Dilemmas beyond Bars

List of abbreviations 15
Glossary 17
Introduction 21

1 The ethical dilemmas of prison officers 31
1.1 The possible sources of prison officer value tensions 31
1.1.1 Role ambiguity and conflict 32
1.1.2 Relationships with broader society 35
1.1.3 Relationships with managers and more experienced colleagues 37
1.1.4 Relationships with colleagues 38
1.1.5 Relationships with prisoners 40
1.2 Value tensions 44
1.3 Ethical dilemmas 46
1.3.1 Definitions 46
1.3.2 Existing typologies 48
1.3.3 Moral Foundations Theory 49
1.4 Conclusion 50

2 Realist evaluation 53
2.1 Realist evaluation: specifying context, mechanism and outcome 53
2.2 The choice for realist evaluation in this study 59
2.3 Conclusion 60

3 Program outcome 63
3.1 Why not unethical behavior? 63
3.2 Ethical competence 64
3.3 The ethical competence framework 66
3.4 Transfer 70
3.5 Conclusion 71

4 Context 73
4.1 Totality and temptations for misconduct 73
4.2 Legal framework 76
4.3 Organizational context factors 81
4.3.1 Prison conditions and work environment 81
4.3.2 Ethics management 83
4.3.3 Hierarchy and bureaucracy 86
4.3.4 Relationship with management 87
4.4 Group context factors 90
4.4.1 Relationship with society 90
4.4.2 Attitudes towards prisoners 90
4.4.3 Prison officer subculture 91
4.4.4 Professional orientation, working styles and duality 93
4.5 Individual context factors 98
4.5.1 Moral identity 99
4.5.2 Coping strategies 100
4.6 Conclusion 103

5 Intervention: An ethics training program for prison officers 105
5.1 Types and approaches of ethics training 105
5.2 Ethics training and evaluation 107
5.3 A brief overview of “what works” in training programs 109
5.4 Choices in the design of an ethics training program for prison officers 111
5.5 The training program as administered in the current study 113
5.5.1 Before the start of the training 113
5.5.2 Training content 115
5.5.3 Feedback to management 120
5.6 Conclusion 121

6 Mechanisms and conceptual framework 123
6.1 Explaining ethical competence 123
6.1.1 Social learning 123
6.1.2 Enabling and constraining mechanisms 129
6.2 Explaining transfer 149
6.2.1 Psychological safety and direct and observational learning 150
6.2.2 Motivation 151
6.2.3 Time hurriedness 152
6.3 Conclusion 154

7 Methodology 155
7.1 Research design 155
7.1.1 Research methods 156
7.1.2 Adaptation of De Schrijver’s ethical competence framework for this study 158
7.1.3 Case selection and sampling on multiple levels 161
7.2 Data collection 174
7.2.1 Work floor and training observations 174
7.2.2 Interviews (and focus groups) 181
7.2.3 Questionnaires 189
7.2.4 Additional data 191
7.3 Data analysis 192
7.4 Ensuring the quality of the research 197
7.4.1 Triangulation 197
7.4.2 Audit trail 198
7.4.3 Member check 198
7.5 Limitations 198
7.5.1 Case and sample characteristics 199
7.5.2 Interview data 199
7.5.3 Organizational difficulties 200
7.5.4 Researcher influence 202
7.6 Research ethics: Protocol and personal reflections 203
7.6.1 Informed consent 203
7.6.2 Privacy and confidentiality 206
7.6.3 Avoiding harm 210
7.6.4 Ethical dilemmas and personal reflections 211
7.7 Training for management and training and coaching program for wing officers 217
7.8 Conclusion 219

8 The ethical dilemmas of prison officers 221
8.1 Balancing one’s own authority with the prison hierarchy 221
8.2 Addressing colleagues’ behavior 222
8.3 “Us versus them” 223
8.4 Dealing with outcasts among colleagues 225
8.5 “Piles of dirt” and professionality 226
8.6 Rule exceptions, reports and isolation 227
8.7 The inside vs. outside tension 230
8.8 Conclusion 231

9 Results of realist evaluation in pilot prison A 233
9.1 Description of prison A 233
9.2 Possible mechanisms 238
9.3 Conclusion 242

10 Context factors in prison B 245
10.1 Totality and temptations for misconduct 245
10.1.1 Total features of prison B 245
10.1.2 Opportunities for misconduct in prison B 247
10.2 Legal framework 249
10.3 Organizational context factors 250
10.3.1 Infrastructure and working conditions 250
10.3.2 Population 252
10.3.3 Ethics management 254
10.3.4 Relationships with managers 264
10.3.5 Hierarchy and bureaucracy 266
10.4 Group context factors 269
10.4.1 Relationship with society 270
10.4.2 Attitudes towards prisoners and prison officer subculture 274
10.4.3 Subcultural norms 280
10.4.4 Relationships with colleagues 284
10.4.5 Duality 287
10.5 Individual context factors 294
10.5.1 Working styles 294
10.5.2 Coping strategies 295
10.6 Conclusion 298

11 Explaining ethical competence: Social learning 301
11.1 Description of training groups 301
11.2 General observations on the modeling of different viewpoints 304
11.3 Session 1 (dilemma training) 305
11.4 Session 2 (‘excuses’ and action plans) 317
11.5 Session 3 (communication) 319
11.6 Session 4 (peer review) 320
11.7 Other elements of the training program and other outcomes 322
11.8 The impact on rule-oriented officers 325
11.9 The impact of work experience 327
11.9.1 The overall role of work experience in the training 327
11.9.2 The role of experienced officers in the different training groups 334
11.10 Other information related to the intervention 340
11.11 Conclusion 343

12 Dilemmas behind Bars
12 Explaining ethical competence: enabling and constraining mechanisms 347
12.1 Psychological safety 347
12.1.1 General findings on the mechanism 347
12.1.2 Classroom infrastructure and psychological safety 352
12.1.3 The role of confidentiality and bureaucracy in psychological safety 353
12.1.4 Duality, ‘strategical silence’ and psychological safety 357
12.2 Motivation and attention 364
12.2.1 General findings on the mechanism 364
12.2.2 The role of hierarchy and the mandatory training in motivation 369
12.2.3 Ventilation and attention 372
12.2.4 The role of stressors in motivation and attention 375
12.2.5 The role of cynicism, humor and rapport in attention and motivation 383
12.2.6 Final remarks 383
12.3 Group polarization and bullying 384
12.3.1 Group polarization 384
12.3.2 Bullying dynamics 386
12.4 Moral disengagement 391
12.4.1 General findings on the mechanism 391
12.4.2 Moral disengagement directly targeted by the training program 396
12.4.3 Displacement of responsibility and blaming the circumstances 398
12.4.4 Reducing norms to facts 404
12.4.5 Avoidance by the use of humor and denial of emotions 411
12.5 Self-threat due to loyalty to working style 415
12.6 Conclusion: the CIMO-configurations summarized 425

13 Explaining transfer 435
13.1 Psychological safety and direct and observational learning 435
13.1.1 Psychological safety and transfer 436
13.1.2 Direct and observational learning 437
13.2 Motivation 439
13.2.1 Lack of follow-up and embeddedness in ethics management 439
13.2.2 Ethical leadership 442
13.3 Time hurriedness 443
13.4 Talking about dilemmas with colleagues 448
13.5 Other findings related to transfer 450
13.6 Conclusion: the CIMO-configurations summarized 452

14 Survey-based measurement of organizational culture and ethical competence 453
14.1 Survey-based measurement of ethical competence (ECQ) 453
14.1.1 Linking process, response rate and coding process 454
14.1.2 Factor analyses 456
14.1.3 Coding process and scale description 457
14.1.4 Results 466
14.2 Survey-based measurement of organizational culture in prison B (LOCQ) 475
14.2.1 Response rate and background questions 475
14.2.2 Factor analyses 476
14.2.3 Results: organizational culture in prison B 479
14.3 Conclusion 484

General conclusion 487
Reference list 509
Het groene gras 535