Transcript "Ethics, Integrity and Civility in Higher Education: New Approaches

University of St Thomas School of Law
HolloranCenter
for Ethical Leadership in the Professions
Ethics, Integrity and Civility in Higher
Education:
New Approaches to Foster a Culture of Trust
© Neil Hamilton
We Face the Same Challenges
Across the Professions:
We want to foster the
Professional Formation/Professionalism of
Each New Entrant and Each Practicing
Professional To Internalize and
Live Out the Ideals and Core Principles of the
Profession Including Civility.
Acculturation of Members into
the Social Contract of the
Profession
Three apprenticeships necessary for entry
and advancement in all the peer-review
professions:
– From Educating Lawyers, and Educating Clergy,
Educating Physicians, Educating Nurses, and Educating
Engineers, the Carnegie Foundation for the Advancement
of Teaching
First Apprenticeship:
– cognitive or intellectual apprenticeship of
the profession’s unique analytical skill
applied to the profession’s doctrinal
knowledge
Second Apprenticeship:
– practical apprenticeship of the other skills
necessary for professional effectiveness
Third Apprenticeship:
– apprenticeship of professional identity
formation (The apprenticeship of
formation into an ethical professional
identity is professionalism)
Based on over fifty site visits to study how professional schools educate
lawyers, physicians, clergy, engineers, and nurses, Carnegie Foundation
for the Advancement of Teaching president Lee Shulman found that
“The most overlooked aspect of
professional preparation was the
formation of a professional identity
with a moral core of service and
responsibility”
…around which each student’s habits of mind and practice are
organized.
Educating Physicians (2010)
Across Higher Education for the Professions…
“The chief formative challenge” is to help
each student change from thinking like a
student where he or she learns and applies
routine techniques to solve well-structured
problems toward the acceptance and
internalization of responsibility to others
and for the student’s own development
toward excellence as a practitioner at all
the competencies of the profession.
Bill Sullivan, TEACHING MEDICAL PROFESSIONALISM (2009)
The Heart of the Third
Apprenticeship:
The Acceptance and Internalization of
Responsibilities to Others Over a Career
Who are the “Others” to whom a
Professor is Internalizing Responsibility?
Over a Career, a Professor
Internalizes Responsibility to Serve:
– Students
– Colleagues
– The University/College
– The Discipline
– The Profession
– Society: locally; nationally; globally
– Staff is co-educators?
– Others?
Two General Questions Focused on
Professional Formation
Question 1: What is the background on the
term “professional formation”? What are
the elements of professional formation?
Question 2: What does empirical evidence
suggest are the most effective pedagogies
to foster professional formation?
Question 1:
What is the background on the term
“professional formation”? What are
the elements of professional
formation?
Age and Mental Complexity:
The View Thirty Years Ago
“Mental Complexity” in the following two figures measures growth toward an
internalized moral compass that is a less egocentric, more responsible and
more penetrating grasp of reality regarding human relationships.
Robert Kegan, Immunity to Change: How To Overcome It and Unlock Potential in Yourself and Your Organization (2009)
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Age and Mental Complexity:
The Revised View Today
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Constructive-developmental Growth
Robert Kegan, Harvard – Lifespan Developmental Psychologist
Self Authored (Stage 4)
Individual can step back and distance from
emotions or fusion with the group. Internalized
moral core of responsibility for others and less
egocentric.
Socialized (Stage 3)
Group affiliation drives individual decisions,
values, or behavior.
Instrumental (Stage 2)
Egocentrism, self-interest dominates, thinking
is dualistic, perspective taking limited
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Stages of Professional Identity Development Among Law
Students, Early Career, and Exemplary Lawyers
© Hamilton & Monson, 2011; 2012; Hamilton, Monson, & Organ, 2013
50
45
Entering Law
Students (n=210)
40
35
Percent
Graduating Law
Students (n=121)
30
Early Career (n=38)
25
Exemplars (n=12)
20
15
10
5
0
Stage 2
Stage 2/3
Stage 3
Stage 3/4
Stage 4
Stage 4/5 or
5/4
Suggested Citations: Neil W. Hamilton, Verna E. Monson, & Jerome M. Organ, Empirical Evidence that Legal Education Can Foster Student
Professionalism/Professional Formation to Become an Effective Lawyer (January 22, 2013). University of St. Thomas Law Journal, 2013, U of St. Thomas Legal
Studies Research Paper No. 13-01.
Stages of Professional Identity Development Among
U.S. Professional Military
70
60
50
Freshmen Class
(n=38)
40
Percent
Senior Class (n=32)
30
Mid-Career Officers
(n=13)
20
Senior Officers
(n=28)
10
0
Stage 2
Stage 2 / 3
Stage 3
Stage 3 / 4
Stage 4
George Forsythe, Identity Development in Professional Education, Academic Medicine, Oct. 2005, Invited Address, 80(10), pp S-112-S117. Retrieved October 11, 2011 from
http://journals.lww.com/academicmedicine/fulltext/2005/10001/identity_development_in_professional_education____.29.aspx
Professional Formation Captures
Developmental Growth
Five Carnegie studies use different terms
for the third apprenticeship, including
• professionalism
• formation of a professional identity
• ethical comportment
• professional formation
Educating Physicians (2010) “Adopts
professional formation rather than
professionalism to emphasize the
developmental and multi-faceted nature
of the construct.”
• “An ongoing self-reflective process involving
habits of thinking, feeling, and acting.”
• “A lifelong commitment to continued progress
toward excellence on the aspirational goals of
the profession.”
Professional Formation: The Meaning
of Professionalism for Exemplary
Lawyers:
1. Moral core or moral compass,
including:
• deep sense of responsibility to others
• trustworthiness in relationships with others
(including clients, colleagues, the
profession, the justice system, broader
society)
• honesty with self and others as an important
basis of trust
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Professionalism for Exemplary
Lawyers:
2. Ongoing reflection and learning:
a. from mistakes or losses, including
• professional setbacks, i.e., failing to meet internalized
standards of excellence, or losing important cases;
• personal setbacks, i.e., experiencing depression or loss
of loved ones; and
b. about the limitations of the status quo of legal
practice, including
• alternative methods of practice (e.g., mediation); and
• the limitations of the justice system in serving the poor
or oppressed, or imbalances of power.
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Professionalism for Exemplary
Lawyers:
3. Self-assessment of how the meaning of
professionalism has evolved:
• Continuous dynamic growth in
understanding and internalizing the meaning
of professionalism (including reflection and
learning from mistakes).
Professionalism for Exemplary
Lawyers:
4. Counseling the client, including:
• giving independent judgment
• candid and honest counsel informed by the
lawyer’s moral core
• lawyer as facilitator helping client think
through long-term interests in the context.
Faculty Professional
Formation/Professionalism
• “Faculty professionalism” defines the ethical duties
required by the social contract for each professor as
well as for the relevant groups of professional peers.
• The greater the faculty’s professionalism, the greater
the deference the faculty merits.
• Five principles of faculty professionalism capture the
correlative duties of academic freedom, including a
faculty member’s contributions to peer review and
shared governance. These constitute an ethical
professional identity for a professor.
First Principle
Each professor should, over a career,
grow in personal conscience in the
professional context of the other four
principles of professionalism in carrying
out the duties of the profession.
Second Principle
Each professor agrees to meet the ethics
of duty —
the minimum standards of competence
and ethical conduct set by peers within
both the profession and discipline and
within the university
(including attending to the stated mission
of the institution).
Third Principle
Each professor should strive, over a
career, to realize the
ethics of aspiration —
the ideals and core principles of the
academic profession, the professor’s
discipline, and the professor’s institution
including internalizing the highest
standards for professional skills.
Fourth Principle
Each professor agrees to act as a
fiduciary (with the corresponding duty to
avoid conflicts of interest) where his or
her self-interest is over-balanced by
devotion to serving both the students
through teaching and the advancement of
knowledge through scholarship.
Fifth Principle
Each professor and the members of the
faculty as a collegial body agree to:
1) hold each other accountable to meet the
minimum standards of the profession,
the discipline, and their institution
2) to encourage each other to realize the
ideals and core principles of the
profession, the discipline, and the
institution.
EMPIRICAL PROFESSIONAL ETHICS:
A Developmental Model of Professionalism for the Professorate*
The development and integration of personal and professional ethics over a career represent the highest level of professionalism.
Knowledge, Skill,
and Conduct
Observed
ETHICS OF DUTY
Minimum Competence and
Ethical Conduct
ETHICS OF ASPIRATION
Core Principles & Ideals of the Profession
PERSONAL CONSCIENCE
Rest’s Four Component Model of Morality (1983)
INTERIOR (INTRAPERSONAL) CAPACITIES
•Perceptual Clarity & Empathy
•Judgment & Reasoning
•Moral Motivation & Identity
and
SocialEmotional &
Cognitive
Capacities
CONSCIENCE IN ACTION
(Interpersonal Abilities)
Required Performance Above the Floor of
Incompetence, Unethical or Unlawful Conduct,
or Neglect of Duty
• Intellectual Honesty
(a) acknowledgement of academic debt &
(b) honest, accurate, and rigorous
investigation & recording of evidence.
• Commitment to Improvement and
Excellence of Teaching, Research, & Service
• A Model for Students of Best Scholarly
& Ethical Standards
• Peer Review
• Fair Share of Shared Governance
• Respect for Others
• No Conflicts of Interest
• Protection of Academic Freedom
*Adapted from Hamilton (2008), Rest (1983), and Boyatzis’s (1982) model developing managerial competencies, this graphic (1) shows
most observable skills and behavior as the outer layer, as well as the inner social-emotional and cognitive capacities of morality, and (2)
suggests a dynamic process among the three dimensions of professionalism.
© Neil Hamilton and Verna Monson, 2009.
Question 2:
What does empirical evidence
suggest are the most effective
pedagogies to foster
professional formation?
Pedagogies of Professional Formation
Rest’s Four Component Model capacities include:
Perceptual clarity and empathy (moral sensitivity) –
awareness of the moral dimensions of issues
Moral judgment – moral schema preferences (personal
interests, maintaining norms, postconventional) –
reflected as justifications for moral decisions
Moral motivation / identity formation – role concepts and
underlying values of what it means to be a good
professional
Moral implementation -- interpersonal relationship
abilities, conflict resolution, teamwork, negotiation,
communication
Common Pedagogies Showing No
Assessable Benefit on any Four
Component Model Capacities
• Ethics/philosophy/jurisprudence courses
focused on doctrinal knowledge and critical
analysis without reflective exploration of
student’s own moral core
• One-time short programs (need weekly
meetings over three weeks or longer)
• Fear-based programs
Most Effective Pedagogies for
Professional Formation
1. Stage Appropriate Educational
Engagements
– Since students and practicing professionals are at
different developmental stages in terms of the four
component model, pedagogies should be stageappropriate.
– Pedagogies ask each student and practicing
professional to explore the meaning of topics
covered for the person’s internalized moral core.
– Required/Elective courses
Most Effective Pedagogies Cont.
2. Cognitive Disequilibrium and Optimal
Conflict
–
Central to constructivist pedagogies of morality or
professional formation is the idea that we need to
experience cognitive disequilibrium within a context
of psychological safety. Some examples:
– Dialogues with others that help gain insights into the
limitations of our current way of knowing
– Dilemma discussions that examine the problem using
different lens or frames -- feedback on analysis
– Always stage-appropriate questions
“Optimal Conflict”
• Problems and questions must represent a “persistent
experience of some frustration” or “quandary” (for the
individual student);
• Problems and questions must challenge one’s
assumptions and beliefs or “our current way of
knowing;”
• Underlying issues must connect deeply to who we are
and what we value; and
• Must have sufficient social support from others in order
to be effective – must monitor so the person does not
become overwhelmed, and also must ensure she or he
cannot “escape or diffuse” the conflict.
Kegan & Lahey – Harvard – “Immunity to Change,” (2009)
Most Effective Pedagogies Cont.
3. Habit of Feedback, Dialogue, and Reflection
(FDR)
– Through repetition and rehearsal throughout the
University’s culture, help each professional
internalize the habit, on issues involving
professionalism, of:
• Actively seeking feedback from others
• Dialogue with others about the tough calls
• Self-reflection
Practicing FDR will Foster Growth in
Professional Formation
• Small group discussion of ethical
dilemmas
• Mentoring
• Coaching
• Modeling
• Peer-to-peer conversations
Most Effective Pedagogies Cont.
4. Multiple Opportunities for Formative
Assessment
• formative assessment – aimed at providing
constructive feedback
• start with self assessment
• multiple measures and multiple assessors
increase the validity of the assessment
What if the Iowa State Faculty
Senate were to pass a resolution
on professional formation similar
to what the ABA resolved in 1974?
1974 Resolution of Annual Meeting of
the ABA House of Delegates
“Whereas,
the survival of the legal profession to the
benefit of the communities and clients it
serves is directly affected by the
maintenance of the highest possible
professional standards, and
Whereas,
the training in the area of professional
standards, responsibilities and conduct
is an integral and indispensable part of
quality legal education;
now therefore be it
Resolved,
That the standards for the Approval of Law
Schools be amended to read as follows:
302(a)(iii): and provide in their curricula
a course for credit required for graduation
on the subject of the legal profession
covering its history and traditions, its
future potential, ethics, professional
conduct and attorney-client relations.”
2011 Proposal for a Resolution of the
Iowa State Faculty Senate
“Whereas,
the survival of the academic profession to
the benefit of the communities,
institutions, and students it serves is
directly affected by the maintenance of
the highest possible professional
standards, and
Whereas,
training in the areas of professional
standards, responsibilities and conduct is
an integral and indispensible part of
quality education for the professorate,
now therefore be it,
Resolved:
The university shall provide a course
required for each professor on the subject
of the academic profession, covering its
history and traditions, its future potential,
ethics, and professional conduct.”
Questions?