Searching for School Characteristics that Make a Difference for the Achievement of All Students: A 40-Year Odyssey Taiwan, May, 2014 www.waynekhoy.com [Papers>Taiwan: Academic Optimism] 1© Hoy, 2014 Overview: From Oklahoma to Ohio What makes some schools better places to work and learn than others? • General Nature of School Climate—What is School Climate? • Conceptual frameworks for School Climate and its Measures: 3 Perspectives Control Perspective: Humanistic to Custodial School Climates Openness Perspective: Open to Closed School Climates Health Perspective: Healthy to Unhealthy School Climates • Collective Trust in Schools • Collective Efficacy in Schools • Academic Emphasis in Schools • Academic Optimism of Schools • Academic Optimism and Student Achievement • Implications for Practice 2 © Hoy, 2014 School Climates: Humanistic, Open & Healthy Climates I Control Perspective—Continuum from Custodial to Humanistic • Custodial School Climate. Watchful mistrust and autocratic control are the critical aspects of a custodial perspective. • Humanistic School Climate is optimistic about students and teachers have open and friendly relations with students. Teachers and students are willing to act on their own volition and accept responsibility for their actions. II Openness Perspective—Continuum from Closed to Open • The Closed School Climate is one imbued with game playing, close teacher supervision, teacher apathy, and low morale. • The Open School Climate is one anchored in authentic, open, and transparent interactions among faculty members, supportive supervision, & high morale. III Perspective on Health of Interpersonal Relations—Continuum from Unhealthy-Healthy • The Unhealthy School Climate is imbued with conflict and poor interpersonal relations. • The Healthy School Climate is one in the interpersonal relations between teachers, teachers and administrators, and teachers and students are positive-good interpersonal relations. 3 © Hoy, 2014 Oklahoma Findings Humanistic Control and Openness in School Climates: A Comparative Analysis Humanistic Schools contrasted with Custodial ones Principals were: More Considerate—kind and thoughtful More Personal—warm and helpful More Engaging—easy interactions More Friendly—caring More Supportive—avoided close supervision Faculty had: Higher Morale Greater Engagement. Greater Openness 1. The more open the climate, the more humanistic the control perspectives—two go together. The relation is a reciprocal one. 1. There was openness and authenticity in teacher-principal relations and openness in teacherteacher relations in humanistic schools . (Appleberry & Hoy, 1969; Hoy & Appleberry, 1970; Hoy, 2008) Three years in Oklahoma and then back to east coast, Rutgers in NJ 4 © Hoy, 2014 Rutgers Studies in New Jersey School Climate and Student Outcomes: Alienation and Self-Actualization Alienation: Normlessness Powerlessness Meaninglessness Isolation Self-estrangement 1. 2. 3. 4. 5. Climate was related to student alienation in NJ high schools. In general, the more open the school climate, the less alienated were the students. In general, the more humanistic the school climate, the less alienated the students. Open and humanistic schools were antidotes for student sense of powerlessness and normlessness. Students suffered less from a sense of powerlessness, normlessness, and self-estrangement or isolation (Hoy, 1972; Hartley & Hoy, 1972; Rafalides & Hoy, 1971). Self-actualization 1. 2. 3. 4. 5. 6. Humanism of school climate related to student level of self-actualization (Diebert & Hoy, 1977). But graduate students and administrators want to know if climate was related to student achievement. We started to look in each sample of schools, but to no avail. Preliminary evidence suggested –No Relations! Correlations Yes, but with controls—No Openness and Humanism in school climate were not related to student achievement. Summary of Findings Next 5 © Hoy, 2014 Summary of Climate Studies 1. 2. 3. 4. 5. School Climate does capture the feel of the school. Openness and humanism seem to have positive effects on students—less alienated, more committed, greater confidence, and higher self actualization. But neither the openness of the climate nor the humanism of teachers was related to academic performance. Every climate study we did at RU, where we could, we checked its influence on academic performance, but with SES included as a control, there was no relation. School climate was related to affective student outcomes, but not related to academic outcomes; SES overwhelmed everything when it came to achievement. 6 © Hoy, 2014 Why No Relation between Climate and Student Achievement? James Coleman’s classic national study of American Public Schools (1966) was also discouraging because he also found: “Only a small part of (student achievement) is the result of school factors, in contrast to family background differences between communities.” Together with my own research and Coleman’s findings, I came to believe that organization and school climate had little to do with school achievement; achievement primarily in the hands of teachers in the classroom. Thus, I turned my attention to research to different areas. 7 © Hoy, 2014 Detour: New Research Directions 1. Bureaucratic structure was directly related to teacher alienation. 2. Bureaucratic structure was negatively related to innovation and change. 3. Bureaucratic socialization of new teachers—more bureaucratic and custodial. 4. Key principal behaviors to develop loyal teachers: 1) Consideration 2) Initiating structure 3) Leading by example 4) Emotional detachment 5) Hierarchical independence. 6) Authenticity 5. Patterns of Administrative Succession for Principals. Outsiders versus Insiders Change Status Quo Higher Satisfaction Lower Satisfaction More Influence Less Influence More Emotional Detachment Less Emotional Detachment High Faculty Morale Lower Faculty Morale 8 © Hoy, 2013 Return to the Quest Ron Edmonds’s Challenge to Coleman: Case Studies of Urban School. Edmonds found and argued that high achievement was a function of: – – – – – Strong Principals High Expectations for Students Emphasis on Basic Skills Orderly environments Frequent, systematic evaluations One or two cases don’t really prove much—Could the findings be generalized? Another look at School Climate: A New Perspective—Organizational Health 9 © Hoy, 2013 Organizational Health Organizational Health Inventory (OHI) • School-Community Interactions Institutional Integrity • Principal Teacher-Interactions Principal Influence Consideration Initiating Structure Resource Support Morale • Professional Interactions • Teacher-Student Interactions Academic Emphasis One factor—Health Index= combination of the seven aspects of health. No relation between overall health of school climate and achievement, controlling for SES. Multiple Regression—use individual tests rather than index. We finally found one property of schools that made a difference on student achievement when controlling for SES (family background and community differences in wealth). Academic Emphasis of the School was related to Student Achievement—the relation held for all levels—elementary, middle, & high schools—20 years. 10 © Hoy, 2014 The First Generation of Trust Studies—Rutgers (Hoy & Kupersmith, 1984,1985) TRUST: A generalized sense held by the work group that the word or promise of another could be relied upon (Rotter) Measures of Collective Faculty Trust: 1. In Colleagues 2. In Principal 3. In District Faculty Trust related to many important attributes: Authentic leadership of the principal Morale of faculty Openness of climate Health of school Subjective measure of effectiveness BUT NOT to ACHIEVEMENT, controlling for SES. It was on to Ohio State. Thus, far only one school variable has been identified that predicts academic achievement controlling for SES. 11 © Hoy, 2014 Trust: The Second Generation—Ohio State a more refined definition of trust Megan Tschannen-Moran (Tschannen-Moran, Woolfolk Hoy, Hoy, 1998; Hoy & Tschannen-Moran, 1999, 2003; Tschannen-Moran, 2004; Forsyth, Adams, & Hoy, 2011). TRUST: Trust is a state in which individuals and groups are willing to make themselves vulnerable to others and take risks with confidence that others will respond to their actions in positive ways, with: Benevolence, Predictability, Competence, Honesty, and Openness. Faculty Trust in: In Colleagues In Principal New Dimensions In Students In Parents Surprise!!! Faculty Trust in Students and Parents is one thing, not two (Bryk & Schneider, 2002). Faculty Trust in Students and Parents was related to Student Achievement controlling for SES. Relationship is true regardless of school level (elementary, middle, high school). Also true in other countries—for example, including Taiwan. Second organizational property to make a difference in achievement (1998). 12 © Hoy, 2014 Collective Efficacy—Ohio State Roger Goddard-A Study of Collective Efficacy of Elementary Schools (Goddard, Hoy, & Woolfolk Hoy, 2000; Goddard, 2001, 2002). Grew out of the work of Albert Bandura, Self-Efficacy: The Exercise of Control(1997), who claimed efficacy could be framed as a collective as well as an individual construct. In fact, he maintained that collective efficacy was more important than SES in predicting student achievement. COLLECTIVE EFFICACY: teachers as a whole (as a collective) have a sense that they can organize and execute decisions and influence the activities that have positive effects on students. Developed a reliable and valid measure of the collective efficacy of a school. Collective Efficacy was related to achievement regardless of SES and just as important or more so than SES. Collective Efficacy was the third property of schools that predicted student achievement controlling for SES and other demographic characteristics of schools (next) 13 © Hoy, 2014 Collective Efficacy—Ohio State Relationship is true regardless of school level (elementary, middle, high school). Also true in other countries. These three school properties are the three characteristics that make a difference in school achievement beyond SES. • Academic Emphasis • Collective Trust [in Students and Parents] • Collective Efficacy What about the three properties working together? Three properties added together should explain more variance in achievement-But they don’t because they are so highly correlated with each other. HOW TO RESOLVE THIS PROBLEM? 14 © Hoy, 2014 Academic Optimism: A New Construct (Hoy, Tarter, & Woolfolk Hoy, 2006) The elements of academic optimism and their reciprocal relation to each other. Academic Emphasis Faculty Trust Collective Efficacy Academic Optimism is the uniting of these three concepts into an integrated whole. Efficacy is the belief faculty can make a positive contribution to student learning: teachers believe in themselves. Trust is the belief that students, parents, teachers can cooperate to improve student learning: teachers believe in their students. Academic Emphasis is the academic enactment of these beliefs: teachers act to improve academic success of students. Academic Optimism is the collective belief that that: The faculty can make a difference--cognitive facet (efficacy). Students can learn--affective and emotional side (trust). Academic performance can be achieved--behavioral enacted (academic optimism). 15 © Hoy, 2014 Academic Optimism and School Achievement: A Theoretical Model Urbanicity Socioeconomic Status Mathematics Faculty Trust in Students and Parents Collective Efficacy Academic Emphasis Academic Optimism Student Achievement Science Priori Student Achievement Mathematics Science 16 © Hoy, 2014 A Test of the Academic Optimism and Student Achievement Model (Hoy, Tarter, Hoy, 2007) Mathematics Faculty Trust in Students & Parents Collective Efficacy Academic Emphasis 1.00 .75 .99 Academic Optimism Student Achievement .90 .92 Science 17 © Hoy, 2014 A Test of the Academic Optimism and Student Achievement Model (Hoy, Tarter, Woolfolk Hoy, 2006) Urbanicity Socioeconomic Status .02 .20 Mathematics .19 Faculty Trust in Students & Parents Collective Efficacy Academic Emphasis 1.00 .75 .99 Academic Optimism .21 Student Achievement .90 .92 .60 Science Priori Student Achievement .97 Mathematics .96 R2=.67** Science 18 © Hoy, 2014 Principals Creating A Culture of Academic Optimism and Student Achievement: A Path Model (McGuigan & Hoy, 2006) Faculty Trust in Students and Parents Collective Efficacy Enabling Structure Academic Optimism Socioeconomic Status 19 © Hoy, 2014 Academic Emphasis Student Achievement A Test of Enabling Structure, Academic Optimism, Achievement Model (McGuigan & Hoy, 2006) Faculty Trust in Students and Parents Collective Efficacy .98 Enabling Structure .96 .37** Academic Optimism Academic Emphasis .95 .54**(Math) Student Achievement .21 (Math) Socioeconomic Status Math R2=.48** 20 © Hoy, 2014 Why Does Academic Optimism Lead to Higher Student Achievement? &Study of Trust in Chicago (Bryk & Schneider, 2002) School Conditions that Promote Learning and Achievement 1. Teachers’ “can do” Attitude and Internalized Responsibility 2. Outreach to Parents 3. Professional Community--Collaborative Work Practices and Commitment to Improve Teaching and Learning. 4. High Expectations and High Academic Standards 21 © Hoy, 2014 Why Does Academic Optimism Lead to Higher Student Achievement? School Conditions that Promote Achievement Bryk & Schneider (2002) Study of Trust Hoy, Tarter, & Woolfolk Hoy (2006) Study of Academic Optimism 1. Teachers’ “can do” Attitude and Internalized Responsibility Collective Efficacy 22 © Hoy, 2014 Why Does Academic Optimism Lead to Higher Student Achievement? School Conditions that Promote Achievement Bryk & Schneider (2002) Study of Trust Hoy, Tarter, & Woolfolk Hoy (2006) Study of Academic Optimism 1. Teachers’ “can do” Attitude and Internalized Responsibility Collective Efficacy 2. Outreach to Parents 3. Professional Community Collaborative Work Practices and Commitment to Improve Teaching Faculty Trust in Parents and Teachers 23 © Hoy, 2014 Why Does Academic Optimism Lead to Higher Student Achievement? School Conditions that Promote Achievement Bryk & Schneider (2002) Study of Trust Hoy, Tarter, & Woolfolk Hoy (2006) Study of Academic Optimism 1. Teachers’ “can do” Attitude and Internalized Responsibility Collective Efficacy 2. Outreach to Parents 3. Professional Community Collaborative Work Practices and Commitment to Improve Teaching Faculty Trust in Parents and Teachers 4. High Expectations and High Academic Standards Academic Emphasis 24 © Hoy, 2014 Why Does Academic Optimism Lead to Higher Student Achievement? School Conditions that Promote Achievement Bryk & Schneider (2002) Study of Trust Hoy, Tarter, & Woolfolk Hoy (2006) Study of Academic Optimism 1. Teachers’ “can do” Attitude and Internalized Responsibility Collective Efficacy 2. Outreach to Parents 3. Professional Community Collaborative Work Practices and Commitment to Improve Teaching Faculty Trust in Parents and Teachers 4. High Expectations and High Academic Standards Academic Emphasis 25 © Hoy, 2014 A C A D E M I C O P T I M I S M How Does Academic Optimism Lead to Higher Student Achievement? Feedback GOAL THEORY Goals are: • Specific • Challenging • Attainable • Embraced Collective Efficacy Academic Emphasis Culture of Academic Optimism Motivation • • • • Responsibility Effort Persistence Resilience Student Achievement Trust in Parents & Students COOPERATION • Students • Teachers • Parents Relational Trust Feedback Dynamics of School Properties to Promote Student Achievement 26 © Hoy, 2014 Conclusions • There is strong evidence that academic optimism is a latent construct consisting of 1) academic emphasis, 2) collective trust in parents and students, and3) collective efficacy. • Academic Optimism is directly related to school achievement even after controlling for SES and earlier achievement. • Academic Optimism is as strong predictor of achievement as SES; Academic optimism can be developed, but SES cannot. • Optimism in academic matters is a strong force for achievement. • Trust in parents and students seems to liberate teachers to innovate in the classroom without fear of retribution from parents. • Collective efficacy signals a “can do attitude” of faculty and enables teachers to set and pursue challenging goals with students. • Academic emphasis focuses behavior on academic matters and mobilizes to teachers to action. • Academic optimism is related to school achievement in other countries and cultures [Jason (Hsin-Chieh) Wu—Wu, Hoy, & Tarter, 2013; Wu, 2013). 27 © Hoy, 2014 Implications and Applications How can a culture of academic optimism be cultivated? At least three paths: 1. Cultivate a Culture of Trust: In colleagues, In administration, and most importantly in Students and Parent—benevolent, open, reliable, competent, and honest. Open and transparent teacher-student and teacher-parent relations are the hallmarks of authenticity and trust. • Reach out to parents in projects that require their cooperation and involvement—newsletters, parent-teacher events, celebrations of achievement. • Make operation of school transparent and open to parents. • Be honest with parents. • Showcase achievement of schools and highlight competence and accomplishment of teachers as well as students. • Embrace students and work through difficulties with parents. • Be predictably kind and compassionate about helping students. 28 © Hoy, 2014 Implications and Applications 2. Develop Collective Efficacy in the School: The faculty as a collective must believe that they can make a difference in the success of students. Three major sources of efficacy: Mastery Experiences, Vicarious Experiences, and Social Persuasion. • Mastery: Structure experiences for teachers so they can have successful direct experiences; place them in situations for success. New teachers have schedules and situations where they can succeed. Success breeds success, mastery, and efficacy—Experience success! • Model: Give teachers models to emulate; provide examples and stories of success; observe experts in action; provide vicarious experiences for success—Provide models of success! • Persuasion: Reinforce direct and vicarious experiences with supportive persuasion—Motivate and coach success! You can do it! Believe in yourself, set realistic goals, and achieve. 29 © Hoy, 2014 In Brief: 1. Experience Success (Mastery) Provide direct experiences for success. 2. Model Success (Modeling) Provide models for success. 3. Coach Success (Persuasion) Persuade individuals they can succeed. 30 © Hoy, 2014 Implications and Applications 3. Focus on Academic and Intellectual Achievement: The faculty must embrace the goal of academic achievement—the school leader needs to be an intellectual leader. • Celebrate intellectual achievements of faculty and students— assemblies, honor societies, awards, trophies, ceremonies, newspaper accounts, etc. • Make academic achievement a major force of schooling—honor rolls, letters of commendation, graduations with distinction, news releases, etc. • Hire intellectually curious teachers and nurture their curiosity. • Make schools intellectually stimulating places to learn: Nurture » Creativity » Curiosity » Reflection among students and teachers. 31 Hoy, 2014 Implications and Applications Finally, what makes academic optimism of the school so important in improving student achievement is its strong influence on motivation—both teacher motivation and student motivation. At the heart of such motivation is: • Responsibility • Effort • Persistence • Resilience • GRIT Academic Optimism enhances these motivation forces. 32 © Hoy, 2014 Implications and Applications Checks and Balances Warning: Be concerned with all three elements of academic optimism and not just one of the elements. For example—Building an academic focus can come by rigid adherence to procedures, which if not met, result in negative sanctions or punishment. Yet building strong academic focus this way may actually undermine trust and create an atmosphere of secrecy. So if building increased academic emphasis reduces openness and trust, DON’T DO IT. Conversely, building trust can create a laissez faire atmosphere can undermine academic emphasis-if so, DON’T DO IT. Basic Rule: Use all three elements (trust, efficacy, and academic emphasis) to check any attempt to improve academic optimism. Don’t use any strategy that improves one aspect of academic optimism at the expense of any other element. 33 © Hoy, 2014 A Brief Summary for Teachers and Leaders • Cultivate Trust: Open and transparent teacher-student relations provide a path to authenticity and academic optimism and student achievement. • Build Efficacy: Efficacy is the engine of change, reform, and achievement. • Foster school Academic Emphasis: Celebrate academic successes— academic emphasis focuses behavior on academic matters. • Embrace Academic Optimism: Optimism leads to both increased achievement and well-being for all. • Develop GRIT: learn resilience, self-discipline, and perseverance. • Accept Responsibility for learning: It is a key in effective motivation. Keys to School Success: Trust, Efficacy, Academic Emphasis, Academic Optimism, GRIT, Responsibility . 34 © Hoy, 2014 References 1. Appleberry, J.B. and Hoy, W.K. (1969), “The pupil control ideology of professional personnel in ‘open’ and ’closed’ elementary schools”, Educational Administration Quarterly, Vol. 5 No. 3, pp. 74-85. 2. Bryk, A.S. and Schneider, B. (2002), Trust in schools: A core resource for improvement. New York: Russell Sage Foundation. 3. Coleman, J.S., Campbell, E.Q., Hobson, C.J., McPartland, J., Mood, A.M., Weinfeld, F.D. and York, R.L. (1966), Equality of Educational Opportunity, US Government Printing Office, Washington, DC. 4. Diebert, J.P. and Hoy, W.K. (1977), “Custodial high schools and self-actualization of students”, Educational Research Quarterly, Vol. 2 No. 2, pp. 24-31. 5. Edmonds, R. (1979), “Some schools work, more can”, Social Policy, Vol. 9 No. 5, pp. 28-32. 6. Forsyth, P. A., Adams, C. & Hoy, W. K. (2011). Collective Trust: Why Schools Cannot Improve Without It. New York: Columbia TC Press. 7. Goddard, R.G., Hoy, W.K. and Woolfolk Hoy, A. (2000), “Collective teacher efficacy: its meaning, measure, and impact on student achievement”, American Educational Research Journal, Vol. 37 No. 2, pp. 479-508. 8. Goddard, R.G. (2001), “Collective efficacy: a neglected construct in the study of schools and student achievement”, Journal of Educational Psychology, Vol. 93 No. 3, pp. 467-76. 9. Goddard, R.G. (2002), “A theoretical and empirical analysis of the measure of collective efficacy: the development of the short form”, Educational and Psychological Measurement, Vol. 62 No. 1, pp. 97-110. 10.Hartley, M.C. and Hoy, W.K. (1972), “Openness of school climate and alienation of high school students”, California Journal of Educational Research, Vol. 23 No. 1, pp. 17-24. 35 © Hoy, 2014 References 12. Hoy, W.K. (2001), “The pupil control studies: a historical, theoretical, and empirical analysis”, Journal of Educational Administration, Vol. 39 No. 5, pp. 424-41. 13. Hoy, W.K. (1972a), “Dimensions of student alienation and characteristics of public high schools”, Interchange, Vol. 3 Nos. 4/5, pp. 38-51. 14. Hoy, W. K. (2012). School characteristics that make a difference for the achievement of all students: A 40-year academic odyssey. Journal of Educational Administration, Vol., 51, 176-193. 11. Hoy, W.K. and Appleberry, J.B. (1970), “Teacher principal relationships in ‘humanistic’ and ‘custodial’ elementary schools”, Journal of Experimental Education, Vol. 39 No. 2, pp. 27-31. 15. Hoy, W.K. and Kupersmith, W.J. (1984), “Principal authenticity and faculty trust”, Planning and Changing, Vol. 15 No. 2, pp. 81-8. 16. Hoy, W.K. and Kupersmith, W.J. (1985), “The meaning and measure of faculty trust”, Educational and Psychological Research, Vol. 5 No. 1, pp. 1-10. 17. Hoy, W. K., Tarter, C. J., & Woolfolk Hoy, A. (2006). Academic optimism of schools: A force for student achievement. American Educational Research Journal, 43, 425-446. 18. Hoy, W.K. and Tschannen-Moran, M. (1999), “Five faces of trust: an empirical confirmation in urban elementary schools”, Journal of School Leadership, Vol. 9 No. 3, pp. 184-208. 19. Hoy, W.K. and Tschannen-Moran, M. (2003), “The conceptualization and measurement of faculty trust in schools”, in Hoy, W.K. and Miskel, C.G. (Eds), Studies in Leading and Organizing Schools, Information Age, Greenwich, CT, pp. 181-207. 20. McGuigan, L. & Hoy, W. K. (2006). Principal Leadership: Creating a Culture of Academic Optimism to Improve Achievement for All Students. Leadership and Policy in Schools, 5, 203-229. 21. Rafalides, M. and Hoy, W.K. (1971), “Student sense of alienation and pupil control orientation of high schools”, High School Journal, Vol. 55 No. 3, pp. 101-11. 36 © Hoy, 2014 References 22. Tschannen-Moran, M. and Hoy, W.K. (2000), “A multidisciplinary analysis of the nature, meaning, and measurement of trust”, Review of Educational Research, Vol. 70 No. 4, pp. 547-93. 23. Tschannen-Moran, M. (2004). Trust Matters: Leadership for Successful Schools. San Francisco: Jossey Bass. 24. Wu, H. C., Hoy, W. K., & Tarter, C. J. (2013). Enabling school structure, collective responsibility, and a culture of academic optimism: Toward a robust model of school performance in Taiwan. Journal of Educational Administration, 51, 176-193. Suggested Readings Hoy, W. K. (2012). School characteristics that make a difference for the achievement of all students: A 40-year academic odyssey. Journal of Educational Administration, 51, 176-193. Hoy, W. K., Tarter, C. J., & Woolfolk Hoy, A. (2006). Academic optimism of schools: A force for student achievement. American Educational Research Journal, 43, 425-446. Forsyth, P. A., Adams, C. & Hoy, W. K. (2011). Collective Trust: Why Schools Cannot Improve Without It. New York: Columbia TC Press. Wu, H. C., Hoy, W. K., & Tarter, C. J. (2013). Enabling school structure, collective responsibility, and a culture of academic optimism: Toward a robust model of school performance in Taiwan. Journal of Educational Administration, 51, 176-193. Wu, J. H. (2013). Academic optimism and collective responsibility: An organizational model of the dynamics of student achievement. Asia Pacific Education Review, 14(3), 419–433. 37 © Hoy, 2014