dealing with ethical dilemmas: strategies for leaders in higher education dr. kate mueller advisor...

Dealing With Ethical Dilemmas: Strategies For Leaders In Higher

Education

Dr. Kate Mueller

Advisor to the Director, Al Rowdah Academy

Contact information: [email protected]

Webinar objectives

Participants will:•Learn about examples of both unethical and ethical leadership•Gain a greater understanding of why it is critical for our college leaders to behave with integrity•Gain understanding of why types of ethical dilemmas are faced by community college presidents•Learn guiding principles for making ethical decisions in the face of ethical dilemmas

Outline of Webinar

Brief Breakdown of Program Agenda•Introduction of need for this research•Introduction of need for these guidelines•Sharing real-life ethical and unethical situations faced (or even created) by educational leaders•Discussing better, more ethical, decision-making options: using chat option for participation in discussion•If time allows, having participants share their own ethical dilemmas, or dilemmas close to them•Sharing guidelines developed based on research done with community college presidents

Context of the Problem

• Leaders resolve situations with ethical dimensions daily

• More often than not, no clear line between ethical and unethical behavior

• Research focusing on ethical leadership in community colleges is limited

So many examples, unfortunately

Many examples of ethics ignored:• President of Wesley College denied accusations of

plagiarizing another college president’s speech


Many examples of ethics ignored:• Chancellor in Alabama who used state funds to pay

off gambling debts


Many examples of ethics ignored:• TSU President who spent hundreds of thousands of

state dollars for personal expenses


Many examples of ethics ignored:• Faculty who knowingly allowed plagiarism in master’s

theses


Many examples of ethics ignored:• Hidden compensation by the University of California

for top officials


Many examples of ethics ignored:• Compton Community College lost its accreditation for

a variety of unethical and legal practices

Robert A. Paxton, former president of Iowa Central Community College

Context of the Problem

• An ethical campus culture must start with the president, because the leader sets the tone

• All positions of leadership should demonstrate and emulate ethical behavior and decision-making

• Leadership is not just positional

Research: California as an example

• At the time this research was conducted (summer 2007), there were 52 vacant or interim presidencies

• Growing concern about availability of leaders to replace these retiring presidents

• And while this research surveyed and interviewed community college presidents – presidents and leaders at any institution an us this information to become better, more intentionally ethical leaders

Purpose of Dr. Kate’s Study

• What does ethical leadership look like in the presidency of a community college?

• Learn from current community college presidents

• Their experience = a teaching and learning tool

• Their experience = development of guidelines for ethical leadership

Significance of Study

• Ethical issues and illegalities are a global problem

• Can be a challenge to determine what is an ethical response

• There is risk in every decision

• Scarcity of research on ethical leadership and community college presidents

Significance of Study

• Most research on ethics in education has focused on students, not educational leadership

• Opportunity to identify guidelines of ethical leadership and ethical decision-making

• Understand what college presidents encounter from a practical standpoint

Shugart and Joynton (1997) – Ethical decision-making model

1. Is there an ethical problem?

2. What additional factual information do I need to obtain?

3. What are the ethical issues in the situation?

4. What is my own moral stance? That of my profession?

5. What are the moral stances of others in the situation?

6. Does the situation contain any conflicts of moral values?

7. Who decides?

8. What are the consequences of each of the options?

9. What shall I do?

10. How does my decision look after I have acted?

Trevino and Nelson (2007) – values exercise with business leaders … examples

Ethical Dilemmas

• Community college leaders in particular confront countless ethical issues (Wallin 2007)

• Ethical dilemmas occur when there is no straightforward answer about a ‘right’ or ‘wrong’ course of action in a particular situation (CIHE, 2005)

Guidelines for Ethical Decision-Making

• Compilation of several authors’ guidelines:• Get the facts• Identify the pertinent ethical issues• Identify the stakeholders• Identify obligations• What are the options?• What are the consequences?• Who benefits? Who pays?

Research on Ethical Decision-Making

• There is no one set of principles or guidelines, or any one model that will address every situation with ethical dimensions.

• Cannot anticipate every situation, but principles and guidelines can help us prepare.

Survey Content

• Research Question 1: What situations with ethical dimensions do community college presidents face?

• Item 1: Describe one or more situation(s) with ethical dimensions that you have personally experienced.

Survey Content

Research Question 1: What situations with ethical dimensions do community college presidents face?•Specifically:: Describe one or more situation(s) with ethical dimensions that you have personally experienced.

Research Question 2: How do community college presidents address such situations?•Specifically: Explain how you addressed the situation(s) with ethical dimensions as described in Item 1. (If you chose not to confront the situation, please talk about why you made that decision.)

Population and Sample in Study

• California Community College Presidents• Convenience sample• 109 presidents• 17.4% participation rate (presidents completing the

survey)• Of the 19 participants, 27 situations shared• 40 percent of CCC presidents responded, but declined

to participate

Question 1: Describe an ethical dilemma

• All situations had multiple players• Predominant

• Employees• Board Members• Students

• No two situations were identical

Results and AnalysisSurvey Question One

Predominant behaviors• Employees

• Making false claims for personal gain• Sexual harassment of students• Illegal behavior on campus• Hiring policies• Incorrect reporting of college enrollment


Predominant behaviors• Board Members

• Improper/unethical use of board position or influence• Micromanaging• Avoiding conflict or taking no action


Predominant behaviors• Students

• Student rights• Expecting preferential treatment due to relationship with a Board

Member• Dismissal of student athletes from teams• Students contacting local media

Question 2: How did you address the dilemma?

• Directly addressed the situation• Sought balance in regard to benefit to individuals and

institution• Considered the “big picture”• Sought compromise• Avoidance• Collaboration and involvement of others• Held ground• Communication• Educate• Negotiation and persuasion• Listening• Walk a fine ethical line

Themes

• There is no one way to address a situation with ethical dimensions

• Have to address on case-by-case basis

• Will not manipulate process; process must have integrity

• Often the Board is trying to the do the right thing, with no malicious intent; misguided

• Community colleges are held in public trust

Findings

• Similar responses from participants to research in the literature• Not bowing to Board member’s influence• Not succumbing to hiring requests• Calling for an audit when erroneous reporting discovered• Maintaining confidentiality

• One surprise: 15 of the 19 who completed and returned the survey also returned the token of appreciation

• And 29 of the 31 who specified that they were declining to take the survey also returned the money

• Question: do these presidents habitually return tokens of appreciation, or did the subject matter motivate them to return the money?

Thoughts …

It is important to remember: “ethical presidents are not perfect human beings. They make mistakes, but they acknowledge those mistakes.” (Walling, 2007), p. 44

Thoughts …

There is no one way to deal with a situation with ethical dimensions, yet you can take some of the lessons learned in one situation and apply them to another.

Thoughts …

You don’t always have time to learn the job before testing your ethical mettle … an ethical dilemma occurred two hours into a participant’s new presidency, another 2.5 months in … another participant used the term “initiation by fire”.

Questions so far?

Ethics Checklist (6 points)1. Is it legal?

Will I be violating either civil law or company policy?

2. Is it balanced?

Is it fair to all concerned in the short term as well as the long term?

Does it promote win-win relationships?

3. How will it make me feel about myself?

Will it make me feel proud?

Will it make me feel bad?

Would I feel good if my decision was published in the newspaper?

Would I feel good if my family knew about it?

Ethics Checklist (6 points)4. Do you think it’s wrong?

If something inside you is telling you it’s wrong, then don’t do it.

5. If you’re not sure . . . ask.

Ethical decisions don’t have to be made in a vacuum.

6. If you don’t get a clear answer, keep asking until you do.

Keep at it until it is clear.

Sources: “The Power of Ethical Management” by Kenneth Blanchard and Norman Vincent Peale, 1988, and “Quick Tips for the Busy Administrator,” 1997

A 7-Step Method for Ethical AnalysisNorman Bowie and Manuel Velasquez

1. What are the facts?

2. What are the ethical issues?

3. What are the alternatives?

4. Who are the stakeholders?

5. What is the ethical evaluation of each alternative? (rights, duties, justice, etc.)

6. What are the constraints? (ignorance, uncertainty, ability, etc.)

7. What action should be taken?

Practical Stepsfrom Quick Steps for the Busy Administrator, 1997

1. Identify the problem and clearly state the goal. Poorly-assessed or undiagnosed problems are rarely cured, whereas clearly-defined problems are often solved and detailed goals are met.

2. Research the facts. Use information from books and people to understand the situation.

3. Identify and ask for input from those the decision affects. Asking someone for advice doesn’t automatically mean putting someone else’s opinion over yours.

4. List alternative solutions. Don’t just follow the normal routine – be creative! In the words, ignore the saying “We’ve never done it that way before.”


5. Evaluate each alternative. While each of the preceding steps

contribute to making an ethical decision, the essence of an ethical decision is the consideration of the following contributing factors:

Practicality. Can it be done?

Harm. Can it be done with minimal risk to physical or mental health?

Emotions. Can it be implemented without fear of failure? (fear is a strong inhibitor of effective decision making)

Short-term vs. Long-term effects. Are the fruits of immediate gratification blinding you to the long-term consequences?

Objectivity. Ethical decisions require clear vision. Make sure you have a “big-picture” view from some place other than your own skewed vantage point.


Permanence. If you can change your mind, the decision is a whole lot easier. Consider decisions that are effective but are also open to modification without a new set of obstacles and a new wave of turmoil.

Is it fair? Test fairness by abandoning your preconceived notions as to which side you would be on.

What if the situation were reversed? Apply the Golden Rule.

What if everybody did it? Think about the consequences if everyone acted the same way. Also consider such fatherly advice as “two wrongs don’t equal a right.” Numerous organizations may very well be doing it, but it may be fundamentally wrong.

What are your responsibilities? Ask “what would I have to do?”


Can you live with your decision? Given your character and values, is your decision morally permissible or impermissible? Do you feel a sense of peace and confidence as you consider announcing the decision to your colleagues or superiors as the most-effective and most-ethical approach to the problem?

Can you sleep at night? If you are already literally losing sleep over a decision, or can imagine losing sleep in the wake of an upcoming decision, ask yourself if losing sleep is a non-verbal message as to the ethical nature of your decision.


6. Set a deadline. A decision must be made. And not to decide is to decide. Procrastination can truly do more damage than good.

Case Study 1 A president about a Board of Trustees: in my opinion one of these Board members makes unusually heavy demands on the college and its resources to service him. He has not attended graduation for two years.

Yet he expects that I will regularly take him to an expensive restaurant of his choosing along with the other senior Board member to be briefed. These dinners usually occur about every six weeks and often run in excess of $600.00. I’m not comfortable with this arrangement nor was my predecessor.

This same board member has just obtained a new iPhone at college expense and we regularly send an IT staffer to the Board member’s home to maintain his computer, fax and printer supplied by the college. All BOT members have access to these same perks as well as a communications allowance in addition to their trustee pay.

I’m uncomfortable with some of these arrangements but this is SOP that predates me. I see nothing illegal about these perks in principle but a breakfast or lunch for one of the other trustees at $15-25 suffices versus these expensive dinners.

Case Study 2A board member came to a college president to discuss the son of a friend. The father wanted the boy to go to college but didn’t know where to start. I had the Board member give the young man my card to contact me for an appt. The Board member wanted to be present at the meeting. Later, the Board member wanted to know the young man’s progress and grades.

Case Study 3Within two and half month of becoming College President, the Dean of PE & Athletics, the Athletic Director and Head Football Coach came to my office. They told me that the starting quarterback who was originally from _______ had been suspended from the ______ football team because of charges brought against him for sexual misconduct. A _____ jury had found him guilty as charged.

In another state, a jury conviction is not final until a judge accepts the verdict. The judge may also vacate the charges, therefore, the jury conviction is only a recommendation. The dilemma was, should we allow him to play football for the College.

When the President of the Board of Trustees found out about the situation, he demanded that the football player be removed immediately from the team. The Chancellor agreed with him.

The ethical problem was that the football player had not violated any College policy, was not officially convicted by a state judge (the judge’s decision would come in January) and had not violated any COA rule. This issue was given to a District lawyer and he agreed that the player had not violated any College or State policy or rule. Nevertheless, I was told to remove the player from the team.

Case Study 4Incorrect reporting of college enrollment for purposes of receiving State aid.

Case Study 5Faculty who use college facilities, materials and/or services to further private business or entrepreneurial interests has been a recurring issue; present at all four colleges where I have worked as an administrator. This has taken several forms from outright theft of money and/or supplies to using athletic facilities to run private camps to using campus rooms as display rooms for products, etc.

Case Study 6The most common situation I have experienced is related to hiring processes and involves the difficulty in ensuring open and inclusive processes when incumbents are also applicants.

Hiring committees are expected to be objective and unbiased, but I have frequently experienced processes that result in preferential treatment for incumbents at one or more pointes in the process (development of job announcement, recruitment, paper screening, interview).

In my role as President, I need to certify those processes and have been put in the position of having to question the outcomes of a long, labor-intensive process in which a number of staff have invested much time and effort. The incumbent may, in fact, be the best choice, but did the process have integrity? Did the search result in a sufficient number of finalists so that I – or whichever manager is making the final decision – have sufficient choices beyond the incumbent?

Case Study 7“The dean of Berkeley Divinity School at Yale is resigning after an audit revealed that, among other improprieties, he used the school’s money to pay his daughter’s tuition at Harvard Medical School.” (Chronicle of Higher Education, online, 12/19/01)

Case Study 8“Having been on the job only three months, Owen F. Cargol suddenly resigned as president of Northern Arizona University last month, after a male employee accused Cargol of grabbing his genitals twice in a campus locker room and sending him hot emails . . . The Board of Regents released copies of the emails Cargol sent to the employee, including one that reads: ‘As you can tell, I have overcome most, if not all, of my inhibitions and self doubts. For sure, I am a rub-your-belly, grab-your-balls, give-you-a-hug, slap-your-back, pull-your-dick, squeeze-your-hand, cheek-your-face, and pat-your-thigh kind of guy. I am optimistic, outgoing, physical, affectionate and a sensual kind of guy. I hope, in time, you can overcome your feelings of anxiety and lack of self-worth, and feel comfortable enough with me (and others) to reciprocate with the same level of playfulness and affection.” (Women in Higher Education newsletter, December 2001)

Guidelines for Ethical Leadership

• Address the situation directly, immediately, and forthrightly

• Weigh options, seek balance and win-win solutions; seek compromise

• Step back and see the whole situation

• Investigate, which might include meeting with the parties involved.

• Verify that college procedures/policies were followed• Ensure solution is consistent with college procedures/policies• Use internal procedures/policies to resolve issue


• Ensure fairness

• Employ the legal system when appropriate

• Protect due process and rights of students and employees

• Enlist others (e.g. board members, other administrators, employees) in the decision-making and addressing of situations with ethical dimensions

• Do not succumb to pressure

• Set ethical boundaries


• Maintain confidentiality

• Communicate: take the time to ask questions and dialogue

• Communicate with supervisor

• Listen

• Educate employees, board members, and students … about policies …about ethical leadership

• Negotiate and persuade others after identifying the best possible solution

Resources – Online Articles/Resources• Benjamin, M. (2006). Everyday ethics. NASPA’s NetResults. Retrieved

August 14, 2006, from www.naspa.org• Bowen, C., Bessette, H., & Chan, T. C. (2006). Including ethics in the

study of educational leadership. Journal of College and Character, 7(7). Retrieved September 13, 2006, from www.collegevalues.org

• Brown, M. E., & Trevino, L. K. (2002). Conceptualizing and measuring ethical leadership: development of an instrument. Academy of Management Proceedings, 2002, D1-D6. Retrieved November 21, 2004, from http://www.uwec.edu/Sampsow/Measures/Leadership-ELS.htm

• Council for Industry and Higher Education (The). (2005). Ethics matter: Managing ethical issues in higher education. London: The Council for Industry and Higher Education and Brunel University. Retrieved August 21, 2007, from www.cihe-uk.com/docs/PUBS/0509Ethics.pdf

• Moriarty, D. F. (1991). A code of ethics for community college leaders. Leadership Abstracts, 4(6). Retrieved March 14, 2005, from www.league.org

Resources – Books and Journals• Blanchard, K., & Miller, M. (2004). The secret: What great leaders

know—and do. San Francisco, CA: Berrett-Koehler.

• Blanchard, K., & Peale, N. V. (1988). The power of ethical management. New York: William Morrow.

• Chappell, S. K. (2007). Leading from the head and the heart. In D. M. Hellmich (Ed.), Ethical leadership in the community college: Bridging theory and daily practice (pp. 122-130). Bolton, MA: Anker.

• Costa, J. D. (1998). The ethical imperative: Why moral leadership is good business. Reading, MA: Addison-Wesley.

• Danley, J. V. (2006). Ethical behavior for today’s workplace. College and University, 81(2), 53-55.

Resources – Books and Journals• D. M. Hellmich (Ed.) (2007), Ethical leadership in the community

college: Bridging theory and daily practice (pp. 46-60). Bolton, MA: Anker.

• Gardner, J. W. (1990). On leadership. New York: The Free Press.• Humphrey, E., Janosik, S. M., & Creamer, D. G. (2004). The role

of principles, character, and professional values in ethical decision-making. NASPA Journal, 41(4), 675-692.

• Janosik, S. M., Creamer, D. G., & Humphrey, E. (2004). An analysis of ethical problems facing student affairs administrators. NASPA Journal 41(2), 356-374.

• G. B. Vaughan and Associates (Eds.) (1992), Dilemmas of leadership: Decision making and ethics in the community college (pp. xi-xiii). San Francisco, CA: Jossey-Bass.

Resources – Research• Mueller, Kathryn L. (2008) Situations with Ethical Dimensions as

Described and Addressed by California Community College Presidents. Doctoral Dissertation. The University of Nebraska-Lincoln.

• Mullane, Susan P. (2009. Ethics and Leadership. http://www.bus.miami.edu/_assets/files/executive-education/leadership-institute/ethics-and-leadership.pdf

• Waggoner, Jessica (2010). Ethics and Leadership: How Personal Ethics Produce Effective Leaders. http://scholarship.claremont.edu/cgi/viewcontent.cgi?article=1025&context=cmc_theses

Resources – Websites/Free

• Josephson Institute of Ethicshttp://www.josephsoninstitute.org

• http://www.managementstudyguide.com

• http://www.learn-to-be-a-leader.com/leadership-ethics.html

• http://ethicalleadership.org

Resources – Videos and Podcasts

• Ted Talks: Various videos on leadership at www.ted.com

• Center for Creative Leadership: http://www.ccl.org/leadership/podcast/

• The Ethics Guy: www.theethicsguy.com

• Daniel Golman talks about Ethics in Leadership: www.morethansound.net

• The Mann Center for Ethics and Leadership, Samford University: http://www.samford.edu

Dr. Kate Mueller

[email protected]

dealing with ethical dilemmas: strategies for leaders in higher education dr. kate mueller advisor...

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