Transformations through the Four Phases of Whistleblowing (Part
1)
The individual is transformed in four phases by the events that
lead up to her whistleblowing and that follow that defining moment.
1. Divorce
In the first phase, the individual
comes to understand that her goals and the organization’s are not aligned. If she once felt loyalty to her company, that feeling
dissolves. She may now be prepared to
harm the company, or her readiness may come in the second phase.
Daniel
Ellsberg described a long lead-up to his release of the Pentagon Papers. Revelatory conversations with generals in
Vietnam during 1967 began his transformation.
He moved closer to his split when attending anti-war rallies in 1969,
and he finally released the Papers to the New York Times in 1971. Edward
Snowden recounted a years-long approach to his 2012 decision to release secret
documents describing government surveillance to a reporter at The
Guardian. Both Ellsberg and Snowden
moved gradually from supporters of the government’s strategies to severe critics
who were prepared to act as whistleblowers.
I was no whistleblower in 1992 when I signed a loan
agreement that violated a key MAI
Systems bank agreement. Instead, I
believed that the agreement was critical to MAI’s survival and my own
success. I was no whistleblower in 2005
when I hoped to delay exposure of fraudulent meal counts at the Gilroy
nutrition site of Catholic
Charities. Instead, I wanted time to
sweep away the problem before it harmed me and the company. I was no whistleblower in 2006 when I signed
a borrowing agreement that I knew HomeFirst would soon violate or when an
attorney advised that HomeFirst was at risk of violating licensing
requirements at its largest shelter.
Instead, I saw my own future bound up with a successful turnaround of
the company which needed my complicity.
I was not prepared to blow a whistle at HomeFirst until
after Jenny
Niklaus joined the company as CEO in 2009, after the company’s program
director cried at the news of Niklaus' selection, after its development director quit in frustration
and Niklaus fired in succession the two replacements she had hired, after the
company reported four successive years of losses, and after Niklaus insisted on
wildly optimistic assumptions in order to balance the company’s 2013-14 budget.
The events that transform anyone from a reasonably loyal, if
not especially respectful, employee to a whistleblower are not always pretty. Others may find them inconsequential; the
events do not always plainly justify becoming a whistleblower. The events that preceded Chelsea Manning’s
disclosure of documents that revealed misconduct in the Iraq war are painful to
read, but they do not logically support an ethical decision to reveal classified
materials. After her unique personal
journey, each whistleblower arrives at the point where she is prepared, in a
way she was not previously, to violate loyalties and to initiate a doomed
project that will result in her punishment.
2. Witness
In the second phase, the potential
whistleblower witnesses a questionable activity. No longer fully aligned with the company, she
does not assume that the activity will benefit her and the company. She suspects that something is amiss. After investigating, she decides that the activity
is wrong or a mistake and mentions it to her boss or another responsible
person. Depending on her approach and
the value of the activity to the company, her observation may be ignored or
dismissed or she may catch some blow-back.
When the company does not deal with
the problem promptly, she begins to doubt those in charge, and she watches
closely what happens next[1]. As she investigates further, she finds not
only that the initial problem remains uncorrected but that other problems exist
as well[2].
Organizations that misbehave in multiple instances are
sometimes portrayed as “bad barrels” that turn previously good people into bad
apples who commit wrongs[3]. Cynics judge that the nature of organizations
is to misbehave in furtherance of their objectives[4]. From the whistleblower’s perspective, the
question is not why the misbehavior occurs but whether it will be disclosed.
I first suspected the County
overbilling at the end of preparing the 2013-14 budget. As we had done privately and in earlier
meetings with the Finance Committee, Niklaus
and I exchanged barbs in front of the Board over that budget, which I considered
perilously unrealistic. In a different
mood I would have ignored the possibility that we had billed the County of
Santa Clara improperly. I had done so in
the past, and the County would not find the problem on its own. This time, however, I probed further.
Niklaus, who was unhappy that I found the violation just
prior to our annual audit, said she and the Program Officer would work it out
with the County staff. In a different
mood I might have dropped the matter after she had relieved me of the responsibility
to fix it, but this time I tracked their progress. No resolution emerged, and I became more
annoyed.
On August 26, 2013, Niklaus, the Program Officer. the
Development Officer, and I met as we did on most Mondays. As the meeting closed following a discussion
of the County overbilling, I asked whether HomeFirst’s largest shelter violated
the State
of California licensing requirement.
There was no external pressure to evaluate this issue, which would not
be discovered by the State or anyone else on their own. We had all ignored the risk for years. Niklaus went crazy, which I found interesting.
My exchanges with Niklaus over the budget had widened my
separation from her and the Board. I was
prepared to view potential misdeeds differently than I had in the past, to
investigate them, and to look for other misdeeds that might confirm my
assessment of the organization.
Psychologically separated from the company and with a
suspected misdeed in hand, I was prepared to become a whistleblower.
[1]
For example, Carol
Bondy Theresa
Ely, Angelo
Jacques, Deborah
Muller, Helen
Pace, Mark
Stewart, Joni
Westawski, SandRidge Whistleblower
2] For example, Linda Hobson, Rebecca Ricciuti, Amy Ward
2] For example, Linda Hobson, Rebecca Ricciuti, Amy Ward
[3] Kish-Gephart, Jennifer J., David A.
Harrison, and Linda Klebe Trevino. “Bad Apples, Bad Cases, and Bad Barrels: Meta-Analytic Evidence
about Sources of Unethical Decisions at Work.”
Journal of Applied Psychology. 95.1 (2010): 1-31
[4] Alford, C. Fred. Whistleblowers: Broken Lives and
Organizational Power. Ithaca, NY: Cornell University. 2001