1
Entering Law Students’ Conceptions of an Ethical Professional Identity and the
Role of the Lawyer in Society
Verna E. Monson* and Neil W. Hamilton
March 12, 2010
University of St Thomas School of Law
Holloran Center for Ethical Leadership in the Professions
2
Abstract
Kegan’s theory of lifespan identity development framed a pilot study of law students’
understanding of professionalism, part of a broader study of ethical professional identity. Four
raters trained in Kegan’s stage criteria could reliably assess one of three developmental stages,
based on coding essays on professionalism. Correlations of stage scores with moral judgment
scores, service learning, and work experience supported the validity of the method. Ethical
professional identity assessment can be integrated with courses or mentoring programs to
provide students with developmental feedback. This method can also be used to assess law
school outcomes with respect to ethical professional identity by comparing growth from
matriculation to graduation.
3
I. Introduction
Following recommendations of a 2007 Carnegie Foundation study1 on the future of legal
education, law schools and the ABA Section on Legal Education are focusing more attention on
ethical professional identity. Carnegie defined three domains or “apprenticeships” of becoming a
lawyer, the first consisting of acquiring core knowledge and analytical abilities, the central thrust
of the law school experience, and the second, the practical skills of lawyering. The third
apprenticeship, ethical professional identity (professionalism), gives rise to the questions of what
law schools should measure and how it should be measured in order to determine if program
objectives are met in this domain. The complexity of ethical professional identity from a
measurement perspective stands in stark contrast to the more straightforward content of the first
and second apprenticeships.
The purpose of this article is to report on a pilot study assessing entering law student
ethical professional identity that elicits students’ understanding of the nature of ethical
professional identity and the role of the lawyer in society. It is critical for research on Carnegie’s
third apprenticeship to understand where entering students are in their development of an ethical
professional identity. This baseline knowledge will permit law schools (1) to address empirically
the question of how legal education shapes identity, and (2) to define and assess what level of
growth in ethical professional identity should occur by graduation.2
In Part II, we give a brief review of the theoretical and empirical literature defining
ethical professional identity in terms of what should be measured and then how it should be
measured. In Part III, we describe our pilot study on the ethical professional identity of entering
law students at a Catholic law school in the Midwest, and then analyze the key findings and
implications of the pilot study. Part IV discusses implications of this research.
II. What Should Be Measured and How to Measure It
A. Kegan’s Theory of the Self
Next, we deal with the question of “what” should be measured. Ethical professional
identity can be viewed through multiple theoretical or empirical lens from a variety of academic
*Address correspondence to Verna E. Monson, Ph.D., Research Fellow, Holloran Center for Ethical Leadership in the
Professions, University of St. Thomas School of Law, 1000 LaSalle Ave., Minneapolis, MN, USA 55403-2015;
mons0076@stthomas.edu.
The first author thanks Neil Hamilton, Professor and Director of the Holloran Center, for his leadership in launching a
research agenda on morality in legal education and his partnership in shaping the research ideas within this study. Thanks also to
Professor Jerry Organ for his partnership in implementation of this study in his course, Foundations of Justice; Nicole Truso,
whose assistance in data analysis was invaluable; and Mickey Bebeau, Executive Director, Center for the Study of Ethical
Development, and Professor, School of Dentistry, University of Minnesota, for her many helpful comments and suggestions on
designing and implementing this study.
1
WILLIAM M. SULLIVAN ET AL., EDUCATING LAWYERS: PREPARATION FOR THE PROFESSION OF LAW 1, 1-20 (2007).
2 Neil Hamilton, Assessing Professionalism: Measuring Progress in the Formation of an Ethical Professional Identity, 5 U. ST.
THOMAS L.J. 510-11 (2008). For a review and discussion of research on ethical development in the professions, see Muriel J.
Bebeau, Promoting Ethical Development and Professionalism: Insights from Educational Research in the Professions, 5 U. ST.
THOMAS L.J. 369-79 (2008);
4
disciplines, including psychology, sociology, or philosophy.3 We chose Robert Kegan’s theory
of the self, which views identity as a capacity that can expand across a lifetime towards more
complex ways of understanding one’s relationship to self and others.4 Kegan’s definition of the
self is holistic, incorporating cognitive, emotional, and social elements of identity formation.5
Kegan suggests that our way of making meaning of our experiences becomes more complex and
intentional as we face life challenges that broaden our perspectives. In Kegan’s 1998 book, In
Over Our Heads, he describes the challenges faced by individuals grappling with moving from
identity grounded in family, friends, or co-workers to self definition. Individuals who have
achieved self definition in the realm of work, referred to as the “psychologically self employed”
by Kegan, are better suited to excel in demanding work of contemporary organizations.6
Kegan’s theory posits that development of the self proceeds from egocentric to otheroriented, and from external to internal definition through distinct “plateaus of mental
complexity,” empirically supported by longitudinal studies over two decades.7 Each plateau or
stage describes the relation of “subject,” or conscious awareness of the self in relation to other, to
“object,” which are unconscious, implicit processes that shape how we make meaning of our
experiences.8 Children are unlikely to discern how their parents shaped their viewpoints. In
similar ways, adults may be unaware of influences that filter perception and understanding,
according to Kegan.9 Table 1 provides stage descriptions from adolescence through adulthood.
3
Competing theoretical approaches are numerous (e.g., personality, emotional intelligence, or expert-novice differences in the
development of competence). We sought a developmental theory of identity that emphasized lifespan growth. We use research on
identity development and education in the professions as guides. Theories of self and identity refer to the ways in which
knowledge is constructed, referred to as epistemology in philosophy. Kegan’s theory is similar to other theories of human
development, see, e.g., WILLIAM G. PERRY, JR, FORMS OF INTELLECTUAL AND ETHICAL DEVELOPMENT IN THE COLLEGE YEARS: A
SCHEME (1970) (intellectual development); Le Xuan Hy & JANE LOEVINGER, Measuring Ego Development (1998) (ego
development). We chose Kegan’s theory because of its relevance to the challenges of a work and professional environments that
are becoming increasingly complex.
4 ROBERT KEGAN, IN OVER OUR HEADS: THE MENTAL DEMANDS OF MODERN LIFE 185 (1998).
5
We position Kegan’s identity development construct within Rest’s Four Component model of moral behavior, which is used as
a conceptual frame for the development of curricula in ethics education in the professions. For a general introduction to Rest’s
Four Component Model in ethics education in the professions, see Muriel J. Bebeau, The Defining Issues Test and the Four
Component Model, Contributions to Professional Education, 31 J. MORAL EDUC. 283-287 (2002). For a more detailed review of
measures used in ethics education in the professions, see Bebeau, supra note 2, at 399–403. For a general introduction to Rest’s
theory, see JAMES REST ET AL., POSTCONVENTIONAL MORAL THINKING: A NEO-KOHLBERGIAN APPROACH 35 (1999).
6 See KEGAN, supra note 4, at 152–53.
7 ROBERT KEGAN & LISA LAHEY, IMMUNITY TO CHANGE: HOW TO OVERCOME IT AND UNLOCK THE POTENTIAL IN YOURSELF AND
YOUR ORGANIZATION 14–15 (2009).
8 LISA LAHEY ET AL., A GUIDE TO THE SUBJECT OBJECT INTERVIEW: ITS ADMINISTRATION AND INTERPRETATION INTERVIEW: ITS
ADMINISTRATION AND INTERPRETATION 14-16 (1988).
9
See KEGAN, supra note 4, at 4–5.
5
Table 1
Professional Ethical Identity Development, Stage Descriptions10
Stage
Stage Description
Independent Operator
Characterized by external definitions of self and of
(Stage 2)
professionalism, attaining a credential rather than
acquiring a set of values, attainment of technical skills, a
focus on goals over purpose, predominance of “eitheror” thinking, an egocentric view or tone, and a focus on
self-interest based on concrete ideas, rewards, or
punishments (e.g., a lifestyle based on materialistic
goals, avoiding punishments such as disbarment).
The Team-Oriented
Idealist
(Stage 3)
Self-Defined
Professional
(Stage 4)
The Humanist
(Stage 5)
Characterized by interpersonal or social connectedness,
drawing meaning from group belonging. May lack clear
boundaries, e.g., where one’s own values and point of
view are substantially defined by one’s close friends,
family, school, ideology or religion, or other subscribed
“schools of thought.”
Characterized by self-reflection, the ability to hold
opposing ideas, and respect diversity of thought or
ideology. Has identified key elements of life purpose or
values. Can independently judge the influences from
close others or authorities, and adhere to one’s inner
values and ways of making sense of one’s experiences.
Stage 4 is considered by Kegan to be essential for
success in demanding professional roles or occupations.
Characterized by recognition of the limits of selfdefined values and commitments. Can transform the self
to become more fully present and open to others,
resulting in more authentic, effective relationships.
Stage 5 individuals recognize the interdependence of all
persons and systems.
Advancement from Stage 2 to 3 occurs in late childhood and adolescence and can extend
well into adulthood. Stage 3 is typically observed beginning in late adolescence and according to
Kegan’s estimates, is the predominant stage of most adults. Stage 4, also called the “SelfAuthoring Mind,” is typically not observed until one’s 30s; Kegan estimates that approximately
one half to two thirds of all adults may never achieve Stage 4.11 Recent research finds that
identity varies significantly within age groups, making it possible for an individual in his or her
10
Descriptions of stages were adapted from Muriel J. Bebeau & Philip Lewis, Manual for Assessing and Promoting Identity
Formation (Ctr. for the Study of Ethical Dev., Draft, 2004); JAMES RULE & MURIEL J. BEBEAU, DENTISTS WHO CARE: INSPIRING
STORIES OF PROFESSIONAL COMMITMENT 162 (2005); see also KEGAN & LAHEY, supra note 7, at 19–20, for Kegan’s description
of Stage 5.
11 See KEGAN & Lahey, supra note 7, at 14.
6
20s to have achieved Stage 4 and someone in midlife to remain in Stage 2.12 Table 2 displays
frequencies and percentages of stages from assessments in education in the professions.
Table 2
Summary of Kegan Identity Assessment Studies in Education in the Professions
Stage 2
Stage 2 / 3
Stage 3
Stage 3 / 4
Stage 4
Study
Stage 4 / 5
13
Snook et al., 2007, n=26
Harvard MBA students
Bartone14 et al., 2007,
n=38 professional military
cadets (freshmen)
Bartone15 et al., 2007,
n=38 professional military
cadets (senior)
Monson & Bebeau,16
2006, dental students
(freshmen) n=94
Roehrich & Bebeau, 17
2005, dental students
(freshmen) n=46
Eigel,18 1998, CEOs, n=21
Eigel,19 1998, middle
managers, n=21
9 (35%)
7 (27%)
9 (35%)
8 (21%)
24 (63%)
6 (16%)
0
0
0
2 (6%)
10 (31%)
14 (44%)
6 (19%)
0
12 (13%)
48 (51%)
18 (19%)
12 (13%)
4 (4%)
0
6 (13%)
32 (70%)
4 (7%)
4 (7%)
0
0
0
0
0
0
17 (81%)
4 (19%)
0
2 (10%)
7 (33%)
0
10 (48%)
1 (5%)
B. How Should We Measure Kegan’s Conception of the Self?
Kegan’s assessment tool is the Subject-Object Interview,20 which guides participants
through self reflection on salient issues that elicit the individual’s conceptions of self. The
interview can focus on a particular topic (e.g., our study dealt with professional ethical identity).
Other assessment methods include (1) an adaptation of the Subject-Object Interview that uses
short essay questions (the method used in this study),21 (2) the Washington Sentence Completion
Test (WSCT),22 (3) the Epistemological Reflection (ER) interview,23 and (4) the Wabash
12
Id. at 14.
Scott Snook, Teaching Leadership in Business Schools: A Case Study, Unpublished Presentation, September, 2007, as cited in
Verna E. Monson, Susan Roehrich, & Muriel J. Bebeau, Developing Civic Capacity of Professionals: A Methodology for
Assessing Identity, (Mar. 6, 2008) (paper presented at the Am. Educ. Research Ass’n Annual Meeting, New York, N.Y.) (on file
with Verna E. Monson).
14 Paul T. Bartone et al., Psychosocial Development and Leader Performance of Military Officer Cadets, 18 LEADERSHIP Q. 500
(2007).
15 Id.
16 See Monson et al., supra note 13, at 22.
17 Id., at 29.
18 Keith Eigel, Leader Effectiveness, (Ph.D. dissertation, University of Georgia, 1998), as cited in Kegan & LAHEY, supra note 7,
at 24.
19 See Monson et al., supra note 13, at 22.
20 See generally, Id., at 22–23. For more detailed description of the methodology, see Lahey et al., supra note 8, at 290-355.
21 See Bebeau & Lewis, supra note 10, at 5-9.
22 See HY, supra note 3, at 26.
23 Marcia B. Baxter Magolda, Evolution of a Constructivist Conceptualization of Epistemological Reflection, 39 EDUCATIONAL
PSYCHOLOGIST 31–42 (2004).
13
7
National Study (WNS) interview,24 part of a longitudinal study of college student development
involving multiple institutions.
In professional education, Kegan identity assessment involves essay questions instead of
in-depth interviews, permitting broader administration as a formative assessment25 or program
evaluation tool. Essays are coded for stage content; table 2 displays coding criteria for Stages 2
through 5.26
Formative assessment serves a dual purpose of measurement and of student development,
providing constructive feedback and opportunities to revise and resubmit.27 For example, in a
formative case assessment in dental education, students construct a scripted dialog with a patient,
and after submitting a first draft, receive feedback on the effectiveness of the response and
suggestions to improve it.28 Formative assessment can be integrated with courses or with
portfolios, allowing professors and mentors to build off the assessment in discussions about the
students’ notions of an ethical professional identity and the role of a lawyer in society. Our aim
was to develop a formative assessment of ethical professional identity for law students that (1)
meets standards of educational and psychological assessment with respect to reliability and
validity,29 (2) is meaningful and sustainable, and (3) is complementary to curricular and cocurricular programs by engaging faculty and mentors in dialogue with students about core issues
about the meaning of professionalism in law. The overarching research question was: How do
entering law students understand the meaning of professionalism?
Our 35 years of experience teaching law students and working on professional identity
formation at Harvard Business School and West Point Military Academy30 also shaped “how” to
assess ethical professional identity. We have observed that some law students arrive with a clear
sense of purpose -- of professionalism as living one’s ethics and values through the practice of
law, and others arrive with more pragmatic motivations – of a lucrative career accompanied by
some authority and autonomy. In order to systematically explore the nature of those differences
using Kegan’s theory, we conducted a pilot study of a method to assess professional ethical
identity using short essay questions administered via the web. The intent was to estimate a
baseline of identity formation of law students, to develop a coding guide, and to subject the
resulting data to a number of psychometric procedures aimed at gauging construct validity,31 the
extent that a test or assessment adequately represents the underlying trait or ability. Although
previous studies of identity development in higher education have used more qualitative,
24
Patricia King et al., Developmentally Effective Experiences for Promoting Self-Authorship, 3 MIND, BRAIN, AND EDUC. 108–18
(2009).
25 See Bebeau & Lewis, supra note 10, at 5.
26 Id. at 6-12.
27 ROY STUCKEY ET AL., BEST PRACTICES FOR LEGAL EDUCATION: A VISION AND A ROAD MAP 26–27 (Clinical Legal Educ. Ass’n
2007).
28 See Bebeau, supra note 5, at 287.
29 Proposed Ethical Standards for AERA, Educational Researcher, 32 (1991). For a discussion of validity and its importance in
the ability to make inferences from test or performance data, also see Samuel Messick, Validity of Psychological Assessment:
Validation of Inferences from Persons’ Responses and Performance as Scientific Inquiry into Score Meaning, 50 AM.
PSYCHOLOGIST 741–49 (1995).
30 Muriel J. Bebeau & Verna Monson, Professional Identity Formation and Transformation Across the Life Span, in
PROFESSIONAL LEARNING OVER THE LIFE SPAN: INNOVATION AND CHANGE (A. McKee & M. Eraut eds., forthcoming 2010).
31 Validity refers to the extent that inferences made from a test or assessment can be justified through empirical or theoretical
evidence, and is an ongoing process, rather than a property of a test or an assessment. See Messick, supra note 29, at 741.
8
interpretive means of gauging construct validity,32 compelling evidence of validity comes from
longitudinal studies of military cadets, showing statistically significant developmental advances
for 47 percent of military cadet students from sophomore to senior years.33
C. Summary and Research Questions
Kegan’s identity theory offers law schools an alternate way of thinking about outcomes
and measures related to the Carnegie’s third apprenticeship, or ethical professional identity.
Traditional forms of instruction in this domain based on knowledge and skill acquisition – along
with traditional forms of testing – are likely to be ineffective or have unintended consequences
with law student populations already weighted under the pressure to perform academically and
pass the bar exam. The assessment methods we outline emphasize ways that formative
assessment can be woven into the existing curriculum or co-curriculum –key recommendations
from legal education scholars on best practices.34 To begin this path of inquiry, we addressed the
following research questions:
1. How do entering law students’ conceptions of professionalism align to Kegan’s identity
development stages?
2. Is there evidence of construct validity?
III. Method
This pilot study on the ethical professional identity of entering law students at a Catholic
law school in the Midwest used both short essay responses and assessment data from a
standardized test of moral judgment ability as data sources.35 The research design was cross
sectional and used mixed methods. The essay questionnaire was administered on the web prior to
the start of classes in fall semester. The study is part of a broader longitudinal research agenda
examining moral development from law school matriculation to graduation and throughout
lawyers’ careers. This study utilized (1) theories of epistemological and psychosocial
development of college and professional students36 based on Kegan’s adult development theory37
applied deductively to essays about the meaning of professionalism (2) content analysis,38 a
qualitative methodology that we used to inductively derive codes related to the nature of
anticipated conflicts, disappointments, or failures of the legal professional in relation to themes
32
For a general discussion of the methodological and theoretical approaches to assessment of college student development, which
range from deductive or theory driven, to qualitative, see Baxter Magolda, supra note 23, at 32-33; for a more concise display of
all related theorists, measures, and the relationship to Kegan’s theory, see King et al., supra note 24, at 108-10.
33 Paul T. Bartone et al., Psychosocial Development and Leader Performance of Military Officer Cadets, 18 LEADERSHIP Q. 500
(2007).
34 See STUCKEY et al., supra note 27, at 255–59.
35 Permission for this study was granted by the University’s Institutional Review Board (IRB) under file number A09-003-1.
36 See Baxter Magolda, supra note 23, at 32. For a discussion of psychosocial development of students in professions education,
see Muriel J. Bebeau & Verna E. Monson, Guided by Theory, Grounded in Evidence: A Way Forward for Professional Ethics
Education, in HANDBOOK OF MORAL AND CHARACTER EDUCATION 557 (Larry P. Nucci & Darcia Narvaez eds., 2008).
37 See generally KEGAN, supra note 4.
38 KLAUS KRIPPENDORFF, CONTENT ANALYSIS: AN INTRODUCTION TO ITS METHODOLOGY (2d ed. 2004).
9
and stages of identity development, and (3) quantitative methods39 to explore reliability and
validity40 of the coded data, using a measure of moral judgment ability and a measure of prior
service learning experience.41 The primary intent of this study was to better understand students’
conceptions of professionalism, and to develop a usable coding guide that links these
conceptions to developmental stage – not to generalize from our sample to the population of law
students. Long-term, our objective is to utilize a true longitudinal research design that could
address the question of what effect legal education has on ethical professional identity.
1. Population
The population consisted of entering law students in a required course, Foundations of
Justice (n=174) in fall of 2009. The entering class consisted of 53 percent males and 47 percent
females. Average age was 25; the range was 20-55. A total of 16 percent were minorities.
Students were contacted by email by the course instructor, and asked to complete a web-based
questionnaire prior to the first day of class. The overall response rate to the questionnaire was 51
percent (n=88).
2. Measures
Professional ethical identity. Because no specific measure of ethical professional identity
in law exists, we adapted one using research in professions education with the goal of validating
it for use in legal education. The measure consisted of a web-based survey that used open-ended
questions replicating previous studies in the professions that were grounded in the research on
adult identity development.42 The suggested amount of time to complete the questionnaire was
30 minutes. The questions were designed to tap into the cognitive-emotional-social structures
that comprise identity formation, focused around entering students’ understanding of
professionalism. The questions derived from Kegan included:
1. Personally, how do you understand the meaning of professionalism? How did you come
to this understanding?
2. What will you expect of yourself as you work toward becoming a lawyer? What will
society expect of you? What will the profession expect of you?
39
Kegan stages represent an ordinal level, quantitative variable. We thus relied on nonparametric quantitative methods, which do
not require scale-level variables and random samples. Nonparametric statistical analysis is used when the assumptions of
parametric, inferential methods are not met. In this study, our sample of Kegan essays was non-random, and our Kegan scores
represent ordinal level variables. In future studies, we plan on using scale equating methods with the Kegan scores to permit
inferential methods and statistical modeling. For an overview of social science research design and methods, see generally DAVID
C. HOWELL, FUNDAMENTAL STATISTICS FOR THE BEHAVIORAL SCIENCES 37 (5th ed. 2003).
40 Although the origin of validity stems from discussion of standardized tests of knowledge or personality, validity can refer more
broadly to data derived from performance assessments or observations, which through coding or rating data are produced. For a
discussion of different forms of validity, see Messick, supra note 29, at 742.
41 The rationale for the inclusion of this variable relates to research that service learning is positively related to college student
epistemological development. See, e.g., Robert A. Rhoads, Democratic Citizenship and Service Learning: Advancing the Caring
Self, in TEACHING TO PROMOTE INTELLECTUAL AND PERSONAL MATURITY: INCORPORATING STUDENTS' WORLDVIEWS AND
IDENTITIES INTO THE LEARNING PROCESS (Marcia B. Baxter Magolda, ed., 2000);Yan Wang & Robert Rodgers, Impact of ServiceLearning and Social Justice Education on College Students’ Cognitive Development, 43 NASPA J. 331 (2006).
42 See generally Kegan, supra note 4; see also Verna E. Monson et al., Developing Civic Capacity of Professionals: A
Methodology for Assessing Identity, (Mar. 6, 2008) (paper presented at the Am. Educ. Research Ass’n Annual Meeting, New
York, N.Y.) (on file with Verna E. Monson).
10
3. What conflicts do you expect to experience (e.g., between your responsibility to yourself
and to others – patients, family, community, profession)?
4. What would be the worst thing for you if you failed to live up to the expectations you
have set for yourself?
5. What would be the worst thing for you if you failed to live up to the expectations of your
clients (the profession) (society)?
Essay questions were adapted from work in professions education43 and Kegan’s SubjectObject Interview, in which emotion-laden key words such as “loss” or “success,” elicit the
subjects’ responses, which can center on particular role or function (e.g., parenting or work-life
balance).44 By coding the transcripts, researchers can observe developmental patterns related to
making sense of our experiences and the world around us.45 For example, in adolescence and
early adulthood, success might be viewed as dualistic and concrete (e.g., win or lose, or receive a
lucrative job offer or fail to win a promotion).46 In contrast, at higher levels of development,
apprehensions are more nuanced and complex, such as “losing one’s self” in one’s work or
recognizing the enormity of unmet needs in society and the challenge of balancing the
requirements of starting a professional practice against the desire to volunteer or serve the
profession in leadership roles.47
Data analysis, essay data. The first author led training in the Kegan identity theory and
coding criteria for three coders.48 Using a coding guide developed for professions education,
coders content analyzed two sets of randomly selected essays.49 The unit of analysis included
phrases and sentences that reflected criteria for each stage and transition stage50 (i.e., Stages 2,
2/3, 3, 3/4, and 4) (excerpts from the coding guide are included as Appendix A). Following this
step, coders made a global judgment of stage, based on the totality of the response.
To gauge the consistency51 of these judgments, four coders52 rated a random sample of 12
student essays, applying the Kegan coding criteria. The first author (coder A) and the attorney /
research assistant (coder C) had the strongest correlations between ratings (r =.72). We then used
a statistic that parsed variability in ratings within and between coder judgments, which was
43
See Bebeau & Lewis, supra note 10, at 9.
See LAHEY ET AL, supra note 8, at 291. In the Subject-Object Interview, topics that are emotion-laden (e.g., success, anger,
frustration, loss) are presented at the beginning of the interview, eliciting) participants’ thoughts. “Subject” refers to that which is
an implicit part of the self; “object” is that which we explicitly know, want, fear, or desire.
45 SHEELAGH O’DONOVAN-POLTEN, THE SCALES OF SUCCESS: CONSTRUCTIONS OF LIFE-CAREER SUCCESS OF EMINENT MEN AND
WOMEN LAWYERS 3, 10, 20 (2001).
46 See Kegan, supra note 4, at 94–95.
47 See Monson et al., supra note 13, at 37.
48 For the present study, the authors recruited a law professor with a background in social science research, and a practicing
lawyer with an undergraduate degree in psychology to code data.
49 See Bebeau & Lewis, supra note 10; also see Monson et al., supra note 13, at 52-63.
50 The first author led a training session introducing the theory and criteria for coding essays, and coders were given a random
sample of six cases. After one week, coders met to compare, discuss, and clarify interpretations of the data. Following this
training, a second random sample of 12 cases was rated by all four raters. Although our judgments included transition phases, we
counted as agreement judgments that were within a half stage (e.g., 2 or 2 / 3). Our rationale was that to discern a developmental
stage within the half stage, a more fine-grained assessment tool and parallel forms of assessment would be warranted.
51 The consistency of ratings or codes assignment complex data, also called interrater agreement, is the extent that two or more
coders who have received instruction in coding agree on judgments made independently. It is a concept related to reliability of
data. Evidence of reliability strengthens an argument for the validity of the test results. See Krippendorf, supra note 30.
52 Coders included the first author (coder A), second author (coder B), a research assistant and practicing attorney with an
undergraduate major in psychology (coder C), and a law professor (coder D).
44
11
moderate on the first round of coding.53 After discussion, all differences were resolved. Next, the
entire sample (n=93) was coded by the first author (coder A) and the practicing lawyer (coder C).
Correlations between stage scores assigned by coders A and C, based on a random sample
(n=35) of cases was rs = .81; all differences were discussed and resolved. Following this process,
key phrases were excerpted by the first author and were integrated into a revised coding guide
for use in law. A developmental psychologist with expertise using Kegan’s theory reviewed the
coding guide and examples as a content validation step.54
We also conducted content analysis by item and theme. Although the emphasis within
traditional identity research focuses on the structures of thinking (i.e., the dialectic between
subject and object), as opposed to content55 (i.e., work, family, one’s profession), we reasoned
that adding this layer of analysis provided a more full portrait of the nuances in law students’
conceptions of professionalism.
Other variables generated by coding for this study included (1) the level of self-reported
experiences with service learning, rated on a scale of 1 to 4, using a rubric generated by the first
author; and (2) years of work experience. The rubric for rating service learning is displayed as
Appendix B.
Moral judgment. In order to test the validity of the coded data, we used Defining Issues
Test (DIT),56 a test of moral judgment or postconventional schema preference. Postconventional
reasoning is defined as “rights and duties [that] are based on sharable ideals for organizing
cooperation in society, and are open to debate and tests of logical consistency, experience of the
community, and coherence with accepted practice.”57 Although there is overlap between moral
judgment and identity, past research suggests that there is a positive correlation between higher
stages of identity and postconventional reasoning, evidence of convergent validity. 58 Convergent
53
Several statistics and methods of calculating reliability and agreement are recommended for judging the consistency of rater
judgments. The most simple is percent agreement between two raters. Kappa adjusts for agreements due to chance. For more than
two raters, simple correlations (the Pearson Product Moment correlation coefficient for scale-level data and the Spearman
nonparametric correlation coefficient for ordinal data) can be used. The Intraclass Correlation Coefficient adjusts for variability
both within and between raters, and produces an Alpha coefficient. Alpha for the first round of rater judgments (within one/half
stage was .62; for the second round, this increased to .89). Several methods of estimating interrater agreement and reliability
exist. For an introduction to the topic, see, e.g., Joseph L. Fleiss, Measuring Nominal Scale Agreement Among Many Raters,
Psychological Bulletin, 76(5), 378-382, (1971); Joseph L. Fleiss & Jacob Cohen, The Equivalence of Weighted Kappa and the
Intraclass Correlation Coefficient as Measures of Reliability, Educational and Psychological Measurement, 33, 613-19, (1973).
54 Content validation of this coding guide was conducted by Dr. Muriel J. Bebeau, Professor, University of Minnesota School of
Dentistry, and former Executive Director of the Center for the Study of Ethical Development. Dr. Bebeau is a nationally
recognized expert in ethics education in the professions, and has consulted to a wide range of graduate programs in law, dentistry,
medicine, business, and professional military education.
55 See Lahey et al., supra note 4, at 12.
56 For an extensive review of the theoretical and empirical evidence of the validity of the Defining Issues Test (DIT), see REST ET
AL., supra note 5, at 35. The DIT has been cited in research articles involving hundreds of thousands of participants over three
decades, and used in over 40 countries around the world.
57 Id. at 41.The validity of the DIT is demonstrated on seven dimensions: (1) differences in ability between novice and experts in
moral reasoning; (2) gains in moral reasoning over time; (3) positive correlation with other cognitive measures; (4) gains in preand post-test intervention studies; (6) correlation to positive attitudes toward democratic process; and, (7) adequate internal
consistency and test-rest reliability (alpha in the upper .70s to low .80s).
58 Two studies of dental student identity formation examined Kegan stage scores and moral judgment, and found significant
general positive, linear relationship, indicating a degree of convergence between the constructs. See Monson et al., supra note 13,
at 41. See, generally, JAMES REST, MORAL DEVELOPMENT: ADVANCES IN RESEARCH AND THEORY, (1986). Rest’s Four
Component Model posits that there are four moral capacities that explain moral behavior (i.e., sensitivity, judgment, motivation
or identity, and implementation); so while moral judgment and identity are theoretically distinct, a general linear relationship is
evidenced in construct validation studies (e.g. Monson et al., supra note 13).
12
validity is a type of construct validity in which variables that are theoretically or empirically
related are correlated to determine the extent that the test or assessment is measuring the
construct of interest, and not an unrelated construct.
The DIT was administered using a three-story, paper-and-pencil version of the test to the
class on the first day of orientation (n=162). A secondary purpose of using the DIT was to obtain
baseline data as part of a longitudinal outcome assessment study. The DIT can be taken within a
30-45 minute period.
IV. Results
1. Research Question 1: How do law students’ conceptions of professionalism align to
Kegan’s identity development stages?
We coded material on criteria using the Kegan-style coding guide adapted for this study.
Essay responses were coded by the author and a practicing attorney with a background in
psychology, using meaningful phrases and sentences as the unit of analysis. We excluded vague
or nonspecific content, e.g., “Professionalism means acting in a professional manner” or “all
things de rigueur.” We gave phrases or paragraphs with richer detail or layers of meaning more
weight in the final stage score assigned the case, based on the judgment of the coder and the
salience of the material within the overall response.
Frequency counts and percentages for each stage and transition phase for the sample
(n=88) were: Stage 2, 14 students (16%); stage 2/3 transition, 22 students (25%); stage 3, 29
students (33%); stage 3/4 transition, 22 students (25%), and stage 4, 1 student. Next, we report
the results of coding, followed by the results of our validation procedures. We coded responses
by item, in order to illustrate the breadth of concepts within the items, and identify phrases and
sentences that could be used to adapt the coding guide for legal education that we had used in the
first round of coding.
59
a. The Meaning of Professionalism
Within responses to the first question, “Personally, what does professionalism mean to
you?” three large themes emerged in coding words or phrases, including professionalism as:
1. Performance, or the professional as “actor on a stage,” characterized by words or phrases
such as “acting like…,” “behaving in a manner…,” “a demeanor by which one carries
him/herself, “dressing appropriately,” and exhibiting a baseline level of competence,
knowledge, and skill.
2. Interpersonal Relationships, characterized by phrases such as (a) “showing respect for
others,” (b) being cooperative with colleagues, (c) being able to resolve conflicts in a “civil
manner,” (d) focused on the client, (e) honor clients’ trust, and (f) zealous advocacy for
clients, and determination.
59
The lower number of Kegan assessments (n=88, compared to n=162) stemmed from different administration platforms, i.e.,
DIT completion took place at an orientation, while the Kegan assessment was administered via the web. We find no evidence that
there were any systematic differences between students who responded to the Kegan assessment request, and those who did not.
13
3. Aspirational Ideals, which included concepts such as (a) professionalism as a value, (b)
restraining self interest, (c) showing ethical courage, (d) behaving ethically; and (e)
considering the long term consequences of decisions.
Using the coding guide, phrases or sentences were given a rating by each coder. Table 3
displays criteria and excerpts representing the three primary stages.
Table 3
Excerpt from Coding Guide, Sample Criteria for Identity Stages and Phrases
Criterion (1 of 5)
Describes professionalism
in terms of demonstrating
requisite behaviors (“act
like” or “conduct myself
like”)
Criterion (1 of 16)
Speaks of meeting
professional standards in
terms of non-egocentric
motives (doing what is in
the client’s best interests)
Criteria (1 of 8)
Describes societal and
professional expectations
and role identities in terms
of consonance with the
respondent’s personally
held principles and values
Stage 2: The Independent Operator
Content Coded as Kegan Stage 2
Professionalism means the way you conduct yourself while at your
job. To be professional means to conduct yourself in a manner that
expresses that you mean business.
Stage 3: The Team-Oriented Idealist
Content Coded as Kegan Stage 3
Professionalism means you act in a respectful manner towards
those with whom you are working with (sic). As a professional, you
have been entrusted to provide a service to the best of your ability.
Clients or customers are often placed in a vulnerable position,
professionalism is not taking advantage of that vulnerability.
Stage 4, The Self-Defining Professional
Content Coded as Kegan Stage 4
Professionalism is an obligation that I have to my profession and
to the broader society. I need to know the law, how the legal
system operates, what my client's needs are, and how to meet those
needs without creating unnecessary conflict between opposing
counsel, opposing parties and the public trust.
Content frequently contained a mix of identity stage responses, meeting the criteria for
transition identity stages. Table 4 displays excerpted sentences or paragraphs that were coded as
stage or transition phases.
Table 4
Excerpts, Stage and Transition Phase Codes
Stage 2
A certain level of expertise, education or distinction can give the label of
'professional' to a person.
Stage 2/3
Transition
Treating others in your profession with respect [Stage 3]. Acting like an
adult (being on time, dressed appropriately, not making excuses) [Stage 2].
14
Stage 3
Professionalism to me means having a respect and appreciation for your
profession and the people that you interact with in the workplace. It is
about being courteous, civil, and respectful.
Stage 3/4
Transition
Ability to show respect, dignity, decorum [Stage 3]; ethical behavior even
when it is difficult or no one else is around; follow-up and showing those
who you work for and who work for you respect regardless of their
position/rank/reputation [Stage4] in an environment (e.g. business,
academic).
Stage 4
In the field of law, professionalism means upholding two sets of ethical
standards simultaneously. First, a lawyer is required to meet the ethics
required by the law. All of the basic principles that society has outlined as
the floor of appropriate behavior should at a minimum be met. Yet to me,
professionalism goes beyond that. It goes into an intangible dimension that
is not easily put into words. I expect my conduct to exceed what the law
spells out as the basic floor of acceptable, both in terms of ethics and
dedication.
b. How students came to understand professionalism
In answering the second question, “Thinking about what professionalism means to you,
how did you come to this understanding?” students cited primarily external sources (a hallmark
of Stage 2 and 3), including (1) past work experience or observing supervisors or co-workers, or
observing other professionals (n=69), (2) parents or other family members (n=13), (3) formal
coursework or self-directed readings (n=9), (5) spirituality or religion (n=5), and (4) playing
sports (n=1). In students’ responses about observing others considered role models of
professionalism, work experiences played an important role (n=34).
Identity stage coding. Content coded as Stage 2 or 2 / 3 transition reflected an external
orientation, i.e., constructing understanding from authorities and others, often with an
unquestioning tone, such as with the following excerpt:
I came to this understanding through experience in my law internship and through the
past jobs I have had. Watching my superiors interact with myself and other employees
has shown me how professionalism is carried out in the workplace.
The one student who cited sports as influential in his understanding of professionalism
exemplifies Stage 3 (Team Oriented Idealist) considerations, i.e., a sense of connectedness and
belonging, along with goal and achievement orientation:
Oddly enough, I learned professionalism from playing years of organized sports.
Understanding that successful resolution leads to overall success of the team has carried
over into my educational and vocational pursuits.
Others reported observing professionals who conducted themselves poorly. These
negative experiences fostered self reflection and definition, reflected in the following quote:
I think I just learned this from working at my job. My supervisor is not the nicest person;
he's rude, and personally I don't think he's very effective. But I know he is still my boss'
15
boss, and I need to be respectful towards him no matter how much I disagree with what
he does. If I treat him the same way he treats us, then I'm just stooping to his level.
A similar theme about a process of reflecting on one’s observations, but also seeking out
other perspectives through reading, suggesting a Stage 3 /4 transition phase is contained in the
following quote:
I developed this understanding of professionalism through my education and work
experience. Mentors and supervisors in these roles were instrumental in guiding me and
developing my level and awareness of professionalism. I also developed my own
understanding of professionalism through reading, studying, and reflecting upon books
as well. Perhaps more than anything, I have come to this definition by observing
professionalism, and sometimes more importantly a lack of professionalism, in others
and in colleagues.
Some students mentioned their faith as important to defining professionalism (n=5),
which may at first glance seem to be an externalized source of self definition (Stage 2 and 3),
however for several (n=2) the experience of faith and religion paved the way to a process of an
interior definition of the self (Stage 4), exemplified in the following excerpt:
I believe the term “professional” is often used in sweeping generalizations to denote
those who have excelled within a given field. However, given my Christian education in
both high school and college, as well as my family’s understanding of the concept, I
believe professionalism encompasses much more than a simple reference to a person’s
external success. Since ultimate purpose originates in a person’s interior life, I do not
think he can be considered a true professional if he has not cultivated a strong character
and inner self, both of which will naturally manifest themselves in the person’s daily
interactions, exchanges and career.
c. What Clients, the Profession, or Society Will Expect
We next focus on the expectations related to professionalism from external entities (i.e.,
clients, the profession, or society). Student responses focused slightly more on clients (n=61),
than the profession (n=49), or society (n=53). Content related to client expectations tended to be
more concrete and realistic than that of society or the profession. Responses that were thin or
non-descriptive were not coded, such as “the profession expects correct use of the system.”
Students stated a range of characteristics of what clients want, for example, lawyers were
expected to be “good and honorable,” “honest and respectful,” “[able to] stay cool in tough
situations,” “dedicated,” or “very, very serious and stoic.” Responses dealt with client
expectations that were both concrete (i.e., clients want “answers and solutions,” “complete their
will,” or “get them off criminal charges”) and the interpersonal (i.e., “caring,” “honest but
gentle,” or “trustworthy”). Not all content related to client expectations; some students noted that
clients will demand that their attorney “lie” or “put my beliefs aside.”
Identity stage estimates. Identity stage related content varied from how lawyers would be
expected “to act” or to dress (Stage 2), to be likeable and a good colleague (Stage 3), and how
lawyers have a responsibility to lead change in society (Stage 4). Responses coded as a Stage 2
or 3 reflected an externalized expectation, which tended to contain concrete, specific client
16
expectations, and somewhat amorphous and thinly descriptive expectations of society and the
profession. One student captured the mixed bag of expectations placed on attorneys by clients
and society, stating that
Clients will expect me to win, or at least to reveal to them the means to win. Society will
expect me to be corrupt whether I am or not, because that's how society views lawyers.
Additionally, they will expect me to play along by society's rules… like a sort of "hitman,"
who is constantly disliked, and yet when people need a lawyer, becomes a hero. The
profession will expect me to do what I need to do to maintain a career, while adhering to
strict guidelines on professionalism.
This emphasis on “adhering to” guidelines, upholding existing laws, or meeting the
minimum standards of professionalism, was a hallmark of responses coded Stage 2 and 3,
reflected in the following response:
Society expects me to uphold the law in my own conduct, and act with professionalism.
The profession expects that I act in accordance with the code of ethics.
In contrast, responses coded as Stage 4 reflected awareness that while attorneys’ actions
may meet the minimum standard and conform with law, they may not be ethical or moral, and
that professionalism requires that one strive to foster positive ethical change. One response,
which appears reflective of Stage 3 / 4 transition, reflects the tension between the minimum floor
of ethical rules, and the need for continual examination and reflection on the nature of what is
ethical or moral:
[Clients, society, and the profession will expect me …] to fight zealously for their cause
within the constraints of the law and in an ethical manner; to push and even reform the
law that doesn't quite fit what you want to accomplish; professionalism will expect a
lawyer to work within the confines of the law, to work zealously for their client, and to
propose (and push if necessary) for reform of unethical or unjust laws.
A second response coded in Stage 3 / 4 transition emphasizes the interpersonal abilities
that client expects, along with the theme of raising ethical standards and becoming a change
agent:
I think that clients will expect me to be understanding, patient, and ultimately helpful and
effective. I think that society expects me to be accountable and have a reverence for the
law and for a higher ethical code, as well as an aim to positively affect society as a
whole. I think the profession demands what both clients and society expectsaccountability, effectiveness, a commitment to ethics and to challenging myself to be the
best agent of change I can be.
d. Anticipated Conflicts Related to Kegan Stages
Of the themes related to anticipated conflicts, the most frequently stated concern of
students was balancing the demands of work with family life -- in the pragmatic sense of the
limited number of hours in the day or week, and the psychological sense of work usurping
individual autonomy or identity. A total of 45 students (62%) mentioned time conflicts within
their overall response to the question “What conflicts do you anticipate experiencing (e.g.,
17
between your responsibility to yourself and to others—clients, family, law firm or department,
community, profession)?” Some students framed the concern about time as pressure from within
the firm to accrue billable hours, not stating directly how this would affect work / life balance, or
stating that they feared that law would become an all-consuming “game.”
Secondly, students anticipated moral conflicts would be challenging (37 students, or
51%). Typical conflicts students anticipated were predominantly interpersonal in nature (e.g.,
working for an unethical client or boss, defending a client who is guilty or who pushes against
the lawyer’s personal morals or values, facing conflicting values with colleagues or clients,
dealing with conflicts of interest). Others reflected intrapersonal conflicts, along two issues: (1)
resolving competing goals and interests (e.g., choosing between one’s primary career interest and
one that is more lucrative), and (2) resolving the conflicts involved with managing a demanding
workload and meeting deadlines.
Identity stage coding. Several students at Stages 2, 2 / 3, or 3 stated they “do not know”
what kind of conflicts they might face (n=1), they did not anticipate having any conflicts (n=2,
both at Stage 2), or gave no response (n=3). In their words,
I do not anticipate experiencing any conflicts between my responsibility to myself and
anyone else.
Content coded as Stage 3 or 3 / 4 transition focused on the impact of conflicts on
relationships with family, friends, colleagues, and clients. While a predominant theme was work
/ life balance, some students saw the potential to be swayed ethically in order to maintain a
relationship. As one student stated
I may …be challenged to compromise my integrity in order to "prove" or illustrate my
commitment to a person or group that is counting on me in some way.
Variants of the theme of moral conflicts included how students would manage those
problems. Three students indicated that their faith would be important, one stating that
I anticipate there will be times I am forced to make choices between work, faith, and
family on a day-to-day basis. My priorities must remain God, family, then my profession.
In contrast, at Stage 2, one student considered instead that a distinct division between
work and professional values would prevent problems from occurring, stating that “I think I will
be the type of lawyer who detaches myself from my values and places the greater emphasis on
law and my client's wishes.” Another student, at Stage 3 to 4 transition, drew upon past
experience in stating he was resolved to simply leave the job, rather than compromise his
integrity, stating that
I've had personal experiences in which I've been asked to compromise my
professionalism in order to support the goals of particular managers, to the detriment of
the people I was hired to serve. I have acted with integrity and have had to leave those
jobs.
e. Imagining the Worst That Could Happen
The questionnaire included two questions related to imagining the worst that could
happen. One, “What would be the worst thing for you if you failed to live up to the expectations
you have set for yourself?”; and two, “What would be the worst thing for you if you failed to live
18
up to the expectations of your (a) clients? (b) your firm? (c) the bar? (d) broader society?”
Because this question was complex, and the responses equally so, we decided to break down the
content into codable units by category and frequency to illustrate both the thematic and stagerelated content. A total of 230 phrases or sentences were coded on the theme of the worst thing
that could happen. Themes within these responses clustered around four broader topics: (1)
disappointing clients or others, (2) disappointing the self or suffering, (3) loss, and (4) resilience.
Disappointment or adverse affects on others represented 35% of the codable units, with
disappointing a client the most frequently mentioned adverse effect. The qualitative and
contextual experience of disappointing a client varied with the level of identity stage. For
students at Stage 2, the consequences were concrete and straightforward (e.g., being fired or
incarcerated). Stage 3 statements reflect the orientation towards being tied closely to friends and
family; at this stage, failure was anticipated as a personal matter. For example, one student said
the worst thing would to have to “explain to my children how I failed to uphold what I teach
them as important.”
Themes related to disappointment or suffering focused on the self comprised 35% of the
coded phrases, with the number one anticipated concern that of personally suffering the
emotional consequences of failure. For some students at Stage 2, the effect was concrete and
pragmatic (e.g., “I would flunk out of law school and have to work as an administrative assistant
for the rest of my life”). For one response coded Stage 2, the student focused on the economic
consequences that would afford him a certain lifestyle, saying the worst thing that could happen
would be
Having a less-than-ideal financial state and/or family life. I would like to own a nice
home in a nice neighborhood, travel often, and have a fabulous wardrobe, and I would be
upset to have to give up any of the above.
For others at Stage 3, the effect of disappointment was more bound with her identity as
being seen as trustworthy by individuals she respects, indicated by the following excerpt:
The shame from failure is the worst thing I can imagine. This will fade throughout law
school, but as of now I see that as the worst part of being a lawyer. I do not like to
disappoint the people who trust me and rely on me, so to disappoint my clients and/or my
firm would torture me. I am a person who will go to the edge of the Earth to not
disappoint people who I respect and those who respect me, so ultimate failure would be
torturous, regardless of the form it comes in.
In some students, the imagined impact of failure seemed emotionally catastrophic, going
beyond “feeling dejected” to “severe depression” or “shame.” One student stated that he
“[wouldn’t be] able to look at myself in the mirror…” Another student thought through
disappointment more broadly, noting the impact on clients, as well as the impact it could have on
adding to the persistent and troubling problem of depression among attorneys, stating that
My clients wouldn't be getting the best service, my firm wouldn't be getting its money's
worth, the bar would have yet another depressed lawyer to slow things down …
But among student responses coded Stage 4, there was greater resilience and resolve to
not permit a moral failure to occur in the first place, stating that
19
If a client (or firm) expects me to represent him against my better judgment or
conscience, I would refuse to do so. I will not define my life by the number of people or
businesses I impress.
Appendix C displays the four categories of themes and subthemes coded, counts, and
percentages.
2. Research Question 2: What are the relationships between moral judgment and
Kegan stage? Does this relationship support the construct validity of data from the
Kegan assessment?
Because our sample was nonrandom, which ruled out the use of inferential statistical
methods, we used crosstabs displaying mean moral judgment scores (DIT P scores60) by Kegan
stage scores and calculated nonparametric correlations. The mean postconventional reasoning
score is higher for individuals at Stage 3 / 4 transition, but not at other stages, shown in Table 5,
along with results from previous studies that show a similar pattern in a 2005 study.61 As we
would expect from the non-normally distributed Kegan stage scores, the correlation was low. To
further explore whether the difference in moral judgment by identity stage was statistically
significant, we ran a t-test using stage as a grouping variable, and found a statistically significant
difference between Stage 3 / 4 and Stages 2, 2 / 3, and 3 at p = .04 two-tailed.
Table 5
Mean DIT P Scores by Kegan Stage Estimate, Current Study Compared to Prior Studies62
Kegan Stage
Estimates
Stage/Transition
Monson & Hamilton, 2010
(law students)
P Score: M, SD
Roehrich & Bebeau, 2005
(dental students)
P Score: M, SD
Monson & Bebeau, 2008
(dental students)
P Score: M, SD
Stage 2
39.39 (14.05) (n=11)
39.7 (12.5) (n=6)
43.61 (14.33) (n=12)
2/3 Transition
Stage 3
3/4 Transition
Stage 4
Mean
38.52 (14.34) (n=18)
40.43 (18.04) (n=23)
47.46 (14.94) (n=20)
46.67 (n=1)
43.1 (14.80) (n=73)
43.4 (12.9) (n=32)
41.2 (2.5) (n=4)
47.7 (24.3) (n=4)
0
43.1 (13.3) (n=46)
43.57 (12.99) (n=49)
45.09 (11.94) (n=18)
45.09 (12.50) (n=12)
50.00 (11.94) (n=4)
44.33 (12.68) (n=95)
We also looked at criterion variables that were theoretically or empirically associated
with identity development, including level of self-reported service learning experience,63 and
years of work experience (as a proxy for age).64 Because past research has found that the level
The “P Score” is the percentage of items selected that represent postconventional arguments (i.e., arguments that represent a
systematic moral theory or system, as opposed to personal interests or maintaining norms). For a comprehensive review of the
theoretical and empirical grounding of postconventional moral reasoning, see generally REST ET AL., supra note 55.
61 The P score is a normally distributed, scale-level variable and the sample represented the entire cohort of entering law students,
thus meeting the assumptions of the t-test of mean differences.
62 Descriptive statistics from Roehrich and Bebeau (2005) and Monson and Bebeau (2008) are published in Monson et al., supra
note 13, at 31.
63 This variable was produced by coding responses to the following question: Briefly describe past and current service or
volunteer activities, maybe discussing one or more highlights. How have these activities influenced your life and career choices?
Thus, the coded variable is not a strict measure of the temporal amount of service learning or volunteer activity, reflecting more
the extent that the student reflected on the meaning of the experience(s).
64 See REST ET AL., supra note 55, at 70-73.
60
20
and type of service learning (i.e., social justice or non-social justice) significantly predicted
cognitive developmental growth,65 we utilized this variable to test convergent validity, a type of
construct validity, in which variables that are theoretically or empirically related would
positively correlate if the test or assessment is measuring what it was intended to measure.
Statistically significant, positive correlations between service learning and identity
development, work experience and identity development, and service learning and work
experience were found. The values of all correlations are shown in Table 6.
Table 6
Nonparametric Correlations of Kegan scores with Service Learning, Work Experience, and Moral
Judgment Variables
1.
2.
3.
4.
Kegan Score
Service Learning
Work Experience
Moral Judgment Score
1
1.0
.47*
.34**
.21
2
1.0
.46*
-.00
3
4
1.0
.28
1.0
*Significant at the p < .0001 level, two-tailed.
**Significant at the p < .001 level, two-tailed.
V. Discussion
A. Main Findings
Assessing ethical professional identity through web-based essays provided multiple
insights into entering law students’ ways of viewing professionalism, reported influences that
shaped their understanding of the role of the professional, as well as some of their hopes, dreams,
and apprehensions about becoming a lawyer. Coders trained on use of the Kegan stage criteria
could reliably code phrases or sentences as well as assign a global judgment of the
developmental level of each student’s response. Further, we found evidence of construct validity
in the strong, positive correlations related to moral judgment, service learning, and work
experience. The coded essays would be useful as a tool for student reflection and self assessment
in the context of an assignment, for example, within professional responsibility courses or
mentoring programs, to provide a springboard for discussion of ethical professional identity, and
potentially, for coaching students towards more mature and multidimensional ways of
understanding an ethical professional identity and the role of the professional in society. The
coded data would also provide a means for law schools to demonstrate what effect the
curriculum has on ethical professional identity, by using this method as an outcome assessment,
and comparing growth from matriculation to graduation. Although reliability and validity of the
data might show promise for eventual use of this assessment as a tool for law school admissions
officers or law firm associate selection, our view is that the primary use should be either (1) as a
formative assessment in aiding instructors or mentors in fully supporting law students in their
development towards an ethical professional identity, or (2) as an evaluation or outcome
assessment tool.
Content analysis identified two broad themes particularly rich with illustrations of Kegan
identity stage differences: How students came to understand the meaning of professionalism, and
how they imagined the disappointments they might face if they failed to live up to their standards
65
See Yan Wang & Robert Rodgers, supra note 41, at 318.
21
of professionalism with respect to self, client, the profession, and society. As mentioned
previously, the predominant means by which students had developed their views of
professionalism were through observing others in the workplace or in their personal lives.
However, for some students, faith played a central role. Although this was not surprising to us
because this pilot study focused on a Catholic law school, the depth and dimensions of reasoning
in these responses led us to conclude that faith’s relationship to identity formation was an
important future research topic. The students for whom faith had been influential in this sample
used their faith in a process of discernment about professionalism and the type of lawyer they
wish to become. This stood in sharp contrast with responses from students at Stage 2 or 2 / 3 for
whom coursework or observing supervisors had been the primary influence in shaping how they
viewed professionalism.
Responses regarding anticipated conflicts and disappointments tended to be more rich
and personal than responses to the meaning of professionalism. Some students wrote eloquently
and sincerely about their fears; others wrote with poise and strength, stating confidently that they
would rise above challenging circumstances with dignity. The questions concerning the meaning
of failing to meet one’s standards of professionalism also elicited candid, and sometimes deeply
revealing vulnerabilities (e.g., “severe depression,” the potential of shame or guilt so intense one
“couldn’t look at oneself in the mirror,” or the fear of being “ostracized” or even being charged
and convicted of a crime).66 In these statements, we saw opportunities for building mentoring,
nurturing relationships with students that could grow resilience and confidence in being able to
cope with the challenges lawyers must often face. We felt that the anonymity we granted
students enhanced the candor of student responses.
From a scientific perspective, we interpret the richness of responses to the words
“conflict” or “disappointment” as the ability of emotion-laden words to prime the individual to
recall examples and reasoning that fuse the cognitive, emotional, and social aspects that are
represented by Kegan’s identity model. The implications for future research are that these type of
essay questions may more closely discriminate levels of the Kegan identity construct than do
more academic questions (e.g., the meaning of professionalism). Future validation studies should
utilize the Subject-Object Interview protocol, comparing stage results between the essay and
interview methods to test concurrent validity.
The prevalence of higher modal67 Kegan stages in the present study (i.e., Stage 3,
compared to Stage 2 / 3 in past studies, and Stage 3 in the present study) could be explained with
several potential theories. The most plausible, in our view, is that, entering dental students tend
to be younger than law students (since age and development are correlated, we would expect an
effect by age).68 Other alternative explanations include (1) the population of law students differs
from dental students, and (2) the higher modal stage for law students was due to sampling bias,
i.e., that students at higher identity development levels were more compliant with the request to
66
Throughout the research process, we made our phone numbers and e-mail addresses available to students in the event that they
had questions or concerns they wished to discuss in confidence.
67 For those unfamiliar with descriptive statistics, the mode is simply the most frequent response. We do not use the mean, or the
statistical average, because it can be misleading with non-normally distributed data.
68 Statistics on the average and variation of age of dental school students were unavailable on the University of Minnesota School
of Dentistry website. The average age of law students in our sample was 25 years. However, average ages of either law or dental
students are likely misleading. Anecdotally, the variability of age likely differs between law and dental students; law students
generally tend to go into law after previous careers, more so than dental students (the oldest student in the law student sample
was 52 years). So, while the statistical average may be the same or close, the distribution may be skewed.
22
fill out the web-based survey than students at lower levels of development. To test this
alternative explanation for our results, we took moral judgment scores (also a developmental
index, but one that met the assumptions of inferential statistical methods) and tested whether
respondents to the Kegan essay assessment differed significantly from non-respondents in moral
judgment ability (which we would expect to have some overlap with ethical professional
identity). The result was non-significant, meaning there appears to be no systematic
developmental difference between students who responded and those who did not. This finding
gives support to the validity of our results. Further replication and validation studies of the
Kegan identity method are needed to fully explore the differences we found.
b. Limitations
The limitations of this study relate foremost to the challenge of measuring a complex,
multidimensional construct such as professional ethical identity. We acknowledge that in
addition to the essay assessment, in-depth interviews or validated surveys or inventories of actual
conduct that conceptually overlap with ethical professional identity would add support to our
argument for the validity of our findings.69 Counterbalancing those acknowledgements, however,
is the idea that assessments using open-ended essay questions are less susceptible to several
forms of response bias. For example, with interviews, the participant understandably may be
concerned about self presentation, and may not be as candid with questions during an interview
as they would answering on their computers over the web. In other words, people tend to monitor
their words and self image carefully in interviews, and will respond in the ways that reflect
positively on their character, or avoid embarrassing or revealing answers that might have
repercussions, called social desirable bias or self presentation effects.70 With self-report
inventories dealing with complex values-based phenomenon, the item might read “To what
extent is volunteering to help those living in poverty, through community service or other
volunteering, important to you?” This is a central concept to an ethical professional identity in
the legal profession, related to Model Rule 6.171 and pro bono work. We imagine that someone
may agree that volunteering is important, but that his or her track record of volunteering might
tell another story. While there may be valuable and valid information from responses to selfreport questionnaires, experts caution that self-reported data is particularly susceptible to this
effect,72 and that individual’s true ability cannot be assessed without also using more objectively
based indicators.
A second limitation relates to the fact that our sample was non-random. Future studies
should utilize either a random sample or a cohort in order to permit more possibilities for
statistical analysis. The fact that we had volunteers for our Kegan essays negated the possibility
that our results could generalize beyond this study. Thirdly, we see as a limitation the one-way
nature of this study. In large part, this was due to the fact that we used the data collected to adapt
69
Specifically, we plan on conducting further construct validation studies using the Kegan and Lahey Subject-Object Interview.
See LAHEY ET AL., supra note 8, at 356-60. A model for constructing a survey type inventory is the Professional Role Orientation
Inventory (PROI). A sample item asks for agreement with the following statement: I have an obligation to use my knowledge and
skills to help those who cannot pay for my service (scale is 1–5, strongly disagree to strongly agree). See Muriel J Bebeau et al.
The Development of a Professional Role Orientation Inventory, 60 J. AM. COLLEGE OF DENTISTS 27–33 (1993).
70 For a review of the literature on measurement of attitudes or behaviors that related to sensitivity and bias, see Roger
Tourangeau & Tin Yang, Sensitive Questions in Surveys, 133 PSYCHOL. BULL. 875 (2007).
71 MODEL RULES OF PROF’L CONDUCT R. 6.1 (2009), available at http://www.abanet.org/legalservices/probono/rule61.html.
72 Patrick C. Kyllonen, Alyssa M. Walters, & James C. Kaufman, Noncognitive Constructs and Their Assessment in Graduate
Education: A Review, Educational Assessment, 10(3), 177, (2005).
23
our coding guide for law, involving multiple steps in content validation with both law professors
and developmental psychologists. In future studies, we plan to provide a summary of feedback
and analysis to student participants as close to the assessment as possible, either to solicit self
reflection and suggestions to enhance growth, or to provide instructors with a summary of
feedback for use in classroom assignments to enrich discussion. Appendix D displays a prototype
of suggested feedback appropriate to each developmental level.73
Last, and more broadly, this study examined entering law students at a Catholic,
Midwestern law school. More studies are needed in diverse law schools, both geographically and
public or private status. Do students with higher ethical professional identity self select into
schools where the stated mission relates to professional formation?
b. Implications for Law Schools and Conclusion
Implications for law schools relate to Carnegie’s recommendations regarding ethical
identity and the increasing interest of ABA accreditation with respect to the assessment of ethical
professional identity. The Kegan identity essay assessment method offers law schools an
approach that can (1) set the tone for a school culture that fosters reflection and self assessment
regarding ethical professional identity, (2) provide students with constructive feedback that takes
into account their developmental level, (3) integrate well with existing course content, and (4)
provide a measurement tool for baseline and outcome assessment.74
In the present study, implementation of the assessment took place just before the first
class of a first-year Foundations of Justice course. This is an example of how law schools could
draw upon existing courses that introduce central concepts of ethical professional identity
without “adding on” a course or administrative requirements. Although our study piloted the
essay assessment method in legal education, and students did not discuss their responses in the
course, the assessment could be used as a basis of a journal assignment or a group activity.75
Rubrics could be provided to students to self assess; and opportunities to revise essays could be
given to increase reflection and learning. Further possibilities exist for the Kegan identity essays
to be included as part of student portfolios, perhaps asking mentors to assist in debriefing the
assessment and giving feedback to the student.76 By designing integrative assessments of ethical
professional identity, law schools create learning partnerships that “offer developmental bridges”
that maximize the potential for growth and learning.77
73
Adapted from Bebeau & Lewis, supra note 10, at 111-13.
For more comprehensive reviews and recommendations of the assessment of ethical professional identity from the perspective
of legal education and scholarship, see Sullivan et al., supra note 1, at 162-84; and Hamilton, supra note 2, at 498-510.
75 To be optimally effective, formal group learning must be structured to facilitate student learning. See David W. Johnson &
Roger T. Johnson, An Educational Psychology Success Story: Social Interdependence Theory and Cooperative Learning, 38
EDUCATIONAL RESEARCHER 365–79 (2009). For a discussion of strategies law students use in groups to process course content
and general issues related to group learning in legal education, see DOROTHY H. EVENSEN, Group learning contexts and processes
within law schools. LAW SCHOOL ADMISSION COUNCIL RESEARCH REPORT 03-04-03: GROUP LEARNING CONTEXTS AND PROCESSES
WITHIN LAW SCHOOLS 48-51, (2006), available at http://www.lsacnet.org/research/rr/Group-Learning-Contexts-and-ProcessesWithin-Law-School.pdf.). By discussing the meaning of professionalism in small groups, students are exposed to different levels
of complexity in understanding professionalism and the role of the lawyer in society.
76 Assessment feedback on ethical sensitivity given by practitioner mentors is the model used in dental ethics curriculum. See
Bebeau, supra note 5, at 399.
77 Marcia B. Baxter Magolda, Learning Partnerships Model: A Framework for Promoting Self Authorship, in LEARNING
PARTNERSHIPS: THEORY AND MODELS OF PRACTICE TO EDUCATE FOR SELF-AUTHORSHIP 37–62 (Marcia Baxter Magolda & Patricia
M. King eds., 2004).
74
24
The relevance of Kegan’s identity theory for legal education and professional
development is a straightforward premise that development is social, and is most effective when
we interact with instructors, mentors, or peers who engage us at our present level of thinking,
without “going over one’s head.” Coaching students in calculus before they have mastered a
course in algebra would likewise be frustrating and ineffective. This principle of learning applies
to professionalism. As Kegan78 states
When one’s work is an institutionalized profession, like law, education, or medicine …
written codes of professional conduct cannot ensure a professional’s capacity to adhere
to the code, and not merely because humans are sinners and will fall short of the noblest
aspirations of their profession. What if, for many, the failure to adhere to this code is not
about the suspension of a perfectly performable skill in favor of a baser motive (say,
financial gain) but about the incapacity actually to understand what is really being
required in the code? What if such a code is itself an epistemological demand?79
For legal educators or law firm administrators whose job is to support ongoing
development, insight into entering lawyers’ current identity development level, as articulated by
Kegan, would be useful in developing or evaluating coaching and mentoring. But instead of
relying solely on assessments that emphasize numeric descriptions of traits or abilities, Kegan
and Lahey point to the importance of shaping the social environment that surrounds the learner –
what they call a climate of “optimal conflict.”80 Four conditions describe this type of social
learning environment, including:
1. for growth to occur, a problem must represent a “persistent experience of some
frustration” or “quandary;”
2. the problem must challenge one’s assumptions and beliefs or “our current way of
knowing;”
3. the underlying issues must connect deeply to who we are and what we value; and
4. social support from instructors, supervisors, mentors, peers, and others must be effective to
prevent the student from being overwhelmed or able to “escape or diffuse it.”
Reflecting on the strong, positive correlation between Kegan stage and level of service
learning in which the student participated, we think that these kinds of co-curricular programs or
activities in law school may be particularly effective in fostering development of an ethical
professional identity. Research and scholarship on ethics education in the professions81 suggests
several strategies to heighten student awareness of justice issues and the lawyer’s role in society,
while engaging students in self-reflection and assessment. Students can practice discourse on the
responsibilities of the profession to society that can undergird peer review, including:
78
See KEGAN, supra note 4, at 157.
Epistemology is the formal study of how knowledge is constructed or various “ways of knowing” what we know, which is
founded in philosophy. How we construct meaning and knowledge of our experiences follows a developmental pattern from less
to more complex. For example, young adults may view problems as dualistic, i.e., as “either / or.” An important outcome of
college is the development of more complex ways of seeing the world, including the ability to construct multiple perspectives of
problems and ways of being. See Magolda, supra note 23, at 19.
80 See KEGAN & LAHEY, supra note 7, at 54.
81 See Bebeau & Monson, supra note 31, at 17-18.
79
25
1. Expose students to a variety of role models, including attorneys who have “fallen,”
and redeemed themselves.82 Engaging former prosecuting attorneys and judges in the
recruitment of individuals willing to tell their stories is one strategy.83
2. Provide exposure to diverse theoretical and empirical approaches to identity growth
(e.g., inviting guest lecturers from different traditions to stimulate reflection and
critical thinking).84
3. Provide formative assessment85 throughout the curriculum, giving constructive
feedback to each student by a mentor or faculty member (see Appendix D for
suggestions on giving feedback tailored to developmental level). At all stages, assist
students in meta-cognition – i.e., “thinking about one’s thinking” -- through reflection
and processing of their experiences to facilitate growth.86 Require a minimum level of
volunteer service to communities affected by poverty and social problems.87
4. Promote a school climate in which civility and respect for all individuals are
vigilantly practiced and reinforced throughout the culture.88 Emphasize that these
norms are central to effective lawyering.89
In conclusion, the Kegan identity assessment is an important alternative for law schools
searching for methods to address ethical professional identity outcomes. The approach provides a
method of measuring an important outcome of law school and facilitating each student’s self
reflection and intentionality in defining the student’s role in society as a lawyer. This emphasis
on formative assessment counterbalances law school cultures in which summative testing
dominates.
82
We presently are not aware of any research evaluating the effectiveness of negative role models within legal education; our
claim is based on anecdotal evidence. Empirical evaluation of this programmatic intervention is an important future research
topic.
83 For example, at the University of St. Thomas School of Law, Minneapolis, Minnesota, convicted white collar criminals, along
with the prosecuting attorney and judge who sentenced them following conviction, tell their stories of ethical failures to law
students and the surrounding community. Hank Shea, Senior Distinguished Fellow, Holloran Center for Ethical Leadership in the
Professions and former U.S. District Prosecutor, leads the series called “Lessons Learned From the Failures of Others.” Similarly,
the inclusion of leadership studies in the curriculum can introduce the notion of lawyers on the leading edge of fostering positive
change in the profession and in society. For details, see University of St. Thomas, “Lessons Learned From the Failures of
Others,” http://www.stthomas.edu/ethicalleadership/lessons/default.html.
84 The conceptual foundation of this suggestion relates to the nature of promoting identity development and postconventional
moral reasoning, in which exposure to diverse philosophical or empirical systems of thought (e.g., Buddhism and Catholic
thought in relation to legal practice) fosters dialogue and self-reflection necessary to foster the development of more complex
ways of understanding the role of the lawyer in society.
85 Formative assessment, in which the emphasis is on providing developmental feedback to students, differs dramatically from
summative assessments such as traditional grading in law schools. Legal scholars call for increased use of formative assessment
in order to foster ethical professional identity development and to minimize some of the unintended effects of testing (e.g., the
practice of rank ordering students at the end of year one based on exam grades can have negative effects). See, e.g., see Sullivan
et al., supra note 1, at 206. For a brief overview of formative and summative assessment in legal education, see Stuckey et al.
supra note 27, at 255–56. For commentary on the political and hierarchical implications of law school assessment practices, see
Peggy Cooper Davis, Slay the Three-Headed Demon, 43 HARV. C.R.-C.C.L. 622 (2008).
86 For a review of findings of a ten-year, longitudinal identity development research of college students related to effectiveness in
professional roles following graduation, see Bebeau, supra note 2, at 385.
87
Strategies for promoting a school culture in which service is viewed as obligatory are discussed in Bebeau, supra note 2, at
390. Research in higher education studies finds service learning positively associated with increased mental complexity. See, e.g.,
Wang & Rodgers, supra note 33, at 331.
88 The importance of the moral milieu is discussed by Bebeau, supra note 2, at 391–92.
89 Neil W. Hamilton & Verna E. Monson, The Positive Empirical Relationship of Professionalism to Effectiveness in the Practice
of Law, (U of St. Thomas Sch. of Law Legal Studies Research Paper No. 09-22, 2010), available at
http://ssrn.com/abstract=1495824.
26
Appendix A. Excerpts from coding guide
Personally, what does professionalism mean to you?
Stage 2: The Independent Operator
Criteria
 professionalism is understood as meeting
specific and concrete role expectations created
by and imposed by others
 professional organization or external others
specify correct behavior and punishments
 describe professionalism in terms of enacting
requisite behaviors (“act like” or “conduct
myself like”)
 speak of professional success in terms of
personal success, self interest, and competent
performance (skills, technical expertise)
 speak of meeting professional standards in
terms of skill knowledge/expertise and
continuing education
Examples
Professionalism means the way you conduct yourself while
at your job. To be professional means to conduct yourself in
a manner that expresses that you mean business.
The ability to perform your tasks and duties in a proficient
and skilled manner.
Professionalism to me is a set of behaviors that meet or
exceed the expectations of those who are engaged in, or
related to, a specific profession.
Acting in a way which is in accordance to the profession you
are in and to the people who you are offering your services
to.
Professionalism to me means maintaining composure, and
acting in a manner which is appropriate for a particular
situation, or more specifically, a profession.
Professionalism means that a person fulfills his or her job
duties to the best of his or her ability. It means that one
fulfills these duties every day, even if one does not feel like
it. A professional is well-trained and is able to do the job
well.
Presenting your "best" self in both appearance and
personality. Following through. Working hard, yet keeping
an emotional distance from your work.
27
Appendix B.
Rubric for Coding Service Experience
4 - High level of service as a volunteer or intern. Typical responses warranting a “4” rating
include serving in high-need areas for extended periods of time (e.g., several months to a year of
service learning abroad in an under-developed country). Other responses coded “4” include less
extensive experiences, but are deeply reflective on how the experience influenced their thinking.
Examples of the later include working in a high-poverty area such as an inner city school in the
U.S. If the service activity was more limited in terms of time devoted, but reflection about the
meaning of the activity to constructing a more complex way of viewing the world is present, a
“4” may be warranted.
3 - Moderate level of service as a volunteer or intern. Responses that are coded “3” describe a
meaningful volunteer or service activity of more limited duration (e.g., a service activity during
spring break) and clear reflection about how the activity resulted in enhancing their ability to
take the perspective of diverse others. Activities that may be limited (e.g., a fund raiser) may be
coded “3” if the individual played a leadership role in developing the program.
2 – Limited level of service, in terms of duration, role, or reflection about the meaning of the
service activity. Examples of responses coded as “2” include participating in events or
fundraisers that are planned by others, and of limited duration. There may be some reflection on
the meaning, but it is very limited.
1 – No service activity reported, or service activities are reported, but a negative statement is
made about its importance in shaping one’s personal views or opinions.
28
Appendix C. Coding Results, “The Worst Thing That Could Happen …”
Dimension
DISAPPOINTMENT
OR ADVERSE
EFFECTS ON
OTHERS
n= 80 (35%)
Coded subtheme and count (n)
 effect on clients (24)
 letting down family and friends (17)
 letting down the bar, damaging reputation of the legal community
(15)
 letting down the firm (12)
 the community or the public (9)
 letting down God or a higher power (3)
DISAPPOINTMENT 
IN SELF

n= 75 (33%)




LOSS
n = 60 (26%)
RESILIENCE,
SPRINGING BACK
FROM A FAILURE







being fired (13)
getting sued (12)
disbarment, suspension or revocation of license (12)
respect from one’s colleagues or the community in general (11)
not being able to help others or serve society (5)
financial stability or lifestyle (4)
convicted and incarcerated (3)



would take action to recover / find out what went wrong (7)
would have to choose another profession (6)
“it would mean an adjustment between expectations and reality”
which would “lead to an introspective reflection and an
opportunity to improve.” (5)
wouldn’t use the term “failed” – “there’s always room for
improvement” (1)
forgiveness of self (1)
n=29 (9%)


N=230 codable units
(phrases or
sentences)
suffering emotional consequences (e.g., “feeling dejected” or
“severe depression” “shame”) (18)
letting one’s self down (17)
not meeting one’s life goals (13)
knowing one was a “sub-par” attorney (12)
not being true to one’s values or true to self (9)
disappointed if the reason was lack of effort (6)
29
Appendix D. Guidelines for Giving Developmentally Appropriate Feedback90
Feedback is an important component of learning. This section is concerned with the development of comments and
questions that, in addition to being constructive, take into account how the student sees the self in relation to others.
Individuals at different stages of identity have different concerns. Thus questions that may make sense to a Stage 3
learner may not be understood by a Stage 2 learner and may be less likely to challenge further thinking.
Below are listed some prototypic questions to promote further thinking about what the student has written. To
identify what kind of probe questions to include, ask yourself: Is this an essay that reflects:
1.
2.
3.
Individual competence or role enactment? (Primarily a Stage 2 Identity)
Team player orientation or sense of social obligation? (Primarily a Stage 3 Identity)
Values orientation or professionalism? (Primarily a Stage 4 Identity)
If some of both, then the individual may be in the transition. Select questions from each level that will direct
attention to the dimension that is missing.
FOR STAGE 2 IDENTITY
What is the student grappling with?
Concrete individualistic performance
How does he/she see the world?
Concrete and dualistic
PROBE QUESTIONS
Strategy: When the student sees things in dualistic terms: good and bad, right and wrong, black and white.
Ask: Does everyone see it the way you do? How did the other person think about what you did or said? Is there any
evidence to support your view? Some people think there are situations which are not clearly right or wrong. Can you
think of such examples?
Strategy: When the student sees only his/her interest in the situation, encourage perspective taking.
Ask: What does (name other party) care about? How does the profession think about that? How would you feel if
you were on the receiving end of that action? How would your friend (or family) feel? Do you actually know what
your friend (parent, superior, subordinate) thought about what you did? Did you ask? It is helpful to ask and to
collect evidence on how others see things.
Take other’s perspective with respect to their intent or experience.
Ask: Do you think the other person perceived what you did as helpful, disrespectful, dishonest, etc.
Strategy: Try to elicit an internal focus.
Ask: Would you feel guilty if you did that? If so, why would you feel guilt or shame?
Ask: What emotion would your parents or friends experience if you failed (cheated, lied, harmed someone, failed a
course, or failed the bar exam)? How would their reaction make you feel? What if you succeeded (earned good
grades, an offer in a top firm)? Maybe we can find some words that capture those feelings (self confident, shameful,
compassionate, remorseful). What sort of qualities would you like to strengthen in yourself?
Strategy: Try to elicit the student’s experience of being regarded by others?
Ask: What do you want your friends (or superiors, subordinates, parents) to say about you? What kind of person
would you like to become?) How do you feel when your friends are worried about you (or proud of you, upset with
you)? How do you feel when your family members or instructors are worried (or proud or upset or angry) with you?
90
Adapted from Bebeau & Lewis, supra note 10, at 111-13.
30
Strategy: Develop a perspective on failure. Help them see that failures can be opportunities for learning.
Ask: What can you learn from that experience? What would be the worst thing that would happen to you if you
failed? What circumstances might lead you to repeat this failure?
FOR STAGE 3 IDENTITY
What is the student grappling with?
Being a team member or team player
Concern for societal role, professional ideals
How does he/she see the world and the self?
Reflective and idealistic
PROBE QUESTIONS
Strategy: Take the student’s perspective on what they accepted as a shared value.
Ask: How do you know that is true? What is your source of authority for that? Do different authorities disagree
about that? What reasons do they use to come to their conclusions?
Strategy: Raise consciousness about likely conflicts between interpersonal allegiances and one’s ideals.
Try to do two things:
1) Raise consciousness that conflict:
Ask: “What if you marry someone who wants you to stay home rather than have a career?” “What if your friend
asks you to keep secret about something that harms someone else?” “What if a senior associate or partner asks
you to lie in order to help a client?” “What if your client asks you to overlook an ethically questionable policy in
an employee contract negotiation?”
2) Raise consciousness as to whether one’s ideals can be met.
Example: Sometimes students get very frustrated when they know they should live up to some ideal standard
but don’t see how to do it.
Ask: Have you worked out a way to really do what is right?
Strategy: Develop a perspective on failure. Help them see that failures can be opportunities for learning.
Ask: What can you learn from that experience? What would be the worst thing that would happen to you if you
failed? What circumstances might lead you to repeat this failure?
FOR AN EMERGING STAGE 4 IDENTITY (someone in Stage 3 to Stage 4 transition)
What is the student grappling with?
Constructing a discerning principled identity
Staying centered and responsibly attuned to and tolerant of complexity
How does he/she see the world and the self?
Developing and changing
Contextual and constructed
Ambiguous and paradoxical
PROBE QUESTIONS:
Strategies: Because students are grappling with a number of issues and are already rather discerning, they may
need help in finding mentors for their problems.
Ask: Who can you talk to about this issue? How do you know if you are seeing this issue clearly? What set of criteria
do you use to judge whether you views on this matter are defensible? How do you deal with people who do not
31
know where you are coming from? Is there another whole way of looking at this situation? How do you hold on to
your core values in this sort of situation? What about this situation caused you to lose your focus?
Strategies: Locating decision criteria within the self.
Ask: How do you go about deciding what to trust when you get conflicting guidance from others? How do you resist
falling back into accepting the status quo or standard solution when pressured to do so?