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Insights of Compliance and Ethics Officers Into Determining Their Role 1 To Protect and Serve? Insights of Compliance and Ethics Officers into Determining Their Role in Enforcing an Ethical Workplace A thesis presented by Shirley J. Knowles to The Graduate School of Education In partial fulfillment of the requirements for the degree of Doctor of Education in the field of Education College of Professional Studies Northeastern University Boston, Massachusetts April 2021 2 Abstract This dissertation argued for the need for stronger corporate ethics policies and enforcement, as well as tougher anti-retaliation protections. The problem investigated was how corporate ethics policies can be improved in the property and casualty insurance industry. This dissertation explored the importance of code of ethics policies and programming, in addition to anti- retaliation policies managed by ethics and compliance officers in the property and casualty insurance space. Additionally, the research aimed to understand the role these officers play within an organization when they communicate, implement, and enforce their organization’s ethics policies, ensuring whistleblowers feel protected when they report misconduct. This dissertation highlighted key commonalities and themes in code of conduct policies at six leading property and casualty insurance companies and featured interviews with compliance and ethics officers in the property and casualty insurance space. These individuals stated how they believe corporate ethics protections can be improved within their organization. Keywords: ethics, compliance, code of conduct, ethics policies insurance, anti-retaliation, whistleblower, corporate America, unethical behavior, leadership 3 Acknowledgements There are a few folks who stuck by me during this journey and I’d like to take a moment to acknowledge them. First, I would like to thank my dissertation committee, comprised of Dr. Lynda Beltz, my advisor and biggest cheerleader; my second reader, Dr. Krystal Clemons; and my third reader – who was also my master’s degree thesis advisor—Dr. Marlene Fine. To say this was my support group would be an understatement – they guided and encouraged me every step of the way and made me believe I had what it took to get this done. Without their leadership, I would not have made it. I would also like to call out my copyeditor, Lee Sebastiani—she was the final piece of the Dream Team. Thank you for adding the final touches to this manuscript. To my parents, sister, and friends: you pushed me so hard to cross the finish line, even on the days when my mind and body were tired, and I wanted to give up. It truly takes a village and I am glad you are a part of mine. I am forever grateful for the phone calls, text messages, and overall patience and understanding. We did it! Finally, I would like to dedicate this thesis to anyone who has ever been told they could not achieve greatness, or made to believe they are not “smart enough” or “good enough” to accomplish a major life goal – the world is yours, just keep swimming. To my ancestors who were denied opportunities because of the color of their skin, this is for you. Thank you for your sacrifices—because of you, I can. 4 Table of Contents Abstract ........................................................................................................................................... 2 Acknowledgements ......................................................................................................................... 3 Chapter 1: Introduction ................................................................................................................... 8 Theoretical Framework ............................................................................................................. 15 Code of Conduct Policies ......................................................................................................... 16 Chapter 2: Literature Review ........................................................................................................ 27 Whistleblower Protections ........................................................................................................ 29 Theoretical Framework ............................................................................................................. 32 Why Are Corporate Ethics So Important? ................................................................................ 35 The Importance of Communicating Ethical Awareness ....................................................... 36 Corporate Culture and Media Influence................................................................................ 38 Corporate Ethics Programs ................................................................................................... 38 Conclusion ............................................................................................................................ 42 What is Whistleblowing? .......................................................................................................... 42 Types of Whistleblowers ...................................................................................................... 44 Importance of the Whistleblower .......................................................................................... 47 Role of an Ethics or Compliance Officer .............................................................................. 48 What Prevents Employees From Becoming a Whistleblower? ............................................ 49 How Can Employees Be Protected From Retaliation? ............................................................. 54 Summation ............................................................................................................................ 56 Chapter 3: Research Design .......................................................................................................... 59 5 Research Questions ................................................................................................................... 59 Role of the Researcher .............................................................................................................. 60 Research Tradition .................................................................................................................... 62 Procedures ................................................................................................................................. 63 Case Study Approach ............................................................................................................ 63 Participant Selection Criteria ................................................................................................ 64 Recruitment and Access ........................................................................................................ 66 Data Management ..................................................................................................................... 68 Interpretation ............................................................................................................................. 69 Standards for Valuable Qualitative Research ........................................................................... 70 Potential Research Limitations ................................................................................................. 71 Conclusion ................................................................................................................................ 72 Chapter 4: Results ......................................................................................................................... 73 Age and Gender ........................................................................................................................ 76 Tenure & Job Satisfaction ......................................................................................................... 76 Interview Statements and Questions ......................................................................................... 77 Statement: My Organization Has a Strong Ethical Culture .................................................. 77 Statement: A Whistleblower’s Relationship With The Wrongdoer Impacts Their Likelihood Of Reporting Misconduct ..................................................................................................... 79 Statement: I believe whistleblowers are fully protected from retaliation. ............................ 79 Question: What type of misconduct is most frequently reported to you? ............................. 80 Question: Based on your experience, employees at what level have the most misconduct reported against them? .......................................................................................................... 81 6 Statement: Leaders encounter the same consequences as everyone else within my organization. .......................................................................................................................... 82 Question: Are the company’s ethics policies understood by employees at every level? ...... 83 Question: In your experience, is the punishment for misconduct handed down fairly, no matter the employee’s role within the organization? ............................................................ 84 Statement: There is more I can do to enforce an ethical workplace. .................................... 84 Conclusion ...............................................................................................................................
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