Dealing With Ethical Dilemmas:
Strategies For Leaders In Higher
Education
Dr. Kate Mueller
Advisor to the Director, Al Rowdah Academy
Contact information: kmuelleredd@gmail.com
Webinar objectives
Participants will:
• Learn about examples of both unethical and ethical
leadership
• Gain a greater understanding of why it is critical for our
college leaders to behave with integrity
• Gain understanding of why types of ethical dilemmas
are faced by community college presidents
• Learn guiding principles for making ethical decisions in
the face of ethical dilemmas
Outline of Webinar
Brief Breakdown of Program Agenda
• Introduction of need for this research
• Introduction of need for these guidelines
• Sharing real-life ethical and unethical situations faced
(or even created) by educational leaders
• Discussing better, more ethical, decision-making
options: using chat option for participation in discussion
• If time allows, having participants share their own
ethical dilemmas, or dilemmas close to them
• Sharing guidelines developed based on research done
with community college presidents
Context of the Problem
• Leaders resolve situations with ethical dimensions daily
• More often than not, no clear line between ethical and
unethical behavior
• Research focusing on ethical leadership in community
colleges is limited
So many examples, unfortunately
Many examples of ethics ignored:
• President of Wesley College denied accusations of
plagiarizing another college president’s speech
So many examples, unfortunately
Many examples of ethics ignored:
• Chancellor in Alabama who used state funds to pay
off gambling debts
So many examples, unfortunately
Many examples of ethics ignored:
• TSU President who spent hundreds of thousands of
state dollars for personal expenses
So many examples, unfortunately
Many examples of ethics ignored:
• Faculty who knowingly allowed plagiarism in master’s
theses
So many examples, unfortunately
Many examples of ethics ignored:
• Hidden compensation by the University of California
for top officials
So many examples, unfortunately
Many examples of ethics ignored:
• Compton Community College lost its accreditation for
a variety of unethical and legal practices
Robert A. Paxton, former president of Iowa Central Community
College
Context of the Problem
• An ethical campus culture must start with the president,
because the leader sets the tone
• All positions of leadership should demonstrate and
emulate ethical behavior and decision-making
• Leadership is not just positional
Research: California as an example
• At the time this research was conducted (summer
2007), there were 52 vacant or interim presidencies
• Growing concern about availability of leaders to replace
these retiring presidents
• And while this research surveyed and interviewed
community college presidents – presidents and leaders
at any institution an us this information to become
better, more intentionally ethical leaders
Purpose of Dr. Kate’s Study
• What does ethical leadership look like
in the presidency of a community
college?
• Learn from current community college
presidents
• Their experience = a teaching and
learning tool
• Their experience = development of
guidelines for ethical leadership
Significance of Study
• Ethical issues and illegalities are a global problem
• Can be a challenge to determine what is an ethical
response
• There is risk in every decision
• Scarcity of research on ethical leadership and
community college presidents
Significance of Study
• Most research on ethics in education has focused on
students, not educational leadership
• Opportunity to identify guidelines of ethical leadership
and ethical decision-making
• Understand what college presidents encounter from a
practical standpoint
Shugart and Joynton (1997) –
Ethical decision-making model
Is there an ethical problem?
2. What additional factual information do I need to obtain?
3. What are the ethical issues in the situation?
4. What is my own moral stance? That of my profession?
5. What are the moral stances of others in the situation?
6. Does the situation contain any conflicts of moral values?
7. Who decides?
8. What are the consequences of each of the options?
9. What shall I do?
10. How does my decision look after I have acted?
1.
Trevino and Nelson (2007) – values exercise with
business leaders … examples
• Action orientation
• Honesty/integrity
• Altruism
• Honor
• Compassion
• Humility
• Competence
• Promise-keeping
• Creativity
• Respect
• Equality
• Responsibility
• Fairness/justice
• Risk-Taking
• Flexibility/adaptability
• Self-Discipline
Ethical Dilemmas
• Community college leaders in particular confront
countless ethical issues (Wallin 2007)
• Ethical dilemmas occur when there is no
straightforward answer about a ‘right’ or ‘wrong’
course of action in a particular situation (CIHE,
2005)
Guidelines for Ethical Decision-Making
• Compilation of several authors’ guidelines:
• Get the facts
• Identify the pertinent ethical issues
• Identify the stakeholders
• Identify obligations
• What are the options?
• What are the consequences?
• Who benefits? Who pays?
Research on
Ethical Decision-Making
• There is no one set of principles or guidelines, or any
one model that will address every situation with ethical
dimensions.
• Cannot anticipate every situation, but principles and
guidelines can help us prepare.
Survey Content
• Research Question 1: What situations with ethical
dimensions do community college presidents face?
• Item 1: Describe one or more situation(s) with ethical
dimensions that you have personally experienced.
Survey Content
Research Question 1: What situations with ethical
dimensions do community college presidents face?
• Specifically:: Describe one or more situation(s) with
ethical dimensions that you have personally
experienced.
Research Question 2: How do community college
presidents address such situations?
• Specifically: Explain how you addressed the situation(s)
with ethical dimensions as described in Item 1. (If you
chose not to confront the situation, please talk about
why you made that decision.)
Population and Sample in Study
• California Community College Presidents
• Convenience sample
• 109 presidents
• 17.4% participation rate (presidents completing the
survey)
• Of the 19 participants, 27 situations shared
• 40 percent of CCC presidents responded, but declined
to participate
Question 1:
Describe an ethical dilemma
• All situations had multiple players
• Predominant
• Employees
• Board Members
• Students
• No two situations were identical
Results and Analysis
Survey Question One
Predominant behaviors
• Employees
• Making false claims for personal gain
• Sexual harassment of students
• Illegal behavior on campus
• Hiring policies
• Incorrect reporting of college enrollment
Results and Analysis
Survey Question One
Predominant behaviors
• Board Members
• Improper/unethical use of board position or influence
• Micromanaging
• Avoiding conflict or taking no action
Results and Analysis
Survey Question One
Predominant behaviors
• Students
• Student rights
• Expecting preferential treatment due to relationship with a Board
Member
• Dismissal of student athletes from teams
• Students contacting local media
Question 2:
How did you address the dilemma?
• Directly addressed the situation
• Sought balance in regard to benefit to individuals and
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institution
Considered the “big picture”
Sought compromise
Avoidance
Collaboration and involvement of others
Held ground
Communication
Educate
Negotiation and persuasion
Listening
Walk a fine ethical line
Themes
• There is no one way to address a situation with ethical
dimensions
• Have to address on case-by-case basis
• Will not manipulate process; process must have
integrity
• Often the Board is trying to the do the right thing, with
no malicious intent; misguided
• Community colleges are held in public trust
Findings
• Similar responses from participants to research in the
literature
• Not bowing to Board member’s influence
• Not succumbing to hiring requests
• Calling for an audit when erroneous reporting discovered
• Maintaining confidentiality
• One surprise: 15 of the 19 who completed and returned the
survey also returned the token of appreciation
• And 29 of the 31 who specified that they were declining to take
the survey also returned the money
• Question: do these presidents habitually return tokens of
appreciation, or did the subject matter motivate them to return
the money?
Thoughts …
It is important to remember: “ethical presidents are not
perfect human beings. They make mistakes, but they
acknowledge those mistakes.” (Walling, 2007), p. 44
Thoughts …
There is no one way to deal with a situation with ethical
dimensions, yet you can take some of the lessons
learned in one situation and apply them to another.
Thoughts …
You don’t always have time to learn the job before testing
your ethical mettle … an ethical dilemma occurred two
hours into a participant’s new presidency, another 2.5
months in … another participant used the term “initiation
by fire”.
Questions so far?
Ethics Checklist (6 points)
1. Is it legal?
Will I be violating either civil law or company policy?
2. Is it balanced?
Is it fair to all concerned in the short term as well as the long term?
Does it promote win-win relationships?
3. How will it make me feel about myself?
Will it make me feel proud?
Will it make me feel bad?
Would I feel good if my decision was published in the newspaper?
Would I feel good if my family knew about it?
Ethics Checklist (6 points)
4. Do you think it’s wrong?
If something inside you is telling you it’s wrong, then don’t do it.
5. If you’re not sure . . . ask.
Ethical decisions don’t have to be made in a vacuum.
6. If you don’t get a clear answer, keep asking until you do.
Keep at it until it is clear.
Sources: “The Power of Ethical Management” by Kenneth Blanchard and Norman Vincent Peale,
1988, and “Quick Tips for the Busy Administrator,” 1997
A 7-Step Method for Ethical Analysis
Norman Bowie and Manuel Velasquez
1. What are the facts?
2. What are the ethical issues?
3. What are the alternatives?
4. Who are the stakeholders?
5. What is the ethical evaluation of each alternative? (rights, duties, justice,
etc.)
6. What are the constraints? (ignorance, uncertainty, ability, etc.)
7. What action should be taken?
Practical Steps
from Quick Steps for the Busy Administrator, 1997
1. Identify the problem and clearly state the goal. Poorlyassessed or undiagnosed problems are rarely cured, whereas
clearly-defined problems are often solved and detailed goals are
met.
2. Research the facts. Use information from books and people to
understand the situation.
3. Identify and ask for input from those the decision affects.
Asking someone for advice doesn’t automatically mean putting
someone else’s opinion over yours.
4. List alternative solutions. Don’t just follow the normal routine –
be creative! In the words, ignore the saying “We’ve never done it
that way before.”
Practical Steps
from Quick Steps for the Busy Administrator, 1997
5. Evaluate each alternative. While each of the preceding steps
contribute to making an ethical decision, the essence of an ethical
decision is the consideration of the following contributing factors:
Practicality. Can it be done?
Harm. Can it be done with minimal risk to physical or mental health?
Emotions. Can it be implemented without fear of failure? (fear is a strong
inhibitor of effective decision making)
Short-term vs. Long-term effects. Are the fruits of immediate gratification
blinding you to the long-term consequences?
Objectivity. Ethical decisions require clear vision. Make sure you have a
“big-picture” view from some place other than your own skewed vantage
point.
Practical Steps
from Quick Steps for the Busy Administrator, 1997
Permanence. If you can change your mind, the decision is a whole lot
easier. Consider decisions that are effective but are also open to
modification without a new set of obstacles and a new wave of turmoil.
Is it fair? Test fairness by abandoning your preconceived notions as to
which side you would be on.
What if the situation were reversed? Apply the Golden Rule.
What if everybody did it? Think about the consequences if everyone
acted the same way. Also consider such fatherly advice as “two wrongs
don’t equal a right.” Numerous organizations may very well be doing it, but
it may be fundamentally wrong.
What are your responsibilities? Ask “what would I have to do?”
Practical Steps
from Quick Steps for the Busy Administrator, 1997
Can you live with your decision? Given your character and values, is
your decision morally permissible or impermissible? Do you feel a sense of
peace and confidence as you consider announcing the decision to your
colleagues or superiors as the most-effective and most-ethical approach to
the problem?
Can you sleep at night? If you are already literally losing sleep over a
decision, or can imagine losing sleep in the wake of an upcoming decision,
ask yourself if losing sleep is a non-verbal message as to the ethical nature
of your decision.
Practical Steps
from Quick Steps for the Busy Administrator, 1997
6. Set a deadline. A decision must be made. And not to decide is
to decide. Procrastination can truly do more damage than good.
Case Study 1
A president about a Board of Trustees: in my opinion one of these Board
members makes unusually heavy demands on the college and its resources to
service him. He has not attended graduation for two years.
Yet he expects that I will regularly take him to an expensive restaurant of his
choosing along with the other senior Board member to be briefed. These
dinners usually occur about every six weeks and often run in excess of $600.00.
I’m not comfortable with this arrangement nor was my predecessor.
This same board member has just obtained a new iPhone at college expense
and we regularly send an IT staffer to the Board member’s home to maintain his
computer, fax and printer supplied by the college. All BOT members have
access to these same perks as well as a communications allowance in addition
to their trustee pay.
I’m uncomfortable with some of these arrangements but this is SOP that
predates me. I see nothing illegal about these perks in principle but a breakfast
or lunch for one of the other trustees at $15-25 suffices versus these expensive
dinners.
Case Study 2
A board member came to a college president to discuss the son of a friend.
The father wanted the boy to go to college but didn’t know where to start. I
had the Board member give the young man my card to contact me for an
appt. The Board member wanted to be present at the meeting. Later, the
Board member wanted to know the young man’s progress and grades.
Case Study 3
Within two and half month of becoming College President, the Dean of PE & Athletics,
the Athletic Director and Head Football Coach came to my office. They told me that the
starting quarterback who was originally from _______ had been suspended from the
______ football team because of charges brought against him for sexual misconduct. A
_____ jury had found him guilty as charged.
In another state, a jury conviction is not final until a judge accepts the verdict. The
judge may also vacate the charges, therefore, the jury conviction is only a
recommendation. The dilemma was, should we allow him to play football for the
College.
When the President of the Board of Trustees found out about the situation, he
demanded that the football player be removed immediately from the team. The
Chancellor agreed with him.
The ethical problem was that the football player had not violated any College policy,
was not officially convicted by a state judge (the judge’s decision would come in
January) and had not violated any COA rule. This issue was given to a District lawyer
and he agreed that the player had not violated any College or State policy or rule.
Nevertheless, I was told to remove the player from the team.
Case Study 4
Incorrect reporting of college enrollment for purposes of receiving State aid.
Case Study 5
Faculty who use college facilities, materials and/or services to further private
business or entrepreneurial interests has been a recurring issue; present at
all four colleges where I have worked as an administrator. This has taken
several forms from outright theft of money and/or supplies to using athletic
facilities to run private camps to using campus rooms as display rooms for
products, etc.
Case Study 6
The most common situation I have experienced is related to hiring
processes and involves the difficulty in ensuring open and inclusive
processes when incumbents are also applicants.
Hiring committees are expected to be objective and unbiased, but I have
frequently experienced processes that result in preferential treatment for
incumbents at one or more pointes in the process (development of job
announcement, recruitment, paper screening, interview).
In my role as President, I need to certify those processes and have been
put in the position of having to question the outcomes of a long, laborintensive process in which a number of staff have invested much time and
effort. The incumbent may, in fact, be the best choice, but did the process
have integrity? Did the search result in a sufficient number of finalists so
that I – or whichever manager is making the final decision – have sufficient
choices beyond the incumbent?
Case Study 7
“The dean of Berkeley Divinity School at Yale is resigning after an audit
revealed that, among other improprieties, he used the school’s money to
pay his daughter’s tuition at Harvard Medical School.” (Chronicle of Higher
Education, online, 12/19/01)
Case Study 8
“Having been on the job only three months, Owen F. Cargol suddenly
resigned as president of Northern Arizona University last month, after a male
employee accused Cargol of grabbing his genitals twice in a campus locker
room and sending him hot emails . . . The Board of Regents released copies
of the emails Cargol sent to the employee, including one that reads: ‘As you
can tell, I have overcome most, if not all, of my inhibitions and self doubts.
For sure, I am a rub-your-belly, grab-your-balls, give-you-a-hug, slap-yourback, pull-your-dick, squeeze-your-hand, cheek-your-face, and pat-yourthigh kind of guy. I am optimistic, outgoing, physical, affectionate and a
sensual kind of guy. I hope, in time, you can overcome your feelings of
anxiety and lack of self-worth, and feel comfortable enough with me (and
others) to reciprocate with the same level of playfulness and affection.”
(Women in Higher Education newsletter, December 2001)
Guidelines for Ethical Leadership
• Address the situation directly, immediately, and
forthrightly
• Weigh options, seek balance and win-win solutions;
seek compromise
• Step back and see the whole situation
• Investigate, which might include meeting with the
parties involved.
• Verify that college procedures/policies were followed
• Ensure solution is consistent with college procedures/policies
• Use internal procedures/policies to resolve issue
Guidelines for Ethical Leadership
• Ensure fairness
• Employ the legal system when appropriate
• Protect due process and rights of students and
employees
• Enlist others (e.g. board members, other administrators,
employees) in the decision-making and addressing of
situations with ethical dimensions
• Do not succumb to pressure
• Set ethical boundaries
Guidelines for Ethical Leadership
• Maintain confidentiality
• Communicate: take the time to ask questions and
dialogue
• Communicate with supervisor
• Listen
• Educate employees, board members, and students …
about policies …about ethical leadership
• Negotiate and persuade others after identifying the best
possible solution
Resources – Online Articles/Resources
• Benjamin, M. (2006). Everyday ethics. NASPA’s NetResults. Retrieved
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August 14, 2006, from www.naspa.org
Bowen, C., Bessette, H., & Chan, T. C. (2006). Including ethics in the
study of educational leadership. Journal of College and Character, 7(7).
Retrieved September 13, 2006, from www.collegevalues.org
Brown, M. E., & Trevino, L. K. (2002). Conceptualizing and measuring
ethical leadership: development of an instrument. Academy of
Management Proceedings, 2002, D1-D6. Retrieved November 21, 2004,
from http://www.uwec.edu/Sampsow/Measures/Leadership-ELS.htm
Council for Industry and Higher Education (The). (2005). Ethics matter:
Managing ethical issues in higher education. London: The Council for
Industry and Higher Education and Brunel University. Retrieved August
21, 2007, from www.cihe-uk.com/docs/PUBS/0509Ethics.pdf
Moriarty, D. F. (1991). A code of ethics for community college leaders.
Leadership Abstracts, 4(6). Retrieved March 14, 2005, from
www.league.org
Resources – Books and Journals
• Blanchard, K., & Miller, M. (2004). The secret: What great leaders
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know—and do.
San Francisco, CA: Berrett-Koehler.
Blanchard, K., & Peale, N. V. (1988). The power of ethical
management. New York: William Morrow.
Chappell, S. K. (2007). Leading from the head and the heart. In D.
M. Hellmich (Ed.), Ethical leadership in the community college:
Bridging theory and daily practice (pp. 122-130). Bolton, MA:
Anker.
Costa, J. D. (1998). The ethical imperative: Why moral leadership
is good business. Reading, MA: Addison-Wesley.
Danley, J. V. (2006). Ethical behavior for today’s workplace.
College and University, 81(2), 53-55.
Resources – Books and Journals
• D. M. Hellmich (Ed.) (2007), Ethical leadership in the community
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•
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college: Bridging theory and daily practice (pp. 46-60). Bolton, MA:
Anker.
Gardner, J. W. (1990). On leadership. New York: The Free Press.
Humphrey, E., Janosik, S. M., & Creamer, D. G. (2004). The role of
principles, character, and professional values in ethical decisionmaking. NASPA Journal, 41(4), 675-692.
Janosik, S. M., Creamer, D. G., & Humphrey, E. (2004). An
analysis of ethical problems facing student affairs administrators.
NASPA Journal 41(2), 356-374.
G. B. Vaughan and Associates (Eds.) (1992), Dilemmas of
leadership: Decision making and ethics in the community college
(pp. xi-xiii). San Francisco, CA: Jossey-Bass.
Resources – Research
• Mueller, Kathryn L. (2008) Situations with Ethical Dimensions as
Described and Addressed by California Community College
Presidents. Doctoral Dissertation. The University of NebraskaLincoln.
• Mullane, Susan P. (2009. Ethics and Leadership.
http://www.bus.miami.edu/_assets/files/executiveeducation/leadership-institute/ethics-and-leadership.pdf
• Waggoner, Jessica (2010). Ethics and Leadership: How Personal
Ethics Produce Effective Leaders.
http://scholarship.claremont.edu/cgi/viewcontent.cgi?article=1025&
context=cmc_theses
Resources – Websites/Free
• Josephson Institute of Ethics
http://www.josephsoninstitute.org
• http://www.managementstudyguide.com
• http://www.learn-to-be-a-leader.com/leadership-ethics.html
• http://ethicalleadership.org
Resources – Videos and Podcasts
• Ted Talks: Various videos on leadership at www.ted.com
• Center for Creative Leadership:
http://www.ccl.org/leadership/podcast/
• The Ethics Guy: www.theethicsguy.com
• Daniel Golman talks about Ethics in Leadership:
www.morethansound.net
• The Mann Center for Ethics and Leadership, Samford
University: http://www.samford.edu
Dr. Kate Mueller
kmuelleredd@gmail.com