Towards a public administration theory on public servants' ethics

518 Pages·2010·3.34 MB·English

by  Decanaat Sociale Wetenschappen

KATHOLIEKE UNIVERSITEIT LEUVEN
FACULTEIT SOCIALE WETENSCHAPPEN
DEPARTEMENT POLITIEKE WETENSCHAPPEN
Towards a public administration theory
on public servants’ ethics

A comparative study

Promotor: prof. dr. G. BOUCKAERT Proefschrift tot het verkrijgen
Copromotor: prof. dr. A. HONDEGHEM van de graad van
Doctor in de Sociale Wetenschappen
aangeboden door
Jeroen MAESSCHALCK
2004
KATHOLIEKE UNIVERSITEIT LEUVEN
FACULTEIT SOCIALE WETENSCHAPPEN
DEPARTEMENT POLITIEKE WETENSCHAPPEN
Towards a public administration theory
on public servants’ ethics
A comparative study
Jeroen Maesschalck
Proefschrift tot het verkrijgen van de graad van
Doctor in de Sociale Wetenschappen
Nr. 77
Samenstelling van de examencommissie:
prof. dr. G. Bouckaert (promotor), prof. dr. A. Hondeghem (copromotor), prof. dr. L. Bouckaert,
prof. dr. M. Brans, prof. dr. C. Jurkiewicz (Louisiana State University), prof. dr. E. Page (London School of
Economics and Political Science), prof. dr. K. Roe (voorzitter), prof. dr. R. Schepers (secretaris)
2004
De verantwoordelijkheid voor de ingenomen standpunten berust alleen bij de auteur.
Gepubliceerd door:
Faculteit Sociale Wetenschappen - Departement Politieke Wetenschappen, K.U.Leuven,
E. Van Evenstraat 2B, B - 3000 Leuven, België.
 2004 by the author.
Niets uit deze uitgave mag worden verveelvoudigd zonder voorafgaande schriftelijke toestemming van de
auteur / No part of this book may be reproduced in any form without the permission in writing from the author.
D/2004/8978/3
TTAABBLLEE OOFF CCOONNTTEENNTTSS
TABLE OF CONTENTS........................................................................................................................i
ACKNOWLEDGEMENTS...................................................................................................................ix
INTRODUCTION..................................................................................................................................1
1. A CONCEPTUAL FRAMEWORK ON PUBLIC SERVANTS’ ETHICS...................................9
1.1. Conceptual framework........................................................................................................................9
1.1.1. The framework...................................................................................................................................................9
1.1.2. Distinguishing between the main variables: avoiding tautological claims.......................................................13
1.2. Specifying the components................................................................................................................15
1.2.1. Intra- and extra-organisational interaction patterns..........................................................................................15
1.2.1.1. The first dimension: factors that shape the interaction patterns..............................................................18
1.2.1.2. The second dimension: interaction types................................................................................................26
1.2.2. Ethical climate..................................................................................................................................................35
1.2.3. Ethical decision making...................................................................................................................................39
1.2.3.1. Specifying “ethical dilemmas”...............................................................................................................40
1.2.3.2. Specifying “ethical reasoning”...............................................................................................................41
1.2.4. Unethical behaviour.........................................................................................................................................41
1.2.5. Individual variables and external environment................................................................................................43
1.2.5.1. Individual variables................................................................................................................................43
1.2.5.2. Environment outside the organisation....................................................................................................45
1.3. Accounting for the framework.........................................................................................................46
1.3.1. Accounting for the bias towards organisational factors....................................................................................47
1.3.2. The framework as an integration of building blocks from the literature on organisational ethics....................48
1.3.3. Assessing some alternatives for the framework................................................................................................50
1.3.3.1. Some alternatives for the general framework.........................................................................................50
1.3.3.2. Some alternative operationalisations of "interaction patterns"...............................................................52
1.3.3.3. An alternative operationalisation of "ethical decision making"..............................................................55
1.4. Conclusion..........................................................................................................................................56
2. A THEORY ON PUBLIC SERVANTS' ETHICS.......................................................................57
2.1. The theory: propositions...................................................................................................................57
2.1.1. The propositions...............................................................................................................................................57
2.1.2. Causal direction...............................................................................................................................................61
2.1.3. A hypothetical test of the theory: whistle-blowing...........................................................................................62
2.2. The basic theoretical foundation: grid-group theory.....................................................................64
2.2.1. The core proposition: the compatibility proposition........................................................................................64
2.2.2. Linking particular types...................................................................................................................................65
2.2.3. Explaining unethical behaviour: the requisite variety proposition and the notion of “clumsy institutions”.....65
2.2.3.1. Requisite variety.....................................................................................................................................65
2.2.3.2. Clumsiness.............................................................................................................................................66
2.2.3.3. Explaining unethical behaviour..............................................................................................................68
2.2.3.4. A note on the relationship between context and the individual..............................................................68
2.3. Further theoretical foundations: organisational ethics..................................................................69
2.3.1. Explaining ethical climate................................................................................................................................69
2.3.1.1. The etiology of organisational climate...................................................................................................69
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2.3.1.2. Linking interaction patterns with organisational and ethical climate.....................................................71
2.3.2. Explaining ethical decision making and unethical behaviour..........................................................................71
2.3.2.1. The NPM-ethics literature......................................................................................................................72
2.3.2.2. The business and the public administration ethics literature..................................................................80
2.3.2.3. The literatures on discretion of “street-level bureaucrats” and on regulatory styles...............................85
2.4. Conclusion..........................................................................................................................................88
3. EMPIRICAL RESEARCH DESIGN AND INSTRUMENT DEVELOPMENT.......................91
3.1. Data-collection...................................................................................................................................92
3.1.1. Measuring the interaction patterns at organisational level...............................................................................92
3.1.2. The organisation-wide survey..........................................................................................................................93
3.1.2.1. Individual variables................................................................................................................................94
3.1.2.2. Job characteristics...................................................................................................................................94
3.1.2.3. The Ethical Climate Questionnaire.........................................................................................................95
3.1.2.4. The ethical dilemmas............................................................................................................................104
3.1.2.5. Unethical behaviour.............................................................................................................................109
3.1.2.6. Survey implementation.........................................................................................................................112
3.1.3. The interviews in the field-offices..................................................................................................................112
3.1.3.1. Selection of field offices.......................................................................................................................112
3.1.3.2. The interview structure.........................................................................................................................114
3.2. Implementation of the data-collection in the three cases..............................................................117
3.3. Data-analysis....................................................................................................................................119
3.3.1. Analysing the interaction patterns (see Chapter 5).........................................................................................119
3.3.2. Quantitative analysis: testing the propositions (see Chapter 6)......................................................................121
3.3.3. Qualitative analysis: further developing the propositions (see Chapter 7).....................................................122
3.4. Conclusion........................................................................................................................................123
4. SELECTING AND INTRODUCING THE THREE ORGANISATIONS...............................127
4.1. Case selection...................................................................................................................................127
4.1.1. A preliminary step..........................................................................................................................................127
4.1.2. Developing a short-list...................................................................................................................................128
4.1.3. Conclusion.....................................................................................................................................................133
4.2. Situating the three case-organisations...........................................................................................133
4.2.1. The context: the Belgian state structure.........................................................................................................133
4.2.2. The social security system and social inspection in Belgium.........................................................................135
4.2.2.1. The social security system....................................................................................................................135
4.2.2.2. Social inspection..................................................................................................................................138
4.2.3. Environmental policy and environmental inspection in Belgium...................................................................140
4.2.3.1. Environmental policy...........................................................................................................................140
4.2.3.2. Environmental Inspection.....................................................................................................................141
4.3. Introducing the three case-organisation........................................................................................142
4.3.1. Social inspection of the National Office for Employment (RVA)..................................................................142
4.3.1.1. The “Rijksdienst Voor Arbeidsvoorziening" (RVA)............................................................................142
4.3.1.2. The RVA-inspection.............................................................................................................................143
4.3.2. Social inspection of the National Office for Social Security (RSZ)...............................................................145
4.3.2.1. The “Rijksdienst Voor Sociale Zekerheid" (RSZ)................................................................................145
4.3.2.2. The RSZ-inspection..............................................................................................................................147
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4.3.3. Environmental inspection (EI) within the Ministry of the Flemish Community............................................149
4.3.3.1. Ministry of the Flemish Community and its Department "LIN"...........................................................149
4.3.3.2. Environmental Inspection.....................................................................................................................150
4.4. Conclusion........................................................................................................................................152
5. THE INTERACTION PATTERNS IN THE THREE ORGANISATIONS.............................155
5.1. A theoretical digression: defining “fatalism”................................................................................156
5.2. Job-related factors that shape the interaction patterns...............................................................158
5.2.1. Degree of formal discretion............................................................................................................................159
5.2.2. Degree of autonomy.......................................................................................................................................162
5.2.3. Degree of direct interaction with citizens.......................................................................................................163
5.2.4. Conclusion.....................................................................................................................................................163
5.3. Intra-organisational factors that shape the interaction patterns................................................164
5.3.1. The context: groups and cleavages.................................................................................................................164
5.3.1.1. Groups and cleavages in the RVA-inspection......................................................................................165
5.3.1.2. Groups and cleavages in the RSZ-inspection.......................................................................................167
5.3.1.3. Groups and cleavages in the Environmental Inspection.......................................................................168
5.3.2. Formal organisational structure......................................................................................................................168
5.3.3. Staff at the head office and top management as referents...............................................................................170
5.3.3.1. RVA-inspection....................................................................................................................................170
5.3.3.2. RSZ-inspection.....................................................................................................................................173
5.3.3.3. Environmental Inspection.....................................................................................................................176
5.3.3.4. Summary..............................................................................................................................................179
5.3.4. Supervisors as referents..................................................................................................................................180
5.3.5. Instruments of human resources management................................................................................................182
5.3.5.1. Recruitment, professional socialisation and internal mobility..............................................................182
5.3.5.2. Job-description and appraisal system...................................................................................................183
5.3.5.3. Summary..............................................................................................................................................184
5.3.6. Instruments of ethics management.................................................................................................................185
5.3.7. Aggression-policy and stress management.....................................................................................................186
5.3.8. Peers as referents............................................................................................................................................187
5.3.8.1. Peers from other units...........................................................................................................................188
5.3.8.2. Peers from the inspection.....................................................................................................................189
5.3.8.3. Summary..............................................................................................................................................191
5.3.9. Conclusion.....................................................................................................................................................191
5.4. Extra-organisational factors that shape the interaction patterns...............................................192
5.4.1. Regulatory task environment..........................................................................................................................192
5.4.2. Political context.............................................................................................................................................193
5.4.2.1. Politicians as legislators and policy makers..........................................................................................193
5.4.2.2. Politicians as actors directly interfering in policy implementation.......................................................194
5.4.2.3. Politicians as (representatives of) inspectees........................................................................................195
5.4.2.4. Summary..............................................................................................................................................195
5.4.3. (Members of) other governmental organisations as referents.........................................................................195
5.4.4. (Members of) organised interest groups or professional organisations as referents.......................................197
5.4.5. (Members of) the courts as referents..............................................................................................................197
5.4.6. Citizens as referents.......................................................................................................................................199
5.4.6.1. Citizens as inspectees...........................................................................................................................199
5.4.6.2. Citizens as complainants......................................................................................................................200
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5.4.6.3. Summary..............................................................................................................................................201
5.4.7. Conclusion.....................................................................................................................................................201
5.5. Relative intensity of the interaction patterns in the three organisations as a basis for predictions
201
5.6. Additional survey-based data about the interaction patterns.....................................................208
5.6.1. Answers to the open question........................................................................................................................208
5.6.2. Survey-based description of autonomy and participation..............................................................................210
5.7. Conclusion........................................................................................................................................214
6. QUANTITATIVE ANALYSIS: TESTING THE PROPOSITIONS.........................................217
6.1. Survey administration.....................................................................................................................217
6.1.1. Response........................................................................................................................................................217
6.1.2. Respondents' remarks about the survey..........................................................................................................219
6.2. Constructing scales..........................................................................................................................220
6.3. Pattern-matching I: within-organisational analysis.....................................................................223
6.3.1. Results: comparing the relative intensity of the types within the organisations.............................................223
6.3.1.1. The RVA-inspection.............................................................................................................................224
6.3.1.2. The RSZ-inspection..............................................................................................................................225
6.3.1.3. The Environmental Inspection..............................................................................................................226
6.3.2. Pattern-matching I: within-organisational test of the predictive value of the theory......................................227
6.3.2.1. Predicting on the basis of the interaction types....................................................................................228
6.3.2.2. Predicting on the basis of ethical climate.............................................................................................233
6.3.2.3. Predicting on the basis of ethical decision making...............................................................................234
6.3.3. Conclusion of the pattern-matching I exercise...............................................................................................235
6.4. Pattern-matching II: between-organisational analysis.................................................................236
6.4.1. Results: statistically testing the between-organisational differences..............................................................237
6.4.1.1. Two important choices on statistical techniques..................................................................................237
6.4.1.2. Statistically testing the differences.......................................................................................................238
6.4.2. Pattern-matching II: between-organisational test of the predictive value of the theory.................................243
6.4.3. Conclusion of the pattern-matching II exercise..............................................................................................246
6.5. Explanation-building: further developing the propositions.........................................................246
6.5.1. Self-interest....................................................................................................................................................247
6.5.1.1. Between-organisational analysis...........................................................................................................247
6.5.1.2. Within-organisational analysis.............................................................................................................249
6.5.2. Organisational Interest...................................................................................................................................249
6.5.2.1. Between-organisational analysis...........................................................................................................250
6.5.2.2. Within-organisational analysis.............................................................................................................252
6.5.3. Efficiency.......................................................................................................................................................253
6.5.3.1. Between-organisational analysis...........................................................................................................253
6.5.3.2. Within-organisational analysis.............................................................................................................254
6.5.4. Friendship......................................................................................................................................................255
6.5.4.1. Between-organisational analysis...........................................................................................................256
6.5.4.2. Within-organisational analysis.............................................................................................................256
6.5.5. Team Interest..................................................................................................................................................257
6.5.5.1. Between-organisational analysis...........................................................................................................257
6.5.5.2. Within-organisational analysis.............................................................................................................258
6.5.6. Stakeholder Orientation.................................................................................................................................259
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6.5.6.1. Between-organisational analysis...........................................................................................................259
6.5.6.2. Within-organisational analysis.............................................................................................................261
6.5.7. Personal Morality...........................................................................................................................................261
6.5.7.1. Predicting Personal Morality ethical climate........................................................................................262
6.5.7.2. Predicting the Personal Morality type of ethical decision making and unethical behaviour................265
6.5.8. Rules and Laws..............................................................................................................................................266
6.5.8.1. Between-organisational analysis...........................................................................................................267
6.5.8.2. Within-organisational analysis.............................................................................................................267
6.5.9. Public Interest................................................................................................................................................268
6.5.9.1. Between-organisational analysis...........................................................................................................268
6.5.9.2. Within-organisational analysis.............................................................................................................269
6.5.10. Summary...................................................................................................................................................270
6.6. A digression: some additional measures and tests........................................................................271
6.6.1. Three additional tests.....................................................................................................................................271
6.6.1.1. The impact of the control variables at individual level.........................................................................271
6.6.1.2. The impact of "field office-membership".............................................................................................273
6.6.1.3. An additional test of the validity of the items measuring unethical behaviour.....................................274
6.6.2. The behavioural choices in the ethical dilemmas...........................................................................................275
6.6.2.1. The "restrictive law" dilemma..............................................................................................................276
6.6.2.2. The gift dilemma..................................................................................................................................277
6.6.2.3. The "revealed complainant-identity" dilemma.....................................................................................278
6.7. Conclusion........................................................................................................................................284
7. QUALITATIVE ANALYSIS: FURTHER DEVELOPING THE PROPOSITIONS...............289
7.1. Situating the researched field offices.............................................................................................291
7.1.1. Qualitative analysis: The main differences between the field offices.............................................................291
7.1.2. Quantitative analysis: situating the researched field offices in their organisation..........................................294
7.2. Ethical dilemmas..............................................................................................................................297
7.3. Describing and explaining ethical decision making......................................................................299
7.3.1. Self-interest....................................................................................................................................................300
7.3.1.1. Shirking................................................................................................................................................300
7.3.1.2. Result-fetishism....................................................................................................................................301
7.3.2. Organisational Interest...................................................................................................................................302
7.3.3. Efficiency.......................................................................................................................................................303
7.3.4. Friendship......................................................................................................................................................303
7.3.5. Team Interest..................................................................................................................................................304
7.3.6. Stakeholder Orientation.................................................................................................................................304
7.3.7. Personal Morality...........................................................................................................................................305
7.3.7.1. Personal Morality as the use of formal discretion................................................................................305
7.3.7.2. Personal Morality as expanding discretion...........................................................................................306
7.3.8. Rules and Laws..............................................................................................................................................310
7.3.9. Public Interest................................................................................................................................................312
7.3.10. Self-interest with Rules and Laws.............................................................................................................313
7.3.11. Self-interest with Team Interest.................................................................................................................314
7.3.12. Self-interest with Stakeholder Orientation................................................................................................314
7.3.13. Personal Morality with Stakeholder Orientation, Rules and Laws and Public Interest.............................314
7.3.14. Personal Morality with Stakeholder Orientation and Rules and Laws......................................................316
7.3.15. Rules and Laws with Public Interest.........................................................................................................317
v
7.4. Describing unethical behaviour......................................................................................................317
7.4.1. Instances of the nine types of unethical behaviour.........................................................................................318
7.4.2. Instances of unethical behaviour outside the ninefold typology.....................................................................321
7.5. Conclusion........................................................................................................................................322
8. TOWARDS A THEORY ON PUBLIC SERVANTS' ETHICS................................................327
8.1. Main empirical observations..........................................................................................................327
8.1.1. Self-interest....................................................................................................................................................330
8.1.2. Organisational Interest...................................................................................................................................332
8.1.3. Efficiency.......................................................................................................................................................333
8.1.4. Friendship......................................................................................................................................................335
8.1.5. Team Interest..................................................................................................................................................336
8.1.6. Stakeholder Orientation.................................................................................................................................337
8.1.7. Personal Morality...........................................................................................................................................339
8.1.8. Rules and Laws..............................................................................................................................................340
8.1.9. Public Interest................................................................................................................................................342
8.2. Towards a theory on public servants’ ethics: analytic generalisation........................................343
8.2.1. The conceptual framework.............................................................................................................................343
8.2.2. The overall theory..........................................................................................................................................346
8.2.2.1. The theory in a nutshell........................................................................................................................346
8.2.2.2. Analytic generalisation on the basis of the quantitative research.........................................................347
8.2.2.3. Analytic generalisation on the basis of the qualitative research...........................................................348
8.2.2.4. The adapted propositions......................................................................................................................350
8.2.3. The causal impact of the different variables...................................................................................................351
8.2.3.1. The impact of interaction patterns........................................................................................................351
8.2.3.2. The impact of civil service motivation (CSM).....................................................................................352
8.2.3.3. The impact of ethical climate................................................................................................................355
8.2.3.4. The impact of ethical decision making.................................................................................................355
8.2.3.5. The impact of individual variables.......................................................................................................356
8.2.3.6. The impact of the "environment outside the organisation"...................................................................357
8.2.3.7. Causality in the other direction.............................................................................................................360
8.2.4. Summary........................................................................................................................................................361
8.3. Some concluding reflections............................................................................................................363
8.3.1. Methodological reflections.............................................................................................................................363
8.3.1.1. Measurement of interaction patterns....................................................................................................363
8.3.1.2. Measurement of ethical climate............................................................................................................364
8.3.1.3. Measurement of ethical decision making.............................................................................................366
8.3.1.4. Measurement of unethical behaviour....................................................................................................366
8.3.2. Theoretical reflections....................................................................................................................................367
8.3.2.1. The value of typologies........................................................................................................................367
8.3.2.2. Avenues for further theoretical development........................................................................................369
EPILOGUE........................................................................................................................................372
LIST OF ABBREVIATIONS..................................................................................................................i
LIST OF TABLES..................................................................................................................................ii
LIST OF FIGURES..............................................................................................................................vi
LIST OF BOXES...................................................................................................................................vi
vi
LIST OF CHARTS................................................................................................................................vi
LIST OF REFERENCES....................................................................................................................vii
SUMMARY......................................................................................................................................xxviii
SAMENVATTING.............................................................................................................................xxx
RESUME..........................................................................................................................................xxxii

APPENDICES...................................................................................................................................xxxv
A. BACKGROUND TO THE INTERACTION PATTERNS (CHAPTER 5).......................xxxvii
B. DEVELOPMENT OF THE ETHICAL CLIMATE SURVEY.............................................lxix
C. SURVEY................................................................................................................................lxxv
D. SCALE CONSTRUCTION...................................................................................................xcvii
E. ADDITIONAL TESTS............................................................................................................cxv

DOCTORATEN IN DE SOCIALE WETENSCHAPPEN...............................................................cxxv

vii