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NATIONAL SOCIAL SCIENCE PROCEEDINGS
Volume 44 #2
National Technology and Social Science Conference, 2010
Table of Contents
Educators’ Knowledge of the CHC Theory & Appropriate Interventions
Dwane Allen, Lloyd Kinnison, Joel Battle, Tammy Stephens, Kristi Westendorf,
Kourtney Jones, Texas Woman’s University
1
Assessing Preservice Teachers’ Technological Confidence and Competence
Jane Andrews, Barbara Crossland, Terry Lovelace, Northwest Missouri State University
7
Herbert Hoover Reexamined
Mark S. Bellnap, Embry-Riddle Aeronautical University
13
Big Screens, Fields, and Bridges: The Savvy Use of Culturally Responsive Literature
to Address Social and Civic Issues in Elementary Classrooms
Sabrina A. Brinson, Missouri State University
Jeffrey M. Hawkins, Oklahoma State University
19
Class Size, School Size, Teacher Experience, and Successful Classroom Strategies:
Implications for Fifth-grade African American Students’ Math Achievement
Timothy B. Chargois, Beaumont Independent School District
E. Jane Irons, Nancy Leffel Carlson, Lamar University
31
High-Stakes Standardization Testing: Help or Hindrance to Public Education
Betty A. Duncan, Lamar University
Alexandra Stevens, Beaumont, TX ISD
43
Assessment Ignorance: The Hidden Enemy of Our Education System
Dan Fennerty, Central Washington University
54
Enhancing the Attitudes of School Pupils with Limited English Ability toward
Reading: Implications for Teachers and Principals
Jerry E. Garrett, Marshall University Graduate College
60
Veteran Unemployment Rates in America: Resolutions to another Battle
Chris Goehner, Central Washington University
65
An Empirical Assessment & A Theoretical Model of Student Productivity in Learning
Reza G. Hamzaee, Missouri Western State University/Walden University
Seth A. Parker, Missouri Western State University
70
Use Voicethread to Merge Audio-Based Chat with Interactive Media for Dynamic
Online Multimodal Teaching and Learning
Janet Holland, Emporia State University
84
Academic Honesty in Internet and Classroom Testing
Bryan Hoyt, Ilie Puiu Vasilescu, The University of Virginia’s College at Wise
93
Combating Childhood Obesity in Louisiana: Coordinated School Health Approaches
Praphul Joshi, Holly K. Howat, University of Louisiana at Lafayette
100
Special Equipment Use among Frail Elders with Family Caregivers
Suk-Young Kang, Randy Basham, University of Texas at Arlington
107
Regarding the Self: A Longitudinal Examination of Attitudes from 1990 to 2010
Concerning the Nature of the Self
Allen Francis Ketcham, Martin Brittain, Frank Taylor, Texas A&M University
Jeffrey Schulz, Central Community College
118
The Phantom and Foucault: Paper Faces on Parade
William Kirtley, Central Texas College
134
Family Hierarchy, Family Structure, and Values Transformation
Peter Kwok Chei Li, The University of Akron
140
Ethnic Conflict and Democracy: How to Promote Democratic Consolidation
in Guatemala
Jadon Marianetti, University of West Georgia
150
Too Young to Die? The Evolving Views of the Supreme Court of the United States
on the Death Penalty for Juvenile Offenders
Joseph A. Melusky, Saint Francis University (PA)
161
Higher Education: Generational Perceptions of Faculty/Student Classroom Behaviors,
Attitudes, and Technology Integration
Pamela E. Monk, E. Jane Irons, Nancy Leffel Carlson, Edythe Kirk,
LuAnna M. Stephens, Kay Abernathy, Lamar University
174
An Experiment Induced Five Attitudinal Conditions that were Contrasted with
Four Musical Manipulations to Determine Their Impact on Cognitions
Carol A. Puthoff Murray, Edward J. Murray, Joseph Detnerski,
Kent State University at Ashtabula
181
Still Yet another Tale of Horror in Acadumbia
Lem Londos Railsback,
Railsback and Associates Integrated Systems Engineering for Schools (Raises)
191
Understanding Why Constitutionally Speaking the Judicial Branch is the
Least Powerful Branch of the National Government
Darrial Reynolds, South Texas College
203
Assessing Students’ Reactions to Film and TV Portrayals of Nurses, Their
Profession, and Their Image in Society
Dianna Lipp Rivers, Kenneth Troy Rivers, Brenda S. Nichols, Lamar University
211
Strategic Planning For Successful Non-profits
Ronald Tarullo, California University of Pennsylvania
Raymond Pisney, Aura International
Bernard Arenz, Fresno State University
Fernando Padro, Cambridge College
220
College Faculty Performance Appraisal: Questions Concerning the use of
Student Ratings
R. Wade Wheeler, Texas State University, San Marcos
228
Principals’ Perceptions of the Influence of Ethics Content in Leadership Preparation
J. Kenneth Young, Jason Mixon, E. Jane Irons, Lamar University
241
Educators’ Knowledge of the CHC Theory
& Appropriate Interventions
Dwane Allen
Lloyd Kinnison
Joel Battle
Tammy Stephens
Texas Woman’s University
Kristi Westendorf
Kourtney Jones
Texas Woman’s University
1
Abstract: Results of survey data from junior and senior students majoring in education
regarding knowledge of the Cattell Horn Carroll Theory, Information Literacy, and Appropriate
Interventions for public school instruction.
INTRODUCTION & PURPOSE
Individuals with Disabilities Improvement Act (IDEIA; 2004) require educators to
provide evidence-based instruction for students with disabilities. A review of present practices
suggests that educators are adopting and implementing programs (interventions) based on the
recommendations of publishers, research literature, and internet sources. For example, rather
than select a battery of tests to find an answer to a student’s learning problem, assessment
personnel will probably give one test(e.g., Woodcock Johnson: Cognitive and Achievement
Tests). Within the past ten years assessment personnel have adopted the practice of taking
recommendations from published texts that fit certain sets of test score or profiles (Kamps &
Greenwood, 2003). Schultz and Stephens, (2008) suggested that specific Cattell Horn Carroll
(CHC) factors relate to reading, math or learning sets. Subsequently, the recommendations made
by assessment personnel began to advocate underlying cognitive skill strengths and weaknesses
of a given student (Schultz & Stephens, 2008). The recommendations for intervention based on
CHC theory raises important questions. Do general and special education teachers have the
knowledge and training to choose and implement a strategy for which they may have the
necessary prerequisite information? Does the recommendation meet the criteria of IDEIA
requiring that students receiving special education have specifically designed evidence-based
instruction delivered by the teacher that matches the student’s unique learning needs? Do general
and special education teachers understand the significant evidence based instruction and
information literacy for students with special needs?
REVIEW OF LITERATURE
The Individuals with Disabilities Education Act (IDEA) of 1997 was reauthorized in
2004 and renamed The Individuals with Disabilities Education Improvement Act (IDEIA). The
reauthorization included some major changes in the way educators determine whether a child has
a disability and in the development of transition services (Russo, Osborne, & Borreca, 2005)
Response-to-Intervention (RTI) strategies, encouraged via IDEIA (2004), has stimulated interest
in providing early and intensive intervention services to children at risk for academic problems
Kamps, Greenwood, Crockett, & Swaggart, 2003). RTI is based upon the best practices of prereferral intervention and provides school personnel the liberty to function within an intervention
framework (Kinnison, Gibson, & Stephens, 2007). RTI strategies enable educators to target
instructional interventions to children in areas of specific need as soon as those needs become
apparent (IDEIA; Office of Special Education, 2007). Prior to the IDEA reauthorization in 2004,
many states have required assessment specialists to use an Intelligence Quotient (IQ) and
Achievement Discrepancy model to determine eligibility for children with Specific Learning
Disabilities (SLD). In this model, a student would be given both a cognitive and an achievement
assessment. Once the scores were compiled, the assessment specialist would compare the full
scale IQ with the standard scores obtained on the achievement test to look for a discrepancy
between the scores. The state of Texas required a 16 point discrepancy between the full scale IQ
score and achievement scores in any given area (e.g., basic reading, reading comprehension,
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math calculations, math reasoning, written expression, oral expression, and listening
comprehension) for it to be considered an area of learning disability (Kinnison, Gibson, &
Stephens, 2007). With this particular model, it is not always apparent whether learning problems
are from a disability or a lack of adequate instruction (Russo, Osborne, & Borreca, 2005; The Iris
Center, 2008). More importantly, the assessments results from the discrepancy model do not
necessarily provide information that can be used to determine appropriate interventions and
future instruction for the student (Stephens, Kinnison, Naquin & Rueter, 2007).
In light of the aforementioned weaknesses in the IQ-achievement discrepancy model,
many educators are now being required to determine eligibility for learning disabilities by
analyzing cognitive strengths and weaknesses (Dehn, 2006; Schultz & Stephens, 2008). Floyd,
Evans and McGrew (2003) pointed out that the information regarding a student’s strengths and
weaknesses could be used to make educational interventions and curriculum adjustments. A
possible alternative includes the use of the Cattell-Horn-Carroll Theory (CHC) as an analytical
model for identifying cognitive processing deficits and as pre-referral system for response to
intervention strategies. The model is a combination of Horn and Cattell’s Gf-Gc model and
Carroll’s three-stratum theory (McGrew, 2008).
Under IDEA 2004, students with special needs are required to have transition services by
the age of 16; however, the success rates for students with special needs transitioning from high
school to post-high school opportunities have been less than stellar. A recent focus on greater
school responsibility for the post-school life of students who have disabilities has resulted in new
transition requirements. As we transition from an industrial to an information age, the invention
and innovation fueled by modern science and technology have created a world of ubiquitous
communication. The beginning of the 21st century has been called the Information Age because
of the explosion of information output and information sources. Information Literacy (IL) can
take on many forms depending on collaboration with teachers as well as the expertise and
confidence of the different stakeholders. Schrank and Wendling (2008) suggested that an
analysis of each of the seven CHC broad abilities provides a profile of the one’s cognitive
strengths and weaknesses, which in turn can be used to identify appropriate classroom
interventions and accommodations. Specifically, research has shown a correlation between the
seven broad abilities of the CHC theory, specific academic skills, and profiles indicative of
students with learning challenges (Mather & Wendling, 2005). These seven cognitive abilities
can also be used to determine students who are not prepared to be information literate. Too often
we assume that as students with learning disabilities complete academic objectives within an
Individualized Education Plan (IEP) that these same students are also able to utilize the internet
to search for information, and utilize this information in a manner that will equip them to be
successful after high school. It has become increasingly clear that as students with disabilities
transition beyond the K – 12 environments significant academic and cognitive weaknesses still
exist which contributes to significant deficits with information literacy skills. Information
Literacy (IL) is a vital basic skill for students in the 21st century. IL equips them with the critical
skills necessary to become independent lifelong learners.
To be information literate, a person must be able to recognize when information is
needed and have the ability to locate, evaluate, and use the information effectively (American
Library Association Presidential Committee on Information Literacy, final Report, 1989, p.1).
Whether information comes from a computer, book, government agency, film, conversation,
3
poster, or any number of other possible sources, inherent in the concept of IL is the ability to
dissect and understand what we see on the page, television screen, posters, pictures, and other
images, as well as what we hear. If we are to teach IL, we must teach students to sort,
discriminate, select, and analyze the array of messages that are presented (Lenox & Walker,
1992). In terms of cognitive and academic skills required for individuals to be considered IL, this
is new ground. This research will serve as a case study for integrating IL skills into educating
students with disabilities.
METHODOLOGY
A non-experimental design utilizing survey methodology was utilized within this study.
Respondents consisted of a nonrandom sample of 26 volunteer junior and senior level college
students preparing to be teachers from a university in the Dallas/Fort Worth metroplex.
DATA COLLECTION
The researchers delivered 42 survey instruments using a likert scale, ranging from -2 to +2
indicating “strongly disagree” to “strongly agree, to the professors of junior and senior level
students majoring in education. Each professor was instructed to brief their students on the
purpose of the research. Twenty-nine surveys were returned, yielding an overall return rate of 69
percent.
ANALYSIS AND RESULTS
Research Question 1: Do general and special education teachers have the knowledge and
training to choose and implement a strategy for which they may have the necessary prerequisite
information? Means were calculated to examine educator’s perceived knowledge of the CHC
theory and implementation strategies. Participants reported the lowest mean scores on survey
items requesting a response on perceived training competence using the CHC to identify students
with learning disabilities (M= -1.34, SD = .936) and using the CHC to identify students’
cognitive strengths and weaknesses (M= -1.34, SD = .936) indicating the approximately 70% of
all respondents scores ranged from the strongly disagree to disagree ranges.
Research Question 2: Do educators’ recommendations meet the criteria of IDEIA that
students receiving special education have specifically designed evidence-based instruction?
Means were calculated to examine educators’ perceived knowledge of the CHC theory and
selecting evidenced-based instruction that matches the student’s learning needs. On the survey
item requesting whether participants use the CHC theory to make recommendations for
interventions and accommodations to pre-referral and ARD committees, results indicated a range
of scores from the strongly disagree to the neutral ranges (M= -1.10, SD = 1.29).
Research Question 3: Do educators have the knowledge and training necessary to
implement strategies that will enhance students with disabilities understanding of information
literacy (IL)? Percentages were calculated to examine educators’ perceived knowledge of the
CHC theory and information literacy. On the survey item requesting knowledge of CHC and
4
Information Literacy, less than 15% reported having an adequate understanding of either CHC or
IL concepts.
IMPLICATIONS
Response to Intervention strategies (RTI), encouraged via IDEIA (2004), has stimulated
interest in providing early and intensive intervention services to children at risk for academic
problems (Kamps & Greenwood, 2003). Research indicates that an analysis of each of the CHC
abilities provides a profile of one’s cognitive strengths and weaknesses which in turn can be used
as classroom interventions and accommodations (Dehn, 2006; Schrank &Wendling,
2005;Schultz & Stephens, 2008). Based on the current study results, individuals preparing to be
teachers are not equipped to provide intervention services to children at risk or children within
special education programs. In addition, our system assumes that our teachers are preparing
students with disabilities to be information literate (IL) which may be one of the most important
skill-sets after high school. Despite the vision of RTI and the reauthorization of IDEIA, future
educators do not appear prepared to implement evidenced based interventions or prepare students
for successful careers after high school to the extent described with the law. Additional research
on evidenced based interventions and their impact on information literacy and transition plans
are needed.
LIMITATIONS
When interpreting the results of this study, the following limitations should be
considered: The sample population was from the North Texas metroplex and may not generalize
to other areas. Responses are of individual teacher perceptions and may be biased. The responses
were collected at one point in time.
5
REFERENCES
Applin, Mary Beth. (1999). “Instruction Services for Students with Disabilities,” Journal of
Academic Librarianship 25:139-41.
Dehn, M. J. (2006) Essentials of processing assessment. Hoboken, New Jersey: John Wiley &
Sons, Inc.
Floyd, R.G., Evans, J.J., & McGrew, K.S. (2003). Relations between measures of Cattel-HornCarroll (CHC) cognitive abilities and mathematics achievement across the school-age
years. Psychology in the Schools, 40, 155-171
Kamps, D., Wills, H., Greenwood, C., Thorne, S., Lazo, J., Crockett, J., McGonigle, J., &
Swaggart, B. (2003). Curriculum influences on growth in early reading fluency for
students with academic and behavioral risks: A descriptive study. Journal of Emotional
and Behavioral Disorders, 11, 211-224.
Kinnison, L., Gibson, S., & Stephens, T. (2006). Discrepancies in the criteria for specific
learning disability: A state-by-state comparison. The DiaLog, 35(2), 8-14.
LOEX. National LOEX Library Instruction Conference, 1989. Reaching and Teaching Diverse
Library User Groups. 16th Annual LOEX Library Instruction Conference, edited by Teresa
Mensching. Ann Arbor, MI:Pierian Press.
Mather, N., & Wendling, B. (2005). Linking cognitive assessment results to academic
intervention for students with learning disabilities. In Flanagan, D.P., Harrison, P. L.
(Eds.). Contemporary intellectual assessment: Theories, tests, and issues. New York, NY:
Guilford Press.
McGrew, D. (2008). Using CHC Theory to Link Assessment to Interventions, National
Association of School Psychology Workshop, New Orleans, La.
Norlin, Dennis A. (1992). “We’re Not Stupid You Know: Library Services for Adults with
Mental Retardation.” Research Strategies 10 no. 2:56-68.
Russo, C., Osborne, A., & Borreca, E. (2005). The 2004 re-authorization of the Individuals with
Disabilities Education Act. Education and the Law, 17(3), 111-117.
Schrank, F. A. & Flanagan, D. P. (Eds.). (2005). WJ III clinical use and interpretation: Scientistpractitioner perspectives. New York: Academic Press.
Schultz, E., & Stephens, T. (2008). Specific learning disability identification: An analysis of
state policies. Academic Exchange Quarterly, 13(4).
Stephens, T., Kinnison, L., Naquin, G., & Rueter, G. (2007). The changing roles of educational
diagnosticians with a response-to-intervention framework in the identification of students
with specific learning disabilities. The DiaLog, 36(2), 16-20.
6
Assessing Preservice Teachers’ Technological
Confidence and Competence
Jane Andrews
Barbara Crossland
Terry Lovelace
Northwest Missouri State University
7
Teaching in the twenty-first century requires more than “reading, ‘riting, and ‘rithmetic.”
The impact of instructional technology in K-12 classrooms cannot be ignored. Elementary
students today need to learn how to survive and thrive in a technological world. Therefore, their
teachers must be prepared to integrate and implement instructional technology in the lessons they
teach (Rizza, 2000).
There are many initiatives aimed at infusing technology into teacher education programs.
Standards developed by the International Society for Technology in Education (ISTE) and
recommendations by the National Council for the Accreditation of Teacher Education’s
(NCATE) Task Force on Technology in Teacher Education are only a beginning (Beyerback,
Walsh, & Vannatta, 2001).
Preservice teachers are adept at using technology in their personal lives; text messaging,
blogging, Twittering, Facebook, and e-mailing are common modes of communication for
traditional-age preservice teachers. However, during a study conducted by Allsopp, McHatton,
and Cranston-Gingras (2009), several group projects were assigned with many technological
avenues available to assist student collaboration (discussion boards, chat rooms, video
conferencing, etc.). None of the students took advantage of these options. Instead, several
students later indicated that the group projects were difficult to complete due to lack of face-toface time with group members.
Given their familiarity with technology, and their almost constant use of technology, why
are many preservice teachers reluctant to incorporate technology in their own classroom
instruction? Rizza (2000) suggests that computers, although common today, still hold a certain
air of mystery for preservice teachers. Researchers have found that self-efficacy as a computer
technology user is a critical factor in teachers’ decisions to integrate technology in their
classrooms. One’s feeling of competence has a direct impact on one’s self-efficacy and
engagement with the task. Self-efficacy, according to Imants and Tillema (1995), is the key to
understanding transfer in teacher professional development. Rizza (2000) found that making
connections to established skills and reinforcing those skills helps preservice teachers understand
that their prior knowledge is useful, builds their self-confidence, and empowers them to
incorporate technology in teaching. However, preservice teachers need to be guided in making
the necessary connections that aid in transfer.
The incorporation of technology in classroom instruction requires more than computer
training. It is equally important to enhance preservice teachers’ perceptions of their own abilities
and of how to incorporate technology into the heart of the lesson. Yu-Mei Wang (2002) noted
that many preservice teachers are naïve about how computers and other technology can be used
to teach. Not only does the teacher have to learn how to use technology, he/she has to shift roles
from “the sage on the stage” information dispenser to “the guide on the side” coach.
Beyerback, Walsh, and Vannatta (2001) studied preservice teachers’ perceptions about
gaining technological competence and infusing technology in the classroom. Their perceptions
fell into several categories:
• “We have no choice.” Preservice teachers believed that knowledge of technology was
essential for the teaching job market.
• “I need step-by-step instruction.” Preservice teachers appreciated opportunities for
hands-on learning.
• “Collaboration is essential.” Preservice teachers believed collaboration with peers
was the key to learning technology.
8
•
“Technology is wonderful.” Most preservice teachers believed technology was the
key to enhancing their own teaching.
• “Before I thought…and now…” Preservice teachers drastically changed their vision
of using technology in the classroom.
According to Allsopp et al (2009), the three factors critical to the implementation of
instructional technology are
• professional development,
• teacher self-efficacy, and
• positive attitudes toward technology.
Teacher education programs can help preservice teachers acquire these critical factors by
including hands-on experiences with computer technology in practicum courses. As preservice
teachers gain increased experience with a greater variety of computer technology in practicum
courses, they will increase their confidence about their instructional technology skills. The
increase in self-efficacy will support increased incorporation of technology in elementary
classrooms, resulting in a win-win situation for teachers and students.
In the current research study, elementary education preservice teachers enrolled in social
studies and reading methods courses responded to the MITTEN Technology Survey (Taynor &
Duran, 2006) the semester prior to participating in a content practicum in the university lab
school. Best practices, including use of instructional technology as a means of providing ageappropriate, engaging instructional activities to elementary students, were emphasized in both
methods courses. However, direct observation of pre-service teachers in the content practicum
course prior to the implementation of this study demonstrated that preservice teachers rarely
implemented instructional technology.
The investigators questioned whether or not mandating preservice teachers’
implementation of instructional technology as a requirement for successful completion of the
content practicum course would improve preservice teachers’ self-efficacy and increase the
frequency of use of instructional technology in the preservice teachers’ lessons. This pilot study
focused on determining the impact of mandated inclusion of technology on the attitudes and
implementation of technology in a content practicum course.
Method
Participants
Seven female preservice teachers (M age, 22.5 years; chronological age range: 21-10
through 23-8) participated in this pilot study. The preservice teachers completed three
prerequisite content methods courses (math, science, and social studies) prior to enrolling the
content practicum.
Materials and Procedure
The MITTEN Technology Survey was administered to the preservice teachers the
semester prior to their participation in the content area practicum course. Each item on the survey
requires two answers. Each preservice teacher rated to what degree an instructional technology
competency was within his/her "comfort zone" using the following scale:
1 = Very anxious or even afraid of
2 = Reluctant
3 = Ambivalent
4 = Comfortable
5 = Eager
9
Each preservice teacher also indicated the frequency or degree to which he/she employed or used
or did the instructional technology competency or tool or task using the following scale:
1 = Never
2 = Seldom or monthly
3 = Occasionally or weekly
4 = Often
5 = Daily
Preservice teachers were assigned to kindergarten-sixth grade classrooms in the
university laboratory school where they participated two hours per day five days per week for
seven weeks. On average, preservice teachers taught 50 minutes per day, with the remaining time
in the classroom spent observing the classroom teacher and planning instruction. The survey was
re-administered after the practicum was completed in order to measure changes in pre-service
teachers’ perceptions and actual use of technology. Confidentiality was maintained as students
were identified by initials and date of birth throughout the study. The university instructor mandated use of instructional technology during the practicum.
Results
Data was analyzed using Student’s t-tests. Results of the MITTEN Technology Survey
indicate that preservice teachers’ comfort level helping students operate a variety of hardware
tools (computers, LCD projectors, scanner, etc.) significantly improved by the end of the
practicum experience (before practicum M = 3.14, SD = 0.90; after practicum M = 4.43, SD =
0.79; t(6) = 3.06, p < .01). The frequency of helping students operate a variety of hardware tools
significantly increased by the end of the content practicum (before practicum M = 3.14, SD =
1.57; after practicum M = 4.29, SD = 0.95; t(6) = 1.64, p < .05).
Teacher candidates felt significantly more comfortable helping students use video
hardware and software in engaging, constructive ways (not passive viewing) by the end of the
content practicum (before practicum M = 2.05, SD = 1.17; after practicum M = 3.13, SD = 0.96;
t(6) = 2.71, p < .01). The frequency of helping students use video hardware and software in
engaging, constructive ways (not passive viewing) significantly increased by the end of the
content practicum (before practicum M = 2.29, SD = 1.11; after practicum M = 3.29, SD = 0.76;
t(6) = 2.05, p < .04).
By the end of the practicum experience, preservice teacher felt significantly more
comfortable helping students become skilled at developing technology-enriched learning
activities that are authentic, multidisciplinary, and standards-based (before practicum M = 2.8,
SD = 0.90; after practicum M = 4.43, SD = 0.63; t(6) = 3.67, p < .01). In addition, the frequency
of helping students become skilled at developing technology-enriched learning activities that are
authentic, multidisciplinary, and standards-based increased significantly (before practicum M =
2.57, SD = 0.98; after practicum M = 3.29, SD = 0.76; t(6) = 1.99, p < .05).
Preservice teachers were significantly more comfortable helping students utilize
technology-enriched instructional activities in which learning was highly interactive and
responsive to elementary students’ needs by the end of the practicum (before practicum M =
2.86, SD = 0.90; after practicum M = 4.57, SD =.53; t(6)= 4.07, p < .003). The teacher
candidates helped students utilize technology-enriched instructional activities in which learning
was highly interactive and responsive to elementary students’ needs significantly more often, as
well (before practicum M = 2.43, SD = .98; after practicum M = 3.29, SD = .76; t(6) = 2.52, p <
.02).
10
The preservice teachers became significantly more comfortable helping elementary
students understand how to create a classroom environment in which technology was a shared
responsibility, use of technology was transparent, and teacher direction was limited (before
practicum (before practicum M = 2.57, SD = 1.13; after practicum M = 4.57, SD = .79; t(6) =
3.83, p < .001). There was a significant increase in the teacher candidates’ frequency of helping
elementary students understand how to create a classroom environment in which technology was
a shared responsibility, use of technology was transparent, and teacher direction was limited
(before practicum M = 2.0, SD = 1.15; after practicum M = 4.0, SD = .82; t(6) = 3.46, p < .01).
Preservice teachers’ comfort understanding and using technology to maximize student
learning significantly increased by the end of the content practicum (before practicum M = 3.43,
SD = .98; after practicum M = 4.43, SD = .79; t(6) = 2.65, p < .02). There was a statisticallysignificant increase in the teacher candidates’ frequency using technology to maximize
elementary students’ learning (before practicum M = 2.43, SD = .98; after practicum M = 3.57,
SD = 1.27; t(6) = 2.49, p < .02).
The 10 preservice teachers used instruction technology an average of 19 times during the
content practicum.
Discussion
Results of this study support mandating instructional technology during preservice
teachers’ completing of the content practicum, given the statistically-significant changes in
preservice teacher’s reported self-efficacy and frequency of inclusion of instructional technology
in content area lessons. Questions to consider in future studies include:
• Will preservice students’ attitudes toward technology and use of technology change
voluntarily, or is a mandate required in the syllabus of practicum courses?
• Can mandating use of technology by preservice teachers change the beliefs and
practices of lab school teachers?
• Would preservice students’ attitudes toward technology and use of technology change
if the instructor of the Computers in Education course met with faculty and lab school
teachers to review use of technology in the practicum courses?
Faculty members of the Department of Curriculum and Instruction are committed to
helping preservice elementary teachers become networked teachers of the 21st century who are
prepared to integrate and implement instructional technology in the lessons they teach, have
developed strong self-efficacy, and feel empowered to incorporate instructional technology in
teaching.
11
References
Allsopp, D., McHatton, P., & Cranston-Gingras, A. (2009). Examining perceptions of systematic
integration of instructional technology in a teacher education program. Teacher
Education and Special Education, 32(4), 337-350.
Beyerbach, B., Walsh, C., & Vannatta, R. (2001). From teaching technology to using technology
to enhance student learning: Preservice teachers’ changing perceptions of technology
infusion. Journal of Technology and Teacher Education, 9(1), 105-127.
Rizza, M. (2000). Perspectives on preservice teachers’ attitudes toward technology. The Teacher
Educator, 36(2), 132-147.
Taynor, J. A., & Duran, M. (2006). Teaching social studies with technology: New research on
collaborative
approaches.
The
History
Teacher,
40.
Retrieved
from
http://www.historycooperative.org/journals/ht/40.1/taylor.html
Wang, Y. (2002). When technology meets beliefs: Preservice teachers? Perception of the
teacher’s role in the classroom with computers. Journal of Research on Technology in
Education, 35(1), 150-161.
12
Herbert Hoover Reexamined
Mark S. Bellnap
Embry-Riddle Aeronautical University
13
Introduction
This paper will not change how historians or other scholars rank Herbert Hoover in terms of
how he handled the economy during his presidency. The 2009 C-SPAN poll of historians ranked
Herbert Hoover as 41st out of 42 presidents on economic management during their presidency. It
seems unlikely that this ranking will change much over time. Perhaps the kindest comments
from historians and scholars it that Herbert Hoover pursued many policies that some economists,
bankers, and business leaders considered proper policies to counter the effects of a depression
during that era.
Historians and others will forever discuss what caused the great depression. The great
depression officially began in 1929 through 1933 (Taylor). Some proposed causes include the
stock market crash of 1929, the banking crisis of the early 1930’s, the Smoot Holley Tariff, high
interest rates, a worldwide economic collapse, US Federal Reserve monetary policy, and
adherence to the gold standard. All of these events or policies contributed in some measure to
the magnitude of the great depression.
Professor Timothy Taylor provides critical statics during the great depression time period.
The economy shrunk by some 30%, after adjusting for inflation and price levels fell by 33%.
Unemployment was 32% in 1929, 25% in 1932, and 14% in 1940. Unemployment in the
automobile industry was 50% and there were approximately one million homeless people.
The purpose of this paper is to review and analyze one single policy promoted by Herbert
Hoover to counter the effects of the great depression. That policy was to maintain the gold
standard. This review and analysis is conducted within the context of the business environment
to help determine whether this policy pursued helped to counter the ill effects of the great
depression.
The Gold Standard
Many of the industrialized western countries adopted the gold standard in the late eighteen
hundreds and then left it during the mist of the great depression. Many of these same countries
left the gold standard temporarily during World War I, but returned to it after the war. The
operating rules of the gold standard include:
1. Each country guarantees a specific exchange rate between their currency and gold. However,
a guaranteed, unchanging, and specific exchange rate seems to adversely affect the purchase
power parity between currencies. The thought process being that if the exchange rate is three
British Pounds for four United States Dollars, then what can be purchased in England with three
British Pounds, would equal what could be purchased in the United States for four United States
Dollars.
In a practical sense purchase power parity does change over time. Causes include inflation
rates, interest rates, and government subsidies. Any of these causes may affect the relative
purchasing power between one currency and another.
2. Individuals can own and exchange gold, just like the central banks of each country.
14
3. Each country must maintain a specific gold reserve in relation to the amount of currency it
issues. For the United States, at the beginning of the great depression, the Federal Reserve Bank
was to hold gold equal to no less than 40% of the Federal Reserve Notes in circulation (Hoover,
1952).
4. When gold reserves fall below the level required in relation to the currency at large, then the
country should reduce the amount of currency issued, deflating the economy, and therefore
making exports more attractive (Kennedy, 1999). It could also raise the interest rates with the
intent of attracting gold back into the country. The implication here is that a country would not
devalue the currency to affect the exchange rate, but rather deflate the local economy or
adjusting prices (Temin, 1991).
The proponents of the gold standard cite many logical reasons a country should stay on and
maintain the gold standard. Among these include that the gold standard provide a safety net for
businesses operating in the international environment. For example, if an American firm wanted
to sell products in England it would receive British Pounds for those products. The American
firm could then exchange those pounds to the British Central Bank for gold and the exchange the
gold to the US Central Bank for US Dollars. Probably more realistically, since the exchanges
were guaranteed, individuals or firms could exchange one type of currency for another type of
currency in an exchange rate equal to the pegged gold price.
With currency guaranteed an exchange rate, a business would know exactly how much to sell
these products for in a foreign country in order to breakeven and therefore make a profit.
Without fixed exchange rates the American firm would be at risk of losing its profit with the
exchange of currency, as the currency exchange rates fluctuated.
From World War I to the Great Depression
In the midst of a war, countries often change their priorities. The United States choose to
leave the gold standard in 1917 and by raising taxes, selling bonds, and engaging in deficit
spending, raised money to assist their efforts in fighting World War I. For the United States the
tenets of the gold standard were largely ignored until the United States returned to the Gold
Standard in 1919.
Many of the industrialized Western European countries left the gold standard during World
War I and found that the transition back to the gold standard was not easy. Debt, inflation,
printing money, reparations, and war torn economies made the transition difficult. By the mid
1920s the gold standard had been reestablished by many nations in Western Europe only to
depart from the gold standard in the early 1930s.
In May 1931, a run on Austrian Banks resulted in the abandonment of currency exchange for
gold. In August 1931 Germany also faced a run on Banks and the government attempted to
prevent the exodus of capital by establishing exchange rates for currency and the free trade of
gold was eliminated. By September 1931 bank failures and capital flight resulted in Britain
leaving the gold standard and devaluing their currency (Baker, 1990). For all of these countries,
15
leaving the gold standard seemed like a better option than deflating their already depressed
economy. Trade and commerce took precedence over monetary policy.
Those countries that did not depart from the gold standard found that the depression lasted
longer than those countries that did (Friedman and Schwartz, 2008). In non gold standard
countries, falling consumer good prices reached equilibrium with demand. This resulted in
increased sales. While such sales increased eased the ill effects of the depression, they did not
eliminate the effects of the depression
Despite the departure from the gold standard by many countries, President Hoover maintained
his support of the gold standard (Schlesinger, 1957). President Hoover felt that adherence to the
gold standard was necessary to maintain sound monetary policy. In regards to much of Europe
leaving the gold standard President Hoover said, “The whole process is a terrible destruction of
world trade. No merchant could know what he might receive in payment by the time his goods
were delivered” (Hoover, 1952, P. 66).
After World War I the United States became primarily a creditor nation. In addition, the
economy was booming. Approximately 40% of the worlds gold reserve made its way to the
United States Federal Reserve. The United States was insulated, for a brief period of time, from
the economic hardships much of the world was grappling with.
The Failure of the Gold Standard
After World War I many countries returned to the gold standard. Some of these countries
tried to establish and maintain the same exchange rate that existed prior to World War I.
Inflation, terms of trade, and interest rates are just some of the factors that affected countries
differently. As such, maintaining pre-World War I rates rendered some currencies undervalued
and others overvalued.
By 1930 much of the world and many Americans were losing confidence in the monetary
policy of the United States. Between 1929 and 1931 about one fourth of the banks in the United
States failed (Hoover, 1952). Americans were exchanging their currency for gold and foreign
interests were also exchanging their United States currency for gold.
With cash reserves decreasing, banks had less money to lend which by necessity would put
them in a position to increase interest rates on loaned money to cover their internal operating
costs. That is, banks pay interest to depositors and receive a higher rate of interest when those
funds are loaned to individuals or businesses. For the bank to remain profitable the difference
between those two interest rates would have to be sufficient to cover all other bank costs, e.g.,
loans, both principal and interest, to foreign concerns where the country left the gold standard,
fixed costs, variable costs other than interest paid to depositors, and interest paid to depositors
for any funds that had not been loaned.
The implications here are that bank interest rates to borrowers rose as a result of a decreased
supply of money completely independent of the Federal Reserve discount rate. However, by the
rules of the Gold Standard the Federal Reserve raised the discount rate in order to maintain the
existing gold inventory and attract gold to the United States. By raising the discount rate, banks
16
were required to pay more interest from money borrowed from the Federal Reserve and such
increases was passed on to their borrowers of money from the banks.
American business firms experienced the adverse impact of interest rates. With sales
revenues reduced, the total contribution margin was decreasing as well. Contribution margin is
what is used to pay the fixed cost and then remaining contribution margin is profit. Fixed costs,
within the relevant range, do not change with regard to activity or product output. Interest
payments at any rate reduce the available contribution margin and subsequently profit. Higher
interest rates reduce profit even more.
With unemployment high, uncertainty with the future, and sales revenues decreased, neither
individuals nor businesses wanted, or could, borrow money with high interest rates. Many
inventory purchases, business expansions, equipment upgrades, and infrastructure improvements
were postponed or did not take place at all.
Conclusion
During the great depression President Herbert Hoover promoted the policy for the United
States to stay on the gold standard. The analysis and evidence does suggest that this policy did
little, if anything, to negate the effects of the great depression on the business environment.
The analysis and evidence does imply that this policy may have made recovery from the great
depression more difficult for the business environment. Maintaining the gold standard did result
in the Federal Reserve increasing the discount rate. This increase adversely effected business
operations. However, it is not clear as to the full magnitude of maintaining the gold standard
had on prolonging or exacerbating the great depression.
References
Baker, Stephen A. (1990). An Introduction to International Economics. Harcourt
Brace Jovanovich, Publishers. 252 and 253.
C-SPAN. (2009). C-SPAN 2009 Historians Presidential Leadership Survey Economic
Management. Retrieved November 30, 2009, from
http://www.cspan.org/PresidentialSurvey/Economic-Management.aspx.
Friedman, Milton and Schwartz, Anna Jacobson. (2008. The Great Contraction 1929-1933.
Princeton University Press. 111.
Hoover, Herbert C. (1952). The Memoirs of Herbert Hoover The Great Depression 1919-1941.
The Macmillan Company. 23, 66 and 116.
Kennedy, David M. (1999). Freedom From Fear. Oxford University Press. 75.
Schlesinger, Arthur M. Jr. (1957). The Crisis of the Old Order 1919-1933. Houghton Mifflin
Company. 232-233.
17
Temin, Peter. (1991). Lessons from the Great Depression. The MIT Press. 9.
Taylor, Timothy. (Speaker). (1996). The Depression Decade of the 1930s. Course
Number 529A. The Teaching Company.
Bibliography
Barck, Oscar Theodore Jr., and David Wise. (1974). Since 1900: A History of the
United States in our Time. (5th Ed.). Macmillan Company.
Eichengreen, Barry. (1995). Golden Fetters The Gold Standard and the Great
Depression 1919-1939. Oxford University Press.
Fausold, Martin L. (1985). The Presidency of Herbert Hoover. University Press of
Kansas.
Galbraith, John Kenneth. (1990). A Short History of Financial Euphoria. Penguin Book.
Galbraith, John Kenneth. (1997). The Great Crash 1929. Mariner Books.
Hoover, Herbert C. (1952). The Memoirs of Herbert Hoover The Cabinet & the Presidency
1920 -1933. The Macmillan Company.
Kindleberger, Charles P. (1086). The World in Depression 1929-1939. University
Of California Press.
Lewis, Nathan. (2007). Gold The Once and Future Money. John Wiley & Son.
Ritter, Gretchen. (1997). Goldbugs and Greenbacks. Cambridge University Press.
Skousen, Mark. (1996). Economics of a Pure Gold Standard. The Foundation for
Economic Education, Inc.
Sobel, Robert. (1975). Herbert Hoover at the Onset of the Great Depression, 1929-1930.
J.B. Lippincott Company.
Sobel, Robert. (1988). Panic on Wall Street. Truman Talley Books.
Wueschner, Silvano A. (1999). Charting Twenthieth-Century Monetary Policy.
Greenwood Press.
18
Big Screens, Fields, and Bridges:
The Savvy Use of Culturally Responsive Literature to Address
Social and Civic Issues in Elementary Classrooms
Sabrina A. Brinson
Missouri State University
Jeffrey M. Hawkins
Oklahoma State University
19
Abstract
The purpose of this paper is to provide educators (K-5) with strategies to utilize culturally
responsive children’s literature to address social and civic issues (e.g., classism, ageism, racism
and sexism) with students. One size fits few, so we offer three modes that include culturally
responsive literature, assistant technology, and a strategy for standards-based instruction that
integrates all of them. Also, a comprehensive bibliography of theme-based, culturally responsive
books and professional resources is disseminated for classroom and professional teaching
libraries.
Using Culturally Responsive Literature’s Power for Good
A primary objective of culturally responsive literature is to facilitate attitudes of respect and
acceptance for diversity; and, to ensure students are informed about the experiences of “more
than a handful” of individuals from diverse populations by showcasing both notable and little
known accomplishments. Stories play an important role in many cultures, weaving words into
lessons for daily life (Lilly & Green, 2004).
Children who are fortunate enough to be exposed to engaging stories cherish and remember
them, even through adulthood. Often they model main characters or act out central themes
(Brinson, 1997). It is also important for people to have lifelong experiences with literature that
provides windows to view others. People should also have lifelong experiences with literature
that provide mirrors to see those who are like themselves and their loved ones (Walters, 2002).
Bishop (1992) provided a compelling rationale for these points. If literature is a mirror that
reflects human life, then all children who read or are read to need to see themselves reflected as
part of humanity. If they are not, or if their reflections are distorted, there is the danger that they
will absorb negative messages about themselves and people like them. Those who see only
themselves or who are exposed to misrepresentations are miseducated into a false sense of
superiority, and the harm is doubled.
Culturally responsive books about social and civic issues can heighten students’ awareness about
the experiences of individuals striving for civil rights, equality, and social justice. These books
have the potential to illustrate struggles of inequality, methods of resolution in the past, and blue
prints to overcome them in the future. When teachers help children interpret stories like these,
children become aware of the problems and complexities of issues like inequality (Cowhey,
2006). For example, what do big screens, fields, and bridges have in common? Each of these
items was used ingenuously to chase away the isms of classism, ageism, racism, and sexism by
world changers like Anna May Wong, Louis Sockalexis, Martin Luther King, Jr., and Abraham
Joshua Heschel. Subsequently, students may be inspired to strive for equity and social justice for
all through exposure to powerful stories like the examples provided below:
Shining Star: The Anna May Wong Story by Paula Yoo (2009). After seeing a movie filmed
Anna May wanted to light up the screen in compelling roles. But, she struggled as an actor in
Hollywood because there were very few roles for Asian Americans, and many were demeaning
and stereotypical. Still, she gave her best performance in each limited part. After years of
unfulfilling roles, Anna May began crusading for more meaningful roles for Asian American
20
actors. As the first Chinese American movie star, Anna May Wong’s spirited determination in
the face of racism is inspiring to all who must conquer obstacles for their dreams to come true.
Louis Sockalexis: Native American Baseball Pioneer by Bill Wise (2009). Penobscot Indian
Louis Sockalexis fell in love with baseball at the age of 12. Louis honed his skills and dreamed
of joining a major league team. He faced jeers of teammates and taunts of spectators who
thought he had no place in a "white man's sport." Still, Louis made it to the major league
Cleveland Spiders as one of the first Native Americans to play professional baseball, but racism
followed. No matter, standing on the field with courage and dignity, Louis Sockalexis smashed
home runs and racial barriers.
As Good as Anybody: Martin Luther King and Abraham Joshua Heschel's Amazing March
toward Freedom by Richard Michelson (2008). Highlighted is the partnership between two great
civil rights leaders and what led them to walk together across the Edmund Pettis Bridge in the
1965 civil rights march from Selma to Montgomery, Alabama. Dr. King and Rabbi Heschel both
have parents who instill self-respect, both encounter hatred, and both follow their fathers into
religious careers. Heschel immigrated to America after he lost much of his family during the
Holocaust. Scenes of chaos during the march give way to the gorgeous closing image-King and
Heschel marching arm in arm. Stirring quotes, biographical facts, and the creed "You are just as
good as anybody," shows how the fight for human rights affects everyone and makes this a great
book for sharing and discussion.
Comprehensively, to give all students (K-5) a wealth of positive experiences as well as an
enlightened global perspective about social and civic issues, we highlight three modes below
including culturally responsive literature, assistive technology, and standards-based instruction
that can be used on a daily basis in elementary classrooms.
Mode One: Culturally Responsive Literature
Examining civic ideas and practices across time and in diverse societies helps students bridge the
gap between present practices and the ideals upon which our democracy was founded (National
Council for the Social Studies, 2003). Culturally responsive literature can simultaneously
spotlight our unique differences and common bonds. Likewise, it can facilitate proactive steps
towards global civil rights, equality, and social justice. For example, did you know that Soichiro
Honda’s dream of cars as a child in Japan inspired him to become a mechanic, the inventor of a
motorized bicycle, and a race car driver, which inspired him to manufacture race cars and
consumer cars as his Honda corporation grew into a global industry (Honda: The Boy Who
Dreamed of Cars by Mark Weston-2008)? Or, did you know that Wangari Maathai (2004 Nobel
Peace Prize Winner) planted one seed at a time to replenish the trees in her home village in
Kenya, which lead to her involvement in environmental conservation and tree planting as the
founder of the Greenbelt Movement Kenya for community involvement, as well as the Greenbelt
Movement International for global involvement (Unbowed: A Memoir by Wangari Maathai2007)? When students increase their knowledge of multicultural literature, they can develop a
heightened sensitivity to diversity issues and enhance their knowledge of other cultures and
introduce their future students to common bonds and differences between their culture and
different ones (Jetton, Savage-Davis, & Baker, 2009).
21
Notable literary awards like the following can aide in the selection of high-quality, culturally
responsive children's books to address various issues. American Indian Youth Literature
Award recognizes the best writing and illustrations by and about American Indians. Asian
Pacific American Award recognizes outstanding books written by an individual of Asian or
Pacific Islander descent. Carter G. Woodson Award recognizes authors of outstanding books
germane to social studies that treat topics related to ethnic groups of color with sensitivity and
accuracy. Coretta Scott King Award recognizes African American authors and/or illustrator
whose books promote an understanding and appreciation of the cultures of all people. National
Jewish Book Award recognizes distinguished children’s books that authentically and sensitively
express Jewish thought and experiences. Outstanding International Books recognizes stellar
books originally published in countries other than the United States and published then published
here. Pura Belpre Award recognizes authors and illustrators of Hispanic heritage who best
portray, affirm, and celebrate the Latino cultural experience in an outstanding work of children’s
literature.
Mode Two: Assistive Technology
Assistive technology is defined as any device used to promote the learning of children with
disabilities. Assistive technology includes a wide range of products and applications, from
simple to complex devices. Assistive technology enables children with disabilities to participate
in general classrooms and to learn skills and behaviors not previously thought possible. Male
(2003) reported that with the growing emphasis on inclusion of students with disabilities in
general education classrooms comes a growing responsibility to provide classrooms with tools
that deliver instruction in different modes and enables learners to demonstrate their learning in a
variety of ways. Educators are also obligated to consider assistive technology to accommodate
the particular needs and required resources for students with special needs (PL 105-394 The
Assistive Technology Act of 1998). In-depth knowledge and proficiency with assistive
technology devices like the examples provided below can aide increased use in classrooms.
Recommended Assistive Technology Tools
Assistive Technology Consideration Quick Wheel - Gives quick ideas for assistive technology
use to meet educational goals
Beacon-Ridge Color Me Storybook Packet - Emphasizes storytelling and handwriting
Bookworm - Records children's books
Braille Alphabet Bookmark - Embossed with the alphabet
Braille Alphabet Chart - Embossed with the alphabet
Braille Children’s Books - Composes children's books in Braille
Braille Flash Cards - Embossed with the alphabet
22
Braille Hand-held Labeler - Labels student work in Braille
Braille Name Cards - Prints names of classroom students in Braille
Braille Puzzles - Braille imprinted puzzle pieces
Braille Word Board - Spells out words and names via letter tiles
Braille Writing Slate - Facilitates writing in Braille
Headphones - Use for listening and reading comprehension
Large Print Keyboard Stickers - Bold print overlays make keys easier to see
Magnetic Storyboard - Sentence building board comes with loads of magnetic words that stick
to the board
Marks-A-Lot Whiteboard Eraser Set - Markers, eraser, and cleaner used for the whiteboard
Pocket PC & Keyboard - Hand-held computer & keyboard, battery, and charger
Quiktionary Reading Pen - Pronounces and spells words
Sorting Center - Hands-on way to master early math concepts from counting to sorting &
patterning
Switch Hopper - Provides a place to plug switches into a computer
Write and Wipe Lapboard - Skills builder
Mode Three: Standards-based Instruction
How can the social and civic issues be addressed via standards-based teaching? Brinson & Scott
(2004) offered a five step strategy for standards-based instruction that integrates literacy and
other content areas like social studies.
Step 1- Identify the Social Studies Standard. For example, consider the Thematically Based
Curriculum Standard X: Civic Ideals and Practices. Studying civic ideas and practices prepares
learners for full participation in society and is the main purpose of social studies. Examining
civic ideas and practices across time and in diverse societies helps learners bridge the gap
between present practices and the ideals upon which our democracy was founded (National
Council for the Social Studies, 2003).
Step 2-Choose high quality children’s books that address the topics of the content
standards in intriguing and interactive ways. Goin' Someplace Special by Patricia McKissack
is an outstanding culturally responsive book to use with fourth graders. As the sun shines
brightly 'Tricia Ann makes a firm decision. This is the day! She is determined to complete her
23
mission. Set in the segregated 1950s, this profile in courage features a young girl who surges
forth through hateful obstacles, determined to visit one of the few integrated places in town, the
public library. While reading this enlightening story students are gently made aware of past laws
of segregation and resulting issues of conflict.
Step 3 - Critically review the books for possible uses in teaching the reading content
standards. The book discussed above has textual features that are closely aligned with
Tennessee’s Reading standards. Content Standard 1.0 states: “The student will develop the
reading and listening skills necessary for word recognition, comprehension, interpretation,
analysis, evaluation, and appreciation of print and non-print text.” Goin' Someplace Special can
entice fourth graders into active involvement in the story with speculation about "someplace
special." As the story continues readers have opportunities to solve problems and resolve
conflict as the main character faces adversity on her trip to the local library.
Step 4 – Use a Whole-to-Part-to Whole (WPW) Approach (Reutzel & Cooter, 2003) to
generate social studies activities that help children learn the designated social studies
concepts. The reading of Goin' Someplace Special represents the W of Whole. For the
movement to Part, Goin' Someplace Special can kick off a school-wide drive lead by fourth
graders to get every eligible child and family member to obtain local library cards.
Step 5 – Use a WPW approach to generate reading or writing lessons that help children
learn the designated reading concepts. Goin' Someplace Special can facilitate discussions
about the importance of reading while it illustrates the value of available access to a wealth of
reading materials. Next, challenge students to conduct global investigations to identify and
participate in home-, school-, and community-based literacy endeavors (e.g., Boys Booked on
Barbershops/Girls Booked on Beautyshops and the National African American Read-In Chain).
Also, let students synthesize the information into abstracts and publish a resource guide for
school-wide dissemination. NOTE: Assistive technology can be integrated into the strategy as
needed. For example, the Quicktionary Reading Pen can enhance the reading process for
students who are English Language Learners and students with specific learning challenges.
SIP Some Powerful Literature
Multicultural literature is designed to give all children a SIP:
Strong Self-worth,
Information/Inspiration, and Pleasure (Brinson, 2002). Literature experiences can make students
feel good about themselves in every aspect of their development. Literature can stimulate a
lifelong thirst for learning and satisfy inquiries via active engagement. Literature can tap into
intelligences, strengths, and interests to advance thought-provoking competencies and
achievements. Literature can also uplift students in a gale of positive energy, amiable
perspectives, and good-humor (Brinson, 2009). Research on culturally relevant and responsible
instruction indicates that knowledge of students' family, community, and socioethnic cultures—
their languages, literacy practices, and values can help address the interests and build on the
skills of students (Abt-Perkins & Rosen, 2000). Overall, educators (K-5) should strive to build
anti-bias libraries that include a wide variety of inclusive books. As a result, the bibliography
and resources provided below is designed as an example to increase access to authentic voices in
literature. Namely, culturally responsive books with inspirational characters from diverse
24
populations can facilitate meaningful reading activities, help address social- and civic issues, and
enhance classroom and professional libraries.
Conclusion
Culturally responsive literature was featured in a variety of ways to maximize its use in
elementary classrooms. Foremost, culturally responsive literature was showcased as curriculum
to address inequalities with students via social and civic issues like classism, ageism, racism, and
sexism. Also, culturally responsive books were profiled to celebrate differences that make
individuals unique while strengthening common bonds that join us together. Besides, culturally
responsive literature was integrated with assistive technology to facilitate social studies standards
via a standards-based instruction strategy, while advancing the progress of students in inclusive
settings. Additionally, a theme-based bibliography of culturally and socially authentic literature
and resources are provided below to benefit K-5 populations.
Books Cited
Maathai, Wangari. Unbowed-A memoir. Anchor Books, 2007.
McKissack, Patricia. Goin' someplace special. Illus. Jerry Pinkney. Atheneum Books, 2001.
Michelson, Richard. As good as anybody-Martin Luther King and Abraham Joshua Heschel's
amazing march toward freedom. Alfred. A. Knopf, 2008.
Weston, Mark. Honda-The boy who dreamed of cars. Illus. Katie Yamasaki. Lee & Low
Books, 2008.
Wise, Bill. Louis Sockalexis-Native American baseball pioneer. Illus. Bill Farnsworth. Lee &
Low Books, 2007.
Yoo, Paula. Shining star-The Anna May Wong story. Lin Wang. Lee & Low Books, 2009.
References
Abt-Perkins, D., & Rosen, L. (2000). Preparing English teachers to teach diverse student
populations: Beliefs, challenges, proposals for change. English Education, 32(4), 251-266.
Bishop, R. S. (1992). Multicultural literature for children: Making informed choices. In
Violet J. Harris (Ed.), Teaching Multicultural Literature in Grades K-8. Norwood, MA:
Christopher-Gordon, pp. 37-53.
Brinson, S. A. (1997). Literature of a dream-Portrayal of African American characters before
and after the Civil Rights Movement. The Dragon Lode, 15(3), 7-10.
Brinson, S. A. (2002). Start early-Using multiethnic literature in P-3 classrooms. Paper
presented at the 92nd Annual Conference for the National Council of Teachers of English,
Atlanta, Georgia.
25
Brinson, S. A., & Scott, J. C. (2004). Stepping up to standards-based teaching: Integrating
reading and math in grades K-2. Tennessee's Children, Spring, 17-19.
Brinson, S. A. (2009). From Thunder Rose to When Marian Sang… Behold the power of
African American female characters! Reading to encourage Self-worth, Inspire/Inform, and
bring Pleasure. Young Children. 64(1), 26-31.
Cowhey, M. (2006). About black ants and Buddhists: Thinking critically and teaching
differently in the primary grades. Portland, ME: Stenhouse Publisher.
Jetton, T. L., Savage-Davis, E., & Baker, M. (2009). Developing culturally responsive teacher
practitioners through multicultural literature. In Jerrie Cobb Scott, Dolores Y. Straker, & Laurie
Katz (Eds.), Affirming Students’ Right to Their Own Language-Bridging Language Policies and
Pedagogical Practices. New York: National Council of Teachers of English and Routledge, pp.
219-231.
Lilly, E., & Green, C. (2004). Developing partnerships with families through children's
literature. Upper Saddle, NJ: Saddle Pearson Merrill Prentice Hall.
Male, M. (2003). Technology for inclusion-Meeting the special needs for all students. (4th ed.).
Boston: Ally and Bacon.
National Council for the Social Studies. National standards for the social studies teachers.
Retrieved November 2, 2003, from http://www.ncss.org/standards
Reutzel D. R., & Cooter, R.B. (2003). Teaching children to read: Putting the pieces together.
Columbus, OH: Pearson Prentice Hall.
Walters, T. S. (2002). Images, voices, choices-Literature to nurture children's literacy
development. In B. Bowman (Ed.), Love to read: Essays in developing and enhancing early
literacy skills of African American children. Washington, DC: National Black Child
Development Institute.
Culturally Responsive Theme-based Bibliography
•
Social Issues
Classism
Akpan, Uwem. Say you’re one of them. Little Brown & Company, 2008.
Barnwell, Ysaye M. No mirrors in my nana's house. Illus. Synthia Saint James. Harcourt,
2005. (Includes a CD of song version by Sweet Honey in the Rock).
Chinn, Karen. Sam and the lucky money. Illus. Cornelius Van Wright & Ying-Hwa Hu. Lee &
Low Books, 1997.
Cosby, Bill. Money troubles. Illus. Varnette P. Honeywood. Cartwheel, 1998.
Krull, Kathleen. Harvesting hope-The story of Cesar Chavez. Illus. Yuyi Morales. Harcourt
Trade, 2003.
McBrier, Page. Beatrice’s goat. Illus. Lori Lohstoeter. Atheneum Books, 2001.
26
McKissack, Patricia C, & McKissack, Fredrick L. A long hard journey-The story of the Pullman
Porter. Walker, 1988.
Mendez, Phil. The black snowman. Illus. Carole Byard. Scholastic Paperbacks, 2005.
Mora, Pat. Tomas and the library lady. Illus. Raul Colon. Dragonfly Books, 1997.
Morteson, Greg. Listen to the wind-The story of Dr. Greg and three cups of tea. Illus. Susan L.
Roth. Dial, 2009.
Neri, G. Chess rumble. Art. Jesse Joshua Watson. Lee & Low Books, 2007.
Noble, Trinka Hakes. The orange shoes. Illus. Doris Ettlinger. Sleeping Bear Press, 2007.
Rodriguez, Antonio Hernandez. Erandi’s braids. Illus. Tomie dePaola. Putnam, 2001.
Smothers, Ethel Footman. The hard times jar. Illus. John Holyfield. Farrar, Strauss & Giroux,
2003.
Williams, Karen Lynn. Four feet, two sandals. Illus. Khadra Mohammad. Eerdmans Books,
2007.
Ageism
Bogart, Jo Ellen. Jeremiah learns to read. Illus. L. Fernandez R. Jacobson. Scholastic, 1999.
Cheng, Andrea. Grandfather counts. Illus. Ange Zhang. Lee & Low Books, 2003.
Contreras, Kathleen. Braids/Trencitas. Illus. Margaret Lindmark. Lectorum Publications,
2009.
Cosby, Bill. The day I saw my father cry. Illus. Varnette P. Honeywood. Scholastic, 2000.
Dawson, George, & Glaubman, Richard. Life is so good-One man’s extraordinary journey
through the 20th century. Penguin, 2001.
DeGross, Monalisa. Granddaddy’s street songs. Illus. Floyd Cooper. Jump-at-the-Sun, 1999.
Gray, Libba Moore. Miss Tizzy. Illus. Jada Rowland. Aladdin, 1998.
Greenfield, Eloise. Grandpa’s face. Illus. Floyd Cooper. Philomel books, 1988.
Martin, Bill Jr., & Archambault, John. Knots on a counting rope. Illus. Ted Rand. Henry Holt,
1997.
Mitchell, Margaree King. Uncle Jed’s barbershop. Illus. James Ransome. Simon & Schuster,
1993.
Paige, Leroy (Satchel), & Lipman, David. Maybe I’ll pitch forever. Bison Books, 1993.
Park, Frances, & Park, Ginger. The have a good day café. Illus. Katherine Potter. Lee & Low
27
Books, 2005.
Pellegrino, Margeret White. My grandma’s the mayor. Illus. John Lund. Magination Press,
1999.
Rickman, Rick, & Wares, Donna. The wonder years-Portraits of athletes who never slow down.
Chronicle Books, 2009.
Sisulu, Eleanor Batezat. The day Gogo went to vote. Illus. Sharon Wilson. Little Brown
Books, 1999.
•
Civic Issues
Racism
Bruchac, Joseph. Crazy horse’s vision. Illus. S. D. Nelson. Lee & Low Books, 2007.
Capaldi, Gina. A boy named Beckoning-The true story of Dr. Carlos Montezuma, Native
American hero. Illus. By author. Carolrhoda Books, 2008.
Choi, Yangsook. The name jar. Illus. By the author. Dragonfly, 2003.
Coleman, E. White socks only. Illus. Tyrone Geter. Albert Whitman & Company, 1996.
English, Karen. Nadia’s hands. Illus. Jonathan Weiner. Boyds Mills Press, 1998.
Faulkner, Matt. A taste of colored water. Illus. by the author. Simon & Schuster, 2008.
Gonzalez, Lucia. The storyteller’s candle/La velita de los cuentos. Illus. Lulu Delacre.
Children’s Book Press, 2008.
Greenfield, Eloise. Paul Robeson. Illus. George Ford. Lee & Low Books, 2009. Grimes, Nikki. Barack Obama-Son of promise, child of hope. Illus. Bryan Collier. Simon &
Schuster, 2008.
Hoose, Phillip. Claudette Colvin-Twice towards justice. Illus. By author. Farrar & Giroux, 2009.
Lainez, Rene Colato. Rene has two last names/Rene tien dos appellidos. Illus. Fabiola
Graullera Ramirez. Art Publico Press, 2009.
Marin Guadalupe Rivera. My papa and me-Memories of my father and his art. Children’s Book
Press, 2009.
Naden, Corrine & Blue, Rosa. Ron’s big mission. Illus. Don Tate. Dutton, 2009.
Nelson, Kadir. We are the ship-The story of Negro league baseball. Illus. By the author. Jumpat-the-sun, 2008.
28
Nelson, Vaunda Micheaux. Bad news for outlaws-The remarkable life of Bass Reeves, Deputy
U.S. Marshal. Illus. R. Gregory Christie. Carolrhoda Books, 2009.
Pinkney, Andrea Davis. Sit-in: How four friends stood up by sitting down. Illus. Brian
Pinkney. Little Brown books, 2010.
Tallchief, Maria & Wells, Rosemary. Tallchief-America’s prima ballerina. Illus. Larry Kaplan.
Macmillan, 1997.
Sexism
Chin, Charlie. China’s bravest girl-The legend of Hua Mu Lan. Illus. Tomie Arai. Children’s
Press, 1997.
Clinton, Catherine. When Harriet met Sojourner. Illus. Shane W. Evans. Amistad, 2007.
DiPucchio, Kelly. Grace for president. Illus. Leuyen Pham. Hyperion, 2008.
Dole, Mayra Lazari. Drum, Chavi, drum! Illus. Tonel. Children’s Book Press, 2003.
Dorsey, Maggie. My hero, my dad the nurse. Illus. Lorenzo Williams. BookSurge Publishing,
2008.
Grimes, Nikki. Talkin' about Bessie-The story of aviator Elizabeth Coleman. Illus. E. B. Lewis.
Scholastic, 2002.
Krull, Kathleen. Hillary Rodham Clinton-Dreams taking flight. Illus. Amy June Bates. Simon
& Schuster, 2008.
Lainez, Rene Colato. I am Rene the boy/Soy Rene el nino. Illus. Fabiola Graullera Ramirez.
Art Publico Press, 2005.
Nelson, Marilyn. Sweethearts of rhythm-The story of the greatest all-girl swing band in the
world. Illus. Jerry Pinkney. Dial, 2009.
Riech, Susanna. Jose! Born to dance-The story of Jose Limon. Illus. Raul Colon. Simon &
Schuster, 2005.
Ryan, Pamela Munoz. Eleanor and Amelia go for a ride. Illus. Brian Selznick. Scholastic Press,
1999.
Shange, Ntozake. Coretta Scott. Illus. Kadir Nelson. Katherine Tegen Books, 2009.
Schroeder, Alan. In her hands-The story of sculptor Augusta Savage. Illus. Jame Bereal. Lee
& Low Books, 2009.
29
Weatherford, Carole Boston. Moses-When Harriet Tubman led her people to freedom. Illus.
Kadir Nelson. Jump-at-the-Sun, 2006.
Yim, Shirin. Ruby’s wish. Illus. Sophie Blackall. Chronicle Books, 2002.
Culturally Responsive Resources
•
•
•
•
•
•
•
•
Anti-bias Education for Young Children and Ourselves- Louise Derman-Sparks and Julie
Olsen Edwards.
Beyond Heroes and Holidays: A Practical Guide to K-12 Anti-Racist, Multicultural
Education and Staff Development-Enid Lee, Deborah Menkart, & Margo OkawazawaRey, Editors Network of Educators on the Americas
Culturally Responsive Teaching-Lesson Planning for Elementary and Middle GradesJacqueline Jordan Irvine & Beverly Jeanne Armento
Literacy, Technology, and Diversity: Teaching for Success in Changing Times-Jim
Cummins, Kristen Brown & Dennis Sayers
Start Seeing Diversity: The Basic Guide to an Anti-bias Classroom-Ellen Wopart.
We can’t Teach what We don’t Know-White Teachers and Multicultural Schools (2nd
Ed)-Gary Howard
What if All the Kids are White? Louise Derman-Sparks, Patricia G. Ramsey, Julie Olsen
Edwards (Forward by Carol Brunson Day)
Why are all the Black Kids Sitting Together in the Cafeteria-A Psychologist Explains the
Development of Racial Identity & Can We Talk about Race-And Other Conversations in
an Era of School Resegregation-Beverly Daniel Tatum
30
Class Size, School Size, Teacher Experience, and Successful
Classroom Strategies: Implications for Fifth-grade African
American Students’ Math Achievement
Timothy B. Chargois
Beaumont Independent School District
E. Jane Irons
Nancy Leffel Carlson
Lamar University
31
African American students continue to face obstacles as they struggle for successful
academic performance in today’s public schools (Livingston & Nahimana, 2006). Even though
schools have been desegregated, Kober (2001) noted that public education failed to deliver a
quality education and documented a large achievement gap between minority, particularly
African American and White students. Johnson (2007) found that the distribution of achievement
scores among ninth-grade students in Kentucky supported patterns of school size, social justice,
and conflicting state objectives found in the literature. Phelps (2003) explained that as the
achievement gap issue continued, educators were mandated to respond to the challenges of race
and accountability. This study investigated three factors associated with African American
student achievement: school size, class size, and teacher experience and identified teacher
perceptions of effective practices associated with successful fifth-grade math achievement.
Review of Literature
African American Characteristics
Ho (1992) suggested that African Americans may comprise over 13% of the American
population. Fischgrund, Cohen, and Clarkson (1987) found that African American children
frequently live in female-headed families involved with welfare agencies. These authors noted
that about half of the African American children were considered poor. Lambie (2005) stated
that ethnic background influenced how individuals interacted with the community and school.
For example, Lambie found that African American culture was complex and may include both
relatives and close friends providing child care and discipline. Several authors identified
socioeconomic status as the major determinant regarding school interaction (Coleman, 1987;
Weissbourd, 1997; Wilson, 1982). Various explanations for lower African American
achievement have emphasized both environmental and cultural differences (Harrison, Wilson,
Pine, Chan, & Buriel, 1990).
School and Class Size
Johnson, Crosnoe, and Elder (2001); Johnson (2007); and Rumberger and Palardy (2005)
linked school organization measured by school and class size with student achievement. These
authors hypothesized that smaller school size led to more positive behavioral and academic
outcomes; they associated more personal attention and more caring environment with smaller
schools and class sizes. Kober (2006) reported that in 2004 about 35% of the nation’s school
districts enrolled 600 or less students and were considered small. She noted that the largest
school districts enrolled one-third of all students. Kober found that minority students constituted
a majority in two-thirds of the nation’s 50 largest school districts and over 90% in several of the
nation’s larger districts. Kober noted that about one-third of the students in public schools come
from low income families and projected increased minority enrollments up to 50% by 2020. Lee
and Burkham (2003) and Lee and Smith (1997) showed that larger schools had lower test scores.
Larger schools were associated with more dropout problems, truancy, and behavioral issues to
include verbal teacher abuse and gangs (Fetler, 1989; Fowler & Walberg, 1991; Welsh, 2000).
Schunk, Pintrich, and Meece (2007) found school and class size, when coupled with funding and
resources, as well as, organizational culture impacted student performance. Nye, Hedges, and
Konstantopoulos (2001) suggested that minority students and those from low socioeconomic
backgrounds outperformed minority and poor students from larger classes.
32
Results of school and class size on student achievement appeared mixed. Walberg and
Walberg (1994) noted that school and class size appeared to have a greater impact on student
performance when other variables such as teacher quality, attitude, and curriculum alignment
were present. Some researchers (Bickel & Howley, 2000; Huang & Howley, 1993; Walberg &
Walberg, 1994) did not find a specific relationship between student performance and school size.
Howley (1996) observed that student performance variances accumulated and diverged over time
for students educated in large school districts. Howley, Strange, and Bickel (2000) reviewed
research on school size and concluded academic benefits existed in schools with fewer than
1,000 students when the community served both low and high socioeconomic students. Stewart
(2007) concluded that African American students had a greater need for educational
environments where both teachers and administrators were accepting, supportive, and fair.
Teaching Experience and Preparation
Lopez (1995) examined the relationship between student diversity and teacher capacity
on student performance. Lopez found no student performance differences between teachers with
a bachelors and a Master’s degree. Lopez noted that teacher classroom experience was important
for student learning and that seven years of classroom experience was needed for teachers to
fully develop their professional teaching skills.
Haycock (1998) reported that high poverty schools were twice as likely to have teachers
with three or fewer years of experience. Kober (2006) found that there was a 20% teacher
turnover rate for high poverty schools when compared to 13% for low poverty schools. Kober
reported the percentages for full-time public school teachers with three or less years experience
in low poverty, low minority schools was 15%, and 14% in contrast to 20% for high poverty
schools and 21% for high minority schools. Winans (2005) indicated that a teacher’s years of
experience significantly impacted student performance. O’Connor and Fish (1998) found that
years of experience positively related to flexibility, response to students, and the ability to adapt
lessons to student needs. Klecker (2002) examined the National Assessment of Educational
Progress (NAEP) math scores and noted a positive relationship with teacher years of experience.
Okpala, Smith, Jones, and Ellis (2000) recommended that students have experienced teachers.
What teachers know and do is important. Haycock (1998) reported that data collected
from several states connected teachers to student achievement. Haycock noted that students with
the best prepared teachers made the greatest gains on standardized tests. Ferguson (1991) found
students learn more from teachers with good basic skills test scores; teachers with high verbal
skills (Ballou & Podgursky, 1997); and teachers who have a major or minor in the field they
teach (Wenglinsky, 2000). After analyzing NAEP eighth-grade math scores, Wenglinsky (2000)
noted that math teachers who had participated in professional development for diverse learners
had substantially higher achieving students.
Achievement Gap
The 2005 National Assessment of Educational Progress (NAEP) fourth-grade reading
results showed that 41% of the White students scored above the proficient level compared to
13% of the African American students (Perie, Grigg, & Donahue, 2005). Banks and Banks
(2004) argued that minority students were more likely to be tracked in general math classes.
Moody (1998) found that students placed in general math classes received different math
experiences than those placed in advanced classes. Johnson and Kritsonis (2006) noted that
advanced math classes were segregated and as a result poor students, females, and non-white
33
students achieved lower math scores. Dallmann-Jones (2002) and Entiwisle (2004) noted that
African American male adolescents were included in most categories of academic failure.
Meyers, Kim, and Mandala (2004) and Wilson (1987) found that schools’ cultural background
and social class were associated with academic competence. For example, the percent of
minority enrollment and the percent of students receiving free or reduced lunches influenced
teacher-student relationships and even the number of and quality of teachers hired (Baker, 2005;
Ferguson, 2003: Meyers et al., 2004).
Effective Practices
Duschl and Gitomer (1997) suggested that a standards-based, rigorous, well-articulated
curriculum and high performance expectations were effective student learning practices. Howard
(2006) found student-teacher relationship important. Kafele (2009) and Gay (2000) stressed the
importance of cultural awareness to make learning more relevant and effective for ethnically
diverse students. Kafele reminded readers that all students do not learn alike and emphasized a
learning-styles approach. Reichert and Hawley (2009/2010) identified three themes for teaching
boys, stating that boys were rational learners. They found boys required appropriate feedback to
remain engaged and successful learning required teachers to arouse and hold boys’ interests.
Method
Site
This research was situated in a field-based setting, a suburban school district spanning
about 153 square miles across South East Texas. The city housing this district has a population
of 117,593 with an ethnic composition of 41% African American, 4% Asian American, 4%
Hispanic, and 51% White. This district contains 33 campuses with a student population of
19,361 students. This district’s student characteristics include 64% African American, 3% Asian
American, and 9% Hispanic, and 24% White. About 66% of the students were considered
economically disadvantaged of which African Americans (75%) constituted the largest group.
There were 50% male students and 60% female in the district.
Questions for Research
Two research questions were developed:
1. Are there differences among school size, class size, and years of teaching experience
with respect to fifth-grade math scores?
2. What are teacher participants’ perceptions of the most effective tracking strategies for
African American fifth-grade students?
Definitions
The Texas Assessment of Knowledge and Skills (TAKS) was the standard state
achievement assessment used to determine promotion to the next grade (Texas Education
Agency, 1997). The weighted averages of teacher years of experience were obtained by
multiplying each teacher’s full time equivalence (FTE) count by years of experience. These
amounts were summed for all teachers and divided by the total FTE count resulting in the
averages shown. This measure referred to the total number of completed years of professional
experience for the teacher in any district (Texas Education Agency). Economically
34
disadvantaged referred to the percent of economically disadvantaged students calculated as the
sum of the students coded as eligible for free or reduced lunches. For the purpose of this
research, school size was defined as: small (0-399 students), medium (400-699 students), large
(700+ students). Class size was defined as: small (12-15 students), medium (16-19 students), and
large (20-21 students).
Sample
The sample for this study was purposive. Of the 1,270 fifth-grade math students, 62%, or
787, were African American. African American fifth-grade students were selected for inclusion
in this study because this particular subgroup represented the largest accountability subgroup in
the district, as well as a unique opportunity to examine factors that may impact math
achievement for African American students. This sample represented all 19 elementary schools
in the district.
In addition, 38 fifth-grade teachers responded to the request to rank order their 10 best
teaching strategies. Of this sample of teachers, 72% of their students passed the fifth-grade
TAKS math and reading tests. A follow-up interview was conducted with 15 of these fifth-grade
teachers to further identify specific best practices.
Data Collection and Analysis
Student math achievement data from each of the 19 elementary campuses were obtained
from Performance Reporting, a division of the Texas Education Agency. This system generates
both performance and profile information about districts and campuses yearly. The 2007 year
scores were used for analysis. The 85 fifth-grade teacher names were assigned identification
codes by school number and years of experience to insure confidentiality and privacy.
Of the 1,257 fifth-grade students, 782 African Americans participated in math TAKS
testing. Two-hundred eighty-one (36%), attended small schools, 312 (40%) attended medium
sized schools, and 189 (24%) attended large schools. A one-way analysis of variance (ANOVA)
was used to identify significant mean differences among the independent variables of school
size, campus size, and teacher experience and the dependent variable TAKS math scores. A
Tukey multiple means test was used in cases where there were more than 2 levels of the
independent variable if found significant at the .05 level or higher.
Descriptive statistics were used to quantify responses from the 38 teachers in ranking
their perceived best practices. Qualitative data reduction techniques were used to identify trends
from the 15 follow-up interviews.
Findings
Table 1 (see Appendix A) shows the means for fifth-grade African American math TAKS
scores for school size. Mean comparisons among school size and African American student
scores in math were significantly different with F(2, 779) = 7.8, p < .01. A Tukey HSD analysis
showed that the small school’s mean (2190.62) was significantly higher than the large school’s
mean (2147.13). However, the medium sized school’s mean (2217.03) appeared higher than
either the small or large school’s mean. These results suggest that African American students
from medium sized schools (400-699 students) scored significantly higher on the math TAKS
test in the district of interest in 2007.
35
Table 2 (see Appendix A) shows the means for 5th grade African American math TAKS
scores for class size. There were statistically significant differences F(2, 779) = 11.49, p < .01
among fifth-grade students enrolled in different class sizes for math instruction. A Tukey HSD
multimeans comparison test identified mean differences. Overall, African American math
students in a class with 16-19 students (M = 2203) performed significantly higher than students
in a class of 12-15 students (M = 2202) or a class of 20-21 students (M = 2101).
Table 3 (see Appendix A) shows the means for fifth-grade African American math TAKS
scores for years of teacher experience. Years of teaching experience concerning African
American student’s TAKS math scores showed F(4, 788) = 6.03, p < .01. A Tukey HSD multiple
means comparison yielded the following results. Students’ scores from classrooms with a teacher
who had 11-15 years of experience were lower when compared with classrooms of teachers with
all other years of experience ranges. African American students who had a math teacher with
over 21 years of teaching experience showed higher math TAKS scores than students who had a
math teacher with six to 10 years experience.
Table 4 (see Appendix B) shows the rank order from one (least) to 10 (most) likely used
instructional strategy for fifth-grade African American students.
Best Practices in Teaching African American Students Reported by 15 Volunteer Fifthgrade Teachers
All of the 15 teachers interviewed had at least a bachelor’s degree in one of the core
subjects of math, science, social studies, and language arts at the fifth-grade level. Two-thirds or
about 10 agreed that parent involvement made all the difference in student learning. These
results are supported by Gay (2000) and Kafele (2009).
All 15 teachers participated in mandatory district-wide professional development
activities and based upon these experiences, spent time with fifth-grade parents discussing the
advantages of education related to careers, and family support. All 15 teachers agreed that
focusing on higher-order thinking skills through use of questioning, reflection, and brainstorming
facilitated student learning.
Conclusions
Differences in both school and class size were identified for fifth-grade African American
students. The optimal school size appeared to be a middle sized school with a student population
ranging between 400 and 699 students. The optimum class size appeared to be a class with 16 to
19 students. Similarly, Howley et al. (2000) suggested that academic benefits accrued to schools
with populations fewer than 1,000 when the district served both low and high socioeconomic
students. However, results of this research should be viewed with caution since the study was
limited to only one district in Texas. The researchers recommend replicating this study statewide
and perhaps nationally if test comparisons can be made. It may also be beneficial to examine
other grade levels.
The impact of teacher years of experience appears mixed. It was difficult to understand or
interpret the lower test results from math teachers with 11 to 15 years experience, particularly
since researchers such as Lopez (1995) noted that teachers more fully developed their
professional teaching skills after seven years experience. Higher test results such as those found
by teachers with over 21 years experience were supported in the literature by such authors as
O’Connor and Fish (1998) who found that years of experience related positively.
36
The findings from this study suggested that African American students benefited from
optimal school structure, e.g. school and class size, as well as from very experienced teachers.
School improvement recommendations (Spradlin & Prendergast, 2006) have emphasized the
importance of preparing and retaining teachers. The strategies ranked as most useful by teacher
participants included cultural awareness and experience in teaching, as well as utilizing African
American students’ visual, hands-on learning style, higher-order thinking skills and parent
involvement.
Teacher professional development was considered important in promoting student
learning. Professional development and teacher preparation for enhancing learning of minority
students was considered important by such researchers and Haycock (1998), Ferguson (1991),
and Wenglinksy (2000).
Recommendations
Based on study findings, the researchers made the following recommendations for the
Texas school district of interest.
1. Provision of professional teaching opportunities (internships) for preservice teachers
inside classrooms with experienced teachers of African American students may be helpful.
2. Encouragement and continued professional development among teachers may be
helpful in the effort to better understand and work with African American students from
economically disadvantaged backgrounds.
In addition, five competencies for teachers of diverse students were identified by teacher
participants. Teachers of African American students should:
a. have an attitude of respect for cultural differences and promote a belief that all
students are capable of learning;
b. be familiar with the cultural resources students bring to class, and be aware of the
culture of students in their classrooms;
c. implement an enriched curriculum for all students;
d. build bridges between the content and the process of instruction and the cultural
backgrounds of students; and
e. be aware of cultural differences when evaluating students.
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school students' academic achievement. High School Journal, 91(2), 16-34.
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accountability system. Policy Research Report No. 9. Document No. GE7-601-07, 30
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pages. Austin, TX: Texas Education Agency. http://www.tea.state.tx.us/research/abstracts
1.html#june97
Walberg, H. J., & Walberg, H. J., III. (1994, June-July). Loosing local control. Educational
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40
Appendix A
Table 1
African American Mean Math Scores by School Size (N = 782)
School Size
Small (0-399 students)
Medium (400–699
students)
Large (700+ students)
Total
N
Mean
Std Dev
281
312
2190.62
2217.03
194.05
194.18
189
782
2147.13
2190.64
184.88
193.60
Table 2
African American Mean Math Scores by Class Size (N = 782)
Class Size
N
Mean
12-15 students
16-19 students
20-21 students
Total
424
266
92
782
2202.09
2203.42
2100.97
2190.64
Std Dev
196.95
192.28
156.44
193.60
Table 3
African American Mean Math Scores by Years of Teacher Experience (N = 793)
Years Experience
N
Mean
Std Dev
0-5 years
6-10 years
11-15 years
16-20 years
21+ years
Total
443
175
51
54
70
793
2174.95
2224.87
2114.35
2205.15
2251.43
2190.88
41
193.06
182.81
137.58
213.75
213.75
193.59
Appendix B
Table 4
Classroom Teaching Strategies Most Likely Used to Least Likely Used Strategy (N=38)
Classroom Teaching Strategy
Rank Order
• Permit students to bring life experiences into the math
learning environment.
10
• Encourage activity-based and hands-on programs for minority
students.
9
• Use study materials that show individuals from different
cultural groups engaging in math activities or occupations.
8
• Discuss career opportunities with minority and female
students.
7
• In order to illustrate a sense of community, ask each student to
share what makes them unique as one individual.
6
• Enhance or promote the heavy reliance of African American
students on visual stimulus rather than auditory stimulus.
5
• Draw upon cultural experience of the student and family to
include cultural perspectives in the curriculum.
4
• Use examples of minority persons or groups that highlight
their successes or their respected position in the community.
3
• Plan a parents’ night on careers that portrays minority
students in math, science, or engineering fields in which they
have traditionally been underrepresented.
2
• Consider using upper grade-level minority students as peer
tutors.
1
42
High-Stakes Standardization Testing:
Help or Hindrance to Public Education
Betty A. Duncan
Lamar University
Alexandra Stevens
Beaumont, TX ISD
43
Uniform academic assessment in the United States has run the gamut historically from the
College Entrance Examination Board essay exam of 1900, designed for those attempting to enter
Ivy League schools, to the much broader reach of “No Child Left Behind,” enacted into law in
2002. As individual states have entered the picture, with their high-stakes, year-end testing, this
development has been met—by both academicians and the general populace—with more and
more concern for the tests’ necessity and effectiveness. One is led to wonder if the testing
outcomes merit the students’ purported heightened stress levels, as well as the frequent teacher
criticisms of having to “teach to the test” and their resultant “job-security” anxieties.
Background
By the beginning of the 21st century, the typical student in the United States took more than
two dozen standardized tests by graduation. These included such exams as the following: No
Child Left Behind—mandated tests from grades 3-12, to help measure if a school met teaching
standards; varied state and district exams that assessed local schools; AP exams—37 subject
tests leading to possible college credit; PSAT, grades 10-11, which tests readiness for the SAT;
SAT, grades 11-12, over three hours of reading, writing, and math, to test readiness for college
work; EXIT—required by approximately half of the U.S. states in order to earn a high school
diploma (Vetter, 2009).
Writing for the Washington Post, Matthews (2006) questioned the source for the
development of this contentious testing that seemed to engulf the U.S. public school system
during the latter half of the 20th century and into the 21st (Matthews, 2006). Research shows that
one could actually look all the way back to Ancient Greece, where Socrates tested his students
through conversations. Jumping to 7th century China, the first female emperor, Wu Zetian,
required government job applicants to write essays about Confucian philosophy and compose
poetry (Vetter, 2009).
Another historical leap to mid-19th century United States revealed public education advocate
Horace Mann calling for standardized testing. By the beginning of the 20th century, the College
Entrance Examination Board (today’s College Board) had formed to develop standardized essay
exams for those seeking an Ivy League education. At this same time, educators began to
experiment with tests that took shortcuts around the old essay methods (Matthews, 2006). French
psychologist Alfred Binet developed an early Intelligence Test around 1905, and in 1910, the
first widely used standardized test, the Thorndike Handwriting Scale, was introduced in the U. S.
public schools. This was followed in 1914 by the design of a multiple choice test by Frederick J.
Kelly of the University of Kansas. In 1015, Lewis Terman of Stanford University developed the
Stanford Binet Intelligence Test in an attempt to quantify intelligence (Pannkuk, 2004).
In 1926, the Scholastic Aptitude Test (SAT) made its debut. Developed by a Princeton
University psychologist who administered Army IQ tests to screen World War I officer recruits,
it subsequently became a college entrance exam. By 1934, Harvard University was using the
SAT to award scholarships to students needing financial assistance to attend university; in 1941,
Harvard required the SAT of all applicants. In 1956, the first Advanced Placement test was
administered, affording students the opportunity to gain college credits in specific subjects.
Other tests that became common across American schools included the Iowa Basic Skills
(ITBS), Stanford Achievement Tests, and the Metropolitan Achievement Test.
Over the years, the use of standardized testing has played an increasingly prominent role in
shaping American educational thinking. These various tests have been employed to assess
students’ aptitudes and achievements, inform decisions about curriculum and instruction, and
44
make predictions about a student’s future success. For the most part, these tests were successful,
and most citizens were satisfied with the information received from these tests and the uses made
of them. Except for the graduate school examinations, such as the GRE, LSAT (law), GMAT
(business), or MCAT (medicine), the various test results did not lead to dramatic consequences.
In most instances, achievement tests provided information, not consequences, and throughout
most of the 20th century, teachers and administrators were rarely given bonuses or fired for
student performance on standardized tests (Nichols & Berliner, 2007). During the latter half of
the century, this began to change.
The arrival of Sputnik in 1957 served as a clarion call to U.S. educators of the need for
school improvement. This led to the 1965 authorization of the Elementary and Secondary Act
(ESEA) and the subsequent development and implementation of minimum competency tests.
There were few, if any, reported consequences for teachers or schools, and the tests were
criticized for being relatively easy to pass. Title I of this act, however, was one of the most
significant pieces of federal legislation in United States history. It was enacted to help financially
strapped schools serving communities with high concentrations of poor children and remains the
largest source of federal aid to the nation’s schools (Sacks, 1999). It came with strings attached,
however, since norm-referenced tests were required in order to assure policymakers that the
federal funds were having a measurable impact on poor children. This assurance allowed the
schools to receive billions of dollars a year in federal funding. Thus, the Elementary and
Secondary Education Act had an unquantifiable impact on the expansion of standardized testing
in American schools (Sacks, 1999).
The limited scholastic advancement during the following twenty or so years was announced
in the Presidential Commission’s report of 1983, entitled “A Nation at Risk.” This document put
the quality of education on the national political agenda, since data purported to show that an
American education was not as good as that of other nations. The report suggested that foreign
competitors were overtaking America’s economic dominance because their schools were
superior, producing workers better educated and more highly trained than Americans. The
fundamental assumption behind the report was that outcomes on standardized exams were the
one and true indicator of the health of the nation’s education system. According to the
commission, higher test scores translated into smarter workers, a growing economy, and superior
international competitiveness (Sacks, 1999). The report thus fueled a testing boom, as state
governors felt they had to test all students in order to raise district standards and improve their
economies. It has remained a national concern ever since (Fiske, 2008).
The National Assessment Government Board became involved with this issue of
standardized testing in 1988, which in turn led to President George W. Bush’s signing of the “No
Child Left Behind” act in 2002. For the first time in U.S. history, a national law required annual
testing of all public school children in certain grades and required individual states to use the
results as a school rating device (Matthews, 2006). The stakes were “high” because of their lifechanging significance of the consequences attached to the test scores. For example, the
consequences of low scores included failure to be promoted, failure to graduate high school, or
denial of college scholarship monies. Teachers and administrators could receive bonuses for
high student scores, or they could be reassigned or fired because of low student scores. Nichols
and Berliner maintained that accepting high-stakes testing as the mechanism to effect changes in
schools distorts and corrupts education, as well as limits the learning outcomes of students
(Nichols & Berliner, 2007).
45
Conflicting Views
There are strong, opposing opinions to standardized testing and accountability. What do
the advocates of standardized testing say about this controversial issue? Why do others believe
the practice hinders rather than helps? Virella (2009) interviewed members of the
Achievement Alliance (AA) and the Forum for Educational Accountability (FEA). The
interviews were based on research of the No Child Left Behind Act. The AA members believed
that standardized testing would bridge the gap between different races; they also argued it was
not supposed to mark the end of subjects outside of mathematics, history, language, and writing.
The FEA members, on the other hand, believed that standardized testing was not an accurate
showing of what students were capable of in school (Virella, 2009).
Sternberg (2002) argued that test scores were meaningful only in the entire contexts of the
children. What opportunities had the children had to learn? Had the families and the school
been able to provide resources essential for learning? Were the teachers well-trained and
certified? He noted that test scores show a strong correlation with a child’s family education
level, financial well-being, and home environment. An interesting note in this regard is that
Japanese teachers refuse to administer standardized tests prior to high school because of what
they perceive as the potential destructive educational effects on young learners as a result of
inefficiencies in the system. The teachers have the backing of their union on this issue
(Barksdale-Ladd & Thomas, 2000).
Amrein and Berliner (2003) examined the results of four independent achievement
measures—the SAT, the ACT, Advanced Placement (AP) tests, and the National Assessment of
Educational Progress (NAEP)—in order to determine if those test scores improved after highstakes testing policies became a part of state educational practice. Their study included data
from eighteen states. They found that such testing policies resulted in no measurable
improvement in student learning; the indications were that scores stayed roughly the same or
decreased after these tests were implemented (Amrein & Berliner, 2003).
In 1988, Abrams and Madaus (2003) constructed an examination with the objective of
determining the effect of high-stakes testing programs on teaching and learning in the United
States and in Europe. They discovered seven principles that captured the intended and
unintended consequences of such programs. In particular, principle three of this discovery spoke
to how the classroom teaching expectations were based on student performance on these tests
(Abrams & Madaus, 2003). This ultimately hindered the delivery of the curriculum that the
students were supposed to be exposed to during a specific school year. Student who struggled
with passing these standardized tests were being “taught the test” but were not learning the
curriculum. This conceivably caused future problems for those students who planned to further
their education by eventually enrolling in college.
Berube (2004), writing about her experiences with standardized testing, said that multiple
choice standardized tests claimed to measure every level of learning, but they really only tested
knowledge recall. She felt that as educators, we used these multiple choice “bubble” tests to
convince ourselves that our students truly understand what we teach them, as evidenced by
passing test scores (Berube, 2004). Lewis (2003) noted that 40% of teachers in high-stakes
states reported that their school’s test influenced their teaching on a daily basis, compared to
10% of teachers in low-stakes states (Lewis, 2003). Schroeder (2003) called attention to what he
considered to be the high-stakes horrors of standardized testing. He observed that teachers felt
more pressure to have their students do well on the test, as well as to align their instruction with
the test and to engage in more test preparation. In those states that administered high-stakes
46
tests, three-quarters or more of teachers reported that students felt intense pressure to perform
well and were extremely anxious about taking the state test (Schroeder, 2003).
Hernandez (2009), writing for the Washington Post, reported on Maryland’s entry into the
group of states that require seniors to meet testing standards in order to graduate. He questioned
if the tests made a difference for students, if the program were worth the effort from teachers and
administrators to bring it into existence, and if there were any long-range benefits for students.
He noted that some experts agreed that it was difficult to ascertain whether the exams improved
instruction or just made better test-takers (Hernandez, 2009). However, Maryland state
superintendent Nancy Grasnick supported the testing because she felt it provided a “consistent
floor” for validating mastery of subject material. Superintendents from several Maryland school
systems thought the tests were providing a standard for high school graduates and, in some
respects, should be even more difficult in preparing students for college (Hernandez, 2009).
Likewise, Neill (1989) argued that standardized testing could be defended because it
improved the ability to assess the performance of students, teachers, schools, and districts, which
in turn improved accountability (Neill, 1989). In 1989, Bowers (1989) offered three points on
how standardized testing was helping more than hindering. His first point stated that the tests
were given to students for correct placement based on examination scores. Second, tests showed
strengths and weaknesses that could help or hinder future courses. And third, the testing helped
teachers, the school, and the district determine the effectiveness of the learning process of a
particular campus (Bowers, 1989).
Likewise, Deubel (2008) found there were positive results that came from this approach to
accountability, in that these tests were helping the teachers and school districts look at the
curriculum carefully, and they were able to work with the results to determine what they needed
to teach to the students. She stated that if this were done properly, then what was taught should
align with the state standards, but admitted that truthful aligning of the two was not often likely
to happen (Deubel, 2008).
Mathew Gandel, vice president of Achieve, Inc., pointed out that advocates of testing have
always administered their own in-class exams to determine whether students were mastering the
curriculum. The new wave of statewide tests, he argued, simply provided a more uniform yardstick that was not subject to grade affiliation or school variation (Wildavsky, 2001). As of
January, 2010, twenty-six U.S. states required students to pass their exit exams in order to be
eligible for high school graduation (Urbina, 2010).
Sloane and Kelly (2003) examined four issues considered to be at the heart of the debate over
high-stakes testing: types of tests, effects on student motivation and morale, degree of alignment
between the test and the curriculum, and the distinction between assessment of learning and
assessment for learning. Rather than a finding strictly in favor of or against testing, their results
reflected the unavoidable complexities encountered. These included the need for responsible
interpretations of scores, the often unfair criticism of the tests’ effects on student motivation, the
difficulty in writing clear and simple standards for challenging content, and the fact that there is
little or no provision for useful diagnostic information to be available in a timely manner. They
acknowledged the legitimate need for accountability in the educational system, but felt that
accountability by itself was unlikely to lead to deep, long-term changes in teaching practices or
student learning. Ultimately, there must be an active and professionally based teacher voice in
order to serve the goals of cognition and instruction (Sloane & Kelly, 2003).
47
Methodology
During 2009, the authors surveyed sixty educators of the “Golden Triangle” area of SouthEast Texas in an attempt to compare their attitudes concerning standardized, high-stakes testing
with those discussed above. These participants included thirty-eight employed teachers from
elementary to high school levels, five retired teachers, and seventeen who were working within
school districts and taking additional coursework to be fully certified. Based on a Likert Scale,
they were asked to respond to the following ten statements by choosing one of the following
categories: Strongly Agree, Agree, Disagree, Strongly Disagree, and No Opinion.
1. Standardized tests are flawed and imperfect measures of a school’s effectiveness.
2. A multiple choice test with 40 or 50 items can capture the breadth and depth of
information incorporated in the state standards.
3. Constructivist teachers who teach critical thinking and problem solving are penalized for
not teaching the facts and knowledge valued on standardized tests.
4. Excessive test-preparation practices often result in false test score gains unrelated to true
gains in student learning.
5. Science, social studies, physical education, music, and art are often pushed aside to
ensure the knowledge areas tested are being covered extensively.
6. Students who are considered to be on the edge of failing standardized tests tend to be
neglected because they are least likely to contribute to a school’s passing rates.
7. Low-scoring students might be dismissed from school, suspended, or expelled to remove
low scorers’ test results from composite statistics.
8. The dumbing down of tests by removing difficult items is more likely responsible for test
score gains than are true gains in student learning.
9. Standardized tests help teachers and school districts look at a curriculum and align course
content with state standards
10. The results of standardized tests should be a determining factor for teacher bonuses.
Discussion
Of all the survey responses, Statement #5 received the highest consistency: 92% of the
participants either “strongly agreed” or “agreed” that other subjects were being pushed aside in
order to focus primarily on the areas of reading and mathematics. This concern coincided with
the findings in the literature. The responses to Statement #9 were nearly as consistent, with 79%
in the “strongly agree” or “agree” categories. It seems that even amid widespread criticisms of
the effectiveness of standardized tests, educators felt tests could be helpful in aligning course
content with the state standards. Nearly as many—75%—either “strongly agreed” or “agreed”
with Statement #1: Standardized tests are flawed and imperfect measures of a school’s
effectiveness. While not as dramatic, Statement #4 results showed that approximately 66%
“strongly agreed” or “agreed” that test score gains were not truly reflective of actual gains in
student learning. Statement #3 responses revealed that 62% either “strongly agreed” or “agreed”
that teaching the facts and knowledge valued on standardized tests did penalize those
constructivist teachers who focused on critical thinking and problem solving skills.
Other statement responses demonstrated a tendency to the contrary, with Statement #10
indicating that 75% either “strongly disagreed” or “disagreed” with the idea that teacher bonuses
should be tied to the results of standardized tests. This highly concurred with concerns noted
earlier about the problematic nature of this issue; in short, student ability and motivation vary
from school to school, due to factors well beyond a teacher’s control. Results of Statement #2
48
revealed that 59% “strongly disagreed” or “disagreed” with the validity of a multiple choice test
of forty or fifty items capturing the information incorporated in state standards. However, 10%
had “no opinion” in responding to this statement. The results of Statement #6 indicated that 57%
“strongly disagreed” or “disagreed” with the idea that schools neglect those students on the edge
of failing in order to augment the overall passing rate, while 36% “strongly agreed” or “agreed”
that schools actually did this.
Although more “strongly disagreed/disagreed” (50%) than “strongly agreed/agreed” (32%) in
response to Statement #7, it received the largest number of responses in the “no opinion”
category—18%. This perhaps demonstrated that, in the population surveyed, more than twothirds of the teachers have no awareness of low-scoring students being dismissed, suspended, or
expelled from school in order to improve a school’s scores.
The results for Statement #8 revealed that 52% “strongly disagreed” or “disagreed” that test
score gains were a result of removing particularly difficult items from the test. However, 41%
either “strongly agreed” or “agreed” that this did happen. This item showed the closest
connection between the two opposing attitudes toward high-stakes standardized testing.
Appendix A provides a graphic representation of all the percentages derived from responses.
Conclusion
The new federal administration of 2009 appeared anxious to put its own stamp on education
policies and reforms, and the ongoing debates will undoubtedly address the use and effectiveness
of standardized testing in the nation’s schools. Education Secretary Arne Duncan has said that
he wants even higher standards that measure United States students against peers worldwide,
adding that individual states and schools should have more flexibility in achieving their goals. In
regard to the No Child Left Behind law of 2002, official correspondence to the states has already
changed any reference to it, in an effort to reflect the law’s original name: the Elementary and
Secondary Education Act of 1965 (Glod, 2009).
On July 24, 2009, President Obama and Secretary Duncan announced the drafting of a $4.35
billion “Race to the Top” fund to create incentives for educational improvement in critical
reform areas, including adopting rigorous national standards and assessments. Grade-by-grade
standards were to be completed, with the National Governors Association and the Council of
Chief State School Officers coordinating the effort. Members of Achieve, Inc. (Washington,
D.C.), the College Board (New York), and ACT, Inc. (Iowa) were slated to take the lead in
writing these national standards. As of December 2009, all but Texas and Alaska had agreed to
adopt these common standards in mathematics and English (Guevara, 2009).
It remains to be seen what role the use of standardized testing will play in devising the
assessments that will inevitably accompany these new national standards, and what the
ramifications will be for the education systems of the individual states. The evidence shows that
professional educators realize assessments are a necessary part of student learning, but they do
not like the pressure to “teach to the tests” and feel it is unfair to tie bonuses to test results.
Socioeconomic status, student support at home, and how students are grouped from classroom to
classroom may influence results in favor of some teachers and unfairly disadvantage others.
At the same time, a strong democracy depends on a citizenry that is educated and informed,
and a strong national workforce relies on the developed skills of a quality education. Therein
lies the serious need for accountability that assures the public its schools are providing the
caliber of formal education needed to keep our nation vital and competitive internationally.
Whatever is decided with regard to best practices in determining accountability, history tells us
49
that assessment, through the use of some form of testing, will continue to be a part of the nation’s
education picture.
References
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61 (3), 31-35.
Amrein, A., & Berliner, D. (2003). The effects of high-stakes testing on student motivation and
learning. Educational Leadership, 60 (5), 32-38.
Barksdale-Ladd, M. & Thomas, K. (2000). What’s at stake in high-stakes testing. Journal of
Teacher Education, 51 (5), 384-397.
Berube, C. (2004). Are standards preventing good teaching? The Clearing House, 77 (6), 264267.
Bowers, B. (1989). Alternative to standardized educational assessment (ERIC Document
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Deubel, P. (2008). Accountability, yes. Teaching to the test, no. THE Journal. Retrieved March
18, 2009, from http://www.thejournal.com/the/printarticle/?id=22417.
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A1, A4.
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Lewis, A. (2003). Beyond testing. Education Digest, 69 (1), 70-71.
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111307_2.html.
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12-14.
Nichols, S., & Berliner, D. (2007). Collateral damage: how high-stakes testing corrupts
America’s schools. Cambridge, MA: Harvard Education Press.
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http://www.enquirer.com/editions/2004/06/17/editorial_charles.html.
Sacks, P. (1999). Standardized minds. Cambridge, MA: Perseus Books.
Schroeder, K. (2003). High stakes horrors. The Education Digest, 68 (9), 54-55.
Sloane, F., & Kelly, A. (2003, Winter). Issues in high-stakes testing programs. Theory into
Practice 42, (1), 12-17.
Sternberg, R. (2002). High stakes testing: The good, the bad, and the ugly. Paper presented at
Plain Talk Conference, New Orleans, LA, February 19-20.
Urbina, I. (2010). As school exit tests prove tough, states ease standards. Retrieved 4/8/2010,
from http://www.nytimes.com/2010/01/12/education/12exit.html.
Vetter, J. (2009, March). Standardized tests. Reader’s Digest, 128-131.
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Virella, K. (2009). No child left behind: Advocates for educational justice disagree about how
to change it. Retrieved March 18, 2009, from http://www.connectforkids.org/node/5312.
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who has the right answer. U.S. News and World Report, 130 (20), 23.
51
Appendix A
52
53
Assessment Ignorance: The Hidden Enemy of Our Education System
Dan Fennerty
Central Washington University
54
Introduction
Under the federal education legislation No Child Left Behind (NCLB), states are held
accountable for “making sure all students achieve academic proficiency” (U.S. Department of
Education website). Academic proficiency and how it will be measured is determined by each
individual state. In a New York Times newspaper article, dated January 12th, 2010, Ian Urbina
reported that a number of states had lowered student expectations in key academic areas because
data indicated large numbers of students would not pass the exams that were tied to graduation.
Lowering expectations would allow states to more likely meet Adequate Yearly Progress (AYP)
mandated under No Child Left Behind. Clearly the intent of NCLB was to ensure that all
students were taught information that would prepare them for work or college. Lowering
expectations seems to run counter to the purpose of NCLB.
A related article in the Washington Post dated March, 9th, 2010 reported that the National
Governors Association and the Council of Chief State School Officers propose national
standards in English and math from kindergarten through high school. The proposal is designed
to replace the inconsistency of standards by state with common, national standards. The national
standards are expected to lead to standardization of testing for all students.
In Rhode Island recently, all teachers, administrators and support staff at a high school were
fired because of the school’s low performance. Many states are considering pairing teacher
salaries with student performance.
Assessing student performance seems the common variable for determining national, state,
school, teacher, and student accountability. The means of assessing student performance,
therefore, needs to be analyzed. Are the assessment methods currently being utilized valid and
reliable tools for determining student performance? Are the assessment methods currently
utilized capable of determining national, state, school, teacher, and student performance?
History of Assessing Accountability in the Public Schools
Standardized testing has been an integral part of the public education accountability system for
the past sixty years. In the 1950’s, norm referenced standardized tests were used to rank order
and sort students to help identify those students who were more capable or less capable learners
(Wigdor and Garner, 1982). In the 1960’s and 70’s, testing expanded to include testing to
qualify for federal funds, and to determine a “national” score that was used for international
comparisons (Berliner and Biddle, 1995).
During the decades of the 60’s and 70’s, concerns were raised about the possible biased nature
of the tests being utilized, especially with students in minority groups. Perceptions that
standardized tests measured certain core knowledge were challenged (Sacks, 1999). In the
1970’s and 80’s, the start of the accountability era increased the use of standardized test scores to
increase student achievement. The government and business sector supported an “objective”
means for determining if students were meeting standards (Walsh and Betz, 1995). By the late
80’s almost all states had expanded the number of tests students had to take. Standardized
testing now became the way for students to increase achievement. Based on test scores, states,
districts, schools and teachers would make changes to increase test scores. Test scores became
the determinant for change.
In the 1990’s and the first decade of the twenty first century, the federal government became
more involved in the accountability process. With the passage of the No Child Left Behind
55
legislation in 2001, states and school districts were required to meet federally mandated
“Adequate Yearly Progress” standards. Pre-determined punishments and rewards were paired
with test scores.
The last sixty years has shown a dramatic increase in the utilization of standardized tests in the
public schools for the purpose of accountability. Test scores have been utilized to “judge”
states, school districts, schools, teachers, and students. Newspapers routinely publish how
school districts perform on the tests. Accountability becomes synonymous with a public display
of judgment (Foote, 2007).
Issues with Standardized Tests
Diane Ravitch, an education historian and former federal Assistant Secretary of Education
refers to the historical reliance on testing for accountability as an obsession (Ravitch, 2009).
Richard Stiggins, Director of the Assessment Training Institute in Portland, Oregon refers to the
overuse of standardized testing for accountability as a “societal mistaken belief about the
purpose of assessment” (Stiggins, 2004).
The National Assessment of Educational Progress (NAEP) has measured national student
performance in math and reading since the 1970’s.
According to Ravitch, “gains in
achievement have been meager at best, not only on NAEP long term trend reports, but also on
the NAEP tests administered every year. “ Stiggins supports Ravitch’s conclusion by stating that
historical reliance on testing and billions of dollars spent on testing has shown no evidence of
success to student learning.
Most educational professionals would agree that there is no such thing as a bad assessment
tool. There are, however, appropriate and inappropriate uses of assessment tools. Many people
in our country believe that “standardized tests” refer to a single entity that allows everyone to
make a concise judgment (as discussed above) as to how a student teacher, school, district, state
or country is doing in comparison to achievement standards. A little information, many times,
can be inaccurate and extremely harmful to informed decision making practices involving
student learning. Informed decisions can be made when those involved in the decision making
process know the strengths and limitations of the assessment tools being utilized. The following
is a brief summary of the strengths and limitations of the major forms of standardized tests
utilized for accountability regarding student achievement.
Formal assessment tools are highly structured with specific guidelines for administering,
scoring and interpreting results. Norm-referenced standardized tests are the most common
example of a formal assessment tool (McLoughlin and Lewis, 2008). Norm-referenced tests
scores compare individual or group performance in relation to performance of others (Venn,
2004). Criterion-referenced standardized tests are also commonly utilized in assessing student
achievement. Criterion-referenced test scores compare student performance to pre-determined
standards of acceptable performance. Both norm-referenced and criterion-referenced tests are
utilized by states and school districts for accountability requirements. Unfortunately, the tests
are often utilized for purposes that are incongruent for what they are capable of providing. In
1983, the National Commission on Excellence in Education wrote a report entitled A Nation at
Risk: The Imperative for Educational Reform. In their recommendations involving standards
and expectations the commission recommended that “standardized tests of achievement should
be administered at major transition points from one level of schooling to another.” The purpose
of testing was to provide school personnel with information that would allow them to “identify
56
student need, and assist teachers” (Casey, 2008). Clearly, the current use of standardized testing
does not meet this purpose.
The historical reliance on using standardized tests results to judge states, school districts,
schools, teachers and students have not been successful in enhancing student achievement. We
are long overdue for a shift in our national philosophy in how to increase student achievement.
Recommendations
Many educational assessment experts are calling for a more “balanced” approach to
accountability. Over reliance on one form of assessment (standardized tests) cannot provide all
users the information necessary to assist student achievement. “Real accountability must include
proof of an assessment system’s predictive validity with hard data that correlate the passage of
specific assessments with subsequent performance in school, college, or the work force” (Foote,
2007). Richard Stiggins (2008) describes the concept of balance as a combination of assessment
of learning and assessment for learning. Stiggins argues that we should use assessments of
learning to assist us in increasing the learning opportunities for all students. Rothstein and
Jacobsen (2009) support “balanced accountability for a broad set of outcomes.” They go on to
state that “narrowed accountability has not improved education-or even achievement- for all
students.”
A balanced approach to accountability needs to include multiple assessment tools within a
overall system. Goals and purposes for assessing need to be clear and the assessment tools must
be valid and reliable. Assessment results should allow recipients to make informed decisions to
assist the increase in achievement results for all students. The following recommendations are
based on the assumptions of a balanced approach to accountability that includes both formal and
informal assessment tools.
National Accountability
The federal government should hold states accountable for having a clearly defined process for
enhancing student achievement. The process should include assessment results that are valid and
reliable, process for increasing student achievement and how the state is supporting learning.
Data should come from both formal (standardized) assessments and informal (curriculum based
measurements) assessments. States should be held accountable for justifying how they are
supporting their process for increasing student achievement for all students. The federal
government should assist and support states to increase student achievement
State Accountability
States should hold school districts accountable for following the clearly defined state process
for enhancing student achievement. States should require school districts to have a clearly
defined process for enhancing student achievement for all students. The process should include
the same process the state follows. Both formal and informal assessment data should be utilized.
The data should be utilized to support the practices the school district is using to increase student
achievement. The state should be assisting and supporting school districts to increase student
achievement.
School District Accountability
School districts should hold teachers accountable for following the clearly defined state
57
process for enhancing student achievement. School districts should require all teachers to use
evidence based teaching practices, use valid and reliable classroom based assessments, and
identify how they utilized assessment results to increase student achievement. The school
district should be supporting teachers to increase student achievement.
Teacher Accountability
Teachers should hold students accountable for their achievement. Teachers should have clear
expectations, show students evidence of what they have learned, assist them in areas they are
having difficulty and support them to increase achievement.
Summary
Accountability for student achievement needs to be a comprehensive process that uses multiple
types of valid and reliable assessment tools. When assessment users have information from a
variety of reliable sources, informed decisions can be made to assist student achievement. As a
society, we must shift our paradigm regarding accountability within an educational context.
Standardized test scores, historically, have been the standard for accountability. We need to
rethink the purpose of accountability and create a system that supports students to increase their
achievement. The system needs to include a comprehensive process that allows for consistent
and accurate information to be gathered on all students so that achievement can be maximized
and all students will have the opportunity to succeed in life; which is the ultimate goal of
education.
References
Anderson, N. (March 11, 2010). Governors, state school superintendents propose common
academic standards. The Washington Post. Retrieved from
http://www.washingtonpost.com.
Berliner, D., & Biddle, B. (1995). The manufactured crisis: Myths, fraud, and the attack on
america’s public schools. Addison-Wesley, Reading, MA.
Casey, L. B., Bicard, D. F., Bicard, S. C., & Nichols, S. M. (April, 2008). A much delayed
response to a nation at risk: Recent innovations in general and special education. Phi Delta
Kappan, vol.89, no.8, p. 593-96.
Foote, M. (January, 2007). Keeping accountability systems accountable. Phi Delta Kappan, vol.
88, no.5, p.359-63.
McLoughlin, J., & Lewis, R. (2008). Assessing students with special needs. Pearson Prentice
Hall: Upper Saddle River, New Jersey.
Ravitch, D. (September, 2009). Time to kill ‘no child left behind.’ The Education Digest, vol.75,
p. 4-6.
Rothstein, R., & Jacobsen, R. (September, 2009). Broad and balanced accountability. Principal
Leadership, vol.10, no.1, p. 22-25.
Sacks, P. (1999). Standardized minds. Perseus Books, Cambridge, MA.
Stiggins, R. (2004). New missions, new beliefs: Assessment for learning. [DVD]. Assessment
Training Institute, Portland, Oregon.
Stiggins, R. (2008). Student involved assessment for learning. Pearson Prentice Hall: Upper
Saddle River, New Jersey.
Urbina, I. (January 12, 2010). As school exit tests prove tough, states ease standards. The New
58
York Times. Retrieved from http://www.nytimes.com.
Venn, J. (2004). Assessing students with special needs. Pearson Prentice Hall: Upper Saddle
River, New Jersey.
Walsh, B., & Betz, N. (1995). Tests and assessments. Prentice Hall: Englewood Cliff, New
Jersey.
Wigdor, A., & Garner, W. (1982). Ability testing: Uses, consequences, and controversies.
National Academy Press: Washington, D.C.
59
Enhancing the attitudes of school pupils with limited English ability
toward reading: Implications for teachers and principals
Jerry E. Garrett
Marshall University Graduate College
60
The number of incoming immigrant students with limited English ability who are
enrolling in schools, continues to rise throughout the United States. Most of the impact in the
past has been confined to large urban areas in California, New York, and Texas; however, cities
in the Midwest, such as Indianapolis, Chicago, the twin cities of Minneapolis and St. Paul, as
well as other areas of the country, are enrolling more and more of these students as well (Garrett,
2010; Teale, 2009; Garrett & Holcomb, 2005). These students are still commonly referred to as
“ELLs,” the acronym for “English Language Learners.” Between 1990 and 1995, the number of
ELLs enrolled in Kindergarten through 12th grade was approximately 47%. By the year 2000
this statistic had increased by 20% (Diaz-Rico, 2008; Garrett 2002; Garrett & Morgan, 2002).
Some in the media, as well as various politicians, and a number of officials at various
levels of government have painted a fairly dismal picture in their criticisms of public schools
(Vacca, Vacca, & Mraz, 2011; Garrett, 2010; Rothenberg & Fisher, 2007; Bracey, 2002). As a
result, large segments of the population believe that schools are failing to teach children to read.
Much of the disparagement about public education has centered on students who are not English
limited, or “non-ELLs.” The problem, however, seems to be an even greater one with immigrant
students who have difficulty with the English language. Teachers and principals have an
enormous impact on the attitudes that immigrant children with limited English ability have
toward the act of reading. What they do or do not do will largely determine whether or not these
children will love and enjoy the task of reading and are ultimately proficient and skilled in this
area. Importantly, for teachers and principals to know, the attitudes that children possess toward
reading can be changed or enhanced (Roe, Smith, & Burns, 2009; Garrett, 2002; Garrett &
Morgan, 2002).
Although reading is primarily a cognitive act, it is also influenced by affective
dimensions. These domains, furthermore, do not appear to operate independently. Development
of skills in the affective domain is crucial if immigrant children, who are experiencing limited
English ability, are to achieve any degree of success with reading.
Important areas to develop in the affective domain include motivation, interest, and attitude
(Hipsky, 2011; Vacca, Vacca, & Mraz, 2011; Garrett, 2010; Roe, Smith, & Burns, 2009). An
additional affective component of extreme importance in reading is self-concept (Hipski, 2011;
Roe, Smith, & Burns, 2009; Garrett, 2002). Focusing upon the affective component of reading
instruction of ELL children yields favorable results in terms of enhancement in the development
of personal interests, values, a positive attitude, and the ability to read for both information and
enjoyment (Hipsky, 2001; Vacca, Vacca, & Mraz, 2011; Roe, Smith,& Burns, 2009).
The extent to which ELL children are successful with reading is directly related to how
they feel about reading. In addition, research points to some personal and environmental
elements that are adversely manifested in the attitudes ELL children possess toward reading.
These attributes include: English language proficiency, proficiency in the other areas of
language arts – speaking, writing, spelling, and listening, levels of performance or achievement,
self-concept, parents and the home environment, instructional practices and programs, gender,
socioeconomic status, and interest. In consideration of these factors in relation to the reading
performance of ELL children, principals can help most by being strong instructional leaders in
the reading program. Principals need to cause teachers to consider the attitudes of children when
planning or supervising instruction in reading (Hipsky, 2011; Vacca, Vacca, & Mraz, 2008;
61
Diaz-Rico, 2008; Garrett, 2002). Following are some recommendations for principals to instill
in their teachers to employ in their elementary school reading classes to help immigrant children
with limited English ability to develop a more positive view toward reading.
Actions for elementary teachers, under principal supervision, to utilize for enhancement of
the attitudes of ELLs toward reading:
1. Using a team approach, assist teachers in developing an interest inventory to determine
interests of children. Give teachers a deadline for providing results to the principal. Further
assist teachers in stocking their classrooms with books and other reading materials with the
interests in mind. Books can be purchased inexpensively at garage sales and used bookstores, as
well as from the community where the children live. New books can be obtained through small
mini-grant initiatives. Motivation levels tend to be higher when children are provided materials
in which they have had input in selecting for their classroom.
2. Without identifying individual children by name, share some of the unique cultural interests
of groups of children in order to bring about an appreciation of the unique cultures that constitute
the school population. Remember that it is the differences of people that make us unique and
beautiful as human beings. This practice will prepare children to live more productively in a
future society that will be increasingly diverse.
3. Emphasize to teachers that, without unduly embarrassing them, children need to be provided
frequent opportunities for speaking the English language. There is a direct link between
speaking and reading proficiency.
4. Principals should periodically invite immigrant children of limited English ability to their
office to share passages that they have learned to read with skill, and the principal should praise
them for their accomplishment. This practice will have a motivational effect as the children
experience success.
5. Principals should insist that teachers be open, warm, and approachable with all of the children
they serve; however, this is extremely important for the child who has limited English ability.
When children feel thy can go to their teacher with literally any concern they have, they learn to
trust that teacher. When these children trust their teacher they feel more comfortable, and this
comfort level increases their confidence in asking for assistance . Ultimately their reading
performance is maximized as a result.
6. Principals should encourage teachers to periodically use choral reading, where everyone reads
a passage together for the purpose of practicing the language. The passage selected should be
two grade levels below the instructional reading level of the lowest reader in the class so as to
increase success with the passage. As ELL children experience success with this activity, they
will learn to feel more comfortable in practicing and speaking the English language.
7. Principals should encourage use of the cooperative learning approach, where an ELL student
is placed with another student who is proficient with English, on various tasks where the ELL
child might benefit.
62
8. Principals should encourage teachers to involve everyone in class discussions to the extent
that children feel comfortable. Ostracism of any single child should be avoided as participation
concomitantly decreases with embarrassment.
9. Principals can take an active role in planning and development of multicultural functions at
school involving the school community. Children of virtually every cultural always feel more
secure and confident when they see their own family and familial acquaintances in the
community involved in various school functions. Schools can host various ethnic dinners,
celebrate ethnic holidays and festivities, and sponsor history week for certain well known
cultural figures.
10. Principals should continue to investigate implications of various translator programs.
Currently there are free online translator programs, but these may not be as accurate as programs
for purchase. There are programs available on CDs or DVDs. There are also various companies
who translate books and other school materials; however, these are somewhat costly. The most
expensive source of translator services is to hire a person who is familiar with the language.
Principals need to provide leadership in deciding which source is most useful for their school.
63
Bibliography
Bracey, G. W. (2002). The war against America’s public schools: Privatizing schools,
commercializing education. Boston: Allyn & Bacon.
Davis, S. F., & Palladino, J. J. (2002). Psychology. Upper Saddle River, NJ: Prentice-Hall.
Diaz-Rico, L. T. (2008). Strategies for teaching English Learners. Boston: Allyn & Bacon.
Garrett, J. (2010). Challenges and solutions in meeting the learning instructional needs of
English Language Learners. National Social Science Journal, 35(1), 51-56.
Garrett, J. (2002). Enhancing the attitudes of children toward reading: Implications for teachers
and principals. Reading Improvement, 39(1), 21-24.
Garrett, J. & Holcomb, S. (2005). Meeting the needs of immigrant students with limited English
ability. International Education, 35(1), 49-64.
Garrett, J. & Morgan, D. (2002). Celebrating diversity by educating all students: Elementary
teacher and principal collaboration. Education, 123(2), 268-275.
Hipsky, S. (2011). Differentiated literacy and language arts strategies for the elementary
classroom. Boston: Allyn & Bacon.
Roe, B.D., Smith, S. H., & Burns, P.C. (2009). Teaching reading in today’s elementary schools
(10th ed.). Boston: Wadsworth, Cengage Learning.
Rothenberg, C. & Fisher, D. (2007). Teaching English language learners: A differentiated
approach. Upper Saddle River, NJ: Pearson Merrill Prentice Hall.
Teale, W. H. (2009). Students learning English and their literacy instruction in urban schools.
The Reading Teacher, 62(8), 699-703.
Vacca, R. T., Vacca, J. L., & Mraz, M. (2011). Boston: Allyn and Bacon.
64
Veteran Unemployment Rates in America:
Resolutions to another Battle
Chris Goehner
Central Washington University
65
Background
Sending Americans into war is not a new idea, we did it in Europe, Korea, Vietnam, and now in
Iraq and Afghanistan. We have learned from previous conflicts that the veterans from these
different wars all have similar experiences upon returning from war. Although some came home
from Europe to open arms and were given first priority for employment, this has not happened
since service members came home from Vietnam.
Vietnam era veterans have helped to lay the ground work for a positive experience for those
returning now. The current debate is not how to treat our current veterans, it is about the how to
handle current operations; both Operation Iraqi Freedom (OIF-Iraq) and Operation Enduring
Freedom (OEF-Afghanistan). It is because of the negative experiences of Vietnam Veterans and
their unwelcome homecoming that the Veterans Affair Administration (VA) is attempting to
overcome the previous obstacles and address issues from current returning service members.
Problem
Despite the increasing amounts of programs for OIF/OEF veterans, these veterans still find
themselves unemployed. The American economy is still trying to recover and create more jobs
for all Americans, but American Veterans are the highest population of unemployment of any
category.
These veterans are trained and have had their skills tested in combat environments. They have
valuable job skills that the government has already invested money into, but once outside of the
military employers do not understand the skills these veterans have.
The typical OIF/OEF veteran also has access to an amazing new scholarship guaranteed for 36
months of education, the Post 9/11 GI Bill. Most veterans however do not use the bill and if they
do, rarely is it exhausted for the full 36 months of benefits. Some veterans argue that going back
to college is neither an option nor appropriate giving their experience.
Veterans may choose to seek their own means of employment outside of having a professional
degree. All branches have developed a written transcript detailing the job skills learned during
military training and a related civilian job title code. This information details a multi-page profile
unique to the education for a veteran. The information found in this document, can be
overwhelming to those not accustom to seeing such a detailed resume description.
Veterans may chose to change the focus area of employment different than what their
experiences were in the military. What are not found in that detailed resume report are the
collateral duties that veterans have done or learned. Often times in the military, you are required
to fill in for different job roles based on the situation.
Any service member leaving the military has a different workers mentality that cannot be taught
outside of the military environments. The military prides itself on; being able form a team “of
one” and not selfish, to teach us to work through our pain, “pain is weakness leaving the body,”
train us to learn skills quickly and to “accelerate your life,” and to go for the top, “aim high.” The
military is able to draw the inner power of a new recruit out and develop a solid team of military
members. The military understands that a cohesive, structure work environment creates an
66
attitude amongst the members to stay with the group and to never let even one person down in
the group.
Obligations of Government
With the rise of health concerns surrounding returning service members, the amount to provide
care and benefits for these veterans is rising. The government has recognized that it is their
obligation to provide the care for returning veterans as a cost of war. America has learned from
their treatment of Vietnam Veterans that we should support the returning veteran despite our
political.
The government currently provides the health coverage for veterans with service-connected
injuries or disabilities, but steps need to be done to improve unemployment. If the veteran gets a
profitable job with benefits, then the federal government would not be the sole provider of
healthcare insurance. It would be a shared cost between employer and government for veterans.
The government accepts the responsibility of providing healthcare and work retraining, but the
effectiveness of established programs is ineffective.
Obligations of the Nation
In most communities you will find posters of “Support the Troops,” but fewer posters are found
of “Support the War.” Average Americans admire the sacrifice troops make, even without the
ultimate sacrifice of life. It is important to understand that military personnel are not making the
decision “to attack or to not attack” foreign nations. Americans must recognize that those
decisions are made by the President of the United States and it is by his order that they go into
battle ready to die for their country.
The Nation has the duty to have respect for the position of presidency, and respect that he/she is
working with more information. Although the president has party obligations, they keep the best
interest of America in mind when faced with these decisions.
A Collaborated Effort
It is the duty of everyone to change the outlook of employment opportunities for veterans. The
veterans must maintain their effectiveness and readiness, much like in the military, and to be
ready to perform in the civilian work environment and maintain that career/job. The government
must continue funding of existing programs and be receptive to the changing demographics of
the returning veteran. The nation must support the troop, which goes beyond sending care
packages and letters to deployed service members. Veterans do return home and should be
regarded as highly for their job performance while deployed, and respected when they bring
those skills back to the community.
It is with the collaborated efforts that an effective policy can be implemented to improve the
unemployment rate among veterans.
67
American Veterans in Action (AVA) Program
This policy was developed with a company wanting to hire veterans but was unable to access a
reliable network to find them. Current online job listing for veterans are ineffective in reducing
the unemployment rate based on the cost of providing the service.
Current cost of online services to the veterans is as high as one hundred dollars ($100) to the
veteran. If the veteran is unemployed, rarely do they have the funds to cover the cost since they
do not know when they will receive another paycheck to cover life expenses.
Companies that want to hire veterans maybe required to pay five hundred dollars ($500) for a
single job posting. The company is making the choice to hire veterans first; while other nonveteran employees can be found through free government services.
This program spreads the responsibilities of veteran unemployment rates to all parties obligated
to the solution. Veterans invest their own money after having additional funds through
employment with a company. They invest in incentives to stay with the company and develop
bond with other employees. Employers only pay for the cost of getting their company recognized
as acceptance of veterans’ skills and are working toward understanding veterans’ abilities. The
government provides oversight of getting information of who is separating from the military and
wants to take part in an opportunity to have a sustainable network of finding employment
opportunities.
Comparison to Existing Networks
To date, this is the only program that gives the nation an opportunity to truly understand the
skills developed by veterans sacrifice to its nation. It gives the nation an opportunity to create
jobs, that might normal be created, and give the veteran a start in a civilian environment. It gives
companies accessibility to possible governmental contracts that require prior military personnel
that are able to obtain required security clearances.
Capital and Operational Cost
The cost of implementation is low if; the government is willing to release demographics of
exiting service members, design of database to create an interface for veterans or employers to
update their profiles.
Operational cost would be minimal with a functional database to continue expansion and
companies continuing to pay the month fee of fifty dollars ($50). This fee is designed to support
administration costs associated with ensuring companies are in compliance with AVA standards.
Summary
The purpose of this program is to be sustainable at a low cost to all parties. Cost should remain
low in relation to providing a service that is efficient, functional and maintains an appropriate
level of acceptable standards set by the veterans and companies involved. Every effort should be
68
made to network with existing programs to work together on the ultimate goal of lowering the
veteran unemployment rate to at least one percent below the national unemployment rate.
The federal governments current policies are ineffective due to; recognition, reliability, and
sustainability. Returning veterans have tried programs designed for them, but failed in these
stated areas. With consistent spending and funding for programs, now is the time to change
previous policies.
This program address the issue of recognition by not only influencing veterans but also improves
recognition from employers. Both veteran and employer can interface before an interview and be
aware of the requirements and skills. Time and money would be saved by veterans and
employers on the reduced amount of time finding and interviewing applicants that fail to meet
the standards.
Programs that are in existents have failed and will continue to fail. Veterans have used existing
programs and have found no help to maintain their trust. Now is the time to pull successful
components from existing programs and put them in to one package. Give the veterans and
employers the tools and support to provide an effective service. This is the first time a policy
brings together components of other programs to one place and has the ability to solve our
nation’s problem of too many veterans struggling to find employment.
69
An Empirical Assessment & a Theoretical Model of Student
Productivity in Learning
Reza G. Hamzaee
Missouri Western State University
& Walden University
Seth A. Parker
Missouri Western State University
70
ABSTRACT
In response to a clear problem encountered by most students, this research is
motivated to establish a theoretical economic model of production. The research
problem here is a lack of enough productivity in many students’ academic
preparation and learning. The authors will do a major survey on MWSU campus
to compile data for testing their mathematical-economic model. Obviously, a
strong need for applied learning and a broader societal change motivate this
study. Applied learning is an efficient investment in human capital, which would
empower one to influence one’s environment at large. An objective (post-theory)
assessment will be another emphasis in this research project.
I. INTRODUCTION
The topic of productivity is of the utmost importance to institutions and students alike.
As the Rand Corporation notes, colleges and universities are using productivity improvement
methods to cope with resources that are limited (Rand, 1997). Yet the discussion, from the
perspective of institutions of higher education, focuses on cost savings and efficiently utilizing
scarce resources. This research will focus on productivity from the student’s perspective. This
is important because of the impact student productivity in learning has on future careers and
graduate programs for students.
The research problem, motivating this study, is a lack of enough productivity in many
students' academic preparation and learning, which would lead to an under-preparation for
prospective challenging careers and/or success in graduate programs. The objective of this
research is to develop and empirically assess a theoretical model of student production in
learning, including a production function of students’ preparation and learning.
The research questions here are:
• How is productivity in preparation and learning defined?
• What are the main explanatory variables of productivity in learning?
• What are students’ perceptions of productivity?
• What are students’ perceptions of learning?
• What are students’ perceptions of the most influential factors accounting for
productivity?
• What are students’ perceptions of the most influential factors accounting for learning?
• How could the expected quantity-quality standards of learning be effectively
implemented?
• What are students’ perceptions of instructors’ roles in their productivity?
• What are students’ perceptions of instructors’ five most significant requirements for their
better learning?
• What reliable productivity/learning model could be offered, which would be statistically
fit and significant?
A set of hypotheses will be tested in this study as well. These include the following.
Students perceive labor hours to be the main ingredient for high productivity and learning, and
good note taking to be a significant factor. Active learning, effective attention and participation
in class discussion are significantly influential in learning. Application of critical thinking by
both instructors and students, and gradual (ongoing) preparation would enhance students’
productivity and learning. Comprehensive reading-writing assignments and multiple-choice
questions will increase student understanding and learning significantly. Team preparation &
71
student networking have significantly increased productivity and learning. A clear determination
of objectives prior to teaching has enhanced students’ learning significantly. Real-world and
factual examples of the teaching subjects have made understanding of sophisticated subjects
easier.
In the next section, a review of the currently available and relevant literature on the subject is
presented, focusing on comparing and contrasting the positions of other researchers, and
selecting a position or idea for building research. Following the literature review, a theoretical
model including a production function will be developed, in which the hypothetical variables
will be explained and there will be discussion of advantages and disadvantages of marginal
productivity versus average productivity measurements. A survey designed to assess and
measure students’ perceptions will follow, and a statistical examination through a log-linear
regression model will be performed on the data. The results of the statistical procedures will be
analyzed, after which a conclusion section will close the report.
II. LITERATURE REVIEW
Discussions of productivity in education are numerous, varied, and often confusing.
There are many different schools of thought, but it may be helpful to functionally classify most
research into two groups. One would be the student perspective on productivity in learning,
which will be discussed subsequently. While the other, more common, would be the institutional
perspective. Some central concepts here are reducing unnecessary costs, making teachers more
productive, and generally making institutions more efficient and effective.
Poole (2005)
provides a good example of this traditional focus. First he outlines some of the problems with
current conceptions of productivity in higher education and ways in which to improve it. He
broadly describes trends in collegiate education, focusing on increasing tuition and institutional
costs. A central problem here is the lack of incentives to reduce or control costs, which can lead
to a misallocation of resources. In this vein, Poole indicates that the recent focus on financial
assistance to students has created an environment where tuition costs garner the most attention,
while the underlying cost reductions or productivity improvements are not considered.
Poole (2005) provides some clarity to the concepts of productivity in higher education as
well. Productivity can be seen from a cost perspective or from a student value perspective.
Student value represents the capabilities of graduating students. Therefore, if costs can be
expanded more slowly than student improvement, productivity will increase. He goes on to
describe the familiar difference between efficiency and effectiveness in measures of productivity.
This is a valuable construct for considering student productivity. A student may reach a desired
educational outcome (effectiveness), while taking far longer than normal to reach the desired
outcome (efficiency).
Because Poole’s (2005) concern with productivity is mostly institutional, he does not
strongly consider the role that student productivity plays in the larger topic of educational
productivity. At the heart of this discussion are four pragmatic reforms to improve productivity
in higher education. They are privatization, decentralization, improving student quality, and
increased flexibility of faculty staffing. All these are essentially cost saving concepts.
In contrast to Poole (2005) and the traditional focus, Astin (1999) presents his theory of
student involvement, essentially stating that increased student involvement will lead to better
outcomes in education and learning, and that institutions adept at improving the involvement of
students will be successful (p. 519). Most research in this field is focused on the institutional
side of the equation. This view treats students as an intermediate device that receives inputs
72
from educators and institutions and outputs learning, as measured by many different metrics and
standardized tests (p. 519). Astin believes this is the wrong perspective to take.
Astin (1999, pp. 520-521) analyzes three traditional theories of student learning and
productivity, the Subject-Matter Theory, the Resource Theory, and the Individualized (Eclectic)
Theory. The first believes student learning to be a function of exposure to the right type and
amount of subject matter. The second sees student learning as a function of having the right
pieces or resources in place for students. The third sees student learning as a function of flexible
and tailored learning approach unique to each pupil. Astin discusses problems with all these
theories. Problems of implicit conceptions of students as non-active receptors of knowledge, a
one way flow of information and ideas, cost restrictions, and blind accumulation of resources
without regard for their value or use are his most prominent concerns here.
In distinction to these theories, is the Theory of Student Involvement, which has five
parts (p. 519). 1) The definition of involvement is the energy, both mental and manual labor,
that students put into educational endeavors, 2) Student involvement is variable along a sliding
scale, 3) There are qualitative (i.e. comprehension of concepts) and quantitative (i.e. amount of
study time) elements to involvement, 4) The amount and caliber of student involvement will
determine how much a student learns and develops, and 5) A successful approach in schooling
is one that heightens student involvement.
Astin (1999) describes the effects of the Theory of Student Involvement (p. 522). For
any teaching endeavor to succeed in student learning, student involvement must be a central
concern. The concentration of teachers should be the actions of the students and less on their
own actions. This will manifest as less interest in accumulating resources and analyzing policies
and methods. Students must be contributing members in the process of learning.
Astin (1999) continues by citing supporting research on involvement and dropout rates.
The more involved a student is, the less likely he is to drop out and vice versa (p. 523). Another
factor cited is type of school the student attends. Two-year schools have a higher dropout rate
than four-year schools (p. 524). Other involvement factors that decrease the risk of dropping out
are honors programs, student-faculty involvement, athletic involvement, academic involvement,
living on campus, and involvement in student government (pp. 524-26). This research, mostly
Astin’s own, provides support for his view that student involvement is paramount to learning and
educational success.
The important point for our research is that student involvement, which also implies
student motivation, is a key factor in determining whether or not a student will be productive in
learning. Investigating the amount of time that students invest in learning, as well as the
frequency with which they invest that time (i.e. gradual preparation) will be important aspects.
Astin’s theory promotes a different perspective on the learning and productivity issue.
He focuses more on students and finding ways of improving their productivity, which eventually
leads to an improvement in the productivity of the institution.
Levin (1993) expounds on a student-centric view of production functions, which is
particularly pertinent to our research. He makes the case for much more strongly considering
students in production functions. To Levin, there are many factors that influence educational
outcomes, which are controlled by multiple parties. In other words, teachers and institutions are
not the only parties involved; students play an essential part in educational results.
Levin (1993) discusses the challenges of formulating an accurate production function for
education. A primary challenge is how students are identified, in a theoretical factory context, as
workers or raw materials. Most traditional views about education have seen students as entities
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to which learning is applied (i.e. a raw material). But, as Levin notes, no one can learn for a
student, they must do that themselves. Institutions and teachers can only provide information,
guidance, and tools for learning. Levin holds that the student to institution relationship is not a
traditional production relationship, precisely because students must find value in learning and
produce knowledge for themselves. Yet some input or effort is also required from instructors
and institutions. Therefore students are both workers and raw materials.
Levin (1993) references a conventional method of improving outcomes as the
“intensification” method. This is essentially a teacher developing more stringent standards, more
harsh punishments, and more direct oversight. Yet, when students are seen in their unique
position as both producer and material, the paramount importance of students’ drive and
perceptions becomes apparent. Levin further notes the value of measuring the perceptions of
students on multiple issues in education, including teaching methods, institutional organization,
and practices in discipline.
Another conventional method of improving outcomes is the “professionalization”
method, which allows teachers the freedom to tailor their methods to get better outcomes. Levin
(1993) points out the underlying flaw in this method as the belief that instructors have some
pent-up reserve of knowledge and wisdom on how to improve productivity and that they will act
on it. He sees it as unreasonable to agree with either of these assumptions.
Levin (1993) broadly outlines the effects of a more student-centric approach to education,
instead of the “intensification” or “professionalization” methods. In this approach, student
motivation is a key factor. When we view students in their unique place in education where they
create learning for themselves, a focus on motivation is natural. Levin (as cited in Lieberman &
Miller, 1990; Rosenholtz, 1985) argues that this is exhibited in valuing the enthusiasms and
opinions of students to a much greater degree. It would also mean affording students more
freedom and flexibility in schooling, similar to the way that professors have autonomy in their
work.
Yet another traditional conception of education that Levin attacks is time. His primary
argument is that the ways in which time is utilized and allocated could and should be more
variable. This would theoretically result in better and more accurate allocations of time, which
will lead to better outcomes and increased productivity.
The importance of students, as Levin (1993) points out, has not been considered properly,
and a more student-centric approach will lead to more productivity and better outcomes in
education. Levin underscores the importance of student motivation and perceptions, which will
be further studied in our research.
From Levin (1993), we understand, among other things, that more intellectual energy
should be applied in studying students’ role in educational production. In this vein, the research
of Walberg, Fraser, and Welch (1986) tested data from the National Assessment in Science
(1981-82) to determine the validity of a model of educational productivity. The educational
productivity model of Walberg contains nine factors that are,
“a) ability or prior achievement, b) age, c) motivation or self concept as indicated by
personality tests or willingness to persevere on leaning tasks. . .d) quantity of instruction,
e) quality of instructional experience. . . f) home environment, g) the classroom of school
environment, h) the peer group environment, g) the classroom or school environment,
and i) the mass media, indicated by TV watching (p. 133).”
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The researchers found that the nine factors in Walberg’s theory were more closely linked to
student productivity then socio-economic factors, and generally supported the validity of
Walberg’s theory (p. 133).
This research showed that outcomes in education are better explained by multiple
variables than any single factor. This is indicated by the fact that a less than proportionate
change in learning outcomes is seen when a 1 standard deviation change occurs in any factor.
Additionally, all of the factors in Walberg’s (1986) theory are related to student productivity (p.
133-34). An implication for our study here is that a significant number of variables should be
considered to yield useful information.
The study shows that those students who start out with strength in one of the factors are
likely to be strong in other factors. This is evidenced by the fact that there is colinearity among
the factors (p. 134). The importance of multiple variables is again supported here, because the
data suggest that strength in factors does not occur singularly.
In the Walberg (1986) model, there are several fixed factors that significantly forecast
students’ intellectual performance. These are ability, home environment, gender, and race (p.
137). But, there is encouraging information that educators have the ability to increase student
productivity and learning outcomes. Walberg, Fraser, and Welch note that six factors are seen to
have a positive connection to both achievement and attitude in students. These were: capability,
initiative, feelings on the instructor, homework volume, atmosphere of the classroom, and
atmosphere of the home. Four of those factors (initiative, feelings on the instructor, homework
volume, and atmosphere of the classroom) are firmly in the control of teachers and educational
institutions to alter and change (p. 137-38). This research provides some hard data in
determining the influential variables in student learning and productivity, and exhibits one aspect
that our research will look investigate.
Astin (1999), Levin (1993), and Walberg et al. (1986) present research with the common
thread of student focus, but there are some differences among them. Astin argues that student
involvement is paramount to student productivity, learning, and success, while Walberg et al.
find that their nine factors provide an accurate picture of student productivity, learning, and
success. It is important to note that implicit in Astin’s concept of student involvement, are some
of the factors which Walberg et al. find to be important, including student motivation. Levin
concentrates on more accurately devising a production function that properly considers the role
and importance of students. Yet, Levin also indicates that student motivation and even
perceptions are valuable factors to consider.
A final observation that Poole (2005), makes is the obvious fact that productive colleges
and universities will impact society in a meaningful and valuable way. This is one of our central
research problems that we want to acknowledge. As previously noted, an increase in
productivity from the institutional, and especially the student side can lead to societal change on
a large scale.
III. THEORETICAL PRODUCTIVITY MODEL
An Isoquant – Cost Approach
In theory, students behave according to the following theoretical model depicted in Figure 1
(Appendix). The isoquant, representing all the combinations of the quantities of two groups of
resources which render the same level of output, Qk, within a certain time frame, given all other
factors are held constant. It can be formulated as:
Qk = f (GHt , LHt , Tech)
(1)
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Where:
t = academic semesters, 1,2,….,k, in which a student takes courses, and works for income
Qk = the quantity of student’s desired output, measured by real income to be produced
GH = G . H
G = grade points
H = hours of course work passed
LH = number of labor hours worked to make income
Tech = technology or methods of studying and learning (a shifting factor for the two-dimensional
production function)
T. Ht + W. LHt = Bt
Where:
Bt = student’s budget
• If Bt > or = W. LHt , the student would have some savings and/or some other sources of
funds for his/her education (such as government or private scholarship, family
contributions to his/her education expenses, etc.).
• If Bt < W. LHt, the student would have enough income to pay for his/her education and
still have some left for other things.
• If Bt = W. LHt, the student’s budget is exactly the same as her income.
The optimal choice of work hours and an indexed course hours (GHt = G . H) committed to at
the end of time t, would be realized at point e in Figure 1 (Appendix). The optimal output, Q, is
in fact a measure of real income of the student, given the optimal allocation of his/her time.
The above model could be applied when a control group’s continuous actions in taking classes
and/or working for income are available. That is another task to be fulfilled later.
In practice, to find out more about students’ productivity, a survey instrument, as
presented in the next section, will be used to see how students define productivity in studying
and also learning.
IV. STUDENT SURVEY ANALYSIS
1. The Survey Instrument and the Results
The surveys were administered to a wide variety of disciplines and all grade levels of
students (freshman to senior). The disciplines of the classes in which the survey was
administered were education, physical education, mathematics, political science, economics,
freshman honors colloquia, and biology. The target population is all students of a regional
Midwestern University, and the sample 176. The survey instrument and the corresponding
results are presented below.
1) How is productivity in studying defined?
a. Being able to plan to study the most important material
b. Being able to study regularly
c. Being able to study the text material assigned by the instructor
d. All of the above.
A majority of students (74%) selected “All of the above”, indicating that planning to
study the most important material, regular studying, and studying the text material assigned by
the instructor are all part of the definition of productivity in studying (see the figure, labeled
“Question 1” in the Appendix).
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2) How is productivity in learning defined?
a. An average number of pages (or quantity) learned per hour of labor (study hour)
b. An average quantity of learning of anything per hour of labor
c. Both a and b
d. All of the above must explain productivity, plus an earned skill of application of
critical thinking, which would require more thinking of thinking, and carefully
considering all aspects of an issue in a comprehensive analysis of each issue
A majority (62%) said that productivity in learning includes average number of pages
learned per hour of labor, average quantity of learning anything per hour of labor, and an earned
skill of application of critical thinking. The responses to this question suggest a fairly holistic
view of learning productivity on the part of students studying (see the figure, labeled “Question
2” in the Appendix).
3) What are the main explanatory variables of productivity in learning?
a. Number of hours of labor allocated to studying
b. A good set of lecture notes
c. A good textbook
d. Good, relevant, and clear instruction from the instructor
The results on question 3 were more mixed. 46% said that good instruction from the
instructor is the main variable in productivity in learning, 27% said that number of hours spent
studying is the most important variable, and 23% said that a good set of lecture notes is the most
important variable. Only 4% cited a good textbook as the most important variable. This
indicates that students perceive instructors to have the greatest impact on their productivity in
learning. Educators must consider this information further in relation to methods of increasing
student productivity in learning studying (see the figure, labeled “Question 3” in the Appendix).
4) What are your perceptions of your learning productivity? I need to…
a. Have more time to study
b. Have more money to be able to study more than work
c. Learn more comprehensively than just for a grade
d. Learn how to enjoy the learning experience and worry less about grades
e. Do much better than what I am doing
On question 4 students had mixed opinions. The largest portion (37%) said that they
need to learn more comprehensively than just for a grade. Similarly, 17% said that they needed
to enjoy learning experiences more and worry less about grades. C and D, together totaling 54%
of responses, indicate that students focus on grades more than productivity. 21% said they
needed more time to study and 14% said they needed to have more money to be able to study
more than work. Together, these two questions totaled 35% of responses. This indicates that
while students do perceive time constraints, partially derived from the need to work for income,
as a factor affecting their productivity, more students perceive their focus on grades rather than
learning as a more important factor studying (see the figure, labeled “Question 4” in the
Appendix).
5) What are your perceptions of your learning?
a. My actual learning is too poor
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b. I am doing sufficiently around an average level
c. I am doing well
d. I am doing very well
e. I am doing excellent
Question five produced a nearly perfect bell curve. It is important to note here the
perceived level of learning increases as we move from answer “A” to “E”, with the later being
the best. 37% said they were “doing well” in their learning, this is the average level. 27% said
they were “doing sufficiently around an average level” and “doing very well” respectively. 4%
said their “actual learning is too poor” and 5% said that they were “doing excellent”. The results
on this question are interesting as the vast majority of students placed themselves in the middle
three categories. The researchers were expecting a higher concentration of answers in the “very
well” and “excellent” column, as students tend to be somewhat biased on questions of their
success and achievement studying (see the figure, labeled “Question 5” in the Appendix).
6) What are your perceptions of the most important variables affecting productivity in
learning?
a. An adequate number of hours to study
b. Satisfactory completion of prerequisite courses aiding in understanding and learning of
new courses
c. A well-organized and understandable set of lectures
d. A well-designed set of study questions (relevant to the course learning objectives)
e. Employment of a highly applicable instructional technology
Students indicated that the two most important factors affecting productivity in learning
were good lecture notes (33%) and good study questions (30%). In contrast, 18% indicated that
an adequate number of hours to study and 17% perceived completion of prerequisite courses
were the most important factors. Instructional technology was indicated to be the least important
factor influencing productivity in learning. The responses here are somewhat contradictory to
our hypothesis that students perceive hours of studying as a significant variable affecting
productivity. Indeed it was secondary to both good lecture notes and good study questions for
studying (see the figure, labeled “Question 6” in the Appendix).
7) How could some sort of expected quantity and quality standards of learning be effectively
defined and implemented by the instructor?
a. Assignment of easier supplemental reading at home, which is not covered in lectures
b. Instructor’s requirement and implementation of critical thinking in all lectures, which
would require more thinking of thinking, and carefully considering all aspects of an
issue in a comprehensive analysis of each issue
c. A rewarding policy for students’ active participation in class discussions
d. A rewarding policy for students’ punctuality and 100% class attendance
e. An applied game design to bring fun to class.
The majority (50%) of students said that a requirement and implementation of critical
thinking is the best way of defining and implementing quantity and quality standards.
The authors are surprised by the responses to this question, specifically the concentration of
responses on critical thinking. The question is on if students really believed this to be the best
method for defining and implementing quantity and quality standards, or if the answer was
chosen for other reasons, length or complexity for instance. Part of this skepticism is based on
78
the view that the average student has not been introduced the concept of critical thinking in
sufficient detail to fully understand what was being described by “implementation and definition
of quantity and quality standards” studying (see the figure, labeled “Question 7” in the
Appendix).
8) What role do instructors play in student productivity?
a. Teaching most responsibly, clearly, and with enough emphasis on the most important
components of materials
b. Assignment of easier supplemental reading at home, which is not covered in lectures
c. Instructor’s requirement and implementation of critical thinking in all lectures
d. A rewarding policy for students’ active participation in class discussions
e. A rewarding policy for students’ punctuality and 100% class attendance
80% of responses were for answer “A”. This indicates that students overwhelmingly
perceive instructors role in their productivity to be teaching clearly and emphasizing the most
important material. Compared to the other possible responses on this question, the concentration
of responses on answer “A” is telling of students’ perceptions. Other methods or tools
instructors use seem to be viewed by students as less important than the quality and focus of the
instruction itself. This is somewhat consistent with responses to question 3, where 46% of
students indicated that good instruction was the most important factor in learning productivity
studying (see the figure, labeled “Question 8” in the Appendix).
9) In your opinion, which of the following also contribute to both your studying and learning
productivity?
a. Effective student networking
b. An applied game designed to bring fun to class
c. A study guide provided by the instructor
d. Regular class attendance
e. The instructor’s enthusiasm
The two most common answers to the question of factors that contribute to studying and
learning productivity were a study guide (48%) and regular class attendance (23%). Student
networking and instructor enthusiasm were tied at 13%, while an applied game only received
3%. The concentration of answers on study guide is somewhat consistent with the responses on
question 6, where 30% said that good study questions were important to productivity studying
(see the figure, labeled “Question 9” in the Appendix).
Open-Ended Questions
For some qualitative implications, the following two extra open-ended questions can be also used
for further depth in students’ perceptions:
10. What are students’ perceptions of instructors’ five most significant requirements for their
better learning?
11. What reliable productivity/learning model could be offered, which would be statistically fit
and significant?
2. A Student Evaluation Instrument
Students are asked to evaluate each instructor by assigning a ranking of 1 to 5, where 5
signifies the worst (poorest) and 1 signifies the best & exceptional. This evaluation instrument,
79
which would assess instructional productivity in students’ perception, will not be the focus of
this survey. Yet, it would help for a more comprehensive prospective evaluation of teaching
productivity, as perceived and assessed by students.
1. The instructor’s knowledge for the this course is quite high
2. The instructor’s lectures are organized, clear, and understandable
3. The instructor is generally well organized
4. The instructor appears to be enthusiastic and interested in what he/she is doing
5. The instructor’s lectures incorporate enough of critical thinking
6. The instructor is skillful in engaging students in class discussion
7. The instructor is a good coach motivating students to study more and succeed
8. The instructor’s attitude towards students is very compassionate and friendly
9. The instructor’s management of the course is very effective
10. The instructor is available for help and extra assistance to students
11. The tests and assignments are very relevant to the teaching material
12. I can apply what I am learning in this class to the real world issues and problems
13. The instructor’s care and effective planning for applied learning are obvious
14. This instructor really cares about students’ success and learning
15. Considering all the above 14 questions, how do you rank this instructor’s overall efficiency
and effectiveness, as compared and contrasted with all other instructors?
V. CONCLUSION
The authors in this paper have offered a summarized perspective of productivity
improvement to be implemented at various colleges and universities in response to the usual
academic resource limitations. A theoretical framework of productivity is presented, assuming
that students are producers of their desired levels of real output or real income by mainly
utilizing and allocating their labor hours to two main tasks of work (to make income) and hours
of course work to accumulate prospective earning skills. There is also a technology of studying
and learning skills that could contribute to their levels of productivity. The survey applied here is
mainly about that method and technology along with how students’ allocate their budgeted time
in enhancement of their study and learning productivities. The following segment provides a
summary of what have been the major findings (see Figure 2, Appendix):
Questions 1, Answer D: “All the above”, which included “Being able to plan to study the most
important material”, “Being able to study regularly”, and “Being able to studying the text
material assigned by the instructor”.
Question 2, Answer D: “All the above”, which included “An average number of pages (or
quantity) learned per hour of labor (study hour)”, “An average quantity of learning of anything
per hour”, and “An earned skill of application of critical thinking, which would require more
thinking of thinking, and carefully considering all aspects of an issue in a comprehensive
analysis”.
Question 3, Answer D: “Good, relevant, and clear instruction from the instructor”.
Question 4, Answer C: “I need to learn more comprehensively than just for a grade”.
Question 5, Answer C: “I am doing well”.
Question 6, Answer C: “A well-organized and understandable set of lectures”.
Question 7, Answer B: “Instructor’s requirement and implementation of critical thinking in all
lectures, which would require more thinking of thinking, and carefully considering all aspects of
an issue in a comprehensive analysis of each issue”.
80
Question 8, Answer E: “A rewarding policy for students’ punctuality and 100% class
attendance”.
Question 9, Answer C: “A study guide provided by the instructor”.
BIBLIOGRAPHY
Astin, A. W. , (1999). Student Involvement: A Developmental Theory for Higher Education.
Journal of College Student Development, 40(5), pp. 518-529.
Gage, N. L. (1961). The Appraisal of College Teaching: An Analysis of Ends and Means. The
Journal of Higher Education, 32(1). pp. 17-22.
Haertel, G. D., Walberg, H. J., & Weinstien, T. (1983). A Theoretical Synthesis of Constructs.
Review of Educational Research, 53(1), pp. 75-91.
Hamzaee, R. G. (2005). A Survey and Theoretical Model of Distance Education Program.
International Advances in Economic Research, 11(2), pp. 215-229.
Hanushek, E. A. (1979). Conceptual and Empirical Issues in the Estimation of Educational
Production Functions. Journal of Human Resources, 14(3). pp. 351-388.
Levin, H. M. (1991). Raising Productivity in Higher Education. The Journal of Higher
Education, 62(3). pp. 241-262.
Levin, B (1993).Students and Educational Productivity. Educational Policy Analysis
Archives, 1(5). http://epaa.asu.edu/epaa/v1n5.html
Poole, W. , (2005, April). Improving Productivity in Higher Education. Speech presented at
Webster University, Saint Louis, MO.
http://www.stlouisfed.org/news/speeches/2005/4_07_05.html
Walberg, H. J. , Fraser B. J. , & Welch W.W. (1986). A Test of a Model of Educational
Productivity Among Senior High School Students. Journal of Educational Research, 73(3), pp.
133-139.
APPENDIX
GHt
LHt
0
Figure 1. Student’s Time Budget to Work and Passing Courses
81
82
Figure 2. The Survey Responses, with the Highest Frequency
83
Use VoiceThread to merge audio-based chat with interactive media
for dynamic online multimodal teaching and learning
Janet Holland
Emporia State University
84
Abstract
Take content, creativity, and collaboration to the next level in the classroom with the new
VoiceThread web-based technology. VoiceThread is a technology solution for sharing images,
text, video, drawing, and personalized voice messages. With VoiceThread, instructors and
students have access to an exciting innovative multimodal platform taking advantage of both
visual and auditory narratives. VoiceThread offers students a dynamic and engaging way to
research, reflect, deliver content and interact with each other. Imagine the possibilities of
integrating student voice-based learning. Through a web of social networks, learners build a
sense of community, locally, regionally, nationally, even globally. In this article, you will learn
how to create your own VoiceThreads and see how it can be used for interactive online group
conversations for teaching and learning.
Introduction
At Emporia State University, in the Department of Instructional Design and Technology, we
have six full time professors teaching undergraduate students in on campus and online Master’s
degree courses. We spend a great deal of time facilitating online text-based discussions,
responding to e-mails, advising students, researching, and writing papers and journal articles.
With our tremendous reliance on technology we are often on the forefront of using and
implementing many new technologies in our classrooms. With our heavy use of technology
comes a down side, overusing our hands with resultant issues of carpal tunnel syndrome.
Collectively, we are realizing the need for more audio-based interactions to save our hands,
arms, and backs from working at a computer for too many hours on end. We also see, amid the
current tight economic times, many schools are unable to implement audio components due to
the cost for hardware and software for implementation into their current online learning
management systems. In addition, many tools are one-dimensional with respect to offering only
one function at a time, such as audio as a stand-alone feature. This has led us to look for other
alternatives to more open source, low to no cost solutions, with multiple interaction options for
linking or embedding audio capabilities into our websites. Resulting from the search process,
VoiceThread was discovered as an exciting way to use audio-based chat with the ability to show
images at the same time, draw on the image, and attach a message for a more personal and
authentic teaching-learning experience for students.
One of my synchronous on campus pre-service teacher courses became a perfect candidate for an
initial classroom test pilot using VoiceThread technology. Most of the pre-service teachers in the
course are planning to work in elementary level classrooms upon completion of their degree
programs. A primary course goal focuses on preparing these future instructors to implement
technology effectively into their curriculum. One of the unique features, of the classroom
demographic selected, was related to the unique challenges facing elementary teachers when
working with very young students, who have not yet developed mastery of text-based
communications.
VoiceThread Applications
When working with new technologies, with a limited prior research base, one is basically forging
a new frontier using trial and error to determine if a new tool is a viable option for learning. Part
of the process is determining whether the tool can assist in facilitating teaching and learning,
what are the strengths and weaknesses related to conveying the desired content? Is the tool better
85
used for instructor examples and communications or student presentations and collaborations?
Or, do both methods work equally well?
How are teachers currently using VoiceThread? VoiceThread is used for active engaged
authentic inquiry-based learner critiques, explanations, analysis, interpretations, demonstrations,
reports, presentations, debates, collaborative interactions, practice, and motivation. Learners can
create digital narratives and documentaries while developing their personal voice and creating
their own portfolio of work. It is an ideal environment for differentiated instruction and inquirybased learning applied to any content area of interest. Instructors can also post lectures, podcasts,
slides, notes, demonstrations, and learning challenges for students.
What follows are some of the resources provided through the VoiceThread site and obtained
from an Internet search to further support the implementation of VoiceThread into your own
setting. From the VoiceThread site one of the tabs along the top links to their “Library”
containing numerous examples applied to different content areas to help in brainstorming
classroom application examples, located at http://voicethread.com/library/. Also, while viewing
the VoiceThread site look along the top tabs, select “Press” link to gain access to additional
articles at http://voicethread.com/press/. One external site, with many good resources for
planning classroom implementation, can be found at Digitally Speaking at
http://digitallyspeaking.pbworks.com/Voicethread. An external site called VoiceThread 4
Education Wiki is a good place to find other classrooms to collaborate with and share examples
at: http://voicethread4education.wikispaces.com/. When searching TeacherTube for potential
educational applications, one video containing some great examples was found at
http://www.teachertube.com/viewVideo.php?video_id=79814.
Search
TeacherTube
for
additional examples at http://www.teachertube.com or YouTube for many excellent tutorials at
http://www.youtube.com. If you are interested in merging SlideShare with VoiceThread check
out
the
PBS
Teachers
site
at
http://www.pbs.org/teachers/learning.now/2008/04/slideshare_and_voicethread_not_1.html.
Edutopia has an informative article from a teacher working with VoiceThread, you may find it is
a great way to extend learning beyond the traditional classroom day at
http://www.edutopia.org/voicethread-interactive-multimedia-albums.
My pre-service teachers used VoiceThread to create lesson examples for their future students
since they did not have their own classrooms yet within which to assign student projects.
VoiceThread is a great way for instructors to model the concepts to be taught using both images,
text, voice, and the drawing board directed towards the desired learning standards. The teachers
worked to make the lessons more interactive for the students by asking probing questions and
posing learning challenges to extend content learning even further. The topics the pre-service
elementary teachers selected for presentations were on states, animals, holidays, art, literature,
poems, maps, seasons, historical landmarks, and a famous Kansan. The subsequent lessons were
specifically designed to meet state standards while combining the use of KidPix for the
illustrations and VoiceThread for the examples, demonstrations, and communications. Based on
the initial pilot test it was easy to see any content area could be integrated. With more knowledge
of possible applications and more time and experience, teachers will be able to create an even
wider variety of learning opportunities.
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Pre-Service Teacher Examples: Combining VoiceThread and KidPix
States Research http://voicethread.com/share/792209/
Animal Research http://voicethread.com/share/797858/
Holiday http://voicethread.com/#e702711
Art http://voicethread.com/share/697055/
Literature http://voicethread.com/#q.b696998
Poems about the Seasons http://voicethread.com/share/697084/
Little Red Riding Hood http://voicethread.com/share/696950/
Kansas Historical Landmarks – Matching by Drawing – Embedded into Website
http://studentaccess.emporia.edu/~athorne1/website1/historygeography.html
French Impressionist Art
http://voicethread.com/#u563201.b686806.i3630554
Famous Kansan – Amelia Earhart
https://voicethread.com/#u563220.b697025.i3685852
Literature – Book Holes
https://voicethread.com/#u563219.b686748.i3630118
Van Gogh http://voicethread.com/share/696865/
Literature Review - The Very Hungry Caterpillar http://voicethread.com/share/696810/
State Fact Postcard http://voicethread.com/share/686926/
Seedfolks – Create Your Own Garden http://voicethread.com/share/696927/
Art Landscapes http://voicethread.com/share/686802/
Maps http://voicethread.com/share/686818/
Animals in the Atlantic Ocean http://voicethread.com/#u563231.b686677.i3629698
The teachers also created a website to hold additional lesson information such as the
introduction, examples, instructions, practice activities, lesson activities, resources, and
assessment rubric. The teachers felt the combination of using VoiceThread and KidPix was a
good way for students to take abstract concepts and make them more concrete by having students
create their own images and own voice to communicate concepts, ideas and feelings. This
illustrates “how the child becomes a cast of one, taking on multiple roles (i.e., artist, author,
director, scripter, performer and narrator) and selecting when and how to play with all the
available voices offered through the multimodal media – drawing, ‘telling’, dramatization,
expressive sound effects, gesture and movement” (Wright, 2007, p. 1).
By using a mash up approach to combine or mix media it has the potential for added value for
even richer learning experiences. For example, in the past teachers developed an Art lesson for
their students using a digital art program to create their own artwork. The teachers could then use
the lesson developed for authentic hands on learning experiences for their students while
combining the project with any content area of interest to be taught. Even though the content had
depth, the project itself was one-dimensional, in that when completed the learning ended. By
taking it one step further and displaying the student work on VoiceThread it opens up a whole
new dimension, with the students providing their own story and voice reflections on the learning
process. In addition, the instructor, classmates, family, friends, and the global learning
community are able to add comments and questions to extend the content, and support learners’
efforts.
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As with all new technology, there is a down side, in addition to the carpal tunnel issues
mentioned earlier. Security issues will need to be considered, such as whether VoiceThread will
be limited to the instructor’s classroom alone or opened up to other controlled classrooms or
even the larger global village. In general, the younger the students, the more controlled the
environment may need to be to protect those students. The more open the learning environment,
the more likely teaching Internet safety and etiquette may be beneficial. To protect students, if a
more open community is desired, students may use sketches in place of actual student photos and
nicknames. If the instructor wants a more controlled classroom environment, this option is still
available. Anytime the instructor is working with minors, parent or guardian permission for
working online will be needed. Often the district has a form for parents to sign at the beginning
of the year to document this type of permission. Finally, the more open the environment, the
more the instructor will need to monitor the learning environment.
VoiceThread Technology Issues
One of the technological advantages of the browser-based program is how the media options are
extended through the use of multiple channels at one time. Instead of pure text-based chat or
whiteboards used individually and separately, these features are combined in one place with the
addition of audio. This multi-media approach opens up the possibility of reaching more diverse
student populations and learning preferences. Online interactions become more interactive and
immersive for student participants.
VoiceThread has five ways to post individual or group comments including a microphone,
telephone, text, audio file (MP3/WAV), and webcam. To use visual media in VoiceThread is
broad based as it supports PDF, Word, Excel, PowerPoint, images, or import images from Flickr,
Facebook, or the web. VoiceThread also has a doodling feature allowing you to draw on top of
the media as you record your comments. VoiceThread can be embedded into your webpage or
alternatively, if you are a Moodle user, VoiceThread includes a download plug-in to allow
embedding into the learning management system. In addition, the option for a customizable
VoiceThread authenticated domain portal skinned to reflect the desired branding logo and colors
is possible. VoiceThread has many export options, from burning a DVD to downloading to an
MP3 player or other mobile device. The VoiceThread moderator can select which comments to
show to everyone else. In this way, it is possible to show only the top five comments, if desired.
Learners can have individual avatar identities, multiple identities, or group identities.
VoiceThread allows complete security control from private to public and defaults to private. The
program was built with accessibility in mind so those with physical disabilities can still have
access and participation options. VoiceThread is set up within a browser-based program with no
software to download, manage, or update. The only additional requirement is to have a current
version of Adobe Flash web browser plug-in installed on the computer, not much of an issue
since most of the PC’s come with it installed.
Creating Your Own VoiceThread
To get started creating your own VoiceThreads, go to their website at http://voicethread.com/
and register for an account. Educators can select the desired options and resulting price points
ranging from free, to discounted professional educator with some feature limitations, to a yearly
classroom subscription with all features and options included. VoiceThread also has additional
price options for use in Higher Education and business. If you are working in the K-12 setting,
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select the K-12 link from the main page then from the next page select the learn more link, then
the purchase options to see a feature comparison chart. For this example we selected the free
account and the apply button. This takes one to a page where one can elect to complete the form
and register. Then, complete the additional form information, select the submit button and you
will have successfully applied for an account.
To specifically create your own VoiceThread, go to the main website at http://voicethread.com to
select sign in or register, then type in your email and password before selecting sign in, which
will take you to a page where you can view all VoiceThreads. From this page, select the create
tab along the top and it will take you to a page where you can select the upload link to bring in
your images, documents, or videos from your computer, media source, or from a website
address. After uploading the desired media the next step is to select the comment link, then from
the media window select the second comment link below the media to be able to edit. You will
be able to record, type, or use a webcam to record a video, or make a comment by phone. To
record your own voice simply select the record button and begin talking. When you are finished,
press the stop recording button. Press the save button to save the recording. Or, if you make an
error, press cancel and you may record again. To listen to your recording, press the personal icon
on the left side of the media. With your media and voice recorded, select the share button and
you will see several options. If you select the publishing options along the bottom you can make
the VoiceThread open to the public, if desired. Since we are using teacher recordings delivered
to students, this is the option we select to allow anyone to view comments, and save the setting.
Another share option is the link along the bottom called “embed” to place the VoiceThread
directly into a web page. From the embed window, highlight the embed code in the text box,
select the copy button, and the done button. If you are embedding the VoiceThread into a web
page using a web authoring program, switch to the Code view, click between the body tags and
go to Edit>Paste. Then, switch to Design view and save the page. Next, go to File>Preview in
Browser to test before uploading the page to the server. Or, if you do not want to embed
VoiceThread into a web page from the share page, select the get a link button and then the copy
the link button. The classroom teachers, in the pilot, elected to allow anyone to view and
comment so it would be open to the public for anyone to view. Before leaving the create
window, select add a title and description link. Then, from the tabs along the top, select “my
voice” to be able to view it. Each VoiceThread has a small thumbnail and in the lower right
corner you will find a menu with a wheel icon. By selecting the menu you will find additional
editing options.
If you need any additional assistance when you login to VoiceThread at http://voicethread.com.
Along the top of the window you will find a help menu in the top right corner. There you will
find many tutorials and a frequently asked question (FAQ) area for additional support.
Remember, YouTube also has some excellent tutorials if needed.
Multimodal Learning
Ultimately, the success of any new technology used for teaching and learning is dependent on
whether users find it to be valuable and efficient for obtaining the desired learning goals.
“Experienced teachers recognize that the design of lessons must adapt to the expertise and prior
knowledge of the learner, the complexity of the content, and interest of the learner. Experienced
researchers recognize that the use of technology and multimedia, resources, and lessons can vary
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in the level of interactivity, modality, sequencing, pacing, guidance, prompts, and alignment to
student interest, all of which influence the efficiency in learning” (Fadel & Lemke, 2008, p. 8).
“The bottom line is that students using well-designed combinations of visuals and text learn
more than students who only use text” (Fadel & Lemke, 2008, p. 3). In addition, seeking learner
feedback can be very valuable for informing future adjustments to the instructional design for
improving the curriculum, instruction, assessments, and resources used for learning. “Optimizing
learning for each student requires more fine-gained differentiation of instruction that takes into
account – and leverages” – “how the brain function, how people learn, and multimedia design”
(Fadel & Lemke, 2008, p. 8). Deep understanding can be fostered through the use of relevant,
meaningful, authentic learning experiences and productions. Learning can be optimized through
metacognitive reflective thought processes such as making predictions and explaining ideas,
aligning nicely with the use of the VoiceThread technology. “Significant increases in learning
can be accomplished through the informed use of visual and verbal multimodal learning” (Fadel
& Lemke, 2008, p. 12). Again, VoiceThread technology is a nice technology tool for bringing
together both visual and verbal multimodal learning opportunities.
Some principles related to multimedia applying to the use of VoiceThread technology include: 1)
retention is improved through words and pictures combined, 2) students learn better when words
and pictures are presented near each other, 3) students learn better when corresponding words
and pictures are presented simultaneously, 4) students learn better when extraneous information
is excluded, 5) students learn better from animation and narration, 6) design effects assist lowknowledge learners, and 7) the more complex the content the more manipulation or animation
may be needed. It is interesting to note, “students engaged in learning that incorporates
multimodal design, on average, outperform student who learn using traditional approaches with
single modes” (Fadel & Lemke, 2008, p. 13). “The reality is that the most effective designs for
learning adapt to include a variety of media, combination of modalities, levels of interactivity,
learning characteristics, and pedagogy based on a complex set of circumstances” (Fadel &
Lemke, 2008, p. 14). “In general, multimodal learning has been shown to be more effective than
traditional, unimodal learning. Adding visuals to verbal (text and/or auditory) learning can result
in significant gains in basic and higher-order learning” (Fadel & Lemke, 2008, p. 14). Research
has led to multimodal interfaces allowing communications to be more natural and efficient. With
VoiceThread combining visual presentations and spoken dialogue, the most common form of
communications provides a personalized narrative for learning goals and enhanced social
interactions for collaborative learning. It would be counterproductive to ignore the benefits the
new technology tools have to offer students for engaging in multimodal literacy practices.
Due to current globalization trends, students’ social worlds are also being influenced by
interactions between diverse cultural groups. VoiceThread can be used to foster a caring and
supportive classroom environment, addressing both cultural and social needs of students with
appropriate instructor guidance. “Within the students’ social worlds meaning making has become
increasingly multimodal—visual and linguistic designs are combined to create texts” (McGinnis,
2007, p. 575).
Students can flourish within inquiry-based projects where they are allowed time to investigate
and make their own meaning. It is the instructors’ responsibility to strive to understand and
appreciate each student’s unique contributions. In reflecting on the multimodal literature,
“interactivity and multimodal presentations do not cause learning, but rather that there are a
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growing set of research-based principles for using interactive multimodal learning environments
in ways that promote learning” (Moreno & Mayer, 2007, p.321). Reducing extraneous
information and maximizing learners motivation with quality authentic inquiry-based
instructional challenges is a good starting point for planning lessons to encourage “multiple
levels of understanding” through “multiple modes of meaning making” for the acquisition of
useful knowledge (Love, 2004, p. 310). “Multimodal teaching means giving students voice in the
kinds of questions they ask and the tools to compose new ways of thinking and understanding
materials being presented. It goes beyond engagement to consider what it means to have students
interpret data from different perspectives and critically question results” to explore from different
points of view (Thompson, 2008, p. 152).
Conclusion
With VoiceThread, teachers and students have a more authentic learning environment through
combining images and personal voice messages. One can include written words, drawing
capabilities, images, and personalized verbal narratives. VoiceThread not only enhances what the
teacher and student researches, analyzes, presents, and reflects, but also makes the
communications more natural and readily accessible in both synchronous and asynchronous
learning environments.
VoiceThread Online Resources
Digitally Speaking http://digitallyspeaking.pbworks.com/Voicethread
Edutopia: The George Lucas Educational Foundation http://www.edutopia.org/voicethreadinteractive-multimedia-albums
Educause http://www.educause.edu/ELI/7ThingsYouShouldKnowAboutVoice/173329
PBS Teachers
http://www.pbs.org/teachers/learning.now/2008/04/slideshare_and_voicethread_not_1.html
SlideShare http://www.slideshare.net/suziea/voicethread-examples-in-education-presentation
TeacherTube http://www.teachertube.com
VoiceThread http://voicethread.com
VoiceThread 4 Education Wiki http://voicethread4education.wikispaces.com/
YouTube http://www.youtube.com
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Resources
Fadel, C. & Lemke, C. (2008). Multimodal learning through media: What the research says.
Metiri Group, Commissioned by Cisco.
Love S. (2004). (2007). Multimodality of learning through anchored instruction, International
Reading Association, Journal of Adolescent & Adult Literacy, 300-310, 48:4, Dec. 2004/Jan.
2005.
McGinnis, T. A. (2007). Khmer rap boys, X-Men, Asia’s fruits, and Dragonball Z: Creating
multilingual and multimodal classroom contexts, International Reading Association, Journal of
Adolescent & Adult Literacy, 570-579, 50:7, April.
Moreno R. & Mayer R. (2007). Interactive multimodal learning environments, Special issue on
interactive learning environments: Contemporary issues and trends, Educational Psychology
Review, 19:309-326.
Thompson M. (2008). Multimodal teaching and learning: Creating spaces for content teachers,
Journal of Adolescent & Adult Literacy, 144-153, 52(2), Oct.
Wright, S. (2007). Graphic-narrative play: Young children’s authoring
through drawing and telling, International Journal of Education & the Arts, 8(8).
Retrieved [Jan. 3, 2010] from http://ijea.asu.edu/v8n8/.
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Academic Honesty in Internet and Classroom Testing
Bryan Hoyt
Ilie Puiu Vasilescu
The University of Virginia’s College at Wise
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Many instructors and administrators are disheartened by the sheer quantity of cheating
that occurs among college students. Robinson, Amburgey, Swank and Faulkner (2004)
concluded that four out of five college students cheated in some manner during their college
years. In a study conducted by McCabe (1992), he reported that out of 6,000 students surveyed at
31 schools of higher education, 70 percent admitted they cheated on exams. In yet another
survey study involving 50,000 undergraduates at 60 institutions, 70 percent of the students
admitted engaging in some form of cheating and 25 percent admitted they cheated on tests and
exams (Stevens, Young & Calabrese (2007).
In attempting to understand why college students cheat, one of the factors seems well
established. If students believe their peers are cheating and if this conduct seems to be acceptable
with their classmates, students are far more likely to also cheat (Dawkins, 2004; McCabe &
Tevino, 1997). Some of the other reasons commonly given for cheating include: entering a high
stakes testing situation, students have convinced themselves it is not wrong to cheat, and students
having difficulty meeting the minimum competency skills in a subject area (Storm, P. & Storm,
R., 2007).
Two common methods of cheating, especially on tests and exams, include the
unauthorized use of crib notes or what is sometimes called cheat sheets that contain answers to
questions and the old standby of copying some other student's answers (Threnholm, 2007). Our
modern age brings us some newer ways of using these older methods of cheat. College students
today may use digital crib notes stored on a variety of electronic devices such as cell phones,
Personal Digital Assistant (PDA), music players with an audio recording of the crib notes, or
combining a blue tooth ear piece that is connected to any one of these devices (Stephens, Young,
& Calabrese, 2007; Lecher, 2005).
Faculty and college administrators are especially concerned with the growing popularity
of online teaching and the potential to cheat on tests and exams (Roach, 2001). The consensus
seems to be that due to the anonymity of online teaching compared to the traditional classroom
situation, cheating will be far more likely (Roach, 2001). However, based on a survey conducted
by Grijalva, Nowell, & Kerkvliet (2006), students reported that students were not cheating in
online class any more than they did in a traditional classroom setting. Further, Street (2008)
argued that the assumption that the lack of the instructor being physically present while the
student completes an exam online would likely lead to an increase in cheating has yet to be
proven.
These studies have relied on self-report surveys to ascertain the frequency of academic
dishonesty among college students. Baron and Crooks (2005) stated that statistical evidence and
empirical data concerning all types of cheating in online class is virtually non-existing. To the
best of our knowledge, there are no experimental studies to date that compare cheating in online
testing situations with the more traditional classroom tests.
Therefore, this study compared cheating in online tests with classroom tests using
experimental methods. This research explored who cheated and under what circumstances they
cheated.
Methods
Participants
Participants included 52 undergraduate volunteers of whom the majority was nonpsychology majors. There were approximately equal numbers of males and females enrolled in a
94
college Introduction to Psychology class at a small, rural, public, liberal arts college. Participants
were typically between 18 and 22 years of age.
Procedure
Participants completed four chapter tests that each contained 25 multiple choice
questions; out of them, 20 covered material found in the lectures and in a chapter of their
textbook. The answer to five of the 25 questions, despite of being on the same topic as the
chapter, could only be found on a special chapter crib sheet created by one of the experimenters.
The crib sheets were given to the participants at the same time they received their test in both the
online and classroom testing situations. For each chapter, the test and crib sheet was in all
regards identical for the experimental and control group, but the instructions were different.
Participants were randomly assigned to one of the two groups, and they maintained their position
until the Spring break. The experimental group was told that crib sheet was designed to be used
only as a review after they had taken the test, and not to use the crib sheet during the test. The
control group was told that students were free to use the crib sheet during the test. In the
classroom testing condition, the experimental and control group were not in the room at the same
time. The chapter tests were given either as in classroom test or online test, on an alternating
basis. Participants were given 20 minutes to complete the first classroom test and the first online
test, and 35 minutes to complete the second classroom test and the second online test.
Results
A significant interaction was found between the crib sheets condition and the participants'
performance. The performance level was determined by classifying the participants into three
groups: low, middle, and high academic performers. To determine this ranking, we eliminated
questions from the test that could only be found on the crib sheets and took the participants'
scores from the 20 questions that came from the textbook material. Those participants among the
middle and high performers cheated significantly more than the low performers, by using the
crib sheets in a prohibited manner during the test (F(2, 40) = 3.15, p = .05; see figure 1).
The repeated measure ANOVA found a significant within subject interaction between the
testing site (classroom or Internet) and the amount of time available for the test (20 or 35
minutes. When the participants were given only 20 minutes to complete the test, they cheated
significantly more in the classroom compared to online, but when they were given 35 minutes to
complete the test they cheated more in the online situation compared to the classroom testing
situation (F(1, 40) = 14.00, p = .001; see figure 2).
There was also a significant between subjects main effect for the crib sheet condition.
Those told not to use the crib sheet during the test, used it significantly more than those who
were told they could use it during the test (F(1, 40) = 3.95, p = .05; see figure 3).
Discussion
An important number of surveys found that cheating among college students is
alarmingly high (Robinson, Amburgey, Swank, & Faulkner, 2004; McCabe, 1992; Stevens,
Young, & Calabrese, 2007). The previous research was based on self-reported data, and to the
best of our knowledge, this is the first experimental study comparing classroom cheating with
online cheating on knowledge tests.
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This study found that participants were significantly more likely to the use the crib sheet
when they were told not to use it during a test than when they could use the crib sheet during a
test. This could be labeled a "forbidden fruit" phenomenon.
The researchers next examined classroom and online testing and found there was no
difference in cheating, which concurs with previous studies (Grijalva, Nowell, & Kerkvliet ,
2006). However, when the two time conditions, 20 minutes versus 35 minutes to complete a test,
were considered along with online and classroom testing there was a significant difference.
Under the condition where participants had 35 minutes in the classroom to take a 25 item
multiple choice test compared to 20 minutes, there was significantly more cheating. This makes
intuitive sense, in that it takes more time to find the answer on the crib sheet. However, just the
opposite occurred in the online testing situation. Participants actually cheated significantly more
when they had only 20 minutes to complete the test compared to 35 minutes. The researchers
could not ascertain why this occurred.
This study examined crib sheet use with academic performance on the four tests used in
this study. Participants were classified into three groups (high, medium, and low performers)
based on their total number of correct answers to 20 questions that could be found in the
textbook for each of the four tests. The reader will recall that five of the 20 questions could not
be found in the textbook, but only on the crib sheet. Among those participants that were told not
to use the crib sheet during the test, the researchers found an interesting and disconcerting
finding. The medium and high performers cheated significantly more than did the low
performers. This may be due to the supposition that better students put forth more effort and are
more concerned about gettimg a good grade, even if it requires cheating to do so.
College instructors and administrators have good cause to be concerned about
students cheating both in online and classroom testing situations. The difference in online and
classroom test cheating only appeared when we were looking at the academic performance levels
of students. Those participants whose academic performance was at either a medium and high
level cheat significantly more than lower performers.
The researchers believe more studies with an experimental design are needed that
examine the issues surrounding testing online and in the classroom. Future studies might want to
look at whether students are more likely to copy each other's answer and what, if any, safeguards
against different cheating techniques are effective.
96
References
Baron, J. & Crooks, S. (2005). Academic integrity in web based distance education. TechTrends,
49(2), 40-45.
Dawkins, R. L. (2004). Attributes and statuses of college students associated with classroom
cheating on a small-sized campus. College Student Journal, 38(1), 116-129.
Grijalva, T., Nowell, C., & Kerkvliet, K. (2006). Academic honesty and online courses. College
Student Journal, 40(1), 180-185.
Lecher, M. (2005, June). Academic honesty through technology. Paper presented at the
Academic and Administrative Technology Issues & Innovation in Higher Education,
Myrtle Beach, South Carolina.
McCabe, D. (1992). The influence of situational ethics on cheating among college students.
Sociological Inquiry, 62(3), 365-374.
McCabe, D. & Trevino, L. (1997). Individual and contextual influences on academic dishonesty:
A multicampus investigation. Research in Higher Education, 38(3), 379-396.
Roach, R. (2001). Safeguarding against online cheating. Black Issues in Higher Education,
18(8), 92.
Robinson, E., Amburgey, R., Swank, E. & Faulkner, C. (2004). Test cheating in a rural college:
Studying the importance of individual and situational factors. College Student Journal,
38(3), 380-395.
Stevens, J., Young, M., & Calabrese, T. (2007). Does moral judgment go offline when students
are online? A comparative analysis of undergraduates’ beliefs and behaviors related to
conventional and digital cheating. Ethics & Behavior, 17(3), 233-254.
Storm, P. & Storm, R. (2007). Curbing cheating, raising integrity. The Educational Forum, 71,
104-116.
Street, J. (2008). Examining the validity of testing in an online learning environment.
Dissertation Abstracts International Section A, 69(5-A), 1750.
Threnholm, S. (2007). A review of cheating in fully asynchronous online courses: A math or
fact-based course perspective. Journal of Educational Technology Systems, 35(3), 281300.
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Captions
Figure 1. Interaction of the crib sheet use (allowed or not during test) and performance levels of
participants on the tests (low, Medium, or high)
Figure 2. Interaction of time allotted to complete the test (20 or 35 minutes) and the site (either
in class or online)
Figure 3. Main effect of the crib sheet (allowed to use or not allowed to use during the test)
Fig. 1 98
Fig. 2 Fig. 3 99
Combating Childhood Obesity in Louisiana:
Coordinated School Health Approaches
Praphul Joshi
Holly K. Howat
University of Louisiana at Lafayette
100
Abstract
Childhood obesity is a growing problem in the United States. Physical inactivity, improper
nutrition and lifestyle changes have contributed immensely to this problem. Implementing
specific interventions at early ages can prevent adulthood obesity and its complications. As a part
of the coordinated school health initiative (CSH) fitness assessments were implemented for over
7,000 students covering six parishes in Louisiana in 2008-09 year. This program enabled the
schools in not only understanding the magnitude of the obesity epidemic, but also enabled
implementing interventions through community collaborations and health initiatives. This paper
describes various aspects involved in implementing the physical activity component of CSH
among Louisiana schools to address childhood obesity and related issues. Components of CSH
model will help those involved in community health, social services and school administrators to
implement public health interventions.
Introduction
The prevalence of childhood and adolescent obesity has steadily increased over the past 20 years
(Ogden, 2006). Approximately 19% of US children aged 6 to 11 years are classified as obese.
Physical inactivity, improper nutrition and lifestyle changes have contributed immensely to this
problem. Childhood obesity can have several immediate and long term implications.
Implications in the childhood can be lowered self esteem, depression, social difficulties, violent
tendencies, and becoming victims for bullying. Long term implications include hypertension,
type-2 diabetes, cardiovascular diseases, lower back pain, joint problems and certain kinds of
cancer (Jelalian, 2003). Several conditions like elevated blood pressure and type-2 diabetes, once
thought to be exclusive to adult populations – now can be commonly found in children.
Implementing specific interventions at early ages can prevent adulthood obesity and its
complications (Schetzina, 2009). School-based obesity prevention programs have produced
small changes in weight, indicating a need for more comprehensive programs (Stice, 2006).
Several interventions have been implemented in isolation at various settings (schools,
community, clinical, and religious) across the nation and yet very few show significant effects.
Decreasing duplication of services and maximizing the shared community resources towards a
common goal can help in accomplishing desired goals (Allensworth, 1987).
In an effort to address the problem of childhood obesity, the Cecil J. Picard Center for
Child Development and Lifelong Learning (Picard Center) at the University of Louisiana at
Lafayette (UL Lafayette) has been assisting school districts in the implementation of the
Coordinated School Health (CSH) initiative since 2007. The CSH initiative seeks to improve the
health and well-being of students and thereby maximize their academic abilities. Components of
the CSH initiative include physical education, health education, nutrition services, mental health
and counseling services, health services, and family and community involvement. The main
objective of this paper is to describe the implementation of CSH initiatives in Louisiana to
combat childhood obesity.
Methods
Coordinated School Health (CSH) is an effective system designed to connect health with
education. This coordinated approach improves students’ health and their capacities to learn
through the support of families, communities and schools working together. It is a model initially
developed by the Centers for Disease Control and Prevention (CDC) to systematically improve
children’s health by integrating school, students, families and communities (CDC, 2010).
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Unlike several interventions where multiple components are being implemented in
isolation, CSHP model brings multiple facets of an intervention towards achieving a common
goal. Louisiana’s ten-component model includes health services, mental heath, social services
and counseling, physical education, health education, nutrition services, healthy school
environment, staff wellness, family/community involvement, administration and organization
and early start (Figure 1). Of the ten components, health services, physical education, health
education, nutrition services and family/community involvement are directly related to childhood
obesity prevention. Implementation of these five components related to childhood obesity will be
explained in this paper.
ADD FIGURE 1 HERE
Results
Physical Education (PE)
As a part of the CSH fitness assessments were implemented for over 7,000 students
covering six parishes in Louisiana in 2008-09 year. The assessments increased to over 14,000
during Fall 2009. Fitnessgram components were used for assessment in participating parishes.
Fitness assessments were conducted to provide a comprehensive view of child’s fitness levels
instead of focusing only on weight status. Additionally, this information was used by school
district to accomplish one or more of the following: to inform parents about health profile of
their children); to inform teachers, principals and members of the parish school board about
fitness levels; to refer at-risk children to health care for interventions; to improve the overall
health of schoolchildren; and to support policy changes, through data, to increase physical
activity and health education in schools.
This program enabled the schools in not only understanding the magnitude of the obesity
epidemic, but also enabled implementing interventions through community collaborations and
health initiatives. The physical education interventions include conducting physical fitness
assessments at least annually and send home parent report of results, increasing the amount of
time allotted for P.E. in all grades to increase physical activity to 60 minutes per day, creating
stations to increase activity time during P.E., and to include activities for at-risk or special needs
students.
Health Education
The health education interventions include providing quality, consistent health education
curriculum, adult faculty and staff model healthy behaviors and incorporating health education
examples in other classes like math and science.
Health Services
Health services interventions include providing the services of school nurse daily,
involving school nurses in identifying children who are at risk for chronic diseases, screening for
obesity, fitness levels and cardiovascular risk factors (BP, lipid profile, etc) and collaboration
between nurse, physical and health education teachers and regular classroom teachers to address
childhood obesity.
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Nutrition Services
Interventions for nutrition services include increasing the number of fruits and vegetables
offered for breakfast and lunch, eliminating fried foods, increasing healthy food and drink
offerings in vending machines and other fundraisers and incorporating volunteers to assist
children in making healthy food choices.
Family/Community Involvement
Several initiatives have been implemented at the community level to address childhood
obesity through the CSHP. The include: establishment of health coalitions in all participating
parishes; efforts to include after-school and summer programs for sustaining obesity prevention
efforts; involving health care providers and making them aware of fitness reports/results;
assisting school districts in obtaining external funding to support more programs; and
incorporating principles of CSHP to minimize duplication of efforts and maximize existing
resources.
Family involvement has also been addressed in the CSHP model by hosting family
nutrition nights to educate students and families about healthy eating choices; encouraging
families to be active at home (e.g., limit screen time); and encouraging families to discuss food
purchasing and preparation with their children.
Discussion
Through a collaborative focus on a single issue, school districts are able to coordinate
resources (fiscal, temporal and human) to effect positive change in the health and well-being of
students. That is the primary mission of the CSH initiative in Louisiana. In this case, several
school districts are using the CSH to address the issue of childhood obesity. Childhood obesity is
a large, complex problem that will require multiple long term solutions. However, the use of the
CSH model is a successful first step in creating a system of interventions to address the
childhood obesity epidemic in America.
In order to successfully address an issue like childhood obesity with the CSH model,
several infrastructure steps must be taken. First and foremost, a district must make a commitment
to implementing the CSH initiative. This starts with the superintendent, but eventually must
extend to every employee of the school district, including bus drivers, substitute teachers and
educational consultants. Additionally, the community must have a commitment to school-based
coordinated school health.
The next step is identifying and empowering key leaders to drive the CSH
implementation. Further, school district must understand and use quality data about their school
district to reach decisions regarding CSH implementation. This leads to the next step of
developing a realistic action plan for implementation. This plan will include short and long term
goals. After the plan is developed, school district must choose pilot sites for implementation.
Again, data driven decision making should drive this process.
In Louisiana, school districts are now required to convene a school health advisory
council (SHAC). This SHAC includes members of the community, parents, students and school
district staff. The purpose of the SHAC is to drive policy that promotes the health and wellbeing of students. Finally, any and all implementation (programs, policies, processes) should be
monitored during implementation to assure fidelity of implementation and evaluation for
outcome success. The essential elements are listed below in Table 1.
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. Table 1: Essential Elements of Coordinated School Health Implementation
Establish a district commitment to CSH
Activating the CSH district leadership team
Using the driving force behind CSH: Data driven decision making
Developing a realistic action plan
Choosing pilot schools wisely
Convening the school health advisory council
Monitoring process to ensure success
Implementing CSHP includes several benefits at student level, teacher level and at school
level. At the student level an increase in school attendance and increased health and well being
can be expected (Hollar, 2010). Teachers will benefit by having increased time to teach, and
decreased teacher absenteeism. Schools will ultimately benefit by increased amount of socially
appropriate behavior among children and increased amount of health resources available for atrisk children (Cottrell, 2007). Implementing interventions at school level can have potential
challenges including academic pressures, lack of parental support, limitations of the school
environment, and parents concerns that their children aren’t getting enough physical activity or
health education (Schetzina, 2009). Due to increased pressure on school to boost academic
scores (reading and math scores through standardized tests), PE time has been reduced
significantly in a large number of school settings. Efforts should be made to increase physical
activity time and health education class time and allow students to de-stress. Studies have shown
that students who are physically active and maintaining healthy behaviors achieve high scores in
math and reading (Roberts, 2010).
Despite several challenges, school setting continues to be recognized as important for
promoting the development of healthy behaviors (Davis, 2007). The CSH model is a best
practice method for increasing student health and may be effective in addressing childhood
obesity. Lessons learned from the implementation of CSHP in Louisiana can be applied
elsewhere in the nation. Implementing coordinated efforts elsewhere in the nation can immensely
help in combating the issue of childhood obesity.
104
References
Allensworth DD, Kolbe LJ. The comprehensive school health program: exploring an
expanded concept. Journal of School Health 1987; 57: 409-412.
Cottrell LA, Northrup K, Wittberg R. The extended relationship between child
cardiovascular risks and academic performance measures. Obesity (Silver Spring). 2007
Dec;15(12):3170-7.
Davis MM, Gance-Cleveland B, Hassink S, Johnson R, Paradis G, Resnicow K.
Recommendations for prevention of childhood obesity. Pediatrics 2007; 120: S229-S253.
Hollar D, Messiah SE, Lopez-Mitnik G, Hollar TL, Almon M, Agatston AS. Effect of
a two-year obesity prevention intervention on percentile changes in body mass index and
academic performance in low-income elementary school children. Am J Public Health. 2010
Apr;100(4):646-53.
Jelalian E, Mehlenbeck R. Pediatric obesity. In: RC Michael (Ed.). Handbook of
pediatric psychology. New York: The Guilford Press, 2003; 529-543.
National Center for Chronic Disease Prevention and health Promotion, Division of
Adolescent and School Health. Healthy youth! Coordinated school health program. (Online).
Available: http://www.cdc.gov/HealthyYouth/CSHP/ (Accessed 20 April 2010).
Ogden CL, Carroll MD, Curtin LR, McDowell MA, Tabak CJ, Flegal KM.
Prevalence of overweight and obesity in the United States, 1999-2004. Journal of the American
Medical Association 2006; 295: 1549-1555.
Roberts CK, Freed B, McCarthy WJ. Low aerobic fitness and obesity are associated
with lower standardized test scores in children. J Pediatr 2010 May;156(5):696-7.
Schetzina KE, Dalton WT, Lowe EF, Azzazy N, von Wessowetz KM, Givens C,
Stern HP. Developing a coordinated school health approach to child obesity prevention in rural
Appalachia: results of focus groups with teachers, parents, and students.
Stice E, Shaw H, Marti CN. A meta-analytic review of obesity prevention programs
for children and adolescents: the skinny on interventions that work. Psychological Bulletin 2006;
132: 667-691.
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Figure 1: Louisiana’s 10 Step Component CSHP Model
106
Special Equipment Use among Frail Elders with Family Caregivers
Suk-Young Kang
Randy Basham
The University of Texas at Arlington
107
Abstract
Due to the chronic illness and/or the limitations on activities of daily living (ADL), frail
elders in community use special equipment. For example, when they need to go outside, they
may need to use special equipment like a cane or walker or a guide dog to help them get around.
The present study examined predictors of special equipment utilization among 1,505 frail elders
with family caregivers using the framework of the stress process model. This study used
caregiver survey data set from the 2004 National Long-Term Care Survey. The major research
question is what the significant predictors of special equipment use among frail elders with
family caregivers.
Based on multiple regression analyses, the models (R square = .238) indicate that elder’s
age, elder’s cognitive impairment, number of ADL limitations, caregiver’s perceived overload,
informal support, the availability of back person besides the primary caregiver, and formal
service use were significant correlates in explaining the utilization of special equipments. The
most variables among secondary stressors among caregivers, such as family conflict or caregiver
strains did not make any significant impact on the use of special equipments.
Findings provide important information for provision of special equipment for frail elders
and their family members. The identification of predictors of the utilization of special
equipments can give important impetus to keep frail elders independently in the places where
they prefer to be.
Introduction
Since ancient times, the equipment used by human beings to make up for declining
physical health has been well documented. For example, in the response to the riddle of Sphinx
of Greek mythology, “What goes on four legs in the morning, on two legs at noon, and on three
legs in the evening?” Oedipus answered, “A man.” with the assumption that a cane constitutes
the third leg. Because of chronic illness and/or the limitations on activities of daily living (ADL),
frail elders in community may need to use special equipment such as canes or walkers or a guide
dog to help them get around.
By the year 2050, the projected proportion of older people in the United States will
increase to 20% from 2000’s 12% (U.S Census Bureau, 2004). However, extended longevity
does not automatically guarantee good health. In fact, as elders live longer, the incidence rate and
prevalence rate of chronic disorders among them increases. Approximately 80% or more of
community-dwelling (meaning who are not living in the institutions such as a nursing home)
older people in the U.S. suffer from at least one chronic disorder, while 50% have at least two
and 25% have four or more (Bodenheimer, Wagner, & Grumbach, 2002; Wan, Sengupta,
Velkoff, & DeBarros, 2005). Based on the 1982 and 1994 National Long-Term Care Surveys
(NLTCS), more than 20% of older people in the U.S. are functionally disabled or currently in
need of some form of long-term care (Doty, 1986; Trout, Krehbiel, & Kocz, 1999). One of the
factors contributing to the long-term care needs of elders is chronic physical impairment
resulting from such conditions as osteoarthritis, osteoporosis, cardiovascular disease, and stroke.
The physical deterioration of elders contributes to their physical and behavioral dependency
(Horgas, Wahl, & Baltes, 1996).
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According to the 1990 Census, the percentage of elders requiring personal assistance
increases progressively with age (U.S. Bureau of Census, as cited in Aneshensel, Pearlin,
Mullan, Zarit, & Whitlatch, 1995). Whereas 9.3% of elders aged 65 through 69 years require
such assistance, 10.9% of those aged 70 through 74 years do, 18.9% of those 75 through 79 do,
23.6% of those 80 through 84 do, and 45.4% for those 85 years or older do require personal care.
These elders depend on others for what they could once do for themselves, such as personal care
(e.g., dressing, bathing, toileting) and instrumental tasks (e.g., cooking, transportation, shopping)
(Stephens & Franks, 1999).
The present study used the framework of the stress process model (SPM) to examine the
predictors of the need for and utilization of special equipment among 1,505 frail elders with
unpaid family caregivers. This study utilized the stress process framework (Pearlin et al., 1990;
Zarit, 2006) to conceptualize experience of the frail elders and that of the caregivers. The
predictors of special equipment use variables were selected according to Presser and Ferraro’s
study (2009).
Special equipment use among older population
Currently, about 35 percent of people age 75 and older utilize at least one type of special
equipment or made home modification for accessibility. This number will rise in the future
because of the increase in the number of older people in the US (Hooyman & Kiyak, 2011).
Previous research findings have clearly suggested that the use of special equipment by older
people with disabilities help them to stay out of nursing homes, prevents hip fractures, and
supports them in living independently wherever they want to live (Cutler, 2001; Manton & Gu,
2001). However, previous studies tend to address the relationship between the frailty of elders
and special equipment use without including the variables related to the caregiving experience
around these elders. This study can include information of elders and caregivers.
Method
Data Source, Study Sample, and Measurements
Data for this study were derived from the 2004 National Long Term Care Survey
(NLTCS) sponsored by the National Institute on Aging (National Long Term Care Study, 2004).
Only data from expanded caregiver information on 1,924 families who had elders with ADL or
instrument ADL (IADL) impairments living in the community with help from caregivers were
included for the current study. The 2004 survey was administered to 1,505 “primary unpaid
caregiver(s) for persons living in the community,” and this definition also serves as the definition
of caregiver for the current study. The study sample comprised of 1,505 unpaid spouses (709 =
397 wives and 312 husbands) or adult children (796 = 552 daughters and 244 sons) caregivers.
The dependent variable for this study is the frequency of special equipment use among
the 1,505 elders in the sample. The frequency was measured with the following six questions and
composited to the dependent variable of this study: 1) Do you use special utensils or special
dishes to help you eat? (Yes: 7 out of 1,380 respondents) 2) Do you use special equipment like a
wheelchair, a walker, or a cane to help you to get into or out of bed? (Yes: 338 out of 1,246) 3)
Do you use special equipment like a wheelchair, cane, or other device to help you get around
inside? (Yes: 600 out of 1,246) 4) Do you wear special clothing or use special equipment to help
you get dressed? (Yes: 18 out of 1,114) 5) Do you use special equipment like a shower seat, a
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tub stool or a grab bar to help you bathe? (Yes: 469 out of 1,016) 6) Do you use special
equipment like a raised toilet, a bedside commode, or a grab bar to help you to use the toilet?
(Yes: 398 out of 1,268).
The measurements in this study are based on measures found in the 2004 NLTCS, with
some measures being modified based on measures used in Pearlin’s (1990) study. Variables
include categories related to demographics, stress, and coping categories. Because of limitation
in the availability of NLTCS data, only caregivers’ gender, employment status, and living
arrangement along with elders’ age, racial background, gender, education level and Medicaid
status are included as sociodemographic factors. The variable for receiving Medicaid is used as a
proxy measurement of income. As is usual in any survey, the 2004 NLTCS is missing many
values related to income. Even though the eligibility to receive Medicaid is not a precise
measurement equivalent to income, it is a practical choice under the circumstances (Mui &
Kang, 2006).
The stress factor predictors include both primary and secondary stressors. Primary
stressors are events and experiences that derive directly from the care receiving elder’s illness,
such as the elder’s cognitive impairment and disruptive behaviors, ADL tasks provided by the
caregiver, IADL tasks provided by the caregiver, length of caregiving, hours of caregiving, and
the caregiver’s perception of overload. Elders’ cognitive impairment was measured using the
Short Potable Mental Status Questionnaire (SPMSQ), while elders’ disruptive behaviors are
measured using the caregivers’ responses to how many days in the past week the caregivers had
to deal with any of 15 different disruptive behaviors. Caregiver involvement is measured using a
composite score of ADLs, a composite score of IADLs, and the average hours of caregiving. The
ADL measure consists of a composite of yes/no answers related to assistance provided with six
items focusing on ADL activities. The IADL measure includes 10 items, caregivers’ perception
of overload is the composite score of four items suggested by Pearlin et al. (1990).
Secondary stressors are the products of stress proliferation that “can exert their own
independent deleterious effects” (Pearlin & Skaff, 1996, p.242). Secondary stressors are results
that spill over into other areas of the caregiver’s life from the primary stressors. Secondary
stressors are measured using the limitations on the caregiver’s life, frequency of inconvenient
incidents, the caregiver’s perception of worsening health that is due to caregiving experiences,
and family conflict. A limitation on the caregiver’s life is a composite score that sums yes/no
responses to five dichotomous items about the caregiver’s life.
Social Support/Coping resources /Service Use as coping factors, the next category of
predictors, include the number of informal support networks, receipt of informal help, the
availability of respite care, use of formal service, the elder’s having been in nursing home before,
the elder’s being hospitalized, and the presence of a back-up caregiver. The availability of respite
care is measured by one item with a yes/no dichotomous response. Formal service use is a
composite score of the reported utilization of 10 formal services.
Data Analyses Procedure
Descriptive statistics were used initially to generate a profile of the sample. Composite
indexes were created for the purpose of data reduction whenever necessary. For multivariate
110
analyses, hierarchical linear regression analyses were used to identify predictors. A simple
additive model was used to test the effect of sociodemographic factors, stress factors, and special
equipment utilization. Hierarchically, sociodemographic factors were entered first as controls
because they occur temporally prior to other sets of predictor variables (J. Cohen, Cohen, West,
& Aiken, 2003). Primary stressors were entered second, and secondary stressors were entered
third. This sequence was used in multivariate model building because, according to the stress
process framework, exposure to primary stressors often leads to secondary stressors. The coping
factors were entered fourth.
Results
Description of the respondents
Table 1 contains the descriptive information of this study sample. The mean age of elders
with family caregivers was 80 years. As expected, the majority of frail elders (73.9%) is female
and has female caregiver (63.1%), and more than two-thirds (73.9%) are living with their
caregivers. The majority of caregivers (56.2%) are juggling the role of caregiver and the role of
employed worker. The racial make-up of elders was 88.7% white and 11.3% non-white. Only
16.9% of elders are receiving Medicaid.
<Insert Table 1 around here>
In terms of primary stressors, the mean score of elder’s cognitive impairment is
comparatively low, and elders with caregivers reported their health to be above the median. On
average, more IADL tasks are provided for elders than are ADL tasks. The average number of
caregiver-ADL tasks was 1.17 (SD = 1.85, range 0 – 6), and the average number of IADL tasks
was 5.15 (SD = 2.91, range 0 -10). The length of caregiving was measured using 8 categories: 1)
less than 3 months, 2) 3 to 6 month, 3) 6 months to less than 1 year, 4) 1 year to less than 2 years,
5) 2 years to less than 4 years, 6) 4 years to less than 7 years, 7) 7 years to less than 10 years, and
8) 10 years of more. The mean of the length of caregiving was 5.3 (SD = 2.91). On average,
caregivers were providing 26.4 hours of caregiving per week (SD = 35.4, range 1 -168), which is
the same as working three-quarters time in terms of full-time employment. The mean of the
composite score for the caregiver’s perception of overload indicated moderate overload at 6.85
(SD = 3.26, range 0 -10).
In terms of secondary stressors, the mean of the limitations on the caregiver’s life was
mild at 1.42 (SD =1.72, range 0 – 5). The mean of the caregiver’s perception of inconvenience
was mild at 1.19 (SD = 1.23, range 0 -4). The mean of family conflict was 1.23 (SD = 1.23,
range 1 – 3).
In terms of coping factors, less than 20% of elders (17.7%) had been in a nursing home,
and 36% of elders had been hospitalized. The family respondents reported low level of informal
support with an average number of informal supports at 1.75 (SD = 1.64, range 0 – 9).
Caregivers of these elders rated their own health at a mean of 2.87 (SD = 0.84, range 1 – 4).
Only 1 out of 10 families reported that respite care was available for them. The use of formal
services was very low, with a mean of 1.75 (SD = 1.64, range 0 -9). However, most of the
families (62.9%) reported the presence of a back-up person.
Mutlivariate Analsis
Table 2 presents the result of the hierarchical regression model of special equipment use
by the study respondents. Only statistically significant predictors were included in the table.
111
Based on multiple regression analyses, the model (R square = .238) indicates that the elder’s age,
the elder’s cognitive impairment, the number of ADL limitations, the number of medical
conditions elders have, the caregiver’s perception of overload, the formal service use and the
availability of a back-up person besides the primary caregiver were significant correlates in
explaining the utilization of special equipment. Most of the variables among secondary stressors
among these families, such as the limitations on the caregiver’s life, inconvenience resulting
from caregiving and the level of family conflict had no statistically significant impact on the use
of special equipments.
<Insert Table 2 around here>
One variable among the primary stressors and on variable in the coping factors were
significant correlates in explaining special equipment utilization when all else was equal.
Specifically, with standardized coefficients comparison, the formal service use had the strongest
effect (β = .28), followed by the caregiver’s perception of overload (β = -.24), the number of
ADL limitations (β = .17), the elder’s age (β = .16), the level of the elder’s cognitive impairment
(β = -.12), the number of elders medical conditions (β = .10), and the availability of a back-up
person besides the primary family caregivers (β = -.09).
Discussion and Implications
It is clear from the changing demographics in America that how to care for the growing
elderly population is an area of social concern. The provision of special equipment has
enormous implications for how and where older people can live since the use of special
equipment can help older people stay where they prefer to stay. The findings suggest that more
formal service use is an important predictor of more special equipment use. Thus, when health
care providers plan for formal service use, it would be prudent to include the need for special
equipments use.
The national average annual cost of living in a nursing home is $75,109, according to a
recent report by major life insurance company (MetLife, 2006). In 2001, the real median U.S.
household income before taxes was $42,228 (U. S. Bureau of the Census, 2001), which means it
is likely that more than half of American families could not afford the long-term care expense for
one elderly family member living in a nursing home. The cost of community services that allow
people to remain at home could be lower than the cost of nursing home according to Russell
(1998) and according to an analysis of Medicaid data by the Center for Personal Assistance
Services at the University of California, San Francisco (Lefleur, 2009).
Moreover, 84 percent of people who are between 50 and 64, and 95 percent of people
who are 75 and older, agreed with the statement “I would like to stay in my home and never
move.” (AARP as cited in Hooyman & Kiyak, 2011). Given the importance of honoring the
wishes of older people prefer to stay in their communities rather than moving into a nursing
home, it is imperative that factors related to the utilization of devises (special equipment) are
identified and well understood. Women have been primary caregivers for all generations so
health care providers intend to provide more special equipments for frail elders in need it would
be effective to recruit women in the household to help frail elders to stay in the community.
Besides women help elders most, people should recruit women to provide information for elders.
112
As the data in the National Long Term Care survey showed, 42% of elders with family
caregivers used special equipment like a wheelchair, a cane, or other device. Medicare covers
items considered as Mobility Assistive Equipment (MAE), which include canes, crutches,
walkers, manual wheelchairs, power wheelchairs, and scooters (Center for Medicare & Medicaid
Services, 2010). However, Medicare does not pay for home adaptations like the installation of
grab bars, shower seats, or transfer benches, all of which can prevent falls. This policy must be
changed because 1 out of 3 elders with family caregivers used this kind of special equipments
based on NLTCS data. It has also been reported that “the most popular modification is to install
grab bars in bathrooms in about 30 percent of homes owned by adults 65 and older”(Hooyman &
Kiyak, 2011, p. 474). Hip fractures, often caused by falls in bathrooms, are of great concern
because of their correlation with immobility and mortality and because of the cost to society due
to the high possibility of hospitalization. Thus, it is intuitive that the policy related to Medicare’s
providing coverage for installing special equipment be modified. We believe that the findings in
this study provide important information related to provision of special equipment for frail elders
and their family members. The identification of predictors of the utilization of special equipment
can help frail elders continue to live independently in the places that they prefer to live.
Limitations of the Study
Because design of the 2004 NLTCS focused more on collecting information about the
frail elders than about their caregivers, some important variables, such as the relationship quality
between caregivers and elders and caregiver’s incidents of depression were not measured. Thus,
the selection of variables and the extent of the exploration of contributing factors to special
equipment utilization in this study are limited by the availability of data. In addition, the 2004
NLTCS caregiver survey did not have questions about caregivers’ racial and ethnic backgrounds.
The lack of cultural background information on the caregivers precluded consideration of these
factors in the models.
An income variable for the caregivers could not be included since the NLTCS data set
does not include information about the caregiver’s income, a gap that limits the model for this
study. Another limitation of the study is the cross-sectional design since with this design, it is not
possible to consider how changes in the respondents’ experiences or circumstances around
special equipment utilization over time may affect their decision-making processes.
Future Research Suggestions
There is much left to learn about special equipment utilization. First, the information
about caregiver’s and elder’s backgrounds should be augmented. Additional information on
cultural, ethnic, and racial differences is needed in order to assist social service providers and
long-term care service providers in designing culturally sensitive interventions and services.
Another study with a large-scale racially and ethnically diverse data set would be helpful in
updating or comparing about stressors across the ever-expanding ethnic diversity of the United
States.
The use of other measurement tools will also provide information of benefit to health care
practitioners. The measurement tools used here were partially borrowed from previous research,
but it would be beneficial to have a more refined research model in order to study such predictors
of strain as role captivity, loss of self, management of the situation, and management of the
113
meaning (Pearlin et al., 1990). Knowledge of the role of these predictors, combined with more
multidimensional scales for anxiety, strain, and depression as outcome variables with special
equipment utilization. It will also be beneficial to have longitudinal study designs in order to
describe patterns of change in special equipment utilization by time in closer intervals and to
establish the direction and magnitude of causal relationships (Menard, 1991).
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overview of concepts and their measures. The Gerontologist, 30, 583-594.
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Gerontologist, 36(2), 239-247.
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Adult daughters and sons as caregivers to aging parents. In J. C. Cavanaugh & S. K.
Whitbourne (Eds.), Gerontology: An interdisciplinary perspective (pp. 329-354). New
York: Oxford University Press.
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115
Table 1. Descriptive information of samples
Mean (SD) or Percentage (%)
1.29 (1.27)
Use of equipment (0-5)
Context variables - Sociodemographic
Caregiver gender (male = 1)
Caregiver working and caregiving (1 = yes)
Living arrangement (1= living together)
Elder’s gender (male = 1)
Elder’s race (white = 1)
Elder’s education (1-17)
Medicaid (yes =1)
Elder’s age (65-108)
Primary Stressors
Elder’s cognitive impairments (0 -10)
Elder’s self-rated health (1-4)
ADLs provided (0-6)
IADLs provided (0-10)
Length of caregiving (1-8)
Hours of caregiving (1 -168)
Number of Medical Condition (0 – 10)
Caregiver’s perceived overload (4 -16)
Secondary Stressors
Limitations on caregiver’s life (0 – 5)
Inconvenience (0 - 4)
Family conflict (1 -3)
36.9 %
56.2 %
70.4%
36.1%
88.7%
7.94 (3.48)
16.9%
80.1 (8.02)
1.33 (1.83)
2.67 (0.91)
1.17(1.74)
5.15 (2.91)
5.32 (1.81)
26.36 (35.43)
3.23 (2.02)
6.85 (3.26)
1.42 (1.72)
1.19 (1.24)
1.23 (0.52)
Coping Resources/ social support/Service
use
Nursing home (1 = yes)
Hospitalization (1 = yes)
Informal support (0-9)
Caregiver Self-rated health (1 -4)
The availability of respite care
Formal service use (0-9)
Back up person (1= yes)
17.7%
36%
1.75 (1.64)
2.87 (0.84)
10.3%
1.75 (1.64)
62.9%
116
Table 2. Determinants of Use of special equipments
Predictor Variables
Context variables - Sociodemographic
Caregiver gender (male = 1)
Caregiver working and caregiving
Living arrangement
Elder’s gender (male = 1)
Elder’s race (white = 1)
Elder’s education
Medicaid
Elder’s age
Primary Stressors
Elder’s cognitive impairments
Elder’s self-rated health
ADLs provided
IADLs provided
Length of caregiving
Hours of caregiving
Number of Medical Condition
Caregiver’s perceived overload
Secondary Stressors
Limitations on caregiver’s life
Inconvenience
Family conflict
Coping Resources/ social support/Service
use
Nursing home
Hospitalization
Informal support
Caregiver Self-rated health
The availability of respite care
Formal service use
Back up person
R2 Total (Adjusted R2 Total)
Note. * p <.05, ** p< .01, *** p <.001
117
Use of equipment
.027**
-.107*
.289***
.072*
-.112***
.250***
-.268*
.238*** (.199***)
Regarding the Self:
A Longitudinal Examination of Attitudes from 1990 to 2010
Concerning the Nature of the Self
Allen Francis Ketcham
Martin Brittain
Frank Taylor
Texas A&M University
Jeffrey Schulz
Central Community College
118
Abstract
This article examines changes in college students’ attitudes toward the “self” over a
twenty year period. Research questions designed to identify traditional, nontraditional, modern
and postmodern inclinations were administered to large samples of subjects in the years
including 1990 and 2010. The survey was administered to a total of 5,678 students from
Nebraska, Texas, Washington, California, Colorado, Louisiana, Illinois, Kansas, North Carolina,
South Carolina, Oklahoma, Australia, The Philippines, Canada, England, Mexico, Chile,
Romania, Finland, Wales, Gaza Strip, South Korea and the Native-American Makah tribe in
Washington State.
Purpose and Methodology
The purpose of this research is twofold. First, to analyze contemporary and past students’
views of “themselves” in order to categorize them into four thought-eras: traditional,
nontraditional, modern, and postmodern. The second purpose is to compare and contrast
contemporary (2009/10) students’ responses to the answers of students from twenty years ago
(1990/91).
During the years of 1990/91 and 2009/10, college students from diverse backgrounds
were administered surveys that included demographic questions and a grouping of attitudinal
research questions. In the 1990/91 period, 2,562 college students in the United States and abroad
responded. There were 3,116 domestic and foreign respondents in 2009/10 sample. Therefore,
this study included 5,678 individuals with 369,070 data points.
The research methodology is bi-dimensional and is referred to as the “Signification
Model.” (Ketcham et al., 2001, p.p. 4-7). It examines the intersection of four “Value Clusters”
with three “Existence Modes.” The “Value Clusters” are associated with human thought-eras:
traditional, modern, postmodern and nontraditional. They are taken from the work of JeanFrancois Lyotard. Lyotard does not present his taxonomy as purely human eras structured by
time only. His concept is of thought-eras in which an individual can hold ideas from more than
one value cluster simultaneously. The other research dimension is “Existence Mode.”
Existence modes are: self, others, and religious/philosophical. This paper focuses on the four
clusters in respect to the one mode of self. Subsequent papers will analyze the “Value Clusters”
in relation to the modes of others and religious/philosophical.
The traditional value cluster centers on the core of Western values, canons, time-honored
virtues and ancient probities. Respondents that agree with traditional attitudes in this study,
indicate their bond with handed-down ideas of custom, religion and heritage. This cluster can
also include adherence to the “classical” Greco-Roman values.
The nontraditional component is what Lyotard refers to as “antimodern.” A better name
for this cluster may be “againsters.” Terms used to describe this cluster have been avant-garde,
beatnik, hippie, lost generation, etc.
The modern value cluster is grounded in values from the Enlightenment. This 18thcentury philosophical movement placed emphasis on reason, individualism, progress and
science. Modern democracies, like the United States, are heavily influenced by Enlightenment
thinkers such as Locke and Montesquieu.
Finally, the postmodern value cluster is “incredulity towards metanarratives.” (Lyotard
1984). Postmoderns also hold a deep doubt that systematic knowledge is possible. This cluster
typically exhibits a radical, cynical, nihilistic and solipsistic Weltanschauungen.
119
Review of the Literature
Existence Mode and the Notion of the Self
This article is concerned with the how contemporary students view the abstract concept
of “self.” Since philosophers have struggled with this notion of self for well over 2,000 years, it
is beneficial to catalog some of their efforts and how they may affect modern attitudes.
Plato was prominent for arguing that the “self” is distinct from the body. He believed
that after its short stay in the body the soul/self returns to heaven upon the death of the physical
person. The strongest contemporary locus of this concept of soul/self is Christianity. Unlike
Plato, Epicurus and Aristotle saw the soul/self as real, but material only. For these philosophers,
when the body dies the soul/self dies also. These views would appeal to traditional-values
students
Descartes, the first modern philosopher, bifurcates the self into two distinct aspects; the
body and the mind/soul. Descartes’ view is influential today especially in psychology and
education and is the common western modern view. One of Descartes’ contemporaries, Hobbes,
developed a very different concept of self. Hobbes’ self is purely material --- matter in motion.
Hobbes’ self is essential to the worldview of the Marxist-Leninist materialist moderns. Hobbes’
view of self is still the basis of the mindset of the contemporary non-theist.
Locke, another modern, postulates a spiritual self, but thinks that we really can’t know
much about it. Locke’s spiritual view of the self is extended by his fellow empiricist, Berkeley.
Berkeley holds that the spirit is completely the self and that ideas are all of reality. Berkeley’s
view is very sophisticated, and never has been particularly influential.
The remarkable skeptic, David Hume, took on the notion of self with devastating results.
Hume, always the one to stress simplification, first attempted to clarify the concept of self.
Hume found that the ordinary definition of the self is something like, ”that indivisible thing that
comprises our physical activities and mental states during a lifetime.” And even though the
person changes over time, it is the same self --- I am me at six years old and the same self at
sixty years old. In contradistinction to this ordinary definition Hume states that the:
…self … must be some one impression… But self or person is not
any one impression, but that to which our several impressions and
ideas are suppos’d to have a reference. If any impression gives
rise to the idea of self, that impression must continue invariably the
same, thro’ the whole course of our lives; since self is suppos’d to
exist after that manner. But there is no impression constant and
invariable. (Hume, p. 251)
Hume is clear. The ordinary definition of self is non-divisible. That is a “simple” or
what later philosophers referred to as “atomic fact” or a thing that cannot be further divided.
Since ordinarily the self is an enduring thing, Hume states that the self must relate to some single
impression that a person can sense in a “constant and invariable” manner. No such constant
impression can be associated to the notion of the self, and, therefore the self is literally
“nonsense” --- not of the senses.
How does Hume support the claim that there is no self? He simply points out that what
we call ourselves is always some particular perception --- “heat or cold, light or shade, love or
hatred, pain or pleasure.” We human selves are just a shifting group of short-lived perceptions
120
feelings and thoughts. Hume’s self is a fiction.
postmodern-values students.
Hume’s self would primarily appeal to
The Value Clusters
Brief research definitions of the thought-eras (traditional, nontraditional, modern and
postmodern) follow. The behaviors-of-the-self, for this study, is within these four thought-eras.
Traditional
According to Giddens “Tradition is an organizing medium of collective memory that is
attended by “guardians” whose authority derives from their relation to this collective memory”
Giddens further elaborates that “Tradition is bound up with memory and ritual: it is formulaic
and accepted as true, and as a guide to action, because of the ‘combined moral and emotional
content’ that goes with it” (Wallace & Wolf, 1999, p. 184).
Giddens describes traditional thought as: “emotionally comfortable, a world in which
each person has a place that is secure, a place in the family among the pantheon of ancestors.”
The traditional person identifies with his or her ancestors and emulates them. Daily work is
carried out just as it always has been, not to secure profit but to perform one’s duty, and maintain
one’s place in the society. Nothing is innovative, and there is no way to “improve” one’s life
situation. No distinction exists between daily life and spiritual life --- it is all one. Almost all
religious systems can serve as the basis for traditional society. (Isbister, 1998, p. 34-35).
Giddens attempts to show how the traditional viewpoint contrasts with modernity. He
posits that the modernists replace tradition with expertise. Giddens believes that traditions are
destroyed and not rebuilt, in part because of the spread of modern institutions worldwide and the
magnitude of the modernization process, and in part because of internal changes that undercut
traditions’ legitimacy.
In any case, what replaces tradition is expertise. Experts relate to principles that are
outside of the local environments where tradition dwells. They have confidence in abstract
arguments and universal principles. Another difference is that traditionalist leaders tend to be
generalists who address all aspects of life, and experts focus on just one sphere in which people
are looking for guidance. With the modern dependence on experts, “All knowledge is open to
correction and continuing refinement, so society is left with the feeling of resting on shifting
sand” (Wallace and Wolf 1999, p. 184).
Nontraditional
Nontraditional thought may be defined as counter cultural. It is antithetical to traditional
attitudes. Lyotard refers to this viewpoint as “antimodern.” The people who hold it are
essentially, the “againsters.”
Modernity
According to Harrison (1998) there are ten characteristics that are associated with
modernists: “1. A readiness for new experience and an openness to innovation; 2. An interest in
things other than those of immediate relevance; 3. A more ‘democratic’ attitude towards the
opinions of others; 4. An orientation to the future rather than the past; 5. A readiness to plan
one’s own life; 6. A belief that we can dominate our environment and achieve our goals; 7. An
acceptance that the world is ‘calculable’ and therefore controllable; 8. An awareness of the
dignity of others, for example, women and children; 9. A faith in the achievement of science and
121
technology, albeit a somewhat simple faith; and 10. A belief in ‘distributive’ justice” (Harrison,
1988, pp. 20-21).
Postmodernity
Postmodernism is, basically, a disbelief in modernism. It emphasizes subjective and
local experiences rather than science and technology. The principle threads of postmodernism
are subjective experience and power. Postmodern theorists believe there are no such things as
objectivity and universal truth. In their view all truth is relative and subject to history, context,
and ambiguity.
Findings
The findings of the study are represented in four sets of tables. There is one set of tables
for each thought era. The tables’ titles are the research questions. The Y axes in each table are
the percents of answers of the questionnaires. The X axes in each table are the specific answers
to the questions: strongly agree, mildly agree, undecided, mildly disagree, and strongly agree.
The blue bars (left side) correspond to the 1990/1991 data set and the purple bars (right side)
correspond to the 2009/2010 data set. The combined bars represent about 125,000 answers to
questions over a two decade period. Because of the large sample sizes, even small differences in
the bars are frequently statistically significant (according to chi square analysis).
The Traditional and the Self
Table 1 indicates a sizeable change over twenty years. There is a shift in the 2010
respondents away from this traditional value. There are fewer agree (six fewer percentage
points), more undecided and more disagree answers.
Table 1. personal sacrifice is essental for happiness
45
40
35
30
25
%
20
1990
15
2010
10
5
0
1
2
3
4
ans : 1=SA, 3=U, 5=SD
122
5
Table 2 shows a small move away from this traditional value of duty. The move here is
towards undecided rather than disagree. There is still a strong inclination towards this value.
Table 2. duty is important to me
50
45
40
35
30
% 25
1990
20
2010
15
10
5
0
1
2
3
4
5
ans : 1=SA, 3=U, 5=SD
Table 3 shows a move towards disagree by the 2010 group. It should be noted that this is
the only bimodal distribution in the traditional questions.
Table 3. I do not feel anxious most the time
35
30
25
20
%
1990
15
2010
10
5
0
1
2
3
4
ans: 1-SA, 3=U, 5=SD
123
5
The Nontraditional and the Self
Table 4, “home is wherever I go,” shows a regression towards the mean. There is a 2010
movement away from the “strong” answers and a movement towards a more neutral stance.
Table 4. "home" is wherever I go
30
25
20
% 15
1990
10
2010
5
0
1
2
3
4
5
ans: 1=SA, 3=U, 5=SD
Regarding personal responsibility (Table 5), the 2010 group moved away from strongly
agree to undecided and mildly agree.
Table 5. regardless of disadvantages, each person is
ultimately responsible for himself/herself
60
50
40
% 30
1990
20
2010
10
0
1
2
3
4
ans: 1=SA, 3=U, 5=SD
124
5
The Modern and the Self
In Table 6 there is a movement towards the mean. Strongly agree and disagree responses
are reduced in the 2010 group. Again, as with other questions, undecided increased.
Table 6. "live free or die" is a motto that I accept
35
30
25
20
%
1990
15
2010
10
5
0
1
2
3
4
5
ans : 1=SA, 3=U, 5=SD
The hopeful future question (Table 7) shows a move away from strong agree to mildly
agree and undecided. The mildly and strongly disagree percentages are the same in the 1990 and
2010 samples.
Table 7. I am more hopeful about the future than dispairing
60
50
40
% 30
1990
2010
20
10
0
1
2
3
4
ans: 1=SA, 3=U, 5=SD
125
5
The individual rights question (Table 8) indicates a significant movement towards
undecided. The extremes of 1990 are replaced by movement to the center.
Table 8. individual rights more important than community
rights
35
30
25
20
%
`
1990
15
2010
10
5
0
1
2
3
4
5
ans : 1=SA, 3=U, 5=SD
The Postmodern and the Self
Table 9’s largest move is from the agree answers to the undecided responses with a drop
in agrees from 22% to 18% in 2010. There is only 1% difference between the 1990 and 2010
disagree responses.
Table 9. I am the only certain reality
35
30
25
20
%
1990
15
2010
10
5
0
1
2
3
4
ans : 1=SA, 3=U, 5=SD
126
5
Interestingly, in the 2010 sample of Table 10 there is movement towards this postmodern
value. The data in 2010 has shifted from strongly disagree to mildly disagree.
Table 10. freedom means doing anything I wish to do
35
30
25
20
%
1990
15
2010
10
5
0
1
2
3
4
5
ans:1=SA, 3=U, 5=SD
The “I am the most important person question,” (Table 11) indicates a powerful shift
away from the nearly 50% agrees of 1990. And the 2010 shift moves primarily to undecided
and, to a lesser extent, strongly disagree. This is the most dramatic shift in this study.
Table 11. I am the most important person in my life
30
25
20
% 15
1990
2010
10
5
0
1
2
3
4
ans : 1=SA. 3=U, 5=SD
127
5
In Table 12 the 2010 group moves towards strongly agree and undecided over the twenty
year span of the study.
12. happiness is whatever makes me feel good
40
35
30
25
% 20
`
1990
15
2010
10
5
0
1
2
3
4
5
ans: 1=SA, 3=U, 5=SD
Meta-trends in the Study
The four meta-trend graphs are included to aid in understanding the aggregate trends in
the sets of thought-era questions. The meta-trends graphs are cumulative in that they are the
sums of the four data sets from each thought-era set of questions. Therefore, there are a total of
400 percentage points for each meta-trend graph. This technique is used to reveal the overall
movement with the mass of questions. (Note that all four questions for each thought-era are not
shown above because of space constraints.)
128
The Traditional and the Self
Table 13. cumulative %s of all traditional questions
160
140
120
100
% sum
80
1990
2010
60
40
20
0
1
2
3
4
5
ans: 1=SA, 3=U, 5=SD
The overall meta-trend from 1990 to 2010 is a shift away from traditional views of the
self. The cumulative percentage points for the “agrees” dropped 15 points. The undecided
increased by 3 cumulative percentage points. The total shift to the “disagrees” is an increase of
12 points.
129
The Nontraditional and the Self
The nontraditional questions show a compelling move to undecided from the “agrees.”
The cumulative percentage points for the “agrees” dropped by 9 points. The undecided
increased by 11 cumulative percentage points. The “disagrees” decreased of 2 percentage points.
Table 14. cumulative %s of all nontraditional questions
120
100
80
% sum
60
1990
2010
40
20
0
1
2
3
4
ans: 1=SA, 3=U, 5=SD
130
5
The Modern and the Self
The respondents’ answers are decidedly modern, however there is an obvious shift away
from strongly agree to a less certain position. The cumulative percentage points for the “agrees”
dropped 5 points. The undecided increased by 9 cumulative percentage points. And the
“disagrees” dropped by 4 points.
Table 15. cumulative %s of all modern questions
180
160
140
120
100
% sum
1990
80
2010
60
40
20
0
1
2
3
4
ans: 1=SA, 3=U, 5=SD
131
5
The Postmodern and the Self
Table 16. cumulative %s of all postmodern question
120
100
80
% sum
60
1990
2010
40
20
0
1
2
3
4
5
ans: 1=SA, 3=U, 5=SD
The most striking change in values between the 1990 and 2010 samples occurs within the
responses to the postmodern questions. In 2010 there is a shift away from both the “agrees” and
the “disagrees.” All “agrees” and “disagrees” answers are less attractive to the 2010
respondents. The “agrees” responses drop by 9 cumulative percentage points. The “disagrees”
dropped by a less dramatic 6 percent. The undecided responses in 2010 rose by an impressive 15
cumulative percentage points.
Conclusion
The précis of this twenty-year data set of almost 6,000 people is worthy of note. The
2010 sample exhibits a powerful shift away from traditional values, but, at the same time,
nontraditional values became less attractive to the sample. The 2010 sample responds to the
modern values in a less certain manner than the 1990 group, but the postmodern values are
regarded with even more hesitancy. Thus the most noticeable signal in the data is the massive
move “across the board” in every thought-era toward uncertainty. This singularity is powerful.
We can start the interpretation with Lyotard’s famous definition of postmodernity as the
“incredulity towards metanarratives.” The changes seen in the graphs of the Metatrends (above)
indicate a constant movement to undecided. This shift fits Lyotard’s definition. Over time, as
postmodernity continues to enter our mindset, it is logical to expect more uncertainty. This also
fits Tarnas’ statement that the postmodern mindset is “potentially debilitating in the face of
unending relativism and existential finitude.”
And that “a pervasive sense of a radical
uncertainty … contribute[s] to the postmodern condition.” (Tarnas, 398) Then, according to
postmodern theory this longitudinal movement towards uncertainty seen in this study is
expected. As Gertrude Stein famously asserted, “In the twentieth century nothing is in
agreement with anything else.”
132
References
Harrison, David, (1988) The Sociology of Modernization and Development. Bittles Ltd,
Guildford and King’s Lynn.
Hume, David, ed. L. A. Selby-Bigge, (1888) A Treatise of Human Nature.
Oxford, England, Oxford University Press.
Isbister, John, (1998) Promises Not Kept: The Betrayal of Social Change in the Third
World. 4th ed. Sterling, VA. Kumarian Press, Inc.
Ketcham, Allen Francis, Jim Norwine, Dan Primozac, Michael Bruner & Michael Preda,
(2000) Postmodern Snapshots: A Simple Method for Assessing Postmodern
Attitudes. Kingsville, Texas. A Manning Center for Professional Ethics Monograph.
Lyotard, Jean-François, Geoffrey Bennington and Brian Massumi, trans., (1984) The
Postmodern Condition: A Report on Knowledge, University of Minnesota Press.
Tarnas, Richard, (1991) The Passion of the Western Mind. New York. Harmony Books.
Wallace, Ruth A. and Alison Wolf, (1999) Contemporary Sociological Theory: Expanding the
Classical Tradition. 5th ed. Upper Saddle, NJ. Prentice Hall.
133
The Phantom and Foucault:
Paper Faces on Parade
William Kirtley
Central Texas College
134
I. Introduction
Past the point of no return –no going back now: our passion-play has, at last, begun…
Screenplay 129.
The Phantom of the Opera, his face shrouded by a dark cloak, walks slowly toward
Christine. He moves behind her, places his left hand on the midriff of her bright gypsy dress, and
clasps his right hand around her neck. She submits to an embrace that conveys more power than
passion.
Advertisements for the Las Vegas Spectacular promise, The Phantom, “Be Seduced.”
Despite it’s shimmering sensuality, Andrew Lloyd Webber’s musical displays more power than
sexual attraction. The Phantom tells his love interest, “Since the moment I first heard you sing, I
have needed you with me, to serve me, to sing, for my music…” (Screenplay 86). This paper
uses Foucault’s theory of power to analyze The Phantom of the Opera and, in so doing, develops
what philosopher Richard Rorty calls the “imaginative ability to see strange people as fellow
sufferers” (xvi).
II. Foucault’s Theory of Power
Power produces; it produces reality; it produces domains of objects and rituals of truth.
Foucault, Discipline and Punish 194.
Parisians labeled the Phantom a deviant because his facial disfigurement violated
conventional norms of appearance. Michel Foucualt, the French post-modernist philosopher,
earned the sobriquet, the masked philosopher, because he declined to reveal his name during an
interview. He remains controversial. His biographers debate Foucault’s acceptance of his
homosexuality and responsibilities as a carrier of Acquired Immune Deficiency Syndrome
(AIDS).
Foucualt understood the basics of power as described by Peter Digeser in “The Fourth
Face of Power” (977). The first is the power of A to make B do something he or she does not
want to do. The second is the power of A to prevent B from doing something he or she wants to
do. The third face is the power of A to create in B the desire to do something. Foucault added a
fourth face. Power is everywhere, “between every point of a social body, between a man and a
woman, between members of a family, between a master and a pupil, between everyone who
knows and one that does not…” (Foucault Practices and Knowledge). In this analysis, power
constructs relationships between characters, hides behind masks and mirrors, and determines the
structure of the theater.
III. The Characters
I have lived for eighteen years in a state of passion towards someone.
At moments this passion has taken the form of love.
Foucault, quoted by Robbe-Grillet 1027.
The Phantom – Also known as Eric, the Opera Ghost, or by his initials O.G. is a gifted
teacher, musician, and composer. According to Leroux, “his ugliness was the subject of horror
and terror to his parents” (345). His mother covered his disfigured face with a mask and, at an
early age, he ran away from home. The Phantom’s stigma, juxtaposed with a haunting romance,
is part and parcel of the Gothic genre.
135
The Phantom exercises all four phases of power. First, he coerces the owners of the opera
into doing something they would not otherwise do, reserve Box Five and pay him a salary of
twenty thousand francs a month. Second, he prevents the owners from doing something they
want to do, let Carlotta sing the lead in Il Muto. Third, the Phantom uses every ploy to convince
Christine that he is her true love. Fourth, he shapes the conditions that make power possible. He
convinces Christine that the Phantom of the Opera is inside her mind (Screenplay 85).
Christine Daaé – The ingénue of the musical, a Swedish chorus girl, is the orphaned
daughter of a prominent violinist. She is naïve, passive, torn between two loves. One is the angel
of music, her “guide and guardian” (Screenplay 80). The other is a handsome noble “prince
charming.” The story of Christine and her suitors continues a Western cultural motif like Pluto
and Persephone, and The Beauty and the Beast. A late adolescent female confronts a sexual
choice, and has to work through her attraction to and rejection of it (Hogle 233).
Rauol, Vicompte de Chagne – The third party in the love triangle is the handsome young
suitor, Rauol. He remembers Christine from their youth as Little Lottie. Rauol sings, “She may
not remember me, but I remember her” (Screenplay 75). He offers Christine his love, security
and status. He tries to convince Christine that the Phantom is a figment of her imagination.
Raoul wants to take Christine to supper after her triumph singing the lead in the
Myerbeer-like opera, Hannibal. She demurs, “No Raoul; the Angel of Music is very strict!”
(Screenplay 81). The Phantom does not want to share his triumph with an “Insolent Boy”
(Screenplay 81). The actor who plays Raoul must convince the audience that he is worthy of
Christine’s love in order to sustain the believability of the musical’s plot.
Carlotta Giudicelli – The comic counterpoint to Christine is La Carlotta, a passionate,
manipulative diva. Minnie Driver, who plays Carlotta in the film version of The Phantom,
describes her as a woman who “squarks and stomps around a lot” (Screenplay 51). Carlotta has
her own power. The owners of the opera, Monsieurs Richard Fermin and Gilles Andre, leer at
the dancers that portray slave girls. Their gaze shows the power of proprietors over employees,
as well as, the ability of male heterosexuals to define the situation. Carlotta takes umbrage, “All
they want is the dancing,” and threatens to quit (Screenplay 69). The owners decide that the best
way to handle her is to “Grovel. Grovel – grovel” (Screenplay 69).
Carlotta’s jealousy resurfaces after Christine’s success singing the lead in Hannibal.
Carlotta bullies her way into the lead in the next play, Il Muto. She states, “Prima Donna, your
song shall live again!” (Screenplay 100). Once again, the Phantom intervenes on behalf of his
protégé. In the theater, things are not always what they seem. Masks and mirrors proliferate in
this play of power.
IV. Masks and Mirrors
“The mirror as an accomplice becomes an agent of demystification.”
Foucault, Madness and Civilization 153.
Masks – Power represses, masks, and conceals (Foucault, Discipline and Punish 194).
The Phantom leads a hypnotized and mesmerized Christine through a mirror down into his
underground lair. She encounters a life-sized duplicate of herself in a wedding dress, faints, and
falls into the Phantom’s arms. He carries her to his sumptuous bed. Upon awaking, she wonders
if it is all a dream. She sees the Phantom, approaches him, and removes his mask. He curses her.
“Damn you! You little prying Pandora! (Screenplay 91). But she has gained power. In Leroux’s
novel, she says, “He is not a ghost; he is a man of heaven and earth…that is all” (178).
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Foucault describes power as “the assignment to each individual his ‘true’ name and
place” (Foucault Discipline, 198). During the masquerade, a masked couple sings, “Who can
name the face…?” (Screenplay 111). The Phantom appears at the end of this scene wearing the
mask of the Red Death, an allusion to an Edgar Allan Poe short story in which death visits a
masked ball.
A second unmasking occurs at the climax of Don Juan Triumphant. The Phantom sings
the sensuous words of “The Point of No Return.” After a short interlude, he sings the reprise
from “All I Ask of You.” Before he reaches the word “you,” Christine removes his cowl, mask,
and wig. The audience sees the whole of the Phantom’s horrifying skull” (Screenplay 188). The
Phantom reacts. He displays his power to kill. He hangs Ubaldo Piangi, the lead actor, from the
flies. In a rage, the Phantom cuts the ropes securing the house chandelier, and it crashes down on
the audience.
Mirrors – The Phantom escapes through a mirror to his underground lair and takes
Christine with him. Upon his arrival, he breaks a multitude of mirrors in his sanctuary. The
Phantom describes his face as “an infection” that “poisons our love” (134 Screenplay). She
replies, “This haunted face holds no horror for me now . . . It’s in your soul the true distortion
lies” (134 Screenplay).
Foucault taught psychology for a time. He advocated mirroring as a way to help patients
overcome their delusions. He looked at mirrors in the sense that “In the mirror, I see myself there
where I am not, in an unreal, virtual space that opens up behind the surface” (Foucault Of Other
Spaces). The Phantom breaks all the mirrors in his labyrinth, but Christine is the mirror he
cannot break. She strips away his mask and names his problem.
Christine gains strength to offer the Phantom her life, if he will free Raoul from certain
death. She is no longer the girl who cannot make up her mind. She is the woman willing to
sacrifice all for her lover. The Phantom feels unconditional love for the first time in his life. He
realizes the selfish nature of his passion and it shatters him. He tells Raoul, “Take her – forget
me – forget all of this . . . Leave me alone – forget all you’ve seen . . . Go now – don’t let them
find you! (Screenplay 140). The play is over. Yet even during the curtain call the actor
portraying the Phantom uses pyrotechnics and trap doors, physical properties of the theater, to
demonstrate his power to mystify.
IV. The Structure of Power
The Panopticon is a machine for disassociating the see/being seen dyad: in the peripheric, one is
totally seen, without being seen; in the central tower, one sees everything without being seen.
Foucualt, Discipline 202.
A theater is a form of control that defines and regulates power, similar to one of
Foucault’s favorite examples, Jeremy Bentham’s panopticon. This model prison features a
central tower for observation ringed by cells for the prisoners. The cells have two windows. One
provides an unobscured view of the prisoners; the other back lights them. Jailers lock the
prisoners in cages. Every one is at a window, ready to answer to their name.
The theater delineates the place and role of both actors and audience. The major actors
get the largest dressing rooms. The theater located in the Venetian Hotel in Las Vegas replicates
the Paris Opera House. Upon entering the front doors, spectators enter a foyer resplendent with
multi-colored marble foyer and view a grand staircase festooned with voluptuous statuary. The
original in Paris contains a foyer de la dance where the ballerinas can limber up and chat with
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their admirers. It contains five hundred thirty-eight spaces in which people can change costumes.
One’s status and role determines their allotted space.
The musical simulates different parts of the Paris Opera House to show the power of the
Phantom. Christine takes Raoul to the roof of the theater for safety. The Phantom pulls her down
into his lair beneath the theater. The Phantom appears unexpectedly through trap doors and
passages. He speaks off stage several times and talks to Christine through a wall. He sees
everything. Foucault discusses at length the power of the look, regard, or gaze to shock and to
terrify. The Phantom rules his subjects physically and mentally.
In one of the most spectacular scenes in the Las Vegas version of Phantom of the Opera,
the audience is transformed backstage and looks out at the audience. Irving Goffman, the
sociologist, originated the notion of life as theater, with a front stage and a back stage. The front
establishes the “appearance,” and “manner” for the role assumed by the actors (22). The
backstage contains the equipment necessary to establish the setting and provides a place where
the cast drop the masks of their roles and relax.
Another stunning scene takes place on a set that depicts the entrance steps to the theater.
The chorus sings and dances “Paper Faces on Parade” in a splendidly costumed masquerade ball
scene. Monsieur Firmin, one of the owners, notes that the “crème de la crème” are present.
Carlotta replies that is what it is all about, “Watching us, watching them!” (Screenplay 111).
Backstage the grips, gaffers, scene-shifters, and seamstresses drink with abandon and dance
without care.
V. Conclusions
Everyone who is sure of his mind, or proud of his office, or anxious about his duty,
assumes a tragic mask.
Santayana, Soliloquies 133.
More people have seen the Phantom of the Opera than any other musical. This analysis
seeks to remind readers of their first experience with the Phantom, and if they have not seen the
musical, to make plans to view it. Four ideas will help them gain a deeper understanding of this
remarkable musical.
First, Andrew Lloyd Webber helps us view people marginalized by society as fellow
sufferers. Emmy Rossum, who plays Christine in the film version of the Phantom, observed that
there isn’t “a person in the world that can’t identify with at least one if not all of the three main
characters. Everyone’s been in love or felt unlovable, scared, lonely, or rejected” (Screenplay
50). The Phantom assists us to psychologically rework those moments that come to us all, when
in the presence of an intended love-object, we feel ugly, the wrong age, or otherwise
unattractive.
Second, the Phantom experiences the suffering, rejection and humiliation Foucault felt
during his life. Foucault attempted suicide as a student and suffered from chronic depression his
whole life. Feminist philosopher, Camille Paglia labels Foucault “a man of mutilated psyche”
(191). Biographer James Miller notes that “Foucault struggled bravely: against conventional
ways of thinking and behaving; against intolerable forms of social and political power; against
intolerable aspects of himself” (384).
Third, Foucault’s statements are often confusing and contradictory. He had no desire to
present a coherent and timeless block of knowledge. “I don't write a book so that it will be the
final word; I write a book so that other books are possible, not necessarily written by me"
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(Foucault, Dits et Ecrits 157). Foucault’s theory of power offers tools of analysis that uncover
insights not apparent in Freudian analyses of the Phantom of the Opera.
Fourth, Michel Foucault is one of the most cited authors in the humanities. He
championed the stigmatized and oppressed, especially the sick, the insane, immigrants, and
prisoners. His tortured sense of self and experience of marginalization spurred some of his most
groundbreaking work. What he said is as simple as our understanding that sexual harassment is
more about power than it is about sex. There is plenty of sizzle in the Phantom of the Opera, but
the musical is, at its core, about power.
Works Cited
Digeser, Peter. “The Fourth Face of Power.” The Journal of Politics, Vol. 54. 4 Nov. 1992: 9771007.
Eribon, Didier. Michel Foucault. Cambridge University Press: Harvard University Press, 1991.
Foucault, Michel. Discipline and Punish: the Birth of the Prison. New York: Vintage Books,
1995.
---. Dits et Ecrits. Paris: Gallinard, 1994.
---. Interview by Christian Delacampagne. “The Masked Philosopher.” April 1980, Le Monde.
Republished in: Politics Philosophy Culture. 1988: 323-330.
---. Madness and Civilization: A History of Insanity in the Age of Reason. London: Routledge,
2001.
---. Of Other Spaces (Des Espace Autres). Heterotopias, 1967. French Journal of Architecture,
Mouvement/ Continuité, October 1984.
---. “Practices and Knowledge.” in Fearless Speech. Los Angeles: Semiotexte, 2001.
Goffman, Erving. “The Presentation of Self in Every Day Life. New York: Doubleday, 1959.
Hogle, Jerrold. The Undergrounds of the Phantom of the Opera. New York: Palgrave, 2002.
Leroux, Gaston. The Phantom of the Opera. New York: Harper, 1987.
Miller, James. The Passion of Michel Foucault. Cambridge: Harvard University press, 1993.
Morton, Katherine. ed. Andrew Lloyd Webber’s, The Phantom of the Opera, A Companion,
Contains Original Screen Play. London: Pavilion, 2004.
Paglia, Camille. “Junk Bonds and Corporate Raiders.” An essay in Sex, Art, and American
Culture. New York: Vintage Publishers: 1991.
Robbe-Grillet, Alain. “Enigmes et Tranceparence Chez Raymond Roussel.” Critique. Dec. 1993:
1027-33.
Rorty, Richard. Contingency, Irony, and Solidarity. Cambridge (UK): Cambridge University
Press, 1989.
Santayana, George. Soliloquies in England and Later Soliloquies. New York: Scribner’s, 1922.
139
Family Hierarchy, Family Structure, and Values Transformation
Peter Kwok Chei Li
The University of Akron
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Introduction
Families in many Asian countries have undergone some structural changes because of
globalization and a greater demand for business travel and more than one wage earner among
middle class families. What structural changes are experienced in these families? More families
need assistance beyond what a nuclear family can provide, especially in child care, supervision,
role modeling, child discipline, and socialization.
Being a social animal, a child learns from friends and teachers in school. Adults exchange, share,
and adopt values from their friends, colleagues, and people whom they come across at work and
in leisure time activities. However, one can assume that the parents might socialize and share
values with people whose value systems are relatively different from those people who socialize
with their children.
When values conflicts occur in a family, some societies expect the family to exercise its
authority to provide a solution to that conflict. Some societies place a greater emphasis on
individual rights, those of parents and children alike. A society can change its philosophy in
dealing with family matters over time. How much authority a state should have over family
matters is not necessarily shared by all. Some groups advocate for children’s rights while some
groups feel that the family is in a better position than the state to make family related decisions.
These values conflicts dilemmas are further complicated when service providers, such as social
workers, are asked to protect children, to assist victims of domestic violence, and to advocate for
the rights of the young, the old, people with disabilities, and people who cannot advocate for
their own rights. Social workers need to navigate over the many values conflicts in the family,
between the family and the state, and among different service providers (such as schools,
hospitals, and HMOs), federal and state officials, constituencies from different communities, and
different interest groups.
The paper examines the following: (1) How globalization has affected the structure and
functioning of some families and whether a parallel observation can be made between families
who seek domestic help from outside the family and the new immigrant families that arrange for
mutual support from their natural support network; (2) In what ways the changes in structure and
functions of the family affect the homeostasis of the family and how these changes affect the
relationships, both positive and negative, between parents and children, husbands and wives, and
grandparents and grandchildren; (3) Whether, when these changes lead to state intervention, as in
a child abuse and neglect case, a domestic violence case, a family mediation case, an adult
protective case, a nursing home placement, etc., and family participation is expected and, in
many situations, required, all concerned parties have an understanding of the rights and the
functions and their expected level of participation. Whether a more effective intervention occurs
when all concerned parties have a better understanding of the rights, the functions, and the
expected level of their participation?
I. Globalization and Family Functioning
Families around the world have undergone changes for different reasons. One obvious trend is
that there are more middle class households that require more than one household income to live
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comfortably. Business travels place greater demands on some families, especially those in Hong
Kong and China, where its GDP has grown at a faster rate than some neighboring countries.
Societies undergo changes through industrialization and urbanization; families undergo changes
through immigration and social mobility. Some Chinese families rely on extended family
members to share some of the child care responsibility. When both parents are working and
weekly travels are becoming a routine for business people and workers, the business of providing
domestic assistance and day care services blossoms. As the society becomes more competitive,
the demand for more than one wage increases. Many households can no longer rely on one wage
earner.
This is especially true for new immigrant families in this country. In the early stage of their
settlement, many new immigrant adults need to work at jobs that pay nominal wages but demand
long hours. Most of those are not typical nine to five jobs. The hours of restaurant work make it
difficult for parents to stay home, cook for their children, tutor their children in academic work,
supervise their children with meaningful leisure time activities, or read their children books
before bedtime.
Can a modified type of communal arrangement be made where older children are responsible for
tutoring the younger children of friends and extended family members? If this is important,
supervision is only one function. Most parents would want the older children to serve as role
models. It is not uncommon to see a room with children watching Chinese movies or videos.
II. Changes in Family
(i) Domestic Help and Mutual Support
Domestic helpers are not a new group of workers. They can be found in many ancient Chinese
literatures including the classic “Dream in the Red Chamber.” However, the flow of domestic
servants in a place such as Hong Kong from neighboring countries, such as Thailand, the
Philippines, etc., has increased over the last few decades. This has led to an interesting change in
the family structure. Live-in domestic servants help out in cooking, cleaning, and child care.
How has the sharing of child caring responsibility affected the family relationship, especially the
parent-child relationship? Children learn from their parents, their care-givers, their friends, and
others who play a part in their upbringing. New immigrant families who settle in places such as
San Francisco, Boston, New York, Los Angeles, etc. tend to live in proximity to others who
speak their language (especially their own dialects), consume the same food, (especially food
from the same region), and share similar traditions and habits.
Are Chinese families performing their functions in the same way as their Western counterparts?
There are many functions performed in a family. The new immigrants have a tendency to live
close by each other. One reason is that there might be limited areas in which affordable rental
properties are available to new immigrant families with fewer resources. Another reason is that
close proximity might be a way of sharing family resources as well as family functions such as
shared child caring responsibility. Are more Chinese children exposed to multiple care-givers
than their American counterparts? How do they relate to those care-givers?
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One of the major functions in a family is socialization. Are children who are brought up with
other children in a household with multiple care-givers better prepared to socialize on their own
than those who have a smaller circle? In some neighborhoods, children are heavily influenced by
their extended family members, from grandparents to neighbors. In some communities, children
are brought up by their parents. The unitization of families might have changed the relationship
between children and their extended family members in urban inner-cities more so than in rural
areas. Children in new immigrant families often live in households where there are multiple caregivers. Those children need to learn how to socialize with other children and the care-givers.
Some of them learn to provide shared care-giving responsibility to the younger children as they
grow older. They play out roles of providing academic tutoring to the younger children, and they
are expected to be good role models.
Close proximity has the advantage of looking out for each other, cooking for the other people’s
children if needed, shopping for each other, and sharing some of the child caring responsibility.
Child caring responsibility is a tall order as many new immigrants settle in some economically
deprived areas where crime might be more prevalent than in well-to-do areas. Furthermore,
many of these new immigrants share the same dream, namely witnessing their own children
having the opportunity to earn better wages, to obtain a higher education, and to gain the respect
and rights of mainstream Americans.
This child caring responsibility is not likely to be taken lightly by these new immigrants. By the
same token, sharing some of the child caring responsibility with a domestic helper from another
country with a different values orientation would be a task that would involve careful screening,
close monitoring, and quick intervention if parents have a concern.
(ii) Changing Roles and Functions in a Family
Is the division of labor in a Chinese family clearly defined, and are the role distinctions between
males and females flexible? One of the major concerns among Chinese parents is the children’s
educational achievement. Who is responsible for tutoring, mentoring, and encouraging their
children in academic performance? Who is responsible for disciplining their children? Academic
achievement and the avoidance of socializing with children with behavioral problems are two
major concerns. This is especially true for some new immigrant families who live in povertyridden areas in inner-cities such as New York Chinatown, where youth gang activities have been
well documented in the mass media.
In a family, each member has certain roles to play and certain obligations to fulfill. Are the roles
clearly defined for each member? Is there role diffusion? If so, who has the final say? The areas
that will be examined in this paper center around the decision-making processes in a family. A
family sets norms, establishes guidance for the young, and provides for the old and the sick. If
those are some functions that a family performs, one needs to examine how those functions are
assigned among its members. Each member has certain primary functions and designated roles to
play. Each family decides what roles are to be performed by its members.
One needs to understand that extended family members and friends also play a role in making
decisions as there is a tendency for family members to live within close proximity to each other.
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Family members and friends who share household responsibilities such as caring for the young,
which includes cooking, supervision and socialization, might have a bigger say in making
decisions on family matters, especially those affecting the children. Some of the children who are
socialized together might be related in a way that is unfamiliar to workers of another culture.
Some Chinese people in Chinatown go to associations whose members share the same surnames.
Some associations have members coming from the same regions. Those are established
organizations that can be found in most established Chinatowns in the nation from New York to
San Francisco. Many of these organizations play out a mutual help function for new immigrants.
It is not unusual for Chinese parents to desire their children to be bi-lingual and bi-cultural. In
many inner cities, Chinese schools are established. What would Chinese parents expect their
children to learn from a Chinese school? Is it a question of learning the Chinese language? If so,
would children still learn the Chinese language in a class taught in a regular school? Does the
Chinese school teach not just the language but through socialization among the participants also
serve a function in preserving the values, ideologies, customs, and habits of the Chinese culture?
Family and clan associations are found in many Chinatowns in cities known for early day
Chinese settlers, including New York, Boston, Los Angeles, and San Francisco. These
associations serve the functions of providing socialization activities at times such as Chinese
New Year, of giving an identity and a sense of affiliation to those who are somewhat lost in a
new place, of rendering mutual support for those who require services, etc. The members share
similar values, ideologies, customs, and habits. Societal expectations and norms provide
guidance for individual behavior and interaction with others.
(iii) Changes in Values and Relationships
In examining what functions are in the domain of a family and who is responsible for performing
those functions, one expects that those issues are defined differently from one culture to another.
In a society where individuals place the welfare of the family as a whole above that of
themselves, their sense of family affiliation, attachment, obligations, and commitment are
expected to be greater than individuals who place individual freedom ahead of family welfare.
Does the client’s family function as a unit or does it operate as a collectivity of individuals, each
making his/her own decisions? If a client also makes decisions in conjunction with other
members, a therapist needs to examine which types of decisions are made in consultation with
other significant members.
A society that places heavy emphasis on individualism may perceive family relationships
differently from a society that is influenced by the teaching of Confucius, which focuses on
interdependence and a harmonious relationship with others in a society. The eagerness to search
for one’s identify and one’s accomplishment might be perceived as secondary to the
accomplishment of one’s family as a whole. Authors such as Francis Hsu wrote about the
influences of traditions, customs, and beliefs of their ancestors on Chinese, mostly those in
America. (Francis Hsu’s Under the Ancestor’s Shadows) Would clients coming from a culture
that emphasizes a harmonious relationship with nature and the welfare of one’s collectivities
perceive family obligations and commitments differently from someone who does not have such
an orientation? Would those who believe in family obligations and commitment provide more
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support to family members/friends who are undergoing a drug addiction rehabilitation program,
to family members/friends who suffer from a physical or mental disability, or to family
members/friends who need a temporary shelter? Would the same clients who believe in family
obligations and commitments feel greater disappointment when they do not get the types of
support from their family members/friends?
(iv) Family Adaptation to Changes in Family Structure and Interpersonal Relationships
When a family is getting help with child care, one concern has to be in the area of the
relationship between the child and his/her care-givers. It is not unusual for Chinese parents to
desire their children to be bi-lingual and bi-cultural. In many inner cities, Chinese schools are
established. What would Chinese parents expect their children to learn from a Chinese school? Is
it a question of learning the Chinese language? If so, would children still learn the Chinese
language in a class taught in a regular school? Does the Chinese school teach not just the
language but through socialization among the participants also serve a function in preserving the
values, ideologies, customs, and habits of the Chinese culture?
In promoting family involvement in a social service agency in situations involving a child
placement, a family member with PTSD, a family member with some physical or psychological
condition, a homeless family member, or an elderly family member unable to care for
himself/herself while living independently in a community, a worker needs to examine what
family functions are in question and whose responsibility it is to perform those functions.
Would new immigrants worry about the influences from schools, from friends, from neighbors,
from the other children with whom they do homework, from older children who mentor their
academic work, and from the care-givers who may or may not be related to them?
What strategies have been used by parents to monitor, to supervise, and to sanction unacceptable
behaviors and attitudes? Literature from those such as Francis Hsu, Pearl Buck, and Rose Hum
Lee has alluded to the extensive use of shame and guilt as a way to ensure conformity in some
Chinese families. If shame and guilt have been used as a way to control, it implies that both
parents and children share what is respected and acceptable. Those are acceptable norms and
expected behaviors. One has to assume that all family members understand the expected and
acceptable behaviors. Are those expected and acceptable behaviors well documented or are those
unwritten rules that are shared by people from the same region?
III. Family Readiness in Participation in the Help-Seeking Process
(i) Understand Their Capacity to be Engaged
In the event that a family is involved in a human service organization, one expects the family to
participate in the help-seeking process. The question becomes whether the family is ready to
participate in the help-seeking process. What is expected from a family to participate? One
common element is that the family needs to be able to discuss the concerns that bring them to the
agency, to negotiate a plan where family members can make decisions with inputs from other
family members, and to compromise on strategies that might not have been used before by the
family. The openness and the willingness to negotiate are important. Furthermore, this is a
process that takes place in the presence of outsiders.
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There are limits and constraints for the workers who are charged with the responsibility to
intervene. Some of these constraints come from the jurisdiction of intervention. Because of
specialization of services, a family may have to meet with multiple workers in multiple offices.
Each of those workers is charged with performing specific tasks. However, when a new
immigrant family comes into contact with a human service organization, one wonders how much
this family needs to be socialized so that they understand the roles and functions of each of the
workers, the expected level of participation of their family members, their right to disagree, and
the rights of the workers and the agency to intervene.
Female members are often found to approach social service agencies for assistance regardless of
the children’s academic matters, socialization, etc. If workers have little success in engaging the
fathers, should the workers interpret this behavior to be uncooperative? Understanding the
functions, the role differentiation, and the power relationships among family members is a first
step in developing a culturally sensitive working relationship with the clients and their family
members.
There are grey areas to mediate over some family matters. This is particularly important if family
participation is voluntary. In a time when human service intervention places greater emphasis on
prevention than treatment, family participation is voluntary. How would the worker be able to
navigate over family issues without understanding the values and ideologies that affect family
functioning, the philosophy behind the state intervention, and the jurisdiction that is vested in the
workers?
Chinese slogans such as “disease comes through the mouth and problems come out of the
mouth” are an indication that one needs to be prudent in expressing oneself. Another Chinese
slogan is “a harmonious family is a self-sufficient family.” Those are slogans that emphasize a
harmonious relationship among family members and a restraint on expressing one’s opinions. If
those are values treasured by a Chinese family, a discussion of family matters and relationship
issues to an outsider might be problematic.
A discussion with the clients that provides an orientation of the social service agency, the roles
of the workers, the expected behavior of the clients, the rationale of family participation, and the
areas of focus in the therapeutic sessions would be beneficial to clients and their families. In the
absence of such an orientation, many Chinese clients fail to fully participate. Socialization of the
clients into their client roles has been advocated.
(ii) Level of Engagement: Who and To What Extent
Children in many Chinese families understand the sacrifice made by their parents, and they
understand that they have the educational opportunity and upward mobility that their parents
lack. In some studies, the role reversal takes place with the children graduating from some
prestigious universities, making mainstream salaries, and assimilating in the mainstream
American culture while their parents never possess such opportunities. In the process of
becoming assimilated, the children often encounter the good and bad of bi-culturality.
Are Chinese families capable of being engaged in a confrontational style of engagement? Does
problem-solving need to be confrontational? What methods have been employed by parents in
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disciplining their children? What methods have parents used to motivate their children in doing
well in school? Chinese parents have been known to use guilt in discipline. The concern for not
bringing shame to the family may be a powerful tool in discipline. Would this tool be useful for
some but not for others?
On one hand, family members coming from families that have clearly defined roles and
functions might suggest that some members would have the power and authority to make
decisions on certain family matters. On the other hand, family members coming from families
that believe that all members have comparable rights on all family matters might suggest that all
members, regardless of age, gender, or educational achievement would have similar problemsolving capacity. In some families, male members are expected to deal with matters outside the
family while female members have a bigger say in family matters.
Talk therapists rely on verbal communication to gain an understanding of their clients. One
assumption is that clients are capable of and are familiar with discussing their feelings in a
manner that both parties can understand. Studies have shown that Chinese clients are not good
candidates in a talk therapy as they seldom volunteer information.
One wonders whether talking about one’s feelings falls into the category of discursive
knowledge. “According to the structuration theory three basic kinds of social knowledge are
available to the human factor. The first is termed mutual knowledge – that is, knowledge that
people who have been raised in the same socializing community possess in common.” (Giddens,
1987; Kondrat, (2002))
One wonders whether Chinese clients rely more on practical knowledge where family members
understand their roles, their role expectations, and their positions in the family. Those roles and
obligations are not necessarily discussed or negotiated in the family. If that understanding is
implicit in the ways family members conduct themselves, service providers should make an
effort to gain an understanding of that knowledge.
In discussing the structural issues of Chinese families, one tends to rely more on the moral rights
of the individuals. The moral rights of individuals are often guided by one’s obligations and
commitments to one’s family. “In structuration theory, power is one of the most central
variables.” (Konrat, 2002:441)
(iii) Learn from Clients: Understand their Viewpoints
Therapists have been questioning for decades about what needs to be done to reach out to multiproblem families who might not share the same viewpoints or perspectives as their talk
therapists. Should clients gain a better understanding as to what it would take to become better
clients? What makes a good intervention? Who makes such an assessment?
Studies that focused on clients’ assessment rather than that of the service providers found that
clients felt that treatment success is associated with a trustful relationship with service providers.
What makes a trustful relationship? It appears that clients did not identify the knowledge or skills
of service providers. Clients appreciate service providers who tailor-make an intervention to
meet the specific needs of the clients and their families. These two factors might provide an
147
additional challenge to service providers who provide services to clients with different cultural
orientations. A trustful relationship can only be attained if both clients and service providers
understand what constitutes a good therapeutic relationship. Service providers who are charged
with the task of working with families of different cultural backgrounds must understand the
ways tasks are organized, the ways tasks are assigned to different family members, the ways
disagreements and conflicts are handled, and the ways family relationships and harmony are
maintained.
It appears that clients appreciate efforts made by service workers to gain a better understanding
of their needs and those of their families. Clients appreciate that service providers make
themselves accessible and treat them as friends rather than as clients. This suggests that clients
appreciate the friendship, informality, and a relationship based on trust, respect, and
understanding. In other words, clients appreciate the efforts made by service providers to reach
out to them and to their families.
Reaching out to clients and to their families requires a basic understanding of the ways clients
deal with problems with other family members. Studies indicate that a worker’s
“… willingness to help and be with the family; support, encouragement, and listening; allowing
opportunity for the full expression of feelings; and provision of concrete services” are important
attributes to treatment success (Benvenisti, R. & Yekel, H. (1986); Ribner, D. and Knei-Paz, C.
(2002)).
(iv) Establish a Trustful Relationship
Those personal or professional demeanors are as or more important than a worker’s knowledge,
skills, and expertise. Does that mean that workers working with clients of different cultural
orientations should make an effort to understand what matters most to their clients? If the
worker-client relationship is a pre-requisite to a successful therapeutic encounter, engaging
clients and building a trustful relationship might be the first step. One wonders whether the
failure to establish this trustful relationship with clients leads to pre-mature termination of
services.
Treatment success has also been found with regard to the therapeutic alliance (Ribner and KneiPaz, 2002:380). It appears that Chinese clients who approach an agency expect to get concrete
services and some direction and guidance. The engagement in talking about one’s feelings might
be important for the service providers, but would this perspective be shared with their clients?
Do Chinese clients feel that they are getting the therapeutic alliance with their service providers?
Are they bombarded with their rights as clients, their rights as parents, the rights of their
children, the rights of a state intervention, and other rights? Would Chinese clients who fail to
understand the roles of the agency, the roles of the workers, and their own roles as clients be able
to form a trustful relationship with the service providers and with the agency?
(v) Socialize Clients to Agency’s Services
A successful intervention is one in which the clients understand what they are expected to do. It
is the responsibility of the clients to gain a better understanding of their roles and the tasks that
they need to perform to make the intervention successful. In order to have a successful
encounter, it is the responsibility of the service providers to gain a better understanding of what
148
their clients understand and the level of engagement of their clients and the significant family
members. There is a responsibility to facilitate a chance for clients and service providers to
establish a trustful relationship in order to minimize misunderstandings and misperceptions with
respect to the intervention.
One study indicated that there are structural issues in the service delivery system that have
created clients’ misconceptions about the agency. “Aging Chinese immigrants reported
difficulties accessing services because of communication barriers such as language
incompatibility, lack of cultural competence on the part of the service providers, and logistical
problems in the service delivery system. These and other factors may elicit negative perceptions
of disrespectful, and not useful.” (Lai, D. & Chau, S.2007)
The rules of the land are dictated by different communities and neighborhoods. One understands
that government intervention into family matters has not been common. “...rules are the
structuring properties of various systems.” (Cohen, 1987) Rules define how resources should be
allocated and relationships arranged. Rules can be procedural or moral. Procedural rules define
how something is to be done; moral rules define rights, duties, and obligations.” (Gidden, 1987;
Konrat, 2002; 442)
Bibliography
Benvenisti, R. & Yekel, H. (1986) Family Intervention: A Description and Evaluation. Society
and Welfare, 7. 142-155
Gidden, A. (1987) Social Theory and Modern Sociology. Stanford, CA. Stanford University
Press.
Hsu, F. (1970) Americans and Chinese. New York Doubleday Press.
Kondrat, (2002) Actor-Centered Social Work: Re-Visioning ‘Person-in –Environment’ Through
a Critical Theory Lens. Social Work. Vol. 47, Number 4, pp.435-448
Lai, D. & Chau, S. (2007) Effects of Service Barriers on Health Status of Older Chinese
Immigrants in Canada. Social Work. Vol. 52, Number 3, pp.261-269
Lee, R.H. (1956) The Recent Immigrant Chinese Families of San-Francisco – Oakland Area
Journal of Marriage and Family Living. February.p.14
Ribner, D. and Knei-Paz, C. (2002) Client’s View of a Successful Helping Relationship. Social
Work. Vol. 47, Number 4, October. pp.379-387
149
Ethnic Conflict and Democracy: How to Promote Democratic
Consolidation in Guatemala
Jadon Marianetti
University of West Georgia
150
Abstract
Guatemala, an emerging democracy in Latin America, is a country fraught with a history of
imperialist intervention and ethnic conflict. Unlike many countries undergoing democratic
transitions in Central America, indigenous people make up 60% of Guatemala’s population. How
has this tormented history of ethnic conflict affected democracy in Guatemala? This study
demonstrates that Indigenous representation, rights and participation, are critical barriers to a
successful democratic consolidation. Furthermore, it will illustrate how historical political and social
conditions, amongst other factors, begat the precarious state of democracy in Guatemala’s status
quo. Lessons from the past demonstrate that huge barriers to democratic consolidation and peace in
Guatemala must address some of the deep rooted scars created by ethnic conflict and division
between the generally more affluent Mestizos and their Mayan counterparts. Centuries of conflict
between these groups have created deep divisions and understandable mistrust. This deters
participation and confidence in the government, especially from the Mayan perspective.
Furthermore, Guatemala’s military and the civic history show tendencies towards authoritarian
coups, especially in situations of rampant public insecurity. No lasting peace in Guatemala is
possible without the participation of the country’s indigenous majority in democratic and civic life,
but how is this possible? This list is by no means comprehensive, but it does take into account the
major problems facing Guatemalan democracy. The first is establishing rule of law. Second, is
ensuring legal participation. Third, is creating horizontal accountability. This study takes into
account the interconnected nature of all three aspects in ensuring democratic quality.
Guatemala, a country fraught with a history of imperialist intervention and ethnic conflict, is an
emerging democratic country in Latin America. Unlike many countries undergoing democratic
transitions even in Central America, indigenous people make up 60% of Guatemala’s population. i
Thus the quality of political democracy, even in the broadest sense of the term, is inherently affected
by cultural diversity. Indigenous representations and rights are a critical issue in democratic
consolidation; however, Susanne Jones explains that “In the midst of real reforms, however, the
deterioration of public security as directly experienced by much of the population is cause for
worry.” ii Furthermore, Guatemala has historically suffered from a heavy military hand in domestic
politics, especially given that the army was used to enforce mass violence and killings against the
indigenous population. How has ethnic conflict affected democracy in Guatemala? The first portion
of this study will briefly examine the historical context of ethnic conflict in Guatemala, and its recent
democratic transition. This portion will demonstrate that historical, political and social conditions,
amongst other factors, begat the precarious state of democracy in Guatemala. Furthermore, it will
expose the necessity of increasing indigenous participation in order to establish a lasting and secure
democracy. The second portion will address policy possibilities for improving the quality of
Guatemalan democracy.
For the purposes of this study, democracy is defined by Joseph Schumpeter’s simple definition:
“the democratic method is that institutional arrangement for arriving at political decisions in which
individuals acquire the power to decide by means of a competitive struggle for the people’s vote.” iii
This study uses a minimalist definition of democracy because Guatemala is considered an emerging
democracy that has many inherent problems and deep scars from internal conflict as recent as the
1990’s. This study will then focus on crucial issues such as indigenous participation and public
security which are some of the fundamental building blocks of a consolidated democracy.
Additionally, a crucial factor of an effective democratic government “is the continuing
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responsiveness of the government to the preferences of its citizens, considered as political equals.” iv
Schmitter et al define responsiveness as: “Rulers may not always follow the course of action
preferred by the citizenry. But when they deviate from such a policy, say on grounds of "reason of
state" or "overriding national interest," they must ultimately be held accountable for their actions
through regular and fair processes.” v Responsiveness is a simple indicator of the overall
effectiveness of the government in terms of representing its people. Unfortunately, it’s difficult to
measure responsiveness when there are so many problems with the government. Particularly in the
context of ethnic conflict, which is rooted in group loyalty and is fueled by “adhering to an ethos or
customary way of thinking that is aligned with some degree of cultural uniqueness,” as defined by
Glen Fisher. vi This definition is useful because it takes into account cultural identity which creates
a distinction between peoples allowing the other to be extinguished.
History Fraught With Conflict
Guatemala’s history carries the scars of colonial imperialism. Its ancient city Antigua was the
ancient Spanish capital of Central America. In the early 1800’s, Guatemala along with the Chiapas, ,
El Salvador, Nicaragua, Costa Rica, and Honduras proclaimed their independence from the Spanish
empire. vii From that time until shockingly recent developments, Guatemala has been under some
form of authoritarian government, all of which have relied on brutal methods for maintaining
supremacy. This historical fact is uniquely important because it set the framework for future
Guatemalan transitions, especially by creating the basis for cultural exclusions. The hierarchy
during colonial times was Spaniards first, Mestizos second and Indigenous peoples last. These class
distinctions became the basis for drastic inequalities between Mestizos and the Mayan peoples. This
subtle difference was magnified after the time of independence. As direct Spanish influence began
to wane in Guatemala, the gap between the country’s elite (composed of affluent Mestizos and
Spaniards) and the Mayan grew. The Guatemalan elites would serve to play a large role in the
prevention of democracy up until the late 20th century. Besides, the structural inequalities bred by
colonial history, the geographical placement of indigenous groups within Guatemala played a factor.
Geography had a significant role in producing inequalities between the Mestizos and their
majority counterparts in the highlands. Even to this day, concentrations of Guatemalan wealth are
centralized in particular zones in the capital, Guatemala City, and the former Spanish capital Antigua
(a convenient 30 miles away). Not surprisingly, this densely populated area is nearly completely
Mestizo. On the other hand, the majority of the population lives in much more remote regions of
Guatemala. The most densely populated Mayan regions are the Highlands which home over 19
different Mayan tribes. These tribes were somewhat naturally insulated from imperial influence
based off the difficulties provided by the terrain. viii In a similar manner, Mayan peoples living in
the Petén region of the country were largely untouched by Spanish influence given the intensely
dense Jungle terrain and the inherent dangers it bore. On the one hand, this geographic isolation has
helped preserve the Mayan culture and heritage despite the ethnic cleansing of the 20th century. On
the other, it had furthered their economic isolation and subsequent political participation.
Guatemala’s first “democratically” elected President Juan José Arévalo was inaugurated on
March 15, 1945, and started this so called period of “spring in the land of eternal tyranny' - a spring
that ended abruptly with the overthrow of Jacobo Arbenz in 1954.” ix Arévalos’s predecessors had
historically been relatively docile and submissive towards American influence in the region, his
stance as a reformer seriously perturbed American officials and companies. In fact, his attempt to
enforce labor code laws on United Fruit banana plantations was seen as persecution so to speak.
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According to Gleijeses historical analysis, Arévalo was seen as a communist because of “his refusal
to persecute those Guatemalans whom Washington accused of communist sympathies - to hound
them for their jobs, to harass and, if necessary, to arrest and deport them - aroused the deepest
suspicions in US officials who could not believe that the president of a banana republic might have a
more comprehensive view of democracy than the heirs of Jefferson.” x This set the stage for the CIA
orchestrated coup d’etat of the national democratic government of Arbenz in 1954. According to
Susanna Jonas, the Guatemalan civil war started in 1960, and for the “next 3 1/2 decades, several
phases of the war pitted leftist insurgent organizations (which united in 1982 as the Guatemalan
National Revolutionary Unity, URNG) against U.S.-trained and supported counterinsurgency forces
of the Guatemalan army.” xi From the middle to late 1960’s, the counterinsurgency effort was
involved primarily in the mestizo portion of the country, which began to cave under the
counterinsurgency efforts.
According to the Guatemalan Commission for Historical Clarification:
With the outbreak of the internal armed confrontation in 1962, Guatemala entered a
tragic and devastating stage of its history, with enormous human, material and
moral cost. In the documentation of human rights violations and acts of violence
connected with the armed confrontation, the Commission for Historical
Clarification (CEH) registered a total of 42,275 victims, including men, women and
children. Of these, 23,671 were victims of arbitrary execution and 6,159 were
victims of forced disappearance. Eighty-three percent of fully identified victims
were Mayan and seventeen percent were Ladino. xii
This study is especially accurate because it only takes into account cases documented by the
commission and demonstrate that the killing was disproportionately high against Mayans.
The CEH study demonstrates that “the violence was fundamentally directed by the State
against the excluded, the poor and above all, the Mayan people, as well as against those who
fought for justice and greater social equality.” xiii Furthermore, what happens constitutes an
ethnic conflict (if not genocide) because the violence was disproportionately biased towards
one ethnicity. They go on to conclude by “combining this data with the results of other
studies of political violence in Guatemala, the CEH estimates that the number of persons
killed or disappeared as a result of the fratricidal confrontation reached a total of over
200,000.” xiv It seems impossible that this type of repression would not have implications or
a scarring effect on future cooperation.
Further evidence of deep rooted scars grounded in the antidemocratic nature of
Guatemalan history can be found in its colonial past. A major impact of the repression of the
Mayan people as noted above, are major disparities in wealth. A large concentration of the
nation’s wealth has historically been in the hands of a tiny minority. Thus, the suppression of
the Mayan people’s became a tool for maintaining economic superiority in the interests of an
oligarchic minority. According to the CEH: “This established the foundations of a system of
multiple exclusions, including elements of racism, which is, in turn, the most profound
manifestation of a violent and dehumanising social system. The State gradually evolved as an
instrument for the protection of this structure, guaranteeing the continuation of exclusion and
injustice.” xv These conclusions represent a larger overview of what happened between the
1960’s and the 1980’s.
Starting from the early 1970’s, the majority of the rest of the conflict raged in the
Guatemalan highlands, which are heavily Mayan. Many of the Mayan guerillas composed
the core of the insurgencies support base. This led the government to have a continuous
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suspicion and systematic oppression of large sectors of indigenous people, even to this day.
The early 1980’s brought about the scorched earth campaign which left over 100,000 dead in
the span of two years. xvi As the CEH describes, this situation resulted in “a vicious circle”
“in which social injustice led to protest and subsequently political instability, to which there
were always only two responses: repression or military coups. Faced with movements
proposing economic, political, social or cultural change, the State increasingly resorted to
violence and terror in order to maintain social control. Political violence was thus a direct
expression of structural violence.” xvii This sick cycle demonstrates the poisonous effects of
ethnic conflict on democracy, in Guatemala. The elites used the military to control the
government in the interest of the minority. Because of the flagrant injustice of the
authoritarian regime, the majority that is being repressed attempts redress by voicing or
acting for political change and/or reform. Unfortunately, some of this damage is irreparable.
The Mayan people to this day still feel a deep seated suspicion and outright mistrust of
the ruling government. The most powerful members of the Guatemalan government such as
current President Alvaro Colom, look completely European. As the civil war began to
slowly die down, the UNRG began to recognize that the complete military overthrowing of
the current state order was untenable, especially because of the cost in human lives of the
Guatemalan people.
In 1986, which marked the introduction of a newly elected civil government, the
insurgency began to engage in dialogue and negotiations attempting to come to an agreement
or settlement that could settle the conflict. Jonas wraps up this historical inquiry succinctly:
For several years, the army and the government, headed by Christian
Democrat Vinicio Cerezo (1986-90) stubbornly refused to negotiate, insisting
that the insurgents had been "defeated" and therefore must disarm unilaterally
without negotiating any substantive issues. They maintained this stance even
in the face of the 1987 Central American Peace Accords negotiated (in
Guatemala City) primarily to end the Contra war against the Sandinista
government in Nicaragua. By 1990, however, even army and government
spokesmen had to acknowledge that Guatemala's war was continuing. The
implicit admission that neither side could "win" the war militarily created the
conditions, beginning in the spring of 1990, for serious discussions to end it.
xviii
In 1989, The National Reconciliation Commission, which was established by the 1987 peace
accords, began this national dialogue. It’s important to note that this commission was not
attended by army, the government or the private sector, which demonstrates just how
difficult it was to get peace negotiations rolling. What this commission did do was manage
to bring in a big business organization and allow limited (even if under repressive conditions)
discussions about social change and political avenues.
Things were looking good with the election of Jorge Serrano in 1991, and his subsequent
negotiations with the URNG. Unfortunately, with his attempted coup in 1993, and
unwillingness to cooperate on issues such as human rights, indigenous participation and
military control, the whole peace process was once again in question (See Jonas 1994).
Negotiations continued to be ineffectual until January 1996, when no candidate received a
majority. The subsequent runoff happened between a conservative Alvaro Arzfu and
Alfonso Portillo. Fortunately, Arfzu won by a mere 2 percent (see Jonas 2000). The Accord
on Socioeconomic Issues was signed, in May 1996, which was the most significant event in
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securing Guatemalan peace because it made significant head way in mandating constitutional
reforms subordinating the military to civilian control, and restricting the army’s role to
defense. In the words of Jonas “the negotiation process was a great step for-ward for
Guatemalan democracy.” xix This by no means is an exhaustive or complete account of the
history of Guatemalan consolidation but it does include most of its prominent events in
shaping its current precarious state.
The meta-narrative of the last half century in Guatemala has shown a vast and
encouraging improvement, from the instability and constant coups, to an emerging
democracy.
Lessons from the past demonstrate that huge barriers to democratic
consolidation and peace in Guatemala, must address some of the deep rooted scars, created
by ethnic conflict and division between the generally more affluent Mestizos and their
Mayan counterparts. Centuries of conflict between these groups have created deep divisions
and understandable mistrust. This deters participation and confidence in the government.
Furthermore, the military and the country show tendencies towards authoritarian coups
especially in situations of rampant public insecurity. No lasting peace in Guatemala is
possible without the participation of the country’s indigenous majority in democratic and
civic life. Because Guatemala and its fledgling democracy had been relatively stable for the
next ten years, the study will fast forward a decade to examine the quality of democracy in
the status quo.
Prospects for Consolidating Guatemalan Democracy
Larry Diamond states that a quality democracy “accords its citizens ample freedom, political
equality, and control over public policies and policy makers through the legitimate and lawful
functioning of stable institutions. Such a regime will satisfy citizen expectations regarding
governance (qualify of results); it will allow citizens, associations, and communities to enjoy
extensive liberty and political equality (quality of content); and it will provide a context in which the
whole citizenry can judge the government's performance through mechanisms such as elections,
while governmental institutions and officials hold one another legally and constitutionally
accountable as well (procedural quality).” xx Naturally, the list of standards for judging this so
called quality of democracy is nearly infinite. Additionally, there is no absolute standard or agreed
upon method of examining the quality of a democracy. Instead of trying to prove or discuss
comparing methodologies, this study will isolate three aspects of democratic quality that Guatemala
must improve in order to further consolidate. This list is by no means comprehensive, but it does
attempt to take into account the major problems facing Guatemalan democracy. The first is
establishing rule of law. Second, is ensuring legal participation. Third, is creating horizontal
accountability. Naturally, this study takes into account the interconnected nature of all three aspects
in ensuring democratic quality.
Establishing the Rule of Law
Further establishing the rule of law is a necessary precondition for further consolidation of
Guatemalan democracy. As Guillermo O'Donnell explains, “under a rule of law all citizens are
equal before the law, which is fairly and consistently applied to all by an independent judiciary, and
the laws themselves are clear, publicly known, universal, stable, and nonretroactive.” But what
makes rule of law democratic? O’Donnell argues “that the legal system defends the political rights
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and procedures of democracy, upholds everyone's civil rights, and reinforces the authority of other
agencies of horizontal accountability that ensure the legality and propriety of official actions.” xxi
This is one of Guatemala’s most serious issues. There are several reasons that Guatemala suffers
from a weak rule of law. The first is the rampant crime and civil disorder, especially in the cities.
Everyday, there are multiple homicides in the newspapers ranging from indiscriminate and random
acts, to full on gang warfare. This lack of public security and inability for the government to hold
the perpetrators accountable, results in serious instability.
There are two sides to this coin. On the one hand, rough economic situations especially amongst
the young force them to turn to crime. As Robert Kaplan points out, young people (especially men)
who are out of a job without any way to feed their family and no hope for future employment
become despondent with their government and turn to violence. xxii On the other hand, an
understaffed, underpaid and partially corrupt police force, along with an overcrowded and
ineffectual court system; further this vicious downward spiral. Furthermore, the judiciary is subject
to attempts at assassination and threats from rampant gangs. At one point while I was researching in
Guatemala, gang members were boarding random city buses and summarily executing the drivers
and taking the money; just to prove a point to the police and government.
The single most important factor for reinstating and fortifying the rule of law in Guatemala is a
strong an independent judiciary. There are several reasons for this. The first is that an independent
judiciary could and should enforce the law equally for all citizens. In other words, only an
independent judiciary can ensure that the law applies equally to everyone. This is necessary to
ensure civil liberties and is a prerequisite to successful democratic participation because it
guarantees the right to political association, free speech, the right to press and fair treatment by the
government. Second, it would help ensure domestic stability, the ability for high level criminals to
threaten and blackmail the judiciary must be stopped. There must be some standard of
accountability for those who commit crimes. The judicial system’s inability to effectively prosecute
criminals has resulted in rampant and destabilizing crime. Naturally, this requires that the judge’s
and people choosing them, be committed to a fair and ideal set of democratic principles. Finally, an
independent judiciary would be able to horizontally account for the executive branch, which includes
military oversight. This means that it would also have oversight of the police force, which it could
use to tackle corruption and ensure the civil liberties of its citizens. Furthermore, it could play a
larger role in ensuring that the military stays under civilian control. This is critical, because the
overwhelming historical evidence in combination with the rampant poverty and civic unrest, point to
a possible authoritarian backslide that would likely result in a military coup. The history of
Guatemala dictates that as long as the military has a role in determining government, the government
will remain authoritarian. Peace has only been established thus far because of some degree of
civilian constraint over the military. This means the assertion of a strong independent judiciary is a
critical prerequisite to ensuring participation.
Ensuring Indigenous Participation
As mentioned earlier, a reflection on Guatemalan history demonstrates the necessity of
addressing indigenous participation. This study assumes that participation is a requirement of
democracy. “With regard to participation, democratic quality is high when we in fact observe
extensive citizen participation not only through voting but in the life of political parties and civil
society organizations, in the discussion of public policy issues, in communicating with and
demanding accountability from elected representatives, in monitoring official conduct, and in direct
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engagement with public issues at the local level.” xxiii As historical trends and ethnic conflict
foretell, despite steady increases in voter turnout, indigenous participation is still well below
Mestizos. Alexander Gray who participated in the European Union Election Observation Mission to
Guatemala, notes that “the 2007 election was the first in Guatemala with the participation of an
indigenous presidential candidate. Despite this positive development, the participation of indigenous
candidates continues to fall far below the national demographic representation of Mayas, Garífunas,
and Xincas.” xxiv This becomes difficult because no regime can be a democracy, unless all of its
citizens enjoy formal rights to political participation. Even if the participation of the first indigenous
candidate symbolizes a step in the right direction, it does not qualify as quality participation.
For a government to have quality participation it must actively ensure that citizens are able to use
their formal rights to influence the decision-making process. This includes being able to vote, to
organize, to assemble, to protest and to lobby for their interests. The positive news is that the
Guatemalan government’s legislative branch is starting to reflect its population. Unfortunately,
indigenous people in the remote regions of Guatemala have been left out of this process. In other
words, Guatemala must address the underlying issue of increasing indigenous participation by
ensuring that their opportunities to congregate, hold political parties and vote are unhampered. This
is why an independent judiciary is necessary, because it could enforce the indigenous right to
participation. It will also take a more active and motivated indigenous population, which is difficult
given the deep seated mistrust of all Guatemalan governments.
Even within indigenous populations, there are barriers to democratic participation. The first
is disparities in education. While I was doing research in the indigenous village of San Juan
Comalapa, Guatemala, I was astounded to discover that the majority of rural villages only provided
public education up until the sixth grade. At that point, it was up to the student’s parents to pay for
continued education at a private institution or to start working on a local farm or other forms of
manual labor. A study demonstrates that “In some areas, where the majority of the population is
indigenous, illiteracy is as high as 90 per cent.” xxv It is nearly impossible to have quality
participation without a civically engaged and educated populace. In other words, democratic
associations, coalitions and eventually parties, are unlikely to flourish (or happen) without at least
some understanding of government and citizenship (which is unlikely to be adequately taught before
sixth grade). The first step should be an emphasis on teaching civic engagement at regular intervals
starting from the lower (since some students don’t make it past third grade).
The second and equally problematic issue is the participation of indigenous women in
politics. My research in a variety of indigenous villages that I lived in, taught me quickly how
patriarchal indigenous Mayan societies are. In rural indigenous communities which compose a
majority of Guatemala’s population, the public private dichotomy is strictly (and heavy-handedly)
enforced. This means that most indigenous women are not encouraged to get involved in politics in
anyway (they are still many years from having an indigenous female candidate run for public office).
A study done by the Women in Parliament called “The Challenge of Women’s Political Participation
in Guatemala” states:
In Guatemala, women’s participation in public affairs is very recent. There are
popularly elected posts, such as president of the republic, for which, according to the
majority, women are not suited. It was not until the 1950s that women first assumed
posts involving the direction and management of public affairs, yet their participation
in politics is still incipient. This situation is exacerbated among women, highlighting
how gender exclusion in Guatemala goes beyond discrimination on grounds of social
class or ethnicity. Existing inequalities can no longer be tolerated, and should be the
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subject of in-depth analysis and an effort to come up with solutions, since only to the
extent that they are addressed and resolved will it be possible to fully develop a
framework of social justice and truly consolidate democracy in Guatemala, with the
participation of more than half of the population. xxvi
This study further demonstrates the educational inequality there, because the girls “dropout rates are
as high as 81 per cent in rural areas and 51 per cent in urban areas.3 Only 17 of every 100 girls
complete primary school, and in rural areas 66 per cent of them drop out of school before completing
the third grade.” This gap in education in addition to the aggressive machismo of Guatemalan
society especially in the indigenous regions, are huge barriers to participation. The only way to
counteract this lack of democratic appeal is through increased education. There must be increased
education and awareness about female’s ability to influence policy decisions. Another critical step
to ensuring both rule of law and indigenous participation is horizontal accountability.
Horizontal Accountability
Horizontal accountability is necessary to ensure the government’s responsiveness and subsequent
quality. Diamond et al explain horizontal accountability as “one official or arm of government is
answering to another in a roughly lateral way rather than as part of a regular "command-andobedience" relationship.” xxvii This aspect once again requires an independent judiciary. As
Diamond points out “the vitality of horizontal accountability hinges most of all on a legal system
that provides for the exertion of checks and balances by other public entities that are independent of
the government, and not competing as an alternative to it.” xxviii The judiciary needs to check the
executive branch whose “control” over the military makes it somewhat suspect. The only way to
increase the responsiveness of Guatemalan government to its people is to ensure that the government
is internally checking itself in order to prevent one branch especially the executive, from gaining too
much power, especially because it has a large degree of control with the military. Furthermore, the
judiciary can restore credibility and faith in the government by holding it and officials accountable
for corrupt actions. This requires the executive and legislative branch to pick true and honest judges,
who are committed to ensuring the democratic process; or else the court can be just as damaging
and/or hinder the democracy’s quality.
Conclusion
In conclusion, there is hope for Guatemalan democracy. Given its deep scars grounded in a
history determined by colonialism, and with nearly two centuries of authoritarian rule, the last ten
years seem like a drastic improvement. This is not enough, especially since increasing public
insecurity, poor economic conditions and a lack of faith in the government have historically lead to
democratic backsliding. This study isolated three aspects of democratic quality that Guatemala must
improve if it is going to continue consolidating. First, is the rule of law, which must establish some
public security and reduce the rampant crime that threatens political and economic stability (because
it deters potential investors). This can be achieved through a strengthening and insulation of an
independent judiciary, as well as better protection of those justices to prevent the efficacy of threats.
Second, is the need to ensure participation of indigenous peoples as well as females across the board.
The illiteracy rates in indigenous Guatemala are an underlying cause (as well as a deep seated
mistrust of Mestizo government) of low democratic participation and subsequent responsiveness.
The rate is even higher amongst Guatemalan women. The only way to increase participation is to
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increase efforts in education of citizenship, even if it is in the third grade (you never know when
their economic situation will force them to quit). Finally, the independent judiciary must enforce
horizontal accountability both monitoring the military and prosecuting corruption in order to
establish confidence in the system. If left unaddressed, we could see the democratic progress made
by Guatemala in the last half century; disappear with only a whimper.
References
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Guatemala.” Journal of Anthropological Research. Vol. 36, No. 3.
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Overview.” Journal of Democracy 15(4):20-31.
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Fisher, Glen, 1997. The Role of Culture and Perception in International Relations. Intercultural
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Gleijeses, Piero, 1989. Juan Jose Arevalo and the Caribbean Legion Juan Jose Arevalo and the
Caribbean Legion. Journal of Latin American Studies. Vol. 21, No. 1. pp 133-145.
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Kaplan, Robert. “Was Democracy Just a Moment?” The Atlantic Monthly. December, 1997.
Lovell and Lutz, George and Christopher. 1 “A Dark Obverse”: Maya Survival in Guatemala.
Geographical Review. Vol. 86, No. 3. pp. 398-407
O’Donnell, Guillermo. "Horizontal Accountability in New Democracies.” From The Selfrestraining State. Andreas Schedler, Larry Jay Diamond, Marc F. Plattner. Lynne Rienner
Publishing. Pg. 31
Schumpeter, Joseph A. 1942. Capitalism, Socialism, and Democracy. New York: Harper
and Row, pp. 250-283.
Schmitter, Philippe and Terry Lynn Karl, 1991. “What Democracy Is . . . and Is Not” Journal of
Democracy (1): 75-89.
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i
Democratization through Peace: The Difficult Case of Guatemala. Jonas, Susanne. 2000. Journal of
Interamerican Studies and World Affairs, Vol. 42, No.4, pg. 10
ii
Democratization through Peace: The Difficult Case of Guatemala. Jonas, Susanne. Pg. 11
iii
Capitalism, Socialism, and Democracy. Schumpeter, Joseph A. 1942. pp. 250-283.
iv
Polyarchy: Participation and Opposition. Dahl, Robert A. 1971. pp 1-16.
v
“What Democracy Is . . . and Is Not,” Schmitter, Philippe and Terry Lynn Karl, 1991. Journal of
Democracy. pp 75-89
vi
The Role of Culture and Perception in International Relations. Glen Fisher.**
vii
“A Dark Obverse”: Maya Survival in Guatemala. Lovell, George and Lutz, Christopher. Geographical
Review. Vol. 86, No. 3. pp. 398-407
viii
Democratization through Peace: The Difficult Case of Guatemala. Jonas, Susanne.
ix
Juan Jose Arevalo and the Caribbean Legion. Gleijeses, Piero, 1989. Journal of Latin American
Studies. Vol. 21, No. 1. pp 133-145.
x
Juan Jose Arevalo and the Caribbean Legion. Gleijeses, Piero, 1989.
xi
Democratization through Peace: The Difficult Case of Guatemala. Jonas, Susanne. Pg. 11
xii
Report of the Commission for Historical Clarifications. (CEH) Accessed at
http://shr.aaas.org/guatemala/ceh/report/english/toc.html
xiii
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xiv
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xv
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xvi
Massacres of the Jungle. Falla, Richard, 1994. Boulder: Westview Press
xvii
Conclusions: The Tragedy of Armed Conflict. (CEH)
xviii
Democratization through Peace: The Difficult Case of Guatemala. Jonas, Susanne. Pg. 11
xix
Democratization through Peace: The Difficult Case of Guatemala. Jonas, Susanne. Pg. 15
xx
An Overview: The Quality of Democracy. Diamond and Morlino, Larry and Leonardo. Pg. 2
xxi
"Horizontal Accountability in New Democracies.” Guillermo O’Donnell. The Self-restraining State.
Pg. 31
xxii
“Was Democracy Just a Moment.” Robert D. Kaplan. The Atlantic. Dec, 1997.
xxiii
An Overview: The Quality of Democracy. Diamond and Morlino, Larry and Leonardo. Pg. 5
xxiv
Guatemalan Elections Generally Peaceful, Increased Voter Turnout. Gray, Alexander. Misión de
Observación Electoral Unión Europea.
xxv
The Challenge of Women’s Participation in Guatemala. Women in Parliament, IDEA, 2002.
xxvi
The Challenge of Women’s Participation in Guatemala. Women in Parliament, IDEA, 2002.
xxvii
An Overview: The Quality of Democracy. Diamond and Morlino, Larry and Leonardo. Pg. 7
xxviii
An Overview: The Quality of Democracy. Diamond and Morlino, Larry and Leonardo. Pg. 8
160
“Too Young to Die? The Evolving Views of the Supreme Court of the
United States on the Death Penalty for Juvenile Offenders”
Joseph A. Melusky
Saint Francis University (PA)
161
Amendment VIII: Excessive bail shall not be required, nor excessive fines imposed, nor cruel
and unusual punishments inflicted.
Amendment V: No person shall . . . be deprived of life, liberty, or property, without due process
of law. . . .
Amendment XIV: . . . . No State shall . . . deprive any person of life, liberty, or property, without
due process of law. . . .
Introduction
The Eighth Amendment prohibits “cruel and unusual punishments.” The Amendment
does not, however, flatly prohibit the death penalty. Capital punishment has been a part of the
American cultural fabric since colonial times. Captain George Kendall was first. He was shot by
a firing squad in Jamestown, Virginia in 1608 for sowing discord and spying.
The Framers of the Fifth and Fourteenth Amendments accepted the constitutional
legitimacy of the death penalty. These Amendments provide that no person shall be deprived of
“life, liberty, or property, without due process of law.” The language reflects an acceptance of
capital punishment in that persons can be deprived of their lives . . . as long as they receive due
process of law.
But the Eighth Amendment’s protection against cruel and unusual punishments
sometimes bars the death penalty under certain circumstances? The death penalty is
constitutionally impermissible if it is inflicted with wanton cruelty or in a discriminatory or
haphazard fashion. It can be imposed as long as the defendant is treated in a procedurally fair
manner and the punishment is not imposed in a “cruel and unusual” fashion.
What is “cruel”? What is “unusual”? It depends. Courts have interpreted and applied
these concepts with an eye towards “evolving standards of decency.” The concept of humane
capital punishment might appear to be a contradiction in terms. How can the death penalty ever
be humane? Consider, however, burning at the stake, breaking on the wheel, pressing under
stones, drawing and quartering, boiling in oil, disembowelment, beheading, and “lesser”
penalties like branding and flogging. Such practices were once commonplace. Today, they are
regarded as cruel, unusual, barbaric, and inconsistent with contemporary standards of decency.
More recent debates have centered on execution by hanging, electrocution, or lethal injection
using the currently favored three-drug protocol. In short, standards of decency evolve.
Courts have considered whether the punishment fits the crime, whether the punishment
imposed was the one intended by the legislature, and whether the punishment can be applied to
convicted criminals who are mentally retarded or who were juveniles when they committed their
capital offenses. Sometimes death sentences have been upheld and sometimes, depending on the
circumstances, they have been struck down. This paper focuses on the constitutional legitimacy
of the death penalty for juvenile offenders.
From Furman (1972) to Gregg (1976)
In 1972, the Supreme Court appeared to strike down the death penalty itself in Furman v.
Georgia. The Court, however, was divided. The “majority” was unable to agree upon a
consensus opinion. Five separate concurring opinions were issued. Only Justices Brennan and
Marshall concluded that capital punishment is always cruel, unusual, and constitutionally
prohibited. The remaining concurring Justices – Douglas, Stewart, and White – based their
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opposition on the appearance of racial bias or arbitrariness in the application of the death
penalty. The four Nixon appointees – Chief Justice Burger and Justices Powell, Rehnquist, and
Blackmun – dissented.
Furman struck down then-existing state capital punishment laws that gave juries too
much discretion about whether or not to impose the death penalty. But Furman permitted states
to revise their death penalty laws to limit such discretion. In fact, Chief Justice Burger’s
dissenting opinion stressed that the Court had not banned capital punishment and invited state
legislatures to reform their capital-sentencing procedures.
Thirty-five states accepted Burger’s invitation and revised their death penalty laws. Ten
of these states tried to eliminate jury discretion entirely by making the death penalty mandatory
for certain crimes. This approach failed. In 1976 (Roberts v. Louisiana and Woodson v. North
Carolina), the Court invalidated mandatory death penalties. Twenty-five states provided juries
with “guided discretion,” requiring two-stage trials in capital cases. The first stage would
determine the defendant’s guilt or innocence and the second would determine the punishment
based on a consideration of aggravating or mitigating circumstances.
In 1976, the Supreme Court agreed to review new guided-discretion death penalty laws in
Gregg v. Georgia and two companion cases, Proffitt v. Florida and Jurek v. Texas. The Court
ruled that these modified death penalty laws successfully addressed the Furman objections.
Tony Gregg was convicted of armed robbery and murder. At the penalty stage, the judge
instructed the jury that it could recommend either a death sentence or life imprisonment and that
it was free to consider mitigating or aggravating circumstances. Finally, the judge explained that
a death sentence required finding of an aggravating circumstance. The jury found aggravating
circumstances, concluding that the murder was committed while Gregg was engaged in the
commission of other capital felonies (armed robbery) and that he committed the murder for the
purpose of receiving the victims' money and automobile. The jury returned a sentence of death.
On appeal, by a vote of seven to two, the U.S. Supreme Court upheld the sentence and
Georgia’s revised death penalty statutes. Justice Stewart’s majority opinion observed that the
Eighth Amendment is interpreted with an eye towards contemporary values. It draws its meaning
from “the evolving standards of decency that mark the progress of a maturing society” (Trop v.
Dulles). “Excessive” punishments that inflict unnecessary pain or that are grossly
disproportionate to the severity of the crime are prohibited. But capital punishment for the crime
of murder cannot be viewed as invariably disproportionate. It is an extreme sanction suitable to
the most extreme crimes. An obvious indication of society’s endorsement of the death penalty
for murder was that in the four years from Furman to Gregg, Congress and at least 35 States
enacted new death penalty statutes.
The Gregg majority found that the concerns expressed in Furman were met by Georgia’s
two-stage proceeding at which the jury was provided with information relevant to the imposition
of sentence and provided with standards to guide its use of that information. Dissenting, Justices
Brennan and Marshall reaffirmed their Furman opposition to capital punishment.
Gregg established that the death penalty is not unconstitutional per se. It is not a
punishment that may never be imposed, regardless of the circumstances of the offense,
regardless of the character of the offender, and regardless of the procedure followed in reaching a
decision to impose it.
Capital punishment in the states resumed one year later under revised death penalty
statutes when convicted murderer Gary Gilmore was executed by a firing squad in Utah in 1977.
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Thompson v. Oklahoma, 487 U.S. 815 (1988)
William Wayne Thompson participated in a murder when he was 15 years old. He was
convicted of first-degree murder and sentenced to death. With three older persons, Thompson
actively participated in the brutal murder of his former brother-in-law. The victim had been shot
twice. His throat, chest, and abdomen had been cut. He had multiple bruises and a broken leg.
His body had been chained to a concrete block and thrown into a river. Each of the four
participants was tried separately and each was sentenced to death.
The Oklahoma trial court concluded "that there are virtually no reasonable prospects for
rehabilitation of William Wayne Thompson within the juvenile system and … Thompson should
be held accountable for his acts as if he were an adult . . . .”
The United States Supreme Court granted Thompson’s appeal to consider whether a
sentence of death is cruel and unusual punishment for a crime committed by a 15-year-old child.
Was Thompson’s age at the time of his offense a sufficient reason for denying the State the
power to sentence him to death? Justice Stevens, in an opinion joined by Justices Brennan,
Marshall, and Blackmun, announced the judgment of the Court. The Court ruled that a defendant
cannot be executed for a crime committed when he was below the age of 16 because such a
young person is not capable of acting with the degree of culpability that can justify the ultimate
penalty. Justice O’Connor wrote a separate concurring opinion. Justice Scalia, joined by Chief
Justice Rehnquist and Justice White, dissented. Justice Kennedy did not participate. As such, the
case was decided by a five-to-three vote.
Reviewing relevant legislation, jury determinations, and contemporary standards of
decency, the Court observed that the line between childhood and adulthood is drawn in different
ways by various States. There is, however, near unanimity among all 50 States and the District of
Columbia in treating a person under 16 as a minor for several important purposes. In no State
may a 15-year-old vote or serve on a jury. In all but one State, a 15-year-old may not drive
without parental consent. In all but four States, a 15-year-old may not marry without parental
consent. Additionally, no one under age 16 may purchase pornographic materials. In most States
that have some form of legalized gambling, minors are not permitted to participate without
parental consent. Most relevant is the fact that all States enacted legislation designating the
maximum age for juvenile court jurisdiction at no less than 16. All of this legislation is
consistent with the long history of American law that the normal 15-year-old is not prepared to
assume the full responsibilities adulthood.
Most state legislatures had not expressly confronted the question of establishing a
minimum age for imposition of the death penalty. In 14 States, capital punishment was not
authorized at all, and in 19 others capital punishment was authorized but no minimum age was
expressly stated in the death penalty statute. Eighteen States expressly established a minimum
age in their death penalty statutes. None permitted execution of defendants who were less than
16 years old at the time of the offense. Furthermore, respected professional organizations, other
nations sharing our Anglo-American heritage, and leading members of the Western European
community all regard the execution of 15-year-old offenders as offensive to civilized standards
of decency.
The Court next considered the behavior of juries. While it is not known precisely how
many persons were executed during the 20th Century for crimes committed under the age of 16,
the number had been estimated at between 18 and 20, with the last such execution taking place in
1948. This history convinced Stevens that the imposition of the death penalty on a 15-year-old
offender had become “generally abhorrent” to the conscience of the community.
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Stevens pointed out that it is generally agreed "that punishment should be directly related
to the personal culpability of the criminal defendant." There is “broad agreement” on the
proposition that adolescents are less mature and responsible than adults and that less culpability
should attach to crimes committed by juveniles than to comparable crimes committed by adults.
Inexperience, less education, and less intelligence make juveniles less able to evaluate the
consequences of their conduct while at the same time they are more apt to be motivated by
emotion or peer pressure than are adults. The reasons why juveniles are not trusted with the same
privileges and responsibilities of adults also explain why their criminal conduct is not as morally
reprehensible as that of adults.
The death penalty is said to serve two principal social purposes: retribution and
deterrence of capital crimes by prospective offenders. In Gregg, the Court concluded that
retribution as an expression of society's moral outrage at particularly offensive conduct is
consistent with our respect for the dignity of men. Given the lesser culpability of juvenile
offenders and their capacity for growth, however, this justification is “simply inapplicable” to the
execution of a 15-year-old offender.
For young offenders, Stevens said, the deterrence rationale is equally unacceptable.
Department of Justice statistics indicate that about 98% of the arrests for willful homicide
involved persons who were over 16 at the time of the offense. As such, excluding younger
persons from eligibility for the death penalty would not diminish the deterrent value of capital
punishment for most potential offenders. Further, even with respect to those under 16 years of
age, the potential deterrent value of the death sentence is insignificant for two reasons. First, it is
unlikely that the teenage offender has made the kind of cost-benefit analysis that attaches any
weight to the possibility of execution. Second, it is unlikely that such a would-be offender would
be deterred in light of how few persons his age have been executed since the beginning of the
20th century. In short, Stevens was unpersuaded that the imposition of the death penalty for
offenses committed by persons less than 16 years of age could make any measurable contribution
to the goals that capital punishment is intended to achieve. He concluded that the death penalty is
"nothing more than the purposeless and needless imposition of pain and suffering" for a person
who was under 16 years of age at the time of his or her offense.
Justice Scalia, joined by Chief Justice Rehnquist and Justice White, dissented. Scalia said
that if the issue was whether an automatic death penalty for conviction of certain crimes could be
extended to individuals younger than 16 when they commit their crimes, without individualized
consideration of their maturity and moral responsibility, he would agree that such a practice is
opposed by a national consensus, “sufficiently uniform and of sufficiently long standing, to
render it cruel and unusual punishment within the meaning of the Eighth Amendment.” But the
question posed here was “radically different.” Was there a national consensus that no criminal so
much as one day under 16, after individuated consideration of his circumstances, could ever
possibly be deemed mature and responsible enough to be punished with death for any crime?
Oklahoma gave careful consideration to Thompson’s age and a jury, nevertheless, found that his
maturity and moral responsibility were sufficiently developed to justify the sentence of death.
Some young offenders in rare circumstances are sufficiently culpable to deserve the death
penalty, Scalia concluded.
Stanford v. Kentucky, 492 U.S. 361 (1989)
Kevin Stanford was 17 years old when he committed a murder in Kentucky. Heath
Wilkins was 16 years old when he committed a murder in Missouri. Both defendants were
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sentenced to death. These two consolidated cases required the Court to decide whether the
imposition of capital punishment on an individual for a crime committed at 16 or 17 years of age
constitutes cruel and unusual punishment. Unlike Thompson, here the Court upheld both
sentences. Justice Scalia delivered the opinion of the Court. Chief Justice Rehnquist and Justices
White, Kennedy, and O’Connor – who switched sides from Thompson -- also voted to uphold the
sentences. Justice Brennan, joined by Justices Marshall, Blackmun, and Stevens, dissented.
The first case involved Kevin Stanford. He committed murder on January 7, 1981, when
he was approximately 17 years and 4 months of age. Stanford and his accomplice repeatedly
raped and sodomized 20-year-old Barbel Poore in Jefferson County, Kentucky, while they
robbed a gas station where she worked as an attendant. They then drove her to a secluded area,
where Stanford shot her in the face and in the back of her head. The proceeds from the robbery
were roughly 300 cartons of cigarettes, two gallons of fuel, and a small amount of cash. A
corrections officer testified that Stanford said, “I had to shoot her, [she] lived next door to me
and she would recognize me. . . . I guess we could have tied her up or something or beat [her up]
. . . and tell her if she tells, we would kill her. . . . Then after he said that he started laughing."
A Kentucky juvenile court, stressing the seriousness of the offenses and unsuccessful
attempts of the juvenile system to treat him for numerous instances of past delinquency,
determined that Stanford should be tried as an adult. Stanford was convicted of murder, firstdegree sodomy, first-degree robbery, and receiving stolen property. He was sentenced to death
and 45 years in prison. The Kentucky Supreme Court affirmed the death sentence.
The second case involved the stabbing death of Nancy Allen, a 26-year-old mother of
two who was working behind the sales counter of the convenience store in Avondale, Missouri.
Heath Wilkins committed the murder on July 27, 1985, when he was approximately 16 years and
6 months of age. Wilkins' planned to rob the store and murder "whoever was behind the counter"
because "a dead person can't talk." While Wilkins' accomplice, Patrick Stevens, held Allen,
Wilkins stabbed her. When Stevens had trouble operating the cash register, Allen spoke up to
assist him. Wilkins stabbed her three more times in her chest. When Allen begged for her life,
Wilkins stabbed her four more times in the neck, opening her carotid artery. After taking liquor,
cigarettes, rolling papers, and approximately $450 in cash and checks, Wilkins and Stevens left
Allen to die on the floor.
Relying on the "viciousness, force and violence" of the crime, Wilkins’ maturity, and the
failure of the juvenile justice system to rehabilitate him after previous delinquent acts, a juvenile
court decided that Wilkins should be tried as an adult. Wilkins was charged with first-degree
murder, armed criminal action, and carrying a concealed weapon. He entered guilty pleas to all
charges. A punishment hearing was held. Both the State and Wilkins himself urged imposition of
the death sentence. Finding aggravating circumstances, the trial court imposed the death penalty.
The Supreme Court of Missouri affirmed. The United States Supreme Court granted certiorari to
decide whether the Eighth Amendment prohibits the death penalty for all individuals who
commit crimes at 16 or 17 years of age.
Wilkins and Stanford argued that their punishment is contrary to the "evolving standards
of decency that mark the progress of a maturing society.” Scalia noted that the Court’s judgments
should be informed by objective factors, and not just by the subjective views of individual
justices, to the maximum possible extent.
Objective indicators of the public’s attitude toward a given punishment include laws
passed by elected representatives. Thirty-seven states permitted capital punishment at the time.
Of these, 15 declined to impose it upon 16-year-old offenders and 12 declined to impose it on
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17-year-old offenders. Scalia did not regard this record to be sufficient to establish the degree of
national consensus that the Court previously thought sufficient to label a particular punishment
cruel and unusual. For example, when the Court previously invalidated the death penalty for rape
of an adult woman, the justices stressed that Georgia was the sole jurisdiction that authorized
such a punishment. In striking down capital punishment for participation in a robbery in which
an accomplice took a life, the Court emphasized that only eight jurisdictions authorized similar
punishment. In finding that the Eighth Amendment precludes execution of the insane and thus
requires an adequate hearing on the issue of sanity, the Court relied upon the fact that not a
single State permitted such punishment. And in striking down a life sentence without parole
under a recidivist statute, the Court stressed that the petitioner was treated more severely than he
would have been in any other State. Here, however, a majority of the States that permitted capital
punishment authorized it for crimes committed at age 16 or above.
Wilkins and Stanford argued further that even if the laws themselves did not establish a
settled consensus in their favor, the application of the laws did. Prosecutors had been reluctant to
seek, and juries had been reluctant to impose, death sentences for juvenile offenders. Scalia
conceded that the petitioners were correct that far fewer offenders under 18 than over 18 had
been sentenced to death and executed in this country. Actual executions for crimes committed
under age 18 accounted for only about two percent of the total number of executions that
occurred between 1642 and 1986. These statistics, however, carried little significance for Scalia.
A far smaller percentage of capital crimes had been committed by persons under 18 than over 18.
As such, the discrepancy was much less than might seem. The fact that prosecutors and juries
believe that it should rarely be imposed on juvenile offenders does not mean that it is never
deserved. Some juvenile capital offenders commit such heinous crimes that the death penalty is
warranted, Scalia maintained.
Petitioners cited laws that set 18 as the legal age for engaging in various activities. Such
age statutes do not represent a social judgment that all persons under the designated ages are not
responsible enough to drive, to drink, or to vote, but a judgment that the majority are not. The
system does not conduct individualized maturity tests for each driver, drinker, or voter. A
defendant’s age is one of the individualized mitigating factors that sentencers are permitted to
consider. Most 16- and 17-year-old offenders are too immature to receive death sentences. Some,
however, may be deserving of these sentences.
In their attempts to demonstrate a consensus against capital punishment for 16- and
17-year-old offenders, the petitioners also pointed to public opinion polls, the views of interest
groups, and the positions adopted by various professional associations. Scalia stated that it would
be inappropriate to base constitutional law upon such “uncertain foundations.”
Scalia discerned no societal consensus forbidding the imposition of capital punishment
on any person who murders at 16 or 17 years of age. Stanford and Wilkins’ death sentences were
affirmed. As of 1989, no 15-year-old capital offender could be sentenced to death, but some 16and 17-year-old capital offenders could be sentenced to death.
Justice O’Connor, providing the fifth vote for the Court’s five-to-four decision, concurred
in part and concurred in the judgment. The previous year, in Thompson v. Oklahoma, O’Connor
concluded that Oklahoma's imposition of a death sentence on an individual who was 15 years old
at the time he committed a capital offense should be set aside. Applying the same standard to
Stanford and Wilkins, she concluded that the death sentences for capital murder imposed by
Missouri and Kentucky should be upheld because no national consensus forbids the imposition
of capital punishment on 16- or 17-year-old capital murderers. In Thompson, she noted that ". . .
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every single American legislature that has expressly set a minimum age for capital punishment
has set that age at 16 or above." This, for O’Connor, was the critical difference between
Thompson and these cases. There was a national consensus against imposing the death penalty
on 15-year-old capital offenders. There was no corresponding national consensus forbidding the
imposition of capital punishment upon some 16- and 17-year-old capital offenders. Most of the
States that permitted capital punishment authorized it for crimes committed at age 16 or above.
Justice Brennan, joined by Justices Marshall, Blackmun, and Stevens, dissented. Brennan
stated that taking the life of a person as punishment for a crime committed when below the age
of 18 is always cruel and unusual and is flatly prohibited by the Eighth Amendment.
Brennan rejected Scalia’s discussion of state laws concerning capital sentencing as
distorted. Twelve of the States whose statutes permitted capital punishment at the time
specifically mandated that offenders under age 18 not be sentenced to death. When one adds to
these 12 States the 15 (including the District of Columbia) in which capital punishment was not
authorized at all, a total of 27 States had concluded that no one under 18 should face the death
penalty. Additionally, three States explicitly refused to authorize sentences of death for those
who committed their offense when under 17, making a total of 30 States that would not tolerate
the execution of a petitioner as young as Wilkins. In brief, the imposition of the death penalty on
adolescents was distinctly rare or “unusual.”
Furthermore, numerous respected organizations, including the American Bar Association,
the National Council of Juvenile and Family Court Judges, the American Law Institute's Model
Penal Code, and the National Commission on Reform of the Federal Criminal Laws filed briefs
recommending that 18 be the minimum age. Also relevant for Brennan was the fact that more
than 50 countries, including nearly all in Western Europe, had formally abolished the death
penalty, or limited its use to exceptional crimes such as treason. Twenty-seven others did not in
practice impose the penalty. Of the nations that retained capital punishment, most prohibited the
execution of juveniles. In addition, three leading human rights treaties ratified or signed by the
United States explicitly prohibited juvenile death penalties. Within the world community, the
imposition of the death penalty for juvenile crimes was overwhelmingly disapproved.
The rejection of the death penalty for juveniles by most States, the rarity of the sentence
for juveniles, the opinions of respected organizations in relevant fields that this punishment is
unacceptable, and its general rejection throughout the world, convinced Justice Brennan that it is
not constitutionally tolerable to execute adolescent offenders.
Finally, Brennan concluded that juveniles generally lack the degree of responsibility for
their crimes that is necessary for constitutional imposition of the death penalty. Age 18 is the
dividing line that society has generally drawn as the point at which it is thought reasonable to
assume that persons have an ability to make responsible judgments. Juveniles very generally lack
that degree of blameworthiness that is a constitutional prerequisite for the imposition of capital
punishment. For these reasons, Brennan contended that the Eighth Amendment prohibits the
execution of any person for a crime committed below the age of 18.
Roper v. Simmons, 543 U.S. 551 (2005)
Sixteen years later, the Supreme Court again considered the constitutionality of the death
penalty for juvenile capital offenders. Christopher Simmons committed murder when he was a
17-year-old junior in high school. About nine months later, after he turned 18, he was tried and
sentenced to death. Simmons had said that he wanted to murder someone. He talked about his
plan with two friends, Charles Benjamin and John Tessmer, then aged 15 and 16 respectively.
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Simmons proposed to burglarize and murder by breaking and entering, tying up a victim, and
throwing the victim off a bridge. Simmons assured his friends they could “get away with it”
because they were minors.
The three met at about 2 a.m. on the night of the murder, but Tessmer left before the
other two set out. Simmons and Benjamin entered the home of the victim, Shirley Crook, after
reaching through an open window and unlocking the back door. Simmons turned on a hallway
light. Awakened, Mrs. Crook called out, “Who’s there?” In response Simmons entered Mrs.
Crook’s bedroom. He recognized her from a previous car accident involving them both.
Simmons later admitted this confirmed his resolve to murder her.
Using duct tape to cover her eyes and mouth and bind her hands, Simmons and
Benjamin put Mrs. Crook in her minivan and drove to a state park. They reinforced the bindings,
covered her head with a towel, and walked her to a railroad trestle. They tied her hands and feet
together with electrical wire, wrapped her whole face in duct tape and threw her from the bridge,
drowning her in the river below. Fishermen recovered Mrs. Crook’s body from the river.
Simmons, meanwhile, was bragging about the killing, telling friends he had killed a woman
“because the bitch seen my face.”
After receiving information of Simmons’ involvement, police arrested him at his high
school. Simmons confessed to the murder. The State charged Simmons with burglary,
kidnapping, stealing, and first-degree murder. He was tried as an adult. The jury returned a
verdict of murder and the trial proceeded to the penalty phase. The trial judge instructed the
jurors they could consider Simmons’ age as a mitigating factor. In light of demonstrated
aggravating factors, the jury recommended the death penalty. The trial judge accepted the jury’s
recommendation.
Subsequently, the United States Supreme Court held that the Eighth and Fourteenth
Amendments prohibit the execution of a mentally retarded person in Atkins v. Virginia (2002).
Simmons filed a new petition for state relief, arguing that the reasoning of Atkins also established
that the Constitution prohibits the execution of a juvenile who was under 18 when the crime was
committed.
The Missouri Supreme Court agreed. It held that since Stanford, “a national consensus
has developed against the execution of juvenile offenders, as demonstrated by the fact that
eighteen states now bar such executions for juveniles, that twelve other states bar executions
altogether, that no state has lowered its age of execution below 18 since Stanford, that five states
have legislatively or by case law raised or established the minimum age at 18, and that the
imposition of the juvenile death penalty has become truly unusual over the last decade.” It set
aside Simmons’ death sentence and resentenced him to “life imprisonment without eligibility for
probation, parole, or release except by act of the Governor.”
By a five-to-four vote, the United States Supreme Court agreed, ruling that the Eighth
and Fourteenth Amendments forbid imposition of the death penalty on offenders who were under
the age of 18 when they committed their crimes. Justice Kennedy switched sides from Stanford
and wrote the majority opinion, joined by Justices Souter, Ginsburg, Breyer, and Stevens. Justice
O’Connor dissented, as did Justice Scalia, joined by Chief Justice Rehnquist and Justice Thomas.
In Stanford, the Court’s examination of contemporary standards of decency prevailing in
1989 led to the conclusion that the Eighth and Fourteenth Amendments permitted the execution
of some 16- and 17-year-old juvenile offenders. The Court noted that, at that time, 22 of the 37
death penalty States permitted the death penalty for 16-year-old offenders, and 25 permitted it
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for 17-year-old offenders. These numbers, in the Court’s view, indicated there was no national
consensus against the death penalty for juvenile offenders in this age range.
The same day the Court decided Stanford, it held that the Eighth Amendment permitted
the death penalty for some mentally retarded offenders in Penry v. Lynaugh (1989). The Court
stressed that only two States had enacted laws banning the imposition of the death penalty on
mentally retarded persons convicted of capital crimes. According to the Court, “the two state
statutes prohibiting execution of the mentally retarded, even when added to the 14 States that
have rejected capital punishment completely, [did] not provide sufficient evidence . . . of a
national consensus.”
In 2002, the subject was reconsidered in Atkins and the Court held that standards of
decency had evolved since Penry to a point where the execution of the mentally retarded was
considered cruel and unusual punishment. By the time Atkins was decided, only a minority of
States permitted the practice, and even in those States it was rare. On this basis, the Court
determined that executing mentally retarded offenders had become “truly unusual, and it is fair
to say that a national consensus [had] developed against it.”
Mental retardation, the Court said, diminishes personal culpability even if the offender
can distinguish right from wrong. The impairments of mentally retarded offenders make it less
defensible to impose the death penalty as retribution and less likely that the death penalty will
have a real deterrent effect. Based on these considerations and on the finding of national
consensus against executing the mentally retarded, the Court ruled that the death penalty
constitutes an excessive sanction for the entire category of mentally retarded offenders, and that
the Eighth Amendment “ ‘places a substantive restriction on the State’s power to take the life’ of
a mentally retarded offender.”
Just as the Atkins Court reconsidered the issue decided in Penry, the Roper Court
reconsidered the issue decided in Stanford. Justice Kennedy said that the evidence of a new
national consensus against the death penalty for juveniles was parallel to the evidence of a new
national consensus against the death penalty for the mentally retarded. By the time Atkins was
decided, 30 States prohibited the death penalty for the mentally retarded. This number comprised
12 that had abandoned the death penalty altogether, and 18 that maintained it but excluded the
mentally retarded from its reach. By a similar calculation in Roper, 30 States prohibited the
juvenile death penalty, including 12 that rejected the death penalty altogether and 18 that
maintained it but excluded juveniles from its reach. Atkins emphasized that even in the States
that permitted execution of the mentally retarded, the practice was infrequent. Similarly, since
Stanford, executions of prisoners for crimes committed as juveniles were infrequent. Kennedy
regarded this infrequency as a further indication that evolving standards of decency had come to
reject the practice.
In fact, in December 2003, the Governor of Kentucky decided to spare the life of Kevin
Stanford, and commuted his sentence to one of life imprisonment without parole. The Governor
declared, “‘[w]e ought not be executing people who, legally, were children.’ ” By this act the
Governor ensured Kentucky would not execute the very juvenile offender whose death sentence
the Court had upheld in Stanford v. Kentucky.
As in Atkins, the objective indicators of consensus – the rejection of the juvenile death
penalty in the majority of States; the infrequency of its use even where it remained on the books;
and the consistency in the trend toward abolition of the practice – provided sufficient evidence
that society had come to view juveniles, in the words Atkins used respecting the mentally
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retarded, as “categorically less culpable than the average criminal.” In short Kennedy stressed
that most States rejected the imposition of the death penalty on juvenile offenders under 18.
Kennedy cited three general differences between juveniles under 18 and adults that
demonstrated that juvenile offenders cannot with reliability be classified among the worst
offenders. First, juveniles are comparatively immature, irresponsible, impetuous, and reckless.
Second, juveniles are relatively more susceptible to negative influences and peer pressure. Third,
the personality traits and characters of juveniles are more transitory, less fixed. In light of these
differences, Kennedy said that from a moral standpoint, “it would be misguided to equate the
failings of a minor with those of an adult, for a greater possibility exists that a minor’s character
deficiencies will be reformed.”
The Thompson plurality had relied on such reasoning in holding that the Eighth
Amendment prohibited the imposition of the death penalty on juvenile offenders under the age of
16. Here, the Court extended the same line of reasoning and applied it to all juvenile offenders
under 18.
Kennedy also recognized that a minor’s culpability or blameworthiness was diminished
by reason of youth and immaturity. This same youth and immaturity weaken the case for using
the death penalty for retribution and deterrence. As the plurality observed in Thompson, it is
unlikely that teenage offenders contemplate the possibility of execution. As far as deterrence is
concerned, the punishment of life imprisonment without the possibility of parole is itself a severe
sanction, particularly so for a young person. Therefore, neither retribution nor deterrence
provided adequate justification for imposing the death penalty on juvenile offenders.
The Roper majority rejected the argument that jurors should be allowed to consider
mitigating arguments related to youth on a case-by-case basis, and in some cases to impose the
death penalty if justified. As Kennedy observed, “the differences between juvenile and adult
offenders are too marked and well understood to risk allowing a youthful person to receive the
death penalty despite insufficient culpability.” A possibility exists that the brutality or
cold-blooded nature of a particular crime could overpower mitigating arguments based on youth,
even where the juvenile’s immaturity and lack of true depravity should require a sentence less
severe than death.
Kennedy believed that it was proper to acknowledge the overwhelming weight of
international opinion against the juvenile death penalty. International opinion, while not
controlling American constitutional law, nevertheless provided respected and significant
confirmation for the Roper Court’s conclusions. The United States was the only country in the
world that continued to give official sanction to the juvenile death penalty. Article 37 of the
United Nations Convention on the Rights of the Child, which every country in the world ratified
except for the United States and Somalia, contains an express prohibition on capital punishment
for crimes committed by juveniles under 18. Only seven countries other than the United States
had executed juvenile offenders since 1990: Iran, Pakistan, Saudi Arabia, Yemen, Nigeria, the
Democratic Republic of Congo, and China. Since then each of these countries either abolished
capital punishment for juveniles or made public disavowal of the practice. In sum, the United
States stood alone in a world that rejected the juvenile death penalty.
Objections are always raised against categorical rules. However, a line must be drawn.
The Thompson Court drew the line at 16. In the intervening years the Court’s conclusion that
offenders under 16 may not be executed had not been challenged. Kennedy extended the logic of
Thompson to those who are under 18. Eighteen is the point where society draws the line for
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many purposes between childhood and adulthood. Overruling Stanford v. Kentucky, the Roper
Court concluded that 18 is the age at which the line for death eligibility ought to rest.
Justice Scalia, joined by Chief Justice Rehnquist and Justice Thomas, dissented. Scalia
criticized the majority for failing to give proper respect to precedent when it announced that the
meaning of our Constitution has changed over the past 15 years. Not that the Court’s decision 15
years ago was wrong, but that the Constitution has changed. Scalia chided the Court for its
application of “the evolving standards of decency” of our national society and its conclusion that
a national consensus which could not be perceived in law barely 15 years ago now solidly exists.
He also rejected the relevance of international standards to the case at hand.
Justice O’Connor issued a separate dissenting opinion objecting to the use of a
categorical rule forbidding the execution of any offender for any crime committed before his
18th birthday, no matter how deliberate, wanton, or cruel the offense. O’Connor conceded that
“adolescents as a class are undoubtedly less mature, and therefore less culpable for their
misconduct, than adults.” But she agreed with many state legislatures that at least some
17-year-old murderers are sufficiently mature to deserve the death penalty in appropriate cases.
In her view, capital-sentencing juries are capable of accurately assessing a youthful defendant’s
maturity and giving due weight to the mitigating characteristics of youth. Unlike Scalia,
O’Connor agreed that foreign and international law have relevance to the Court’s assessment of
evolving standards of decency. Nevertheless, she remained unconvinced that a corresponding
national consensus now existed on this issue.
Reasonable minds can differ, O’Connor pointed out, about the minimum age at which
commission of a serious crime should expose the defendant to the death penalty, if at all. Some
jurisdictions have abolished capital punishment altogether. Others have determined that even the
most heinous crime, if committed before the age of 18, should not be punishable by death. If
O’Connor were a legislator rather than a judge, she said, she, too, would be inclined to support
legislation setting a minimum age of 18 in this context. But some States, including Missouri,
decided to make the death penalty potentially available for 17-year-old capital murderers.
Without a clearer showing that a genuine national consensus forbids the execution of such
offenders, the Supreme Court should not substitute its own subjective judgment on this difficult
moral question for the judgments of the Nation’s democratically elected legislatures.
Conclusions
Standards of decency appear to have evolved relatively quickly from 1988 through 2005.
At first, capital offenders who were 16 or 17 years of age when they committed their crimes were
eligible for the death penalty. As of 2005, capital offenders who were less than 18 years of age at
the time of their crimes could not be sentenced to death. A bright, categorical line had been
recognized by the Court.
What was the alternative for such offenders? What about life sentences without the
possibility of parole? What about, in effect, sentencing such offenders to die … in prison? Does a
life sentence for 13-year-old rapist (Sullivan v. Florida) or a 17-year-old juvenile convicted of
armed robbery (Graham v. Florida) violate the Eighth Amendment? These questions came to the
Supreme Court in late 2009. Once again, the Court confronts evolving standards of decency as it
continues the search for a national consensus on the meaning of the Eighth Amendment in
contemporary times.
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Postscript
On May 17, 2010, the Supreme Court dismissed a writ of certiorari as improvidently
granted in Sullivan without addressing the merits. On the same day, however, the Court did
address the merits in Graham. By a six-to-three vote, the Court held that the Eighth Amendment
does not permit a juvenile offender to be sentenced to life in prison without parole for a nonhomicide crime. Justice Kennedy, joined by Justices Stevens, Ginsburg, Breyer, and Sotomayor,
delivered the opinion of the Court. Justice Stevens, joined by Justices Ginsburg and Sotomayor,
wrote a concurring opinion. Chief Justice Roberts also filed a concurring opinion. Justice
Thomas, joined by Justices Scalia and Alito, dissented. Citing Kennedy v. Louisiana (capital
punishment is impermissible for non-homicide crimes), Atkins v. Virginia (capital punishment is
impermissible for criminals with low-range intellectual functioning), and Roper v. Simmons
(capital punishment is impermissible for juvenile defendants), Kennedy found the challenged
sentencing practice to be unconstitutional as well. The fact that life sentences are rarely imposed
for non-homicide juvenile offenders convinced Kennedy that a national consensus opposes such
sentences. Furthermore, juvenile offenders have lessened culpability, non-homicide crimes are
less deserving of the most serious forms of punishment than premeditated murders, and such
sentences have been rejected throughout the world. Only the United States imposes such
sentences on non-homicide juvenile offenders. On these grounds, the Court rejected such
sentencing practices, providing yet another illustration of evolving standards of decency.
References
Furman v. Georgia (408 U.S. 238, 1972)
Gregg v. Georgia (428 U.S. 153, 1976)
Proffit v. Florida (428 U.S. 242, 1976)
Jurek v. Texas (428 U.S. 262, 1976)
Thompson v. Oklahoma (487 U.S. 815, 1988)
Stanford v. Kentucky (492 U.S. 361, 1989)
Penry v. Lynaugh (492 U.S. 302, 1989)
Atkins v. Virginia (536 U.S. 304, 2002)
Roper v. Simmons (543 U.S. 551, 2005)
Graham v. Florida (08-7412, oral argument, U.S.S.Ct., November 9, 2009, decided May 17,
2010)
Sullivan v. Florida (08-7621, oral argument, U.S.S.Ct., November 9, 2009, decided May 17,
2010)
See also:
Death Penalty Information Center web site http://www.deathpenaltyinfo.org
Clark County Prosecuting Attorney web site on the Death Penalty
http://www.clarkprosecutor.org
Bureau of Justice Statistics on Capital Punishment http://bjs.ojp.usdoj.gov
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Higher Education: Generational Perceptions of Faculty/Student
Classroom Behaviors, Attitudes, and Technology Integration
Pamela E. Monk
E. Jane Irons
Nancy Leffel Carlson
Edythe Kirk
LuAnna M. Stephens
Kay Abernathy
Lamar University
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Background and Literature Review
As educators, we are trained to view our students as individuals and to meet their needs
as such. In the last 20 years with the introduction of new technologies, our students have changed
as a group or “generation.” A generation has been loosely described as a group of people who
were born during a certain time frame, often defined by a 20 year period. Each generation shares
many common experiences, such as world events (a war, depression), political events (tea
parties, the right to vote for African Americans), pop icons (Elvis, Beatles), and may share
similar values (work ethic, family) (Eisner, 2008). This study examined three generations (Baby
Boomers, Generation X, and Generation Y) with regard to higher education classroom behavior
from both faculty and student perceptions. A description of each of the generations of interest
follows.
Baby Boomers
The last generation raised by “stay-at-home moms”, Baby Boomers were born from
approximately 1940 to 1960 (Kyles, 2005). Some of the characteristics of this generation include
valuing hard work and competition. This generation is often described as liberal and idealistic
with a desire to improve the world (Wallis, 2009). Authority and parents were not to be
challenged, as with “because I said so” and “just wait until your father gets home” (Twenge &
Campbell, 2009, p. 78). Challenging authority at home or in the classroom was not tolerated.
Generation X
Currently the smallest generation still in the workforce today, Generation X’s were born
from approximately 1960 to 1980 (Kyles, 2005). As the first generation of Americans that were
often raised in single parent or non-traditional homes, many parents did not want to raise their
children as they were raised (Twenge & Campbell, 2009). Parents began to try to be a child’s
friend rather than a stern parent. This may have given rise to some of Generation X’s
characteristics including valuing individualism (Kyles, 2005), and freedom and knowledge in
contrast with work, not the “be all end all” such as many of the workaholic Baby Boomers
(Wallis, 2009). Generation X was the first generation to be technology literate (Kyles, 2005).
Generation Y
Just now entering higher education and the workforce, Generation Y’s (Millenials or
Generation NeXt) were born between approximately 1980 and 2000 (Kyles, 2005). Taylor
(2007, 2006, 2005) referred to this generation as Generation NeXt. As with Baby Boomers,
Generation Y is another large part of our population. Generation Y, another generation often
born to single and/or nontraditional parents (“helicopter parents” because they hover), has been
often over-indulged by their parents resulting in being seen as the generation of entitlement
(Merritt & Neville, 2002; Twenge & Campbell, 2009; Twenge, 2006). This is the generation of
“why”. They seem to be constantly questioning, needing personal attention, and demanding what
they perceive to be the best from their educators (Wallis, 2009). Generation Y has been in the
education system longer than any prior generation and have the highest proportion of higher
education degrees.
In the classroom, parental over-attention has expressed itself as Generation Y students
being demanding of intensive personal attention and support from educators with the expectation
of superior courses and experiences (Merritt & Neville, 2002). This may be the first generation
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where college educators are called by parents to discuss grades and courses (Twenge &
Campbell, 2009). For this generation of students, technology is no longer optional, it is a
requirement not only for course content, experiences, and presentation, but as the primary way
they form relationships with other students and with educators (Merritt & Neville, 2002).
In higher education, many faculty members were Baby Boomers and students have been
traditionally Generation X with Generation Y more recently becoming students. The generational
gaps between faculty and students were often vast with differences in expected classroom
behaviors, technology proficiency, and usage. There were, however, areas of agreement between
the generations. Almost all educators and students had high expectations for student and
classroom performance; however, it appeared that there was a difference in interpretation of how
to accomplish high expectations both from the perceptions of students and faculty. These
researchers investigated both student and faculty perceptions of classroom behaviors and
technology usage regarding both differences and areas of agreement.
Purpose of the Study
This study had three major foci. First, higher education faculty perceptions of faculty
teaching behaviors, attitudes, and technology use were identified. Second, student perceptions of
faculty teaching behaviors, attitudes, and technology use were identified with respect to
generational differences. Finally, specific beliefs concerning student learning and classroom
behaviors by generational values were investigated. Survey methods were used for this study.
Questions for Research
The research questions for this study included:
1. Were there mean differences among participants’ responses to the statement: “Today’s
students are no longer the people our educational system was designed to teach”?
2. Are there mean differences between faculty and student generational perceptions of
technology knowledge and utilization?
3. Are there mean differences between faculty and student generational perceptions of
faculty and student classroom behaviors and attitudes?
Methodology
The Sample
SurveyMonkey, an online survey software, was used to gather data for this study from a
mid-sized (approximately 13,000 students) southeast Texas university’s faculty and students, as
well as a from a list serve for counselor educators and supervisors (CESNET). A total of 702
survey responses were returned. Of the total responses, a sample of 432 (62%) were completed
and usable for statistical analyses.
The Instrument
A survey instrument was developed using age range/generational characteristics found in
the literature (Eisner, 2008; Taylor, 2009). The survey consisted of a total of 70 questions in
three parts: a section to identify respondents (eight questions); a section to solicit levels of
agreement about technology knowledge and utilization, and student and faculty classroom
behaviors and attitudes (58 questions); and a qualitative section of open-ended questions to
identify current trends and issues (four questions). The internal consistency reliability of the
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entire scale was measured with Cronbach’s coefficient alpha (α=.91); items were organized
topically into perceptions of technology utilization and perceptions of classroom behavior with
attitude scales scored separately for faculty and students.
Separate perceptions of technology utilization scales were constructed for faculty and
students. The overall internal consistency reliability of the perceptions of faculty technology
utilization scale was .73 and the overall internal consistency reliability of the perceptions of
student technology utilization scale was .60. Both reliability values were considered adequate for
assessing the construct of perceptions of technology use. These scales were used as dependent
measures for assessing the impact of independent variables such as academic rank, tenure status,
and generational differences.
Separate perceptions of classroom behaviors and attitudes were constructed for faculty
and students. The overall internal consistency reliability of the perceptions of faculty behaviors
and attitudes scale was .87 and the overall internal consistency reliability of the perceptions of
student classroom behaviors and attitudes scale was .80. These scales were used as dependent
measures for assessing the impact of independent variables such as academic rank, tenure status,
and generational differences.
Data Analyses
The research questions were used as the framework for data analyses. Descriptive
statistics were used to analyze respondent characteristics in the form of percents. Inferential
statistics were used to compare mean differences with a t-test for two independent means and an
analysis of variance (ANOVA) for multiple means. A post hoc analysis with Tukey’s Honestly
Significant Difference Test identified significant differences among significant multiple means.
Findings
Sample Characteristics
Faculty. Thirty-eight percent of the faculty respondents (n=28) were assistant professors
with full professors and instructors equally distributed at 22% (n=16) respectively. Forty percent
of the respondents (n=30) were tenured with another 33% (n=25) tenure-track. Teaching
responsibilities were fairly evenly split between undergraduate assignments (53%, n=41) and
graduate assignments (47%, n=36).
Students. The student respondents appeared fairly evenly distributed with 54% (n=183)
graduate students and 46% (n=158) undergraduate. Females were clearly the majority (70%,
n=300). The majority, based on age range, were Generation X (30-49 years of age) with 41%
(n=179). Thirty-seven percent of student respondents were ages 18-29 years (n=161), the
Generation Y group. The most experienced group, Baby Boomers, were the smallest group of
respondents (21%, n=92).
Significant Responses
Research Question 1. Were there mean differences among participants’ responses to the
statement: “Today’s students are no longer the people our educational system was designed to
teach”? Mean differences between undergraduate and graduate students were significant,
t(339)=4.33, p<.001. Graduate students (M=3.61) showed higher levels of agreement with this
item than undergraduate (M=3.08). Similarly, males and females differed significantly,
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t(429)=1.97, p<0.05. Females (M=3.43) had higher levels of agreement than males (M=3.20).
Table 1 shows mean age range and generation status.
Table 1
Mean Item Response Scores as a Function of Age Range/Generation Status (n=432)
______________________________________________________________________________
Category
Mean
n
______________________________________________________________________________
18-29 (Generation Y)
3.18
161
30-40 (Generation X)
3.56
179
50-69 (Baby Boomers)
3.32
92
______________________________________________________________________________
Significant differences among age range categories were found F(2, 429) = 4.86, p<.01.
Post hoc analysis with Tukey’s Honestly Significant Difference Test for Multiple Means
revealed that Generation X respondents (ages 30-49) had significantly higher levels of agreement
with this item than Generation Y respondents (ages 18-29). No other pairwise comparisons were
significant.
Research Question 2. Are there mean differences between faculty and student
generational perceptions of technology knowledge and utilization? An ANOVA showed that
student classification significantly affected outcome scores, F(1, 339) = 27.91, p<.001. Similarly,
student versus faculty significantly affected outcome scores, F(1, 339) = 222.42, p<.001.
Perceptions about technology utilization were at higher levels for graduate students (M=20.09)
than undergraduate students (M=18.41). Likewise, perceptions about students’ technology
utilization (M=21.02) were significantly higher than perceptions about faculty’s technology
utilization (M=17.49).
An ANOVA revealed a significant impact of age range and generation status on outcome
scores, F(2, 429) = 6.80, p<.001. Likewise, students versus faculty significantly affected
outcome score, F(1, 429) = 287.04, p<.001. Tukey’s Honestly Significant Difference Test for
Multiple Means showed that Generation X respondents (M=19.71) had significantly higher
scores on this measure than Generation Y respondents (M=18.54). No other pairwise
comparisons of age range were significant. Perceptions about student technology utilization
(M=20.88) were significantly higher than perceptions about faculty technology utilization
(M=17.10).
Research Question 3. Are there mean differences between faculty and student
generational perceptions of faculty and student classroom behaviors and attitudes? Students
versus faculty perceptions were significantly different, F(1, 69) = 36.60, p<.001. While
professors of all ranks tended to rate faculty and students similarly, perceptions about faculty
classroom behaviors and attitudes (M=72.50) were significantly higher than perceptions about
student behaviors and attitudes (M=66.41). The interaction of academic rank and students versus
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faculty was also statistically significant, F(3, 69) = 2.90, p<.04). This significant interaction of
academic rank and students versus faculty was further examined with simple main effects tests.
These analyses showed that while instructors tended to rate students and faculty similarly, the
same was not true for assistant professors, associate professors, and full professors. Faculty at the
assistant professor rank and higher gave significantly higher ratings to faculty than students.
ANOVA results revealed that students’ classification significantly affected outcomes,
F(1, 339) = 4.60, p<.03. Graduate students had significantly higher perceptions of faculty and
student classroom behavior (M=72.08) than undergraduate students (M=69.84). ANOVA results
showed that gender impacted outcome concerning faculty and student classroom behavior F(1,
429) = 7.14, p<.01. Females (M=71.5) showed significantly higher perceptions of classroom
behavior and attitudes than males (M=68.96). Furthermore, students versus faculty ratings
significantly affected outcome scores, F(1, 429) = 10.34, p<.001. Perceptions about faculty
behaviors and attitudes (M=71.03) were significantly higher than perceptions about student
behaviors and attitudes (M=69.43).
Individuals of all generations tended to respond similarly; however, students versus
faculty responses did significantly affect outcomes, F(1, 429) = 13.25, p<.001. Perceptions about
faculty behaviors and attitudes (M=71.55) were significantly higher than perceptions about
student attitudes and behaviors (M=69.84). Further, the interaction of age range and generation
status and students versus faculty was statistically significant, F(2, 429) = 4.20, p<.02. This
significant interaction of age range/generation status and students versus faculty responses was
further examined with simple main effects tests. These analyses revealed that while Generation
Y respondents tended to rate students and faculty about the same, this rating was not true for
Generation X and Baby Boomer respondents. Generation X and Baby Boomer respondents rated
faculty significantly higher than they rated students.
Summary and Conclusions
The majority of faculty respondents were female assistant professors on tenure-track.
Seventy percent of the student respondents were female graduate students with the majority
representing Generation X. These female graduate students agreed with the statement, “Today’s
Generation Y students are different from what our education system was originally designed to
teach.” Generation X’s agreement with this statement was not surprising since they have been
described as self-reliant, independent, and exhibiting materialistic values over teamwork
(Franke, 2001). In contrast, Generation Y was described with decreased ability to individually
problem-solve (Hollingsworth, Dunkle, & Douce, 2009) and being accustomed to working in
groups (Burns, Reid, Toncar, Anderson, & Wells, 2008). Today’s students were perceived by all
survey respondents as functioning significantly higher in technology knowledge and use than
today’s higher education faculty supported by Hollingsworth et al. (2009).
Instructors tended to rate both students’ and faculties’ classroom behaviors and attitudes
similarly. This may be explained by instructor status which is considered out-of-the-loop when
compared to tenure track and tenured faculty. Faculty at the assistant, associate, and full
professor ranks, and female graduate students rated faculty classroom behaviors and attitudes
significantly higher than they rated student classroom behaviors and attitudes. Apparently, these
individuals support like-minded generations with respect to faculty classroom behavior. In
addition, both Generation X and Baby Boomers rated faculty classroom behaviors and attitudes
significantly higher than individuals representing Generation Y. These results may be partially
179
explained by the dependency shown by Generation Y students, as well as their attitudes of
entitlement (Twenge & Campbell, 2009).
Recommendations
1. This study was limited by the small number of male respondents, as well as the
geographic area of Texas. Replication of the study within a broader geographical area and
increased male participation may be beneficial.
2. In general, higher education faculty may lack understanding of the characteristics of
students entering colleges and universities today.
Professional development covering
characteristics, attitudes, and expected behavior based on current research studies may be
beneficial for faculty.
3. It may be beneficial for faculty to set and maintain consistent and high expectations
for undergraduate student classroom behavior, particularly males who tended to show
significantly lower perceptions of classroom behavior and attitudes.
References
Burns, D. J., Reid, J., Toncar, M., Anderson, C., & Wells, C. (2008). The effect of gender on the
motivation of members of Generation Y college students to volunteer”. Journal of
Nonprofit & Public Sector Marketing, 19(1), 99-188.
Eisner, S. P. (2008). Managing Generation Y. In J.H. Munro. Educational Leadership: Round
Table Viewpoints. Boston, MA: McGraw-Hill, 296-307.
Franke, V. C. (2001). Generation X and the military: A comparison of attitudes and values
between West Point cadets and college students”. Journal of Political and Military
Sociology, 29, 92-119.
Hollingsworth, K. R., Dunkle, J. H., & Donce, L. (2009, Winter). The high-risk (disturbed and
disturbing) college student. New Directions for Student Services, 128, 37-54. DOI:
10.1002/55.340 <www.interscience.wiley.com.>
Kyles, D. (2005). Managing your multigenerational workforce. Strategic Finance, 53-55.
Merritt, S. R., & Neville, S. (2002). Generation Y: A perspective on America’s next generation
and their impact on higher education. The Serials Librarian, 42(1/2), 41-50.
Taylor, M. L. (2005). Generation neXt: Today’s postmodern student—meeting, teaching, and
serving. A Collection of Papers on Self-study and Institutional Improvement, 2(4),
Chicago: The Higher Learning Commission.
Taylor, M. L. (2006). Generation neXt comes to college: 2006 updates and emerging issues. A
Collection of Papers on Self-study and Institutional Improvement, 2(4), Chicago: The
Higher Learning Commission.
Taylor, M. L. (2007). Generation neXt goes to work: Issues in workplace readiness and
performance. Programs, Strategies, and Structures to Support Student Success, 2(4).
Twenge, J. M. (2006). Generation Me: Why today’s young Americans are more confident,
assertive, entitled – and more miserable than ever before. New York, NY: Free Press.
Twenge, J. M., & Campbell, W. K. (2009). Living in the age of entitlement: The narcissism
epidemic. New York, NY: Free Press.
Wallis, L. (2009). Born to be different. Nursing Standard, 23(33), 62-63.
180
An Experiment Induced Five Attitudinal Conditions That Were
Contrasted With Four Musical Manipulations To Determine Their
Impact On Cognitions
Carol A. Puthoff Murray
Edward J. Murray
Joseph Detnerski
Kent State University at Ashtabula
181
In clinical therapeutic settings, clients have expressed multiple negative and irrational
thoughts. Polivy’s (1981) research provided insights into this process in that she used inductions
and role-playing to study various emotional states. Based on the insights of Ellis (1973) and
Beck (1976), this investigation attempted to explore the impact of emotionally induced states of
anxiety, depression, assertiveness, anger, and silence in conjunction with various musical
experiences. These manipulations were created for the purpose of observing their impact on
positive and negative cognitions.
Ellis (1973, 1975 and 1977) formulated the model of positive and negative cognitions.
Ellis hypothesized that the individual responded to a set of irrational beliefs. These beliefs had
the effect of attitudes in that they created an internal emotional response that leads to certain
consequences or behaviors; Ellis argued that the same irrational beliefs can trigger different
emotional reactions which produced distinct behaviors. Ellis reasoned that a person generates
attitudes of awfulizing, not standing it, shoulding, musting, undeserving and, damning. These
various attitudes have upset people by producing the internal emotional response of putting down
others, putting down themselves, and resulted respectively in the separate behaviors of anger,
anxiety, and depression.
Beck’s (1967, 1976, 1979 and 1985) cognitive model claimed that specific differential
cognitive sets were respectively related to depression, anxiety, anger, and assertiveness. He also
postulated that a change in cognitions produced a change in motivation and affect.
Depression consisted of a cognitive triad in that the patient views himself, his future and
his experiences in a negative manner. His vision of himself was characterized by the qualities of
defective, inadequate or deprived. These negative self-concepts helped produce and trigger
depression. These cognitions lead to the classification of himself as undesirable and worthless.
Experiences also received negative interpretations. The world was making exorbitant demands
and presenting unsurpassable obstacles to prevent goal attainment. With the present environment
appearing negative, all future anticipations were predicted in terms of hardship, frustration, and
deprivation. These negative cognitions influenced the individual’s emotions and ultimately
produced various degrees of depression. The chain reaction from these cognitions was circular.
His negative cognitions lead to sadness and self-criticism that then produced further sadness and
negative ideations about experiences and the environment. For the individual, the vicious cycle
was continual with the negative self-concept playing a causal role in helping to produce
depression (Beck, 1967, 1976, 1979 and 1985).
Beck (1967, and 1976) defined depression on a continuum that included these semantic
differentials: mild, moderate, and severe. He argued that depression could be on a continuum
with normal behavior or could be categorically different. This question was unanswerable in the
literature.
Anxiety neuroses related to three cognitive sets, which were danger, harm and fear (Beck,
1976). The individual had repeated thoughts about dangerous or harmful events. He reasoned
that these anxiety-producing thoughts were valid. These experiences and stimuli were
generalized so that almost any sound, movement, or environmental change was judged to be
dangerous. These processes also had a cycle effect in that threatening ideations produced anxiety
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and increase anxiety generated further threatening cognitions. In the midst of these cognitive and
affective experiences, the individual frequently judged that he lacked the ability to control
himself and was an ineffective problem solver. In this model locus of control and self-concept
varied with the degree of anxiety. The variables of self-concept and locus of control decreased
with an increase in anxiety. Specifically, the self-concept decreased because of negative selfcriticism, which pertained to specific flaws. When the individual’s lack of control and negative
self-concept became too extreme, the individual had passed from anxiety to depression. At this
point, the negative self-concept took over and fueled the depression by creating negative
schemata about the self that was global in nature.
Finally, Beck (1985) suggested that the cognitions, which influenced anger, were
concerned with the violation of rights, rules, and principles and with the blame worthiness of the
offensive agent. The individual was less concerned with danger to himself. The cognitions
focused on three attitudes areas: (1) the experience was labeled serious and negative, (2) the
experience was not considered dangerous, and (3) the offense and offender were judged
wrongful.
The components of Beck’s cognitive model related to depression, anxiety, and anger had
some similarities with Ellis’s (19673, 1975 and 1977) model. The cognitions pertaining to anger
were almost identical. The cognitions related to depression in both Beck and Ellis’s models
definitely had a negative interpretation of the environment, however, in Beck’s model, the
negative interpretation of the present and past environment combined with negative self-criticism
to produce more depression. These functions appeared to combine Ellis’s cognitive processes for
both anxiety and depression. Beck’s cognitions for anxiety reflected a continual concern about
harm, loss and danger. These ideations were most probably integrating Horney’s (1950)
construct of anxiety. For her, anxiety flowed from the cognition that the world was hostile and a
hostile world created an environment of ever present harm and danger.
Implicit in the previous discussion of Beck’s (1976) model was the reciprocal
relationship between assertiveness and an increase in self-acceptance combined with an increase
in internal locus of control. The assertive techniques were used to break through both the
helplessness of depression and the dangerousness of anxiety. The rehearsal and role playing
techniques of assertiveness also changed the cognitive focus from injustice and blame worthiness
of the agent to a more realistic and valid vision of the environment. These last observations
showed the transformation from anger to assertiveness.
Seligman (1975 and 1990) discussed the importance of assertiveness in that these
cognitions and behaviors counteracted depression, anxiety, and anger. He also emphasized the
necessity to dispute and challenge negative thoughts that can lead to depression, anxiety, and
anger.
Murray, Murray and Murray (2008 and 2009) found that college students, who were
manipulated into conditions of classical music (Mozart’s music from Amadeus), and
assertiveness displayed significantly fewer negative thoughts. These findings had significant
applications for males in the assertive condition. In contrast to these findings, the depression and
anger conditions generated a significantly higher level of negative thoughts. This study also
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discovered that subjects in a silent condition of sitting alone produced significant levels of
response anxiety.
The present study will expand upon the previous research by using field study techniques.
The manipulated conditions of cognitions, emotions, and music will be performed on adults from
the general population of Ashtabula County.
METHOD
The subjects were 106 females and 106 males from the County of Ashtabula. Each
manipulated condition had 23 or 24 subjects. Prior to the manipulations, the conditions were
randomly assigned for this field study. The subjects in the study had an average age of 38 years,
and the various manipulated groups ranged in age from 34 years to 43 years. All the subjects
were matched for age in that a 38-year-old female was matched with a 38-year-old male.
The 12 researchers, who were from an undergraduate research design course, collected
data on 212 subjects. The random assigned manipulations were all prerecorded. A female voice
performed inductions and the silence manipulation was blank for seven minutes. Each musical
manipulation was recorded for seven minutes. Some researchers failed to collect data for one
subject in each of the following conditions: male assertiveness, female silence, female
depression, and male anger.
A 9 x 2 factorial design was used. The manipulations consisted of the four induced
attitudes and the condition of silence (sitting alone for seven minutes). The music conditions
were Mozart, Wagner, Heavy Metal and Rap.
Music Selection for Conditions CD
Track 2: Classical
Artist: Wagner
Album: Overtures & Highlights
Song: Die Meistersinger von Nurnberg – Overture
Track 4: Classical
Artist: Wolfgang Amadeus Mozart
Album: The Jupiter Symphony Violin Concerto
Song: Adagio – Violin Concerto No. 3 G-Major
Track 6: Heavy Metal
Artist: Megadeath
Album: Rust in Peace
Song: Take No Prisoners
Track 7: Rap
Artist: NWA
Album: Straight Outta Compton
Song: Something Like That
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The manipulated and induced attitudes were anxiety, depression, assertiveness and anger.
Anxiety was induced through seven statements from Beck’s (1976) checklist, which through
factor analysis was the best predictor of anxiety. Depression was induced through seven
statements from Beck’s checklist, which through factor analysis was the best predictors of
depression. Anger was induced through seven statement s from Ellis’s (1977) Anger: How to
Live With It. Assertiveness was induced through seven statements from Lang and Jukerbowski
(1976) Responsible Assertive Behaviors.
The induction procedure was read three times for seven minutes by a female coach, while
the subject concentrated on the seven attitude statements. Then the coach said, “as part of our
study, you are asked to seriously role play your cognition experiences. You are asked to roleplay not a character but an emotion reflected in some cognitive attitudes. The emotions
expressed by these attitudes are the following conditions.” At this time the appropriate cognitions
are read to the subject. These emotions are listed below under depression, anxiety, anger, and
assertiveness.
The coach continued to read, “to help put you in touch with that emotion, we will do an
exercise. Sit back, close your eyes and relax. Remember a time when you were feeling
(appropriate cognitions will again be read to the subject.) Picture a time in your mind when that
emotion was the strongest. Remember your surroundings. Were you inside or outside? (If
outside, see * below.) Remember the specifics of your surroundings. If you were inside,
remember the room; the furniture; the walls. Did the walls have wallpaper or paint? Can you
remember the pattern or color? Were you standing or sitting? Picture the people that were with
you. Focus on one of your senses. Do you remember any specific smells, sounds, sights, or
something associated with touch at the time you were (appropriate cognitions will be repeated)?”
*”If you were outside, picture your surroundings. Were you with any people? Remember
who was with you. Remember specific things. Standing or sitting. Focus on one of your senses
that you associate with the event.”
The following statements are the cognitions for the individual emotions.
INDUCTION PROCEDURES
The seven-minute induction procedure was read three times by the female coach.
Depression
I’m worthless.
I’m not worthy of other people’s attention or affection.
I’ll never be as good as other people are.
I’m a social failure.
I don’t deserve to be loved.
People don’t respect me anymore.
I will never overcome my problems. (Beck 1987)
185
Anxiety
What if I get sick and become an invalid?
I’m going to be injured.
What if no one reached me in time to help?
I might be trapped.
I am not a healthy person.
I’m going to have an accident.
There’s something very wrong with me. (Beck, 1987)
Anger
How awful for anyone to have treated me so unfairly.
I can’t stand anyone treating me in such an irresponsible and unjust manner.
You should not, must not behave that way toward me.
Nothing ever works out the way I want it to.
Anger (continued)
Life is always unfair to me – as it shouldn’t be.
Other people must treat everyone, but especially me, in a fair and considerate manner.
Things must go the way I would like them to go because I need what I want.
Life is awful, horrible and terrible when I don’t get what I want. (Ellis, 1977)
Assertiveness
Calm, just continue to relax, as long as I keep cool, I’m in control.
Just roll with the punches.
Don’t get bent out of shape.
You don’t need to prove yourself.
There is no point in getting mad.
Don’t make more out of this than you have to.
I’m not going to let him get to me.
The dependent variable was the measurement of positive/neutral and negative thoughts.
After the subjects experienced one of the nine manipulations, they were asked to write down five
automatic thoughts. Many subjects did not write down five automatic responses. It was
hypothesized that the manipulations had the potential to produce differential responses.
FINDINGS
The Chi Square for negative thoughts was 11.88, df 5, p .036 and the Chi Square for
positive/neutral thoughts was 11.99, df 5, p .035. The responses of negative thoughts were
significant , because the conditions of anxiety, silence (sitting alone) and anger produced a high
level of negative automatic responses. Females in the rap and heavy metal conditions also had a
186
significant level of negative automatic responses. These data are reported in Table 1. The
conditions of Wagner, Mozart and Assertiveness produced a significant number of
positive/neutral automatic responses. Males in the heavy metal condition also had a significant
number of positive/neutral automatic responses. These data are reported in Table 2.
CONCLUSION
The research results add support for the models of Ellis (1973, 1975 and 1977), Seligman
(1975 and 1990) and Beck (1976, 1979 and 1985). These data show that anxiety, anger and
silence (sitting alone) produce significant negative thoughts.
The present findings also support Murray, et al. (2008 and 2009) that sitting alone in
silence has a negative impact. The Murray, et al. results show that the depression conditions with
college students produces significant negative responses; however, this finding does not find
confirmation with community people. The community people respond significantly to the
anxiety manipulation by making the greatest number of negative automatic responses. The field
study research probably provides a more realistic picture of the real world. The anger condition
confirms the previous findings of Murray, et al. (2008 and 2009).
The present study supports the Murray, et al. research in that the conditions of Mozart
music and assertiveness produce significant positive/neutral automatic responses. The data from
this study shows that Wagner’s music has the effect of creating positive responses. An
interesting finding shows that heavy metal has a positive influence on 30-something males.
These data definitely support the hypothesis that these various manipulations can have a
differential impact on cognitions.
From a clinical perspective, the research shows that classical music and assertiveness can
have a healthy impact. In contrast, anxiety, anger and silence (sitting alone) can create stress.
REFERENCES
Allport, G. (1968). The Person in Psychology. Boston: Beacon.
Beck, A. T. (1967). Depression: Causes and Treatment. Philadelphia. University of
Pennsylvania Press.
Beck, A. T. (1976). Cognitive Therapy and the Emotional Disorders. Markham, Ontario:
Penguin Books Canada Ltd.
Beck, A. T.; Rush, A. J.; Shaw, B. F.; and Emery, G. (1979). Cognitive Therapy of Depression.
New York: Guildford Press.
Beck, A. T.; Emery, G.; and Greenberg, R. L. (1985). Anxiety Disorders and Phobias: A
Cognitive Perspective. New York: HarperCollins.
Beck, A. T.; Brown, G.; Eidelson, J. I.; Steer, R. A.; and Riskind, J. H. (1987). “Differentiating
187
Anxiety and Depression: A Test of Cognitive Content Specificity Hypothesis.” Journal of
Abnormal Psychology, 96, pp. 179-183.
Beck, A. T.; Ward, C. M.; Mendelson, M.; Mock, J.; and Erbaugh, J. 1961). “An Inventory for
Measuring Depression.” Archives of General Psychiatry, 4, pp 561-571.
Ellis, A. (1973). Humanistic Psychotherapy. First McGraw-Hill Paperback Edition.
Ellis, A. and Harper, R. A. (1975). A New Guide to Rational Living. Hollywood: M. Powers
Wilshire.
Ellis, A. (1977) Anger: How to Live With and Without It. Secaucus, New Jersey. Citadel.
Honey, K. (1950). Neurosis and Human Growth: The Struggle Toward Self-Realization. New
York: Norton.
Lange, A. J. and Jakubowski, P. (1976). Responsible Assertive Behavior: Cognitive/Behavior:
Cognitive/Behavioral Procedures For Trainers. Champaign, IL: Research.
Murray, E; Murray, C.; Murray, M. “Two Experiments Examine Induced Anxiety, Depression,
Anger and Assertiveness That are Contrasted With the Conditions of Relaxed Music, Role
Playing and Silence and Indicate Their Impacts on cognitions and the Emotion of Anxiety.”
National Science Proceedings, Volume 38 #3, pp. 148-160.
Polivy, J. (1981) “On the Induction of Emotion in the Laboratory: Discrete Moods or Multiple
Affect State?” Journal of Personality and Social Psychology. 41, pp. 807, 817.
Sacks, Oliver. (2008). Musicophilia: Tales of Music and the Brain. New York: Alfred A. Knopf.
Seligman, M. E. P. (1975). Helplessness: On Depression, Development and Death. San
Francisco: W. H. Freeman.
Seligman, M. E. P. (1990). Learned Optimism: How to Change Your Mind and Your Life. New
York: Pocket Books.
188
Independent Variable
Assertiveness
NEGATIVE THOUGHTS
Table 1
Dependent Variable
Sex
Negative Thoughts
F
23
M
11
Silence
F
M
40
41
Anxiety
F
M
48
42
Depression
F
M
27
26
Anger
F
M
39
37
Mozart
F
M
10
12
Wagner
F
M
5
13
Heavy Metal
F
M
35
11
Rap
F
M
36
31
189
Positive/Neutral Thoughts
Table 2
Sex
F
M
Dependent Variable
Positive/Neutral Thoughts
42
42
Silence
F
M
15
18
Anxiety
F
M
13
24
Depression
F
M
30
33
Anger
F
M
16
19
Mozart
F
M
53
48
Wagner
F
M
54
47
Heavy Metal
F
M
25
46
Rap
F
M
20
29
Independent Variable
Assertive
190
STILL YET ANOTHER TALE OF HORROR IN ACADUMBIA
Lem Londos Railsback
Railsback And Associates Integrated Systems Engineering For Schools
(Raises)
191
A Small Preface
As you faithful readers of the earlier stories of horror in acadumbia should remember, our
protagonist Dr. Lowly Professor has constantly withstood multitudinous onslaughts by many
lowlylived antagonists. As you faithful readers should also remember, the earlier horror stories
were related via e-mails, just like the original novel in English—Pamela—was revealed through
personal letters. Whereas personal letters were the prime vehicle for transportable interpersonal
communication in the days of Pamela, today’s “e-mails”—in addition to all those cell phones, of
course--serve as the prime vehicle for transportable. written interpersonal communication. In
order to match the communication fashion of our times, then, this horror story, like those that
have come before it and all those that surely will follow it—serves itself in e-mail portions. And,
of course, you have to remember that each of these tales of horror are offered as instruction on
particular points of morality. Just as the Pamela and other early novels displayed the rewards of
morality and the penalties for immorality, each of these tales of horror are drawn to illustrate the
rewards of morality and the penalties for immorality at the exalted levels of the higher learning
in our hitherto-blessed America “…with liberty and justice for all.”
So, all you faithful readers, lean back in your big, soft, comfortable recliners and read
still yet another tale of horror in acadumbia. In addition to the pleasure that you should derive
from being horrified and sickened to your stomachs—ethically speaking, of course--you may
have also developed a heightened awareness of the many lowlylived antagonists drawing money
today in the halls of acadumbia. And from your awareness of them, you may be able to recognize
any and all of them in the unhappy event that any and all of them may appear on your campus,
fully employed with unearned authority and power to harass you and stamp out the last visages
of academic freedom on American campuses. If you get lucky by following the example set by
Dr. Lowly Professor, you might be able to meet the enemy and to overcome her/him/it.
To save space and to maintain the established momentum of the present tale, the usual
four lines for each e-mail—i.e., “To:,” “From,” “Cc:,” “Subject” and “Date”--have been
collapsed into fewer single lines per e-mail with the “Cc:” completely eliminated, except when
absolutely needed. And to make those identifier lines more identifiable, they have been italicized
for your reading pleasure.
Our Saga Begins
From Dr. Lowly Professor To Dr. Little Johny Small, President of Faculty Senate, with a
Query on August 28, 2009: If I understand correctly what I have been told from two telephone
callers, no person on the Faculty Senate can readily locate the new history of our institution that I
wrote last May. As you should be able to recall, a copy of that history, along with documentation
of nearly two dozen instances of what I would term as plagiarized materials, were published at
my expense and forwarded to the Faculty Senate. If the person performed the chores as I had
requested—that is, if the person actually passed out a copy of the document to each member
present at that particular meeting--then each Member of the Faculty Senate should already
possess a copy somewhere, somehow, sometime.
Please let me know at your earliest convenience if such is true—i.e., that no Member of
the Faculty Senate can locate the said document.
From Dr. Lowly Professor To Dr. Little Johny Small, President of Faculty Senate, with a
Query on September 4, 2009: If I understand correctly… “
“
“.
The very same message, directly above, was forwarded to the same person on the
following dates: September 8, 11, 15, 18, 22, 25, and 29. Receiving no response, I forwarded the
same message to Dr. Hugh Long Tong, Vice-President of FS and to Dr. Qui Et Delite, Secretary
192
of FS on October 2, 6, 9, 13, 16, and 20. Then, I began sending the same message to all three—
president, vice-president, and secretary on October 23, 27, and 30.
From Dr. Little Johny Small, President of Faculty Senate, with a Response To Query on
November 2, 2009: Dear Dr. Lowly Professor, You are correct.
From Dr. Hugh Long Tong, Vice-President of Faculty Senate, To Dr. Lowly Professor,
with a Response To Query on November 2, 2009: Dear Dr. Lowly Professor, You are correct.
From Dr. Qui Et Delite, Secretary of Faculty Senate, with a Response To Query,
November 2, 2009: Dear Dr. Lowly Professor, You are correct.
From Dr. Lowly Professor To Dr. Little Johny Small, President SF, Dr. Hugh Long
Tong, Vice-President SF, Dr. Qui Et Delite, Secretary of FS with Amazing and Astonishing
Development, November 3, 2009: I have received from each of you your assertion that my belief
is correct—namely, that not a single member of the FS possesses a single copy of the extensive
document. Although I spent nearly five months—from October 2008 to February 2009--of my
own personal time to research and spent my own funds in order to publish and disseminate that
document to the FS, et al, not a single FS member possesses a single copy. (Ironically, I had been
assured by Dr. Knew Arther, the outgoing FS president, that he had personally passed out to each
FS member a copy of the document at your all’s February 2009 meeting.)
Let me offer you some of the highlights of the documents to assist in, perhaps, jogging
each of your respective memories. I began the document with my plea to the reader to view the
extra-large font as a necessary prerequisite for me, as follows below.
That Document, verbatim, in part
“(Please excuse the large font. After seven operations on my eyes, the large font is
necessary so that I can see what I am writing.)
A History of the “1.1 HISTORY”
This statement was researched, composed, formatted, printed, collated, stapled, and
distributed by Dr. Lowly Professor—Retired, who also paid the total expenses for the production
of this statement. No state funds whatsoever were expended for the research, composition,
formatting, printing, collating, stapling, transportation, and distribution of this statement. In other
words, not a single taxpayer in our wonderful state, except me, expended funds for the
development of this statement. Responsibility for this statement rests, of course, with Dr. Lowly
Professor. The statement was designed and intended to serve as an increased depth of
enlightenment beyond previously existing documents relating to the subject, particularly our
wonderful institution’s several previously published editions of its FACULTY HANDBOOK.
This statement was developed for and addressed to the respectable members of the
FACULTY SENATE 2008—2009 so that they might collaboratively improve the veracity of
their prime document—namely, their FACULTY HANDBOOK. Quite obviously, those particular
members are in no way obligated to do anything regarding the “HISTORY.” Of course, I do
hope that they, at least, will read the statement. Then, they remain free to do anything that they
wish to do with either the statement or with the paper on which it has been cast. As far as I am
concerned, the “HISTORY” at this point is “a work in progress.” Consequently, with the
exception of profane recommendations and/or those made with dastardly evil intents, I welcome
any suggestion/s for revision/refinement/improvement/expansion/verification.
Origin of the Problem
As we began our FACULTY SENATE deliberations in Fall 2008, I was placed on the
Handbook Revision Committee. At our first meeting of that committee, I opened the volume that
our chairperson had printed for each of us and quickly began to scan the document, listening at
193
the same time to our chairperson’s explanation of our charge. As she paused momentarily, I
exclaimed, “Whoever wrote this ‘History’ most certainly wasn’t here when the actual history
was being made!”
As it so happened, Dr. Viking Hellbentl had served last academic year as the chairperson
of last year’s handbook revision committee: she had actually been given credit and public
recognition as the author of the extant “History of Our Institution” in the then-current Faculty
Handbook. Somehow, she was appointed to our committee this year, and, on that day, was
present at our meeting. In a spontaneous and immediate retort, she offered loudly and angrily,
“Well, if you think that you could write a better history, BE MY GUEST!!!” (Or something like
that.)
I suddenly realized that, as has happened so often in the past, I, once again, had simply
spoken my mind immediately after making a surprising observation and stepped into ANOTHER
PILE OF ADVENTURE! However, taking up the dare, I agreed to “write the history” for our
new version of our Faculty Handbook. 1 ”
The baker’s dozen of discoveries that I made during that long and winding and surprising
journey are delineated generally below.
1. I listed 32 GUM problems, along with the respective pages on which they occurred. And,
besides the grammatical, usage, and mechanics problems, I also questioned the veracity
of some of the assertions.
2. I recommended that we not delete the appendix with the “History of the Faculty Senate”
and its attached lists of all of the names of former Faculty Senate members per years
served. I urged that a permanent record be kept of such contributions. Besides, the
extremely small font in which the “History…” with its list of members was so small that
only a few pages were involved. This notion lay in opposition to that proposed by Dr.
Hellbentl and her committee last year and by certain members of our committee during
the year that I retired. They tried at several meetings to get us to delete that appendix.
3. I strongly urged that the Article VII of the Constitution of the Faculty Senate be included
verbatim since that section delineated that all—faculty, administration, staffs, et al—
shared the responsibility of protecting the openness of the marketplace of ideas. Although
I realized that there are those who cannot/will not make the connection between academic
freedom and democracy, I do think that those of us who can should continually keep on
guard against any and all intrusions. After all, only our rational methodology by which
we mine truth can decide its ultimate nature. No other power or sanction or influence—
cultural, economic, political, or social—has any say in the process whatsoever. Only
through the deepest and widest interactions among differing opinions can produce least
error. Only scientific verification of fact relevant to the issue/s at hand, the strictest logic,
and the most efficient argument will forge truth.
4. I restated and emphasized my opposition to the “opposition’s” stance that the original
“Constitution of the Faculty Senate” should be discarded from our Handbook. To me,
such a deletion of the Constitution would be like the nobles of old who got mean ole
King John outside on the plains and demanded, on pain of terrific costs—like dying--that
he sign the Magna Carta Libertatum and then, three months later, undergoing a change of
heart and offering the Great Charter of Freedoms back to the king.
5. I cautioned against the ongoing flood of new adjuncts throughout the university. I
reminded the FS of the fact that each genuine professor, truly does know his/her/its
subject backward, forward, upside, downside, and sideways. And, along with all that,
194
6.
7.
8.
9.
comes professional judgment. The typical adjunct, poor soul, is an especially new novice
in an especially intellectually challenging work who is still attempting to begin to
cognitively grow familiar with the basic structure and vocabulary of his/her/its academic
discipline. All the while, of course, the poor students are being required to pay
continually rising tuitions, rising fees, and rising textbook costs, but they are getting
shortchanged in their education because the typical adjunct simply cannot offer the scope,
depth, rigor, and judgment that a genuine professor can.
I warned against the administration’s intentional overloading of classes through the
university. Further, I emphasized that “A university is not a business!!!” as the French
students have already said in their streets.
I encouraged full delineation of all protocols for selection of our annual TOY (Teacher of
the Year) and the SOY (Scholar of the Year) awards. I recalled a particular FS committee
meeting in which the chairperson of the committee that ran both operations in 2004 began
to announce the veracity and subsequent success of his committee over the course of the
previous year. I interrupted him to explain that I had actually spoken with the “outsider”
who had helped that committee count the votes that year. That outsider professor--now
long-gone from our institution via a new job at a new place--had granted me permission
on the telephone to offer to the FS and anybody else the full and real rendering of the
count. As that point, that chairperson broke down in tears and left our meeting.
I promoted the full and transparent publication of requirements for tenure and promotion
at all levels and for all categories of professionals on campus.
In my thick document, I included the complete “History,” verbatim, of our institution
from our last Handbook. Then, as I re-listed each section of the last Handbook, I followed
the section with the ORIGINAL wording from the ORIGINAL SOURCE. You see, after
reviewing so many times the “History” per se, I began to experience intense moments of
promnesia 2 —i.e., the feeling that I have already seen/experienced/felt/heard whatever I
am seeing/experiencing/feeling/hearing now. For some unknown-at-that-moment reason,
I just knew that I had read some of that “History” before. I began to search through boxes
and boxes of university-generated papers in my computer room. Then, I went out to my
Research Center, a building situated to the west rear of and running parallel to my big
house. I began to search through antique university Catalogue after Catalogue, through
Handbook after Handbook, and through all sorts of other volumes. Finally, I found the
volume that I was looking for. As soon as I saw it, I recognized it. That little paperback
was the one that Dr. Briteman had written at the behest of the then-new president Dr.
Ding Dong De. Dr. Ding Dong De has just been named to his new post as chief
administrator for our university through an oversight by a secretary. She had been sick,
late to work, and still jittery from the July 4 celebration: consequently, when the
chancellor’s assistant handed her the printed name to type for the new release, she typed
“Dr. Ding Dong De,” the guy who worked in our business college, instead of the selected
candidate “Dr. Ding Dong Fe.” 3 When the chancellor heard the television announcement,
he investigated and discovered the secretary’s error. However, being true to his
“Leadership Training” back east, he knew that he should never admit to an error. So, he
went ahead and made the mistaken guy the president of our whole institution. Of course,
the mistaken guy was so surprised and happy about his dramatic promotion from
Assistant Instructor to President that he wanted to document the event. Along with all of
the professional photographers that he paid with his own funds, the news reports, and the
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interviews, Dr. D.D. Fe wanted a more permanent record of his ascension. So, he
persuaded the new professor, whom we had hired just the semester before because of his
two published books on art, to write a History of our institution. So, the new Dr.
Briteman set to work immediately compiling the major events as the mistaken guy
selected and interpreted them. In short, Dr. Briteman did a plausible job insofar as he was
allowed and insofar as the information he had been given showed. However, since Dr.
Briteman had come on our campus several years AFTER we had established the new
institution, he did not include many of the significant contributions that the early
faculty—the founding fathers and mothers, if you will—had achieved. For example, the
special original multicultural/multilingual teacher training project that brought into our
institution over a quarter of a million dollars each year during our institution’s first four
years and during our seventh and eight years (For our fifth and sixth year of operation,
the mistaken guy had paid over $ 13,000 + expenses to his old friend Dr. Solores from
another school to write the proposal for the new two-years cycle. Since she knew so little
about our project, she re-wrote the structure for the project, sent in her proposal, and lost
our funding for two years. She never returned the $ 13,000+.) That extra money for those
formative years provided an enormous advantage in accelerating our growth in designing
and constructing new courses, setting up new programs, and becoming known as “the
fastest growing institution of its type in our state.” Even the state education agency used
our project’s structure to inaugurate our state’s first multicultural education certification
requirements. The Educacion? Si! Series reported cultural and linguistic flavors of La
Frontera. We even vied in the national competition to become the national clearinghouse
for bilingual education! Another achievement was the eighteen reading laboratories that
Dr. Priestor established in eighteen local elementary schools. From his research in those
field labs and in his university reading lab, Dr. Priestor published a book about “reading
disabilities” nearly two decades before the feds began talking about “special ed.” Another
professor published a volume recommending empirical assessment of instruction.
Working directly with local business leaders, we became THE INSTITUTION in our
state to specialize in degrees in international business. Another missionary type
undertook successfully the arduous task of recruiting, screening, processing, and
supporting new students from all corners of our globe. There were several more
outstanding accomplishments by the GIANTS of our first faculty that were not duly
documented by Dr. Biteman. Whether he was just so new to campus that he was simply
genuinely unaware of those heroic successes or just following the lead of the mistaken
guy, I could not/cannot ascertain.
10. In any case, when I found the little antique paperback, I began to read it straight through
to the end. Then, I read the “History” from the Faculty Handbook. I was pleased that I
had such a good memory, but I was appalled at what I was beginning to realize. In my
considered opinion, Dr. Briteman’s small, near-antique documentation was well crafted
and constituted a valuable archival contribution to/for our institution insofar as it goes.
However, I really believe that the writer/s of “1.1 History” should have provided credit
for the authentic author. Even if Dr. Briteman was consulted ahead of the “1.1 History”
borrowing, and even if Dr. Briteman really did actually give his permission to use his
work—particularly so as a general guide—I still believe that/those writer/s still should
have provided, in my considered opinion, the proper documentation of the source. Even
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if, as a FS member years ago, Dr. Briteman had himself lifted his own words from his
own earlier work, he still should have indicated the original source, in my opinion.
Put another way, if any one of my students over my last fifty years of teaching
(Yes. No mistake. FIFTY YEARS!) had turned in a project with such and so many
“borrowings-without-appropriate-credit,” he/she/it would have received from me a failing
grade for the project. Depending on the degree of onerousness, I might have even
recommended that it/she/he be suspended from the university for one or two semesters,
and I would have most certainly expected that the incident be placed on the student’s
official transcript. After all, plagiarism is the stealing of someone else’s words. Whether
performed consciously, unconsciously or just stupidly, plagiarism remains a literary theft.
I do realize that your current “Code Of Honor For Scholars, Old And New,” as I
understand it (I had never used it. It was just getting into action as I was on my way out
via retirement.), allows the plagiarizer/s to enter a step-by-step protocol of admission of
personal trespass and a series of re-education sessions. (Shades of Chairman Mao!) As I
understand the operation of the COHFSOAN, in those re-education sessions wherein and
whereby the trespasser promises, in effect, to never trespass ever again and then practices
non-plagiarism, the process can be lengthy, challenging—particularly when the trespasser
finally begins to realize the extent of the trespass--and, even, frustrating. However, the
“graduates” of those sessions return, reportedly, to their classes as rejuvenated and
unplagiarizing scholars-to-be forever. (I also understand that certain members of your
faculty are complaining because the violations “are so many.” To me, such frequency
might point to the possibility that those very same students, when they were in public
schools, were allowed to “do research on the world wide web” by copying and pasting
whole passages verbatim into their assigned themes without ever being told to offer due
credit. It may be that we need to educate certain public school teachers against
plagiarism. They cannot teach against it, of course, unless they understand themselves
why it is wrong. 4 Perhaps we need to train them about plagiarism. But wait, we have
already trained them: THOSE ARE OUR GRADUATES!
However, I consider this “History” trespass to constitute infractions of much more
severe degrees than that committed by a freshman/sophomore/junior/senior/graduate
student who offers as her/his/its own some really wonderful giant paragraphs or, even,
whole papers actually created by someone else. You see, I believe that in any “higher
education” institution, the fully-acclaimed-as-accomplished individuals who work therein
are “the best people in our community.” Or, at least, they should be. And if they are not,
then they should not be working in “the higher education” at all. So, you can see, I hope,
why I was so disappointed/surprised/amazed at making the discoveries delineated above.
I was further surprised and absolutely amazed to discover recently—via those particular
telephone calls—that nothing had been done to penalize the particular acts that I deemed
as plagiarism. Whenever an original passage is replicated with only a phrase altered or an
entire passage restructured or whenever dates of events or the names of an institution is
slightly changed from the original, I am forced to conclude that plagiarism—conscious,
unconscious, stupid, etc.—has occurred. After I had reconstructed in print for the FS the
ten instances of mingling and mangling of the new and old words, I was amazed. I was
also amazed that that “History” apparently had appeared in the FS Handbook for so many
years without being challenged by any of the oldsters. After all, the mistaken guy had
made sure that each member on the faculty in those days received a copy of his little
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paperback. I was further amazed that some of the oldster administrators had not “caught”
the situation for the same reason. I discovered recently that, even with printed examples
in your hands, you all had apparently ignored the evidence. I grew very perplexed. I
simply could not understand how you all are willing to send young students off to
undergo your COHFSOAN gulag but simply ignore and stay quiet about a matter
involving one of your own.
11. Had any of you read the handout that I had provided for each of you, you would have
found a much fuller history of our institution, of our FS, and of our commitment to
academic freedom, shared governance, and honest scholarship. If you all had read my
entire document, you would have realized just how much work had gone into preparing
the materials for you. It had taken me nearly five months to review the FS Handbook
version, to locate the original passages from which the apparently-original-but-really-not
items had been “lifted,” to carefully display through comparison and contrasting the
original with the tortured parts, and the consulting of over two dozen ancient university
Catalogues and other volumes from which I finally derived the new history.
12. Had any of you read that handout, you would have found that I requested credit for the
new “History” with the full expectation that as revisers revise, they would be given
credit, too. I also recommended that each committee that worked on their respective
portions of any current FS Handbook be given credit in writing. I hoped that printed
acknowledgement of the careful, tedious, legal, and accurate work performed by
particular individuals would make those individuals feel proud and appreciated. By the
same acknowledgement, those particular individuals might forego the temptation to
plagiarize, slop, delete, disfigure, or ignore their particular sections of a legal document.
13. I did encourage, indeed, that the FS secure on the frontispiece of the newly revised FS
Handbook the signature of the major administrator/s and that of the current FS president.
Be sure to let me know your thoughts about all of the above. Dr. Lowly Professor
From Dr. Little Johny Small, President FS, To Dr. Lowly Professor with Request To Stop
Harrassing Us on November 13, 2009, with Copies To Dr. Hugh Long Tong, FS V-P; Dr. Qui Et
Delite, FS Secretary: Dear Dr. Lowly Professor, We three officers have already told you that we
do not have any copies of the document to which you refer. Neither does any FS member.
Besides, if that document really was passed out at that particular meeting so many, many months
ago, then just what do you expect us to do? Since the FS members with whom we have checked
do not even remember the document, surely you will stop harassing us about it. Besides, with all
of our crowded classes—I am even teaching an overload of two extra classes!—and all of the
publication and community service that we are all being forced to do, we just don’t have the time
to worry about extraneous things like those considerations that you have mentioned.
From Dr. Lowly Professor To Dr. Little Johny Small, President FS, with Response to
Charge of Harassing on November 14, 2009, with Copies To Dr. Hugh Long Tong, V-P FS; Dr.
Qui Et Delite: Dear All, I never meant to harass you all in any way whatsoever. I am simply
attempting to finish a task that began over a year ago and, as far as I am concerned, still is not
finished. As I have already indicated, I do not believe that an issue is settled until it is settled
right. In short, many issues remain, several of which were itemized and discussed in my original
document. To me, they remain unsettled. By the way, Dr. Small, how in the world are you being
allowed to teach six classes. As you may be able to recall, four classes constitutes the standard
work load. However, in your case, you should be teaching only three classes. As you should be
able to remember—As I recall, you should be finishing out your third term on the FS.—the
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President of the FS regularly receives a one-quarter release time from regular duties. And yet,
that one class release time is still not enough time to take adequate care of all of the issues and
concerns that come before the FS. How in the world did your overload happen? Doesn’t your
chairperson know our protocol of the FS President’s receiving release time from one class?
From Dr. Little Johny Small, President FS, To Dr. Lowly Professor with Clarification
Regarding Your Last Preaching on November 18, 2009, with Copies To Dr. Hugh Long Tong,
V-P FS; Dr. Qui Et Delite: Yes, Dr. Lowly Professor, I know that over the past decades, the
President FS has received release time from one class in order to take care of the FS business.
But my chairperson would not grant me that privilege. He told me that I was too valuable to be
wasting time on FS duties. And, as you should be able to remember, the chairperson is the boss.
From Dr. Lowly Professor To Dr. Little Johny Small, President FS, with Specific
Concerns Regarding Your Position on November 19, 2009, with Copies To Dr. Hugh Long Tong,
V-P FS; Dr. Qui Et Delite: Frankly, Dr. Small, I am appalled at your general lack of
understanding of academic life, duties, and protocols! A chairperson is no more than a support
person. Believe it or not, the chairperson of any department is supposed to search for and secure
all sorts of procedures, practices, materials, and rewards for supporting each and every
professor’s professional endeavors. And, believe it or not, as you “go up the ladder,” you should
have realized a long time ago that a dean, a provost, a business manager, a head librarian, and,
even, a president is nothing more than a well-paid SUPPORT PERSON! And yes, I do realize
that many of these high-ranking administrators would not agree with me on that subject, but that
is their problem and not mine. By the way, if you could not stand up even to your chairperson on
the matter of your own release time, how in the world did you think that you would stand up to
the president or his President’s Council or the deans when you would have to represent your FS
membership’s views that might run counter or even opposed to those of the president and his
company? No wonder the FS had achieved so little lately. You have lost an entire semester!
From Dr. Hugh Long Tong, FS V-P, To Dr. Lowly Professor with Specific Concerns
About Your Concerns on November 23, 2009, with Copies to Dr. Little Johny Smal, FS
President; Dr. Qui Et Delite, FS Secretary: Your last message made Dr. Little Johny Small, our
FS President, very angry, and rightly so. You just don’t know his chairperson. She is a terrible
tyrant, and she treats everyone in her department like they are slaves. In fact, all of us are being
treated like slaves with all of the overloaded classes, extra classes, and voluntary community
services that we are being made to do. Besides, Dr. Lowly Professor, what business is it of yours
about whatever is going on at the school right now or with the FS or anything? Are you not
retired? Why don’t you just quit bothering us and start bothering some young pretty thing in a
bikini on a beach somewhere? And if you really wanted us to do anything about all of those
issues that you claim was in your document, why don’t you send us enough copies to go around?
If you will, I promise that I will personally hand out to each FS member a copy. I just hope that it
won’t be a thick as your original was! Why don’t you just send a summary statement of all of
your concerns?
From Dr. Lowly Professor to Dr. Hugh Long Tong, FS V-P, with Answers To Your
Queries and Notions on November 24, 2009: Your last message amazed me in several ways. But
then I realized that I had not brought you all fully up to date about that particular document. You
see, the reason that I am searching for a copy of that document is that I don’t have one. As
amazing as that may seem, I really do not possess a single copy, and I will tell you why. When I
composed that document on my “professional computer”—On the other older one that I call my
“daily business computer,” I perform the regular chores like e-mailing, working out schedules,
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banking, and the like.—I saved the document, printed it out, and went to the Rapid Work store
down town by the Greyhound Bus Depot and had 50 copies printed, collated, and stapled. I had
planned to give each FS member a copy with extra copies going to newspapers in Austin, Dallas,
Fort Worth, El Paso, and Brownsville where I have known some reporters for many years. That
“outside” distribution was intended to occur only in the case that nothing was able to be resolved
right with the local administration. I personally handed the copies for the FS to the former FS
president who assured me later that he really had delivered to each member one copy. At the
beginning of the next week, I came home after shopping downtown to find that my “professional
computer,” along with the extra copies of the document that were lying next to the computer on
the desk had been stolen. I searched quickly throughout the house and all over the yard for the
computer and the extra copies. I even walked all four streets surrounding the block on which my
home stands. I finally called the police. With them, I re-traced the rooms, the yard, and the
streets. But nothing was found. The police took a statement for their report, gave me its number,
and left. On the next morning, I walked across the street to eat breakfast at the little café. As I
walked through the alley, I noticed a piece of a printed page lying next to the garbage bin. As I
got closer, I recognize some of the printing. I leaned down and picked it up. It was a page torn
from my document! The sheet that was recovered had printed on it only the information that
begins above with “That Document, ver batim, in part” and continues until the first numbered
passage above. I looked around the garbage bin that had apparently been emptied during the
early night by that automated truck. I searched all around the garbage bin, all through the alley,
and all along the parking lot. I finally decided that I had lost both my computer and the extensive
work that I had put into the document. Insofar as my being retired, I am. As for bothering “some
young pretty thing in a bikini,” I prefer to interact with females with brains, a rare bird, indeed,
nowadays. Besides, I never waited for retirement before I began enjoying beautiful things.
Whenever I hear or see something wrong, I speak out; in a similar fashion, whenever I encounter
beauty, I reach out. And I have been doing so all of my life, so far.
From Dr. Knew Arthur To Lowly Professor on November 26, 2009: Believe it or not, you
started a trend: when you retired, I did some soul-searching and retired the very next semester. I
just didn’t see any place at that institution for us “oldies” any more. And honor as a way of life
went into serious hiding years ago. Anyway, besides hoping that you are well and happy, I need
to tell you that one of my old friends in the medical school called me with serious news. When
the other medical professors saw the direction of the FS, they all refused to serve on it. So they
persuaded my friend to vacate her position and to nominate Dr. Qui Et Delite to take her place, in
spite of the young Delite’s lack of the necessary experience—She’s been here one year!--and
lack of tenure. Recently, Delite asked my friend about your document, and my friend gave her
own copy from Spring 2009 to Delite. When Delite came to work the next day, she looked like
she had not slept a wink, and she asked my friend, “How could they…” In short, she was upset.
Try to go back to the campus today or tomorrow and try to speak with Dr. Delite. Give her one
of your old style perspectives about all that life has to offer, including the rough spots—like you
always did for us in the old days—and try to cheer her up and calm her down.
From Dr. Lowly Professor To Dr. Knew Arthur on November 26, 2009: THANKS!!! I
will go Monday. This weekend, I am giving a presentation in Santa Barbara. Again, THANKS!!!
From Dr. Lowly Professor To Dr. Little Johny Small, President of Faculty Senate; Dr.
Hugh Long Tong, Vice-President of Faculty Senate, on Summary Observations on November 26,
2009: With all apologies to my friend Will, “The fault, Dear Dr. Small and Dr. Tong, lies not in
your stars but in yourselves that you are underlings.” 5
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From Dr. Knew Arthur To Dr. Lowly Professor on November 27, 2009: Dear Dr. Lowly
Professor, Believe it or not, Dr. Qui Et Delite is in jail!!! From what I can gather from the
President’s secretary, Dr. Qui Et Delite walked into the Office of the President at 8:00 A.M.
today and announced that she wanted to deliver to the President the document from Dr. Lowly
Professor. She handed the document to the secretary. Then, she announced that she was staging a
sit-in in the President’s office and requested that the secretary and the aids leave immediately,
which they did. After leaving the Office, they stood at the floor-to-ceiling windows of the Office
and watched Dr. Qui Et Delite open the large double-door of the Inner Sanctum and roll out the
President’s Chair. She positioned it directly in from of the secretary’s desk and facing the floorto-ceiling windows. She leaned the President’s Chair back into the Far-Reclining position, lay
way back, and began reading Skinner’s Beyond Freedom and Dignity, page by page.
By the time the President arrived, just before noon, a large gathering had formed of
faculty, students, a reporter from our student newspaper, and the work-study aides. As he
approached the group, the President asked his secretary what was happening, and she relayed the
events of the morning and handed him Dr. Lowly Professor’s document. He asked her if Dr. Qui
Et Delite had locked him out, the secretary shook her head in the negative. The President tried
the door knob and opened the door and took one step inside. Then, he stopped abruptly, stepped
backwards through the door, and pulled the door closed. He asked the secretary for her cell
phone which she had left inside. He asked the work-study aides and was given the same
response. He asked if anyone in the crowd would loan his secretary a cell phone. Nobody—
reporters, faculty members, students—would offer a cell phone. Growing obviously excited by
now, the President shouted at a janitor whom he saw coming out of the elevator pushing a large
trash bin-on-wheels. The janitor quickly ran over and handed over his cell phone. The President
dialed Security and then, while waiting for the pickup, began shouting at his secretary and asking
her why she had not already called Security. She replied in tears and a loud voice, “Because you
have always said that we should never let anything get out of your office!” She turned and fled
into the bathroom nearby. She quickly came back out because she had just bumped into a guy as
he was coming out; she had gone into the wrong bathroom. Ducking her head, she stepped over
into the female bathroom and disappeared.
The crown began to grow. It took about fifteen minutes before two Security officers
arrived. They started to enter the President’s Office, but he stopped them and gave them some
whispered instructions. They turned and left. After another thirty minutes had passed, the crowd
had grown to fill nearly the entire hallway and part of the steps outside. All the while, Dr. Qui Et
Delite had kept reading. Finally, the two Security officers returned, followed by two city
policeman, a U.S. Marshall, and a sheriff’s deputy who shouted as soon as he entered the
building and shoved through the crown, “Where’s that damn terrorist!” A roar went up from the
crowd that “SHE IS NOT A TERRORIST! SHE’S A PROFESSOR!” “SAME THING TO
ME!,” he yelled back. Then, as the President stepped aside, the deputy kicked the unlocked door
open, breaking the large pane of glass. Pandemonium broke out. Shouts, curses, and a loud
“NO!” went up from the crowd. He then went over to Dr. Qui Et Delite, grabbed the little thing
forcibly out of the chair, pushed her forward to fall over the desk, grabbed her two wrists and
pulled them behind her and handcuffed her. Then, flanked on both sides by the two city
policeman followed by the U.S. Marshall, the deputy sheriff walked through the crown with his
prisoner and on out to the parking lot where he quickly loaded Dr. Qui Et Delite into the big
black vehicle with SWAT on its side and several armed men inside. Then the law group drove
off.
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Several students and faculty members got into their cars and followed the SWAT group
to the Karupt County Jail where Dr. Qui Et Delite was booked and incarcerated.
As I have told you so many times, Dr. Lowly Professor, you expect too much out of
people. And now, after your writings have spurred poor little young Dr. Qui Et Delite into
staging a 1960’s sit-in, she is now sitting in jail. And it is basically your fault. Just remember, she
is not from this country. All that she knows about the protests in the 1960’s are those nice films
made forty years afterwards that make all of the little hippies and razas and berets into such nice
and well-meaning folk. She has never seen the actual movie newsreels nor the television
broadcasts of the time, especially the ones with the savage beings of the protestors by the armed
police and state guards, like in Grant’s Park. Believe it or not, she did not even know who Walter
Cronkite was. THIS IS YOUR FAULT! YOU AND THAT DAMN DOCUMENT THAT YOU
WROTE FOR THE FACULTY SENATE. DID YOU NOT REALIZE THAT, IN TIME, THAT
THING WOULD GO ALL OVER THE CAMPUS?
To Dr. Knew Arthur From Dr. Lowly Professor on November 27, 2009: I will get to the
jail right now. I will make her bail. And I will call my own lawyer, along with the lawyers of two
teacher-advocacy groups and three civil-rights organizations, and four reporters that I know who
work on major newspapers of the state. I will pay the fees for the lawyers.
Frankly, I am amazed that of all the macho, muscled FS members, only the frail little girl
from the other side of the world is willing to stand up. At least, once we get Dr. Qui Et Delite in
a safe place, all of the attention that this situation is going to flare up across the state may finally
force the governor to step in and get the entire situation cleaned up, even those missing funds! As
you know, I don’t ever believe that anything is settled until it is settled right. And this may be the
only way for the whole mess to get cleaned up. I am just sorry that little Dr. Qui Et Delite did not
telephone me to talk to me about my document before she threw herself into the fire.
1
Because I found on the ground this quoted portion on a torn fragment of paper just outside my back
door, which the thieves apparently used to enter my premises, I can render verbatim these passages that
had appeared close to the beginning of the original document.
2
You probably call this kind of experience a “déjà vu.” Please do not mistake this with “paramnesia,”
which is a wholly different thing.
3
You can understand how such can happen if you will just check out your keyboard. She simply hit the
“D” key rather than the “F” key. After all, those keys are right next to each other. Anybody with a jittery
left hand could make the same mistake. If you want to check it out, just go out on a three-days party and
then try to type. (On second thought, it may have been her eyesight. “Ijitters”?
4
This is so ironic because many of those “allowing” teachers” sat in our own teacher education classes.
5
In William Shakespeare’s Julius Caesar, Cassius attempts to persuade Brutus to join the conspiracy to
assassinate the popular Caesar before he becomes the ruling monarch, “The fault, dear Brutus, is not in
our stars, but in ourselves, that we are underlings,” The Complete Works of William Shakespeare. Books,
Inc. 1956, “Julius Caesar,” Act I, Scene 2, p. 815, 2nd column, 13-14. 202
Understanding Why Constitutionally Speaking the Judicial Branch is
the Least Powerful Branch of the National Government
Darrial Reynolds
South Texas College
203
Introduction
This explains why constitutionally speaking the Judicial Branch is the least powerful
branch of the National Government. This paper takes a closer look at the main focuses of Article
I, Article II, and Article III of the United States Constitution. This paper offers brief descriptions
of what I think are the most important constitutional powers of the Judicial Branch. This paper
lists how the Framers of the United States Constitution made sure that the Judicial Branch could
not exercise its powers without a system of checks and balances. This paper concludes with an
analysis supporting my explanation why constitutionally speaking (at least on paper) the Judicial
Branch (Federal Courts) is the least powerful branch of the National Government.
Main Focuses of Articles I, II, and III of the United States Constitution
The constitution is a nation’s basic law. It creates political institutions, assigns or divides
powers in government, and often provides certain guarantees to citizens. The United States
Constitution is the document that was written in 1787 and ratified in 1788 that sets forth the
institutional structure of United States government and the tasks that these institutions perform.
The main focuses of Articles I, II, and III of the United States Constitution are as follows.
Article I: Legislative Branch
Article I of the United States Constitution created the Legislative Branch that is
composed of the House of Representatives and the Senate. The power to make the laws was
given to the Legislative Branch by the United States Constitution. I think that the Legislative
Branch is the most powerful branch because it makes the laws. The Framers thought that the
Legislative Branch would be the most powerful branch because it is closest to the concerns of the
people. The Framers thought that the people would bring their problems to the Congress, and
then the Congress would debate and resolve their problems (Mitchell, 1995).
In Federalist Paper Number 51 (1788) titled, The Structure of the Government Must
Furnish the Proper Checks and Balances Between the Different Departments, James Madison
stresses the need for the system of checks and balances within the Legislative Branch. James
Madison asserts that in a Constitutional Republic the Legislative Branch is the strongest so it
must be divided into different branches with little connection with each other as possible and
with different modes of election. Before the 17th Amendment to the United States Constitution,
the members of the House of Representatives were chosen directly by the people, and the
members of the Senate were chosen by the state legislatures (Mitchell, 1995).
James Madison examines the structure of the House of Representatives in Federalist
Paper Number 52 (1788) titled The House of Representatives and Federalist Paper Number 53
(1788) titled The Same Subject Continued: The House of Representatives. He feels that the twoyear terms will provide members of the House of Representatives with enough experience,
without remaining office too long, to understand national affairs and how things work in the
different states and to gain some knowledge of foreign affairs. James Madison details the
importance of having stability in the government for both Americans and for foreign countries
and seeks to justify the organization of the United States Senate in Federalist Paper Number 62
(1788) titled The Senate and Federalist Paper Number 63 (1788) titled The Senate Continued.
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Article II: Executive Branch
Article II of the United States Constitution created the Executive Branch that is
composed of the President, the Vice-President, and the Bureaucracy. The power to execute the
laws was given to the Executive Branch by the United States Constitution. The President is
charged with enforcing the laws passed by Congress and overseeing how the bureaucracy spends
the funds appropriated by Congress. I think the Executive Branch is the second most powerful
branch of the national government because it must faithfully carry out the laws passed by the
Congress and spend the funds appropriated by the Congress. The tension among the Framers of
the United States Constitution about the nature of a Chief Executive led to the Executive Branch
being the second most powerful branch. Some of the Framers wanted a strong Executive
because they feared that only a strong leader could hold the new nation together, and that if the
Executive had limited powers the new nation might unravel. Some of the Framers feared a
strong Executive because they thought that such an Executive could become very much like
King George of England (Mitchell, 1995).
In Federalist Paper Number 67 (1788) titled, The Executive Department, Alexander
Hamilton discusses the powers and limitations of the Executive Branch by comparing the
constitutionally limited executive powers of the president and the more extensive powers of a
monarch as a ruler. Alexander Hamilton chastises opponents of the United States Constitution
who believe the President is granted excessive power by being allowed to fill vacancies in the
Senate. Alexander Hamilton points out that this power is limited in scope as the President's
appointments expire at the end of the Senate’s next session, and permanent appointments are left
to the state legislatures.
Article III: Judicial Branch
Article III of the United States Constitution created the Judicial Branch composed of the
Federal Courts and the Supreme Court. The power to interpret the laws was given to the Judicial
Branch by the United States Constitution. I think that the Judicial Branch has the least amount of
authority in the federal government, and therefore the weakest of the three branches of the
national government because it can only negate laws that seem to violate the intent of the
Constitution and because does not have the power to enforce its own decisions. The United
States Supreme Court has the power of judicial review or the power to determine whether acts of
Congress and, by implication, the executive are in accord with the United States Constitution.
The power of judicial review was established and first used by the United States Supreme Court
in the Marbury v. Madison (1803) case. The United States Constitution gives the Federal
Judiciary some important powers, such as the power to try federal cases and interpret the laws of
the nation in the cases that they hear (Mitchell, 1995).
In Federalist Paper Number 78 (1788) titled, The Judiciary Department, Alexander
Hamilton describes the Judicial Branch as the least powerful branch, discusses the importance of
an independent judicial branch, and the meaning of judicial review. Alexander Hamilton also
explains how federal judges should retain life terms as long as those judges exhibit good
behavior. Alexander Hamilton believed that because the judiciary did not have the power to
enforce its judgments, there was little concern that the judiciary would be able to overpower the
other political branches because constitutionally speaking the judiciary depends on the other
political branches to uphold its judgments.
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Important Constitutional Powers of the Judicial Branch
According to the Constitution, the role of the Judicial Branch (Federal Courts) is to
interpret the law in order to make decisions about the meaning of laws, how they are applied, and
whether they violate the Constitution. I think the following powers are the most important
constitutional powers of the Judicial Branch.
Original Jurisdiction
Original jurisdiction is the jurisdiction of courts that hear a case first, usually in a trial.
These are the courts that determine the facts about a case, whether it is a criminal charge or civil
suit. Federal Courts with original jurisdiction are the District Courts (Article III Courts), United
States Court of International Trade (Article III Court), United States Court of Federal Claims
(Article I Court), and the United States Supreme Court (Article III Court).
Congress created the District Courts in 1789 under Article III of the Constitution. Each
court has 1 judge who has a lifetime term of office and protections against removal or salary
reductions. The President, with the approval of the majority of the Senate, appoints the District
Court judges. There are 91 District Courts, which includes at least 1 in each state, 1 in
Washington, D.C., and 1 in Puerto Rico. There are 3 Territorial District Courts, which includes
1 in Guam, 1 in the Virgin Islands, and 1 in the Northern Mariana Islands. The 94 District
Courts have the power to hear the following types of cases (United States Courts, 2010).
♦ Federal crimes and civil suits under federal law.
♦ Civil suits between citizens of different states where the amount in question exceeds $75,000.
♦ Supervision of bankruptcy proceedings and supervision of the naturalization of aliens.
♦ Review of the actions of some federal administrative agencies.
♦ Admiralty and maritime law cases.
Congress created the United States Court of International Trade in 1926 as a national
court under Article III of the Constitution. The President, with the approval of the majority of
the Senate, appoints the 9 judges who sit on this court. The judges have lifetime terms of office
and protections against removal or salary reductions. The original jurisdiction of United States
Court of International Trade is the power to hear cases that involve international trade and
customs issues (United States Courts, 2010).
Congress created the United States Court of Federal Claims in 1982 as a national court
established under Article I of the Constitution. This court is staffed by judges who have 15 years
fixed terms of office and who lack the protections against removal or salary reductions. The
President, with the approval of the majority of the Senate, appoints the 16 judges who sit on this
court. The United States Court of Federal Claims has the power to hear cases that involve the
following money claims against the United States over $10,000 (United States Courts, 2010).
♦ Disputes over federal contracts and agency decisions on federal compensation programs.
♦ Unlawful takings of private property by the federal government.
♦ Suits against the United States involving government contracts, constitutional claims, tax
refunds, and Indian claims.
♦ Suits against the United States involving civilian and military pay claims, patent and
copyright matters, and vaccine injury claims.
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Article III of the United States Constitution created the United States Supreme Court in
order to have a national court that would be the pinnacle of the American judicial system. The
Supreme Court has 9 justices who have lifetime terms of office and who have protections against
removal or salary reductions. The President, with the approval of the majority of the Senate,
appoints the 9 justices who sit on the Supreme Court. The original jurisdiction of the Supreme
Court includes the power to hear the following types of cases (United States Courts, 2010).
♦ Cases involving foreign diplomats.
♦ Cases involving a state.
♦ Between the United States and a state.
♦ Between two or more states.
♦ Between one state and citizens of another state.
♦ Between a state and a foreign country.
Appellate Jurisdiction
Appellate jurisdiction is the jurisdiction of courts that hear cases brought to them on
appeal from lower courts. These courts do not review the factual record, only the legal issues
involved. Federal Courts with appellate jurisdiction are the United States Courts of Appeals
(Article III Courts), United States Court of Appeals for the Armed Forces (Article I Court),
United States Tax Court (Article I Court), United States Court of Appeals for the Federal Circuit
(Article III Court), United States Court of Appeals for Veterans Claims (Article I Court), and
United States Supreme Court (Article III Court).
Congress created the 12 United States Courts of Appeals in 1891 under Article III of the
Constitution. The 94 District Courts are organized into 12 regional circuits, each of which has a
United States Court of Appeals. Each United States Court of Appeals is staffed by 3 judges who
have lifetime terms of office and who have protections against removal or salary reductions. The
President, with the approval of the majority of the Senate, appoints sitting judges of the United
States Courts of Appeals. These courts can hear appeals from the District Courts and appeals
from decisions of the federal regulatory agencies in their circuits, such as the Securities and
Exchange Commission and the National Labor Relations Board (United States Courts, 2010).
Congress created the United States Court of Appeals for the Armed Forces in 1950 as a
worldwide court under Article I of the Constitution. This court consists of 5 civilian judges who
have 15 years fixed terms of office and who lack the protections against removal or salary
reductions. The President, with the approval of the majority of the Senate, appoints the 5 civilian
judges who sit on this court. The United States Court of Appeals for the Armed Forces exercises
worldwide appellate jurisdiction over members of the armed forces on active duty and other
persons subject to the Uniform Code of Military Justice (United States Courts, 2010).
Congress created the United States Tax Court in 1969 under Article I of the Constitution.
This court is staffed by 19 judges who have 12 years fixed terms of office and who lack the
protections against removal or salary reductions. The President, with the approval of the
majority of the Senate, appoints the 19 judges who sit on this court. The United States Tax Court
has the power to hear disputes by taxpayers after the Commissioner of Internal Revenue has
determined a tax deficiency. The judges apply their expertise in the tax laws to ensure that
taxpayers are charged only what they owe and no more (United States Courts, 2010).
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Congress created the United States Court of Appeals for the Federal Circuit in 1982 as a
national court under Article III of the Constitution. This court is staffed by 12 judges who have
lifetime terms of office and who have protections against removal or salary reductions. The
President, with the approval of the majority of the Senate, appoints the 12 judges who sit on the
United States Court of Appeals for the Federal Circuit. This court has nationwide jurisdiction to
hear appeals from the United States Court of International Trade and to hear appeals from the
United States Court of Federal Claims (United States Courts, 2010).
Congress created the United States Court of Appeals for Veterans Claims in1988 under
Article I of the Constitution. This court is staffed by 7 judges who have 13 or 15 years fixed
terms of office and who lack the protections against removal or salary reductions. The President,
with the approval of the majority of the Senate, appoints the 7 judges who sit on this court. The
appellate jurisdiction of the United States Court of Appeals for Veterans Claims is to review
decision made by the Board of Veterans Administration (United States Courts, 2010).
Article III of the United States Constitution created the United States Supreme Court as a
national court that is the pinnacle of the American judicial system. The Supreme Court is staffed
by 9 justices who have lifetime terms of office and who have protections against removal or
salary reductions. The President, with the approval of the majority of the Senate, appoints the 9
justices who sit on the Supreme Court. The appellate jurisdiction of the United States Supreme
Court includes the power to hear appeals from the following courts (United States Courts, 2010).
♦ Federal Route (Appellate Courts)
♦ United States Courts of Appeal
♦ United States Court of Appeals for the Federal Circuit
♦ Legislative Courts
♦ State Route (Appellate Courts)
♦ State Courts of Last Resort (State Supreme Courts)
Judicial Review
Judicial review is the power of the courts to determine whether congressional statutes as
well as presidential actions are in accord with the United States Constitution. Judicial review is
not an explicit power given to the courts by the United States Constitution, but it is an implied
power. The power to strike down laws has been deemed an implied power derived from Articles
III and VI of the United States Constitution. Article III states that judicial power shall extend to
all cases in law and equity arising under the Constitution, the laws of the United States, and
treaties made under their authority. Article VI declares that the United States Constitution is the
supreme law of the land and the judges of every state shall be bound thereby (Jost, 2006).
Judicial review was first used in the case of Marbury v. Madison (1803) when the United
States Supreme Court asserted its right to determine the constitutionality of a federal law as well
as the meaning of the United States Constitution. No state or federal law may violate the United
States Constitution and when the United States Supreme Court hears cases it can decide the
constitutionality of federal law or state law under the United States Constitution. In the case of
Marbury v. Madison (1803), the Supreme Court struck down the portion of the Judiciary Act of
1789 that had altered the United States Supreme Court's original jurisdiction from what the
United States Constitution described (Jost, 2006).
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Constitutional Checks and Balances on the Constitutional Powers of the Judicial Branch
The United States Constitution does not allow the Judicial Branch to exercise its powers
without a system of checks and balances, in which the powers of one branch can be challenged
by one or both of the other two branches. In Federalist Paper Number 51 (1788) titled, The
Structure of the Government Must Furnish the Proper Checks and Balances Between the
Different Departments, James Madison addresses means by which checks and balances can be
created in government and also advocates a separation of powers within the national government.
The Legislative Branch
The Legislative Branch (Congress) checks on the Judicial Branch (Federal Courts)
because it has the following powers (Tarr, 2008).
♦ The Congress has the power to create all federal courts inferior to the Supreme Court, the
power to set jurisdiction of inferior federal courts, the power to make exceptions to the
Supreme Court's appellate jurisdiction, and the power to alter the size of the Supreme Court.
♦ The Senate has the power to approve appointments of federal judges nominated by the
president, and this means that the Senate helps determines who sits on the federal bench.
♦ The House of Representatives has the power of impeachment, which is the power to accuse
an office holder (judge) of wrongdoing or charge a public official with misconduct in office.
♦ The Senate has the power to try impeachments and if an impeached office holder is convicted
by the Senate, the conviction can not be pardon, and the punishment can include removal
from office and may disqualify the convicted from ever holding a government office again.
♦ Congress has the power to initiate constitutional amendments in order to overcome a
constitutional decision of the Supreme Court, such as when the 26th Amendment (1971)
reversed the decision of the Supreme Court in the Oregon v. Mitchell (1970) case that voided
a congressional act according 18-20 year-olds the right to vote in state elections.
The Executive Branch
The Executive Branch (President) checks on the Judicial Branch (Federal Courts)
because the President has the power to grant reprieves and pardons for federal offenses except
impeachment. Just as important, the President checks on the Judicial Branch because the
President has the power to nominate federal judges (Peters, 2007).
Conclusion
Constitutionally speaking (at least on paper), I think the Judicial Branch is the least
powerful branch of the National Government because the Federal Courts do not have the power
to enforce their own decisions so they must rely on other units of government to enforce their
decisions and this process is called judicial implementation. For example, the decision of the
United States Supreme Court in Brown v. Board of Education (1954) was that segregated schools
were inherently unconstitutional and the next year ordered public schools desegregated with
deliberate speed. The United States Supreme Court was unable to enforce this decision because
the local school boards in many southern states refused to implement this decision. In order to
implement this decision, Presidents Dwight Eisenhower and John Kennedy used federal troops to
enforce school integration in the many southern states, and Congress passed the Civil Rights Act
of 1964 denying federal aid to segregated schools.
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References
Federalist Papers (1788). Retrieved November 1, 2009 from
http://www.foundingfathers.info/federalistpapers.
Jost, Kenneth (2006). The Supreme Court A to Z. Washington, D.C.: Congressional Quarterly
Press.
Maddex, Robert L. (2008). The U.S. Constitution A to Z. Washington, D.C.: Congressional
Quarterly Press.
Mitchell, Ralph (1995). CQ’s Guide to the U.S. Constitution. Washington, D.C.: Congressional
Quarterly Press.
Peters, Gerhard (2007). The Presidency A to Z. Washington, D.C.: Congressional Quarterly
Press.
Tarr, David R. (2008). Congress A to Z. Washington, D.C.: Congressional Quarterly Press.
United States Courts (2010). Retrieved January 24, 2010 from
http://www.uscourts.gov/index.html.
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Assessing Students’ Reactions to Film and TV Portrayals of Nurses,
Their Profession, and Their Image in Society
Dianna Lipp Rivers
Kenneth Troy Rivers
Brenda S. Nichols
Lamar University
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Abstract
In the age of modern media, it is essential for nursing faculty to understand how today’s nursing
students perceive movies and television shows depicting nursing. As part of an elective Nursing
Cinema course at a Texas university during the 2006-2007 academic year, a pilot study using a
pretest-posttest design was conducted to determine nursing students’ perceptions of the image of
nurses and nursing in movies and television. A total of 212 useable evaluations were generated
by students taking a modified Rosenberg Self-Esteem Scale questionnaire and an investigatorconstructed questionnaire. Measured were the films’ nursing realism, their prevalence of nursing
practice and process, the prominence of selected traits of cinematic nurses and participants’
recommendation of each film. Statistically significant changes occurred in the students’
perceptions following the course. Potential uses of this information for faculty are multiple,
including helping instructors understand the likely reaction of students to films that might be
chosen for the classroom.
Key Words: nursing education, nursing cinema, nursing image, film
Assessing Students’ Reactions to Film and TV Portrayals
of Nurses, Their Profession, and Their Image in Society
In the age of modern media, it is essential for nursing faculty to understand how today’s
nursing students perceive films and television shows depicting nursing. The primary
investigators conducted a pilot research study during the 2006-2007 academic year in
conjunction with the elective nursing course that they taught on nurses and nursing in cinema
and television. The study’s purpose was to obtain the student nurses’ reactions to the image of
nurses and nursing in films and television programs dating from 1931 to the current time (2006).
The significance of the results would be to get a better idea of the effect of dramatic material in
the media upon future nurses. The potential uses of this information for nursing faculty members
and nursing education personnel in healthcare organizations would be multiple. These uses
would include ascertaining which media and which genres have particular effects upon students,
as well as finding out what aspects of the films’ content (nursing ethics issues, patients’ rights,
professional responsibilities, and so forth) make an impression, favorable or unfavorable. Even
persons interested in the recruitment of prospective nurses could potentially benefit from an idea
of what films or television shows would likely have a positive impact. The results could also
inform anyone interested in the issue of media defamation of the nursing profession.
In addition, the methodology utilized in this study should be easily applicable to other
fields as well. Regardless of the subject matter of a given course, this study could be adapted to
determine the effect upon students viewing films pertaining to their field of endeavor or
prospective profession.
A number of articles and newsletters (Wood, 2008; AONE, 2006; Rasmussen, 2001a and
2001b; Kalisch and Kalisch, 1982) state the belief that the image of nursing in films can impact a
viewer’s impression of nursing. For example, Peter Buerhaus reports (Wood, 2008) that persons
who watch television series with medical themes are more positive about medicine as a career
than those who do not. The American Organization of Nurse Executives (AONE, 2006) reports
that the Millicent Geare Edmunds Lecture at the School of Nursing (University of Maryland),
focusing on media images of nurses, indicated that many misrepresentations of the nursing
profession still prevail today. The author, Rasmussen, points out that because of Nurse Ratched
in One flew over the cuckoo’s nest (1975), many persons still continue to perceive nurses as rigid
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and sadistic disciplinarians. Nurses are also often seen as sexpots and sometimes as mere
handmaidens of the physician in films. The result is that many nurses have complained
vehemently about the way they are portrayed in films, convinced that their profession is being
slandered and the recruitment of future nurses imperiled. Some television nursing series (e.g.,
Nightingales) and nurse characters (Rick Schroeder’s male nurse in Scrubs) have been removed
from the air following vigorous protests. Kalisch and Kalisch (1982), in their research, see a
worsening trend in the media over the years. They point out that in early nurse-detective films,
such as the Depression-era movie Night nurse, the nurse characters were depicted as having
admirable qualities such as successfulness and adventurousness. Kalisch and Kalisch (1982)
find, a half-century later, the image of nurses in film to have sunk to an all-time low,
corresponding to drops in nursing school enrollments and a public “lack of support of hard-won
nurse practice acts…” (p. 153). Huston (2010) points out that even in the popular series Grey’s
anatomy, “Indeed, it could be argued that the only truly visible nurse on the show has been the
one who gave sexually transmitted diseases to the male physicians” (p. 343). Huston (2010) also
notes that according to the Center for Nursing Advocacy, virtually all nursing activities on this
show are seen as performed by physician characters.
What has been lacking is a study specifically gauging the impression that the image of
nurses and nursing in cinema makes upon nursing students. This study was conceived as a pilot
designed to show how that void may be filled.
The conceptual framework utilized in the study combines spectator response theory and
the nursing process as the guiding frameworks. In the academic field of communications,
spectator response theory posits interaction between media and viewer, with the latter creating
meaning through reaction to the illusions that constitute the filmic reality (Anderson, 1996). The
mental dimension (Casetti, 1999) of the viewers’ reactions to the films’ narratives is quantifiable
in that the viewers can state their interpretation, as expressed in a Likert scale, of what the films
convey.
Nursing process theory, formulated as early as 1961 by Orlando, describes a series of
phases in the practice of nursing. Nursing process specifies the work of the nurse to include
making assessments of the patients’ needs or problems, making a nursing diagnosis (analyzing),
planning for the patient care, implementing that care and then evaluating the results (Berman,
Snyder, Kozier, & Erb, 2008). This dovetails into the cinematic spectator theory in that the
viewer of nursing films is called upon to recognize and judge the representation of professional
nursing, its processes and its practitioners on the screen.
Methods
Design, Setting, Human Subjects
This study, conducted in a Texas university during the 2006-2007 academic year, used a
pretest-posttest design. Two questionnaires were used -- a pre and posttest modified Rosenberg
Self-Esteem Scale (1965) (Department of Sociology / University of Maryland, n.d.), and an
instructor-developed survey tool given after each of the 18 films and television programs shown.
An elective nursing cinema course developed by the primary investigators provided the setting
for the study to determine Bachelor of Science upper level nursing students’ perceptions of the
image of nursing in films and television spanning the years 1931 to the current year (2006).
Human Subjects approval was obtained from the Institutional Review Board of the university
before the beginning of the course. An information sheet outlining the project was given by the
faculty to each of the students enrolled in the course. The students were therein assured that the
surveys would be anonymous, that there was no penalty for not participating, and that their
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grades were not dependent on whether or not they participated. All twelve students in the course
voluntarily agreed to participate in the research. To maintain student anonymity, students were
asked to write onto each survey a four digit identifying number created by and known only to the
individual.
Data Collection and Instruments
The investigators utilized Rosenberg’s Self-Esteem Scale 10-item general measure of
esteem because it is the tool that has been used the most extensively to gauge self-esteem and
esteem of other entities for over 20 years. The Scale has also been successfully adapted for
various types of studies by many researchers.
The students completed the modified Rosenberg Self-Esteem Scale questionnaire, taking
five to seven minutes, on two occasions: before the first film was shown, and at the end of the
course, following the last film shown. The survey participants also completed the investigators’
daily survey forms taking five to seven minutes each, following each film.
The investigators’ survey was entitled: “Survey About the Portrayal of Nurses and
Nursing in Cinema” and consisted of a five-point Likert scale, as did the modified Rosenberg
Self-Esteem Scale. The surveys were self-administered questionnaires including the 11-item
modified Rosenberg Self-Esteem Scale and the 21-item investigator-developed instrument.
Students placed the completed surveys in manila envelopes following each movie shown and at
the conclusion of the course. They also completed demographic questions, including information
such as their year in the program, gender, city, zip code, and whether seeking a two-year
Associate Degree in Nursing (A.D.N.) or a four-year Bachelor of Nursing Science degree
(B.S.N). The investigators reviewed the surveys at the end of the course.
Structure
Content validity (Aday, 2006) of the instruments was determined by the expert nurse and
cinema investigators, who also reviewed the literature pertaining to nurse cinema. The questions
in the instruments measured the following dimensions: (a) the degree of realism of the movies’
nursing content; (b) the prevalence of practice and process of nursing in the plots; (c) the
importance of nursing to the stories; (d) the prominence of selected traits of the nurse(s); and (e)
the survey participants’ recommendation of the movie/television show.
The researchers chose the 18 movies and television shows used in the course. They were
chosen because they contained substantial nursing content as regards plot and characters. All of
these movies and television shows also had notably high popularity and success with the
American public upon their original release or broadcast, putting them on equal footing.
The plots of the 18 evaluated films and television episodes were set in eras representing
the whole span of nursing’s existence from Florence Nightingale to the present. The films/shows
also were classified according to the eras in which they were made (e.g., the Great Depression,
World War II, early post-war, late 20th century, and 21st century); the medium utilized (e.g.,
theatrical film, television episodes, and movies made for television); and the genre (e.g., war
drama, romance, mystery, propaganda, comedy).
The intervention consisted of class discussions and the writing of compositions. The
discussions, each usually about 15 minutes in length, took place in the classroom with faculty
present as in a normal class. The compositions were short homework assignments comprising of
2-3 page critiques of the films. These interventions never occurred prior to the completion of the
pretest surveys for each movie so as not to influence the students. The titles of the films and
television shows are listed in the accompanying Table 1.
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Data Analysis
Surveys were analyzed using descriptive statistic measures of frequency and means, and
the non-parametric test of chi-square because of the sample size (Polit and Beck, 2004). Pre and
posttests were compared with the modified Rosenberg Self-Esteem Scale instrument, and all the
films were evaluated utilizing the investigator’s instrument. Both instruments used a 5-point
Likert scale, with 1 being the lowest score (strongly disagree); followed by 2 (disagree); 3
(average, midpoint between agreeing and disagreeing); 4 (agree); and 5 being the highest score
(strongly agree). A subscale of positive nurse traits was created comprising eight questions.
Cronbach’s alpha standardized was used on the interval and nominal data to test for internal
consistency. The Statistical Package for the Social Sciences (SPSS), version 15 was used for the
computations.
Results
Of the 12 students in the study, nine were female, three male. All were B.S.N students
living in the region, of typical college age, 11 seniors, and 1 and junior. They were all in the
same course. No differences of note were found in the results regarding students’ age or sex. The
Cronbach’s alpha standardized reliability for the modified Rosenberg Self-Esteem Scale
questionnaire pre and post combined was 0.823 and the investigator-developed questionnaire
was 0.897 for the total surveys.
The findings for the modified Rosenberg Self-Esteem Scale, the pretest prior to showing
the films, was 50 % (N=6) of the students with a rating score of either 3 (midpoint or average)
and 50% (N=6) with a 4 for the image of nursing as reflected in the films. Upon completion of
the film viewing, the discussions and compositions, the direction of the results moved to 81.8 %
(N=9) with a score of 4 and 18.2% (2) with a score of 3.
Nursing Content of the Films
The instructor-developed tool provided a number of noteworthy findings following the
viewing of the films. First, nursing in the films was deemed more realistic to the era depicted in
them (mean of 3.71 score) than to today’s nursing (3.09). Second, regarding the prevalence of
practice or process of nursing in the plots: hands-on care was determined to have high on-screen
frequency (3.87), more than even nursing process (3.57) or nursing management (3.52). Third,
the importance in film of nurses or nursing as compared to other disciplines (e.g., doctors,
pharmacists) scored 3.60. Fourth, willingness to recommend the films overall to other persons
was strong (3.89). There was no significant difference between the films with Pearson’s chisquare statistic, although if using Lambda there was significant difference (p=0.035).
Nurse Traits
When evaluating the traits of nurses as depicted in the films, students had a wide range of
reactions. The following nurse traits’ prevalence scored as follows: Confident (3.91); Caring
(3.88); Competent (3.88); Professional (3.82); most other traits scored between 3.60 and 3.70,
including intelligent, critical thinker, and heroic. Also, the statement that nurses were portrayed
positively in film scored at 3.65. The statement that the nurse or nurses appeared conforming and
obedient received a score of only 3.15; and that the nurse or nurses seemed assertive and risktaking a 3.73. The subscale of positive nurse traits as compared to hands-on characteristics was
significant (p < 0.001). The subscale of nurses’ positive traits versus nurses’ activity (nursing
practice, nursing process, and nursing management) showed a significant difference (p < 0.001)
with the virtues outscoring activity.
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Patients’ Rights and Nurses’ Rights
Patients’ rights and nurses’ rights as issues depicted in the content of the films produced
the following results (chi-square data). First, the films with strong nursing rights content rated
high in popularity (high scores of 5’s and 4’s). Students’ willingness to recommend them was as
follows: Miss Evers’ boys garnered 11 grades of 5 or 4; The white angel (about Nightingale) and
Emergency call each totaled 10; and Grey’s anatomy: Break on through and MASH: The nurses
each totaled 9. Second, movies strong on patient’s rights scored as follows: Ms. Evers’ boys, 11;
One flew over the cuckoo’s nest, 7; Janet Dean: Applegate case, 6; and Janet Dean: Garcia
case, 6.
Popularity of Films
In examining the overall popularity of the movies and TV shows, the following was
discovered with computed chi-squares at statistically significant levels. Regarding the
chronology of when the films were made, it was found that the World War II era and the 21st
century tied for first place; the early post-war era films came in third; Great Depression era films
placed fourth, the late 20th century fifth, and the 60’s-70’s Protest Era last (p < 001). In respect to
medium, the television episodes were 23 % more likely than the theatrical movies to get a high
grade of 4 or 5 (p < 0.05). Of the various genres, the mystery films attained 15.5% more high
grades than non-mysteries, and scored 3% better than average (p < 0.05).
Discussion
The students’ overall assessment of nursing’s image in cinema changed after seeing these
films. Upon completion of the course, the majority of students perceived the image of nursing in
films to be at a higher level (scoring a 4) than they did prior to the first showing, by a margin of
31.8%. These students had grown up watching movies and televisions shows about nurses, so the
simple act of viewing these movies in class would not really explain the change. What was new
for them was classroom setting, including the intervention of discussions and compositions,
requiring the students to actively think about, analyze, critique, and debate the films.
Comparison of Films
A number of other interesting findings concerning the mean scores revealed themselves
in the surveys following each movie. First, it is understandable that students would find modern
films to be more realistic in depicting the sort of nursing with which the students are familiar.
That is to say, one does not expect movies made in the 1930’s (e.g., Night nurse, about a
Depression-era nurse saving two starving children) to depict nursing such as today’s. Still, the
students presumed the 1930’s movies to be realistic in depicting 1930’s nursing, even though
they had little basis for that judgment. Second, it is understandable that physical hands-on care in
film would receive a higher score than the nursing process since it is more visual and more easily
identifiable than the mental process used in assessing, diagnosing, planning and evaluating care.
Third, the mediocre score (3.6) given to the importance of nursing or nurses as compared to other
medical disciplines in films is attributable particularly to movies such as You for me in which the
nurse characters seem mostly interested in their evening gowns for the upcoming hospital dance.
Conversely, the main physician character in that film was so dedicated that he was doing
important medical research at home in his basement laboratory after work. Fourth, in the
comparison of the films as regards which ones to recommend to other persons, there was a
significant difference (p = 0.035) only in the Lambda chi-square statistic which is sensitive to the
nominal data of “strongly agree”, “agree”, etc.
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Nurses’ Traits
Next, when the traits of the nurses as depicted in the films are considered, it is
noteworthy and perhaps reassuring that nurses in films were most often perceived as confident,
caring, competent, professional, and, to a somewhat lesser degree, intelligent, heroic, and as
critical thinkers. Although nurses were perceived overall as portrayed positively in films, an
exception was nurse Ratched, the “villain” of One flew over the cuckoo’s nest. Her controversial
presence in this Oscar-winning film undoubtedly was a factor in provoking strong emotional
reactions, with 25% of students rating the movie at one extreme or the other, giving the film
either the highest (5) or lowest (1) rating in terms of willingness to recommend it to others. As
regards the questions of whether the nurse in the various films was seen as being conforming and
obedient (score of 3.15) or assertive and risk taking (3.73), students tended to prefer the films
with the assertive nurses, an indication that conformity seemed to them to be less of a virtue than
assertiveness. Although that may be a positive sign, a certain ambiguity is present, however, in
the very nature of conformity. That is to say, nurses should be expected to conform to
professional and ethical standards, and avoid excessively risky behaviors on the job. For
example, in The white angel, Florence Nightingale routinely and assertively defies her military
superiors, but fires nurses who fail to follow her rules. Nightingale regularly takes risks, but not
with patients’ lives; she defies policies in order to serve her patients more effectively.
Patients’ and Nurses’ Rights
In considering the content of the films, it can be seen that some of them prominently spotlight
patients’ rights, and others spotlight nurses’ rights. Adding together the scores of 5 and 4’s on the
question of recommending the film to others, films strong on nurses’ rights scored exceptionally
high (The white angel and the ER nurses’ revolt episode each scored 10 and the Grey’s anatomy
nurses’ strike episode along with the MASH nurses uprising episode each scored 9). In stark
contrast, most of the shows with strong patients’ rights content tended to score substantially
lower: One flew over the cuckoo’s nest a 7; Janet Dean: Applegate, 6; Janet Dean: Garcia case,
6. This indicates a definite possibility that the student nurse already identifies much more
strongly with the caregiver than with the care-receiver. The one film that dealt both with
patients’ rights and nurses’ rights, Miss Evers’ boys, had a score of 11, indicating that the two
sets of rights are not necessarily viewed as incompatible.
Chronology of Films
In terms of the chronology of when the films were made, films of all eras were well
received, including some of the oldest. Students did prefer, above almost all others, films of the
recent era; that may be because of preference for films in which nurses tend to be depicted as
somewhat more strong and complex than in the past, as posited by David Stanley, a nursing
researcher at Curtin University of Technology in Perth, Australia (Stanley, 2008; as cited in USA
TODAY Staff, 2008). However, movies of the World War II era scored just as highly as modern
ones in our study, demonstrating that they resonated well with the current generation. Thus,
instructors should be assured that there is apparently no reason to avoid classroom use of older
material, even if it was filmed in black and white.
Genres
A wide range of genres were shown, including war stories, comedies, romances,
mysteries, and message or propaganda films. All proved to be well regarded, with mysteries
having a statistically significant edge. A likely reason for this is that medical diagnosis is
essentially a mystery-solving process in and of itself, facilitating the convergence of nurse stories
with mystery. In particular, the combination of a strong, dynamically active nurse-detective
217
character and a mystery involving medical ethics made a drama such as Night nurse a
pronounced favorite, with 7 of 11 students rating it a 4 or 5.
Conclusion
As is always the case, a larger study would have provided greater generalizability.
Nevertheless, this pilot study resulted in useful findings including statistically significant results.
Among these findings are the following points. Today’s students manifest a strong
responsiveness to the media, with television scoring even higher than theatrical movies. Students
value the image of the confident, caring nurse above all others. Their affinity for films with
authentic nursing practice shines through in their preference for viewing hands-on care over
heroism by a score of 3.87 to 3.67, even though heroism might generally be assumed to be more
dramatic. And they were not overly impressed (3.48) with the romantic, sexual nurse of which
Hollywood is perpetually enamored. Finally, the students’ great enthusiasm for nurses’ rights
stories and notably lesser enthusiasm for patients’ rights stories (except Miss Evers’ boys which
had both types of content) implies attitudes that could strongly impact the profession.
As stated earlier, the existing research literature on nursing media and viewers has not
dealt specifically with nursing students. Thus, the findings of this pilot study provide potentially
vital information for nursing instructors. The better that instructors understand the likely
reactions of students to various kinds of media material, the more effectively they will be able to
select films for the classroom and anticipate their usefulness and specific value in different
learning situations. A future study on a larger scale should further assist in determining and
predicting media utility. Moreover, it is to be hoped that other academic and professional fields
will make use of our methodology in order to ascertain how media imagery is affecting students
in their own courses or professional training programs.
Reference List
Aday, L. (2006). Designing and conducting health surveys: A comprehensive
guide (3rd ed.). San Francisco: Jossey-Bass Publishers.
American Organization of Nurse Executives (AONE). (2006, October 27). School
of nursing lecture focuses on media image of nurses. AONE eNews Update.
Anderson, J.D. (1996). The reality of illusion: An ecological approach to cognitive film
theory. Carbondale and Edwardsville: Southern Illinois University Press.
Berman, A., Snyder, S.J., Kozier, B., & Erb, G. (2008). Kozier and Erb’s fundamentals of
nursing: Concepts, processes, and practice. (8th ed.). New Jersey: Pearson Prentice Hall.
Casetti, F. (1999). Theories of cinema: 1945-1995. Austin: University of Texas Press.
Department of Sociology / University of Maryland (n.d). The Rosenberg Self-Esteem
Scale. Retrieved June 23, 2009 from
http://www.bsos.umd.edu/socy/research/rosenberg.htm
Huston, C.J. (2010). Professional issues in nursing: Challenges and opportunities. (2nd ed.).
Philadelphia: Wolters Kluwer Health / Lippincott Williams & Wilkins.
Kalisch, P.A., & Kalisch, B.J. (1982, March). The nurse detective in American movies.
Nursing & Health Care, 146-152.
Polit, D.F., & Beck, C.T. (2004). Nursing research: Principles and methods. (7th ed.).
Philadelphia: Lippincott Williams & Wilkins.
Rasmussen, E. (2001, October 24). ‘China Beach’ memoirs. NurseWeek.
Retrieved June 24, 2009 from
http://www.nurseweek.com/news/features/01-10/chinabeach.html
218
Rasmussen, E. (2001, May 7). Picture imperfect. NurseWeek.
Retrieved June 24, 2009 from www.nurseweek.com/news/features/01-05/picture.html
Stanley, D. (2008, October). Celluloid angels: A research study of nurses in feature films
1900-2007. Journal of Advanced Nursing, 64(1), 84-95.
Retrieved November 15, 2009 from http://www.imdb.com
USA TODAY staff. (2008, October). Portrayal of nurses improving, study finds. A better
life. USA Today. Retrieved November 13, 2008 from
http://blogs.usatoday.com/betterlife/2008/10/lipstick-lipped.html
Wood, D. (2008, November). How the media influences perceptions of nursing.
NurseZone. Retrieved June 22, 2009 from
http://www.nursezone.com/nursingnewsevents/morenewsevents/morenews/How-theMedia-Influences-Perceptions
Table 1
Films and Television Programs (listed in order of their showing in the course)
Title
1. The white angel
2. Night nurse
3. Emergency call
4. So proudly we hail
5. Popeye cartoons (Popeye the nurse, and Olive Oil the nurse)
6. You for me
7. Janet Dean: Applegate case (TV episode)
8. Janet Dean: Garcia case (TV episode)
9. One flew over the cuckoo’s nest
10. MASH: The nurses (TV episode)
11. China Beach: Afterburner (TV episode)
12. Miss Evers’ boys
13. ER: One can only hope (TV episode)
14. Pearl Harbor
15. JAG: Each of us angels (TV episode)
16. Band of brothers: Bastogne (TV episode)
17. Scrubs: My first step (TV episode)
18. Grey’s anatomy: Break on through (TV episode)
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Date Of Production
1936
1931
1933
1943
1953
1952
1954
1954
1975
1976
1989
1996
Nov. 7, 2002
2001
Feb. 4, 2003
2001
Nov. 7, 2002
January 29, 2006
Strategic Planning For Successful Non-profits
Ronald Tarullo
California University of Pennsylvania
Raymond Pisney
Aura International
Bernard Arenz
Fresno State University
Fernando Padro
Cambridge College
220
Strategic Planning For Successful Non-profits
In high performing non-profits there is: 1) A clear sense of direction; 2) An abundance of
skilled managers; 3) A knowledge of their market, their customers, their customer’s needs, their
organization’s opportunities, and their organization’s threats; 4) Their leadership is commitment
to a first rate organization using strategic planning; 5) They are result oriented and performance
conscious; and 6) These managers are deeply involved in implementing their planned strategy. i
This paper will develop five long range planning strategies used to guide these non-profits. They
include:
•
•
•
•
•
Developing a mission
Establishing goals and objectives
Crafting a growth strategy
Developing by-laws and consistent operating policies and business plans
Establishing feedback and corrective action.
These strategies will establish both direction and purpose for non-profits organization. They will
lead to the use of simple, concise terminology; they speak loudly and clearly; generate
enthusiasm for the organization’s future; and encourage personal effort and dedication from
everyone in the organization. It will lead to a formal document that states “who we are”, “what
we do”, “what we don’t do”, and “where we are headed”. ii
1. Developing a Mission: The First Direction Setting Task
Mission--The mission when properly define, becomes the vision of what the organization is
trying to do and what it plans to become over the long term for the members, governing board,
the chief executive, top management and the staff.
Mission Statement--Specifies what activities the organization intends to pursue and what
strategies management has adopted and will implement for the future. To have managerial value,
the non-profit’s mission statements must be narrow enough to pin down the real arena of the
non-profits special interests. The most common mistake that many non-profits make is to
develop too broad a mission for themselves which results in it trying to be all things to all
people.This is where leadership from both the governing body and the chief executive enters the
picture. They are charged with recognizing opportunities and threats in their environment and
revising their plans to meet these challenges.The best mission statements use simple concise
terminology; it speaks loudly and clearly; generates enthusiasm for the non-profit’s future
course; and encourages personal effort and dedication from everyone in the organization. iii
2. Establishing Goals and Objectives: The Second Direction Setting Task
Translating the chosen strategic mission into specific measurable performance targets and results
and agreeing on what is to be accomplished through the organization’s activities is the second
direction setting task. Goals and objectives commonly specify what activities the organization
221
intends to pursue and what strategies both the governing board and management has adopted and
will implement for the future.
Both the governing board and the chief executive of the non-profit must work together to insure
the chosen strategic mission is translated into specific measurable performance targets and
expected results for each planned objective. Mutually agreeing on what is to be accomplished
through each of the organization’s programs, services, and activities will make the difference
between great success and abject failure. iv
Objectives spell out:
• How much?
• Of what kind of performance?
• By when?
Objectives need to be stated in quantifiable terms. This will allow both the governing board and
the top managers in the non-profit to make their expectations known. The chief executive needs
to know what the board expects of him/her as do with the next tier of managers.Time elements
are also a necessary component of objectives. Objectives need to contain deadlines. v
Objectives must be challenging but achievable. Objectives can be a tool used to stretch the
organization to levels it might not have been able to achieve otherwise. Properly used, objectives
can be used to challenge the organization to meet its full potential. Properly drafted and
implemented objectives can be a unifying force fostering unity and cohesion within he
organization.
3. Crafting a Strategy: The Third Direction Setting Task
Selecting an action oriented game plan that indicates how chosen objectives will be pursued and
what entrepreneurial, competitive, and functional area approaches management will adopt to get
the organization in the position it wants to be in. vi Non-profits need strategies to guide them to
achieve objectives and to pursue the organization’s mission.
Action plans and longer term operating strategies add relevant detail and completeness to the
planning process. The view of the process is expanded to include all the parts of the action plan.
Responsibility can be delegated even to the operation level mangers. This added detail forces
coordinating amongst the functional areas and allows management to delegates responsibility by
functional area.
4. Developing a Strategic Plan and By-Laws: The Fourth Direction--Setting Task
A completed business plan is designed to provide a picture of the organization before the process
begins and the by-laws are the formal boundaries of these activities. The variety of potential
experiences that are possible yield a wide variety of potential plans. We must recognize from the
beginning that there is no sequence of steps in planning which is agreed upon by all authorities in
the field.
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The Business Plan
Business Plans usually include ideas about profitability, financing, accounting, records,
merchandising, location, marketing, customers, general methods of operation, controls, staffing
policies, advertising, promotion, expenses, break-even points, legal form, depreciation, assets,
inventory, etc. vii The desired income approach incorporating a break-even analysis can be used.
The Small Business Administration has planning aids with sample business plans for many types
of organizations for profit and non-profit organizations viii .
A fourteen point business plan develop by Dan Steinoff ix , will demonstrate the components of a
strategic plan. Steinoff’s business plan is based on the desired income approach and contains
fourteen steps.
Every Plan should include: Step 1) Determine what profit level you want from the activity, the
time you will have to commit, and the investment you will have to make.--then complete a pro
forma of the activity for at least three years; Step 2) Survey the market you wish to serve and
develop a feasibility study of potential and profitability; Step 3) Prepare a statement of assets
required; Step 4) Prepare a balance sheet; Step 5) Study locations and match locations to clients
or customer base; Step 6) Prepare a layout for operations and locations for all activities; Step 7)
Choose legal form of organization; Step 8) Review plans-- merchandising, service, and/or
financials; Step 9) Analyze expenses and controls; Step 10) Determine break-even point; Step
11) Establishing pricing and credit policy; Step) 12) Review threats and opportunities; Step 13)
Establish a personal policy; and Step 14) Establish an accounting system. x
The major advantage of a plan is it forces management to consider some basic questions:
•
•
•
•
Where are we going?
How will be get there?
What opportunities and problems will be encountered along the way?
How will we deal with them?
It does it in a organized way. The Plan is a road map for success and forces management to
consider all the outside forces that may affect the organization in an organized way and develops
a strategy on how to deal with them. It must be in order and it must be complete. xi
Every Business Plan is unique and must be tailored to the particular non-profit preparing it. A
Plan is a reflection of our experiences and should demonstrate that we have researched the
activity and that it can succeed. Preparing a Plan demonstrates that the leaders have taken the
time to conduct the necessary research and are committed to those ideas on paper. Building a
plan also forces the board and the chief executive to consider both the positive and negative
aspects of the endeavor. Some times the greatest service a Plan is telling us that it won’t work.
The benefits of using this planning process is that it forces us to develop a planning horizon. The
process encourages us to look at the internal and external forces we will be dealing with i.e., a
SWOT analysis,-- strengths, weakness, opportunities, and threats. xii This analysis has become a
very useful management tool in planning. Planning also gives direction to the venture. Having
223
clear direction and focus enables us to operate in planning mode rather than a crisis mode.
Having clear objectives enables us to focus resources and personnel to accomplish goals
efficiently. Another benefit of a written plan is its communication effect. Employees can
become part of the process. The motivational value of becoming part of the process can make
some employees more dedicated.
The strategic planning is the most important step in the planning process for management. All
other activities draw upon the overall strategies selected. The strategic planning process for
smaller ventures is not significantly different than that of large organizations. Usually it is an
increase in the number of steps in the process. The advent of zero based budgeting has benefited
nonprofits and the planning process.
By-Laws
With the completion of the business plan we now turn our attention to by-laws. By-laws are the
ruling document of an organization. It tells the Board how to run its business. By-laws should
set forth the basic structure of the organization and the abilities and scope of the Board. By-laws
are your operating plan and if you want to avoid the chance of someone piercing your corporate
veil you need to follow the by-laws that have been adopted. By following the stated purpose,
meeting procedures and election of officers, and election of the Board of Directors you are
tightening the strength of your corporate vail and the protection it allows under the law. xiii
Typically there are at least nine articles that make up by-laws.
See
www.familyvoices.com/bylaws) for a good presentation of the necessary components: Article I
Name and Purpose -- name of organization and its purpose; Article II Members--classes,
qualifications, termination of membership, dues, and meetings; Article III Authority and Duties
of Directors-- authority, number, selection, tenure, resignation, regular meetings, notice, quorum,
action without a meeting, telephone conference, committees, nominating committee, and
reimbursement; Article IV Authority and Duties of Officers--officers, appointment of, term,
resignation, removal, president, vice president, secretary, treasurer, paid staff; Article V
Indemnification; Article VI Advisory Boards and Committees--establishment, size, duration, and
responsibilities; Article VII Financial Administration-- fiscal year, checks, draft, deposits,
accounts, and investments; Articles VIII Books and Records--correct book of account, minutes
book, copy of certificate of incorporation, copy of by laws, and all minutes of the Board of
Directors; and Articles IX Amendment of By-laws. xiv
By-laws are an important part of the internal structure of the organization because they regulate
the operation of the organization. As you can see, by-laws set out the manner, form, and policies
by which organizations are run. Non-profit status carries with it a specific set of obligations and
benefits. Non-profit status has the following advantages: tax exempt status, tax deductible
donations, specific sources of funding, government grants, and protection from personal
liability. There are three area where non-profits can run into trouble: Financial irregularities,
fraud, and extravagant compensation. The misuse of funds and the appropriate use of financial
resources can create a mistrust within the organization xv
224
Transparency and accountability are two strategies used by non-profits to minimize mistrust.
Organizations must report how their funds, member’s dues and especially those monies that have
been donated are used. As a result most non-profits maintain minimal overhead expenses by
managers, have training for the board and management on their legal obligations, conduct self
assessment, and regularly evaluate the executive director. With regular reporting an disclosure
mistrust can be minimized. xvi
Sarbanes-Oxley
There has been a change in reporting and controls for non-profits. Even though its scope does
not include non-profit, there has been increasing interest in this area in the applicability of the
Public Company Accounting Reform and Investor Protection Act (Pub. L. No. 107-204, 116
Stat. 745 (July 30, 2002)) also known as the Sarbanes-Oxley Act or SoX when it relates to the
composition of the audit committees. xvii Under SoX, “If directors have not fulfilled their
obligation, particularly when there are financial irregularities, the directors will face greater
liabilities and have fewer defenses.” xviii
This act places greater pressure on the non-profit to audit themselves in a number of different
area. Rittenberg and Miller xix have created a ‘Top Ten’ list of control improvements from
implementing of. xx Section 404 that need to be accomplished.
• A more engaged controlled environment, with active board participation, the audit committee,
the executive director, and upper management.
• More thoughtful analysis of the monitoring controls, along with recognition that monitoring is
an integral part of the control process.
• More structured year-end process, the recording of journal entries, and increased recognition of
the growing complexity in these areas.
• Implementation of anti fraud activities that have been defined in place and develop approaches
to resolve them.
• Better understanding of the risks associated with general computer controls and the need to
improve both these controls and the audit procedures so that risks associated with them can be
mitigated.
• Improved documentation of controls and the control process so they can serve as a basis for
training, practical day-to-day guidance, and staff and management evaluation.
• Improved definition of controls and the relationship between these controls and risk across the
entire organization.
• Embedding control concepts into the organization and engendering a broader understanding by
operating personnel and management of their responsibility for these controls
• Improvements in the adequacy of the audit trail as a basis to support both operations and audit
assessment of control adequacy and financial reporting.
• Implementation of basic controls such as segregation of duties, periodic reconciliation of
accounts, and reconciliation of authorization processes that have been eroded as organization
change.
When looking for assistance in how to apply these various elements found within SoX
requirements, the literature pertaining to the non-profit sector often recommends the guidelines
225
set up back in 2003 by the National Association of College and University Business Officers
(NACUBO) xxi
5. Establishing Feedback and Correction: The Fifth Direction Setting Task
Strategic management is a process.
Non-profit strategic planning involves:--defining the
business; establishing strategic objectives; formulating a strategy; implementing and executing
the strategic plan; and evaluating performance. In the evaluation process we will judge whether
things should stay the same or should be modified. xxii The first three tasks:-- mission, objectives
and strategy formation-- give direction to the non-profit and establish the direction component
for the action plan; and in effect define what we call the non-profit’s strategic plan. The fourth
task is the most challenging because it involves converting the strategic plan into results. It
requires the most care because it must relate to regulatory issues and these determine how the
non-profit perform’s its activities. The fifth task--evaluating strategic performance and taking
corrective action is both the end point and the beginning of the process. xxiii especially when
talking about creating a quality organization xxiv
Conclusion:
Strategic Planning for Successful Non-profits:
In high performing successful non-profits we find a: 1) A clear sense of direction; 2) An
abundance of skilled managers; 3) They know their market, their customers, their customer’s
needs, their organization’s opportunities, and their organization’s threats; 4)Their leadership is
committed to having a first rate organization and strategic plan; 5) These non-profits are result
oriented and performance conscious; and 6) These managers are deeply involved in
implementing the planned strategy within the current regulatory environment.. xxv
The challenge for non-profits in today’s environment include: 1) Developing an organization
capable of carrying out a strategic plan-- this means that it must remain flexible, dynamic and on
task; 2) We must develop a strategic plan that is supported by a budget; 3) We must instill
commitment to the organization -- this is the human element; 4) Linking motivation and rewards
to goals is next; 5) This leads to creating and supporting a corporate culture that supports the
organization; 6) We need to instill policies and procedures that facilitate our mission; 7) We
need to develop a communication, financial and accounting system to tract and control the
organization and keep it on task and within bounds of the regulatory environment..
Advantages of strategic thinking is that it is dynamic not a static process. It provides: 1)
Guidance to everyone in the organization; 2) It promotes our ability to develop and control our
environment-- to recognize strengths, weakness, threats, and opportunities; 3) It provides the
rationale to evaluate competing requests for resources; 4) It provides the framework to control
competing activities; and lastly, 5) It provides a proactive instead of reactive management
framework.
Good management really means good strategic management. A well formulated, well executed
strategy is the most surefire route to be a high performance non-profit organization.
226
Endnotes
i 1 Fred L. Fry, “A Planning Approach”, West , St.Paul, 1993, pp. 86-91; Arthur A. Thompson and A.J.
Strickland, “Strategic Management:Concepts and Cases”, Business Publication Inc., Plano TX, 1987, 4th
ed., pp. 2-4.
ii
Thompson and Strickland, ch.2, pp. 20-58; See also Business Resources Software, Inc. at
Http//:www.brs-inc.com/index/html.
iii
John M. Ivancevich, James H Donnelly, and James L. Gibson, “Management: Principles and
Functions”, Irwin, Homewood, 1989, 4ed. pp.163-164; Norman M. Scarborough and Thomas W.
Zimmerer, ”Effective Small Business Management”, Prentice Hall, Upper Saddle River , NJ, 2003, 7th
ed., pp. 41- 42.
iv
Thompson and Strickland, p. 31; Howard M. Carlisle,”Management: Concepts, Methods, and
Applications, SRA,Chicago, 1982 2 ed., pp. 224-228.
v
See B plans,Sample Plans matches sample plans to your organizations needs.
Http://www.pasware.com/sample.html.See also Venture Associates offerings of 150 pages of plans etc at
http://venturea.com.
vi
Howard M. Carlisle, “Management: Concepts, Methods, and Applications,” SRA, Palo Alto1982, 2 ed.,
p 28; Sarborough and Zimmerer, pp., 50-51.
vii
See Kaufman Center for comprehensive information on entrepreneurship at Http://www.entreworld.org
viii
www.sba.gov.
ix
Dan Steinhoff,”Small Business Fundamentals”, McGraw Hill, New York, 1978, 2 ed., pp.25-31.
x
Fry, pp.102-103.; Steinhoff, pp.25-31.; W.M.Greenfield,”Developing New Ventures”, Harper and Row,
Cambridge, 1989, pp. 469-472.; Richard M. Hodgetts and Donald F. Kuratko, “Effective Small Business
Management”, Harcourt : Fort Worth, 2001, 7 ed., pp. 84 -86.
xi
Staley R Rich and David E. Gumpert,”How to Write a Winning Business Plan”, Harvard Business
Review, 63, No. 3 ( May-June) 1985, pp. 156-166.
xii
Thompson and Strickland, pp. 97-98.
xiii
Scarborough and Zimmerer, pp. 172-173.
xiv
Hodgetts and Kuratko, pp. 84-86; Greenfield, pp. 140-143.
xv
http://www.nonprofit-goverancesuite101,com/article.cfm/nonprofit transparency and accountability
tools
xvi
www.familyvoices.com/bylaws
xvii
Thomas E. Vermeeer, K Raghundam, and Dana A. Forgione, “The Composition of Nonprofits Audit
Committees”, Accounting Horizons, 20, No. 1 (March 2006), pp. 75-90.
xviii
Patricia G. Butler, “Board Committees and Avoiding Director Liability Under SarbanesOxley”,Practical Lawyer, 51, No. 6 (2005), p. 28.
xix
Larry E. Rittenberg and Patricia K. Miller, “The Good News about Compliance”, The Internal Auditor,
62 No.3 (June 2005), pp. 55-60.
xx
Ellen P. Aprill, “What critiques of Sarbanes-Oxley can teach about regulation of nonprofit
governance”, Fordham Law Review, 76 (2007), pp. 765-794. See also
Http://aaaahg.org/GNP/information/adminissstration/NewsLeetVol291.pdf and
http://www.urban.org/uploadedPDF/311363_nonprofit_governance.pdf.
xxi
http://www.nacubo.org/documents/news/2003-03.pdf
xxii
Ivancevich, Donnelly, and Gibson, pp. 40-45.
xxiii
Fry, pp. 84-103.
xxiv
See The Baldrige National Quality Program at the National Institute of Standards and Technology,
“2009-2010 Education Criteria for Performance Excellence,” Author, Gaithersburg, MD, 2009.
xxv
Thompson and Strickland, pp. 2-4.
227
College Faculty Performance Appraisal: Questions Concerning the use
of Student Ratings
R. Wade Wheeler
Texas State University, San Marcos
228
Abstract
This paper examines some of the major controversial issues associated with the use of student
evaluations of teaching effectiveness (SETS) in college faculty personnel decisions. A selective
review of the literature on non-instructional and biasing factors in SETS suggests that the
essential requirements of a fair and valid faculty evaluation system are often not being met.
Introduction
One of the most important functions in the utilization of human resources is the
development and implementation of a fair and accurate performance evaluation system.
Designing such a program for the purpose of measuring the performance of college professors
may be one of the most challenging tasks faced by college administrators.
Industrial-organization psychologists (Dunnette, 1963, Schultz & Schultz, 2006, Landy &
Conte, 2008) and assessment specialists (Goldstein & Krasner, 1990) generally agree that any
system designed to measure teaching effectiveness should meet certain requirements:
effectiveness must be well-defined, measurable and objective; it should use assessment methods
that have been shown to be valid and reliable; it should be conducted by qualified and trained
judges; it should be acceptable to all concerned; and must meet the legal guidelines as prescribed
by the Equal Employment Opportunities Commission ( Uniform Guidelines, 1978).
The purpose of this paper is to address some of the major controversial issues surrounding
the use of student evaluations of teaching effectiveness (SETS) in personnel decisions
concerning college faculty members and to examine the extent to which the use of SETs meets
basic performance appraisal requirements.
In the vast majority of colleges and universities throughout the United States, personnel
decisions concerning tenure, tenure revocation, promotion or merit pay are based on three major
criteria: scholarship (the number and quality of manuscripts accepted for publication in referred
journals) and/or papers presented at regional or national conferences); university and community
service (committee assignment and contributions); and teaching effectiveness (student
evaluations). Data from these three sources are provided to colleagues assigned to faculty review
committees who review the data, and based on their subjective judgment, rate and rank the
individuals in question, and make recommendations to the department chairperson. The
department chair, in turn, makes recommendations to the appropriate school dean, who, for all
practical purposes makes the final decision. It should be noted that in general, neither the
chairperson nor the dean has ever directly observed the individual being considered in an actual
classroom setting. Studies have shown that a professor’s research activity or record of
publications is not significantly related to any indicators of teaching effectiveness (Hattie &
Marsh, 1996). Service is an expected function on the part of faculty members and is usually
assigned little weight in personnel decisions. Peer ratings of teaching effectiveness have been
found to be unreliable and invalid (Marsh & Roche, 1997). Alternatives to SETs are too costly or
unavailable (Greenwald & Gilmore, 1997) and as a consequence, student evaluations are relied
on almost exclusively to assess teaching effectiveness. As Theall (2009) has indicated “student
ratings are the primary and in some cases the sole source of data for summative decision
making” (p.1). Moreover, what occurs in faculty review committees is unknown. As one of the
leading researchers on SETs has observed, “As far as I know there has been little research on the
actual decision process in the committees” (McKeachie, 1997, p. 1222).
229
Procedural Problems in Obtaining SETs
Experienced educators are well-acquainted with the process by which SETs are obtained.
Usually during the last two weeks of both the fall and spring semesters, students, in each of their
classes, are provided with some type of rating form designed to measure the extent to which they
perceive their professors in terms of: how well they used class time; how well-prepared they
were for class; how available they were during their office hours; how much enthusiasm they
showed for the subject; to what extent they graded fairly; how effective they were overall, and
other items of this nature depending on the specific form used. Rating values on each item
usually range from 1 (poor) to 5 (excellent). Students are assured of anonymity and the rating
forms are completed in the professor’s absence. Appointed personnel collect the forms and take
them directly to the appropriate assessment center. Evaluation results are not available to the
professor until sometime after the final exam.
These procedures are problematic for a number of reasons. First, students receive little or no
training in the evaluation process. Second, many forms, especially those designed by
departments lack sophistication with respect to their development for accurate performance
evaluation (Greenwald & Gilmore, 1997); (Marsh & Roche, 1997). Third, there is a lack of
uniformity in terms of the rating forms used. According to Abrami (1989), “There are dozens,
perhaps hundreds of instruments in use ranging from those generated by sophisticated,
commercial item banks to locally developed forms with only a handful of items (p. 221). Fourth,
many of the standardized forms used are not designed to measure unique course outlines or
content (Divoky, 1995). Fifth, administrative expertise in using diverse sources of information
has been called into question (Abrami, 1989), and finally, in the context of EEOC Guidelines
“Every item on an evaluation form must represent ‘critical work behavior’ and administrators
must indicate specifically how different mean ratings on evaluation forms can represent different
effectiveness levels of critical job behavior” (Bernardin, Beatty, & Jensen, 1980, p. 309).
Is Teaching Effectiveness Well-defined?
To paraphrase E.L. Thorndike (1949), a pioneer in psychometrics, if something exists, it
exists in some amount, and therefore can be measured. While most scholars agree that teaching
effectiveness exists, their views concerning its nature vary widely. For example, Langbein
(2005) states that “Good teaching is hard to observe and measure” (p.3). Zabaleta (2007) views
teaching effectiveness as a “symbiotic relationship between teacher and student” (p. 55). Marsh
& Roche (1997) emphasize the multidimensionality of teaching effectiveness, while Abrami
(1989) suggests “…I do not believe that we have sufficient evidence to establish what
dimensions of effectiveness are or whether and how they are interrelated” (p. 222). Others, such
as Olivares, (2003) point out that teaching effectiveness is indicated by learning outcomes, i.e.,
the results of performance. This is consistent with the definition of effectiveness as viewed by
Landy & Conte (2006) who state that “Evaluation of performance is often controlled by factors
beyond the actions of an individual” (p. 163). From this perspective, it seems clear that SETs
represent students’ subjective judgment of professors’ classroom performances and provide little
evidence of learning outcomes. The relationship between SETs and learning outcomes will be
discussed later.
230
Are SETs Objective and Free from Bias?
Student bias or other potential sources of error in student evaluations such as gender
(Habson & Talbot, 2001), grades (Greenwald, 1997), class size (Greenwald & Gilmore, 1997),
students’ interest in the course (Marsh + Dunkin, 1992); professors’ classroom behavior (Best &
Addison, 2000), student characteristics and grading leniency (Martin, 1998) are also contentious
issues on which scholars differ. Humer (2009) for example claims that “The influence of grades
on student evaluations is an open secret” (p.3), and Abrami (1989) states that “…expressiveness
affects ratings more than student learning and thus represents bias” (p. 225). Jones (1989) has
shown a strong relationship between ratings of teaching effectiveness and personality
characteristics, and there are those such as Dooris (1997) who believe that SETs are nothing
more than a popularity contest. A study by Abady and Rosenthal (1991) reported that “On the
basis of observations of video clips (of teachers) just a half minute in length, complete strangers
were able to predict quite accurately the ratings of teachers by students who had interacted with
them over the course of the entire semester” (p. 431). These findings raise serious questions
about the objectivity and validity of SETs.
Despite these and other research findings and opinions of many scholars, there are those
who agree with Marsh and Roche (1997) who insist that SETs are relatively unaffected by
potential biases. More specifically, they state that “The voluminous literature on potential biases
in SETs is frequently flawed, and not based on well-articulated operational definitions of bias”
(p. 1190). However, the notion that SETs are free from bias is not only counterintuitive, it
ignores the distinction between so-called objective measures and subjective judgments, which
according to Bommer, et.al. (1995) is a false one. The belief that research on the potential bias in
SETs is frequently flawed is a subjective judgment. Moreover, it requires a belief that college
students unlike most all other individuals, are somehow immune to common inaccuracies that
influence ratings, such as the halo effect, central tendency error, most recent error, the attribution
error, and errors due to inadequate information (Schultz & Schultz, 2006). In addition, such a
conclusion is inconsistent with years of research in social psychology on social cognition, which,
in the words of Baron and Byrne (2000) “suggest that we are far from perfect in our ability to
think clearly about other persons and reach accurate decisions or judgments about them” (p. 80).
Tomasco’s (1980) statement that SETs are more likely to be “personality contests” rather than
actual measures of teaching effectiveness may more closely approximate truth. Recent research
in neurobiological development suggests that cognitive functions, such as impulse control and
decision making, are still developing into early adulthood (Fomito, Yucel & Wood) (2004).
Are Students Qualified Judges of Teaching Effectiveness?
Those who endorse the use of SETs argue that students are in the best position to evaluate
their instructor’s knowledge of the subject, instructional skills, and overall effectiveness
(McIIrath & Huitt, 1995; Scriven, 1995) and that they possess the self-insight necessary to make
accurate judgments of their instructors (Harrison, Ryan & Moore, 1996), as well as organize and
evaluate their experiences with one instructor in relation to others (Whitely & Doyle, 1976).
Greenwald (1997) also suggests that students make valid judgments.
Those who oppose the use of SETs question how seriously students view the evaluation
process (Brandenberg et al., 1997). They tend to believe that students may use evaluations to
231
“get back” for some perceived instruction indiscretions (Jacobs, 1987), and they openly question
students’ cognitive skills. For example Adams (1997) has indicated “[Are] students who are
almost universally considered as lacking in critical thinking skills often by administrators who
rely on student evaluations of faculty, able to critically evaluate their instructors? There is
substantial evidence that they are not” (p. 31). Zucker (1996) also questions experience and
judgment of students by stating that “The fundamental problem is that most of our current high
school graduates don’t know how to learn or even what it means to learn (a fortiori to
understanding) something!” (p. 863).
Are SETs Valid and Reliable?
Research efforts to determine the validity and usefulness of SETs began in the 1970’s
(Greenwald, 1997) and continue to this day. Thus, the literature on the subject is massive. AlIssa and Sulieman (2006) recently reported finding 2988 journal articles on student evaluations
published between 1990 and 2005 alone. Despite years of research the validity of student ratings
is one of the most controversial and divisive issues in higher education.
Many researchers who have studied SETs extensively have concluded that they are reliable
and valid methods for accurately judging teaching effectiveness. Some of the most notable of
which are Centra (1993), Marsh, (1980, 1982, 1984, 1987), Marsh & Duncan (1992), Seldin
(1993), Cashin (1996), Greenwald & Gilmore, (1997), Marsh and Roche (1997), and McKeachie
(1997). For example Cashin (1995) who endorses the use of SETs, has stated that “—in general,
student ratings tend to be statistically reliable, valid and relatively free from bias or the need for
control, probably more than any other data used for evaluation” (p. 6).
Other scholars and researchers not only question the validity of SETs but also strongly
object to their use in personnel decision (Adams, 1987; Zoller, 1993; Sproale, 2000; Haskell,
1997; Becker, 2000; Platt, 1993; Reckers, 1995). The nature of the opposition can be shown by
the words of Reckers (1995) who states that “Nearly 75% of academics judge student course
evaluations as unreliable and imprecise matrices of performance, yet nearly 100 percent of
schools use them, frequently and exclusively” (p. 33). In addition d’Apollonia & Abrami (1997)
suggest that SETs are “only crude judgments of instructional effectiveness” and argue that only
“exceptional, adequate, and unacceptable” summations should be made on the basis of SETs (p.
1202).
Following a review of 172 studies on the validity of SETs Greenwald (1997) reported that
77 were shown to be valid, 69 were judged to be neither valid nor invalid, and 26 were
considered to be “inconclusive, i.e., contaminated by extraneous factors” (p.1183). The
inconsistency of these findings adds to the confusion and controversy surrounding the validity of
SETs.
Most scholars would agree with Theall and Franklin (2001) who state that “The most
acceptable criterion for teaching effectiveness is student learning” (p. 45), and according to
Doyle (2009) research has shown that “There are consistently high correlations between
students’ ratings of the ‘amount learned’ in the course and the overall ratings of the teacher and
the course” (p. 2). While there is no research to refute these statements, it should be noted that
the average correlation between SETs and student learning has been estimated to be .47
(d’Appolonia & Abrami, 1997). This means that only 22% of the variance in student learning
can be attributed to students’ perceptions of teaching effectiveness. What accounts for the
232
remaining 78% of the variance? A partial answer to this question depends on how one views
teaching.
What is Teaching?
From a general perspective, teaching is seen as a complex, dynamic process involving a
teacher, students and subject matter. In this process the teacher is responsible for control over the
contingences in the classroom and is expected to exhibit the knowledge and skill necessary to
help shape the beliefs, attitudes and behavior of students. Individual teachers often display a
unique variety of teaching methods and techniques. They may be warm, engaging or even
charismatic, or exhibit many more attributes that appeal to students. But in the final analysis,
students must do their own learning; no teacher, no matter how talented, can do it for them. It is
the students’ interest, motivation and effort that determine learning outcomes. When students
rate their professors they are assessing only one dimension of the teacher-student-course content
triad. Moreover, as McKeachie (1997) has observed “Clearly, much – very likely more – student
learning occurs outside the classroom” (p. 1220).
The Assessment of Student Learning
An often over-looked, but critically important issue in the use of SETs and their relationship
to student learning is how student learning is measured. In many large universities, with class
sizes exceeding 50 or more students, learning outcome is operationally defined by students’
performance on classroom exams. Typically, these tests are not carefully constructed. More often
than not the test items are selected from a test bank provided by the textbook publisher, and are
arranged in a multiple choice format. Professors who use these types of tests don’t have to be
concerned about the technical aspects of test construction, seldom correct for guessing or random
response sets, and show little concern for their validity or reliability. The assumption is that the
sum of scores on course exams such as these, accurately measure students’ “degree of learning in
a specific content area” (Goldstein & Krasher, 2990, p. 126). These types of exams may measure
students’ understanding of a specific range of concepts, but they do not provide useful
information concerning students’ ability to write, to organize concepts in a coherent manner, or
to solve problems.
Academic Dishonesty
In recent years academic dishonesty or “cheating” has become a widespread problem at
colleges and universities (Whitley, 1998; McCabe & Trevino, 1996). In a review of over 40
studies on student cheating, Whitley (1998) found that 70 percent of college students reported
cheating. McCabe and Trevino (1996) in a sample of 1800 students at nine state universities
reported that 75 percent of students admitted to cheating on exams. This raises an important
question for which there is not yet an answer. Specifically, to what extent are learning outcomes
(as defined by test scores) a function of dishonest behavior as opposed to effective teaching?
Assuming these data are reasonably accurate, with over 17 million college students in the U.S.
(Ash, 2008) this means that roughly 12,750,000 students are cheating on exams. This is no small
number and it raises an important question: To what extent does academic dishonesty
contaminate measures of student learning?
233
Grade Inflation
It has often been suggested that SETs may weaken learning and lead to grade inflation
(Johnson, 2003). As Ryan, Anderson and Birchler (1980) have indicated, SETs may cause
professors to lower their standards or “water down” their courses in order to receive favorable
student ratings. Concerns about grade inflation may be well-founded. According to Astin (1998),
grades have been steadily increasing since the early 1960’s. In a study involving the grades in
37,000 course sections offered between 1950 and 1991, Eiszler (2009) concluded that SETs
encouraged grade inflation. In another study Gilbaugh (1982) reported that 70% of students
admitted that the grade in the course that they expected to receive influenced their evaluations of
the instructor. Wilson (1998) also reported that students who found professors to be “easy
graders” and showed more enthusiasm received more favorable ratings than those who were
tougher graders and exhibited less enthusiasm.
In 2001 Patrick Healy’s article entitled “Harvard’s Quiet Secret: Rampant Grade Inflation”
made the headlines in the Boston Globe. Essentially, the article lamented the disproportional
number of “A’s” given to Harvard undergraduates. In addition, Rojstaczer (2003) showed that
the grade point average in both public and private schools increased considerably from 1967 to
2001, indicating a trend toward grade inflation over a 35 year period. These findings lead to
serious questions concerning the significance of grades as an indicator of learning outcomes.
Drugs as Cognitive Enhancers
Another recent phenomenon which may have an impact on grades is college students’ use of
drugs (such as Adderall and Ritalin) as cognitive enhancers. In a recent study, Prudhomme,
Becker-Blease & Grace-Bishop, (2006) found that 16% of survey respondents at a northeastern
U.S. university abused medication and 96% indicated that the drug of choice was Ritalin. Even
more recently, an article appearing in the New York Times (Talbot, 2009) reported on a study
which showed that 4.1% of “American undergraduates had taken prescription stimulants for offlabel use”. At one school, the figure was twenty-five percent (p. 32). The effects of drugs on test
scores are yet to be determined.
Perhaps an unknown author said it best “A grade is an inadequate report of an inaccurate
judgment by a biased and variable judge of the extent to which a student has attained an
undefined level of mastery of an unknown proportion of an indefinite amount of material.”
(Problems with Letter Grades (2009), http//www.endgradeinflation.org/lettergrades.htmp.1).
SETs and E.E.O.C. Guidelines
The Uniform Guidelines on Employee Selection Procedures (EEOC, 1998) under which
performance is subsumed, provide clear directions on the measure of job performance: Whatever
criteria are used to measure performance should represent important or critical work behaviors or
work outcomes (Sec. 14.B.3). Unresolved issues with respect to potential bias on SETs raise
serious questions concerning their use in personnel decisions. Their use in performance appraisal
could prove to be hazardous from a legal perspective, primarily because college students seldom
or ever receive training in how to assess performance (Barrett & Kerman, 1987). Based on an
examination of SETs in the context of EEOC Guidelines, Bernardin, Beatty & Jensen (1980)
concluded that “standards of validity contained in the guidelines are probably not being met with
234
regard to most student rating forms currently used” (p. 301). While rating forms have been
improved over the years, rating errors as a source of contamination is still problematic (Grussing,
1994). Even more disturbing is evidence that minority faculty members receive significantly
lower SETs than their white colleagues (Hammermash & Parker, 2005). It may be difficult for
college administrators to prove in court that SETs are fair and unbiased.
Concluding Comments
The selected research cited in this paper strongly suggests that despite a massive volume of
research on SETs, there is still a need for more thorough investigations. Specifically, research is
needed to show that college students are not influenced by non-instructional factors, common
rating errors, or cognitive distortions in their ratings of teaching effectiveness. It is also clear that
faculty evaluation systems that mandate the use of SETs and uses them as the primary source of
information on teaching effectiveness, or assigns undue weight to SETs in relation to other
evaluative criteria, do not meet the requirements for a fair and accurate evaluation of faculty
performance. In addition, everyone involved in the evaluation process (students, personnel
committee members, and administrators) should receive training which focuses not only on
common rating errors and how to interpret the results of SETs, but also on the research which
shows that training to avoid rating errors often leads to less accurate ratings (Centra, 1993;
Murry, 1994; Bernardin & Pence, 1980; Woehr & Huffcutt, 1994). Finally, research is needed to
determine the extent to which students’ cheating, drug use, study habits, and the trend toward
grade inflation, contaminates the criteria by which teaching effectiveness is defined.
Despite lingering doubts about the validity of SETs, college administrators are not likely to
abandon the use of such cost-effective means of gathering large amounts of data on so-called
teaching effectiveness. But they may want to seriously consider the words of Paul Grussing
(1994) who states that “The teaching landscape is ever-changing. Well-developed measures of
ability to teach, where problem-solving or other ‘new’ instructional approaches are in place,
require modifications of teaching attributes in all contemporary teaching modes” (p. 318).
Instructional procedures in colleges and universities are changing rapidly. Power point
presentations, net-based instruction, online seminars and virtual classrooms, have had a dramatic
effect on the teacher-student-subject triad. These changes call for modifications in the
assessment of faculty performance. Present systems with undue emphasis on SETs can no longer
be justified.
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Principals’ Perceptions of the Influence of Ethics Content in Leadership
Preparation
J. Kenneth Young
Jason Mixon
E. Jane Irons
Lamar University
241
Leaders resolve dilemmas daily in their work, often with little or no theoretical
consideration of ethics. Beckner (2004) and Cranston, Ehrich, and Kimber (2003) noted that
ethics appeared far removed from the everyday challenges in which leaders are involved.
Beckner (2004) found that school leaders tended to rely more on their own personal experience
and judgment than on ethical considerations when involved in decision-making. He concluded
that in reality there may not be time to consider alternatives, but explained that it was important
to pay attention to basic principles of right and wrong to include ethical considerations, and to
take appropriate action when dilemmas occurred.
Review of Literature
Professional Standards
Ethical behavior is considered an integral component of school leadership. In 1996 when
formulating the conceptual framework for school leadership, the Interstate Leadership Licensure
Consortium (ISLLC) identified six leadership standards to be used as a framework for school
leadership preparation (Stader, 2007). Standard 5 states, “Integrity, Fairness, Ethics in learning”
(Stadler, p. 4). ISLLC standards were the product of the Council of Chief State School Officers
and were drafted with input from 24 education agencies and representatives from professional
educational associations (Rebore, 2001). Rebore (2001) noted that the ISLLC standards were
compatible with the National Council for the Accreditation of Teacher Education (NCATE)
curriculum guidelines for school administrators. Rebore further elaborated by incorporating
some important reasons for integrating ethics into leadership behavior. According to Rebore,
ethics provides a framework to explore issues based on core values when decision-making. He
noted ethics provides a structured way of thinking; and ethics provides a unique basis for the
response to ethical dilemmas.
Currently, Democratic Ethical Educational Leadership (DEEL) has emerged as a
movement within educational leadership (Shapiro & Gross, 2008). The new DEEL according to
Shapiro and Gross (2008) includes core values based on both democracy and ethics. These
authors found that the new DEEL has been accepted by colleges and universities in the United
States, the United Kingdom, Canada, and Australia. Further, the new DEEL has been accepted
by the University Council of Educational Administration (UCEA).
Ethics Theory
Shapiro and Stefkovich (2005) expanded the work of Starratt (1994) by adding the ethics
of professionalism to the three concepts: ethics of justice, ethics of critique, and ethics of care
formulated by Starratt. The ethical model containing the four different approaches is referred to
as the Multiple Ethical Paradigm Model. Shapiro and Gross (2008) suggested that the Multiple
Ethical Paradigm Model encompassed rights, laws, and policies while focusing upon the
concepts of fairness, equality, and individual freedom. A discussion of the components of the
Multiple Ethical Paradigm Model follows.
Ethic of Justice. This component of the model emphasizes rights, the law, and policy.
Leaders are challenged to investigate if there are laws or policies for use in resolving a dilemma.
Leaders are asked how the law should be implemented and for reflection upon fairness, equality,
and individual freedom (Shapiro & Gross, 2008).
Ethic of Care. This ethic challenges leaders to consider the consequences of their
actions by asking who will benefit and who may be hurt. Leaders are asked to reflect on the
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long-range impact of decisions. The ethic of care is often used for moral decision-making and
consideration of issues of gender, diversity, or disability (Shapiro & Gross, 2008).
Ethic of the Profession. This ethic has been illustrated through consideration of
professional standards. Student learning and the best interests of students or teachers and ethics
of the community are considered here. Professional codes and personal codes of ethics may be
considered under this component (Shapiro & Gross, 2008).
Leadership
Freakley and Burgh (2000) purported that knowledge of ethics theory could provide a
foundation for organizing beliefs and perspectives. Similarly, Preston and Samford (2002) noted
that understanding ethical theoretical approaches “may assist in accuracy, clarity, and
consistency in practice and decision-making” (p. 22). Rebore (2001) noted that issues explored
through ethical perspectives provide a framework for decision-making and required reflection
upon one’s core values.
Reamer (2001) provided a specific outline for ethical decision-making. The first step,
according to Reamer, was to identify the ethical issues, values, and duties that conflicted. Next,
Reamer identified who would be hurt by the ethical conflict. He explained that all levels must be
examined to include individual, group, and agency levels. Reamer then stated it was important
to outline specifics regarding individuals who were involved, risks, and benefits. Finally,
Reamer conducted examinations of the risk-benefit scenarios.
Lashley (2007) analyzed leadership behavior with respect to Shapiro and Stefkovich’s
(2005) framework using special education experiences and mandates. Lashley noted when
analysis was conducted using the ethic of justice, that procedures to implement students’
placement and educational planning were not sufficient to assure students’ interests were
protected. He challenged principals to make careful ethical considerations when facing
dilemmas. Lashley (2007) also ocused upon appropriate analysis of data with respect to minority
students, students with disabilities, and other educationally at-risk students when conducting
analysis using professional ethics. Lashley noted that making decisions that served the best
interests of all students required leaders to focus on issues related to delivery of effective
instruction and equitable allocation of resources including funds, time, and personnel.
Roadblocks to Ethical Considerations
Some authors have indentified roadblocks that inhibit leaders’ ethical considerations. For
example, Cranston, Ehrich, and Kimber (2003) identified contractual accountability by
describing accountability to the system or agency as a competing force against moral and
professional ethical considerations. Cranston, et al. suggested that leaders optimize core beliefs
and responsibilities to minimize adverse consequences. Currently, in public schools, policies,
accountability, and discipline systems overshadow democratic critique and emphasis on moral
development and citizenship being included in the curriculum (Shapiro, 2005). Rude, PaolucciWhitcom, and Comerford (2005) cautioned leaders to be very critical of educational dilemmas
arising from contemporary and changing conditions in a diverse world. Rude, et al. noted social
structures and processes have differentially benefited some individuals and groups.
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Methodology
Purpose of the Study
There were three major focuses of this study. First the researchers wished to identify
public school leaders’ perspectives with respect to their knowledge of core values relative to
ethical leadership. Next, the researchers explored school leaders’ perspectives concerning
ethical decision-making. Finally, the researchers identified school leaders’ major concerns
relative to ethical leadership.
Questions for Research
1.
What are your professional core values and how are those values likely to be reflected in
your role as a school administrator?
2.
You are new to a job. During your training, you were taught institutional policies. Your
supervisor gives you instructions that contradict those institutional policies. What would
you do?
3.
Discuss a major concern in your field relative to ethical behavior.
Data Collection and Participant Characteristics
Survey research methods were used for this study. The questions were based upon the
review of literature to investigate participant knowledge of core ethical values, identify
participant concerns, and examine decision-making relative to an ethical dilemma. The survey
questions were distributed online through the Survey Monkey software. A total of 105 responses
were received from respondents in Texas who showed the following characteristics. The
majority of the participants were Caucasian (78%) females (73%). Sixty-eight percent (71)
represented graduate students in an online principal preparation program. Sixteen (15.2%) were
elementary principals, eight (7.6%) were middle school principals, and six (5.7%) were highschool principals. Seventy-three (69.5%) were on campuses larger than 500 students. The
majority (66.7%) are at a Title I campus. Over one-third (28.6%) are on an exemplary campus
while another 37% are on recognized campuses.
Data Analysis
The qualitative questions were analyzed using narrative inquiry method based on
Creswell (2007) to identify major themes addressed in responses to the research questions.
Findings
The research questions were used to provide a framework for analysis. Question 1 states:
What are your professional core values and how are those values likely to be reflected in your
role as a school administrator? Table A1 (see Appendix) shows the major core values identified
by over 10% of the participants. Sixty-two participants (59%) responded to this question.
Based upon participants’ responses to the open-ended questions, it appeared that
participants had integrated their major core values when reflecting upon their role as school
administrators. Three examples were selected to depict this.
My professional core values are to, in all areas, be honest, always treat people
with respect, and always listen when being talked to. I must always be willing to
admit when a mistake has been made. I feel that students and staff should be
treated with respect. Judgments and decisions should be made in the best interest
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of the students and made honestly. As a school administrator I often ask for input
from different staff members and different areas. I value this input and use
accordingly in making decisions.
A second principal wrote:
My professional care values are primarily based on simple “Golden Rule” values.
Treating others with respect, listening to people as they explain what they believe
really happened in a situation, and always trying to put myself in the place of the
other person. As a principal I am called upon numerous times a day to interpret
situations and make judgments. Many times you don’t have a lot of time to
analyze every aspect of the event, but over the years you have established a
“bank” of instinctive feelings that guide you swiftly in determining the right or
wrong of a situation. At the end of the day I always try to find time to reflect. I
think that this is so very important because it is at this time that I judge myself on
my ability to make the right decisions. Sometimes I have been successful and at
other times I realize that I could have handled the situation better…this is the way
that I continue to grow as a professional.
The third principal wrote:
Core values: Do the right thing, even when nobody is looking. Make decisions in
the best interest of the child. Never give up on a child. Strive to always give it
my best. When developing, implementing, and evaluating programs, processes
and policies, I always consider my core values and use them to steer me in the
right direction. I am a Christian who tries to abide by the higher law of Christ.
That “law” seems to take care of the rest.
Question 2 states: You are new to a job. During your training you were taught
institutional policies. Your supervisor gives you instructions that contradict those institutional
policies. What would you do? Table A2 (see Appendix) shows participant responses. Selected
examples clarifying each type of response suggested the majority of participants would let their
supervisor know there was a discrepancy between what they were told to do and policy. The
first participant wrote, “I will let the supervisor know that I am not comfortable with the
instruction that they gave me. I would tell them that it contradicts institutional policies and
explain which ones it contradicts. Similarly other participate wrote, “I would ask for
clarification. The principal may not be aware of what was said in training. What was said in
training may have been wrong. Clarification is always a good practice.”
Following the chain of command to resolve conflict appeared to be a decision for 25% of
the participants as follows:
The best approach is to clarify main differences with your supervisor and explain
to him/her your understanding and interpretations of the policies. If after that
conversation there are still differences, the best thing is to address the issue with
supervisor’s supervisor.
Similarly another participant wrote:
Address the issue directly with my supervisor pointing out that the organization
felt the institutional policies were important enough to provide training on so it
would be unethical to deviate from those polices. If the supervisor further insisted
the instructions be followed I would take it to the next level.
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About 15% of the participants stated that they would follow institutional policy at all
costs. Core values of right and wrong clearly prevail. For example, one participant wrote,
“Without question, I would fall back on policy. I would first discuss my concerns with my
supervisor, hoping to collaborate toward a different course of action. I would not break policy
for a supervisor.” Similarly a different participant wrote:
I would seek clarification with my supervisor regarding the instruction. If it in
fact goes against institutional policies and is unethical, I would privately discuss
my concerns about the given instruction. Ultimately, if it is unethical or illegal, I
would not perform the instruction and risk being insubordinate (if that is how it is
viewed) instead of compromise my integrity.
A few participants appeared willing to disregard district policy if they could obtain
documentation from someone who would assume the risk for them. One participant wrote:
If instructed to perform a duty that violated the institutional policy of my building,
I would make clear to my supervisor that the activity is in violation of accepted
procedures and then respectively request that he/she gain permission from his/her
immediate supervisor for me to perform that duty.
In the third response item, participants were asked to identify and discuss a major
concern relative to ethical behavior. Five major areas were identified. Table 3A (see Appendix)
depicts the five major areas with the percent of respondents for each area. Based upon
participants’ responses to the open-ended questions, unethical behavior of teachers appeared to
be a participant concern. One participant wrote:
I think that too often, educators are placed in positions where they must behave
unethically to survive. From making copies of copyrighted material to making
copies on someone else’s copy number, teachers feel they are sometimes forced to
cover themselves rather than act ethically. At the same time, we are expected to
model ethical behavior for our students.
One principal asked for guidance:
I think a problem on our campus is how to handle teachers that do not do their job
well. Do you reduce their work load and dump on teachers that work hard, or do
you stand up and do something about it and correct the situation?
Another participant explained:
Technology inventory – Teachers feel like since they didn’t pay for it, if it is
mishandled it is not their responsibility to pay for it. To me this is unethical. If I
break something, I should at least offer to pay for it. If the principal says no, that
is his prerogative.
In addition, “teacher code of conduct,” “gossiping and professionalism,” “grading
systems” were major ethical concerns. One participant wrote: “Teachers and staff understanding
and maintaining “professional distance’ from their students; especially in the realm of
Facebook, texting, etc.” Another teacher wrote:
There is not enough time or enough people to help each child in my class. I am in
a Life Skills classroom. Through an ARD, they have goals that have to be
followed. I have managed to follow most of them, but not all of them. Ethically,
I am bound to follow the list of goals for each child, but there is not enough time
or enough help in my classroom to be able to do this. We are doing more with
less at my school.
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Principal favoritism and nepotism also concerned some of the participants. One
participant said:
Principals showing favoritism amongst teachers. So if teacher A provides gifts to
principal, then teacher A will not be required to attend staff development sessions,
excessive absences and doing as it pleases will be allowed. The principal will
turn the other cheek!
Other examples provided by the participants include:
Promotions being given to people because they are friends of a person in power,
not because they are the most qualified for the job; promotions being given based
upon race and not the best qualified; wasteful expenditures of money by those in
certain positions.
As well as, “The hiring of certain teachers because they are related to someone in the district and
not because of their talents.” Other comments included: “A major concern is placing individuals
in administrative positions with no prior experience and placing a person who is ‘liked’ in that
position.” Finally, “Administrators hiring friends as opposed to personnel that has experience.
Administrators not hiring experienced or veteran teachers and only hiring novices.”
Confidentiality of personally identifying information appears to also be problematic as
exemplified by the comment:
Administrators/teachers and confidentiality is a major concern in schools.
Teachers often forget that what they say can get back to other people if they are
talking about students or issues in front of people that are not involved in the
situation.
Similarly, other participants voiced confidentiality concerns:
The main concern I have involves the students’ confidentiality. Teachers so often
leave paperwork on their desk in plain sight or participate in discussion in front of
other students. This lends itself to major lawsuits. Teachers must be disciplined
so that the affected party knows that action was taken and so that they learn from
their mistakes.
In addition, another participant stated: “Teachers visiting about confidentiality matters of
students when it’s not legal. People fudging on reports and interviews.” Participants appear
aware of IDEA regulation, but compliance appears to be the issue as this participant stated:
Confidentiality is a major concern in Special Education.
Keeping the
information on those students and their disabilities confidential is difficult,
especially for regular ed teachers who talk to their teammate about individual
students and their issues.
Student cheating and high stakes assessment were major concerns for about 12% of the
participants. A principal stated:
We hear each year of schools who cheat on the TAKS test. We strictly adhere to
laws, rules, and guidelines to a point where we are paranoid if anything unusual
happens. In these rare situations we have reported each time. We work diligently
all year and come back with a Recognized or Acceptable label when other schools
are Exemplary and rumored to have cheated on the tests.
Another participant wrote:
I believe that it is unethical to place so much value on statewide assessments so
that teachers and administrators are placed in difficult ethical dilemmas that place
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what is best for the individual students in direct contrast of what is best for the
school’s accountability rating and what the NCLB legislation requires.
This participant appeared concerned about student cheating behavior:
A major concern I have is the amount that cheating goes on with students in high
school. It is apparent that the students do not perceive copying the work of
another student as cheating. Why do they have this perception? Where did it
come from? I certainly see this as an issue of ethics and feel compelled to
formulate a plan to eliminate the laissez faire attitude toward it.
Cheating with respect to high stakes testing appears to be a concern for this participant:
The impact and accountability of high stakes testing can be a major concern to
test and student data integrity. Some educators may be tempted to cheat or be
dishonest in a variety of ways, including blatant cheating with student response
altering or giving responses to “doctoring” demographic information that impacts
accountability subsets to making testing and program placement decisions that are
made in the best interest of campus data instead of the child. Because of the
pressure to achieve ratings/merit, some educators may give in to the temptation of
academic dishonesty on state tests.
Ethical behavior in general appears to be a concern for some participants.
Ethical behavior seems both generational and cultural. As the population changes
and I get older, I find that as a principal my teachers and staff do not seem to
value ethics the way that I feel it should be valued.
“One major concern is that unethical behavior can lead to sanctions for all school
personnel. For example, UIL infractions endanger the entire program.” “There is not enough
training regarding this subject.” “We have not developed common vocabulary to discuss ethical
issues with colleagues and supervisees.”
Summary and Conclusions
Graduate students in an online principal preparation program, elementary, and high
school principals responded to an online survey. Participants identified honesty as their major
core value. Integrity, respect, and fairness were also identified. Rebore (2001) acknowledged
that ethical analysis or situations required reflection upon core values, and this was evident in
participant responses.
Some principals’ responses showed lack of time and limited input, as well as lack of
ethical consideration when decision-making. These responses were supported in the literature by
Beckner (2004) and Cranston, et al. (2003) who reported that school leaders tended to rely more
on their own personal experience and judgment than on ethical considerations for decisionmaking, particularly when considering time constraints.
Participants’ responses suggested a wish “to do the right thing” and reflected Christian
and family values. A focus on meeting the needs of students was evident.
Participants were asked to make a decision concerning what they would do if their
supervisor directed them to do something that violated policy. A clear process for solving this
ethical dilemma, such as that discussed by Reamer (2001), was not evident. Most of the
participants stated they would go to their supervisors first to discuss the discrepancy and seek
clarification. That appeared all about one-fourth of them would do. Perhaps those in training
programs lacked the experience for further action or reflection.
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Another fourth of the participants stated they would follow the chain of command and
seek further clarification and guidance from superiors. About 15% appeared very adamant about
following the rules regardless of the consequences. These individuals could be counted on to use
Shapiro and Stefkovich’s (2005) Multiple Ethical Paradigm Model and focus solely upon the
ethic of justice to solve their dilemmas.
A very few individuals (6%) would first investigate district policy for themselves before
confronting their supervisor about a discrepancy with policy. They stated that then they would
seek documentation from the supervisor or someone in chain of command to absolve them of the
responsibility for violating policy. These individuals definitely are not risk takers, and ethics do
not appear to be a major decision-making issue.
Participants were asked to identify their major concern with ethical issues. Major
concerns surfaced with respect to both teacher and principal ethical behaviors. Maintaining
confidentiality of students’ personally identifying information appeared to be a major issue with
statements about teachers leaving personal paperwork on their desk and talking in public places.
Such behavior is clearly supported by Lashley (2007) who noted student placement and planning
meetings were not sufficient to guarantee student privacy.
Principal favoritism was cited as a major ethical issue by 14% of the participants.
Principals were accused of hiring family and friends at the expense of more qualified applicants
or showing favoritism to certain teachers for promotion or favors. Such behavior should be
scrutinized through the lens of Shapiro and Stefkovich’s (2005) ethic of professionalism.
Cheating behavior on high stakes tests was an ethical concern documented by some
participants implying some individuals might tamper with state test results to remain in
compliance with state accountability requirements Such behavior has been explained by Shapiro
(2005) who found that public school accountability overshadowed democratic ethical critique.
Finally, participants expressed a need for ethical training both in theory and practice.
These results were supported in the literature by Freakley and Burgh (2007). In addition, Preston
and Samford (2002) and Rebore (2001) agreed that ethical perspectives provide a framework for
decision-making.
Recommendations
This research was limited to Texas. There were few practicing principals among
respondents. It is recommended that this study be replicated with a more national sample to
include increasing the number of practicing public school principals. Continual training with
emphasis upon the provision of ethics theory and practice is recommended for all types of
principal preparation programs, as well as for educational professionals practicing in the field to
include administrators, teachers, and staff.
References
Beckner, W. (2004). Ethics for educational leaders. Boston, MA: Pearson Education, Inc.
Cranston, N. Ehrich, L. & Kimber, M. (2003). The ‘right’ decision? Towards an understanding
of ethical dilemmas for school leaders. Westminster Studies in Education, 26(2), 135-147.
Cresswell, J. W. (2007). Qualitative inquiry and research design (2nd ed). Thousand Oaks, CA:
Sage Publications.
.Freakley, M. & Burgh, H. (2000). Engaging in ethics: Ethical inquiry for teachers. Australia:
Social Science press.
Hessel, K. & Holloway, J. (2002). A framework for school leaders: Linking the ISLLC standards
to practice. Princeton, NJ: Educational Testing Service.
249
Lashley, C. (2007). Principal leadership for special education: An ethical framework.
Exceptionality, 15(3), 177-187.
Preston, N., & Samford, C. (2002). Encouraging ethics and challenging corruption. Sydney,
Australia: The Federation Press.
Purpel, D. E. (1989). The moral and spiritual crisis in education: A curriculum for justice and
compassion in education. New York: Bergin and Garney.
Reamer, F. G. (2001). Ethics education in social work. Alexandria, VA: Council on Social Work
Education.
Rebore, R. W. (2001). The ethics of educational leadership. Upper Saddle River, NJ: Merrill
Prentice Hall.
Rude, H. A., Paolucci-Whitcomb, & Comerford, S. (2005). Ethical leadership: Supporting
human rights and diversity in rural communities. Rural Special Education Quarterly,
24(4), 26-30.
Shapiro, J. P. (2005). Control versus democracy: A paradox at the center of democratic ethical
educational leadership (DEEL). A paper presented at the University Council of
Educational Administration, Nashville, TN, November.
Shapiro, J. P., & Stefkovich, J. A. (2005). Ethical leadership and decision making in education:
Applying theoretical perspectives in complex dilemmas (2nd ed.). Mahwah, NJ: Erlbaum.
Shapiro, J. P., & Gross, S. J. (2008). Ethical educational leadership in turbulent times. New
York: Lawrence Erlbaum Associates.
Stader, D.L. (2007). Law and ethics in educational leadership. Upper Saddle River, NJ: Pearson
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leadership programs: An expanding role. Thousand Oaks, CA: Corwin Press.
Appendix
Table A1
Core Values of School Leaders (N=62)
Core Value
Percent Agreement
Honesty
Integrity
Respect
Fairness
Students’ Needs
Golden Rule-Do unto others
32
27
20
16
12
11
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Table A2
Decisions Regarding an Ethical Conflict with Institutional Policy (N=60)
Decision
Percent Agreement
Let the supervisor know there is a conflict with policy
26
Clarify instructions with supervisor. If unresolved,
follow chain of command over supervisor’s head
25
Ignore directive, follow institutional policy at all costs
15
Consult district policy, obtain documentation from
superior that directive was questions
6
Table A3
Major Ethical Concerns (N=57)
Concern
Percent Agreement
Teacher behavior
Principal favoritism
Confidentiality of personal information
Student cheating/Cheating on assessment
Ethical behavior
14
14
12
12
10
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