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Managing Business Ethics
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E1FTOC 07/09/2010 Page 4
E1FFIRS 07/09/2010 Page 1
Fifth Edition
LINDA KLEBE TREVIN˜ O
Distinguished Professor of Organizational Behavior and Ethics
Smeal College of Business
The Pennsylvania State University
KATHERINE A. NELSON
Lecturer
Fox School of Business
Temple University
JOHN WILEY & SONS, INC.
MANAGING BUSINESS ETHICS
Straight Talk About How To Do It Right
E1FFIRS 07/09/2010 Page 2
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Library of Congress Cataloging-in-Publication Data
Trevin˜o, Linda Klebe.
Managing business ethics : straight talk about how to do it right / Linda Klebe Trevin˜o, Katherine
A. Nelson. – 5th ed.
p. cm.
Includes index.
ISBN 978-0-470-34394-4 (pbk.)
1. Business ethics. 2. Business ethics–Case studies. I. Nelson, Katherine A. II. Title.
HF5387.T734 2010
1740
.4–dc22
2010020659
Printed in the United States of America
10 9 8 7 6 5 4 3 2 1
E1FTOC 07/09/2010 Page 3
BRIEF CONTENTS
SECTION I INTRODUCTION
CHAPTER 1 INTRODUCING STRAIGHT TALK ABOUT MANAGING
BUSINESS ETHICS: WHERE WE’RE GOING AND WHY 2
SECTION II ETHICS AND THE INDIVIDUAL
CHAPTER 2 DECIDING WHAT’S RIGHT:
A PRESCRIPTIVE APPROACH 38
CHAPTER 3 DECIDING WHAT’S RIGHT:
A PSYCHOLOGICAL APPROACH 71
CHAPTER 4 ADDRESSING INDIVIDUALS’
COMMON ETHICAL PROBLEMS 111
SECTION III MANAGING ETHICS IN THE ORGANIZATION
CHAPTER 5 ETHICS AS ORGANIZATIONAL CULTURE 150
CHAPTER 6 MANAGING ETHICS AND LEGAL COMPLIANCE 207
CHAPTER 7 MANAGING FOR ETHICAL CONDUCT 255
CHAPTER 8 ETHICAL PROBLEMS OF MANAGERS 292
SECTION IV ORGANIZATIONAL ETHICS AND SOCIAL RESPONSIBILITY
CHAPTER 9 CORPORATE SOCIAL RESPONSIBILITY 322
CHAPTER 10 ETHICAL PROBLEMS OF ORGANIZATIONS 354
CHAPTER 11 MANAGING FOR ETHICS AND SOCIAL RESPONSIBILITY
IN A GLOBAL BUSINESS ENVIRONMENT 399
INDEX 449
iii
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E1FTOC1 07/09/2010 Page 5
CONTENTS
PREFACE XIII
SECTION I
INTRODUCTION
CHAPTER 1 INTRODUCING STRAIGHT TALK ABOUT MANAGING
BUSINESS ETHICS: WHERE WE’RE GOING AND WHY 2
Introduction 2
The Financial Disaster of 2008 4
Borrowing Was Cheap 4
Real Estate Became the Investment of Choice 5
Mortgage Originators Peddled ‘‘Liar Loans’’ 5
Banks Securitized the Poison and Spread It Around 6
Those Who Were Supposed to Protect Us Didn’t 7
Moving Beyond Cynicism 9
Can Business Ethics Be Taught 13
Aren’t Bad Apples the Cause of Ethical Problems in Organizations? 13
Shouldn’t Employees Already Know the Difference between Right and Wrong? 15
Aren’t Adults’ Ethics Fully Formed and Unchangeable? 16
This Book is about Managing Ethics in Business 19
Ethics and the Law 20
Why Be Ethical? Why Bother? Who Cares? 21
Individuals Care about Ethics: The Motivation to be Ethical 21
Employees Care about Ethics Employee Attraction and Commitment 23
Managers Care about Ethics 23
Executive Leaders Care about Ethics 24
Industries Care about Ethics 26
Society Cares about Ethics: Business and Social Responsibility 27
The Importance of Trust 27
The Importance of Values 29
How the Book is Structured 30
Conclusion 32
Discussion Questions 32
v
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Exercise: Your Cynicism Quotient 33
Notes 34
SECTION II
ETHICS AND THE INDIVIDUAL
CHAPTER 2 DECIDING WHAT’S RIGHT:
A PRESCRIPTIVE APPROACH 38
Introduction 38
Ethical Dilemmas 38
Prescriptive Approaches to Ethical Decision Making in Business 39
Focus on Consequences (Consequentialist Theories) 40
Focus on Duties, Obligations, and Principles (Deontological Theories) 42
Focus on Integrity (Virtue Ethics) 46
Eight Steps to Sound Ethical Decision Making in Business 52
Step One: Gather the Facts 52
Step Two: Define the Ethical Issues 52
Step Three: Identify the Affected Parties (the Stakeholders) 53
Step Four: Identify the Consequences 54
Step Five: Identify the Obligations 56
Step Six: Consider Your Character and Integrity 56
Step Seven: Think Creatively about Potential Actions 57
Step Eight: Check Your Gut 58
Practical Preventive Medicine 58
Doing Your Homework 58
When You’re Asked to Make a Snap Decision 59
Conclusion 61
Discussion Questions 62
Exercise: Clarifying Your Values 63
Case: Pinto Fires 64
Notes 69
CHAPTER 3 DECIDING WHAT’S RIGHT:
A PSYCHOLOGICAL APPROACH 71
Introduction 71
Ethical Awareness and Ethical Judgment 71
Individual Differences, Ethical Judgment, and Ethical Behavior 75
Ethical Decision-Making Style 76
Cognitive Moral Development 77
Locus of Control 84
Machiavellianism 85
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Moral Disengagement 86
Facilitators of and Barriers to Good Ethical Judgment 88
Thinking about Fact Gathering 88
Thinking about Consequences 89
Thinking about Integrity 91
Thinking about Your Gut 93
Unconscious Biases 94
Emotions in Ethical Decision Making 95
Toward Ethical Action 97
Revisiting the Pinto Fires Case: Script Processing and Cost-Benefit Analysis 102
Cost-Benefit Analysis 103
Conclusion 105
Exercise: Understanding Cognitive Moral Development 105
Discussion Questions 106
Notes 107
CHAPTER 4 ADDRESSING INDIVIDUALS’ COMMON
ETHICAL PROBLEMS 111
Introduction 111
Identifying Your Values—and Voicing Them 112
People Issues 114
Discrimination 115
Harassment, Sexual and Otherwise 119
Conflicts of Interest 122
What Is It? 123
How We Can Think about This Issue 125
Why Is It an Ethical Problem? 126
Costs 126
Customer Confidence Issues 127
What Is It? 127
How We Can Think about This Issue 131
Why Is It an Ethical Problem? 131
Costs 131
Use of Corporate Resources 132
What Is It? 132
How We Can Think about This Issue 136
Why Is It an Ethical Problem? 136
Costs 136
When All Else Fails: Blowing the Whistle 137
When Do You Blow the Whistle? 139
How to Blow the Whistle 140
Conclusion 145
Discussion Questions 145
Notes 147
CONTENTS vii
E1FTOC1 07/09/2010 Page 8
SECTION III
MANAGING ETHICS IN THE ORGANIZATION
CHAPTER 5 ETHICS AS ORGANIZATIONAL CULTURE 150
Introduction 150
Organizational Ethics as Culture 151
What Is Culture? 151
Strong versus Weak Cultures 151
How Culture Influences Behavior: Socialization and Internalization 152
Ethical Culture: A Multisystem Framework 153
Alignment of Ethical Culture Systems 154
Ethical Leadership 156
Executive Leaders Create Culture 156
Leaders Maintain or Change Organizational Culture 157
Other Formal Cultural Systems 166
Selection Systems 166
Values and Mission Statements 168
Policies and Codes 169
Orientation and Training Programs 171
Performance Management Systems 172
Organizational Authority Structure 175
Decision-Making Processes 178
Informal Cultural Systems 180
Role Models and Heroes 180
Norms: ‘‘The Way We Do Things around Here’’ 182
Rituals 182
Myths and Stories 183
Language 185
Organizational Climates: Fairness, Benevolence, Self-Interest, Principles 187
Developing and Changing the Ethical Culture 188
How an Ethical Culture Can Become an Unethical Culture 189
Becoming a More Ethical Culture 190
A Cultural Approach to Changing Organizational Ethics 192
Audit of the Ethical Culture 193
A Cultural Systems View 193
A Long-Term View 194
Assumptions about People 194
Diagnosis: The Ethical Culture Audit 194
Ethical Culture Change Intervention 196
The Ethics of Managing Organizational Ethics 198
Conclusion 198
Discussion Questions 198
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Case: Culture Change at Texaco 199
Case: An Unethical Culture in Need of Change: Tap Pharmaceuticals 201
Notes 203
CHAPTER 6 MANAGING ETHICS AND LEGAL COMPLIANCE 207
Introduction 207
Structuring Ethics Management 208
Making Ethics Comprehensive and Holistic 210
Managing Ethics: The Corporate Ethics Office 211
Ethics and Compliance Officers 212
The Ethics Infrastructure 214
The Corporate Ethics Committee 215
Communicating Ethics 215
Basic Communications Principles 216
Evaluating the Current State of Ethics Communications 219
Multiple Communication Channels for Formal Ethics Communication 220
Interactive Approaches to Ethics Communication at USAA 222
Mission or Values Statements 224
Organizational Policy 226
Codes of Conduct 227
Communicating Senior Management Commitment to Ethics 227
Formal and Informal Systems to Resolve Questions and Report Ethical Concerns 235
Using the Reward System to Reinforce the Ethics Message 238
Evaluating the Ethics Program 239
Surveys 240
Values or Compliance Approaches 242
Globalizing An Ethics Program 243
Conclusion 245
Discussion Questions 245
Case: Improving an Ethical Culture at Georgia-Pacific 247
Appendix: How Fines Are Determined under the U.S. Sentencing Guidelines 252
Notes 253
CHAPTER 7 MANAGING FOR ETHICAL CONDUCT 255
Introduction 255
In Business, Ethics Is about Behavior 255
Practical Advice for Managers: Ethical Behavior 256
Our Multiple Ethical Selves 256
The Kenneth Lay Example 257
The Dennis Levine Example 259
Practical Advice for Managers: Multiple Ethical Selves 259
Rewards and Discipline 260
People Do What’s Rewarded and Avoid Doing What’s Punished 260
People Will Go the Extra Mile to Achieve Goals Set by Managers 261
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How Goals Combined with Rewards Can Encourage Unethical Behavior 262
Practical Advice for Managers: Goals, Rewards and Discipline 263
Recognize the Power of Indirect Rewards and Punishments 264
Can Managers Really Reward Ethical Behavior? 266
What about the Role of Discipline? 267
Practical Advice for Managers: Discipline 269
‘‘Everyone’s Doing It’’ 270
People Follow Group Norms 270
Rationalizing Unethical Behavior 270
Pressure to Go Along 271
Practical Advice for Managers: Group Norms 271
People Fulfill Assigned Roles 272
The Zimbardo Prison Experiment 273
Roles at Work 274
Conflicting Roles Can Lead to Unethical Behavior 275
Roles Can Also Support Ethical Behavior 275
Practical Advice for Managers: Roles 276
People Do What They’re Told 276
The Milgram Experiments 277
Obedience to Authority at Work 279
Practical Advice for Managers: Obedience to Authority 279
Responsibility Is Diffused in Organizations 279
‘‘Don’t Worry—We’re Taking Care of Everything’’ 280
Diffusing Responsibility in Groups 280
Diffusing Responsibility by Dividing Responsibility 281
Diffusing Responsibility by Creating Psychological Distance 282
Practical Advice for Managers: Personal Responsibility 283
Conclusion 284
Discussion Questions 285
Case: Sears, Roebuck, and Co.: The Auto Center Scandal 285
Notes 289
CHAPTER 8 ETHICAL PROBLEMS OF MANAGERS 292
Introduction 292
Managers and Employee Engagement 292
Managing the ‘‘Basics’’ 295
Hiring and Work Assignments 295
Performance Evaluation 296
Discipline 299
Terminations 301
Why Are These Ethical Problems? 303
Costs 303
Managing a Diverse Workforce 304
Diversity 305
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Harassment 306
Family and Personal Issues 307
Why Are These Ethical Problems? 309
Costs 309
The Manager as a Lens 310
The Buck Stops with Managers 310
Managers Are Role Models 313
Managing Up and Across 314
Honesty Is Rule One 315
Standards Go Both Ways 315
Conclusion 316
Discussion Questions 317
Notes 318
SECTION IV
ORGANIZATIONAL ETHICS AND SOCIAL RESPONSIBILITY
CHAPTER 9 CORPORATE SOCIAL RESPONSIBILITY 322
Introduction 322
Why Corporate Social Responsibility? 322
Types of Corporate Social Responsibility 329
Economic Responsibilities 329
Legal Responsibilities 330
Ethical Responsibilities 330
Philanthropic Responsibilities 331
Triple Bottom Line and Environmental Sustainability 334
Is Socially Responsible Business Good Business? 337
The Benefit of a Good Reputation 338
Socially Responsible Investors Reward Social Responsibility 338
The Cost of Illegal Conduct 339
The Cost of Government Regulation 340
What the Research Says about Social Responsibility and Firm Performance 343
Being Socially Responsible Because It’s the Right Thing to Do 346
Conclusion 348
Discussion Questions 348
Case: Merck and River Blindness 349
Notes 351
CHAPTER 10 ETHICAL PROBLEMS OF ORGANIZATIONS 354
Introduction 354
Managing Stakeholders 355
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Ethics and Consumers 356
Conflicts of Interest 357
Product Safety 365
Advertising 369
Ethics and Employees 373
Employee Safety 374
Employee Downsizings 378
Ethics and Shareholders 381
Ethics and the Community 386
Why Are These Ethical Issues 388
Costs 388
Conclusion 389
Discussion Questions 389
Notes 394
CHAPTER 11 MANAGING FOR ETHICS AND SOCIAL RESPONSIBILITY
IN A GLOBAL ENVIRONMENT 399
Introduction 399
Focus on the Individual Expatriate Manager 400
The Difficulties of Foreign Business Assignments 400
The Need for Structure, Training, and Guidance 400
Foreign Language Proficiency 401
Learning about the Culture 401
Recognizing the Power of Selective Perception 403
Assumption of Behavioral Consistency 404
Assumption of Cultural Homogeneity 404
Assumption of Similarity 405
Ethics-Related Training and Guidance 405
How Different Are Ethical Standards in Different Cultures—Really? 411
Development of Corporate Guidelines and Policies for Global Business Ethics 413
The Organization in a Global Business Environment 417
Deciding to Do Business in a Foreign Country 417
Development of a Transcultural Corporate Ethic 425
Conclusion 429
Discussion Questions 429
Case: Selling Medical Ultrasound Technology in Asia 431
Case: Google Goes to China 434
Appendix: Caux Round Table Principles for Business 440
Notes 444
INDEX 449
xii CONTENTS
E1PREF 07/09/2010 Page 13
PREFACE
WHY DOES THE WORLD
NEED ANOTHER BUSINESS
ETHICS TEXT?
The popular business press is replete with feature stories describing ethical meltdowns and how those corporate misdeeds have eroded the public trust of business
leaders and their organizations. As most of us learned at our parents’ knees, trust and
reputation are built over many years and take but an instant to be destroyed. So here
we stand at a crossroads. Is it going to be business as usual for business? Or are businesspeople going to commit to regaining the trust of our peers, our families, and our
fellow citizens?
In response to this crisis of trust, universities across the country are scrambling
to design new courses that incorporate leadership, communication skills, the basics of
human resources management, and ethics. That’s why we wrote this book; we want
to make the study of ethics relevant to real-life work situations. We want to help
businesspeople regain the trust that’s been squandered in the last few years.
This book is different from other business ethics texts in several key ways: First,
it was written by an unusual team. Linda Trevi~no is Distinguished Professor of Organizational Behavior and Ethics in the Management and Organization Department of
the Smeal College of Business at the Pennsylvania State University. Her prolific research on the management of ethical conduct in organizations is published in the
field’s best journals and is internationally known and referenced. She has more than
20 years of experience in teaching students and executives in university and nonuniversity settings, and she also has experience as a corporate consultant and speaker
on ethics and management issues. Kate Nelson is a full-time faculty member at the
Fox School of Business at Temple University in Philadelphia, where she teaches
management, business ethics, and human resources to undergraduates. Before joining
Temple’s faculty, Kate worked for more than 30 years in strategic organizational
communication and human resources at a variety of companies including Citicorp,
Merrill Lynch, and Mercer HR Consulting. She also has worked as a consultant specializing in ethics and strategic employee communications and has designed ethics
programs for numerous organizations. We think that bringing together this diverse
mix of theory and practice makes the book unique.
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