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Behavioral Model of Ethical and
Unethical Decision M aking
Michael ommer
Clarence Gratto
Jerry Gravander
Mark Tu ttle
ABSTRACT. A model is developed which identifies and
describes various factors which a ffect ethical and une thical
behavior in organizations, including a decision-maker s
social, government and leg al, work, professional and
personal environments. The effect of individual decision
maker attributes on the decision process is also discussed.
The model lin ks these influences with ethical and unethical
behavior via the mediating structure of the individual s
decision-making process.
ntroduction
Well-conceived schematic models are useful devices
in understanding behavior, especially in situations
where the individual is subjected to multiple forces.
The decision-making dynamics of an individual
faced with choices involving ethical issues are
complex. However, current models of ethical and
unethical behavior within organizations are gener-
ally not very helpful in understanding and explain-
ing that behavior.
Michael Bommer Clarence Gratto Jerry Gravander and Mark
Tuttle all come ore CIarkson University Potsdam N Y.
Michael Bommer is Professor and Chairm an of the De pt. o f
Management. He is co-author of two books. His articles have
been published in several ournals.
Clarence Gratto is Assistant Professorof Business Law.
Jerry Gravander is Associate Professorand Associate Dean of Liberal
Studies and he has w ritt en several articles published in
Technology Review . Journal of the Huma nities and
Technology and Journal of the International Society for
Technology Assessment.
Mark Tuttle is Assistant Professor at the School of Management
and he is the author of articles which appeared in
Journal
of Vocational Behavior and Journal of Educational
Psychology.
The absence of well-developed models o f ethical
and unethical behavior in organizations reflects a
dearth of research on t h e factors affecting this
behavior and on the ways in which these factors
enter into the underlying decision process. Not only
is there little relevant research, but w hat there is does
not lend itself to model building. For example,
business and professional ethics, a rapidly developing
sub-discipline w hich concerns i tself primarily with
the social and professional aspects of ethical and
unethical behavior in business and professional
contexts, has seen little research directed toward
uncovering the factors leading to ethical (and un-
ethical) behavior in various situations. Instead, there
is a considerable body of descriptive material o f two
ma in types: first, accou nts of particular cases of
actual decisions to act ethically or unethica lly (study
of unethical actions predominates) and, second,
surveys of managers about their attitudes toward
certain ethical dilemmas, their perceptions about the
circumstances within which these dilemmas cur-
rently must be resolved, and their beliefs about
changes in these circumstances which would make
resolution of the dilemmas easier. However, case
studies do not always indicate why particular deci-
sions were made, let alone indicate general causes
behind ethical and unethical behavior. For example,
Anderson et al (1980) conclu ded in their study of the
Bay Area Rapid Transit (BART) case that one could
not be sure about what happened, muc h less that one
could know who acted correctly and who incorrectly
and why. Moreover, survey studies, like the one
conducted by Flores (1982) about safety-related
decisions in design and product development, typi-
cally stop with an account of what people say they
would do in certain situations rather than determine
directly which actual unethical and ethical behaviors
would occur in those situations. Since this descrip-
Journal of Business Ethics
6 (1987) 265--280.
1987
by D. Reidel Publish ing Company.
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266 Mich ael Bom mer etaI
tire information does not identify the various
environmental and individual factors which influ-
ence decisions to act ethically or unethically, it
cannot indicate the relative importance of these
factors in determ ining the outc omes o f decisions.
The purpose of this paper is to propose and
describe a conceptual m odel of ethical and unethical
behavior in organizations. Although this model must
be viewed as a first attempt to identify and relate
the various factors whi ch influence managers deci-
sions to act ethically or un ethically, we b elieve that it
will increase the understanding of such behavior as
related to the many factors which affect the
manager s decision-making process. W e further
believe that this conceptual model of the decision
process underlying ethical and unethical actions
would be of considerable use to those who are
seeking to develop and implement programs which
would facilitate ethical behavior on the part of
decision makers, as well as to those who desire to
turn their research from the descriptive study of
ethical and unethical behavior to an investigation of
the underlying structure of such behavior and the
process leadin g to it.
A schematic diagram of the model appears as
Figure 1. This mo del groups un der several categories
a wide range of factors which the literature lists as
possible influences on managers decisions wh en
they are confronted by ethical dilemmas. These
categories include a de cision-mak er s social enviro n-
ment, government and legal environment, profes-
sional environment, work environment, personal
environment, and individual attr ibutes. The modd
links these influences with ethical and unethical
Government/legal
environment
W ork environment Legislation
t
Corporate goals t
Administrative agencies
Stated policy 1 Judicial s y s t e m
Corporate culture / ~ . . ~ ,~ \
.~ . . . . . . . ~ Information acquisition
Professional environment Information processing
Codes of conduct ] ~, Perception Cognitive process
Licensing requirements Degree of P erc ei ve dewards
Professional meetings ~ Perceived osses
Personal environment
Peer group
Family
influence
Social environment
Religious values
Humanistic values
Cultural values
Societal values
Individual attributes
M oral level
Personal goals
Motivation mechanism
Position/stares
Self concept
Life experiences
Personality
Demographics
Ethical behavior 1
Unethical behavior I
Fig. 1, A behavioral model Of ethical/unethical decision making.
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Behavioral Model 267
be ha v ior v ia t he m e dia t i ng s t r uc tu r e o f t he i nd iv id -
ua l' s de c is ion-m aking process . The dec is ion process
in the model func t ions as a cent ra l process ing uni t
w ith i ts ow n intern al characteristics such as the
individua l 's , cogni t ive s tyle , type of inform at ion
acquisi t ion and processing, and perceived levels of
loss and reward tha t inf luen ce the dec is ion. The
model a l so dis t inguishes be tween the degree of
inf luence whic h the dec is ion ma ker perce ives the
var ious fac tors to have and the inf luence they
actually have.
Given that the l i terature is scanty, i t is at best
suggestive about the inf luences on manag ers ' e thica l
(and unethical) behavior , an d i t mos t def initely does
not a f ford an exhaust ive ident i f ica t ion of the re le -
vant fac tors n or of pa t te rns o f poss ible inte rac t ion
among these . The ca tegor iza t ion adopted for the
model should thus be taken as tenta t ive . Moreover ,
as each of the yna jor ca tegories of the mo del , a long
wi th the d ec is ion process func t ion, a re descr ibed and
discussed in turn, the reader should rem em ber both
the pau c i ty of re levant research and i t s ineptness for
m o de l bu i ld ing .
oncepts and definitions
This pap er i s not prescr ipt ive wi th respec t to e thica l
and une thica l behavior , tha t i s , i t does not a t tem pt to
es tabl i sh which behaviors a re objec t ive ly-mora l ly
cor rec t and incor rec t in given s i tua tions. Ho wev er , i t
does mo re than me re ly describe dec is ion makers '
beliefs and att i tudes about their actions. I t is an
epidemiologica l invest iga t ion wh ich a ims to ident i fy
the fac tors which inf luence dec is ion makers to
behav e in cer tain si tuations, ei ther ethica lly or
une thica l ly . Some of these fac tors ente r into the
dec is ion makers ' mora l reasoning about the s i tua-
t ions , whereas others do not . The paper wi l l a t temp t
to iden t i fy w hich factors play a role in dec is ion
makers ' m ora l reason ing abou t th e e thica l s i tua tions
in which they a re involved, and i t wi l l suggest the
natu re o f the role these factors play.
Clear ly the key concepts involved in th e paper a re
e thica l and une thica l , and a cent ra l conceptua l
i ssue i s ho w e thical behavior i s ident i f ied and in
w ha t sense i t is ethical . Th ere is a long stand ing
t radi t ion in e thics wh ich holds tha t e thical behav -
ior i s behavior w hich i s show n to be objec tive ly
mo ra l ly cor rec t via appea l to a th eory o f mora l ly
correct (or permissible, obligatory, desirable, etc.)
action, and tha t it is ethical precisely because it
i s the behavior which i s r equi red by the theory.
However , many e thic is t s mainta in tha t the quest ion
of w hich e thica l theory i s cor rec t i s i t se lf answered
by appeal to cer tain ethical behaviors, that is , that
some behaviors in cer tain si tuations are so clear ly
mora l ly cor rec t tha t they provide a mora l intui t ion
wi th w hic h a ny t he or y m us t c o r r e spond i f it i s to be
cons idered corre ct (see, for example, Bo wie, 1982).
This paper unders tands e thica l behaviors to be
those behaviors th e correctness o f w hic h constitutes
the moral intuit ion in business and the professions.
The remaining quest ion i s which behaviors the
paper unders tands to be these l i tmus- tes t behaviors
in the business and professional contexts. They are
those which have been ident i f ied by exper ienced
managers and professionals as clear and exemplary
instances of ethical behavior. Such instances are
recorded and identif ied in, for example, the cases
pub l i she d by t he Boa r d o f E th ic a l Re v ie w of t he
Na tiona l Society of Professional Engineers, the
awards given for exem plary e thics in e ngineer ing by
the Insti tute for Electr ical and Electron ics Engineers,
and the ci tat ions for ethics in business given by the
Values in Business Management Program a t the C.
W . Post C enter of Long I s land U niversi ty .
A f inal issue is what exactly is meant by saying
envi ronmenta l and individua l fac tors inf luence a
dec is ion maker ' s se lec t ion of e thica l and une thica l
behavior . This paper does not presuppose str ict
behaviorism. First, on e of its objectives is to elu cida te
the pa t te rns of mora l reasoning used by dec is ion
makers and the way in which var ious fac tors ente r
into the i r dec is ions to choose e thica l and une thica l
behavior . Second, al though the model postulates that
a var ie ty of envi ronmenta l and individua l fac tors
inf luence decisions, i t does not assume that these
factors are suff icient condit ions for the selection of
par t icula r behaviors . On the cont ra ry, the model
assumes the factors are - indiv idua lly and in various
comb ina t ions - necessary condi t ions in the sense
tha t were the fac tors impinging on any given
individua l to change , tha t individua l ' s e thica l and
unethica l behavior wo uld be di f fe rent . Th e en vi ron-
mental and individual factors establish a context
wi thin which dec is ion makers must choose to ac t ,
a nd f r om thi s po in t o f v i e w the p r im a r y pur pose o f
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Michae l B om mer e t a l
t h e p a p e r s h o u l d b e i n t e r p r e t e d a s t h e i d e n t i f i c a t i o n
o f f ac t or s w h i c h a r e s u c h t h a t c h a n g i n g t h e m w o u l d
f a c i l i t a t e d e c i s i o n m a k e r s i n c h o o s i n g e t h i c a l o v e r
u n e t h i c a l b e h a v i o r s i n g i v e n s i t u a ti o n s .
o c ia l e n v i r o n m e n t
T h e s o ci al e n v i r o n m e n t o f a m a n a g e r i s t h e s e t o f
humani s t i c , re l ig ious , cu l tura l , and soc ie t a l va lues
g e n e r a ll y sh a r e d b y t h e m e m b e r s o f h i s o r h e r
s o c i e t y , a n d i n p a r t i c u l a r t h o s e v a l u e s o f t h a t
s o c ie t y 's s u b - g r o u p i n g s t o w h i c h t h e m a n a g e r b e l o n g s.
T w o a sp e ct s o f t h e i n f l u e n c e o f th e s o c i a l e n v i r o n -
m e n t o n m a n a g e r s ' d e c i s i o n s w i l l b e d i s c u ss e d i n t h is
sec t ion . F i r s t , a l though i t i s a t ru i sm tha t va lues
a f f e c t b e h a v i o r , e v i d e n c e s e e m s t o i n d i c a t e t h a t w i t h
r e s p e c t t o e t h i c a l a n d u n e t h i c a l b e h a v i o r o n t h e j o b ,
m a n y m a n a g e r s w i l l n o t a d h e r e t o g e n e r a l s o c i a l
v a l u e s u n le s s t h e s e a r e a ls o i n c o r p o r a t e d w i t h i n t h e i r
p r o fe s si o n al o r w o r k e n v i r o n m e n t . S e c o n d , s o m e
e t h i c i s t s h a v e r e c e n t l y a r g u e d t h a t s o m e g e n e r a l
soc ia l va lues a re no t neces sa r i ly app ropr i a t e gu ides to
b e h a v i o r i n c e r t a i n m a n a g e r i a l a n d b u s i n e s s s i t u a -
t io n s . B r a d y ( 1 9 85 ) h a s r e c e n t l y p r o p o s e d a m o d e l t o
a i d i n t h e u n d e r s t a n d i n g o f h o w a s o c ie t y 's v a l u e s
a n d b u s i n e s s i n t e r p l a y . B r a d y a r g u e s t h a t o f t e n t h e
t y p e o f e t h i c a l d i l e m m a i n f l u e n c e s h o w s t r o n g l y
soc ie ty 's va lues e f fec t the dec i s ion . In som e s i tua t ions
( f o r e x a m p l e , e q u a l e m p l o y m e n t ) o f t e n a f o r m a l i s t
v i e w i s t a k e n w h e r e t h e d e c i s i o n m a k e r d o e s u s e
s o c i e t y ' s v a l u e s y s t e m i n t h e d e c i s i o n - m a k i n g p r o -
c e s s , w h i l e i n o t h e r s i t u a t i o n s ( f o r e x a m p l e , n u c l e a r
p o w e r o r g e n e t i c e n g i n e e r i n g ) i n d i v i d u a l s t e n d t o b e
m o r e p r a g m a t i c a n d c o n c r e t e o r d o n o t u s e s o c i e t y ' s
va lue sys tems as a gu ide .
C a s e u p o n c a s e r e p o r t o n m a n a g e r s w h o m a k e
o n - t h e - j o b d e c i s i o n s t h a t v i o l a t e g e n e r a l s o c i a l
v a l u e s . M a n y c r i f c s t a k e t h i s a s e v i d e n c e t h a t
b u s i n es s a n d e t h i c s d o n o t m i x , t h a t is , t h a t m a n a g e r s
d e l i b e r a t e l y c h o o s e t o a b a n d o n g e n e r a l s o c i a l v a l u e s
i n t h e c o n d u c t o f t h e ir m a n a g e r i al d u t ie s . H o w e v e r ,
a m a n a g e r ' s f a i l u r e to f o l l o w h i s o r h e r g e n e r a l s o c ia l
v a lu e s w h i l e o n t h e j o b i s p r o b a b l y m o r e c o m p l e x
t h a n t h i s . M a n a g e r s d o n o t a p p e a r t o m a k e o n - t h e -
j o b d e c is io n s t h a t t h e y b e l ie v e a r e u n e t h i c a l w i t h i n
t h e j o b - r e l a t e d c o n t e x t i n w h i c h t h e d e c i s io n s a r e
m a d e , a s c a n b e c o n c l u d e d f r o m t h e a n a l y s i s o f
n u m e r o u s c as es o f e t h ic a l a n d u n e t h i c a l b e h a v i o r i n
the bus ines s contex t ( s ee , for example , Fa i rwea the r ,
1 9 80 ; C o h a n a n d w h i t c o v e r , 1 9 8 0 ; V a n d i v i e r , 1 9 8 0 ).
I n t h e s e c a s e s , m a n a g e r s w h o h a v e b e e n a c c u s e d o f
u n e t h i c a l o n - t h e - j o b b e h a v i o r w i l l s a y s u c h t h i n g s
a s, I a m n o t t h a t t y p e o f p e rs o n . I a m a n e l d e r i n m y
c h u r c h , a c t i v e i n c o m m u n i t y a f f a i r s , a g o o d f a m i l y
m a n , a B o y S c o u t l ea d e r , a n d s o o n . I j u s t t h o u g h t
t h i s w a s t h e w a y y o u w e r e s u p p o s e d t o a c t i n t h i s
b u si ne ss . S u c h s t a te m e n t s i m p l y th a t m a n a g e r s a r e
e th ica l s egrega t ion i s t s, t ha t i s , t ha t t hey s eg rega te on -
t h e - j o b e t h i c a l b e h a v i o r f r o m o f f - t h e - j o b e t h i c a l
b e h a v i o r a n d a p p l y d i f f e r e n t s e ts o f v a l u e s t o e a c h .
T h i s i m p l i e s, i n t u r n , t h a t m a n a g e r i a l d e c i s io n s w i l l
c o r r e s p o n d m o r e c l o s e ly t o t h e h u m a n i s t i c , r e li g i o u s ,
c u l t u r a l , a n d s o c ie t a l v a l u e s o f s o c i e t y - a t - l a r g e o n l y
w h e n t h e se v a lu e s ~ re m a d e p a r t o f t h e j o b e n v i r o n -
m e n t . T h i s w o u l d o c c u r e i t h e r b y i n c o r p o r a t i n g
t h e s e g e n e r a l s o c ia l v a l u e s in t o t h e c o d e s o f c o n d u c t
w h i c h a r e p a r t o f m a n a g e r s ' p r o f es s i o n a l e n v i r o n -
m e n t , i n c l u d i n g t h e m i n t h e c o r p o r a t e c u l t u r e a n d
p o l i cy o f t h e ir w o r k e n v i r o n m e n t , o r b o t h .
B e f o r e g e n e r a l s o ci a l v a l u e s c o u l d b e i n c o r p o r a t e d
i n t o m a n a g e r s ' p r o f e s s i o n a l a n d w o r k e n v i r o n m e n t ,
t h e q u e s t i o n o f w h i c h s o c ia l v a l u e s a r e a p p r o p r i a t e
t o t h e j o b c o n t e x t m u s t b e a n s w e r ed . T h e t r a d it i o n a l
a n s w e r f r o m e t h i ci s ts h a s b e e n , A l l o f t h e m . F o r
e x a m p l e , s o m e w r i t e r s o n p r o f e s s i o n a l e t h i c s h a v e
a r g u e d t h a t s e p a r a te c o d e s o f c o n d u c t f o r th e
profes s ions a re u nnece s sa ry ; a ll t ha t i s ne ede d i s . t he
s i m p l e s t a t e m e n t t h a t g e n e r a l l y h e l d s o c i a l v a l u e s
apply to profes s iona l dec i s ions (Pavlovic , 1980;
O l d e n q u i s t a n d S l o w t e r , 1 9 7 9 ). R e c e n t l y t h is t r a d i -
t i o n a l w i s d o m h a s b e e n c h a l l e n g e d . F o r e x a m p l e ,
w i t h r e s p e c t t o t h e v a l u e o f tr u t h - t e l l i n g , s o m e
c r i t i c s h a v e a r g u e d t h a t a l t h o u g h t r u t h - t e l l i n g i s a
v a l u e t h a t s h o u l d h a v e b r o a d a p p l i c a t io n i n b u s i n e s s,
t h e r e a r e c e r t a i n b u s i n e s s a n d m a n a g e r i a l s i t u a t i o n s
t o w h i c h i t s h o u l d n o t b e a p p l i e d ( C a r r , 1 9 8 3 ;
G r a v a n d e r, 1 9 8 2 ) . T h e y a r g u e t h a t t h e r e m a y b e
a s p e c i e s o f b u s i n e s s b e h a v i o r w h i c h i s p r o p e r l y
l a b e l e d b u s in e s s b l u f f in g , w h i c h a l t h o u g h it i s n o t
t h e t r u t h , s h o u l d n o t b e c o n d e m n e d t h r o u g h a n
a p p l i c a t i o n o f a t r u t h - t e l l i n g v a l u e . T h e y b a s e th e i r
c a s e o n a n a n a l o g y t o p o k e r b l u f f i n g , w h i c h i s n o t
t h e t r u t h , b u t a l s o i s n e v e r c o n d e m n e d a s a l i e . T h i s
e n t i re a r e a o f i n q u i r y , h o w e v e r , n e e d s m o r e d e v e l o p -
m e n t b e f o r e o n e c o u l d d e c i d e, fir st, h o w m u c h o f an
e x e m p t i o n f r o m g e n e r a l s o c i a l v a l u e s t h e s e c r i t i c s
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want to give business and, second, whether their
po sition is valid.
o v e r n m e n t a n d le g a l e n v i r o n m e n t
Laws are values and mores of society that have the
force o f i ts form al authori ty. Legal and ethical
are not necessarily synonymous. Nevertheless, the
lega l dimension i s an important de te rminant in
many ethical decisions. Some individuals are not
dissuaded fr om a course o f act ion by i ts il legali ty o r
the threa t of punish men t , but they a re the exception.
M ost individuals feel comp elled to refrain from an
act ion which is specifical ly prohibi ted by law. This
effect of legal considerations on managers' ethical
decisions is du e n ot jus t to the legal consequences
wh ich fol low from breaking the law, but a l so to
the strong social st igma associated with the label
i llegal , as we ll as the desire to com ply with the
mo ra l force beh ind the law.
In o rder to b e effect ive, law s nee d to be act ively
enforced. However, because of the their complexi-
ties, business-related crimes by managers are often
not rigorously prosecuted. It is frequently difficul t
for investigating officers, prosecutors, judges, and
jurists to understand the intricacies of the offense.
Fur ther , s ince the harm i s of ten of an economic
nature rather than physical , and because the crime's
v i c t i m ma y be a n i nsura nc e c ompa ny or o t he r
corporat ion that does not el ici t sympathy, the cases
may be given low p r ior i ty by prosecutors (McGowan,
1983) , Thus , the ac tua l e nforce me nt policy may
resul t in low r i sk of de tec t ion, token enforcement
and prosecution, and relat ively l ight sentences with
on l y shor t i f a ny i mpr i sonme nt i n a mi n i mum
security inst i tut ion (G els and Stotland, 1980 ). In
contrast to the ir relative legal insignificances, crimes
by managers hold out the possibi l i ty of very large
personal or corporate financial rewards. Thus,
managers, who refrain from business-related crime
ma y be more mot i va t ed by t he mora l fo rc e be h i nd
the law and the soc ia l st igma o f breaking i t than by
the legal consequences.
Crimes by managers cannot be a t t r ibuted to
ignorance of the law. It i s true tha t f rom the
perspec tive of the individua l dec is ion maker w i thin a
large organization, m ost o f the law's inst i tut ions are
remote . Co nsequent ly, the individua l 's percept ion o f
w hat the law requires has l ikely bee n obtained
informally. For example, not ion s of w hat the law is
come from conversa t ions wi th other non-profes-
sionals, and many of the subt let ies and reasons for
the law are lost . Further, the ind ividual 's infor m ation
is of ten da ted. However , ignorance of what i s
required appears to be a factor in only a very few
wh ite col lar crimes (Meier and G els, 1982), and
thi s f inding can probably be extended to the ful l
range o f i llegal actions o pen to m anagers.
O f grea te r inf luence on a manag er contempla t ing
committ ing a crime is the probabil i ty of detect ion.
This influenc e stems f rom two dist inct factors. First,
expectat ions about the probabil i ty of an event 's
de tec t ion a re more important in de te rmining r i sk
taking than i s the magni tude of the expec ted
consequence (Dickson, 1978) . Thus , thou gh the
punishment for the c r ime might be smal l , the
certainty of detect ion is a powerful deterrent . This
may be due to the social st igma which is associated
with detect ion, since even when managers escape
severe pu nish m en t for the ir business-related crimes,
they of ten become par iahs among the i r former
friends an d associates. Second, wh ile the research
indicates th at the re is deterren t effect fro m rigorous
prosec ution o f crime (G els and Stotland, 1980), the
converse un do ub tedly is t rue, also. Lack o f vigorous
prosecution of certain violat ions indicates to the
decisio n-m aker that the particular con du ct is being
condoned . That is , low probabi li ty of d e tec t ion due
to lackadaisical enforcement robs the law of i ts
m oral force.
O f inte res t in co nnec t ion wi th thi s l a t te r po int i s
the relat ive effect of g ove rnm ental agencies. Because
of the i r broad powers , they can change the prob-
abi li ty of d etect ion for certain crimes. For example,
the FBI's enf orce me nt priori ties w ere shifted by the
Reagan adminis t ra t ion to re f lec t l ess concern w i th
wh ite col lar crimes such as em bez zlem ent and
fraud. There was concern a t the t im e in the Jus t ice
Depar tment tha t wrongdoers would ta i lor the i r
c r imes so as to fa ll shor t of the am ounts tha t wo uld
attract investigation by federal agents and, thus, that
wh ite col lar crim e wo uld increase (Taylor, 1984).
P r o f e s s i o n a l e n v i r o n m e n t
Th e profess iona l env i ronm ent of a manager i s the
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270
Michael ommer et aL
inst i tut ional ized professional co ntext with in w hich a
manager pract ices. This is qui te different than the
vague and informal ident i f i ca t ion of a person as
professional , by wh ich is m ean t the person is
com petent and responsible . Wh i le persons w ho see
themselves as professional in this sense ma y strive to
bring h igh ethical standards to th eir decisions, such
efforts are best un derstoo d as at tempts b y individuals
to adhere to their personal values. Fields of act ivity
are properly designated professions only i f they
are characterized by (a) professional associations, (b)
established licensing procedures, or (c) both .
To say that a l icensing procedu re is establ ished is
to say that at least som e aspects of th e profession
are closed to individuals w ho are no t l icensed via
a form al l icensing pro cess. In a field with an
established licensing procedure, individuals cannot
ident ify themselves as members of that profession
unless they h old a l icense. Th ou gh the possibil ity of
loss of one 's l icense is a powerful deterrent to
unethical behavior, management is not a l icensed
profession.
Professional associat ions play an imp ortan t role in
bo th regulat ing the professions and co ntrol l ing entry
to them . For example, the Am erican Bar Association
and the ma jor en ginee ring professional associat ions
accredi t law and en ginee ring degree programs, a nd i t
is impossible (in the case of law ) or very difficul t (in
the case of eng ineering) to practice in these areas
wi thout graduat ing f rom an accredi ted program.
Not all fields have professional associations which
are thi s dominant , but even in those which do not
the relat ionship between the individual and the
professional organ izat ion is such th at th e individu al
has th e se lf-image and social status of professional by
virtue of m em bers hip in the association. Professional
associat ions typical ly have formal and published
standards of professional co nd uct ( Flor es, 1980;
Layton, 1981), and re cent cou rt rul ings h ave been
based on the principle that the public perceives
membership in a professional associat ion as a
guarantor o f mem bers ' adherence to these standards
(May, 1983).
Professional associations typically demand ethical
behavior 'via formal codes of ethics. Some cri t ics
argue that these codes should be taken as merely
suggest ive of what various professions take to be
moral ly important , since at tempts to fol low these
codes forces professionals into unacceptable moral
quand ries (Leugenbiehl , 1983). For example, eng i-
neerin g codes require th at eng ineers be loyal to the ir
cl ients and employers and a lso blow the w his t le on
them, and since i t seems impossible to do both
simultaneously, engineers are forced to choose
betw een differen t violat ions o f the cod e (Gravander,
1981). Moreover, i t is not always clear wh at course o f
act ion com plies with the codes in specific si tuat ions.
A recent survey of chemical engineers revealed
considerable differences of opinion about what was
ethical ly c orrect wh en th ey were asked to apply their
professional co de o f ethics to a set o f case studies
(Kohn and Hug hson, 1980).
In spi te o f these difficult ies w ith codes o f ethics,
professionals exhibi t considerable interest in com-
plying with the ethical standards establ ished by th eir
codes. For example, the Nation al Society of Profes-
sional Engineers regularly publishes hypothetical
cases in which i ts Board of Ethical Review applies
t he N SPE C ode t o t he t ype o f e t h ic a l p rob l e m
encou ntered in engineer ing, and there has recent ly
been considerable act ivi ty within the engineering
communi ty di rec ted toward formula t ing a c lear ,
unified code by whic h all enginee rs can easily
regulate their professional conduct (Oldenquist and
Slowter, 1979). M oreover, professional associations,
especial ly in engine ering, have increasingly taken to
enforcing their codes via expulsion of violators
(Mart in and Schinzinger, 198 3; Un ger, 1982), and
this sanction, eve n th ou gh i t real ly involves only loss
of status, has been p erceived as so extrem ely undesir-
able by som e mem bers tha t presumably i t has some
general effectiveness in forcing com pliance (see, for
examp le, Fairweather, 1980). In ad ditio n to sanctions
to force compliance with the codes, professional
assoc ia tions in engineer ing have be gun deve loping
support mechanisms for members who have fol -
lowed the codes and in so doing h ave c lashed wi th
their employer 's or cl ient 's wishes. Many advocates
argue tha t such support mechanisms wi l l be the
decisive factor in t ipp ing th e balance toward ethical
behav ior (Unger, 1982; Bro om e, 1983).
Managers hav e a professional en viro nm en t insofar
as they are members of a profession. Several of the
professional associations wh ich are op en to m anagers
have form al codes of ethics and discu ss ethics at
meet ings and in journa ls of the i r profess iona l
soc ie t ies . Al though i t does not have deve loped
enforcem ent procedures in the w ay tha t professiona l
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A Be hav ior a l M o de l 271
associat ions in other fields have, the American
Assembly o f Collegiate Schools of Business wil l only
accredi t programs that have significant course work
deal ing with ethical considerat ions and social and
political influen ces as the y affect business org aniza -
t ions (AA CSB, 1983). Moreover, som e managers are
mem bers o f a second profess ion by vi r tue o f be ing
lawyers, accountants, engineers, and so on. W h en
enforc ing codes of ethics, these professions h ave n ot
di s t inguished be tween manager ia l behavior on the
one hand and legal , accountancy, and engineering
behavior on the other. Therefore, for managers,
espec ia lly those wh o are a l so mem bers o f anothe r
profession, the factors discussed in this section will
be im portant de te rminan ts in the i r e thica l behavior.
Moreover, i t is l ikely that this causa l effect is not
dependent on the individua l ' s awareness of the
extent to which he or she is affected by the
professional en viro nm ent , since the standards o f the
profession are internal ized over t ime and fol lowed
impl ic i t ly wi thout an expl ic i t awareness of the
sanctions wh ich are a force be hin d compliance.
o r k e n v i r o n m e n t
Severa l fac tors in the w ork env i ronm ent st rongly
influen ce managers ' decisions on w he ther to act
ethically or unethically. These are corporate goals,
stated pol icy, and corporate cul ture. Unfortunately
for the individual managers, these three factors can
each support confl ict ing decisions in a given si tua-
t ion. For example , sh or t - te rm corpora te goa ls and
the corpora te cul ture may point in one di rec t ion,
and long-term goals and stated pol icies point in
another . Which di rec t ion managers turn of ten
depends on w hich factor i s mo re dom inan t in the i r
work e nv i ronme nt .
Short-term goals for profi t and similar measures
of perform ance a re o f ten em phasized in companies .
W he n an acceptable ra te of re turn on inves tm ent or
s imi la r monetary measure i s the dominant goa l ,
be ing e thica l wi l l be an important sub-goal only
insofar as i t does no t detract fro m th e prim ary goal .
Yet an emphasis on short-term profi tabi l i ty which
leads to u nethical actions can h ave substant ial lo ng -
te rm negat ive e ffect s, to the poin t o f threa tening the
corporat ion's very existence. Goo d examples of this
can be fou nd in the insuff ic ient s tandards concern -
ing the h andl ing o f asbes tos by Johns-M anvi l le and
the opera t ion of the Three Mi le Is land nuc lear
pow er plant (Whee len and H unger , 1984).
Many business ent i t ies have formal pol icies that
prohibi t une thica l conduct and prescr ibe punish-
ment for i t . Statements of these are typical ly found
in operat ing and pol icy manuals and in supervisor 's
wo rkplace statements, and they are dissem inated in
training programs and posters in the workplace.
W hat real e ffec t do these have? Wo uld those people
who profess that they are affected by these state-
ments have acted ethical ly anyway? Do the stated
policies simply reinforce or restate values that the
individuals have already internalized?
Th ere is considerable eviden ce to supp ort the
notion that a company's stated pol icies do in fact
foster and increase the frequ ency o f ethical behavior.
For example, in a s imula ted dec i s ion-mak ing exer-
cise, a let ter from the fict it ious com pany 's president
support ing e thica l behavior and warning of di smissa l
for unethical behavior resul ted in increased ethical
behav ior (Hegarty and Sim s, 197 9). Similarly, a
s igni f icant de te rminant as to whether purchas ing
officers accepted gratuities was the existence of a
wr i t ten com pan y policy (Staff, 1979).
Several factors affect th e efficacy of stated policies
in leading managers to make ethical decisions
(Mautz
et al.
1979). First , the m ore decentral ized the
dec is ion-mak ing func t ion, and consequen t ly the less
direct the supervision of managers, the greater the
l ike l ihood of inadver tent non-compl iance . Some
companies, for example those with outside sales
forces, are inhere nt ly decentral ized and run a greater
r isk o f non -com pl iance wi th s ta ted com pany pol icy.
Second, the stated pol icies can be unclear, with the
consequence tha t there a re conf l ic ting or in com -
pat ible messages. For example, th e pol icies m igh t set
levels of perfo rm ance and goals that are una t tainable
wi th ou t the individua l resor ting to behavior tha t i s
pro hibi ted by th e pol icy. Th ird, org anic changes in a
company such as mergers , rapid growth, and the
add it ion o f foreign operat ions can lead to si tuat ions
wh ich the formula tors of the pol icy did not have in
mind . In such cases , the policies can no longer
effectively gu ide action.
While stated pol icies on ethical behavior are
genera l ly voluntary, some are requ i red by law. For
example, the Securi t ies and Exchange Commission
R ul e 1 7 j -1 unde r t he Inve s t me nt C om pa ny Ac t o f
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272 M i c h a e l B o m m e r e t a l.
1 9 4 0 r e q u i r e s t h a t r e g i s t e r e d c o m p a n i e s a n d o t h e r
cer ta in c lose ly assoc ia ted en t i t i es mus t have wri t t en
c o d e s o f e t h i c s i n wh i c h t h e c o m p a n i e s a r t i c u l a t e
p r o h i b i t e d p r a c t i c e s a n d i m p l e m e n t d e t e c t i o n a n d
e n fo rc e m e n t p ro c e d u re s (G il li s, 1 9 8 1) .
C o rp o ra t i o n s h a v e t h e i r o w n ' c u l t u r e s' , j u s t a s
s o ci et ie s d o . T h e c u l t u r e is r e f l e c t e d i n t h e . . .
a t t i t u d e s a n d v a l u e s , m a n a g e m e n t s t y l e s a n d p ro b -
l e m -s o l v i n g b e h a v i o r o f i ts p e o p l e (S c h wa r t z a n d
Da v is , 1 9 8 1 ) . C o rp o ra t e n o rm s a r e t h e p ro d u c t s o f
t h i s c u l tu r e . I t i s o f t e n c o n t e n d e d t h a t i n a c a p i t a l is t
s y s t e m h u m a n i s t i c , c o m p a s s i o n a t e , a n d e g a l i t a r i a n
v a l u e s t e n d t o b e l e f t b e h i n d a s t h e b u s i n e s s
e n t e rp r i s e p u r s u e s it s p ro f i t m o t i v e . W i t h i n t h i s
c o n t e x t t h e f a c t t h a t b u s i n e s s e n t e rp r i s e s g e n e ra l l y
ac t on ly in the i r se l f - in te r es t i s no t su rp r i s ing . As
o n e c o m e s a c ro s s o c c a s io n a l c o rp o ra t e g o o d w o rk s , i t
s h o u l d n o t b e fo rg o t t e n t h a t c o rp o ra t i o n s a r e n o t
e l e e m o s y n a ry (c h a r it a b le ) i n s t i tu t i o n s a n d c a n n o t b e
e x p e c t e d t o a c t i n wa y s c o n t r a ry t o t h e i r d o m i n a n t
e thos , w h ic h i s p ro f i t (Hodge s , 1963).
T h e c o n d u c t o f t h e B o a r d o f D i re c t or s , C E O a n d
o t h e r s e n i o r m a n a g e m e n t c a n s i g n a l s u b o r d i n a t e
m a n a g e r s a s t o wh i c h b e h a v i o r s a r e a c c e p t a b l e . An
i n d i v i d u a l 's s u p e rv i s o r h a s s i g n i f i c a n t p o w e r o v e r h i s
o r h e r b e h a v i o r . T h e re i s a g r e a t d e a l o f r e s e a rc h
s h o wi n g t h a t a u t h o r i t y f i g u re s c a n i n f l u e n c e o t h e r s
t o b e h a v e u n e t h i c a l l y . An i n d i v i d u a l ' s s u p e rv i s o r
o f t e n h a s t h e c a p a c i t y fo r r e wa rd i n g a n d p u n i s h i n g
a n d , t h e re fo re , is a n a u t h o r i t y f i g u re fo r t h e i n d i v i d -
u a l i n t h e wo rk e n v i ro n m e n t . S o c i a l p s y c h o l o g i s t s
( F r e e d m a n et al . 1 9 8 1 ) h a v e f o u n d t h a t o n e w a y t o
m a x i m i z e c o m p l i a n c e to a s e t o f n o r m s i s t o p u t a n
i n d i v i d u a l i n a w e l l - c o n t r o l l e d s i t u a t i o n a n d m a k e
n o n c o m p l i a n c e d i f f i c u l t . T h e w e l l k n o w n M i l g r a m
s t u d ie s (1 96 3 , 1 9 6 5 ) a re e x a m p l e s o f h o w a u t h o r i t y
f i g u re s c a n e x e r t e x t r e m e p re s s u re t o c o m p l y t o
o r d e rs e v e n w h e n c o m p l i a n c e i s u n e t h ic a l .
P o l i c i e s t h a t h a v e b e e n s u g g e s t e d a s e n c o u ra g i n g
e t h i c a l b e h a v i o r i n c l u d e t h e p re s e n c e o f e f f e c t i v e
p r o c e d u r e s f o r m o n i t o r i n g c o m p l i a n c e t o c o m p a n y
p o l i c y a n d a s c e r t a i n i n g w h a t i s a c t u a l ly o c c u r r i n g i n
t h o s e a r e a s wh e re p o l i c i e s h a v e b e e n e s t a b l i s h e d .
T h e s e p ro c e d u re s n e e d t o b e s u f f i c i e n t fo r d e t e r -
m i n i n g o r d e t e c t i n g w h e n i m p r o p e r a c ts h a v e t a k e n
p lace , as wel l as fo r iden t i fy ing the t ransgresso r .
S i n c e e x i s t e n c e o f e a s y o p p o r t u n i t i e s t o a c t u n e t h i -
ca l ly fac il it a tes the occ urre nce o f une th ic a l ac t s,
s y s t e m s a n d c o n t r o l s n e e d t o b e i m p l e m e n t e d t h a t
w i l l b o t h d e c re a s e th e e a se a n d e l i m i n a t e th e o p p o r -
t u n i t i e s . S c re e n i n g p ro s p e c t i v e e m p l o y e e s fo r t r u s t
a n d r e s p o n s i b i l i t y a n d i n s t i t u t i n g a p p ro p r i a t e l i m i t s
o n a c ce s s t o i n fo rm a t i o n a n d t a n g i b l e it e m s a r e a l s o
i m p o r t a n t ( M a u t z et al . 1979).
T h e re a r e o t h e r o rg a n i z a t i o n a l c h a ra c t e r i s t i c s
a ss o ci at ed w i t h a r e d u c e d f r e q u e n c y o f u n e t h i c a l
a c ti vi ty . T h e p re s e n c e o f s y s te m s t o f a c i li ta t e c o m -
m u n i c a t i o n s , b o t h v e r t i c a l l y a n d h o r i z o n t a l l y i n
t h e m a n a g e r i a l h i e r a r c h y , i s o n e . T o b e e f f e c t i v e ,
s u c h c o m m u n i c a t i o n n e e d s t o b e t i m e l y , c l e a r , a n d
a c c u ra t e , a s we l l a s o p e n a n d f r a n k . S u c h c h a n n e l s
o f c o m m u n i c a t i o n a p p a r e n t l y h e l p p r e v e n t s e n i o r
m a n a g e m e n t f r o m b e c o m i n g d i s t a n t o r i n s u l a t e d
f ro m wro n g d o e r s a t l o we r l e ve l s i n t h e o rg a n i z a t io n .
M a n a g e r s a r e t h us m o r e l i k e l y t o k n o w w h o i s
d o i n g w h a t a n d b y w h i c h m e a n s . U n d e r s u c h
c i r c u m s t a n c e s i t i s m o re d i f f i c u l t f o r m a n a g e r s t o
i g n o re u n e t h i c a l b e h a v i o r w i t h i n t h e i r o rg a n i z a t i o n s
(DeGeorge , 1978) .
e r s o n a l e n v i r o n m e n t
T h e v a ri a bl e s i n t hi s s e g m e n t o f t h e m o d e l - t h e
fa m i l y a n d p e e r g ro u p s - r e l a t e t o t h e i n d iv i d u a l ' s
p e r s o n a l l i f e o u t s i d e o f t h e o rg a n i z a t i o n . A l t h o u g h
the research in th i s a rea i s very l imi ted , i t ra i ses a
n u m b e r o f c o n c e p t u a l i ss ue s .
R e s e a rc h o n t h e r e l a t i o n b e t we e n a n i n d i v i d u a l ' s
f a m i l y a n d o c c u p a t i o n a l s i t u a t i o n s h a s fo c u s e d
a l m o s t e x c l u si v e ly o n t h e i n f l u e n c e o f o c c u p a t i o n o n
t h e f a m i l y (M o r t i m e r , 1 9 8 0 ; Do n a l d a n d B ra d s h a w,
1981) . For example , Donald and Bradsh .aw (1981)
fo u n d t h a t wo rk a n d o c c u p a t i o n a l s t r e s s t e n d s t o
p ro d u c e f a m i l y p ro b l e m s wh e re a s t h e re i s l i t t l e o r
n o r e s e a rc h o n h o w t h e f a m i l y a f fe c ts o n - t h e - j o b
e t h i c a l a n d u n e t h i c a l b e h a v i o r . M c L e a n (1 9 78 ) h a s
t a k e n a d i f f e r e n t a p p ro a c h t o t h e r e l a t i o n s h i p
b e t w e e n t h e f a m i l y a n d e t h i c a l a n d u n e t h i c a l
b e h a v i o r . H i s t h e o ry o f r e f e r e n c e g ro u p s s tr es se s t h a t
e t h i c i s t s h a v e f a i l e d t o a c c o u n t fo r t h e p re s s u re
w h i c h m u l t i p le r o le s e x er t o n m e m b e r s o f m o d e r n
s o c i e t y wh e n t h e y u n d e r t a k e e t h i c a l a n a l y s e s . He
n o t e s t h a t o n e o f t h e m u l t i p le r o l es n o t o f t e n t a k e n
i n t o a c c o u n t i s t h a t o f f a m i l y m e m b e r .
P e e r g ro u p p re s s u re s e e m s t o b e a s i g n i f i c a n t
v a r i a b l e i n p r e d i c t i n g d e v i a n t b e h a v i o r (Gra s m i c k
a n d G r e e n , 1 98 0; B u r k e t t a n d J e n s e n , 1 9 7 5 ) a m o n g
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A Behavioral Model 273
adolescent youth. T here seems to be a s t rong re la -
t ionship be tween peer group a t t i tude and behavior
and the propensi ty of i l legal act ivi ty by youthful
offenders. Other research indicates that peer group
pressure may cause the group to make faul ty and
often im m ora l decisions (Janis, 1972; All ison, 1971;
Halberstam, 1972).
Th e individua l s ho me env i ronm ent a lso seems to
guide m ora l dev e lopmen t . Kagan (1984) has a rgued
for a n on-e nvi ro nm enta l approach. He advances a
gene t ic explana t ion for the d eve lop me nt of mo ra l
values, but at the present he seems to be in the
minori ty . The opposing view, supported by a l arge
body of l i te ra ture wi thin deve lop men ta l psychology,
postulates the theory tha t the individu al s family and
peers have a l a rge inf luence on mora l deve lopment
(Bandura, 1971 , 1977). Th e chi ld goes throug h a
com plex socializat ion process whic h is an im po rtant
de te rm inant of mora l thinking. Th e fam i ly and peer
groups are both important in this process (Cohen,
1976; Clausen, 1968). A ltho ug h the l i terature in the
area em phasizes the chi ld s m oral actions, the
individua l s fami ly and peer env i ronm ent sure ly a lso
has a con t inuing inf luence into adul thood. How ever ,
the lack o f re levant research on man y o f the topics
l imits the conclusions that can b e drawn.
n d i v i d u a l a t t r i b u t es
The individua l component of the model compri ses
mo ral level , personal goals, mo tivat ion m echanisms,
position/status, self con cept, life experiences, pe r-
sonali ty, and dem ogra phic variables. Th e research
con nect ing individua l at tributes with ethical and
unethical behavior is fairly l imited and tends to
concentrate on moral level , demographics, motiva-
tion mechani, sms,and self concept .
Koh lberg s inf luence is four~d throu gho ut m ost o f
the research on the individua l and mora l deve lop-
ment . Ko hlberg (1 969, 1971)Idef lnes s ix s tages of
mora l deve lop ment , wh ich he groups into three
general categories, two stages per category. The fi rst
general category is the prec onv ention al (or pre-
moral). Individuals in this category do not base
jud ge m en t of r ight and w rong on soc ie ty s standards ,
but on the i r own physica l needs . Fear of pun ishm ent
is the m ain reason rules are fol low ed by peo ple in
this category. K ohlberg s sec ond category is th e
conv entiona l level . Childr en ususal ly reach this
category aro und the age o f ten, and i t is also the
most prevalent moral category for adults. The basic
cri teria for right and wrong in this category are the
no rm s an d regulations o f society. Kohlberg s final
category is the postconventional . An individual in
this category does n ot reject the legi t imacy of rules
in society, bu t a t tim es fin d society s prescriptions
want ing. The pos tconvent iona l individua l has the
capacity for reflection, logical reasoning, responsi-
bi li ty, and an inne r source o f mo ral i ty and just ice.
Koh lberg has deve loped an ins t rum ent for assess-
ing an individual s level of m oral reasoning. Man y
of the studies relat ing to the in dividual att ributes in
thi s segment of the model use a Kohlberg- type
ins t rum ent to de te rm ine mora l l eve l and the n s tudy
moral level as a dependent variable influenced by
the oth er individu al at tributes as ind epe nd en t vari-
ables. Kohlberg-type instruments use a series of
ethical di lemmas as an ambiguous st imulus for
subjects who are then asked to describe how they
would behave in the si tuat ion. The level of moral
reasoning is dete rm ined from the rat ionale used in
explaining the hyp othet ical actions.
Maqsud (1980) for example, studies the effect of
the personal ity characterist ic of locus of con trol on
mo ral level . Locus o f control refers to th e deg ree one
relies on on ese lf (internal) vs. othe rs (external) for
reinfo rcem ent (Rotter, 196 6). Maqsud fou nd a sig-
ni f icant concent ra t ion of inte rna l locus of cont rol
individuals in the po stconv entional (higher order)
leve l of mora l reasoning. Others (Adams-Weber ,
1969; John son and Gormly, 1972 ) have repor ted
similar findings. Other studies have used a variety of
personali ty measures and related the m to level of
mo ral reasoning. Au thori tarianism, neurot icism, and
level of anxiety have al l been related to differing
indices of m ora l reasoning (Elliott, 1976).
De mo grap hic variables, for example, sex, age, and
educat ion, have been used to predict moral reason-
ing in a number of s tudies . A number of authors
(Lyons, 1982; Braverman et a l . 1972) have s tudied
the effect of sex differences on moral level . They
found tha t females t end not to progress to pos t -
conventional moral i ty as often as males because of
differential societal pressures on females, even
thou gh a t youn ger ages females t end to be mo re
advanced in t e rms of m ora l reasoning (Freeman and
Giefink, 1979 ). Age and edu cat ion level als o are
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275
c o n f l i ct s a r e i n e v i ta b l e , a n d t h e p a r t i c u l a r r e s o l u t i o n
o f t h e s e c o n f li c t s d e p e n d s o n t h e r e l a t i v e d e g r e e
o f i n f lu e n c e o f t h e v a r io u s e n v i r o n m e n t s o n t h e
d e c i s i o n m a k e r . F o r e x a m p l e , a t a n y p o i n t t h e v a l u e s
o f t h e d e c i s i o n m a k e r m a y c o n f l i c t w i t h t h e v a l u e s
o f t h e o r g a n i z a t io n . A s t u d y o f 2 3 8 m a n a g e r s
r e v e a l e d th a t t h e y e x p e r i e n c e p r e s s u r e , r e a l o r
p e r c e i v e d , t o c o m p r o m i s e t h e i r p e r s o n a l m o r a l
s t andards to s a t i s fy organiza t iona l expec ta t ions
( C a r r o l l, 1 9 7 5 ) . A s t u d y b y E n g l a n d ( 1 9 6 7) r e v e a l e d
t h a t m a n a g e r s p l a c e a g r e a t d e al o f im p o r t a n c e o n
o r g a n i z a t i o n a l g o a l s a n d h a v e a s t r o n g g r o u p
o r i e n t a t i o n . A f u r t h e r s t u d y b y S e n g e r ( 1 9 7 1 ) f o u n d
t h a t m a n a g e r s t e n d t o e v a l u a t e t h e i r s u b o r d i n a t e s
w i t h r e s p e c t t o t h e i r d e g r e e o f a c c e p t a n c e o f
o r g a n i z a t i o n a l v a l u e s . T h e s e f i n d i n g s , w o u l d t e n d t o
s u p p o r t a h y p o t h e s i s t h a t i n e v e n t o f a c o n f l i c t o f
v a l u e s , o r g a n i z a t i o n a l a n d g r o u p v a l u e s m a y a s s u m e
g r e a t e r e m p h a s i s i n c o m p a r i s o n t o p e r s o n a l v a l u e s .
H o w e v e r , i n r e s o l v i n g t h i s c o n f l i c t b e t w e e n t h e
p e r s o n a l va l u es o f t h e m a n a g e r a n d t h e g o a ls o f t h e
o r g a n i z a t i o n , M o n s e n et al (1966) a rgue tha t the
m a n a g e r m o s t f r e q u e n t l y r e s o l v e s t h i s c o n f l i c t b y
e m p h a s i z i n g h i s / h e r o w n p e r s o n a l g o a l s . T h i s s e e m s
t o i m p l y t h a t i n t h e e v e n t o f a c o n f l i c t , m a n a g e r s
p u r s u e a p a t h t h a t t h e y p e r c e iv e w i l l e n h a n c e t h e i r
o w n s e l f i n t e re s t s e s p e c i a ll y w i t h r e s p e c t t o c a r e e r
a d v a n c e m e n t .
I n m a k i n g v a r i o u s d e c i s i o n s a t e a c h s t e p i n t h e
d e c i s i o n - m a k i n g p r o c e s s t h e m a n a g e r a c q u i r e s a n d
p r o c e s s e s a m y r i a d o f i n f o r m a t i o n . S o m e o f t h i s
i n f o r m a t i o n is p r o b l e m s p e ci fi c w h e r e a s o t h e r i n f o r -
m a t i o n r e l a t e s t o t h e p r e v i o u s l y d i s c u s s e d e n v i r o n -
m e n t a l f a c t o r s . T h i s i n f o r m a t i o n r a n g e s f r o m h a r d
da ta , such as l aws and s t a t ed corpora te po l i c i e s , t o
s o f t d at a , s u c h a s a n i n d i v i d u a l ' s s e l f c o n c e p t a n d
p e e r g r o u p w i t h a r a n g e o f i n f o r m a t i o n i n b e t w e e n
t h e s e s t a t e s . T h e m a n a g e r m u s t t h e n s y n t h e s i z e a n d
a n a l y z e t h i s i n f o r m a t i o n t o d e t e r m i n e a r a t i o n a l
d e c i s i o n t o t h e p r o b l e m s i t u a t i o n . A s i m p l i f i e d
m o d e l o f t h e m o r e i m p o r t a n t e l e m e n t s in t h is
p r o c e s s a r e d e p i c t e d a s F i g u r e 2 . T h e t w o i n f o r m a -
t i o n i n p u t s - t h e p a r a m e t e rs , o f t h e p r o b l e m s i tu a -
t i o n a n d t h e e n v i r o n m e n t a l f ac t or s im p i n g i n g o n t h e
d e c i s o n m a k e r - a r e f i l te r e d b y t h e m a n a g e r i n a
s e l e c t i v e p e r c e p t i o n p r o c e s s . T h e m a n a g e r t h e n
b u i l d s a c o n c e p t u a l m o d e l , w h i c h g o e s t h r o u g h a n
i t e ra t i v e p r o c e ss a f f e c t e d b y t h e i n d i v i d u a l a t t r i b u t e s
a n d m e d i a t e d b y t h e i n d i v i d u a l ' s u n i q u e c o g n i t i v e
p r o c e s s . S i n c e e n v i r o n m e n t a l f a c t o r s a n d i n d i v i d u a l
a t t r ib u t e s h a v e b e e n d i s c u s s e d i n p r e v i o u s s e c t io n s o f
t h i s a r t i c l e , t h i s s e c t i o n w i l l f o c u s o n t h e r e m a i n i n g
aspec t s o f the dec i s ion 'proces s .
H o g a r t h ( 1 9 8 0 ) n o t e s t h a t p e o p l e h a v e l i m i t e d
i n f o r m a t i o n - p r o c e s s i n g c a p a c i t y . T h e c o n s e q u e n c e
o f t h i s l im i t a t i o n a f f e c ts t h e m a n a g e r ' s ( 1 ) p e r c e p t i o n
o f i n f o r m a t i o n , ( 2 ) st y le o f i n f o r m a t i o n p r o c e s s in g ,
a n d ( 3) m e m o r y a s fo l lo w s :
( 1) P e r c e p t i o n o f i n f o r m a t i o n i s se l ec t iv e . T h e
d e c i si o n m a k e r , i n f l u e n c e d b y a n u m b e r o f d i f f e re n t
f o rc e s, m a y o r m a y n o t s e l ec t t h e i n f o r m a t i o n w h i c h
i s m o s t r e l e v a n t t o t h e p r o b l e m s i tu a t i o n .
( 2) S in c e p e o p l e c a n n o t s i m u l t a n e o u s l y i n t e g r a t e a
g r e a t d e a l o f i n f o r m a t i o n , p r o c e s s i n g is m a i n l y d o n e
i n a s e q u e n t i a l m a n n e r . T h e s e q u e n c e i n w h i c h
i n f o r m a t i o n i s p r o c e s s e d m a y b i as a p e r s o n 's j u d g e -
Problem
situation
o r
di lemma
Environmental
Factors
social
government/legal
w o r k
professional
pe rsona l
Selective
Perceptual
Filtering
Conceptual
model
Cog nitive process
Individual
t t r i b u t e s
Decision
Fig. 2. Th e decision process.
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276 Michael Bomm er et al
ment and limit the evaluation of interrelated
elements.
(3) Finally, people have lim ited m em ory capacity.
This limits the access to info rmation whic h m ight be
relevant to the problem.
Given this limited information-processing capaci-
ty, managers tend to select information and process
it in a sequential manner. What we select depends
on the information stimulus and on our internal
representation of the problem situation.
As a way of dealing with the complexity of the
situation, managers appear to form a conceptual
mo del of the problem. Simon (19 76) notes that
decision makers cannot comprehend all alternatives,
probabilities, consequences, values, and the evalua-
tion of these and so constructs an internal repre-
sentation or m ode l of the situation. Th e m odel may
be simplistic or complex, de pen din g on the cogrfitive
capabilities and capacity o f the manager. New info r-
mation modifies our internal representation model
which, in turn, directs our activities to further
sample information from the environment, which
further modifies our internal representation, which
directs exploration, etc., in a cyclical fashion. On ly
that information that fits is incorporated into the
model Features th at fit well into th e m ode l are m ore
readily selected and more likely to be incorporated
than those that do no t fit easily. In any ca se, the
mo del is never a co mplete representation of the real
world problem situation, wh ich limits the manager's
ability to make a truly rational decision (bounded
rationality). Conseq uently, ju dg m en ts or choices
made reflect not only the structure of the problem
situation but also the capabilities and limitations of
the d ecison maker.
In the past few years a num ber of conceptual and
empirical articles have appeared in the literature
regarding the effect of a manager's cognitive style
of p roblem solving and decision making (see, for
example, Benbasat and Taylor, 1978; Blaylock and
Rees, 1984; Hen derson and Nutt, 1980; Kilm an and
Mitroff, 1976; and J~aggart and Robey, 1981). Simo n
(1960, p. 72) defines cogn itive style as the charac-
teristic, self consistent mode of functioning which
individuals show in their perception and intellectual
activities.: The re are ma ny dimensions of cognitive
style (6old stein and Blackman, 1978) jus t as there
are many dimensions of an individual's personality.
The difference between the personality and cogni-
tive style of an individual is a distinction between
what an individual thinks (personality) and the way
the ind ividua l thinks (cognitive style) (Pratt, 1980, p.
502). Although there is general acknowledgement
that the construct of cognitive style is multidimen-
sional, the number and identity of such dimensions
and the relationship between these dimensions are
no t clear (Zmud , 1979).
In recent years there has been a surge o f interest
about the impact of cognitive style on managerial
problem solving and decision making. Some of the
most cited cognitive measures w hich w ould seem to
affect ethical and unethical decision making include:
Myers-Briggs Typ e Indicato r (Myers, 1962); w itk in 's
Em bedd ed Figures Test (Witkin, 1971); Cognitive
Complexity (Bieri , 1966) and Tolerance of A mbi-
guity (Budner, 1962). Th e Myers-Briggs Indicator,
which is based on Carl Jung's theory of type,
purpo rts to assess differences in beha vior as to
how an individual uses perception and judgemen t.
Witkin 's E mb edd ed Figures test assesses wh ether
one is more field dep end ent (relies more on external
referents for behavior) or field independent (relies
more on internal referents for behavior). Cognitive
complexity is a measure of one's ability to evaluate
multiple d imensions or aspects of a problem situa-
tion. B udner's S cale for Tolerance-Intolerance of
Ambiguity assesses one's degree of tolerance for
dealing with ambiguous, uncertain situations. Such
factors as personality traits, psychological needs, self
concept, dem ogra phic factors, value systems, as well
as one's memory of experiences shape the selection
process and internal representation of the problem
situation. Actions become consistent with the inter-
nal cognitive process of an individual which is
shaped by these many forces rather than by the
reality o f the pro blem situation.
In deciding whether or n ot to pursue a given
course of action, the rational decision maker is
further influenced by bo th the perceived conse-
quences and the perceived risks involved. Many
times an individual's perception o f a consequ ence or
risk differs significantly fro m the actual co nsequ ence
or risk as a result of a minimization or exaggeration
process. Few individuals have the luxury of perfect
information whe n m aking a decision or even know -
ing the degree of information to which they are
knowledgeable. T he decision is further influenced by
the subjective weights applied to the consequences
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A B e h a v i o r a l M o d e l 2 7 7
a c c o r d i n g t O th e i n d i v i d u a l ' s u n i q u e v a l u e s y s t e m o r
u t i l i t y f u n c t i o n .
F i n a l l y , i n m a k i n g a f i n a l c h o i c e o r d e c i s i o n f o r
t h e p r o b l e m s i tu a t io n , th e m a n a g e r m a y o r m a y n o t
r e s o r t t o u s i n g a d e c i s i o n t o o l o r a i d . I n r e c e n t y e a r s a
n u m b e r o f d e c i s io n t oo l s a n d a i d s h a v e b e e n d e v e l -
o p e d r a n g i n g i n c o m p l e x i t y f r o m h i g h l y s t ru c t u r e d
c o m p u t e r - b a s e d m o d e l s t o s i m p l e ru l es o f t h u m b .
T h e s e a i d s p ro v i d e t h e o p p o r t u n i t y o f e x t e n d i n g t h e
l i m i t e d i n f o r m a t i o n p r o c e s s i n g a n d c o g n i t i v e c a p a -
b i l i ti e s o f t h e m a n a g e r s .
T h e u l t i m a t e d e c i s i o n o f c h o i c e (e t h ic a l o r u n -
e t h i c a l ) t o a p r o b l e m s i t u a t i o n i s d e p e n d e n t o n a
n u m b e r o f f a c t or s a f f e c t in g t h e d e c i s i o n pr o c es s .
T h e s e f a c to r s i n c l u d e t h e a v a il a bl e i n f o r m a t i o n ( h a r d
a n d s o f t ) , t h e i n d i v i d u a l a t t r i b u t e s a n d c o g n i t i v e
c a p a b il it i es o f t h e m a n a g e r s , t h e p e r c e i v e d c o n s e -
q u e n c e s a n d r i s ks o f a d e c i s io n , t h e v a l u e o r u t i l i t y
a s s i g n e d t o t h e s e c o n s e q u e n c e s , a s w e l l a s t h e d e g r e e
o f re l i a n c e o n s t r u c t u r e d m o d e l s b y t h e m a n a g e r .
onc lu s ion s
T h e m o d e l d e v e l o p e d i n t h i s a r t i c l e m u s t b e r e c o g -
n i z e d a s a f ir s t a t t e m p t t o i d e n t i f y a n d r e l a t e t h e
e n v i r o n m e n t a l f a c t o r s a n d i n f l u e n c e s i n d e c i s i o n
m a k i n g , w h e r e a n i n d i v i d u a l i s f a c e d w i t h a c h o i c e
t h a t h a s e t h ic a l i m p l i c a t i o n s . W e e x p e c t t h is m o d e l
t o e v o l v e a s f u r t h e r r e s e a r c h e x p a n d s t h e b o d y o f
k n o w l e d g e r e l a t i n g t o t h i s f i e l d .
W h i l e s u b s t a n t i a l r e s e a r c h h a s b e e n d o n e c o n -
c e r n i n g e t h i c a l i ss u es , c l e a rl y m u c h m o r e n e e d s t o b e
d o n e . M o s t u r g e n t l y n e e d e d i s a s e ri es o f e m p i r i c a l
s t u d ie s o f s p e ci f ic d e c i s i o n - m a k i n g s i t u a ti o n s i n v o l v -
i n g e t h i c a l i s su e s . T h e b e h a v i o r s o f i n d i v i d u a l s a n d
t h e i r i n t e r a c t i o n w i t h t h e i r e n v i r o n m e n t s s h o u l d b e
s y s t e m a t i c a l l y o b s e r v e d s o a s t o d e t e r m i n e w h i c h
f a c t o r s l e a d t o a p a r t i c u l a r d e c i s i o n . C o m p o n e n t s
o f t h e m o d e l c o u l d b e m a n i p u l a t e d i n o r d e r t o
a s c er ta i n t h e i m p o r t a n c e o f ea c h c o m p o n e n t . U n -
d o u b t e d l y s u c h a c o m p l e x u n d e r t a k i n g w o u l d
r e q u i r e s u b s t a n t i a l t i m e a n d r e s o u r c e s . T h e r e s u l t s o f
s u c h a s e ri e s o f e x p e r i m e n t s w o u l d a l l o w f u r t h e r
r e f i n e m e n t a n d u n d e r s t a n d i n g o f t h e m o d e l a n d i t s
c o m p o n e n t s .
W h i l e t h i s r e p r e s e n t a t i o n a n d d e s c r i p t i o n i s p r e -
l i m i n a r y , i t c a n s t i l l p r o v i d e v a l u a b l e a s s i s t a n c e i n
t h e u n d e r s t a n d i n g , d e v e l o p m e n t a n d e v a l u a t i o n o f
i n t e r v e n t i o n a n d a w a r e n e s s p r o g r a m s i n i n d u s t r y .
L i k e w i s e i t c a n b e u s e f u l i n a c a d e m i c s e t t i n g s , i n
c o u r s e s t h a t d e a l w i t h e t h i c a l i s s u e s i n b u s i n e s s a n d
i n d u s t r y , b y p r o v i d i n g a m u l t i d i m e n s i o n a l f r a m e -
w o r k t o a ss is t i n t h e c o m p r e h e n s i o n o f t h e v a r ie t y
a n d m a g n i t u d e o f t h e f a c to r s t h a t n e e d t o be c o n -
s id e r ed .
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