Academic Optimism: Decades of Research in a Quest for School Characteristics that Make a Difference for the Achievement of All Students 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. 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., 50, 76-97. Seton Hall, April 13, 2013 www.waynekhoy.com © Hoy, 2013 The Journey Begins Oklahoma State (1965) As a new professor needing to do research, I had an interest in school climate. 1. 2. 3. 4. Each school has it own distinct feel, aura, identity, character, atmosphere, climate. Individuals have personalities—so do schools—climate. How does one conceptualize the climate of a school. Initially, we decided on climates along a two continua: from custodial to humanistic from closed to open. Where open school climates related to humanistic ones? © Hoy, 2013 School Climates: Open Climates and Humanistic Climates • The rigidly traditional school serves as a model for the custodial orientation. This kind of organization provides a highly controlled setting concerned primarily with the maintenance of order. Watchful mistrust and autocratic control are the critical aspects of a custodial perspective. • The model for the humanistic orientation is the school conceived of as an educational community in which members learn through interaction and experience. The humanistic teacher is optimistic about the student and has open and friendly relations with students. Teachers and students are willing to act on their own volition and accept responsibility for their actions. • The Open School Climate is one anchored in authentic, open, and transparent interactions among faculty members, supportive supervision, & high morale. • The Closed School Climate is one imbued with game playing, close teacher supervision, teacher apathy, and low morale © Hoy, 2013 Oklahoma Findings Humanistic Schools (contrasted with Custodial ones) had principals who were: – – – – – Considerate Personal Engaging Friendly Supportive—avoided close supervision 1. Moreover, humanistic schools had faculties with higher morale and the faculty was more engaged. 2. 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 teacher-teacher relations in humanistic schools. Three years in Oklahoma and then back to east coast, Rutgers in NJ © Hoy, 2013 Rutgers Studies (1968) More studies on the Climate of Schools in New Jersey. What kind of consequences did open climates and humanistic climates have on schools? Series of studies done in New Jersey to answer these questions was performed, looking at the impact of climate (openness and humanism) on students rather than faculty. Two student concepts came to mind: alienation and self-actualization. 1. 2. 3. 4. 5. 6. 7. 8. 9. Custodialism and openness were both related to student alienation in NJ high schools. In general, the more open the school climate, the less alienated were the students. Open schools were antidotes for student sense of powerlessness and normlessness. Students suffered less from a sense of powerlessness, normlessness, and selfestrangement or isolation. Not surprisingly, custodial climates had alienated students along same dimensions. Humanism of school climate related to student level of self-actualization. Feeling good about the results of our work on climate—direction clear. 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. © Hoy, 2013 Organizational Climate of Schools Dimensions of Principal’s Behavior Supportive—reflects a concern for teachers, is open to suggestions, respects teachers’ professional competence. Praise is genuine and frequent and criticism is constructive. The principal uses constructive criticism. Directive—maintains close and constant control over all teacher and school activities. The principal monitors everything teachers do. Restrictive—Hinders rather than facilitates teacher work; burdens with busywork. • Routine duties interfere with the job of teaching. -------------------------------------------------------------------------------------------------------- Dimensions of Teacher Behavior Collegial—supports open and professional interactions among teachers. Teachers are enthusiastic, accepting, and mutually respectful of professional competence. Teachers respect the professional competence of their colleagues. Intimate—reflects a cohesive and strong network of socials support among the faculty. Teachers know each other well, are close personal friends, and socialize. • Teachers socialize with each other. Disengaged—refers to a lack of meaning and focus in professional activities. Teachers are simply putting in time and going through the motions. • Faculty meetings are useless. © Hoy, 2013 Organizational Climate of Schools Supportive Directive Restrictive Openness of Principal Behavior Collegial Intimate Disengaged Openness of Teacher Behavior © Hoy, 2013 Types of Organizational Climate Principal Behavior Open Teacher Behavior Open Closed © Hoy, 2013 Closed Types of Organizational Climate Principal Behavior Open Teacher Behavior Closed Open Climate Open Closed Closed Climate © Hoy, 2013 Types of Organizational Climate Principal Behavior Open Teacher Behavior Open Climate Open Closed Disengaged Climate © Hoy, 2013 Closed Engaged Climate Closed Climate Climate Studies Summary 1. 2. School Climate does capture the feel of the school. Openness and humanism have many positive effects on students—less alienated, more committed, greater confidence, and higher self actualization. 3. But neither the openness of the climate nor the humanism of teachers is related to academic performance of students. 4. School climate was related to affective student outcomes, but not related to academic outcomes. 5. Why? © Hoy, 2013 Rutgers Climate Studies 1. 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. 2. We actually did another seven or eight studies to do avail—climate not related to achievement. 3. James Coleman’s classic national study of American Public Schools was also discouraging because he found: “Only a small part of (student achievement) is the result of school factors, in contrast to family background differences between communities.” 4. SES overwhelmed when it comes to achievement. 5. Together with my own research and Coleman’s findings, I came to believe that organization had little to do with school achievement; achievement primarily in the hands of teachers in the classroom. 6. Thus, I turned my attention to research to different areas. © Hoy, 2013 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 © Hoy, 2013 Return to the Quest 1. School Climate does capture the feel of the school. 2. Openness and humanism have many positive effects on students—less alienated, more committed, greater confidence, and higher self actualization. 3. But neither the openness of the climate nor the humanism of the school was related to academic performance of students. 4. School climate was related to affective student outcomes, but not related to academic outcomes. 5. Ron Edmonds’s Challenge to Coleman: Case Studies of Urban School. 6. 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 © Hoy, 2013 Organizational Health Organizational Health Inventory (OHI) Institutional (Community) Level—Interactions with the community • Institutional Integrity Managerial Level—Interactions with the principal • Principal Influence • Consideration • Initiating Structure • Resource Support School Level—Interactions with colleagues and students • Morale •Academic Emphasis Index of the health of school climate is a function of all these elements. But health was not related to achievement controlling for SES. Multiple Regression—use individual tests rather than index. © Hoy, 2013 Organizational Health A Healthy School Climate is characterized by institutional integrity--teachers are protected from disruptive outside forces. The principal has influence with superiors, gets needed resources, and has a integrated leadership style that is concern with both the task at hand and the social well being of teachers. Morale is high and there is a general press for academic achievement by teachers, parents, and students. A Unhealthy School Climate is vulnerable to disruptive outside forces. The principal has little influence with superiors, resources are scarce, and the principal neither sets direction nor is supports teachers. Morale is poor and there is limited attention to academic matters because the teacher have given up. Our index of school health was not related to student achievement, but… However, only Academic Emphasis was consistently related to student achievement, controlling for SES. First school property related to Student Achievement, controlling for SES (1990s). Two decades to find one school property that facilitates student achievement for all. True for elementary, middle, and high schools (measures for all levels). www.waynekhoy.com © Hoy, 2013 Trust: The First Generation of Studies--Rutgers Bill KupersmithTRUST: A generalized sense held by the work group that the word or promise of another could be relied upon (Rotter) Measures: Faculty Trust: In Colleagues In Principal In District 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. About this time, it was on to Ohio State. Thus, far only one school variable has been identified that predicts academic achievement controlling for SES. © Hoy, 2013 Trust: The Second Generation—Ohio State a more refined definition of trust Megan Tschannen-Moran- 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. [Univ. of Chicago] 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, China, Taiwan. Second organizational property to make a difference in achievement (1998). © Hoy, 2013 Collective Efficacy—Ohio State Roger Goddard-A Study of Collective Efficacy of elementary schools. Grew out of the work of Albert Bandura, 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. COLLECTVE 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 the third property of schools that predicted student achievement controlling for SES and other demographic characteristics of schools Relationship is true regardless of school level (elementary, middle, high school). Also true in other countries. Academic Emphasis, Trust in Clients, and Collective Efficacy were the three characteristics that make a difference in schools beyond SES. What about the three properties working together? Three properties added together should explain more variance in achievement-But! HOW TO RESOLVE THIS PROBLEM?© Walk the beaches of Naples, Florida. Hoy, 2013 Academic Optimism: A New Construct The elements of academic optimism and their reciprocal relation to each other. Academic Emphasis Collective Efficacy Faculty Trust 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. Students can learn--affective and emotional side. Hoy, 2013 Academic performance can be © achieved--behavioral enacted. 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 © Hoy, 2013 Sample and Method Sample = 96 high schools in Ohio Contacted 149 schools and got 96 (65%) Fairly representative sample of Ohio High School in terms of SES and balance of urban, suburban, and rural. Data were collected in faculty meetings and also from the Ohio Department of Education (Achievement DATA) SEM (Structural Equation Modeling) was used to test the model. © Hoy, 2013 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 © Hoy, 2013 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 © Hoy, 2013 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 © Hoy, 2013 A Second Test of the Academic Optimism and Student Achievement (Hoy, Tarter, Woolfolk Hoy, 2007) Urbanicity Socioeconomic Status -.18 .23 Faculty Trust in Students & Parents Collective Efficacy .23 .74 .99 Academic Optimism .93 .27 Student Achievement .93 Academic Emphasis .44 Reading .98 Writing .78 Social Studies Priori Student Achievement .99 Reading .96 .89 Writing Social Studies © Hoy, 2013 R2=.54** Conclusions 1. 2. 3. 4. 5. 6. 7. There is strong evidence that academic optimism is a latent construct consisting of academic optimism, collective trust in parents and students, and 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. © Hoy, 2013 Conclusions from Other Studies 1. Academic Optimism is related to academic achievement regardless of school level. 2. Academic Optimism is related to academic achievement in other counties and cultures. 3. How can administrators cultivate a culture of academic optimism? Develop trust, collective efficacy, & academic emphasis Cooperative relations with parents--trust Experience, Models, Persuasion—collective efficacy Academic emphasis—celebrate academic achievement But not at the expense of other elements. © Hoy, 2013 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 © Hoy, 2013 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** © Hoy, 2013 Why Does Academic Optimism Lead to Higher Student Achievement? Bryk & Schneider (20Study of Trust in Chicago 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 © Hoy, 2013 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 © Hoy, 2013 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 Faculty Trust in Parents and Teachers © Hoy, 2013 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 © Hoy, 2013 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 © Hoy, 2013 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 © Hoy, 2013 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 • • • • Collective Efficacy Academic Emphasis Culture of Academic Optimism Challenging Goals Effort Persistence Resilience 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 © Hoy, 2013 RESEARCH AGENDA FOR ACADEMIC OPTIMISM A. School-Level Questions: Antecedent and Consequences 1. What are the characteristics that produce School Academic Optimism? [ANTECEDENTS] • • • • • • • • • The Leadership of the Principal? The Structure of the School? The Professionalism of Teachers? Professional Learning Community? Open Organizational Climate? A Climate of Humanism? Mindfulness of the Principal? Self-efficacy of the Principal? Participatory Decision Making? 2. What are the consequences of a Culture of Academic Optimism? [CONSEQUENCES] • • • • • • • • • Higher level of School Effectiveness? Lower Drop-out Rate? Lower level of Teacher Absenteeism? Higher levels of Student Engagement? High level of Student Self-Efficacy? Higher level of Student Motivation? Higher level of Organizational Citizenship? Higher level of Teacher Morale? Higher level of Teacher Motivation? © Hoy, 2013 Individual Teacher Academic Optimism Academic Emphasis Faculty Trust Self-Efficacy Individual Academic Optimism is a set of beliefs held by a teacher that he or she can: 1) Teach all students effectively---------------------------—Self-efficacy. 2) Trust students to learn and parents to support them —Trust in students & parents. 3) Set the bar high and emphasize academics----------- —Academic Emphasis. Measures: TAOS-E for Elementary Teachers (Beard, Hoy, & Woolfolk Hoy, 2010) TAOS-S for Secondary Teachers (Fahy, Wu, & Hoy, 2010) © Hoy, 2013 RESEARCH AGENDA FOR ACADEMIC OPTIMISM B. Teacher- Level Questions? [Antecedents and Consequences] 1. What personal characteristics facilitate individual teacher optimism? [ANTECEDENTS] • Open-mindedness of Teacher? • General disposition to be Optimistic. • Self-Efficacy of the Teacher? • Humanistic Pupil-Control Orientation? • Professional Orientation? • Bureaucratic Orientation? • Teacher Mindfulness? 2. What are the consequences of individual teacher optimism? [CONSEQUENCES] • Higher level of Student Engagement? • Higher level of Student Motivation? • Higher level of Student Achievement? • Higher level of Student Satisfaction? • Higher level of Student Optimism? • Higher level of Student Self-Efficacy? • Healthier relationships with the principal? • Higher level of Cooperation and Collaboration with parents? • Higher level of Professional Behavior? 3. What about Student Academic Optimism—Brand new concept and measure!!!! What gives students a sense of academic optimism. Next areas of inquiry—How important is the principal’s academic optimism in schools? How about student academic optimism? © Hoy, 2013 Other Dependent Variables • Character of the School • Well-Being of the School • Positive Psy. Concepts from Seligman Read: Seligman, M. E. P. (2011). Flourish. New York. Free Press. © Hoy, 2013 Implications and Applications • Cultivate trust in parents and students: Open and transparent teacher-student relations is the hallmark of authenticity and an apparent road to academic optimism and student achievement. • Encourage collective self-efficacy: Efficacy is the engine of change, reform, and achievement. • Foster school academic emphasis: Stress and celebrate academic successes—another path to enhanced achievement. • View failure as a temporary setback and an opportunity for learning; failure is natural so don’t berate others; to fail in one situation is not to fail in all. • Learn grit: practice resilience, self-discipline, and perseverance. • Seek zest in school life: Be enthusiastic about what your day has in store. • Embrace academic optimism: A positive climate leads to both increased achievement and well-being for all. © Hoy, 2013 Suggested Readings 1. Beard, K. S., Hoy, W. K. and Woolfolk Hoy, A. (2010). Academic Optimism of New Teachers: Confirming a Construct. Teaching and Teacher Education, 26, 1136-1144. 2. Hoy, W. K. & Miskel, C. (2013). Educational Administration: Theory, Research, and Practice(9th edition). New York: McGraw Hill. 3. Smith, P. A. & Hoy, W. K. (2007). Academic optimism and student achievement in urban elementary schools. Journal of Educational Administration, 45, 556-568. 4.* 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. 5. 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. 6. Fahy, P. F., Wu, H. C., and Hoy, W. K. (2010), “Individual academic optimism of teachers: A new concept and its measure,” in Hoy, W. K. and DiPaola, M. (Eds.), Analyzing School Contexts: Influences of Principals and Teachers in the Service of Students, Information Age, Greenwich, CT, pp. 209-227. 7. Adams, C. A. and Forsyth, P. B. (2011). “Student academic optimism: Confirming a construct”, in DiPaola, M. & Forsyth, P. B. (Eds.). Leading Research in Educational Administration: A Festschrift for Wayne K. Hoy, Information Age, Greenwich, CT, pp. 73-88. 8. Forsyth, P. A., Adams, C. & Hoy, W. K. (2011). Collective Trust: Why Schools Cannot Improve Without It. New York: Columbia TC Press—Chapter 6. 9. Beard, K. S., Hoy, W. K., & Woolfolk Hoy (2010). The nature, meaning, and measure of flow. A test of rival hypotheses. Educational Administration Quarterly, 46, 426-458. 10. *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. © Hoy, 2013