Ethical leadership: a case study framework.

Abstract

The case study method is proposed as a pedagogical approach to encourage and support dialogue and reflection on the role of values and ethics in educational leadership. In this paper, a case study is introduced and analyzed using four domains of ethical leadership. The connection between ethics and leadership is examined using leadership models as a guiding framework for analysis of the case study.

Introduction

In light of the major ethical challenges facing society, educational leadership programs must be designed to emphasize and promote ethical behavior. The ongoing discussion of ethics (see e.g. Beck, Murphy & Assoc., 1997; Shapiro & Stefkovich, 2000; Starratt, 1991) reveals an urgent need for ethical and moral leadership in schools and society at large. According to Shapiro and Stefkovich, "the teaching of ethics is critical in the preparation of educational leaders" (p. 5). While almost all leadership programs profess to encourage ethical behavior, there is disagreement about the instructional methods that will enhance the ethical practice of educational leaders. A successful leadership program needs to prepare educational leaders who are sensitive to the demands of an increasingly diverse and complex environment. Beckner (2003) observed:

   In an earlier and more homogeneous society, desirable ethical
   decisions were easier to discern if not always easy to follow.
   People tended to be directed by widely accepted rules and
   expectations. With the development of a more pluralistic society
   (and better recognition of that pluralism), more support for
   individual freedom, more value given to the powers of reason,
   this relatively simple life has changed. (p.5)

Accordingly, the focus on ethics for preparation of educational leaders must be meaningful and designed to provide both a theoretical and practical knowledge base that will advance ethical leadership.

Case Study Analysis

In recognition of the increasing importance of ethics as a function of educational leadership, the use of case studies as a pedagogical approach to teach practical application of theories in educational administration has gained wide recognition and acceptance. According to Milheim (1996), "[w]ell-designed cased studies can provide a significant link between concepts learned in a traditional classroom and their eventual application in a professional work environment" (Discussion section, para.3). Case studies provide instructors with an effective tool adaptable to a variety of learning mediums. Text-based formats, role play, group discussion, videotape, and computer simulations are effective tools used to present case studies to students. These teaching tools avail the student of multi-sensory materials that more closely resemble real world experience (Curtis & Gluck, 1993). Starratt (1991) explains that too often practitioners fail to receive sufficient practical guidelines to inform their daily actions. This learning gap is significantly narrowed when the practitioner is able to supplement case study learning with life experiences. Milheim (1996) suggests that knowledge acquired through situated learning is amplified by engagement of the learner, instructional materials, and the environment. The net effect provides the practitioner with the knowledge and experience necessary to improve daily decision making (Milheim, 1996). Thus, this paper uses the case study approach as a vehicle to enhance the relationship between theory and practice.

Shapiro and Stefkovich (2000) have made significant strides toward bridging the gap between theories of ethical leadership and the practice of educational leaders. As advocates of reflective practice, they recognize the value of the case study approach to teaching ethics. Building upon the work of other scholars (see e.g., Beck, 1994; Starratt, 1994; Strike, Haller, & Solstice, 1988) they have advocated a multiparadigm approach to case study analysis. Specifically, Shapiro and Stefkovich identified a conceptual model that reflects multiple domains of ethical leadership, including the ethics of justice, care, critique, and the profession.

The Ethical Domains of Leadership

Beck and Murphy (1997) view ethical leadership as a two step process. First, leaders must view ethics as a set of fundamental principles that guide their decision making process. Applying ethical principles to daily decision making affords the leader the opportunity to make decisions that are ethically sound (Furman, 2003). Second, Beck et al. contend that leaders must embrace ethics as a necessary element of character. Accordingly, "Ethics is less about making decisions using objective principles and more about living morally in specific situations" (Beck et al, p.33). Furman (2003) summarized this two step process as follows:

   These two approaches to thinking about ethics as principles for
   decision-making or as individual character are different in their
   emphasis; however when reduced to their essentials, both approaches
   focus primarily on the individual as ethical actor; in doing so
   both imply or reinforce the notion that individuals are the primary
   moral agents who have impact on schooling. (p. 6)

Starratt (1991) suggests that leaders should be guided in their roles as moral agents by the three ethical domains of justice, care, and critique. The literature is replete with discussions about these three domains of ethical leadership typically referred to as the ethics of justice, ethic of care and ethic of critique (Starratt, 1991, 1994; Shapiro & Stefkovich, 2000). Shapiro and Stefkovich added to this discussion by proposing to include the ethic of the profession to these existing ethical viewpoints. If their premise is accepted, then, there are four ethical viewpoints that should be used to guide the decision-making processes of educational leaders.

In this paper, these four domains are used to analyze a case study in educational administration; thus providing a concrete application of these ethical leadership domains. The application of the ethics of justice, care, critique and profession is designed to bridge the gap between theory and practice and test the effectiveness of Shapiro and Stefkovich's model with a typical dilemma--Changing Jamie's Teacher--faced by educational leaders. [1]

Changing Jamie's Teacher

Ms. Mary Richards is the new principal of Selter Elementary School, which is a large school serving a K-5 student population. She has enjoyed a reasonably smooth first week of school and is beginning the second week today. Her predecessor retired after a 30-year career in the district and has already moved out of the district. While reading through letters and correspondence, Principal Richards turns her attention to one specific letter from the PTO president, Mrs. Wright. Principal Richards met Mrs. Wright briefly at the school open house. The letter begins with a warm welcome to Selter Elementary School from Mrs. Wright--acting in her official capacity as PTO president--but soon turns to another subject. The final paragraph of the letter states:

   On another note, I am not happy with my son Jamie's classroom
   assignment. You have put him in class with Miss Burkett, who has
   little experience as this is her first year of full-time teaching.
   Jamie is a gifted child and he has an IEP. Clearly, a young and
   inexperienced teacher will be unable to meet Jamie's needs. So, I
   request that you reassign Jamie to Dr. Norris's class. Dr. Norris
   is a "Master Teacher" and has significant experience teaching in
   this district. Thank you very much.

Principal Richards realizes this is a letter she must address soon; thus she begins gathering information that she hopes will contribute to finding a reasonable resolution of this issue.

In an effort to maintain the critical connection between ethics and leadership, the dilemma outlined above is situated using a blend of various leadership models to establish a guiding framework. This blend of traditional leadership models reflects recurring themes in the leadership literature and includes focus upon the descriptive task, the normative task, the leadership task, and the transformational task. Contextualizing the dilemma according to these four tasks provides a leadership framework that serves as an overarching organizational tool. The dilemma is then analyzed by applying and discussing the ethical domains proposed by Shapiro and Stefkovich (2000)--ethic of justice, ethic of care, ethic of critique, and ethic of the profession.

Descriptive Task

Principal Richards needs to identify the ethical and moral implications of the dilemma she has encountered before she can select an appropriate solution. The descriptive task will enable her to identify key information such as names of stakeholders, competing interests, and existing guidelines. This information is important because it helps Richards develop a plan for dealing with the issue. As a new principal, she wants to earn the support and respect of her school community, including parents, teachers and students. She is faced, however, with the responsibility of making a fair and just decision for this student, Jamie. At the same time, she is keenly aware of the important role that Jamie's mother, Mrs. Wright, plays in the school as PTO president. Principal Richards wants to avoid creating a relationship with Mrs. Wright that could negatively affect the PTO's support of the school.

Recognizing the ethic of justice, Principal Richards considers the interest that school faculty members have in the just resolution of this dilemma. According to school policy and past practice, students are removed from a teacher's classroom upon request of the teacher due to significant disciplinary problems or upon consensus of the parent, teacher and principal after reaching an agreement that the change would be better for the student. Thus, the unilateral removal of a student from a teacher's class has negative connotations and could be interpreted as an indication that Principal Richards lacks confidence in Miss Burkett's ability as an educator. In fact, Miss Burkett is a very capable teacher, who has clearly demonstrated her competence to work with students of varying ability levels. Finally, Principal Richards is keenly aware that an ethic of care focuses on the "integrity of human relationships" (Starratt, 1991, p. 195). Successful resolution of the dilemma hinges on her ability to maintain three important and potentially competing relationships; that is she must seek a solution that preserves her fidelity to parents, students and teachers. As a student, Jamie has a legitimate expectation that decisions will be made in his best interest. After a full week in Miss Burkett's classroom, Jamie appears to be building a positive relationship with her and his classmates. If Jamie is moved, he may have difficulty adjusting to a new environment and he may be unjustly labeled as a discipline problem by other students or teachers. Thus, Principal Richards recognizes that the ethic of the profession appears to favor resolution of this issue according to Jamie's best interests.

Normative Task

In undertaking the normative task Principal Richards must identify and analyze the possible conflicts between individual and organizational values. As a new principal, Ms. Richards must first identify her school's organizational culture (Schein, 1985). This does not mean that she is bound by the established culture, but rather it provides her with a starting place from which change may be initiated if necessary. Selter Elementary has embraced a collaborative vision that focuses on meeting the needs of ALL children. Principal Richards is committed to this vision and to providing the opportunity for all children to succeed in school. She is concerned, however, by evidence suggesting that parents with influence and standing in the community generally are given a greater voice than other parents in decisions made at Selter Elementary. Now that she has identified the organizational values, Principal Richards reflects upon the domains of the ethics of justice, care, critique, and profession and the weight each must be given for a successful resolution to Jamie's situation. Principal Richards has already concluded that both the ethic of care and ethic of the profession are steering her towards a decision to maintain the current placement of Jamie in Ms. Burkett's class. She views this decision as beneficial to Jamie because it is in his best interest to continue the positive learning environment that exists in Ms. Burkett's class and because she believes that this decision would, in the end, demonstrate her commitment to building strong relationship with parents, teachers and students.

She realizes that because some parents are more vocal than others, their children may have an unfair advantage. The ethic of critique leads Principal Richards to question the position of privilege that Mrs. Wright is invoking to get what she wants for her child. If Principal Richards is truly committed to providing all children an opportunity to succeed in school then she must accept her role in ending disparities that are perpetuated when power and authority are exercised by parents who enjoy the benefits and privilege of their status in society. Inspired by Sergiovanni's (1992) virtuous school concept, Principal Richards believes that all parents, teachers and students should be treated with respect and dignity. Thus, she decides to set up an appointment with Mrs. Wright to discuss her request. In preparation for this meeting, she takes a moment to reflect upon her personal core value system, which is guided by her social justice beliefs. Finally, as she carries on with her numerous job responsibilities, she embraces her role as a leader and commits to leadership practices that promote individual empowerment and growth.

Leadership Task

Principal Richards wants to establish herself as a credible leader who is able to make good decisions (Maxwell, 2002). She has gathered the necessary information about this ethical dilemma and believes that she understands and agrees with the organizational culture. Now, she must assume the responsibility associated with leadership and make this difficult decision. Sergiovanni (1992) states,

   Leadership is not a magic solution for improving schools. Moreover,
   focusing on leadership separately from such issues as school
   governance, finance, parental involvement, curriculum reform, labor
   relations, diversity, teaching and learning, and assessment may
   cover up problems and provide symptomatic relief that makes us feel
   good but changes little that matters. (p. xi)

As an educational leader, Principal Richards believes that ultimately she must adhere to the ethic of the profession, which guides her to focus on the best interests of students (Shapiro & Stefkovich, 2000). It is relatively undisputed that when children have qualified and effective teachers in their classrooms, this can greatly contribute to student achievement. Principal Richards chooses to be the kind of leader who willingly faces constraints and assumes responsibility to move the organization forward. As a professional, she accepts her ever expanding role in the administrative process.

Transformational Task

Burns (1978) provided significant insight into the role of leaders with his theory of transforming leadership. Following Burns' theory, one could conclude that a transformational leader is a moral leader who is concerned with values such as liberty, justice and equality. To resolve the current dilemma, Principal Richards should also consider whether her commitment to transforming leadership is congruent with the ethical domains proposed by Shapiro and Stefkovich (2000). Through her interaction with individuals who have a key stake in this ethical dilemma, Principal Richards utilizes all of the ethical domains to reach a solution that not only resolves the issue but also moves the organizational culture to a higher place. This higher place enables individuals to recognize the important role that they play in the organization. In order to move from the ordinary to the extraordinary, Principal Richards must divert individuals away from a self-centered view to an altruistic view of their role in the organization. Ultimately, this transformational leadership approach will take Principal Richards and her organization to an advanced ethical level of leadership.

Conclusion

A very deliberate case study approach was used to resolve the seemingly minor ethical dilemma that faced Principal Richards. The leadership framework provided both an organizational guide and a concrete connection between ethical models and leadership models. Finally, analysis of the case study using this conceptual framework provides an unambiguous space for the intersection of ethical modes of analysis and leadership principles. The need to provide a clear and concrete praxis between theory and practice is particularly warranted in the domain of ethical leadership in education. Case study analysis provides an excellent opportunity for thoughtful discourse about the role and impact of ethics on decisions made by leaders in education. Thus, educational leadership programs should provide future and present educational leaders with opportunities to engage in the case study approach to learning.

References

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Shapiro, J.P. & Stefkovich, J.A. (2000). Ethical leadership and Decision making in Education. Mahwah, NJ: Lawrence Erlbaum.

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Susan C. Bon, George Mason University, OH

Wo Gregory Gerrick, Ashland University, OH

Dan Sullivan, Ashland University, OH

Sheryl Shea, Ashland University, OH

Endnote

[1] This case study and characters are fictional and do not depict any actual persons or events.

Bon, J.D., Ph.D., is Associate Professor of Educational Leadership in the College of Education and Human Development, Gerrick, Ph.D., is Director and Professor of Doctoral Studies in Educational Leadership, Sullivan is doctoral student in Educational Leadership, and Shea is doctoral student in Educational Leadership in the College of Education