This qualitative, phenomenological study explores how federal government employees perceive the ethics in a federal government agency located in the Eastern United States. Ethics is one of the leading critical factors in achieving organizational effectiveness and plays a role in shaping the long-term success of any organization. According to Constantin (2014) and Shane (1998), the deontological theory and agency theory provided foundations for this study to improve upon business ethics in the workplace. The sampling population was comprised of 100 federal employees; 20 employees were purposefully selected to participate in this study. Face-to-face interviews were conducted to gather insight and data to answer this studys open-ended research questions. The findings of this study contribute to the field by providing employee perspectives to understand the role of ethics in a federal government agency, and how leaderships behavior affects the ethics in the workplace. Every agency or organization is different based on the mission and consists of a diverse culture. Hence, the application of ethics varies widely. This study made advancement in scientific knowledge to address the gap and a necessity for further exploration to investigate ethical behaviors. Therefore, business managers, scholars, and practitioners in the federal government are provided an understanding of the opinions from the surveyed participants that can be used in practice and for future research. Keywords: Ethics, Corporate Social Responsibility, Ethics in Government I dedicate this dissertation to my parents, coaches, and mentors. Thank you for your support throughout this journey. Your words of encouragement helped me stay focus and contributed to my success of completing this research. Jasmyn and Kaleb, as your mother, I especially thank you for understanding and being patient with me as I spent long hours engaged in this process. As children of a single mother, the both of you realize and can appreciate that whatever you put your mind to, you can do it. I love you! As I live by these words, instill in my children, and say to others you are not defeated by what others say about you, rather you are defeated by what you say about yourself.Acknowledgments First and foremost, I would like to acknowledge God, the creator of heaven and earth. God continues to give me the wisdom, knowledge, and understanding which makes the impossible become possible. With gratitude and appreciation, I would like to acknowledge everyone who have supported and assisted me in the completion of this research study. I would like to especially thank Dr. Jim Marion, Dr. Audra Gardner, and Teresa Abney, you have shaped me to become a better writer and allowed me to think outside the box in preparation and completion of my research project. Additionally, I would like to extend my appreciation to the dissertation faculty. Your advice in this entire process was very beneficial. A note and encouragement for upcoming scholars, its not how you start, but how you finish! Table of Contents Abstract iv Dedication. v Acknowledgments. vi List of Figures. xi Chapter 1: Introduction to the Study. 1 Background of the Study. 1 Problem Statement 2 Purpose of the Study. 3 Research Questions. 4 Advancing Scientific Knowledge. 5 Significance of the Study. 6 Rationale for Methodology. 7 Nature of the Research Design for the Study. 7 Definition of Terms. 8 Assumptions, Limitations, Delimitations. 9 Summary and Organization of the Remainder of the Study. 10 Chapter 2: Literature Review.. 12 Theoretical Foundations. 13 Review of the Literature. 14 Summary. 36 Chapter 3: Methodology. 41 Introduction. 41 Research Methodology. 42 Research Design. 42 Population and Sample Selection. 43 Recruitment and Selection. 44 Sources of Data. 45 Interview?.??????????????????????????..45 Validity. 46 Reliability. 46 Data Collection Procedures. 47 Data Analysis Procedures. 47 Thematic Analysis?????????????????????????????..48 Ethical Considerations. 48 Limitations. 50 Summary. 51 Chapter 4: Data Analysis and Results. 52 Introduction. 52 Descriptive Data. 52 Data Analysis Procedures. 53 Results. 54 Ethical relationship between a manager and employee???????????55 Ethics challenges???????????????????????56 Where to seek additional guidance on ethics????????????.57 Reacting to a situation if leadership told employee to do something unethical ????????????????????????????????????????59 Informing your supervisor that the ethics program is outdated???????59 Compliance hallenges?????????????????????60 Ways to improve communication and application of compliance policies?61 How to report an infraction of rules, protocols, code of conduct, and compliance policies?????????????????????????????.62 Summary. 64 Chapter 5: Summary, Conclusions, and Recommendations. 65 Summary of the Study. 65 Summary of Findings. 66 Conclusions. 71 Implications. 73 Theoretical implications????????????????????.73 Practical implications?????????????????????.74 Future implications?????????????????????????????.74 Recommendations for future research???????????????????..75 Recommendations for practice???????????????????????.76 Concluding Remarks. 76 References. 78 Appendix A: Participant Interview Questions. 100 Appendix B: Worksite Permission 102 Appendix C: Consent Letter Pilot Study Invitational Letter 105 Appendix D: Pilot Study Invitational Letter Error! Bookmark not defined. Appendix E: Data Collection Diagram for Thematic Analysis. Error! Bookmark not defined. Appendix F: Permission to Use Participant Interview Questions 106 Appendix G: Collaborative Institutional Training Initiative (CITI) Certificate. 114 Figure 1. Theory of Reasoned Action Model????????????????????? 27 Figure 2. Transformative Learning Model??????????????????????.. 28 Figure 3. Results of Theme 1?????????????????????????????. 56 Figure 4. Results of Theme 2?????????????????????????????. 57 Figure 5. Results of Theme 3?????????????????????????????. 58 Figure 6. Results of Theme 4?????????????????????????????. 59 Figure 7. Results of Theme 5?????????????????????????????. 60 Figure 8. Results of Theme 6?????????????????????????????. 61 Figure 9. Results of Theme 7?????????????????????????????. 62 Figure 10. Results of Theme 8????????????????????????????.. 63 Figure 11. Results of Theme 9????????????????????????????.. 64 Ethics is a branch of philosophy that defines what is good for the individual and society (Krishnan, Krishnan & Pattanayak, 2014). Ethics play a role in shaping the long-term success of an organization (Krishnan, Krishnan & Pattanayak, 2014). Ethics are moral principles that govern a persons behavior or the conducting of an activity (Oxford Dictionary). It establishes the nature of obligations, or duties, that people owe themselves and one another (Carrassi, 2014). In modern society, ethics defines how individuals, business professionals, and corporations choose to interact with one another (U.S. Legal, n.d.). The study of the relationship between ethics and government employees is vital in determining how ethics influence the federal government workplace environment. Management represents the decision-making influence in applying ethical behaviors in an organization (Chekwa, Ouhirra, Thomas & Chukwuanu, 2014). Organizations will in fact engage in ethical practices for one of two reasons, one ethical in nature and one more machiavellian (Torres, 2015). The ethical motivation guiding business is related to a desire to do the right thing, without external or governmental constraint (Krishnan, Krishnan & Pattanayak, 2014). Employees are an integral part of the organizations ethics (Joyner & Payne, 2002). Casson (2013) highlighted ways in which ethics are inherent in all aspects of business, such as actions and decisions that are made by managers and employees. Ethical issues differ by the structure of governance, conduct by leadership, and are critical to resolving matters and building trust (Smit, 2013). Ethics is a structure for accountability, supervision, compliance with rules and obligations, and is necessary for the good of society (Carrassi, 2014). In many cases, governments are still trying to do business in ways that are based on conditions, priorities, and approaches that existed decades ago and are not well suited to addressing 21st century challenges (Nguyen & Pham, 2015). For example, some agencies do not yet have all the necessary abilities, more flexible legal authorities, and leadership and management capabilities to transform their cultures and operations (Ferrell, Fraedrich & Ferrell, 2015; Verschoor, 2014). Consequently, to successfully navigate transformations across the government, it must fundamentally reexamine not only business processes, but also outmoded organizational structures, management approaches, and in some cases, outdated missions (U.S. Government Accountability Office). Organizational management, as a field and subject, continues to evolve (Rainey, 2009). The issue prevailing with regard to ethics and employees is that employees were not highly valued, and limited resources were provided for employee empowerment (Engelbrecht, Heine & Mahembe, 2014). Such a view gave way to the birth of ethics in the field of management, which was exposed by management intellectuals in the 1980s (Blaga, 2013). Similarly, organizational leadership evolved to the extent that a rise in democratic leadership styles occurred (Hassard, 2012). The importance and value of people to organizations began to appear in motivational and leadership theories (Devine, 2012). It is not known how federal employees perceive the ethics in the federal government workplace. Thus, this research explores how federal employees perceive the ethics in the workplace, and the impact of government efficacy. Existing literature and researchers emphasize moral principles, transparency, and value, which are necessary elements of business ethics (Bota-Avram, 2013; Ionescu, 2012; Kearney & Kruger, 2013; Nicolaescu, 2013; Stefanescu, 2014; Verchoor, 2013). Managers who uphold ethical practices are able to manage business operations justly and fairly (Chekwa, Ouhirra, Thomas & Chukwuanu, 2014). Businesses have complete freedom to do as they will, if accountability is unclear and not well defined (Minculete & Olar, 2014). Individual principles are essential and must be in compliance (Fulop, 2014). The presence of an appropriate ethical code exemplifies a display of business ethics (Nainawat & Meena, 2013). Ethics necessitates equally self-awareness and a cognizance of the societies in which life evolves (Woermann, 2013). The perception of ethics as relating to business embraces numerous implications and suggestions, and is the center of human conduct (Kasasbeh, Harada, Osman & Aldalayeen, 2014). Ethical behavior enhances performance (Rihma & Meel, 2013). The significant aspects for upholding the ethical conduct of agencies are instituting ethics, governmental structures, government efficacy, governing value and quality, and control of exploitation (Bota-Avram, 2013). The purpose of this qualitative study was to explore and understand through the obtaining of information from key participants, how Federal Government employees perceive ethics in a federal government agency. The overall aim of this study was to draw upon the expertise, work experience and the vision of management and employees to investigate whether ethics are necessary to operate effectively. Purposeful sampling was used for the recruitment of participants for this study. Purposeful sampling is commonly used in qualitative research. It involves selecting research participants according to the needs of the study (Glaser, 2002) in that researchers choose participants who can give a richness of information that is suitable for detailed research (Patton, 2002). The selection criteria for inclusion were professionals who could articulate their experiences as it relates to the phenomena being investigated. The research results of this study identifies needs and gaps, and provide insightful information for improving government efficacy. The researcher explored the individual lived experiences and expertise of the key participants using the participant interview questions (Appendix A). The participants were chosen because of their unique status, experience, and knowledge of the federal government workplace. Interviews were conducted after permission from the Columbia Southern Universitys Institutional Review Board to conduct the study was obtained. Interviewing is the principal method of gathering information in qualitative research to guide the participant in answering a particular research question (Stuckey, 2013). The interviews were conducted face-to-face at the participants work site during non-duty hours (Appendix B). Ethics is a subject of much research (Bryman & Bell, 2011). The concept of ethics is a branch of philosophy that defines what is good for the individual and society (Krishnan, Krishnan & Pattanayak, 2014). Ethics exemplifies acceptable techniques to operate a business (Coglianese, Healey, Keating & Michael, 2004). The phenomenon being studied is how federal employees perceive ethics within the federal government. The following research questions guided this qualitative study: RQ1: How do federal government employees perceive ethics at a federal government agency located in the Eastern United States? RQ2: How does leadership behavior, as perceived by government employees, affect the influence of ethics at a federal government agency located in the Eastern United States? A gap exists in the literature necessitating further exploration to investigate ethical behaviors in the federal government workplace. The agency theory and deontological ethical theory were employed in this study to investigate the problem statement and to answer the research questions. The deontological ethical theory and agency theory emphasizes the role of governance in improving business ethics, and ethics-based influences on business (Nicolaescu, 2013). The deontology theory is a part of philosophy that takes instantaneous prominence in this study because the theory relates to apart of ethics which involves the duties and conduct of individuals who practice a particular occupation. (Constantin, 2014). Deontology deals with the correct standard of actions for every person (van Staveren, 2013). The determination of what actions are ethical and what actions are ethically offensive clearly affects how a person lives, if that person is conscientious (MacIntyre, 1990). However, a part of human nature is understanding ones conduct, and in that fashion to improve explicit ethics (Rasmussen, 2014). The agency theory is based on the assumptions that when proprietorship is divided from the governance of a large business, the supervisor is substituting as a manager on behalf of the proprietor and is inclined to making ethical hazards such as evading and seizing prosperity at the cost of the principal (Shane, 1998). The agency theory focuses on the notion that in a contemporary business, there is a division between proprietorship and management, causing organizational expenses related with solving the conflict concerning the proprietors and the manager (Berle & Means, 1932; Jensen & Meckling, 1976). The division between proprietorship and management imply that management cannot be trustworthy, which calls for stern observation in order to safeguard the investors interest (Hendry & Kiel, 2004). The significance of this study is that it provides employee perspectives to understand the role of ethics in a federal government agency. Researchers suggest that some organizations have not explicitly demonstrated commitment toward ethics (Chekwa et al., 2014). Since governance emerges as one of the leading critical factors in achieving organizational effectiveness, the moral responsibilities of organizations are important regardless of their type, size, or geographical location (Wright, 2014). Considering the fact that society represents a global economy, the concept of ethics is a topic of global concern with worldwide implications (Nainawat & Meena, 2013). This study, which addresses/defines ethics within the federal government, is important for several reasons. First, it brings the strengths of many governance structures to the field in the aftermath of scandals such as Maxwell, Enron, European Commission, and WorldCom, which attracted global attention (Willits & Nicholls, 2014). Second, this study compiles a diverse wealth of potentially meaningful information/data obtained from federal employees in their respective fields that can be used to create an ethics training program. Finally, it brings this information to a wider audience of government agencies, practitioners, and organizations to assist them in the development of their own ethics policies. Ethics is a structure of moral values (Beauchamp & Childress, 2001), and is needed to incorporate into day-to-day business practices. Managers have the responsibility to practice an ethical course of action to direct business in its entirety in an attempt to achieve objectives (Casson, 2013). Ethics requires a common and comprehension complexity, which compels society to stay alert to uphold accountable thoughts and actions (Woermann, 2013). The qualitative methodology is best suited for this study because it provides an understanding and interpretation of social relations (Stuckey, 2013). The qualitative approach was employed to understand how federal government employees perceive the ethics. Additionally, the methodology provides an understanding of how the behavior of leadership, as perceived by government employees, affects the ethics at a federal government agency. This research design was appropriate because the responses of the participants can be shared and used in the development of an ethics training model and/or protocols. The interview is one of the methods for collecting data in a qualitative study because the holistic accounts of activities or events are emphasized in detail (Isaacs, 2014). The interview provides a source for discovering an individuals inward emotional feelings, state and views (Jamshed, 2014). Government employees were interviewed via the use of open-ended participant interview questions (Appendix A). Individual interviews were conducted until data saturation occurred. Narrative interview data were analyzed to extract the essence of the lived experiences from the perspective of the participants. The common research objective focus of a qualitative study is viewing the research through a wide-angle lens, and examining the breadth and depth of phenomena (Kemparaj & Chavan, 2013). The phenomenological research design is ideal for this qualitative study because the design will describe the participants phenomenon in detail, draw results based on subjective facts, and understand the importance of the participants experiences (Corley, 2011). Phenomenology is considered a process as well as a method, and the procedure involves studying a small number of subjects through extensive and prolonged engagement to develop patterns and relationships of meaning (Isaacs, 2014). During this process, the researcher sets aside his/her own experiences in order to understand those of the participants in the study (Creswell, 2009). The focus of phenomenological research designs explore a phenomenon of individual, normal, and societal impact from a perspective of the participants derived from their lived experiences (Abawi, 2012). Thus, phenomenological research designs are used to explore the different ways in which people conceptualize the world around them (van Wijk, 2014). The essential criterion of a phenomenological research design is that participants have experienced the phenomenon of interest (Isaacs, 2014). Phenomenological designs include empirical, hermeneutic, and heuristic (Chan, Fung & Chien, 2013). The number of participants in a phenomenological study varies, but data should be collected until saturation is determined and achieved through two possible approaches: a heuristic code that illuminates the relations of language, or numbered occurrences that are resolute from the data relations (Stuckey, 2013). This study explored the lived experience of the participants in order to understand the essence of a persons account of their experiences as it relates to the phenomena in question?ethics in the federal government. This list consists of terms, which are defined to understand significant concepts of this study. Ethics. The correct way to run a business by applying moral and ethical standards to daily business operations (Casson, 2013). Corporate Social Responsibility (CSR). The obligation of an organization to safeguard the fundamental human rights of employees (Nissanka, 2011). Governance. Good governance is aboutthe processes for making and implementing decisions (Wright, 2014). Its not about making ?correct decisions, but about the best possible process formaking those decisions. Good decision-making processes, and therefore good governance, share several characteristics. All have a positive effect on various aspects of local government including consultation policies and practices, meeting procedures, service quality protocols, officer conduct, role clarification, and good working relationships (Good Governance, 2012). The following assumptions were made in this study: Participants would answer the research questions truthfully based on the interview questions. All participants were informed of hazards, and given a chance to ask questions or withdraw from the study without prejudice or punishment by way of a signed consent letter. Additionally, research participants were informed that participation in the study was voluntary. Interview questions will accurately depict the influence of business ethics in the federal government. The participants lived experiences would add to the body of knowledge in regards to influence of business ethics in the federal government. The following limitations were present in this study: The research study occurred at a single point in time. The results of the study were based on the perceptions of government employees as to the influence of ethics in a federal government agency. The sample population was purposefully limited to federal government employees working at the same agency who could best perceive the ethics in the organization, therefore, minimizing generalization. The following delimitations were present in this study: This study included topics of ethics and governance structures. Exploring one topic would have made the study too broad. Perceptions by federal employees gave way to a larger scope for the study. This study included only federal government employees. The exclusion of other employees would remove the intricacies associated with other governmental structures. The purpose of this qualitative study was to explore how federal government employees perceive ethics in the federal government workplace. Ethics play a role in shaping the long-term success of government entities (Casson, 2013). The study of relationships between ethics and federal governance is vital in determining how business ethics influence an organizations business practices (Casson, 2013). Regulatory research suggests that the federal government must play a key role in developing a strong relationship between business ethics and governance (Coglianese et al., 2004). The concept of ethics in embraces various implications which revolve typically around the core of human behavior, in relation to what is suitable and improper (Kasasbeh et al., 2014). Chapter 1 provided an overview of the research study, a description of the research problem, a brief history of the research problem, purpose of the study, significance of the study, research design, and methodology. Chapter 2 presents the literature review. Chapter 3 describes the methodology, research design, and procedures for this investigation. Chapter 4 details how the data was analyzed and provides both a written and graphic summary of the results. Chapter 5 consists of interpretation and discussion of the results, as it relates to the existing body of research related to the influence of ethics in the federal government: perceptions by federal employees. Recommendations for future research arealso included in the final chapter. A thorough review of existing literature indicates that some organizations have not explicitly demonstrated commitment toward business ethics. The ethical duties of businesses and organizations are essential regardless of their industry, employee size, location, or ranking (Nguyen & Pham, 2015). The Ethics in Government Act is a U.S. federal law passed in 1978 (U.S. Office of Government Ethics, 1978). The Act also created the U.S. Office of Government Ethics (USOGE), an executive agency responsible for issuing rules and regulations about ethical conduct and financial disclosure, providing training in ethics, monitoring the ethics of practices in departments and agencies, and giving guidance on matters of ethics (U.S. Office of Government Ethics, 1978). The purpose of this qualitative, phenomenological study was to explore how federal government employees perceive ethics in a federal government agency located in the Eastern United States. The study of the relationship between business ethics and federal governance is vital in determining how business ethics can influence an organizations governance structures. Management is a part of the decision-making influence in applying ethical principles in relation to what is appropriate for the organizations success (Krishnan, Krishnan & Pattanayak, 2014). As such, this study explored whether federal governance and ethics are necessary for government organizations to operate effectively. The results of this study may provide significant information for improving government efficacy. This literature review is supported by empirical research articles, scholarly, peer-reviewed books, technical reports, and dissertations. This chapter contains a synopsis of existing literature that outlines the significance of the two theories used in this study?agency theory and deontology theory?as well as investigating the research questions. The theoretical framework provides the foundation or theories for this study; provides a conceptual basis for understanding the phenomena; serves as a basis for defining, and/or measuring a variable; and serves as a basis for collecting data through interviews. The agency theory and deontological theory are employed in this study to investigate the problem statement, and to answer the research questions. Both theories provide foundations for the role of federal governance in improving business ethics. The deontology theory is a part of philosophy that takes instantaneous prominence in this study because the theory relates to apart of ethics which involves the duties and conduct of individuals who practice a particular occupation(Constantin, 2014). Deontology deals with the correct standard of actions for every person (van Staveren, 2013). The determination of what actions are ethical and what actions are ethically offensive clearly affects how a person lives, if that person is conscientious (MacIntyre, 1990). However, a part of human nature is understanding ones conduct, and in that fashion to improve explicit ethics (Rasmussen, 2014). According to Shane (1998), the agency theory is based on the principle that proprietorship is divided from the governance of a large business, the supervisor is substituting as a manager on behalf of the proprietor, and is inclined to making ethical risks. The agency theory focuses on the notion that in a contemporary business, there is a division between proprietorship and management, causing organizational expenses related with solving the conflict concerning the proprietors and the manager (Berle & Means, 1932; Jensen & Meckling, 1976). This division between proprietorship and management imply that management cannot be trustworthy, which calls for stern observation in order to safeguard the stakeholders interest (Hendry & Kiel, 2004). From the perspective of businesses and concerns of governance, the agency theory assesses control contrivances as being a vital observing device in guaranteeing that any complications that may be conveyed about principal and management relationships are diminished (Aduda, Chogii, & Magutu, 2013). Governance improves business ethics. The U.S. Office of Government Ethics (USOGE) recommends promoting an ethical culture of transparency, efficiency, and accountability by soliciting employees ideas on how to maximize involvement in ethics including ethics responsibilities as a critical element in performance plans and formal appraisals for agency ethics officials, managers, supervisors, and employees (USOGE, 2011). The USOGE includes ethics duties in the position descriptions and performance appraisals of managers and employees to help ensure that ethics duties are effectively carried out, and that it promotes transparency, accountability, and measurability (USOGE, 2011). Nicolaescus (2013) study was based on a body of scholarship which included research that argued the beliefs of ethics theories, practices, and the scope of ethics (Sternberg; 2009; Woermann 2013; Wray-Bliss; 2013). Wray-Bliss (2013) explored ethics to some degree as being suitable for a chain of command, and the belief that thoughts and actions should be governed by reason. Wray-Bliss (2013) also viewed leadership as not being taken seriously by others who worked in an organization. According to Shane (1998), the supervisor or leader is the primary ethical agent. For that reason, the decision-making privilege over ethics was a concern not taken with upmost importance, and naturally delegated to the high-ranking manager or supervisor (Berle & Means, 1932; Jensen & Meckling, 1976). The broad construction of CEO partiality has a familiar effect, and clarifies articulation of the ethics topic (Nicolaescu, 2013). Wray-Bliss (2013) considered the opportunities and problems of an ever-changing organization in a behavior that supported Levinasian beliefs of responsibility and proximity. Wray-Bliss (2013) reassessed the view of leadership as a not taken seriously position as the locus of ethical authority in an organization, by investigating what type of ethical bias was assumed by the notion of a business leader. The prescribed, detached, and separated authority of leadership is an unreliable place to look for ethical restoration in organizations (Berle & Means, 1932; Jensen & Meckling, 1976). Leadership should not be assumed to be the only way of creating ethical organizations (Nicolaescu, 2013). Wray-Bliss (2013) further reasoned that the ethical challenges of organizations were mainly due to leadership. Sternberg (2009) argued that assessments of corporate governance measured the governing efficacy of corporate resources. The Corporate Social Responsibility (CSR) depiction attributes controlling authori
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