FOSTERING ETHICAL EMPLOYEE BEHAVIOR in COLLEGES 1 an Examination of Change Management Strategies Contributing

Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 1

An Examination of Change Management Strategies Contributing to a Work Climate

Supportive of Ethical Employee Behavior and Decisions in U.S. Colleges

Matthew Hisrich

A Thesis Submitted to the Graduate Faculty of University of Maryland University College in Partial Fulfillment of the Requirements for the Degree of Doctor of Management

Deborah Wharff, D.M.

James Gelatt, Ph.D.

Wanda Wagner, D.M.

2018 FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 2

Matthew Hisrich

2018 FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 3

Abstract

Ethical lapses in higher education continue to make national headlines despite the significant toll on reputation, enrollment, and fundraising such public scandals can levy. To foster ethical behavior and decisions among employees, college leaders must be able to influence the ethical work climate, which can be understood as employee perceptions of ethical standards that impact ethical behavior and decisions. This study focused on the identification of change management strategies that senior academic administrators at U.S. colleges can implement to cultivate an ethical work climate supportive of ethical employee behavior and decisions. Following an evidence-based management approach, this dissertation used a systematic review with realist synthesis and a theoretical lens that incorporated ethical leadership, ethical work climate, change management, moral disengagement, and a typology of ethical lapses in higher education. Study findings confirmed that ethics institutionalization in the work culture of an organization is the primary change management strategy by which college leaders can cultivate an ethical work climate that supports ethical employee behavior and decisions. Further, ethical leadership and change management are interrelated interventions to establish an ethical work culture, which is a necessary antecedent to an ethical work climate. Specific change management mechanisms positively related to ethical employee behavior and decisions include ethics training, ethics codes, accountability, mastery goals, corporate social responsibility, supervisory support, social norms, and quality-related human resources practices.

Keywords: systematic review, evidence-based management, realist synthesis, higher education, change management, ethical lapses, ethical leadership, ethics institutionalization, ethical work culture, ethical work climate, moral disengagement

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 4

Acknowledgements

First and foremost, I would like to acknowledge my wife Heidi and our two daughters,

Anna and Lily. They have been infinitely supportive throughout the entire journey of this doctoral program and have endured lost weekends and endless hours of me on the computer. I am deeply appreciative of their sacrifice of my time, attention, and resources. I hope to make it up to them as best as I can in the coming years.

I would like to thank former Earlham School of Religion Dean Jay Marshall, who has been a mentor since I graduated from ESR. He encouraged me to pursue this kind of training when I approached him about what I might need to do to prepare one day to step into a role such as his. Beyond this, he was willing to grant me the flexibility to engage in the kind of work necessary to complete this degree while also continuing to work at ESR. In this respect, I should also extend my appreciation to the entire ESR community, whose members – staff, faculty, students, graduates, board members, and supporters – have consistently offered encouragement and understood my many absences from common meals, worship services, birthday parties, more. I am looking forward to being a more regular presence on campus once this process is complete. During and following the interview process for Acting Dean of ESR, both former

Earlham President Alan Price and current Interim President Avis Stewart expressed their support for me completing this degree even as I was assuming these new responsibilities. For that I am very grateful. ESR graduate John Todd deserves special mention her for his willingness to help edit this dissertation. I couldn’t have done it without your help, John!

From the University of Maryland University College’s Doctor of Management program, I would like to my cohorts – both assigned and adopted – for their support, humor, patience, and all around awesomeoness. I could not have completed the program without you. I would also FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 5 like to thank Leslie Dinauer for her consistent encouragement and the attention and care she places into program design and our residencies – always finding ways to inspire us toward reaching the goal. Laura Witz both tried our cohort by fire in our initial courses and bandaged us back together, so we could move forward stronger and with more confidence in our abilities as emerging practitioner-scholars. I appreciate her expertise in both tasks now – even though I didn’t always appreciate the trials at the time! Wanda Wagner’s courses were phenomenally fulfilling, as she both helped me hone my skills and strongly encouraged me to develop the

Weak Leadership framework using an evidence-based management approach. Finally, Deborah

Wharff – who served as my primary dissertation advisor – was and continues to be not only just an academic advisor but also a colleague, mentor, sympathetic ear, strong advocate, and most importantly a friend. Thank you for your service above and beyond the call of duty, Deborah.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 6

Dedication

This dissertation is dedicated to my parents, Jackie and Tim Hisrich. They have always been my biggest supporters and fans, and from my earliest days I’ve always known I could do anything knowing that they were there behind me every step of the way. Their unflagging interest in reading my latest papers – even when I thought they were dry as dust! – continues to amaze and inspire me to be that kind of parent to Anna and Lily. I am incredibly blessed to call you Mom and Dad and hope I can continue to make you proud. Thank you.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 7

Table of Contents

Acknowledgements ...... 4

Dedication ...... 6

List of Tables ...... 11

Chapter 1: Introduction and Overview ...... 12

Introduction ...... 12

Background ...... 13

Problem Statement ...... 22

Purpose and Scope of the Study ...... 23

Significance of Study to Management Practice and Scholarship ...... 26

Research Question ...... 27

Chapter Summary ...... 28

Organization of Dissertation ...... 29

Chapter 2: Literature Review ...... 30

Introduction to Chapter and Review of Study Background ...... 30

Discussion of Theoretical Framework ...... 30

Typologies of ethical lapses ...... 31

Ethical climate...... 35

Moral disengagement ...... 37

Ethical leadership ...... 39

Change management ...... 40

Scoping Literature Review ...... 42

The relationship between ethical leadership and ethical climate ...... 42 FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 8

Ethical lapse types ...... 45

Moral disengagement ...... 48

CIMO graphic ...... 50

Cultivating an ethical work climate through effective change management ...... 51

A review of ethical qualifications included in job postings ...... 53

A review of ethical qualifications included in association and accrediting guidelines .. 54

Thesis statement ...... 58

Conceptual Framework and Narrative ...... 59

Chapter Summary ...... 63

Chapter 3: Methodology...... 64

Introduction to the Chapter ...... 64

Evidence-based Systematic Review for Management ...... 64

Systematic Review ...... 64

Configurative approach ...... 66

Realist synthesis ...... 66

Search Strategies ...... 67

Quality Appraisal of Literature ...... 69

Inclusion and Exclusion Criteria...... 70

Weight of Evidence assessment ...... 70

Synthesis Methodology ...... 74

Expert Panel Review ...... 86

Chapter Summary ...... 89

Chapter 4: Findings: Analysis and Discussion ...... 91 FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 9

Introduction to the Chapter ...... 91

Findings and Discussion Based on Synthesis and Analysis ...... 91

Finding 1 ...... 94

Finding 2 ...... 97

Finding 3 ...... 101

Conceptual Model and Narrative ...... 111

Alternative Perspectives ...... 113

Chapter Summary ...... 114

Chapter 5: Conclusions ...... 116

Introduction to the Chapter ...... 116

Overall Conclusions ...... 116

Implications for Management ...... 118

Recommendations for Management ...... 119

Limitations ...... 121

Implications for Scholars and Future Research ...... 121

Chapter Summary ...... 123

References ...... 124

Appendix A ...... 148

Appendix B ...... 194

Appendix C ...... 214

Appendix D ...... 215

Appendix E ...... 233

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 10

List of Figures

Figure 1. Distinguishing between culture, climate, and their relevant subsets...... 15

Figure 2. Initial concept map of college employee ethical violations ...... 19

Figure 3. Initial CIMO logic model...... 26

Figure 4. Typology of ethics failure in academia ...... 32

Figure 5. Model of ethical context of organizations...... 37

Figure 6. Mechanisms through which moral self-sanctions are selectively disengaged from detrimental conduct at different points in the moral control process ...... 38

Figure 7. Preliminary CIMO logic concept graphic of fostering ethical employee behavior in colleges...... 51

Figure 8. Revision of CIMO: Conceptual framework for an ethical work climate supportive of ethical employee behavior and decisions in U.S. colleges...... 60

Figure 9. Revised conceptual framework for an ethical work climate supportive of ethical employee behavior and decisions in U.S. colleges...... 62

Figure 10. Systematic review steps...... 66

Figure 11. PRISMA flow chart...... 73

Figure 12. Initial network display of codes...... 80

Figure 13. Secondary network display of codes...... 82

Figure 14. Establishing an ethical work culture...... 108

Figure 15. Final conceptual framework for an ethical work climate supportive of ethical employee behavior and decisions in U.S. colleges...... 112

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 11

List of Tables

Table 3. 1 Weight of Evidence Logic Chart ...... 71

Table 3. 2 Article Code Designation ...... 76

Table 3. 3 Code and Code Count Sampling of 115 Total Data Set ...... 77

Table 3. 4 Depth and Breadth of Codes ...... 77

Table 3. 5 Top 10 Codes Based on Breadth/Depth Averaging ...... 78

Table 3. 6 Consolidated Codes ...... 81

Table 3. 7 Ethical Leadership Characteristics ...... 83

Table 3. 8 Change Management Tactics ...... 84

Table 3. 9 Ethical Leadership and Change Management Results ...... 85

Table 3. 10 Summary of Subject Matter Expert Credentials ...... 86

Table 3. 11 Subject Matter Expert Evaluation & Feedback Form Prompts ...... 88

Table 4. 1 Data Set Study Contexts ...... 93

Table 4. 2 Linking Findings to the Research Question ...... 109

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 12

Chapter 1: Introduction and Overview

Introduction

Research on four-year colleges and universities in the United States (hereafter referred to as simply colleges) suggests that scandals among employees negatively impact enrollment (Luca,

Rooney, & Smith, 2016), and colleges can suffer fundraising losses, as well (Ryan, Hamilton, &

Pringle, 2018). College scandals continue to make headlines, however, undermining public trust in the ability of both leadership and institutional safeguards to maintain an ethical organizational culture. Consider the following examples:

 In September 2015, Arizona State University placed history professor Matthew Whitaker

on leave after multiple accusations of plagiarism, including a dispute over allegedly

plagiarized training materials with the Phoenix Police Department (Ryman, 2016).

 In October 2015, a prominent University of California at Berkeley astronomer resigned

under pressure from faculty colleagues following repeated allegations of sexual

harassment of students and minimal action on the part of the University in response

(Flaherty, 2015).

 In June 2017, former Pennsylvania State University President Graham Spanier was

sentenced to jail for child endangerment after failing to report allegations of sexual abuse

by the one of the school’s former football coaches (Bendix, 2017).

 In October 2017, National Collegiate Athletic Association president Mark Emmert shared

results from an NCAA survey that indicate “most of the public believes big

universities…are part of the problem and not part of the solution to what ails college

sports — a lack of academic integrity” (Gurney, 2018, para. 1). FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 13

 In January 2018, Michigan State University President Lou Anna K. Simon resigned under

public pressure following her handling of sexual abuse allegations surrounding sexual

abuse by professor Larry Nassar (Thomason, 2018).

Writing in 2011, Bertram Gallant and Goodchild argued that these are not isolated incidents but instead represent a systemic failure within higher education (p. 7). In his 2015 book University Ethics, author James Keenan agreed. He both documented the widespread nature of college ethical lapses and suggested they go beyond individual cases to a much larger problem (p. 4). The above list is far from exhaustive, and represents an ethical crisis facing senior academic administrators at colleges across the country – regardless of whether they have been directly affected by such controversies.

The purpose of this dissertation is therefore to identify change management strategies senior academic administrators at U.S. colleges can implement to cultivate an ethical work climate supportive of ethical employee behavior and decisions. This is a necessary endeavor because senior academic administrators must have access to a digestible summary of quality research on the subject to determine what actions will most likely lead to positive outcomes if they are to effectively improve ethical work climate and prevent or lessen the impact of employee ethical lapses that do occur.

Background

In his 2010 book Organizational Culture and Leadership, Edgar Schein made the case that public scandals can jolt leaders into a reconsideration of habitual practices and organizational norms. “Disasters and scandal do not automatically cause culture change,” he wrote, “but they are a powerful disconfirming force that cannot be denied and that start, therefore, some kind of public self-assessment and change program” (p. 292). In some ways, FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 14 this observation forms the underlying rationale for this dissertation. While certainly devastating for all directly involved, public scandals involving the behavior of some college employees present an opportunity for senior academic administrators at all colleges to engage in a process of self-assessment and organizational culture change.

The National Center for Education Statistics (NCES) College Navigator defines four-year colleges (which include colleges and universities) as institutions “authorized primarily to award

Bachelor (or higher) degrees” (n.d.). In 2013-14, there were 3,039 such colleges in the United

States (NCES, n.d.).

The ethical culture of any organization includes all its internal and external behaviors with regard to demonstrated understandings of right and wrong (Thoms, 2008, p. 420). Schein defined organizational culture as “a pattern of shared basic assumptions learned by a group as it solved its problems of external adaptation and internal integration, which has worked well enough to be considered valid and, therefore, to be taught to new members as the correct way to perceive, think, and feel in relation to those problems” (p. 18). Schein noted that leaders are both critical to the development of culture and are constrained by it as it matures (p. 22).

Sims and Brinkman (2003) also drew upon Schein’s discussion of leadership’s impact on organizational culture. They highlighted Schein’s articulation of five primary means by which leaders influence organizational culture: “attention, reaction to crises, role modeling, allocation of rewards, and criteria for selection and dismissal” (p. 247). Writing about the culture at Enron,

Sims and Brinkmann noted that in many ways an organization’s ethical culture flows from the top down. They offered two key takeaways from Enron – that poor ethical modeling by leaders fosters poor ethical decision making by employees, and that this modeling can be more influential than ethical codes and guidelines, however noble sounding (p. 253). FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 15

Weaver (2014) drew a distinction between organizational ethical culture and climate.

The former is the collection of those formal and informal practices and procedures an organization develops and promulgates. The latter is the collection of employee perceptions of the reality of ethical expectations, irrespective of formal communications (pp. 302-303). This is consistent with Victor and Cullen (1988), whose foundational study establishing the existence of a distinct ethical work climate apart from other work climates which influences employee response to ethical dilemmas set the tone for many later authors researching this subject (pp.

122-123). They distinguished between work climate and ethical work climate simply by seeing the latter as a subset specifically focused on those aspects of work climate with ethical content

(p. 101). A graphic depiction of culture, climate, and their relevant subsets is included as Figure

FORMAL COMMUNICATIONS, PERCEPTION OF LEADER AND PROCEDURES, AND RULES PEER EXPECTATIONS

CULTURE CLIMATE

CULTURE WORK CULTURE WORK CLIMATE

WORK CULTURE ETHICAL WORK ETHICAL WORK CULTURE CLIMATE ETHICAL WORK CULTURE

Figure 1. Distinguishing between culture, climate, and their relevant subsets. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 16

While such a distinction between ethical work culture and climate is significant, it is not strictly held to throughout the research literature. For the purposes of this dissertation, then, research referring to both organizational culture and climate will be utilized with the understanding that to truly influences employee behavior and decisions the goal of college leaders must be to bring about change that impacts employee perceptions of ethical expectations

– in other words, the level of ethical work climate – and that change of work culture is one important lever by which they can accomplish this goal. In this way, ethical leaders seek congruency between ethical work culture and ethical work climate.

The long shadow of corporate scandals in businesses such as Enron and WorldCom is finally reaching academia. While the public attention to management ethics in corporations has led to increased regulatory oversight of business transactions and an increased emphasis on ethical training in business management education programs, virtually none of this attention has spilled over into the higher education sector until recently. Bertram Gallant and Goodchild

(2011) suggested that ethics in colleges has largely operated on an assumptive or aspirational level, and without much in the way of formal articulation or enforcement (p. 8).

Much like their corporate and government counterparts, though, senior academic administrators at colleges have come under heightened scrutiny in recent years following a wide range of lapses of ethical judgment both among themselves and the employees they manage.

These have included high profile cases involving oversight of employee sexual misconduct at

Michigan State and Penn State, for instance, that have resulted in not only resignations at the president level, but prison sentences, as well (Bendix, 2017; Mangan, 2016; Thomason, 2018).

In addition to these incidents in athletics, recent shifts in the public awareness of sexual FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 17 misconduct have also led to the uncovering of long patterns of faculty abuse of students in other departments that demand institutional response (Flaherty, 2017).

Misconduct among college employees is of course not limited to sexual impropriety.

Public attention to accusations of plagiarism and research falsification has increased markedly in recent years (Ryman, 2016; Shahabuddin, 2009), even leading some researchers to develop a typology of university ethical lapses (Kelley & Chang, 2007). Academic fraud in athletics programs has led to federal investigations of college basketball (Gurney, 2018). In this case, concerns about ethics in college athletics have been present for decades (Stieber, 1991), but much like with sexual harassment and abuse, incidents are coming to light and wreaking havoc on the reputations of colleges. Discussing these concerns in 2017, Gurney, Lopiano, and

Zimbalist argued that there is a significant disconnect between principles, rules, and enforcement in the NCAA (p. 46).

Writing about Penn State, but speaking toward the ethical crisis in academia writ large, lawyers Amy Conway-Hatcher, Alan Salpeter, and Greg Jaeger stated that:

all these crises share a common theme: significant breakdowns in leadership that create

an environment where (1) ethical lapses and misconduct can occur, (2) red flags are

ignored, and (3) problems, once they come to light, are mismanaged. Why do leaders go

silent in these situations? History shows that fear of negative publicity, of loss of

donations or business, of losing talented people, and of overall damage to reputation and

destruction of the brand cause failures of leadership that often are more serious than the

original sins (2012, para. 3).

Whether in college athletics programs, in the classroom, in admissions or financial aid departments, or in research labs and journal editorial offices, these controversies undermine trust FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 18 within the college organizational culture and in the broader community. An initial conceptual map of these employee ethical lapses is included as Figure 2. Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 19

Lack of oversight, Lack of oversight, accountability, and accountability, and transparency transparency Academic Sexual abuse / necessitates necessitates harassment fraud in athletics Michigan State - Thomason (2018) UNC and Syracuse - Penn State – Bendix Gurney (2018) (2017)

College Work Climate of Ethical Employee Faculty Behavior and Decisions

violations of academic

integrity Ryman (2016)

Shahabuddin (2009) Lack of oversight, accountability, and transparency necessitates Figure 2. Initial concept map of college employee ethical violations Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 20

Ebersole (2015) defined academic fraud as “when a university employee arranges any extra benefit for a student athlete; such a benefit may include false academic credit, a falsified transcript, or support services outside of what the university deems appropriate. The most common types of academic fraud are providing exam answers and completing writing assignments for student athletes” (para. 2). Adamek (2017) suggested that this most often takes the form of “excessive academic assistance” (para. 6).

Generally, academic and professional misconduct among teaching faculty can include fraud as well as plagiarism, dishonesty, research falsification, or inappropriate behavior toward peers or students. The Johns Hopkins School of medicine, for instance, included in its definition of faculty professional misconduct dishonesty, neglect of responsibilities, unacceptable behavior, and lack of compliance with institutional codes of conduct, laws and regulations (Procedures for

Dealing with Issues of Faculty Professional Misconduct, n.d.).

Intercollegiate sporting events have a history that may extend as far back as the 1600s and have been part of the American experience for over 160 years (Ridpath, 2008, p. 12).

Concern over the negative ethical impact of athletics in higher education is nothing new. The first major reports documenting corruption came in 1929 (Adamek, 2017). Nearly a century later, colleges continue struggling to rein in abuses.

Failure to adequately prepare for ethical lapses that clearly can take place erodes institutional resiliency - the ability of an individual or organization to recover from crisis or trauma. Carver (1998) described four possible outcomes – succumbing, impaired survival, recovery, and thriving. Carver argued that resilience is generally understood to be recovery in this set of outcomes and should be defined in those terms. His argument was likely in response to the term being used more generally as a descriptor of the level of ability to recover (where one FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 21 is more or less resilient) rather than a specific subset of that ability. In some respects, Carver’s work connects with Weick’s influential work on crisis management (1993) in that both authors suggested the likelihood of successful adaptation to crisis is increased when social connections are stronger. Knowing that some sort of crisis is likely inevitable for most organizations,

Pearson and Clair (1998) argued that organizations should practice responses to crisis to help improve institutional resiliency.

Interestingly, or perhaps disturbingly, James Keenan made the keen observation that while colleges may offer numerous courses on ethics in other fields from banking to law to medicine, there are no courses in university ethics (2015, p. 4). This points to a critical oversight on the part of colleges that suggests the need for systemic cultural intervention (Keenan, pp. 6-7).

Bertram Gallant and Goodchild (2011) made a similar argument that ethical lapses are virtually unavoidable as long as colleges choose to view them as individual failures rather than signals of cultural factors that senior academic administrators have a responsibility to address (p. 8).

Ethical guidelines are not meant to be empty statements but imply effective backing with clear enforcement against those who violate them. Brown and Treviño (2006) observe that

“ethical leaders attempt to influence followers' ethical conduct by explicitly setting ethical standards and holding followers accountable to those standards by the use of rewards and discipline” (p. 599). Thoms (2008) noted that such codes can shield organizations from fines, and represent a basic signal of organizational commitment to ethical conduct (pp. 423, 425).

As will be shown in Chapter 2, while two-year colleges have clearer guidelines for ethical leadership standards and have been the subject of research around these competencies, less clarity exists among colleges. This presents an important gap in the existing research. It is also true that the relationship between two- and four-year colleges has become more complex in FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 22 recent years because of the entry in some states of community colleges as baccalaureate degree- granting institutions (Labov, 2012, p. 122). Despite this shift, four-year colleges remain the degree-granting backbone of higher education in the United States. The continuing integrity of colleges is therefore of critical importance, especially given the rising number of bachelor or higher degrees granted as well as rising endowments – which now total over $500 billion according to the United States Department of Education’s Digest of Education Statistics (2016).

“Whether it is child sexual abuse, sexual harassment, fraud or some other crime, one of the great enablers or deterrents to crisis is the culture of an organization,” wrote Gael O’Brien

(2012) regarding college scandals in Business Ethics Quarterly. O’Brien suggested that a culture that overlooks signs of ethical misconduct – even minor – begins to create the conditions for full- blown crises. Whether or not O’Brien intends a clear distinction between culture and climate here is unknown, but regardless the distinction holds in that ethical work climate is how employees perceive the ethical work culture – the formal and informal communications of the organization.

Robert C. Chandler continued this theme of active institutional responsibility in his 2014 book, Business and corporate integrity: Sustaining organizational compliance, ethics, and trust.

In it, he argued that organizations bear a responsibility to cultivate a culture of ethical risk identification. Individuals and organizations can then help each other identify ethical blind spots to which they might otherwise have been oblivious and thus potentially avert lapses and ultimately crises (p. 82).

Problem Statement

“Ethics are standards of conduct that guide decisions and actions, based on duties derived from core values, fundamental beliefs or principles, defining what we think is right, good, fair FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 23 and just, and demonstrating behaviours that tell people how to act in ways that meet the standard our values set for us,” wrote Thoms in 2008 (p. 419). “Consistent ethical behaviour may remain hidden on the basis that it is not newsworthy or is simply ‘what is expected’” (p. 420). In contrast, ethical violations are any significant departure from expected ethical norms – either explicit and implicit in the contextual setting.

Seemingly isolated scandals find a connecting thread when viewed through the lens of college ethical work climate as impacted by senior academic administrators – who often bear the brunt of public criticism for past decisions and current handling of conflict and controversy. As

Thoms (2008) noted, the ethical behavior of leaders – or lack thereof – is both observed and mirrored by their employees (p. 421). The effective management and cultivation of a college organizational culture conducive to ethical behavior and decisions among employees is therefore a critical task for senior academic administrators as scandals can undermine reputation and subsequently recruitment and fundraising efforts.

For current and future college senior academic administrators, then, there is a need to become agents of change – both in terms of effectively responding to heightened awareness of and public demands for accountability regarding past and ongoing ethical lapses, and in terms of fostering an organizational culture that reduces the likelihood of ethical violations, lessens the impact of those violations which do occur, and thereby rebuilds institutional trust and improves organizational resiliency. Senior academic administrators require a framework for cultivating a college ethical work climate conducive to ethical employee behavior and decisions.

Purpose and Scope of the Study

The purpose of this dissertation is to identify change management strategies senior academic administrators at U.S. college leaders can implement to cultivate an ethical FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 24 work climate supportive of ethical employee behavior and decisions. For the purposes of this dissertation, senior academic administrators include the positions of Chancellor, Dean, President, and Provost (including vice and associate), and will hereafter be referred to as simply college leaders. The level of analysis is all employees within the organization. This is a necessary endeavor because college leaders must have access to quality research on the subject to determine what actions will most likely lead to positive outcomes if they are to effectively improve college ethical work climate and prevent or lessen the impact of employee ethical lapses that do occur.

Daft, Murphy, and Willmott (2010) defined the organizational environment “as all the elements existing outside the boundary of the organization that have the potential to affect all or part of the organization” (p. 140). As Bertram Gallant and Kalichman (2011) acknowledged, however, while it is true that broader cultural influences do impact colleges, college leadership is unlikely to be able to shift these forces (p. 41). Because of the extent of these elements and the limited control college leaders can have over them, the focus of this dissertation will be on interventions within the internal organizational culture - with the understanding that this culture both impacts and is impacted by the external organizational environment.

The value of a systematic review is in drawing together and systematically reviewing the literature around college organizational culture and change management to develop recommendations to guide culture change practice in the context of colleges in the United States

– and to do so “in an explicit, transparent fashion in order to provide the best available answer”

(Rousseau, 2012, p.7). The approach of this dissertation emerges out of the evidence-based management (EBMgt) tradition and employs a realist synthesis methodology, the full use of which is detailed in this dissertation in chapter 3. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 25

As Pawson and Bellamy (2006) explained, the focus of realist synthesis is less about interventions themselves and more about the mechanisms that allow interventions to succeed or fail (p. 86). The approach asks simply, “What is likely to work in this context?” Gough, Oliver, and Thomas (2012) further observed that realist synthesis can make use of parts of individual studies – what they called “relevant evidential fragments” – rather than needing to consider each study in its entirety (p. 177). The CIMO logic of Denyer, Tranfeld, and van Aken (2008) complements a realist synthesis approach. CIMO follows a set pattern: Context, Intervention,

Mechanism, and Outcome (pp. 395-396). As they go on to observe, while following this methodology will not necessarily provide a solution, it will serve as the means by which a solution can be found (p. 396).

Following this CIMO logic, a model was developed that provides a visual representation of the mechanisms, interventions, and how they relate to outcomes (Anderson et al., 2011, p. 38).

This is included as Figure 3. The goal here is not simply for college leaders to pick an intervention and expect one of the positive outcomes but to carefully consider the evidence base for any particular intervention or set of interventions and take into account their unique context and how that will impact the mechanisms necessary to successfully implement that intervention at their school. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 26

Context: Intervention: Mechanisms: Outcomes:

Senior Leadership- CULTURE: - Reduction academic driven ethical in ethical - Clear ethical administrator s work climate violations guidelines at colleges in change among the United - Accountability employees States seeking for violations - Improved to avoid - Ethical relationships ethical crises assessment - Shared

ownership of decisions CLIMATE: - Improved - Two-way / resiliency relational communication - Reduction strategy in conflict

- Decision - Improved

transparency levels of trust

- Ethical behavior modeling

Figure 3. Initial CIMO logic model: Leadership-driven ethical work climate change to foster ethical employee behavior and decisions. Adapted from “Developing design propositions through research synthesis,” by D. Denyer, D. Tranfield, and J. Van Aken, 2008, Organization

Significance of Study to Management Practice and Scholarship

The ability of college leaders to positively impact the ethical work climate of their college is critical for current and future leaders as well as the boards who hire and oversee their performance. While both personal characteristics of effective leaders and ethical leadership in community college contexts have been studied in the research literature (Bagadiong, 2013; FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 27

Davis, Dent, & Wharff, 2015; de Jong, 2016; Mangum, 2013), a gap exists in researching the potential need for systematic cultural change to address the existing ethical work climate within colleges and their potential vulnerability to ethical lapses. In this dissertation, therefore, research beyond that specific to the college context was used to determine what factors are most effective in bringing about ethical work climate change in other sectors so that college leaders will have access to evidence so as to be better prepared to prevent or reduce the impact of employee ethical lapses such as those previously described.

In addition to the ethical exemplar role colleges play in society, this determination is also practically critical for college leaders. The costs associated with ethical failures – including job losses, criminal charges, tarnished reputations, enrollment declines, and fundraising challenges – can be devastating. Those looking to leadership to address these concerns at a cultural level must have evidence-based analysis to know whether their interventions will yield positive results. This dissertation seeks to provide such an analysis and as a result offer important guidance to college leaders with strategies and processes that will improve the likelihood of an ethical work climate and reduce the potential for and impact of ethical lapses.

Research Question

Based on the above context and concerns, this dissertation seeks to answer the research question (RQ): What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions? To accomplish this larger goal, the dissertation will address two related questions:

 Have college leaders effected ethical work climate change?

 What mechanisms influence employee ethical decisions and behavior within the college

ethical work climate? FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 28

A framework to foster change within the college ethical work climate is admittedly a challenging construct to operationalize such that variables impacting work climate can be clearly and objectively measured. For the purposes of this dissertation, college ethical work climate is understood as a composite of various components upon which the effects of college leader intervention can be more easily identified and measured through the perceptions of employees.

The impact of college leader intervention on college ethical work climate and employee behavior and decisions can then be assessed using the initial variables identified in Figure 7 – in some cases in contexts different from that of the college ethical work climate due to the paucity of research in this specific context:

 the adoption, communication, and enforcement of ethical guidelines;

 a reduction in internal organizational conflict;

 improved trust in college leaders brought about in part through ethical behavior modeling

as well as transparency and community engagement in decision making;

 a reduction in the number of ethical violations by employees;

 greater transparency regarding ethical violations once identified; and

 a reduction in the impact of ethical violations on the institution’s ability to work with

external partners and the broader public, including selling its product and raising capital.

Chapter Summary

The purpose of this dissertation is to identify change management strategies U.S. college leaders can implement to cultivate an ethical work climate supportive of ethical employee behavior and decisions and thereby reduce both the likelihood and impact of internal damage and public scandal that can undermine institutional health. The specific variables measured include ethical guidelines, employee ethical violations, organizational conflict, trust, ethical behavior FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 29 modeling, transparency, community engagement in decision-making around ethical violations, and impact of ethical violations on the organization.

Organization of Dissertation

This dissertation is organized into five chapters. The introduction, purpose, research question, and significance of the problem were presented in Chapter 1. In Chapter 2, a scoping review of the literature is provided, including concepts key to the understanding of this topic, as well as a theoretical framework and an overview of the conceptual framework. In Chapter 3, the importance of evidence-based research, the systematic review methodology, and an overview of subject matter expert feedback is discussed. Chapter 4 includes the findings and conclusions of the research and synthesis as related to the research question. Chapter 5 presents the overall conclusions, emerging trends, recommendations, and opportunities for further research.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 30

Chapter 2: Literature Review

Introduction to Chapter and Review of Study Background

The purpose of this dissertation is to identify change management strategies U.S. college leaders can implement to cultivate an ethical work climate supportive of ethical employee behavior and decisions. To accomplish this, the author will answer the RQ: What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions? The purpose of this chapter is to provide a background on how the existing research literature has conceptually and empirically examined the themes surrounding this question.

The chapter includes a discussion of the theoretical framework, a review of relevant literature, a thesis statement, and a conceptual narrative and graphic flowing from this review.

While there has been much written on ethics and ethical culture in banking and other sectors following public scandal, there is a paucity of literature on ethics in the context of college employees. This dissertation will help address that gap through a systematic review and analysis of the available literature about the themes of ethical lapses, ethical work climate, moral disengagement, ethical leadership, and change management.

Discussion of Theoretical Framework

Grant and Osanloo (2014) defined the theoretical framework as the “selected theory (or theories) that undergirds your thinking with regards to how you understand and plan to research your topic, as well as the concepts and definitions from that theory that are relevant to your topic” (p. 14). In this section, each of the themes of the theoretical framework will be discussed.

These themes include ethical lapses, ethical work climate, moral disengagement, ethical leadership, and change management. For each theme, key authors are identified. Once ethical FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 31 lapses are classified by type, initial mechanisms are extracted from each subsequent theme to be further developed in the scoping literature review.

Typologies of ethical lapses. As can be seen in the wide range of ethical lapses documented among college employees – from faculty plagiarism to academic fraud in athletics programs to sexual harassment and abuse – the concept of ethical lapse is too broad to meaningfully comprehend and address as a singular entity. Instead, the notion of ethical lapse serves more as an umbrella construct under which the varied types fall. To be useful to those in management seeking to respond to or prevent specific incidents of ethical violation or lapses within the context of colleges, this umbrella construct must be broken down into its constituent parts – individual, departmental, organizational, and sports-related – and it is this classification that forms a foundational component of the theoretical framework for this dissertation.

Bruhn, Zajac, Al-Kazemi, and Prescott (2002) offered a foundational typology of ethics failure in academia. The authors constructed a four-sector grid that breaks down ethical failures along two directions – from individual to organizational (x axis) and from minor to serious offenses (y axis). The quadrants each represent 1 of 4 possible combinations of ethical failures in academia – 1 is minor organizational, 2 is minor individual, 3 is serious individual, and 4 is serious organizational. This grid is depicted in Figure 4. They acknowledged that “an ethics problem may blend elements of different types of failure, may be perceived as more or less serious by different people, and may implicate various individuals at different levels of culpability” (p. 478). In most cases, then, it may not be possible to pinpoint a location on the grid because of this complexity of perception. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 32

Figure 4. Typology of ethics failure in academia. Reprinted from “Moral positions and academic conduct: Parameters of tolerance for ethics failure”, by Bruhn, J. G., Zajac, G., Al-

Kazemi, A. A., & Prescott, L. D. (2002), The Journal of Higher Education, 73(4), p. 478. copyright © The Ohio State University Press, https://ohiostatepress.org/JHE.html, reprinted by permission of Taylor & Francis Ltd, http://www.tandfonline.com on behalf of The Ohio State

University Press. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 33

Kelley and Chang (2007) further expanded on the typology work of Bruhn et al. (2002).

While they retained the general approach of the earlier Bruhn et al. typology, they deconstructed college ethical lapses into three levels (mild, moderate, and severe) and four types

(individual/academic, sports related, departmental, and organizational). Their argument is that this finer classification – including a midpoint, defining specific areas within the college structure, and offering a method of analysis via stakeholder impact – makes for a far more useful tool for both comprehension and application (p. 416). This supports the purpose of this dissertation in that the goal is to provide evidence-based guidance for college leaders seeking practical guidance for how to cultivate an ethical work climate that supports ethical employee behavior and decisions.

Understanding ethical lapses among college employees according to a typology remains an emerging area of research. Bruhn et al.’s 2002 article has been cited 41 times (Elsevier,

2018), but in terms of further development of the article’s typology only Kelley has continued that work – tangentially in 2005 with Agle and Demott, and then as a primary focus in 2007 with

Chang. Kelley et al.’s 2005 article has been cited 13 times, and Kelley and Chang’s 2007 article has been cited 17 times, which serves as an indication of the limited research in this area

(Elsevier, 2018). As with most of the articles citing the Bruhn et al. article, these later articles discuss ethical lapses in college contexts, but not necessarily with a focus on further development or use of a typology to improve managerial decision making and response. Kelley and Chang, building upon Bruhn et al., thus serve as the key authors for analysis of ethical lapses by type in a college setting.

Kelley and Chang (2007) classified as mild those lapses that have a short-term impact.

They also indicated that these are more easily reversible. The example they provided is teaching FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 34 to student evaluations (pp. 414-415). Another possibility might be making personal calls during business hours. Moderate ethical lapses are more damaging in terms of both immediate and long-term impact. Their example here is biased grading (p. 415). Favoritism in hiring might also fit this category, depending on the extent and severity. Kelley and Chang reserved the severe classification for the most damaging ethical lapses in both short- and long-term impact.

They included gender and racial discrimination, failure to protect whistleblowers, and falsifying research data as examples (pp. 415-416).

The four types of college employee ethical lapses identified by Kelley and Chang (2007) serve as the themes for scoping the research literature. These are individual/academic, sports related, departmental, and organizational. In their classification of individual/academic ethical lapses, Kelley and Chang included “falsifying vitas, abusing confidentiality, teaching to student evaluations…and using university resources for personal gain” (p. 413). The Arizona State example of high-profile plagiarism is a good example of this type of lapse.

Kelley and Chang (2007) defined sports-related ethical lapses primarily as “doctoring athletes’ grades and having students who have completed their degree requirements continue to take classes to make them eligible play a sport” (p. 413). They also raised concerns about over commercialization and prioritizing student athlete needs over those of other students (p. 413).

The federal investigations of college basketball (Gurney, 2018) certainly fit this category, although depending on broader institutional awareness and support of these lapses they may also rise to the level of organizational ethical lapses.

Kelley and Chang (2007) explained that departmental ethical lapses can include those affecting the operations of an entire department, but which are not organization-wide (p. 413).

They defined organizational ethical lapses as those that “permeate the institution and indicate FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 35 cultural dysfunction. These include gender or racial discrimination, inadequate conflict resolution systems and ignoring ethical lapses, and enabling lecherous professors” (p. 413). The

Penn State and Michigan State examples likely involve aspects of all four levels – as individual ethical lapses are compounded through obfuscation and cover-up.

Schminke, Caldwell, Ambrose, and McMahon (2014) showed that ethical recovery is not only possible but that if handled well can actually result in a better ethical environment than might otherwise have been the case (p. 215). They advocated that given the inevitability of ethical lapses, organizational leaders should devote attention not only to prevention but also to effective recovery (p. 217). Two complementary theories – ethical climate and moral disengagement – illustrate why and how such lapses might occur. Lack of ethical leadership was found to be a recurring element in both theories.

Ethical climate. An organization’s ethical climate, defined as “the collective moral reasoning of organization members,” (Arnaud & Schminke, 2012, p. 1767), can either support or undermine employee moral disengagement and therefore ethical outcomes (p. 1768). In their

2012 literature review on ethical climates, Simha and Cullen defined organizational climates as

“the shared perceptions of procedures, policies, and practices, both formal and informal, of the organization” (p. 20). They explained that ethical climates function as components of the larger organizational climate and serve as the lens through which employees process ethical concerns in an organizational context (p. 20). Kish-Gephart, Harrison, and Treviño (2010) contrasted egoistic against benevolent (care-based) or principled (rule-based) ethical climates, noting that the first is associated with unethical choices while the others are associated with ethical ones (p.

6). They observed that ethical codes alone appear to have little impact on behavior outcomes. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 36

Instead of abandoning codes, however, organizational leadership should find ways to regularly communicate behavioral expectations and enforce them (p. 21).

Forte (2004) and later Arnaud and Schminke (2012) build on Victor and Cullen’s (1988) theory of an ethical work climate and as such also employ the perception distinction between culture and climate. Forte explored locus of control (whether located internally or externally) as a moderator of ethical decision-making and found no statistical relationship between internal or external locus of control and ethical decision-making (p. 172). Forte made the case that organizational leaders do set the ethical tone of the organization and that ethical audits could function as a helpful tool for maintaining ethical work climates (p. 171). Arnaud and Schminke identified the moderators of collective empathy for others and collective efficacy of ethical action. They defined empathy as “an emotional reaction to another person’s situation characterized by feelings of compassion, tenderness, and sympathy” (p. 1769), and collective efficacy as “a work unit’s shared belief in its collective ability to organize and successfully execute the actions required to achieve desired outcomes” (p. 1770), with ethical efficacy being a similar subset of efficacy as ethical work climate is to work climate. Their findings indicated that ethical climates alone are insufficient to alter behavior and that a combination of climate, empathy and efficacy are likely to yield the most ethical behavior and decisions among employees (p. 1775). Their graphical representation of this relationship is shown in Figure 5.

Arnaud and Schminke serve as key authors for analysis of ethical climate. Their initial mechanisms include efforts to improve collective moral emotion (or empathy) and collective ethical efficacy within the context of an ethical climate fostered by appropriate policies, procedures, expectations, accountability, communication, and modeling.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 37

Figure 5. Model of ethical context of organizations. Reprinted from “The ethical climate and context of organizations: A comprehensive model,” by Arnaud, A., & Schminke, M. (2012).

USA. Reprinted with permission.

Moral disengagement. Albert Bandura introduced the concept of moral disengagement in his 1986 book Social Foundations of Thought and Action: A Social Cognitive Theory. In that text, he explained that individuals possess internal moral principles that cause emotional distress if those principles are violated (Bandura, Barbaranelli, Caprara, & Pastorelli, 1996, p. 365). If, however, individuals can quiet those concerns through self-justification processes they can disengage from their moral code and not experience distress (Moore, Detert, Klebe Treviño,

Baker, & Mayer, 2012, pp. 34-35). Bandura even goes as far as to say that actions which harm others can make the actor feel good if the actor disengages so successfully as to feel the harm inflicted serves some higher purpose (2016, pp. 30, 49). Elaborating on Bandura’s model,

Bonner, Greenbaum, and Mayer (2016) included as examples of moral disengagement behavior

“blindly obeying authority figures, using euphemistic language, moral justification, FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 38 advantageous comparison, diffusion of responsibility, distorting consequences, dehumanization, and attribution of blame” (p. 740). A graphic depiction of the process of moral disengagement is included as Figure 6.

Figure 6. Mechanisms through which moral self-sanctions are selectively disengaged from detrimental conduct at different points in the moral control process. Reprinted from “Moral disengagement in the corporate world”, by White, Bandura, & Bero (2009). Accountability in

While moral disengagement can certainly take place at the individual level, its potential for harm may be greatest when groups of individuals engage in collective moral disengagement.

White, Bandura, and Bero (2009) state that such group behavior is not the sum total of individuals who have morally disengaged but is itself the product of group interactions.

Nonetheless, moral disengagement can only be executed by individual actors. In fact, placing FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 39 blame on a collective entity for unethical behavior is a form of moral disengagement (p. 43).

Moral disengagement connects to the ethical climate discussion in that an ethical climate is in part one that fosters transparency, accountability, ethical empathy and efficacy.

Ethical leadership. Brown and Treviño (2006) defined ethical leaders as “honest, caring, and principled individuals who make fair and balanced decisions” (p. 597). They further noted that ethical leaders articulate and model ethical behavior and hold employees accountable for violations (p. 597). As Brown, Treviño, and Harrison (2005) observed, ethical leadership involves ethical behavior modeling in actions and relationships. They also encouraged active ethical culture cultivation through “two-way communication, reinforcement, and decision- making” (p. 120).

Brown and Treviño (2006) argued that ethical leaders both cultivate positive relationships with employees and use their action to communicate and receive essential information about ethical norms (p. 603). They noted that this relationship-driven approach to employee engagement is rooted in a social exchange rather than a transactional model. In other words, the focus is on building and maintaining mutual trust and understanding instead of mere contractual fulfillment (p. 607).

Thoms (2008) argued that ethical leaders play a critical role in fostering an ethical organizational culture. They accomplish this through the rewards and punishments and relationship building suggested by Brown and Treviño (2006), but also through conflict resolution (p. 423). As with Brown et al. (2005), he also encouraged ethical behavior modeling and active ethical culture management. Regarding the latter, Thoms suggested that leaders stress the “ethical aspects of human resource management such as recruitment, performance evaluation, reward systems, ethics training and promotion procedures, and setting a formal Code FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 40 of Ethics” (p. 422). Nonetheless, Thoms maintained that informal ethical leadership modeling is likely of greater value than formal codes and procedures.

Yukl defined integrity as when “a person’s behavior is consistent with espoused values, and the person is honest, ethical, and trustworthy” (2002, p. 187). Yukl claimed that trust is a prerequisite to the loyalty, cooperation, and support of employees, peers, and superiors (p. 187).

Furthermore, trust must be reciprocal and can be fostered through a commitment to transparency and alignment between actions and values (Yukl as cited in Thoms, 2008, p. 404). Brown,

Treviño, and Harrison (2005) explained that leader transparency and fairness engenders imitation among employees (p. 120). Bertram Gallant and Kalichman (2011) made a similar case for the importance of trust. They suggested that trust is another aspect of modeling ethical behavior (p.

34). The initial mechanisms for the theme of ethical leadership therefore include ethical behavior modeling, accountability, transparency, relational communication, two-way communication, and clear ethical standards.

Ethical leadership is connected to ethical climate and moral disengagement in that leaders themselves can be subject to moral disengagement. Their behavior as leaders signals to employees in what type of ethical climate – more or less disengaged – they are employed and what behavior expectations exist (Bonner et al., 2016, p. 739).

Change management. Change management is a critical component of the theoretical framework for this dissertation because if college leaders are unable to manage the change of an organization’s ethical work culture and ultimately its ethical work climate then researching effective interventions and mechanisms of change is without value. Coch and French (1948) reported on an experiment at the Harwood Manufacturing Corporation in Marion, Virginia.

They found that greater levels of democratic decision-making led to greater levels of employee FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 41 ownership over the new process and therefore less loss of employees and faster returns to desired output. In other words, although management had the power to impose changes on employees, the exercise of raw power served to undermine the goals they sought to achieve, and employees would engage in political maneuvering (such as group pressure to reduce output) to bring this about. By sharing power with employees, management could better serve their own interests.

As Burnes (2015) pointed out, though, Coch and French’s work did not emerge out of a vacuum. Their work at Harwood was part of a much larger project of Kurt Lewin’s in the 1930s and 1940s (p. 94). Burnes explained that Lewin’s work is the foundation on which Coch and

French built their research. Later researchers that cite Coch and French’s article without any reference to this foundation – including Lewin’s theoretical emphasis on the importance of democratic decision-making – obscure its importance.

Lewin’s foundational work on changing employee perceptions and actions suggested that employees generally possess an inner resistance to any change imposed from above. For change to be effective and have lasting impact administrators must recognize and implement a three-step process of unfreezing old habits, establishing new habits, and then refreezing them (Lewin,

1958).

Dent and Goldberg (1999) questioned the historical interpretation of Coch and French’s concept of “resistance to change” in part by using Lewin’s original description of the term. Dent and Goldberg suggested that the idea has taken on a life of its own and sets up an assumption of conflict between management and employees. They argued that seeing resistance as a given and therefore an obstacle to overcome goes against the participatory goals of Lewin, Coch and

French. Instead of always operating from an oppositional standpoint, managers should seek to work with employees to develop appropriate responses to needed change (pp. 39-40). FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 42

Scoping Literature Review

The purpose of this section is to delve more deeply into the themes that emerged in the theoretical framework, particularly with a focus on identifying relevant empirical research.

Themes will be interwoven to tie the research together meaningfully. These will then lead to mechanisms that will help in the development of a conceptual framework. These themes include: (a) the relationship between ethical leadership and ethical climate, (b) ethical lapse types, (c) moral disengagement, (d) cultivating an ethical climate through effective change management, and (e) reviews of ethical qualifications in job postings and association and accrediting agency guidelines.

The last theme – reviews of ethical qualifications in job postings and association and accrediting agency guidelines – documents the results of two reviews that are important because college leaders not only serve as the public face of colleges and bear responsibility for the actions of their employees in the public eye, they also bear a responsibility for the active maintenance of a college ethical work climate supportive of ethical behavior and decisions among all employees. Kezar and Sam (2011) argued that “leadership is one of the key components to organizational change and recreating culture, especially in institutions of higher education” (p. 154). Yet as these reviews suggest there is little evidence that even for these positions ethical guidelines are applied clearly and consistently across colleges in the United

States. These reviews directly connect to the mechanisms of clear ethical guidelines and ethical screening.

The relationship between ethical leadership and ethical climate. A key assumption of this dissertation is that there is a linkage between ethics at the leadership level that influences the work culture, which in turn is perceived by employees as part of the overall work climate. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 43

Related to this, Zhu, Treviño, and Zheng (2016) focused on the related concept of moral attentiveness. They defined moral attentiveness as “the extent to which an individual chronically perceives and considers morality and moral elements in his or her experiences” (p. 98-99). Their survey research of employees in two companies in China focused on the topics of ethical leadership, moral identity, and moral attentiveness, which they defined essentially as the extent to which one attends to moral issues and concerns (pp. 98-99). The authors demonstrated a connection between ethical leaders and increased moral attentiveness of employees (p. 108).

They therefore recommended that organizations make use of the human resource department to screen and train ethical leaders (p. 109).

Mayer, Nurmohamed, Treviño, Shapiro, and Schminke (2013) examined the role of climate and leadership in dissuading or encouraging whistle-blowing activity with regard to unethical behavior using two field studies and one laboratory study of businesses and working adult university students. They found “consistent support for the interaction between supervisory ethical leadership and coworker ethical behavior on internal whistle-blowing” (p.

100). They therefore made the important point that ethical decision making is not an isolated process but was done as part of a social process of observation of both co-worker and leader behavior and expectations (p. 101).

Neubert, Carlson, Kacmar, Roberts, and Chonko (2009) showed through a survey of full- time employees a clear link between ethical leadership, ethical climate, and ethical employee conduct (p. 165). As Bonner et al. (2016) observed, moral disengagement on the part of leaders served as a social cue to employees to engage in similar behavior, while leader demonstration of ethical practices served to improve ethical outcomes among employees (p. 739). Kacmar,

Andrews, Harris, and Tepper (2013) also demonstrated through employee and supervisor surveys FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 44 a connection between ethical leadership and reduced perceptions of political behavior in organizations (which lead to negative outcomes) (p. 42). As with Detert, Treviño, and Sweitzer

(2008), they suggested that ethical evaluations should be part of the hiring and promotion process (p, 42).

Mayer, Kuenzi, and Greenbaum (2010) continued this theme of ethical assessment and training for leaders as critical for organizational ethical work climate, demonstrating a clear link between ethical leadership, ethical climate, and employee conduct (p. 13). Mayer, Aquino,

Greenbaum, and Kuenzi (2012) demonstrated that leaders must be ethical themselves, model that ethical behavior in ways that employees can readily observe, and employ systems to encourage ethical behavior and decisions and discourage ethical lapses. As others have suggested, to help ensure this is the case they argued that organizations should consider ethicality in hiring and also actively train leadership to build this capacity (p. 167). Mayer, Kuenzi, Greenbaum, Bardes, and

Salvador (2009) also showed through a survey of employees and supervisors in a wide range of organizations that while the most direct influence upon employee ethical conduct is their immediate supervisor, this supervisor’s conduct is shaped by the more distant organizational leader in a “trickle-down” manner (p. 9). Mayer, Kuenzi, and Greenbaum are not alone in demonstrating ethical leadership’s impact on employee behavior and the importance of selection and training to ethical work climate, as Walumbwa, et al. (2011) showed similar results and made similar arguments (p. 211).

Establishing an ethical work climate thus involves the mechanisms of active selection and training of employees and particularly college leaders. The latter are critically important to establishing the mechanisms of clear ethical guidelines and ethical assessment, accountability for ethical lapses, decision transparency, ethical behavior modeling, and two-way and relational FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 45 communication. These have implications for all levels of organizational ethics – from the individual to the organizational.

Ethical lapse types. To be practically meaningful for intervention, college leaders must be able to distinguish between various types of ethical lapses. Kelley and Chang (2007) provided such a typology by breaking college ethical lapses into three levels (mild, moderate, and severe) and four types (individual/academic, sports related, departmental, and organizational). In the case of sports-related ethical lapses, in 2015 the NCAA issued a report accusing Syracuse University’s basketball program of violations over a 10-year period including writing assignments for players. Sanctions included loss of scholarships and over 100 previous basketball wins (Schnonbrun, 2015). At the same time the school’s football program was placed on probation for five years in part due to academic misconduct (Schnonbrun, 2015).

At the University of North Carolina (UNC), close to two decades of reports about “no- show classes” for athletics students were revealed, involving up to 1500 students (Ridpath,

Gurney, & Snyder, 2015, p. 76). Official reports on the case found that employees throughout the university were aware of warning signs but failed to respond (Stripling, 2014). In September

2017, the Federal Bureau of Investigation issued charges against multiple university coaches for conspiring with an athletics apparel company to get students to sign endorsement deals with them (Marcus, 2018). NCAA president Mark Emmert suggested that the organization must avoid these repeated cycles of crisis (Marcus, 2018).

These examples illustrate the Kelley and Chang (2007) typology as severe sports-related ethical lapses given the extent and lasting impact of damage. Severe lapses that have organization-wide impacts may require different mechanisms than those of mild or moderate individual or departmental ethical lapses. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 46

Cornell University administrative assistant Carmita Wood’s 1974 sexual harassment case marked the first of such cases in a college setting (Marshall, Dalyot & Galloway, 2014, p. 277).

In the last decade, however, concern over inappropriate language and behavior on college campuses has risen significantly. Three recent events external to colleges have led to greater attention to such incidents – greater oversight and investigation from the United States Federal

Government, high profile scandals at Penn State and Michigan State, and broader cultural trends that have spillover effects for colleges.

This began with Department of Education’s (DOE) heightened scrutiny in 2010. As

Marshall et al. report, “The DOE’s policy position on sexual harassment on college campuses dictates… revamping institutional policies and procedures for defining sexual harassment and providing clear guidelines on how these matters are to be handled on campus” (p. 279).

Following this, in 2011 the DOE’s Office of Civil Rights issued its Dear Colleague letter which

“clarifies the role of universities in responding to allegations of discrimination based on sex and provides guidance and practical suggestions for universities to prevent, remedy, and correct the negative effects of such discrimination” (Rammell, 2014, p. 136). The Chronicle of Higher

Education now tracks federal investigations of sexual assault on college campuses, which have risen dramatically (2018). Congress has also given more attention to the concern, as indicated by the 2016 introduction of the Federal Funding Accountability for Sexual Harassers Act, which sought to tie federal grant funds to the reporting of sexual harassment and assault by professors

(Cantalupo & Kidder, 2017, p. 851).

Shortly after the DOE’s Dear Colleague letter came out, news broke of the Jerry

Sandusky scandal at Penn State, which revealed over a decade of abuse (Rammell, 2014, pp.

145-146). The University of Colorado Boulder made headlines in 2014 following a report FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 47 indicating that the university’s philosophy department was home to a range of inappropriate behavior including sexual harassment (Whitley & Page, 2015, p. 35).

There is reason to believe these cases may be the tip of the iceberg. A large 2015 study by the Association of American Universities suggested that “at leading American research universities today, roughly one in ten female graduate students and over one in five transgender/genderqueer graduate students state that they have been sexually harassed by a faculty member at their university” (Cantalupo & Kidder, 2017, p. 860). The Michigan State

Larry Nassar scandal which followed in 2017 seemed to confirm this, with similar indications of long records of abuse (Thomason, 2018). As discussed previously, these cases led to not only public scandal and scrutiny, but the loss of careers and in some cases even jail time for senior administrators held responsible for the oversight of their employees and the safety of those on their campus.

The third major external event is the broader cultural response to the Harvey Weinstein sexual harassment scandals in Hollywood and the subsequent #MeToo movement raising visibility of harassment and abuse in a variety of contexts. “There is a lot of momentum now for believing people’s reports,” according to Western New England University law professor Erin E.

Buzuvis (Mangan, 2017, para. 16). This emboldening suggests that previously uncovered incidents are more likely to come to light and accusers to be met with greater public support. All of this can have a significant effect on college reputation, which can in turn have an impact on applications (Downes, 2017, p. 3). One recent study, for instance, suggested that applications can drop close to ten percent the year following a scandal that results in New York Times coverage (Downes). FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 48

Not every incident involving inappropriate sexual behavior may rise to the organizational and severe level. One inappropriate comment that is dealt with by a colleague or senior academic administrator, for instance, may remain a moderate issue because its effects may be short-term, and it may stay at the individual or departmental level.

If ethical lapses are just that – lapses that present exceptions to a general ethical framework of behavior – then it is justifiable to consider what shift takes place in an individual

(or department or organization) to allow for such a lapse to occur. This shift is identified in the literature as moral disengagement.

Moral disengagement. “Moral disengagement does not alter moral standards,” explained Bandura (2016). “Rather, it provides the means for those who morally disengage to circumvent moral standards in ways that strip morality from harmful behavior and their responsibility for it” (p. 3). Moore et al. (2012) found that moral disengagement is a predictor of unethical organizational behavior (p. 34-35). For instance, Moore (2008) suggested the possibility of a link between moral disengagement and organizational corruption – here defined as “unethical actions undertaken to advance organizational interests, which may or may not directly advance the interests of the individuals undertaking them” (p. 130). Following Moore’s logic, it may be the case that not all unethical behavior is self-interested, but may be directed toward satisfying organizational ethical expectations.

Shu (2015) and Welsh, Ordonez, Snyder, and Christian (2015) took on the task of verifying the linkage between moral disengagement and corruption suggested by Moore (2008).

In a survey of 527 staff from four organizations, Shu found that stronger identification with an organization can lead employees to justify unethical behavior that serves organizational ends – whether that of their colleagues or themselves (p. 240). Welsh et al. labeled this development a FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 49

“slippery slope,” and in their study demonstrated that an environment that supports such justification doubles the rate of unethical behavior (p. 124). In addition, both the number and gravity of unethical behaviors grew over time (p. 124). They therefore recommended that managers adoptive a proactive approach to unethical behavior because of the tendency for minor ethical lapses to spread and grow if not addressed (p. 125). As well, not unlike Arnaud and

Schminke (2012, p. 1777), and Moore et al. (2012, p. 41), they encouraged managers to find ways to increase empathy for victims as a way to combat moral disengagement (p. 20).

Christian and Ellis (2014) identified a link between employee intention to leave and the likelihood of morally disengaged behaviors. This connection between negative emotions and moral disengagement was also found by Samnani, Salamon, and Singh (2014), although they examined by gender, as well, and found males to be more likely than females to transition from negative emotions to counterproductive work behavior.

Kish-Gephart, Detert, Treviño, Baker, and Martin (2014) found that being reminded of the possible harm to others reduces the likelihood of moral disengagement. This is consistent with Detert et al. (2008) who found that greater levels of empathy reduce the likelihood of moral disengagement (p. 384). Cynicism and chance locus of control, in contrast, are associated with disengagement. Based on these findings, Detert et al. suggested that organizations screen out applicants – particularly those for leadership positions – who do not possess an internal locus of control or high levels of empathy and moral identity. In addition, they suggested that ethical training can be utilized to foster positive traits (p. 386).

This last point is important because leaders who are viewed as unethical are likely to lose the respect of their ethical workers. As Dang, Umphress, and Mitchell (2017) found in two separate studies of university students and adult workers in the U.S., employees do pick up on FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 50 the use of moral disengagement language by leaders to justify unethical behavior. In cases where leaders attempt such justification, employees view their leaders as less ethical and may go so far as to ostracize leaders as a result (p. 1457).

In their study of internal corporate documents in multiple U.S. industries, White et al.

(2009) identified several mechanisms to prevent or limit moral disengagement. These include limiting layers or institutional systems of authorization that serve to obscure accountability and responsibility (a form of ethical efficacy), protection of diverse opinions and dissent, transparency and monitoring of conflicts of interest, and refusal to engage in or accountability for disparagement of victims (a form of ethical empathy) (pp. 66-68).

CIMO graphic. This literature offers the basis for a concept graphic to understand the

CIMO connections between the intervention of change management in the context of a college ethical work climate facing repeated ethical crises, the mechanisms of ethical efficacy, empathy, two-way and relational communication, ethical screening, training, decision transparency, clear ethical guidelines and behavior modeling, accountability, and periodic ethical assessment, and the outcome of an ethical work climate in colleges supportive of ethical employee behavior and decisions.

To begin with, organizations seeking to implement such an ethical work climate must screen for and select ethical leaders. These leaders must actively model their ethical principles through their actions and decisions. Ethical leaders thereby foster an ethical work climate within the organization, which is reinforced through an ethical work culture via the establishment and enforcement of ethical codes, and the training of both leaders and employees in empathy with victims and identification of moral disengagement. This ongoing demonstration of ethical leadership and an ethical culture and climate within the institution is critical to foster ethical FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 51 employee behavior and reduce the likelihood of ethical lapses. This CIMO logic is graphically depicted in Figure 7 and builds upon Figure 3’s initial model. Figure 7 then leads to the question of how change takes place in higher education, the subject of the next section.

CONTEXT: INTERVENTION: MECHANISMS: OUTCOME: Senior Change - Ethical Efficacy An Ethical Academic Management - Empathy Work Administrators - Ethical Screening Climate Seeking to - Ethical Training Supportive Address the - Two-way of Ethical Ethical Crisis in Communication Employee Colleges - Relational Behavior Communication - Decision and transparency Decisions - Clear ethical guidelines - Ethical behavior modeling - Accountability - Periodic ethical assessment

Figure 7. Preliminary CIMO logic concept graphic of fostering ethical employee behavior in colleges.

Cultivating an ethical work climate through effective change management. College leaders seeking to cultivate ethical behavior and decisions among their employees must have clarity about how best to go about changing the ethical work climates of their institutions if these colleges are not currently engaged in such an effort. Stephen Brown authored two articles on a large-scale technology initiative in the United Kingdom published in 2013 and 2014. Brown argued that colleges are particularly change avoidant (p. 209, 2014). Change is more likely to be FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 52 successful, however, if leaders focus not only on policies and procedures but on the more challenging work of addressing the organization’s underlying culture (p. 212).

Several authors have used a range of similar labels for concepts related to a more participative work culture that may facilitate efforts to bring about an ethical work climate.

Brown explained that change is often considered in terms of top-down or bottom-up approaches, for instance, both of which have their pitfalls – generally resistance from one direction or the other (2013, p. 10). Instead of either, he suggested a leader-driven but participative middle way that he labels “distributive” (2014, p. 213). Kezar (2012) called this approach “convergence” (p.

728) and in 2015 stated that the oppositional and often subconscious top-down/bottom-up dichotomy can undermine successful change efforts (Kezar, Gehrke, & Elrod, p. 492). Van der

Voet, Kuipers, and Groeneveld (2016) labeled their approach “emergent processes” in their case study of organizational change in the City Works Department of Rotterdam. Their research demonstrated an indirect influence of the transformational leadership of direct supervisors on the affective commitment of employees to change using greater levels of communication and participation than top-down change implementation efforts (p. 856).

Hechanova and Cementina-Olpoc (2013) made a similar argument with their research, noting both that leaders are critical for successful change management and that “formal authority” is less persuasive in a college context than “credibility and relationship” and “role modeling and encouragement” (p. 17). Kezar (2013) linked the work of change management to

Weick’s (1993) concept of sensemaking and the subsequent idea of sensegiving. In her research, this active cultivation of cohesive narrative to guide employees through change improved the likelihood of its success. She identified three primary components for leaders to focus on: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 53

“depth of process; breadth of engagement across departments and campus-wide; and connection to strategies and barriers” (2013, p. 767).

A review of ethical qualifications included in job postings. Given the general thrust of the research literature’s emphasis on leadership selection for ethics, it was deemed worthwhile to review whether higher education institutions followed this guidance in their hiring practices for college leaders. Such a review can be used as one way to gauge in a sample how great a priority colleges signal publicly that they place on ethical employee behavior in some of their most important positions. Using the Chronicle of Higher Education’s “Chronicle Vitae” job database, a search was conducted of current positions (posted within the last 30 days), yielding 175 results.

The following restrictions were applied:

 full-time;

 executive-level;

 4-year private and public; and

 job titles: Chancellor, Dean, President, and Provost (including vice and associate).

The application of these filters led to 83 results. These 83 positions were evaluated on a

Yes, No, or Maybe scale for inclusion of ethical criteria within the job qualifications. A “no” classification indicated no reference to ethical leadership qualities. A total of 24 job descriptions fell into this category, or roughly 29% of the total. The “maybe” classification indicated discussion of collaboration, cooperation, or consensus-building but without any further connection to ethical values. As with “no”’s, 24 job descriptions fell into this category. Finally, the “yes” classification indicated explicit desire for candidates who either exhibit or engender: character, integrity, ethics, transparency, trustworthy, values, morality, fairness, or accountability in addition to or instead of a collaborative or participatory leadership approach. A total of 35 job FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 54 descriptions met these criteria, or approximately 42% of the total. Thus, well over half of the descriptions (58%) included little to no mention of ethical guidelines for leadership at all.

These job qualification examples do not directly connect to the Kelley and Chang (2007) typology, but the absence of consistent inclusion of ethical expectations for college leaders communicates ambiguity regarding institutional commitment to the intervention of ethical leadership and the mechanisms of ethical guidance, communication, and modeling. In this way, this sample of college leader job postings suggests that colleges may need to improve on their job ad and selection criteria if the goal is to cultivate an ethical work climate that supports ethical employee behavior and decisions.

A review of ethical qualifications included in association and accrediting guidelines.

While all colleges might likely take the position that they value ethical candidates for senior academic administrator positions, the lack of a clear and consistent call for these qualifications is indicative of a range of priorities and concerns that may overshadow ethical considerations.

Four-year colleges lack the central organizing body community colleges have in the American

Association of Community Colleges (AACC). This body adopted a set of six core competencies for leadership in 2005 (AACC, 2013). These included organizational strategy, resource management, communication, collaboration, community college advocacy, and professionalism.

Competencies “represent those skills, abilities, knowledge, attitudes, and attributes that will be needed given the identified issues” (Hyatt and Williams, 2011, p. 58). In other words, this set serves as a personal tool box for a dealing with a specific issue in a specific context.

In the second edition released in 2013, professionalism was eliminated as a core competency, and the competencies were modified to address emerging leaders, new CEOs, and experienced CEOs. Ethics, however, remained a concern throughout both. Under the FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 55 organizational strategy competency, for example, the document states, “It is much more important to have strong morals and ethics than to be charismatic” (p. 6). The resource management competency states, “An effective community college leader equitably and ethically sustains people, processes, and information as well as physical and financial assets to fulfill the mission, vision, and goals of the community college” (p. 8). Finally, the collaboration competency states, “An effective community college leader develops and maintains responsive, cooperative, mutually beneficial, and ethical internal and external relationships that nurture diversity, promotes the success of all students, and sustains the community college mission” (p.

10). The AACC thus maintains a consistent stance on the critical importance of ethical leadership.

Outside of the community college system, numerous associations exist for four-year colleges, with varying degrees of explicit attention to ethical leadership. The American

Association of State Colleges and Universities (AASCU) claims 400 members, and recently released a competencies document for presidents that includes the personal characteristic of integrity. AASCU defined a person of integrity as one who “behaves in a way that is ethical, trustworthy, transparent, consistent, accountable, honest, committed, and socially responsible, thus setting high standards for staff, faculty, students, and the community” (2016, p. 7). The

Association of American Colleges & Universities (AAC&U) boasts 1,400 member institutions, but a search of their website did not reveal a readily available leadership competencies resource

(2018). The American Association of Universities has 60 U.S. member colleges but again a search of their website found no leadership competencies resource nor any mention of ethics or integrity in its Membership Principles (2018). The National Association of Independent

Colleges and Universities (NAICU) has close to 1,000 members and stated that its target areas FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 56 are student aid, tax policy, and regulation (2018). No leadership competency resource could be located on the site. Searches for “ethics” and “ethical” on the site resulted in a statement about the organization’s ethical policy and numerous news articles on ethical issues at colleges, but no guidance for member organizations.

Accrediting agencies offer a similar patchwork approach to ethical leadership. According to the U.S.-based Council for Higher Education Accreditation (CHEA), “Accreditation in higher education is a collegial process of self-review and peer review for improvement of academic quality and public accountability of institutions and programs” (2015, p. 2). CHEA and the U.S.

Department of Education recognize six regional accrediting agencies that oversee this process around the country. These include:

 Middle States Commission on Higher Education (MSCHE);

 New England Association of Schools and Colleges Commission on Institutions of

Higher Education (NEASC-CIHE);

 Northwest Commission on Colleges and Universities (NWCCU);

 Higher Learning Commission (HLC) (formerly, North Central Association of

Colleges and Schools (NCA));

 Southern Association of Colleges and Schools Commission on Colleges

(SACSCOC); and

 Western Association of Schools and Colleges Accrediting Commission for Senior

Colleges and Universities (WASC-ACSCU) (“CHEA- and USDE-recognized

accrediting organizations, 2017).

In addition, the USDE also recognizes a seventh accrediting body, the State of New York Board of Regents, for colleges in that state (USDE, p. 9). FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 57

HLC is explicit in its commitment to ethical standards. They included as one of their 10 core values “integrity, transparency, and ethical behavior or practice” (2017, p. 6). Further, their second criterion for accreditation is that “The institution acts with integrity; its conduct is ethical and responsible” (p. 9). The NEASC-CIHE has a set of standards that clearly reference ethics numerous times, including about finances, student services, and recruitment and admissions.

The organization’s Standard 9 on Integrity, Transparency, and Public Disclosure is quite explicit:

“The institution subscribes to and advocates high ethical standards in the management of its affairs and in its dealings with students, prospective students, faculty, staff, its governing board, external agencies and organizations, and the general public” (2016). The NWCCU stated as part of its standards that “The institution advocates, subscribes to, and exemplifies high ethical standards in managing and operating the institution, including its dealings with the public, the

Commission, and external organizations, and in the fair and equitable treatment of students, faculty, administrators, staff, and other constituencies” (n.d.). MSCHE has an entire standard devoted to ethics and integrity, and noted:

ethics and integrity are central, indispensable, and defining hallmarks of effective higher

education institutions. In all activities, whether internal or external, an institution must be

faithful to its mission, honor its contracts and commitments, adhere to its policies, and

represent itself truthfully. (2015, p. 5)

Other accrediting agencies are far less explicit about a commitment to ethical organizational operation. The SACSCOC “Principles of Accreditation,” for instance, do not mention ethics but did state that institutions should “operate with integrity in all matters” (2018, p. 3). Similarly, WASC-ACSCU does not explicitly name ethics in its accreditation standards but did state that colleges should function “with integrity, transparency, and autonomy” (2018). FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 58

The New York Board of Regents did not mention ethics or integrity in its Handbook of

Institutional Accreditation, other than for the Board itself and credit hours (2016).

As with job qualifications, while these examples do not directly connect to the Kelley and

Chang (2007) typology, the lack of guidance can create conditions that place colleges at risk for ethical lapses. The accrediting and association examples connect to the intervention of ethical leadership and the mechanism of clear guidance because while some accrediting and association bodies are very clear about their ethical commitments, others are significantly less so. This lack of consistency at the supra-institutional level undermines the effort to create guidelines and expectations across the board at the institutional level for college leaders. As Brown and Treviño

(2006) noted, key components of ethical leadership include to “frequently communicate with their followers about ethics, set clear ethical standards and use rewards and punishments to see that those standards are followed” (p. 597). In other words, the components include the mechanisms of ethical behavior modeling, communication, and accountability.

Thesis statement

Faced with significant public scrutiny over ethical lapses among employees at colleges in the United States, an ethical framework to cultivate change within the college ethical work climate is connected to effective management. A systematic review of the existing research literature on ethical leadership and effective leadership of college ethical work climate in the

United States can provide both current and future college leaders, as well as those who oversee them, with invaluable information for determining the most successful strategies and assessing the effectiveness of those strategies either currently in use or proposed. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 59

Conceptual Framework and Narrative

The literature review provided the foundation upon which it was possible to construct a revision of the initial CIMO – an initial conceptual framework for fostering an ethical work climate supportive of ethical employee behavior and decisions in the U.S. college setting. This initial framework began with the recognition of ethical crises in higher education. From this identified problem the general category of ethical lapses was broken down into four main types – individual, departmental, organizational, and sports-related – and three levels of severity – mild, moderate, and severe. Related to the CIMO logic illustrated in Figure 7, all of this served as the context. The intervention was change management, which consisted of mechanisms emerging out of the theories of ethical climate, moral disengagement, and ethical leadership. These included accountability, clear ethical guidelines, empathy, ethical efficacy, periodic ethical assessment, decision transparency, ethical behavior modeling, relational communication, and two-way communication. The outcome was an ethical work climate in colleges supportive of ethical employee behavior and decisions. This conceptual framework is graphically depicted in

Figure 8. Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 60

Typology of Ethical climate and moral ethical lapses disengagement - Accountability Level: Individual, - Clear ethical guidelines Cause: Ethical crises Departmental, - Empathy in higher Moral Organizational, or Change - Ethical efficacy Ethical education Disintegration Sports-related management - Periodic ethical assessment employee behavior and Severity: Mild, Ethical leadership decisions Moderate, or - Decision transparency Severe - Ethical behavior modeling - Relational communication - Two-way communication - Screening - Training

CONTEXT INTERVENTION MECHANISMS OUTCOME

Figure 8. Revision of CIMO: Conceptual framework for an ethical work climate supportive of ethical employee behavior and decisions in U.S. colleges. Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 61

As the author further developed the scoping literature review and evaluated this CIMO logic it became increasingly clear that a single intervention simply did not align with the research literature. Instead, both ethical leadership and change management serve as interventions to address an unethical work climate. An ethical work climate and ethical employee behavior and decisions then interact as two distinct but related outcomes. A new, revised conceptual framework was developed that reflects this shift in approach. This is included as Figure 9. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 62

Figure 9. Revised conceptual framework for an ethical work climate supportive of ethical employee behavior and decisions in U.S. colleges. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 63

Chapter Summary

The purpose of this chapter was to provide a background on how the existing research literature has historically addressed the themes related to the RQ: What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions? The chapter began with a review of typologies of ethical lapses in higher education and the theoretical framework employed by the author, reviewed the literature on organizational climates, moral disengagement, and ethical leadership, and reviewed job postings and association and accrediting agency guidelines to gauge the relative adoption within higher education of research recommendations regarding ethical employee behavior. This was followed by a thesis statement, and the chapter concluded with a conceptual framework and narrative. Chapter 3 will shift toward a review of the methodology employed in this dissertation.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 64

Chapter 3: Methodology

Introduction to the Chapter

The purpose of this chapter is to provide an overview of the methodology employed in this dissertation to conduct a systematic review of the research literature relevant to the RQ:

What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions? The chapter begins with a discussion of evidence-based systematic review for management generally, then shifts to how this methodology will be applied in this dissertation, including an overview of the search strategy and quality assessment process used to find the articles relevant to the RQ. How these articles are then analyzed and synthesized follows, along with a discussion of the subject matter expert review process and adjudication of the feedback from the expert reviewers.

Evidence-based Systematic Review for Management

As stated in Chapter 1, this dissertation is a systematic review utilizing a realist synthesis methodology. While there are many primary research projects conducted regarding specific projects or in specific locations, an important gap in the overall research around college ethical work climates, ethical leadership, and change management is an effort to draw together and review this literature systematically to develop overarching recommendations to guide practice.

As opposed to either additional primary research or traditional literature reviews, the value of a systematic review is in the synthesis of existing research to develop recommendations to guide culture change practice – and to do so “in an explicit, transparent fashion in order to provide the best available answer” (Rousseau, 2012, p.7).

Systematic Review. Systematic review methodology emerged in medicine, where there was a clear need to bring together the weight of evidence on a question from multiple studies FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 65 rather than simply either replicating existing or developing new research questions (Denyer &

Tranfield, 2009, p. 672). As the value of such rigorous reviews became apparent to policymakers and others, the methodology of systematic review began to be applied in other disciplines, including management (Petticrew & Roberts, 2006, p. 20).

Systematic review is part of the broader evidence-based management movement

(EBMgt). As Pfeffer (2012) pointed out, “many managers make decisions and take actions with little or no consideration of the knowledge base that might inform those actions” (p. viii). In contrast, effective managers should balance personal experience, contextual knowledge, and the available evidence when making decisions that can impact the lives of their employees and the organizations which they oversee (Barends, Have, & Huisman, 2012). To do so, they should engage in the systematic collection and analysis “of data in ways that reveal trends, patterns, and causal effects” (Kovner, 2012, p. 188). “EBMgt offers no one-size-fits-all solutions,” argued

Denise Rousseau (2012, p. 3). Instead, it is a process for pairing quality evidence with experience to inform and improve practitioner decisions within their unique contexts.

The three primary steps of any systematic review include: “identifying and describing the relevant research…, critically appraising research reports in a systematic manner, and bringing together the findings into coherent statement, known as a synthesis” (Gough, Oliver, & Thomas,

2012, p. 5). These steps are depicted in Figure 10. The steps roughly correlate to chapters 3-5 of this dissertation. Chapter 3 includes an overview of the search process to identify relevant research and the quality appraisal process to narrow the search results to those studies best suited to address the RQ. Chapter 4 presents findings from this process and analysis of those findings, and Chapter 5 presents the author’s conclusions. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 66

2. Critically 1. Identify and 3. Bring together appraise research describe relevant findings in a in a systematic research coherent synthesis manner

Figure 10. Systematic review steps.

Configurative approach. Aggregative and configurative approaches are the two primary types of systematic review. Whereas aggregative studies seek to answer research questions by combining the numeric results of numerous studies such as in a meta-analysis, configurative studies seek to answer a question by piecing together the various conceptual insights available through a range of applicable primary research studies (Gough, et al., 2012, p.

51). A configurative approach is appropriate here because the goal is not to test a given hypothesis – in which case an aggregative approach would be a better fit – but instead to use existing research to build upon existing insights and develop a new insight or insights (p. 52).

Further, the research base for this question is far from homogeneous, but instead consists of a variety of interventions in a variety of settings. Whereas an aggregative approach demands such homogeneity, a configurative approach allows for more heterogeneity. This is because the goal is to develop a broad conceptual understanding inclusive of a range of contexts and research approaches (Gough et al., 2012, p. 51).

Realist synthesis. Realist synthesis is the specific form of systematic review utilized in this dissertation. The goal of realist synthesis is to pull evidence from existing research that will be of greatest practical value for practitioners, making it a clear choice for answering the RQ. As

Pawson and Bellamy (2006) explain, the focus of realist synthesis is less about interventions FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 67 themselves and more about the mechanisms that allow interventions to succeed or fail (p. 86).

The approach asks simply, “What is likely to work in this context?” Gough et al. (2012) further observe that realist synthesis can make use of parts of individual studies – what they call

“relevant evidential fragments’” rather than needing to consider each study in its entirety (p.

177). In this way, the author intends to both systematically review the evidence surrounding ethical work climates, ethical leadership, and change management, while also contextualizing this evidence as a means to provide greater clarity for application by practitioners.

Underlying nearly every research project are implicit or explicit assumptions and hypotheses that drive the development and understanding of the research question. Rather than a problem to be overcome, such viewpoints can be seen as a strength if these conceptual frameworks are presented transparently and as such provide authors, readers, and practitioners with a better understanding of the context out of which the author(s) approach their work and the study is undertaken (Gough et al., 2012, p. 68). The primary assumptions driving this dissertation are that colleges in the United States face increasing scrutiny and significant ethical concerns that could undermine their long-term viability, and that college leaders may be able to have a positive impact on the ethical work climate of colleges such that employee ethical lapses can be prevented or mitigated.

Search Strategies

A temptation for any scholar is always to seek out additional data. For the purposes of this systematic review, however, a value was placed on demonstrating how to limit this desire in the interest of demonstrating how practitioners can reasonably seek evidence-based guidance through a single but broad database search of the research literature. In this way, the goal is to work toward bridging the scholar-practitioner divide and offer both timely, manageable, and FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 68 digestible guidance grounded in quality research. After consulting with University of Maryland

University College (UMUC) Reference and Instruction Librarian Cynthia Thomes, the author utilized an initial search string which yielded 4,062 results in the UMUC OneSearch database aggregator: (college* OR universit* OR "higher ed*" OR post-secondary OR postsecondary)

AND (promot* OR foster* OR encourag* OR stimulat* OR support* OR advanc* OR boost*

OR nurtur* OR cultivat* OR creat* OR establish* OR “change manage*”) n5 ethic* AND

(employee* OR worker* OR workforce OR staff* OR faculty*) AND (behav* OR act* OR decision* OR outcome*) (C. Thomes, personal communication, May 29, 2018).

This initial string was then limited to scholarly and peer-reviewed articles from academic journals, to the previous 10 years (2008-2018), and to English-language articles. Applying these filters reduced the results to 2,115. An iterative process of reviewing initial finding titles to add

NOT qualifiers eliminated studies which were clearly not relevant. With the addition of “change leader*” to the search string, a final version returned 613 results:

(college* OR universit* OR "higher ed*" OR "post-secondary" OR postsecondary) AND

(promot* OR foster* OR encourag* OR stimulat* OR support* OR advanc* OR boost* OR nurtur* OR cultivat* OR creat* OR establish* OR “change manage*”) n5 ethic* AND

(employee* OR worker* OR workforce OR staff* OR faculty*) AND (behav* OR act* OR decision* OR outcome*) NOT (italy OR italian* OR "hong kong" OR korea* OR france OR french OR india* OR hungar* OR theolog* OR lithuania* OR canada* OR britain* OR "civil servant*" OR Thai* OR "nurs*" OR cardiovascular OR "e-waste*" OR patient* OR japan* OR slovakia* OR romania* OR healthcare OR "health-care" OR marine OR veterinar* OR mexic*

OR australia* OR spain OR transport* OR oncolog* OR embryo* OR surgery OR surgical OR military OR bible OR biblical OR "new zealand" OR bolivia* OR malaysia* OR animal* OR FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 69

"social work*" OR mozambique OR nigeria* OR hospital* OR municipal OR sahara* OR fossil* OR china OR russia* OR kenya* OR pharmaceutical OR ecclesiology).

After duplicates were removed, this list was narrowed to 330 results. The author used the document management program Mendeley to save full-text search results and create citations. A full listing of the research set is included as Appendix A.

Quality Appraisal of Literature

Following Denyer, Tranfeld, and van Aken (2008) this dissertation employs the “fit for purpose” criterion developed by Boaz and Ashby (2003). As Denyer et al. stated, “the researcher simply asks whether or not the literature adds anything new to understanding the phenomenon”

(p. 402). To be useful, this methodology is coupled with a Weight of Evidence (WoE) quality and relevance assessment. To avoid adding potentially deceptive mathematical weight or “false precision” (Pirie, 2015, p. 76) to this analysis process the author refrained from assigning numeric values to sources.

Conducting a quality and relevance appraisal is an essential stage for any systematic review because it offers the opportunity for researcher and reader to weigh the strengths and weaknesses of the available research and consider these in a transparent fashion as part of the review process. Gough et al. (2012) went so far as to say that “systematic reviews, by their very definition, demand such a detailed examination” (p. 154, emphasis in original).

Gough et al. (2012) further noted that “a distinctive feature of realist synthesis with respect to quality and relevance appraisal is that the unit of assessment for critical appraisal is not the whole study but the relevant ‘evidential fragments’ from the study” (p. 177). This systematic review will therefore follow that logic. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 70

Inclusion and Exclusion Criteria. A secondary review of the list of 330 results to eliminate articles clearly identified as a non-U.S. context, non-English language, book reviews, or not focused on ethics in the workplace reduced the results to 256. A tertiary review of abstracts followed, looking for relevance to the RQ. Specifically, the goal was to seek those abstracts that even tangentially appeared to address in an empirical manner questions of ethical work climate and ethical employee behavior and were not explicitly described as non-U.S.-based studies. Those that did not meet these criteria were eliminated. This reduced the results to 71.

Primary authors were subjected to a review for research abuse using the website

Retraction Watch. Only one author, Fred Walumbwa, was prominently featured on the site for a high number of retractions (Palus, 2016). His 2017 paper with Hartnell and Misati was eliminated from the data set, dropping the total to 70 articles. Marshall Schminke was listed for one instance of self-plagiarism, but as this was a single incident and not directly related to research methodology, therefore, his 2014 article with Caldwell, Ambrose, and McMahon was not eliminated (Oransky, 2014).

Weight of Evidence assessment. A WoE assessment based on relevance, rigor, and study design (Appendix B) documents how the initial set was narrowed to the sources most appropriate to address the RQ (Gough et al., 2012, p. 163). For each article, the author determined whether an article qualified as Low, Medium, or High (or gradations of these categories) based on assessment of each category. The individual category scores were then averaged across for a total WoE score for each article. This ranking methodology is illustrated in

Table 3.1. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 71

Table 3. 1 Weight of Evidence Logic Chart

Relevance Rigor Study Design Score High High Medium High-Medium / High High High Low High-Medium High Medium Medium Medium-High High Medium Low Medium High Low Low Medium-Low High High Medium-High High-Medium / High High Medium-High Medium-High Medium-High / High High Medium-High High-Medium High-Medium

For relevance, the author ranked as High those articles that directly addressed ethical work climate’s impact on ethical employee behavior in a U.S. college context. No articles met this threshold. Articles that addressed these factors in another U.S. context were most highly ranked. If it was determined that an article did not address the RQ to any significant degree, it was ranked as Low. For rigor, each article was assessed based on whether the data and results were clearly presented and sound, whether the article appeared in a peer-reviewed journal, and its relative ranking for citations. Articles that performed well in each area achieved a ranking of

High, those that performed poorly received a Low ranking. For study design, the author primarily sought articles that demonstrated empirical testing of hypotheses with employees.

Upon close review of the articles, many of those eliminated were either opinion pieces or reviews of existing literature rather than primary research.

Selecting the articles that met a threshold of Medium-High or above as those which were most relevant to the RQ reduced the set to 41 results. Consistent with the WoE systematic review fit for purpose methodology of both Gough et al. (2012) and Boaz and Ashby (2003), an additional three articles were eliminated because while their study design and rigor were high their relevance was low. These include Treviño, den Nieuwenboer, Kreiner, and Bishop (2014), FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 72 which focused on the self-perceptions of ethical compliance officers regarding their internal legitimacy; Valentine, Fleischman, Sprague, and Godkin (2010), which explored the ethics of firing employees who blog; and Valentine and Kidwell (2008), which was a study of undergraduate student rankings of various unethical behaviors of teaching faculty. In none of these studies were there evaluations of how employees respond to ethical work climates. Finally, during the WoE assessment, a repeated entry was discovered (Gils, Hogg, Quaquebeke, &

Knippenberg, 2017), which reduced the final data set to 37 articles. A PRISMA chart that provides an overview of the WoE process is included as Figure 11.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 73

Records identified through database searching (n = 4,062)

Records after limiting to English-language scholarly and peer-reviewed

Identification articles from academic journals, to the previous 10 years (2008-2018) (n = 2,115)

An iterative process of reviewing initial finding titles to add NOT qualifiers eliminated studies which were clearly not relevant and the addition of “change leader*” to the search string (n = 613) After duplicate removal

(n = 330) Elimination of articles clearly identified as a non-U.S. context, non-English language, book reviews, or not focused on ethics in the workplace

Screening (n = 256) Review of abstracts followed, looking for relevance to the RQ (n = 71) After Retraction Watch screening (n = 70)

Full-text articles assessed Full-text articles excluded,

ibility for eligibility with reasons (n = 70) (n = 33) Elig

Studies included in qualitative synthesis (n = 37) Included

Figure 11. PRISMA flow chart.

The preferred reporting items for systematic reviews and meta-analysis (PRISMA) diagram shows the author’s search strategy. Adapted from “The Preferred Reporting Items for

Systematic Reviews and Meta-Analyses: The PRISMA Statement”, by D. Moher, A. Liberati, J.

The PRISMA Group. Adapted under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 74

Synthesis Methodology

This dissertation employs a realist synthesis methodology throughout the review. Gough et al. (2012) defined realist synthesis as “a method of synthesis that seeks evidence to populate an explicit programme theory to provide an explanatory analysis aimed at discerning what works for whom, in what circumstances, in what respects, and how” (p. 260). The goal of a realist synthesis should be to move “beyond statements of whether something ‘works’ towards a richer explanation of why and when it does or does not work” (Anderson et al., 2011, p. 41). This approach is a fit for the project because it takes most seriously the unique contexts of individual colleges while also offering the possibility for more general principles that can help administrators gain institutional understanding of specific environments and be applied to particular circumstances (Gough et al., p. 110)

Gough et al. (2012) identify seven stages of data synthesis relevant to a systematic review: 1) What is the question?; 2) What data are available?; 3) What are the patterns in the data?; 4) How does integrating the data answer the question?; 5) How robust is the synthesis?; 6)

What is the result?; and 7) What does the result mean? (p. 184). The author applies these as a framework for addressing the RQ. Chapter 1 provides the background to the first stage, and chapters 2 and 3 address stage 2 through a literature review and qualitative appraisal of the research. Chapter 3 includes stages 3 through 5, chapter 4’s findings and analysis addresses stage 6, and chapter 5’s conclusion covers stage 7.

To synthesize the data, the author began with an initial coding cycle using an In Vivo process. In this approach, keywords and analysis terms were identified and selected from the results and discussion sections of the articles (Saldaña, 2013, pp. 3-4). This resulted in a total of FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 75

115 codes. Using Atlas.ti software, articles were assigned numerical codes for tracking. A listing of these is included as Table 3.2. Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 76

Table 3. 2 Article Code Designation

Article Code Authors Year Title D1 Andrews, M. C., Baker, T., & Hunt, T. G. 2011 Values and person-organization fit: Does moral intensity strengthen outcomes? D2 Barsh, A., & Lisewski, A. 2008 Library managers and ethical leadership: A survey of current practices from the perspective of business ethics D3 Bormann, K. C. 2017 Linking daily ethical leadership to followers’ daily behaviour: The roles of daily work engagement and previous abusive supervision D4 Çemberci, M., Emre, M., & Günel, D. 2016 The mediator effect of ethical climate on the relation between ethical leadership and organizational commitment D5 Ferreira, A. I. 2017 Leader and peer ethical behavior influences on job embeddedness D6 Fleischman, G. M., Johnson, E. N., Walker, K. B., & Valentine, S. R. 2017 Ethics versus outcomes: Managerial responses to incentive-driven and goal-induced employee behavior D7 Gerpott, F. H., Van Quaquebeke, N., Schlamp, S., & Voelpel, S. C. 2017 An identity perspective on ethical leadership to explain organizational citizenship behavior: The interplay of follower moral identity and leader group prototypicality D8 Gils, S., Hogg, M., Quaquebeke, N., & Knippenberg, D. 2017 When organizational identification elicits moral decision-making: A matter of the right climate D9 Goebel, S., & Weißenberger, B. 2017 The relationship between informal controls, ethical work climates, and organizational performance D10 Gorsira, M., Steg, L., Denkers, A., & Huisman, W. 2018 Corruption in organizations: Ethical climate and individual motives D11 Groves, K., & LaRocca, M. 2011 An empirical study of leader ethical values, transformational and transactional leadership, and follower attitudes toward corporate social responsibility D12 Hassan, S. 2015 The importance of ethical leadership and personal control in promoting improvement-centered voice among government employees D13 Hassan, S., Wright, B. E., & Yukl, G. 2014 Does ethical leadership matter in government? Effects on organizational commitment, absenteeism, and willingness to report ethical problems D14 Hollingworth, D., & Valentine, S. 2015 The moderating effect of perceived organizational ethical context on employees' ethical issue recognition and ethical judgments D15 Huhtala, M., Tolvanen, A., Mauno, S., & Feldt, T. 2015 The associations between ethical organizational culture, burnout, and engagement: A multilevel study D16 Jordan, J., Brown, M. E., Treviño, L. K., & Finkelstein, S. 2013 Someone to look up to: Executive–follower ethical reasoning and perceptions of ethical leadership D17 Kwak, W.J., & Shim, J.H. 2017 Effects of Machiavellian ethical leadership and employee power distance on employee voice D18 Letwin, C., Wo, D., Folger, R., Rice, D., Taylor, R., Richard, B., & Taylor, S. 2016 The 'right' and the 'good' in ethical leadership: Implications for supervisors' performance and promotability evaluations D19 Liu, N., & Ding, C. G. 2012 General ethical judgments, perceived organizational support, interactional justice, and workplace deviance D20 Mackey, J. D., Brees, J. R., McAllister, C. P., Zorn, M. L., Martinko, M. J., & Harvey, P. 2016 Victim and culprit? The effects of entitlement and felt accountability on perceptions of abusive supervision and perpetration of workplace bullying D21 O'Connell, W., & Bligh, M. 2009 Emerging from ethical scandal: Can corruption really have a happy ending? D22 Mitchell, M. S., Vogel, R. M., & Folger, R. 2015 Third parties' reactions to the abusive supervision of co-workers D23 Rubin, B. A., & Brody, C. J. 2011 Operationalizing management citizenship behavior and testing its impact on employee commitment, satisfaction, and mental health D24 Schminke, M., Caldwell, J., Ambrose, M. L., & McMahon, S. R. 2014 Better than ever? Employee reactions to ethical failures in organizations, and the ethical recovery paradox D25 Schwepker, C. H. 2018 Strengthening customer value development and ethical intent in the salesforce: The influence of ethical values person–organization fit and trust in manager D26 Schwepker, C. H. J. 2017 Psychological ethical climate, leader–member exchange and commitment to superior customer value: Influencing salespeople’s unethical intent and sales performance D27 Sguera, F., Bagozzi, R. P., Huy, Q. N., Boss, R. W., & Boss, D. S. 2016 The more you care, the worthier I feel, the better I behave: How and when supervisor support influences (un)ethical employee behavior D28 Sharif, M., & Scandura, T. 2014 Do perceptions of ethical conduct matter during organizational change? Ethical leadership and employee involvement D29 Stewart, R., Volpone, S., Avery, D., & McKay, P. 2011 You support diversity, but are you ethical? Examining the interactive effects of diversity and ethical climate perceptions on turnover intentions D30 Thaler, J., & Helmig, B. 2016 Do codes of conduct and ethical leadership influence public employees’ attitudes and behaviours? An experimental analysis D31 Tyler, T., Dienhart, J., & Thomas, T. 2008 The ethical commitment to compliance: Building value-based cultures D32 Valentine, S., & Fleischman, G. 2008 Professional ethical standards, corporate social responsibility, and the perceived role of ethics and social responsibility D33 Valentine, S., & Godkin, L. 2009 Ethics, social responsibility, and ethical reasoning in an education-based health science center: When doing good results in good employees D34 Valentine, S., Hollingworth, D., & Francis, C. A. 2013 Quality-related HR practices, organizational ethics, and positive work attitudes: Implications for HRD D35 Van Yperen, N. W., Hamstra, M. R. W., & van der Klauw, M. 2011 To win, or not to lose, at any cost: The impact of achievement goals on cheating D36 Vitell, S., & Singhapakdi, A. 2008 The role of ethics institutionalization in influencing organizational commitment, job satisfaction, and esprit de corps D37 Warren, D. E., Gaspar, J. P., & Laufer, W. S. 2014 Is formal ethics training merely cosmetic? A study of ethics training and ethical organizational culture

Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 77

Code counts for each article were generated. Table 3.3 provides a sample of the code and code count list, with codes in the left column and articles (1-37) along the top row. A full listing of codes and code counts is included as Appendix C.

Table 3. 3 Code and Code Count Sampling of 115 Total Data Set

D 1 D 2 D 3 D 4 D 5 D 6 D 7 D 8 D 9 D 10 Totals Abusive supervision 0 0 89 0 0 0 0 0 0 0 339 Code of Ethics 0 17 0 0 0 0 0 0 0 0 26 commitment 38 4 0 47 4 7 1 9 14 3 562 corruption 0 0 0 1 2 2 0 0 0 340 387 ethical behavior 5 14 1 7 72 43 1 7 35 23 509 ethical climate 4 43 0 35 1 2 4 99 14 112 451 Ethical culture 2 1 0 0 0 4 0 0 5 6 159 ethical decision making 7 15 0 0 0 2 1 3 9 1 93 ethical judgment 0 0 0 0 0 49 0 1 2 0 158 ethical leadership 3 5 159 31 102 2 114 6 1 0 1214

The most frequently coded terms were ethical leadership (1214), commitment (562), and ethical behavior (509). Code frequency, however, is of limited analytic value and should be used to prompt further analysis rather than serve as an end in itself. In that light, it is worth noting how frequently codes appear across the literature. Corruption as a code, for instance, ranks relatively high in terms of frequency at 387. A single study, however, accounts for 340 of these hits. The commitment code is much more evenly distributed across the literature and therefore should merit more attention in the development of themes as part of a synthesis effort.

One way to improve understanding of the relative strength of codes across the data set is to run a test for depth (how many counts per code relative to the total number of codes), breadth

(how many articles reference each code relative to the total number of articles), and then average these two figures. A sample of this process is included as Table 3.4.

Table 3. 4 Depth and Breadth of Codes

D 1 D 2 D 3 D 34 D 35 D 36 D 37 Totals Breadth of code appearance Depth of code appearance Breadth/Depth AVG Absenteeism 0 0 0 0 0 0 0 46 3% 0.47% 1.59% Abusive supervision 0 0 89 0 0 0 0 339 30% 3.46% 16.60% accountability 0 3 0 1 0 0 0 128 32% 1.31% 16.87% achievement goals 0 0 0 0 55 0 0 55 3% 0.56% 1.63% FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 78

The top ten codes according to this process are included as Table 3.5. The average percentage is not significant numerically beyond the ability to rank the codes for breadth and depth combined. So, for instance, the mathematical difference between the code “Gender” at

33% and the code “Well-being” at 32.96%, should not be overstated. Rather, this analysis serves more to provide a general sense of what factors are most significant across the data set and likely merit additional analysis. In further cycles of coding, for instance, gender became less significant as a factor in this data set, while commitment and satisfaction are shown to be directly linked to ethical leadership and ethical work climates.

Table 3. 5 Top 10 Codes Based on Breadth/Depth Averaging

Breadth/Depth Code AVG Ethical behavior 51.25 Commitment 47.46 Satisfaction 44.12 Job satisfaction 41.66 Ethical climate 41.49 Ethical leadership 39.98 Unethical behavior 39.01 Organizational commitment 34.75 Gender 33 Well-being 32.96

In addition to code counts and distribution across the literature, it is worthwhile to assess what codes may overlap – in some cases simply because different authors use different terminology to describe similar concepts – and might therefore make sense to cluster thematically. Cultural controls and social norms might be an example of such a conceptual overlap with differing language, whereas job satisfaction and satisfaction may simply be redundant and could be consolidated. Researchers and readers should also not assume that an FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 79 intervention is effective simply because it has been studied repeatedly. More important will be strong and consistent evidence of positive impact. All these coding questions from the initial cycle point to the need for a second cycle of pattern coding that emerges from a more analytical approach to the data in the first cycle (Miles, Huberman, & Saldaña, 2014, pp. 86-90).

This second cycle coding process allowed for the development of a network of related codes to visually depict emerging patterns and their connections from the research (Miles et al.,

2014, p. 111). This approach is consistent with a realist synthesis methodology that seeks to map a complex chain of contexts, interventions, mechanisms, and outcomes. Further, it now becomes possible to see how specific factors begin to form clusters in relation to other factors. Miles et al. noted that pattern coding is by its nature interpretive, and so another author could identify a different set of patterns (p. 90). That does not negate the value of the process, but it does call for transparency regarding the logic and steps involved.

The second cycle pattern coding began with clustering codes according to relationship and affinity. Two additional codes – change management and transparency – were added to address questions emerging from the literature review but which were not pulled directly from in vivo coding of the data set articles. Using the “ethical culture” code as a starting point, other codes were connected in a network display around this code. This initial network is included as

Figure 12. Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 80

Figure 12. Initial network display of codes. Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 81

From here, it was possible to begin to see some initial patterns. For instance, under ethical culture it was possible to divide employee-related factors (on the left) and organizational factors on the right. It also became clear that significantly more codes were included for ethical cultures than unethical cultures. In this case, ethical leadership links to unethical leadership to distinguish two sides of the network display. A cluster of codes were less obvious to link to either half of the display. These are included at the bottom of Figure 12. Several codes were also consolidated at this point. The original code data from each article was not lost in this process. These consolidated codes are listed in Table 3.6. Again, it is important to note that this initial cycle of pattern coding is judgment-based. The next cycle involves code-by-code analysis to determine the nature and relative strength of the relationships involved.

Table 3. 6 Consolidated Codes

Merged code Ethical issue recognition Ethical decision-making Ethical culture Organizational ethical values Social norms Unethical behavior Includes Ethical issue recognition Ethical decision-making Ethical culture Organizational ethical values Social norms Unethical behavior Recognition of an ethical issues Moral decision-making Ethical organizational culture Corporate ethical values Cultural controls Peer unethical behavior Social desirability Workplace deviance Counterproductive workplace behavior In the third cycle of coding analysis, the revised code list was checked against the results and conclusions sections of each article. Each finding in each article was then noted in the article database, including if a particular code finding was related to another code. These findings were then fed into a new more refined network map that only depicts connections based on evidence from the articles. This secondary network display of codes is included as Figure 13.

In this network, codes are primarily clustered around ethical climate and ethical leadership. Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 82

Figure 13. Secondary network display of codes. Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 83

From this review of evidence supporting the codes, the author utilized the final conceptual framework to align evidence with three overarching categories, or major themes – ethical leadership characteristics, change management mechanisms, and ethical leadership and change management results. These are included as Tables 3.7-3.9.

Table 3. 7 Ethical Leadership Characteristics

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 84

Table 3. 8 Change Management Mechanisms

- Ethics training o increases perception of ethical culture (D37) o increases willingness to report ethical problems (D37) o increases perception of organizational efficacy (D37) o reduces unethical behavior (D37) - Ethics codes o increase ethical climate (D21) . ethical climate reduces corruption (D10) - Ethics institutionalization o increases organizational commitment (D36) o increases esprit de corps (D36) o increases job satisfaction (D36) o organizational ethical values increase person-organization fit (D1) . person-organization fit increases organizational commitment and job satisfaction (D1) - Accountability o reduces unethical behavior (D26) - Personnel and cultural controls o associated with an ethical climate (D9) - Social norms and social desirability o reduce corruption in an ethical climate (D10) o improve ethical judgment (D14) - Interactional justice o reduces unethical behavior (D19) - Corporate social responsibility o Increases ethical attitudes (D32) - Mastery goals o reduce cheating (as opposed to performance goals) (D35) - Quality-related human resources practices o associated with organizational ethics (D34) - Perceived organizational support o increases perceived ethical culture (D30) o reduces unethical behavior (D19) o associated with ethical recovery (D24)

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 85

Table 3. 9 Ethical Leadership and Change Management Results

It should be noted that consistent with a realist synthesis approach, the compiled research set draws from a range of contexts. Practitioners must take this into account when considering approaches relevant to not only colleges ethical work climates generally, but their own specific college ethical work climate. Further, because of the even greater specificity of the college ethical lapse typology, the data does not directly address the areas of sports, individual, departmental, and organizational ethical lapses. Reflection on how practitioners might go about such contextual application will follow in subsequent chapters. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 86

Expert Panel Review

Thomas (2006) described the importance of inviting external reviewers with an interest in the subject matter of any qualitative research to improve credibility (p. 244). To ensure both the scholarly and practitioner merit of the dissertation, the author subjected a ten-page extended abstract with content from chapters 1-3 to review by subject matter experts (SMEs). The extended abstract included the RQ, justification, theoretical framework, literature review, conceptual framework, thesis statement, and research design. For SMEs, the author sought out scholars who have extensive research backgrounds in ethics and management, as well as practitioners who have engaged with these areas professionally. A summary of SMEs who agreed to participate in this process is included as Table 3.10.

Table 3. 10 Summary of Subject Matter Expert Credentials

Credentials Scholars Eric Dent Eminent Scholar, Professor and Uncommon Friends Endowed Chair in Ethics Lutgert College of Business at Florida Gulf Coast University. John Sosik Professor of management and organization at The Pennsylvania State University, Great Valley School of Graduate Professional Studies in Malvern, PA. Dr. Sosik serves on the editorial boards of The Leadership Quarterly, Group & Organization Management, and The Journal of Behavioral and Applied Management. https://greatvalley.psu.edu/person/john-j-sosik

Sean Valentine Professor in the management department at Louisiana Tech University. Dr. Valentine authored numerous journal articles on subjects relevant to this dissertation, including multiple articles that are a part of the final data set. Dr. Valentine serves on the editorial boards of Human Resource Development Quarterly, The Journal of Organizational Culture, Communication and Conflict, The Journal of Personal Selling & Sales Management, The Journal of Business Research, and The Journal of Business Ethics. https://und.edu/directory/sean.valentine

Practitioners FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 87

Peter Head of School of Business and Professor of Management, Maynooth McNamara University School of Business, Kildare, Ireland. https://www.maynoothuniversity.ie/people/peter-mcnamara

Karen Tibbals Ethical Strategist at Ethical Frames, LLC. Karen has a background in marketing in the pharmaceutical industry and came to Earlham School of Religion to complete an MA degree. After completing her seminary degree, she launched her own business to help organizations navigate ethical waters. https://ethicalframes.com/about/

The author contacted SMEs by email addresses found through internet searching on both key authors from the dissertation literature and subject searches on ethical management. The initial email included an explanation of the process, a brief biographical sketch of the author, an evaluation form, and the extended abstract. SMEs who agreed to participate were asked to return feedback within a four-week period. The evaluation form questions are included as Table 3.11.

Appendix D includes the full responses of all SMEs to the SME Evaluation and Feedback Forms.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 88

Table 3. 11 Subject Matter Expert Evaluation & Feedback Form Prompts

Prompt # Prompt 1 Clarity of the Study Problem – Is the topic’s relationship to the field of management practice made clear and explained?

2 Significance of this Study – To what extent would this study contribute to the practice of management? How original is this study?

3 Scope of this Study – Is the scope of this study made clear? Is it focused on management issues that can be realistically investigated?

4 Literature informing this Study – Does the type and relevance of literature reviewed provide the proper direction for this study?

5 Conceptual Framework – Does the candidate present a clear picture of how key factors are related, and how those factors would be explained through research?

6 Research Approach – Is the research approach described in a logical manner?

7 Overall Written Quality – Does this study present a clear line of reasoning consistent with other management research materials with which you are familiar?

8 Overall Practical Value – Does this study offer a clear and recognizable opportunity to produce results that would impact a management practice?

9 Overall Strengths of this study

10 Overall weaknesses of this study

11 Other open-ended comments that would be helpful to candidate

The originality, value, and relevance of the extended abstract for both scholarship and practitioner use was confirmed by SME responses. As Sosik wrrote, the arguments are presented in “a logical and compelling manner that is well-supported by the literature” (J. Sosik, personal communication, September 29, 2018). Valentine noted that the “research design presented is clear and fits the type of research being conducted” (S. Valentine, personal communication, FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 89

August 25, 2018). Dent highlighted the importance of the college context as a unique and understudied area. McNamara focused on the practical value of this systematic review of the research on handling ethical lapses and improving ethical work climates for college leaders. As he explained, the “dissertation adds value in addressing this core concern that I face as an academic manager” (P. McNamara, personal communication, October 1, 2018).

Some of the SMEs did, however, raise concerns regarding the clarity of the initial conceptual framework and the levels of analysis in the literature review. An advantage of a midpoint review of the dissertation by SMEs is that the author was able to address the concerns raised by the SMEs in subsequent edits. This is particularly true in the case of comments from

Sosik and Valentine which emphasized the importance of ethical leadership and change management, which emerged as key components of the conceptual framework as the dissertation developed. Further, multiple reviewers noted the need for more recent research, which was addressed as part of the screening process.

Chapter Summary

The purpose of this chapter was to provide an overview of the methodology employed in this dissertation to conduct a systematic review of the research literature relevant to the RQ:

What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions? The chapter began with a discussion of evidence-based systematic review for management generally, then shifted to an overview of the search strategy and quality assessment process used to find the articles relevant to the RQ. These articles were then synthesized to identify three major themes – ethical leadership characteristics, change management tactics, and ethical leadership and change FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 90 management results. This was followed with feedback from expert reviewers. The next chapter presents the findings of the analysis process described in chapter 3.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 91

Chapter 4: Findings: Analysis and Discussion

Introduction to the Chapter

The purpose of this chapter is to provide an overview of the findings in this dissertation from the systematic review of literature relevant to the RQ: What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions? The chapter begins with a discussion of results from the evidence and then shifts to findings and discussion based on synthesis and analysis. A revised conceptual model and narrative is offered, followed by possible alternative perspectives.

Findings and Discussion Based on Synthesis and Analysis

A systematic review utilizing a realist synthesis methodology should result in findings that guide researchers toward gaps in the existing literature and practitioners toward interventions and mechanisms that emerge from consideration of the broad scope of that relevant research rather than individual primary studies. “Synthesis involves the process of bringing the pieces from individual texts together to make a whole that should be more than the sum of the parts” (Denyer & Tranfield, 2009, p. 680). The findings from this systematic review of the research literature on change management and ethical leadership as they relate to ethical work climate that supports ethical employee behavior and decisions emerge directly from the results and conclusions of the 37 studies included in the data set.

Before discussing these findings, an important step in analyzing these results is to contextualize the studies to clearly identify what population was being studied in each case.

Context is critical in realist synthesis because it acknowledges that the success or failure of specific interventions and mechanisms may not apply universally, but operate in relation to certain times, locations, and populations (Lacouture, Breton, Guichard, & Ridde, 2015, p. 7). FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 92

This explains in part the importance of seeking recent studies in U.S. locations, even if studies specific to colleges were few. Table 4.1 offers this context for each study in the data set.

Most studies (30) were not specifically focused on a college context. Two (Barsh &

Lisewski, 2008; Valentine & Godkin, 2009) involved college employees, and five (Çemberci,

Emre, & Günel, 2016; Ferreira, 2017; Groves & LaRocca, 2011; Mackey et al., 2016; Mitchell,

Vogel, & Folger, 2015) involved educational employees at least in part. Despite the screening process, six studies were based in non-U.S. contexts (Cemberci et al.; Ferreira; Goebel &

Weißenberger, 2017; Gorsira, Steg, Denkers, & Huisman, 2018; Kwak & Shim, 2017; Liu &

Ding, 2012; Thaler & Helmig, 2016), although two of these (Cemberci et al. and Ferreira) included educational employees. These factors must be weighed when analyzing the results and arriving at findings. Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 93

Table 4. 1 Data Set Study Contexts

Authors Year Context Andrews et al. 2011 Survey of 489 members of the National Association of Purchasing Managers Barsh & Lisewski 2008 Survey of 345 library managers in public, academic and special libraries Bormann 2017 Survey of 241 public services, health care, finance, and IT services employees Çemberci et al. 2016 Survey of 171 employees working in 5 companies doing business in health, public and education sectors in Istanbul Ferreira 2017 Survey of 40 supervisors and 303 subordinates from 40 companies in finance, consultancy, IT, schools, universities, retail, telecommunication, and automotive sectors in Portugal Fleischman et al. 2017 Survey of 243 mid-career business professionals with significant work experience enrolled in MBA programs at 3 large U.S. universities Gerpott et al. 2017 Survey of 138 individuals via the online platform Mechanical Turk living in the USA and working primarily in IT, health care, and the public sector Gils et al. 2017 Survey of 162 members of the US crowdsourcing website Mturk.com Goebel & Weißenberger 2017 Survey of management accountants from 295 German large to medium-sized organizations in terms of revenues and number of employees Gorsira et al. 2018 Survey of 234 public officials and 289 business employees in the Netherlands Groves & LaRocca 2011 Survey of 580 team leaders and followers from 97 organizations primarily in aerospace, government services, professional services/consulting, and education services Hassan 2015 Survey of 161 supervisors and 443 followers from six divisions in a large Midwest state agency Hassan et al. 2014 Survey of 161 supervisors and 443 followers in a large Midwest state agency Hollingworth & Valentine 2015 Survey of 187 employees at branches of a single regional bank operating in the upper Midwest and Southwest Huhtala et al. 2015 Survey of 2,146 employees from a public sector org with 4 service areas - administrative services, urban design & business activities, social affairs & health, and education & culture Jordan et al. 2013 Survey of 27 senior executives from a range of industries participating in a university executive education program and 140 direct reports Kwak & Shim 2017 Survey of 252 matched supervisor–employee dyads working in manufacturing companies in Korea Letwin et al. 2016 Survey of 117 triads ( employee, supervisor, & supervisor’s supervisor) working at financial, insurance, real estate, retail, food service, and healthcare orgs in southeastern U.S. Liu & Ding 2012 Survey of 460 full-time employees from different industries in Taiwan - primarily production, service, and public sector Mackey et al. 2016 2 surveys of working adults (396 and 123) with the largest group in educational, health, and social services sectors O'Connell & Bligh 2009 Case study of an ethical scandal and recovery in the City and County of Denver, Colorado Mitchell et al. 2015 Survey of 221 matched Time 1–Time 2 full-time employee responses from U.S. orgs in finance, insurance, education, healthcare, information technology, and retail Rubin & Brody 2011 Responses of 2,131 employees with direct supervisors from the 2002 National Study of the Changing Workforce Schminke et al. 2014 Survey of 118 undergrad students from a large Southeastern U.S. university Schwepker 2018 Survey of 408 business-to-business salespeople from service, manufacturing, wholesaling, government, and nonprofit sectors Schwepker 2017 Survey of 408 business-to-business salespeople from service, manufacturing, wholesaling, government, and nonprofit sectors Sguera et al. 2016 Survey of 200 US subjects recruited through Mechanical Turk Sharif & Scandura 2014 Survey of 199 supervisor–subordinate dyads recruited from the StudyResponse project Stewart et al. 2011 Survey of 348 warehouse employees of a large U.S. retail organization Thaler & Helmig 2016 Scenario-based experiment of 240 employees in German public administrations Tyler et al. 2008 National sample of American employees Valentine & Fleischman 2008 Survey of 313 accounting, human resources, and sales and marketing leaders Valentine & Godkin 2009 Survey of 781 U.S. university-based health science center employees Valentine et al. 2013 Survey 187 professionals working for a medium-sized, for-profit, U.S. financial services company Van Yperen et al. 2011 2 surveys of undergraduates - 264 and 159, respectively Vitell & Singhapakdi 2008 Survey of 306 individuals - 101 American Marketing Association members and 205 marketing professionals from a national sample Warren et al. 2014 Surveys of employees at a multinational bank headquartered in the U.S. bank before, nine months after, and 2.5 years after implementing a formal ethics training program Running Head: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 94

Finding 1. The first finding of the systematic review is that leaders have been able to effect ethical work climate change. As Table 3.9 indicates, 10 studies demonstrated a direct link between ethical leadership and either increases in ethical employee behavior or decreases in unethical employee behavior, with several additional studies showing secondary related positive impacts. These changes in employee behavior indicated a shift in the ethical work climate of these organizations. In other words, the results demonstrated a connection between positive changes in the ethical work culture via ethical leadership that influence the ethical work climate as shown by positive changes in the decisions and behavior of employees.

Reducing counterproductive work behaviors. Three studies point to the ability of ethical leadership to reduce counterproductive work behaviors (CWB). Bormann (2017) relied on a survey of 241 public services including education, health care, finance, and IT services employees. When abusive supervision was previously high, ethical leadership served to reduce

CWB (p. 595). As with other studies, Bormann did not target colleges but included education employees and sought to draw upon a wide range of workplace contexts. This does not guarantee generalizability to a college environment but suggests it may be applicable – particularly if linked to other supportive literature. Hassan, Wright, and Yukl (2014) surveyed

Midwest state agency employees. In this study, ethical leadership was shown to reduce absenteeism, which is itself linked to CWB (p. 340). Schwepker (2018) conducted a survey of

408 business-to-business salespeople from service, manufacturing, wholesaling, government, and nonprofit sectors. In this study, perception of an ethical workplace was linked to trust in one’s manager, which in turn was linked to a reduction in unethical intent. Together, Bormann (2017), FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 95

Hassan et al. (2014), and Schwepker (2018) present evidence from a range of contexts indicating that ethical leadership reduces CWB, and these results may be generalizable to a college context.

Increasing ethical behavior and well-being. Two studies demonstrated that ethical leadership has the potential to increase ethical employee behavior and attitudes. O’Connell and

Bligh (2009) presented a case study of an ethical scandal and recovery in the City and County of

Denver, Colorado. The authors reported that “positive, salient, ethical leadership actions were important in creating and sustaining critical dialogue to move toward a new collective understanding and expectation of ethical behavior in the organization” (p. 229). Thaler and

Helmig (2016) utilized a scenario-based experiment of 240 employees in German public administrations. While they could not find a direct connection between ethical leadership and ethical behavior, they did show a connection between ethical leadership and perceived organizational support, which they deem an antecedent to ethical work behavior (pp. 1379,

1383). To maintain the focus on U.S.-based contexts Thaler and Helmig’s study should not be given the same weight when determining findings. Using the study as additional support for the results of other studies makes sense but not as stand-alone results. Neither study takes place in a college setting, and that does limit the strength of the overall finding. These studies are not the only ones to find connections between ethical leadership and ethical behavior.

Sharif and Scandura (2014) conducted a survey of 199 supervisor–subordinate dyads recruited from the StudyResponse project. They found that not only did employee perception of ethical leadership improve job satisfaction, job performance, and organizational citizenship behaviors (OCB), but the impact was even more significant during periods of change (p. 191).

OCB is associated with moral identity, which is discussed by Gerpott, Van Quaquebeke,

Schlamp, and Voelpel (2017). Their study involved two surveys – one of 138 individuals via the FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 96 online platform Mechanical Turk living in the USA and working primarily in IT, health care, and the public sector, and a second of 225 participants from the U.S., Canada, Europe, and other

Western countries using the online platform CrowdFlower. Again, the respondents were primarily from the same set of sectors. Across both studies, they found that the relationship between perceived ethical leadership and OCB was mediated by employee moral identity. Moral identity was also found to increase coworker support (a form of OCB) by Mitchell, Vogel, and

Folger (2015). Theirs was a survey of 221 matched Time 1–Time 2 full-time employee responses from U.S. organizations in finance, insurance, education, healthcare, information technology, and retail. When confronted with abusive supervision in this study, employees with stronger moral identities were more likely to engage in coworker support and less likely to direct harmful behavior toward supervisors (p. 1050). Together, these three studies show a relationship between a cluster of factors – ethical leadership, job performance and satisfaction, OCB, and moral identity – across a variety of contexts that suggest application to a college environment could prove productive.

In addition to finding that ethical leadership helps reduce unethical employee behavior,

Bormann (2017) also found that it helps increase ethical employee behavior. Specifically,

Bormann’s survey of 241 public services including education, health care, finance, and IT services employees found that ethical leadership increased helping behavior (a form of OCB) by increasing work engagement (p. 597). Related to work engagement, Vitell and Singhapakdi

(2008) found an implicit connection between ethical leadership as a form of ethics institutionalization and esprit de corps, which they defined as organizational team spirit (p. 350).

Their study involved a survey of 306 individuals – 101 American Marketing Association members and 205 marketing professionals from a national sample. Rubin and Brody (2011) FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 97 connected ethical leadership to improved employee trust of management, organizational commitment, and well-being (p. 491). They relied on responses from 2,131 employees with direct supervisors from the 2002 National Study of the Changing Workforce. Schwepker (2018) confirmed this result, noting a connection between perception of organizational ethics and trust in manager. Schwepker used a survey of 408 business-to-business salespeople from service, manufacturing, wholesaling, government, and nonprofit sectors.

Taken together, this cluster of four studies demonstrating connections between ethical leadership and positive ethical employee behavior and attitudes suggests generalizability to college contexts even if none focused solely on that environment. Coupled with the other five studies listed previously, they provide ample support for Finding 1 – that ethical leaders have been able to effect ethical work climate change.

Finding 2. As characterized by the seven studies listed in Table 3.7, leaders model ethical behavior and decisions by adopting the following approaches and practices:

 a deontological ethical approach – decision making based on morals or ethics rather than

outcomes, the latter approach being known as consequential, teleological, or utilitarian

(Letwin et al., 2016; Fleischman, Johnson, Walker, & Valentine, 2017);

 a transformational leadership approach – influencing behavior primarily through appeal

to a vision rather than through rewards and punishments, the latter approach being known

as transactional (Groves & LaRocca, 2011);

 supportive supervision – or, care for employee well-being (Sguera, Bagozzi, Huy, Boss,

& Boss, 2016); and

 procedural fairness – understood as equal treatment for all (Tyler, Dienhart, & Thomas,

2008; Hassan, Wright, & Yukl, 2014; Hassan, 2015). FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 98

Deontological ethics. Two studies discussed the importance of a deontological ethical approach to leadership. Letwin et al. (2016) surveyed 117 triads (employee, supervisor, & supervisor’s supervisor) working at ﬁnancial, insurance, real estate, retail, food service, and healthcare organizations in the southeastern United States. Their results indicated that supervisors with a deontological approach are more likely to be seen as ethical by both their employees and their supervisors (p. 743). The authors further hypothesized that utilitarian (ends or outcomes justify the means) approaches would be associated with promotability. This was not supported, however, suggesting there is no professional advancement penalty for operating from a deontological rather than teleological framework. An important contribution of this study is the analysis of both follower and supervisor perceptions. While these findings were not specific to college settings, they do contain a wide range of contexts that suggests generalizability to others.

Fleischman et al. (2017) surveyed 243 mid-career business professionals with significant work experience enrolled in MBA programs at three large universities in the United States. They assessed the responses of participants to employee ethical and unethical behavior based on whether participants operated out of deontological or teleological approaches. In both cases, participants were less likely to respond to ethical behavior, and deontological participants were more likely to respond negatively to unethical behavior even if it benefited the organization. The authors stress the importance of ethical training and screening to ensure more deontological orientation and recognizing ethical behavior as well as unethical. The study was performed in a college setting, but the questions were directed toward a business context. It is possible that employees in a college context could respond differently to deontological or teleological FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 99 approaches. Together, however, these studies suggest the value of leaders adopting a deontological approach to cultivate an ethical work culture and climate.

Transformational leadership. Groves and LaRocca (2011) addressed the importance of a transformational leadership approach. They surveyed 580 team leaders and followers from 97

Southern California organizations primarily in aerospace, government services, professional services/consulting, and education services. The authors concluded that “leaders’ strong beliefs in altruism, universal rights, and principles lay the groundwork for enacting the key motivational and inspirational behaviors that drive impressive leadership outcomes in organizations” (p. 522).

This study builds on the deontological work in that transformational leadership was found to be linked to a deontological approach, while transactional leadership was linked to a teleological approach. While these results were not entirely focused on college settings, they do include educational services as well as a wide range of other contexts that suggests generalizability to a college environment. Linked with the above studies, this study supports the finding that ethical leaders seeking to cultivate an ethical work culture and climate through change management mechanisms may be more likely to bring meaningful change to their organizations through the adoption of deontological and transformative approaches.

Supportive supervision. Sguera et al. (2016) identified supportive supervision as a component of ethical leadership. Their fictional scenario survey involved 200 United States subjects recruited through Amazon Mechanical Turk (MTurk). Because their survey was open to anyone on MTurk, it was not specific to a college setting. On the other hand, it was also not specific to another particular setting. In this way, it presents the possibility of generalizability to any U.S. context. In addition, the authors ran a separate field survey of 254 nurses and 72 supervisors in a hospital to test the MTurk results. Though not in a college setting, this approach FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 100 of broad-based survey coupled with organizational field testing offers some confirmation that generalization is possible to other contexts. Their results point to the positive impact instilling a sense of supervisory support, including demonstrated care for employee well-being, improves supervisor-based self-esteem. This in turn motivates employees to try to maintain that sense of self-worth by demonstrating organizational citizenship behaviors to supervisors and reducing counterproductive workplace behaviors. These results link to transformational leadership in that the goal is to look beyond self-interest to the good of others within the organization and the organization as a whole (Groves & LaRocca, 2011, p. 512).

Procedural fairness. Three studies confirm the importance of procedural fairness. Tyler et al. (2008) utilized both a national sample of American employees – 831 respondents to a survey posted on WebTV – and a sample of 540 employees from the U.S. division of a single multinational financial services company (Tyler & Blader, 2005, pp. 1146, 1149). This methodology of broad employee survey followed specific organization employee survey is like that employed by Sguera et al. (2016). As in that case, the methodology suggests generalizability beyond that of a single or specific organization. In this case, the results indicate that “employees judged the legitimacy of management and the morality of company policies primarily in terms of procedural fairness” (Tyler et al., 2008, p. 34). In other words, when compared with distributive justice or policy favorability, the ethical work culture mechanism of fair application of procedures was significantly more impactful on ethical work climate. Further, employee perceptions of procedural fairness were linked to the kind of organizational citizenship behaviors fostered by supportive supervision (p. 41).

Both Hassan et al. (2014) and Hassan (2015) relied on the same data set – a survey of 161 supervisors and 443 followers from six divisions in a large Midwest state agency. In Hassan et FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 101 al. (2014), procedural fairness was shown to correlate with perceptions of ethical leadership and employee willingness to report ethical problems (p. 340). In Hassan (2015), procedural fairness was also linked to employee voice (p. 710), which can be understood as inclusive of willingness to report ethical problems, but also more broadly about proactive speaking up about ways to improve the organization (p. 698).

Taken together, these three studies all pointing to the importance of leaders working to espouse and enact procedural fairness from three different contexts – national survey, financial services firm, and state agency – suggest that the findings transcend particularity. As such, procedural fairness may be relevant for ethical leaders operating within a college context.

Finding 3. Under the broad theme of ethics institutionalization, the research results also indicated specific change management mechanisms that influence employee ethical decisions.

Vitell and Singhapakdi (2008) defined ethics institutionalization as “structural and procedural changes such as creating new ethics positions… and…increased…formalization of ethics in the form of corporate codes of ethics and ethics newsletters” (p. 343). Their study relied on a survey of 306 individuals - 101 American Marketing Association members and 205 marketing professionals from a national sample. They found support for both implicit and explicit ethics institutionalization improving job satisfaction, organizational commitment, and esprit de corps, but note that implicit institutionalization – in which they include ethical leadership – had a stronger impact (p. 350). In a survey of 489 members of the National Association of Purchasing

Managers, Andrews, Baker, and Hunt (2011) demonstrated that corporate ethical values increase person-organization fit, which in turn increases job satisfaction and organizational commitment

(p. 13). Together, these two studies in different contexts suggest the importance of ethics FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 102 institutionalization to any organization. The specific change management mechanisms of ethics institutionalization follow.

Consolidating the individual change management mechanisms under the theme of ethics institutionalization, Table 3.8 includes two studies about the importance of ethics institutionalization generally improving the ethical work climate by bringing about positive changes in ethical employee behavior and decisions (Vitell & Singhapakdi, 2008; Andrews,

Baker, & Hunt, 2011), as well as 11 studies listing specific mechanisms that accomplish this larger goal. These include:

 ethics training (Warren, Gaspar, & Laufer, 2014);

 ethics codes (Gorsira et al., 2018; O'Connell & Bligh, 2009);

 accountability (Schwepker, 2017);

 mastery goals – relational rather than performance-driven (Van Yperen, Hamstra, & van

der Klauw, 2011);

 corporate social responsibility (Valentine & Fleischman, 2008);

 interactional justice – perceived procedural fairness (Liu & Ding, 2012);

 personnel and cultural controls – informal behavioral mechanisms: “personnel controls

aim at establishing appropriate employee selection, training, and development approaches

to increase the probability of desired conduct, cultural controls focus on various ways to

convey organizational core values” (Goebel & Weißenberger, 2017, p. 509);

 perceived organizational support – perceived sense of organizational concern for

employee welfare (Liu & Ding, 2012; Schminke et al., 2014; Thaler & Helmig, 2016); FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 103

 social norms – perceived behavioral standards or expectations of others (Hollingworth &

Valentine, 2015; Gorsira et al., 2018); and

 quality-related human resources practices – defined as “positive selection, extensive

training, team-based decision making, and appropriate rewards, factors that play a role in

the development of a fair and just work environment and provide the building blocks of

ethical context” (Valentine, Hollingworth, & Francis, 2013, p. 496).

With the goal of focusing on U.S.-based contexts, however, four of these studies (Goebel

& Weißenberger, 2017; Gorsira et al., 2018; Liu & Ding, 2012; Thaler & Helmig, 2016) should not be given the same weight when determining findings. In this case, utilizing them as additional support for the results of other studies makes sense, but not as stand-alone results to be included as mechanisms. This reduces the change management mechanism list as follows:

 ethics training (Warren, et al., 2014);

 ethics codes (O'Connell & Bligh, 2009; Gorsira et al., 2018);

 accountability (Schwepker, 2017);

 mastery goals (Van Yperen et al., 2011);

 corporate social responsibility (Valentine & Fleischman, 2008);

 perceived organizational support (Schminke et al., 2014; Liu & Ding, 2012; Thaler &

Helmig, 2016);

 social norms (Hollingworth & Valentine, 2015; Gorsira et al., 2018); and

 quality-related human resources practices (Valentine et al., 2013).

Ethics training. Warren, Gaspar, and Laufer (2014) conducted a longitudinal study of employees at a multinational bank headquartered in the U.S. through surveys before, nine FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 104 months after, and 2.5 years after implementing a formal ethics training program. Through this method, they found that positive impacts of ethics trainings can be detected over two years after implementation (p. 108). Specifically, they found reduced unethical behavior and an increase in willingness to report unethical behavior and perceptions of organizational efficacy in dealing with ethics violations (p. 102), improved agreement on what constitutes appropriate behavior (p.

103), and improved perceptions of the firm’s values to coworkers and senior managers (p. 103).

While the context of the study is not directly transferable to that of a college setting, the positive results and depth of analysis over multiple years suggest that this mechanism has merit for college leaders to consider.

Ethics codes. O’Connell and Bligh (2009), discussed previously, presented a case study of an ethical scandal and recovery in the City and County of Denver, Colorado. The authors noted positive responses to the passing of a new ethics code with strong content that was seen to reduce unethical behavior (p. 225). They further observed that the active promotion of the code in the broader community bolstered a sense of the ethical work climate within the organization both internally and externally that in turn helped set a tone for employee behavior (pp. 231-232).

Given the public spotlight on ethical questions at colleges, this lesson from the public sector seems particularly apt for college leaders. Gorsira et al. (2018) surveyed 234 public ofﬁcials and

289 business employees in the Netherlands and found that perceived ethical climate reduces corruption (p. 9). They suggested employers have employees sign an ethics code prior to engaging in activities in which there is a greater likelihood of corruption (p. 15). They paid particular attention to the perceived benefits and costs of corruption. In this way, the study FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 105 connects to the public ethics emphasis suggested by O’Connell and Bligh in that by making an organization’s ethics code public, the personal cost of violating that code may increase.

Accountability. Schwepker (2017) completed a survey of 408 business-to-business salespeople from service, manufacturing, wholesaling, government, and nonprofit sectors.

According to their results, when employees perceived that those who violated ethical standards were reprimanded there was a reduction in the likelihood of future ethical violations (p. 81).

Further, related to the importance of ethics codes, Schwepker explicitly tied the presence of an ethical climate to the existence of a formal ethical code. Accountability then flows from the enforcement of this code (p. 81). While Schwepker did not specifically study the college context, the breadth of the sectors from which the author drew does suggest some generalizability. Business-to-business sales may be a distinct subset of any organization, but sales is certainly part of the college context in a variety of settings.

Mastery goals. Van Yperen, Hamstra, and van der Klauw (2011) explained that “mastery goals are goals grounded in an intrapersonal standard; performance goals are goals grounded in an interpersonal standard” (p. S6). In other words, mastery has to do with personal expectations as opposed to the comparative expectations of performance. To measure how these differing approaches impacted cheating, the authors completed two surveys of undergraduates. Across both studies, and inclusive of multiple settings (work, sport, and education), they found that those motivated by performance were more likely to cheat (pp. S11-S12). The authors suggested that leaders who adopt an approach based on “learning, development, and cooperation” (p. S13) rather than one based on rewards for meeting competitive goals, for instance, can improve ethical employee behavior and decisions. This has bearing in a college setting on how promotions are FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 106 awarded in both administrative and teaching roles and how goals are set and enforced in departments from admissions to sports.

Corporate social responsibility. Valentine and Fleischman (2008) defined corporate social responsibility (CSR) as “a bundle of ideals and actions utilized by companies to facilitate advantageous relationships with stakeholders, improve societal welfare, and augment competitive advantage” (p. 657). They surveyed 313 accounting, human resources, and sales and marketing leaders to determine that increased positive ethical attitudes and decreased ethical cynicism were associated with CSR (p. 661). “The ﬁndings underscore the need for professional codes that institutionalize business ethics and CSR” (p. 662), thus linking Valentine and

Fleishman’s work back to the discussion of ethics codes and ethics institutionalization more broadly. As with other studies, however, theirs was not focused on a college setting. Even the language of “corporate” social responsibility may seem foreign to college contexts. The concept of social responsibility and the ethical obligations flowing from that responsibility, however, should not.

Organizational support. Schminke et al. (2014) conducted a survey of 118 undergrad students from a large Southeastern U.S. university, analyzing perceived organizational support

(POS) by asking questions about employees’ sense of the organization’s care for their well- being, goals, and values (p. 211). The authors were specifically examining the way in which employees responded to organizational ethical recovery following an ethical failure. In this case, they found that POS was positively related to an employee’s satisfaction with an organization’s ethical recovery efforts (p. 213). An important point that the authors made is that employee perception of organizational ethicality may improve after an ethical failure if the recovery process is handled exceptionally well – something they described as the “ethical recovery FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 107 paradox” (p. 215). Their recommendation was not to seek out such a cycle, but to prepare for its eventuality in advance – which is itself a form of organizational support of employee well-being

(p. 217). Given the continued emergence of ethical crises in the college context, such advice seems valid for this context as well.

Liu & Ding (2012) provided additional support for this concept with their survey of 460 full-time employees from different industries in Taiwan – primarily production, service, and public sector. They found that high POS and interactional justice (linking back to accountability) were associated with reduced workplace deviance (p. 2725). Thaler and Helmig

(2016) ran a scenario-based experiment of 240 employees in German public administrations and found that POS improved under ethical leadership (p. 1379).

Social norms. Hollingworth and Valentine (2015) conducted a survey of 187 employees at branches of a single regional bank operating in the upper Midwest and Southwest. They found that social desirability was correlated with employee ethical judgment and perception of ethical work context (p. 461). Gorsira et al. (2018), discussed previously, support this result with their finding that employee behavior and decisions are shaped by perceptions of peer expectations and the desire to conform (p. 10). They recommended that leaders focus as much on establishing and maintaining these ethical work climate norms as on punitive measures (p. 15). In this way, these studies support the general thrust toward college leader attention to the ethical work culture/climate relationship from two very different contexts.

Quality-related human resources practices. Valentine et al. (2013) surveyed 187 professionals working for a medium-sized, for-proﬁt, U.S. ﬁnancial services company. Their results indicated that quality-related human resources (HR) practices were positively related to organizational ethics, and through organizational ethics served to increase positive work attitudes FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 108

(p. 512). The authors strongly advocated ethics training as a primary means of implementing ongoing quality HR practices, thus linking this study back to Warren et al. (2014). They also flip the concern about public ethics of O’Connell and Bligh (2009) inward, to suggest that quality related HR practices are a way to ensure that employees sense an alignment with internal treatment and public relations regarding ethical practice (pp. 517-518). In this way, the specific context of financial services may be transcended and seen as applicable to a range of environments, including colleges.

The combination of ethical leadership working in tandem with change management strategies directed toward ethics institutionalization is the means by which practitioners can establish an ethical work culture. As an active component of the larger conceptual framework in

Figure 9, this relationship is depicted in Figure 14.

Establishing an ethical work culture - or ethics institutionalization - via

Change Ethical management leadership

Figure 14. Establishing an ethical work culture. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 109

Together, these findings provide a means to answer the RQ, which is to say that institutionalization of ethics in the culture of an organization is the primary change management strategy by which college leaders can cultivate an ethical work climate that supports ethical employee behavior and decisions. Practitioners must evaluate the context in which they operate to determine which of these specific change management strategies may be most lacking currently and which may be most critical to overall ethical climate improvement in their location and with their employee population.

Table 4. 2 Linking Findings to the Research Question

Finding 1: Leaders can effect ethical work Subquestion 1: Have college leaders effected climate change. ethical work climate change Finding 2: Leaders model ethical behavior and decisions by adopting specific approaches and practices including a deontological ethics, transformational leadership, supportive supervision, and procedural fairness.

Finding 3: The research literature identifies Subquestion 2: What mechanisms influence specific change management mechanisms that employee ethical decisions and behavior improve employee ethical decisions and within the college ethical work climate? behavior. These include: ethics training, ethics codes, accountability, mastery goals, corporate social responsibility, organizational support, social norms, and quality-related human resources practices.

Findings 1-3: The change management Research Question: What change strategy of ethics institutionalization improves management strategies can college leaders the ethical work climate by bringing about implement to cultivate an ethical positive changes in ethical employee behavior work climate that supports ethical employee and decisions. behavior and decisions?

One important caveat to these conclusions is the Thaler and Helmig (2016) study in which their research showed neither ethical codes nor ethical leadership have any significant FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 110 impact on employee attitudes or behavior intentions. Part of the value of a systematic review of evidence is to neither dismiss the findings of individual studies, nor grant them unmerited significance relative to the analysis in its entirety. In this case, then, it is important to acknowledge an outlier study from another country (Germany) in the research and encourage further research to test their conclusions. It is equally important to acknowledge the numerous studies which verify connections between various aspects of ethics institutionalization and ethical leadership as inputs, and those of ethical attitudes and behavior as outputs.

A serious limitation of these findings relates to the paucity of research specific to ethical lapses in colleges. To address this, the author drew upon research from a range of contexts in both the private and public sector. To the extent that conclusions drawn from these differing environments can be generalizable to the unique context of a college campus, they are applicable. It is certainly possible, however, that lessons learned in financial, government, or manufacturing environments simply do not translate into another setting. Again, a systematic review utilizing a realist synthesis approach does not set out to present universal findings for implementation. Rather, the process brings to light those practices the evidence suggests are most likely to bring about positive outcomes to inform the practitioner, who must then still take on the active roles of interpretation and contextualization.

A key interpretive step for college leaders is to relate these findings back through the ethical lapse typology – when lapses do occur, in response to historic lapses, or in anticipation based on the sensed possibility of a lapse at a particular level – including individual, departmental, organizational, or sports. This act takes the practitioner back up through the conceptual framework depicted in Figure 9. Another limitation of this data set is that the studies simply do not engage with this typology. Instead – while not always explicitly stated – most FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 111 seek to explore the connections between ethical work cultures and individual responses to those cultures in a general manner.

Moving forward through that conceptual framework, it is important to note the need for ongoing analysis at the college as part of the work of implementation. Because the practitioner cannot directly impact either ethical work climate – the perceptions of employees regarding their ethical expectations – or the ethical behavior and decisions of employees, the practitioner must engage in regular review of the ethical work culture levers – including ethical leadership modeling – that the practitioner can adjust.

Conceptual Model and Narrative

The evidence from the systematic review leads to a slightly modified version of the

Figure 9 conceptual framework. This final model is included as Figure 15. In this revised version the ethical typology is removed because while it may be helpful to consider the exact nature of a specific ethical lapse, the reality is that this is a more targeted task than the existing research can provide evidence-based interventions for. Pursuing an ethical work climate is also likely to yield positive organizational outcomes irrespective of such specific incidents. The research surrounding ethical recovery is a distinct set of literature and beyond the scope of this dissertation. Instead of being directed primarily at practitioners in the wake of ethical lapses in their own organization, then, this dissertation is primarily directed toward practitioners in the wake of ethical crises either at other specific colleges or within higher education generally so as to reduce the likelihood and impact of any ethical lapse before it arises in their own. In addition, the relational nature of ethical leadership and change management as depicted in Figure 14 is incorporated into the larger conceptual framework of Figure 15. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 112

Figure 15. Final conceptual framework for an ethical work climate supportive of ethical employee behavior and decisions in U.S. colleges. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 113

Alternative Perspectives

As indicated in the previous section, one alternative perspective is simply that ethical leadership and ethical codes do not impact ethical employee attitudes or behavioral intent (Thaler

& Helmig, 2016). The weight of the evidence, however, suggests otherwise. Interestingly,

SMEs Sosik and Valentine emphasized the importance of ethical leadership as an area of study relevant to the RQ. Valentine also raised the question of whether a qualitative review can provide as much value as a quantitative study. SME Dent suggested that the value of the dissertation is muted to the extent that it relies on non-college context studies. As SME

McNamara notes, however, there is value to practitioners in having access to a systematic review of the literature, and the limited nature of empirical studies in college settings means that some contextualization will be necessary. If that results in less robust findings than would be the case in an ideal research environment, it nonetheless reflects the reality of the current state of the research literature – perhaps a valuable finding in itself.

McNamara questions the focus on the implications of ethical lapses and an ethical work climate on enrollment and fundraising. Instead, he suggests that moral authority is a necessity for schools to live into their educational missions, maintain their position in society, and challenge ethical lapses internally when they occur. This perspective – the intrinsic value of ethics – is certainly worthwhile to consider. The framing of the dissertation in terms of financial losses was selected in part because of the financial pressures facing colleges and to highlight the practical need to consider ethical work climate. Whether this perspective is more or less likely to resonate with college leaders than a call to higher standards is perhaps an interesting research question of its own. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 114

Another perspective raised by SME Tibbals is that in many cases employees are not engaged in a process of moral reasoning such that moral disengagement can formally enter a process of decision making. Rather, individuals act most often out of habit or instinct to a given stimulus. If this is the case, working to build ethical reasoning capacity may be less than fruitful.

A greater emphasis on social norms and social desirability arose out of the systematic review that was not present at the time of the SME review, and this may in part address this concern.

Tibbals also raises the question of whether there is too great a focus on empathy as an ethical motivator rather than fairness. In answer to this, perceptions of procedural fairness and interactional justice emerged out of the research as important factors leading to an ethical work climate. These had not been raised at the time of the SME review.

Chapter Summary

The purpose of this chapter was to provide an overview of the findings in this dissertation from the systematic review of literature relevant to the RQ: What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions? The chapter began with a discussion of results from the evidence, then shifted to findings and discussion based on synthesis and analysis.

These findings concluded that leaders can effect ethical work climate change; that leaders model ethical behavior and decisions by adopting specific approaches and practices including deontological ethics, transformational leadership, supportive supervision, and procedural fairness; that the research literature identifies specific change management mechanisms that improve employee ethical decisions and behavior including ethics training, ethics codes, accountability, mastery goals, corporate social responsibility, organizational support, social norms, and quality-related human resources practices; and that the change management strategy FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 115 of ethics institutionalization improves the ethical work climate by bringing about positive changes in ethical employee behavior and decisions.

A revised conceptual model and narrative was offered, followed by possible alternative perspectives. The next chapter presents the author’s conclusions from this analysis along with implications for management, limitations, and suggested future research opportunities.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 116

Chapter 5: Conclusions

Introduction to the Chapter

The purpose of this chapter is to provide an overview of the author’s conclusions from the systematic review of literature relevant to the RQ: What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions? The chapter begins with a discussion of overall conclusions and then moves to implications and recommendations for management. Limitations of the dissertation and areas for future research follow.

Overall Conclusions

The effective management and cultivation of a college ethical work climate conducive to ethical behavior and decisions among employees is a critical task for college leaders as scandals can damage an institutions’ reputation and undermine its ability to fulfill its mission, which in turn can lead to recruitment and fundraising challenges. And yet, news headlines continue to cover one scandal after another at the college level. Current and future college leaders must become agents of change to prevent similar scandals in their own schools. This change in leadership involves effectively responding to heightened awareness of and public demands for accountability regarding past and ongoing ethical lapses as well as fostering an organizational culture that reduces the likelihood of ethical violations, lessens the impact of those violations which do occur, and thereby rebuilds institutional trust and improves organizational resiliency.

The purpose of this dissertation is to identify change management strategies senior academic administrators at U.S. colleges can implement to cultivate an ethical work climate supportive of ethical employee behavior and decisions. To accomplish this, the author undertook a systematic review of the research literature relevant to the research question. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 117

This approach emerges out of the evidence-based management tradition and employs a realist synthesis methodology that recognizes the context of both the research utilized and the practitioners that seek to implement any recommendations in their unique institutions.

To this end, this dissertation takes an important step in bridging the scholar-practitioner divide. The temptation for researchers may always be to gather additional data and perform additional tests and experiments before reaching conclusions. For practitioners, the temptation is to act on instinct rather than research. A critical test of the practical value of evidence-based management to practitioners is its ability to provide meaningful guidance through quality research in a timely fashion for implementation. To be of consistent and demonstrable value this must be true even – and perhaps especially – in situations where there is a limited timeframe and limited scholarly literature.

College leaders need answers that go beyond anecdotal and theoretical discussions of ethical and leadership ideals. At the same time, a sufficient body of research literature specific to the college context simply does not yet exist to provide these answers. By conducting a limited database search and targeting the question of how other sectors have successfully addressed this challenge, however, this dissertation meets the test required of evidence-based management by utilizing a realist synthesis approach to offer practitioners a model of how to ground decision making regarding the cultivation of an ethical work climate in evidence. Further, this methodology can also be applied to any other potential issue they may face that is not already heavily researched and documented. This skill set of being able to gather and synthesize the available research literature to guide effective decision making can and should be accessible to anyone at the senior level of organizational management.

The conclusions of this dissertation are that FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 118

 leaders can effect ethical work climate change;

 leaders model ethical behavior and decisions by adopting specific approaches and

practices, including

o deontological ethics,

o transformational leadership,

o supportive supervision, and

o procedural fairness;

 the research literature identifies specific change management mechanisms that improve

employee ethical decisions and behavior, including

o ethics training,

o ethics codes,

o accountability,

o mastery goals,

o corporate social responsibility,

o organizational support,

o social norms, and

o quality-related human resources practices; and

 the overall change management strategy of ethics institutionalization improves the ethical

work climate by bringing about positive changes in ethical employee behavior and

decisions.

Implications for Management

College leaders seeking to implement ethics institutionalization as a change management strategy to cultivate an ethical work climate that supports ethical employee behavior and FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 119 decisions must consider the contexts in which they operate. This means first taking stock of the unique characteristics of their schools – size, location, type, population served, resources available, etc. This should involve an assessment of the ethical work culture and climate of the school. Such an assessment should include determining what mechanisms are already in place – ethical codes, formal ethics trainings, etc. – and gauging employee perceptions of the organization’s ethical alignment and the ethics of its leaders. The specific nature of ethics institutionalization for any one school will then flow from this analysis. A prototype ethics institutionalization assessment tool based upon the findings of this systematic review is included as Appendix E.

Recommendations for Management

College leaders that complete the ethics institutionalization assessment have a practical roadmap for how best to intervene in the ethical work culture of their campus. To restate the conclusion, an ethical work climate and ethical employee behavior and decisions flow from an ethical work culture, which is itself a product of ethics institutionalization – an institution-wide change management strategy that requires both ethical leadership and organizational change management mechanisms.

A good example of this comprehensive and integrative approach ties back to the job description analysis included as part of the scoping literature review conducted in Chapter 2. As this job description analysis suggested, few colleges placed a high enough value on ethics in leadership to highlight ethical expectations in their senior leadership job postings. College leaders should ensure that future postings remedy this oversight and that candidates are screened based in part on ethical leadership qualities – particularly those evidence-based qualities included in this conclusion. Further, it may be worthwhile to conduct an audit of existing job descriptions FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 120 and modify their contents accordingly. Doing so would send a clear signal to employees that leadership values ethical behavior and decisions, which begins to address the ethical work climate. To confirm this commitment, college leaders must then be willing to act upon ethical violations that do occur – holding violators accountable for their actions.

To enact such accountability with procedural fairness, though, requires that all employees have a clear sense of ethical expectations in operation within the institution. This is where establishing an ethical code and subsequent formal ethical trainings flowing from this code should follow. The handling of these codes, trainings, descriptions, and screenings can fall under the umbrella of quality-related human resources practices, but ethics institutionalization cannot be the sole responsibility of the HR department. Indeed, that would be ethics compartmentalization.

To combat such compartmentalization, college leaders must take ownership of the ethical work culture and climate of their schools, and model such behavior and decision making themselves. In addition, colleges can model this behavior and decision making at the organizational level in part through institutionalization efforts described above, but also to the broader community through corporate social responsibility policies and actions such as appropriate stewardship of resources and stakeholder engagement in major projects. Such an approach coupled with internal ethics institutionalization can help leaders not only prevent the kind of mission-devastating scandals that other schools have dealt with, but perhaps even more importantly, to help their schools fulfill the ethical exemplar role that colleges can and should hold within society. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 121

Limitations

As discussed in the previous chapter, a significant limitation of these findings relates to the paucity of research specific to ethical lapses in college contexts. SME Valentine questioned the value of a systematic review of the existing literature versus an experimental study, and SME

Dent raised concerns about relying on other sectors to draw conclusions about college contexts.

Both are valid concerns, to an extent. College leaders require evidence-based guidance now, regardless of the current state of the literature.

The realist synthesis methodology employed as part of the systematic review allowed the author to draw upon a range of contexts in developing relevant findings, and following from this, to encourage practitioners to take their own contexts into account when seeking possible change management strategies. It is important to note that this dissertation reveals a gap in the literature that should be addressed. While a systematic review of research literature specific to the college context would be ideal, though, there is still significant value in using quality research that is available to offer helpful guidance to decision making.

Even if such a body of literature were to exist, however, a subsequent level of missing detail is the distinction between various college contexts. The clarification of what is intended by the term college in this dissertation – four-year colleges and universities in the United States – does not fully account for differences between region, size, demographics, for-profit or not-for- profit, or liberal arts versus other approaches, even among this grouping.

Implications for Scholars and Future Research

Future research opportunities flow from the limitations of this dissertation. While ethical crises have gained more attention in college settings in recent years, research specific to this context is incredibly limited. The emerging trend of considering ethical work culture and FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 122 climate in colleges suggested by Kelley and Chang’s (2007) typology of ethical lapses in university settings should lead researchers to test how and how well lessons learned from other sectors apply in the college context. A step toward that project is taken with this systematic review.

Specific to the recommendations of this dissertation, the overall change management strategy of ethics institutionalization – including ethical leadership informed by deontological ethics, transformational leadership, supportive supervision, and procedural fairness, coupled with the change management mechanisms of ethics training, ethics codes, accountability, mastery goals, corporate social responsibility, organizational support, social norms, and quality-related human resources practices – could be assessed for improvements in ethical work culture and ethical work climate in various college settings. Related to this, the interaction between ethical work culture and ethical work climate in colleges merits additional research and clarification.

Researchers could also work to address the differing contextual realities of college settings mentioned in the limitations. Just as Kelley and Chang’s (2007) typology of ethical lapses in university settings distinguishes between individual, departmental, organizational, and sports-related lapses, it may be that a similar typology could be developed for different educational models at the college level. Further, one of the conclusions of this dissertation is that there simply is not sufficient evidence specific to college contexts to effectively utilize Kelley and Chang’s typology. Building this evidence base will make their typology a much more promising tool for responding to college ethical lapses.

The implications for management connect to a future research agenda for scholars. This project of contextual application of ethics institutionalization in colleges can form the basis for the needed follow-up work of determining what works where, and how, that can then more FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 123 precisely guide practitioners. The prototype ethics institutionalization assessment tool should be part of this ongoing research project. Do the questions included in the tool help college leaders accurately assess the ethical work culture and climate of their colleges? What if any questions should be added or removed from the tool?

This future research agenda presents an opportunity for scholars to actively partner with practitioners who may feel the need to implement an ethics institutionalization change management strategy now in response to ethical crises in other schools but need to do so relying on lessons from other sectors. Working together, scholars and practitioners can begin to build a database of contextual interventions and results that can both guide future research and offer more precise data and recommendations for college leaders.

Chapter Summary

The purpose of this chapter was to provide an overview of the author’s conclusions from the systematic review of literature relevant to the RQ: What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions? The chapter began with a discussion of overall conclusions and then moved to implications and recommendations for management. Limitations of the dissertation and areas for future research followed.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 124

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Appendix A

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Appendix B

Weight of Evidence Analysis Table (Articles with * included in discussion section)

# WoE B: Rigor or soundness WoE C: WoE A: Relevance of Appropriateness Study Score to the review methodology of study design and for review publication 1 Low- Medium: Not a Medium: research Discusses ethical Low: Literature study. failings and review, no Low- Amlie (2010) Published in ethical education empirical Medium a peer- in a variety of testing. reviewed contexts journal. No citations on Scopus. 2 High: Clear High: Empirical methods and Medium-High: analysis of results in a Examination correlation peer- perceived ethical between *Andrews, reviewed High- values and employee M., Baker, & journal. Medium / employee perception of Hunt (2011) Ranked in High response in U.S., corporate ethical 86th although not in a values and percentile college context person- for citations organization fit on Scopus. 3 Medium- Low: Not a Medium: research Discusses ethical study. cultures in Published in Low: Literature business and the peer- Ardichvili & review, no Medium- role of human reviewed Jondle (2009) empirical Low resources journal. testing. departments in Ranked in cultivating such 75th cultures percentile for citations on Scopus. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 195

4 High: Clear methods and High: Survey of results in U.S. library peer- Medium-High: *Barsh & managers – reviewed High- Analysis of Lisewski including in journal. Medium survey (2008) academic settings Ranked in / High responses – regarding ethical 50th climate percentile for citations on Scopus. 5 Medium-low: Not a Medium-low: A research theoretical study. discussion of how Published in the capabilities peer- Low: Medium- Bertland approach to ethics reviewed Theoretical Low / (2009) could potentially journal. discussion Low be more helpful Ranked in for fostering 93rd ethical behavior in percentile for a business setting citations on Scopus. 6 Birky & Medium-low: Medium-low: Low: Medium- Collins (2011) Theoretical Not a research Theoretical Low / discussion of how study. In peer- discussion Low to cultivate ethical reviewed behavior among journal. employees Ranked in guidelines for 55th college counseling percentile for center employees citations on regarding social Scopus. media use 7 High-Medium: Medium: Empirical study of Clear how daily ethical methods and or abusive High: Survey of results in a leadership employees and *Bormann peer- High- behavior impacts empirical (2017) reviewed Medium employee analysis of journal. behavior. Not results Listed in directly linked to Scopus but colleges, unclear no citations. exactly what is FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 196

composition or location of population studied. 8 Low- Medium: Not Medium-low: a research Brickley Theoretical study. Smith, discussion of Low: Published in Low- Zimmerman, organizational Theoretical a peer- Medium & Willett architecture to discussion reviewed (2009) impact employee journal. Not ethical behavior listed in Scopus. 9 Low- Medium: Not Medium-Low: a research Discussion of study. Low: Literature Bruns, ways to encourage Published in review, no Low- Jackson, & ethical a peer- empirical Medium Zhang (2012) whistleblowing in reviewed testing. U.S. business journal. Not context listed in Scopus. 10 Low- Medium: Not a research study. Medium-Low: Published in Low: Discussion of Bryan & a peer- Theoretical ways to encourage Low- Babelay reviewed discussion, no ethical behavior Medium (2009) journal. empirical among U.S. Ranked in testing. medical students 65th percentile for citations on Scopus. 11 Low-Medium: Medium-Low: Not a research Low: Discussion of the study. Theoretical Buckeridge & reasons behind Published in a Low- discussion, no Watts (2013) plagiarism and peer-reviewed Medium empirical possible ways to journal. Listed testing. discourage it in Scopus but no citations. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 197

12 Low-Medium: Medium-Low: Not a research Discussion of study. servant leadership Published in a Low: Burton & as a possible peer-reviewed Theoretical Welty Low- approach to journal. discussion, no Peachey Medium mitigate ethical Ranked in empirical (2013) failings in 82nd testing. intercollegiate percentile for athletics citations on Scopus. 13 Low-Medium: Not a research Medium-Low: study. Discussion of how Low: Caldwell, Published in a human resource Theoretical Truong, Linh, peer-reviewed Low- professionals can discussion, no & Tuan journal. Medium impact the ethical empirical (2011) Ranked in work climate of testing. 96th percentile organizations for citations on Scopus. 14 Medium-High: Empirical study of ethical leadership Medium: and ethical Clear methods climate on High: Survey of and results. *Çemberci, employee employees and Unclear peer Medium- Emre, & organizational empirical review High Günel (2016) commitment. analysis of process. Not Includes results listed in education but also Scopus. other sectors. Research in Turkey, not U.S. 15 Chen, Nichol, Medium-Low: Medium- Lab experiment & Zhou Medium: High: Clear with undergrad (2017) Empirical study of methods and students. how financial results. SSRN Unclear how incentives affect article, later directly internal Medium published in a relevant or whistleblowing. peer-reviewed translatable to Subjects were journal. Listed college U.S. undergrad in Scopus but employees such students. no citations. a design might be. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 198

16 Colley, Low: Not a research Morehead, & Low: College study. Low: Personal Perkins professors sharing Published in a anecdotes, not (2015) about the ethics Low peer-reviewed empirical courses they offer journal. Not testing. at their schools listed in Scopus. 17 Low-Medium: Not a research Medium-Low: study. Low: Discussion of the Published in a Theoretical intersection of peer-reviewed Low- Collins (2010) discussion, no spirituality and journal. Medium empirical ethics in the Ranked in testing. workplace 93rd percentile for citations on Scopus. 18 Low: Not a Low: Authors research Low: sharing about the study. Theoretical DePree & need for faculty Published in a discussion, no Low Jude (2010) and deans to peer-reviewed empirical demonstrate journal. Not testing. ethical behavior listed in Scopus. 20 Medium-High: Empirical study of Medium- ethical leadership High: Clear and peer behavior methods and High: Survey of influence on results. employees and High- *Ferreira employee job Published in a empirical Medium / (2017) embeddedness. peer-reviewed analysis of High Includes journal. Listed results education but also in Scopus but other sectors. no citations. Research in Portugal, not U.S. 21 Medium-High: Medium- Medium: Lab *Fleischman, Empirical study of High: Clear experiment to Johnson, how managers methods and test responses Medium- Walker, & view unethical results. to various High / Valentine behavior that Published in a ethical Medium (2017) benefits an peer-reviewed scenarios in a organization. journal. Listed business setting FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 199

Participants were in Scopus but mid-career no citations. business professionals enrolled in MBA programs at U.S. universities. 22 Low: Case study Low: Not a of how one research college used Low: Review study. software of process, but Frey & Cruz- Published in a development not results or Low Cruz (2013) peer-reviewed principles to impact on journal. Listed develop a behavior in Scopus but statement of no citations. values 23 Gao, Siegel, Medium: Survey Low: Johar, & Sirgy of majority U.S.- Medium- Discussion of (2008) based college High: Clear what educations management methodology perceive as educators and results in unethical regarding a peer- behavior, but unethical reviewed Medium no attempt to behaviors as a journal. finalize an precursor to Ranked in ethical code or developing an 80th percentile test its efficacy ethical code. No for citations for improving testing of on Scopus. behavior effectiveness. 24 *Gerpott, Van Medium-High: Quaquebeke, Examination of High- Schlamp, & leader group Medium: Voelpel prototypicality on Clear High: Survey of (2017) the effectiveness methodology employees and of ethical and results in High- empirical leadership on a peer- Medium analysis of ethical employee reviewed results behavior. Not journal. One solely U.S.-based citation in and not college- Scopus. focused. 25 Gibson (2011) Medium-Low: Low-Medium: Low: Tangentially Not a research Low- Theoretical related. The study. Medium discussion, no author discusses Published in a FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 200

the emerging legal peer-reviewed empirical treatment of journal. testing. corporations in the Ranked in U.S. and U.K. 60th percentile regarding whether for citations they can function on Scopus. as moral agents, and the relationship between employee and organizational ethics. Not focused on college settings. 26 *Gils, Hogg, Medium-High: Quaquebeke, Examination of High: Clear & the joint impact of methodology Knippenberg employee and results in High: Survey of (2017) organization a peer- employees and High- identification and reviewed empirical Medium / ethical climate on journal. analysis of High employee ethical Ranked in 91st results behavior. Not percentile for solely U.S.-based citations on and not college- Scopus. focused. 27 *Goebel & Medium-High: Weißenberger Examination of High- (2017) the relationship Medium: between informal Clear High: Survey of controls, ethical methodology employees and work climates, and results in High- empirical and organizational a peer- Medium analysis of performance. reviewed results German journal. Listed participants only, in Scopus but and not college- no citations. focused. 28 *Gorsira, Medium-High: High- Steg, Denkers, Examination of Medium: High: Survey of & Huisman the relationship Clear employees and (2018) between perceived methodology High- empirical ethical work and results in Medium analysis of climate and a peer- results corrupt behavior. reviewed Dutch participants journal. Not FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 201

only, and not listed in college-focused. Scopus. 29 *Groves & Medium-High: LaRocca Examination of (2011) the relationship High: Clear between methodology leadership ethical and results in values and style High: Survey of a peer- and how these employees and High- reviewed impact employee empirical Medium / journal. perceptions of analysis of High Ranked in corporate social results 99th percentile responsibility. for citations U.S. participants on Scopus. including in education, but not college-focused. 30 *Hassan Medium-High: (2015) Examination of High: Clear the relationship methodology between employee and results in perceptions of High: Survey of a peer- ethical leadership employees and High- reviewed and personal empirical Medium / journal. control, and how analysis of High Ranked in these impact results 80th percentile positive voice. for citations U.S. participants on Scopus. in a government agency. 31 *Hassan, Medium-High: Wright, & Examination of Yukl (2014) the relationship High: Clear between employee methodology perceptions of and results in ethical leadership High: Survey of a peer- and employees and High- reviewed “organizational empirical Medium / journal. commitment, analysis of High Ranked in absenteeism, and results 95th percentile willingness to for citations report ethical on Scopus. problems” (p. 333). U.S. participants in a FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 202

government agency. 32 Hess & Low: The authors Low-Medium: Broughton argue that Not a research (2014) compliance efforts study. may be less Published in a effective at Low-Medium: Low- peer-reviewed cultivating ethical Not a research Medium / journal. employee study. Low Ranked in behavior than 70th percentile attending to work for citations culture through on Scopus. informal means. 33 *Hollingworth Medium-High: & Valentine Examination of High: Clear (2015) employee methodology perceptions of and results in organizational High: Survey of a peer- ethical context on employees and High- reviewed ethical issue empirical Medium / journal. recognition and analysis of High Ranked in ethical judgments. results 75th percentile Participants were for citations U.S. regional on Scopus. banking employees. 34 Hoogervorst, Medium: High: Clear Cremer, & Examination of methodology Medium: Dijke (2010) leader approval of and results in Survey of follower unethical a peer- undergrad behavior when it reviewed Medium- students and benefits the journal. High empirical leader. Ranked in analysis of Participants were 88th percentile results Dutch undergrad for citations students. on Scopus. 35 *Huhtala, Medium-High: High: Clear Tolvanen, Examination of methodology Mauno, & the relationship High: Survey of and results in Feldt (2015) between perceived employees and High- a peer- ethical empirical Medium / reviewed organizational analysis of High journal. culture, burnout, results Ranked in and engagement. 90th percentile Dutch participants FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 203

only, and not for citations college-focused. on Scopus. 36 *Jordan, Medium-High: Brown, Examination of High: Clear Treviño & the relationship methodology Finkelstein between leader and results in High: Survey of (2013) cognitive moral a peer- employees and High- development and reviewed empirical Medium / employee journal. analysis of High perception of Ranked in results ethical leadership. 97th percentile U.S. participants, for citations but not college- on Scopus. focused. 37 Kalshoven, Medium: Den Hartog, Tangentially High: Clear & De Hoogh related. methodology Low: Purpose (2011) Development and and results in is to test the testing of an a peer- validity of a ethical leadership reviewed questionnaire Medium at work journal. developed by questionnaire for Ranked in the authors, not validity. Dutch 99th percentile to test ethical participants only, for citations behavior and not college- on Scopus. focused. 38 *Kwak & Medium: An Shim (2017) examination of High- employee Medium: responses to Clear High: Survey of Machiavellian methodology employees and supervisors and results in High- empirical exerting ethical a peer- Medium analysis of leadership. South reviewed results Korean journal. Listed participants only, in Scopus but and not college- no citations. focused. 39 *Letwin, Wo, Medium-High: High- Folger, Rice, Examination of Medium: High: Survey of Taylor, supervisor and Clear employees and High- Richard, & employee methodology empirical Medium Taylor (2016) perceptions of and results in analysis of manager ethical a peer- results leadership and reviewed FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 204

impact on journal. One manager citation in evaluation and Scopus. promotability. U.S. participants, but not college- focused. 40 *Liu & Ding Medium: An High: Clear (2012) examination of methodology employee ethical and results in behavior and High: Survey of a peer- perceived employees and reviewed High- organizational empirical journal. Medium support and analysis of Ranked in justice. Taiwanese results 80th percentile participants only, for citations and not college- on Scopus. focused. 41 *Mackey, Medium: Brees, Tangentially McAllister, related. High- Zorn, Evaluation of Medium: Martinko, & entitlement and Clear Harvey (2016) felt accountability High: Survey of methodology on perceptions of employees and and results in High- abusive empirical a peer- Medium supervision and analysis of reviewed bullying. results journal. Listed Participants were in Scopus but working adults in no citations. U.S., but study is not college- focused. 42 *Mitchell, Medium-High: High- Vogel, & Evaluation of Medium: Folger (2015) employee third- Clear party responses to High: Survey of methodology abusive employees and and results in High- supervision. empirical a peer- Medium Participants were analysis of reviewed working adults in results journal. Listed U.S., but study is in Scopus but not college- no citations. focused. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 205

43 *O'Connell & Medium-High: High: Clear Bligh (2009) Authors review an methodology ethical scandal and results in Medium-High: and recovery of an a peer- Case study Medium- ethical work reviewed based on media High / climate in the City journal. coverage of a High and County of Ranked in public scandal Denver, Colorado. 50th percentile and recovery Not college- for citations focused. on Scopus. 44 Payne, Low: Not a Lundberg, & research Low: Authors Low: Zinogni study. discuss their Theoretical (2014) Published in a perception of the discussion, no Low peer-reviewed need for a code of empirical journal. Not ethics in academe testing. listed in Scopus. 45 *Rubin & Medium-High: Brody (2011) Evaluation of how High: Clear management methodology citizenship and results in High: Survey of behavior affects a peer- employees and High- employee reviewed empirical Medium / commitment, journal. analysis of High satisfaction, and Ranked in results mental health. 65th percentile U.S.-based, broad for citations representation, not on Scopus. college-focused. 46 Russell, High- Medium: Sparks, Medium: Low: Purpose Tangentially Campbell, Clear is to develop a related. Handy, methodology taxonomic Development of a Ramsberger, and results in structure for taxonomy for & Grand a peer- future research ethical workplace Medium (2017) reviewed on ethical performance. journal. performance in Graduate student Ranked in the workplace, participants, and 55th percentile not to test not college- for citations ethical behavior focused. on Scopus. 47 *Schminke, Medium-High: High: Clear High: Two High- Caldwell, Evaluation of methodology studies - one of Medium / Ambrose, & ethical recovery in and results in undergrad High FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 206

McMahon organizations and a peer- students and (2014) how employee reviewed another of perception of journal. employees - ethicality can Ranked in and empirical improve following 65th percentile analysis of a successful for citations results recovery. U.S.- on Scopus. based, but not college focused. 48 *Schwepker Medium-Low: (2017) Exploration of the influence of ethical values High: Clear person– methodology organization fit and results in High: Survey of and trust in a peer- employees and Medium- manager. U.S. reviewed empirical High / based, but not journal. analysis of High college focused. Ranked in results Specifically 70th percentile focused on for citations business-to- on Scopus. business salespeople and their manager. 49 *Schwepker Medium-Low: (2018) Exploration of whether High- psychological Medium: ethical climate Clear and leader– methodology High: Survey of member exchange and results in employees and Medium- affect salespeople a peer- empirical High / views of customer reviewed analysis of High value, reduce journal. Listed results unethical in Scopus but intentions and no citations – improve sales in press. performance. U.S. based, but not college focused. 50 *Sguera, Medium-High: High: Clear High: Survey of Bagozzi, Huy, Explores the methodology employees and High- Boss, & Boss relationship and results in empirical Medium / (2016) between perceived a peer- analysis of High supervisor support reviewed results FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 207

and employee journal. ethical behavior. Ranked in U.S. based, but 75th percentile not college for citations focused. on Scopus. 51 *Sharif & Medium-High: High: Clear Scandura Explores the methodology (2014) relationship and results in High: Survey of between ethical a peer- employees and leadership during High- reviewed supervisors and organizational Medium / journal. empirical change and High Ranked in analysis of employee 93rd percentile results behavior. U.S. for citations based, but not on Scopus. college focused. 52 Sloan & Medium: Not Low: Authors Gavin (2010) a research discuss their study. perception of the Low: Published in a needs for human Theoretical peer-reviewed Low- resource managers discussion, no journal. Medium to assist in the empirical Ranked in development of testing. 60th percentile ethical work for citations climates on Scopus. 53 Stein & Medium: High: Clear Low: Purpose Ahmad (2009) Tangentially methodology is to develop a related. and results in way to measure Development of a peer- moral intensity measure of harm reviewed to guide ethical Medium for evaluating journal. decision ethical decisions. Ranked in making, not to Review of legal 70th percentile test ethical cases, and not for citations behavior college-focused. on Scopus. 54 *Stewart, Medium: High: Clear Volpone, Tangentially methodology Avery, & related. High: Survey of and results in McKay Evaluation of the employees and High- a peer- (2011) impact of ethical empirical Medium / reviewed climate’s analysis of High journal. interaction with results Ranked in diversity 97th percentile perception on FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 208

employee for citations turnover intent. on Scopus. U.S.-based, but not college- focused. 55 Strader, Low: Tangentially Fichtner, related. Clayton, & Evaluation of how Medium: Simpson employees Clear (2011) perceive the methodology High: Survey of ethicality of non- and results in employees and work-relatedd a peer- empirical Medium computer use. reviewed analysis of U.S.-based journal. Listed results graduate student in Scopus but participants, but no citations. not college- focused. 56 *Thaler & Medium: Medium: Helmig A study of how Clear (2016) ethical codes and methodology High: Survey of ethical leadership and results in employees and Medium- impacts employee a peer- empirical High behavior. German reviewed analysis of employees only, journal. Listed results and not college- in Scopus but focused. no citations. 57 Thompson, Low: Not an Thach, & evaluation of how Medium: Morelli employees Clear (2010) respond to ethical methodology High: Survey of leadership, but and results in employees and rather a survey of a peer- empirical Medium leaders about their reviewed analysis of own practices and journal. Not results business culture. listed in U.S.-based, but Scopus. not college focused. 58 Treviño, den Low: Not an High: Clear High: Survey of Nieuwenboer, evaluation of how methodology employees and Kreiner, & employees and results in High- empirical Bishop (2014) respond to ethical a peer- Medium analysis of leadership, but reviewed results rather a survey of journal. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 209

Ethical Ranked in Compliance 88th percentile Officers about for citations their perceived on Scopus. internal legitimacy. U.S.- based, but not college focused. 59 Twenge & Low: Authors Low: Not a Campbell discuss their research (2008) perception of the Low: study. needs of Theoretical Published in a “Generation Me” discussion, no Low peer-reviewed employees, empirical journal. Listed including a desire testing. in Scopus but for ethical no citations. leadership 60 *Tyler, Medium-High: Dienhart, & Explores the High: Clear Thomas difference methodology (2008) between and results in command and High: Survey of a peer- control cultures employees and High- reviewed versus values and empirical Medium / journal. integrity cultures analysis of High Ranked in in impacting results 80th percentile employee for citations behavior. U.S. on Scopus. based, but not college focused. 61 *Valentine & Medium-High: Fleischman Explores the (2008) relationship High: Clear between methodology professional and results in ethical standards, High: Survey of a peer- corporate social employees and High- reviewed responsibility, and empirical Medium / journal. the perceived role analysis of High Ranked in of ethics and results 93rd percentile social for citations responsibility. on Scopus. U.S. based, but not college focused. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 210

62 Valentine, High: Clear Low: An Fleischman, methodology evaluation of the Sprague, & and results in ethics surrounding High: Survey of Godkin a peer- the very narrow employees and (2010) reviewed High- question of firing empirical journal. Medium employees who analysis of Ranked in blog. U.S.-based, results 75th percentile but not college for citations focused. on Scopus. 63 *Valentine & Medium-High: Godkin Evaluation of the High: Clear (2009) relationship methodology between corporate and results in social High: Survey of a peer- responsibility employees and High- reviewed efforts, employee empirical Medium / journal. perception of analysis of High Ranked in organizational results 99th percentile ethics, and ethical for citations behavior. U.S.- on Scopus. based, but not college focused. 64 Valentine & Medium: Low: Redundant - Godkin Clear appears to be a (2016) methodology High: Survey of study of the same and results in employees and data as Valentine a peer- empirical Medium and Godkin reviewed analysis of (2009) reaching journal. Not results similar listed in conclusions. Scopus. 65 *Valentine, Medium-High: High: Clear Hollingworth, Evaluation of the methodology & Francis relationship and results in High: Survey of (2013) between quality a peer- employees and High- human resources reviewed empirical Medium / practices and journal. analysis of High employee Ranked in results attitudes. U.S.- 60th percentile based, but not for citations college focused. on Scopus. 66 Valentine & Low: An High- High: Survey of High- Kidwell evaluation of how Medium: undergraduate Medium (2008) U.S. Clear students FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 211

undergraduate methodology regarding students perceive and results in faculty behaviors of a peer- behavior and faculty to reviewed empirical determine what journal. analysis of they view as most Ranked in results unethical. No 45th percentile testing of how for citations employee on Scopus. behavior might be affected by these perceptions. 67 van Gils, Hogg, Van Quaquebeke, Repeat entry of N/A N/A N/A & van #26 Knippenberg (2017) 68 *Van Yperen, Medium-High: Hamstra, & Evaluation of the High: Clear van der Klauw relationship methodology (2011) between Medium-High: and results in performance or Survey of a peer- mastery cultures undergraduate Medium- reviewed and cheating. students and High / journal. U.K.-based empirical High Ranked in undergraduate analysis of 94th percentile student results for citations participants, but on Scopus. not college focused. 69 *Vitell & Medium-High: High: Clear Singhapakdi Evaluation of the methodology (2008) relationship and results in between a peer- High: Survey of institutionalization reviewed employees and High- of ethics, journal. empirical Medium / organizational Ranked in analysis of High commitment, and 92nd results esprit de corps. percentile for U.S.-based, but citations on not college Scopus. focused. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 212

70 *Warren, High: Clear Medium-High: Gaspar, & methodology Longitudinal High: Laufer (2014) and results in study of the Longitudinal a peer- impact of formal surveys of High- reviewed ethics training on employees and Medium / journal. ethical employee empirical High Ranked in behavior. U.S.- analysis of 97th percentile based, but not results for citations college focused. on Scopus.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 213

# WoE B: Rigor WoE C: WoE A: or soundness of Appropriateness Study Relevance to Score methodology of study design for the review and publication review 1 High: Clear High: Survey of methods and academics in High: Directly results in a Malaysian public *Abdul Razak, A., & relevant to peer-reviewed universities about High Murray, P. A. (2017) leadership in journal. Listed commercialization OI context in Scopus, but success of no citations innovation efforts (new article). 2 Medium: Literature review to develop hypotheses which were Medium: High: Directly Abdul Razak, A., not tested. Literature review relevant to Medium- Murray, P. A., & Published in a to develop leadership in High Roberts, D. (2014) peer-reviewed hypotheses which OI context journal. One were not tested. citation in Scopus – ranked in 30th percentile for citations.

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Appendix C

Initial Codes and Code Counts

D 1 D 2 D 3 D 4 D 5 D 6 D 7 D 8 D 9 D 10 D 11 D 12 D 13 D 14 D 15 D 16 D 17 D 18 D 19 D 20 D 21 D 22 D 23 D 24 D 25 D 26 D 27 D 28 D 29 D 30 D 31 D 32 D 33 D 34 D 35 D 36 D 37 Totals Absenteeism 0 0 0 0 0 0 0 0 0 0 0 0 46 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 46 Abusive supervision 0 0 89 0 0 0 0 0 0 0 0 1 46 0 4 0 1 0 2 89 0 103 1 0 0 0 0 1 0 2 0 0 0 0 0 0 0 339 accountability 0 3 0 0 0 0 1 0 1 1 0 3 1 1 0 0 0 0 0 97 0 1 0 0 0 0 0 0 0 0 1 0 17 1 0 0 0 128 achievement goals 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 55 0 0 55 believed importance of ethics and social 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 3 0 0 0 0 3 bribery 0 1 0 0 0 0 0 0 0 41 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 18 0 0 0 0 0 0 0 61 Bullying 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 110 0 2 8 0 0 0 0 0 0 0 0 0 0 0 0 0 0 121 Burnout 2 0 2 0 1 0 0 0 0 0 0 0 0 0 84 0 0 0 0 0 0 1 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 92 Code of conduct 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 21 0 0 0 0 0 0 0 23 Code of Ethics 0 17 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 1 0 0 1 0 3 0 0 1 1 0 0 0 1 0 0 0 26 cognitive moral development 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 78 0 0 1 0 0 0 0 0 0 1 0 0 2 0 0 0 0 0 0 0 2 84 commitment 38 4 0 47 4 7 1 9 14 3 2 3 72 3 10 4 0 4 6 1 0 1 48 5 59 49 6 5 13 14 33 5 5 29 0 54 4 562 Corporate ethical values 22 0 0 0 0 0 0 0 1 0 0 0 0 6 2 0 0 0 0 0 0 0 0 0 0 3 0 0 0 0 0 1 1 4 0 2 0 42 Corporate Social Responsibility 2 0 0 0 0 2 1 0 0 0 7 0 0 7 0 0 0 1 0 0 0 0 0 2 0 0 0 0 5 0 0 10 8 5 1 0 0 51 corruption 0 0 0 1 2 2 0 0 0 340 0 0 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 39 0 0 0 0 0 0 0 387 Counterproductive workplace behavior 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6 0 0 0 0 0 0 0 0 0 0 7 coworker exclusion 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 28 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 28 coworker support 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 25 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 26 cultural controls 0 0 0 0 0 0 0 0 17 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 17 customer value 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 69 48 0 0 0 0 0 0 0 0 0 0 0 118 deontological ethics 0 2 0 0 0 18 0 0 0 0 15 0 0 4 0 0 0 32 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 72 displaced aggression 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 15 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 15 distributive fairness 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 3 0 0 0 0 0 0 3 diversity climate 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 51 0 0 0 0 0 0 0 0 51 egoistic 0 0 0 0 0 0 0 0 0 22 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 22 employee behavior 0 1 0 0 0 40 2 0 3 0 0 4 1 0 0 0 0 0 0 0 0 0 0 1 0 0 15 2 0 0 4 0 0 1 0 0 3 77 employee job tenure 0 0 0 0 0 0 0 0 0 0 0 3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 3 employee rule adherence 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2 0 0 0 0 0 0 2 Entitlement 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 79 0 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0 82 Esprit de Corps 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 31 0 32 ethical attitude 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 14 0 10 3 1 0 0 1 30 ethical behavior 5 14 1 7 72 43 1 7 35 23 1 1 18 3 21 6 7 5 12 2 16 5 37 5 10 22 41 8 2 2 4 5 7 4 0 1 56 509 ethical climate 4 43 0 35 1 2 4 99 14 112 1 1 3 4 1 2 0 1 2 0 50 0 5 0 11 18 0 1 25 1 0 0 4 2 1 3 1 451 Ethical culture 2 1 0 0 0 4 0 0 5 6 0 0 2 11 70 1 0 0 0 0 0 0 6 3 1 3 0 0 0 14 2 0 2 6 0 1 19 159 ethical decision making 7 15 0 0 0 2 1 3 9 1 1 0 0 0 0 1 0 0 3 0 0 0 1 6 18 4 0 0 0 0 0 4 7 3 0 3 4 93 ethical failure 0 0 0 0 0 0 0 1 3 0 0 0 0 0 0 0 0 0 0 0 0 0 1 116 0 0 0 0 0 0 1 0 0 0 0 0 0 122 ethical intention 1 0 0 0 0 2 0 0 0 0 0 0 0 3 0 1 0 0 0 0 0 0 0 0 2 3 0 0 0 2 0 0 14 0 0 0 0 28 Ethical Issue Recognition 0 0 0 0 0 0 0 0 0 0 0 0 0 6 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2 0 0 0 0 8 ethical judgment 0 0 0 0 0 49 0 1 2 0 0 0 0 21 0 0 0 0 57 0 0 0 0 1 0 0 1 1 0 1 0 1 22 0 0 1 0 158 ethical leadership 3 5 159 31 102 2 114 6 1 0 3 68 98 0 0 140 76 131 0 1 52 0 0 0 3 5 0 105 0 107 0 0 0 1 0 1 0 1214 Ethical organizational culture 1 0 0 0 0 1 0 0 0 0 0 0 0 0 14 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2 0 0 0 0 0 0 16 34 ethical recovery 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 55 0 0 0 0 0 0 0 0 0 0 0 0 0 55 ethical scandal 0 0 0 0 0 0 1 0 0 0 0 0 3 0 0 0 0 0 0 0 23 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 28 ethics institionalization 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 3 0 34 0 37 ethics training 0 12 0 0 0 1 0 0 0 0 0 0 2 1 0 2 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 3 11 0 0 143 177 exhaustion 0 0 0 0 1 0 0 0 0 0 0 0 0 0 16 0 0 0 0 0 0 1 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 20 extra-role behaviors 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 0 0 0 4 Family-supportive behavior 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 21 0 0 0 0 0 0 0 0 0 0 0 0 0 0 21 feasibility 0 0 0 0 0 0 0 0 0 0 0 0 0 0 13 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 13 follower CSR beliefs 0 0 0 0 0 0 0 0 0 0 6 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6 follower moral identity 0 0 0 0 0 0 26 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 27 gender 1 0 6 0 4 1 5 5 0 0 21 10 5 0 5 5 1 0 7 0 0 11 7 2 3 0 2 0 5 0 0 1 1 0 2 1 1 112 goal-induced behavior 0 0 0 0 0 16 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 16 helping behaviour 0 0 35 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 35 intention to stay 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 5 0 0 0 5 interactional justice 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 11 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 12 job embeddedness 0 0 0 0 74 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 76 job satisfaction 14 2 0 1 4 0 1 3 1 1 2 7 2 1 6 6 0 3 4 1 2 0 42 2 5 7 2 25 10 1 0 2 3 22 0 38 0 220 leader group prototypicality 0 0 0 0 0 0 33 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 33 leader–member exchange 0 0 0 0 0 0 0 0 0 0 0 0 2 0 0 1 0 1 0 0 0 0 0 0 1 4 1 1 0 2 0 0 0 0 0 0 0 13 legitimacy 0 0 0 0 0 2 0 0 1 0 0 0 0 0 0 0 0 0 0 0 3 0 4 0 0 0 0 0 0 0 10 0 0 0 0 0 0 20 management citizenship behavior 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 9 0 0 0 0 0 0 0 0 0 0 0 0 0 0 9 mastery goals 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 14 0 0 14 Mental health 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 25 0 0 0 0 0 0 0 0 0 0 0 0 0 0 26 Moral decision-making 0 0 0 0 0 0 0 60 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 60 moral efficacy 0 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 9 0 0 0 0 0 0 0 11 moral intensity 53 0 0 0 0 0 1 0 0 0 0 0 0 3 0 0 0 0 0 0 0 0 0 3 1 0 0 0 0 0 0 0 1 0 0 1 0 63 moral reasoning 0 3 0 0 0 0 0 0 1 4 5 0 0 0 0 7 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 22 mutual trust 0 0 0 0 0 0 0 0 24 0 0 0 0 0 3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 27 organization citizenship behavior 4 0 1 0 0 0 91 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 3 1 1 0 37 38 0 0 0 0 0 0 0 0 0 177 organizational change 0 1 0 0 0 0 0 0 0 1 2 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 63 1 0 0 0 0 1 0 0 1 72 Organizational Commitment 7 1 0 30 0 1 1 3 5 0 1 2 21 2 3 0 0 2 0 1 0 0 18 1 8 9 0 1 7 3 0 2 1 18 0 41 0 189 organizational efficacy 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 22 23 Organizational ethical context 0 0 0 0 0 0 0 0 0 0 0 0 0 19 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 19 organizational ethical values 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0 0 3 Organizational identiﬁcation 1 0 0 1 1 0 2 81 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 2 0 0 0 0 0 0 0 0 0 0 0 90 organizational outcomes 2 0 0 0 3 24 1 0 6 1 0 0 0 0 0 1 2 2 0 0 2 0 0 0 0 0 0 0 3 1 1 0 0 0 0 0 2 51 organizational performance 0 0 0 0 0 2 0 0 41 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2 0 0 0 47 peer unethical behavior 0 0 0 0 27 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 27 perceived organizational support 0 0 0 0 4 0 0 0 0 1 0 0 0 0 0 0 48 0 12 0 0 0 1 6 0 0 3 0 0 10 0 0 0 0 0 0 0 85 performance goals 0 0 0 0 0 3 0 0 7 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 15 0 0 26 performance monitoring 0 0 0 0 0 0 0 0 0 0 0 6 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 7 personal control 0 0 0 0 0 0 0 0 0 0 0 55 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 57 Personal norms 0 0 0 0 0 0 0 0 0 20 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 20 personnel controls 0 0 0 0 0 0 0 0 11 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 11 person-organization ﬁt 36 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0 39 policy favorability 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 13 0 0 0 0 0 0 13 positive work attitudes 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 57 0 0 0 59 power distance orientation 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6 preferential treatment 0 0 0 0 0 0 0 0 0 10 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 14 0 0 0 0 0 0 0 24 procedural fairness 0 0 0 0 0 0 0 0 0 0 0 10 15 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 1 24 0 0 0 0 0 0 52 Promotability 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 41 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 42 Quality-Related HR Practices 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 49 0 0 0 49 race 0 0 0 1 0 0 0 0 1 0 0 9 0 0 0 3 1 0 0 0 2 1 0 3 0 0 0 6 3 0 2 0 0 0 0 0 0 32 Recognition of an ethical issue 0 0 0 0 0 0 0 0 0 0 0 0 0 4 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 5 0 0 0 0 9 satisfaction 32 2 0 1 5 0 1 3 5 1 4 15 9 2 7 10 0 5 7 2 5 4 51 73 9 7 39 32 14 3 0 2 3 34 0 49 0 436 social desirability 0 0 0 0 1 1 1 0 6 18 1 1 0 16 1 0 0 0 0 0 0 0 0 0 2 0 3 0 0 0 0 19 9 15 1 0 1 96 Social norms 0 0 0 0 1 0 0 0 1 42 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 2 48 Supervisor Machiavellianism 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 20 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 20 supervisor support 0 0 0 0 58 0 0 0 0 0 0 0 4 0 0 0 0 0 0 0 0 0 0 1 0 0 93 0 0 0 0 0 0 0 0 0 0 156 supervisor-based self-esteem 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 30 0 0 0 0 0 0 0 0 0 0 30 teleological ethics 0 0 0 0 0 17 0 0 0 0 12 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 30 transactional leadership 0 0 0 0 1 0 0 0 0 0 44 1 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0 0 0 0 0 0 0 49 Transformational leadership 0 0 1 0 3 1 2 0 0 0 47 1 0 0 0 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 57 Trust in manager 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 16 0 0 0 0 0 0 0 0 0 0 0 0 16 Turnover Intentions 2 0 0 0 0 0 0 1 0 0 0 0 0 0 3 2 0 0 0 0 0 0 0 1 1 1 0 0 44 0 0 0 0 4 0 0 0 59 unethical behavior 4 4 0 3 57 21 0 3 10 15 0 1 8 1 8 1 1 0 10 1 9 1 0 4 3 9 9 2 0 2 1 0 2 1 0 0 39 230 Unethical intent 0 0 0 0 0 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0 0 0 27 8 0 0 0 0 0 0 0 0 0 0 0 37 Unethical leadership 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 8 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 11 Utilitarian 0 7 0 0 0 0 0 0 0 0 53 0 0 2 0 0 0 73 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 135 voice 0 0 1 0 1 0 3 0 0 0 0 165 4 0 0 4 69 0 1 0 0 0 1 0 0 0 0 2 0 0 3 0 0 0 0 0 0 254 Well-being 1 4 0 0 1 0 2 1 2 0 0 0 3 0 43 3 0 0 4 1 2 2 13 3 2 3 4 2 0 2 1 0 1 3 0 1 0 104 Willingness to Report Ethical Problems 0 0 0 0 0 0 0 0 0 0 0 0 19 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 20 Work engagement 1 0 72 0 1 0 1 0 0 0 0 0 0 0 40 0 2 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 118 workplace deviance 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 76 0 0 3 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 82 Totals 247 143 370 158 430 265 299 286 230 663 230 372 389 121 356 281 235 302 219 402 176 190 303 296 259 213 299 297 190 289 107 62 126 286 90 262 317 9760 FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 215

Appendix D

Completed Subject Matter Expert Evaluation Forms

Subject Matter Expert Evaluation & Feedback Form

For DM student Matthew Hisrich

Feedback from: John J. Sosik

Please provide your insights and suggestions for each of these topic areas. Comments and suggestions for each topic are appreciated.

Clarity of the Study Problem – Is the topic’s relationship to the field of management practice made clear and explained?

Your observations:

Yes, but the author should focus more on ethical leadership and its relationship with change management. A clearer explanation of the specific literatures that will benefit from the study is needed.

Significance of this Study – To what extent would this study contribute to the practice of management? How original is this study?

Your insights, including awareness of similar studies or research that would duplicate this study:

The integration of change management and ethical leadership literature is a fine value-added contribution of this study. However, it seems that the literature on transformational leadership may be helpful in such an integration. The study appears to be original to me. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 216

Scope of this Study – Is the scope of this study made clear? Is it focused on management issues that can be realistically investigated?

Your observations about its do-ability:

The study does a nice job describing its scope. These issues can be investigated but collecting the vast amount of cases on the topic might be a challenge. The work is doable but may be quite exhausting.

Literature informing this Study – Does the type and relevance of literature reviewed provide the proper direction for this study?

Your observations and suggestions of literature sources that would be helpful:

The study should be more specific in describing the level(s) of analysis of the literature review.

Are we focusing on individual, dyadic, group, organizational, industry, or societal ethical lapses?

Please note that in reality, these levels are nested within each other and cross-levels both ways

(e.g., the Penn State/Sandusky scandal). Please pay more careful attention to levels of analysis issues in your critical review.

Conceptual Framework (if provided) – Does the candidate present a clear picture of how key factors are related, and how those factors would be explained through research?

Your comments:

The conceptual framework appears too practitioner-oriented with the variety of shapes and lacks a comprehensive list of constructs, relationships, moderating influences, and levels of analysis considerations. Please take a look at examples of conceptual frameworks published in the FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 217

Journal of Applied Psychology, Journal of Business Ethics, Leadership Quarterly, and Academy of Management Review for examples of what I mean.

Research Approach – Is the research approach described in a logical manner?

Your comments and suggestions of other research studies that address this candidate’s topic:

I’m not too familiar with this type of critical literature review as I’m more of a quantitative researcher, but it does seem to be adequately explained and appropriate for the study. I would be impressed if the author could triangulate his study with a quantitative study that also examines the thesis and provides some empirical support for the critical literature review. Now is the time to conduct such a study while the author is on top of the field as a PhD student. I would highly recommend doing this.

Overall Written Quality – Does this study present a clear line of reasoning consistent with other management research materials with which you are familiar?

Your suggestions for overall improvements that can be made to this approach:

The author has done a fine job presenting his arguments in a logical and compelling manner that is well-supported by the literature. Keep up the good work and continue to do so when writing the dissertation!

Overall Practical Value – Does this study offer a clear and recognizable opportunity to produce results that would impact a management practice?

Your comments:

The study offers many very useful implications for the betterment of colleges and universities.

Overall Strengths of this study FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 218

Your comments:

Well written, logically presented, compelling justification of key points, important and interesting topic.

Overall weaknesses of this study

Your comments:

Theoretical framework (see above), lack of quantitative triangulated study, very limited number of dependent variables (please add more than just one).

Other open-ended comments that would be helpful to candidate:

One minor point regarding writing: the conclusions at the end of each literature review section are not made clearly and confidently. Please work on this aspect of writing. All the best to the author in his research!

Please indicate your concurrence at being referenced in the dissertation as one who provided feedback.

Reviewer’s Name / date of review: John J. Sosik, 13 July 2018

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 219

Subject Matter Expert Evaluation & Feedback Form For DM student Matthew Hisrich Feedback from: Sean Valentine

Please provide your insights and suggestions for each of these topic areas. Comments and suggestions for each topic are appreciated.

Clarity of the Study Problem – Is the topic’s relationship to the field of management practice made clear and explained? Your observations: Yes, the issues and problems explored in this dissertation research are made clear and explained relatively well in the proposal. However, I recommend expanding the number and types of variables investigated in the conceptual framework presented.

Significance of this Study – To what extent would this study contribute to the practice of management? How original is this study? Your insights, including awareness of similar studies or research that would duplicate this study: I believe this study could make a unique contribution to the higher education and business ethics fields, but its capacity to do will be based on the author’s ability to present testable relationships that are well-grounded in the business ethics literature. It should also be noted that, while there are some organizational similarities between universities and traditional for-profit businesses (building stakeholder value, enhancing revenues, effectively managing costs, etc.), they are most definitely unique contexts and have distinct literatures/research streams and “best practices” supporting them. I also encourage the author to provide a more compelling rationale for this research, providing specifics about how the relationships explored will stretch understanding of organizational ethics.

Scope of this Study – Is the scope of this study made clear? Is it focused on management issues that can be realistically investigated? Your observations about its do-ability: Yes, I believe that scope of the research is made clear, and the study appears to focus on issues that can be realistically be tested using various methodologies. Once again, the relationships will need to be better clarified to facilitate better interpretation of the findings identified in the reviews. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 220

Literature informing this Study – Does the type and relevance of literature reviewed provide the proper direction for this study? Your observations and suggestions of literature sources that would be helpful: The review of literature is one area that I believe can be improved. For example, narrowly focusing on ethical climate as the primary contextual variable greatly limits the discussion of organizational ethics as a whole. There are many elements of organizational ethics, including ethical culture, ethical values/principles, ethics programs (codes of conduct, ethics training, etc.), ethical leadership, corporate social responsibility, reporting mechanisms and other ethics communication, and reinforcement processes (rewards/punishments). All of these elements contribute to an organization’s overall ethical environment, and much past work suggest that they work in concert to enhance individual ethical decision making and behavior. The literature review should be expanded to include some discussion of these factors, thus providing a more comprehensive understanding of organizational ethics. I would also encourage the author to dive more deeply into the research that investigates leadership ethics because it will directly relate to the change management component of the study framework – in many cases, ethical leaders spearhead these kinds of changes, so they are instrumental to the institutionalization of organizational ethics.

In addition, many of the ideas presented in this research have been explored in a number of conceptual models presented in the organizational sciences, particularly in the management and marketing literatures. Trevino (1986, Academy of Management Review), Hunt and Vitell (1986, Journal of Macromarketing), Ferrell and Gresham (1985, and later revised models in different marketing journals), Jones (1991, Academy of Management Review), Brass, Butterfield, and Skaggs (1998, Academy of Management Review), and Wotruba (1990, Journal of Personal Selling & Sales Management) are all well-accepted and widely-cited models that investigate the impact of individual, issue-contingent, and organizational factors on the ethical decision-making process; there are also a multitude of other models and variable relationships investigated in the Academy of Management Review and the Journal of Business Ethics that target such topics as corporate social responsibility and stakeholder theory, the institutionalization of business ethics, and managerial ethics, subjects that have some bearing on the ideas presented in this abstract. In particular, I would encourage the author to explore these models and relationships; I also recommend that the Rest (1986) four-step ethical reasoning framework be reviewed (see Jones, 1991) since the primary outcome variables in the study framework involve employee ethical decision making and behavior. Further, the author mentions moral disengagement is a key factor in this process – a clearer connection between disengagement and ethical reasoning/behavior is needed. Ethical reasoning is influenced by both individual and contextual factors, and this “interactionist perspective” should be more clearly highlighted (see for example Trevino, 1986).

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 221

Finally, there are studies presented in the higher education literature that explore the ideas presented in this abstract (some of this work is already cited). I would encourage the author to more effectively weave this work into the research exploring business and organizational ethics.

Conceptual Framework (if provided) – Does the candidate present a clear picture of how key factors are related, and how those factors would be explained through research? Your comments: Yes, the candidate presents a clear picture of the focal variables and outlines how they will be interrelated. Once again, more discussion and additional reviews of past studies (both theoretical and empirical) are needed to better clarify the nature of these relationships. I also recommend developing some research hypotheses that will more clearly articulate the relationships explored. Finally, I encourage the author to identify a set of theories that can be used to connect all of the variables together into one framework.

Research Approach – Is the research approach described in a logical manner? Your comments and suggestions of other research studies that address this candidate’s topic: The research approach is described in a logical manner. See my previous comments about what research should be incorporated into this study.

Overall Written Quality – Does this study present a clear line of reasoning consistent with other management research materials with which you are familiar? Your suggestions for overall improvements that can be made to this approach: Yes, this study matches the kinds of work with which I am involved and familiar. Overall, a more comprehensive assessment of past work is needed.

Overall Practical Value – Does this study offer a clear and recognizable opportunity to produce results that would impact a management practice? Your comments: As it is currently presented, the study should be impactful and provide some useful dialogue about how to effectively manage ethics in organizations. If the goal is the eventual publication of the results in an academic (not practitioner) journal, then the collection of data/information through surveys, interviews, or observation should be considered to facilitate empirical assessment of the relationships outlined.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 222

Overall Strengths of this study Your comments:  Interesting study framework that is grounded in some past research.  Author understands how factors presented should be interrelated from a normative perspective.  The variables included in the study framework are appropriate/interesting from both theoretical and conceptual perspectives.  The research design presented is clear and fits the type of research being conducted.

Overall weaknesses of this study Your comments:  The study needs a much more comprehensive review of the business ethics literature, including more extensive assessments of the work that explores the individual ethical- decision making process, moral disengagement, and organizational ethics.  Qualitative, review-based research design may limit the study’s overall contribution (beyond a descriptive capacity) and reduce the ability to publish the results in a high- quality academic journal.

Other open-ended comments that would be helpful to candidate: Good luck with your research!

Please indicate your concurrence at being referenced in the dissertation as one who provided feedback. Reviewer’s Name / date of review:

Sean R. Valentine Professor of Management Robert Page Endowed Professor of Leadership and Ethics University of North Dakota 8/25/2018

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 223

Subject Matter Expert Evaluation & Feedback Form For DM student Matthew Hisrich Feedback from: Karen Tibbals

Please provide your insights and suggestions for each of these topic areas. Comments and suggestions for each topic are appreciated.

Clarity of the Study Problem – Is the topic’s relationship to the field of management practice made clear and explained? Yes Your observations:

Significance of this Study – To what extent would this study contribute to the practice of management? How original is this study? I don’t know, that is not my area. Your insights, including awareness of similar studies or research that would duplicate this study:

Scope of this Study – Is the scope of this study made clear? Is it focused on management issues that can be realistically investigated? Yes, it appears doable but since I have not done a dissertation, I actually don’t know. Your observations about its do-ability:

Jonathan Haidt and his colleagues have identified that each person has an intuitive moral matrix, with five primary elements, but that people differ in the importance that they place on those five, and also that interpretations differ. There is a disagreement as to whether the moral matrix is FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 224 intuitive or rather represents a morphological rationalism of previously thought through beliefs. (See Morphological Rationalism and the Psychology of Moral Judgment, Terry Horgan & Mark Timmons, Ethic Theory Moral Prac (2007) 10:279–295)

Whether it is intuitive or reflect the previously held beliefs, neither of these describes moral reasoning, which is not consistent with the idea stated in the abstract that the organizations ethical climate is “the collective moral reasoning of organization members” (Arnaud & Schminke, 2012, p. 1767). I am not aware of any work that has already applied Haidt’s theory to organizations, but it might be useful to see if any exists. It is particularly important especially since it appears that people don’t actually reason every time they run into a situation, instead they (usually) continue on the path that they have already been on. Haidt has used psychological research to develop a change tool for a different purpose but it might be useful to help people become aware of their own moral matrix, which is a crucial first step to change. https://openmindplatform.org/

It is my understanding that much of what is considered an ethical lapse is a violation of one of the five elements of Haidt’s moral matrix. Usually, the violations seem to be violations of care and fairness. Matt has considered empathy as a driver, but fairness is not being considered. Fairness is at the core of plagiarism, and both care and fairness are at the core of abuse. Fairness comes in two flavors: equity and equality. Fairness violations are often caused by believing that you (the ethical violator) have more rights than others; i.e., that you “deserve” more, or to cheat, or to abuse and that the other(s) don’t have those same rights. This is a use of the equity version of fairness, but ethical standards are often built on the equality version. The others may be metaphorical (those who don’t plagiarize, or those who may be fooled by bad data) or they may be physical (the person you are abusing.)

This is an application of Haidt’s theory that I have been working on, but it has not been published.

That said, in addition to the intuitive moral matrix, there is much research that demonstrates that people’s behavior is affected by the context. A recent study conducted by Samantha Powers demonstrated that people change their perception of the colors depending on how many other dots there are of various colors.

FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 225

I also might consider the literature on moral licensing.

Conceptual Framework (if provided) – Does the candidate present a clear picture of how key factors are related, and how those factors would be explained through research? Yes Your comments:

Research Approach – Is the research approach described in a logical manner? Yes Your comments and suggestions of other research studies that address this candidate’s topic:

Overall Practical Value – Does this study offer a clear and recognizable opportunity to produce results that would impact a management practice? Your comments: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 226

Overall Strengths of this study Your comments:

Overall weaknesses of this study Your comments:

Other open-ended comments that would be helpful to candidate:

Please indicate your concurrence at being referenced in the dissertation as one who provided feedback. Reviewer’s Name / date of review:

Karen Tibbals 14 August 2018 FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 227

Subject Matter Expert Evaluation & Feedback Form For DM student Matthew Hisrich Feedback from: Eric Dent

Please provide your insights and suggestions for each of these topic areas. Comments and suggestions for each topic are appreciated.

Clarity of the Study Problem – Is the topic’s relationship to the field of management practice made clear and explained? Your observations: Yes, the dissertation title “An examination of change management strategies contributing to a work climate supportive of ethical employee behavior and decisions in U.S. colleges” and the research question “What change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behavior and decisions?” clearly site this work in the management domain.

Significance of this Study – To what extent would this study contribute to the practice of management? How original is this study? Your insights, including awareness of similar studies or research that would duplicate this study: Although ethical behavior is increasingly being researched, U.S. colleges have largely not been studied. They have a unique set of functions (college athletes) and dynamics (professor-student relationship) that make them worthy of separate research.

Scope of this Study – Is the scope of this study made clear? Is it focused on management issues that can be realistically investigated? Your observations about its do-ability: Yes, the scope is clear. The challenge will be to stay within this scope as much as possible. It will be important to find as much theoretical work, and empirical work, within the context of academia. The more that the dissertation depends on work outside of the scope, the more muted its impact.

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Literature informing this Study – Does the type and relevance of literature reviewed provide the proper direction for this study? Your observations and suggestions of literature sources that would be helpful: I see that there is a Journal of Academic Ethics and Journal of Academic and Business Ethics, although I am unfamiliar with either. In the management area, the most highly regarded journals are Business Ethics Quarterly, Ethics: An International Journal of Social, Political, and Legal Philosophy, Journal of Business Ethics, Business Ethics: A European Review, and Journal of Business Ethics Education. Although you are still in the early stages of your work, I see you have one JAE, two BEQ, and 12 JBE citations. It seems as though you may have explored JBE thoroughly, but, perhaps, not the other journals yet. Your current literature review also includes a fair number of unpublished dissertations and other grey sources. The more your findings depend on them, the weaker your overall study. I see that you have cited Anne Davis’s dissertation. She later published her findings as: Davis, A. P., Dent, E. B., & Wharf, D. M. (2015). A conceptual model of systems thinking leadership in community colleges. Systemic Practice and Action Research. 28(4), 333- 353. Citing the peer-reviewed version will be better for your dissertation.

Conceptual Framework (if provided) – Does the candidate present a clear picture of how key factors are related, and how those factors would be explained through research? Your comments: It is common for the conceptual framework to change as the dissertation proceeds. I would encourage you to think about the context being academic institutions that face a steady stream of ethical challenges, the intervention being top leader ethical strategies, and the mechanisms and outcomes as you have them.

Research Approach – Is the research approach described in a logical manner? Your comments and suggestions of other research studies that address this candidate’s topic: Yes, for an extended abstract, systemic review with evidence-based management is adequately presented.

Overall Written Quality – Does this study present a clear line of reasoning consistent with other management research materials with which you are familiar? Your suggestions for overall improvements that can be made to this approach: FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 229

Yes, the writing is clear. The phrase “according to” will not appear in a good APA-formatted document. The citation system replaces any need for these words. Your writing will appear much more professional if you change “According to Thoms (2008), the ethical culture of any organization includes all its internal and external behaviors with regard to demonstrated understandings of right and wrong (p. 420).” To The ethical culture of any organization includes all its internal and external behaviors with regard to demonstrated understandings of right and wrong (Thoms, 2008, p. 420).

Overall Practical Value – Does this study offer a clear and recognizable opportunity to produce results that would impact a management practice? Your comments: Yes. As you note, this is an area very understudied.

Overall Strengths of this study Your comments: A strength of the study is that it is in an understudied area and is professionally addressed thus far.

Overall weaknesses of this study Your comments: I am concerned that there might not be enough high-quality, peer-reviewed journal articles to conduct a systematic review that will also be seen as high quality by the academic community. The Reference section lists quite a number of unpublished dissertations and other sources that most journal reviewers wouldn’t recognize. As noted above, you have cited Davis’s dissertation. What I’ve done in these situations is try to locate the authors today and inquire whether they’ve further enhanced some piece of grey literature and turned it in to a PRJ article. In today’s connected world it doesn’t often take time to locate these authors. The study will also be more impactful if it focuses purely on the unique context of universities, separate from other employers. These unique contexts are student-athletes, plagiarism, relationships between faculty and students, shared governance, etc. To the extent that the dissertation includes ethical breaches common to all organizations – financial malfeasance, sexual harassment between employees, etc. the work is of less value. FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 230

Other open-ended comments that would be helpful to candidate: You have fantastic dissertation advisors, so I know they will keep you on the straight and narrow.  I skimmed the beginning and made a couple of notes. I don’t know whether any academic sources have appeared on this subject, but one day when I was reading your dissertation the Cornell food research fraud was in the headlines. That’s a good example of a university-specific ethical breach. p. 15 “While two-year colleges have clearer guidelines for ethical leadership standards and have been the subject of research around these competencies, less clarity exists among colleges.” This is a broad and provocative claim. Please provide a citation(s). p. 26 I think I see the intent in labelling Figure 4, and it appears as though you have simply copied the authors’ figure. Still, the X and Y labels seem to be reversed, from how this would commonly be presented.

Please indicate your concurrence at being referenced in the dissertation as one who provided feedback.

I concur.

Reviewer’s Name / date of review: Eric B. Dent, Ph.D. September 29, 2018

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Matthew Hisrich, DBA proposal Reviewer: Peter McNamara

Research Question My understanding is that Matt Hisrich’s research question is basically what change management strategies can college leaders implement to cultivate an ethical work climate that supports ethical employee behaviour and decisions. I think that the core research question of Matt Hisrich’s DBA dissertation adds value in addressing this core concern that I face as an academic manager, as noted below. My comments are very much from the perspective of a Head of School of Business, whom has had to manage ethical issues that arise with faculty in the conduct of their research and teaching. Our goal is for our faculty to behave ethically in both teaching and research and to support our students on their business journey to behave ethically. As we are a multi-national group of faculty differences do arise in our interpretations of ethical behaviour. We therefore informally discuss our perspectives and also follow the university guidelines on ethical practice. At time challenges have arisen, where one questions if these ethical principles have been breached. In such cases one can rely on university policies, but would benefit very much from a structured review of the literature that guides best practice and critically how to both manage possible ethical breeches and develop a sustainable ethical work climate to guide decision making in a practical and constructive way. The justification of Matt’s research question is that ethical breeches negatively impact upon enrolment and funding. From a practical perspective I am not sure that this is always the case. Minor ethical breeches may well be unseen by the student and funding stakeholders, thus not impacting funding and enrolment. Such ethical breeches may create a culture that leads to larger visible breeches, but it is likely that this may not occur. Personally, I think there are good reasons beyond enrolments and funding that make this work valuable. The core point from my perspective is that if the mission of a university involves impacting business and society through our students then we need to build social, moral and economic incentives that promote change. These are three core incentives of economics and change (from my perspective). If we do not have moral authority then we cannot initiate sustainable long term change in the face of an environment where there are shorter term cycles of social and economic preferences. We need insights into how to behave ethically, because we as universities are change agents, seeking to improve society through others. Yes there will be ethical lapses, just as there are in society. If we develop systems to promote ethical behaviour and work with our employees to make ethical decisions, then even when lapses in judgement occur (which is human and inevitable), we have the moral authority to show how these can be positively and effectively managed.

Gap FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 232

The proposal sees the gap (I think) as being to identify practical change management tools to address the existing ethical climate of colleges. Matt notes reasonably, that much has already been done about leadership traits and ethical perspectives, and that the gap is really in developing tools to deal with change. I agree that we would benefit from a structured literature review that identified these tools and brought them to the attention of managers, or ideally into the hands of managers.

Theory The proposal explores the types of ethical lapses (individual, organisational) and severity. Issues such as moral disengagement, ethical climates (rules versus care based systems) and change management are explored. These do seem to me to be very important issues to explore. It is right that this is a central aspect of the dissertation proposal. The literature does seem old and under developed. I would recommend building on these themes and moving from solid, foundational theories and papers, into more recent work in these areas. Change management is the core intervention that Matt is seeking to apply. The proposal would benefit from looking at change management issues in greater depth, if not then certainly in the dissertation itself. How can managers practically initiate change in ethical climates that is effective.

Research Design The chosen research design is a systematic literature review. I believe that this may be the core design used by his DBA programme. A concern I have is how this design can be meaningfully connected to the model in figure one, without undertaking some field work. However, I am sure that his DBA programme advisors are best placed to explore this design issue.

Overall I see real value in this research. As one whom manages faculty, teaching and research programme, practical tools to manage the ethical climate and initiate change would be very helpful and valuable.

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Appendix E

Prototype Ethics Institutionalization Assessment

What is the employee perception of the school’s ethical values?

- Do employees feel that their supervisors are ethical?

- Do employees feel that the school’s leaders are ethical?

- Do employees feel that their supervisors model ethical behavior and decisions?

- Do employees feel that the school’s leaders model ethical behavior and decisions?

- Do employees feel that school employees who behave unethically are held accountable

for their actions?

- Do employees feel that all employees are treated equally?

- Do employees feel supported and valued by the school?

- Do employees feel supported and valued by their supervisors?

- Do employees feel supported and valued by the school’s leaders?

- Do employees feel their coworkers behave ethically?

- Do employees feel that they are asked to compete or cooperate with coworkers?

- If present, do employees feel that the school’s social responsibility statements align with

its actions?

- If present, are employees aware of ethical codes or guidelines for employees?

- If present, do employees feel ethics trainings are comprehensive and effective?

Does the school have an ethics code?

- How recent was the last review?

- Is it widely disseminated and regularly referenced?

Does the school provide ethics training? FOSTERING ETHICAL EMPLOYEE BEHAVIOR IN COLLEGES 234

- How often is training offered?

- Are all employees included?

Do job descriptions include the importance of ethical behavior?

Are job candidates, particularly for senior academic administrator positions, screened for ethics?

- Do candidates demonstrate a deontological or utilitarian approach to ethics?

- Do candidates demonstrate a transformational or transactional leadership style?

- Do candidates demonstrate a track record of supportive supervision of employees?

- Do candidates demonstrate a track record of treating employees equally and fairly?

Does the school have a statement on social responsibility?

- Does this statement impact decisions and if so how?