ethical decision-making craig p. dunn, phdfaculty.wwu.edu/dunnc3/pp-sampleethicstraining.pdf ·...

Ethical Decision-making Craig P. Dunn, PhD

The CENTRE for Organization Effectiveness www.dunn.cc

ì Ethical Decision-‐making The Centre for Organiza0on Effec0veness

Assump&ons… -‐ People want to do the right thing… …but good people some&mes do bad things -‐ People have good moral intui&on… …but this doesn’t lead to solid moral discourse -‐ People don’t have ra&onal ethics training… …no one system of ethical reasoning is

sufficient

Ethical Decision-‐making

Ethics isn’t about ethics…

…but rather about trust



OPPORTUNISM AND ITS CRITICS

…When we say we trust someone or that someone is trustworthy, we implicitly mean that the probability that he will perform an ac&on that is beneficial or at least not detrimental to us is high enough for us to consider engaging in some form of coopera&on with him.

Recognize Moral Issue

Engage in Moral

Behavior

Model of Moral Decision-‐making


ì  The prac0ce or act of inten0onal and blatant avoidance, disregard or disagreement with facts, empirical evidence and well-‐founded arguments because they oppose or contradict your own exis0ng personal beliefs.

ì  www.urbandic&onary.com

Willful Ignorance



ì  The prac0ce or act of inten0onal and blatant avoidance, disregard or disagreement with facts, empirical evidence and well-‐founded arguments because they oppose or contradict your own exis0ng personal beliefs.

…their recogni0on would impose an ethical obliga0on to act against your self-‐interest.

Willful Ignorance


Engage in Moral

Behavior


Moral Uncertainty



Make Moral Judgment

Engage in Moral

Behavior


Moral Uncertainty

Moral Dilemma




ì  Ethical dilemmas “are situa&ons arising when equally compelling ethical reasons both for and against a par&cular course of ac&on are recognized and a decision must be made…”

ì  (CNA, 2002, p. 5).

ì  Ethical distress, on the other hand, occurs when a decision is made regarding what one believes to be the right course of ac&on, but barriers prevent the nurse from carrying out or comple&ng the ac&on.


ì  There is a dis&nct difference between an ethical dilemma and ethical distress…

ì  Ethical or moral distress arises when one is unable to act on one’s ethical choices, when constraints interfere with ac&ng in the way one believes to be right.



Make Moral Judgment

Establish Moral Intent

Engage in Moral

Behavior


Moral Uncertainty

Moral Dilemma

Moral Distress





Moral Uncertainty

Moral Dilemma

Moral Distress


Make Moral Judgment

Establish Moral Intent

Engage in Moral

Behavior


ì Ethics is concerned with the following: ì Good vs Bad ì Right vs Wrong ì Fair vs Unfair ì Praise vs Blame

What factors allow formaking these behavioral distinctions?

Ø  Universalism: ì  An ethical theory that holds that ac&ons are right or wrong

independent of their consequences




ì  Does the contemplated ac&on: ì  Conform to important principles?


principles

outcomes

fairness

caring

liberty

character

sustainability

1 2 3 4 5 6


Ø  U&litarianism: ì  An ethical theory that holds that ac&ons are right if they

produce, or tend to produce, the greatest amount of good for the greatest number of persons

Ethical Decision-‐making The ends jus&fy

the means



ì  Does the contemplated ac&on: ì  Conform to important principles? ì  Create more good than harm?


principles

outcomes

fairness

caring

liberty

character

sustainability

1 2 3 4 5 6


ì  What are the core ethical cri&cisms of u&litarianism?

ì  How might these best be remedied?






Economic

shareholders profit

Ford Pinto







Rule

rules should be cra`ed in such a way that

Ø  Jus&ce: ì  Consists in giving each person his or her due, trea&ng equals

equally and unequals unequally


ì  Does the contemplated ac&on: ì  Conform to important principles? ì  Create more good than harm? ì  Lead to fair outcomes?




principles

outcomes

fairness

caring

liberty

character

sustainability

1 2 3 4 5 6


Ø  Ethic of Care: ì  Asks us to recognize and take seriously the moral worth of

rela&onships, par&cularly those characterized by caring


ì  Does the contemplated ac&on: ì  Conform to important principles? ì  Create more good than harm? ì  Lead to fair outcomes? ì  Promote caring rela&onships?




principles

outcomes

fairness

caring

liberty

character

sustainability

1 2 3 4 5 6


Ø  Libertarianism: ì  Suggest right ac&on consists in maximizing the capacity for free,

informed personal choice


ì  Does the contemplated ac&on: ì  Conform to important principles? ì  Create more good than harm? ì  Lead to fair outcomes? ì  Promote caring rela&onships? ì  Support personal choice?




principles

outcomes

fairness

caring

liberty

character

sustainability

1 2 3 4 5 6


Ø  Virtue theory: ì  Focus is on achieving our personal ethical ideal–a mafer of who

we are, not what we do


ì  Does the contemplated ac&on: ì  Conform to important principles? ì  Create more good than harm? ì  Lead to fair outcomes? ì  Promote caring rela&onships? ì  Support personal choice? ì  Encourage virtuous character?




principles

outcomes

fairness

caring

liberty

character

sustainability

1 2 3 4 5 6


Ø  Land Ethic: ì  A thing is right when it tends to preserve the beauty, stability,

and integrity of the bio&c community. It is wrong when it tends otherwise.


ì  Does the contemplated ac&on: ì  Conform to important principles? ì  Create more good than harm? ì  Lead to fair outcomes? ì  Promote caring rela&onships? ì  Support personal choice? ì  Encourage virtuous character? ì  Contribute to sustainability?




principles

outcomes

fairness

caring

liberty

character

sustainability

1 2 3 4 5 6


ì  1) Iden&fy Ethical Issues:

* ___________________________ * ___________________________ * ___________________________ * ___________________________ * ___________________________ * ___________________________

Ethical Decision-‐Making Worksheet

ì  2) Select one issue:

* ___________________________




ì  3) Decide which ethical frameworks are most relevant to this par&cular issue (you will only include checked frameworks in your further analysis):

Universalism U&litarianism Jus&ce Ethic of Care Liberty Virtue Land Ethic


ì  4) Develop alterna&ves to resolve this issue: (a) ___________________________ (b) ___________________________ (c) ___________________________ (d) ___________________________ (e) ___________________________ (f) ___________________________


ì  5) Analyze these alterna&ves: (only include checked frameworks from step 3) above)

(a) Principles: Does the alterna&ve conform to fixed rules of conduct?

(b) Outcomes: Does the alterna&ve create more good than harm?

(c) Fairness: Does the alterna&ve lead to fair outcomes?

(d) Caring: Does the alterna&ve support caring rela&onships?

(e) Liberty: Does the alterna&ve promote personal choice?

(f) Character: Does the alterna&ve advance personal ideals?

(g) Sustainability: Does the alterna&ve respect the natural environment?













(a) (b) (c)










(a) (b) (c)

ì  6) Select the op&mal alterna&ve:

* ___________________________




ì  7) Is the op&mal alterna&ve…

ì  financially viable? (if not, is the second-‐best

financially viable? the third-‐best?)

-‐ Yes -‐ No

ì  poli&cally viable? (if not, is the second-‐best poli0cally viable? the third-‐best?)

-‐ Yes -‐ No


ì  8) Develop a plan for implementa&on:

___________________________ ___________________________ ___________________________ ___________________________ ___________________________


ì  Gather the facts

ì  Does the contemplated ac&on: ì  Conform to important principles? ì  Create more good than harm? ì  Lead to fair outcomes? ì  Promote caring rela&onships? ì  Support personal choice? ì  Encourage virtuous character? ì  Contribute to sustainability?

ì  Think crea&vely about poten&al ac&ons



ì What might a principle-‐based approach ‘look like’?


ì Avoid all appearance of impropriety


ì Do not sacrifice the public good for private gain




ì Daedelus and Icarus


ì Operate at all &mes with humility, never underes&ma&ng your capacity for self-‐decep&on

ì

BRAINA JOURNAL OF NEUROLOGY

OCCASIONAL PAPER

Hubris syndrome: An acquired personalitydisorder? A study of US Presidents andUK Prime Ministers over the last 100 yearsDavid Owen1 and Jonathan Davidson2

1 House of Lords, London, UK2 Department of Psychiatry and Behavioural Sciences, Duke University Medical Center, Durham, USA

Correspondence to: Lord David Owen,House of Lords,SW1A 0PW London, UKE-mail: [email protected]

‘The history of madness is the history of power. Because

it imagines power, madness is both impotence and omni-

potence. It requires power to control it. Threatening the

normal structures of authority, insanity is engaged in an

endless dialogue—a monomaniacal monologue sometimes—

about power’.

Roy Porter

A Social History of Madness: Stories of the Insane, Weidenfeld

& Nicolson, 1987 p. 39

IntroductionCharisma, charm, the ability to inspire, persuasiveness, breadth of

vision, willingness to take risks, grandiose aspirations and bold

self-confidence—these qualities are often associated with success-

ful leadership. Yet there is another side to this profile, for these

very same qualities can be marked by impetuosity, a refusal to

listen to or take advice and a particular form of incompetence

when impulsivity, recklessness and frequent inattention to detail

predominate. This can result in disastrous leadership and cause

damage on a large scale. The attendant loss of capacity to make

rational decisions is perceived by the general public to be more

than ‘just making a mistake’. While they may use discarded

medical or colloquial terms, such as ‘madness’ or ‘he’s lost it’,

to describe such behaviour, they instinctively sense a change

of behaviour although their words do not adequately capture

its essence.

A common thread tying these elements together is hubris, or

exaggerated pride, overwhelming self-confidence and contempt

for others (Owen, 2006). How may we usefully think about a

leader who hubristically abuses power, damaging the lives of

others? Some see it as nothing more than the extreme mani-

festation of normal behaviour along a spectrum of narcissism.

Others simply dismiss hubris as an occupational hazard of pow-

erful leaders, politicians or leaders in business, the military and

academia; an unattractive but understandable aspect of those

who crave power.

But the matter can be formulated differently so that it becomes

appropriate to think of hubris in medical terms. It then becomes

necessary first to rule out conditions such as bipolar (manic-

depressive) disorder, in which grandiosity may be a prominent

feature. From the medical perspective, a number of questions

other than the practicalities of treatment can be raised. For

example can physicians and psychiatrists help in identifying

features of hubris and contribute to designing legislation, codes

of practice and democratic processes to constrain some of its

features? Can neuroscientists go further and discover through

brain imaging and other techniques more about the presenta-

tions of abnormal personality? (Goodman et al., 2007).

We see the relevance of hubris by virtue of it being a trait or

a propensity towards certain attitudes and behaviours. A certain

level of hubris can indicate a shift in the behavioural pattern

doi:10.1093/brain/awp008 Brain 2009: Page 1 of 11 | 1

Received September 29, 2008. Revised December 10, 2008. Accepted January 5, 2009! The Author (2009). Published by Oxford University Press on behalf of the Guarantors of Brain. All rights reserved.For Permissions, please email: [email protected]

Brain Advance Access published February 12, 2009

at Western W

ashington University on February 1, 2014

http://brain.oxfordjournals.org/D

ownloaded from



ì BRAINA JOURNAL OF NEUROLOGY

OCCASIONAL PAPER

Hubris syndrome: An acquired personalitydisorder? A study of US Presidents andUK Prime Ministers over the last 100 yearsDavid Owen1 and Jonathan Davidson2

1 House of Lords, London, UK2 Department of Psychiatry and Behavioural Sciences, Duke University Medical Center, Durham, USA

Correspondence to: Lord David Owen,House of Lords,SW1A 0PW London, UKE-mail: [email protected]

‘The history of madness is the history of power. Because

it imagines power, madness is both impotence and omni-

potence. It requires power to control it. Threatening the

normal structures of authority, insanity is engaged in an

endless dialogue—a monomaniacal monologue sometimes—

about power’.

Roy Porter

A Social History of Madness: Stories of the Insane, Weidenfeld

& Nicolson, 1987 p. 39

IntroductionCharisma, charm, the ability to inspire, persuasiveness, breadth of

vision, willingness to take risks, grandiose aspirations and bold

self-confidence—these qualities are often associated with success-

ful leadership. Yet there is another side to this profile, for these

very same qualities can be marked by impetuosity, a refusal to

listen to or take advice and a particular form of incompetence

when impulsivity, recklessness and frequent inattention to detail

predominate. This can result in disastrous leadership and cause

damage on a large scale. The attendant loss of capacity to make

rational decisions is perceived by the general public to be more

than ‘just making a mistake’. While they may use discarded

medical or colloquial terms, such as ‘madness’ or ‘he’s lost it’,

to describe such behaviour, they instinctively sense a change

of behaviour although their words do not adequately capture

its essence.

A common thread tying these elements together is hubris, or

exaggerated pride, overwhelming self-confidence and contempt

for others (Owen, 2006). How may we usefully think about a

leader who hubristically abuses power, damaging the lives of

others? Some see it as nothing more than the extreme mani-

festation of normal behaviour along a spectrum of narcissism.

Others simply dismiss hubris as an occupational hazard of pow-

erful leaders, politicians or leaders in business, the military and

academia; an unattractive but understandable aspect of those

who crave power.

But the matter can be formulated differently so that it becomes

appropriate to think of hubris in medical terms. It then becomes

necessary first to rule out conditions such as bipolar (manic-

depressive) disorder, in which grandiosity may be a prominent

feature. From the medical perspective, a number of questions

other than the practicalities of treatment can be raised. For

example can physicians and psychiatrists help in identifying

features of hubris and contribute to designing legislation, codes

of practice and democratic processes to constrain some of its

features? Can neuroscientists go further and discover through

brain imaging and other techniques more about the presenta-

tions of abnormal personality? (Goodman et al., 2007).

We see the relevance of hubris by virtue of it being a trait or

a propensity towards certain attitudes and behaviours. A certain

level of hubris can indicate a shift in the behavioural pattern

doi:10.1093/brain/awp008 Brain 2009: Page 1 of 11 | 1

Received September 29, 2008. Revised December 10, 2008. Accepted January 5, 2009! The Author (2009). Published by Oxford University Press on behalf of the Guarantors of Brain. All rights reserved.For Permissions, please email: [email protected]

Brain Advance Access published February 12, 2009

at Western W

ashington University on February 1, 2014

http://brain.oxfordjournals.org/D

ownloaded from

Hubris syndrome is a disorder of the possession of power, particularly power which has been associated with overwhelming success, held for a period of years and with minimal constraint on the leader.

JIM CO

LLINS

5 STAGES O

F AN

ORGA

NIZATIO

N IN D

ECLIN

E



ì  “We can never be gods, a`er all—

but we can become something less than human with frightening ease.”

N.K. Jemisin, The Hundred Thousand Kingdoms

ì  In order to ensure ethical behavior, one has to be able to:ì  recognize an ethical issueì  evaluate the ethical issueì  intend to follow the 'right' course of actionì  follow the 'right' course of action

ì  What organizational impediments might interfere with this process?

Ensuring Ethical Behavior


ì  “You need a moral corporate culture, and that is what is missing now…Codes of conduct are useless.”

ì  NORMAN BOWIE, the Elmer L. Andersen Chair in Corporate Responsibility, the Carlson School of

Management, the University of Minnesota




ì  “Enron had a corporate code of conduct, but their upper management was so devoid of ethics that the code became an inside joke. The best codes of conduct are worthless unless ethical conduct is modeled every day by the leadership.”

ì  C. WILLIAM THOMAS, the J. E. Bush Professor of AccounFng, Baylor University


ì  “A profession seeks to demonstrate a certain proficiency and excellence in prac&ce based on a systema&c body of knowledge; it aims at inculca&ng in its members a sense of responsibility towards others and in establishing a norm of behaviour and clearly defined qualifica&ons for membership.”

ì  Kanawaty, G. 1977. Turning the Management OccupaFon into a Profession.


①  a common body of knowledge res&ng on a well-‐developed, widely accepted theore&cal base;

②  a system for cer&fying that individuals possess such knowledge before being licensed or otherwise allowed to prac&ce;

③  a commitment to use specialized knowledge for the public good, and a renuncia&on of the goal of profit maximiza&on, in return for professional autonomy and monopoly power;

④  a code of ethics, with provisions for monitoring individual compliance with the code and a system of sanc&ons for enforcing it.

ì  Khurana, R; Nohria, N. and Penrice, D. 2005. Is Business Management a Profession?



ì  Compliance-based Codesvs

ì  Values-based Codes


ì  Our Credo

ì  We believe our first responsibility is to the doctors, nurses and patients, to mothers and fathers and all others who use our products and services…

ì  We are responsible to our employees, the men and women who work with us throughout the world…

ì  We are responsible to the communities in which we live and work and to the world community as well…

ì  Our final responsibility is to our stockholders.


Model of Motivation (Expectancy Theory)




Motivation

Model of Motivation

=


Motivation

Expectancy

Model of Motivation

=


Motivation

Belief that effort will lead to behavior

Model of Motivation

=




Motivation

Expectancy

Model of Motivation

Instrumentality

=

X


Motivation

Belief that behavior will be rewarded

Model of Motivation

=


Motivation

Expectancy

Model of Motivation

Valence Instrumentality

=

X X




Motivation

Value placed on the reward

Model of Motivation

=


Motivation

Expectancy

Model of Motivation

Valence Instrumentality

=

X X


ì How does this model inform our understanding of why individuals behave unethically?




ì  Suppose that you want to ensure that employees 'do the right thing.' What steps would you take to make certain this happens?


ì  BOARD/MANAGEMENT/EMPLOYEE SELECTIONì  CODE OF CONDUCT

ì  DEVELOPMENT AND IMPLEMENTATION

ì  TRAININGì  SPLIT TRAINING FROM ENFORCEMENTì  RECOGNITION OF ETHICAL DILEMMASì  ETHICAL DECISION-MAKINGì  CONSENSUS BUILDING/CONFLICT RESOLUTIONì  SHAPING ORGANIZATIONAL CULTURE

ì  GROUP PROCESSESì  RISK MANAGEMENT

ì  INDUSTRY SPECIFI


ì  CODE OF CONDUCTì  DEVELOPMENT AND IMPLEMENTATION

ì  Tailor-make your code ì  Get employees involved ì  Consult key stakeholdersì  Outsource the job only carefully ì  Seek out good examplesì  Be clear about scopeì  Be specific about implementationì  Plan for educationì  Be clear about enforcementì  Specify a sunset date




ì  THE SARBANES-OXLEY ACT:

ì  Quarterly CEO/CFO certification of periodic reports and internal controls

ì  Audit Committeeì  Independenceì  Financial expertiseì  Oversight of audit firmì  Complaint/whistleblowing proceduresì  Independent advisors authorized

Sarbanes-‐Oxley 406 (b)

ì  THE SARBANES-OXLEY ACT:

ì  CEO/CFO disgorgement of bonuses and stock profits upon restatement

ì  Loans to directors/officers prohibitedì  New crimes and enhanced penaltiesì  Federal regulation of auditing firmsì  Code of ethics for senior financial officers


ì  A code of ethics comprises standards reasonably necessary to promote




ì  A code of ethics comprises standards reasonably necessary to promoteì  honest and ethical conduct, including the

ethical handling of actual or apparent conflicts of interest between personal and professional relationships


ì  A code of ethics comprises standards reasonably necessary to promoteì  full, fair, accurate, timely, and understandable

disclosure in the periodic reports to be filed by the issuer


ì  A code of ethics comprises standards reasonably necessary to promoteì  compliance with the applicable governmental

rules and regulations




ì  A code of ethics comprises standards reasonably necessary to promoteì  the prompt internal reporting of code violations

to an “appropriate person or persons” identified in the code


ì  A code of ethics comprises standards reasonably necessary to promoteì  accountability for adherence to the code


ì  Code Building Exercise





ì  BOARD/MANAGEMENT/EMPLOYEE SELECTIONì  CODE OF CONDUCT

ì  DEVELOPMENT AND IMPLEMENTATION

ì  TRAININGì  SPLIT TRAINING FROM ENFORCEMENTì  RECOGNITION OF ETHICAL DILEMMASì  ETHICAL DECISION-MAKINGì  CONSENSUS BUILDING/CONFLICT RESOLUTIONì  SHAPING ORGANIZATIONAL CULTURE

ì  GROUP PROCESSESì  RISK MANAGEMENT

ì  INDUSTRY SPECIFIC


ì  TRACKING RESPONSIBILITYì  ENFORCEMENT

ì  REPORTINGì  REWARDS/SANCTIONS

ì  DISSENT

ì  COMPENSATION STRUCTURE

ì  PERFORMANCE APPRAISAL

ì  TERMINATION


ethical decision-making craig p. dunn, phdfaculty.wwu.edu/dunnc3/pp-sampleethicstraining.pdf ·...

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