1990). Kohlberg found that a number of philosophers’ justifications of moral reasoning were aligned with the highest levels of CMD. He argued that stage 5 and stage 6 judgments are the closest to principled reasoning. Examples of philosophers who consistently justify moral reasoning with a deontological justification are Kant, Hare, Frankena, Brandt, and Raphael (Kohlberg, 1981, p. 191).
Defining Issues Test (DIT) This is a survey assessment tool to measure the moral judgment component in the FCM. One reason that moral judgment is scored in the DIT is that it is the best single component that relates to the overall process of moral reasoning. Moral reasoning is defined as “the set of cognitive skills a person employs to reason a moral problem” (Elm & Nichols, 1993, p. 818). The DIT was introduced in 1979 by James Rest as a simpler, more accurate method to measure moral reasoning. In his initial research on CMD, Kohlberg (1969) used a time consuming, less objective measurement method called the Moral Judgment Interview (MJI). Kohlberg admitted that the DIT provides a broader spectrum and greater scoring reliability than the MJI (Rest, 1979). 54
The DIT was updated and simplified in 1999 with the introduction of the DIT2. Although both studies are available through the Center for the Study of Ethical Development (CSED) at the University of Alabama, the DIT2 was used for this study. Appendix B contains an example of the DIT2 protocol. Key measurements from the DIT2 that were used in the survey of the moral judgment scores of whistle-blowers in this study were:
P Score--is the post-conventional schema score, and represents the proportion of items selected that appeal to stage 5 and stage 6 post-conventional levels of CMD. Rest (1986) described the P score as the relative importance a subject gives to principled moral considerations in making a decision. The higher the P score (ranging from 0-95) the higher the level of CMD. The P score is interpreted as the extent to which a person prefers post-conventional moral thinking over other types of responses.
N2 Score--an enhanced score introduced as part of the redesigned DIT2 survey. The N2 score is similar to the P score, in that it ranks the postconventional responses, but the N2 goes a step further in that the N2 score also rates the post-conventional responses. A more consistent rating of differences between high level CMD responses and low level CMD responses gives more strength in the N2 score.
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U Score—the utilizer score provides a measure as to the degree to which a subject uses concepts of justice in making moral judgments with the action choices for that ethical dilemma (Rest, Thoma, Narváez, et al., 1997).A high U score represents consistency between the choices of post-conventional responses (P score) and the endorsement of action choices. The U score was developed to increase the correlation of moral judgment to the intended moral action (Bebeau & Thoma, 2003).The hope was that the use of the U score could have provided additional support for the link between moral judgment and intended moral action for the sample of whistle-blowers in this study.
Center for the Study of Ethical Development (CSED) In 1982, James Rest, along with Darcia Narváez, Muriel Bebeau and Stephen Thoma, established this Center at the University of Minnesota. The primary activity of the Center has been to facilitate all research study that uses the DIT and DIT2 surveys to measure moral reasoning. The CSED also scores all DIT2 surveys and provides researchers data including basic statistical analysis related to the primary indices (P score, N2 score and U score). Thousands of DIT and DIT2 studies from the last 30 years are stored at the CSED and available for comparative purposes. In 1999, the CSED was moved to the University of
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Alabama, where it remains the central point for the facilitation and administration of the DIT and DIT2.
The National Whistle-blower Center (NWC) Since 1988, the NWC has provided legal support defending whistleblowers in the legal courts and before Congress. The NWC has achieved victories for individuals and instilled accountability in government and corporate organizations.
Government Accountability Project (GAP) The leading advocate of whistle-blowers in the United States has also expressed an interest in the results from this study. The GAP’s annual whistleblower assembly is attended by hundreds of individuals and some well-known whistle-blowers, as well as elected representatives who have sponsored legislation on behalf of whistle-blowers.
Ethics Research Center (ERC) This nonprofit organization compiles a global research survey on the ethical cultures of organizations. As part of the current research being done by the ERC Fellows, a group has explored the feasibility of employers screening potential employees for ethics by measuring ethical predispositions and whether 57
or not these predispositions are reliable predictors of work performance (Ethics Research Center, 2009). The executive director of the ERC, Dr. Patricia Harned has expressed an interest in the results from this study to provide support for the need for an ethical culture in all organizations.
Summary This study represents the first time the DIT2 was used to measure CMD for a group of whistle-blowers. The idea that whistle-blowers think and act differently than other individuals was not proven in this study. The idea that individuals who appeared to have made a moral decision actually had a different decision-making process was tested and found to be not true. Data from the research associated with a sample of whistle-blowers provided enough of a reasonable doubt to question traditional thinking about whistle-blowers and their intended actions. Initial research results from the DIT2 have established a base level of quantifiable data that could lead to more sophisticated research studies in the future. Existing literature related to whistle-blowers has been primarily qualitative research. The next chapter explores prior research focusing on the key concepts of ethical philosophy, moral development, and the moral decisionmaking process. 58
CHAPTER II: REVIEW OF LITERATURE Overview of Literature An illustration of the overall review of literature for this study is provided in Figure 6. Specific categories were chosen that would allow the researcher to build an understanding and appreciation from prior research of the specific concepts and theories relevant to this study. Locke, Spirduso, and Silverman (2007) stated that the objective of the literature review was to provide a balanced and unbiased review of previous research and to identify possible gaps in the literature from prior research in order to add new research to the existing body of knowledge. The categories chosen for this literature review allowed for the development of a comprehensive understanding of previous research. First, a general review of the history of ethical theory is important to establish a foundation of knowledge to understand the evolution of cognitive moral development. Next, the components of the moral reasoning process were studied along with a review of the various internal and external influences on the moral decision-making process. The last two categories of the literature review were
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established to generate a comprehensive review of whistle-blowing and the moral decision-making process. The objectives of the review of literature were to identify gaps in existing research, to continue to build on the existing platform of knowledge, and, most importantly, to provide an intellectual context for this study.
Figure 6. Sequence of Literature Reviewed
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Research questions were formed as a result of the literature reviewed. An understanding of past research aligned with the objectives of this research study provides an opportunity to create a new contribution of knowledge in the study of the ethical and moral reasoning, as it relates to moral behavior in individuals within organizations.
History of Ethical Theory One of the first steps in the review of literature was to establish a context for the terms ethics and morality. There are different types of theories, concepts, and principles associated with the philosophy of ethics. Ferrell, Fraedrich, and Ferrell (2000) defined the study of ethics as a series of reviews of the philosophy of human conduct in the determination of right and wrong. P. M. Cox (personal communication, January 12, 2012) referenced the Greeks as the first to differentiate between ethics as the foundation of behavior and morality as the actual behavior based on ethical foundations. For this study the terms ethics and morality are not interchangeable. Figure 7 was created to provide a snapshot of the application of ethical theory and moral development relevant to this study. The visual map highlights the different aspects of ethical philosophy and moral development that align with and enhance the overall goal of this research.
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Figure 7. Ethical Thought and Post-Conventional Level of CMD. (Developed by Principal Investigator).
The ethical philosophy used as context for this study was derived from theories of normative ethics. The normative approach includes three theories: teleological ethics, virtue ethics, and deontology ethics. In addition to the three ethical theories, Fieser (2009) stated that normative ethics included moral standards, foundational principles, and good character traits. Ethical philosophies offer guidelines in determining how individuals resolve conflicts (Singer, 1991). Ethical philosophies can be grounded by religion
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or philosophy. To insure that religious ideologies did not bias this study, philosophical ethics were reviewed and incorporated into this study rather than religious ethics. Ethical theories provided two primary categories of ethical philosophy for study: non-normative ethics and normative ethics.
Non-Normative Ethics Non-normative ethical theories such as descriptive ethics and meta-ethics were also reviewed. While meta-ethics was found to be incongruent with the objectives of this study, a form of descriptive ethics will be used in the interpretation of the DIT2 survey results obtained from the sample of whistleblowers. Descriptive ethics are an example of non-normative ethical philosophy. Descriptive ethics are focused on research and measurement on how individuals reason and act (Cox, 2011). Descriptive ethics include the empirical investigation in research that attempts to explain moral actions and the specific behaviors that have occurred as a result of the decision-making process (Hartman, 2005). Descriptive ethics research would seek to understand why people behave ethically or unethically. Descriptive ethics also consider the internal and external influences that affect an individual’s moral reasoning skills (Comparative Ethics, 2015).
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Even though normative philosophy is the primary focus, non-normative ethics, specifically descriptive ethics, is a secondary focus of this study. The use of descriptive ethics will become relevant during the interpretation of empirical data obtained in the survey of whistle-blowers.
Normative Ethics Normative ethical theory appeared to be best aligned with the objectives of this study. Normative ethics are based on the concept of what an individual ought to do (Singer, 1991). Typical questions in the study of normative ethics are: How should one act? and what is right or wrong? Normative ethics are based on theories that explain possible types of ethical behaviors. Fieser (2009) described normative ethics in relationship to the Golden Rule: The Golden Rule is a classic example of a normative principle: We should do to others what we would want others to do to us. Since I do not want my neighbor to steal my car, then it is wrong for me to steal her car. Since I would want people to feed me if I was starving, then I should help feed starving people. Using this same reasoning, I can theoretically determine whether any possible action is right or wrong. So, based on the Golden Rule, it would also be wrong for me to lie to, harass, victimize, assault, or kill others (p. 4) 64
Since normative ethics prescribe how society should live and act, modern philosophers have assigned three ethical theories to describe normative ethics: (1) teleological ethics, (2) virtue ethics, and (3) deontology ethics.
Teleology Ethics Teleology is the belief that certain phenomena are best explained in terms of purpose rather than cause (P. M. Cox, personal communication, January 12, 2012). An example of teleology would be: an individual looks at what happens following an action that has a moral dimension and at what the outcome (which is the origin of teleos) will be (Haines, 2006). Typically, one's actions may then be viewed to be good only if the outcome is desirable. Another way to describe teleological ethics is with the principle of consequentialism, which offers the view that the right action is the one that causes the most happiness and more happiness than would have been caused by any available alternative actions. Teleology is the study of ethical concepts based on the consequences associated with the individual decision-making process. Teleological ethics is an ethical theory based on moral actions, and these actions are determined based on an individual’s perception of the personal consequences associated with the decision. “What will happen to me if I choose to make this decision?” would be a typical question from a person with a consequential-based decision-making process (Haines, 2006). 65
Another example of teleological ethics is utilitarianism. Mill (1863) suggested that happiness, and not pleasure, was the guiding force of the utilitarian theory. He defined utilitarianism as a moral foundation that accepts “happiness” or the “greatest happiness as its primary principle.” Bentham (1748– 1832) suggested that utilitarianism was comprised of moral decisions based on the associated pleasure or lack of pain experienced because of the decision (Singer, 1991). Sweet (2008) references the work of Bentham, providing the basis for an objective measurement of human behavior through the analysis of habit. The reflection on presuppositions would allow for the measurement of decisions to forego pain or increase pleasure. Utilitarianism maintained that the morality of an action was to be determined solely through an assessment of its consequences (Hinman, 2003). Utilitarians must base decisions on what will produce the greatest amount of utility or positive consequences.
Virtue Ethics Virtue theory is the cultivation of character traits like benevolence, honesty, compassion, faithfulness, and courage (P. M. Cox, personal communication, January 12, 2012). Hartman (2005) stated that virtue ethics can also be referred to as the expectations of character. A question one would ask related to virtue ethics would be: What makes a person morally good? Aristotle 66
believed that a person with good character would do the right thing. Hartman (2005) illustrated the desirable character traits of a virtuous person as described by Aristotle as honesty, compassion, fairness, and generosity. St. Thomas Aquinas added to Aristotle’s list by including the theological traits of faith, hope, and charity. While these are admirable traits, the virtuous individual is one who is motivated by leading a life that fits into the all-encompassing ideal of creating the best sort of life for humans to live.
Deontology Ethics Deontology or duty ethics appeared to be the ethical theory most closely aligned with the objectives of this study. Alexander and Moore (2008) defined deontology as being derived from the Greek words for duty (deon) and science (logos). Duty ethics suggested that an individual’s decision-making process is based on a set of universal principles and rules that determine “what we ought to do.” A fundamental principal of deontological ethics, developed by Immanuel Kant, is the categorical imperative. Kant (1963) argued that an individual should not make decisions based on consequences; rather, the individual should act morally because of a duty to do so. Hooker (2002) identified Kant as the philosopher of central importance to deontological moral theory. Kant highlighted the two primary rules of the categorical imperative that indicate how a person should always act. Kant (1963) 67
argues that moral imperatives are without conditions, exceptions, or extenuating circumstances. These rules are: (1) “Act only on the maxim which you can at the same time will to become a universal law,” and (2) “Always act so that you treat humanity, whether in your own person or in another, as an end, and never as merely a means” (Johannessen, Valde, & Whedbee, 2008).
Challenges to Ethical Theories Challenges to both the normative and non-normative ethical theories are: (1) egoism and (2) relativism. Egoism presented a challenge to ethical theory as it claimed that each person had but one ultimate aim: his or her own welfare (Mosely, 2005). Egoism is a separate theory that stated one’s self is, or should be, the motivation and the goal of one’s own moral actions (Mosely, 2005). With egoism, decisions are made that create the most happiness for the individual decision maker. Some opponents argue that egoism is not an ethical theory, but rather a state of mind comprised of nothing more than hedonistic tendencies of personal satisfaction. Ayn Rand (1957) talked about a form of egoism called objectivism where she portrayed a theory of the selfish man, constantly seeking to selfishly better himself, while also bettering society as a whole at the same time. Rand (1957) created a selfish man in the character John Galt, the epitome of the ethical egoist. Rand defined morality as the judgment to distinguish between right and wrong, 68
the vision to see the truth, the courage to act upon it, and the integrity to stand by it no matter what the price. Rand referred to egoism as selfish morality, where the moral principle of sacrificing for others was questioned. The principal of ethical egoism claimed that moral decisions are made with one’s self interest in mind. In addition to the negative connotations of selfishness associated with egoism, perhaps there is a positive aspect of ethical egoism. Singer (2007) referred to Adam Smith’s theory of the “invisible hand” as a positive aspect of egoism. In Smith’s free market theory, all entrepreneurs would “selfishly” pursue their own interest to maximum profits, and in doing so, would produce the activities of a robust economic engine that would benefit others. Relativism is another challenge to ethical theories. The principle of ethical relativism stated that there are unique moral and ethical beliefs that are specific and necessary for people within a society, but they may be different from the moral standards of other groups and societies. To the ethical relativist, there are no universal ethical principles. Wong (2007) contended that the ethical relativist believed it was wrong to pass judgment on others with substantially different values or try to make them conform to one’s own values. Challenges to the theory of relativism typically center on the rightness or wrongness of an action as an individual perception. Research proved that 69
influential leaders can direct actions and behaviors on a relative basis when evidence of social consensus is lacking (Andre &Velasquez, 1992). The extremes of ethical relativism include genocide, polygamy, racism, and torture. There are many historical examples of ethical relativism. Perhaps the most dramatic example was the implementation of the “final solution” of the National Socialist Party in Germany during the 1930s and 1940s. For purposes of this study, the deontological theory of ethics appears to be most closely aligned with the post-conventional level of CMD. Adler (1998), stated that deontological perspectives are concerned with the process that leads one to see the duty to act in a particular way, regardless of eventual outcomes, as paramount in the decision process. Gonzalez (2002) suggested that at the postconventional level of CMD, decisions are generated from values, norms, and principles that are (or could be) acceptable to all individuals in society on an equal basis. This is why, for purposes of this study, post-conventional CMD is posited to be aligned with deontological ethics. For this study, H1 suggested that whistle-blowers have moral judgment skills aligned with the post-conventional level of CMD. Therefore, an assumption of this study is that the whistle-blowers moral reasoning skills are based on principles and a set of universal guidelines. Walton (1988) stated that at the postconventional level individuals make decisions based on principled reasoning. 70
These individuals are fully autonomous moral agents who know who they are, what they believe, why they believe it, and who act in accord with those beliefs (p 188).
Cognitive Moral Development The next step in the review of literature is to build on the understanding of the ethical theory of deontology by linking it to CMD. This link between ethical theory and CMD establishes a correlation between deontology and the post-conventional level of CMD. Cognitive moral development is the application of ethics to the individual (Weber, 1991). Specifically, it is the application of those ethical theories in a format that can be measured and tested. That measurement in the DIT2 survey is the P score, and it is a critical measurement to provide support for H1 in this study. It is important to provide a differentiation between moral development (MD) and cognitive moral development (CMD). Puka (2005) defined cognitive moral development as the process through which individuals developed proper attitudes and behaviors toward others in society based on norms, rules, and laws.
Theory of Moral Development The general theory of moral development offers an assumption that individuals develop morally on a continuous basis throughout life. The moral 71
development process is based on the attributes of morality that are inherited, along with those gained through the influence of family, friends, and society; it also includes those discovered through reasoning or experience. The so-called trial and error component of moral development is known as cognitive moral development (CMD). German psychoanalyst Erik Erikson was influenced by the work of Sigmund Freud, and he was the first to introduce the concept of unique stages of moral development. Erikson theorized that each individual passed through eight interrelated stages over a life cycle. The identification of moral stages of development later became the basis for Jean Piaget’s work with moral reasoning in children. Jean Piaget, a biologist born in Geneva, Switzerland, was a pioneer in the field of cognitive moral development. He was most curious about the wrong answers that children were providing on intelligence tests in the late 1950s. Piaget was more interested in the cognitive reasoning skills of children and how those skills were associated with decisions that were reached. Piaget thought that the significant differences in the forms of moral reasoning were primarily a result of age-related differences in children (Reimer et al., 1990). As Piaget’s research continued during the 1960s, moral reasoning differences were no longer a result solely due to age; additional influences from 72
social experiences and a child’s capacity to learn also created developmental differences. The work by Piaget produced four categories of cognitive moral development in children: (1) sensorimotor (birth to two years), (2) preoperational (two years to seven years), (3) concrete operations (seven years to eleven years), and (4) formal operations (eleven and older) (Reimer et al., 1990). Although the primary focus of Piaget’s research was the development of human intelligence as it related to cognitive moral development, he was also able to create a link between moral reasoning skills and moral decisions that became the seminal work in the study of cognitive moral development theory. Continuing the work of Piaget, Lawrence Kohlberg developed a theory related to the instinctive reasoning skills associated with behavior. Kohlberg, a psychologist and professor at Harvard University in the 1970s, conducted cognitive moral development research based on the belief that individuals develop philosophically and psychologically in a progressive manner. Kohlberg identified six stages of cognitive moral development (CMD) which were classified into three levels: pre-conventional, conventional, and postconventional (Figure 8).
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Figure 8. Cognitive Moral Development. Levels and Stages of CMD (Based on description from Kohlberg, 1976).
Kohlberg (1976) stated that individuals could only progress through the stages of moral development one stage at a time. Crain (1985) contended that Kohlberg believed that social interaction and moral discourse promoted the moral development of human beings. Earlier in the narrative, each of the stages of CMD were described in detail and shown (Figure 4) in alignment with a specific ethical theory. Kohlberg (1981) elaborated on the “stage” progression theory and stated that upward movement in the stages of CMD depended on exposure to an environment that stimulated higher-level reasoning. Therefore,
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one might conclude that those individuals at the post-conventional level of CMD have highly developed moral reasoning skills. Research has indicated that the post-conventional level of moral development is associated with individuals who make decisions based on principles. Trevino (1986) stated that individuals at the highest level of CMD based decisions on universal values or principles: seeing beyond norms and laws. Walton (1988) stated that at the post-conventional level of CMD the individual reached decisions based on moral principles, concluding that these individuals know who they are, what they believe, and act in accordance with those beliefs. Less than 20% of adults have moral judgment scores at the postconventional level (Kohlberg, 1981). Thus, the majority of individuals have moral judgment scores at the conventional level of CMD. Support for these conclusions is found in a study conducted by the ERC in 2009 that indicated less than 40% of all individuals who witness wrongdoing would take action and report the wrongdoing (Ethics Research Center, 2009). In other words, they did not want to act in a manner that was not generally accepted.
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Sources of Morality Is the level of CMD unique to each individual? What makes an individual moral structure specific and unique from others? There are at least three primary contributions to the overall moral development of an individual. In the first contribution of moral development, Darwin (2004) claimed that one’s moral sense is ultimately derived from social instincts. Social instincts are directed toward the good of others, and humans as well as animals have social instincts (p. 98). Wright (1994) stated that a portion of one’s moral development is inherited through the genetic code passed from generation to generation. Levy (2004) suggested that a second source of morality may be acquired from the interaction with family, friends, teachers, mentors, and those who convey religious influence. Aristotle (1893) stated that “by doing the acts that we do in our transactions with other men we become just or unjust, and by doing the acts that we do in the presence of danger, and being habituated to feel fear or confidence, we become brave or cowardly.” Thus, moral character is formed from the habits of behavior. The last building block in moral development may be derived from experiential learning. Perhaps the moral characteristics of an individual are developed from life activities and the development of this third aspect of morality continues throughout one’s life. These lessons learned from trial and 76
error, and the consequences associated with the decision-making process, are a form of permanent records in an individual’s cognitive structure. John Dewey described individual morality as a final analysis of the deliberations and choices one makes during a lifetime (Kanne, 1988). There are two fundamental types of moral actions, those based on justice and those based on caring. The actions or moral behaviors of whistle-blowers appear to be aligned with the highest level of justice. Kohlberg (1976) believed that the principles of justice are universal. Therefore, could the behavior of whistle-blowers be associated with their feeling of a duty to a social contract?
Challenges to the CMD Theory CMD theory emphasizes the cognitive basis of moral judgment and its relationship to moral action (Trevino, 1992). After the development of the CMD, much of Kohlberg’s research was based on empirical data derived from decades of longitudinal, cross-cultural, and cross-sectional tests. Kohlberg’s CMD construct was not without challenges and criticism, primarily related to gender bias. Kohlberg’s research was conducted on young male children; this led to strong suggestions of gender bias and a strong challenge to Kohlberg’s CMD theory by Carol Gilligan.
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CMD and Gender In Kohlberg (1976), CMD testing was done primarily with male children. Walsh (2000) stated that Kohlberg believed children generated their own moral judgments and were moved by emotions including love, respect, empathy and attachment. Children become moral agents at an early age (Walsh, 2000). This early testing by Kohlberg came under scrutiny and gave rise to criticism associated with gender bias. Carol Gilligan was the most vocal critic of Kohlberg’s theory of CMD; she contended that the testing developed for assessing levels of CMD was gender biased against women. Gilligan (1982) stated that Kohlberg’s theory of cognitive moral development detailed only one aspect of the psychology of moral judgment and missed the heart of morality. Further challenges from Gilligan questioned the fact that the female voice was not present in the theory of CMD. The moral reasoning of women was considered to be oriented toward the value of care and the reasoning skills of men were thought to be based on the value of justice (Gilligan, 1982). Gilligan’s ethic of care was described in White (1999) as a moral person who helps others while meeting one’s obligations and responsibilities to others. Gilligan (1977) asserted that females were not scored correctly on Kohlberg type scales, thus causing lower P scores for females. Gilligan attributed 78
the lower scores to a male bias which rewarded justice based responses and penalized those responses that emphasized care. Now, more than 30 years since Gilligan introduced the difference between care and justice based moral reasoning decisions, the field of nursing has adopted caring ethics as the primary moral art in the practice of nursing (Rest & Narváez, 1994). However, there are other researchers who have shown that gender bias in CMD testing is not significant. Pennino (2002) did not find any significant difference between the moral reasoning scores of men and women. In a study of more than 100 middle managers, Forte (2004) found no significant difference in gender view. Thoma (2006) viewed 56 DIT studies and found that only 5% of the variance in scores was attributed to gender differences, whereas age and education accounted for 53% of the variance. The evidence supporting Gilligan’s claims of gender bias was minimal. Rogers and Smith (2001) report that very little empirical evidence exists to support gender differences in CMD. Most evidence is largely anecdotal and narrative. However, the two types of reasoning (justice and caring) are important in terms of the context they provide. Since the gender data was collected as part of the demographic variables for this study, future analysis based on the influence of gender on the P scores of whistle-blowers could be performed.
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In another example of a limitation with the theory of CMD, Trevino (1986) indicated that tests of moral judgment in Kohlberg’s research were limited to cognitions or how individuals intended to act, not how they actually behaved. This limitation underscored the delicate yet significant relationship between moral judgment and moral action. CMD theory emphasizes the cognitive basis of moral judgment and its relationship to moral action (Trevino, 1992). Kohlberg’s research provided a level of knowledge from which additional research was developed. However, a challenge to any type of CMD research is the ability to accurately measure the difference between individual responses to intended actions, compared with actual actions. In Kohlberg (1976), the original survey protocol the Moral Judgment Interview (MJI), was a time consuming personal interview approach facilitated by professional interviewers. Kohlberg’s critics challenged the efficacy of the CMD theory by questioning the relationship of moral judgment and moral action. Blasi (1980) concluded that the “psychological meaning of statistical correlations between moral reasoning and action has not been determined” (p. 40).
The Four Component Model The research that followed Kohlberg was focused primarily on defining and measuring key aspects of moral reasoning and the moral decision-making process. Derry (1989) defined moral reasoning as the process of moral judgment 80
by which individuals deal with moral conflicts. The moral judgment process included a definition and framing of the conflict, as well as an evaluation and resolution of the dilemma. Rest (1986) determined that there were more components to morality than just moral judgment. The objective was to understand how the pieces all fit together. The Four Component Model (FCM) is a framework that describes the four psychological components determining moral behavior. It starts with the question, “When a person is behaving morally, what must we suppose happened psychologically to produce that behavior?”(p. 3). Rest (1979) stated that in order to behave morally a person must perform at least four steps in a psychological process shown in Figure 9. To further clarify the impact of the FCM on the study of CMD it is necessary to confirm the fact that the DIT2 P score measured the moral judgment component of the FCM. Therefore, moral judgment (P score) is the determinant of the level of CMD. The FCM simply illustrates the components that comprise a logical analysis of what it takes to behave morally (Rest, 1986, p. 24).
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Figure 9. Four Component Model and the Correlation between Moral Judgment and Moral Action (Based on description from Rest, 1986)
Note that the FCM represents the process involved in producing a moral action, not the personality traits of the individual. Each component in the process also has various possible cognitive-affective interconnections (Rest, 1986, p. 4). This study places emphasis on the relationship between determining the moral action to take (judgment), and then actually doing it (moral action). Blasi (1980) stated that the link between moral judgment and moral action is the unity of human moral reasoning. Blasi (1983) confirmed that moral reasoning is a rationalization of the human need for a coherent account of what one is doing. There are a number of internal and external forces that can dramatically impact the correlation between moral judgment and moral action in the decisionmaking process. Figure 5 illustrates some of those influences on moral
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reasoning. For example, ego, locus of control, education, and moral intensity have been identified in past research as variables that affect the moral actions of an individual. Education is the most widely researched independent variable for its effect on the dependent variable (P score). Can focused attention to education and specific teachings on morality and ethics increase an individual’s moral reasoning skill, and thus their level of CMD? Does a person with more years of education have a higher level of CMD compared to a person with less formal education? Previous DIT and DIT2 survey scores (P scores) were used to test the correlation of age and education with levels of CMD. The results have provided positive support to the correlation between education and P scores. An illustration of the difference in average P scores based on education is shown in Figure 10. The range for P scores is 0 – 95. A P score above 50 is considered to be at the post-conventional level of CMD. Education was found to be the most powerful influence of moral judgment, compared to other variables such as age or gender (Rest, 1986). An important consideration for this study is that while the level of education increased, the correlation between moral judgment, and moral behavior did not increase accordingly. The lack of correlation was based on the lack of data from research studies that measured the relationship between judgment and action. 83
Education
P score Male
P score Female
College Graduate
61.0
63.0
College Student
44.1
45.9
High School Student
28.7
30.4
Jr. High Student
19.1
19.8
Figure 10. P Scores based on Education Level and Gender (As described in Rest & Narváez, 1996)
Prior research results indicated that although the P scores increased as the level of education increased (Rest, Thoma, & Edwards, 1997), there are no indications that the individual will actually behave in a consistent manner with their DIT and DIT2 survey scores. Therefore, the link between moral judgment and moral action remains questionable. Since neither age nor education offer correlation to support the link between moral judgment and moral action with reasoning skills, they will not be utilized as research variables in this research study. The correlation between moral judgment and moral action is similar to a related theory developed by Chris Argyris and Donald Schön. In the theories of action, Argyris and Schön (1974) argued that people hold two theories of effective behavior: the espoused theory and the actual use theory. Espoused theory is what you say you will do. Mental maps based on past experiences may influence the espoused behavior (moral judgment). Actual use theory is what you do. Behaviors 84
(moral actions) at the post-conventional level of CMD would be have a strong correlation to moral judgments. Ideally there is also a strong correlation by between theory espoused and theory in action. Senge (2006) elaborated on the concept of theory espoused and theory-inuse. The concept of a deep mental model or cognitive vision as a driving force in one’s behavior is the fundamental aspect of Senge’s thinking (p. 177). Inconsistencies or gaps occur when there is a difference in one’s actions compared to their cognitive vision. In other words, these are the individuals who say one thing and do something different. A question that has hindered the unequivocal support for the correlation between moral judgment and moral action has been trying to determine what someone, who has scored at the post-conventional level of CMD, would do when faced with a real moral dilemma? This inability to record actual behaviors of DIT and DIT2 survey participants has been a challenge for researchers. A possible advantage with this study is that each survey participant invited to participate in this study brings a history of a documented whistle-blowing event as an actual moral action. Researchers continued to struggle in order to define the gaps that exist between moral judgment and moral action. One possible explanation could be found in the individual’s moral identity. Blasi (1980) introduced the concept of 85
cognitive "moral identity," which he regarded as an advanced state of moral development. An individual with a strong moral identity will hold being moral as "a part of their essential self” (p. 132). Blasi (1983) suggested that moral identity affected one’s actual behavior after a moral judgment was made. The moral identity concept was important in the overall support for the primary hypothesis of this study. At the post-conventional level of CMD, moral judgment is aligned with the ethical theory of deontology. If at the postconventional level of CMD decisions are made based on guiding principles, then one could assume that the individual instinctively relies on those guiding principles to make decisions and behave consistent with those decisions. At the post-conventional level, decisions are based on a set of guiding principles that are typically not influenced by the external forces (Rest & Narváez, 1994). Individuals who are more susceptible to the influence of external forces in the decision-making process are most likely at the conventional level of CMD and aligned with the ethical theory of teleology.
Assessment of Moral Reasoning Skills The objective of assessing moral reasoning skills was to provide empirical data for the establishment of all six stages of CMD. Early measurements of CMD relied on the subjective interpretations of personal interviews with the subject. This proved to be time consuming and provided answers to ethical dilemmas 86
that were challenged as being highly subjective. Regardless of the claims of subjectivity, some researchers felt strongly about the use of personal interviews to gather information related to CMD. For example, Liedtka (1992) argued that the personal interview was only appropriate for the kind of exploratory, theorybuilding research that ethical decision-making represents. Churchman (1971) claimed that the personal interview allowed the researcher to move beyond the analysis to capture the “world view” of the observed by exploring the organizational context of the dilemma.
Tools to Measure Moral Judgment Kohlberg’s original protocol for measuring moral judgment was the Moral Judgment Interview (MJI). The MJI was a lengthy, detailed personal interview that yielded qualitative results. In order to quantify the responses gathered from each interview, Kohlberg incorporated a scoring mechanism called the Standard Issue Scoring Method. Kohlberg’s Standard Issue Scoring System (SISS) is one of the best known of these scoring systems (Colby & Kohlberg, 1987). To assess the level of CMD with the SISS, the researcher administered a set of moral judgment interviews, then through transcribed notes identified responses to each moral dilemma and matched each response to a similarly structured argument in the scoring manual. However, this scoring method provided only weak support for
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the link between moral judgment and moral action and was not designed as a predictor of moral behavior (Kohlberg 1976). Another type of tool used to measure the level of CMD was the Moral Judgment Test (MJT). Developed by George Lind, the MJT is primarily concerned with the individual’s consistency in moral reasoning. Lind (2000) suggested that the use of the Moral Judgment Test (MJT) was considered the best tool to measure moral judgment because it focused on the consistency of principled responses as well as the cognitive aspects of moral judgment. Ishida (2006) described the MJT as a way to assess one's moral judgment competencies and measure the degree to which one can consistently employ the same moral value across different ethical dilemmas. Neither the MJI nor the MJT were designed to provide information to predict moral actions. The MJI was a method originally developed by Kohlberg to measure moral judgment. However it was time consuming and required a significant amount of manual effort to facilitate the interview and score the responses. CMD research was often criticized in terms of not being able to support the correlation between moral judgment and moral action, both the MJI and the MJT were unable to provide specific results that supported a strong correlation between survey scores and the link between moral judgment and moral action (Elm & Weber, 1994). There was a need for a consistent, simple 88
measurement to assess individual moral judgment scores and also provide support for the link between moral judgment and moral action.
Defining Issues Test (DIT) An example of a protocol that was developed to quantify moral judgment in an easier, more reliable manner was described in Rest (1986). The primary objectives of the Defining Issues Test (DIT) were to quantify moral reasoning scores, and then to correlate those with levels of CMD, to provide a basis from which the correlation between moral judgment and moral action could be tested (Rest, 1986). Rest introduced a self-administered test protocol that was heralded as having distinct advantages over the MJI because it took less time to complete, was easier to score, and could be self-administered. A number of validity and reliability checks were built into the DIT based on 12 questions that a respondent would answer after reading each of the five ethical dilemmas. The DIT and DIT2 are paper survey instruments that present respondents with a variety of hypothetical moral dilemmas (six dilemmas in the DIT and five dilemmas in the DIT2). The survey participants have three tasks to complete: (1) decide on an action, (2) rate, using a Likert scale, the importance of 12 items in making the decision, and (3) rank the four most important items in the decisionmaking process. After each story, a list of 12 questions is presented for the survey participant to answer. Each question is assigned a range of points from one to 89
five based on its relevance to principled judgment, or the post-conventional level of CMD. The scoring is based on each survey response that is associated with the post-conventional level of CMD; it is then assigned a higher P score.
DIT Metrics A challenge in the development of the DIT was to determine how to accurately measure an individual’s moral judgment skill (Rest & Narváez, 1994). The measurement of moral judgment within the DIT and DIT2 is accomplished with the P score (Rest, Thoma, & Edwards, 1997). The P score is the accumulation of all principled based responses that a respondent marks as important. In an effort to enhance the P score, the N2 score was introduced with the introduction of the DIT2. Thoma (2006) described the N2 score, as a new index that adjusts the P score based on the participant’s ability to discriminate principled responses at the highest level of CMD with lower-stage items. The inability of a participant to identify principled responses would result in a downward adjustment of the P score. The major impact of the N2 score was found with surveys involving older, more experienced individuals, presumably more morally developed. The N2 should be helpful in discriminating at the high end of the CMD scale (p. 80). The N2 was found to generally outperform the P score in testing of the education variable as it relates to CMD (Rest, Narváez, Thoma, et al.,1999). To 90
insure the most accurate measurement of moral judgment and CMD, this study utilized both the P score and the N2 score to measure the moral judgment of the sample of whistle-blowers. Another measurement in the DIT2 is called the Utilizer score (U score). The U score measures the degree of consistency between the moral judgment responses and the choices of intended moral actions associated with each of the moral dilemmas in the DIT2 (Mudrack, 2003). The U score also reflects the consistency in which a person uses the concepts of post-conventional CMD (primarily justice) in making moral decisions. A high U score suggests that the items one selects as important are consistent with his or her choice of action (p. 227). Rest and Narváez (1994) stated that using the U score with all DIT2 research provides a clearer, stronger link with moral judgment and intended moral behavior. The use of the U score is especially interesting in its application to this study. A high U score in this study would reflect a high consistency between moral judgments and intended moral actions. The whistle-blowers in this study have already proven an actual consistency between a moral judgment and a moral action at one time in their past. Thoma, Rest, & Davison (1991) provided support for the use of the U score in addition to the P scores by creating the ability to analyze DIT items and action 91
choices for each ethical dilemma in the DIT. Thoma et al. (1991) concluded that the U score was a good indicator of the degree to which moral judgments would influence decision-making, and should be included in research analysis to strengthen the description of the potential relationship between moral judgment and moral action. (p. 664). Rest (1986) stated that the link between moral judgment and moral behavior was the single most controversial aspect of the CMD theory. Blasi (1980) reviewed 75 studies relating moral judgment with specific behaviors and found relationships between moral judgment and moral action. For example low levels of CMD were linked with delinquency, and individuals at a higher stage of CMD did not cheat as often as compared to those individuals at lower stages of CMD. However the strength of the relationship was only moderate. Blasi (1980) urged researchers to pursue further and challenge the foundations of the CMD theory: by seeking to determine the nature of the relationship between moral judgment and moral behavior. Rather than trying to understand the complexity of the relationship between moral judgment and moral action, this study, focused on the strength of the correlation between moral judgment and intended action as it applied to whistle-blowers.
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Finally, by aligning the U scores from the DIT2 with the actual known behaviors of the whistle-blowers in this study, additional support through retrodiction could have provided strength to the link between moral judgment and actual moral action. However the U scores from this study did not provide that level of support Retrodiction, described as the act of making prediction using information or events from the past, is defined as, “to utilize present information or ideas to explain a past event” (Retrodiction, 2011). Vogt and Johnson (2011) stated that retrodiction is a hypothesis that predicts something that occurred in the past. Retrodiction relies on newer theories supported by past data to determine how they would have performed in the past. Thoma (2006) suggested that the DIT2 has led researchers to create a method that uses the DIT2 and its measurements of moral judgment for purposes of understanding the link between moral judgment and moral action. This methodology relies on the ability to understand and predict moral behavior by factoring internal and external influences into the decision-making process. One reason for the inability to accurately predict moral behavior is due to the fact that only a moderate statistical correlation exists between moral judgment and moral action (Blasi, 1980). However, as indicated in Kohlberg (1984), the CMD theory was not designed to be a predictor of ethical or unethical 93
behavior. A primary objective of this research project was to add additional data obtained from the DIT2 survey results to support the strength of the correlation between judgment and intended action. Thousands of studies have been performed using the DIT and DIT2 protocol during the last 30 years. Rest and Narváez (1994) analyzed results from prior research using the DIT and DIT2 to measure moral judgment using P scores and equating those P scores to specific levels of CMD as illustrated in clustered survey results (Figure 12). In Rest and Narváez (1994) various authors published specific results from DIT and DIT2 surveys with various groups of individuals such as accountants, medical professionals, journalists, and athletes (Ponemon & Gabhart, 1990; Self & Baldwin, 1994). One specific group researched was included in Ponemon and Gabhart (1990). Results from testing accounting professionals at CPA firms across the United States and Canada found a number of interesting results in the comparison of P scores among different categories of workers within the CPA firm (Figure 11). For example, the P scores of partner-level accountants were at a lower level of CMD compared to staff accountants. Female accountants achieved P scores higher than their male counterparts, and Canadian CPAs scored higher than CPAs in the U.S.
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P Score
Accountants in Public Accounting Firms
49.6 46.8 44.7
Senior-level female accountants Supervisory-level accountants Accountants at staff level
44.2 42.4 41.4
Canadian Auditors Accounting seniors Senior-level male accountants
40.0 35.7 32.2
American Auditors Manager-level accountants Partner-level accountants
Figure 11. P Scores from Accounting Professionals (Adopted from Rest & Narváez, 1996).
Data from previous surveys provided an interesting ranking of P scores illustrating moral judgment scores of individuals in the accounting profession. However, it should be noted that the level of CMD does not necessarily predict how an individual will actually behave when presented with an actual moral dilemma.
The Act of Whistle-blowing and Whistle-blower Characteristics Although the specific origin of the term whistle-blowing cannot be verified, there are specific definitions in the literature associated with whistle-blowing that are used to form a foundation of thought for this study. A fundamental assumption of this study is that the act of whistle-blowing is usually a moral action, rather than an immoral behavior. In Dozier and Micelli 95
(1985), whistle-blowing was viewed as a positive, unselfish, social behavior, motivated by altruism in hopes that the behavior will benefit others. Trevino and Youngblood (1990) stated that moral decisions are more likely made by individuals who have an internal locus of control and higher levels of CMD. In other words, individuals who rely on their own cognitive strengths to do the right thing typically have moral judgment levels aligned with the post-conventional level of CMD, and most often will choose actions consistent with their judgment. Trevino and Youngblood (1990) described a scenario that is the aligned with the anticipated outcome from the survey results in this study. Prior research by Miceli, Near, and Schwenk (1991) indicated that whistleblowing was done for either a positive or negative reason as an act of citizenship or an act of revenge. Most incidents of whistle-blowing are done to prevent negative consequences of wrong-doing to all stakeholders; those are viewed as positive behaviors (Miceli et al., 2008). Larmer (1992) stated that loyalty is the primary reason for the act of whistle-blowing; to whistle-blow for reasons of morality are to act in the best interest of one’s employer. Justice is also a motivating factor and positive reason for the act of whistle-blowing. For purposes of this study, whistle-blowing was treated as described in Miceli (1985), as a prosocial behavior involving altruistic motives on the part of 96
the actor. This type of reporting of organizational wrongdoing is referred to as an act of citizenship. Citizenship behavior was defined in Smith, Organ, and Near (1983) as consisting of two parts. The first part is primarily related to prosocial acts toward individuals, and the second part is labeled as generalized compliance, or acts for the sake of the system rather than the individual. However, this study recognized the fact that not all whistle-blowing is an act of citizenship. At the other end of the spectrum is the idea that whistleblowing can sometimes be an act of disloyalty fueled by an individual’s desire to seek revenge, or to undermine someone in power for personal benefit and gain. (Jubb, 1999; Street, 1994). In order to portray an unbiased, balanced view of whistle-blowing, it is important to consider other research that has demonstrated in some instances that whistle-blowing is motivated by revenge, power, or a response to the monetary rewards offered as part of recent legislation designed to protect whistle-blowers. The whistle-blower must make a moral decision and decide between loyalty to the firm and the liberating feeling associated with speaking out against the wrongdoing (Lindbloom, 2007). In general, whistle-blowers are seen as organizational betrayers (Moberg, 1997). Perhaps there is a gray area that exists in the identification of acts of whistle-blowing for moral reasons, compared to those acts of whistle-blowing initiated as a result of revenge or malevolence. 97
In order to present a balanced approach and illustrate both types of the intention (positive and negative) associated with whistle-blowing, Jubb offered a different definition of whistle-blowing. Jubb (1999) proposed the definition for whistle-blowing as “a deliberate non-obligatory act of disclosure, which gets into the public record and is made by a person who has privileged access to data or information of an organization about an actual, suspected or anticipated illegality or other wrongdoing and is under the control of the organization.” To help clarify the two possible motives of whistle-blowing, Hirschman (1970) developed a model based on the assumption that organizational participants have two sorts of responses to organizational lapses in efficient performance, and rational, law abiding, virtuous functional behavior. The Hirschman model suggested that the two types of responses are: (1) exit, by which people cease to participate in an organization to avoid objectionable consequences and (2) voice, by which people articulate their dissatisfaction and offer critical views in order to change organizational consequences (Keeley & Graham, 1991). Based on the review of individual whistle-blower cases, it appears that most whistle-blowers attempt to first report questionable activities to someone of authority inside the organization in hopes of resolving the issue or creating
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change (Alford, 2007). This additional stage called change would be prior to exit, and would assume that the voice would be in reference to an external voice. Although this study acknowledged that the act of whistle-blowing can be viewed as positive or negative, there is anecdotal and biographical evidence to support the assumption that most whistle-blowers are individuals who behave in a courageous, moral manner (Alford, 2001). Johnson (2003) illustrated the fact that there are both devils and angels among the thousands of whistle-blower cases each year. Whistle-blowers seeking revenge or to cause harm on the organization or a specific individual in the organization are many times dismissed when the true intent of the whistleblower is discovered. The act of whistle-blowing was described in O’Reilly and Aquino (2011) as a deontic model. Folger (1998) described the deontic model as an event whereby people who witness acts of injustice are motivated to behave in a moral manner regardless of the personal consequences that may be bestowed on them. Based on personal experience and understanding of the influence of ethical theory, one could conclude that the whistle-blowers in this study would not have considered the consequences of their actions to be an influence in their decision-making process. When individuals weigh the effect of personal consequences of the
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decision, prior to taking action, their decision-making process is commonly aligned with the teleological ethical theory.
Whistle-blowers and CMD There have been attempts to quantify the link between whistle-blowing and specific levels of CMD. One such attempt is documented in Brabeck (1984), who conducted a survey with an experiment to investigate the link between moral judgment and moral action of students. Brabeck (1984) was based on the argument in Kohlberg (1981), which stated that moral judgment structures influenced moral actions because they establish stable cognitive dispositions. In the first part of Brabeck (1984), 38 undergraduate students were administered the DIT survey. The second part of the experiment was designed so that those same students, who participated in the DIT, were asked to participate in a review of an article written by a professor at the college. When the investigator left the room, an accomplice announced that the article had errors in it, and it had been plagiarized from another source, from which the accomplice held up the source document for all the students to see. The test was to determine which students would indicate either in writing or directly to the investigator that something was possibly wrong with the test article. Brabeck (1984) predicted that the subjects who had DIT scores at the postconventional level of CMD would be more likely to call attention (blow the 100
whistle) to the discrepant information announced during the experiment compared to those subjects at the conventional level of CMD (p. 47). The results confirmed the prediction, only 8% of subjects who had P scores aligned with the conventional level of CMD, actually blew the whistle, as compared to 54% of subjects at the post-conventional level of CMD who blew the whistle. Brabeck (1984) showed experimental evidence that whistle-blowing behavior was more common among those who had reached higher levels of moral judgment. These findings implied that whistle-blowers are more inclined to be at a “higher level” of moral judgment. Mesmer-Magnus and Viswesvaran (2005) further support Brabeck (1984) by stating that whistle-blowers tend to score higher on tests of moral reasoning. One drawback to Brabeck (1984) was that the test has not been administered with actual whistle-blowers. One benefit of this study was to provide results that would illustrate a clear distinction between the Brabeck experiment and this study that utilized a sample of actual whistle-blowers. In another study, Jos, Thompkins, and Hays (1989) provided strong support for the fact that the whistle-blower is guided by principles and obligations in the decision-making process. Jos et al. (1989) reviewed results from 161 survey questionnaires obtained from mainly government whistle-blowers and found that the committed whistle-blower may be far less responsive to social 101
cues that define appropriate behavior than most people (p. 557). This supported the hypothesis that the whistle-blower is aligned with the post-conventional level of CMD, which is associated with the ethical theory of deontology. Other conclusions from Jos et al. (1989) included:
Those willing to blow the whistle were committed to certain values and capable of acting on that sense of obligation even when faced with strong organizational and situational pressures to the contrary.
The whistle-blower was cognitively and behaviorally guided by internal beliefs and values.
The decisions made by whistle-blowers seem to have less to do with weighing costs and benefits than with strong commitments to moral principles and resistance to social pressure or manipulation. An ironic but consistent finding serves as an epilogue to Jos et al. (1989) in
that retaliation against whistle-blowers was especially severe, with approximately 60% of the respondents reported losing their jobs. Despite the heavy price these people paid, more than 85% reported they would “blow the whistle again” (p. 24). Prior research on CMD has focused on external influences that may affect the decision-making process. One issue thought to affect moral action is the seriousness of an issue (also known as moral intensity). Research has shown that 102
the intensity of the issue may influence the decision to report the details of the wrongdoing internally or externally. Jones (1991) argued that the decision-making process is issue-contingent, meaning that there are characteristics of the issue also referred to as the intensity of the issue that can impact the decision. Moral intensity focuses on the moral issue not the agent or the organization. Key aspects of moral intensity are the magnitude of consequences and the probability that the act in question will actually take place (p. 375). Research has demonstrated that moral intensity corresponds directly to whistle-blowing and may even be a predictor of whistle-blowing (Singer, Mitchell, & Turner, (1998). Consistent with other research studies, Singer et al., (1998) noted a study limitation related to the fact that the research was based on whistle-blower intention rather than actual whistle-blower behavior. In terms of identifying predictors of the whistle-blower, Brinker and Miceli (1985) suggested that whistle-blower behaviors are aligned with a prosocial behavior perspective. Jones (1991) claimed that when an individual enters the decision-making process, an overwhelming number of internal and external variables (or inputs) are created that can affect the nature of the decision that is made.
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There are many complex, multi-dimensional reasons why an individual would choose to do the right thing. Literature related to the topic of whistleblowers has been primarily qualitative (Soeken and Soeken (1987); Glazer and Glazer (1989); Jos et al. (1989); and Alford (2001) and has failed to produce a complete, reliable, and proven set of criteria to enable an accurate forecast or prediction of the actual behavior associated with whistle-blowing. A number of factors influence the decision to blow the whistle, such as gender, age, education, tenure (Dworkin & Baucus, 1998). With all influential factors there still is a level of stress, and trauma associated with the decision to blow the whistle. In Chiu (2003), the undesirable consequences brought about to a whistle-blower were detailed as loss of employment, personal threats, and isolation from colleagues and co-workers. Alford (2001) stated that many whistle-blowers rarely get their jobs back, and most never work in the field again. The whistle-blower may face stress on a personal level. According to Alford (2001), many whistle-blowers lost their homes and their families, while most suffered from depression and alcoholism (p. 19). Recognizing that actual behavior was more difficult to study, especially with regards to the act of whistle-blowing, researchers have stated that it is imperative for such research to be conducted and published (Blasi, 1980; Miceli & 104
Near, 1992; Miceli, Near, & Dworkin, 2008; Jos et al. (1989); Mesmer-Magnus, & Viswesvaran, 2005). This study was based on individuals who have actually demonstrated whistle-blower behavior. Public information suggested that most of the whistleblowers first report, or attempt to report, observed unethical activity to an internal source inside the organization (Ethics Research Center, 2009). However, most whistle-blowers in this study eventually went to an external source either for legal assistance, advice, or to seek help to put an end to a wrongdoing that was not dealt with inside the organization. The results from this study did not provide broad support for the results from Brabeck (1984) in that whistle-blowers at the post-conventional level of CMD were more inclined to actually blow the whistle. Secondarily, by analyzing the U score to determine the consistency between the selections of postconventional responses (P score) and the choices of moral action, support may beprovided for the link between moral judgment and intended moral action. A fullreview of the protocol and measurement indices is provided in Chapter III.
Leadership and the Moral Decision-Making Process There are many different types of definitions for moral leadership. Freeman and Stewart (2006) offered a holistic definition of moral leadership, which is consistent with the research pre-understandings for 105
this study. Moral leadership embodies the purpose, vision, and values of the organization and of the constituents (followers) within an understanding of ethical ideals and moral actions. Moral leaders attempt to connect the goals of the organization with appropriate decisions necessary to achieve the objectives set by the internal and external stakeholders (p. 26). Recent examples have demonstrated a disconnect between the expectations society has of organizational leaders and the numerous examples of the failure to produce moral actions by leaders of various public and private organizations such as Fannie Mae, Freddie Mac, Penn State University, the Catholic church, ACORN, and Madoff Investment Securities LLC to name a few. This leaves an unanswered question, “Should ethical and moral leadership be expected in organizations?” This study provided data to illustrate the possibility for organizations to expect a certain type of decision-making style of their leaders. One popular theory in Tenbrunsel, Diekmann, Wade-Benzoni, & Bazerman, (2010) suggested that people predict that they will behave morally more often than they actually do. An interesting similarity is found in Argyris’ and Schön’s (1974) theory espoused and theory-in-use, which appear to support the claim by Tenbrunsel et al. (2010) that there is a difference between how an 106
individual wanted to behave and how they did behave. The Argyris and Shön (1974) theory appeared to be related to the difference that existed in the moral reasoning model between judgment and action, Willard C. Butcher, retired chairman Chase Manhattan Corporation, declared that the moral person was the moral manager, in that the moral decision-making process has an intertwined, inseparable relationship between moral judgment and moral action (Butcher, 2005). Further support for the moral manager having only a minimal gap between judgment and action was found in Trevino, Hartman, and Brown (2000) who contended that in the moral decision-making process, there may be a link between a moral person and a moral manager. In other words, a moral person would tend to act morally whether faced with an ethical dilemma in a personal or a professional situation. Their research identified primary characteristics of the moral person as integrity, honesty, and trustworthiness. Those same characteristics are prevalent in the deontological-based post-conventional level of CMD. Research results indicated characteristics of the moral leader as one who demonstrates moral behavior in the form of doing the right thing, showing concern, being open, and having a high degree of personal morality (p. 132). Prior research related to the relationship between cognitive moral development and moral decision-making indicated that higher levels of moral 107
reasoning resulted in higher tendencies for moral actions (Pennino, 2002; Trevino & Youngblood, 1990; Weber, 1990). The argument was that a higher level of CMD was associated with more frequent moral behavior because of an individual’s need for consistency between thought and action (Anshkanasy, Windsor, & Trevino, 2006). However, the correlation between moral judgment and moral action is only an assumption unless a moral decision is accompanied by a subsequent moral behavior. Rest and Narváez (2009) reviewed DIT and DIT2 scores obtained from individuals across many professions and concluded that individuals with principled moral reasoning skills were more likely to behave in a manner morally consistent with their moral judgments and therefore more likely to resist the internal and external influences to behave unethically (p. 71). Ponemom and Gabhart (1996) illustrated a paredo of P scores (Figure 12). The range of possible P scores is from 0 – 95. For purposes of aligning the P score with a level of CMD, Rest et al., (1999) provided a guideline: a P score above 50 is considered to be aligned with the post-conventional level of CMD, P scores between 30–49 are generally at the conventional level, and P scores between 0–29 are considered to be at the pre-conventional level of CMD. Therefore, only those P scores above 50 were considered to be at the post-conventional level of moral reasoning. In 108
Figure 12, that would mean that students in medicine and law, protestant seminarians, and Ph.D. students would be at the post-conventional level of CMD. P Score
Group
65.2
Moral philosophy graduate students
59.8
Liberal protestant seminarians
52.2
Law students
50.2
Medical students
49.2
Practicing physicians
47.6
Dental students
46.3
Staff nurses
42.8
Graduate students in business
42.3
College students in general
41.6
Navy enlisted men
40.0
Adults in general
31.8
Senior high school students
23.5
Prison inmates
21.9
Junior high school students
18.9
Institutionalized delinquents
Figure 12. P Scores from Various Professions (As described in Ponemon & Gabhart, 1990)
Research has shown various internal and external influences can affect the moral decision-making process. An example of an influence on an individual’s decision-making is the moral intensity of the dilemma. Jones (1991) stated, “The moral intensity of the issue significantly affects moral decision-making and moral behavior.” Jones continued, “people tend to become more concerned about
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moral issues that affect those who are close to them, rather than those with whom they have little or no contact” (p. 371). Furthermore, Jones concluded that issues high in moral intensity are expected to result in more occurrences of ethical behavior compared to issues low in moral intensity. Singhapakdi, Vitell, and Kraft (1996) suggested that moral intensity is a significant predictor of moral intentions. Even though the suggestion that moral intensity could be a predictor of moral intentions, that alone does not strengthen the correlation between moral judgment and moral action. Although the Jones model presented a set of criteria that could influence the decision-making process, the individual at the post-conventional level of CMD may be less influenced by the intensity of the moral issue, due to the fact that they are guided in the decision-making process by a sense of duty and principle. This individual may be less fettered by internal or external influences. Accepting Kohlberg’s definition of the post-convention level of CMD, one may conclude that regardless of the influence, personal consequence, or intensity of the issue the decisions made at the post-conventional level are based on primarily “doing the right thing.” Based on whistle-blower narratives (Alford, 2001; Jos Tompkins, & Hays, 1989; Serpico, 2002; Cooper, 2008) that were reviewed for this study, whistle110
blowers as compared to non-whistle-blowers may not be influenced as much by the variability of the moral intensity of an issue in the decision leading to their moral actions. To put the concept of moral intensity into perspective, one need only consider the personal stories of those individual whistle-blowers who participated in this research. It is difficult to imagine any ethical dilemmas being more intense than those associated with the individuals in this research: e.g., corporate corruption worth billions of dollars, health risks covered up for years in the tobacco industry, or the numerous product safety defects that jeopardized individual lives. Individuals in this study faced unimaginable levels of intensity and pressure related to the issues that led to their specific acts of moral behavior, and yet, they acted morally, why? In summary, the moral decision-making process includes four components that result in a moral action. The most significant relationship in the decision-making process is between moral judgment and moral action. There are a number of internal and external forces that could influence an individual’s ability to determine the appropriate moral action to take. Individuals at lower levels of CMD appear to be the most vulnerable to the influences on the decisionmaking process.
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The Historical Background of the Research Opportunity A rich history of research was associated with moral development, moral reasoning, including moral decision-making, and moral behavior. When that history is combined with the recent interest in the subject of whistle-blowing, the opportunity to pursue this research project becomes clear. This research on whistle-blowing could add to the existing base of knowledge. This research was designed in part to identify the level of CMD associated with whistle-blowers. The history and background of research associated with this project are illustrated in Figure 13.
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Figure 13. History of Research Opportunity
Moral Development Theory Piaget’s research on moral development was the initial work done in a field that typically had been an area of study largely dominated by psychology research. Marnburg (2001) indicated that Piaget constructed the concept of the stage theory of moral development after studying children’s morality. Piaget’s findings fit into a two-stage theory. Children younger than 12 make decisions related to moral dilemmas differently than older children (Crain, 1985). Essentially Piaget determined that at about age 12 the child begins to develop 113
formal operations for decision-making such as intentions and the consideration of consequences (Crain, 1985). With consideration for the fact that intellectual development could last a lifetime, Lawrence Kohlberg developed a more detailed theory of stage development associated with moral development. In his seminal research, Kohlberg (1969, 1976, 1981, & 1984) interviewed children, and asked questions about three moral dilemmas. Their answers were summarized in terms of their relationship to principled reasoning. However, Kohlberg was primarily interested in the cognitive instincts used in the moral reasoning process and that resulted in Kohlberg’s (1976) theory of Cognitive Moral Development (CMD). Colby and Kohlberg (1987) detailed three levels of CMD; each level contained two stages. Kohlberg argued that an individual will progress through stages of CMD throughout life and that education and training can help people achieve higher stages of CMD (Abdolmohammadi & Baker, 2005). Kohlberg’s research introduced the thought that cognitive behaviors played a role in the decision-making process. Rest (1979) expanded on Kohlberg’s theory of CMD by creating the Four Component Model (Figure 3). The model posited a set of criteria that an individual instinctively goes through in order to behave morally. Rest (1979) created a unique tool for measuring the 114
second component of the model, moral judgment, with the introduction of the Defining Issues Test (DIT). The DIT was a simple, self-administered tool that measured the postconventional responses that an individual provided in the completion of the DIT. Kohlberg (1969) stated that at the post-conventional level of CMD, individuals see beyond norms and authority groups and base their decisions on principles of justice and rights. Details of the DIT2 survey protocol will be provided in Chapter III of this study. However, as with most CMD research, the survey data is based on what individuals intend to do. A gap exists in most research between moral judgment actual moral actions. Calls have been made to close the gap, by developing quantitative research studies involving whistle-blowers (Miceli & Near, 1992). One objective of this research was to provide information that might help close the gap between moral judgment, intended moral action, and actual moral action. Blasi (1980) described moral judgment as verbal expressions influenced by cognitive factors, while manifest (actual) moral behavior is mainly a function of social learning. In Blasi (1980), 12 empirical studies that measured cognitive moral development were reviewed to analyze the relationship between moral judgment and moral action. These studies that related moral judgment and real115
life behaviors yielded a confusing picture. Six studies reported a significant relationship between moral judgment and behavior, three reported a negative relationship, and the remaining three had mixed results (p. 18). Blasi concluded by stating that moral judgment and moral action are statistically related (p. 37). Another significant conclusion was that in studies with delinquents, there was a greater resistance to the pressure of conforming one’s judgment to the views of others at higher stages of CMD (p. 37). However Blasi (1980) warned that, “there was little support for the expectation that individuals at the post-conventional level of CMD resist more than others the social pressure to conform in their moral action” (p. 37). This study attempted to provide support to Blasi (1980) however, the research results did not show that whistle-blowers achieved moral judgment scores that were strongly correlated to their intended moral action.
Moral Judgment and Moral Action Although past research has not provided substantial support for a strong correlation between moral judgment and moral action, there have been examples of research attempting to link moral judgment with moral behavior. The most cited example of recent research support is a contribution by Brabeck (1984), whose unique study combined a DIT survey with a research component and tested whistle-blowing behavior in the experiment groups. The study concluded 116
that 8% of those with P scores at the conventional level of CMD blew the whistle compared to 54% at the post-conventional level of CMD at the post-conventional level. This would indicate that individuals who make a decision to blow the whistle have moral reasoning P scores aligned with the post-conventional level of CMD. The prior research of Piaget, Kohlberg, and Rest, created a platform from accumulated knowledge related to CMD and moral reasoning. Additional research by Blasi (1980), and Brabeck (1984) probed further into the moral reasoning process by analyzing the link between an individual’s moral judgment and their intended moral action. This led to a number of qualitative studies involving whistle-blowers, such as Soeken and Soeken (1987); Glazer and Glazer (1989); Jos et al. (1989); and Alford (2001).
Whistle-blower Characteristics There are a number of characteristics associated with the whistle-blower that have been researched during the past 30 years. Two studies, Soeken and Soeken (1987) and Glazer and Glazer (1989) attempted to identify the personality characteristics of whistle-blowers. Both studies were noted for shattering the perception of whistle-blowers as misfits. Soeken and Soeken (1987) interviewed 100 whistle-blowers. Whistleblower characteristics generated from their study indicated that the whistle117
blower was a middle-aged family man, with seven years of experience in middle management and most were driven by conscience (Soeken & Soeken, 1987). As a group, whistle-blowers were moderately religious, but most assumed that the best decisions could be achieved by following principles, or codes, which guided their judgments. Generally, these characteristics appear to be aligned with the definition of the post-conventional level of CMD and thus consistent with the hypothesis of this study. Miceli (2004) suggested that whistle-blowers tend to be moderately powerful, well-paid, high-performing, motivated by moral compulsion, and proactive in responding to problems. Miceli and Near (1992) suggested that whistle-blowing is likely to occur with mature males who have been in an organization for a long period of time. These individuals have a high level of self-esteem, an internal locus of control, and a high level of moral reasoning. Sims and Keenan (1998) indicated that whistle-blowers tended to be individuals who have high job performance, hold a supervisory position, and are highly compensated. Early qualitative research with whistle-blowers demonstrated a link between whistle-blowing and moral rules. In Soeken and Soeken (1987), results from a questionnaire mailed to 228 whistle-blowers indicated that in general whistle-blowers believed that moral rules are universal rather than relative. A 118
general belief shared by many whistle-blowers described in Soeken and Soeken (1987) was that, “the best possible outcome can always be achieved by following a set of moral rules” (p. 14). The results from the whistle-blowers surveyed in Soeken and Soeken suggested that whistle-blower beliefs are aligned with the ethical theory of deontology as well as the post-conventional level of CMD. Results from this study did not support Soeken and Soeken (1987) by showing evidence that the P scores, N2 scores and U scores of the whistle-blowers surveyed were consistent with the post-conventional level of CMD. Alford (1999) integrated years of his own qualitative research with whistle-blowers into a mosaic that concluded that the characteristics of whistleblowers were reasons for their behavior. Most individuals in Alford (2001) believed they were doing the right thing by reporting wrongdoing to their manager or someone within the organization. Alford (1999) suggested that an individual should not be considered a whistle-blower until the organization retaliated against the individual for coming forth with evidence of an unethical activity. In practice a whistle-blower is defined by the retaliation they receive (Alford, 2001). Although an individual may complain of sexual harassment or racial prejudice against a colleague, that should not cause them to be considered a whistle-blower, because rarely would an employee get fired for reporting misbehavior in the organization. 119
Retaliation against Whistle-blowers Whistle-blowers exemplify individuals who are able to look beyond the personal consequences associated with a decision (i.e., retaliation) and demonstrate moral actions that are a result of unique cognitive moral reasoning skills. Jos et al. (1989) referred to the committed whistle-blower as being less responsive to the social cues that guide those individuals who “don’t want to rock the boat” (p. 37). The whistle-blower represents an individual with high self-monitoring skills, which allows him or her flexibility in dealing with particular social settings. Although research has provided insight into understanding the type of individual who chooses such a moral action as whistle-blowing, there are still many individuals who know of a wrong-doing but choose not to report it. A recent study by the Ethics Research Center (ERC) stated that 49% of employees questioned in a nationwide survey indicated they had witnessed misconduct on the job, and nearly half of those individuals did not report what they observed (Ethics Research Center, 2009). Despite the fact that whistle-blowers usually face retaliation and endure extraordinary hardships, an overwhelming majority (85%) of whistle-blowers reported that they would blow the whistle again (Jos et al., 1989). In Soeken and
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Soeken (1987), a majority of those whistle-blowers surveyed responded that it was extremely likely that they would blow the whistle again. There are a number of compelling reasons why someone would not report observations of misconduct; however, the primary reason is fear of retaliation. In Rehg, Miceli, Near and Van Scotter (2008), a suggestion was made that retaliation against whistle-blowers is an outcome in which the organization attempts to control the employee by threatening to take, or actually taking, a detrimental action against the employee. In the sample of whistle-blowers chosen for this survey, most have experienced some form of organizational retaliation. Alford (2007) suggested that whistle-blowers often pay a significant personal price for their actions to do the right thing. These personal tragedies include bankruptcy, divorce, loss of life savings, and personal threats of harm to themselves and their families. Alford (2007) discussed the choice-less choice facing whistle-blowers. When whistle-blowers were asked, “Why did you do it?”, the responses were all very similar: “I did it because I had to … because I had no other choice … because I couldn’t live with myself if had done nothing What else could I do, I had to look at myself in the mirror every morning ” (p.225).
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Review and Analysis of Related Theories and Concepts A model (Figure 14) was designed to illustrate the relationship of the more complex, related theories and concepts. However, this study does not fail to realize that models have limitations in terms of providing the details associated with all the theories and concepts related to the focus of this study. Three related theories and concepts had an effect on the direction of this study: (1) Moral Identity, (2) Moral Intensity, and (3) Theories of Action.
Figure 14. Model of Related Theories and Concepts
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Personality traits have been cited as influential in the decision-making process that leads to the decision to blow the whistle (Mesmur-Magnus & Viswesvaran, 2005). Miceli and Near (1992) hypothesized that self-efficacy, gender, age, management experience, and the perception of control may influence whistle-blowing decisions. Two personality traits, self-efficacy (Bandura, 1977b), and locus of control (Trevino, 1986) were reviewed because of their relationship to this study. An illustration of the relationship of the related theories is shown in Figure 14. The thought was that self-efficacy and locus of control are more of an influence in the decision-making process for individuals at the post-conventional level of CMD. External influences such as environmental, social, cultural, and economic pressures were studied in Ferrell and Gresham (1985). One assumption of this study is that individuals at the post-conventional level of CMD are not affected as much by external influences on the decision-making process as compared to those individuals at the conventional and pre-conventional level of CMD. The rational for that assumption is based on the ethical theory alignment with each level of CMD. For example, the ethical theory of deontology, associated with the postconventional level of CMD, specifies that decisions are made based on principles rather than popular opinion, external pressures, or personal consequences. The 123
ability to react to the influence of both internal and external forces is guided in part by the moral identity of an individual (Blasi, 1980).
Moral Identity Moral identity is defined in Blasi (1980) as the degree to which being moral is central to a person’s sense of self. According to Blasi (1980), the obligation one feels to engage in a moral action is directly related to moral identity through the desire to maintain self-consistency (Aquino, McFerran, & Laven, 2011). Moral identity has been referred to as a specific identity that acts as a self-regulating mechanism that motivates specific moral action (Reynolds & Ceranic, 2007). An interesting relationship exists between the level of CMD and the degree of moral identity of an individual. An individual’s consistent tendency to act morally may indicate a high degree of moral identity. There are many concepts that comprise the theory of moral identity: self-efficacy is a concept of moral identity that seems to have an influence on moral actions and thus is worthy of understanding for this study. MacNab and Worthley (2008) agreed with the definition of self-efficacy developed by Bandura (1997b) which suggested that personality traits allow an individual to make decisions with diligence, advanced problem-solving skills, and coping strategies. Bandura (1994) defined efficacy as people's beliefs about 124
their capabilities to produce designated levels of performance that exercise influence over events that affect their lives. The specific level of self-efficacy could determine how people feel, think, motivate themselves, and behave. There may be a strong correlation between a high level of self-efficacy and whistle-blowers. Based on the moral decisions that whistle-blowers have made, they seem to be confident despite the potential personal consequences associated with their decisions. MacNab and Worthley (2008) provided evidence that selfefficacy directly influences the propensity for internal whistle-blowing.
Locus of Control Another concept associated with moral identity and related to this study is the concept of an individual’s locus of control. Research has shown that individuals with an internal locus of control tend to rely on their own internal determination of right and wrong to guide behavior (Chiu, 2003). Whereas conversely those with an external locus of control feel their fate is largely determined by external forces. Ajzen (1991) described locus of control as part of a model that measured the link between intended behavior and actual behavior. An individual’s perception of the control that exists with regards to actual behavior is also referred to as locus of control. Locus of control is another important related theory to this study in that it helps to illustrate the difference in the types of influences at each level of CMD. 125
Trevino and Youngblood (1990) showed empirical evidence that locus of control directly influenced moral decision-making, and that those with more internal locus of control tended to be more consistent in making moral decisions. The concept of locus of control is related to this research study because whistleblowers may be individuals who have an internal locus of control. Chiu (2003) suggested that the locus of control research in Trevino (1986) might also apply to whistle-blowing. Chiu (2003) suggested that externals would view whistleblowing as ethical but would not be willing to blow the whistle, whereas internals would view whistle-blowing as ethical and harbor whistle-blowing intentions. Jones and Ryan (1997) indicated that the difficulty in predicting moral behavior is due to the variability and inability of individuals to consistently do the right thing in every type of situation, and may depend on the intensity of the issue. The idea that the severity of the issue can influence the moral decisionmaking process appeared to be related to the way in which individuals filter internal and external influences at each level of CMD. The concept of moral intensity introduced in Jones (1991) as part of an issue-contingent model. Jones suggested that there are two categories consisting of six constructs of moral intensity that influence moral decision-making, based on the magnitude of the consequences, and based on the number of people 126
affected by the social consequence of the issue. Jones (1991) concluded that the characteristics of a moral issue would compel the decision maker to either employ moral judgment or not. Although the Jones model presented many interesting criteria that could be associated and even influence the decision-making process, the postconventional decision-maker may be less fettered by external influences. McMahon and Harvey (2007) described external influences as economic conditions, peer pressure, corporate culture, corporate policies, managerial influences, and the need to please all stakeholders. Accepting the definition of the post-conventional level of CMD in Kohlberg (1976), one may conclude by definition that regardless of the external influence or personal consequence, the decisions made at this level are based on principles and duty to do the right thing. Most of the related theories and concepts that have been reviewed are aligned with a need to determine, measure, and understand the relationship between moral judgment and moral action. Another interesting related topic of research exists in describing the gap between moral judgment and moral action found in theories of action (Argryis & Schön, 1974).
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Theories of Action Argyris and Schön (1974) contended that people use mental maps with regard to how to act in situations. These cognitive maps are based on knowledge and experience. Narváez and Bock (2002) referred to these pre-conceived patterns that guide behavior as moral schemas. Argyris and Schön (1974) stated that individuals have two theories of action: the one they espouse and the one they actually use. The distinction made between the two contrasting theories of action is between those theories of action that we think about and speak about to others, described as theories espoused, and those implicit in our actual actions, known as theories-in-use. They govern actual behavior and tend to be tacit structures. We use words to convey what we do, or what we would like others to think we do, that can be called theory espoused (p. 6). In contrast, the theory that governs actual actions and behaviors is theory-in-use (p. 7). In these theories of action (Argyris & Schön, 1974), and in the four component model (Rest, 1979) there is an element of the unknown that exists between what people say they will do, and what they actually do.
Current Research Relevant to Study There are many studies that have been done on the individual topics of ethics, moral development and the decision-making process. However, few have 128
combined all the individual theories and concepts to describe a process that would add value to individuals, organizations and society with a simple, sustainable model. A summary of the literature reviewed for this study provides an opportunity to illustrate a specific category of current research that is aligned with the objectives of this research study, and may offer an opportunity for the application of the results from this study. Current research studies relevant to this study are related to the question of whether ethics and moral behavior can be taught. Kolhberg (1976) contended that individuals move up and down through the stages of cognitive moral development. Given that premise, one could assume that training and education in the areas of ethics and moral reasoning would be necessary in order to progress through the various stages of CMD. In order to provide training and education, the topic of teaching ethics and moral decision-making is necessary to discuss. The topic of ethics training is broad and complex, and has a dual purpose in this study and thus will be divided into two types of learning, (1) for academic institutions, and (2) for organizations. An illustration of the concepts and theories for each of these two areas is found in Figure 15. Prior research in ethics and moral reasoning has been concentrated in the areas of assessment, training, and development.
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Recent examples of organizational leaders making unethical, immoral decisions have created a need to bolster the ethical acumen of leaders through business education imperatives. Because of the unethical behavior of organizational leaders witnessed during the financial crises in the United States during 2008 and 2009 (i.e. Bear Stearns, Freddie Mac, Fannie Mae, Lehman Brothers, Wachovia, AIG, and Merrill Lynch), many business schools in the United States have come under attack for not having an adequate curriculum for teaching ethics and morality. Mary Gentile argued that Business schools have failing grades on ethics and that the assumptions regarding business ethics at companies and business schools must be challenged. The issue isn’t distinguishing what is right or wrong, but knowing how to act on your values despite opposing pressure (Gentile, 2010).
Figure 15. Ethical & Moral Training and Development 130
The traditional approach to ethics training in business schools has ignored teaching the values necessary for developing moral reasoning and ethical consciousness (Park, 1998). These strategic thinking models are basically analytical and strive to maximize the short-term performance of the organization (Park, 1998). Courses on ethics and morality typically deliver the history and theoretical perspective of the concepts, but fail to focus on real-world case studies. Most instructors have not been routinely exposed to business dilemmas, and therefore discussions on ethical issues and moral decisions become an afterthought (George, 1988). Empirical evidence suggested that the introduction of ethics into the classroom can lead to improvement in moral reasoning (Sims, 2002; Weber & Glyptis, 2000). The need for real-world cases that encourage and measure the consistency in the moral decision-making process remains a challenge for academicians. McDonald and Dunleavy (1995) offered a different approach to teaching business ethics, one that integrates a student’s awareness of ethical issues and provides an understanding of a variety of analytical and decision-making skills. Recent research has provided alternative models to help create a pedagogy that could increase the awareness of the link between moral judgment and moral behavior. 131
Glenn (1992) stated that an appropriate pedagogy would ideally increase the student’s awareness of ethical challenges, improve moral reasoning, and raise the level of moral development. Glenn (1992) suggested that experiential methods such as role plays and behavioral simulations are an effective pedagogy These new teaching models have two consistent characteristics: (1) integrate ethics and morality teaching throughout all courses, and (2) use real-life case studies. By integrating concepts of ethics and morality in all courses, an academic institution is able to send a strong message. Sims (2002) described the implementation of an “Ethics across the Curriculum Policy” at Nova Southeastern University. Instead of assigning ethics to be taught in a specific course by one faculty member, it was incorporated throughout many of the required courses of business majors (p. 437). Bowen (2004) demonstrated that a correlation between an individual’s values and the ethical, moral culture of the organization resulted in a higher likelihood of consistent moral actions. The organization’s commitment to ethics and moral training was a vital part of the organizational culture.
Moral Decision-Making Fritzsche (2005) stated that two conditions are necessary for moral decision-making: (1) the organizational culture must support ethical decisionmaking, and (2) the individual should possess the knowledge necessary for 132
moral reasoning. How does the ethical culture of the organization have an impact on the decisions that executives make? Fritzsche (2005) defined organizational culture by stating that it evolves throughout the life-cycle of the organization. Culture is made up of the values and beliefs of the founders, and shared with others in the organization year after year through the mission, goals, and strategy. Freeman and Stewart (2006) published results from a CEO roundtable that indicated many CEOs considered judging someone’s moral integrity was far more important that evaluating their experience and skills. However, evaluating moral reasoning skills of individuals is typically not part of the annual review process. An objective of this study was to provide knowledge that could lead to the development of a process that would help to assess CMD and then provide training and development to close the gaps that exist between moral judgment and moral action. Weber (2010) assessed the moral reasoning skills of CEOs at automotive manufacturing companies by aligning their statements in annual reports with specific levels of CMD. Weber (2010) determined that the majority (73%) of CEO’s conveyed messages that contained words and statements related to low levels of CMD. The majority of those messages contained language aligned with the pre-conventional and conventional levels of CMD. At the lower levels of 133
CMD, decisions are typically made based on the individual’s perception of the personal consequences associated with the decision as well as a desire to be consistent with popular opinion. Figure 16 is based on the research done in Weber (2010) and illustrates a list of automotive CEOs along with their corresponding stage of CMD.
Figure 16. Moral Reasoning Scores of Automotive CEOs (Based on Weber, 2010)
The significance of the results presented in Weber (2010) was that CEOs set the tone for others in the organization to follow. The fact that no CEO was aligned with the post-conventional level of CMD is interesting. CEOs incorporate the vision, purpose and value of the organization within a foundation of ethical and moral standards expected by all of the shareholders. Leaders set the tone of ethicality and morality throughout their organization (Lewin & Stephens, 1994). 134
In Weber (2010) none of the automotive CEOs were aligned with the postconventional level of CMD. Instead, a majority of the CEOs scored at lower levels of CMD, indicating that their concern for making decisions that are acceptable by all stakeholders (most importantly the Board of Directors) would outweigh their concern for taking a stance, regardless of the personal consequences associated with such a decision. By contrast, post-conventional, or principled, leaders believe that principles outweigh rules and specific interests (Forte, 2004). Brown and Trevino (2006) provided research results that showed ethical and moral leadership positively related to follower moral decision-making. This means that others in the organization tend to emulate the behaviors demonstrated by the actions of the organizational leaders. Moral leaders can influence the ethical quality of follower decisions (p. 607). If moral leadership influences employee’s behavior, then leaders with higher moral reasoning skills should influence and produce more ethical and moral decisions in the organization (Dukerich, J. M., Nichols, M. L., Elm, D.R., Vollrath, D.A., 1990). There is evidence to support the fact that an individual at the postconventional level of CMD is more likely to become a leader (Lewin & Stephens, 1994). Furthermore, as leaders, these individuals at the post-conventional level of CMD have an opportunity to significantly impact the organization (Kohlberg, 1984). However, not all leaders are at the post-conventional level of CMD. 135
Weber and Derry (2008), assessed the moral reasoning skills of those who lead organizations in order to monitor the proper ethical and moral culture in the organization. Moral leadership is the result of a direct link between moral judgments that lead to moral actions. Understanding ethical behavior in the workplace is related to the field of cognitive moral development because it helps to explain why people reason, resulting in how they act (Weber & Derry, 2008).
Summary of Literature Related to Study The literature reviewed for this study covers a range of topics that allow for an incremental understanding of prior research on the key theories and concepts related to the objectives of this study. Two major groupings of information, (1) Ethical theory and CMD and (2) the moral reasoning process are summarized to formulate a progression of critical thought related to, and in support of the hypotheses of this study.
Ethical Theory and CMD The first group of literature reviewed focused on the relationship between ethical theory and levels of CMD. The illustration in Figure 4 depicts the relationship between deontology with the post-conventional level of CMD, and teleology with the conventional level of CMD. Ethical challenges such as egoism and relativism appear aligned with the pre-conventional level of CMD in that they offer context for the self-satisfaction that is associated with decisions made 136
at the lowest level of CMD. A consistent belief in this study is that the individual at the post-conventional level of CMD makes decisions based on principles and duties. CMD literature supported the theory that decisions made by individuals at the post-conventional level of CMD are based on principles and a sense of duty to do the right thing (Kolhberg, 1976). CMD theory also emphasized the cognitive relationship between moral judgment and moral action (Trevino, 1992). The primary hypothesis of this study was that whistle-blowers had moral judgment scores (P scores) that were aligned with the post-conventional level of CMD. Although the results from this study did not support the primary hypothesis, interesting insights and additional data are discussed in Chapter IV.
Moral Reasoning Process A second group of literature reviewed was associated with the components of the moral decision process. Rest (1986) provided a model that contained four cognitive steps in the decision-making process. The steps in Rest’s Four Component Model (FCM) are necessary cognitive steps in the decisionmaking process that lead to a moral action. The second step of the FCM is moral judgment, which is the primary component measured in the DIT2 survey. The DIT2 measure for quantifying moral judgment is the P score which is aligned to a specific level of CMD. However, due to the fact that the testing process is only 137
able to measure the intended moral action, the correlation between moral judgment and actual moral action has only been moderately substantiated.
Summary of Literature Reviewed Literature reviewed for this study focused on tools used to measure moral reasoning skills. This study used the DIT2 research tool to assess the whistleblowers’ moral judgment skills to determine their level of CMD. The whistleblowers in this study have already demonstrated actual moral actions as a result of their individual act of whistle-blowing. Therefore, an opportunity existed to triangulate the DIT2 survey results of moral judgment and intended moral action with actual moral actions of the whistle-blowers. However, the anticipated support for the strength of the correlation moral judgment and intended moral action was not evident from the survey results. Another aspect of the literature reviewed for this study was the internal and external forces that impact the decision-making process. Trevino (1986) indicated that the decision-making process was influenced by specific internal and external situations. However, many of the external forces that influence the decision-making process at the lower levels of CMD are not as significant of an influence at the post-conventional level of CMD (Trevino 1986).
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Internal influences, such as a strong sense of internal locus of control, and a high degree of self-efficacy were found to be positively correlated with individuals at the post-conventional level of CMD (Bandura, 1977a). Those individuals at the post-conventional level of CMD were also more likely to make ethical decisions, compared to individuals at lower levels of CMD (Trevino & Youngblood, 1990). The process by which an individual makes a moral judgment was characterized in Rand (1957). The moral judgment process was described in a speech by a character named John Galt, “Nothing but a man’s mind can perform the complex, process of thought, nothing can direct the thought process but his own judgment, and nothing can direct his judgment but his moral integrity.” (p. 128). The existing literature presented a clear picture in areas that formed a foundation for this study. However, due to the nature of the subject matter, there are gaps in the literature that continue to be a source of debate among scholars. One such gap is the inability of researchers to develop and support a strong correlation between moral judgment and moral action. The fact is, individuals taking a survey, or answering a questionnaire, or participating in an interview, can indicate, verbalize, or suggest their intended behavior for any hypothetical
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moral dilemma. The difficulty remains to be able to compare the intended actions with actual behavior. Another gap in the literature was the inability to identify quantitative research that measured the moral reasoning scores of whistle-blowers. The literature undergirding this study seeks to provide the foundation from which the identification, assessment, training, and development of ethical, moral individuals in all types of organizations is possible. A goal of this study was to reduce the gap between moral judgment and moral action by applying the results obtained from this study to form a comprehensive process to assess, train, educate and reward individuals who do the right thing in all aspects of life.
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CHAPTER III: METHODOLOGY Introduction & Overview There were two high-level research questions for this study: (1) are the moral reasoning scores of whistle-blowers aligned with the post-conventional level of CMD, and (2) is there a strong correlation between moral judgment and intended moral action in the DIT2 scores of whistle-blowers? The research plan was divided into seven distinct parts: (1) research questions (2) research hypotheses, (3) demographic variables, (4) the survey sample, (5) survey protocol, (6) survey results, and (7) interview process. Figure 17 illustrates the steps taken in developing the overall methodology and research plan.
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. Figure 17. Components of Research Plan
This study was designed to utilize a survey tool (DIT2) as the primary method for gathering research data. After reviewing the survey results, a decision was made to revise the research proposal to enrich and enhance the survey data by interviewing a small sample of whistle-blowers. The information gathered from the interviews was used to illustrate the voice of the whistleblower in conjunction with the moral reasoning scores from the DIT2.
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The overall objective of the research plan was to analyze, interpret, and explain data gathered from a group of whistle-blowers in a self-administered survey that measures moral judgment. The results from the data analysis provided information to make two conclusions: (1) align the P scores with a specific level of CMD, and (2) determine the strength of the link between moral judgment and intended moral action as measured by the U score. These conclusions derived from the data helped to support or reject the hypotheses in this study. In addition to the quantitative survey results, interviews were conducted on a sub-set of whistle-blowers selected from individual requests received during the survey process to provide additional support for the study. The data from the interviews were meant to enrich the data gathered from the survey process. The interviews were conducted by phone using a specific interview protocol (Appendix D). Each whistle-blower interviewed had expressed an interest and curiosity related to this study. Permission was obtained from all interviewees to record the interview and use their names in the results of the study with an informed consent form (Appendix E). Afterward, each interview was transcribed and coded to identify patterns, themes and common topics. The discovery of themes from the transcribed texts was a primary objective in coding the information as part of the content analysis. Word based 143
techniques such as word repetition was the process for deconstructing the raw data.
Hypotheses To remain consistent with the dual objectives of this study, two hypotheses were developed for this study. The primary research question and hypothesis of this study related to the moral judgment scores of whistle-blowers are as follows: RQ 1: Are the moral reasoning scores (P-scores) of whistle-blowers aligned with the post-conventional level of CMD? (H1): Whistle-blowers have moral judgment scores aligned with the post conventional level of CMD as measured by the P score in the DIT2 survey. The second research question and hypothesis was designed to explore the correlation between moral judgment and intended moral action: RQ 2: Is there a strong correlation between moral judgment and intended moral action in the DIT2 scores of whistle-blowers? (H2): Whistle-blowers at the post-conventional level of CMD (measured moral judgment), exhibit an intention to take moral action as measured by the DIT2 -Utilizer score (U score). Steps were used in the analysis of data to determine support for the hypotheses in this study. The first step utilized statistical data generated from 144
response rates and general demographic data from the respondents. This was accomplished by an ordinal rating on a five-point Likert-scale (P score) of the importance of 12 responses for each ethical dilemma in the DIT2. Five ethical stories (dilemmas) were presented in the DIT2: (1) Famine, (2) Reporter, (3) School Board, (4) Cancer, and (5) Demonstration. Each story had 12 responses to be rated and then ranked in terms of importance. Additionally, an ordinal ranking (prioritization) of the four most important responses (N2 score) was also performed. These ratings and rankings were consolidated and summarized in a scoring system developed by the CSED. The results were based on the individual P scores and N2 scores for the group of whistle-blowers. At the CSED, individual DIT2 survey responses were systematically summarized, and scored. Traditional descriptive statistics such as a mean and standard deviation were calculated for the group of whistle-blowers. The mean P score from this study was compared to average P scores from other DIT study results. Robin et al. (1996) suggested that such comparisons are proper and relevant, but should not be used to predict moral behavior. For this study P and N2 scores were provided as part of the standard output from the CSED. The scoring measures designed into the DIT2 allowed the P.I. to rely on and use the moral judgment (P scores) generated by the system reports at the 145
CSED. Those scores were then aligned with a specific level of CMD. The validity of the DIT2 primary measures (P scores, N2 scores and U scores) was based on statistical analysis from a “mega” sample comprised of more than 800 research studies and 45,856 DITs scored between 1989 and 1993 (Rest, Narváez, Bebeau, et al., 1999). The mean of the normal distribution of P scores was 39.1 and the standard deviation was 14.84. Additional correlation analysis was built into the CSED scoring system with the use of longitudinal sensitivity analysis of the P score and N2 score based on their sensitivity to the independent variable, education. Pre-test to post-test results were used to compute t scores for the P and N2 measures. Those validation tests produced statistically significant results on a consistent basis. Rest et al. (1997a) concluded that the P score and N2 score are the most reliable measures for determining the level of CMD for an individual. As part of the original design of the DIT, a manual scoring method to determine P scores was developed. The P score equaled the total principled or post-conventional responses that a subject selected for each of the moral dilemmas presented in the DIT2. The total P score between 0 – 95 would be correlated to a specific level of CMD. A P score greater than 50 is considered to be at the post-conventional level of CMD. Bebeau and Thoma (2003) stated that factor analysis of the mega-sample was used to confirm that DIT responses 146
clustered around three general moral schemas: personal interests (preconventional), maintain norms (conventional), and moral ideals used to frame moral issues (post-conventional, P score). The U score measures intended actions which are: (1) would behave in the described manner, (2) can’t decide, and (3) would not behave in the described manner. The higher the U score, the more consistency exists between the highest ranked item choice and the intended action choice (Bebeau & Thoma, 2003). For this study U scores as well as P x U scores were provided as part of the standard output from the CSED.
Appropriateness of the Methodology One of the research questions in this study was to understand if the moral reasoning scores of whistle-blowers are aligned with the post-conventional level of CMD. A non-experimental research method was chosen as the most appropriate method for this study. There are aspects of the non-experimental design that align more closely with the objectives of this study. For example, Belli (2008) described the distinction between experimental and non-experimental design in terms of the manipulation of variables and random assignment of individuals to a survey condition. The rich, detailed data and information generated from surveys was another benefit of the non-experimental research design. Belli (2008) suggested 147
that non-experimental research is best when used with a survey and is preferred when testing variables without controlling or manipulating the subjects or conditions. Because of the sensitive nature associated with the survey responses, protecting the anonymity of each completed survey was a primary objective of the research design for this study. Dillman (2000) stated that safeguarding the identity of the survey participant is an important strength of the selfadministered mail questionnaire. Other types of surveys (e.g., interviews, telephone, and internet) cannot ensure complete anonymity. The survey participants were chosen from public databases, individual names and addresses labels were generated for each survey package sent out. An invitation to participate was part of the survey package sent to each participant (Appendix F). However, no name or identifying feature was included on the completed surveys that were returned to the P.I. Therefore, survey participants could not be linked to their responses. Each participant was provided an informed consent document (Appendix G) The self-administered mail survey technique has been used effectively in previous research related to moral judgment (Miceli, Dozier, & Near, 1991; Near & Dworkin, 1998). In all surveys, it is important that the participants feel they can give honest answers. Dillman (2000) contended that considerable evidence 148
suggested that people are more likely to be open and honest in a selfadministered survey compared to a face-to-face interview (p. 38). Response rates are always a concern when conducting mail survey research. Bourque and Fielder (1995) and Dilman (2000) suggested specific items that improve the response rate of self-administered mail surveys: (1) cover letter and survey package with hand-signed signature of researcher, (2) actual postage stamps instead of metered mail, and (3) an appeal to the participants by acknowledging their expertise and identifying the group as underrepresented in previous research on this topic. All of these items were incorporated into the research methodology for this study.
Survey Strengths and Weaknesses Creswell (2009) highlighted the overall strengths associated with quantitative research studies. Some of those strengths are: the ability to measure and analyze data, the ability to study the relationship between an independent and dependent variable, and more objective research results which provide statistical support for the research hypotheses. For this study, strengths associated with quantitative research are important. However, to enrich the quantitative results obtained from the DIT2 survey, interviews with a sub-set of whistle-blowers were added to the research design. This research method provides quantitative survey results, as well as 149
common topics and responses from interviews that add context and strengthen the data. The DIT2 protocol is a proven quantitative survey protocol used for measuring CMD (Rest, Narváez, Thoma, et al., 1999). DIT/DIT2 surveys have been used in thousands of research studies since 1979. The DIT survey has been
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researched and compared to other survey tools and found to be the best tool for measuring moral judgment (Weber, 1996; Rest, Narváez, Thoma, et al., 1999; Bay & Greenberg, 2001; Bebeau & Thoma, 2003; Rizzo & Swisher, 2004; Ishida, 2006).
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The DIT2 survey used in this research study included updated moral dilemmas,
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new indices, and a new reliability check to detect unreliable responses (Rest, Commented [CD4]: This source isn’t listed in your References.
Narváez, Bebeau, et al. 1999). Loviscky, Trevino, and Jacobs (2007) claimed that the DIT/DIT2 was the most widely validated and frequently used tool to measure moral judgment. Mudrack (2003) suggested that the DIT is the most valid tool to measure the link between moral judgment and intended moral behavior. Through the use of U scores, the DIT2 quantifies the correlation between moral judgment and intended moral action (Rest, 1986). Data collected from interviews with whistle-blowers provided strength for this study. Responses gathered from whistle-blowers interviewed were consolidated, coded, and used to enrich and enhance the DIT2 survey results. 150
Through the use of inquiry, descriptive results provided in-depth responses from which common themes, topics, and anecdotal information was used to strengthen the quantitative data. Qualitative analysis for this study included the development of a content matrix by deconstructing the transcribed data gathered from the interviews in an excel spreadsheet. Despite the strengths of the research design, certain weaknesses have been identified in prior research, which have been reviewed and acknowledged as part of the overall research design methodology. Creswell (2009) cited overall weaknesses with quantitative research designs, such as the knowledge that is produced may be too general and difficult to apply to specific situations, scenarios, or a larger group of individuals related to the survey sample. Rogers and Smith (2001) noted that the DIT2 model ignored issuecontingent factors by not measuring the consequences, likelihood, and permanence of the issue and the effect of those items on the individual decisionmaking process. However, since the whistle-blowers in this study demonstrated their moral actions in the past, it may be that the degree of intensity of the moral dilemma does not affect the decision-making process of whistle-blowers. A weakness identified with Kohlberg (1981) was related to the original longitudinal studies, which were performed on male subjects only. Gilligan (1982) claimed that women speak in a different voice than men. According to 151
Gilligan, that voice represented a process of moral reasoning for women based on care, compared to a moral reasoning process for men based on justice (Derry, 1989). White (1999) suggested that decisions made by men are based on a hierarchical voice and decisions made by women are based on a web of connected relationships. Previous research has not indicated a strong correlation between gender and CMD. Gender information was a demographic variable collected as part of this study, and shown in Chapter IV. Another potential weakness in the DIT2 is that it is claimed to have a liberal political bias in the ethical stories that make up the DIT2 survey. Bailey et al., (2005) claimed that an individual with liberal views would have an advantage to attain a higher P score compared to an individual with conservative political views. Bailey et al. (2005) continued by stating that principled responses used to calculate the P score were associated with social heartfelt issues, caring, and compassion. Because of the nature of the stories (i.e., famine, cancer), responses based on caring and compassion could be viewed as principled. Another potential weakness of the DIT survey is based on an individual’s political preferences. Fisher and Sweeney (1998) suggested that DIT scores could be influenced by an individual’s political persuasion. Although this study collected demographic variables such as political affiliation and economic status, they were not used in the analysis of this study. 152
Weaknesses in the research design and methodology could cause variations in the results obtained in a typical random sample of whistle-blowers. However, in this study, specific measures were taken to minimize weaknesses related to the method of sampling. For example a purposive sample was used that included two criteria (whistle-blower was from an organization in the United States, and the individual had an adjudicated or settled whistle-blower case). Weber (1990) suggested that the degree of sample bias could be reduced by using a defined, purposive sample. To identify whistle-blowers who fit the criteria of this study, a defined, expertise convenience sample of whistle-blowers was used rather than a random sample. Finally, based on the background, experience and subject matter expertise of the principal investigator, there was the potential for an assumption of researcher bias. However, in this study, researcher bias was recognized as both an asset as well as a potential liability. For example, the experience and expertise of the principal investigator was used as an asset in the study, especially in establishing a connection with the whistle-blowers in the invitation to participate. Dillman (2000) stated that a personal hand written invitation note to survey participants, along with a personal story related to the research study, would provide insight and a connection to the survey participants that could increase the response rate. Although a handwritten note was not used in this 153
study, the invitation to participate included a reference to the past whistleblower experience of the P.I. Ideally, the DIT2 survey results would support the hypothesis that whistle-blowers are unique individuals with instinctive reasoning skills at the most advanced (post-conventional) level of cognitive moral development.
Research Design and Procedures A quantitative research study was determined to be the most effective approach to gathering measurable survey results. After the results from the DIT2 were consolidated, it was decided to add information collected from interviews with whistle-blowers to enrich and strengthen the survey data. Grunow (1995) stated that a research design is a planning device for setting up procedures of empirical research in the context of research questions and methods. The function of research design is to ensure that the evidence obtained answers the initial question or theory as unambiguously as possible (De Vaus, 2001). Quantitative research can be divided into three parts: design, measurement, and analysis (Vogt, 2007). Each of these parts had been taken into consideration in the development of the overall design of this study. The researchable question followed by the research hypotheses are the starting points in the design process, followed by the sample selection, survey protocol and data analysis. 154
Qualitative research was added to enrich and enhance the quantitative results, to form a complete and holistic summary regarding the level of moral reasoning associated with whistle-blowers. Statistical analysis was performed on the survey results in order to provide reliable support for the research hypotheses. Additional information was gathered through the collection of demographic variables such as age, gender, education, and is available for future analysis. The demographic variables in this study have been studied in the past. For example Gilligan (1977) claimed that there was a difference in DIT scores based on gender. In another example, Rest, Narváez, Thoma, et al. (1999) provided results from research showing a strong correlation between levels of CMD and education. Finally, Fisher and Sweeney (1998) suggested that DIT scores could be influenced by an individual’s political persuasion. Results from this study provided support for the research hypothesis (H1) by analyzing the summary of moral judgment scores (P score, N2 score) and aligning them to a pre-determined level of CMD. Moral judgment scores are combined with and compared to intended moral actions (U score) to support the second research hypothesis. Previous research has shown only moderate correlation for moral judgment and actual moral actions (Blasi, 1980).
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No previous research has been conducted with either the DIT or DIT2 on a group of whistle-blowers. Therefore, it was important that the research design for this study be consistent with previous DIT and DIT2 studies of other groups in order to be able to compare the results from this study with studies done in the past. Additionally, qualitative information was gathered to enhance and enrich the survey results. An interview protocol was established to provide consistency in the discussion with each whistle-blower. Interviews were recorded, transcribed and coded to insure accurate interpretation from the interview sessions. It is important to clearly distinguish between the research design and the research method. Failure to distinguish design from method leads to poor evaluation of designs (De Vaus, 2001). The research design for this study was a descriptive correlational research study intended to provide data to support the hypotheses that whistle-blowers make decisions consistent with the postconventional level of CMD, and there is a correlation between their level of moral judgment and moral action, determined by analyzing the relationship between U scores and P / N2 scores.
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The appropriateness of the DIT2 survey protocol was supported in Thoma (2002), who called the DIT and DIT2, “the most widely used measures of moral judgment development” (p. 225). A quantitative research method was chosen as part of the overall methodology since it is the predominant type of research performed by researchers in areas of study such as ethics, decision-making, moral development, human cognition, and education (Ferrell, Fraedrich, & Ferrell, 2000). Creswell (2009) indicated that certain types of research call for certain approaches. For example, if the problem is identifying factors that influence an outcome, or understanding the best predictors of a problem, then the quantitative approach is best. Subsequent to an initial review of the DIT2 results, a qualitative research method was added to enrich the quantitative survey results with conclusions generated from interviews with whistle-blowers.
Survey Sample Size and Response Rate The calculation for sample size was performed based on the following criteria: (1) a power level of .80, (2) a 95% confidence level, (3) known total population of 1,000. Using a formula for determining the sample size for continuous data in Dillman (2000), the sample for this study should have been 278 based on a confidence level of 95%. 157
The average response rate on business ethics mail survey research is about 40% (Yu & Cooper, 1983). Additional measures can be taken to further increase the survey response rate such as survey sponsorship, postage paid return envelopes, a personalized invitation letter, and extra measures to insure the anonymity of the participants (Yu & Cooper, 1983). Each additional measure to insure an increased response rate has been included as part of the research design for this study. Buse (1973) suggested that hand stamped mailings, special delivery handling, and follow-up could significantly improve response rates to 50% or more. Whistle-blowing studies found in the review of literature support had an average response rate of 25% (Near, Dworkin, & Miceli, 1993; Miceli & Near, 1992). However, since all items listed in Yu and Cooper (1983) and Buse (1973) to increase the response rate were implemented in this study, it was anticipated that the response rate for this study would be between the average survey response rate from previous whistle-blower studies of 25% and the average response rate of 40% from mailed-in self-administered surveys as part of business ethics research studies. However, the actual response rate for completed DIT2 survey was 22%, just slightly lower than the historical level for whistleblower studies.
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The self-administered DIT2 survey method was determined to be the best suited for this study for two reasons: (1) it provides a high degree of participant anonymity, and (2) it offers an opportunity for participants to respond openly and honestly. Tracy (2006) provided evidence to support the fact that survey responses that contain honest answers are more prevalent in self-administered surveys compared to interview questions. Additional support for selfadministered protocols was provided in Nederhof, as cited in Tracy, 2006: “In mail surveys, where anonymity seems more assured, data are generally found to be less influenced by social desirability than are results of telephone or face-to-face interviews” (p. 272). Approximately 1,000 surveys were needed to be sent to out to achieve a sample size of 278, calculated at a .80 power level. However, a smaller number of surveys (228) were actually mailed to the sample of whistle-blowers. The lower number of survey mailings was due to the complexity associated with identifying survey participants in the public databases. Originally the selection of whistle-blowers based on a .80 power level was intended to be achieved by utilizing the extensive archived case files at the GAP. An unexpected change in direction from the GAP created the need to adjust the approach in the determination of sample size. For this study, 228 individual whistle-blowers were invited to participate in the DIT2 survey. The specific defined purposive 159
sample was chosen by convenience and criterion sampling from two public databases, The Whistle-blower Directory http://whistleblowerdirectory.com/, and (2) Securities and Exchange Commission (SEC) Whistle-blower closed cases (2013- 2012) http://www.sec.gov/about/offices/owb/owb-awards.shtml. In addition to being identified as a whistle-blower, the participants chosen to participate in this study met two additional criteria as part of the selection process: 1. They worked for a private or public company in the United States. 2. There was evidence of the whistle-blowing event (public records, and legal documents from a court case or judicial proceeding).
Every effort was taken to insure anonymity of the survey respondents. No names or returned addresses were used on the envelope with the returned surveys. The returned surveys were sent unopened to the CSED for scoring. Many of the individual whistle-blowers in this study have demonstrated a commitment to take action regardless of any personal consequences associated with the decision. Glazer and Glazer (1989) indicated that the disregard for personal consequences in the decision-making process is evidence of a principled (post-conventional) level of moral judgment. In determining the survey sample, Zikmund (2003) recommended six steps in selecting the sample for a research study: 160
1. Define target population. 2. Select a sampling frame. 3. Determine if a probability or nonprobability sampling method will be used. 4. Develop procedure for selecting sample units. 5. Determine sample size. 6. Select sample units. For this study, the target population was whistle-blowers who had demonstrated through specific behavior an act that many consider to be a moral action. Dillman (2000) described the survey population as a group from which a sample can be drawn that will allow the researcher the ability to generalize the results. It is important to note that the survey participants in this study have actually acted as whistle-blowers, compared to those who just intended to perform a moral action. Furthermore, the target population consisted of only those whistleblowers who were identified as “good” whistle-blowers, which should have resulted in a high level (post-conventional) level of CMD. In the selection of the sampling frame, a subset of the target population is chosen from a list of population elements somewhat different from the target population (Zikmund, 2003). The two elements used to create the sampling 161
frame were: (1) only those U.S. whistle-blowers who sought legal or professional advice in defense of their case and (2) the case has been adjudicated or settled. Many of the survey participants in this study were involved in whistleblower complaints against Fortune 100 companies, as well as large government organizations such as the Federal Bureau of Investigation, Internal Revenue Service, U.S. Army, and the U.S. Department of Defense. Because of the unique characteristics associated with the individuals who participated in this study, a purely random probability sample was not feasible. Randall and Gibson (1990) stated that when expert opinion surveys were conducted, expertise convenience sampling was highly appropriate. The sample participants in this study were selected from a sampling process derived from a form of a non-probability sampling referred to as purposive sampling. Shadish, Cook and Campbell (2002) stated that researchers can still take deliberate steps to make people they study “representative in a purposive sense,” when probability sampling is not an option. The process for gathering names and addresses was facilitated by using public information. A large sealed envelope was sent to 228 whistle-blowers. Each envelope contained the following information:
Signed invitation letter
Survey instructions 162
DIT2 survey
Demographic variables
Postage-paid return envelope addressed to the P.I.
To ensure anonymity, survey participants were instructed not to use their return address on the postage paid envelope for the survey response sheets.
Survey Process and Participant Material Survey participant names were selected from two public databases of whistleblower cases. The names were then matched with mailing addresses obtained from another public database. Each survey participant received a large envelope with survey information that included a personal invitation from the principal investigator, background information on the principal investigator, along with a copy of the DIT2 survey and the response form, and one page of demographic variables. Survey participants were provided four weeks to complete the selfadministered, hard copy survey and return it directly to the P.I. in a postage-paid envelope which was provided as part of the survey participant package. After two weeks, a follow-up note was sent to each survey participant address reminding them to complete the survey and return it back to the P.I. At the end of the four-week process, all returned surveys were bundled together and sent to the attention of Stephen Thoma, Ph.D., at the Center for the 163
Study of Ethical Development (CSED) at the University of Alabama. The CSED is the global clearing house for all completed DIT and DIT2 surveys used in research projects all over the world. The process for producing survey results at the CSED took two weeks to generate a set of basic statistics based on the P scores, N2 scores and U scores for all individual responses as well as a group profile (Bebeau & Thoma, 2003). Those results were coded and used as the basis for additional analysis of the data with SPSS software.
Techniques, Instruments, and Protocols Quantitative Survey Protocol The fourth part of the overall research design involved the survey protocol. An early survey tool used to measure moral development was the Moral Judgment Interview (Kohlberg, 1976). The MJI was a time consuming process that required the use of trained judges to facilitate in-depth interviews (Ishida, 2006). Colby and Kohlberg (1987) described the MJI as a set of three hypothetical ethical dilemmas followed by nine standardized questions designed to elicit clarifications of the subject’s moral judgments. Original efforts to score moral judgment employed a manual process. The results from the MJI were entered into a standard issue scoring system which compared the subject responses to examples and criteria in a scoring guide. As 164
many as 50 matches between responses and the scoring manual were identified during the course of an interview from which a stage of moral development was determined (Rest & Narváez, 1994). Among the calls that were made to simplify the tools used to assess moral development, Weber (1991) suggested that changes be made to the original tools to better understand and measure the moral judgment component in the decision-making process. The DIT2 was recognized to be simpler and easier to facilitate, as opposed to an interview process that was necessary with the MJI (Rest, 1979). The DIT eliminated the MJI’s process of an interviewer asking a series of open-ended probe questions and replaced it with a user friendly series of six ethical dilemmas in which the survey participant answered 12 questions related to the application of moral knowledge, a type of tacit knowledge (Narváez & Bock, 2002). The DIT research protocol has been used in thousands of research studies, surveying people from all over the world in the last 30 years. Two advantages of the DIT over the MJI are: (1) a greater number of individuals can be surveyed at one time, and (2) a reduced period of time is necessary to collect the data (Weber, 1991). The DIT was determined to be the most widely accepted suitable means for measuring moral reasoning ability (Rest, 1979). Trevino and Youngblood 165
(1990) have suggested that the DIT / DIT2 are the most prominent objective test of CMD. The DIT was updated and enhanced in 1999 and became the DIT2. A review of the DIT2 revealed it to be more up to date, shorter, with clearer instructions, and fewer subject purges for bogus data. It was also slightly more powerful on the validity criterion when compared to the original DIT, assuring that the new DIT2 would be able to replace the previous version of the DIT. Rest, Narváez, Bebeau,et al. (1999) concluded that the persuasiveness of the validity for the DIT2 came from the combination of the criterion of construct validity. Other tools have been created to investigate how individuals weigh and filter information within the cognitive decision process leading to the preferred ethical behavior. More specifically, they are trying to measure “why people act ethically or unethically” (Weber & McGivern, 2010). Another type of survey test instrument was developed by Georg Lind (2000) was different from the MJI developed by Kohlberg’s. Lind (2000) described the Moral Judgment Test (MJT) as a moral competence test. The MJT consisted of a series of ethical stories in which the respondent indicated their level of agreement with each of the questions associated with each dilemma. The MJT was designed for research and program evaluation using multivariate
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statistics to describe and evaluate groups of people rather than individuals (Lind, 2000). The decision was made to use the DIT2 as the survey tool for this study. The simplicity of the tool, the numerous studies that have validated the DIT2 over the last 30 years, and the systematic scoring process, the DIT2 with its unique portfolio of measurements best served the objectives of this research study.
Validity and Reliability The DIT2 is a survey tool that measures moral judgment. Subjects rate the importance of 12 responses to each of 5 ethical dilemmas, and then rank the top 4 responses for each dilemma. Responses are entered into a system developed to generate key measures (P score, N2 score) that are correlated to a specific stage and level of CMD (Bebeau & Thoma, 2003). Using more than 40,000 individual DITs and 400 published articles, Rest et.al, (1999) examined the validity of the DIT and the correlation of P scores to a specific level of CMD by developing cluster analysis to test seven criteria. The seven criteria established a strong foundation for the testing of moral judgment. Four key tests of DIT validity along with citations of supporting research are shown below to illustrate the high level of confidence that existed for using the DIT2 tool as the survey protocol in this study. 167
1. Differentiation of age and education. Studies show that 30% to 50% of the variance in DIT scores is related to the level of education. Thoma (1986) used 56 separate studies of more than 6,800 subjects and created composites based on four levels of education. There was a strong correlation (r=.60 to r=.85) between high P scores with higher levels of education. Ponemon and Gabhart, (1990) supported the correlation of education with higher P scores in work with accountants, while Self and Baldwin (1994) found a similar strong correlation with levels of education and DIT2 P scores with medical doctors. 2. Longitudinal upward trends. Results from Rest (1986) included a 10 year study between college and non-college adults. The data showed the highest average effect on DIT scores was a college education. Freshman to senior college students showed the biggest gains in DIT scores (r =.80). 3. The DIT is linked to many prosocial behaviors and to desired professional decisionmaking. Rest and Narváez (1994) described links between the DIT P score and various behavior measures. For example, juveniles in and out of trouble (delinquents) had very low P scores (pre-conventional level). Brabeck (1984) showed a moderate correlation (r =.25) between DIT P scores and the prosocial behavior of whistle-blowing in a classroom experiment. 4. The DIT is associated with political attitudes and political choice. Rest et al., (1994) argued that the individual makes decisions regarding public policy differently 168
than those decisions related to personal relationships. Thoma (1993) cited a strong and consistent association between DIT P scores with measures of political attitude over the years. In some cases the strength of the association accounted for more than 40% of the variance. The types of validity reviewed for use in this study were: (1) content validity, (2) criterion validity, and (3) construct validity. The P.I. applied a test of construct validity (Chronbach’s alpha = .70) to support the validity of the DIT2 P scores that measured the level of CMD of whistle-blowers. Zikmund (2003) stated that construct validity implied that the data generated from a measure is consistent with the theoretical logic of the concept. In other words, the results of the DIT2 are consistent with expectations from the historical results and correlation analysis on demographic variables. The last component of DIT validity is the internal structure and reliability of the protocol. Rest, Narváez, Thoma, et al. (1999) estimated that the Cronbach’s alpha for 20 years of DIT studies averaged in the high .70s and low .80s, which was considered a significant & strong degree of reliability. Cronbach’s alpha is the most widely used measure of reliability in research. This specific interpretation of reliability shows the amount of measurement error in the test (Tavakol & Dennick, 2011). A Cronbach’s alpha measurement was calculated for this study and discussed in Chapter IV. 169
With the enhancement of the DIT in 1998 to the DIT2, the correlation between the two surveys was determined to be highly correlated (r = .90). Rest, Narváez, Thoma, et al. (1999) indicated that the N2 score in the DIT2 is considered slightly more reliable than the P score; however researchers are encouraged to use both measures. Rest, Narváez, Thoma, et al. (1999) offered that the original DIT is highly correlated to the revised DIT2 (r = .79) and that the stories in each survey show a high degree of internal consistency (Cronbach’s alpha = .90). The Chronbach’s alpha validity test between the P score and N2 score was calculated for this study in chapter IV
Demographic Variables Additional data such as age, gender, education, ethnicity, and political affiliation were gathered as part of this study. Demographic variables are used to describe the sample as it relates to the population. Two variables, education and gender, were explored in detail for this study and explained in chapter IV. Other demographic information collected, coded, and stored could be used in future research.
Data Collection Procedures Data collection procedures were designed to facilitate a maximum response rate (Kanuk & Berenson, 1975) by using a self-administered, paperpencil questionnaire. Each DIT2 survey contained 5 short moral dilemmas; each 170
dilemma had 12 associated responses that were rated and ranked by the survey participant. All survey packages were delivered through the US mail. Leedy and Ormrod (2001) indicated that people are more truthful while responding to the questionnaires, regarding controversial issues in particular, due to the fact that their responses are anonymous.
Survey Responses and Statistics Survey responses were input into a computer program to score each DIT2 by individuals at the CSED. The primary scoring index of the DIT was the P score which measured the importance that a participant gives to postconventional moral consideration in making a decision (Rest, Thoma, Narváez, et al., 1997). The P score consistently gave better trends for theoretically expected findings than did any other type of index, as well as being easy to compute and interpret (Rest, Thoma, Narváez, et al., 1997). With the introduction of the DIT2, the N2 score was developed to enhance the reliability and validity of the P score. Once the surveys were entered into the computerized scoring system, P scores, N2 scores, and U scores for each participant and the group of whistleblowers in total were developed. A final report from the survey results produced at the CSED was provided to the principal investigator. The report included a mean and standard deviation for P scores and N2 scores. Bebeau and Thoma (2003) detailed the coding process that is included with each survey that includes 171
a set of ID numbers that are used to create groups of demographic variables that can help facilitate additional statistical analysis by the principal investigator such as the determination of the significance of the correlation analysis with t-tests. The P score measured the importance of each post-conventional response. For example, if a participant ranks a post-conventional item as most important, that increases the P score by 4 points (Rest, Thoma, Narváez, et al., 1997). The additional feature of the N2 score is that in addition to rating the responses to each story (P score), the survey participant ranks the 4 most important responses. This ranking (N2 score) is significant because it showed not only what was most important but then by contrast which responses were not important (Rest, Thoma, Narváez, et al., 1997). In addition to the P score, and the N2 score, an additional index (U score) was used for this study which provided a measurement of the intended moral action a survey participant chose for each ethical dilemma. The measurement in the DIT2 that establishes this correlation is referred to as the utilizer variable or U score. Bebeau and Thoma (2003) contend that the U score represents the degree of match between moral judgment and probable moral action related to the ethical dilemma. A higher U score would indicate a higher correlation between moral judgment and probable moral action (Bebeau & Thoma, 2003). This was a
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potentially significant measurement for this study, given the history of presumed moral actions by the survey participants. The U score represents consistency between the choice of item that the participant endorses and the action chosen. A high U score would suggest a strong consistency between moral judgment and moral action. The U score was conceptualized to increase the predictability between moral judgment and moral action (Bebeau & Thoma, 2003). Mudrack (2003) proposed that in order to increase the reliability of the P score, the U score should be a mandatory requirement of all moral reasoning research. The U score illustrated a person’s choice of actions associated with each moral dilemma on the DIT2. A high U score would imply the individual’s desire to take moral actions. Given the combination of the high U score with a high P score, the results would indicate strong support for the correlation between moral judgment and intended moral action. Therefore, a conclusion could be made that individuals with high P scores and high U scores are able to make decisions at a principled level, and have a high tendency to take moral actions. The quantitative results from this study were consolidated and reported as a summary for the group. Herington and Weaven (2008) suggested that the use of cluster analysis could be used to analyze the moral reasoning scores from many groups of individuals. Future studies regarding the CMD of whistle173
blowers could incorporate cluster analysis as a tool to compare CMD levels of other groups of people from other DIT research projects. Correlation analysis was used to test and provide support for the hypotheses. This type of statistical analysis offers an opportunity to develop a clear understanding of the survey results as they relate to each hypothesis (Herrington and Weaven, 2008).
Qualitative Research Process Data Collection After the DIT2 survey results were consolidated and reviewed it was decided to enhance and enrich the quantitative data, with interviews from a small sub-set of whistle-blowers. The decision was made to add information gathered from interviews with whistle-blowers. The idea was to add a summary of common themes and ideas from discussions with whistle-blowers who would agree to be interviewed. The DIT2 provided unexpected, interesting results that created an opportunity to add an aspect of qualitative research. Interview responses included a balance between those that supported the research hypotheses as well as those that were contrary to the expectations of the study. In order to effectively facilitate the qualitative interviews, a protocol was developed that linked each quantitative hypothesis to one of the interview questions. In Sutton (1997) qualitative research was described as “building 174
theory through descriptions of collected data.” Sutton continued by suggesting that qualitative methods allow more flexibility by providing more chances to develop results that are in contrast to existing theory. The addition of qualitative interviews to this study helped to enhance the quantitative results from this study that were unexpected and challenged traditional thoughts about whistleblowers. An invitation to participate in an interview process was sent to 10 whistleblowers (Appendix H). The invitation specified that discussions would be limited to 20 – 30 minutes and that the information was being gathered to enrich survey results. There was also an option to remain anonymous unless consent was granted to the P.I to use the name of the interviewee in this study An interview protocol was designed with interview questions that were aligned with the research study questions and research study hypotheses. A total of 19 questions were asked of each whistle-blower. Each interview lasted approximately 30 minutes unless the interviewee decided to continue past the originally scheduled time. The sample of whistle-blowers invited to participate in the interviews were chosen from the most prominent names that received the DIT2 survey package. Since the survey responses were completely anonymous, an association between an interviewee and a completed DIT2 survey was not possible. 175
Additionally, some whistle-blowers who received the DIT2 survey contacted the P.I. with words of encouragement and their offer of assistance in the future. A selection of 10 whistle-blowers was made for the interview process. Each whistle-blower received an invitation to participate. From the original invitations, 6 whistle-blowers agreed to be interviewed. However, 2 were forced to cancel the interview just prior to their scheduled date due to a unforeseen continuation of legal challenges to their whistle-blower cases. Each interview was digitally recorded and then transcribed and stored on electronic word files. The transcription service that was utilized for this study signed a non-disclosure agreement prior to receiving the digital recordings (Appendix I). After the interviews were complete, the P.I. stored all original source documents from the qualitative research process in a password protected external hard drive.
Data Analysis An interactive model based on the grounded theory of qualitative research was developed to analyze data gathered from the interview process. Glaser and Strauss (1967) developed the grounded theory method in the 1960s. The premise of the grounded theory is based developing a set of conclusions from a bottoms-up approach in gathering information such as surveys,
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interviews, and verbal reports. An advantage of the grounded theory approach is the use of a detailed comparative analytic procedure. The analysis process was based on a thorough review of the interview transcripts. The review of interview data included the coding of representative categories and common themes. Miles, Huberman, and Saldana (2014) offered three phases of analysis used in (1) data condensation, (2) data display, and (3) verifying conclusions.
IRB Concerns and Procedures Because of the sensitive subject matter related to the returned surveys, whistle-blower names were not associated with completed DIT2 surveys. Privacy and anonymity of each survey participant was a primary concern during the development of the research design. In order to eliminate the possibility to link a survey to a specific individual, no names were used on the DIT2 survey, no addresses were used on the completed surveys returned to the P.I. Safeguarding information gathered in this research study was another concern addressed in the development of the research model. Each DIT2 returned to the P.I was numbered and then forwarded to the CSED for scoring. A total of 49 surveys were sent to the CSED at the University of Alabama. After the surveys were scored, all 49 original surveys were returned to the P.I. along with
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a summary of the consolidated survey results. The survey results are kept in a locked file with P.I. and could be used in future research. The information gathered from interviews with the whistle-blowers was digitally recorded.
Ethical Considerations The need for DIT2 survey responses to remain anonymous was a primary concern in this study. A commitment was made to each of the survey participants that their identity would be protected when surveys results were gathered, consolidated, and reviewed. Ethical considerations related to the psychological, financial, and social well-being of each survey participant were reviewed and incorporated into this study. Survey participants read and signed a consent form indicating that they understood and agreed to the details of the research study. The whistle-blowers that were interviewed as part of the qualitative research also signed documents agreeing to have their cases identified in this study. All interviews were recorded in phone conversations and transcribed. The P.I. has all documentation related to the interviews with the whistle-blowers. The documentation, transcriptions, and digital recordings could be used in conjunction with future research.
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Quality Assurance To ensure the highest possible quality of the data, every attempt was made in the overall research design to incorporate methodology to insure that there was very little opportunity to influence or bias the survey responses. Social responsibility bias was also minimized, since the respondents in the sample participated in a self-administered survey.
Possible Limitations Marshall and Rossman (1999) suggested that there is no such thing as a research project without limitations. There are always tradeoffs. For example, the survey sample of whistle-blowers for this study represented a certain type of whistle-blower. Due to the smaller sample size, the results from the DIT2 were not able to be applied to all whistle-blowers. In Trevino (1986), Kohlberg’s model was portrayed as a tool that limited moral judgment tests to those based solely on cognitions related to how individuals think about moral dilemmas, instead of highlighting the correlation between moral judgment and moral action. In other words, what would individuals at different levels of CMD do when presented with an ethical dilemma?
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A limitation for this study was that previous research had provided only a moderate relationship between moral judgment and moral action (Blasi, 1980). The relationship between judgment and action becomes more questionable when it is based on a self-assessment. Tenbrunsel et al. (2010) stated that individuals often think they are more ethical than they really are. When responding to questions on a survey, people may paint a more favorable picture of their ethical constructs than their moral actions would justify (Tenbrunsel et al., 2010). “People predict that they will behave more ethically than they actually do, and when they evaluate past experiences, they believe they behaved more ethically than they actually did” (p. 2). Rest et al. (1999) concluded that higher scores on the DIT2 have been linked to prosocial behavior. Rest et al. (1999) continued by posing the question “the challenge is to use the DIT2 to interpret the importance of a person’s behavior in real life.” (p. 81).
Summary of Data Management The data collected from the sample of whistle-blowers was limiting in the sense that all responses were from a group of individuals with a similar instance of putatively moral behavior. The criteria of the purposive sample established a certain type of whistle-blower for purposes of this study. Additional criteria such as individuals who witnessed wrong-doing but did not blow the whistle, those 180
who did not seek a legal remedy, and those who blew the whistle with malicious intent were not included in the sample of individuals invited to participate in this study. A weak link existed between CMD as a predictive tool for moral behavior. Rest (1986) accepted the fact that CMD cannot be an expected predictor of behavior: “One must take into account the particulars of the situation, the degree which stage-typed items suggest a story-specific choice, as well as the stage properties of items deemed important by the individual.” (p. 166).
Is it possible to apply the DIT2 survey results from this group of whistleblowers to establish a decision-making pattern? Prior research has supported only a moderate link between judgment and action (Blasi, 1980). The research design of this study was meant to provide information from a group of individual whistle-blowers, not previously tested as a group with this survey protocol. The results were used to test the hypotheses and add a unique level of knowledge not previously researched in nearly four decades of work in the field of moral development. Because of the unique nature of this study, a number of individuals, academic institutions, and whistle-blower advocacy groups have expressed an interest in the results generated from this research. The results from this study 181
provide a glimpse into the decision-making process of whistle-blowers as well as support for Blasi (1980) by providing only a weak correlation for the link between moral judgment and moral action.
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CHAPTER IV: RESULTS AND DISCUSSION Introduction The purpose of this study was to examine the DIT2 survey results from a group of whistle-blowers. The primary research method used in this study was quantitative analysis that included two types of measures: (1) P score used to determine the level of moral development, and (2) the utilizer score (U score), used to provide insight into the consistency between decision making and behavior. Additionally, a sub-set of interviews with whistle-blowers were conducted to provide information that would enhance and enrich the survey data. The DIT2 surveys were processed and scored by the Center for the Study of Ethical Development (CSED) at the University of Alabama. A report including basic statistics was provided by the CSED and additional statistical analysis was performed using SPSS. The qualitative information obtained from interviews was used to enhance and enrich the survey results. Digitally recorded interviews with each whistle-blower were transcribed, consolidated, and coded to identify common themes and topics from the consolidated responses.
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This chapter highlights the results of the quantitative research method in terms of response rates and demographics for those whistle-blowers who completed and returned the DIT2 survey. Summaries from information gathered during the interview process are also highlighted in this chapter. An understanding of the data gathered from phone interviews provides a basis for illuminating certain aspects of the survey results.
Quantitative Research Data Collection The survey tool used for assessing moral development was the DIT2. The statistically validated research instrument has been used to measure moral development levels for nearly 40 years. Rest et al. (1999), the DIT2, was designed to identify one of three moral schemas from responses to a series of 5 moral vignettes. Moral schemas were first introduced in Piaget, (1932) adopted in the description of DIT scores, and aligned with stages and levels of CMD (Kolhberg, 1979). Figure 18 illustrates the alignment between each stage and level of CMD, with each respective moral schema.
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Figure 18. CMD Levels aligned with Moral Schemas (Based on description in Bebeau & Thoma, 2003).
Completed DIT2 surveys were consolidated and scored by the CSED. Additionally, the CSED provided a set of statistical reports including calculations of mean, standard deviation and correlation. Further review and analysis was performed with SPSS Grad Pack Premium version 22.0 by the P.I. Additional information was gathered to enrich the survey results through interviews with a sub-set of whistle-blowers from the sample population used for the survey process. Each interview was conducted on a pre-determined date and time for approximately 1 hour. After securing the appropriate permission from each interviewee, each discussion was digitally recorded and transcribed. A confidentiality agreement was signed with the transcription service. Additional information from the interview process is included in the qualitative research method section in this chapter. 185
Response Rate Originally, the gathering of names and addresses of whistle-blowers was to be done in partnership with the Government Accountability Project (GAP) and the National Whistle-blower Center (NWC). Databases from both organizations were to be used to select approximately 1,000 whistle-blowers who would receive the DIT2 survey. Just prior to the start of the process, both agencies chose not to participate. One agency cited issues with internal computer systems; the other cited legal issues as reasons for the change in their ability to participate. An alternative approach was approved whereby names and addresses were gathered by the P.I. from public databases. DIT2 surveys were sent via first class mail to 228 whistle-blowers in the United States. Names of whistle-blowers were obtained from two public databases: (1) the whistle-blower directory, and (2) SEC- closed whistle-blower cases. Mailing addresses were obtained by the Principal Investigator through the use of a premium subscription to a public database (peoplefinders.com). A total of 59 surveys were returned, however 10 were returned as undeliverable. Therefore, a total of 49 (n = 49) surveys were completed and returned to the Principal Investigator. The response rate of 22% in this study was slightly below the average of 25% for self-administered, mail-in surveys. (Near & Dworkin, 1998; Miceli & Near, 1992). 186
Originally, at a power level of .80, the number of responses needed was calculated to be 278. In order to achieve that response rate based on historical response rates, approximately 1,000 whistle-blowers would have needed to receive the DIT2 survey. The actual sample size and response rate were less than originally anticipated for the study. The actual response rate of 22% in this study was slightly below the average of 25% for self-administered, mail- in surveys. (Near & Dworkin, 1998; Miceli & Near, 1992). The lower response rate may have been associated with the fact that the survey topic may have been sensitive, traumatic, based on past experiences for the individual, and therefore the whistle-blower may have chosen to disregard the opportunity to complete the survey. After the DIT2 survey process was complete and the results were reviewed, a sub-set of whistle-blowers from the survey sample pool were invited to participate in a one-on-one interview. A formal request for an interview was sent to 10 whistle-blowers. During the survey process, emails, hand-written notes and phone calls were received by the Principal Investigator from whistleblowers who offered to assist in the research project going forward. Initially, six whistle-blowers, or 60% of those originally invited, responded favorably to the idea of an interview. Two respondents were forced to rescind their acceptance during the interview scheduling process, resulting in a total of 4 interviews (n = 187
4) facilitated with whistle-blowers, that are described in detail in the qualitative research method section in this chapter.
Demographics After a thorough review of prior research, it was determined and verified by the CSED that the DIT/DIT2 protocol had not been used to quantify the level of CMD for a group of whistle-blowers. The whistle-blowers selected for this research study were from all parts of the United States. More than two-thirds (69%) of the survey respondents were men, 34 men and 15 women. The gender response rate is closely aligned with the overall gender ratio of the original 228 surveys mailed. The age of the respondents varied from one respondent in the 25-35 year old age category to three respondents being more than 65 years old. More than 80% of the whistle-blowers who returned the survey were 46 years or older. Education has been a demographic variable in prior DIT studies. Rest (1979b), concluded that formal education was the most powerful demographic correlate to DIT P scores, accounting for 30% - 50% of the variance in samples. All respondents (100%) in this study had at least some formal college training. The majority of respondents had a master’s degree (51%), with nearly one-third (31%) of the whistle-blowers having a doctorate degree.
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The final demographic variable that was captured on the survey was related to political affiliation. Nearly one-half (45%) of the respondents were conservative, 18% claimed to be liberal, and 18% claimed to be moderate. Education gender variables will be explored in greater detail in the survey results section of this chapter.
Results and Analysis For more than 40 years, results from the DIT/DIT2 survey have been gathered, scored and the results are on file at the CSED in the University of Alabama. The results from this study are separated into two categories: (1) quantitative results from DIT2 survey, and (2) qualitative results from interviews with selected whistle-blowers.
Quantitative Survey Results DIT2 survey results are designed to identify the moral schemas associated with levels of CMD (Kohlberg, 1976). The survey consisted of 5 ethics stories (non-business related), and 3 sections for responses. In section one, the respondent uses a 5-point Likert scale to rate 12 responses to each story based on their importance. In section two of the survey answer sheet, the respondent rates the four most important responses from section one using a 4-point Likert scale. Lastly in section three, the respondent chooses one intended action from three choices to resolve each of the ethical dilemmas. 189
The results of the DIT2 survey are listed in Figure 19. A total of 49 surveys were returned and processed at the CSED, while 2 surveys were rejected during the scoring process for erroneous input, 47 were included in the survey results.
Figure 19. DIT2 P Scores based on Moral Schemas.
The post-conventional level of CMD represents the highest level of moral reasoning (Kohlberg, 1976). The results from this study indicated that 22 whistleblowers or 47% of the total had P scores greater than 50. The post-conventional level of CMD is defined as a P score of between 50 and 95. However, the majority
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of surveys returned by whistle-blowers (25 of 47 or 53% of the total) had scores below 50 representing levels of CMD lower than post-conventional level. Rest, Thoma, Narváez, et al. (1997) stated that internal integrity in DIT studies during the last twenty years have averaged between .70 and .80. For this study, internal reliability as measured by Cronbach’s Alpha was .70, which was considered to be an acceptable level of integrity for statistical analysis on research studies. The measures of CMD selected for this study were the P score and the N2 score. Both scores measured the overall level of CMD. The N2 score evolved as the primary measurement with the revisions in the DIT2 from the DIT. Both scores are individually reliable and highly correlated. While the N2 is highly correlated to the P score (r = .94), it refines the P score based on the individual’s ability to discriminate between high and low items (Rest, Narváez, Bebeau et al., 1997). Overall, the quantitative results were interesting and unexpected. Survey results did not support the first research hypothesis: (H1): Whistle-blowers have moral judgment scores that are aligned with the post-conventional level of CMD as measured by the DIT2 – P score and N2 score. Survey results consolidated from returned surveys of whistle-blowers (n = 47) had a P score mean (M) of 44.24, with a standard deviation (SD) of 16.06. Therefore, the average P score of 191
whistle-blowers surveyed in this study was aligned with the conventional level of CMD, instead of the post-conventional level as expected. Although the study results did not support the first hypothesis, there were interesting results associated with specific demographic information. Figure 20 shows the mean scores from the whistle-blower responses (n = 47) compared with national norms, that used a composite sample of graduate students (n = 15,496), (Bebeau, & Thoma, 2003).
Figure 20. Means of DIT2 Scores based on Moral Schemas and levels of CMD.
Although the mean of P scores from this study was M = 44.24, which was greater than the mean of P scores from the national norm M = 41.06, the average P score from this study was not aligned with the post-conventional level of CMD 192
(P scores of 50 – 95). Instead the mean of P scores from the whistle-blowers surveyed in this study was aligned with the conventional level of CMD (maintaining norms moral schema). At the conventional level of CMD, there is a tendency to make decisions focused on maintaining existing roles in existing organizational structures (Bebeau & Thoma, 2003). Not all demographic factors were analyzed for their impact on the level of CMD of whistle-blowers. However, two variables, education and gender, were reviewed for their relationship to prior research. Previous research has shown that education is the demographic variable that best describes the variance in P scores compared to the other variables such as age, gender, and political preference (Rest et al, 1999). The results from this study supported results from prior research in the sense that P/N2 scores increased as the level of education increased. According to Rest, Thoma, Narváez, et al. (1997), the N2 score differentiates the educational groups better than the P score. N2 scores are illustrated in Figure 21, and show an increase in mean scores for each level of moral schema for each increase in the level of education.
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Figure 21. Means of DIT2 N2 Scores based on levels of Education.
Other demographic variables such as gender and age provided interesting results to consider. Figure 22 highlights the fact that the mean P score for female whistle-blowers (M = 49.82) was 20% higher than the mean P score for male whistle-blowers (M = 41.63). Gilligan (1982), offered evidence of a gender difference in moral reasoning, suggesting that women make decisions based on care and compassion, while men make decisions based on justice. The higher P scores for women whistle-blowers could be due to the fact that the moral dilemmas in the DIT2 are based primarily on social issues that may trigger thoughts of caring compared to thoughts of justice in the decision-making process. 194
Figure 22. Means of DIT2 P Scores based on Gender.
The results from this study indicated 67% of the women whistle-blowers had P scores aligned with the post-conventional level of CMD. Only 38% of the men whistle-blowers had P scores aligned with the post-conventional level of CMD. Further study can be done related to the gender variable. The second hypothesis of the study focused on the link between moral judgment and moral action: (H2) Whistle-blowers at the post-conventional level of CMD as derived by the DIT2 scores, exhibit a greater intention to take moral action as measured by the DIT2 - Utilizer score (U score). Thoma, Rest, and
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Davison (1991), stated that the U scores are a consistency index that measures the link between the action choice and the items selected as most important. The scale for U scores ranged from -1 to +1 with historical averages based on large samples ranging from M = .15 to M = .19 based on adults with increasing levels of education (Thoma, Rest & Davison, 1991). The correlation between U scores and P scores at each level of CMD are shown in Table 1. Results indicated that at the lowest level of CMD (Personal Interest, P scores from 0 - 30) there was a negligible correlation (r = 0.02) between moral judgment and intended action. Alternatively, at the highest level of CMD the strength of the correlation improved only slightly (r = 0.13) which failed to support the second hypothesis (H2). Furthermore, at the conventional level of CMD (Maintaining Norms) there was a weak negative correlation (r = - 0.18), which suggested, as moral judgment increased at the conventional level (P scores of 30 – 49), the U score (intended moral action) was not consistent (opposite) with selections of moral judgment (P scores).
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Table 1 Correlation between P scores and U scores
Another correlation between U scores and P scores was associated with levels of education as illustrated in Table 2. A strong correlation between U scores and P scores would suggest that moral judgments are consistent with intended moral actions. Thoma et al. (1991), indicated that U scores tend to increase with the subjects age and education. The results of this study did not support prior research. In particular, the correlation between U scores and P scores of whistle-blowers with undergraduate and graduate degrees was moderately negative (r = - 0.42). The negative correlation between U scores and P scores for whistle-blowers at the bachelors and masters level of education indicated that the intended moral actions chosen by whistle-blowers with a bachelors or masters degree are not aligned with Thoma et al. (1991). 197
Table 2 Correlation between P scores, U scores, and Education
Conversely, a moderate positive correlation existed between U scores and P scores of whistle-blowers with a doctorate degree (r = .50). Therefore, whistleblowers with a doctorate degree had a moderate strength of correlation between their choice of judgment with their corresponding choice for intended action for each ethical dilemma presented in the survey. However, surprisingly more than 68% of the college educated (bachelor, masters degree) whistle-blowers made choices of intended actions inconsistent with their choices of moral judgment. In summary, the correlation of U scores and P scores based on education from this study did not support previous research. Finally, the relationship between U scores and P scores at various levels of age was the last correlation analysis that was done for this study. Table 3 illustrates the details of the correlation between P scores and U scores at three increased levels of age. At the first level of age (35 - 44) there was negligible 198
positive correlation (r = 0.14). However, with each increasing level of age, the strength of the correlation between U scores and P scores turned progressively negative. For example, at age 55 and above, the strength of the correlation was a moderately weak negative correlation (r = - 0.35). A conclusion could be that the older the whistle-blowers, the more likely the decision to act in an inconsistent manner vis-à-vis their judgment when faced with a moral dilemma. Actually, nearly 79% of the whistle-blowers sampled in the survey were more than 45 years of age, and they chose intended actions that were incongruent with their judgment of a moral scenario.
Table 3 Correlation between P scores, U scores, and Age
Summary of Quantitative Research The DIT2 survey results provided quantitative evidence that the majority of whistle-blowers surveyed did not have P scores aligned with the post199
conventional level of CMD. Actually, more than 53% of the whistle-blowers had P scores below 50. The mean P score for all survey participants (n = 47) was M = 44.21 which is lower than the bottom threshold (P = 50) for the post-conventional level of CMD. Therefore, the first hypothesis (H1): Whistle-blowers have moral judgment scores aligned with the post-conventional level of CMD as measured by the P score in the DIT2 survey, the null hypothesis was rejected. The second hypothesis (H2): Whistle-blowers at the post-conventional level of CMD (measured moral judgment), exhibit greater intention to take moral action as measured by the DIT2-Utilizer score (U score). The underlying thought was that there would be a strong correlation between the U scores and P scores of whistle-blowers who had P scores aligned with the post-conventional level of CMD. Correlation results from this survey in Table 1, indicated that there was a negligible correlation (r = 0.13) between P scores and U scores for whistleblowers at the post-conventional level of CMD. Furthermore, in testing the significance of r = 0.13 at α = 0.05, the calculated t = 2.582 was above the critical value of t = 2.086. Thus the null hypothesis was rejected. The results from the survey were surprising, yet interesting in the sense that they were not expected and not aligned with the general perception of whistle-blowers. Most prior research identified whistle-blowers as individuals who, at one time in their lives, made a difficult decision to do the right thing. 200
However, most acts of whistle-blowing represent only a singular event in an individual’s life. The research hypothesis was created from a set of presuppositions that cast a blinding light on the fact that one moral event is not necessarily indicative of an individual who makes all decisions based entirely on the right thing to do, without regard to personal consequences.
Qualitative Research As a result of the unexpected quantitative results obtained from the DIT2 survey of whistle-blowers, an additional component of research was added to the study. Interviews with whistle-blowers were added to the research methodology to enhance and enrich the results obtained from the survey data. The primary objective of including the additional type of research was to add a dimension to the study that would provide context to the quantitative survey results. An interview protocol was developed to provide consistency in the interview process. Interview questions were aligned with each of the research hypotheses.
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Table 4
Interview Questions Aligned with Research Hypotheses
Data Collection A total of 10 interview invitations were sent out via email, as follow-up to offers for additional assistance. Favorable responses to the invitation to be interviewed were received from 6 whistle-blowers. However, 2 interviewees reversed their decision to participate prior to establishing a firm date and time for the interview. Both whistle-blowers declined to participate due to additional 202
issues and constraints placed on them related to legal issues. Interviews were conducted with 4 whistle-blowers. All interviews were digitally recorded with the permission of each interviewee. Transcripts were created from each digital recording after a confidentially agreement was secured from the transcription service
Interviews All individuals participating in the interview process were well known, public figures. Each whistle-blower was surrounded by a high level of media attention as their individual whistle-blower case unfolded. Table 5 provides the list of whistle-blowers (with their permission) along with the organizations they were part of when the whistle-blowing event occurred. In addition to the names in Table 5, two other individuals had originally accepted the invitation to participate in the interview process, however they were unable to be part of the interview process due to additional legal issues surrounding their whistleblowing cases that had arisen unexpectedly.
Table 5 203
List of whistle-blowers interviewed
Results and Analysis The data summarized from qualitative research were a result of questions aligned with the study hypotheses in order to illuminate the quantitative survey results. An objective of the qualitative approach was to understand the decision that each individual made, as well as the underlying reasons for the decision. Qualitative information from the transcripts of interviews, as well as other sources of information including, articles, books, websites, and public information was gathered, coded, and triangulated to generate patterns and common themes.
Data Consolidation 204
After a thorough review and coding of all the responses to the interview questions, a content matrix was developed for each of the research hypotheses. Each interview question had responses that were somewhat similar; this process of combining and identifying themes of the similar responses is referred to as content analysis. These themes along with other patterns in the interview responses led to the development of a content matrix. Each content matrix includes common themes along with specific responses from the whistleblowers. Each content matrix is discussed in the qualitative survey results section of this chapter and following topics that were aligned with the study hypothesis.
Qualitative Survey Results Given the unexpected, yet fascinating nature of the quantitative results, the idea of interviewing whistle-blowers who had offered to provide additional help with the study was very exciting. The opportunity to acquire further knowledge directly from well-known whistle-blowers was a primary objective in adding a qualitative research component to this study. A basic assumption with the first research hypothesis (H1) was that whistle-blowers would have P scores from the DIT2 aligned with the highest level (post-conventional) of CMD. Although the survey results did not support the first research hypothesis, various questions in the interview were designed to probe further into the characteristics associated with the decision-making process 205
at the post-conventional level of CMD. Kohlberg (1976) stated that individuals at the post-conventional level of CMD make decisions based on the “right thing” to do, and are fundamentally aligned with a deontological perspective. Common themes related to the first research hypothesis (H1) shown in Table 6, were associated with the decisions that were made, the feelings before and after the decision, and consideration for consequences.
Table 6 Content Matrix for Research Hypothesis 1 (H1)
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A mixed set of responses to interview questions related to the first research hypothesis (H1) are consistent with the results from DIT2 survey. Although all individuals felt as though they were “different”, “did not fit-in”, and made decisions different from others, the interview responses to other questions did not always support that general feeling of autonomous independence. For example, most individuals typically knew right away that something was not right. However, in one example a whistle-blower indicated that his judgment of the unethical event was based on the encouragement of his wife. While, others may have pondered next steps in terms of the specific action that was necessary, most judged the moral dilemma initially as unethical and wrong. Another characteristic of decisions at the post-conventional level of CMD is the fact that they are not based on a regard for the potential personal consequences associated with the decision. Most interviewees confided that although they knew there would be some type of reaction to their action, it did not alter their intention to do the right thing. Most whistle-blowers felt confident in their judgment of the situation. They also appeared to have a high level of selfefficacy in their confidence to find another job if necessary. A question regarding personal feelings after the individual blew the whistle provided an interesting array of responses. The responses ranged from 207
relief in the sense that a weight had been removed, to panic and fear in terms of not knowing what could happen next. One respondent admitted that he was warned to “fear for his life” after going public with the details of unethical, illegal activities taking place in the organization. Finally, all interviewees expressed the need to speak the truth; however, each of them spoke of pressure from friends and co-workers encouraging them to “not speak the truth” because of potential personal consequences. While the quantitative results indicated that the majority of whistleblowers are not making decisions at the post-conventional level of CMD, the qualitative results support the fact that there is not consistency in the decisionmaking process. These results are interesting and suggest that additional research with a larger sample of whistle-blowers may be necessary to further explore nuances associated with the moral decision-making process.
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Table 7 Content Matrix for Research Hypothesis 2 (H2)
The second content matrix was aligned with (H2) and focused on the relationship between a decision and the associated intended action selected for that decision. In this study all whistle-blowers interviewed attempted to alert individuals within their organizations that something was wrong. Alford (2001) indicated that the overwhelming majority of whistle-blowers initially take the message of unethical activity to someone internal to their organization. However,
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as in most cases and specifically this study, the need for external whistle-blowing may not have been necessary if appropriate attention and remediation was taken after the initial message was delivered by the whistle-blower. A conclusion can be made based on the responses to this question that initially moral judgment equals moral action. In this example, moral action is defined as an internal whistle-blowing event. Another aspect of the balance between judgment and action is based on the reasons for the action. One respondent indicated that his wife told him to follow his instincts and do the right thing regardless of what might happen. She said that if he did not blow the whistle, the illegal activities would never end. In another example, an individual indicated that if the thought of a “big pay day” did not exist, he would not have risked it all. One of the most powerful deterrents to the act of whistle-blowing is the possibility of retaliation (Alford, 2001). Three of the four interviewees reported some type of retaliation. Some of the cases of retaliation were more severe than others. For example, one whistle-blower said during a seven week trial, his entire family was “put under a magnifying glass” every aspect of their personal lives was made public. Although he cooperated with authorities resulting in the exposure of illegal activities, the company retaliated by bringing unrelated charges against the whistle-blower, resulting in an 8 year prison sentence. The 210
Ethics Research Center issued a report that showed that more than 65% of individuals observe organizational wrong doing; however, nearly 50% of those individuals who witness wrongdoing do not report it because of the fear of retaliation (Ethics Research Center, 2011). Two other follow-up themes emerged, (1) life since the whistle-blowing event, and (2) would you blow the whistle again? Each of the 4 whistle-blowers without hesitation indicated that their life is “better” since their whistle-blower experience. Adjectives such as, much better, absolutely better, and extremely better were used to describe life since the whistle-blowing event. One described the monetary reward as freedom from the organizational battles over right and wrong. Some of the whistle-blowers have gone on to become consultants, teachers, and speakers. One was hired into another company with more responsibilities and a higher compensation level than they had prior to the whistle-blowing event. The last set of questions in the interview dealt with the idea of blowing the whistle again. 75% of the interviewees responded that they would take the same action again, if it meant doing the right thing. However, one individual indicated that the promise of financial reward was the primary motivating factor to blow the whistle.
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Summary of Qualitative Research A primary reason for adding qualitative research to the study was to use the data collected from interviews to enhance and enrich the survey results. After the qualitative results were reviewed, two observations were gathered from the interview process. Not all of the individuals interviewed made their decision to blow the whistle based on an instinctive reaction to a moral dilemma. One whistle-blower indicated that his wife encouraged him to “do-the-right-thing” another individual stated that he would not have blown the whistle if the promise for a financial reward was not available. A fundamental question arose from this study, does one event portrayed as a moral decision, indicative of an individual with a consistent, predictable, unwavering ethical decision-making process? The results from the qualitative research provide the basis for additional research. Each individual that was interviewed shared insights into the reasons associated with their personal decision to blow the whistle. The expectation was that those decisions were instinctive, in order to do-the-right thing, and without regard to potential personal consequences. However, actual reasons included, influence and encouragement from family, promise of financial reward, and to avoid be labeled as someone who condoned the unethical activity. 212
Most of the whistle-blowers endured retaliation from the organizations they blew the whistle on, and that retaliation caused them personal pain and suffering. However, those actions reinforce the fact that decisions at the postconventional level of CMD are made without concern for the personal consequences associated with the decision. Finally, the majority of the whistle-blowers admitted they would make the same decision again, even with knowledge of the consequences they would most likely endure. One respondent attributed the love from family members and a strong spiritual faith as the foundation of support necessary to make it through a whistle-blowing event. One interviewee shared a personal opinion that summarizes the qualitative research observations, “true leadership is making the right decision and then acting on it.”
Summary of Study Results Although the results from this study were unexpected, the opportunity to learn and expand the existing base of knowledge related to the individual decision-making process was significant. Traditional thought, past experiences, and general perceptions added to the development of the research hypotheses. Review and analysis of the study results provide an opportunity to view
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differently the moral decision, the reasons for making a moral decision, and the individual who makes the decision. In the next chapter, the results from this study are illustrated and applied to a number of different possible scenarios as part of a discussion outlining the next steps in sustaining the acquisition of knowledge related to developing ethical, moral individuals who are part of ethical, moral organizations. Suggestions of possible future research as well as a detailed plan for a possible platform designed to consolidate the training and development necessary to create ethical organizations with sustainable systems and processes.
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CHAPTER V: IMPLICATIONS AND CONCLUSIONS Introduction The final chapter of this study provides a general overview of the research project, analysis of key topics from the study such as, the original expectations, a reflection on presuppositions and mental models, and suggestions for future research. Additionally, an illustration of a design for the sustainable application of the study results will be presented.
Overview of Study This study is unique in the sense that it was the first time that the Cognitive Moral Development (CMD) of a group of whistle-blowers was measured using the DIT2 survey. The study results were surprising in the sense that they were different from what the researcher expected. However, the study provided additional information to begin to understand the complicated dimensions associated with ethical and moral leadership. Whistle-blowers as a group of individuals have not been surveyed with any DIT protocol prior to this study. Thus, the level of CMD associated with whistle-blowers was not known. The post-conventional level (the highest level
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attainable) had been described with many of the same characteristics normally assumed to be associated with whistle-blowing:
Based on the deontological theory of ethics.
Alignment of decision-making process with a guiding set of principles. Demonstrated signs of altruism and courage along with a disregard for personal consequences associated with the decision-making process. Inherent in the primary hypothesis of the study was the presumption that
whistle-blowers have many of the same characteristics associated with the highest level of CMD as defined by Kohlberg (1976). Also assumed was that through the act of whistle-blowing each whistle-blower had demonstrated a moral action in their past. Therefore, the level of CMD as measured by the DIT2 P score would be aligned with the post-conventional level of CMD. However, the results from this study did not support this hypothesis. For whistle-blowers, their single moral action was based on a specific action, composed by a set of conditions, and with a specific degree of intensity associated with the moral dilemma. The assumption was that a single moral action was an indication of an individual who made all decisions in alignment with the principles associated with the post-conventional level of CMD. Each of the actions of the whistle-blowers who were invited to be part of this research was related to a dilemma in a business or professional organization. However, 216
the results from this study showed that one example of moral judgment followed by moral action did not equate to a moral decision-making process based on the highest level of CMD. Kohlberg (1976) found that individuals with P scores at the highest level of CMD as measured by the DIT2 survey tool had demonstrated the ability to make decisions aligned with deontological ethical theories. Strong correlations have been illustrated between levels of CMD and education. For example, Ponemon and Gabhart (1990) reviewed P scores from more than 10,000 DIT and DIT2 surveys of individuals in various professions (Figure 12). The results showed that doctoral students registered the highest P scores, followed by seminary students, law students and medical students. The second hypothesis of this study focused on the relationship between moral judgment and moral action (Rest, 1986; Blasi, 1980). The correlation between judgment and intended action is measured by the U score in DIT 2. Prior research (Blasi, 1980) has shown only a moderate correlation between judgment and action. Since whistle-blowers have demonstrated the ability to act morally at least one time in a past experience, the correlation between judgment and intended action with whistle-blowers at the post-conventional level of CMD was expected to be strong.
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The thought was that whistle-blowers had a strong instinctive ability to make moral judgments and then act accordingly. However, the results from this study showed a weak correlation between moral judgment and intended moral action and therefore not significantly different from Blasi (1980). Each of the 228 whistle-blowers invited to participate in this research project were public figures with a general perception of duality. They were considered famous and infamous, loved and hated, and persecuted and sometimes rewarded. They were all subjects of significant public scrutiny and continued debate as to the benefit associated with their action. Qualitative information and data from interviews conducted with a sub-set of whistleblowers was included to enhance the authenticity of the study and enrich the DIT2 survey results. The majority of whistle-blowers initially invited to participate in the interview process had expressed an interest in participating. Many expressed an appreciation for the research study and requested a copy of the results. Others who were not able to participate in the interview process offered to be part of future research efforts and projects associated with the study of ethical leadership and moral development. Suggestions for future research will be discussed separately in this chapter.
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Numerous precautions were taken to alleviate researcher bias. For example, the selection of a self-administered survey, a personalized invitation to participate in the survey, calculation of results by a third party (CSED) affiliated with a major university, and enhancing survey results with comments taken from interviews with a sub-set of whistle-blowers. In retrospect, the background of the researcher created a unique dimension of trust during the interview process. In fact, interviewees commented that “it was easier to discuss the events in their past with someone who had gone through it.” Although this project began with a set of expectations based on a thorough review of literature, the objective results from the DIT2 survey provided an opportunity to challenge pre-existing assumptions in a thoughtful, curious, and unbiased manner. Those original expectations and associated presuppositions were not supported by the quantitative or qualitative results from this study. The study also focused on the individual labeled as a whistle-blower. The original assumption was that these individuals were categorically ethical and moral based on one decision and one perceived moral action they had taken. Research results have now cast a shadow of doubt on that assumption. Perhaps the solution is not based solely on the moral and ethical structure of the
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individual but instead a solution that addresses the entire system of the situation and the organization.
Original Expectations Expectations for the study were based upon assumptions arising from literature reviewed from prior research, current events, reports regarding whistle-blowers, and the researcher’s own experience of engaging in whistleblowing. The primary assumption undergirding the study was that the act of whistle-blowing is usually, but not always shown, to be a positive moral action. Furthermore, it was assumed that the individuals who were actors in a prior whistle-blowing event were most likely to have made decisions based on doing the right thing, without regard for personal consequences associated with the decision. However, the results of this study did not support those assumptions. It was also assumed that all whistle-blowing actions were based on an ethical or moral dimension. Feedback from an interview with a whistle-blower suggested that the primary dimension for the whistle-blowing action was based on the knowledge that a financial reward would accompany the decision to blow the whistle. There has been anecdotal evidence that whistle-blowing may have been based on revenge, or negative and immoral intent. For example, when Juliane Assange (creator of the WikiLeaks website), posted government documents that 220
he obtained from inside sources, some thought he was a hero, while others thought he was a traitor. Another example is Edward Snowden, who lives in exile after sharing classified information he obtained from his job at the National Security Agency (NSA). The question remains, did Edward Snowden act in a moral way by making public information that proved U.S. government activities were taking place in terms of recording individuals’ phone calls and collecting and reviewing digital communications from U.S. citizens’ emails & text messages. Another expectation at the onset of the study was that a single act of whistle-blowing was most likely an indication that the decision-making process of a whistle-blower was different, unique, yet consistent with most other decisions made and actions taken. Therefore, it was assumed that the whistleblowers selected for this study would have DIT2 scores aligned with the highest level (post-conventional) of CMD. However, the results from this study showed that the majority of whistle-blowers had a level of CMD lower than the postconventional level of CMD. Another expectation of the study was that whistle-blowers had an inherent, instinctive ability to link moral judgment and moral action, since they had done it once in the past. The original thought was that DIT2 survey results from the correlation between the P score and U score (moral judgment and 221
intended moral action) would be able to be used retrodictively in conjunction with the actual moral behavior of the whistle-blowers to enhance the support for the link between judgment and action. Since the correlation between judgment and action (U scores and P scores) was not strong, further applications toward conclusions utilizing retrodiction were not possible. Although the results from the study were not expected, they provide an opportunity to gain a new sense of understanding and knowledge regarding the moral decision-making process and the relationship between judgment and action.
Presuppositions and Mental Models The notion of preconceptions, expectations, and experiences are necessary to understand in order to enable a reflective perspective regarding the survey results. All aspects of the design and development of the research study were analyzed through transparent lenses. Transparency in design meant being able to critically review and question all ideas, concepts, and theories. It was also important for the P.I. to frequently review the possibilities that could have existed for research bias. The idea of maintaining researcher impartiality was a primary objective of the principal investigator. Considering that a significant whistle-blower experience was part of the principal investigator’s background, all necessary 222
steps were taken to prevent researcher bias in the development of the research methodology as detailed in Chapter III. Although original expectations for the study were not realized in the survey results, the quantitative and qualitative data were treated as gifts of knowledge, that were explored with an eager openness to the possibility of broadening the principal investigator’s understanding, as well as adding to the existing body of research literature. Since it is not possible to erase past experiences, presuppositions, or mental models from an individual, instead principal investigators can embrace those psychological building blocks and use them as tools in research projects. Heidegger (1962) confirmed that pre-understandings are an inescapable and necessary tool in all creations of new knowledge. They cannot be expunged; they can only be identified, critiqued, and used with conscious awareness of their influence. Senge (2006) also supported this realization that mental models are “deeply ingrained assumptions, generalizations, or even pictures and images that influence how we understand the world and how we take action” (p. 36). Experiences, along with the ability to reflect on actions, are the building blocks necessary to form mental models. Therefore, the assumption that a principal investigator involved in a whistle-blower experience would have a qualifying bias for conducting research 223
on ethical leadership, based solely on presuppositions and mental models would seem to be unfounded. If that was an assumption, would the same assumption apply to African American researchers studying racism in the United States, or Japanese or German researchers studying WWII? Similarly would we conclude that all Hispanic researchers are unable to study immigration policies between Mexico and the United States? On the contrary, it could be argued that these mental models and past experiences allow for a unique set of lenses from which the P.I. would view the research topic. In this study, prior events, personal experience, and subject matter knowledge allowed the P.I. to reflect on the results from the study with an informed perspective. Perhaps using mental models and past experiences as tools in the research process provides the P.I. a unique degree of validity and credibility. This would be especially true in the interviewing of survey participants who had experienced a common event (i.e., whistle-blower, military veteran, social activist). An analogy that could help illustrate this process of experiential-based discovery would be the ability one has to describe an event watched on color television compared to trying to describe the same event watched on a black and white television.
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Summary of Major Findings The DIT2 survey results were unexpected in the sense that they did not support either of the research hypotheses. In the first hypothesis (H1), the mean of P scores for whistle-blowers (n = 47) was M = 44.2. In Figure 23, the position of the whistle-blower’s average P score in relationship to the P score averages from individuals in other professions is illustrated. P scores between 50 and 95 are associated with the highest level of CMD. Decisions made at this level are based on principles (Kohlberg, 1976). The average P score attained by whistle-blowers was at the conventional level of CMD, which is different than what was expected. At the conventional level, decisions are made based on maintaining norms, keeping the status-quo and assessing personal consequences associated with the decision. Although there were individual whistle-blowers who scored at the post-conventional level, the majority (53%) scored at a level of CMD lower than the post-conventional level.
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Figure 23. P Scores from Various Professions Including Whistle-blowers (as described in Ponemon & Gabhart, 1990).
Although the average P score of whistle-blowers did not support the primary hypothesis, at least two valuable insights were gained from the survey results that measured the level of CMD: (1) Whistle-blowers are not necessarily moral or immoral, and acts of whistle-blowing may therefore be noble acts or ignoble acts. (2) A previous single act of moral behavior in a professional, business-like setting, does not necessarily equate to the application of a consistent decision-making process in all types of moral dilemmas.
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The second research hypothesis (H2) suggested that those whistle-blowers with P scores at the post-conventional level of CMD would have significant correlation between moral judgment (P score) and intended moral action (U score). In the development of the secondary hypothesis, the thought was that whistle-blowers would score high U scores indicating their intention to act morally. The majority of whistle-blowers (n = 25) had U scores slightly greater than or equal to the overall average adult U score of .19 (Table 1). However, those whistle-blowers at the post-conventional level of CMD (n = 22) had an average U score of .13 (Table 1), that was 36% below the average U score of .17 for all whistle-blowers (Figure 24).
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Figure 24.
U Scores from Whistle-blower Survey (developed by researcher).
Although the study results (n = 47) indicate an overall negligible negative correlation of U scores and P scores r = - 0.11, indicating that as P scores (moral judgment) increased there was less likelihood of corresponding intended moral actions (U scores). However the strength of the correlation between judgment and action for whistle-blowers at the post-conventional level of CMD (n = 22) was weak at r = 0.13. A test for the significance of the correlation at the postconventional level showed significance α = 0.05, the calculated
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t = 2.582 was above the critical value of t = 2.086. Therefore, the null hypothesis was rejected. The original assumption that one dramatic moral action constitutes a consistent pattern of moral behavior has been demonstrated to be incorrect. The one action of the whistle-blower may or may not be a “moral” act, i.e., it may be a moral act or an immoral act, depending upon the motivation or intention of the whistle-blower, the situation itself, and the consequences of the act of whistleblowing. Since the theory that whistle-blowers have strong structural moral habits was not supported by the survey results, the opportunity exists to explore the question of whether behavior can become a habit resulting from the decisionmaking process, or if it is a random event. The primary hypothesis of this study could be aligned with Covey (2005) that suggested in order to move from effectiveness to greatness in the Knowledge Age, one must identify an 8th habit. Described as the development of an individual’s true nature, the 8th habit was also referred to as an inner voice. Perhaps individuals at the post-conventional level of CMD may have a strong 8th habit that guides the instinctive decision-making process that is based on doing the right thing, regardless of the personal consequences. Since all whistle-blowers did not have P scores at the post-conventional level of CMD, that may be an indication that additional training and 229
development is necessary to form and enhance moral habits consistent with the post-conventional level of CMD. Why can an issue be judged as an unethical, immoral event, but then the appropriate moral action is not taken by the individual? Blasi (1980); Thoma & Rest, (1986); Thoma, Rest & Davison, (1991) indicated that the ability to quantify the gap between judgment and action was difficult. Rest (1986) further stated that moral judgment scores (P scores) in the DIT2 were not reliable to predict moral action. Blasi (1980) concluded that overall support for the correlation between judgment and action was only moderate. Pfeffer and Sutton (2000) described a gap similar to judgment and action that exists between knowing and doing. Individuals or organizations typically have the knowledge associated with what-to-do, but fail to implement or act upon that knowledge in the form of action. They argue that this is a dominant and ubiquitous characteristic of modern American corporate life that affects the success of all organizations and individuals. Similarly, prior research in cognitive moral development and moral behavior has shown only moderate correlation between moral judgment, i.e., knowing what the right thing to do is, and moral action, i.e., doing the right thing (Blasi, 1980; Rest, 1986; Thoma et al., 1991). In this study, the correlations between judgment (P score) and moral action (U score) at each level of CMD, did not support Blasi (1980). Figure 25 230
illustrates the various dimensions of correlation at each level of CMD (Moral Schema). All correlations between moral judgment (P scores) and intended moral action (U scores) were weak, regardless of the level of CMD.
Figure 25.
Correlation between P scores and U scores.
In summary, the research results from this study were unexpected, yet interesting and thought provoking. Although strong conclusions cannot be drawn from the statistical or qualitative data, there are surprising implications and conclusions from the study that cause a disruption in the acceptance of presuppositions, mental models, and assumptions associated with the idea that whistle-blowers are ipso facto more moral than non-whistle-blowers or that whistle-blowing is always a courageous and moral action. In this respect, the
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results of this research mirror the contemporary debate in society regarding the morality of the behavior of some individuals like Julian Assange, Edward Snowden, and others, whose actions are considered controversial to business leaders and academicians.
Implications Related to Research Hypotheses There were two primary implications associated with the research hypotheses of this project. First, this study represented the first time that P scores were gathered from a group of whistle-blowers. Survey results did not confirm the study hypothesis, suggesting that the moral reasoning scores of whistleblowers will be aligned with the post-conventional level of CMD. A unique feature of this study is that the moral actions of those individuals participating in the DIT2 survey are already known and documented in adjudicated court cases. Whistle-blowers come from all types of organizations (private, non-profit, and government agencies). The whistle-blowers selected for this study had various types of responsibilities within their organizations, and they shared a common moral action, that of being responsible for exposing wrongdoing in their organization. Other characteristics shared by the survey participants in this study are that they challenged the status quo and they spoke out against unethical decisions, regardless of the personal consequences associated with their moral 232
behavior. Based on qualitative research, Alford (2007) summarized whistleblowers as individuals that most likely disobeyed instructions to acquiesce to practices, activities, and policies that were illegal, immoral, or unethical in nature, regardless of the personal consequences or possibility of retaliation. When one considers the compelling need for organizations to employ ethical and moral leaders, the implications associated with the results from this study increase dramatically. Vershoor (2010) stated that the need is increasing for more individuals who are dedicated to speaking out and willing to bring justice in various scenarios to lead all types of organizations. Information from this study could provide important data to help design tools for organizations to assess individual moral reasoning skills to help identify individuals who could benefit from ethical and moral training in order to foster an ethical and moral culture within the organization. Kohlberg et al., (1983) stated that post-conventional individuals are particularly likely to become leaders, so they have a unique opportunity to impact the ethical and moral culture of the organization. Providing further support to the idea of the importance of the post-conventional individual to the organization, Lewin and Stephens (1994) suggested that principled CEOs would establish a climate of ethicality throughout the organization, by implementing policies and processes that embody respect and justice for all stakeholders. 233
The ethical, moral leader should possess moral characteristics as well as the courage to make the right decision. Trevino, Hartman and Brown (2000) cited the characteristics of integrity, honesty, and trustworthiness that make up a moral reputation. They believed that the average employee should view the reputation of the leader as squeaky clean. While the tone for ethical leadership is set at the top, it should be a requirement for everyone. Patricia Harned, Ph.D., executive director at the Ethics Research Center, stated that based on the results of the 2011 National Business Ethics Survey, workplace ethics appear to be heading into a decline. However, she suggested that if business leaders make ethics and morality a priority, they can have a dramatic impact on the workforce. Pennino (2002) suggested that there is a link between decision style and moral development and that a dominant decision style correlates to the postconventional level of CMD. Boatright (1999) provided support for the concept of the moral manager with the Moral Manager Model based on responsibility, participation and relationships. Pennino (2002) described the moral manager as a leader who not only thinks morally, but also acts morally. The second implication from this study is a shift from the original assumption that focused on the ethical, moral individual. The results from this study indicate a need for the development of ethical, moral systems within 234
organizations. Senge (2006) discussed the learning organization as a platform to develop individuals that contribute to a system (organization) involving many parts (functions). In an optimal scenario, the whistle-blower would not be needed in a learning organization. Every individual in the organization would be able to make decisions based on the-right-thing to do, with-out fear of repercussion or retaliation. There will always be a need, even on a pragmatic basis, to identify and develop individuals who behave within a set of known moral parameters to provide effective ethical and moral leadership within organizations. However, the challenge continues to be, how to identify those individuals who not only have the aptitude for ethical, moral leadership, but also are likely to demonstrate their actions and behaviors in an ethical, moral manner that in turn fosters a safe environment for others in the organization to feel encouraged to do the same. Furthermore, how can the appropriate training and development be offered to all individuals who aspire to organizational leadership or who are already serving as organizational leaders? The solution goes beyond the individual. The organizational system or culture needs to be conducive to individuals being able to make moral decisions without fear of retaliation or retribution. Senge (2006) referred to the learning organization, consisting of disciplines such as, team learning, shared vision and systems thinking. Brown 235
and Trevino (2006) suggested that moral reasoning training programs could prepare leaders to handle ethical and moral issues in a more sophisticated manner. The literature undergirding this study provided the foundation from which the identification, assessment, training, and development of ethical, moral individuals in all types of organizations is possible. A goal of this study was to reduce the gap between moral judgment and moral action by applying the results obtained from this study to form a comprehensive process to assess, train, educate and reward individuals who do the right thing in all aspects of life. Ayn Rand (1957) in her book Atlas Shrugged described the moral judgment process through a speech by a character named John Galt, “Nothing but a man’s mind can perform the complex, process of thought, nothing can direct the thought process but his own judgment, and nothing can direct his judgment but his moral integrity.” (p. 128).
Implications of Findings Early in the research process it became apparent that the results from this study would add a different twist to the existing body of knowledge related to the study of CMD. Until this study, the DIT2 protocol had not been used to measure the level of CMD of whistle-blowers. Two basic assumptions are
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challenged with this study. All acts of whistle-blowing are good, and whistleblowers always make moral decisions. Previous research by others on the subject of whistle-blowers has been mostly qualitative interviews and has suggested some common characteristics of whistle-blowers, such as, they act altruistically, they are educated, and have a high level of self-efficacy. However, in an attempt to discredit the whistleblower, most organizations or individuals accused of ethical misconduct will try to discount the accusation as a result of a disgruntled employee. This action tends to confuse, confound, or camouflage those actual cases of bad whistleblowing prompted by revenge, vindictiveness, or malicious intent. Another original assumption challenged with the survey results was the idea that individuals who made the decision to blow the whistle would always make moral decisions. The average P score from the whistle-blowers was within the conventional level of CMD, and therefore did not support the fact that moral decisions were a consistent result of judging all moral dilemmas. The fact that the average P score did not align with the post-conventional level of CMD is significant in opening new possibilities for future study. Additional questions now can be directed at specific aspects of the moral development of whistleblowers.
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In addition, a major implication from the study results was the realization that we do not yet know the reason why whistle-blowers blow the whistle. Indeed, while some repeatable patterns likely exist among whistle-blowers, the reasons for whistle-blowing may be as varied as the individuals who blow the whistle and the situations that catalyze whistle-blowing. If this is so, then this study might contribute to a new theory of contingency in regard to whistleblowing rationales. This would constitute an advance that illuminates and shifts the focus of research on whistle-blowing and whistle-blowers to researching organizations that establish sustainable cultures encouraging all individuals to practice moral decision-making and speak confidently without fear of retaliation. Rather than viewing whistle-blowing solely as an instance of moral judgment and moral action, whistle-blowing might be seen as an individual response to stimuli in an organizational environment that is rooted in a variety of motivations—some good, some morally neutral, and some not good. Sharing the results of this study with some of the experts, researchers, and academicians met during the course of this study is another impact of this research. Many of the individuals cited as part of this study, Miceli & Near (1992); Alford, (2001); Soeken & Soeken, (1987), along with Darcia Narvaez and Stephen Thoma were contacted during the research process. Each of those individuals has expressed an interest in discussing the results from this study. 238
Limitations of the Study The ability to gather a significant pool of whistle-blowers was difficult, time consuming, and expensive. Early on in the process, agreements were established with well-known whistle-blower advocacy groups to use their internal repositories of whistle-blower names and addresses. However, due to pending litigation, fears of confidentiality, and the inability to retrieve client contact information from internal databases, those agreements unraveled at the last minute, just prior to beginning the survey process. In Chapter III, an alternative approach was developed to collect contact information for a number of whistle-blowers for the study. Public databases that contained closed whistle-blower cases were used to select 228 names. Additionally, a subscription to a people finder search engine was purchased to collect current mailing addresses of those individuals chosen from the closed case files. Sample size was another limitation. Due to last minute changes by the whistle-blower advocacy groups who had committed to provide assistance in the process of gathering whistle-blower names and addresses, the number of individual whistle-blowers invited to participate in the survey dropped from an expected 1,000 to 228. The response rate of completed returned surveys was 49 or 22%. However in order to be statistically correct at a 95% confidence level the 239
number of responses would have had to have been 278 (Cresswell, 2009). With the response rate experienced in this study, more than 1,000 whistle-blowers would have been required to have been invited to participate in order to achieve the results necessary to apply the findings from this survey to the entire population of whistle-blowers. With access to a greater number of databases with names and contact information (mailing addresses, email addresses, phone numbers) of whistle-blowers, a more sophisticated in-depth study could be possible. The P.I. anticipates building a database of whistle-blowers in the future for a variety of professional purposes. Future quantitative research could be repeated with a larger database using the DIT2 survey again in order to understand if the test results are meaningfully different with a larger sample size. Also, the P.I. anticipates repeating a version of the qualitative portion of the study in order to try to identify the pattern of motivations of whistle-blowers for blowing the whistle on various organizational behaviors. Due to the relatively small sample size and limited number of survey responses, the results from this survey are not statistically reliable to apply on the larger population of whistle-blowers. However, a first step has been established in terms of creating quantitative and qualitative research regarding the moral reasoning process of whistle-blowers. This, in turn, could lead to a 240
sustainable approach to identifying ethical and moral individuals in organizations. We now understand that the identification process should be based on understanding the habits that lead to moral behavior, rather than assuming that consistent moral actions are based on a previous moral event. Another aspect determined from the analysis of the research results is in the identification of an equally interesting population of individuals who represent those individuals that chose not to blow the whistle. Call them the nonwhistle-blowers. This individual in the organization had the same information and data as the whistle-blower but decided to remain silent in their action. They may have judged the dilemma as immoral however, they chose to not take action.
Future Research A benefit derived from this study is the opportunity to use of the results for future research. Had the survey results supported the research hypotheses, the picture of whistle-blowers and CMD may have continued to be viewed through traditional or black and white lenses. Instead, with the unexpected results, it may be possible to reflect on related topics and issues using creative or multicolored lenses, providing an innovative and thoughtful opportunity to
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explore the topic of ethical leadership and moral development with greater depth and breadth.
Opportunities for Future Research
Utilize other types of quantitative and qualitative protocols to measure moral reasoning skills of whistle-blowers.
Conduct surveys on different types of individuals including non-whistleblowers that could complement and enhance the results from the study of whistle-blowers.
Explore research related to the development of sustainable ethical, moral organizations for future studies.
Other Types of Survey Protocols In addition to the DIT2, other survey protocols are aligned with the principles of CMD, such as the MJT (Moral Judgment Test), reviewed in Lind 1978). Although similar in the format of responses to questions related to ethical dilemmas, the MJT is distinguishable from the DIT in that it provides a full description of a person’s moral behavior. Lind, (2000) stated that moral behavior involves, (1) moral principles, and (2) the cognitive capacities applied to those principles in decision-making process.
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The MJT measures an individual’s moral competence (C score), rather than moral attitude. The MJT is the only test of moral behavior that involves a moral task. Survey participants are asked to judge moral arguments which oppose their opinion on a certain moral issue (Lind, 2000). Administering the MJT to a group of whistle-blowers in addition to the DIT2 may provide an interesting opportunity to deepen the understanding of the moral behavior of whistle-blowers. Another protocol that could be used for future research is the Multidimensional Ethics Scale (MES). Developed by Reidenbach and Robin (1990), the MES was thought to be a predictor of ethical/unethical behavior. Robin et al., (1996) suggested that the MES was a more reliable tool for predicting moral behavior. Future research could compare the DIT2 scores (P scores and U scores) of whistle-blowers with the results from MES scores from whistleblowers. Robin et al., (1996) also stated that the correlations (R2s) of published MES data with behavioral intent measured between 25% and 76%, with an average of 44% over 27 survey samples (Reidenbach & Robin, 1990). With the focus of the MES on behavioral intent, a future research study could include two protocols that compare the U scores from the DIT2 with the MES scores from quantitative research with whistle-blowers. Prior research has
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shown only moderate support for the link between moral judgment and moral action (Blasi, 1980). While the results from this study support Blasi, (1980), the correlation between intended actions (as measured in surveys) and actual behavior is critical to understand in order to design training and development for organizational decision makers. In other words, the cognitive moral development of organizational leaders and managers, including their moral reasoning and moral judgment capacities, must be developed. But just as importantly, organizational leaders and managers must develop a propensity for habitual moral actions within the organization. The more we understand about the ethical and moral implications of whistle-blowing—an activity often associated with moral behavior—the more equipped we may become to develop training and development programs to inculcate informed moral intentions and moral behavior in organizational leaders and managers. Additionally, an equal focus should be given to developing organizational systems and cultures that encourage moral behavior. Another opportunity exists for further revisions to the ethical dilemmas in the DIT2. Given the changes that have occurred in global institutional forces, environmental concerns, and world-wide economic factors, an updated and revised DIT3 could provide added strength to the survey tool in the future. 244
It may be possible to collaborate with other experts in this field of study to design and develop the next generation DIT3 survey or a version of the DIT survey for use in organizational contexts. Changes to the next generation of DIT protocol, could include specific moral dilemmas related to organizations and businesses. The DIT3 could also correct for gender issues by balancing justice and caring theories. Finally, an equal interpretation between conservative and liberal politics could provide an impartial assessment of an individual’s moral reasoning skills in various types of dilemmas.
Other Survey Participants Future research could also involve a variety of different types of individuals to participate in the DIT2 survey. For example, a research study that sampled a group of individuals convicted of white-collar crimes would provide an interesting alternative view to the study of whistle-blowers. Measuring the P scores of individuals such as Bernie Madoff (former CEO of an investment firm indicted for securities fraud), Andrew Fastow (former CFO of Enron), and Jeffrey Skilling (former CEO of Enron) and understanding their collective level of CMD could provide an interesting contrast to the results obtained from whistleblowers and other professionals. Would the P scores of whistle-blowers be significantly different from the scores of individuals who represent the typical object of whistle-blowing, i.e., would there be a significant difference among 245
these groups in terms of moral judgment or knowing what is the right thing to do? Nearly four decades of data related to moral reasoning has been collected from groups of individuals. Most professions have been represented in Rest & Narváez 1994). However, just as adding the results from whistle-blowers from this study created a new category to the list of P scores collected from various professions (Figure 23). Hopefully, as part of future research, another category of professions could be added to Figure 24, along with the average P score of whitecollar criminals.
Sustainable Ethical and Moral Organizations The focus on this research was the moral reasoning skills of the individual whistle-blower. Traditional views of organizational leaders tend to be centered on the leader and what they do for the organization. In those scenarios the leader has the responsibility and accountability for everything in the organization. However, a possible different approach has migrated from the results of this study. Future research could be focused on the creation of ethical, moral systems within organizations. Senge (2006) offered a non-traditional view of the organization, developed through the use of thinking of not just the pieces (functions or individuals) of the
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organization. Instead viewed the entire organization as a system, a learning organization with a culture that encouraged an open, honest, environment where every voice was equal. Executive search firms and human resource departments have traditionally focused on identifying individuals that they believe have a strong ethical, moral structure that could lead an organization. However, history has shown that the best individuals with the best experience and education do not always prove to be the most ethical leaders (i.e., Ken Lay, Bernie Maddof, Rod Blagovich, etc). Developing the sustainable ethical, moral learning organization with leaders who subscribe to creating environments that encourage everyone in the organization to “speak-up” without fear of retaliation, is an intriguing opportunity. Perhaps there would be no need for whistle-blowers in an ethical moral learning organization that required individuals to be open and honest and rewarded the communication of the truth.
Summary & Conclusion The results from this study show that whistle-blowers are not aligned with the post-conventional level of CMD. Although the results were unexpected, they do provide context for a possible explanation supporting the facts that the act of whistle-blowing itself may not always be a moral action and, even if an act 247
of whistle-blowing is a moral act, that one moral event is not necessarily indicative of a consistent pattern of moral decision-making. An assumption going into this study was that individuals who made specific, identifiable, dramatic moral judgment at one time in their life would prove to be able to assess any type of moral dilemma in a similar consistent manner. This study has helped to change some pre-conceived notions regarding the decision-making process of whistle-blowers. Suddenly, the idea that one moral action represents a pattern of predictable moral behavior has been diluted by the actual P scores attained by the whistle-blowers in the DIT2 survey. Another assumption disrupted by the results of this study is the fact that the level of correlation between moral judgment and intended moral action appears not to be stronger, even in individuals where an example of actual moral behavior is known. Being able to challenge presuppositions and mental models regarding whistle-blowing is an unintended consequence of this study and could provide the ability for continued work in the area of CMD, judgment, action, and moral reasoning in the future. Indeed, the topic of whistle-blowers in popular society and the academic study of whistle-blowers and whistle-blowing are ubiquitously pervaded with the unexamined notion that whistle-blowers are noble actors, and it is this unexamined notion that often leads to confused and endless debates about the 248
actions of certain individuals. To cite a recent example, Edward Snowden a former NSA contractor, was he a whistle-blower or a traitorous spy for his role in uncovering the U.S governments wire-tapping and eavesdropping activities? If one defines Snowden as whistle-blower, were his actions moral or immoral, unselfishly intended or selfishly intended? The debate rages on in a most undefined and confused manner. The results of this study intimate that whistleblowers do not possess moral judgment at the post-conventional level and that even when they know what is the moral or right thing to do (P score) they are not necessarily more inclined than others to do the right thing (U score). This study, therefore, reveals the need for a more defined, cautious, and complex understanding of the phenomenon of whistle-blowing.
Center for Ethical Leadership and Moral Development Finally, as a result of conducting this research, a vision for the future sustainable application of the results from this study has been developed. The vision is based on the premise that a collaborative effort between researchers, advisory firms, and an academic institution would form the basis for a center that promotes ethical leadership and moral development for leaders from all types of organizations. It would include key processes such as assessment, reflection, training, development, and research combined into a single holistic platform. 249
The center would be a beacon of light for leaders from organizations to immerse themselves in a safe, open, honest environment where the exploration of ethics and morality would encourage reflection and the enhancement of the individual moral decision-making process. In turn, those leaders would take back the ability to develop a sustainable culture of ethical, moral decisionmaking that starts at the top. Case studies could be developed from the leadership sessions and used as academic content. Academic curriculum could be developed for students of all ages. Traditionally, the concept of ethics is introduced as part of an undergraduate curriculum. As part of the Center for Ethical Leadership and Moral Development, content could be developed for students as young as junior high-school age.
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Figure 26. Center for Ethical Leadership & Moral Development.
Conclusion This research process has been an amazing journey. The personal experiences of the principle researcher provided the original seeds for the study. The intellectual growth as a result of this study was a gift that will provide a lifetime of additional opportunities, including further research, guest lectures, and the chance to leave a legacy. The body of knowledge that exists related to ethics and morality suggests that identification, training, and development of ethical and moral individuals is 251
a continuous process. Perhaps periodic assessments of an individual’s ethical and moral decision-making abilities will be as common as an annual performance review. While the results from this study did not support the research hypothesis, this study has produced evidence that challenges traditional thoughts, presuppositions, and mental models of individuals labeled as whistle-blowers. Further reflection on the results from this study allows for a more clear understanding of whistle-blowers and their moral reasoning skills used in the decision-making process. Interestingly, this study revealed that one act of moral behavior does not necessarily indicate that an individual will consistently make moral decisions in every type of ethical dilemma they may encounter. Finally, given the continuous nature of illegal, unethical, and immoral acts committed by some leaders in all types of organization, the ultimate objective of this study was to develop a basis or foundation to build a sustainable legacy. A personal commitment of the principle researcher is to maintain such a legacy with a passion for new knowledge, and a life-long commitment to do the right thing, regardless of what others say, or the personal consequences associated with the decision.
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Appendix A Principle Investigator Whistle-blower Experience
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Appendix B Defining Issues Test 2 (DIT2) and Response Form
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Appendix C Permission to Use the DIT2
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Appendix D Qualitative Research – Interview Protocol INTERVIEW PROTOCOL / SCRIPT
I will begin by briefly introducing myself as researcher, and disclose my educational and career background. Explain that this interview is part of the data gathering for my doctoral dissertation. Explain that every effort will be made to keep the participant’s identity confidential and if, at any time, the participant is uncomfortable with answering a question, the participant may choose not to answer. Overall, the long interview may take up to several hours, during consecutive interviews. The interview will take about 30 minutes. NOTE: This protocol will serve as a guide, rather than an exact worded script that must be followed. I will use this protocol to help guide me through the interviews. The interview is planned to be a semi-structured discussion, rather than a highly structured process.
Greetings and Introduction The objective of this discussion is to gather information that will enrich the data that has been collected from the use of a survey tool call the Defining Issues Test. This test developed by James Rest in 1979 has been administered to more than 500,000 individuals and groups of individuals over the last 34 years. In the first phase of my research I sent the DIT2 survey to 248 whistle-blowers (the first time ever that a group of whistle-blowers were surveyed with this tool). Initial analysis of the DIT2 survey results indicate that the many of the respondents scored at the highest level of moral reasoning. Over the next 20 minutes or so, I want to ask a series of questions designed to enrich / supplement the data that I have gathered thus far. Before we begin let me cover some important guidelines for the interview process: 293
Appendix D (continued) 1. You were selected as an interview participant based on the informed consent form that you signed and returned to me. 2. Your informed consent form also included your responses to 2 other questions: a. Consent for audiotaping this interview (yes or no) b. Willingness to have your name and case used in the final study (yes or no) 3. If at any time you wish to end the interview we will do so without prejudice or repercussions. 4. A copy of the research study will be made available to you at your request. 5. Any questions? Ok --- shall we begin? -
Introduction of researcher (education, professional experience)…….. 1. How long were you associated with the organization before you knew something was wrong? 2. Did you ever feel that your decision making process was different than others in the organization. Did you feel as if you always “fit in” 3. When you took the action that you did, how did you feel about yourself? (i.e., proud, relieved, anxious, regretful?) 4. Did you actually do (act) in a way consistent with what you intended to do? 5. Had you ever been involved in a situation like this in the past? 6. When you first identified that there was something that was not right…..did you know what you were going to do (action you were going to take?) 7. Initially - who did you inform of this wrongdoing? a. Friend b. Family c. Co-worker d. Supervisor 294
Appendix D (continued) 8. Did others in the organization try to dissuade you of your feelings about the issue? 9. What is more important to you about the decisions you make: a. What you think about your decision and its effect b. What others think about the effect of your decision 10. Once you took action – what was the response from the organization? 11. Did you endure retaliation? Explain 12. What were the personal consequences associated with your actions 13. Did you consider the personal consequences during your decision-making process? 14. Given what you know now – would you make the same decision if presented with a similar situation in the future? 15. What is your definition of a whistle-blower? 16. Do you consider yourself a whistle-blower? 17. Can there be such a thing as a good whistle-blower or a bad whistleblower? Elaborate: 18. When you think of a whistle-blower what names come to your mind? 19. Do you consider your life now to be better, worse, or the same since the moral action you decided to take?
Thank you for your time.
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Appendix E Quantitative Research - Informed Consent Research Project Title: Whistle-blowers and post-conventional moral
development: Toward identifying ethical and moral leadership. Statement of Age of Participant: You state that you are 18 years of age or older, in good physical health, and wish to participate in a program of research being conducted by the Principal Investigator (P.I) David Bazzetta, a doctoral candidate at Walsh College, and under the principal supervision of the Walsh College sponsoring faculty member, Dr. James McHann, professor, Walsh College, 3838 Livernois Road, Troy, Michigan, 48007-7006, phone number 248-823-1233. Explanation of Procedures You are being asked to participate in the research project to determine the level of moral judgment in whistle-blowers. Moral judgment is a specific component in the moral decision-making process. The survey results will also indicate the relationship between moral judgment and intended moral action. The approach of the research is a self-administered survey. The survey consists of 5 ethical dilemmas; you will be required to rate 12 responses for each dilemma based on importance. You will also complete an additional page of 10 questions designed to gather information for future study related to possible variables that affect moral judgment (i.e., age, gender, education, etc.). After you complete the survey and the additional information, you will put the results and the informed consent form in the selfaddressed stamped envelope (included in the survey participant package) and send it back for scoring. It is estimated that it should take approximately 30 minutes to complete the survey. Risks and Discomforts There will not be any physical risk resulting from this research survey. There may be minimal psychological / emotional stress resulting from this research survey. The survey may cause the participant to be reminded of an uncomfortable experience, which is unavoidable in real life. At any time you feel uncomfortable during the survey, you are able to opt-out and simply not complete the survey. The survey does NOT contain any specific references to business scenarios or whistle-blowing events. With any study there is always a risk of a security breach involving the survey results; however, the P.I. has taken precautionary steps to secure the data and preserve the participant’s anonymity.
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Appendix E (continued) Benefits Participants will be contributing to existing knowledge with results from this study. This research is expected to yield knowledge about the level of moral development of whistleblowers. It is also anticipated that the survey results could provide support for the link between moral judgment and moral action. The results of this research could be used to create an assessment, training and development process used in all types of organizations. Confidentiality All information gathered from the study will remain strictly confidential. Your identity as a survey participant will not be disclosed to any unauthorized persons; only the researchers and the Walsh College Institutional Review Board upon request will have access to the research materials. Only the Principal Investigator will have access to the original list of survey participants. No return address should be used on the postage paid return envelope to insure that all returned surveys remain anonymous during the scoring process. References to survey results and conclusions will be in aggregate form only. The steps to preserve confidentiality were of utmost importance and carefully taken into consideration during the design of the research process. Withdrawal Without Prejudice Participation in this study is voluntary; refusal to participate shall not result in any penalty. Each participant is free to withdraw consent and discontinue participation in this project at any time without prejudice from Walsh College or the Principal Investigator. Costs and/or Payments to Subject for Participation in Research There will be no costs for participating in the research. Also, participants will not be paid to participate in this research project. Principal Investigator: David J. Bazzetta, Walsh College doctoral candidate, c/o Walsh College 3838 Livernois Road, PO Box 7006, Troy, MI. 48007,
[email protected] and 586-321-8043. To obtain a copy of the results of the research once the study is complete (September 2013), please contact the Principal Investigator. Questions Any questions concerning this research project should be directed to David Bazzetta at
[email protected] or 586-321-8043, or James McHann, Ph.D., Faculty Advisor, at
[email protected] or 248-823-1233. Questions regarding rights as a subject in this research project or regarding this consent form should be directed to Louise August, Ph.D., Walsh College Institutional Review Board Chair, at
[email protected] or 248.823.1265.
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Appendix F Quantitative Research - Invitation to Participate Dear Survey Participant: My name is David Bazzetta, a Doctoral Candidate in the Doctorate of Management in Executive Leadership program at Walsh College in Troy, Michigan. I have been working on a research study as a labor of love and fueled by the passion from my own experience as a whistle-blower in 2004. As part of my dissertation work, I am inviting you to participate in a survey. This research is being done in conjunction with the Center for the Study of Ethical Development at the University of Alabama. You were selected from information contained in public databases of individuals who have experienced a whistle-blower event. The objective of the survey is to measure the moral reasoning skills of individuals who have proven their ability to behave morally despite the personal consequences associated with their action. The results from this study will add to the existing knowledge by determining the level of moral development for whistle-blowers as well as providing supporting evidence for the link between moral judgment and moral action in the decision-making process. Attached you will find the survey which consists of 5 stories. Read each story, and then fill in your response to each of the 12 questions pertaining to that story. An additional page of questions is also included. Please fill in the circle that corresponds with your response to each of the 10 questions. In order to protect confidentiality please do not use your return address when returning the completed survey in the postage paid envelope. Survey results will be reported in aggregate only. At your earliest convenience, please complete the survey and place the documents in the postage paid envelope (do not use a return address). Thank you in advance for your participation in this study. If you have any questions or comments about the administration of this survey, please contact David Bazzetta, at 586321-8043,
[email protected], or my research advisor James McHann, Ph.D., at 248-823-1233,
[email protected]. Sincerely,
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Appendix G Qualitative Research – Informed Consent Research Project Title: Whistle-blowers and post-conventional moral
development: Toward identifying ethical and moral leadership. Statement of Age of Participant: You state that you are 18 years of age or older, in good physical health, and wish to participate in a program of research being conducted by the Principal Investigator (P.I) David Bazzetta, a doctoral candidate at Walsh College, and under the principal supervision of the Walsh College sponsoring faculty member, Dr. James McHann, professor, Walsh College, 3838 Livernois Road, Troy, Michigan, 48007-7006, phone number 248-823-1233. Explanation of Procedures You are being asked to participate in an interview facilitated by the Principal Investigator to understand the dimensions associated with your decision to behave in a manner referred to as whistle-blowing. The results of the interview process will also be used to enrich a set of data collected from a survey process designed to measure the level of moral reasoning, and the relationship between moral judgment and moral action. Risks and Discomforts There will not be any physical risk resulting from this research survey. There may be minimal psychological / emotional stress resulting from the interview. The interview may cause the participant to be reminded of an uncomfortable experience, which is unavoidable in real life. At any time you feel uncomfortable during the interview, you are able to opt-out and simply end the interview process. With any study there is always a risk of a security breach involving the survey results; however, the P.I. has taken precautionary steps to secure the data and preserve the participant’s anonymity. Benefits Participants will be contributing to existing knowledge with results from this study. This research is expected to enrich the data collected from a survey of participants conducted in September 2013. It is also anticipated that the survey results could provide insight and support for the link between moral judgment and moral action. The results of this research could be used to create an assessment, training and development process used in all types of organizations. Confidentiality All information gathered from the study will remain strictly confidential. Your identity as a survey participant will not be disclosed, unless you provide written consent (see below). Only the researcher and the Walsh College Institutional Review Board upon request will 299
Appendix G (continued) have access to the research materials. The Principal Investigator will have access to the transcribed audiotapes and written notes from each of the interviews. References to survey results and conclusions will be in aggregate form only. Written references to specific names and cases of those whistle-blowers interviewed will remain confidential; unless you provide written consent (see below). The steps to preserve confidentiality were of utmost importance and carefully taken into consideration during the design of the research process. Withdrawal Without Prejudice Participation in this study is voluntary; refusal to participate shall not result in any penalty. Each participant is free to withdraw consent and discontinue participation in this project at any time without prejudice from Walsh College or the Principal Investigator. Costs and/or Payments to Subject for Participation in Research There will be no costs for participating in the research. Also, participants will not be paid to participate in this research project. Principal Investigator: David J. Bazzetta, Walsh College doctoral candidate, c/o Walsh College 3838 Livernois Road, PO Box 7006, Troy, MI. 48007,
[email protected] and 586-321-8043. To obtain a copy of the results of the research once the study is complete (March 2014), please contact the Principal Investigator. Questions Any questions concerning this research project should be directed to David Bazzetta at
[email protected] or 586-321-8043, or James McHann, Ph.D., faculty advisor, at
[email protected] or 248-823-1233. Questions regarding rights as a subject in this research project or regarding this consent form should be directed to Louise August, Ph.D., Walsh College Institutional Review Board Chair, at
[email protected] or 248.823.1265. AGREEMENTS: (1) I HAVE READ AND UNDERSTAND THIS CONSENT FORM:
Signature of Subject: __________________________________ Date: ______________ Subject Name (printed): ________________________________ Signature of Principal Investigator: ________________________ Date: _____________ (2) I CONSENT TO THE AUDIOTAPING OF THE INTERVIEW EXCHANGE:
Signature of Subject: __________________________________ Date: ______________ (3) I CONSENT TO THE USE MY NAME AND CASE IN THE PUBLISHED STUDY:
Signature of Subject: __________________________________ Date: ______________ 300
Appendix H Qualitative Research – Invitation to Participate Dear Research Participant: My name is David Bazzetta, a Doctoral Candidate in the Doctorate of Management in Executive Leadership program at Walsh College in Troy, Michigan. I have been working on a research study as a labor of love and fueled by the passion from my own experience as a whistle-blower in 2004. As part of the research for my dissertation, I am inviting you to participate in a 20–30 minute phone interview on the most convenient date and time of your choice. You were selected from a list of individuals contained in public databases of individuals who have experienced a whistle-blower event. The objective of the interview is to gather additional information from individuals who have demonstrated their ability to behave morally despite the personal consequences associated with their action. The data gathered from this interview will be used to enrich a set of data previously developed as a result of a survey conducted this past September. In order to protect the confidentiality of the individual and their specific responses, information gathered from the interview process will be illustrated anecdotally, or in aggregate only, unless a signed consent form (attached) is received from you. At your earliest convenience, please forward me your availability for an interview date and time (3 dates and times) as well as the signed consent form email to
[email protected]. Thank you in advance for your participation in this study. If you have any questions or comments about the administration of this survey, please contact David Bazzetta, at 586-321-8043,
[email protected], or my research advisor James McHann, Ph.D., at 248-823-1233,
[email protected].
Sincerely, 301
Appendix I NDA Agreement with Transcription Service
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