Educational Planning and Management (PDFDrive)

Educational Planning
and Management
Jayson Bird
Educational Planning and Management
Educational Planning and
Management
Edited by Jayson Bird

College Publishing House,
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ISBN: 978-1-9789-2291-4
Cataloging-in-Publication Data
Educational planning and management / edited by Jayson Bird.

p. cm.
Includes bibliographical references and index.
ISBN 978-1-9789-2291-4
1. Educational planning. 2. School management and organization. 3. Education, Higher--Management.
I. Bird, Jayson.
LC71.2 .E38 2017
371.207--dc23
Contents

Preface....................................................................................................................................................................VII
Chapter 1 Investigation of Chinese University Students’ Attributions of English

Language Learning.................................................................................................................................................. 1
Jinjin Lu, Stuart Woodcock and Han Jiang
Chapter 2 Knowledge of and Attitudes Toward ADHD among Teachers: Insights From
a Caribbean Nation............................................................................................................................................... 16
Marsha K. Youssef, Gerard Hutchinson and Farid F. Youssef
Chapter 3 Student Satisfaction, Needs, and Learning Outcomes.................................................................................. 24

Richard Herdlein and Emily Zurner
Chapter 4 Pair Tests in a High School Classroom: Another Option for Students and Teachers............................. 34
Rachaniphorn Ngotngamwong
Chapter 5 Student Teachers’ Self-Appraised Problem-Solving Ability and Willingness to

Engage in Troubleshooting Activities............................................................................................................... 42
Benedict Iorzer Labe
Chapter 6 What Makes Mathematics Manipulatives Effective? Lessons From Cognitive

Science and Montessori Education.................................................................................................................... 52
Elida V. Laski, Jamilah R. Jor’dan, Carolyn Daoust and Angela K. Murray
Chapter 7 An Evaluation of Early Education Based on Physical Environmental Guidelines.................................. 60

Donna J. Satterlee, Jeffrey M. Molavi and Mark E. Williams
Chapter 8 Collaborative Learning in a Japanese Language Course.............................................................................. 71

Megumu D. Burress and John M. Peters
Chapter 9 Mathematical Problem-Solving Abilities and Chess .................................................................................... 85

Giovanni Sala, Alessandra Gorini and Gabriella Pravettoni
Chapter 10 What About Learning in Practical Theological Studies? Toward

More Conceptual Clarity...................................................................................................................................... 94
A. (Jos) de Kock
Chapter 11 How Ready is Higher Education Faculty for Engaged Student Learning? Applying
Transtheoretical Model to Measure Service-Learning Beliefs and Adoption......................................... 106
Su-I Hou and Shannon Wilder
__________________________ WORLD TECHNOLOGIES __________________________

VI Contents
Chapter 12 Learning, Leading, and Letting Go of Control: Learner-Led

Approaches in Education...................................................................................................................................115
Ann-Merete Iversen, Anni Stavnskær Pedersen, Lone Krogh and Annie Aarup Jensen
Chapter 13 Effective Teachers: Culturally Relevant Teaching From the Voices of

Afro-Caribbean Immigrant Females in STEM..............................................................................................126
Beverly A. King Miller
Chapter 14 Exploring Constructivist Perspectives in the College Classroom.............................................................. 140

Emmanuel Mensah
Chapter 15 The Experiences of Israeli Early Childhood Educators Working with Children
of Ethiopian Background.................................................................................................................................. 154
Esther Firstater, Laura I. Sigad and Tanya Frankel
Chapter 16 Business and Academic Interests in the Maintenance of Standards in Online

Higher Education................................................................................................................................................. 163
Paul Kingsley and Taly Sharon
Chapter 17 Free Primary Education and Implementation in Kenya: The Role of Primary
School Teachers in Addressing the Policy Gap............................................................................................. 177
Benta A. Abuya, Kassahun Admassu, Moses Ngware, Elijah O. Onsomu, and
Moses Oketch
Chapter 18 Assessment of the Cost–Benefit Literature on Early Childhood Education for

Vulnerable Children: What the Findings Mean for Policy........................................................................ 187
Kim M. Dalziel, Dale Halliday and Leonie Segal

Permissions

List of Contributors

Index

Preface
Over the recent decade, advancements and applications have progressed exponentially. This has led to the
increased interest in this field and projects are being conducted to enhance knowledge. The main objective of
this book is to present some of the critical challenges and provide insights into possible solutions. This book
will answer the varied questions that arise in the field and also provide an increased scope for furthering
studies.
Educational planning can be defined as the creation of policies and programs that promote and facilitate
training, acquiring of skill, research and study in educational institutions. This book on educational planning
and management discusses the prospects of capacity building and research development with regard to
educational management. Administration of education encompasses the wide range of policies that affect all
sections of this field. Some of the diverse topics covered in this book address the varied branches that fall
under this category. It will serve as a reference to a broad spectrum of readers. The extensive content of this
book provides the readers with a thorough understanding of the subject.
I hope that this book, with its visionary approach, will be a valuable addition and will promote interest among
readers. Each of the authors has provided their extraordinary competence in their specific fields by providing
different perspectives as they come from diverse nations and regions. I thank them for their contributions.
Editor

562391
research-article2014
SGOXXX
1
Investigation of Chinese University
Students’ Attributions of English
Language Learning
Jinjin Lu1, Stuart Woodcock2, and Han Jiang3
Abstract
Despite the importance of developing students’ learning autonomy in Chinese schools similar to Western cultured schools,
many concerns are raised regarding the influence and effectiveness that learner autonomy has on students’ academic
achievements. The aim of this study was to identify the attribution patterns of Chinese university students for success and
failure toward students who learnt through autonomy learning (student-centered approaches) compared with students who
learnt through teacher-centered approaches. Within this study, mixed research methods were adopted, and students used
a reflective method to distinguish whether they were taught English through a traditional or student-centered method. The
findings of the study reveal that there are no significant differences in attributional patterns between students who had learnt
in high school through autonomous learning and those who learnt through teacher-centered approaches. The findings have
implications for policy and practice in the Chinese Ministry of Education system and recommendations for future research.
Keywords
Language teaching and learning, teacher education and curriculum
Learner Autonomy In the last several decades, a concern with the nature and
benefits of learner autonomy has been well established in
Developing students’ learning autonomy has been accentu-
the literature (Benson, 2012; Benson & Cooker, 2013;
ated by the Chinese Ministry of Education (MOE) since
Brookes & Grundy, 1988; Dicksinson, 1992; Ellis, 2008;
2005 in the College English Curriculum. A large number of
Harding-Esch, 1977; Holec, 1981, 1988; Little, 2000; Little
studies have focused on this in the last 20 years in China,
& Dam, 1998; Riley & Zoppis, 1985; Wenden, 1991;
especially in recent years; however, not many scholars have
Willing, 1989). In previous studies, learner autonomy is also
shed light on Chinese students in high schools from their per-
interchangeably regarded as self-directed learning and inde-
spectives in mainland China.
As requested by the MOE (2007), a major aim of English pendent learning although their definitions are slightly dif-
teaching in high schools was to cultivate students’ learning ferent. Learner autonomy is generally regarded as a defining
autonomy. However, in Chinese high schools, students were characteristic of all sustained learning that attains long-term
reported as holding a passive attitude toward autonomous success (Little, 1996); however, autonomy has been
learning and having a lack of learning objectives and aims described and defined in a number of ways in connection
(Shao, 2012). This situation was also found in Peng et al.’s with language learning. In language learning, the most often
(2014) study where she claimed that in Chinese rural areas, a quoted definition is that of Holec (1981), who defines
deficiency of teaching materials and qualified teachers, pro- autonomy as “the ability to take charge of one’s own learn-
moting students’ all-round development seems rather diffi- ing” (p. 3). To take charge of one’s own learning is to have,
cult than in urban areas. Although it is not easy for all and to hold, the responsibility for all decisions concerning
students and teachers to adapt to these requirements, a recent all aspects of this learning:
outline from the National Plan for Medium- and Long-Term
Education Reform and Development (2010-2020) reempha-
sizes that a better life needs to be based on “citizens’ funda- 1
University of Tasmania, Launceston, Australia
mental education so as to improve citizens’ quality and to 2
Macquarie University, Sydney, NSW, Australia
promote their all-round development” (MOE, 2010, p. 5). 3
University of Wollongong, NSW, Australia
From this point of view, enhancing students’ learning auton-
Corresponding Author:
omy is not only beneficial for their quality of education but Jinjin Lu, University of Tasmania, 30 Bald Hill Road, Trevallyn, Launceston,
also for lifelong learning and citizens’ quality in the funda- Tasmania 7250, Australia.
mental education program. Email: Jinjin.Lu@utas.edu.au

2 Educational Planning and Management
• determining the objectives; made an analysis of the major components in constructing a

self-access center and related issues. Furthermore, she ana-
• defining the contents and progressions; lyzed the practical need for setting up self-access-learning
centers in Chinese universities and colleges. Other universi-
• selecting methods and techniques to be used; ties’ experiences of utilizing self-access-learning centers in
English as a Second Language (ESL) learning were also
• monitoring the procedures of acquisition . . .; and introduced in the article.
Gao (2005) gives an explicit analysis on the development
• evaluating what has been acquired. (Holec, 1981)
of learner autonomy in mainland China from 1991 to 2003.
He categorized the previous reviews on learning autonomy
Learner autonomy is seen as an issue principally of stu- from 1991 to 2003 in China according to the publication of
dents taking great control over the content and methods of journals, research participants, content of published journals,
learning (Holec, 1981). It grows out of the individual’s and research methodologies in papers. The findings of his
acceptance of his or her own responsibility for learning. It study showed that (a) there was a steady increase in the num-
presupposes a positive attitude to the purpose, content, and ber of research articles on learning autonomy, (b) special
process of learning (Little, 2000). The learner is perceived as research emphasizes on non-English major students, (c)
a decision-maker who has or will develop his or her capacity main areas of focus were introductions of definition of
for selecting from available tools and resources to create autonomous learning in Western countries and description of
what is needed for the task in hand (Dicksinson, 1992; Holec, ways to develop learner autonomy in the Chinese context,
1985; Little, 2000). Therefore, developing positive attitudes and (d) the research method was non-empirical.
toward learner autonomy and the necessary skills are Overall, these researchers hold a positive view on devel-
regarded as crucial to the success of the development of oping learning autonomy in the Chinese context. However,
learner autonomy, and is an essential goal of any course. as the origin of the learning autonomy is from Western coun-
Compared with Western scholars’ interest in learning tries, these papers do not provide explicit methods on how to
autonomy, most papers on learning autonomy in mainland cultivate students’ learning interest by setting up the access-
China have focused on definitions and literacy reviews, learning centers and how to make it adapt to the current
which used qualitative methodologies in the early 20th cen- English curriculum designs. In addition, these Chinese
tury (Gao, 2005). researchers were still on the stage of introducing the theories
Liu (1991) points out that self-directed learning is lifelong, on the development of learning autonomy. Few experimental
which explores four aspects, namely, the definition of self- studies have been undertaken to show evidence as to whether
directed learning, the learners’ identification, the learning advocating Chinese students to utilize self-access-learning
theory, and the practice on the development of self-directed centers could improve their English ability or not. Hence,
learning. This study was regarded as the first one that advo- this empirical study aims to fill the gap in the previous
cated self-access learning in mainland China (Gao, 2005). research studies.
Li (1998) explains the importance of cultivating commu-
nicative competence in intercultural environments within the
Chinese context. Li’s (1998) discussions are based on the
Learner Attribution
previous reviews (Allwright, 1988), and examined the extent An important way to understand students’ motivation about
of learner freedom in the Chinese context and the important learning and achievement is through the lens of attribution
factors affecting the development of learner autonomy in theory. Attribution theorists posit that “individuals seek to
universities of mainland China (Walther, 2002; Wood & understand why events have occurred” (Schuster, Forsterlung,
Smith, 2001). Li also suggests that setting up self- & Weiner, 1989, p. 192). An attribution refers to “construc-
access-learning centers in universities is essential for lan- tions imposed by perceivers to account for the relation
guage learning in China. between an action and an outcome” (Weiner, 1986, p. 22).
Zheng (2000) claims that differences occur in cultural and Weiner’s (1979, 1986) attribution theory of motivation is one
social backgrounds between Western countries and China. of the most cited theories for explaining an individual’s affect
As a consequence, Chinese educators could not totally accept and behavior in academic-related events (Linnenbrink &
the concept of “learning autonomy” without critical thinking Pintrich, 2002; Salili, Chiu, & Hong, 2001; Tollefson, 2000).
in the Chinese educational context. In academic-related contexts, ability, effort, task diffi-
Hua (2001a) elaborates the role of teachers and students culty, and luck are perceived as the major responsible causes
in the language classroom and that the focus should be for success and failure, among which ability and effort are
shifted from a “teacher-centered” to a “student-centered” the most dominant causes (Tollefson, 2000; Weiner, 1979;
classroom, which is beneficial for learners to develop auton- Weiner & Kukla, 1970). Weiner (1985, 1986) claims that to
omy. In the same year, Hua (2001b) introduced the rationale understand an individual causal belief, it is necessary to dis-
for self-access-learning centers and learner autonomy, and tinguish the properties of causes. He identifies three

Investigation of Chinese University Students’ Attributions of English Language Learning 3
Table 1. Casual Property of Ability, Effort, Task Difficulty, and Luck.
Cause Locus of causality Stability Controllability

Ability Internal Stable Uncontrollable
Effort Internal Unstable Controllable
Task difficulty External Stable/unstablea Uncontrollable
Luck External Unstable Uncontrollable
a
Task difficulty, in some situations, can also be considered as unstable. Weiner (1983, 1985) suggests that ease or difficulty of task is stable when the same
or a similar task will be encountered in future. In other situations, such as a task is changing, the factor is unstable.
dimensions for characterizing the causes, namely, locus of causes for academic success experience a greater level of
causality, stability, and controllability. Locus of causality reward and exert higher levels of goal-attaining behavior
refers to the location of a cause, distinguishing whether a than do those who attribute to external causes. At the same
cause is internal or external to an individual. Stability refers time, attributing failure to lack of effort, or bad luck protects
to the duration of a cause, distinguishing whether a cause is student self-esteem, and maintains the motivation and expec-
constant or temporary. Controllability differentiates whether tation for future success. In the case where low effort is
a cause is subject to an individual’s volitional control. ascribed, students may further elicit more effort in future
Collectively, a cause can be located in one of the eight traits, tasks. Such an attributional pattern is considered positive for
that is, two levels of locus of causality by two levels of stabil- academic learning by the literature (e.g., Linnenbrink &
ity by two levels of controllability (see Table 1). For instance, Pintrich, 2002; Perry & Penner, 1990; Weiner, 1986; Weiner
if a student ascribes a test success to sufficient effort, the & Kukla, 1970).
underlying causal belief about this outcome is internal, On the contrary, abnormal attribution patterns also have
unstable, and controllable. been found in students with learning difficulties or disabili-
The causal properties play a key role in a person’s emo- ties (Jacobsen et al., 1986; Tabassam & Grainger, 2002;
tional consequences and expectancy that construct motivation Woodcock & Vialle, 2011). These students tend to attribute
(Weiner, 1986; Weiner, Russell, & Lerman, 1978). Locus of success to external causes, and failure to internal and stable
causality determines self-esteem and affects pride. Attribution causes. According to Weiner’s (1979) theory, external attri-
of success to an internal cause (e.g., high ability) is more bution for success reduces positive effects such as pleasure,
likely to increase self-esteem and the feeling of pride than is satisfaction, and happiness. Similarly, internal and stable
attribution of success to an external cause (e.g., easy task). attribution for failure increases the negative affect such as
Stability links to feelings of helplessness and adjusts expec- being upset, displeased, and worried. Students who foster the
tancy of future outcomes. Attributing failure to a stable cause patterns are likely to have lower self-esteem, self-image, and
is more likely to generate the feeling of helplessness than self-efficacy.
applying to an unstable cause. Furthermore, ascribing to sta-
ble causes has much to do with increment or decrement of
Attribution in Learner Autonomy
expectation of future success, compared with unstable causes.
Finally, controllability predicts social emotions (e.g., shame, As discussed, the central tenet of autonomy is that a learner
guilt, pity, and anger) that represent intra- and interpersonal takes charge of his or her own learning (Holec, 1981). Thus,
judgments (Weiner, 2001). Intrapersonal judgment refers to it is essential for learners to foster a belief of reasonability,
self-directed emotions and behaviors, whereas interpersonal meaning that a learner draws on intrinsic motivation for con-
judgment refers to other-directed (i.e., an observer or a stake- trolling failure and success in learning (Dickinson, 1995).
holder) emotions and reactions to the other’s performance. Such a cognitive process can be informed by Weiner’s (1979,
For example, ascribing failure to a controllable cause by an 1985) attribution theory of motivation. The cause that best
actor would likely generate guilt, whereas ascribing to an represents learner reasonability is effort, whereby the locus
uncontrollable cause would generate feelings of shame and of causality is with the learner (internal) and also under his or
embarrassment. At the same time, a controllable attribution her control (controllable).With effort attribution, a learning
perceived by others may follow by feeling of anger and blam- success enhances motivation and stimulates more effort
ing behavior, whereas an uncontrollable attribution may gen- (unstable) for taking more challenging tasks. By analogy, a
erate sympathy and helping behavior from others. learning failure can still motivate the learner, if he or she
It is suggested that students generally tend to attribute believes that eliciting sufficient effort (unstable) would have
success to internal causes and failure to external (e.g., task resulted in a positive outcome.
difficulty), or internal and unstable causes (e.g., effort; Effort attribution is emphasized in the area of language
Reyna, 2000; Tollefson, 2000). This is referred to as “the learning autonomy (Ma & Ma, 2012; Spratt, Humphreys, &
normal self-esteem attribution pattern” (Jacobsen, Lowery, Chan, 2002). Dickinson (1995) in his review of research on
& DuCette, 1986, p. 63). Students who attribute internal autonomy in relation to motivation concludes that

. . . learning success and enhanced motivation is conditional on adapt to a mixture of internal and external attribution pat-
learners taking responsibility for their own learning, being able terns for success and failure. Effort is ascribed as the most
to control their own learning and perceiving that their learning important cause for both outcomes. In addition, some exter-
successes or failures are to be attributed to their own efforts and nal factors have also been reported as important causes.
strategies rather than to factors outside of their control. Each of
Causes that are related to teaching, including teacher input
these conditions is a characteristic of learner autonomy as it is
and the current EFL teaching model, are major external
described in applied linguistics. (p. 174)
causes rated by students. In addition, task difficulty is a
major external cause ascribed for success. The findings sug-
Littlewood’s (1999) study that focused on East Asian
gest that college students consider EFL learning outcomes in
leaners illustrated the “belief in effort” as follows:
both internal and external manners.
• innate ability does not determine how much success a person The literature (e.g., R.-Y. Chen, 2011; He & Li, 2010; Hu,
can achieve; Shi, & Zhou, 2009; Zhang, 2011) that focuses on successful
and unsuccessful learners shows distinctions between the
• w
ith effort and self-discipline, every person can achieve his groups. Successful learners tend to attribute successful out-
or her goals; and, comes to internal and unstable causes (e.g., effort, attention,
revision) more than internal and stable (e.g., ability, interest)
• failure can be retrieved by making more effort. (p. 82) and external causes (e.g., teacher input, classroom environ-
ment). Their attribution for failure outcomes is effort-
The researcher proposed that effort attribution is a deter- oriented. The findings suggest that successful learners have
minant of effective language learning in East Asian contexts. developed positive attribution patterns. In contrast, unsuc-
Moreover, he argued that such a belief is a key of academic cessful learners ascribe success outcomes more externally
success of East Asian learners who are studying in Western (e.g., task difficulty, teacher input), whereas the group
countries. ascribes failed outcomes more internally, including lack of
effort and stable causes (e.g., low ability, low interest). Thus,
Attribution in English as a Foreign unsuccessful learners are likely to develop negative attribu-
tional patterns for both success and failure outcomes.
Language (EFL) in China
Taken as a whole, the research on learner attribution of
A number of studies (e.g., Mao, 2003; Wang, 2005) on high EFL in China supports the pattern of effort attribution in gen-
school students show that both self-reported successful and eral. Furthermore, college learners are more effort driven
unsuccessful learners attribute internal causes (e.g., interest, than their counterparts in high schools.
effort, strategy, ability) for their current academic status. In addition to effort attribution, college learners tend to
According to Weiner’s (1985) attribution theory, internal attribute to external causes, whereas high school learners
attributional causes for successful and failed outcomes are tend to attribute to internal and stable causes. This means that
associated with self-esteem. A student who associates a suc- high school learners are more likely to perceive themselves
cessful outcome to the self is likely to increase self-esteem as being responsible for their academic outcomes. Thus, in
and motivation. However, a student who attributes a failure comparison with college learners, they experience more
to stable and internal causes may experience negative self- intrinsic rewards in successful situations. However, they
esteem and related affects. Thus, the studies indicate that the elicit more pressure and negative affects while they are in
attribution pattern fostered by successful students is more failing situations.
positive than by unsuccessful students. Attribution patterns adapted by college learners are
Chen’s (Chen, L.-Y., 2011) investigation on learner attri- sophisticated and reveal somewhat ambivalence. On one
bution to academic success and failure further supports this hand, they believe in the importance of effort. In particular,
conclusion. Given an academic success, the self-reported they believe that sufficient effort helps avoiding failure. On
successful learners attribute more internally, whereas the the other hand, they perceive that high effort is not sufficient
unsuccessful counterparts attribute more externally. Given a to assure success. They are also aware of varied external fac-
failure, the former cohort mainly ascribes to internal and tors, among which teachers and instructional factors are
unstable causes (e.g., effort) and external causes (e.g., class- dominant. This reveals that college learners are more likely
room environment, teacher instruction), whereas the latter to take responsibility for failure than success. Such an attri-
cohort mainly ascribes to internal and stable causes (e.g., bution pattern may result in only “pass-oriented” learning.
ability, interest) and external causes. This means that the students are motivated to pass the mini-
More relevant research has been conducted in the tertiary mal academic requirement, even if they have had a failure.
education. The literature (e.g., R.-Y. Chen, 2011; He & Li, Nonetheless, they are less motivated and self-determined to
2010; Lei & Qin, 2009) that examines the general attribution pursue more future success when external factors are not
of success and failure in EFL indicates that college students supportive.

40
35
30
25 Art and Social Science
20 Science
Engineering and Technology
15
Fine Arts & Physical Science
10
0
Student-centred teaching model(N=71)
Figure 1. The participants who experienced student-centered teaching model and their disciplines.
Attributional theories suggest that a person’s attributional Also, a reflective research method was utilized in the
belief builds on his or her previous experiences (Schuster et questionnaire to gather the participants’ views and perspec-
al., 1989). In this sense, previous EFL learning experiences tives. Particularly, using this method to ask the participants
influence college students’ attribution about their current to choose the two groups of teaching models (student-
learning. However, little research has been done to investi- centered and teacher-centered) enables to enhance students’
gate whether college students who have gone through auton- critical thinking process (Fry, Ketteridge, & Marshall, 2009)
omous learning while they were studying in high schools
have fostered a better attributional belief than those who had
Contextual Information
not in EFL learning. The present study aimed to examine the
attribution patterns of success and failure of each group con- The participating university is one of the high-ranking uni-
cerned with the four main factors, namely, effort, ability, task versities in the southern part of China. The students enrolled
difficulty, and luck. Specifically, it examined three within this university needed to finish their secondary educa-
hypotheses. tion and achieved a high level in the College Entrance
Examination. The participants involved in this study were
Hypothesis 1: The attribution patterns of college students full-time students on the main campus of the university.
who had or had not gone through autonomous learning in
high schools are positive.
Participants
Hypothesis 2: The students who had gone through auton-
omous learning in high schools have developed a better A total of 100 university students took part in the pilot study,
attributional belief than their non-autonomous learners in and 95 students finally handed in their questionnaires. The
success. participants who joined in the pilot study were not included
Hypothesis 3: The students who had gone through auton- in the final study. For the final study, there were 500 univer-
omous learning in high schools have developed a better sity students involved in the survey and 347 students finally
attributional belief than the non-autonomous learners in completed the questionnaire, which yielded a 69.4% response
failure. rate. Within these 347 participants, there were 163 male stu-
dents and 184 female students who came from four main dis-
ciplines: arts and social science (N = 102), science (N = 113),
Method engineering and technology (N = 43), and fine art and physi-
Mixed research methods were utilized in this project. Using cal science (N = 67). The number of participants who experi-
mixed research methods can help bridge the schism between enced teacher-centered teaching model (N = 71) was three
the qualitative and quantitative research (Johnson, times more than that who experienced student-centered
Onwuegbuzie, & Turner, 2007; Onwuegbuzie, Slate, Leech, teaching model (N = 276). The ages ranged from 18 years old
& Collins, 2009). Thus, I believe that using mixed research to 20 years old, and their average level of English in the
methods in this research could obtain more depth of informa- College Entrance Examination was between 100 and 110.
tion than using qualitative or quantitative methodology The details of the two groups of the participants and their
solely in a research study. majors were shown in Figures 1 and 2:

100
90
80
70
60 Art and Social Science
50 Science
Engineering and Technology
40
Fine Arts and Physical Science
30
20
10
0
Teacher-centred teaching model (N=276)
Figure 2. The participants who experienced teacher-centered teaching model and their disciplines.
In the final study, there were 10 students who volunteered reading ability. To understand participants’ attribution in
to take part in the semi-structured interviews. The partici- their reading ability, Question 1 was designed to ask the attri-
pants were also from the main disciplines: arts and social bution of participants’ poor reading ability, ranging from
science (N = 3), science (N = 2), engineering and technology “Strongly Disagree” = 1 to “Strongly Agree” = 5.
(N = 4), and fine art and physical science (N = 1). Half of The semi-structured interviews were utilized at the sec-
them were female and the number of students who experi- ond stage to gather students’ perceptions and views regard-
enced student-centered (N = 8) were extraordinary more than ing their English learning experiences by using different
those (N = 2) who experienced traditional teaching in teaching models. Compared with the data obtained from the
English. questionnaires, this form of data is textural and allows
The semi-structured interview was undertaken on cam- researchers to have further understandings regarding stu-
pus, and the total time for each student was 15 to 25 min. dents’ perspectives. According to the research aim and the
Within this study, all the participants took face-to-face hypotheses, the interview questions were designed based on
interviews. the participants’ prior learning experience in China, and their
responses were coded via NVivo 10.
Prior to the final study, the researcher invited three aca-
Instrumental Design demic staff from the research field and three university stu-
The research study was divided into two stages: quantitative dents from various disciplines with different learning
stage and qualitative stage. At the first stage, the question- backgrounds to provide recommendations on the initial
naire was utilized to gather students’ attributional responses design of the interview questions in the final version. This
of English learning outcomes. The questionnaire consisted of process also ensured its reliability and validity.
three sections, and its design was on the basis of (Weiner,
Graham, & Stern, 1982) attributional theory. The first sec-
Procedure
tion was designed to collect participants’ background infor-
mation to see if any of the independent variables would After obtaining the ethic approval, the researchers contacted
affect the dependent variables in the data analysis process. the International Office of the subject university via emails.
The second section contained 16 scenarios, each describing a The information sheet for the university head and for the uni-
specific task and outcome. All of the tasks are common versity students had been sent directly to the head of the
English learning tasks for college students. Below a scenario, International Office of the participating university.
four causes (i.e., ability, effort, task difficulty, and luck) that Both the questionnaire items and the semi-structured
accounted for the outcomes were presented. The details of interview questions were used in the pilot study to examine
this section are shown in the appendix as an example of the validity and credibility. After the pilot study, three expert
questionnaire. Participants were asked to provide feedback academic staff from the research field and two students were
on each cause on a 5-point Likert-type scale (Likert, 1932). invited to ask for their opinions regarding the design of the
For example, the first scenario was designed to ask students’ questionnaire items and the interview questions. This

Table 2. Causes of Success Means and Standard Deviations for Table 3. Causes of Failure Means and Standard Deviations for
Autonomous and Teacher-Centered Learners. Autonomous and Teacher-Centered Learners.
Autonomous Teacher-centered Autonomous Teacher-centered

learners learners learners learners
Subscale M SD M SD Subscale M SD M SD
Effort 3.27 0.67 3.27 0.63 Effort 3.68 0.59 3.73 0.48
Ability 2.94 0.60 2.98 0.60 Ability 3.16 0.70 3.22 0.64
Task difficulty 3.38 0.44 3.27 0.41 Task difficulty 3.28 0.48 3.24 0.47
Luck 3.31 0.56 3.28 0.52 Luck 2.95 0.50 2.94 0.54
included the instrumental design, lexical usage, and the item experience came from autonomous learning, t(70) = 4.41,
content. They provided suggestive advice, so that the p < .005; t(70) = 3.51, p < .005; t(70) = 5.30, p < .005, respec-
researchers could make slight changes in the final design of tively, and those from a teacher-centered learning experi-
the questionnaire and the interview questions. ence, M = 2.98; t(275) = 8.42, p < .005; t(275) = 5.41, p <
.005; t(275) = 6.65, p < .005, respectively.
The paired samples t test that compared the causes for
Results
success between learners whose prior experience was
In the pilot study, the SPSS Version 21 was adopted to ensure through autonomous learning and those whose prior experi-
the validity and reliability. The reliability of the 100 question ence was through teacher-centered learning shows that there
items was examined using Alpha reliability. According to were no significant differences between them (p < .05). Thus,
Pallant (2011), internal consistency was adopted as the most the greatest causes for success were the same between both
frequent indicator to ensure that all the items under the same cohorts of learners.
scale measure the same attributive factor. As such, Cronbach’s
coefficient alpha was utilized in this study.
The reliability analysis showed that Cronbach’s coeffi-
Causes of Failure
cient alpha was .829. According to Nunnally (1978), if the As Table 3 indicates, the most commonly reported cause for
coefficient value is above .8, it indicates that the instrument failure when it came to learning English for both autono-
has a high inner consistency. From this point of view, the mous and teacher-centered learners was effort (M = 3.68 and
instrument adopted in this study was very reliable. M = 3.73, respectively). The independent samples t test
Paired samples t tests were carried out to examine learn- shows that for autonomous learners effort was a significantly
ers from autonomous and teacher-centered learning back- higher cause for failure than ability, M = 3.16; t(71) = 7.02,
grounds with regard to their attributional patterns toward p < .005, task difficulty, M = 3.28; t(71) = 5.67, p < .005, and
success and failure. Furthermore, independent samples t tests luck, M = 2.95; t(71) = 7.98, p < .005. Furthermore, results
were carried out to examine any differences that may occur show that for teacher-centered learners effort was also a sig-
between autonomous and teacher-centered learners. The nificantly higher cause for failure than ability, M = 3.22;
results from the study are first presented by analyzing the t(275) = 14.54, p < .005, task difficulty, M = 3.24; t(275) =
attributional patterns toward success and failure for autono- 14.89, p < .005, and luck, M = 2.94; t(275) = 17.84, p < .005.
mous and teacher-centered learners with regard to learning There were no significant differences between ability and
English. Comparisons between the autonomous and teacher- task difficulty with regard to causes for failure for students
centered learners will then be shown. whose prior experience was autonomous learning (M = 3.16
and M = 3.28, respectively; p > .05) or teacher-centered (M =
3.23 and M = 3.24, respectively; p > .05). However, there
Causes of Success
were significant differences between ability and luck, and
As Table 2 indicates, the most commonly reported causes for task difficulty and luck, for autonomous learners, t(71) =
success when it came to learning English for both autono- 2.40, p < .05; t(71) = 4.72, p < .005, respectively, and also for
mous and teacher-centered learners were effort (M = 3.27), teacher-centered learners, t(275) = 5.56, p < .05; t(275) =
luck (M = 3.31 and M = 3.28, respectively), and task diffi- 9.18, p < .005, respectively.
culty (M = 3.38 and M = 3.27, respectively). There were no The paired samples t test that compared the causes for
significant differences between the three causes from the failure between learners whose prior experience was through
t-test analyses (p > .05). However, effort, luck, and task dif- autonomous learning and those whose prior experience was
ficulty were significantly higher causes when it came to suc- through teacher-centered learning shows that there were no
cess than ability (M = 2.94) for students whose learning significant differences between them (p < .05). Thus, the

greatest causes for failure were the same between both increase a learner’s confidence in taking more challenging
cohorts of learners. tasks. In the current case, the learners might have experi-
The qualitative data were analyzed using NVivo 10. The enced less positive outcomes and were less confident in
result of the textual data was very similar to the quantitative future success.
data. Most participants believed that their effort, luck, and Collectively, the present study suggests that college learn-
task difficulty were three important causes of success in ers have fostered a positive attribution pattern for failure and
English learning compared with the factor of ability. One of a less positive pattern for success. Effort attribution is evi-
the participants claims that he did not believe the ability as an dent for both situations, and in particular, the failed situation.
important factor to lead to his English learning success A learning failure may trigger more effort expenditure in
because of the current design of examination papers and them for avoiding repeated failures. However, success might
English curriculum. “Most of the question items in the not stabilize their confidence for more success. Such a pattern
English final examination paper were in the form of multiple is coincident with the pattern suggested by the literature that
choices. Sometimes, students who were not good at English focuses on college learners (R.-Y. Chen, 2011; He & Li, 2010;
were able to guess and get a right answer.” In this case, it is Lei & Qin, 2009). This also can be supported by the result of
very easy to understand the reason why most participants their expectation for final-term exams (see Figure 3). Most of
still believe luck and task difficulty are important in their the learners (91.9%) did not expect to fail. However, two
success. thirds of learners only expected the minimal pass mark.
From the textual data, students who experienced a stu-
dent-centered approach held a more positive attitude toward
effort, which has a more important role in their failure in
Attribution in Learners’ Experienced Autonomous
their English learning. The participants reflected that their Learning and Teacher-Centered Learning
failure experiences and all of them contributed the causes to The data do not support the hypotheses that college learners
their lack of effort rather than other three factors. who had gone through autonomous EFL learning developed
a better attribution pattern than their counterparts. Both
cohorts did not differ in their attribution patterns of success
Discussion and failure.
As suggested by the literature, learner autonomy is condi-
College Student Attribution in EFL tioned on learner responsibility of his or her own learning.
As shown in Tables 2 and 3, both cohorts developed the same The higher learner responsibility the learner has, the more
attribution patterns for failure and success. Effort attribution internal attribution he or she adapts. However, in the current
was significantly more important than other causes in failure, study, the cohort with autonomous learning experience did
indicating that college students tend to feel responsible for not see themselves solely responsible for successful out-
the outcomes. According to Weiner (1985), ascription of fail- comes because they ascribed to both internal and external
ure to low effort elicits feelings of guilt, but the learners may causes. This might be caused by various factors, such as the
maintain the expectation for future success. It is also likely educational system, English curriculum designs, cultural
that they will put forth more effort for a better outcome. influence, and English assessments (Guo, 2011; Throssell &
As for success, effort, task difficulty, and luck were sig- Zhao, 2011)
nificantly more important than ability. Moreover, there was Although the cohort tended to be more internal in the
no significant difference among the three factors. This dem- ascription of failure, it may be influenced by cultural belief
onstrates that college students interpret successful outcomes in effort rather than the past learning experiences. It can be
in a complex manner. First, success is likely to be seen as seen from the attribution pattern of the cohort with tradi-
caused by unstable factors. Task difficulty, in the present tional learning experience, which was responsive to effort
study, can also be seen as an unstable cause. It is because attribution as well. The literature has constantly reported that
general EFL learning was represented by 16 different tasks, Chinese students are effort-oriented in academic-related con-
each of which is related with performance of a dominant skill texts (Yan & Gaier, 1994). Effort is viewed as the most
(e.g., writing, speaking). Thus, the EFL learning, in general, important factor of academic achievement in Chinese culture
is a diverse and unstable task. As suggested by Weiner’s the- (Crittenden, 1996; Stevenson & Lee, 1996). Littlewood
ory, ascribing success to unstable causes may not result in an (1999) points out that such a belief is rooted in Confucius.
increment and could lead to a decrement of expectancy of Proverbs such as bènniǎoxiānfēi (a slow sparrow should
future success. make an early start) and qínnénbǔzhuó (practice makes per-
Second, success is likely to be attributed externally. The fect) are for encouraging people to put forth efforts, particu-
positive attribution or the normal self-esteem attribution pat- larly for those who show less aptitude.
tern demonstrates that the more internal attribution the cause, In conclusion, it may be reasonable to assume that
the more positive the experience, and the higher self-esteem although the former cohort had been guided to form learner
and self-image he or she will develop. Eventually, this will autonomy in their secondary education, it has not fostered

2.3
8.1
23.1
Less than 60
60- 74
75- 89
66.6 90-100
Figure 3. Percentage of learners expecting the outcome of English final-term examination (full score is 100).
Note. Assessments of final English examinations used widely in Chinese universities are divided into four levels (less than 60, 61-74, 75-90, and 91-100).
Students who cannot obtain 60 means that they fail in examinations. Students who can finish tasks and achieve medium level in the four English skills in
examinations can be assessed 61-74, which also includes their daily performance in English classes. Students who are able to get scores between 75 and
90 means that they have a medium-advanced level in the four English skills. Students who have an advanced English competence in speaking, listening,
reading, and writing can be assessed 91-100.
efficacious learner autonomy. However, although the latter important as those in high schools because they have their
cohort had been instructed under the traditional EFL teach- own interest in their own majors, particularly for those
ing, it reveals signs of learner autonomy due to the cultural majoring in fine art and physical science. English was a
influence. selective unit for them rather than a compulsory subject. As
such, they had more time to focus on their own major study.
For other students, they enjoyed being opposed to an unre-
Recommendations and Implications stricted environment. In this open environment, students
The rich data from this research study highlighted that there become the central part in the classrooms instead of their
was a huge gap of teaching model utilized by teachers teachers and they could access much more resources on cam-
between high schools and the university. At present, most pus than that in high schools. In the learning process, they
English classrooms are still “teacher-centered” in Chinese have to be more independent rather than relying their success
high schools, and students heavily rely on their learning pro- on their teachers as guidance is not available for them all the
cess with their teachers. This might be strongly influenced by time. If they have difficulties, they need to seek for help from
the current College Entrance Examination in the educational friends at first. Under this situation, when they face success,
system. they might believe that their luck could be more influential
The College Entrance Examination plays a vital role in than their ability.
the current educational system. That is, the higher the scores Another factor is likely to be a Confucius cultural influ-
students gain, the more likely that they would be accepted to ence on a “teacher-studentship.” This is a Chinese-specific
a high-ranking university in China. As a consequence, it is culture that emphasizes teachers’ authority in a classroom
highly likely that students’ learning is in a “test-based” pro- (Peng et al., 2014; Throssell & Zhao, 2011). Their relation-
cess instead of “self-control,” and also teachers would like to ship is like Chinese “Fu” and “Zi,” which means that sons
teach students based on the textbooks. In high schools, stu- should obey fathers in a traditional Chinese family. When
dents and teachers both tried hard to realize their common this authority is taken to the English classrooms, students
goal—The College Entrance Examination. As such, it is need to obey teachers so as to follow their teachers’ teaching
more likely that when students failed in examinations, they in their learning process. This climate is prominently found
would reflect and ascribe the failure to themselves instead of in Chinese high schools from this study. Evidence is also
teachers. English tests in the College Entrance Examination found in Peng et al.’s (2014) study, who claimed that
are in a similar case. That is, if students could gain a higher “Confucian tradition put great emphasis on the morality of
score, they could choose their majors in a priority. Thus, teachers and this continues to be an important aspect of
English subjects have a domain position in Chinese high teacher quality” (p. 79). From their point of view, it was easy
schools. to understand the reason high school students felt both posi-
However, when students were enrolled in universities, tive in their attribution in failure and success as they have
they gradually found that English subjects were not as shown a higher moral authority on their teachers, and also,

they believe that their teachers have exerted effort in the particularly in a standard tutor classroom. This size can
whole teaching process. Consequently, if they face failure secure that students could have equal rights to communicate
and success, they would be like to ascribe to internal attribu- with teachers. In the meantime, teachers are more likely to be
tions instead of external attributions. able to observe each individual student’s behavior. In the
Based on the previous discussions, from the researchers’ long term, this classroom is beneficial for students to have
perspectives, implications are strongly proposed from the positive attitudes toward learning and teaching.
following three aspects:
Implications for Future Research
Implications for Policies This research only focused on investigating students’ attribu-
MOE (2001) has emphasized that developing students’ learn- tional perspectives on EFL learning outcomes rather than
ing autonomy is essential in the whole learning process from both students and teachers. Also, this research did not exam-
an early stage to adults. However, due to the economic devel- ine differences in students coming from rural areas and urban
opment in various provinces, Chinese schools would have areas. These provide an opportunity for future researchers. In
slight differences when advocating learning autonomy a direction of future research, the researcher suggests that
according to the MOE documents. It is likely that schools our focus could be shifted from students’ perspectives to
located in the coastal cities could have more funds to equip teachers’ perspective toward their teaching and learning
teaching and learning resources, while in rural areas, stu- experiences, so as to find out whether this could be a major
dents have less resources. From the data analysis of this influence on their students’ attribution.
study, there were no statistically significant differences
between a “teacher-centered” model and a “student-cen-
Conclusion
tered” model in their attribution at university. From this point
of view, it reveals that future document planners need to con- The aim of this study was to identify the attribution patterns
sider the unbalanced economic development in these areas. of university students comparing those who learnt through
autonomy learning with those who learnt through teacher-
centered approaches throughout their high schools. The
Implications for Practice researcher used both quantitative and qualitative methods to
As students’ attribution and learning autonomy is a complex conduct data collection and data analysis. The results found
psychological behavior, it needs teachers to put more empha- that no significant differences in attribution patterns were
sis on individuals instead of groups in classrooms. The found between students who had learnt in high school
researchers strongly suggest that in the near future, the size through autonomous learning and those who learnt through
of English classes could be controlled to under 30 students, teacher-centered approaches.
Appendix
Part 1 and Part 2 in the Questionnaire as Examples

Part 1: Demographic Information
Instruction: For each question, please select ONE answer and add a “√” or “×” in the box.
Gender：□ Male □ Female Ethnic：□ Han □ Minorities

Program undertaking：□ Bachelor □ Diploma
Discipline：
□ Arts and Social Science □ Science □ Engineering and Technology □ Fine Art and Physical Science
Your secondary school is located at：□ urban □ rural
English teaching model of your secondary school：□ student-centered □ teacher-centered
Which level of mark does your English College Entrance Examination fall into? (suppose the full mark is 150)
□ <90 □ 90-111 □ 112-134 □ 135-150
Which level of mark did you expect to have before you took the English College Entrance Examination? (suppose the full mark is 150)
□ <90 □ 90-111 □ 112-134 □ 135-150
What level of score are you expecting to have in this final exam in subject English? (suppose the full mark is 100)
□ <60 □ 60-74 □ 75-89 □ 90-100

Part 2: The following scenarios describe English learning in university. Each scenario has been provided with four reasons.
Please select the answers that best describe your own status. 1 refers to “Strongly Disagree,” 2 refers to “Disagree,” 3 refers to
“Not sure,” 4 refers to “Agree,” 5 refers to “Strongly agree.”
1. Your teacher says you are doing badly in reading work. It would probably be because
Strongly disagree Disagree Not sure Agree Strongly agree

You are poor at reading. □1 □2 □3 □4 □5
You are lazy in reading. □1 □2 □3 □4 □5
The reading work is too difficult for you. □1 □2 □3 □4 □5
Bad luck. Most of your uncertain answers were wrong. □1 □2 □3 □4 □5
2. You couldn’t complete a listening task in class. It would probably be because

You didn’t work hard to practise listening. □1 □2 □3 □4 □5
The task was difficult for you. □1 □2 □3 □4 □5
Bad luck. You are not familiar with the listening materials. □1 □2 □3 □4 □5
You are poor at listening. □1 □2 □3 □4 □5
3. You can totally understand the reading material in the exam. It would probably be because

The reading material is easy for you. □1 □2 □3 □4 □5
You have read the materials before. □1 □2 □3 □4 □5
You are good at reading. □1 □2 □3 □4 □5
You work really hard in reading. □1 □2 □3 □4 □5
4. You are assigned by your teacher as the group representative in group discussion. It would probably be because

You have been randomly selected. □1 □2 □3 □4 □5
You are good at speaking. □1 □2 □3 □4 □5
You practised speaking a lot. □1 □2 □3 □4 □5
Being a group representative is easy. □1 □2 □3 □4 □5
5. You didn’t understand an English novel. It would probably be because:

You need to try harder at reading. □1 □2 □3 □4 □5
You are a poor reader. □1 □2 □3 □4 □5
It is too difficult for you to understand this novel. □1 □2 □3 □4 □5
Bad luck. The chapters you read were difficult. □1 □2 □3 □4 □5

6. Your foreign friend asked you something in English. You understood but didn’t know how to answer. It would probably
be because
Strongly Disagree Disagree Not sure Agree Strongly agree

Too answer the question you need to use difficult words or complicated □1 □2 □3 □4 □5
sentences.
You didn’t practise speaking in English a lot. □1 □2 □3 □4 □5
Bad luck. You are not familiar with the question asked by your friend. □1 □2 □3 □4 □5
You are poor at speaking. □1 □2 □3 □4 □5
7. You can read the 21st newspaper. It would probably be because

You read a lot. □1 □2 □3 □4 □5
You are a good reader. □1 □2 □3 □4 □5
It is easy for you to understand the 21st newspaper. □1 □2 □3 □4 □5
You are lucky as the articles in this issue are easy. □1 □2 □3 □4 □5
8. Your article has been successfully published in university English press. It would probably be because

You are a good writer. □1 □2 □3 □4 □5
Your article has been randomly picked up by the press. □1 □2 □3 □4 □5
It is easy for you to write this kind of articles. □1 □2 □3 □4 □5
You write a lot. □1 □2 □3 □4 □5
9. You listened to a tape recording and understood. It would probably be because

You practised listening a lot. □1 □2 □3 □4 □5
You are good at listening. □1 □2 □3 □4 □5
The listening material is easy for you. □1 □2 □3 □4 □5
You heard it before. □1 □2 □3 □4 □5
10. You teacher praises your writing and read aloud in front of class. It would probably be because

The task is easy for you. □1 □2 □3 □4 □5
You are lucky as you are familiar with the topic. □1 □2 □3 □4 □5
You are good at writing. □1 □2 □3 □4 □5
You practised writing a lot. □1 □2 □3 □4 □5
11. You are chosen by your teacher to take part in an oral English competition. It would probably be because

You are good at speaking. □1 □2 □3 □4 □5
The topics in the competition are easy. □1 □2 □3 □4 □5
You are randomly selected. □1 □2 □3 □4 □5
You practised speaking a lot. □1 □2 □3 □4 □5

12. A foreign friend sent you a letter. You understood it but you couldn’t respond. It would probably be because

It is too difficult for you to reply your friend’s letter in English. □1 □2 □3 □4 □5
You are a poor writer. □1 □2 □3 □4 □5
You seldom write. □1 □2 □3 □4 □5
Bad luck. The content you needed to reply is something you are □1 □2 □3 □4 □5
unfamiliar.
13. You didn’t understand what foreign teacher talked about in the English corner. It would probably be because

The foreign teacher’s speech is so abstruse. □1 □2 □3 □4 □5
You seldom practise listening. □1 □2 □3 □4 □5
You are poor at listening. □1 □2 □3 □4 □5
Bad luck. The foreign teacher has a strong accent. □1 □2 □3 □4 □5
14. You couldn’t get started writing an English essay assigned by your teacher. It would probably be because

You are poor at writing. □1 □2 □3 □4 □5
This level of writing is too difficult for you. □1 □2 □3 □4 □5
You didn’t try hard. □1 □2 □3 □4 □5
Bad luck. The topic of essay was something you unfamiliar. □1 □2 □3 □4 □5
15. You listened to an English song, can understand the lyrics. It would probably be because

You tried hard. □1 □2 □3 □4 □5
The lyrics is simple and easy. □1 □2 □3 □4 □5
You are good at listening. □1 □2 □3 □4 □5
You listened to this song before. □1 □2 □3 □4 □5
16. You couldn’t finish the duty report in class. It would probably be because

You are lazy in speaking. □1 □2 □3 □4 □5
You are poor at speaking. □1 □2 □3 □4 □5
The topic you needed to report was too difficult. □1 □2 □3 □4 □5
Bad luck. The topic you needed to report was something unfamiliar. □1 □2 □3 □4 □5
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port. In C. A. Lin & D. Atkin (Eds.), Communication technol- theUniversity of Tasmania. She has extensive research and teaching
ogy and society: Audience adoption and uses (pp. 153-188). experiences in China, America and Australia. Dr Lu’s research
Cresskill, NJ: Hampton Press. interests focus on Learning Autonomy, Language Learning and
Wang, L. (2005). Investigation on senior middle school students’ Teaching, and Curriculum and Padagogy.
attribution for English learning and recommended strategies Dr. Stuart Woodcock is a Senior Lecturer in the Faculty of Human
(Master’s thesis). Nanjing Normal University, China. Sciences at Macquarie University. Stuart initially trained as a
Weiner, B. (1979). A theory of motivation for some classroom teacher in England. Since then he has taught in England, Canada
experiences. Journal of Educational Psychology, 71, 3-25. and Australia in primary and secondary schools, teaching in a vari-
Weiner, B. (1983). Some methodological pitfalls in attributional ety of settings including mainstream, special education and behav-
research. Journal of Educational Psychology, 75, 530-543. iour units. His research areas focus on students with learning dis-
doi:10.1037/0022-0663.75.4.530 abilities, teacher self-efficacy, classroom and behaviour
Weiner, B. (1985). An attributional theory of achievement motiva- management, and inclusion.
tion and emotion. Psychological Review, 92, 548-573.
Weiner, B. (1986). An attributional theory of motivation and emo- Ms Han Jiang is a PhD candidate in the School of Education,
tion. New York, NY: Springer-Verlag. Faculty of Social Sciences at University of Wollongong. Her
Weiner, B. (2001). Intrapersonal and interpersonal theories of moti- research interests are inclusive education, positive behavioral sup-
vation from an attribution perspective. In F. Salili, C.-Y. Chiu, port, AD/HD, and ASD.

566761
SGOXXX10.1177/2158244014566761SAGE OpenYoussef et al.
2
Knowledge of and Attitudes Toward
ADHD Among Teachers: Insights
From a Caribbean Nation
Marsha K. Youssef1, Gerard Hutchinson1, and Farid F. Youssef1
Abstract
Teachers are often the first persons responsible for identifying children with attention deficit hyperactivity disorder (ADHD)
and are increasingly being called on to help manage such children. We sought to assess teachers’ knowledge of and attitudes
toward ADHD in Trinidad & Tobago, a small island developing state in the Caribbean region. Based on previously published
work, an instrument was adapted and pilot tested. Using convenience sampling, 440 questionnaires were distributed and 277
valid questionnaires were returned (response rate, 63%). Total knowledge scores were low, mean 12.6/26. Both postgraduate
education and in-service training significantly improved knowledge scores as did having previously taught a child with ADHD.
Attitudes toward children with ADHD were generally positive although most teachers felt children with ADHD should be
taught by specialist teachers. Results suggest greater efforts must be made to provide teacher training specifically in the
identification and management of children with ADHD.
Keywords
attention deficit hyperactivity disorder, ADHD, teachers, Caribbean, stigma
Attention deficit hyperactivity disorder (ADHD) is report- coupled with the fact that over the last 40 years, a prepon-
edly the most pervasive disorder of childhood affecting derance of the research on ADHD has come out of the
approximately 3% to 5% of school-aged children with preva- United States has led many to believe that ADHD is a dis-
lence rates increasing significantly over the past two decades order rooted in cultural and social factors apparently preva-
(Pastor & Reuben, 2008; Timimi & Radcliffe, 2005). lent in the United States (Faraone, Sergeant, Gillberg, &
Children with ADHD experience symptoms of inattention, Biederman, 2003; Timimi & Taylor, 2004). However, more
hyperactivity, or impulsivity above and beyond what is and more research is emerging that suggests ADHD is a
developmentally appropriate. While it is usually first diag- global concern. Indeed, pooled prevalence rates across sev-
nosed in childhood, many children diagnosed with ADHD eral continents suggest a prevalence rate of more than 5%
demonstrate symptoms that persist into adolescence and (Polanczyk, Silva de Lima, Horta, Biederman, & Rohde,
adulthood (Langley et al., 2010). 2007), a result supported by a recent meta-analysis
Inattention may manifest in social, occupational, and aca- (Willcutt, 2012). For the purposes of this report though, it is
demic settings. Symptoms include difficulty with sustained worth noting that little or no epidemiological data exist
attention, being unable to complete tasks, not following from the Caribbean region.
through on instructions and requests, and inability to com- Despite these figures, failure to identify the underlying
plete chores and schoolwork. Symptoms of hyperactivity biological deficits, a growing distrust of the medical and
include fidgeting, inability to sit still in classroom settings, pharmaceutical fraternities, and cultural variations ensure
being always “on the go,” and excessive talking, while a that ADHD remains a condition fraught with controversy
symptom of impulsivity is difficulty waiting their turn. It (Stolzer, 2009). This is not helped by schisms within the
should be noted that in the new Diagnostic and Statistical research community and among the various stakeholders
Manual of Mental Disorders (5th ed.; DSM-5; American (Kildea, Wright, & Davies, 2011).
Psychiatric Association [APA], 2013) criteria, children can
be diagnosed with ADHD up to age 12 and not age 6 as was 1
The University of the West Indies, Trinidad and Tobago
previously recommended, while several symptoms must
occur in more than one setting. Farid F. Youssef, Department of Preclinical Sciences, The University of the
Epidemiological data suggest the incidence of ADHD West Indies, EWMSC, St. Augustine, Trinidad and Tobago.
has significantly increased over the past two decades. This Email: farid.youssef@sta.uwi.edu

Knowledge of and Attitudes Toward ADHD Among Teachers: Insights From a Caribbean Nation 17
The Role of Teachers Indian and 38% African, with the rest hailing from Europe,
China, and the Middle East. Considered the wealthiest nation
Unfortunately, argument notwithstanding, the disruption in the Caribbean, due in large part to investments in petro-
produced by ADHD typed behaviors is undisputed. ADHD chemicals, natural gas, and steel, TT has become a key player
behavior tends to worsen in environments where attention on the global stage and as such is highly influenced by global
for long periods of time, quiet activities, and waiting one’s culture, in particular, North American culture. The education
turn is required (APA, 2013). Such behaviors are required system, which is publically funded, is heavily influenced by
within the formal classroom setting, and if other opportuni- its British colonial past. Children enter primary school at age
ties such as physical activity are not provided to balance 5 and are required to spend 7 years before writing an exami-
learning strategies, behavioral difficulties can often first be nation, which will determine entry into secondary school.
encountered in school. Typically, children with ADHD are There is tremendous competition for places at a few so-called
characterized as being disruptive in the classroom, have con- “prestige secondary schools.” This has resulted in a heavy
flictual relationships with family and peers, are unable to focus on academic development during primary school and
understand or conform to social cues, and experience aca- extreme demands being placed on the children. In many
demic challenges, which ultimately affect their quality of life cases, children attend additional lessons to prepare for the
(Bender & Smith, 1990; Frick et al., 1991; Hinshaw, Heller, primary school leaving examination.
& McHale, 1992). Importantly, while the initial difficulties With respect to ADHD, there is a paucity of research con-
of inattention and classroom disruption associated with pri- ducted in the Caribbean as a whole (Polanczyk et al., 2008;
mary school diminish in secondary school, secondary school Pottinger, La Hee, & Asmus, 2009) but the proximity to North
students with ADHD often experience academic challenges America and its cultural influence ensures at least some
and the frustrations associated with reduced performance awareness exists. Awareness, however, does not necessarily
(Travell & Visser, 2006). All of these conditions mean that mean acceptance, and for the average man on the street in TT,
students with ADHD are often at greater risk of school drop- anecdotal evidence suggests that ADHD is viewed as a myth
out and academic failure (Bussing, Mason, Bell, Porter, & and an excuse for children’s misbehavior. Teachers may not
Garvan, 2010; Merrell & Tymms, 2001). be exempt from this belief. However, because teachers most
Such findings highlight the important role that teachers often are among the first to interface with children experienc-
play in identifying children who need additional support, ing ADHD symptoms, one can hypothesize that they are more
making referrals for their assessment, and being able to man- likely to accept ADHD as a valid diagnosis. Importantly, for-
age them in the classroom (Sherman, Rasmussen, & Baydala, mal teacher training is not mandatory prior to beginning ser-
2008). As such, within recent years, there has been an vice in the education sector. It is also worth noting that in the
increasing emphasis on teachers’ knowledge and attitudes Caribbean, like in many other parts of the world, discrimina-
toward ADHD. Several studies from different parts of the tory attitudes still exist with respect to mental and neurologi-
world have found that teachers’ knowledge is at best reason- cal illnesses (Youssef et al., 2014; Youssef et al., 2009).
able and in many cases, insufficient, requiring intervention Given the growing prevalence and recognition of ADHD
(Ghanizadeh, Bahredar, & Moeini, 2006; Nur & Kavakc, and the important role that teachers play in first identifying
2010; Perold, Louw, & Kleynhans, 2010; West, Taylor, the condition, we sought to assess teachers’ knowledge and
Houghton, & Hudyma, 2005). attitudes toward ADHD in TT. We believe the significance of
Due to the challenges that a child with ADHD may pres- this work lies not only in adding to the very limited data set
ent, it is also not surprising that there are reports that teach- on ADHD in the Caribbean region but also in identifying
ers’ attitudes toward children with ADHD may be negative. gaps in the training of teachers. Such information is critical
Teachers presented with a description of a child with an in helping shape teacher training and raising the profile of
ADHD label viewed that child significantly less favorably the condition.
than a child without an ADHD label in the domains of behav-
ior, intelligence, and personality (Batzle, Weyandt, Janusis,
& DeVietti, 2010). Similarly, teachers experienced more Method
negative expectations of children in ADHD labeled vignettes, This was a cross-sectional descriptive survey that made use
rating them as having more serious problems and their of convenience sampling designed to assess primary and sec-
behavior as more disruptive to the classroom (Ohan, Visser, ondary school teachers’ knowledge of and attitudes toward
Strain, & Allen, 2011). ADHD. Ethical approval for this study was received from
the Ethics Committee of the Faculty of Medical Sciences, the
University of the West Indies.
The Local Context
Trinidad & Tobago (TT) is a twin-island republic that lies in
Instrument
the southern-most part of the Caribbean, off the northeast
coast of Venezuela (Central Intelligence Agency, 2012). Two A self-report questionnaire used in previous reports (Kos,
major ethnicities make up its heterogeneous population, 40% Richdale, & Jackson, 2004; Sciutto, Terjesen, & Frank,

2000) was adapted for use in this study based on the authors’ Results
review and feedback from a pilot study. The final instrument
contained three sections. The first (Section A) collected Of the 440 questionnaires distributed, 289 were returned.
demographic information about each respondent including Twelve questionnaires were discarded because participants
age, sex, teaching experience, and teacher training. Section B did not complete at least one full section of the question-
was intended to attain teachers’ actual knowledge of ADHD naire giving a final sample size of 277 and a response rate
and contained 26 questions with true, false, and don’t know of 63%.
options. Several questions were worded in the negative to
prevent random completion by participants. One point was
Demographic Information
awarded for each correct answer and the results for each
question summed to yield a total knowledge score. The max- The final sample consisted of 277 primary and secondary
imum possible score was therefore 26. For this analysis, both school teachers from 16 primary (n = 116) and 13 secondary
wrong answers and don’t know were considered incorrect (n = 155) schools drawn from North, East, and Central
although the summary of each response is also presented. Trinidad. The age of teachers ranged from 21 to 62 years
Section C assessed teachers’ beliefs about and attitudes with a mean age of 39 years (SD = 9.0 years). Of those sam-
toward ADHD by the use of 25 statements. A 5-point Likert- pled, 74% (n = 206) were female and 22% (n = 61) were
type scale was used in this section with teachers indicating male teachers. Years of teaching experience ranged from 6
whether they agreed, strongly agreed, neither agreed nor months to 41 years with a mean of 14.5 years (SD = 9.5).
disagreed, disagreed, or strongly disagreed with the state- With respect to having taught a child with ADHD, 48% (n =
ment. Several items were again reverse scored to ensure con- 132) of teachers responded that they had taught a child with
scious completion of the questionnaires. For each question, ADHD, while 9% (n = 25) responded that they had not taught
the mean and standard deviation were calculated with scores a child with ADHD and 42% (n = 116) did not know whether
closer to 1 indicating that participants agreed with the state- they had taught a child with ADHD. Of the teachers who
ment and scores closer to 5 indicating that participants indicated that they had taught a child with ADHD, just under
disagreed. half or 48% indicated that the diagnosis had been confirmed
by a medical professional.
Procedure
Knowledge of ADHD
Schools were selected by convenience sampling based on a
prior relationship of the researchers with a teacher in the Prior to answering the knowledge questions, teachers were
school. Overall, teachers from 29 schools took part in the asked to indicate using a percentage, their perceived knowl-
study. Four hundred and forty (440) packages were pre- edge of ADHD. Responses ranged from 0% to 99% with a
pared each containing a letter of instruction, a consent mean score of 36% (SD = 26). Twelve teachers (4%) indi-
form, and a self-report questionnaire. This representative cated they had no knowledge of ADHD.
teacher received a number of packages and distributed them Twenty-six questions were used to assess knowledge.
to his or her colleagues who were asked to complete them Given that this was the first time this instrument was used in
on a voluntary basis. Questionnaires were distributed to and our population, we sought to test its reliability; this yielded a
left with potential respondents for a period of 2 weeks, Cronbach’s alpha score of 0.86 suggesting good to excellent
from the time of delivery and collected by the representa- internal consistency in our population. Overall, the mean
tive and delivered to the research team. For the sake of ano- total knowledge score was 11.6 (SD = 5.5). This corresponds
nymity, teachers were asked to separate consent forms from to 45% of the questions right. Total scores ranged from a
questionnaires. Both were then returned to the researcher in minimum of 0 to a maximum of 23 with 12 teachers scoring
separate envelopes. 0 on total knowledge while 40% of the entire sample had a
score of 10 or less. The percentage responses to all questions
are summarized in Table 1.
Data Analysis Several factors seemed to influence the total knowledge
Data were collated and analyzed using the statistical soft- score (see Table 2). In particular, there was a significant
ware SPSS Version 17.0. To ensure anonymity, raw data effect of education level, F(4, 211) = 4.51, p < .01, on the
from the questionnaires were coded and inserted into the total knowledge score. Teachers with a master’s degree
three sections for analysis: (a) general demographic informa- scored the highest and those with no formal training beyond
tion, (b) knowledge scores, and (c) attitude scores. Descriptive secondary school the lowest. Perhaps more significantly,
statistics were calculated for each section of the question- persons who received training in ADHD while teaching
naire (M + SD), and differences in means were tested using a scored significantly higher than those who did not, p < .001.
one-way ANOVA. Post hoc analysis was carried out using Having taught someone with ADHD also had a significant
Tukey’s post hoc test. The alpha error was set at p < .05. effect, F(2, 270) = 5.6, p < .01, as did the type of school in

Table 1. Teachers’ Percentage Response (Total Number of Teachers) to Knowledge Items.
Item % correct % incorrect % don’t know

1 There are a greater number of boys than girls with 41.4 (n = 111) 4.9 (n = 13) 51.9 (n = 139)
ADHDT
2 There is approximately 1 child in every classroom with a 44.8 (n = 120) 13.1 (n = 35) 39.6 (n = 106)
diagnosis of ADHDT
3 If medication is prescribed, educational interventions are 54.9 (n = 147) 12.7 (n = 34) 31.3 (n = 84)
often unnecessaryF
4 ADHD children are born with biological vulnerabilities 51.1 (n = 137) 12.3 (n = 33) 32.8 (n = 88)
toward inattention and poor self-controlT
5 If a child responds to stimulant medications, for example, 27.6 (n = 74) 11.2 (n = 30) 60.8 (n = 163)
Ritalin, then he or she probably has ADHDF
6 A child who is not overactive, but fails to pay attention, 29.9 (n = 80) 33.6 (n = 90) 36.2 (n = 97)
may have ADHDT
7 ADHD is often caused by food additivesF 40.7 (n = 109) 14.2 (n = 38) 44.8 (n = 120)
8 ADHD can be diagnosed in the doctor’s office most of 45.5 (n = 122) 14.9 (n = 40) 37.7 (n = 101)
the timeF
9 Children with ADHD always need a quiet environment 35.5 (n = 96) 17.9 (n = 48) 44.0 (n = 118)
to concentrateF
10 Approximately 5% of school-aged children have ADHDT 30.6 (n = 82) 7.1 (n = 19) 61.2 (n = 164)
11 ADHD children are usually from single-parent familiesF 67.5 (n = 181) 3.0 (n = 8) 28.7 (n = 77)
12 Diets are usually not helpful in treating most children 7.5 (n = 20) 51.1 (n = 137) 39.9 (n = 107)
with ADHDT
13 ADHD can be inheritedT 33.2 (n = 89) 14.9 (n = 40) 50.7 (n = 136)
14 Medication is a cure for ADHDF 53.0 (n = 142) 12.7 (n = 34) 32.8 (n = 88)
15 All children with ADHD are overactiveF 48.1 (n = 129) 21.3 (n = 57) 28.7 (n = 77)
16 There are subtypes of ADHDT 51.5 (n = 138) 5.6 (n = 15) 41.4 (n = 111)
17 ADHD affects male children onlyF 73.1 (n = 196) 1.9 (n = 5) 23.9 (n = 64)
18 The cause of ADHD is unknownT 19.4 (n = 52) 21.3 (n = 57) 56.7 (n = 152)
19 ADHD is the result of poor parenting practicesF 72.8 (n = 195) 3.4 (n = 9) 22.0 (n = 59)
20 If a child can play Nintendo for hours, then she or he 60.1 (n = 161) 8.6 (n = 23) 29.9 (n = 80)
probably does not have ADHDF
21 Children with ADHD cannot sit still long enough to pay 23.1 (n = 62) 55.2 (n = 148) 21.3 (n = 57)
attentionF
22 ADHD is caused by too much sugar in the dietF 58.6 (n = 157) 8.6 (n = 23) 31.3 (n = 84)
23 Family dysfunction may increase the likelihood that a 28.7 (n = 77) 29.1 (n = 78) 40.3 (n = 108)
child will be diagnosed with ADHDT
24 Children from any walk of life can have ADHDT 88.4 (n = 237) 1.1 (n = 3) 10.1 (n = 27)
25 Children with ADHD usually have good peer relations 43.3 (n = 116) 13.1 (n = 35) 42.2 (n = 113)
because of their outgoing natureF
26 Children with ADHD generally display an inflexible 18.3 (n = 49) 39.6 (n = 106) 41.4 (n = 111)
adherence to specific routines or ritualsF
Note. T and F denote which items were coded True and False, respectively. ADHD = Attention deficit hyperactivity disorder.
which the teachers taught, p < .01. However, gender did not also reflected by the response to Items 19, 2, and 25 in which
have an effect on total knowledge scores, p > .05. they indicate that children are generally not responsible for
There was a moderate correlation between teachers’ per- their behavior. However, teachers also felt that children with
ceived knowledge of ADHD and actual total knowledge ADHD are disruptive to the class and were best taught by
score. Pearson’s correlation coefficient was 0.48, and this special education teachers (Items 10 and 12).
was significant at p < .001. This trend is summarized in
Figure 1.
Discussion
We report that TT teachers’ knowledge about ADHD was
Attitudes Toward ADHD low with the mean total knowledge score being less that
The mean scores for the 25 items are summarized in Table 3. 50% correct. This is consistent with research conducted in
Overall, teachers generally viewed ADHD as a valid diagno- both developed and developing nations. In fact, the
sis and a legitimate educational issue (Items 1 and 9). This is scores are remarkably similar to data from South Africa

Table 2. Difference in Knowledge Scores Based On Key Teacher Characteristics.
M SD p value
Level of education <.01
Secondary school 8.8 4.8
Teacher’s college 10.3 5.6
Bachelor’s 12.8 4.5
Post-grad diploma 12.4 5.6
Masters 13.5 5.7
ADHD training <.001
Yes 14.9 3.9
No 10.8 5.4
Taught child with ADHD <.01
Yes 12.7 5.4
No 12.1 3.7
Don’t know 10.4 5.5
Type of school <.01
Primary 12.5 5.3
Secondary 10.8 5.8
Gender >.05
Male 11.8 5.2
Female 11.5 5.8
Note. ADHD = Attention deficit hyperactivity disorder.
The exact reasons for these low scores are not clear, but
the data do suggest that a lack of education may be critical.
Teachers with a master’s level education scored highest, as
did those who received training specifically concerning
ADHD while teaching. This latter point is especially impor-
tant as short-term interventions (1 week) and web-based
interventions have been shown to rapidly improve knowl-
edge about ADHD, with benefits lasting for at least 6 months
(Aguiar et al., 2014; Barnett, Corkum, & Elik, 2012; Jones &
Chronis-Tuscano, 2008; Syed & Hussein, 2010). Given that,
in our study, teachers’ perceived knowledge was positively
correlated with actual knowledge, it suggests that teachers
are aware of their lack of knowledge and potentially open to
ADHD training.
Figure 1. Teachers’ Perceived Knowledge vs Actual Having taught a child with ADHD significantly affected
Performance on Knowledge Sub-scale. knowledge scores, findings in keeping with other research
Note. Figure depicting the moderate correlation (r = .48) between
teachers’ perceived knowledge of ADHD and how their actual knowledge
(Kos et al., 2004; Sciutto et al., 2000). Perhaps the challenges
scores. ADHD = Attention deficit hyperactivity disorder. of teaching children with ADHD triggered teachers to seek
out information and additional training resources, again a
very positive finding in the context of future training
and Sri Lanka, which also report knowledge scores below interventions.
50% (Perold et al., 2010; Rodrigo, Perera, Eranga, Knowledge scores were also higher among primary school
Williams, & Kuruppuarachchi, 2011). Importantly though, teachers than among secondary school teachers. ADHD is
our study found that a majority of teachers chose the “don’t generally considered to be a disorder among younger chil-
know” option as opposed to incorrect answers, which may dren, while older children demonstrating ADHD typed behav-
indicate a greater level of uncertainty about the facts, ior are often labeled truant and rebellious (West et al., 2005).
rather than a high level of misperception about ADHD. Finally, similar to other research (Kos et al., 2004), neither
This is a significant point to note for future training pur- age nor gender was found to have an impact on total knowl-
poses as it is often easier to educate persons who do not edge scores. It is noteworthy that although there was no sig-
have inaccurate, preconceived ideas about a subject nificant difference in knowledge levels between male and
(DiBattista & Shepherd, 1993). female teachers, the sample was overrepresented by female

Table 3. Teachers’ Attitude Scores (M + SD).
Item No. Statement M SD

19 ADHD children misbehave because they are naughty 4.2 1.1
2 ADHD is an excuse for children to misbehave 4.1 1.2
25 Managing the behavior of ADHD students is easy 4.1 1
23 ADHD children misbehave because they do not like following rules 3.9 1.1
6 ADHD is an American phenomenon 3.8 1.3
20 ADHD children cannot change the way they behave 3.8 3.2
5 Children who cannot sit still in class simply need to be disciplined 3.7 1.1
7 All children with ADHD should take medication 3.7 1.1
17 You cannot expect as much from an ADHD child as you can from other children 3.7 1.7
13 Most students with ADHD do not really disrupt classes that much 3.5 1
18 Children with ADHD could control their behavior if they really wanted to 3.5 1.1
21 ADHD students could do better if only they’d try harder 3.4 1.1
3 ADHD is diagnosed too often 3.2 1.1
4 ADHD is a behavioral disorder that should not be treated with medication 3.2 1.1
11 Young ADHD children should be treated more leniently than older ADHD children 3.2 1
16 Other students do not learn as well as they should when there is an ADHD child in the class 3.2 1.2
14 Children with ADHD should not be taught in the regular school system 3.1 1.3
24 Students with ADHD are just as difficult to manage in the classroom as any student 3 1.2
22 ADHD children have little control over the way they behave 2.9 1.1
15 The extra time teachers spend with ADHD students is at the expense of students without ADHD 2.6 1.2
10 Having an ADHD child in my class would disrupt my teaching 2.5 1.2
8 Medications such as Ritalin and Dexamphetamine should only be used as a last resort 2.4 1.1
12 ADHD children should be taught by special education teachers 2.1 1.2
9 ADHD is a legitimate educational problem 2 1.1
1 ADHD is a valid diagnosis 1.7 0.9
Note. The higher the score, the more the teachers disagreed with the statement. ADHD = Attention deficit hyperactivity disorder.
teachers, highlighting the high ratio of female to male teach- behavior should be taught by special education teachers.
ers within the Trinidadian context. This is not dissimilar to an This is in sharp contrast to the TT government’s stated objec-
observation made in Australia, that ADHD, a disorder affect- tives to promote an inclusive education system and recent
ing mainly males, is being dealt with primarily by females data from the United Kingdom in which teachers were very
(Bekle, 2004). much concerned that children with ADHD be managed
within the general school system (Moldavsky, Pass, & Sayal,
2014). Such unwillingness on the part of Trinidadian teach-
Attitudes Toward ADHD ers to engage children with ADHD probably reflects their
Given the controversy surrounding ADHD (Baughman, belief that they are disruptive in the regular classroom set-
2006; Stolzer, 2009; Timimi & Radcliffe, 2005; Timimi & ting, but perhaps, more importantly, an underlying sense of
Taylor, 2004), the findings of this study were encouraging, their own inability to manage ADHD behavior in the
demonstrating that Trinidadian teachers believe that ADHD classroom.
is a valid diagnosis and that ADHD is a legitimate educa-
tional issue. It also appears that low knowledge of the disor-
Limitations
der does not affect beliefs in the validity of the diagnosis.
This is in sharp contrast to reports from other developing Our study is limited by the use of a convenience sample,
nations in which attitudes were generally more negative drawing teachers generally from North, East, and Central
(Ghanizadeh et al., 2006; Perold et al., 2010; Rodrigo et al., Trinidad. Thus, there may be overrepresentation or under-
2011). Not only is this finding important for future manage- representation of some members of the sample, thereby
ment of children in the classroom but also because teachers potentially limiting this study’s generalizability. In particu-
can be utilized to help educate parents and the wider society, lar, the southern part of the country and Tobago are more
serving as a human resource cadre for dispelling myths con- rural and as such, teachers may be less likely to have training
cerning ADHD. with respect to ADHD. Given that scores were already low,
While teachers recognized the validity of ADHD, they this probably would not have altered the findings and conclu-
tended to believe that children displaying ADHD typed sions of this report significantly.

The questionnaire used was a self-report questionnaire. Barnett, B., Corkum, P., & Elik, N. (2012). A web-based inter-
While self-report questionnaires are easily administered and vention for elementary school teachers of students with atten-
relatively easy to analyze, there may be a tendency to respond tion-deficit/hyperactivity disorder (ADHD). Psychological
in keeping with socially accepted norms. However, as high- Services, 9, 227-230.
Batzle, C., Weyandt, L., Janusis, G., & DeVietti, T. (2010).
lighted in the article, teachers were very open in admitting
Potential impact of ADHD with stimulant medication label
their lack of knowledge and their positive attitudes toward
on teacher expectations. Journal of Attention Disorders, 14,
ADHD in contrast with the controversy surrounding the 157-166.
diagnosis. Finally, data collection for this study took place Baughman, F. (2006). There is no such thing as a psychiatric dis-
before the end of the school term, a time when teachers were order/disease/chemical imbalance. PLoS Medicine, 3(7), e318.
more busy that usual with their duties. This reality possibly doi:10.1371/journal.pmed.0030318
affected the number of completed questionnaires returned, Bekle, B. (2004). Knowledge and attitudes about attention-deficit
and within this context, it is possible that the teachers who hyperactivity disorder (AD/HD): A comparison between prac-
did complete the questionnaires may have had prior interest ticing teachers and undergraduate education students. Journal
in ADHD. of Attention Disorders 7(3), 151-161.
Bender, W. N., & Smith, J. K. (1990). Classroom behaviour of chil-
dren and adolescents with learning disabilities: A meta-analysis.
Conclusion Journal of Learning Disabilities, 23, 298-305.
Bussing, R., Mason, D. M., Bell, L., Porter, P., & Garvan, C.
Overall, teachers’ knowledge about ADHD was low. While (2010). Adolescent outcomes of childhood attention-deficit/
there is a profound lack of epidemiological data concern- hyperactivity disorder in a diverse community sample. Journal
ing ADHD within the region, there is no reason to presume of the American Academy of Child & Adolescent Psychiatry,
that prevalence rates are lower in the Caribbean compared 49, 595-605.
with elsewhere in the world. Therefore, there is a need for Central Intelligence Agency. (2012). The World Factbook.
teachers within the region to become more educated about Retrieved from https://www.cia.gov/library/publications/the-
the condition and better equipped to deal with these chil- world-factbook/geos/td.html
dren. In-service education concerning ADHD has been DiBattista, D., & Shepherd, M. (1993). Primary school teachers’
found to significantly improve knowledge, attitudes, and beliefs and advice to parents concerning sugar consumption
and activity in children. Psychological Reports, 72, 47-55.
management skills among teachers, a finding supported by
Faraone, S., Sergeant, J., Gillberg, C., & Biederman, J. (2003). The
our data. Given that teachers in our study also demon-
worldwide prevalence of ADHD: Is it an American condition?
strated positive attitudes toward ADHD, we recommend World Psychiatry, 2, 104-113.
that in-service training concerning ADHD and other child- Frick, P. J., Kamphaus, R. W., Lahey, B. B., Loeber, R., Christ, M.
hood developmental disorders be incorporated within the A., Hart, E. L., & Tannenbaum, L. E. (1991). Academic under-
education system. It is expected that such interventions achievement and the disruptive behavior disorders. Journal of
can increase identification of children with ADHD, give Consulting and Clinical Psychology, 59, 289-294.
teachers greater confidence in their ability to manage these Ghanizadeh, A., Bahredar, M. J., & Moeini, S. R. (2006).
children, and improve overall classroom management Knowledge and attitudes towards attention deficit hyperac-
within the schools. tivity disorder among elementary school teachers. Patient
Education & Counseling, 63, 84-88.
Hinshaw, S. P., Heller, T., & McHale, J. P. (1992). Covert antisocial
Declaration of Conflicting Interests
behavior in boys with attention-deficit hyperactivity disorder:
The author(s) declared no potential conflicts of interest with respect External validation and effects of methylphenidate. Journal of
to the research, authorship, and/or publication of this article. Consulting and Clinical Psychology, 60, 274-282.
Jones, H. A., & Chronis-Tuscano, A. (2008). Efficacy of teacher
Funding in-service training for attention-deficit/hyperactivity disorder.
The author(s) disclosed receipt of the following financial support Psychology in Schools, 45, 918-929.
for the research and/or authorship of this article: The authors thank Kildea, S., Wright, J., & Davies, J. (2011). Making sense of ADHD
the University of the West Indies for financial support in practice: A stakeholder review. Clinical Child Psychology
and Psychiatry, 16, 599-619.
Kos, J. M., Richdale, A. L., & Jackson, M. S. (2004). Knowledge
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investigation on the role of a psychoeducational intervention. Harold, G., . . .Thapar, A. (2010). Adolescent clinical outcomes
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43-56. tion deficit hyperactivity disorder. Journal of Public Mental
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ers’ attitudes about children with attention deficit/hyperactivity Timimi, S., & Taylor, E. (2004). ADHD is best understood as a
disorder and the role of pharmacological treatment. Clinical cultural construct. The British Journal of Psychiatry, 184, 8-9.
Child Psychology and Psychiatry, 19, 202-216. Travell, C., & Visser, J. (2006). “ADHD does bad stuff to you”
Nur, N., & Kavakc, O. (2010). Elementary school teachers’ knowl- young people’s and parents’ experiences and perceptions of
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order. HealthMED, 2, 350-355. and Behavioural Difficulties, 11, 205-216.
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Teachers’ and education students’ perceptions of and reac- parison of teachers’ and parents’ knowledge and beliefs about
tions to children with and without the diagnostic label ADHD. ADHD. School Psychology International, 26, 192-208.
Journal of School Psychology, 49, 81-105. Willcutt, E. G. (2012). The prevalence of DSM-IV attention-
Pastor, P. N., & Reuben, C. A. (2008, July). Diagnosed attention deficit/hyperactivity disorder: A meta-analytic review.
deficit hyperactivity disorder and learning disability: United Neurotherapeutics, 9, 490-499.
States, 2004-2006 (Vital and Health Statistics Series 10, No. Youssef, F. F., Bachew, R., Bodie, D., Leach, R., Morris, K., &
237). Hyattsville, MD: U.S. Department of Health and Human Sherma, G. (2014). Knowledge and attitudes towards mental
Services, Centers for Disease Control and Prevention, National illness among college students: Insights into the wider English-
Center for Health Statistics. speaking Caribbean population. International Journal of Social
Perold, M., Louw, C., & Kleynhans, S. (2010). Primary school Psychiatry, 60, 47-54. doi:10.1177/0020764012461236
teachers’ knowledge and misperceptions of attention defi- Youssef, F. F., Dial, S., Jaggernauth, N., Jagdeo, C. L., Pascall, A.,
cit hyperactivity disorder (ADHD). South African Journal of Ramessar, L., . . . Simon, T. (2009). Knowledge of, attitudes
Education, 30, 457-473. toward, and perceptions of epilepsy among college students in
Polanczyk, G., Rohde, L. A., Szobot, C., Schmitz, M., Montiel- Trinidad and Tobago. Epilepsy & Behavior, 15, 160-165.
Nava, C., & Bauermeister, J. J. (2008). ADHD treatment in
Latin America and the Caribbean. Journal of the American Author Biographies
Academy of Child & Adolescent Psychiatry, 47, 721-722.
Polanczyk, G., Silva de Lima, M., Lessa Horta, B., Biederman, J., Marsha K. Youssef is a clinical psychologist practicing in Trinidad
& Rohde, L. (2007). The worldwide prevalence of ADHD: & Tobago. She has a keen interest in child development, adolescent
A systematic review and metaregression analysis. American health and psychological assessment. Having worked in a variety of
Journal of Psychiatry, 164, 942-948. clinical settings she is actively seeking to promote a greater under-
Pottinger, A. M., La Hee, F., & Asmus, K. (2009). Students standing of mental health throughout Trinidad & Tobago particu-
admitted to university who fail: Hidden disabilities affect- larly as it affects children and young women.
ing students’ performance. West Indian Medical Journal, 58, Gerard Hutchinson is a Professor of Psychiatry and the Head of
99-105. the Department of Clinical Medical Sciences at the Faculty of
Rodrigo, M. D. A., Perera, D., Eranga, V. P., Williams, S. S., & Medical Sciences of the University of the West Indies. He has
Kuruppuarachchi, K. (2011). The knowledge and attitude of extensive experience in clinical practice and serves as a Consultant
primary school teachers in Sri Lanka towards childhood atten- Psychiatrist with the North Central Regional Health Authority,
tion deficit hyperactivity disorder. Ceylon Medical Journal, 56, Trinidad & Tobago. Educated at the University of the West Indies
51-54. and the University of London in has trained in Developmental
Sciutto, M. J., Terjesen, M. D., & Bender Frank, A. S. (2000). Psychiatry with special interests in suicide, forensic psychiatry and
Teachers’ knowledge and misperceptions of attention-deficit/ psychosis areas in which he has several well recognised publica-
hyperactivity disorder. Psychology in the Schools, 37, 115-122. tions. Formerly a Wellcome Trust Research Fellow, he is also a
Sherman, J., Rasmussen, C., & Baydala, L. (2008). The impact member of the International Association for Suicide Prevention
of teacher factors on achievement and behavioural outcomes (IASP) and several other local and regional professional bodies.
of children with attention deficit/hyperactivity disorder
(ADHD): A review of the literature. Educational Research, Farid F. Youssef is a lecturer in Human Physiology at the Faculty
50, 347-360. of Medical Sciences of the University of the West Indies. His current
Stolzer, J. M. (2009). Attention deficit hyperactivity disorder: Valid research focuses upon (i) neurobehavioral assessment in children,
medical condition or culturally constructed myth? Ethical (ii) stigmatization of mental illnesses and (iii) social neuroscience,
Human Psychology and Psychiatry, 11, 5-15. particularly understanding the neurobiology and psychology of pro-
Syed, E. U., & Hussein, S. A. (2010). Increase in teachers’ knowl- social behaviour. He is also responsible for the design and delivery
edge about ADHD after a week-long training program: A pilot of the Program in Professionalism, Ethics and Communications with
study. Journal of Attention Disorders, 13, 420-423. the Faculty.

580373
SGOXXX10.1177/2158244015580373SAGE OpenHerdlein and Zurner
3
Student Satisfaction, Needs, and Learning
Outcomes: A Case Study Approach at a
European University
Richard Herdlein1 and Emily Zurner2
Abstract
A study of student satisfaction, needs, and learning outcomes was commissioned by a comprehensive university in Western
Europe to provide a professional evaluation of student services and the co-curricular activities of students. Such a study
had not been completed in the past and was needed to align student services with the mission, long-range goals, and
strategic planning of the university. The research involved both qualitative and quantitative methodologies conducted through
volunteers divided into five focus groups of 33 national and international students and a survey involving 104 national students,
of whom 86 provided complete data. The results were analyzed using the Statistical Package for the Social Sciences (Version
22) and the constant comparison method. The study demonstrated that students view interactions outside the classroom
as important opportunities to develop and hone a myriad of personal knowledge and skill sets important to becoming global
citizens and internationally competent professionals.
Keywords
student affairs/services, globalization, European University, assessment, qualitative/quantitative methods, learning outcomes,
co-curricular activities
As part of a teaching/research Fulbright award, a private, Background

selective, comprehensive university of 23,000 students com-
missioned a study of the satisfaction, needs, and learning European universities in general and the higher education
outcomes of students relative to student services and other system in Western Europe have paid little attention to
outside-the-classroom activities. Such a study had not been approaching student learning with an emphasis on activities
completed in the past and it was considered important to that occur outside the classroom (Osfield, 2008). The idea of
gather data and receive recommendations from an external “holistic” education is more closely related to the American
source to integrate this area of university administration with tradition that places significant emphasis on “student learning
the mission, long-range goals, and strategic planning of the and development” outside the classroom. Students through-
university. out the world find ways to spend their time outside of class in
The subject institution serves the university system in the activities that complement the formal academic curriculum as
European Union and higher education throughout the world well as the mission and goals of the university. Student
through diversified study abroad and international student unions, associations, clubs, and organizations have a long his-
programs. The university consists of faculties, schools, and tory of providing some outlet for the student need to socialize,
institutes (academic units) facilitating the needs of students organize, recreate, volunteer, and sometimes worship
pursuing a broad range of discipline-specific programs together. Students reside in residence halls and off-campus
including medicine and health sciences, engineering, law, apartments, dine at campus restaurants, attend plays and con-
economics/business, science and technology, arts and certs, and plan and administer a myriad of activities both for-
humanities. The campus lies in an urban setting allowing stu- mally and informally. European tradition offers a philosophy
dents to take advantage of the educational, social, and cul-
tural amenities of a major metropolitan area of over one 1
SUNY Buffalo State, NY, USA
million people. The campus infrastructure includes a mix of 2
SUNY New Paltz, NY, USA
stately historic buildings and carefully integrated modern
architecture. Two university hospitals and a recreation/sports Richard Joseph Herdlein, SUNY Buffalo State, 1300 Elmwood Ave.,
complex outside the city limits complement the main Buffalo, NY 14222, USA.
campus. Email: herdlerj@buffalostate.edu

Student Satisfaction, Needs, and Learning Outcomes: A Case Study Approach at a European University 25
that co-curricular activities are merely ancillary to the mis- credit transfers between European universities. With
sion of the university, which is research, classroom teaching, increased options for transfers and a prioritization for inter-
and academic learning. Responsibility for the personal and nationalization, Gruber et al. (2010) and Osfield (2008) con-
social development of the student does not fall to university cluded that universities need to address the needs of a
administrators and faculty. Instead, it is left to developments changing and diverse student body. In addition, some coun-
made prior to university attendance, acquired accidently dur- tries recently introduced fees and tuition charges while also
ing their stay, or left to parents that may still have an influence witnessing a change in student expectations regarding avail-
on character and personal development. The essential issue to ability and satisfaction of services. As the student becomes
consider is whether student interactions outside the classroom more of a consumer, universities that only focused on class-
should be more intentional, giving the university experience room learning and research will have to be more aware of
greater impact by complementing the goals of the higher edu- student satisfaction (Gruber et al., 2010). Machado, Brites,
cation system to produce ethical and capable citizens to lead Magalhães, and Sá (2011) referenced the report by the
a region in a competitive, globalized world. Commission of the European Communities (2006) which
Adopting a more intentional approach to educating out- emphasized that higher education institutions need to
side the classroom is an appropriate solution to one of the embrace change if they want to be competitive in the modern
major challenges mentioned in the mission of the case study world.
institution which indicates that the university is not only for Machado et al. (2011) also reported on student satisfac-
classroom teaching and research, but also educating for life tion, indicating that meeting student needs to retain them is a
and making students grow as human beings. challenge worldwide. Bateson and Taylor (2004) suggested
that the countries of Central and Eastern Europe should look
to the United States and the emphasis on student involve-
Literature Review
ment theories as a “starting point in our understanding of our
There is a paucity of available literature on international stu- contemporary students’ behavior” (p. 478). Traditional
dent services in Europe as the topic has only recently received European universities tend to maintain the idea that higher
attention (Dalton, 1999). One of the most exhaustive books education is for research and inside the classroom learning,
on the topic is an edited volume titled Internationalization of but Ping (1999) concluded that “what the contemporary
Student Affairs and Services: An Emerging Global campus requires are patterns and structures that allow people
Perspective (Osfield, 2008), which proposed to “produce a to live together, to learn together, and to educate one another”
comprehensive book on the development of student services (p. 14). Machado et al. and Gruber et al. (2010) carried the
around the world to show how student services are actually argument further suggesting that the need for European insti-
delivered . . . and to give students an opportunity to learn tutions to meet the expectations of students is a matter of
about worldwide delivery models” (p. ix). As with many survival. In turn, there is a need for universities to assess
research studies, the work unveiled as many questions as it student satisfaction, bringing them more in line with what is
supplied answers to the current state of supporting students perceived to be quality service.
outside the classroom. It was important then to review previ-
ous research through a number of themes that emerged from
Assessing Student Satisfaction
the literature to define and clarify ideas that developed from
the current case study of a European university. The themes The movement to accept qualitative research has a long his-
include; higher education reform and changing expectations; tory in American higher education dating back to the 1960s.
assessing student satisfaction, needs, and learning outcomes; There is currently general agreement that concentrating on
and the importance of outside-the-classroom activities and participant viewpoints and the meaning individuals attach to
student services. educational issues is not only valid, but even preferred in
specific cases, over quantitative methodologies (Creswell,
Higher Education Reform and Changing Student 2008). The movement to focus on student satisfaction and
needs eventually led to qualitative methods of evaluating
Expectations student services and the impetus to justify the cost of co-
The priorities of European higher education were redefined curricular activities led to the current focus on learning out-
with the Bologna Declaration in 1999 and subsequent efforts comes. Many scholars in the literature of American higher
to transition an autonomous system into a regional and education have found the assessment of student satisfaction
dynamic process. Terry (2008) and Gruber, Fuß, Voss, and not only appropriate but “necessary due to pressures from
Gláser-Zikuda (2010) suggested that key efforts in the pro- decreasing enrollment, budget cuts, shrinking fiscal
cess were to establish a harmonized system of quality assur- resources, and increased competition for government fund-
ance in higher education across Europe and to become ing and private support” (Li, McCoy, Shelly, & Whalen,
competitive in the global economy. The Bologna initiative 2005, p. 176). Bean (1980), Hendel (1985), Lenning and
developed a unified higher education system that allows Ebbers (1999), Schuh (2009), and Schuh and Upcraft (2001)

have supported the argument that satisfaction is “one of the Importance of Outside-the-Classroom Activities
most direct tests of postsecondary success, and a positive and Student Services
relation has been established between academic satisfaction
and retention (Li et al., 2005, p. 177). Research has demonstrated that student participation in
Although there has been some effort to assess student satis- activities outside the classroom is not only important but also
faction at European universities, Bateson and Taylor (2004) highly desired by students. Osfield (2008) suggested that stu-
found that university decision makers only receive sporadic dents need to be educated as “citizen leaders” and that expe-
student feedback although it is critical to planning the appro- riential activities and reflective learning will aid in achieving
priate implementation of programs. A more systematic and these skills. Although significant advances have been made
comprehensive effort of assessing student life is prepared in the recognition of the importance of student services in
every 3 years by the Social and Economic Conditions of European countries and across the globe, subtle differences
Student Life in Europe report, which analyzes the changing remain in the funding and delivery of these services and the
trends in European higher education (Orr, Gwoce, & Netz, preparation of professionals responsible for ensuring quality.
2011). Although the study produced essential information on The historic European model of providing student services
academic effectiveness, it failed to address outside-the-class- through autonomous, non-profit entities that are financially
room learning. The analysis was divided into three categories independent of the university may continue indefinitely.
including student/faculty contact, personal study time, and According to Tejido (2008), “There can be no universal, all-
paid jobs. It made no mention of key terms such as student embracing standard of excellence of student affairs and ser-
development, outside the classroom and experiential learning, vices applicable to all colleges and universities throughout
student affairs, learning outcomes, and co-curricular activities. the world” (p. 213). Nevertheless, the many dynamics of the
In addition, learning-related activities were defined only as Bologna Declaration as well as globalization and interdepen-
either formal pedagogical time or personal study time. As Akil dence in higher education may yet contribute to significant
(2011) noted in the commentary on the Orr et al. (2011) report, change (de Wit, 2002).
“ . . . student support has been considered tangential to institu- The following study of student attitudes concerning the
tional strategy because, from this perspective, students should co-curriculum clearly demonstrates that both European and
largely be able to take care of themselves” (p. 298). non-European international students want to develop both
This idea of student self-reliance and student services personally and intellectually. Student subjects were consis-
being tangential to the institutional mission has been chal- tent in expressing satisfaction, needs, and learning outcomes
lenged by additional findings, indicating that the opposite relative to experiences outside the classroom. Their percep-
conclusion might also be reached. Akil (2011) suggested that tions mirrored ideas found in previous research and specifi-
European universities need to be aware that “eighty percent cally identified in the literature review. The current study
of students [surveyed] indicated that the availability of ser- focuses on the following research questions:
vices at the host institution were either very important or
partly important in their final decision about where to study” Research Question 1: What was the level of satisfaction
(p. 298). The Social and Economic Conditions of Student of students with student services and learning opportuni-
Life in Europe report also concluded that an overwhelming ties outside the classroom?
majority of students consider a foreign enrollment phase as a Research Question 2: What were student needs rela-
way to develop personally (Orr et al., 2011). Machado et al. tiveto student services and outside the classroom
(2011) concluded that students would also prefer improved activities?
access to interactions with faculty outside the classroom as Research Question 3: What do students learn outside the
well as quality academic advising. They also suggested that classroom?
being involved in social aspects as well as the academic Research Question 4: Do students feel that outside-the-
realm retains students and an institution must recognize “that classroom learning is an integral part of a university
the social dimension in learning activities is critical” education?
(Machado et al., 2011, p. 420).
Bateson and Taylor (2004) agreed with this point, sug- Method
gesting that “the learning process in the university goes
beyond classroom interactions between student and profes-
Participants
sors, reading, writing, and taking examinations” (p. 479) and Students were recruited to participate in focus groups with
there must be further effort to address this. Osfield (2008) the assistance of faculty and academic administrators. To
recognized that there is a “blurring of boundaries” between diversify the groups, support was also provided by other
academics and support in higher education that requires members of the campus including the international and stu-
more focus on the co-curriculum and, in turn, develops a dent services offices in various academic units of the univer-
need to better understand how and where learning occurs and sity. Of the five focus groups, three were conducted with
how it is assessed. national students whereas another two included international

Table 1. Focus Group Totals—Demographics (n = 33). Table 2. Quantitative Survey—Demographics (n = 86).
Gender (%) Gender (%)

Female 39.4 Female 63
Male 60.6 Male 37
Race (%) Race (%)
Caucasian 57.7 Caucasian 79.5
Indian 15.49 Hispanic 2.40
Asian 11.5 Indian 2.4
Hispanic 7.69 Black 1.20
Other 7.69 Other 14.5
Student status (%) Student status (%)
Undergraduate 39.4 Undergraduate 53.0
Master’s 57.6 Master’s 45.8
Other 3.03 Other 1.20
Age (%) Age (%)
18-22 69.7 18-22 73.3
23-25 27.3 23-25 26.7
26+ 3.0 Religion (%)
Religion (%) Catholic 78.0
Catholic 63.6 Islamic 6.10
Protestant 6.06 Protestant 1.21
Hindu 6.06 Jewish 1.20
Islamic 3.03 None 14.6
Jewish 3.03 Major (%)
Other 3.02 Economics/business 57.0
None 15.2 Law 26.7
Academic major (%) Arts/humanities 5.81
Economics/business 60.6 Science/engineering 5.81
Arts/humanities 18.2 Health sciences 4.65
Science/engineering 12.1
Law 6.06
Health sciences 3.03 demographic information available on 86 students.
Note. Schools represented: science/tech., engineering, health science,
Participants in the history class were not asked to complete
economics/business, arts/humanities, law; countries represented: Brazil, the demographic section of the survey nor did they receive
Mexico, China, India, Slovakia, United States, France. directions similar to other groups resulting in a large number
of “neutral” responses. Consequently, the results from these
students for a total of 33 participants (see Table 1). The focus 18 students were not included in the totals.
groups averaged 6.6 participants per group as each session Table 2 indicates the percentage of surveyed students by
included at least 5 and no more than 8 participants. gender, age, race, religion, academic level, and major. The
The data indicate that more male students volunteered to typical participant was 18 to 25 years old, either an under-
participate in the focus groups. Part of the dynamic was graduate or master’s level student, and majoring in econom-
likely due to the gender spread across academic majors and ics/business or law.
the fact that 60% were recruited from International Business,
a program which generally attracts a larger percentage of
Procedure
male students. The typical student participating was 18 to 22
years of age, Caucasian, a master’s level student, and major- To provide relevant data for the study, it was deemed impor-
ing in business although other academic concentrations pro- tant to gain perspective from those directly experiencing the
vided significant diversity. phenomenon under consideration. This constructivist view,
Additional students were asked to complete a survey in linked with hermeneutic phenomenology, or the science of
four special lectures offered by the researcher (see Table 2). interpretation, formed the theoretical perspective of the study
The classes included economics and law students. A faculty (Jones, Torres, & Arminio, 2006). A mixed method approach
member from the history department distributed surveys to to data collection was used, including both qualitative and
students in one class and an additional opportunity to survey quantitative methodologies, to investigate the relationship
students from the Chaplaincy program was also pursued. The between the university environment and student perceptions
total number of completed questionnaires was 104, with of satisfaction, needs, and learning outcomes. A case study

was appropriate as “an in-depth exploration of a bonded sys- positively by students. The opportunity to interact more
tem (e.g. an activity, event, process, or individuals), based on directly with faculty and receiving excellent service from
extensive data collection . . . separated out for research in staff in some of the academic units were also frequently men-
terms of time, place, or some physical boundaries” (Creswell, tioned. Transfer students, in particular, noted the difference
2008, p. 476). between public and private universities, indicating the posi-
The research procedures followed a systematic and tradi- tive aspects of personal attention and small classes.
tional approach to deriving significant information from stu-
dents by conducting meetings with three to five focus groups Needs—Focus Groups
until redundancy and comparing the results with quantitative
measurements such as a survey using a 5-point Likert-type In terms of student needs, strong concerns existed about the
scale (Schuh, 2009). This type of approach produces both academic units of the university becoming more integrated
qualitative and quantitative data that are then compared for and united. Students wanted an opportunity to meet as many
participant consistency. Students from the university of their counterparts as possible for intercultural learning and
responded to the focus group questions and written survey networking. Students also felt that at least some elective
with consistency indicating that the sample was representa- classes could be shared, bringing engineering, business, law,
tive of the student body at the university. Exceptions were and art students together in intellectual discourse.
found with those students enrolled in special university insti- Students also indicated discord about the perceived differ-
tutes such as law and engineering, where resources were ences in the status and resources among the different academic
considerably more substantial. These students demonstrated units of the university. Improved registration procedures, more
overall satisfaction with services and outside the classroom organized websites, financial resources for student associa-
opportunities. Despite this obvious disparity, the major con- tions, more updated course descriptions and syllabi, attentive
clusions from the other academic centers were remarkably and conscientious support staff, engaging faculty, and enjoy-
uniform. able/interactive programming greatly affected student satis-
faction and perceptions of the university. Students questioned
why the university does not have more influence on resolving
Results these obvious differences in academic delivery systems, espe-
cially in light of how clearly the university administration
Satisfaction—Focus Groups understands the impediments to attaining the desired goals
The focus groups were completed over a period of 3 weeks articulated through the mission statement.
for a total of 8 hr of testimony from students. Notes were Each focus group emphasized the need for improved
taken and the sessions were recorded to ensure better com- internal communication at the university where even staff
prehension of the responses. The data were then divided into may not know what is available and where services are pro-
the major areas of the study including student satisfaction, vided. In addition, some staff reportedly viewed their respon-
needs, and learning outcomes relative to student services and sibility to students as ending at the door of each academic
outside the classroom experiences. The results indicated that entity. In such a subdivided university, communication is an
students were relatively satisfied with services and campus inevitable challenge, and the university has made a tremen-
life. Students that were involved in campus activities such as dous investment in facilities and personnel that cannot reach
student associations, chaplaincy, sports and recreation, and full potential under current conditions.
social life reported a greater degree of satisfaction than peers Students expressed the need for sports/exercise in their
who did not use the services or interact socially with fellow routine and learning experience while attending the univer-
students. Students well served by their academic unit reported sity. Many felt that the Sports Complex located off the main
a higher degree of satisfaction although not necessarily with campus was too great a distance to negotiate and students
the university. Examples of quality service and well-orga- were unaware of both the transportation possibilities and
nized programs were the aforementioned special and well- operating schedules. The fee structure was perceived as unaf-
financed institutes of law and engineering. fordable and a required physical exam an impediment to
Students felt that the international emphasis of the univer- usage. The male students, in particular, expressed the great-
sity was one of its exceptional, noteworthy, and distinguish- est interest in university-organized sports activities rather
ing characteristics. Meeting students from across the world than those simply left to the individual academic units.
as a result of the international programs and the personal Students preferred competitive sports such as soccer, basket-
growth opportunities from study and internships abroad were ball, volleyball, and rugby and envisioned teams represent-
frequently mentioned as transformational and highlights of a ing each academic unit competing in an intramural league.
university education. Weekend and holiday trips to major cit- Resident students seemed to be aware of the weight and
ies and contiguous countries for international students, inex- exercise/aerobics room in one housing unit but questions
pensive food and health services, and formal/informal social remained about payment of fees, eligibility for usage, and
gatherings sponsored by student associations were viewed schedule.

Students felt strongly about the library being restricted to programs, residential living, and outside the classroom
certain schools. There was a general feeling that a university experiences. They made it clear that the decision to study
library needs to be accessible to all students. It should have abroad was motivated by academic, intellectual, and profes-
expanded hours to accommodate evenings and weekends sional reasons as well as personal growth and social/cultural
and not involve additional fees or restrictions. There was also opportunities. Their perceptions of the student experience at
an interest in additional academic help beyond what the pro- the university closely mirrored those of their local counter-
fessor might be able or willing to provide. A tutoring center parts, providing support for the representative nature of the
staffed predominately by students, as in the English language focus groups.
institute, was suggested. The need for additional help with International students were informed of the university and
job placement and internships and better links between the academic coursework through exchange programs sponsored
university and business/service organizations was also men- by their home university, referrals from family, friends, and
tioned by students in certain academic areas. There were also language teachers, as well as the university website. Their
concerns about additional lounges and meeting space where first comments reflected not only on the location and facili-
students could interact informally between classes and across ties of the university, but also on the differences in delivery
schools. Finally, students expressed concern about the need of academic and co-curricular services and the overall nature
for a general orientation to the university and its services and of the university. International students agreed that the sepa-
physical facilities beyond what is offered by individual ration of academic units makes it difficult to meet and social-
schools. ize with students outside their particular concentration of
study. They did not come to an international university
merely to learn more about an academic discipline, but also
Learning Outcomes—Focus Groups
to grow and develop socially, intellectually, and globally.
Students were asked to explain what they may have learned The organizational nature of the university made it challeng-
from interactions outside the classroom and involvement ing to accomplish some of those goals, but this depended
with student services. They mentioned a number of growth- greatly on the level of support received in each individual
producing results that complement the formal academic cur- school. Students in the engineering and economics/business
riculum by assisting personal as well as intellectual growth. institutes reported a greater degree of overall satisfaction in
Learning about other cultures, improving character and terms of social and cultural opportunities provided through
establishing a sense of autonomy, greater tolerance and their academic units including intentional programming,
appreciation of individual differences, learning to manage a effective student associations, lounges and facilities for
team and gaining self-confidence and adaptability, becoming cross-cultural interaction, encouragement for personal
more open minded, and having a new attitude toward differ- growth and development, and informed professional staff.
ent cultures were mentioned. Learning the importance of International students had numerous concerns about their
volunteerism and reflecting later on their personal good for- academic experiences, including the number and frequency
tune were further considered. Additional examples provided of courses offered in some programs, different teaching
during the feedback sessions included how to be more styles, and organization of individual courses, all of which
focused, how to share with others, and reflecting on some of are beyond the scope of this study. It should be noted once
the narrow thinking and perceptions one might have since again that student satisfaction with academic programs
childhood. appeared to fluctuate significantly between individual
schools, faculties, and institutes of the university.
Additional topics discussed by international students
Focus Groups IV and V—International Students
included the lack of communication across the university
International students were an important group at the univer- and the broad range of information flow from excellent to
sity numbering nearly 3,000, justifying their inclusion in less than adequate. Although some of these students
Focus Groups IV and V. These students, from many corners reported using the recreational facilities, others commented
of the world, enhance the reputation of the university as an on the impediments to usage such as transportation, the
international student destination of strong standing and sta- physical exam, fees, and lack of organized activities includ-
tus while providing the campus community with a unique ing intramural/extramural teams. Students commented
opportunity for intercultural learning and interaction. In favorably on the social life available, including the many
essence, they are an extremely important resource for the gatherings and trips sponsored by the International
university in multiple ways. Relations Office at each individual school. They also
These two focus groups consisted of international stu- reported general satisfaction with university residence halls
dents from seven academic disciplines and six countries but expressed a number of concerns about interacting with
across four continents including North and South America, the Student Housing Office and certain personnel in resi-
Asia, and Europe. Participants were extremely bright, artic- dence and the undependable nature of the internet service.
ulate, and insightful about experiences with academic Despite their general satisfaction, they had real concerns

Table 3. Likert-Type Scale Aggregate Totals (n = 86). of student satisfaction, involvement in a meaningful organi-
zation such as the Chaplaincy program could enhance overall
Strongly Strongly
agree Agree Neutral Disagree disagree Strongly student perception.
agree/
5 4 3 2 1 M SD% agree (%)
Likert-Type Scale Survey—Needs
1. As a first year student, my impressions 4.16 0.666 87.2
of the university were positive In terms of student needs, Statement 7 on the Likert-type
2. Learning about the university came 4.03 0.803 79.1 scale surveys indicated that only 29% of the respondents felt
from family, website, or high school that their social and holistic needs were being met by student
counselor services. This statement on needs was one of the bottom
3. Involvement in student services 3.91 0.966 69.8 three areas in the survey with only the Chaplaincy students
and outside the classroom learning reporting a positive rating of 4 or 5 (agree or strongly agree).
is an integral part of the university
experience
4. There is a strong level of student 3.49 0.781 45.3 Likert-Type Scale Surveys—Learning Outcomes
satisfaction with student services
5. Student services provides learning 3.37 0.908 40.7 In Statement 3, students were asked to rate their perceptions
opportunities different from the of whether outside-the-classroom learning was an integral
classroom but nonetheless important to part of a university education. They were also asked to com-
my personal growth and development ment on whether or not these experiences were important to
6. Personally, I understand how to use 3.29 0.824 41.9 personal growth and development. Table 3 demonstrates that
student services to my advantage nearly 70% of the students felt that co-curricular learning
7. My social and holistic needs have been 2.95 0.981 29.1 was an integral part of the university experience and just
met by student services at the university over 40% considered the resulting learning opportunities
8. Professional staff in student services 2.92 0.848 23.3
important to personal growth and development.
have served as mentors
9. During orientation to the university, 2.72 0.877 19.8
student services were described in Likert-Type Scale Surveys—Additional Responses
detail
Responses to Statements 1 and 2 on the survey revealed that
most of the students had learned about the university from
about certain academic procedures and the lack of integra- family/friends, the website, or high school fairs and that ini-
tion of the schools, faculties, and institutes, leading to tial impressions of the university were positive for nearly
vastly irregular levels of services, fewer intercultural four fifths of the students. Less positive were the responses
opportunities, lack of overall communication, and residen- regarding understanding how to use student services to their
tial issues. personal advantage (41.9%), professional staff awareness to
serve as mentors (23.3%), the university fulfilling social and
holistic needs (29.1%), and experiencing an orientation to
Likert-Type Scale Surveys—Satisfaction describe student services in detail (19.8%).
The Likert-type scale surveys were distributed to all students
at the beginning of lectures provided by the researcher. A
Survey—Open-Ended Questions
brief orientation was provided explaining the purpose of the
research and directions on instrument procedures. Students The survey included two open-ended questions to provide
completed the nine Likert-type scale questions and two additional information to complement the quantitative data
open-ended written responses in 5 to 7 min. The results indi- and facilitate comparison with the focus group responses
cated that less than 50% of the students surveyed were satis- (see Table 4). The results provided an excellent list of posi-
fied with student services and outside the classroom learning tive aspects of the co-curriculum that included interacting
opportunities at the university (see Table 3). Given the fact with other students outside of class, volunteer opportunities,
that many of these services and co-curricular learning oppor- living in university residence halls, student social events, and
tunities were separate responsibilities of each academic unit, health and food services. When asked to describe what had
this study is as much a reflection on the effectiveness of these been learned from these activities outside of class, they
individual faculties/schools/institutes as the university in reported on social, personal, and developmental transforma-
general. Students involved in the Chaplaincy program repre- tions. When suggesting ideas that might assist in improving
sented five different disciplines and reported being over- the university experience, further items were offered that
whelmingly positive about campus life and services. This reflected many of the topics discussed with the focus groups:
result supports the idea that even if the number of opportuni- enhanced communication through better orientation; student
ties provided by individual schools was below a certain level bulletin boards in all academic buildings; announcements in

Table 4. Responses to Survey Open-Ended Questions. fortunate to attend a university with an obvious international
Describe the positive aspects of outside the classroom focus and the presence of students from abroad to enhance
experiences and what you learned the learning environment. They spoke highly of the growth-
•• Interacting with other students outside of class and making producing opportunities provided for international study and
friends while networking internships that were identified as the hallmark of a univer-
•• Volunteer opportunities both at the university and in the sity education and the one common dimension that perme-
community became available ated the entire institution. A generally positive satisfaction
•• Social events brought students together in different ways than regarding both the formal and informal life of the campus
simply through classes also recognized the opportunity for students to meet and
•• I learned more about myself and how to interact with others interact with each other.
•• Services such as the health center, dining hall, and residence
life helped me to grow as a person
•• I felt as a person, my interactions outside of class were Needs
transformational
Although the general impression of the university was more
Please list suggestions you may have on how the university might than positive, students expressed concern about the organiza-
enhance your learning experience tional dynamics of the university and the inevitable conse-
•• A more general orientation which includes the entire quences. The separate schools, faculties, and institutes
university rather than simply individual schools operate so independently that some students fail to realize
•• Improved recreation and sports activities; better their education comes under the governance of the overall
communication and transportation to use services university. In terms of opportunities for “university life,” stu-
•• University events that would include students and faculty from dents perceived limits to their ability to take advantage of
all of the schools and institutes
what a university education could and should offer. They
•• Place bulletin boards in all buildings to improve communication
of activities and events
hope to interact with as much of the human side of the uni-
•• More equity between the schools in terms of services, versity as possible for intercultural learning and networking
resources and co-curricular activities to provide future opportunities.
•• Additional staff for tutoring, planning student activities, finding The independence of various sectors of the university also
part-time jobs, and housing appeared to lead to differences in the quality of the services
available to students. As one student explained so aptly,
“Some schools have everything, we have close to nothing.”
class and through newsletters; university events that would Some academic units have limited financial resources, inef-
provide an opportunity to meet students from various aca- fective student associations, inattentive staff, poor organiza-
demic units; more equity in activities and services between tion, and lack library privileges. Other academic entities
disciplines; improved recreation and sports activities; and were noted for their leadership and more dynamic approaches
additional services and staff for tutoring, planning student to student learning and development. Students also expressed
activities, finding housing and part-time jobs, as well as concern for the lack of an internal flow of information (com-
facilitating orientation and communication. munication) that perhaps is an almost inevitable result of
independent schools. Students earnestly wanted to know
about opportunities available to them, where these opportu-
Discussion nities could be found, and how to schedule and pursue them.
A comprehensive assessment of student satisfaction, needs, Many staff were reported to be as confused as these students
and learning outcomes at the subject university attempted to about available services. The students expressed a desire for
answer four research questions established at the beginning greater accessibility to recreational/sports facilities and visi-
of the study in response to the university’s need for critical bility with organized teams for competition. They further
information related to its mission, goals, and strategic plan- identified the need for services such as finding accommoda-
ning. Using both qualitative and quantitative methodologies tions, part-time job placement, tutoring, improved orienta-
from the focus groups and the general student population, tion, and more appropriate meeting places and lounges.
respectively, information was gathered through a conve-
nience sample of students currently attending the university.
Learning Outcomes
Students also reported a list of personal growth issues that
Satisfaction resulted from involvement with student services and outside-
The results indicate that students consistently expressed their the-classroom activities. Learning about other cultures,
general appreciation for the university and had positive ini- autonomy, leadership, tolerance, volunteerism, time man-
tial impressions of its history, reputation, buildings, and agement, and adaptability were considered desirable charac-
highly regarded academic programs. National students felt teristics to be honed during a university education. From the

responses to the Likert-type scale statements, it was also evi- the academic calendar. Other accommodations in response to
dent that students felt strongly that learning outside the class- the student needs that have been identified include a more
room is not only an integral part of a university education but generalized and effective orientation for incoming students;
also an important component of personal growth and devel- faculty and staff orientation; a more complete student hand-
opment. As consumers of higher education, they reported book; a university fee to support services currently provided
searching for opportunities to reach beyond the classroom free for some but not all students; integrating the sports/recre-
and the formal curriculum to test their hypotheses on human ational complex into campus life, and eliminating current bar-
interaction and enhance the learning curve of self-knowledge riers to its usage; creating a comprehensive student center
and understanding of others. with offices for all the student associations and campus clubs
and organizations; professionalizing staff positions in student
services especially in student housing; and accepting the idea
Summary and Recommendations
that students involved in campus life outside the classroom
Summary creates more positive members of the university community
and significantly more satisfied students and potential alumni
Evidence from the present study suggests that the university donors.
has an unusual opportunity to forge a new path that differs
from the general approach to higher education, which has
historic traditions in continental Europe and throughout most Limitations and Future Research
of the world. As the data of this study demonstrated, both Survey research and using a convenience sample subdivided
European and international students consider the university into focus groups both imply a number of limitations to the
experience as a place and time when they not only prepare study at hand. Sample size was affected by time restrictions
for a specific career, but also grow and develop socially, and the magnitude of the university population. The sample
emotionally, physically, and spiritually. Steps in this direc- did not include representation from all of the faculties,
tion can be taken through certain curricula in the social sci- schools, and institutes although it did include students from
ences and humanities, but for most students the process will each of the four major academic divisions of the university
take place (or not) outside the classroom through interactions as well as a number of special schools and institutes. A more
with peers and in conjunction with a myriad of programs and involved study would aim to consider additional institutions
services associated with the university. By making timely, from a variety of geographic areas across the globe, include
incremental, thoughtful, cost-effective, and intentional ini- both public and private universities, and delineate students
tiatives, the university can cast a positive influence over a according to undergraduate and graduate status to ascertain if
great academic center of higher learning by defining com- potential differences are negligible or of consequence and
mon ideals and practical objectives within its disparate parts. importance to this study’s understanding of the major issues.
The university can accomplish the goal of developing a more As the global network of advanced learning grows exponen-
uniform and consistent experience by providing greater tially, research must be carried out to reveal the most func-
equality and possibilities for interaction for its entire student tional methods to organize and manage institutions of higher
body. learning. Although asking the very clients (students) how to
approach the teaching/learning model may seem anathema to
Recommendations many higher educational professionals across the globe, edu-
cators have an imperative to find and implement best
Institutions of higher learning, in general, have limited practices.
options in solving all of the issues identified in this study of
student satisfaction, needs, and learning outcomes.
Nevertheless, incremental changes could mitigate some of
the issues raised by these students. Through greater aware- The author(s) declared no potential conflicts of interest with respect
ness and commitment to change, large universities can work to the research, authorship, and/or publication of this article.
toward greater cooperation across their campuses. This
interaction should include opening certain courses to uni- Funding
versal registration, creating opportunities for all students to The author(s) received no financial support for the research and/or
interact socially, sharing resources to modify inequities authorship of this article.
among students from different schools, faculties, and insti-
tutes, and greatly enhancing communication and mutual References
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The George Washington University. conducting research on European Higher Education.

564359
SGOXXX10.1177/2158244014564359SAGE OpenNgotngamwong
4
Pair Tests in a High School Classroom:
Another Option for Students and
Teachers
Rachaniphorn Ngotngamwong1
Abstract
This study was conducted to find out how high school students responded to pair tests: the collaboration of two students in
taking a test together. The objectives of pair tests were intended to create excitement, a higher motivation to study, increase
learning through discussion, and close collaboration during a test. The outcome of the study indicated that the majority of
the students enjoyed pair tests, and there were increases in motivation, discussion, learning, and collaboration. The main
downsides of pair tests were disagreements over answers and the laziness of some test takers as this behavior created
negative impacts on their responsible partners. The overall picture of pair tests was positive, and it is recommended that
they are administered not more than once a quarter.
Keywords
achievement, education, social sciences, education theory and practice, educational measurement and assessment, educational
research, international education, higher education
Introduction group tests of two students, four students, and even a class
test (one test for the entire class). After a few years of experi-
Student assessment is a compulsory component at all levels mentation, she discovered that the best test was the one with
of education and comes in various forms. Educators have two options open to all students: (a) individual test and (b)
increased student empowerment in classroom assessments to pair test (two persons taking one test together). She also real-
increase motivation, interest, and student engagement to ized that disagreements over answers could be easily resolved
enhance learning (Sanders, Boss, Boss, & McConkie, 2011). by simply allowing students to have an option of having their
Students’ collaborative efforts are positive as “students learn own individual answer sheets (two answer sheets) instead of
best when they take an active role in the education process, one. Students opting to take pair tests were allowed the privi-
discussing what they read, practicing what they learn, and lege of choosing whom to work with. Although there might
applying concepts and ideas” (Davis, 1993, as cited in Smart be a concern regarding disturbances as a result of discus-
& Csapo, 2007, p. 451). Moreover, Farooq and Regnier sions, it had never been a problem as discussions had always
(2011) mentioned that “learning experiences are being mani- been done very quietly. The usual percentage of students opt-
fest in the form of new approaches, theories, philosophies ing for pair tests is approximately 95% while the remaining
and meta-cognition” (p. 28). students worked individually on their tests, either because of
With this in mind, the researcher began to introduce the the student’s preference to work alone, or simply because the
concept of student collaboration during tests to create excite- student did not have a partner to work with.
ment and motivate students to study harder for tests. This is The literature that exists in pair testing pertains to com-
in line with the findings of Zapatero, Maheshwari, and Chen puter software development where two members work
(2012) that “students’ performance in traditional examina- together as a team to test the application of the software
tion does not improve at the same rate with higher level of (Balijepally, Mahapatra, Nerur, & Price, 2009; Dawande,
collaborative environment” and that “while changing the Johar, Kumar, & Mookerjee, 2008; di Bella et al., 2013;
classroom environment, testing methods and tools must also
change according to reflect the full effect of the collaborative
learning” (p. 102). 1
Stamford International University, Bangkok, Thailand
It took the researcher a period of 7 years (2005-2012) to
experiment with cooperative tests that were administered Rachaniphorn Ngotngamwong, Stamford International University, Bangkok
either quarterly, semi-annually, or annually during a class Campus, 16 Motorway Rd. (Km 2) Prawet, Bangkok 10250, Thailand.
period of 45 min. The initial tests were experimented with Email: DrKaten@gmail.com

Pair Tests in a High School Classroom: Another Option for Students and Teachers 35
Porter, Guzdial, McDowell, & Simon, 2013; Salleh, Mendes, have also found out that learning is enhanced with positive
& Grundy, 2011). Although there is limited literature to be learning outcomes when students are actively involved in the
found in the area of taking tests in pairs (pair tests), there is learning process, also known as active learning. Active learn-
plentiful literature on cooperative learning in pairs. This arti- ing is student centered rather than teacher centered, as stu-
cle presents the proposal of using pair tests in the high school dents are more engaged, gain deep learning, acquire greater
classroom as another alternative assessment for both teach- problem-solving and critical thinking abilities, and enjoy
ers and students and acts as a contribution to scarce litera- themselves (Benek-Rivera & Matthews, 2004; Sarason &
ture. This contribution is supported by Zapatero et al. (2012) Banbury, 2004; Smart & Csapo, 2007; Watkins, 2005;
who stated that the emphasis on measurement techniques in Zapatero et al., 2012).
a collaborative environment is minimal, and “there is a need
for more research in the area of assessment of the active/col-
Student Collaboration
laborative learning environment” (p. 103).
As the significance of teamwork increases in organizations,
preparing students to collaborate by working in teams has
Literature Review entered institutions with training starting at a very young
age, and all the way up to higher education in the form of
Assessment
assignments and projects (Cox & Bobrowski, 2004; Fredrick,
Assessment is the primary tool used in student placement, 2008; Kalliath & Laiken, 2006; Nickels, Parris, Gossett, &
grade assignment, grade-level promotion, and graduation. Alexander, 2010; Stewart & Barrick, 2000; Tabatabaei &
However, there has been an evolution in the definition of Lam, 2013). This collaborative effort is found distinctively
assessment today. Moon (2005) defines it as “the process of in cooperative small group learning that is reputed in pro-
observing student learning by collaborating with students to moting socialization and learning across K-12 schools and
collect and interpret data about their academic strengths and colleges. By working cooperatively with each other, students
weaknesses, interests, and learning preferences, with the learn to (a) share their ideas, (b) be open to other perspec-
goal of making decisions that benefit their instruction” tives, (c) cultivate better listening skills, (d) give and gain,
(p. 227). (e) be conflict managers, (f) gain academic and social sup-
Traditional classroom measurement assessments such as port, (g) have a higher self-esteem, and (h) apply knowledge
quizzes, tests, projects, or other similar assessment tools, as they gain greater understanding (Bertucci, Conte, Johnson,
have had to a large extent, failed to take into consideration, & Johnson, 2010; Cox & Bobrowski, 2004; Dewey, 1938,
the “collaborative and constructivist learning taking place in and Locke, 1693/2000, as cited in Smart & Csapo, 2007;
the active learning environment” (Zapatero et al., 2012, p. Gillies, 2003; Johnson & Johnson, 2005; Kalliath & Laiken,
103). Zapatero et al. (2012) also went on to state that the 2006; Koppenhaver & Shrader, 2003; Ukens, 2004; Zapatero
“traditional testing mechanism may not capture all different et al., 2012).
aspects of the learning taking place in the active learning
environment classrooms” (p. 104).
The availability of assessment alternatives are plentiful Working in Pairs, Groups, and Individually
today for educators to choose from and special care is needed Collaboration is frequently seen in groups or pairs because
in the “selection or development of proper assessment tools” “groups collaborate more effectively when individuals learn
(Stiggins & Chappuis, 2005, p. 16). Aside from traditional from each other” (“Pair Up to Foster More Learning,” 2014,
assessment methods, assessment technologies are readily p. 6). Moreover, the social independence theory state that
available and widely used, thus providing a wide array of there are higher achievements in cooperative groups com-
benefits to not only students but also to educators as well. pared with those who work individually (Bertucci et al.,
Assessments act as a useful feedback tool for educators in 2010; Johnson & Johnson, 2005).
supporting student achievement, motivation, and in helping While some researchers believe that productivity increases
them toward their learning targets (Heritage, 2007; Nolen, with group size, others state that the bigger the group size,
2011; Starkman, 2006; Stiggins & Chappuis, 2005; William, the more social loafing and complexities are involved in
2006). coordination (Bertucci et al., 2010). This is supported by a
study conducted by Bertucci et al. (2010), where “students in
groups of four did not achieve higher results than students
Student as Learners
working in pairs” (p. 267). By working in pairs, students gain
There has been a tremendous transformation in school learn- a higher self-esteem, and bond faster at a more personal level
ing during the past few decades, with deviation away from as there are only two individuals (Bertucci et al., 2010).
the traditional, teacher-centered classroom toward a more Living in a digital age where information technology is
student-centered classroom with a greater emphasis on the widespread, and increasing in significance, student collabo-
learners’ needs (I-Ying & Wan-Yu, 2012). Numerous studies ration has changed tremendously. There is active student

collaboration in chat rooms, discussion forums, through

e-mail, groupware, and text messages. This digital collabora-
tion is a form of virtual teamwork, which is commonplace in
business, and being capable of working effectively in virtual
teams is a necessity (Fletcher, 2009; Hunsaker, Pavett, &
Hunsaker, 2011; Nunamaker, Reinig, & Briggs, 2009; Shea,
Sherer, Quilling, & Blewett, 2011; Yassine, 2011). Pair test-
ing or pair programming, consists of members working in
pairs by using one computer on the same task. Findings on
pair testing are positive as working in pairs has resulted in
higher levels of performance, communication, learning to
give and accept suggestions, satisfaction, grades, and confi-
dence compared with working individually (Balijepally
et al., 2009; Dawande et al., 2008; di Bella et al., 2013; Porter
et al., 2013; Salleh et al., 2011).
Figure 1. Respondents by age.

Research Methodology Note. This figure provides a graphical representation of the ages of
respondents who participated in the study. As the respondents were high
The quantitative research design was chosen for this study, school students, the age group was between 15 and 18 years old. Over
and descriptive statistics was used in data analysis. half of the respondents were 16 years old (57%), whereas others were
Participants of the study included 55 high school students either younger or older.
who were engaged in pair tests administered quarterly for the
entire school year during a normal class period of 45 min.
Paper questionnaires were administered in class at the end of
the academic school year in 2012 and excel was used in data
analysis. The purpose of the study was to find out the effec-
tiveness of pair tests in the classroom and this was answered
by the following three research questions:
Research Question 1 (RQ1): Should pair tests be admin-

istered to high school students?
Research Question 2 (RQ2): What were the students’
perceptions regarding pair tests?
Research Question 3 (RQ3): What were the students’
positive and negative opinions about pair tests?
These research questions were answered through a semi-

structured questionnaire consisting of four sections, and a
total of 28 questions. In Section A, the first 4 open-ended
questions sought to find out if pair tests should be adminis- Figure 2. Respondents by grade.
Note. This chart provides a graphical illustration that the respondents
tered, whereas the next 16 open-ended questions found in were mostly represented by high school sophomores (Grade 10) and
Section B sought to find out students’ perceptions of pair juniors (Grade 11), and less than 5% were seniors (Grade 12).
tests. Two open-ended questions had been added to the ques-
tionnaire in Section C with the goal of giving students the
opportunity to express their opinions in their own words represented by Thais, followed by Indians (7%), Chinese and
regarding the positive and negative effects of pair tests. The Korean (5.2% each), and French, Taiwanese, and others
6 last questions in Section D provided basic demographic (1.8% each). These respondents were aged between 15 and
profile of participants. 18 years (Figure 1) and were currently enrolled in Grades 10
to 12 (Figure 2) at the time of the study. Up to 57.4% were
students enrolled in the General Business classes and 42.6%
Research Findings were enrolled in the Economics classes. Figure 3 is a graphi-
cal illustration of the number of times students had changed
Respondents’ Profile their partner in pair tests.
Out of the total of 55 respondents, 64% were female, and More than half of the students stuck to their old partners
36% were male, and up to 77.2% of the respondents were in every pair test. There was an inverse relationship between

responses (Table 1) have been categorized into six main

groupings for easier analysis and understanding: (a) collabo-
ration and teamwork, (b) discussion, (c) learning, (d) motiva-
tion, (e) test partner, and (f) studying for tests. These reported
responses were based on “strongly agree” and “agree”
answers in terms of frequency and percent, with N = 55.
Students’ opinions about pair tests. In an effort to allow stu-

dents to freely express themselves in their own words regard-
ing the positive and negative effects of pair tests, two
open-ended questions had been incorporated into the ques-
tionnaire to address RQ3. A total of 88 positive comments
and 46 negative comments were made, thus demonstrating
the greater inclination positive attitude toward pair tests.
Only four highest frequencies are reported for both positive
effects and negative effects. The four most frequent opinions
on positive effects presented in Table 2 indicated the four
issues ranked from the highest to the lowest responses (14 to
7) and they included (a) develop greater teamwork and coop-
eration, (b) discuss and analyze test questions and answers,
(c) helping each other, and (d) greater motivation to study
more/more hardworking. On the other hand, the ones for
Figure 3. Number of times students have changed their partner
in pair tests. negative effects as found in Table 3, are numerous, with the
Note. More than half of the students stuck to their old partners in every four highest issues ranking from the most frequent first,
pair test. There was an inverse relationship between the number of times included (a) disagreement over the answer for a question, (b)
students changed their partners and the number of students. That is, the partner doesn’t study for a test, (c) being lazy to study and
greater the frequency of partner changes, the lower the percentage of
students who changed partners. knowing you can depend on the other partner, and (d) bad
partners take advantage of good ones.
the number of times students changed their partners and the

number of students. That is, the greater the frequency of part- Discussion
ner changes, the lower the percentage of students who The purpose of this study was to find out the effectiveness of
changed partners. pair test administration. The findings of the study presented
a strong indication that pair tests were well accepted by high
school students who were studying business and economics
Data Analysis
subjects. The large majority were in favor of the administra-
Students’ thoughts on the administration of pair tests. Up to tion of pair tests as they enjoyed it, and even though approxi-
87.5% of the respondents felt that it was a good idea for the mately half of the students indicated that it should be
teacher to allow pair test testing, 3.6% did not think so, and administered every time, the educator-researcher is in favor
8.9% were uncertain about it. The majority of the students with the second majority group of students who felt that it
amounting up to 80% enjoyed pair tests (strongly agree and should be administered quarterly. This is because she believes
agree responses), 18.2% were neutral, and 1.8% disagreed. that a greater weight should be assigned to individual testing
More than half the respondents (58.9%) had pair tests for assessment and pair tests is just another collaborative activ-
the first time in the researcher’s class, 28.6% had been previ- ity that is a small but yet significant portion of a student’s
ously exposed to it, and a small percentage (12.5%) was total assessment.
uncertain. Although the findings indicated that more than Pair tests is an effective and successful alternative assess-
half of the students (57.1%) felt that pair tests should always ment tool in engaging students as there were high levels of
be administered, up to 39.3% felt that it should be adminis- student collaboration, teamwork, discussion, analysis, and
tered quarterly. Only 1.8% thought that it should be learning. Students also felt that having a good partner was an
administered yearly and the same percentage thought that important component of increased cooperation and learning
pair tests should not be administered at all. in pair tests. Although only two thirds of the respondents felt
more motivated to study harder, so that the team could do
Students’ experiences with pair tests. The second research better on the test, it was still a good representation of motiva-
question that focused on students’ experiences with pair tests tion. It was amazing to discover that up to almost 90% always
was answered by 16 closed-ended questions and their studied for the tests, and 80% felt that their partner always

Table 1. Students’ Experiences With Pair Tests.
Categories of experiences: Based on strongly agree and agree responses (for both frequency
and %) Frequency (N = 55) %
Collaboration and teamwork
I learnt to work as a team during the test. 50 90.9
I think that taking pair tests increases cooperation and teamwork. 47 85.5
Discussion
There was quite a lot of discussion going on during the pair test. 49 89.1
Learning
I enjoyed working as a pair because I felt that I had actually learnt a lot more than just 44 80.0
working on the test by myself.
In my opinion, I think that working in pairs increases learning. 40 72.7
Motivation
I think pair testing increases the motivation to study harder, so that my partner and I can 38 69.1
achieve better on the test.
Partner
I think that having a good partner is important for a pair test to achieve its goal of 48 87.3
increased cooperation and learning.
My partner studied and helped me during the pair test. 41 74.5
I had a really good partner during the test. 34 61.8
I usually got higher scores when I was involved in pair tests. 22 40.0
I was pressured into working with a partner. 11 20.0
It was very stressful for me when I worked with my partner during the pair test. 6 10.9
Studying for tests
I always studied for the test. 49 89.1
I felt that my partner(s) had always studied for the test(s). 44 80.0
I didn’t really care about the pair test. I just depended on my partner to do well. 3 5.5
Pair tests have made me lazy and I sometimes did not study for the test because I know 3 5.5
that my partner would definitely study for it, and I can depend on him or her.
Table 2. The Positive Effects of Pair Tests as Perceived by Students.
# Comments Frequency
1. Develop greater teamwork and cooperation 14
2. Discuss and analyze test questions and answers 11
3. Helping each other 10
4. Greater motivation to study more/more hardworking 7
studied for the test. It was interesting to note, however, that dependent on their partner in studying for the tests, thus con-
even though pair tests did not always result in higher scores, firming the statement made by Sauer and Mertens (2013)
the majority of the students were still in favor of it. that “some students do diligently prepare for exams; some do
The downsides of pair tests, as portrayed from the closed- not” (p. 93). This created frustration for a few students who
ended questions were the pressures of working with a part- had irresponsible and “bad” partners who were lazy and took
ner, accounting for one fifth of the students. These pressures advantage of them. Although collaboration had produced
were probably from academically weaker students who positive comments, some discussions had resulted in dis-
wanted to be paired with stronger students, or partnering agreements over answers for a question. A few students also
with someone they did not want to be but had to due to peer complained about the longer time spent in discussion before
pressure. The stress associated with working with partners coming up with an answer.
was at approximately 10%, which is relatively low, but nev- It can be summarized from the findings that pair tests had
ertheless existent. On a positive note regarding stress, a num- both positive and negative effects (Figure 4) with the posi-
ber of students had mentioned that pair tests had reduced the tive outweighing the negative. The positive effects of pair
stress and pressure they were facing. A very small percentage tests included increased collaboration, discussion, learning,
of students reported being lazy to study for tests and being and motivation, while reducing stress. The negative effects

Table 3. The Negative Effects of Pair Tests as Perceived by Students.
# Comments Frequency
1. Disagreement over the answer for a question 8
2. Partner doesn’t study for a test 7
3. Being lazy to study and knowing you can depend on the other partner 6
4. Bad partners take advantage of good ones 4
5. Too much discussion/longer time to discuss—Longer time to do the test 4
6. Both are uncertain about the answers 3
7. If your partner doesn’t study, you will have a hard time 2
8. Dependent on the partner I get to work with 2
9. Stressful when I can’t do my part well, which would result in a lower score 2
10. Too much dependence on another partner for answers 1
11. Blaming each other for mistakes made on the test 1
12. Having a lazy partner who did not study and did not help out during the test 1
13. A ruined test outcome when a partner didn’t study for the test 1
14. The scores are sometimes lower than done individually 1
15. Pressure 1
16. Loud discussions from other pairs that interferes with my focus 1
17. Our partner may not have studied as much and is dependent on me for answers 1
Increased:
• Collaboration
• Discussion
• Learning
• Motivation
Positive Effects
Decreased:
Pair Tests • Stress
Negative Effects At lower levels:

• Disagreements over answers
• Free-riders
• Peer pressure
• Feeling lazy to study
Figure 4. Impacts of pair tests.

Note. The figure was based on the results of the study and provides a clear illustration of the positive and negative effects of pair tests with the positive
outweighing the negative.
involved disagreements over answers, peer pressure, lazi- researcher was pleased to know for a fact that the brain-
ness, and the existence of free riders. storming and discussion that occurred had resulted in more
learning. She was also delighted to know that she could
play a small part in reducing students’ stress and anxiety
Conclusion and Recommendations levels through pair tests as students were overburdened
In conclusion, the researcher was pleased with the results with other school-related responsibilities. Despite the pres-
of the study as it has provided valuable insights into the ence of free riders, the percentage was minimal. Any dis-
administration of pair tests. It was an excellent feedback agreements over answers and time-consuming discussions
instrument for the researcher to find out if the years of were valuable experiences that would greatly benefit stu-
administration of collaborative tests in the form of pair dents in times of needed collaboration in teams and man-
tests was in fact, a step that was well implemented. The aging conflict.

While there are numerous advantages to pair tests, and the di Bella, E., Fronza, I., Phaphoom, N., Sillitti, A., Succi, G., &
dark side appears to blacken out the bright side, it is recom- Vlasenko, J. (2013). Pair programming and software defects—
mended that pair tests be another test assessment tool avail- A large, industrial case study. IEEE Transactions on Software
able to educators, as the benefits outweigh the costs. Engineering, 39, 930-953. doi:10.1109/TSE.2012.68
Farooq, M., & Regnier, J. (2011). Role of learning styles in the
Educators who contemplate on experimenting pair tests in
quality of learning at different levels. Informatica Economica,
their own classrooms can be creative in making any adjust-
15(3), 28-45.
ments necessary accordingly to their students’ needs, learn- Fletcher, G. H. (2009). Collaboration: The mother of innovation.
ing styles, and subjects. THE Journal, 36(1), 6.
Fredrick, T. A. (2008). Facilitating better teamwork: Analyzing the
challenges and strategies of classroom-based collaboration.
Limitations and Future Research
Business Communication Quarterly, 71, 439-455.
There were a couple of limitations to this study. The sample Gillies, R. M. (2003). Structuring cooperative group work in class-
size of 55 was relatively small and the study was limited to rooms. International Journal of Educational Research, 39,
only high school students in Grades 10 through 12 who were 35-49.
taking business and economics classes. It is recommended Heritage, M. (2007). Formative assessment: What do teachers need
to know and do? Phi Delta Kappan, 89, 140-145.
that further research in pair tests be conducted in an experi-
Hunsaker, P., Pavett, C., & Hunsaker, J. (2011). Increasing student-
mental design study encompassing a larger sample size at
learning team effectiveness with team charters. Journal of
various subjects and levels in a school setting. As this study’s Education for Business, 86, 127-139.
findings were largely dependent on the students’ opinions, it I-Ying, C., & Wan-Yu, C. (2012). The effect of student learning
is recommended that any other sources of information, such motivation on learning satisfaction. International Journal of
as teacher observation, peer reviews, and statistical testing be Organizational Innovation, 4, 281-305.
used to indicate the effectiveness of pair tests. Further Johnson, D. W., & Johnson, R. (2005). New developments in
research could also be based on classroom research with social interdependence theory. Psychology Monographs, 131,
achievement as a dependent variable apart from the ones that 285-358.
had used in this study. Another limitation would be the bias Kalliath, T., & Laiken, M. (2006). Use of teams in management
in responding to the questions, thus reducing the reliability education. Journal of Management Education, 30, 747-750.
Koppenhaver, G. D., & Shrader, C. B. (2003). Structuring the
of the results.
classroom for performance: Cooperative learning with instruc-
tor-assigned teams. Decision Sciences Journal of Innovative
Declaration of Conflicting Interests Education, 1, 1-21.
The author(s) declared no potential conflicts of interest with respect Moon, T. R. (2005). The role of assessment in differentiation.
to the research, authorship, and/or publication of this article. Theory Into Practice, 44, 226-233.
Nickels, D. W., Parris, J. B., Gossett, C. H., & Alexander, P. A.
Funding (2010). Developing collaboration skills: A mixed tempera-
ment approach to teamwork. Business Studies Journal, 2,
The author(s) received no financial support for the research and/or
101-116.
authorship of this article.
Nolen, S. (2011). The role of educational systems in the link
between formative assessment and motivation. Theory Into
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595257
SGOXXX10.1177/2158244015595257SAGE OpenLabe
5
Student Teachers’ Self-Appraised
Problem-Solving Ability and Willingness
to Engage in Troubleshooting Activities
Benedict Iorzer Labe1
Abstract
The purpose of this research was to determine the extent of student teachers’ willingness to engage in troubleshooting activities
and their technological problem-solving self-appraised ability. The study used a cross-sectional descriptive correlational
design to collect data from 310 purposively random sampled students from three universities in Northern Nigeria. Results
of data analyses indicated that student teachers from the universities surveyed reported a moderate willingness to engage
in troubleshooting activities as well as a moderately positive self-appraisal of their problem-solving ability. The student
teachers’ willingness to engage in troubleshooting activities was also significantly related to the pattern of their self-appraised
problem-solving ability. It was therefore concluded that the findings from this research do not support the pedestrian view
that students from Nigerian universities are reluctant to engage in problem-solving activities.
Keywords
willingness, problem-solving self-appraisal, technological problem solving, teacher training
Introduction workings of modern technology. From a personal standpoint,

people benefit both at work and at home by being able to choose
A number of writers (Abassah, 2011; Adedokun, 2011; the best products for their purposes, to operate the products
Akinyemi, Ofem, & Ikuenomore, 2012; Dabalen, Oni, & properly, and to troubleshoot them when something goes wrong.
Adekola, 2000; Nwagwu, 2007; Oyesiku, 2008; Umunadi, From a societal standpoint, an informed citizenry improves the
2011; Uwaifo, 2010; Uwaifo & Uwaifo, 2009) have sug- chances that decisions about the use of technology will be made
gested that school leavers from Nigerian schools especially rationally and responsibly. (p. 2)
lack problem-solving abilities. Although it is not generally
clear the sort of problem-solving ability most of the afore- Troubleshooting is especially one of the most common
mentioned writers refer to, Oyesiku (2008) at least alludes to problem-solving abilities required of today’s citizens for
the fact that graduates from Nigerian schools lack trouble- everyday functioning. Morris and Rouse (1986) described
shooting skills. This is in spite of the importance of such the task of troubleshooting simply as “Given a system
problem-solving competence among the citizenry (Custer, that is not functioning properly, the trouble-shooter must
Valesey, & Burke, 2001; Dugger, 2001). According to attempt to locate the reason for the malfunction and must
Oyesiku (2008), the youths in Nigeria are so badly educated then repair or replace the faulty component” (p. 503).
that majority of them grossly lack even the most basic do- Prochaska, DiClemente, and Norcross (1992) observed that
it-yourself technical skills to do minor repairs and maintenance individuals in their everyday lives engage in personal trou-
jobs like changing motor oil, replacing electric bulbs, fixing bleshooting to effect self-change, especially when related to
of furniture, and so on. The situation is so pathetic according addictive behaviors. In technical fields, troubleshooting is
to Oyesiku (2008) that a third party is always called to do the normally associated with the repair of physical, chemical,
most basic troubleshooting. biological, electronic, or social systems among others.
Although not every member of society would normally
function as expert at solving technological problems, Dugger 1
Benue State University, Makurdi, Nigeria
(2001) summarized the importance of citizens generally
becoming technologically savvy when he wrote, Benedict Iorzer Labe, Office of the Coordinator, Pre-Vocational and
Technical Studies, Department of Vocational and Technical Education,
It is particularly important in this technological world that Benue State University, P.M.B. 102119, Makurdi 970231, Nigeria.
people understand and are comfortable with the concepts and Email: blabe@bsum.edu.ng

Student Teachers’ Self-Appraised Problem-Solving Ability and Willingness to Engage in Troubleshooting Activities 43
In the words of Johnson, Flesher, and Chung (1995), However, there is intuitively an obvious link between how
“Troubleshooting requires that technicians use their knowl- individuals perceive themselves as problem solvers and their
edge and skill to effectively interact with a complex tech- willingness to engage in problem-solving tasks. A student who
nical system that is behaving in some unusual way” (p. 1). is not sure of his or her problem-solving capabilities would
Jonassen and Hung (2006) noted that people in the techno- obviously also not be comfortable with investing and exerting
logical disciplines (e.g., automotive mechanics, electricians, effort in work that could challenge their problem-solving
refrigeration service men) and professionals (physician, ther- skills. In the context of learning, this could adversely affect
apists, ombudspersons) do troubleshooting every day, diag- students’ development of their problem-solving capabilities.
nosing faulty systems and taking direct, corrective action to There are strong indications that individuals’ self-appraisal
eliminate any faults to return systems to their normal states. of their problem-solving capabilities could influence their
Teachers of any technical discipline must first be technicians willingness to approach or avoid problem situations. Within
in that domain, before they could be effectively disposed to the school setting, Charles and Lester (1982) had pointed
teach the subject matter. Fernandes (cited in Boser, 1993) made out, “A willingness to engage in problem solving and self-
the point that to teach problem solving (which includes techni- confidence in one’s ability to succeed [are] probably the
cal troubleshooting), teachers must themselves be competent most important characteristics a student can bring to the
problem solvers who are aware of the methods and processes problem-solving situation” (p. 16). In this study, the defini-
that they use. Parr (2006) also stressed that engaging person- tion of willingness to engage in a problem-solving activity is
ally in activities, similar to those we arrange for our students, adopted from Adelman, MacDonald, Nelson, Smith, and
“supports the principles that we should never ask our students to Taylor (1990) who pointed out that willingness is indicated
do something we are not willing to do ourselves or have not by (a) how much the individual wanted to engage in an activ-
previously engaged in, and that we should know more than we ity and (b) how much the individual expected to influence a
teach” (p. 35). Parr further explained that personally engaging in course of action. VanDenmark (1991) informed that, all too
activities similar to those they would expect of their students often, many students are simply afraid of their ability to solve
allows teachers to develop the willingness to participate without problems, or problem-solving activities go wrong simply
hesitation, somewhat automatically and freely, because the because the students got frustrated, apathetic, or embarrassed.
teachers themselves have, in fact, been there before. It is only McCroskey (1992) linked self-perception of ability to will-
through participation and engagement that teachers truly come ingness to perform a task (e.g., to communicate). Brophy
to acknowledge the challenges faced by their students and the (1999) also observed that if the students do not have the will-
demands (instructional and otherwise) that they place on their ingness to engage in problem-solving activities, they are
students (Parr, 2006). Thus, if the picture painted by Oyesiku likely to show reluctance or even resistance to engage in such
(2008) and others speaks true of the technology teachers in tasks. When the willingness exists, the individual is primed to
Nigerian schools, then there is certainly cause for concern. action (such as actively seeking solution to encountered prob-
The most popular reason given for Nigerian school gradu- lems), resistance is reduced (Bouckenooghe & Devos, 2008),
ates’ poor technological problem-solving ability (and by and there could be sustained cognitive, emotional, and behav-
extension, troubleshooting ability as observed by Oyesiku, ioral involvement with the problem-solving task.
2008) is that, as students, they do not get opportunities to Thus, to intelligently understand the problem of Nigerian
develop their capabilities while in school. Plagued by lack of students and school graduates’ reluctance to engage in tech-
essential resources like equipment, facilities, materials, and nological problem-solving activities, it is necessary to acquire
funds (Abassah, 2011; Adedokun, 2011; Umunadi, 2011; information regarding (a) whether or not the students per-
Uwaifo, 2010), the predominant teaching approach, even in ceived themselves as having the personal resources to deal
technical education programs, is the lecture method (Uwaifo, with technological problems, and (b) whether this perception
2010). Some authors (Adedokun, 2011; Adigwe, 1991) are of influences their willingness to tackle technological problem.
the view that the teachers sometimes teach only theoretical The study used individuals’ willingness to engage in technical
content because they are themselves not properly trained. This troubleshooting activities as a context for investigation.
presupposes that as the graduates could not accumulate enough This study focused on prospective teachers of technology
problem-solving experiences while in school, they cannot be who are still in training because, sometimes, students’ lack of
expected to do well on such tasks out of school. Of course, willingness to engage in problem-solving activities while in
past experiences from which to draw ideas, are key to success- school might be a function of how well their teachers are act-
ful problem solving (scientific, technological or general), the ing as role models. Research in mathematics education for
most enduring of such experiences are often acquired tacitly instance indicates that, teachers’ beliefs about subject matter
“on the job” rather than explicitly in formal instructional have a powerful impact on the practice of teaching. Akinsola
settings. Given this reality, it is essential we recognize the (2008) cited several studies where it has been suggested that
importance of individuals’ willingness to engage in problem teachers with negative beliefs about a particular domain
solving tasks as deliberate practice (Ericsson, 2006; Ericsson, could influence a learned helplessness response from stu-
Krampe, & Tesch-Romer, 1993) to intentionally cultivate their dents. Thus, what goes on in the technological education
expertise both inside and outside of classrooms. classroom with respect to technological problem-solving

disposition may be directly related to the beliefs teachers The area of the study was Northern Nigeria and covered
hold about technology and its processes. all the universities that provide technical teacher training.
The purpose of this research therefore was to According to figures obtained from the Research and Statistics
unit of the National Universities Commission (NUC; 2012),
1. determine the extent of teacher trainees’ willingness to Northern Nigeria has 38 universities, four of which offer
engage in technological problem-solving activities; teacher training in industrial technology education.
2. determine teacher trainees’ self-appraisal of their
technological problem-solving ability;
Sample
3. determine the relationship between teacher trainees’
willingness to engage in technological problem-solv- All the students surveyed in this study were enrolled in either
ing activities and self-appraisal of their technological a 4- or 5-year Industrial Technical/Technology Teacher
problem-solving ability; Training leading to award of a first degree. Purposive ran-
4. determine whether there are significant differences dom sampling was adopted to survey all the students enrolled
among the teacher trainees in their willingness to into the last 2 to 3 years of study in the Industrial Technology/
engage in technological problem-solving activities Technical Education program of the universities. This gave a
on the basis of gender, number of years spent in the sample size of 310 students. The sample was chosen because
university, and program of study; and they would have undertaken at least one practical technical
5. ascertain whether technical area of specialization, problem-solving task during the course of their enrollment
year of study, gender, or self-appraised technological into the technical teacher training program at the current
problem-solving ability is a significant predictor of institution.
teacher trainees’ willingness to engage in technologi-
cal problem-solving activity.
Instruments for Data Collection
Research Questions Data for the following variables were collected in this study
using the following measures:
The following research questions guided the study:
1. The Survey of Willingness to Engage in Trouble-
Research Question 1: What is the extent of teacher shooting Activity (SWETA) was used to assess
trainees’ willingness to engage in technological problem- students’ willingness to engage in technological
solving activities? problem-solving activities. The SWETA is a 24-item
Research Question 2: To what extent do teacher trainees researcher-developed survey and was administered
appraise their technological problem-solving ability? as part of a 45-item instrument. The SWETA asks the
participants to indicate the extent to which a given
Hypotheses statement is true of what they do or think, or how
Hypothesis 1: There is no relationship between teacher they feel about having to work on the task that
trainees’ willingness to engage in troubleshooting activi- requires them to find solution to problems with things
ties and their self-appraised technological problem-solv- such as lights that would not light, an automobile or
ing ability. electric motor that will not start, doors that stick and
Hypothesis 2: No significant differences exist among the make noise, or a computer or some other equipment
teacher trainees in their willingness to engage in technologi- that would not work at all or not work properly.
cal problem-solving activities on the basis of gender, num- Responses are indexed on a scale of 1 = not at all
ber of years spent in the university, and program of study. true to 6 = completely true.
Hypothesis 3: Neither technical area of specialization, 2. The Problem-Solving Inventory–Technological
year of study, gender, nor self-appraised technological (PSI-TECH)–Form B (Heppner, 1988; Wu, Custer,
problem-solving ability is a significant predictor of & Dyrenfurth, 1996) was used to assess students’
teacher trainees’ willingness to engage in technological appraisal of their technological problem-solving
problem-solving activities? ability. The PSI-TECH is a self-report measure
that assesses respondents’ perceptions of their tech-
nological problem-solving confidence, approach/
Method avoidance styles, and personal control over emotions
The study used a cross-sectional descriptive correlational during a technological problem-solving activity.
design. Respondents’ self-report of their thoughts was col- Written on a fifth-grade reading level, Form B of the
lected through a structured questionnaire and used to describe PSI-TECH is usually completed on a 6-point scale: 1
the student teachers’ self-appraised problem-solving ability, = really agree, 2 = mostly agree, 3 = agree, a little,
willingness to engage in troubleshooting activities, as well as 4 = disagree, a little, 5 = mostly disagree, 6 = really
to explore relationships and variations among these variables. disagree.

The researcher-developed SWETA was face validated on correlation coefficients. Data that yielded results for
the bases of clarity and appropriateness for the study by Hypothesis 2 were analyzed using one-way analysis of vari-
a professor of industrial education at the Illinois State ance (ANOVA). Data that provided results for Hypothesis 3
University who has established research interest in techno- were analyzed using simultaneous linear multiple regression
logical problem solving. These scales were also face vali- analysis.
dated by a senior lecturer in counseling psychology and Willingness was assessed with 24 items that the respon-
another senior lecturer in technical teacher training both at dents rated on a 6-point scale. For the purpose of analysis
the Benue State University. Following suggestions made by and reporting, these 24 items were combined into an index
these three reviewers, the researcher made modifications to with total willingness scores ranging from 24 to 144 with a
the questionnaires. median score of 84. This was done by multiplying each point
Prior to analyses for the purpose of describing the re- on the rating scale by the total number of items in the ques-
spondents’ willingness to engage in troubleshooting activities, tionnaire relating to the construct willingness to engage in
the SWETA was subjected to principal component analysis troubleshooting activity. Subsequently, the willingness
(PCA) with varimax orthogonal rotation (Kaiser–Meyer–Olkin scores were divided into three categories using a quartile
measure = .676, Bartlett’s test of sphericity value < .000) as split. The lower quartile split at the score of 54, the middle
part of a 45-item survey. Although the PCA initially produced quartile split at the score of 84, and the upper quartile split at
an eight-component solution by eigenvalue, the scree criteria the score of 114 (i.e., Q1 = 54, Q2 = 84, Q3 = 114). Those
suggested that a two-factor solution was more appropriate fit scores that fell within the lower quartile split were placed in
for the data collected. A two-factor solution was subsequently the low-willingness category, those scores that fell within the
forced, with the level of significance set to .03 to accommo- middle quartile split were placed in the moderate-willingness
date the sample size (Tabechnick & Fidell, cited in Casey, category, and those scores that fell within the upper quartile
Day, Howells, & Ward, 2007). The two components accounted split were placed in the high-willingness category. In other
for 33.16% of the common variance in scale items. However, words, 24 to 54 = low willingness, 55 to 113 = moderate
on close scrutiny of the two components, it was realized that willingness, and 114 to 144 = high willingness.
they could just be two dimensions of the same construct, will- The PSI total scale, however, ranges from a score of 32 to
ingness. Component 1, which consisted of 17 items, indicated a score of 192. Custer et al. (2001) informed that the PSI-
the reluctance to engage in the troubleshooting activity. TECH scale scores are usually inversely related to the trait,
Component 2, however, consisted of 7 items indicating the with high scores representing a reduced presence of a given
individuals’ eagerness to engage in the activity. trait. For example, a high numerical overall PSI-TECH score
The various scales comprising the measure of the SWETA would indicate low levels of the self-appraised problem-
were tested for internal consistency using Cronbach’s alpha. solving ability. In this study, the PSI scores were divided into
Analysis of the internal consistency statistic was performed three categories using a quartile split. The lower quartile split
using IBM SPSS 21 statistics® software. This analysis indi- at the score of 72, the middle quartile split at the score of 112,
cated a Cronbach’s α = .742, for the total scale of 24 items. The and the upper quartile split at the score of 152 (i.e., Q1 = 72,
17 items in Component 1 (reluctance to engage in the trouble- Q2 = 112, Q3 = 152). Following the suggestions of Custer
shooting activity) together indicated Cronbach’s α = .795, et al. (2001), those scores that were within the lower quartile
while the 7 items comprising Component 2 measuring eager- split were placed in the high self-appraised technological
ness to engage in the activity indicated Cronbach’s α = .772. problem-solving ability category, those scores that fell within
The PSI-TECH (Heppner, 1988; Wu et al., 1996) that was the upper quartile split were placed in the low self-appraised
used in this study is a published survey that has been vali- technological problem-solving ability category, and those
dated in a number of studies. For instance, Wu et al. (1996) scores that fell in the middle quartile split were placed in the
informed that “previous conceptual and empirical studies of moderate self-appraised technological problem-solving abil-
personal problem solving . . . have validated the three dimen- ity category. The PSI scores were then indexed as follows: 32
sions of the PSI” (p. 57). Heppner, Witty, and Dixon (2004) to 72 = high self-appraised technological problem-solving
also documented a range of studies that provide a wealth of ability, 73 to 151 = moderate self-appraised technological
data supporting the validity of the PSI. In the present study, problem-solving ability, and 152 to 192 = low self-appraised
the total PSI scores indicated a Cronbach’s α = .77. technological problem-solving ability.
Analysis of Data Results and Discussion

In line with the purposes of study, descriptive and inferential The data collected and analyzed are presented in the order of
data analysis procedures were used. Data that provided the research questions and the hypotheses.
answers to Research Questions 1 and 2 were analyzed using
means and standard deviations. Data that provided answers to Research Question 1: What is the extent of student teach-
Hypothesis 1 were analyzed using Pearson’s product-moment ers’ willingness to engage in troubleshooting activity?

Table 1. Mean Values of the Respondents’ Willingness and Technological Problem-Solving Self-Appraisal.
Variable M SD
Willingness to engage in troubleshooting activity 84.26 12.94
Self-appraised problem-solving ability 92.65 15.84
Approach/avoidance style 46.80 9.25
Personal control 17.85 5.38
Problem-solving confidence 28.13 7.82
Note. N = 310.
Table 2. Relationship Between Willingness to Engage in Troubleshooting Activities and Self-Appraised Technological Problem-Solving Ability.
Variables 1 2 3 4 5
1 Willingness to engage in troubleshooting activities Pearson’s r 1
Significance (two-tailed)
2 Overall problem-solving self-appraisal Pearson’s r −.297a 1
Significance (two-tailed) .000
3 Approach/avoidance style Pearson’s r −.243a .858a 1
Significance (two-tailed) .000 .000
4 Personal control Pearson’s r −.050 .345a .092 1
Significance (two-tailed) .379 .000 .107
5 Problem-solving confidence Pearson’s r −.275a .727a .476a −.108 1
Significance (two-tailed) .000 .000 .000 .057
Note. N = 310.
a
Correlation is significant at the .01 level (two-tailed).
The results in Table 1 indicate that student teachers in this Results of a Pearson product-moment correlation (see
survey show a moderate willingness to engage in trouble- Table 2) indicated a statistically significant positive correla-
shooting activities as their mean scores on the willingness tion between the mean score of the student teachers’ will-
scale fall within the predefined middle quartile (M = 84.26, ingness to engage in problem-solving activities and their
SD = 12.94). Note that the willingness total scale score mean score for the self-appraised problem-solving ability
ranges from 24 to 144. The willingness scores are indexed as (r = −0.297, p = .000). Note that scores on the PSI are inversely
follows: 24 to 54 = low willingness, 55 to 113 = moderate related to the trait. Thus, a negative correlation indicates a
willingness, 114 to 144 = high willingness. positive relationship as higher PSI-TECH scores indicate
lower levels of the self-appraised problem-solving ability.
Research Question 2: To what extent do student teachers
appraise their technological problem-solving ability? Hypothesis 2: No significant differences exist among the
student teachers in their willingness to engage in techno-
Data obtained from this study (see Table 1) show that the logical problem-solving activities on the basis of gender,
student teachers appraised themselves as having moderate number of years spent in the university, and program of
technological problem-solving ability (M = 92.65, SD = 15.83). study.
Further analysis (see Table 1) indicated that the student
teachers showed moderate confidence (M = 28.13, SD = 7.82) Results of a one-way ANOVA (see Table 3) indicated that
in themselves as technological problem solvers. They also there are no significant differences at the p < .05 level among
appraised themselves as capable of exercising moderate the student teachers, on the basis of gender, in their willing-
control (M = 17.85, SD = 5.37) over themselves in the prob- ness to engage in troubleshooting activities, F(58, 251) =
lem-solving situation. The results from this study indicate 1.156, p = .225. There were also no significant differences at
that the student teachers showed a moderate tendency toward the p < .05 level among the student teachers from different
approaching technological problems (M = 46.80, SD = 9.24). technical areas of specialization in their willingness to
engage in the troubleshooting activity, F(58, 251) = 1.309,
Hypothesis 1: There is no significant relationship p = .083. Also, no significant differences were indicated at
between the student teachers’ willingness to engage in the p < .05 level among the student teachers at different
troubleshooting activity and their self-appraised techno- levels of study (years of study) in their willingness to engage
logical problem-solving ability. in troubleshooting activities, F(58, 251) = 1.111, p = .289.

Table 3. One-Way Analysis of Variance of Gender, Technical Area of Specialization, and Year of Study by Willingness to Engage in
Troubleshooting Activities.
Sum of squares df Mean square F Significance

Gender
Between groups 10.456 58 .180 1.156 .225
Within groups 39.144 251 .156
Total 49.600 309
Technical area of specialization
Between groups 96.697 58 1.667 1.309 .083
Within groups 319.690 251 1.274
Total 416.387 309
Years of study
Between groups 12.506 58 .216 1.111 .289
Within groups 48.733 251 .194
Total 61.239 309
Table 4. Multiple Regression Model of the Willingness Data.
Multiple R .361a
R2 .130
Adjusted R2 .119
SE 12.151
Analysis of variancea
Model Sum of squares df Mean square F Significance

1 Regression 6,750.199 4 1,687.550 11.430 .000b
Residual 45,030.111 305 147.640
Total 51,780.310 309
a
Dependent variable: willingness to engage in problem-solving activities.
b
Predictors: (constant), overall problem-solving self-appraisal, gender, technical area of specialization, years of study.
Hypothesis 3: Neither of the factors, technical area of the total variance in the student teachers’ willingness to
of specialization, years of study, and gender, nor self- engage in troubleshooting activities is accounted for by the
appraised technological problem-solving ability is a sig- linear combination of these variables (technical area of
nificant predictor of the student teachers’ willingness to specialization, year of study, gender, and problem-solving
engage in the troubleshooting activity. self-appraised ability).
The multiple regression model also tested the contribu-
To determine whether the willingness to engage in tion of each predictor to the model. Table 5 also shows the
problem-solving activities could be predicted from any of beta weights and t values to illustrate the contributions of
the independent variables, multiple regression analysis was the separate factors to the prediction. The results obtained
performed. As this study is exploratory and we do not have from this study indicate that the student teachers’ year of
any strong theoretical forecast of the predictive power of any study (B = 4.383, t = 2.751, p = .006) and self-appraised
of the independent variables over the other, a simultaneous problem-solving ability (B = −0.234, t = −5.346, p = .00)
linear multiple regression analysis was done. The regression made significant contribution to the prediction of the student
model summary is shown in Table 4. teachers’ willingness to engage in technological problem-
Table 4 shows that using the simultaneous multiple solving activities. For every unit change in the student
regression method to examine the impact of the predictor teachers’ year of study, we expect a 4.383 change in their
variables (technical area of specialization, years of study, willingness to engage in troubleshooting activity, holding
gender, and problem-solving self-appraised ability) on the the other predictors constant. For every unit change in the
criterion variable (student teachers’ willingness to engage student teachers’ self-appraised problem-solving ability, we
in troubleshooting activities) yielded a significant model, expect a 0.234 change in their willingness to engage in trou-
F(4, 305) = 11.430, p = .00. The regressing model yielded an bleshooting activities, holding the other predictors constant.
adjusted R-square of 0.119. This indicates that only 11.90% The contribution of the technical area of specialization

Table 5. Coefficientsa of the Predictor Variables.
Unstandardized coefficients Standardized coefficients
Model B SE β t Significance
(Constant) 96.649 5.395 17.915 .000
Gender 0.387 1.767 .012 0.219 .827
Technical area of specialization 1.481 0.597 .133 2.480 .014
Years of study 4.383 1.593 .151 2.751 .006
Overall problem-solving self-appraisal −0.234 0.044 −.286 −5.346 .000
a
Dependent variable: willingness to engage in troubleshooting activities.
(B = 1.481, t = 2.480, p = .014) and gender (β = .387, Wigfield, 2009). Dowson and McInerney (2001) informed
t = 0.219, p = 0) was, however, not statistically significant. that students with work avoidance orientation may act as if
they are incompetent so that they will have an excuse to dis-
engage from the tasks.
Discussion of Findings In line with the general belief expressed in certain circles
The results of this study indicate that, the teacher trainees (Abassah, 2011; Adedokun, 2011; Umunadi, 2011; Uwaifo,
surveyed in the universities reported a reasonable willing- 2010; Uwaifo & Uwaifo, 2009), one would have expected
ness to engage in technical troubleshooting activities. This that the teacher trainees being students would express low
finding appears contrary to the claim by Oyesiku (2008) and self-ability beliefs that in turn manifested in their apparent
others that graduates from Nigerian schools are generally not reluctance to engage in technological problem-solving activ-
willing to engage in technological problem-solving activities ities. However, the evidence from this study does not support
such as troubleshooting and repairs. One curious observation, such speculation. The findings regarding self-capability
however, that was made by this study is that these same beliefs with respect to engaging in technological problem
teacher trainees who reported a willingness to engage in solving indicate that the teacher trainees generally appraise
technical troubleshooting activities also indicated a slight themselves as effective problem solvers. In addition, their
tendency toward avoiding technological problem-solving appraisal of own problem-solving ability is generally corre-
situations in general as measured by the PSI. This finding lated with self-reports of their willingness to engage in prob-
seems to contradict the respondents’ self-appraisal of their lem-solving activities.
willingness to engage in troubleshooting activities as a sub- The finding that the technological problem-solving self-
set of technological problem solving. Individuals’ problem- appraisal variable, as measured by the PSI-TECH, was a
solving approach–avoidance style (AAS) seems to be significant predictor of willingness to engage in problem
particularly relevant to the construct of willingness to engage activities also contrasts with the findings by MacPherson
in problem-solving activities. AAS is defined as a general (1998) where the technological problem-solving self-
tendency to approach or avoid different problem-solving appraisal variable, as measured by the PSI-TECH, was not
activities (Heppner & Lee, 2002). Although willingness indi- found to be a significant predictor of near-transfer technical
cates how much the individual wanted to engage in an activ- troubleshooting. The findings however are in line with
ity (Adelman et al., 1990), a tendency to approach problems research on achievement motivation that established the
is conceptualized to be especially critical in the initiation of role of self-efficacy in individuals’ activity choices and per-
active problem solving (Heppner & Krauskopf, 1987). Thus, formance (Eccles & Wigfield, 1995).
it is curious why the students would indicate a willingness to Part of the purposes of this study was to investigate
engage in technical troubleshooting, yet at the same time whether there were differences among the teacher trainees in
report a tendency toward problem-solving avoidance. A their willingness to engage in technological problem-solving
probable explanation is to remember that research and theory activities. More specifically, the study set out to learn whether
have indicated work avoidance as a goal of some students in the willingness of university-level technology teachers in
academic achievement contexts. training to engage in technological problem-solving activi-
Work avoidance has been defined as the desire to do as ties differed by characteristics such as technical area of spe-
little as possible in achievement situations (Brophy, 1983). cialization, years of university experience, and/or gender.
From the findings of this study, it might seem likely that in Results of a one-way ANOVA indicated that there are no
non-achievement contexts too, some students might adopt significant differences at the p < .05 level on the basis of
work avoidance goals. Students with work avoidance moti- gender, years of study, and the teacher trainees’ technical
vation are said to be motivated to avoid doing their work areas of specialization in their willingness to engage in trou-
(assigned or unassigned, in-school or out of school) rather bleshooting activities. However, the results of a simultane-
than engage in it (Meece & Holt in Guthrie, Coddington, & ous linear regression analysis indicated that gender was the

only non-statistically significant predictor of the teacher willingness to engage in problem solving and not rely on the
trainees’ technical area of specialization, and years of study pedestrian view that students and even school graduates from
were indicated as statistically significant predictors of the Nigerian schools are not ready to engage in problem solving.
teacher trainees’ willingness to engage in troubleshooting Following the finding that the student teachers in the study
activities. A possible explanation for why the teacher train- indicated problem-solving avoidance as measured by the
ees’ areas of specialization could be used as significant pre- PSI, the researcher also recommends that whenever
dictors of their willingness to engage in troubleshooting educators observe reluctance among students, they should
activities might perhaps be found within the differences in endeavor to provide support by way of explanation, model-
how the features of the technological problem-solving ing, coaching, and other forms of assistance, and a suitable
domain or activity (in this case technical troubleshooting) environment that helps students develop self-esteem solving
line up with the students’ prior knowledge and experience technological problems.
(Brophy, 1999). It is possible that the students’ prior experi-
ence in the sort of problems they are called on to solve might Declaration of Conflicting Interests
perhaps be inadequate. Or perhaps some of the students’
The author(s) declared no potential conflicts of interest with respect
prior experience with technological problem solving had
to the research, authorship, and/or publication of this article.
been unrewarding (Brophy, 1999). There is a need for further
research to examine these possibilities as they were not Funding
explored in this study.
The results of a one-way ANOVA also indicated no sig-
nificant difference in the teacher trainees’ willingness to
engage in problem-solving activities by year of study (years
of university experience). Nonetheless, the results of a simul- References
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Uwaifo, V. O., & Uwaifo, I. U. (2009). Training technology and Benedict Iorzer Labe is senior lecturer and coordinator, Preliminary
vocational education teachers for the new 9-3-4 education sys- Vocational Technical Studies, in the Department of Vocational and
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Journal, 4, 160-166. Nigeria. He holds a PhD in industrial technical education from the
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589588
SGOXXX10.1177/2158244015589588SAGE OpenLaski et al.
6
What Makes Mathematics Manipulatives
Effective? Lessons From Cognitive Science
and Montessori Education
Elida V. Laski1, Jamilah R. Jor’dan2, Carolyn Daoust3,

and Angela K. Murray4
Abstract
Manipulatives are ubiquitous in early childhood classrooms; yet, findings regarding their efficacy for learning mathematics
concepts are inconsistent. In this article, we present four general principles that have emerged from cognitive science about
ways to ensure that manipulatives promote learning when used with young children. We also describe how Montessori
instruction offers a concrete example of the application of these principles in practice, which may, in turn, explain the high
levels of mathematics achievement among children who attend Montessori programs during early childhood. The general
principles and concrete examples presented in this article should help early childhood programs maximize the benefits of
using manipulatives for developmentally appropriate mathematics instruction.
Keywords
manipulatives, Montessori, mathematics, materials, cognitive science
Walk into any early childhood classroom and you are sure to early childhood? We believe the answer is yes—if careful
see mathematics manipulatives. Manipulatives are concrete consideration is given to what research has identified about
materials (e.g., blocks, tiles) used to demonstrate a mathe- the conditions under which when manipulatives are likely to
matics concept or to support the execution of a mathematical promote, rather than hinder, learning. Cognitive science
procedure. They have become a mainstay of mathematical research, in particular, has generated a considerable amount
instruction in America as well as internationally (e.g., Correa, of knowledge that could be useful for improving instruction
Perry, Sims, Miller, & Fang, 2008; Puchner, Taylor, so that all young children can acquire the mathematics
O’Donnell, & Fick, 2008). In a study of two school districts, knowledge necessary for success, as described in National
the average elementary teacher reported using manipulatives Council of Teachers of Mathematics (NCTM) standards and
nearly every day (Uribe-Flórez & Wilkins, 2010). Common Core standards (Laski, Reeves, Ganley, & Mitchell,
Research examining the advantages of instruction using 2013; NCTM, 2006; National Governors Association Center
manipulatives, however, is inconsistent: Some studies find for Best Practices, Council of Chief State School Officers,
that manipulatives promote learning, whereas others find 2010; Newcombe et al., 2009; Siegler, 2003). In this article,
that they hinder it. A recent meta-analysis of 55 studies that we discuss the findings from cognitive science relevant to
compared instruction with or without manipulatives suggests the use of manipulatives in early childhood math instruction,
that manipulatives can benefit learning, but only under cer- and synthesize them into four principles for maximizing the
tain conditions (Carbonneau, Marley, & Selig, 2013). For effective use of mathematics manipulatives.
instance, differences in the benefits of manipulatives were
associated with the content being taught; manipulatives were
more advantageous for learning about fractions than for
1
learning arithmetic. The results also indicated that instruc- Boston College, Chestnut Hill, MA, USA
2
Chicago State University, IL, USA
tion with manipulatives was least effective for children 3
Saint Mary’s College of California, Moraga, USA
between the ages of 3 and 6 years, with very small and some- 4
University of Kansas, Lawrence, USA
times negative effects. These findings suggest that the effi-
cacy of manipulatives for promoting learning may depend on
Elida V. Laski, Department of Applied Developmental and Educational
the conditions under which they are used. Psychology, Lynch School of Education, Boston College, 201 Campion
Given the lack of clear evidence supporting the use of Hall, Chestnut Hill, MA 02467, USA.
manipulatives, should they be used to teach mathematics in Email: laski@bc.edu

What Makes Mathematics Manipulatives Effective? Lessons From Cognitive Science and Montessori Education 53
To demonstrate how early childhood instruction can without it. The strongest conclusion from the data was that
reflect these principles, we offer examples from Montessori the benefit of manipulatives depends on how long children
instruction. Maria Montessori (Montessori & Simmonds, are exposed to them: Exposure to the same manipulative for
1917) was among the first educators to develop materials a school year or more led to moderate effect sizes, whereas
specifically designed to instantiate mathematics concepts. instruction with manipulatives over a shorter period of time
She developed a wide array of materials designed to help led to learning levels comparable with those of instruction
children understand concepts, such as place value (Lillard, without manipulatives.
2005). Children who attend Montessori programs in early Recent research from cognitive science helps to explain
childhood demonstrate high levels of mathematics achieve- this phenomenon. Young children do not easily interpret the
ment. Children who were randomly selected to attend a meaning of symbols to use them for problem solving
Montessori program scored higher on a standardized math (DeLoache, 2004). For example, children under the age of 5
test than children who had not been selected and attended a are unable to make the connection between a scale model of
non-Montessori program (Lillard & Else-Quest, 2006). In a room and a regular-sized room to locate a hidden toy with-
fact, close adherence to the Montessori approach seems to out receiving explicit guidance from an experimenter
promote better math learning: Children who attend high- (DeLoache, Peralta de Mendoza, & Anderson, 1999).
fidelity Montessori programs are more likely to have higher Children become better able to interpret the relation between
standardized math scores than those who attend lower fidel- a symbol and its referent with age, but even older children
ity Montessori or traditional early childhood programs need cumulative experience with a symbol to use it for
(Lillard, 2012). The benefits of the Montessori approach to sophisticated reasoning (Liben & Myers, 2007). Children are
mathematics learning in early childhood may, at least in part, better able to identify the relation between two constructs (or
be due to its effective use of manipulatives. in this case, a concept and a manipulative) when they have
multiple opportunities to compare them (Gick & Holyoak,
Four Principles for Maximizing the 1983; Son, Smith, & Goldstone, 2011).
Theories of physically distributed learning suggest that
Effectiveness of Manipulatives using the same or similar manipulatives to repeatedly solve
The widespread use of manipulatives is rooted in the idea problems leads to a deeper understanding of the relation
that young children reason concretely before they do so between the physical material and the abstract concept
abstractly. It is important to remember, however, that even because it allows for an understanding of the two to co-
though manipulatives are concrete objects, understanding evolve (Martin, 2009). In other words, using the manipula-
how they represent concepts requires abstract thinking—a tive helps establish a basic understanding of the math concept
manipulative is still just a physical representation of a con- that in turn promotes deeper insights into how the material
cept, not the concept itself. Thus, cognitive research about relates to the concept that in turn leads to better understand-
young children’s symbolic reasoning and the conditions that ing of the concept and so on. This iterative cycle, however, is
facilitate their ability to abstract information from symbols theorized as only being possible when there is consistent pro-
can inform classroom practice that is developmentally appro- longed use of the same or similar manipulatives (Martin,
priate. From our review of the literature, four general prin- 2009).
ciples emerged: (a) use a manipulative consistently, over a
long period of time; (b) begin with highly transparent con- The Montessori approach. The Montessori approach allows
crete representations and move to more abstract representa- for long-term use of the same or similar manipulatives
tions over time; (c) avoid manipulatives that resemble through both the structure of its programs and the design of
everyday objects or have distracting irrelevant features; and the manipulatives. Traditionally, each level of Montessori
(d) explicitly explain the relation between the manipulatives education encompasses a 3-year mixed age group, so an
and the math concept. What follows is a description of the early childhood classroom includes children aged 3 through
research in support of each principle and examples of how 6. This multi-year time frame and the consistency between
Montessori instruction serves as a model of these principles. the early childhood and elementary programs provide exten-
sive opportunities for children to abstract the mathematical
Use a Manipulative Consistently, Over a Long concepts represented by the Montessori math manipulatives
and to gradually develop more sophisticated knowledge over
Period of Time an extended period of time (Lillard, 2005). Furthermore,
What the research says. For manipulatives to be effective, materials introduced and used throughout the early child-
children, particularly young children, need time to make the hood level, or slight variations of them, are also used in the
relation between the concrete materials and the abstract con- elementary grades to explain more advanced concepts.
cepts they represent. More than two decades ago, Sowell A second way Montessori instruction allows for children
(1989) conducted one of the first meta-analyses of studies to have extended time with manipulatives is that it uses a lim-
comparing instruction with manipulatives with instruction ited, but a central, set of math materials to represent number

Figure 1. Montessori golden bead materials used for representing number.
Source. Photograph courtesy of Nienhuis Montessori USA, the largest authorized manufacturer of Montessori materials.
Note. From left to right: the unit bead, 10 bar, 100 square, and 1,000 cube.
Table 1. Extended Use of Montessori Golden Bead Manipulative Over Several Years.
Approximate child age
3-4 years 5-6 years 7-8 years 9 to 10+ years

Golden bead material •• Introduction to the •• Operations (×/÷) with •• Distributive law •• Squaring a binomial
decimal system numbers between 1 and 9,999
•• Exploring different •• Long division •• Divisibility •• Square roots for
quantities numbers less than 9,999
•• Association of •• Word problems
quantities with numeral
cards 1-9,999
•• Operations (+/−) with
numbers between 1 and
9,999
concepts and operations. One example is the golden bead 20 and a green numeral 6 to make the numeral 26 and match
material (see Figure 1) in which the base-10 number system it to a set of two 10-bead bars and six unit beads. In another
is represented using identical individual gold colored beads case, small tiles used for counting and arithmetic also follow
to denote units that are also assembled into bars comprising the same color scheme: 1 tiles are green, 10s are blue, and
10 connected beads, squares that connect beads to form a 10 100s are red. In another material, a kind of abacus used for
by 10 square of 100 gold beads, and a cube of 1,000 intercon- representing larger numbers and arithmetic, there is a row of
nected beads. green beads that represent units, a row of blue beads that
As illustrated in Table 1, the golden beads are used for represent the 10s, and a row of red beads that represent the
activities at the early childhood level beginning with the 100s. Furthermore, as children progress to working with
introduction to quantity and numerals and are then used larger numbers, the same color scheme is used to represent
throughout the early elementary years as a basis for explain- the recursive nature of the number system—for example,
ing the base-10 system and operations, and later to introduce green is used to represent units of 1,000, blue 10,000s, and
square roots. red for 100,000s.
Finally, the Montessori approach provides children with
multiple opportunities to make connections between a physi- Begin With Highly Transparent Concrete
cal representation and the underlying mathematical concept Representations and Move to More Abstract
through incorporating the same physical representation in
Representations Over Time
multiple materials (Lillard, 2005). This point can be illustrated
through the color coding used to represent place value—for What the research says. The greater the physical similarity
example, green for units, blue for 10s, red for 100s—across between the manipulative and the concept it represents, the
various materials. In one instance, this color coding is used for more likely children will be able to understand the relation
numerals that represent the place value within multi-digit between the two. Research on the development of symbolic
numbers—for example, a child would combine a blue numeral and analogical reasoning provides support for this claim

Figure 2. Concreteness fading in the Montessori approach: materials progress from (a) instantiating the individual units in number to
(b) wooden squares marked with circles to signify units to (c) wooden tiles with quantity indicated only by numerals.
Source. Photograph courtesy of Nienhuis Montessori USA.
(Chen, 1996; DeLoache, Kolstad, & Anderson, 1991; a high degree of transparency to more abstract materials with
Gentner & Markman, 1997; Goswami, 1996). For instance, less transparency over the 3-year early childhood period
preschoolers are better able to find a hidden toy in a regular- (ages 3-6 years). Consider the materials used to support chil-
sized room when they are shown its location in a scale model dren’s understanding of the magnitude of numbers: Instruc-
with identical furniture than when they are shown the location on the concept progresses from use of materials that
tion in a scale model with generic furniture (DeLoache et al., physically represent the composition of numbers through
1991). Support also comes from research about how board concrete combinations of individual units to tiles with only
games support learning (Laski & Siegler, 2014; Siegler & Arabic numerals that are combined for multi-digit numbers
Ramani, 2009). A number board game with the numbers 1 to (see Figure 2). Initially the magnitude of numbers is repre-
10 in squares arranged in a line leads to better improvements sented using the “golden beads” (mentioned previously)—a
in preschoolers’ understanding of the magnitude of numbers collection of beads that contains individual beads, or groups
(also known as their mental number line) than a game board of individual beads organized as 10 bars, 100 squares, or
with the numbers arranged in a circle (Siegler & Ramani, 1,000 cubes. The quantity of individual beads associated
2009). It is believed that the linear game board is better with each magnitude (e.g., 10 bar vs. 100 square) directly
because it is a more transparent reflection of increasing reflects the magnitude of each number. With time, instruc-
numerical magnitude. tion shifts to increased use of wooden base-10 squares and
Although concrete representations of mathematics con- cubes marked only with circles to signify the collections of
cepts are initially important for helping children make the beads. The last step in the progression is the use of number
mapping between materials and the concepts they represent, tiles of identical size and marked with a 1, 10, 100, or 1,000,
research suggests that instruction should progress to the use which are used without any other physical representation of
of more abstract representations over time. This idea is quantities. Thus, the sequence in which the Montessori mate-
known as “concreteness fading” (Fyfe, McNeil, Son, & rials are introduced is structured to move children to increas-
Goldstone, 2014). Carbonneau and colleagues’ (2013) meta- ingly abstract representations over time.
analysis of studies testing the effectiveness of manipulatives
found that they were more effective for outcomes related to
Avoid Manipulatives That Resemble Everyday
reproducing basic procedures than for outcomes related to
transfer (i.e., extending knowledge to new problem types). Objects or Have Distracting Irrelevant Features
Recent studies indicate that a systematic fading of concrete- What the research says. Early advocates of manipulatives
ness can increase children’s ability to transfer knowledge posited that concrete objects that resemble everyday objects
acquired through manipulatives to novel, unfamiliar prob- (e.g., teddy bear counters) help children draw on their practi-
lems (Fyfe et al., 2014). For instance, children who received cal knowledge for understanding concepts (Burns, 1996).
instruction about math equivalence problems (e.g., 3 + 4 = 3 Recent research, however, suggests that manipulatives that
+ __) solved more transfer problems correctly when instruc- represent real objects may actually impede learning. In fact,
tion progressed from physical objects (i.e., bears on a pan it may be the prevalence of these kinds of manipulatives in
balance) to a worksheet (i.e., illustration of a pan balance) to early childhood classrooms that explains Carbonneau and
symbolic equations, compared with children who received colleagues’ (2013) finding that instruction with manipula-
instruction in the reverse order or instruction with either only tives was least effective for children between the ages of 3
concrete objects or symbolic equations (Fyfe & McNeil, and 6 years, with very small and sometimes negative effects.
2009). More generally, it may be teachers’ tendency to allow stu-
dents to “play” with mathematics manipulatives (Moyer,
The Montessori approach. Montessori materials and instruc- 2001) that undermines the effectiveness of manipulatives for
tion exemplify the progression from concrete materials with mathematics learning.

Current research suggests that manipulatives that are as

basic as possible (e.g., same colored cubes vs. teddy bear
counters) without irrelevant perceptual features or references
to real-world objects seem to promote the greatest learning.
For example, McNeil, Uttal, Jarvin, and Sternberg (2009)
found that children who solved word problems involving
money using highly realistic dollar bills and coins made a
greater number of errors than those who solved the same
problems using more basic representations of money, spe-
cifically white pieces of paper with only numbers on them.
Research about young children’s symbolic reasoning,
specifically evidenced in the dual representation theory, pro-
vides an explanation for why manipulatives without irrele-
Figure 3. Set of Montessori rods used to represent increasing
vant features are more effective for learning (see McNeil & number size.
Uttal, 2009; Uttal, O’Doherty, Newland, Hand, & DeLoache, Source. Photograph courtesy of Nienhuis Montessori USA.
2009, for reviews). From the perspective of the dual repre-
sentation theory, manipulatives can be thought of in two dif-
ferent ways: (a) as objects in their own right and (b) as simplicity of Montessori materials is that though they are
symbols for mathematics concepts. When the manipulative superficially less interesting or appealing than more broadly
itself is interesting to play with (e.g., acting out a story with used manipulatives, they are designed in ways that are more
the teddy bear counters or pretending to eat plastic fruit) or likely to focus children’s attention on the attributes that rep-
elicits ideas irrelevant to the mathematics (e.g., playing with resent the mathematical concept and increase learning.
stuffed animals), it distracts and prevents the child from
making the relation between the manipulative and the math- Explicitly Explain the Relation Between the
ematics concept it is meant to represent. However, when the
Manipulatives and the Math Concept
manipulative is basic—stripped of irrelevant perceptual fea-
tures or attributes—then it helps children direct all of their What the research says. Finally, with even the best designed
attention to thinking about its relation with the mathematics manipulatives, it is unreasonable to expect young children to
concept it represents. make the relation between the concrete material and the
mathematics concept it represents without explicit guidance
The Montessori approach. Montessori math manipulatives (Ball, 1992; McNeil & Jarvin, 2007). Studies of children’s
are basic representations of mathematical entities that do not symbolic reasoning consistently find that children under the
resemble real objects or possess irrelevant perceptual fea- age of 5 have trouble abstracting the meaning of a symbol
tures. For example, the materials described above (and illus- without instruction (e.g., DeLoache et al., 1999). This
trated in Figures 1 and 2) used for representing number research suggests that explicit statements about how the
quantity and counting activities have no connection with material represents the mathematical procedure or concept
everyday objects. The beads are all the same color and the helps direct children’s attention to the relevant features of the
only differences between them are the quantity they repre- materials. Directing attention may, in turn, promote learning
sent (e.g., 10 bar vs. 100 square). Another example is a set of because it allows children’s limited cognitive resources to
10 wooden rods illustrated in Figure 3 that range in length focus on the mathematics rather than on trying to abstract the
from 1 to 10 segments (each 1 dm) with segments alternately relation between the material and the mathematics concept
painted red and blue that are used to teach the magnitude and (Kirschner, Sweller, & Clark, 2006). Consistent with these
order of numbers between 1 and 10. The rods instantiate the findings from cognitive research, Deborah Ball (1992), an
quantity of units associated with each number (i.e., the num- expert in mathematics education, argued strongly against a
ber of individual segments in a given rod), the overall magni- constructivist view of manipulatives and the idea that chil-
tude of a number (i.e., the length of a rod), and the relative dren can independently develop an understanding of mathe-
magnitude of numbers (i.e., the “two” rod has fewer units and matics concepts by interacting with concrete materials:
is shorter than the “eight” rod). Also, when children order the “Although kinesthetic experiences can enhance perception
rods, they see a concrete representation of the successor and thinking, understanding does not travel through the fin-
rule—each subsequent number is exactly one more unit than gertips and up the arm” (p. 47).
the previous number. Because the rods are all perceptually Indeed, differences in the extent to which teachers provide
identical (i.e., same color, texture, thickness), except for the guidance when using manipulatives or other models are
relevant attributes (i.e., number of segments and length) chil- attributed to differences in student learning and mathematics
dren’s attention is drawn to the relevant features of the rods achievement (e.g., Boulton-Lewis & Tait, 1994; Fuson &
and there are no irrelevant features to distract them. Thus, the Briars, 1990; Hiebert & Wearne, 1992). For example,

Figure 4. Physical alignment of materials used to help children connect a more abstract representation (i.e., numeral tiles) to earlier
used and practiced concrete representations (i.e., bead materials).
Richland, Zur, and Holyoak (2007) found that teachers in about number and counting, the teacher points as she counts
Hong Kong and Japan were more likely than U.S. teachers to each bead, helping them to make the connection between the
provide guidance when presenting analogies in mathematics quantity and the number words. Similarly as the materials
and that this may contribute to the higher performance of begin to be used to explain place-value concepts and the
students from these nations on cross-national assessments of carry-over procedure, language is used in conjunction with
mathematics achievement. Carbonneau and colleagues’ gesture to facilitate children’s understanding of the mathe-
(2013) meta-analysis of studies testing the effectiveness of matics concept being demonstrated. For example, a teacher
manipulatives similarly found that studies in which the use would count out 9 unit beads, then, before a 10th bead is
of manipulatives was accompanied by high levels of instruc- added, would ask the child, “Nine units and one more unit
tional guidance led to greater effect sizes than studies in would be how many?” As the child says, “10,” the teacher
which low levels of guidance were used. replaces the nine unit beads with a single 10 bar, points to the
The guidance provided can be either verbal or non-verbal. 10 bar, and says, “One more would be ten or one ten.”
In fact, gestures have been found to be a particularly effec- Montessori instruction also provides guidance to help
tive instructional tool even when they provide information children see the connection between increasingly abstract
different from the strategy explained verbally (Singer & sets of materials. For example, when the colored number
Goldin-Meadow, 2005). More specifically, “linking ges- tiles are first introduced to children, they are explicitly con-
tures” are believed to play an important role in directing chil- nected to the more concrete representation of numerical
dren’s attention to the connection between two representations quantity used earlier, the golden beads. First, the teacher
(Alibali & Nathan, 2007; Richland, 2008). A teacher, for reminds children of the value of the bead materials (unit
instance, who points to a fulcrum of a pan balance and then bead, 10 bar, etc.). Then, as illustrated in Figure 4, the num-
to an equal sign is using gesture to help children understand ber tiles are placed directly in front of the bead materials with
the connection between the concrete and symbolic represen- the same magnitude as the teacher names the numeral on the
tation of equality (Alibali & Nathan, 2007). tile. This kind of physical alignment, accompanied by verbal
explanation, is consistent with the kind of instruction that has
The Montessori approach. In Montessori instruction, early been found to help children notice how two representations
childhood teachers use both gesture and language to help are connected (Richland et al., 2007).
children see the relation between mathematics materials and
the concepts they are meant to represent by drawing chil-
Conclusion
dren’s attention to the relevant features of the materials. For
example, when children are first introduced to the golden Despite the widespread use of manipulatives in early child-
bead materials (see Figure 1), the teacher explicitly points out hood mathematics instruction, research examining the effi-
to the child the value of the beads; the teacher places a single cacy of manipulatives for mathematics instruction is
unit bead in front of the child and says, “This is a unit.” Later, inconsistent. In fact, a recent large meta-analysis of studies
when the golden bead materials are used to teach children that compared instruction with or without manipulatives

indicated that instruction with manipulatives was least effec- Funding

tive for children between the ages of 3 and 6 years, with very The author(s) received no financial support for the research and/or
small and sometimes negative effects (Carbonneau et al., authorship of this article.
2013). Thus, it is imperative that early childhood educators
think carefully about ways to effectively use mathematics References
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Martin, T. (2009). A theory of physically distributed learning: How of Experimental Child Psychology, 108, 260-277.
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education. Child Development Perspectives, 3, 137-139. (2009). Dual representation and the linking of concrete and
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Should you show me the money? Concrete objects both hurt ematics. Child Development Perspectives, 3, 156-159.
and help performance on mathematics problems. Learning and
Instruction, 19, 171-184. Author Biographies
Montessori, M., & Simmonds, F. (1917). The advanced Montessori Elida V. Laski, PhD, is an assistant professor in the Applied
method: Scientific pedagogy as applied to the education of Developmental Psychology program in the Lynch School of
children from seven to eleven years. London, England: W. Education at Boston College. Her research focuses on mathematics
Heinemann. development and the cognitive processes involved.
Moyer, P. S. (2001). Are we having fun yet? How teachers use
manipulatives to teach mathematics. Educational Studies in Jamilah R. Jor’dan, PhD, is the interim assistant dean and an asso-
Mathematics, 47, 175-197. ciate professor in the Department of Early Childhood and Bilingual
National Council of Teachers of Mathematics. (2006). Curriculum Education at Chicago State University, College of Education. She
focal points for PreK- Grade 8 Mathematics: A quest for is also a member of the research committee for the American
coherence. Reston, VA: National Council of Teachers of Montessori Society.
Mathematics.
Carolyn Daoust, PhD, is affiliated with the Montessori Teacher
National Governors Association Center for Best Practices, Council
Education Program at Saint Mary’s College of California. She is a
of Chief State School Officers. (2010). Common Core State
former American Montessori Society Board Member and served on
Standards for Mathematics. Washington, DC: Author.
their research committee from 2007 - 2013.
Newcombe, N. S., Ambady, N., Eccles, J., Gomez, L., Klahr, D.,
Linn, M., . . . Mix, K. (2009). Psychology’s role in mathemat- Angela K. Murray, PhD, is an assistant research professor at the
ics and science education. American Psychologist, 64, 538-550. University of Kansas’s Center for Research on Learning. She is also
Puchner, L., Taylor, A., O’Donnell, B., & Fick, K. (2008). Teacher senior researcher for the American Montessori Society and editor of
learning and mathematics manipulatives: A collective case study the Journal of Montessori Research.

586810
SGOXXX10.1177/2158244015586810SAGE OpenSatterlee et al.
7
An Evaluation of Early Education Based
on Physical Environmental Guidelines
Donna J. Satterlee1, Jeffrey M. Molavi1, and Mark E. Williams1
Abstract
The integration of environmental policies with political support for action on these policies is of prime significance for
mobilization and progression of improving indoor environments. However, state licensing agencies and local county
ordinances for child care centers do not universally follow these policies and standards. As a result, most early childhood
educational programs operate without proper indoor environments. Indoor air quality, temperature, ventilation, daylighting,
and acoustics are crucial factors for educational settings in early childhood education. This study documents the physical
environment in early childhood education centers in three counties in Maryland. Results indicate that building performance
and indoor air quality standards vary according to the socioeconomic status of children who attend early childhood programs,
and environmental factors correlate with educational achievement (as measured by kindergarten readiness scores).
Keywords
indoor air quality, environmental policy, early care and education, quality of indoor environment, kindergarten readiness
scores
The integration of environmental policies with political sup- development and learning during preschool years, a time
port for action on these policies is of prime significance for when the brain undergoes intensive growth. Inequitable dis-
mobilization and improving indoor environments. However, tribution of ecologically sound learning environments could
state licensing agencies and local county ordinances for child contribute significantly to social justice issues in educational
care centers do not universally follow these policies. communities (Noble, Tottenham, & Casey, 2005).
Ordinances for new construction (e.g., requiring temperature This article documents a statistical sample of early child-
controls in new hotels) may be changing gradually, but retro- hood facilities in three counties in the Eastern Shore of
fitting older buildings is not always required. As a result, Maryland and their level of compliance with indoor environ-
most early childhood educational programs operate without mental policies. The three-county area chosen for this study
proper indoor environments as defined by the U.S. Green is semi-rural with two small cities and many towns and vil-
Building Council (USGBC; 2008), even though the negative lages. Worcester County includes Ocean City and two adja-
consequences of doing so are clear. Improving building cent small towns, which are fairly affluent. The remainder of
design, operation, and maintenance are the first steps toward Worcester County has many high-poverty areas. Somerset
achieving safe indoor environmental quality (IEQ) and satis- County has the lowest per capita income in Maryland.
fying occupants. Indoor air quality, temperature, ventilation, Socioeconomic status (SES) in Wicomico County varies.
daylighting, and acoustics are crucial characteristics of early This article focuses on IEQ, so the survey focuses on
childhood educational settings. Lack of control of these char- buildings’ ability to provide healthy indoor environments.
acteristics not only leads to health problems but also affects We theorized that thermal comfort, better indoor air quality
children’s learning and behavior. and ventilation, improved acoustics, and better lighting in
Environmental quality also affects the future productivity preschools would improve kindergarten readiness scores.
of the work force. The effects of IEQ on adults and school- The results indicate that building performance and indoor
age children all over the world are well documented (Almeida air quality are low in early education facilities. This is an
& de Freitas, 2014; Babayiğit et al., 2014; Clausen et al.,
2011; Frontczak et al., 2012; Jepsen, 2001; Santamouris 1
University of Maryland Eastern Shore, Princess Anne, USA
et al., 2014; Sarbu & Sebarchievici, 2013; Turunen et al.,
2014; Zhang et al., 2013). Scant research focuses on the con- Donna J. Satterlee, University of Maryland Eastern Shore, 1105 Early
nections between environment and early learning. Some Childhood Research Center, Princess Anne, MD 21853, USA.
researchers theorize that the environment affects brain Email: djsatterlee@umes.edu

An Evaluation of Early Education Based on Physical Environmental Guidelines 61
interdisciplinary research project that examines young chil- Early care and education begins the education process,
dren’s interactions with their physical environment (indoor and early childhood professionals must meet standards for
air quality, temperature, ventilation, daylighting, and acous- developmentally appropriate practices (National Association
tics), a topic that has not received enough attention from for the Education of Young Children, 2009). However, the
other researchers. physical buildings of each program may be quite different. In
To define terms, child care or early care and education 1992, the USGBC was established to promote green building
usually refers to care for and education of children while and environmental sustainability. More specifically, there are
their parents or guardians are working or attending school. It six focus areas: sustainable sites, energy and atmosphere,
usually serves children from 6 weeks of age until they enter water efficiency, materials and resources, IEQ, and innova-
public school, but children up to 12 years of age may attend tion in design and operation. Although all of these areas are
before and after elementary school. Child care services are important for design and construction, this article focuses on
usually the responsibility of the parent to choose, and the IEQ in early childhood facilities.
child care is paid for by the child’s parents, guardians, or—
for families that qualify—the state subsidy program.
Beginning teachers are required to have at least 90 clock- Literature Review
hours of training in child development and curricula plus 24
clock-hours per year of continued education (Child Care
Green Building
Centers, 2014). Maryland is gradually implementing a cre- Leadership in Energy and Environmental Design (LEED) is
dential program where teachers of early care and education a green-building certification program that recognizes best-
will be required to have a 2- or a 4-year degree (Child Care in-class building strategies and practices (USGBC, n.d.).
Centers, 2014). Research on IEQ in preschool programs focuses on LEED-
Project Head Start provides care and education to children certified preschool buildings. Pennsylvania State University’s
from the age of three until kindergarten in families whose Child Care Center is a building that qualifies for platinum
incomes are below the federal guidelines for poverty. The LEED certification, the highest possible certification. The
program was sponsored by Lyndon Johnson in 1965 as part university claims children are delighted with the building
of his war on poverty, and the federal government has contin- (Ruskin, 2013); however, Ruskin (2013) did not include
ued to fund Head Start. Head Start aims to ensure that chil- research on children’s ability to learn in the building com-
dren from families with lower SES have the same chance to pared with other buildings. Other articles focus on environ-
succeed educationally as children from families with higher mental education. For example, Wilson, R (2014) in her
SES. Children attend Head Start for the education provided, study, taught children to love the outdoors. Other research
and the parents are not required to work or go to school dur- focuses on components of preschool environments, such as
ing the time that their children are at Head Start. Hours of learning centers in classrooms and playground equipment
education vary according to location, and some Head Start (Miller, Tichota, & White, 2014). Some studies focus on the
programs offer before- and after-care funded by other human environment, such as parents’ SES and the lack of
sources, but using the same buildings and faculty. The fed- early environmental education (Davis, 2009). There are
eral government contracts agencies to provide services under some studies that investigate how children learn in the natu-
the Head Start program. Ten percent of children enrolled in ral environment, for example, at schools where children
Head Start have a documented disability (Office of Head spend the majority of their day exploring the outdoors
Start, n.d.). Teachers in Head Start are required to have either (Borradaile, 2006).
a 2-year degree or a 4-year degree in early childhood educa- Early care and education programs are changing because
tion or a related field. of the federal Preschool for All initiative (U.S. Department
Public pre-kindergarten programs are care and education of Education, 2014). Many in the education community have
programs provided by public school systems. These pro- realized that there are not enough adequate physical spaces
grams are usually designed to serve the children who have for preschoolers. Public schools are seeking to expand; in the
more perceived needs, such as those who may be at risk for meantime, they are holding preschool classes in child care
developmental delays. Teachers in these programs are certi- centers partly because of space constraints and partly because
fied in early childhood education. Parents are not required to they want to increase the quality of early care and education
work or attend school during the time their children are in the programs.
program. Physical buildings’ design and construction could impact
Teachers in all three settings must use concepts and skills the learning and behavior of preschool children (Turunen
set forth in curricula approved by the Maryland State et al., 2014) during a time of intense brain development
Department of Education. Children learn language, pre-read- which builds the foundation for their future education
ing and reading skills, pre-writing and writing skills, mathe- (Heckman, 2012).
matics, science, social studies, social and emotional skills, With sustainability in mind, architects have started think-
fine and gross motor skills, and self-help skills. ing about design and construction differently. Architects are

starting to design buildings so that they can utilize the fol- incomes than those who do not. Each dollar invested in pre-
lowing: passive solar heating, daylighting, active solar school programs yields a seven dollar return (Karoly,
energy, and photovoltaic panels that produce on-site electric- Kilburn, & Cannon, 2005). The High Scope Perry Preschool
ity (reducing energy loads for heating). Key factors for the study found that “adults at age 40 who had the preschool
quality of indoor environments include the following: the program had higher earnings, were more likely to hold a job,
volume of air in a classroom, air exchange rates, window had committed fewer crimes, and were more likely to have
size, window position in relation to the sun, window shades, graduated from high school than adults who did not have
floor area, floor materials’ heat absorption, and sound control preschool” (Schweinhart et al., 2005, p. 1).
(American Society of Heating, Refrigerating, and Air-
Conditioning Engineers [ASHRAE], 2010a).
Availability of Child Care
Parents may choose early care and education centers based
Kindergarten Readiness Scores on location, available seats, and affordability. There are some
Kindergarten readiness refers to children’s readiness to learn available seats in public preschool programs provided by
the concepts and practice the skills necessary for kindergar- school districts for 4-year-old children. There are also some
ten success. Kindergarten teachers give students a readiness available seats in privately owned child care centers. Project
test during their first month of kindergarten to generate kin- Head Start has available seats if parents’ income qualifies.
dergarten readiness scores according to the Maryland State There are some available seats in family child care homes,
Department of Education. The deadline ensures that teachers and some parents may need to rely on kith and kin. Parents
find students’ learning deficits early, so teachers can inter- may not be aware of the differences in kindergarten readiness
vene as soon as possible. The Maryland Department of scores for children who attended each of these different kinds
Education tabulates results and compares them county by of child care. Also, there are limited options for affordable
county. child care in convenient locations in the study area, so par-
ents may take what they can get rather than what they prefer
for their children. Head Start centers, the school district’s
Teacher Requirements preschools, and child care centers are generally either accred-
Teachers in child care programs must meet required educa- ited or working on accreditation, which should ensure pro-
tional levels that vary according to state and county. grams’ quality (Maryland State Department of Education,
Continuing education requirements are imposed, as well. 2014a). High-quality child care is known to make a differ-
(Because regulations may vary from state to state, education ence in the outcomes for children (Heckman, 2012).
requirements for teachers in child care may be found at the Kindergarten readiness scores varied between child care
Department of Education or the Department of Human programs administered by school districts, Project Head
Services in each state.) Maryland requires teachers in Head Start, and private organizations, so the researchers were curi-
Start to have either an associate’s or a bachelor’s degree in ous about other factors that may influence the scores. Kith-
child development, early childhood education, special edu- and-kin care and family child care programs were quite
cation, or a related field, such as human ecology. Human diverse in terms of buildings, teacher preparation, and size,
ecology covers the study of humans in their natural, social, so they were not included in the study.
and built environments, and it includes studying child devel-
opment (Bubolz & Sontag, 1993). These teachers earn low
Study Area
wages considering education requirements, continued train-
ing requirements (24 clock-hours per year), and work The three-county area of Maryland where this research was
requirements (such as keeping detailed documentation about conducted contains semi-rural, isolated communities. The
children’s progress). Their mean hourly wage is just US$9.61 poverty rate for families in the three counties was 11% in
(Bureau of Labor Statistics, 2013). According to Hershbein Worcester County, 16.2% in Wicomico County, and 20.4%
and Kearney (2014), early childhood teachers have the low- in Somerset (U.S. Census Bureau, 2012). There are a limited
est lifetime earnings for those with a college degree. Many number of child care centers, Head Start centers, and early
children spend 8 to 9 hr per day in child care centers, and, learning programs administered by the public school system.
during that time, they are expected to be learning. Many fam- The elementary schools were mostly constructed in the early
ilies receive subsidies for their children to attend child-center 1970s and feature open-classroom floor plans and have since
programs so that parents can work or attend school. added partitions between the different age groups of chil-
dren. Their walls are cinder block, and the floors are concrete
covered with vinyl tile. Classrooms generally have doors that
Benefits of Child Care exit to the outside and provide fresh air intermittently.
Children who attend quality early childhood programs are Windows, when present, are small but do provide some light.
more likely to stay in school and more likely to earn higher Most of the light comes from overhead florescent lights.

Sound is muffled by fiberboard or cork bulletin boards and spaces. Air should be reasonably free of dust, and spaces
suspended acoustic-tile ceilings. Older and louder school- should be free of odors and other pollutants that may be haz-
age children can increase sound levels. ardous or objectionable (ASHRAE, 2010b).
At the time of this survey, the children with prior care at
the public pre-K programs in the three counties had lower Indoor air quality and ventilation. There is a correlation
kindergarten readiness scores compared with children attend- between children’s and teacher’s dissatisfaction with indoor
ing private child care settings in the same three counties. The air quality and children’s learning and behavior (Wyon,
children chosen for the public pre-kindergarten programs 2004). Creating a healthy interior space requires fresh out-
were those with the highest perceived needs, and many of the side air to be brought into the building to dilute potentially
children had documented disabilities. The curriculum toxic components of indoor air. These toxic components
focused on learning sound-symbol correlation and memoriz- include carbon dioxide from respiration, carbon monoxide
ing arithmetic, and there was very little emphasis on hands- from incomplete combustion of fuel used in heaters, and
on learning through play. The public pre-kindergarten volatile organic compounds (VOC) that off-gas from build-
programs are either half a day or a full day. ing materials. Indoor air quality is usually controlled through
Two of the technical high schools had part-day programs ventilation, air filtration, removal of smell-causing sub-
for preschoolers. Children attended part of the day, and high stances, and low-VOC furniture and carpeting. According to
school students, supervised by a high school teacher, pro- the American National Standards Institute (ANSI) and
vided the educational program. These part-day public school ASHRAE, ventilation requires a significant quantity of out-
preschools were not included in the survey because they are side air, and outside air must be heated or cooled to mix with
half-day programs, not licensed as child care facilities, and indoor air (ANSI/ASHRAE, 2010).
under different regulations. The half-day programs are like a
laboratory setting for high school students taking courses in Lighting. Research shows that natural lighting can improve the
child care. health and productivity of children and teachers (Çakır, 2010;
Loftness, Hartkopf, Gurtekin, Hansen, & Hitchcock, 2003;
Plympton, Conway, & Epstein, 2000; Warren, 2013). Using
Environmental Factors daylight for illumination is one of the hallmarks of high-per-
This study explored various environmental factors that may forming buildings. In addition to supplying no-cost lighting,
affect learning for pre-K children who attend private child natural light has been shown to improve physical well-being
care and Head Start centers. and provide psychological benefits. In the late 1990s in Cali-
fornia, Pacific Gas and Electric Company conducted the first
Thermal comfort. Teachers and children are affected by their comprehensive scientific studies on benefits of daylighting in
perception of overall IEQ, including thermal comfort. A ther- two types of buildings, retail stores and schools. The studies
mally comfortable environment supports green building found that daylighting in stores increased sales per square foot
design and positively affects children’s learning and behav- of retail space by 30% to 50%, and students’ learning rates
ior. Both humidity and temperature affect comfort. High increased 20% to 26% in classrooms with daylight (Heschong,
humidity is not only uncomfortable but also a potential 2002). Florescent lighting may have detrimental effects on
source of mold. Humidity lower than 25% to 30% can cause learning and behavior because florescent light does not emit
breathing passages to become uncomfortably dry and make the same wavelengths as natural light (Çakır, 2010; Heschong,
children more susceptible to viral infections, such as the 2002). In addition, florescent lighting can be hazardous because
common cold (Millman, 2015). Individual temperature con- shattering florescent bulbs releases a small amount of mercury
trol may improve productivity because individuals are most vapor, which can be hazardous over time (Johnson, 2008).
productive at different temperatures (Nicol & Humphreys, Sustainable education buildings can use large energy-effi-
2002). ASHRAE has recommendations for indoor operating cient windows to allow sunlight to pass through while nearly
temperatures that meet most of the needs of children and eliminating heat exchange. These buildings may also have
teachers (ASHRAE, 2010b). Maryland regulations state that skylights with appropriate shading or diffusion controls.
a room may be used for child care only if it “A. Has natural Trees that are planted adjacent to windows, especially larger
or mechanical ventilation that provides adequate exchange windows facing south or east, mitigate the sun’s heat during
of air to protect a child’s health and comfort; B. Is free of summer. (Other shading devices, such as awnings, are also
moisture and dampness; and C. Has a temperature at floor beneficial.) The compass direction of windows matters due
level of not less than 65°F [18.3°C]” (Child Care Centers, to the earth’s 23.5° tilt, seasonal changes in day length, and
2014, §13A.16-.04.06). Air conditioning systems must be the latitude of classrooms. In the northern hemisphere, south-
designed for adequate air flow to prevent complaints about facing windows collect the most light and heat, and north-
stuffiness and drafts. Systems must also provide sufficient facing windows collect the least. East-facing windows
amounts of clean air to maintain oxygen at an acceptable collect early sunlight; due to earth’s spin, west-facing win-
level and dilute contaminants generated within occupied dows collect sunlight after noon. The amount of sunlight and

the variability of the spectrum of light and heat collected This research project implemented a survey via telephone.
depend on the size of roof overhangs. Other factors include Survey participants were spokespeople (directors or teach-
weather, the season, and proximity of deciduous and ever- ers) for child care and Head Start centers. The survey con-
green trees to the windows (Newell & Newell, 2010). Trees tained the following questions:
reduce ambient heat via evapotranspiration and “intercepting
the sunlight before it warms the building” (National Council 1. When was your building constructed?
of Architectural Registration Boards [NCARB], 1991, p. 19). 2. What type of building do you have? For example, is
Furthermore, trees can serve as a windbreak and reduce heat- it a pre-fabricated building, a prior church, prior
ing needs (Akbari, Pomerantz, & Taha, 2001). school building, or prior home?
3. For what purpose was your building constructed? Is
Acoustics. Sound and vibration are important contributors to there any known previous history?
the comfort and health of children and teachers. Research 4. Are the windows operable? Do your windows pro-
has shown noise to affect people’s productivity and perfor- vide enough natural light so that you can function
mance (Waye et al., 2002). Beyond productivity, relatively without artificial light? Can the children see outside
low levels of indoor noise, such as normal conversations at through the windows?
60 to 65 decibels (dB), can adversely affect people’s well- 5. What is the noise level of the children as they play,
being. Exposure to noise over 90 dB for 8 hr can damage learn, and interact? When you speak to the children,
hearing (Sight and Hearing Association, n.d.). Background can you hear what they are saying in response to
sound and reverberation significantly impact speech intelli- questions during the time they are participating in the
gibility, which is necessary in productive learning environ- classroom’s learning centers?
ments. A complete description of noise criteria in learning 6. How are the walls in your classroom constructed?
environments is in the ASHRAE handbook HVAC Applica- Dry wall/sheet rock? Lathe and plaster? How many
tions (ASHRAE, 2007). bulletin boards do you have, and are the bulletin
In classrooms, the primary noise-control solutions are boards constructed of fiberboard, cork, or paper?
increasing wall insulation, adding other sound-absorbing 7. Do you have suspended ceiling panels?
surfaces (such as cork or fiberboard bulletin boards), using 8. Do the windows face east, southeast, south, west, or
acoustical ceiling tiles, upgrading windows, and properly southwest?
sealing the building envelope while ensuring ventilation sys- 9. Do you have outside shade trees adjacent to the
tems provide fresh air. These improvements provide quieter windows?
learning environments by blocking outside noise. They also 10. Is your center located near a busy highway or other
improve the efficiency of air conditioning systems and save source of loud noise?
energy. Noise from mechanical and electrical systems also 11. Does your building become too hot or too cold for
needs to be controlled. comfort?
12. How are the floors in the classroom constructed and
covered? Carpet, area rugs, hardwood, laminate, tile,
Method or linoleum? What is under the floor covering?
Employees at 33 child care and Head Start centers in Concrete or wood?
Worcester, Somerset, and Wicomico counties in Maryland
were surveyed. A child care center is a single- or multiple- Survey takers recorded responses from the telephone sur-
classroom building managed by a director, who might also vey by taking copious notes as well as eliciting additional
serve as a teacher. Head Start centers are managed by a direc- information from the directors and teachers to clarify infor-
tor in coordination with central administration. Family child mation that was initially unclear.
care centers in private homes serve eight or fewer children One researcher visited the child care and Head Start cen-
and were excluded because residential building codes differ ters and observed classrooms when children were present.
from public building codes (Maryland State Department of The researcher observed the noise levels of the classrooms
Education, n.d.). Data on environmental factors at public and the construction materials of walls, floors, ceilings, and
school buildings were not recorded because preschool class- windows as well as lichen growth and outside shade. The
rooms do not have separate environmental controls from the research team obtained approval from the University of
remainder of the school building. Maryland Eastern Shore’s Internal Review Board before
Because the first 5 years of a child’s life sets the stage for undertaking this research.
all later learning (Gully, 2013), child care and Head Start Researchers obtained kindergarten readiness scores from
centers were chosen for this pilot research project. data published by the Maryland State Department of
Responses to survey questions were given point values Education (Maryland State Department of Education,
with a lower number being least desirable and the highest 2014b). Kindergarten readiness scores are calculated by
number being the most desirable. Maryland’s Department of Education using kindergarten

teachers’ student assessments and using the Work Sampling Table 1. Thermal Comfort.
System developed by Pearson Publishing Company. The
Rating High SES Low SES
scores are widely used in the State of Maryland and are
accessible from their website. The groupings include chil- 2. Adequately regulated 24 2
dren who have developmental disabilities and who are 1. Uncomfortable 3 4
becoming multilingual. The assessment is in English, not Average 1.88 1.3
students’ native languages.
Note. SES = socioeconomic status.
Results
comfort had 2 points with 1 being uncomfortable and 2
Some public schools were in somewhat poor condition. being adequately regulated. Table 1 presents results.
Some cinder block walls had cracks, and most windows were
single pane. The schools were built around 1970, and they
had fairly similar construction. Many public school class- Lighting
rooms had an open-classroom design with well-placed walls,
few classroom doors, concrete floors with tiles and area rugs, There was no difference in the lighting among any of the
cinder block walls, noise-absorbing bulletin boards, acousti- child care or Head Start centers; they all had florescent light-
cal ceiling panels, and florescent lights. In general, air condi- ing, and they did not make use of natural light.
tioners and heaters functioned and maintained adequate
temperatures. The buildings were specifically designed for
children’s use. The average age of a child care center build-
Windows and Indoor Air Quality
ing was 37 years. The newest child care center was built in Ratings on the scale for windows in classrooms follow (1)
2010. The oldest child care center was built in 1930. The no windows, (2) painted over windows, (3) windows not
average age of a Head Start building was 43 years. The new- opening, (3.5) some of the windows opening, (4) windows
est Head Start center was built in 1970. The oldest Head Start in doors, (5) all windows opening, (6) windows opening and
center was built in 1923. tinted, and (7) insulated thermal windows. Most of the child
Data on 33 centers (both child care and Head Start cen- care centers and Head Start centers had windows in class-
ters) out of a possible 52 centers yield statistically significant rooms. Indoor air quality and ventilation were better in cen-
results. The child care and Head Start centers included in the ters with windows that could be opened to allow fresh air in.
33-center sample were fairly evenly distributed between cit- Eight of the Head Start and child care centers had windows
ies and towns. The results show average scores within low- in several classrooms that were unable to be opened because
and high-SES groups. The high-SES group (high SES) the building was designed for another purpose or the win-
consists of 27 child care centers (3,248 children) where most dows were no longer operable. In an additional three child
children’s families were above the federal poverty level. The care and Head Start centers, some of the classrooms had
low-SES group (low SES) consists of six Head Start centers windows that opened, and some did not. The center that had
(474 children) where all the children’s families lived below the most non-functioning windows was the Head Start cen-
the poverty level. ter in the decommissioned school building. One child care
center was in an old gymnasium with very high windows
that could have been opened but were not because it was too
Thermal Comfort
inconvenient. Another child care center was in a church that
Temperature in child care centers is the most adequately had a wall of windows that were not designed to open, and
regulated component. Head Start and child care centers that heat accumulated when the sun shone through them. The
had difficulty with heating and cooling tended to be in older windows in some child care centers were located in the
buildings that were originally intended for other purposes. doors that were kept locked for safety. The remainder of the
The most significant problems were in a Head Start build- centers had windows that allowed for intermittent fresh air.
ing that was located in a decommissioned school building. In every classroom in one particular high-SES child care
In this building, inside temperatures were too warm in the center, there were new, insulated windows that opened. One
summer and too cold in the winter. A child care center had Head Start center had screen doors in addition to regular
a wall of unshaded windows, so the indoor temperature was doors. In one child care center that was originally a horse
far too high. All of the child care centers and Head Start barn, air quality deteriorated when ceiling tiles were dis-
centers had air conditioning in the summer, and air condi- turbed because dust from leftover horsehair and dander
tioners were adequately maintained. The child care and would drift into the classroom. All but one center used pest
Head Start center directors and teachers usually did not control services, which may use child-safe traps or sprays.
know how old the air conditioning systems were unless Licensing regulates cleaning in all the child care and Head
they had been replaced recently. The scale for thermal Start centers, and, in this researcher’s opinion, staff worked

Table 2. Windows and Indoor Air Quality. Table 4. Shade Trees.
Rating High SES Low SES Rating High SES Low SES
7. Insulated thermal, opens 3 0 3. Enough shade 5 0
6. Tinted, opens 1 0 2. Partial shade 11 1
5. All open 13 1 1. No shade 11 5
4. Windows in doors 2 0 Average 1.74 1.2
3.5. Some open 0 4
3. Do not open 5 0
2. Painted windows, do not open 0 1
1. No windows 1 0
Table 5. Acoustics.
Average 4.6 3.5
High SES Low SES
4. Quiet 4 0
3. Some echoing, mostly quiet 4 3
Table 3. Windows Providing Outside Views. 2. Noise contained in classroom 10 1
Rating High SES Low SES 1. Noise in classroom, spreads 9 2
through building
3. Children could see outside most of 24 4 Average 2.9 2.2
the day.
2. Windows covered with blinds most 2 0 Note. SES = socioeconomic status.
of the day.
1.5. Some classrooms in the center 0 2
had views; some did not. bushes, flowers, or grass near the building, and its play-
1. Children had no outside view. 1 0 ground was covered in recycled rubber, which served as pad-
Average 2.85 2.81 ding. Table 4 presents results.
Acoustics
diligently to keep the centers clean and free from unwanted The State of Maryland requires 35 ft2 (3.25 m2) of classroom
odors. Table 2 presents results. floor per child, and small classrooms at capacity were fairly
loud at times. In some of the older child care and Head Start
centers, noise carried through the halls when classroom
Windows Providing Outside Views doors were open, and, in some Head Start centers, noise car-
Child care and Head Start centers varied a great deal as to ried through the walls due to a lack of proper sound insula-
whether the children had an outside view. Outside views pro- tion. Most ceilings were suspended with acoustical panels,
vide children the opportunity to watch the sky, rest their and most walls were drywall. Two child care centers had car-
eyes, or just let their thoughts wander. Ratings on the scale pet on the walls to help with acoustics. Many classrooms had
for windows providing views follow (1) no outside view; both tile and carpet flooring. One private child care center
(1.5) some classrooms in the child care or Head Start center and several Head Start centers were in pre-fabricated build-
have windows with an outside view, and some do not; (3) ings, and the sound of people walking carried to other areas
windows are covered with blinds the entire day, which because of structural vibration. A few Head Start centers had
obscures any outside view; and (3) children can see outside noisy terminal fans in their Heating, ventilation, and air con-
most of the day. Table 3 presents results. ditioning (HVAC) systems. Paper bulletin boards (which do
not muffle sound like cork and fiberboard bulletin boards)
were more popular in Head Start centers. Ratings on the
Shade Trees scale for acoustics follow (1) very noisy both in the class-
Ratings on the scale for shade trees follow (1) no shade, (2) room and throughout the building, (2) noise contained in the
partial shade, and (3) enough shade. In general, centers were classroom, (3) some echoing but otherwise fairly quiet, and
built so that the front of the building faced the road rather (4) mostly quiet. Table 5 presents results.
than the direction that would take advantage of sunlight.
Trees were planted based on where there was space rather
Outside Noise
than on where they could best provide shade. Parking lot size
and playground space likely contributed to whether build- Low noise levels outdoors are fairly common in the semi-
ings had adequate shade. At least one center had no trees, rural communities in the study area. However, some areas

Table 6. Outside Noise. pre-fabricated buildings with wood flooring tended to be
noisier than centers with carpet and linoleum over concrete.
Rating High SES Low SES
Walking on wood floors is more comfortable and safer in
3. Quiet 12 5 case of falls, but concrete underlayments are quieter. Flooring
2. Some noise 10 1 varied significantly across several dimensions (e.g., carpet-
1. Noisy 5 0 ing thickness, flooring materials, and the ratio of bare floor
Average 2.3 2.8 to carpet). Also, flooring varied more by classroom than by
center. Individual scores were not calculated because
researchers were unable to obtain accurate measurements for
the ratio of bare floor to carpet.
are noisier than others. Considerable outside noise affected
four of the classrooms in a child care center near a hospital
School Readiness Scores
and a fire station. The portion of this center that was designed
as a bomb shelter was not affected. Most of the child care and Overall, the county with the highest income level had the
Head Start centers were far enough away from four-lane highest kindergarten readiness scores (Maryland State
highways to avoid traffic noise, or they were on two-lane Department of Education, 2014b). The state-published scores
roads with minimal traffic. The noise of children playing on for the three counties were combined to obtain a statistically
playgrounds can be louder than nearby highways according significant number and to maintain centers’ confidentiality.
to a California State Highway Department employee who Children who attended private preschool programs, family
did environmental impact studies on future highways in child care homes, and informal care were excluded.
southern California in the 1970s (R. Satterlee, personal com- Of kindergartners in the three counties who attended child
munication, November 18, 1973). All of the centers experi- care, Head Start, or public pre-K programs, 88.7% scored
enced constant, low-decibel background noise from “fully ready.” Table 7 provides a visual comparison of kin-
high-flying airplanes and occasionally louder noise from dergarten readiness scores.
low-flying airplanes, helicopters, or trains. Ratings on the
scale for outdoor noise follow (1) noisy, (2) some noise, (3)
low noise. Table 6 presents results.
Synthesis
Kindergarten readiness scores indicate that children in the
study area who attended Head Start scored a standard devia-
Outdoor Air Quality tion below children in Maryland overall. In the study area,
In general, outdoor air quality was high. Lichen growth on kindergartners who attended child care centers had higher
most trees indicates that the air is clean (Showman, 1975). At scores than kindergartners who attended public pre-kinder-
times, pesticides from nearby fields would get into the air. garten; kindergartners who attended public pre-kindergarten
(Low-flying airplanes dispersed some weed- and insect-con- had higher scores than kindergartners who attended Head
trol chemicals.) During some seasons, the pollen and leaf- Start centers.
mold levels were quite high and caused problems for All of the environmental factors previously mentioned
asthmatic children. To document outdoor air quality, samples impact all of the children, but parents of higher SES enrolled
need to be taken at different times of day and during different their children in centers that protected them from many of
seasons because wind, weather, time of day, and season the negative environmental factors. These centers tended to
affect air quality and because pollutants come from a variety have intermittent fresh air and better acoustics. The buildings
of sources (e.g., automobile exhaust, particulates from vehi- were newer and more specifically designed for children;
cle brakes, and methane from chicken manure). However, however, all centers complied with child care regulations for
sampling at different times of day and in different seasons buildings (Maryland State Department of Education, n.d.).
was beyond the scope of this project. The children from families of lower SES tended to be
more adversely impacted by noise pollution and decaying
buildings. The centers were often in very old, pre-fabricated
Flooring buildings. Noise from walking on the wooden floors rever-
Floor materials varied among the centers. The floors in cen- berated throughout the buildings, and noise easily traveled
ters in more affluent areas were a combination of carpet and between adjacent classrooms. The noise volume might not
an easily cleaned material, such as vinyl tile. Other centers be as important as the emotional content of the noise; a child
had vinyl tiles, linoleum over concrete, or wood flooring crying would be more disconcerting than playing or singing
with area rugs to define play spaces. Staff cleaned floors fre- children. Worn indoor and outdoor carpets often covered
quently in all centers, and floors in some of the older centers approximately half of each classroom floor with linoleum
were worn from such frequent cleaning. Carpet thickness tiles covering the other half. The classrooms were small, and
varied as some had padding and some did not. Centers in the classrooms were at maximum capacity. Windows, when

Table 7. Kindergarten Readiness Scores in the Study Area Compared With Scores in the Whole State of Maryland in 2014.
present, rarely opened, and they were usually single-pane authors visited many such sites and found that they varied
windows rather than double-pane, insulated windows. The significantly. The sites varied widely in terms of building
classrooms tended to be warmer in summer and cooler in structure, sound barriers, and light. The centers may occupy
winter. settings as diverse as a living room, a remodeled garage, or a
Centers tended to be located near residential areas for par- converted porch. The building structures could be trailers,
ents’ convenience. Head Start provides bus transportation for ranch homes, or Victorian homes or built in other architec-
children and requires that bus rides take less than 1 hr. By tural styles.
necessity, Head Start centers are located near population cen-
ters wherever building sites can be found. Schools that have Discussion
been declared unsuitable for school-age children are often
used as child care or Head Start centers. One center was in a Although most of the surveyed centers were, in this research-
former private school, and another center was a former pub- er’s opinion, struggling to comply with the minimum stan-
lic high school. Many of the centers were housed in buildings dards for building quality and IEQ, centers in the high-SES
that were originally intended for child care, although two of group were better able to protect children from many nega-
the centers were located in buildings originally constructed tive environmental factors than centers in the low-SES
to stable horses. Another center was in a former warehouse. group. In other words, the socioeconomic level of each com-
One center began in a very old school building, which was munity is a determinant factor in children’s health and the
later declared unsafe and demolished. The center relocated to quality of their education. These findings are limited by the
another decommissioned school, which closed in fall 2014 fact that other factors than the physical environment contrib-
due to flood damage from a hurricane. The data for this cen- ute to readiness scores. Finally, this article contributes to lit-
ter were collected from the building that was flooded in erature by documenting and evaluating the indoor space and
2014. The center has since relocated to a church that is also a environmental quality of early childhood educational facili-
child care center. The town in which this center was origi- ties in the study area.
nally located is in an area where many families of lower SES The rising cost of building maintenance and energy and
live due to the collapse of the blue crab and oyster industries. tightening school budgets exert more pressure on administra-
A new center is under construction at the time of writing. tors who are attempting to improve their programs by either
Pre-fabricated buildings that house several other Head Start building new facilities as inexpensively as possible or by
and child care centers passed licensing inspection; however, renovating existing ones. An important topic for future
they seemed flimsy, and some had minimal insulation. research is policy recommendations for creating physical
Children in informal care and family child care settings, environments that improve learning outcomes under these
particularly those who lived in counties with higher levels of budget constraints.
poverty, scored lower on the kindergarten readiness assess-
ments. Children who attended private pre-kindergarten pro- Declaration of Conflicting Interests
grams had higher scores (Maryland State Department of The author(s) declared no potential conflicts of interest with respect
Education, 2014b). Environmental quality of family-care to the research, authorship, and/or publication of this article.
homes was excluded for the following reasons: (a) the educa-
tion level of many caretakers was unknown, (b) their loca- Funding
tions were difficult to determine, and (c) sites varied too The author(s) received no financial support for the research and/or
much to adequately characterize from a small sample. The authorship of this article.

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plan-2009-2013 Shore.

581016
SGOXXX10.1177/2158244015581016SAGE OpenBurress and Peters
8
Collaborative Learning in a Japanese
Language Course: Student and Teacher
Experiences
Megumu D. Burress1 and John M. Peters1
Abstract
This article describes ethnographic action research that explored experiences of the first author and her undergraduate
students as they engaged in collaborative learning (CL) activities in a university Japanese language course. The purpose of
the study was to generate new practical knowledge of CL for her, so that she might subsequently improve her teaching
practice. A thematic analysis of the interview and descriptive data revealed that the incorporation of CL helped promote a
comfortable environment and reduce the effects of the hierarchical authority of the instructor. While facing new challenges,
the class also co-constructed its own knowledge about the reading content, language concepts, and cultural matters by
working as a collaborative group. These findings are represented in the form of a performative text that invites readers to
actively engage with the study’s findings.
Keywords
action research, collaborative learning, foreign/second language education, performative text, teaching and learning
This study explored the first author’s experiences with her in which two or more people learn or attempt to learn some-
undergraduate students as they engaged in collaborative thing together” (p. 1). Bruffee (1984, 1995, 1999, 2003), per-
learning (CL; Peters & Armstrong, 1998) in an intermediate haps the best known proponent of CL in the higher education
Japanese language course at a university in the United States. classroom, views CL as a kind of non-foundational learning
She had recently incorporated CL into her repertoire of lec- process in which students work in groups or with members
ture and discussion methods of teaching and learning. This of knowledge communities that are larger and more complex
change required students to learn how to learn differently in than their own. The purpose of CL in this case is re-accultur-
a traditional academic environment. For example, instead of ation; that is, students change their membership from one
relying on her expertise alone, the instructor asked students learning culture to another through negotiating and modify-
to engage in dialogue with other students and her, about vari- ing the language and values established from the original
ous interpretations of readings, related language concepts, community and becoming fluent in the language of the new
and aspects of Japanese culture. Their goal was to jointly community. For example, a college-bound, high school grad-
construct new knowledge about these topics, knowledge that uate may have learned how to learn in a K-12 situation but
individual members of the class were unlikely to construct may not have anticipated different ways of learning required
on their own. To understand how course participants experi- in college, especially how knowledge is created. The aim of
enced this change in pedagogy and its potential as a compo- CL in this case would be for the student to transition success-
nent of her future classroom teaching and learning strategies, fully from his or her K-12 education into the broader aca-
the instructor conducted an ethnographic action research demic community and the ways of knowing characteristic of
project. Following is a brief description of related literature the discipline he or she chooses to study.
and theory, the research method, findings, and discussions of According to Bruffee, students in higher education should
results and implications of the study. be expected to examine critically their taken-for-granted
CL
1
The University of Tennessee, Knoxville, USA
CL permeates the discourse of teaching and learning in
Megumu D. Burress, Department of Modern Foreign Languages
higher education and is widely accepted as a legitimate peda- and Literatures, The University of Tennessee, 701 McClung Tower,
gogy, especially by those who value peer-to-peer learning. 1115Volunteer Boulevard, Knoxville, TN 37996-0470, USA.
For example, Dillenbourg (1999) defines CL as “a situation Email: mburress@utk.edu

beliefs based on earlier, foundational learning experiences. the primary source of information. Information flows from
They should also inquire with others who may hold different teacher to student and student to teacher, and student to stu-
assumptions, beliefs, and values, all in the interest of broad- dent as they learn by sharing within small groups. The pri-
ening and growing their own knowledge. For Bruffee, this mary mode of discourse is discussion. Lecture followed by
process is best supported by “abnormal discourse” (Rorty, discussions exemplifies this type (Peters & Armstrong,
Williams, & Bromwich, 1980) that enables students to 1998).
In T-III, the teacher and students work together to co-con-
establish knowledge or justify beliefs collaboratively by struct new knowledge. The teacher becomes a member of the
challenging each other’s biases and presuppositions; by group, and communication flows from member to member,
negotiating collaboratively toward new paradigms of perception, member to group as a whole, and group to member. Thus,
thought, feeling, and expression; and by joining larger, more individual members learn, and the group as a whole learns.
experienced communities of knowledgeable peers through This conception of CL is rooted in a social constructionist
assenting to those communities’ interests, values, language, and
view of knowledge (Gergen, 1999). In this perspective,
paradigms of perception and thought. (Bruffee, 1984, p. 646)
knowledge is generated within relationships from which
humans derive their conceptions of what is real, rational, and
Bruffee and other widely cited writers about CL (e.g., good.
Barnes, 2004; Panitz, 1999; Rochelle & Teasley, 1995) are The primary mode of discourse in T-III is dialogue.
especially concerned that students come to value their own, Although they may have specific knowledge of the topic, the
collaboratively developed knowledge and rely less automati- instructor is not presumed sole expert in the classroom.
cally on their assumptions about the authority of knowledge. Students are expert in their own lives, including, in some
This extends to discipline-specific knowledge, including cases, prior experience with the subject matter. Whereas in
knowledge held by an instructor considered a representative T-II the instructor facilitates works from the outside, in T-III
of his or her discipline. However, nearly all CL scholars posi- he or she facilitates from the inside of the group. Group and
tion the instructor apart from their students in this regard and individual members learn through critical reflection on past
none identifies the instructor as a purposeful co-constructor experience as well as what Schön (1983) calls reflection in
of knowledge alongside the students (Johnson, Johnson, & action. Because of its interactive nature and inclusiveness,
Smith, 2007). Nevertheless, as Dillenbourg (1999) points T-III appears strongly related to what Garrison, Anderson,
out, this positioning by the instructor can profoundly affect and Archer (2010) call a community of inquiry (cf. Skinner
the nature of students’ interaction with them and other stu- & Peters, 2014).
dents. This brings into question how free students really are Even though each type of teaching and learning is distinc-
in terms of their ability to co-construct knowledge outside tive in terms of its purpose and other dynamics, the typology
limits set by the instructor. should be viewed as a set or grouping of types, not as a hier-
Peters and Armstrong (1998) proposed a typology of archy, continuum, or stages of teaching and learning. One
teaching and learning that positions the instructor’s relation- type is no more or less important than the others at any given
ship to students differently according to type of teaching and time in the classroom experience. An instructor could use all
learning involved. Their typology consists of three types of three types across multiple class sessions or one, two, or
teaching and learning. Type I (T-I) involves “teaching by three types in one session. The goal is to achieve a balance in
transmission, learning by reception”; Type II (T-II) is called types, with each serving in harmony with the other two
“teaching by transmission, learning by sharing”; and Type III (Skinner & Peters, 2012, 2014).
(T-III) is “collaborative learning” (Peters & Armstrong, Students and instructors already know how to act and
1998, pp. 78-79). what to expect of one another in T-I classrooms and, in some
Closely resembling Freire’s (1970) banking concept, T-I instances, T-II settings. However, studies show that T-III can
represents a traditional type of teaching and learning. The be particularly difficult for students to learn how to negotiate
focus of T-I is on the subject matter that reflects philosophy successfully, especially in the beginning of a T-III experience
and expertise of the teacher and members of his or her disci- (Armstrong, 1999; Burress, 2013; Creekmore, 2011; Crosse,
pline. The teacher is the primary source of information, and 2001). It appears that students need time to adjust to different
the flow of information primarily goes from teacher to stu- working relationships with each other and the instructor after
dent. Thus, the primary mode of discourse is monologue and a lifetime of mostly T-I and T-II classroom experiences
the focus is on individual student learning. Examples of T-I (Burress, 2013). Instructors may also struggle with T-III in
include lecture accompanied by demonstration, drill, and terms of their own goals and interests, such as the need to
repetition (Peters & Armstrong, 1998). share responsibility for the learning process with students
T-II involves more interaction among students who are more so than in T-I and T-II learning (Cross, 1999).
seen as already having knowledge and experiences that they According to a review of literature by Slavich and
may use to help them develop new knowledge. As in T-I, the Zimbardo (2012), T-III helps students “restructure their own
focus is on individual learning and the teacher still serves as knowledge and understanding of concepts . . . recognize gaps

Collaborative Learning in a Japanese Language Course: Student and Teacher Experiences 73
in their understanding, synthesize, communicate, and discuss inclusion of CL (T-III) as one type of teaching in the interme-
ideas in ways that advance conceptual understanding, (and diate Japanese language course?” The following is a discus-
engage in) modeling of effective problem solving strategies” sion of how the study unfolded.
(p. 574). T-III extends these benefits to instructors, yet little
is said in the literature about the instructor’s role as purpose- Context of the Study
ful co-learner. However, it is clear that instructors have
opportunities to reveal their ways of thinking and learning The intermediate Japanese language course consisted of 26
about the subject matter, including ways of knowing preva- undergraduate students, ages 19 and 20. The majority were
lent in their discipline. These opportunities allow instructors native English speakers and were traditional students who
to model the processes of critical thinking, joint construction enrolled in the university immediately after high school. The
of knowledge, and dialogical communication, while facilitat- group met for a 50-min session 4 times a week for one
ing students’ participation in the process. 14-week academic semester. The instructor decided to add
Other studies report positive learning experiences and CL to her usual T-I and T-II repertoire. The latter types
outcomes in classroom settings across several disciplines. included lectures or presentations used to introduce new
For example, Merrill (2003) examined her own and her stu- vocabulary and grammar patterns, as well as discussions of
dent’s experiences with CL in a community college informa- these grammar patterns and their usage and conjugations
tion technology course. Her ethnographic analysis indicated (lecture and drill sessions). The instructor reasoned that CL
that CL was helpful in creating a comfortable learning envi- would not be appropriate pedagogy for these aspects of the
ronment, building relationships between members, and course as they typically involved right or wrong answers and
developing an understanding of differing perspectives among that T-I and T-II were better suited. On the other hand, the
participants. Similarly, Gray (2008) engaged her freshman instructor reasoned that CL would be particularly applicable
composition class in CL alongside both T-I and T-II. A the- to sessions in which assigned readings, such as biographic
matic analysis of her data revealed that engagement in CL literature, were discussed. Knowing that CL is a process that
helped her students gain confidence as writers, learn their engages students and instructor in joint construction of new
writing strengths and weaknesses as well as those of others, knowledge, it seemed especially suited to readings involving
and improve their writing skills. CL also provided increased controversial issues and cultural matters that generally did
opportunities for the creation of an open, comfortable, and not call for right or wrong answers. In addition, as her stu-
safe classroom environment characterized by critical reflec- dents had already attained the intermediate level of language
tion and idea generation. proficiency, the instructor believed that she and her students
Finally, Li (2011) investigated how a group of her Chinese could go beyond the development of basic language skills to
university students made meaning of their CL experiences as explore and construct knowledge through readings and dia-
they engaged in an Intensive English reading course. The logue about the Japanese language and culture.
students were 19 to 20 years of age, and their English profi- In the reading sessions of the course, students and instruc-
ciency was intermediate to high. Based on a phenomenologi- tor sat in a large circle and engaged in dialogue (Bohm, 1996;
cal analysis of students’ interviews and class reflections and Isaacs, 1999), in both Japanese and English, about assigned
her field notes, Li concluded that the incorporation of CL readings that they previously read in small groups. To engage
helped promote positive interpersonal relationships among in dialogue means to be sensitive to what is happening in the
students, increase their confidence in speaking English, moment of discourse, develop shared meanings, and act in
improve their engagement in learning, and change their ways that nurture participants’ ways of being together, such
thinking about teacher and student roles. Li’s study is of par- as listening, reflecting, and valuing (Isaacs, 1999). Dialogue
ticular interest because her course shares some features of also involves mindfully attending to and cultivating knowl-
the course that was the focus of the present study: for exam- edge that is being constructed by individual participants and
ple, both courses involved learning of a second language, the jointly with others. Therefore, the instructor positioned her-
introduction of an unfamiliar way of teaching and learning, self as part of the group, and she and students assumed
and students who were at the intermediate level of language mutual responsibility for joint construction of new knowl-
proficiency. edge. The process of dialogue began with the instructor’s
To our knowledge, no other research has investigated for- open-ended questions to students, such as “What stood out to
eign language classroom settings, including Japanese, to you about this reading?” “Which part of the reading did you
examine student and teacher engagement in CL as defined in find particularly striking or resonating?” and “Which part
this article. Nevertheless, the aforementioned research and did you continue to struggle to understand?” Students were
the first author’s graduate studies in CL gave impetus to her encouraged to ask their own open-ended questions to other
decision to incorporate CL in the intermediate Japanese lan- students and the instructor. The group then considered these
guage course she facilitated in 2009 and to study how she questions in terms of all aspects of the reading materials,
and the students experienced the process. Her research ques- including language, cultural matters, and specific contents of
tion was “How do students and instructor experience the the readings. The questions asked by students and the

instructor encouraged various responses and these responses focusing the students on the topic of their CL experiences.
led to additional questions, responses, and reflections. This was followed by some probing questions that were
Instead of looking for predetermined answers or relying on derived from the participants’ responses to the first question
the instructors’ expertise, participants allowed discourse to and subsequent responses. Probing questions or requests
emerge spontaneously from their moment-to-moment expe- (e.g., “Please say more about that . . . ”) were designed to
riences and diverse voices. The instructor encouraged stu- increase the richness of a participant’s description of his or
dents to communicate in Japanese as much as possible to her experience. Instead of being in control of the direction of
further develop their language skills. the interview, the instructor/interviewer approached the pro-
cess from the “humble stance of perpetual learner” (Thomas,
2005, p. 73). Overall, the goal of the data collection was to
Method
obtain from the students a rich description of the CL experi-
The instructor decided to study her own and her students’ ences from their individual perspectives.
experiences with CL in the course for three reasons: (a) the After the interviews were completed, the instructor tran-
experience was new to all participants, including the instruc- scribed interview recordings into a Word document for
tor, and she assumed that the most direct route to understand- analysis. She then iteratively engaged with the data, read-
ing participants’ experience was to seek their first-person ing and re-reading the transcripts for salient themes to the
reports of the experience; (b) the action research by Gray point of redundancy. Seeking to identify key themes of
(2008), Li (2011), and Merrill (2003) yielded data that helped experience that surpassed the variations presented in indi-
improve their respective teaching practices, and it seemed vidual accounts, she attended to broad patterns—first
reasonable to assume that the instructor in the present within each individual’s data and then across the data set. In
instance would benefit from a similar undertaking; and (c) this process, in vivo codes (the actual words used by the
her findings could contribute to related literature. informant) were utilized to demarcate shifts in meaning and
To examine the students’ and her own experiences in the describe areas of significance to the experience within the
CL reading sessions, the instructor selected a qualitative data, as well as sociologically constructed codes (this sum-
research method known as performance ethnography mary glosses over what the informant seemed to be describ-
(Conquergood, 1998). The purpose of utilizing this method ing) to identify recurring patterns and organize the data set
was not only to capture how students experienced CL but (Coffey & Atkinson, 1996). Theme redundancy occurred
also to represent the findings in a style more accessible than after analysis of six transcripts; therefore, the seventh tran-
conventional approaches that rely on summary displays of script was not analyzed. The instructor also read her field
findings. notes to gain additional insights into the contextual back-
Data sources consisted of the instructor’s field notes and ground of the themes. The second author assisted with the
individual phenomenological interviews with volunteer stu- thematic analysis, providing an additional perspective and
dents. Following Bogdan and Biklen’s (2007) suggestion, interpretation of the data.
the field notes consisted of two kinds of notations: descrip-
tive and reflective. The instructor’s field notes were used to
portray the participants and the research setting, describe
Findings
particular events and activities during the CL reading ses- The back-and-forth interpretation and dialogue resulted in
sions, as well as capture the instructor’s thoughts and feel- identification of four themes: (a) learning environment, (b)
ings about the method, related ethical dilemmas and conflicts process and outcomes of learning, (c) responsibilities for
(e.g., relational concerns), and her frame of mind (e.g., her teaching and learning, and (d) resistance to engaging in dia-
own assumptions and beliefs) while conducting the study. logue. Below is a brief description of each of these themes.
All students were invited to participate in the study, and
seven of them volunteered. This number of participants fell 1. Learning environment: The physical surroundings,
within the acceptable range of participants (n = 6-12) in phe- psychological or emotional conditions, and social or
nomenological studies as established by Thomas and Pollio cultural influences affecting the teaching and learn-
(2002). None of these participants had engaged in CL in ing of a course participant and the group.
classroom settings prior to this study. For the interview data, 2. Process and outcomes of learning: Actions taken
each of the seven volunteer study participants and instructor (what and how) individually and collectively in an
met for an approximately 1-hour, audio-recorded interview effort to achieve the goal of CL, that is, co-construc-
about each student’s experience with the CL reading ses- tion of new knowledge. What was gained, improved,
sions. The interview followed a phenomenological proce- constructed, and achieved as a result of the CL
dure described by Thomas and Pollio (2002). It began with experience.
the question, “What was your experience with our CL read- 3. Responsibilities for teaching and learning: The
ing sessions like?” This question was designed to make pos- authority and power one has to manage and direct the
sible a broad range of descriptive responses while also course of his or her learning. The relationship of

power between the group members, both the students A Performative Text
and the teacher, as a classroom community.
4. Resistance to engaging in dialogue: Hesitation, An introduction of the characters is provided below, fol-
reluctance, or refusal of a participant to engage in lowed by a script of their performance.
class dialogue either in English or Japanese.
The Characters
To afford greater access to the meaning of these themes,
they were organized and represented in the form of a perfor- Edward: A Caucasian male in the senior year of a
mative text (Madison, 2008). In this research context, perfor- Language and World Business program. He
mance refers to “an interpretive event involving actors, studied in Japan as an exchange student dur-
purposes, scripts, stories, stages, and interactions” (Denzin, ing his senior year of high school. Edward
2003, p. 8). The text was constructed based on the thematic enjoys poems and writes them for self-expres-
structure of the findings as well as the manner that students sion, such as his determination and
and instructor engaged in a dialogical conversation in the independence.
Japanese classroom. The text was edited to make it more Grace: An Asian American female in the junior year
readable than would be the case if verbatim quotes taken from of a Studio Art program. She is also a member
transcripts and notes were used instead. However, the original of the honors program. When leaving the
voices of the participant interviews and in the instructor’s classroom, Grace hopes to communicate bet-
field notes were maintained as much as possible. The purpose ter with her Japanese grandmother in
was to make the verbal exchanges as authentic as possible as Japanese.
the participants were imaginarily situated in a circle where Kita: A Caucasian female in the senior year of a
they interwove their utterances into a dialogical conversation. Linguistics program. She is the founder and
Upon construction of the text, the relationship was ensured organizer of the Japanese movie night group.
between the text and the findings by relating all parts of the Kita’s effort to develop the language skill—
text back to the themes to which they corresponded. by speaking with her friends and writing diary
As the data were collected and analyzed, the authors prac- entries in Japanese—is remarkable.
ticed recursive reflexivity (Pillow, 2003). This proved espe- Mike: A Caucasian male in the senior year of an
cially helpful to the first author/instructor. Even though she Architecture program. He is also an honors
attempted to suspend her assumptions and biases during the student and is thrilled that his long-time
analysis, she also recognized that her relationship with the dream, attending a graduate school in Tokyo,
students might have affected various aspects of the study. For will finally become a reality in a few months.
example, she ascribed grades in the course during the same Rochelle: A Caucasian female in the junior year of a
time as the interviews. This is one instance in which the Language and World Business program. She
power differential between students and instructor had to be is a close friend of Kita, and both of them are
acknowledged. During the interviews, the instructor worked active members of the course. Rochelle finds
to minimize this effect by emphasizing to the participants her time in her busy schedule to practice yoga
promise of no harm or penalties based on any aspect of their and watch Asian dramas.
participation or lack of participation. Nevertheless, one can- Walter: A Caucasian male pursuing a double major in
not assume that this attempt completely freed the interviews Theater and History. He attends pilot training
from the power dynamic of the teacher–student relationship. to be certified to fly helicopters and looks for-
Indeed, the study’s findings and the performative text may ward to teaching English in China upon
represent only a “partial truth” (Clifford, 1986) as it is situ- graduation.
ated in this context. Meg: The teacher and a native speaker of Japanese.
The following script, based on the performative text, is As a doctoral student specializing in CL, she
intended to help readers experience CL in a way similar to began practicing CL in her Japanese language
what the students and instructor experienced in the class- courses and is learning to become a better
room. We invite readers to engage actively with the text in facilitator of CL.
multiple ways, such as by reading it silently or, preferably, by
reading it aloud. The reader of this article might also enlist
Act
others to play various characters’ parts while listening to the
text. It may also help to imagine oneself playing the role of Edward, Kita, Mike, and Walter are gathered in a classroom,
instructor, or as a director of the scenes presented in the text. talking about a TV show that was aired the prior evening as
The point is to find ways to engage in the experience repre- they await the arrival of others. They are here to have a dia-
sented by the performative text. Links to the participants’ logue about their experiences with the CL methodology in
thematic experiences will be discussed later in this article. their Japanese course. Soon Meg enters the room, briefly

greeting the students while also trying not to interrupt the 33 situation, there is stress for us students because it is
ongoing conversation. After catching a breath, she glances at as if the teacher is firing questions off, and
a watch on her wrist and asks the students to rearrange the 34 we feel like we have to get it right. In a sense, it’s like
tables and chairs to create a small circle conducive to dia- being graded for each response. That’s
logue. As they sit in a circle, Grace and Rochelle enter the 35 pretty scary (laughter).
room hastily and join the group. Meg then briefly describes 36
the purpose of today’s meeting and begins the dialogue by 37 WALTER:(Laughter) I can definitely relate to that.
asking the group a question.1 It feels like we are being acknowledged,
38 instead of graded, in the CL circle. I mean, I feel our
1 MEG: So what are our CL reading sessions like for opinions about something matter just as
you? Is there anything that stands out? 39 much as our ability to speak or use the language.
2 40
3 GRACE:(After a brief silence) One thing that stands 41 EDWARD: Besides the acknowledgements for our
out to me is the learning environment. It’s perspectives and contributions to the group
4 really comfortable as compared to the other classes 42 process, I also think we are given more control over
I’ve taken in college. our learning processes.
5 43
6 WALTER: I think that’s because engaging in CL 44 MEG: Can you tell us more, Edward? I’m struck by
helps us learn about each other and build our what you just said.
7 relationships. 45
8 46 EDWARD: Sure, for example, in my history class,
9 ROCHELLE: Yeah, and that’s not just between us, the teacher assigns us groups and the topic of
students, but also with you (looking at Meg). 47 discussion, like the ideology of France, England, and
10 Germany. Then, we talk about what we
11 MEG: That’s interesting because when I see us 48 would have done as political leaders to prevent
interact (pointing to Grace and herself) and you WWII or how we would have settled the treaty at
12 two interact (pointing to Grace and Mike), I’m con- 49 the end of WWI. We are dictated or told what we
stantly reminded of what different types of have to talk about with whom.
13 relationships we have. 50
14 51 KITA: Same thing for my English class. The teacher
15 ROCHELLE: I think it’s like an authority versus gives us a worksheet that exclusively uses
peer kind of thing. But then, I do think having 52 a set of already made-up questions that we have to
16 you sit with us changes the dynamics. Obviously, answer. If we don’t answer them or get them
you (Meg) are still the teacher, but it does 53 “right,” we lose points.
17 involve you more with us and involve us more with 54
you. 55 EDWARD: But then if you are doing what the
18 teacher tells you to do or working toward a
19 MEG: It does, doesn’t it? 56 specific answer or conclusion that the teacher decides
20 is “correct,” it feels like you are limiting
21 GRACE: Yes, it’s nice to share knowledge with the 57 what you can take from your learning.
teacher as well as the classmates in a way 58
22 that we don’t usually get to. 59 GRACE: Yeah, there definitely is something about
23 having more leeway in learning . . . I mean
24 MEG: I’m glad to hear that. 60 in not having to come to a conclusion, or not having
25 to stress out over certain details of reporting
26 GRACE: I think our safe feeling also comes from us 61 information back to the whole class after a small
knowing or assuming that we are not being group activity.
27 graded when we are sitting in the circle. 62
28 63 EDWARD: To me, it’s about emphasizing the
29 WALTER: Say more, Grace? appearance of the individual whereas worksheets
30 64 or the kind of activities we do in my history class is
31 GRACE: Yeah, in other Japanese classes I’ve taken, more about the appearance of the group.
the teacher was usually at the front of the 65
32 room, asking us questions in Japanese, and we had to 66 MEG: The appearance of the group, or the
answer in Japanese. In this kind of individual?

67 100 MEG: I like your band metaphor, Edward. I

68 EDWARD: Yeah, for example, in my history class, think it describes a CL experience well, you
we work in a group of five to discuss know,
69 answers to the questions the teacher prepares ahead 101 like us co-authoring our journey of learning.
of time. And there are two really vocal 102
70 people who control the group, dictating the pace and 103 ROCHELLE: Yes, CL is not about destination, but
reading our answers aloud to the class. I can journey. It’s the process that’s important.
71 voice my own opinions, but it’s not gonna make any 104
difference because they are not gonna write 105 KITA: And it’s all of us, not the teacher alone, who
72 it down or express it to the class. So whereas what is coordinate the course of our journey, our
presented might only be the spokesperson’s 106 learning.
73 or a portion of the group’s perspective, it’s still pre- 107
sented as the group’s perspective. That’s the 108 WALTER: Tell us more, Kita.
74 appearance of the group. 109
75 110 KITA: For example, instead of using worksheets,
76 GRACE:How about our CL sessions? we focus on relating our own experiences to
77 111 the reading materials. And our conversation devel-
78 EDWARD: I think CL allows everyone’s opinion ops naturally based on what matters to us.
that wants to be represented to be represented. 112
79 And I think this makes a big difference in what we 113 WALTER: Yeah, and what’s important to us might
say and how much thinking we put into not occur to you (Meg) because you are a
80 learning. 114 native speaker of Japanese. What might seem really
81 elementary and obvious to you, we might
82 ROCHELLE: I think so, too, definitely. When 115 not have any idea about why you would say some-
doing CL, we are asking questions like “What is thing in a certain way.
83 this piece trying to say and how is it trying to say it?” 116
“How do we relate to the piece?” and 117 GRACE: So all of us get to be teachers as well as
84 “Where are our thoughts?” These kinds of general learners, yes? I think this way of teaching and
questions generally lead toward more specific, 118 learning allows us to really feel that everybody has
85 different opinions and conclusions. So CL actually something valuable to contribute to the class.
helps generate more thoughts and different 119
86 kinds of learning than those straightforward work- 120 ROCHELLE: Yeah, I remember Kita’s linguistics
sheet ones. background helped us understand the
87 121 phonetic reasoning behind yakudoshi in one class
88 MIKE: I agree, Rochelle. I always thought it was session. Does anyone remember? We were
really interesting how we start with a 122 talking about yakudoshi, and she was sharing how
89 particular topic, say the reading about yakudoshi the sounds contributed to the number or age
[i.e., a critical or unlucky year], and then move 123 being lucky or unlucky.
90 to culture as a whole. From one aspect of culture, we 124
get into things like psychology and gender, 125 MIKE: I remember. In the debriefing of that ses-
91 so deep of a conversation on more various aspects of sion, I said that I felt different viewpoints and
the cursed year. And the same thing for the 126 knowledge other members had brought shed new
92 Yoko Ono reading. We start talking about one wom- light on my experiences and perspectives.
an’s life and her experience artistically and 127
93 personally, and then we move to poetry and exhibi- 128 EDWARD: I’d add that it’s not just about learning
tion of personal art as a whole. from other members, but learning with them.
94 129 Even though I like poetry, if it wasn’t for other
95 EDWARD: It’s really interesting how a group of members, I wouldn’t have gone back to re-read
people can sit together and go there. It actually 130 and develop appreciation for it. I think the group
96 reminds me of when I played in band in high school helps not only bring out other ideas that you
and middle school. You sit down, and one 131 haven’t thought about before but also push you to
97 person would be playing a song, and you’d have think more about what you read.
another person join in, and there would be this 132
98 group. And that’s where music gets developed. 133 MIKE: Right, but at the same time, it feels like I
99 still haven’t gotten used to the level of control

134 we are given in our CL sessions. I do enjoy it, but I 167 on together. It takes time and effort to become com-
know I’m expecting to hear more from you fortable with something different from what
135 (Meg). 168 we are used to or what’s been ingrained in us for so
136 long, you know?
137 KITA: Yeah, I agree with you, Mike. Sometimes 169
when we have 10 seconds of silence, we all 170 WALTER: I agree, and I would say, even within an
138 seem to be looking at you (Meg) and wondering unfamiliar environment, I have learned a lot
why you aren’t telling us the answer, why aren’t 171 from doing CL—about the reading content, lan-
139 you telling us what the correct way of thinking guage concepts, and cultural matters.
about this is. 172
140 173 ROCHELLE: Yeah, I really think CL helps more
141 MEG: I’m intrigued by what you just said, Kita. I deeply penetrate the piece and nail some of
just want us to create our own “music” for 174 the Japanese language concepts.
142 ourselves. What do you think? 175
143 176 MEG: Can you (Rochelle) or anyone else remem-
144 KITA: I can understand that in my head, but I know ber the specific moments when you had that
I’m still questioning. It’s just nice to get, at 177 experience?
145 least after we bring out our opinions on the table, an 178
expert or native cultural perspective because 179 EDWARD: If you noticed, me and Joey were going
146 that helps a lot in understanding, especially when back and flipping through, trying to find out
we are speculating. 180 about vocabulary or kanji [i.e., Chinese characters]
147 that we had forgotten. Even though it’s not
148 MEG: Well, you know, I’m still learning just like 181 like sitting there writing in a workbook for an hour
you. Like, when we were talking about Yoko over and over, we remember it well from
149 Ono, Walter was very knowledgeable about the hip- 182 talking about it as a part of a reading.
pie movement, and that really helped me to 183
150 make sense of Yoko’s life experiences in con- 184 GRACE: Well, I tend to think we talk more about
text. So I don’t see myself as an expert on the cultural things than just language concepts in
topic 185 our CL sessions. But talking about culture actually
151 or think I know everything about it just because I helps develop our general understandings of
am a teacher or a native speaker of Japanese. 186 the language because it gives us the context of lan-
152 Does that make sense? guage development and usage.
153 187
154 MIKE: Yeah, it does, and maybe it’s just some- 188 ROCHELLE: Right, it’s like, instead of just say-
thing that’s been ingrained in me as I’ve ing, “‘Sumimasen’ and ‘gomen’ mean ‘sorry’ in
155 progressed through the educational systems. 189 English,” you understand the mechanics of the dif-
156 ferent levels of formality behind these two
157 EDWARD: I think so, too, Mike. I think your 190 words, and you can use them appropriately in
expectations for Meg or the silence Kita communication.
158 mentioned comes from the fact that we are used to 191
being controlled in classroom settings. 192 EDWARD: Yeah, but then we are not just adding
159 Almost everyone in this country probably grew up information into a pot. We are also integrating
with some sort of structured group system. 193 our knowledge and experiences and creating some-
160 thing that’s entirely new and amazing. This is
161 MEG: I understand the unfamiliarity, discomfort, 194 what I was trying to describe earlier with the meta-
or frustrations you might be experiencing with phor of my band experience.
162 the process of CL. And in a way, I feel very much 195
the same. I, too, am more used to working on 196 GRACE: But not every CL session felt the same to
163 worksheets or having the teacher lecture me. So me.There seem to be times when I learned,
you have seen me unintentionally slipping out of 197 or took from my CL experience, more or less. Can
164 my co-learner role and answering your questions anyone relate to that?
without having us think together. 198
165 199 ROCHELLE: I do. I think that in some sessions
166 GRACE: I think we will get used to this new way our conversation is more engaging than in
of teaching and learning as we continue to go 200 other sessions.

201 237 GRACE: Yeah, and I guess we are taking the class

202 KITA: Yeah, there were times when I wished more for different reasons. So people who are
of us were into it. 238 trying to fulfill their foreign language requirements
203 are more likely to be mildly interested in
204 MEG: Right, you see, that’s something I’ve been 239 participating because they just wanna get through
pondering over. But what do you the class. Well, I guess that’s my assumption,
205 think makes such a difference in our engagement? 240 but . . . .
206 241
207 MIKE: Well, for me, if something stopped me 242 MIKE: And there are also people who are moti-
from sharing my perspective or contributing to vated but shy. They don’t want the spotlight
208 the group process as much as I wished, it was 243 shining on them.
because of the narrow-mindedness and 244
209 disrespectful behaviors of some group members. 245 KITA:(Smiling) That’s me. I know I have lots of
Sometimes they were talking over one another, stage fright. As much as I would love to, I
210 or saying things like, “Oh, that’s weird,” to some 246 can’t speak Japanese. You (Meg) know the lan-
aspects of Japanese culture where they were guage, so you know when I make mistakes.
211 only different from what they were accustomed to. 247
212 248 WALTER: I wonder what we can do about that.
213 GRACE: Perhaps we need to be more mindful of 249
what we say and how we say it. 250 KITA: What do you think about using small
214 groups, instead of one large one? When we are in
215 MIKE: Yeah, if something like this happens again 251 small groups, maybe we have less pressure about
in the future, it needs to be addressed, I think. making mistakes or looking stupid in front of
216 252 the whole class. And I think being in a small group
217 MEG: Yes, let’s do so. It’s important we constantly can force everyone to engage; they have
remind ourselves of developing and 253 more pressure to stay focused and contribute.
218 maintaining safe, open space where we are all 254
respected and respectful. 255 ROCHELLE: I think working in small groups has
219 some advantages, but I really do feel having
220 EDWARD: Well, my experience is a little bit dif- 256 you (Meg) with all of us throughout the process—
ferent from Mike’s. I don’t really want to talk like thinking and reflecting together—makes
221 because I don’t want to negatively influence other 257 CL different from other methods of teaching and
members’ reading experiences and the group learning. What do you think, Meg?
222 process. 258
223 259 MEG: Yeah, you know, once we break into groups,
224 WALTER: Huh, negatively influence? How so? I’m afraid I will be positioned outside of the
225 260 group, and this way, I will be participating mostly
226 EDWARD: Like today, I wanted to participate as teacher or facilitator rather than co-learner.
more, but I didn’t feel like I should because other 261 And that’s not what we want.
227 people had finished the reading and had more 262
knowledge than I did. I didn’t wanna ruin their 263 EDWARD: I’m also afraid this change might
228 experience and what they took from the reading. emphasize the appearance of the group over the
Besides that, I don’t wanna get in a conflict. 264 individual.
229 265
230 KITA: But everyone knows you have such great 266 WALTER: What are your thoughts, Kita?
insights, Edward. So if you—and all of us— 267
231 had talked as much as we could in either English or 268 KITA: Yeah . . . I see your points. I wonder if there
Japanese, that probably would have helped are any other ways to increase our
232 us a lot more with our Japanese. 269 participation level besides using small groups,
233 though.
234 ROCHELLE: I agree, Kita. At the same time, I 270
also think that we need to be more 271 GRACE: Maybe a writing assignment about a
235 understanding and patient because we all have dif- reading beforehand can help? This may push
ferent personalities, values, and experiences. 272 more people a little more to read, think, and have
236 something to share with the group in class.

273 307 for participating and sharing today. I really enjoyed

274 ROCHELLE: And maybe have us write in hearing, talking about, and learning from our
Japanese as much as possible, while also 308 experiences. We addressed many important points,
275 communicating in English as well for the things and these will be helpful in improving the
that we don’t know how to write in Japanese yet. 309 situations in our CL sessions. Our next CL reading
276 This may allow us to practice using Japanese so this session is scheduled for a week from now. So
doesn’t have to be accomplished only in 310 let’s practice again then with some changes and see
277 conversations. what happens!
278
279 GRACE: Yeah. I think many of us are not well
Discussion
versed in Japanese with both language and
280 culture. So if we had some time to do research on The authors return to the themes and discuss them from the
the topic and think about it outside the class, I students’ perspective based on their interview data and from
281 think this could help increase our participation and the instructor’s perspective based on her field notes and fur-
expand our conversations. ther reflections. Examples of themes are found in links to
282 numbered pages in the performance text.
283 MIKE: Besides the writing assignment, it may also
be important to reexamine our choice of
Learning Environment
284 reading.
285 Students’ perspective. The learning environment stood out as
286 ROCHELLE: I agree, Mike. I remember when we an aspect of students’ experience with CL (e.g., 3-17).
first started out. I think our first reading was Engaging in CL helped them create a sense of comfort and
287 Doraemon, and that was just telling us about some- safety that in turn enabled them to learn about one another
thing that we maybe didn’t know about, and and build relationships over time. This finding corresponds
288 that was about Doraemon, his TV show and manga, to that of Merrill (2003), Gray (2008), and Li (2011), all of
and how it started out. And after that, we did whom reported that the creation of an open, comfortable, and
289 the Yoko Ono piece. That was really nice because it safe classroom environment and the promotion of positive
brought together a lot of different things, like relationships among their study participants contributed to
290 abstract concepts that are common in poetry and meaning making by students and instructor. In this study, the
literature. And how controversial all the things comfortable environment, especially the positive reinforce-
291 Yoko did were at that time, not to mention the con- ments students received from one another and the instructor
text of that time, which was the Vietnam war while learning to engage in CL, stood in sharp comparison
292 and the hippie movement. with their former T-I and T-II classroom experiences, which
293 tended to be competitive and focused on getting correct
294 EDWARD: Yeah, I think the reading needs to be answers and grades.
interpretive as well as informative. It was only
295 a few lines, but I really liked the poem in Yoko Instructor’s perspective. Closely related to creation of a com-
Ono’s, the Cloud piece. I stopped and read this fortable learning environment was the instructor’s attempt to
296 poem just because it spawned millions of other reduce the effect of power differences that often exist
ideas. I got a different meaning out of it every between teacher and students in a classroom setting (e.g.,
297 time I read it. 15-39). The instructor noted that with time, students became
298 more relaxed about these differences. This finding is consis-
299 MEG: Right, and I, too, have thought about the tent with Peters and Armstrong’s (1998) concept of CL and
relationship between the reading content and our the role that dialogue plays in reducing the effects of hierar-
300 engagement levels. And I agree that some changes chical authority associated with T-I and T-II teaching and
need to be made about the choice of our learning. This finding is also in line with Burress’ (2013) dis-
301 readings as they might be more or less suitable for covery of the critical role that time plays in the formation of
class dialogue. a strong group dynamic in the CL classroom.
302
303 WALTER: It’s great to know there are many things
Process and Outcomes of Learning
we can do to improve our CL experiences,
304 isn’t it? Students’ perspective. A few student participants described
305 their experiences with the CL process (e.g., 88-93) by
306 MEG: Yes, Walter. And thank you for your positive employing metaphors, such as likening dialogue to playing
outlook. I also would like to thank you all music in a band (e.g., 95-98). On the whole, these metaphors

represented the students’ experience with the contributions interested in, what they already knew, and how thoughtful
of other group members as well as the emphasis the instruc- they were. There were times when she felt that she learned
tor placed on the learning process, for example, valuing of more about the students in one session than during an entire
the “yet-to-be-created (knowledge)” (Peters & Gray, 2007), semester the previous year when she taught the same group
instead of seeking a specific, previously known answer to a without engaging with them in CL.
question. As a result, instructor and students jointly con-
structed their own new knowledge about the reading content,
Responsibilities for Teaching and Learning
language concepts, and cultural matters (e.g., 170-190). For
example, as they engaged in dialogue and interwove their Students’ perspective. Although the incorporation of CL pro-
existing knowledge, they learned that phonetic reasoning duced positive outcomes, students faced some challenges
behind yakudoshi may account for honyaku (great calamity) associated with CL. They had to learn how to deal with
at the ages of 42 for men and 33 for women. These numbers responsibilities of helping to create and maintain conditions
are phonetically unlucky as 42 can be pronounced shi-ni, that support dialogue and co-construction of knowledge in
which is homophonous with the words “to die” or “death,” the classroom, such as by taking an active role in the process
and 33, when pronounced as sanzan, means “terrible” or (e.g., 41-80; see McNamee & Gergen, 1999). However,
“disastrous.” This knowledge was not a simple reproduction unlike the shift that occurred for Li’s (2011) study partici-
of what participants knew in advance from the text or other pants in terms of their understanding of students’ responsi-
related resources; instead, it was jointly constructed as they bilities, some students in the current study continued to
dialogued, taught, and learned with one another in the com- expect to be taught, or hear correct answers, or learn “expert
fortable and safe environment that they had developed or native cultural perspectives” from the instructor only, and
together. Dialoging on these issues further contributed to not from their classmates (e.g., 133-159).
improved understanding of the content of the readings as it
reinforced participants’ need to review the materials and Teacher’s perspective. Similarly, the instructor often struggled
consider the issues multiple times, both as individuals and to facilitate the group in a way that would engage all partici-
with the group as a whole (e.g., 129-131). In short, participants, students, and instructor, in dialogue. She had difficulty
pants’ experience with the CL process and the way they letting go of her control as a teacher and occasionally slipped
worked together enabled them to think and learn not only out of her co-learner role and answered the questions that
individually but also as a group. other members raised without searching with them for a
newly constructed answer (e.g., 161-164). In addition, there
Teacher’s perspective. Working as a collaborative group, the were times when the teacher and students merely exchanged
participants engaged with one another as co-learners and co- their stories and experiences and neglected to work together
constructors of knowledge by utilizing and interweaving to generate new knowledge. This became a challenge for the
their experiences, skills, and relationships and by assuming instructor—a surprise, given her training in CL—and a new
mutual responsibility for their constructive process (e.g., sense of respect for the complexities of T-III teaching and
100-128; 192-194). Excerpts from the instructor’s reflective learning.
field notes illustrated the differences in this process and her
previous experience with T-I and T-II. Resistance to Engaging in Dialogue
I was sometimes astonished to see and experience how our Students’ perspective. As Li (2011) reported, the level of stu-
engagement in dialogue could lead us to talking about the dents’ overall engagement increased with the incorporation
readings, language, and culture in a way that I did not expect or of CL; however, in this study, some students continued to
predict. We often created a new path of our teaching and resist engaging in dialogue in English as well as in Japanese
learning, bringing in our own knowledge and skills and weaving (e.g., 202-246). According to the students, their resistance
them together into shared knowledge that was broad and
stemmed from various sources, such as a fear of making mis-
nuanced. For example, the incorporation of CL helped me gain
greater understanding about the readings, such as Yoko Ono’s
takes and appearing stupid, a desire to avoid conflicts, and a
poem about counting and naming clouds, in a way that I could concern with others’ perceived disrespectful behaviors. To
not have achieved alone . . . Each of the students and I brought increase the level of all students’ engagement in the process,
in our own knowledge, experience, and talent, as well as our students and the instructor continuously reminded them-
unique ways of approaching and understanding the poem and selves of the importance of developing and maintaining a
Yoko’s life. dialogical space (Isaacs, 1999; Shotter, 2008) where all
members are respected and respectful (e.g., 217-218).
These same notes indicated that the instructor’s experi-
ence helped her to learn more about the students. She came Teacher’s perspective. Students’ resistance to playing new
to realize that until she engaged in dialogue with her students roles and increasing their engagement in learning was a con-
that she did not know who they were—what they were cern not only to students but also to the instructor. Even

when she called on students to speak, they often expressed as students and instructor labor together to construct new
that they did not have anything to say or did not know what knowledge.
to say in order to proceed. In response, the instructor engaged Even though their concept of CL seems bounded by what
in frequent conversations with the students about how to students can learn among themselves with input from the
encourage and help students to voluntarily and actively par- outside by an instructor, Bruffee and others who position the
ticipate in the process (e.g., 248-301). However, students instructor on the outside nevertheless cite the potential of
were more actively engaged at some times and less active at student-to-student engagement and active learning as cata-
other times. This uneven engagement seemed to depend on lysts for critical thinking. Peters and Armstrong’s extension
the strength of appeal that particular readings had to students. of this idea to include the instructor’s direct involvement as
Readings were more or less relevant to students’ experiences, co-learner places the whole of classroom participants in a
and some readings naturally elicited multiple interpretations position to think critically together about course content and
or perhaps addressed more controversial and thus interesting process, moment-to-moment, during their classroom engage-
issues than did others. Overall, the more relevant, controver- ment. This attention to process and content has to do with
sial, and varied the readings, the more likely students were to metacognition, or thinking about thinking (Flavell, 1979;
engage in dialogue (e.g., 283-301). Hennessey, 1999; Kaplan, Silver, LaVaque-Manty, &
Meizlish, 2013; Martinez, 2006), as much as it is to do with
what they are thinking about. The students and instructor in
Conclusion
this study were constantly thinking as critically about the
One of the most widely discussed topics in contemporary topic of their discourse as they were about how they were
higher education is how to get students more engaged in engaging in the discourse. The instructor also reflected criti-
teaching and learning activities (Kahu, 2013). This usually cally on her own facilitating moves and on students’
means that instructors prefer students to be active learners, responses to her moves.
instead of passive learners. Active learning can be seen in the So, how did the instructor and her students experience
use of problem-based learning experiences, various other the inclusion of CL (T-III) as one type of teaching among
forms of experiential learning, and even question and answer others in the intermediate Japanese language course?
episodes in the classroom. In the present study, it is clear that Overall, their CL experience contributed to their individual
students and instructor were actively engaged through their and joint understanding of readings related to the Japanese
discussion and dialogue about readings, even though the language. However, CL was in many ways different, unfa-
extent of their engagement seemed to vary with their interest miliar, and uncomfortable for students and instructor alike.
in particular readings. Engagement in this case means think- This experience may have been due to the new way of learn-
ing together (Isaacs, 1999), asking and responding to ques- ing that the particular process of CL, or T-III, presented for
tions posed by peers and instructor, openly reflecting on the study participants. Students and instructors in general tend
content of the readings as well as on reading assignments and to take for granted how to act and what to expect of one
engaging in dialogue about the readings. The very act of co- another in T-I and T-II settings, and this was the case for
constructing new knowledge implies engagement, as work- participants in this study, at least in the beginning of their
ing jointly to make meaning is in itself a form of engagement. course. When it comes to T-III, students and instructors may
This feature of T-III may be an obvious but overlooked area be faced with learning a whole new way of engaging in
of student-to-student, student-to-teacher, and student-to- teaching and learning (Peters & Armstrong, 1998; Skinner
group engagement in higher education classrooms, as most & Peters, 2012, 2014). For example, engaging in CL neces-
literature on the subject has focused on T-I and T-II teaching sitates that students and instructor relate in multiple and
and learning environments. complex ways; for example, as teacher, facilitator, co-learn-
Although students in the present study were ages 19 and ers, and co-constructors of knowledge. In this study, achiev-
20, some adult education scholars would identify them as ing a balance in these multiple ways of relating was a
adult learners about which much theorizing has been done challenge. In spite of the instructor’s attempts to demon-
(e.g., Brockett & Hiemstra, 1991; Cross, 1999; Knowles, strate the value of all three types of teaching and learning,
1980; Merriam, Caffarella, & Baumgartner, 2007; Mezirow, some student participants continued to expect to be taught in
1991; Mezirow & Associates, 2000). Knowles’ work, in par- a more conventional manner and resisted aspects of T-III,
ticular, set the stage for subsequent discourse about the need especially participating in dialogue with the teacher and
for instructors to involve students as active participants in the their peers. This resistance was exacerbated when the
teaching and learning process. It is easy to see how Knowles’ instructor also struggled to let go of her T-I and T-II pedago-
principles are applicable to T-II experiences. In fact, the lat- gies, in spite of having extensive training in CL.
ter in its lecture–discussion form may be the sine-qua-non of Finally, this research was undertaken in part because no
a Knowles teaching and learning experience. However, the other studies of CL in the Japanese language classroom exist.
experience that students get in a T-III teaching and learning Based on this study, the authors feel comfortable in saying
setting takes the notion of active adult learning a step higher, that CL (T-III) holds promise as a third approach to teaching

and learning. This adds to the usual emphasis on practical Burress, M. D. (2013). A story of change: Adult learners’ expe-
communication and development of language skills (T-I and riences of questioning their beliefs and assumptions in a
T-II) in a Japanese language course. The study also contrib- graduate course in reflective practice (Unpublished doctoral
utes to the limited research on Peters and Armstrong’s typol- dissertation). The University of Tennessee, Knoxville.
Clifford, J. (1986). Introduction: Partial truths. In J. Clifford & G.
ogy of teaching and learning by virtue of its unique
E. Marcus (Eds.), Writing culture: The poetics and politics of
application in a Japanese language classroom. By and large,
ethnography (pp. 1-26). Los Angeles: University of California
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similar research be undertaken in other modern foreign lan- studies: Visions and revisions (pp. 25-36). Washington, DC:
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ing: Reflecting in and on practice (Unpublished doctoral dis-
and learning in this area of undergraduate education.
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Cross, K. P. (1999). What do we know about students’ learning,
Declaration of Conflicting Interests and how do we know it? Innovative Higher Education, 23,
The author(s) declared no potential conflicts of interest with respect 255-270.
to the research, authorship, and/or publication of this article. Crosse, D. M. (2001). I never thought about thinking: Experiences
of participants in a reflective learning group (Unpublished
Funding doctoral dissertation). The University of Tennessee,
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596050
SGOXXX10.1177/2158244015596050SAGE OpenSala et al.
9
Mathematical Problem-Solving Abilities
and Chess: An Experimental Study on
Young Pupils
Giovanni Sala1,2, Alessandra Gorini2, and Gabriella Pravettoni2
Abstract
Chess is thought to be a game demanding high cognitive abilities to be played well. Although many studies proved the link
between mastery in chess and high degree of intelligence, just few studies proved that chess practice can enhance cognitive
abilities. Starting from these considerations, the main purpose of the present research was to investigate the potential
benefits of in-presence chess lessons and on-line training on mathematical problem-solving ability in young pupils (8 to 11
years old). Five hundred sixty students were divided into two groups, experimental (which had chess course and on-line
training) and control (which had normal school activities), and tested on their mathematical and chess abilities. Results show
a strong correlation between chess and math scores, and a higher improvement in math in the experimental group compared
with the control group. These results foster the hypothesis that even a short-time practice of chess in children can be a useful
tool to enhance their mathematical abilities.
Keywords
education, social sciences, achievement, science, math, and technology, curriculum, educational research, education theory
and practice, educational psychology, applied psychology, psychology, cognitivism, approaches, experimental psychology
Introduction consideration. If the former problem is addressable by using

a proper experimental design (experimental and control
Many studies have analyzed the relationship between general groups; pre- and post-tests), the latter represents a theoretical
intelligence and chess abilities. In particular, some of them problem since the seminal work of Thorndike and Woodworth
have investigated the correlation between these two variables (1901). Their theory of identical elements states that the
suggesting that the chess players’ population (both adults and transfer of cognitive abilities, from a domain to another one,
children) is more intelligent than the general one (Doll & occurs only when the domains share common elements. This
Mayr, 1987; Frydman & Lynn, 1992; Horgan & Morgan, implies that the transfer of skills is quite rare and limited to
1990). This evidence, however, does not necessarily lead to the extent that there is an overlap between the domains
the conclusion that chess improves intelligence because the (Anderson, 1990; Singley & Anderson, 1989; Travers, 1978).
direction of the causality is uncertain (Gobet & Campitelli, Some studies have shown that this applies to the game of
2002). In fact, there are several possible alternative explana- chess too. In her classical study, Chi (1978) demonstrated
tions for that: A high IQ could be the cause of a high chess that chess players’ memory skill for chess positions did not
ability (and not vice versa); in other words, an intelligent indi- extend to digits recall. Schneider, Gruber, Gold, and Opwis
vidual achieves a high chess ability just because chess requires (1993) replicated the study and obtained the same outcomes.
a high degree of intelligence, but it does not increase it; or, More recently, Unterrainer, Kaller, Leonhart, and Rahm have
alternatively, high-IQ people could be “selected by the game” found that chess players’ planning abilities did not transfer to
much more easily than others: Subjects playing chess can find the Tower of London, a test assessing executive function and
out that they are good at the game, so they are encouraged to
continue to play it. However, whoever turns out to be not so
good at chess can be discouraged to play it again. In this case, 1
University of Liverpool, UK
chess “selects” motivated people with a high IQ who are able 2
University of Milan, Italy
to play well (Gobet & Campitelli, 2006). Corresponding Author:
Beyond the question of direction of causality, the more Giovanni Sala, Brownlow Street, Liverpool L69 3GL, UK.
general problem of the transfer of skills must be held in Email: giovanni.sala@liverpool.ac.uk

planning skills (Unterrainer et al., 2011); in Waters, Gobet, abilities (as calculation or addition) but also competences,
and Leyden (2002), chess players’ perceptual skills did not such as mathematical problem-solving abilities. Starting
transfer to visual memory of shapes; and finally, chess abili- from these data, the aim of the present study was to verify
ties did not correlate with performance in a beauty contest whether a blended strategy (Trinchero, 2013) consisting in a
experiment (Bühren & Frank, 2010). All these studies have 10- to 15-hr chess course supported by a computer-assisted
suggested that transfer is, at best, improbable, and that chess training (CAT) is able to improve mathematical problem-
players’ special abilities are context-dependent. solving ability in children in a shorter time compared with
Given that the more specific a skill is, the less that skill is other previous studies. Assuming that at least some chess
transferable to another domain; nevertheless, it is reasonable abilities can be transferred from chess to the mathematical
to suppose that a game requiring attention, logical thinking, problem-solving domain, our hypothesis is that the chess-
planning, and calculation abilities would be able to improve trained children group will show a significantly higher
at least some of the aforementioned abilities, which are improvement in mathematical problem-solving skills com-
linked to the problem-solving competence and, overall, to pared with children who did not receive any chess training,
general intelligence, at the beginning of their development. and among the subjects who received chess training, those
Put simply, if chess players’ abilities do not transfer to other who used the CAT more will show a higher improvement.
domains, it is not impossible that chess helps children devel-
oping the above abilities, especially when these latter are yet
to be fully developed, and still general enough to allow the Material and Method
transfer.
This hypothesis is supported by those studies investigat-
Participants
ing the effect of the chess courses on children’s mathematical The study was conducted on a total of 31 classes (third,
abilities (Barrett & Fish, 2011; Hong & Bart, 2007; Kazemi, fourth, and fifth grades) from 8 different schools of Northern
Yektayar, & Abad, 2012; Scholz et al., 2008; Trinchero, Italy. The classes were randomly assigned to two groups,
2012a). Such studies have found that children attending including 17 classes in the experimental group and 14 in the
chess lessons show significant improvements in mathemati- control group.
cal abilities. This is even true for low-IQ subjects: Scholz The experimental group included 5 fifth-grade classes, 10
et al. (2008) found that children with an IQ ranging from 70 fourth-grade classes, and 2 third-grade classes for a total of
and 85, attending 1 hr per week of chess lesson instead of 1 309 students (169 males and 140 females). One hundred
hr of mathematics, performed significantly better in addition ninety-three children included in this group declared to be
and counting than children who did not receive chess les- able to play chess before the beginning of the study. The con-
sons; Hong and Bart (2007) found a correlation between trol group included 6 fifth-grade classes, 3 fourth-grade
chess ability and non-verbal intelligence in students at risk of classes, and 5 third-grade classes for a total of 251 partici-
academic failure, suggesting that chess ability can be a pre- pants (116 males and 135 females). Seventy-two children in
dictor of improvement in cognitive abilities; Barrett and Fish this group declared to be able to play chess before the study.
(2011) tested 31 students, receiving special education ser-
vices, divided in 2 groups: One had chess lesson once a week
Study Design
instead of a lesson of mathematics, whereas the other one
had two lessons per week of mathematics, but no chess les- Students in the experimental group received a mandatory
son. This study showed that the chess group improvements in chess course based on the SAM (Scacchi e Apprendimento
“number, operations and quantitative reasoning” and in della Matematica; Chess and Maths Learning) protocol
“probability and statistics” were significantly higher than (design by the Italian Chess Federation instructors Alessandro
those obtained by the other group who did not attend any Dominici, Giuliano d’Eredità, Marcello Perrone, Alexander
chess activity. Similar results have also been found in pupils Wild; for further information, see www.europechesspromo-
with normal IQ and without specific disabilities (Kazemi tion.org). In addition, each pupil in the experimental group
et al., 2012; Liptrap, 1998; Trinchero, 2012a, 2012b). In all was provided with a free software, named CAT (see
these studies, positive effects of chess appeared after at least Trinchero, 2012a, for further details), for learning the game
25/30-hr courses. Studies of Trinchero (2012b) and Kazemi of chess every time he or she wanted. The use of CAT was
et al. (2012), which investigated the effects of a chess course not mandatory, yet highly recommended. The pupils of the
on children’s (third graders in Trinchero, 2012b, fifth, eighth, experimental group were given the opportunity to play CAT
ninth graders in Kazemi et al.) mathematical problem-solving at home. Two variables were recorded by CAT: time of utili-
ability, deserve a particular attention. Both of these studies zation and level achieved.
have found a significant improvement in problem-solving On the contrary, students in the control group performed
scores in chess-trained children compared with children who only the normal school activities without any chess-related
have not performed any chess-related activity. These results activity. The chess courses lasted between 10 and 15 hr (1 or
suggest that chess could increase not only basic mathematical 2 hr per week, according to the schedule and the availability

Mathematical Problem-Solving Abilities and Chess: An Experimental Study on Young Pupils 87
Table 1. The Seven Mathematical Problem-Solving Items of the Seven OECD-PISA Items.
Estimated difficulty
Math abilities involved (from OECD-PISA) Score Analogy with chess ability
Calculate the number of points on the opposite face 478 (Level 2) 0/1 Calculate material advantage
of showed dice
Extrapolate a rule from given patterns and complete 484 (Level 3) 0/1 Extrapolate checkmate rule from chess situation
the sequence
Calculate the number of possible combination for 559 (Level 4) 0/1 Explore the possible combination of moves to
pizza ingredients checkmate
Calculate the minimum price of the self-assembled 496 (Level 3) 0/1 Calculate material advantage
skate-board
Recognize the shape of the track on the basis of the 655 (Level 5) 0/1 Infer fact from a rule (e.g., possible moves to
speed graph of a racing car checkmate)
Establish the profundity of a lake integrating the 478 (Level 2) 0/1 Find relevant information on a chessboard
information derived from the text and from the
graphics
Estimate the perimeter of fence shapes, finding 687 (Level 6) 0/1 Find analogies in chessboard situations
analogies in geometric figures
Note. OECD-PISA = Organisation for Economic Co-Operation and Development–Programme for International Student Assessment.
of the schools involved), and were conducted by three Italian Table 2. The Twelve Chess Items Used to Evaluate Chess
Chess Federation teachers. The teaching program and the Knowledge.
methodology were exactly the same for each course. Courses
Chess ability Score
were aimed at teaching the basic rules and tactics of the game
(material value, checkmate patterns, basic endgames). Explain checkmate situation 0/1
All students (both in the experimental and in the control Identify checkmate situation −3/+2
groups) were tested before and after the intervention using Establish if a move is allowed for a piece −2/+2
the seven Organisation for Economic Co-Operation Identify castling situation 0/1
and Development–Programme for International Student Calculate material advantage 0/1
Assessment (OECD-PISA) items (Organisation for Identify common elements in three chess −3/+3
situations
Economic Co-Operation and Development, 2009), a vali-
Identify pawn promotion 0/1
dated instrument to assess mathematical problem-solving
Identify the possibility of insufficient material 0/1
abilities with several degrees of difficulty (see Table 1), and
Identify checkmate situation 0/1
a 12-items questionnaire to assess chess abilities (Trinchero,
Identify checkmate-in-one-turn situation 0/1
2013; see Table 2). Time between the pre- and post-test eval- Reconstruct sequence of chessboard events 0/1
uation was 3 months. Identify common elements in three chess −3/+3
The design of the study is summarized in Table 3. situations
The main limitation is the lack of a placebo group, that is,
a group whose participants undergo alternative intervention.
The two-groups design does not allow to understand whether Finally, the classes were randomly assigned to the two
the potential improvement in math performance was due to groups, but the single student were not (that is, every student
chess-specific or chess-unspecific factors. It is possible that remained in his/her regular school class). Nevertheless, it
other non-specific ludic activities, demanding attention and must be noticed that organizing a well-designed experimen-
slow thinking, can increase mathematical problem-solving tal research in educative contexts is difficult, and randomiz-
abilities as well. The second limitation is that the number of ing students without their classes is often a non-acceptable
pupils declaring to be able to play chess is significantly practice in schools due to organizational reasons.
greater in the experimental group than the control one. It is
advisable, for future studies, to select participants from not-
Results
chess-players samples, or to match the numbers of players
between groups to better control this variable. The third limita- Data were analyzed using a series of t tests, mixed linear
tion is that chess lessons were administered by three different models, and correlation analyses.
instructors. This was necessary for organizational needs, but The two groups were equal in terms of mean age: M(e) = 8.99
we tried to control it asking the three instructors to follow the years (SD = 0.90 years), M(c) = 9.05 (SD = 1.12 years),
same didactic protocol throughout all the chess courses. t(558) = −0.76, p = .45, and pre-intervention mathematical

Table 3. Description of the Experimental Design.
Groups n Activities
Experimental 309 Pre-test Blended chess training (10/15 hr of chess course and non-mandatory Post-test
CAT activities; 3 months)
T(0) T(1)
Control 251 Pre-test Regular school activities (not chess-related activities; 3 months) Post-test
T(0) T(1)
Note. CAT = computer-assisted training.
Figure 1. Math scores in the two groups of pupils measured before and after the intervention.
Note. The experimental group performance in the post-test was significantly higher than in the pre-test, whereas the control group did not show any
improvement.
problem-solving scores, M(e) = 1.65, SD = 1.15; rule out the potential role of school of provenance (as
M(c) = 1.71, SD = 1.12, t(558) = −0.60, p = .55. Post- participant variable) in determining chess post-test results
intervention mathematical problem-solving scores were (dependent variable). The model showed a significant
M(e) = 2.08, SD = 1.34; M(c) = 1.76, SD = 1.24. effect of group (fixed factor), F(1, 125.917) = 309.433,
Because the participants were from eight different p < .001, and a significant effect of chess pre-test scores
schools, a mixed linear model was performed, to rule out the (fixed covariate), F(1, 507.482) = 251.567, p < .001; but
potential role of school of provenance (as participant vari- no significant effect of age (fixed covariate), F(1,
able) in determining math post-test results (dependent vari- 342.990) = 0.306, p = .58, and no significant effect of
able). The model showed a significant effect of group, fixed school of provenance, var(u0j) = 0.523, p = .17, either.
factor, F(1, 45.670) = 7.179, p = .01; and a significant effect Figure 2 summarizes chess pre- and post-intervention
of math pre-test scores, fixed covariate, F(1, 550.297) = scores in the two groups.
109.080, p < .001; but no significant effect of age, fixed Post-intervention chess scores and math performance in
covariate, F(1, 184.246) = 2.809, p = .10; and no significant the experimental group were significantly correlated (r = .29;
effect of school of provenance, var(u0j) = 0.035, p = .32, p < .001; N = 309).
either. Figure 1 summarizes math pre- and post-intervention Experimental group participants’ use of CAT was quite
scores in the two groups. heterogeneous: M = 3.24 hr (SD = 4.29), M = 6.00 levels
Regarding the chess performance, pre-intervention achieved (SD = 4.94). Post-intervention math scores and the
chess scores were significantly higher in the experimen- CAT level achieved by students in the experimental group
tal group than in the control group, M(e) = 3.34, were significantly correlated too (rs = .22; p < .001; N = 309);
SD = 4.08; M(c) = 1.34, SD = 2.99; t(558) = 6.49, d = however, post-intervention math scores and CAT time of use
0.56, p < .001. A mixed linear model was performed, to were not correlated (p = .29).

Figure 2. Results of the two groups in chess ability.

Note. Only the experimental group improvement was statistically significant.
Discussion pieces. According to Scholz et al. (2008), the practice of the

game can convey some notions of the mathematical domain
The hypothesis of the study, according to which the mathe- as the concept of numerosity. Throughout a chess game, a
matical problem-solving scores gain in the experimental chess player is requested to pay attention to the material
group would be significantly higher than the one in the con- advantage (or disadvantage) because, together with the two
trol group, is confirmed. Moreover, we found that both the Kings safety, it is the most important aspect of the game.
chess scores and the CAT level achieved by the students in Material advantages are calculated by summarizing all the
the experimental group were significantly correlated with the white and black pieces’ values (every piece has a specific
mathematical problem-solving scores. Because part of proto- value, depending on how it moves); the comparison between
col was not mandatory, that is, CAT activities at home, it is these two sums gives the players the basic criterion for the
possible that those who played CAT more (in terms of time) evaluation of the chess position:
were more motivated by chess, and hence the better mathe-
matical scores. However, only the level achieved by the This conception fits well in the context of positive conditions for
pupils proved to be correlated to math post-test scores, transfer [“Low road transfer happens when stimulus conditions
whereas time of utilization did not. If we assume that the in the transfer context are sufficiently similar to those in a prior
time spent playing CAT was, to a certain extent, a measure of context of learning to trigger well-developed semi-automatic
the participants’ motivation toward chess, then this seems to responses.” (Scholz et al., 2008, p. 139)] described by Perkins
suggest that motivation was not a crucial factor of math and Salomon (Perkins & Salomon, 1994), since the strength of
the chess pieces can be used as a metaphor for numbers. (Scholz
results. On the contrary, chess ability, assessed by chess
et al., 2008, p. 146; emphasis added)
score and CAT level achieved, proved to be more reliable at
predicting math scores. In summary, these results show that In other words, chess could have the power to “material-
a blended strategy of intervention (in-presence chess lessons ize” some mathematical abstract concepts so that children
followed by home training) can be effective both to teach can learn and manage them much more easily. In Kazemi
chess and to enhance mathematical abilities. These outcomes et al. (2012), a similar explanation is given:
are impressive considering that, compared with the previous
studies based on 25/30 hr of chess lessons, our intervention When students experience the subtlety and sophistication of
consisted only in 10/15 hr of in-presence chess teaching chess play, upon encountering complex and subtle matters, they
activities. often associate or link these two elements and discover the logic
Given these results, how can the education and practice of and subtlety of mathematics. In reality, this complexity may take
chess affect the logical–mathematical abilities of the young tangible or real forms for students (p. 378).
pupils? To answer this question, we can hypothesize that the
intrinsic feature of the game can be the cause of the phenom- This is also consistent with the concept of embodiment of
enon to be explained. Chess is based on some mathematical mathematical elements described in Lakoff and Núñez
elements as the values and the geometrical movements of the (2000).

Furthermore, chess, by its nature, is a game that forces the human intelligence is the sum of several basic abilities
players to use skills that go beyond the simple calculation of through which higher competences, such as problem-
variations, or mere mnemonic exercises: Playing chess is an solving, arise. The issue is still debated.
exercise of competence. A chess player must monitor his As we previously said, the assumption subtending our
own strategies and, therefore, his own thoughts, focus on hypothesis is that some abilities can be transferred from
detail, and use abstraction and generalization, even at ama- chess to the mathematical domain. Transfer can occur when
teur level. The positions appearing on the chessboard during there is a certain degree of overlap between the two domains,
the game are problems to be solved by choosing a move or a and the extent of the transfer itself is limited to that degree
combination of moves. In addition, the absence of the alea- (Thorndike & Woodworth, 1901). Thus, the more specific
tory element forcefully leads players to attribute the cause of knowledge becomes, the more difficult transfer of skills can
their success (or failure) to the quantity and quality of their arise (Ericsson & Charness, 1994), and the ability in a cer-
effort and their own strategic choices, promoting the empow- tain task depends on the context of application. In these
erment process. In other words, a chess player becomes terms, it is unlikely that chess can be useful to teach
aware of his own self-effectiveness. According to Trinchero, mathematics.
children’s attentive skills could be enhanced by the practice Nevertheless, several authors think that the transfer is
of the game of chess, and this fact could explain the improve- possible because of the general nature of the cognitive pro-
ments in mathematical problem-solving abilities related to cesses: a fluid intelligence (Jaeggi, Buschkuehl, Jonides, &
game practice: “this difference may be due to the increased Perrig, 2008; Sternberg, 2008) that can be trained. If chess
capacity of the pupils of reading and interpret correctly the training can boost some basic abilities easily generalizable to
mathematic problems, apply their mathematic knowledge mathematics domain (because of the similarity between the
and reflect on their own actions and strategies, as effect of two domains), then it is possible that chess improves a higher
chess training” (Trinchero, 2013). competence such as mathematical problem solving. In other
We can summarize the above concepts by saying that words, the problem of the transfer is played on a trade-off
chess increases mathematical problem-solving skills because between generality skill and a sufficient isomorphism
(a) math and chess are isomorphic domains; by playing (Atherton, 2007) between the nature of the domain in which
chess, math concepts are made less abstract and thus more the pupil exercises the skill and the new domain into which
manageable; (b) a chess player must use high skills as plan- the skill can be transferred; a trade-off between universality
ning, abstract thought, calculation of variants, monitoring of and specificity (Sala, 2013). Thus, the two perspectives
strategies, and thoughts that are necessary in mathematical should not be considered irreconcilable. The question is, in
skills; (c) a chess player perceives the victories and defeats what ratio is a certain competence based itself on general
as a result of his choices on the board, the correctness of cognitive abilities and in what ratio on a domain of applica-
which is proportional to the practice and the efforts of the tion? Regarding chess, the data, currently, do not allow to
player himself; this is supposed to increase the empower- infer the answer.
ment of the player and, consequently, the confidence in his It is possible to suppose that chess is a sort of medium
own abilities; (d) the chess player becomes aware of the through which some cognitive abilities are boosted. A theo-
necessity of enduring attention, addressed to both the simple retical framework for this hypothesis could be the concep-
elements of the game and to the dialectical relationship tion of intelligence described by Feuerstein, Feuerstein,
between elements; attention that is already potentially pres- Falik, and Rand (2006). According to this perspective, intel-
ent in the participant, but that the actual environment and ligence is a repertoire of universal cognitive functions, able
habits tend to reduce; (e) chess is an amusing and rewarding to operate on every content. Some of these functions such as
activity that encourages children to play more. In other the “precision and accuracy in the data collection,” the “abil-
words, chess gets a “virtuous circle” started, and this circle ity to understand the existence of a problem,” the “ability to
can be very useful also to develop good mathematical distinguish relevant from non-relevant data,” the “need of
abilities. logical proves,” and the “planning behavior” are necessarily
This explanation is realistic because it can be compatible needed during a chess game. For example, a chess player
with two opposite paradigms about the conditions under searching for a checkmate combination has to realize that the
which cognitive transfer happens and, in a vaster perspec- position on the chessboard offers that opportunity, has to col-
tive, about the features of human intelligence. Logical skills lect the data very carefully (a single piece or square not con-
(and intelligence) can be considered context-dependent or sidered and the combination could fail), has to select the
context-independent. In the first case, the problem-solving relevant data (not necessarily all the pieces are involved), has
ability is strictly linked to the domain of application; thus, a to plan the combination considering the foe’s defense
participant can show problem-solving skills as good in a chances, and needs to prove the cogency of his inference. All
field of knowledge and as bad in another one. In the second these functions contribute to solving the chess problem and,
case, logical skills are universal and disconnected from the in a more general sense, are undoubtedly involved in every
context of application. According to the latter perspective, field of problem-solving application.

If the assumption of a repertoire of universal cognitive is, the amelioration in mathematical problem-solving com-
functions, context-independent and thus applicable to sev- petence; (b) the long-term effects of chess training on math-
eral domains, is accepted, then it is necessary to ask for the ematical abilities; and (c) the comparison between chess and
reason why chess is one of the ideal mediums. The afore- other mathematical games.
mentioned features of the game (aleatory component null, The first line refers to the already discussed issues: If it is
need of heuristic thought, similarities with mathematics possible to state that a chess course, with a proper didactic
domain) are essential, but it must be considered that chess is program and methodology, improves children mathematical
a content itself. According to Feuerstein et al. (2006), a cog- problem-solving abilities, it is not yet possible to say exactly
nitive function has to be trained with a specific content, why this happens. Which are the cognitive skills strength-
selected for its intrinsic features. The content must not be so ened by chess? Just a few experimental studies directly
unfamiliar to invest a great effort that would take precious assessed the increments of some cognitive abilities after a
cognitive resources and would not allow the pupil to concen- chess intervention. In the study of Scholz et al. (2008), the
trate on the function to strengthen. However, the content experimental group did not improve in the concentration
must not be too familiar either, because it would not be able abilities, suggesting that the amelioration of the experimental
to induce a state of attention in the pupil; so he would not group calculation scores was not due to the increase of the
mobilize his cognitive resources because of the lack of intrin- concentration of the participants. However, it must be con-
sic motivation. Chess could be an ideal medium because it is sidered that the participants of that study were children with
familiar enough: It is a board game, quite known, and based IQ (70-85) lower than the average of the population, so that
on quantity, calculation, and planning, which are concepts sample could not be representative for the general popula-
already experienced by children in school; however, chess is tion. In the study of Kazemi et al. (2012), the participants
a game compelling and new for most of the children involved were tested, after a 6-month chess course, to assess their
in a chess course, so it is simple to induce passion for it. meta-cognitive abilities, along with their problem-solving
Furthermore, it is important to underline not only the skills: The researchers found a significant advantage for the
intrinsic features of the game of chess but also the method experimental group (who received the chess course) both in
through which chess is taught. If it is assumed that a chess the meta-cognition scores and in problem-solving scores.
course is a tool to boost problem solving or similar abilities, This fact leads to think that the meta-cognitive abilities
then a chess teacher is supposed to propose activities selected boosted by chess practice can be successfully transferred into
on purpose. In this sense, it is important to note that, although mathematics domain.
in the present study, the number of pupils declaring to be able The second line of research, suggested by Gobet and
to play chess in the pre-test is higher in the experimental Campitelli (2006), is necessary to assess the endurance of
group (193) than in the control group (72), and, consequently, chess training benefits during the 2 or 3 years. To date, fol-
chess scores are higher in the experimental group pre-test, low-up data related to chess and its educational benefits do
the mathematical problem-solving scores of the experimen- not exist. If these benefits disappeared, for example, 1 year
tal group are not significantly different. This fact can be after the intervention, then chess would not be an educational
explained by saying that the mere knowledge of chess basic useful tool. If the transfer is possible only when there is an
rules (as the movement of the pieces) is by far insufficient to overlap between the two domains, then an activity getting
train cognitive skill. It is hard to see why knowing that the more and more specific, at a certain point, becomes ineffec-
Rook can move vertically and horizontally, for example, tive, because it insists on capacities not shared by the two
should improve children problem-solving skills, or any other domains, and thus not transferable. So, it is likely that the
intellectual skill. On the contrary, knowing how to find the benefits of the chess training diminish with the second or the
shortest path from one square to another one for the Rook, or third year of training (following a sort of logarithmic curve)
knowing whether it is worth to give up a Rock for a Queen, because of the increasing specificity of the topics. In other
is a more demanding task for the intellectual skills of the words, it would be important to know when the costs of a
pupil. A pupil playing a chess game moving the pieces cor- chess course overcome the benefits.
rectly (that is, according to the rules), but without any plan or The third line of research could be useful to understand
calculation, does not use any problem-solving ability. whether other mathematical games can be used as educa-
On the contrary, it is reasonable to assume that a pupil tional tools, and to understand which mathematical skills are
playing a chess game moving the pieces according to a strat- enhanced by chess and by other games. Ferreira, Palhares,
egy (albeit ingenuous or shallow for an expert chess player) and Silva (2012) tested the correlation between the skills of
and paying attention to the dynamic relationships between children in some games (such as Dots and Boxes, Wari and
the pieces is training his or her problem-solving ability. Traffic Lights) and several mathematical factors (such as
Further studies are needed also to deepen our knowledge numeric and geometric progression, counting, rotation) find-
about the effect of chess training on cognitive abilities. We ing that every game has specific correlation with one precise
can consider three main lines of research: (a) the study of the factor. The study, although interesting, is correlational, so it
cognitive processes subtending the outer phenomenon, that is impossible to infer that those games can boost some

mathematical abilities. Gobet (personal communication) Gobet, F., & Campitelli, G. (2006). Education and chess: A criti-
suggests that some aspects of the school curriculum might be cal review. In T. Redman (Ed.), Chess and education: Selected
better illustrated by other games, such as Awele, Go, and essays from the Koltanowski conference (pp. 124-143). Dallas,
Bridge. Not enough has been done to infer anything certain. TX: Chess Program at the University of Texas at Dallas.
Hong, S., & Bart, W. M. (2007). Cognitive effects of chess instruc-
In conclusion, although many aspects of the potential
tion on students at risk for academic failure. International
benefits of chess practice in children are still unknown, we
Journal of Special Education, 22, 89-96.
can state that the game of chess is a powerful tool to build Horgan, D. D., & Morgan, D. (1990). Chess expertise in children.
children’s problem-solving competence in the mathematical Applied Cognitive Psychology, 4, 109-128.
domain, even with brief courses, such the one we propose to Jaeggi, S. M., Buschkuehl, M., Jonides, J., & Perrig, W. J. (2008).
our pupils. Improving fluid intelligence with training on working memory.
Proceedings of the National Academy of Sciences of the United
Declaration of Conflicting Interests States of America, 105, 6829-6833.
Kazemi, F., Yektayar, M., & Abad, A. M. B. (2012). Investigation
the impact of chess play on developing meta-cognitive ability
to the research, authorship, and/or publication of this article.
and math problem-solving power of students at different levels
of education. Procedia: Social and Behavioral Sciences, 32,
Funding 372-379.
The author(s) received no financial support for the research and/or Lakoff, G., & Núñez, R. E. (2000). Where mathematics comes
authorship of this article. from: How the embodied mind brings mathematics into being.
New York, NY: Basic Books.
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Ricerca in Didattica (Mathematics), 22(Suppl. 1), 95-98. Thorndike, E., & Woodworth, R. (1901). The influence of improve-
Feuerstein, R., Feuerstein, R. S., Falik, L., & Rand, Y. (2006). The ment in one mental function upon the efficiency of other func-
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105-114). Fribourg, Switzerland: Edition Universitaires gioco degli scacchi. (pp. 107-144) Rome, Italy: Alpes.
Fribourg Suisse. Retrieved from http://v-scheiner.brunel.ac.uk/ Trinchero, R. (2012b). Gli scacchi, un gioco per crescere. Sei anni
bitstream/2438/2274/1/Gobet-Intelligence%20and%20chess.pdf di sperimentazione nella scuola primaria [Chess, a game to

grow up with. Six years of research in primary school]. Milan, Author Biographies
Italy: Franco Angeli.
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592682
SGOXXX10.1177/2158244015592682SAGE Opende Kock
10
What About Learning in Practical
Theological Studies? Toward More
Conceptual Clarity
A. (Jos) de Kock1
Abstract
Because learning is an important concept in the reflection on young people in faith practices, practical theological studies
on the theme of learning profit from a clarification of the concept of learning. Therefore, current (empirical) research
projects conducted by the Dutch Research Centre for Youth, Church, and Culture and educational and religious education
literature on learning have been analyzed. The results provide an overview of utilized descriptions of learning, (theological)
interpretations of learning, normative positions regarding learning, and strategic considerations toward (the promotion of)
learning. Implications for future practical theological research into (faith) learning in the context of faith practices of young
people are discussed.
Keywords
learning, practical theology, religious education, formation, children, adolescents
“Learning is a lifelong activity. Learning occurs intentionally in Increasingly, the primary focus is shifting from religious
formal Instructional settings and incidentally through experience. education toward studying young people in certain faith
Learning encompasses a multitude of competencies, from practices, which emphasize the concept of learning in aca-
knowledge of simple facts to great skill in complex and difficult demic studies (see, for example, Sonnenberg & Barnard,
procedures. Learning sometimes requires great effort and
2012). Although learning is becoming a common feature in
sometimes proceeds with relative ease. These are a few of the
many practical theological studies on young people in faith
things we know about learning. But learning is a complex affair.
The results of learning are often observable in human practices, the way learning is conceptualized varies. This is
performance, but the process of learning is much less obvious. my observation in various research projects conducted by
As a consequence, different theories have been developed to our Research Centre for Youth, Church & Culture (OJKC)1
explain learning. These theories represent different perspectives, and has been my observation in the international field of aca-
different assumptions, and different beliefs about learning.” demic studies on youth ministry and religious education.
Because learning is an important factor in the reflection
—Driscoll (2000, p. 4) on young people in faith practices, I will argue in this article
that practical theological studies could profit from a clarifi-
"What exactly is a “religious learning process” . . . is, conversely, cation of the concept, including an explanation of different
not easy to define." angles of use involved in current research and publications.
Learning in general, for example, is often conceived of as a
—Schweitzer (2006, p. 115) persisting change in performance or performance potential
(Driscoll, 2000). Faith learning in particular, then, can be
[Translated from the original German text] conceived as a particular change in how one performs in the
religious domain. However, sometimes we see faith learning
Introduction explained as a form of meaning-making process, whereas
As a practical theologian, specializing in the field of religious

education and religious pedagogy, I, and my international col- 1
Protestant Theological University, Amsterdam, The Netherlands
leagues, deal with the concept of learning. Our research on Corresponding Author:
learning is carried out in practical theological studies on the A. (Jos) de Kock, Protestant Theological University, P.O. Box 7161, 1007
practices of religious education, whether in church communi- MC Amsterdam, The Netherlands.
ties or in schools or wherever these practices are located. Email: adekock@pthu.nl

What About Learning in Practical Theological Studies? Toward More Conceptual Clarity 95
other authors approach the concept of learning as part of two different Sabbath school classes at a U.S. Midwestern
socialization processes, which is another angle of use. Seventh-Day Adventist church. The study concerned the
By way of illustration of different angles of use of the con- impact of the curriculum design (a traditional vs. a revised
cept, the article briefly describes current research projects car- curriculum) on children’s learning. Learning was measured
ried out at our OJKC (section “Illustration: Current Research in terms of factual biblical learning and the ability to express
in the Dutch OJKC”). This illustration, at the same time, messages from Bible stories.
applies preliminary perspectives on how the concept of learn- Niemelä (2006) reports on a questionnaire study among
ing might be clarified. Next, the article provides a clarification more than 1,000 young people before and after they partici-
of the concept learning regarding practical theological studies pated in confirmation classes in Finland. The main question
on young people in faith practices. This clarification, as will be posed is about the quality and effectiveness of the classes and
concluded, is helped by distinguishing among descriptions of the outcome measures for meeting social expectations (such
learning, interpretations of learning, normative positions as attractive leisure time activities), meeting religious expec-
regarding learning, and strategic considerations toward (the tations (such as strengthening faith), meeting expectations
promotion of) learning. This argument is established based on regarding growing up (such as becoming independent), atti-
a discussion of educational literature on learning, including tude toward Christianity, and belief in God.
Religious Education literature on learning. Each study stresses different aspects of learning: the rela-
The context of learning studied in the current article is tionship between learning, faith, and experience (Le Cornu,
faith practices. Practical theologians seek to understand reli- 2005); the outcomes of learning—among which are factual
gion and faith as they are involved in church life and every- biblical knowledge and the expression of biblical messages
day life; we could say it is about the hermeneutics of lived (Burton et al., 2006); and the relationship between or distinc-
religion (Ganzevoort, 2009). Learning as part of the lived tion between “general development,” religious development,
religion of people is rightfully an object of practical theologi- and the social domain (Niemelä, 2006).
cal studies. Because of the importance, we need clarity in our This comparison shows different aspects or angles of use
focus on how learning is defined in child and youth studies. of learning. This raises the question if these aspects and
Recently, Schweitzer (2014), in his article “Religion in angles of use of learning, in the context of the religious
Childhood and Adolescence: How Should It Be Studied? A domain, can be summarized or classified. This article strives,
Critical Review of Problems and Challenges in Methodology in the words of Driscoll (2000), as quoted at the very begin-
and Research,” proposed criteria for empirical studies in reli- ning of this article, for an overview of various theories, per-
gion among children and adolescents. These criteria empha- spectives, assumptions, and beliefs about learning. This
size the importance of clarity about the use of interdisciplinary overview can advance the practical theological reflections
frameworks and religious and nonreligious interpretive per- and empirical research on youth and religion in which learn-
spectives in these studies. This article aims at gaining such ing processes are debated.
clarity, in particular on learning in practical theological I first briefly describe current research projects carried out
reflections on youth and religion. at the OJKC (section “Illustration: Current Research in the
Different aspects of learning are stressed in empirical Dutch OJKC”). Next, the way in which the concept of learn-
studies on learning (processes) regarding faith and/or reli- ing functions in projects such as those conducted by our
gion conducted during the past 10 years by Le Cornu (2005); research center is explained further focusing on definition
Burton, Paroschi, Habenicht, and Hollingsead (2006); and and interpretation of learning, and on normative and strategic
Niemelä (2006). Le Cornu (2005) presents a typology of four perspectives (section “Analysis: Definition, Interpretation,
ways of believing and learning based on an interview study and Normative and Strategic Perspectives on Learning”).2
among 21 students, of whom the youngest was 21 years and This discussion is broadened by drawing into the debate
the oldest 88 years, against the background of their theologi- additional educational literature on learning, including
cal educational contexts ranging from first-year theological Religious Education literature on learning. The article ends
studies to postdoctoral studies. The typology is grounded in with a conclusion and a discussion of the results (section
a distinction between Christian faith content and day-to-day “Conclusion and Discussion”).
experiences. This results in four types of learner-believers.
The first type is the discrete learners group, who largely hold Illustration: Current Research in the
their faith and their experience as two separate dimensions of
their lives. The second type is the related learners group,
Dutch OJKC
who integrate faith and experience. The third type is the To illustrate various angles of the use of learning, I now
assimilative learners group, who assimilate their faith in briefly describe current research projects carried out at the
their experience. The fourth type is the interpretive learners OJKC. This illustration is based on published articles as well
group, who tend to interpret experience according to faith as unpublished manuscripts produced by eight senior and
principles premises. junior researchers at the OJKC. This description aims at pro-
Burton et al. (2006) report on a study of videotaped inter- viding preliminary perspectives on how learning might be
views with 12 five- to six-year-old children who attended clarified.3

Definitions and Interpretations of Learning Muslim adolescents, we carried out an in-depth interview
study among 10 young Christian adults and 10 young Muslim
When it comes to the concept of learning in the OJKC proj- adults. The framework for the project was reported in
ects, faith learning in particular is often at stake. Only two Religious Education by Visser-Vogel, Westerink, De Kock,
times in the publications and manuscripts of the OJKC stud- Barnard, and Bakker (2012). The research contributes to the
ies, however, is a definition of faith learning presented. An development theories formulated by Erikson (1968), Marcia
OJKC researcher, Meerveld (forthcoming), empirically stud- (1966, 1980), McAdams (2005, 2008), and Schachter and
ies how learning is strived for and the actual learning results Ventura (2008). Identity in general, and religious identity in
of youth catechesis within different types of catechetical particular, is a process in which individuals explore and com-
practices. In his study, he uses a broad definition of faith mit to a set of religious beliefs and practices that are con-
learning. Meerveld defines faith learning as a form of learn- structed in relation to the context (including the societal
ing in which what is strived for or in which the result of the context), situation, and reaction of others (Visser-Vogel, De
learning process is in the field of faith content, behavior Kock, Barnard, & Bakker, submitted-a, submitted-b). Van
(praxis), attitudes, experiences, or perceptions. Sonnenberg Wijnen and Barnard (submitted) in a study of small groups of
and Barnard (2012) present a definition of faith learning: adolescents stress the importance of the social context and
They see, following Roebben (2007), the learning of faith as the collective identity of different relationships for identity
a “discovery of meaning.” Next, we observe several interpre- development. Themes such as relationships, sexuality, going
tative frameworks with which (faith) learning can be under- out, and dress codes function as identity markers for ortho-
stood: learning as a socialization process, as an dox Christian youngsters. For Muslim orthopraxy young-
identity-development process, as a physical process, and as a sters, acquiring knowledge (general knowledge, knowledge
quality of youth worship. about Islam, and knowledge about underlying values), obey-
De Kock, Roeland, and Vos (2011) position learning prac- ing Allah, and participating in and being involved with their
tices in the framework of religious socialization and distin- community appear to be important themes in their religious
guish three types of religious socialization. First, the theory identity construction (Visser-Vogel et al., submitted-b).
of traditional socialization conceptualizes religious social- Visser-Vogel, De Kock, Barnard, and Bakker (submitted-c;
ization as the transition of religious beliefs and values: pass- 2015) discuss the complexity and multifaceted character of
ing on of the Christian faith to the next generation. Second, the exploration processes of Muslim youngsters and discuss
according to the theory of modern socialization, adults raise various sources for the religious identity development of
children by supporting the youths’ personal identity develop- orthoprax Muslim adolescents.
ment. In this socialization approach, learning practices are all De Kock and Sonnenberg (2012) reflect on learning in
about coaching. The third theory of socialization, called terms of a physical process when they address the question
tribal socialization, points to the experiential practice of of how embodiment can conceptually be related to religious
faith, which is felt and sensed rather than understood intel- learning processes in youth ministry. The background for
lectually. In this approach, learning practices are directed this question is the observation that youth worship events can
toward participation: learning by doing and experiencing. erase religious learning (as suggested by, among others,
OJKC researcher Van Wijnen (Van Wijnen, forthcoming & Astley, 1984), resulting in the increasing attention paid to a
Van Wijnen, submitted) empirically investigated small bodily and physical approach in youth ministry.
groups of adolescents in youth ministry and based on that
study states that faith needs tribalization, as a process beyond
“Religious knowledge is embodied knowledge because it is
individualization: “There is a strong cohesion between the constructed by personal and social acts, experiences,
(communal) content of faith and the way faith tribes do expe- performances and gatherings in the religious community. At the
rience faith” (Van Wijnen, submitted). Van Wijnen and very heart of religious learning is learning by doing and social
Barnard (2014) conclude that faith happens, is practiced, and interaction, observing and experiencing the religious life of
is lived out in the midst of the lives of the adolescents stud- others and of oneself. This is in congruence with growing
ied. The authors plead for a turning away from faith social- attention in religious pedagogy to learning goals in terms of
ization based on an isolated cognitive basis and a faith emotions and experiences in addition to merely cognitive goals.
language as a logical framework to a more narrative approach (De Kock & Sonnenberg, 2012, p. 15)”
in which adolescents’ life stories are connected to narratives
of the shared faith tradition of the local congregation. As an implication, religious education should not only
Learning can also be interpreted as an identity-development focus on mediation of the Word through speaking and read-
process. Following De Kock (2014b), one of the goal catego- ing but also through doing, feeling, and partaking of the
ries for religious learning processes is goals in terms of iden- sacraments.
tity development. In our research project on the religious One other interpretive framework for learning observed in
identity development of highly religious Christian and the OJKC projects is learning as a quality of faith practices,

particularly in worship practices. Barnard and Wepener understood in various ways: as an encounter between young-
(2012) see worship as a spiritual implicit learning environ- ster and youth worker, as an encounter by living and acting
ment in which “more explicit cognitive knowledge” can be together, and as an encounter involved in discussing and
communicated. “Worship has a formative power in shaping thinking together about personal, societal, and religious
believers, more specifically Christian believers, because it questions. The concept of encounter or meeting is inspired
evokes and expresses basic attitudes that enable faith. by the concept of narthical religious learning introduced by
Worship is the learning environment in which we become Roebben (2007, 2009). The study also points out that due to
Christians through the power of ritual” (Barnard & Wepener, various tendencies, the function of church communities serv-
2012, p. 7). These insights are further elaborated in OJKC ing as places for learning increasingly is displaced by con-
researcher Ronelle Sonnenberg’s PhD project on the partici- texts outside the physical boundaries of the church and even
pation of adolescents in local youth worship services and existing outside the institutional boundaries of the church,
national youth worship events in Protestant contexts that is, at the “street level.”
(Sonnenberg, 2015). A key finding was that “learning faith” Setting goals for learning practices is another normative
is one of the qualities of adolescents’ participation in youth consideration observed in OJKC research. De Kock (2014b)
worship. Based on empirical findings (collected by participa- delineates (a) learning goals in terms of cognition and affec-
tive observation and interviews), Sonnenberg and Barnard tion, (b) learning goals in terms of emotions and experiences,
(2012) distinguish learning impulses from learning products. (c) learning goals in terms of the formation of one’s own
Important impulses in youth worship events are discussions, opinion and social interaction, and (d) learning goals in terms
sermons, speeches, and song texts. Learning products of identity development. An interview study by De Kock
appeared to be information and support, knowledge about (2014a), however, reveals that many formulations of goals
and insight into God, religious and social-ethical applica- that catechists devise for themselves do not fit in these prede-
tions, relevance of tradition, and rules and freedom. signed theoretical categories: for example, “‘learning to
Furthermore, the educational function of worship appeared know Jesus,’ ‘to talk about something,’ ‘to find truth’ and
to be apparent through its dialogical dimensions: One voice ‘being served pastorally’” (p. 66). The author discusses the
is not authoritative; the dialogue between voices matters. theological and biblical normativity in a reflection on reli-
gious learning. Differing orientations toward faith learning
goals hark back to differences in the personal theologies held
Normative Considerations in Relationship to
by catechists. “What specific biblical-theological concepts
Learning can probably be considered foundational to a catechist’s
The OJKC research projects show various normative consid- arrangement of catechetical learning environments?” (De
erations regarding learning, all of which have implications for Kock, 2014a, p. 68). This brings us to the final point of
improving learning processes in faith practices. Starting from reflection observed in the OJKC material: the implications of
the vision of the church as a learning community, De Kock, how learning is conceptualized for improving learning pro-
Elhorst, and Barnard (2015) point at four characteristics of cesses in faith practices.
faith learning in the church as a learning community, which In De Kock’s (2012) work, three models of religious or
are mainly derived from Schippers (1977), Saris (1982), catechetical education are elaborated: a behavioral model, a
Nipkow (1982), and Osmer (2005): (a) faith learning as inter- developmental model, and an apprenticeship model. De
generational learning, (b) faith learning as learning in relation Kock and Sonnenberg (2012) indicate that within the last
(religious experience is there in encounters with Jesus Christ few decades, a change can be observed—from using behav-
and with each other in His spirit), (c) faith learning as learning ioral models of religious education to adopting developmen-
in (everyday) life, and (d) faith learning as emancipatory tal and apprenticeship models. De Kock (2012) elaborates
learning (learning is directed toward durable change). that in religious learning environments set up according to a
In another article, De Kock (2015) raises the question how behavioral model, the teacher directs the content of the les-
religious learning processes found in the missionary context sons. This requires the learners to acquire the content and the
of youth work and the guidance of these learning processes teachers to conduct assignments and to check whether the
can be understood religiously pedagogically. To find answers content is mastered. Whereas, in religious learning environ-
to this question, the article presents the results of fieldwork ments that follow a developmental model, learners learn
into a case of Christian youth work outside the church and the from observing the teacher’s performance: He or she ques-
religious pedagogical reflection in this fieldwork. In field- tions, contradicts, and challenges the learners’ personal theo-
work, De Kock (2015) has detected five main themes regard- ries. The content of what should be learned depends on what
ing religious learning at the street level: (a) vision of God, the learners want to learn and the ideal of independent criti-
man, and the street; (b) the message; (c) the means; (d) the cal thinking. In religious learning environments set up
didactical model; and (e) the relationship with the church. according to an apprenticeship model, the person of the
The main conclusion of this particular study is that religious teacher—who he or she is and does—directs the learning
learning processes are situated in the encounter. This can be process. Religious content and the learners’ specific interests

are embedded in the personal relationship between teacher These two definitions of faith learning treat it as a general
and learner and embedded in the tradition of a particular reli- process of learning in a particular domain, namely, the
gious practice. domain of religion or faith. In this respect, the definitions
In “a typology of catechetical learning environments,” De lean on a general definition of learning, as for instance pro-
Kock (2014b) elaborates further on the three models of reli- vided by Driscoll (2000): “Learning is a persisting change in
gious learning environments. Based on a literature review of performance or performance potential that results from expe-
studies about catechetical learning environments and learn- rience and interaction with the world” (p. 3). Or in the words
ing processes, De Kock develops a typology of catechetical of Boekaerts and Simons (1995),
learning environments in which the author distinguishes
between the roles of catechist and catechumens and high- “We claim that someone learns or has learned something when
lights the learning goals of religious learning processes. The we detect a relatively subtle change in his or her behaviour or
role division follows the distinction among behavioral, can determine changes in behavioural dispositions when these
developmental, and apprenticeship models of learning envi- are results of learning activities and have a certain degree of
agility . . .. Learning as such we generally cannot observe. We
ronments presented earlier by De Kock (2012): In a behav-
conclude on the basis of changes in behaviour that people have
ioral model, the role of the catechist is instructing the learned or we hear from people that they regard themselves as
catechumen; in a developmental model, the role of the cate- having learned” [translated from Dutch]. (p. 3)
chist is questioning, contradicting, and challenging the cate-
chumen’s personal theories; and in an apprenticeship model, And again, in the words of Van der Veen and Van der Wal
the catechist and the catechumen participate in a shared (2012),
world, the faith community.
“Learning is realizing mental processes by way of selecting,
Analysis: Definition, Interpretation, and absorbing, processing, integrating, establishing, utilizing of and
attributing meaning to various forms of information (experiences,
Normative and Strategic Perspectives happenings and phenomenon in reality), which lead to
on Learning sustainable changes in knowledge, skills, attitudes, motives and/
or the ability to learn” [translated from Dutch]. (p. 30)
The different ways in which the concept of learning appears
to be discussed, as shown in the previous illustration of the
Boekaerts and Simons do not regard learning itself as
OJKC research projects, is now elaborated on in terms of
observable because we can speak of realized learning based
definitions, interpretations, and normative and strategic per-
only on its observed outcomes. This contrasts with consider-
spectives. This discussion is broadened by including addi-
able reflections in the literature that try to grasp the essence
tional educational literature on learning and Religious
of what transpires in learning. This also holds for the OJKC
Education literature on learning.
research projects. If, for example, one considers learning
synonymous with identity development, then what transpires
Definitions of Learning and Descriptions of as religious learning might be observable as a process of reli-
Learning gious exploration and making commitments to a set of reli-
gious beliefs and practices (see Visser-Vogel et al.,
The illustration of the OJKC research reveals a few straight- submitted-a, submitted-b). It raises the question whether
forward definitions of learning in general, of faith learning in concepts can be used to depict what transpires during learn-
particular, and of religious learning. Meerveld (forthcoming) ing itself, in particular in the realm of faith learning. At least
defines faith learning as a form of learning that leads in the four types of descriptions of learning can be distinguished,
field of faith content to results in terms of behavior (praxis), regarding the essence of learning, termed approaches to
attitudes, experiences, and perceptions. Sonnenberg and learning.
Barnard (2012) compress the field of faith learning into a The first type of learning description concentrates on the
discovery of meaning. relational basis: (Faith) learning is a relational process
because the religious experience is derived from the encoun-
“Learning is discovering meanings that are presented in liturgy,
ter with God or Jesus Christ and from an encounter with
the Bible, tradition, culture and by peers and adults and so we
name this process of acquiring theological knowledge a
other people (in His spirit), both inter- and intragenerational.
“discovery of meaning” in its own right . . . we do not consider The second type concentrates on the process of acquiring
the discovery of meaning as the final learning product, for the principles of faith and mainly cognitive religious/faith con-
final discovery is the existential relationship between God and tent (as supplied by leaders or the tradition). The third type
the individual . . . This meaning can be considered as theological concentrates on the process of the individual believer
knowledge because it can be located in the relation between God engaged in subjectively constructing the (religious) self and
and the worshipper." (Sonnenberg & Barnard, 2012, p. 3) doing this based on independent critical thinking. The fourth

type concentrates on the process of faith in action: doing and metaphor “appears to be sufficient when addressing pro-
experiencing social interaction in faith practices (whether cesses of deliberately creating and advancing knowledge”
formal practices or practices in everyday life). (p. 538). The knowledge-creation metaphor covers a “tria-
These four approaches complement the three approaches logical” approach: “developing collaborative shared objects
to (faith) learning distinguished by Alii (2009): and artefacts” (Paavola & Hakkarainen, 2005, p. 539).
The first type of learning description (with a focus on the
- Learning by doing, based on the principle of trial-and-error relational basis of learning) and the third type (with a focus
on the individual construction basis of learning) conceptu-
- Learning with and by heart, a form of cognitive learning ally combine into what is suggested by the knowledge-cre-
ation metaphor of learning. The knowledge-creation
- Learning as an intersubjective activity: reflecting together on metaphor sees learning as individuals and groups creating
experiences regarding faith. (pp. 196-203) social structures and collaborative processes that support the
growth of knowledge and innovation, generating new ideas,
Regarding the first approach to faith learning, this corre- conceptual knowledge, new practices, and new social struc-
sponds with what Nipkow (1982) claims in his “Grundfragen tures. In the religious domain, this trialogical learning
der Religionspädagogik” where he points at the intergenera- approach results in the creation of new faith practices, in
tional heart of the process of learning: In his view, Christian terms of structures and theologies. Thus, we see the four
formation means “living together and faith learning in types of descriptions cover the various concentrations in
between the generations [translated from the original German existing metaphors for learning.
text]” (Nipkow, 1982, p. 33). Regarding the second aspect of
faith learning (acquiring principles and content), we refer-
Interpretation of the Process of Learning
ence the work of Sfard (1998), who identifies two metaphors
for learning: the acquisition metaphor and the participation This discussion tells us that learning has multiple aspects and
metaphor. I will explain in terms of OJKC research how the is embedded in practices. The OJKC research shows various
second type of learning description (acquiring principles and attempts to interpret what happens when faith learning pro-
content) fits the acquisition metaphor and the fourth (faith in cesses occur. First, we acknowledge four general interpreta-
action) fits the participation metaphor. tions of learning, which are not strictly theological, derived
The acquisition metaphor characterizes learning as from various disciplines such as Sociology (of religion),
“acquisition of something” directed toward the goal of indi- Psychology (of learning), Developmental Psychology,
vidual enrichment. In this metaphor, the “student” is a recipi- Anthropology, and Educational Sciences. After discussing
ent and (re-)constructer, while the “teacher” is a provider, these nontheological interpretations, I will consider theologi-
facilitator, or mediator. Knowing in the acquisition metaphor cal interpretations in particular.
is conceptualized as “having” or “possessing,” and thus, We can distinguish four general interpretations of the
knowledge is an individual or public property, as a posses- learning process. First, learning is understood as a cognitive
sion or commodity. process of exploring ideas, convictions, and beliefs and mak-
When it comes to the participation metaphor for learning, ing commitments to one or the other. Second, learning is
Sfard demarcates learning as “becoming a participant” and understood as a process of action where practices, behavior,
directed toward the goal of community building. The “stu- and actions are explored and commitments to one or the
dent” is an apprentice or peripheral participant, while the other are made. The latter interpretation of learning is also
“teacher” preserves practice and discourse or acts as an related to the interpretation of learning rooted in flesh and
expert participant. Knowing in the participation metaphor is blood bodies in which not only the cognitive aspect but also
conceptualized as “belonging,” “participating,” or “commu- the physical aspect of learning processes is addressed. Third,
nicating,” and thus, knowledge is an aspect of practice, a dis- learning is understood as a social process: Learning is rela-
course, or activity. tional and intergenerational, and thus, it is a product of (a
Adding to the model of acquisition and the participation fluid combination of) socialization strategies and individual
metaphors, Paavola and Hakkarainen (2005) advance a third choices. Fourth, learning is understood as a communal qual-
metaphor for learning: the knowledge-creation metaphor, ity: Learning is embedded in the daily life contexts of com-
which they present as an emergent epistemological approach to munities, and thus, it is not an individual but a collective
learning. Important background for introducing a knowledge- process.
creation metaphor is the current rise of knowledge societies. These four broad interpretations partly mirror the attempts
The authors hark back to, among others, Sfard (1998), when made in the educational literature to interpret what happens
they characterize the acquisition metaphor as “monological” when learning processes occur. In the educational sciences,
within the mind approach to learning and the participation met- these interpretation attempts are classified in six families of
aphor as a “dialogical” interaction approach (Paavola & educational theories (based on the elaborations by
Hakkarainen, 2005, p. 539). According to the authors, neither Verschaffel, 1995, and Driscoll, 2000, as utilized by De Kock

& Sonnenberg, 2012): (a) behaviorist theories, (b) cognitiv- Normative orientations, such as the encounter with Christ
ist theories, (c) developmental theories, (d) motivational and following Christ as disciples, are often observed in the
theories, (e) constructivist theories, and (f) biological theo- practical theological literature on learning. For example,
ries. It is partly mirrored because our four broad interpreta- Dingemans (1991) stresses the centrality of the person of
tions of learning form another kind of categorization Christ: Faith learning is not about a set of dogmas but about
framework compared with the summary of the six families of a Person. Theologically, Dingemans translates faith learning
educational theories. into “following Christ”: “Our choice for the term ‘following’
Thus, what theological interpretations can be observed in is because it represents all elements of the cognitive, affec-
particular? First, as illustrated, for example, by the OJKC tive and attitudinal learning [translated from Dutch]”
research, several learning impulses, elements that evoke (Dingemans, 1991, p. 138). Where Dingemans applies the
learning, are put forward. These impulses are the external holistic approach of learning (cognitive, affective, and attitu-
checking of acquired faith content, attention to learners’ per- dinal) to the theological concept of “following Christ,” De
sonal interests, learner participation in religious practices Kock and Verboom (2011) legitimate a similar holistic
(e.g., worship), and the encounter between (personal) long- approach by referring to the biblical vision of humankind in
ings and (representatives of) religious perspectives, discus- which the heart (Hebrew: leb) is central when it comes to
sions, sermons, speeches, and song texts. learning: “(A) notion of learning from the heart (Hebrew:
Second, it can be determined that various elements are leb) forming the core of our humanity moves towards head,
advanced, which are expected to have impact on and steer affection and the attitudinal [translated from Dutch]” (De
(faith) learning processes. A type of element concerns setting Kock & Verboom, 2011, p. 22).
particular goals: for example, cognitive goals; affective De Kock and Sonnenberg (2012) argue that the six fami-
goals, goals such as learning to know Jesus or finding truth, lies of educational learning theories (see “Interpretation of
realizing durable change, or being initiated into a faith com- the Process of Learning” above) function as not only inter-
munity, having an existential relationship with God, and so pretation frameworks but also normative frameworks: Each
forth. Another type of element is that religious authority can family of theories mirrors certain ideals when it comes to
be found (regarding what should be learned and how and learning processes, including faith practices:
what is true and worthwhile), leading to a question such as,
“Is the authority located externally in the tradition, or in the “It should be emphasized that distinguishing one family of
religious leader, or in the learner himself or herself, or is it educational learning theories does not in all aspects exclude
embedded in the debate within the religious community?” other families of theories. Although often in practice one or two
An additional element concerns how learning processes can families are prominent, we note that characteristics from
be understood as a result of theological and denominational different families can be simultaneously observed. However, the
positions, including beliefs about the role and function of the distinction between the six families can help us to analyse what
kind of ideals are at stake in different religious pedagogical
Bible, the church itself (and in relationship to society), the
approaches and in different religious learning practices.” (De
tradition, and the actuality.
Kock & Sonnenberg, 2012, p. 13)
Normativity Regarding Learning Ideals are not necessarily fixed. Sfard (1998), for example,
presents a “patchwork” regarding education and learning in
Let us now turn to normative considerations regarding learn- general. She concludes that one should not have too great a
ing. What (theological) normativity can be observed in the devotion to one particular metaphor for learning. Instead,
description of the OJKC projects? First, learning (and teach-
ing) is presented as following one of the basic functions of “It seems that the sooner we accept the thought that our work is
the church or congregational life. The vision of the church bound to produce a patchwork of metaphors rather than a
should be one in which it sees itself as a learning community. unified, homogeneous theory of learning, the better for us and
Thus, learning in itself is a core quality of the Christian for those whose lives are likely to be affected by our work.”
(faith) community. Second, light is shed on biblical-theolog- (Sfard, 1998, p. 12)
ical concepts that might be foundational to (faith) learning
and the guidance of (faith) learning. Discipleship is an exam- Normative positions have consequences for strategic con-
ple. Another example is the encounter of a Christian with siderations followed in practices of (faith) learning. The next
Jesus Christ as foundational for learning. This points toward section will discuss some of these strategic issues. One
the phenomenon of relational learning, understood as learn- should, however, keep in mind that often normative positions
ing situated in the encounter with God and each other. and strategic choices (in terms of developing learning envi-
Furthermore, different concentrations can be laid on learn- ronments for [faith] learning) cannot be clearly separated
ing, which should result from mediation of the Word by from each other. This can be observed, for example, in the
speaking and reading or result from the sacraments by doing work of Osmer (2005), who elaborates on the formation and
and feeling. education task of congregations by describing three core

tasks in Paul’s teaching ministry as he observes in his classification scheme of Farnham-Diggory, 1994), further
letters: expanded by De Kock, Sleegers, and Voeten (2004) and De
Kock (2005):
“(1) catechesis: i.e. handing over Israel’s Scripture and early
Christian tradition; (2) exhortation: i.e. moral formation and “(a) a behavioural paradigm reflecting a social system in which
education; and (3) discernment: i.e. teaching congregations how the expert has a high status and the novice has a low status but is
to understand the circumstances of their everyday life and world expected to acquire more of the expert’s expertise; (b) a
in terms of God’s promised future for creation.” (pp. 26-27) developmental paradigm reflecting a social system in which the
novice learns by developing his or her own personal theories
These three core tasks can be read as normative positions with the support of the expert, who may question, contradict,
taken from Paul, but at the same time, they can be read as and challenge those theories; and (c) an apprenticeship paradigm
strategic landmarks. Faith communities should develop reflecting a social system in which the learner must clearly
learning environments in which Scripture and tradition are participate in the expert’s world to learn (through acculturation).”
(De Kock, 2012, pp. 184-185)
handed over, in which moral formation and education take
place, and in which current life is interpreted in terms of
These instructional paradigms shed light on an important
God’s promises.
strategic consideration: What role does the teacher (whether
Another example of the interconnectedness of normative
a pastor, a youth worker, a parent, or a peer) have in the
positions and strategic considerations is in the work of White
learning process? Is he or she directing the content of lessons
(1988), who stresses the intergenerational character of reli-
and checking acquisitions? Is he or she questioning and chal-
gious learning processes. White explains that education has
lenging learners’ personal theories? Or is he or she modeling
to do with Learning/Growing/Living:
a Christian life?
“Each word needs the other because “learning” alone too often
suggests strictly the cognitive acquisition of information . . . Conclusion and Discussion
“Growing” conveys a fuller development of persons, especially
in terms of one’s inner or subjective side, having to do with the This article aimed at gaining clarity regarding the concept of
affections but also to do with the psycho-motor or physical learning in practical theological reflections on youth and reli-
aspects of the self. Together “learning” and “growing” have to gion. How might the variety of aspects and angles of use of
do with life “living” which . . . relates to faith lifestyle learning, in the context of the religious domain, be summa-
development.” (p. 26) rized or classified? The conclusion might follow the quote by
Schweitzer (2006): “What exactly is a ‘religious learning pro-
Intergenerational religious education thus contains cogni- cess’ . . . is, conversely, not easy to define [translated from the
tive, affective, and lifestyle developments that according to original German text]” (p. 115). Although it is not easy, the
White (1988) are supported by four “patterns of relationship: descriptions and reflections in this article provide clarifica-
(1) In-Common-Experiences, (2) Parallel-Learning, (3) tions, which are helpful for future practical theological stud-
Contributive-Occasions, and (4) Interactive-Sharing” ies on learning in faith practices. To clarify, it appears helpful
(pp. 26-29). to distinguish between descriptions of learning, interpreta-
tions of learning, normative positions regarding learning, and
strategic considerations toward (the promotion of) learning.
Strategic Considerations Regarding Learning This brings us to the first conclusion: The concept of
In the OJKC research described in the section “Illustration: learning as present in practical theological reflections on
Current Research in the Dutch OJKC,” various strategic con- youth and religion cannot be clarified by giving a univocal,
siderations regarding (the promotion of) faith learning can be universal or undivided, sharp definition. The analysis in the
observed. Educational or didactical models for stimulating current article shows the many ways in which the concept of
learning processes are presented, involving a focus on trans- learning might function in practical theological accounts. In
mission, clarification, or communication. Narrative, sacra- the first place, the concept functions on different levels: on
mental, and proclamation approaches are examined. The the level of definition/description or on the level of norma-
most pronounced strategic contribution is the recently pre- tive approaches, for example. In the second place, within
sented typology of 12 catechetical learning environments each level, various approaches can be observed. For exam-
(De Kock, 2014b). This typology combines strategic choices ple, there are multiple interpretations of what is going on if
regarding four types of learning goals to be strived for and learning occurs, and there is not a single Bible-based norma-
three models of religious or catechetical education (De Kock, tive approach toward the enhancement of faith learning, for
2012): a behavioral model, a developmental model, and an example; there are multiple approaches. Thus, it can be con-
apprenticeship model. The latter distinction harks back to cluded that clarification of the concept of learning in practi-
following particular instructional paradigms. We can distin- cal theological reflections on youth and religion is helped by
guish between three instructional paradigms (based on a showing learning is multilayered. Therefore, learning can be

clarified from the angle of different levels. This is what the a creative process for academics and practitioners in the field
analysis in the current article shows. of faith practices of young people.
A second conclusion, then, is that four types of descrip- Gaining clarity on descriptions, interpretations, normative
tions or approaches to learning can be distinguished. The positions, and strategic considerations regarding learning
first type concentrates on the relational basis: Faith learning can advance practical theological reflections and empirical
is a relational process, a process embedded in the encounter research on youth and religion in which learning processes
with God and other people, both inter- and intragenerational. are debated. The same is true for practitioners in the field of
The second type concentrates on the process of acquiring religious education that involves all kinds of contexts: The
principles of faith and mainly cognitive religious/faith con- different definitions, approaches, and ideals regarding learn-
tent as supplied by leaders or the tradition. The third type ing as presented in the article can be used to reflect on our
concentrates on the process of the individual believer subjec- own professional practices and can be of help when we
tively constructing the (religious) self, based on independent develop learning environments for (faith) learning. Dealing
critical thinking. The fourth type concentrates on the process with descriptions, interpretations, normative positions, and
of “faith in action,” involving doing, experiencing, and inter- strategic considerations is in line with the four main tasks for
acting socially in faith practices, including the lives of one- the practical theologian, whether he or she is an academic
self and others. involved in research or a practitioner in a particular profes-
The third conclusion is that four general interpretations of sional field, as elaborated by Osmer (2005, 2008): (a) the
the process of learning can be distinguished. First, learning is descriptive-empirical task, (b), the interpretative task, (c) the
understood as a cognitive process of exploring ideas, convic- normative task, and (d) the pragmatic task. Of special impor-
tions, and beliefs and making commitments to one or the tance for the practical theologian is of course to bring into
other. Second, learning is understood as a process of action discussion the theological (biblical, systematic, or springing
in which practices, behavior, and actions are explored and from lived religion) considerations with the educational/
commitments to one or the other are made. Third, learning is pedagogical, psychological, and sociological reflections on
understood as a social process: Learning is relational and learning, in the interpretative task and in the normative task.
intergenerational, and thus a product of (a fluid combination The latter brings us to the final (seventh) conclusion that
of) socialization strategies and individual choices. Fourth, can be based in the analysis in the current article thus far:
learning is understood as a communal quality: Learning is Clarification of the concept of learning should be seen in
embedded in the daily life contexts of communities, and thus light of an epistemological perspective, a perspective that is
not an individual but a collective process. part of what Osmer (2011) calls “meta-theoretical consider-
The fourth conclusion is that at least three theological ations” of the practical theologian. This is important because
interpretations in particular can be distinguished: Learning a particular epistemological approach functions implicitly or
processes are shaped by (a) goal setting, (b) the place of reli- explicitly as a set of assumptions, grounded in either philoso-
gious authority, and (c) theological and denominational phy, psychology, and/or theology, that shape theories on
positions. (faith) learning. Criticizing a description of learning or an
The fifth conclusion is that in addition to normative ideals educational model for enhancing learning is sometimes a cri-
stemming from different educational learning theories, differ- tique on the level of assumptions: The assumptions are
ent biblical-theological concepts appear to be (theologically) wrong, and therefore, as a result, the description of learning
foundational to learning and the guidance of learning. I or the proposed educational model is wrong.
showed examples of a discipleship approach and the theology Epistemological approaches can focus on the nature of
of Paul. Two approaches can be observed: One might opt for knowledge or on how knowledge is acquired (Driscoll,
one core biblical-theological approach to lead; one might also 2000). Based on the work of Sfard (1998) and Paavola and
choose to follow a patchwork approach in which ideals and Hakkarainen (2005), we already distinguished three meta-
theological normative approaches are context dependent. phors or epistemological approaches to learning: (a) the
In addition, the sixth conclusion is that different strategic acquisition metaphor, which characterizes learning as
considerations are to be dealt with. Special attention, then, “acquisition of something” directed toward the goal of indi-
should be given to the role of the teacher, whether he or she vidual enrichment; (b) the participation metaphor, which
is the pastor, parent, youth leader, or peer. These teachers as characterizes learning as “becoming a participant” and
practical theologians are not simply applying normative directed toward the goal of community building; and (c) the
standpoints or putting definitions of learning into practice. knowledge-creation metaphor, which characterizes learning
They are, instead, involved in a creative process with “rules as a process of deliberately creating and advancing knowl-
of art” (Osmer, 2005, p. xvi) that arise contextually in a con- edge directed toward developing collaborative shared objects
frontation between observations, interpretations, and norma- and artifacts.
tive positions. And this brings us back to the first conclusion Driscoll (2000), for example, distinguishes three main
that showed learning was a multilayered concept, to be clari- epistemological traditions, each giving distinct orientations on
fied and dealt with from the angle of different levels. This is how to understand learning: objectivism, pragmatism,

and interpretivism. Is “reality” out there, and if it is, is it to be the learning of young people in faith practices. One crite-
considered as external to and separate from the knower, is it rion is that the understanding of religion must “be open for
knowable directly or indirectly, or is it a construction of indi- the special experiences of children and adolescents and
vidual knowers? Such questions are, in the words of Osmer should not make the religion its tacit model (‘adultocen-
(2011), questions on the “meta-theoretical” level, answers to trism’)” (Schweitzer, 2014, p. 32). Another criterion taken
which shape the way in which the descriptive, interpretative, from Schweitzer is that the understanding of religion must
normative, and pragmatic tasks of practical theologians are “combine non-religious interpretive perspectives with the
performed. openness for the religious self-understandings of believers,
Assumptions about the nature of learning and how knowl- particularly of children and adolescents” (p. 32). The plea
edge is acquired influence the views one has about learning. is also in line with Faix’s (2014) observation that “more
Furthermore, the assumptions religious educators, pastors, research needs to be undertaken in the future with regard to
youth workers, or parents have also affect how likely they the methodological approach of using mixed methods and
are motivated to take certain strategic considerations seri- also in relation to adolescents’ ability to speak about and
ously. Professionals or volunteers who hold objectivist understand their own faith constructs” (p. 51). Especially
assumptions on learning hold reality as external and objec- in societies where predefined frameworks of faith, reli-
tive and believe knowledge can be acquired through experi- gion, and faith institutions are losing ground, young peo-
ence. Those who hold a pragmatist position hold reality as ple’s self-understanding of faith and faith learning becomes
interpreted through signs, both internal and external, in more important to describe and interpret the essence of
which knowledge is negotiated from experience and reason. what learning is about. The special role of the practical
The interpretivists among all those involved in (faith) learn- theologian is to observe and listen intensely, and to bring
ing see reality as an internal thing, relative to a frame of ref- these empirical data, which are the experiences and voices
erence where knowledge is constructed. Epistemological of young people themselves, in debate with both tradi-
approaches that guide individuals in dealing with learning tional and new, both theological and nontheological inter-
and the enhancement of learning are often rooted in broader pretative and normative frameworks, with the goal of
developments in cultures, societies, or church denomina- strategically serving the learning function of current faith
tional subcultures. For example, a knowledge-creation meta- communities.
phor or interpretivism is observed in innovative missionary
church contexts where new faith practices are constructed, in Acknowledgment
terms of structures and theologies. The (cultural) develop- I thank Dr. Johan Hegeman, who did the English language editing.
ment here is one of secularization and the decline of partici-
pation in institutional church practices. As a counterreaction, Declaration of Conflicting Interests
religious professionals and volunteers critique the dominant
voice of the acquisition of church dogmas when it comes to to the research, authorship, and/or publication of this article.
church education and replace this voice by stressing the indi-
vidual construction of religious truth based on their own Funding
interpretations of experiences.
I suggest that further practical theological research on The author(s) received no financial support for the research and/or
learning of young people in faith practices can be helped
with explicit clarifications from the outset of what is meant
Notes
by “learning” or what can be observed about “learning” in
terms of descriptions, interpretations, and normative posi- 1. www.ojkc.nl//en
tions and strategy, as well as from a broader epistemological 2. By “strategic” as used in this article in strategic perspective or
perspective. In particular, I suggest more empirical research strategic considerations, I mean “directed toward a vision on
(the development of) practices, or directed toward pragmatic
into the experiences of young people in faith practices and to
or operant choices in practices.”
gain more understanding of the concept of learning based on 3. The Research Centre for Youth, Church, and Culture (OJKC)
their experiences, using concepts and language from the is an academic research center of the Protestant Theological
young people themselves. Reflections on learning in the dif- University in The Netherlands. The center conducts research
ferent OJKC studies, for example, appeared to be based on a into the religious education, religious development, and reli-
mix of theoretical considerations and visions of educators gious communication of children and adolescents. See http://
(e.g., catechists), and only partly on direct interactions with www.ojkc.nl/en for an overview of the research program and
young people themselves. I ask for more empirical studies on researcher profiles.
learning in faith practices in which the voice of young people
themselves is the foundation. Reference
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Sonnenberg, P. M., & Barnard, M. (2012). Educating young peo- Visser-Vogel, E., De Kock, A., Barnard, M., & Bakker, C. (sub-
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onderwijspraktijk [From learning theory towards educational mitted-c). Perceptions of highly committed Muslim emerging
practice]. Groningen, The Netherlands: Wolters Noordhoff. adults on religious exploration during adolescence. Submitted
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Van Wijnen, H. J. (submitted). Faith tribes as powerful communi- Visser-Vogel, E., De Kock, A., Barnard, M., & Bakker, C. (2015).
ties of adolescents in highly differentiated societies. Submitted Sources for religious identity development of orthopraxy
for publication. Muslim adolescents in the Netherlands. Journal of Muslims in
Van Wijnen, H. J., & Barnard, M. (2014). From organized faith Europe, 4(1), 90-112.
to lived faith: The need for de-laboratoryzinig and de- Visser-Vogel, E., Westerink, J., De Kock, A., Barnard, M., &
conceptualizing youth ministry. Journal of Youth & Theology, Bakker, C. (2012). Developing a framework for research on
13(1), 6-23. religious identity development of highly committed adoles-
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Author Biography
Onderwijskunde [Educational Sciences] (pp. 153-187).
Groningen, The Netherlands: Wolters-Noordhoff. A. (Jos) de Kock is an assistant professor in education and cat-
Visser-Vogel, E., De Kock, A., Barnard, M., & Bakker, C. (sub- echetics at the Protestant Theological University (PThU), The
mitted-a). I have a Dutch nationality, but others do not see me Netherlands. He is a research member of the Research Center for
as a Dutch man, or course. Perception on and participation in Youth, Church, and Culture. His fields of interest are youth minis-
society of orthopraxy young Muslim adults in the Netherlands. try, religious pedagogy, religious education, processes of faith
Submitted. learning, and religious formation in church communities.

572282
SGOXXX10.1177/2158244015572282SAGE OpenHou and Wilder
11
How Ready Is Higher Education Faculty
for Engaged Student Learning? Applying
Transtheoretical Model to Measure
Service-Learning Beliefs and Adoption
Su-I Hou1 and Shannon Wilder1
Abstract
This study examined service-learning (SL) beliefs and participation among faculty in different stages of involvement to develop
tailored resources and support. A representative sample of 1,200 faculty members at a major public university in Southeast
United States was recruited. The study used the transtheoretical model (TTM) as an innovative way to group SL involvement
into five stages: unaware (U), pre-contemplation (PC), contemplation (C), preparation (Prep), and action and maintenance
(A/M). Perceived benefits and barriers at different levels were assessed. The distribution among faculty who completed the
online survey (n = 450, 60% males) across stages was 20% (U), 31% (PC), 16% (C), 10% (Prep), and 23% (A/M). Analyses
showed significant differences on the 4 SL beliefs, F(3, 358) ranged from 7.05 to 78.31, all p< .001, across stages. This study
provides the first valuable empirical data to support the application of TTM to the SL arena and identified salient variables
influencing faculty involvement across stages.
Keywords
the transtheoretical model (TTM), service-learning, perceived benefits, perceived barriers, willingness to participate (WTP),
resource utilization likelihood (RUL)
Introduction and have focused primarily on the benefits for institutions as

a means of communicating the credibility and usefulness of
Studies have shown reciprocal community–campus partner- universities as important institutions in civic life (Burkardt,
ships to be an effective and innovative pedagogical approach Holland, Percy, & Zimpher, 2004; The Conference on
for engaging student learning, strengthening openness to Research Universities and Civic Engagement [TRUCEN],
diversity, as well as realizing civic responsibilities (Bringle, 2007; Kellogg Commission on the Future of State and Land-
Hatcher, & Games, 1997; Butin, 2006). Adoption of service- Grant Universities, 1999). Although this call for higher edu-
learning (SL) pedagogy in U.S. higher education has grown cation to return to its civic mission is critical for supporting
in recent decades as colleges and universities explore ways and advancing SL pedagogy, many questions remain about
to increase experiential learning opportunities for students to the role faculty play as catalysts for the ongoing cultural and
apply what they are learning to local and global issues. SL is pedagogical shift toward engagement. Bringle and Hatcher
a form of community and civic engagement. In SL courses, (1995) assert that the faculty role in institutionalizing SL
students engage in meaningful service activities and critical should not be underestimated because faculty are primarily
reflection on the service experience to enhance academic responsible for the direction and design of curriculum and
learning, deepen civic understanding, and provide some are therefore gatekeepers for the adoption and promotion of
mutual benefit to the community through their work (Bringle innovative pedagogies such as SL.
& Hatcher, 1996). Students often report greater satisfaction
with such courses and relationship with the instructor,
increased personal development and growth, social responsi- 1
The University of Georgia, Athens, GA, USA
bility, interpersonal and leadership skills, and application of
learning (Eyler & Giles, 1999; Eyler, Giles, Stenson, & Gray, Corresponding Author:
Su-I Hou, Associate Professor and OSL Service-Learning Senior Scholar,
2001). Such reciprocal academic–community interaction
Department of Health Promotion and Behavior, College of Public Health,
betters both the discipline and the communities. The University of Georgia, 251C Wright Hall, 100 Foster Road, Athens,
Many recent arguments for the importance of engagement GA 30602, USA.
in higher education have been directed at campus leadership Email: shou@uga.edu

How Ready Is Higher Education Faculty for Engaged Student Learning? Applying Transtheoretical Model... 107
There have been a few studies examining the level of SL provide higher education administrators and decision makers
awareness and involvement to assess the readiness among a better understanding of faculty involvement in SL for
faculty members. One recent study examining faculty developing tailored faculty support programs and reward
involvement in SL showed that about 52% of the faculty systems. To build on the existing SL literature, this study
indicated that they had no previous involvement. Abes, aims to (a) utilize a theoretical framework, the transtheoreti-
Jackson, and Jones (2002) sent more than 500 surveys to fac- cal model (TTM, described below), to define and examine
ulty at 29 Ohio Campus Compact institutions and found that, SL involvement status among faculty members at a major
of those who indicated no involvement, 27% stated that they public research institution, and (b) examine how faculty
had never heard of SL, 22% indicated awareness of SL but across different stages of SL involvement perceive the ben-
had not considered incorporating it into their teaching efits and barriers of this pedagogical approach. This study
approach, and 51% stated that they had heard of SL and had examined SL beliefs as well as participation levels among
thought about whether they would incorporate this peda- university faculty members in different stages of SL involve-
gogy. However, Hammond (1994) surveyed 250 faculty ment. This study aims to provide evidence-based data from
members at various 4-year public and private institutions in theory-based measurement scales to help explain, demon-
Michigan who were previously identified as having incorpo- strate, and identify salient beliefs and factors that hinder or
rated service into their academic courses. This study found facilitate faculty SL involvement at different stages to
that less than 10% of the respondents mentioned having uti- develop effective and tailored programs and opportunities
lized the SL pedagogy only once, whereas the majority for faculty at different SL involvement stages. These empiri-
(63%) of these faculty indicated that they have utilized SL in cal data can also help inform institution leaders on how bet-
their course four or more times. These studies suggest that ter to reform the institutional reward system, provide
increased awareness and involvement of SL are still needed, opportunities for professional development, and encourage
and data support that faculty who use this approach in one more faculty members to become involved.
course tend to have a commitment to utilizing this approach
in future courses they facilitate.
Applying the TTM to Faculty SL
Some most salient motivating factors for faculty adopting
SL identified from current literature include greater rele- Adoption
vance to the course material, enhanced teaching and learning To better assess where faculty are in their current stage of
experiences, enhanced purpose and meaning found in inter- incorporating SL into instruction, the authors developed the
action with and service to the community, and development key research question using a behavior change model called
of university–community partnerships (Abes et al., 2002; the TTM. The TTM of behavior change was developed by
Bulot & Johnson, 2006; Hammond, 1994; Holland, 1999; Prochaska and DiClemente in 1983. It was originally applied
Pribbenow, 2005). Existing studies also point to some com- to smoking cessation behavior, but has since been widely
mon challenges and barriers toward utilizing SL. These adapted to a variety of behaviors, including screening, physi-
include time constraints, co-ordination of the service compo- cal activities, healthy eating, HIV prevention, and so on (Hou
nents, challenges of community partnerships and in assess- & Chen, 2004; Hou,Fernandez, Baumler, & Parcel, 2002;
ment of student work, as well as lack of institutional Hou & Wisenbaker, 2005; Hutchison, Breckon, & Johnston,
recognition of these efforts (Abes et al., 2002; Driscoll, 2000; 2009; Riebe et al., 2005). The TTM argues that behavior
Hammond, 1994; Heckert, 2010; Holland, 1999; Hou, 2009). change does not occur overnight; it is a process instead of an
The recent national survey among faculty members, the all or nothing event. This is a model of intentional change,
“Faculty Survey of Student Engagement” (FSSE; 2011), has which focuses on the decision-making process an individual
also tried to examine faculty member’s expectations of stu- makes.
dent engagement and assessed aspects of educational prac- One of its main constructs is the “stages of change,”
tice including effective components of courses, teaching which includes pre-contemplation, contemplation, prepara-
styles, and service experiences (National Survey of Student tion, action, and maintenance (Prochaska, Redding, & Evers,
Engagement, 2012). 2002). In pre-contemplation stage, the individual has no
Although significant efforts have also been made examin- desire or intention to take action in the foreseeable future
ing general perceptions of benefits and barriers regarding SL (e.g., within 6 months). In contemplation, the individual
among faculty members, a closer examination of these per- intends to change behavior within the near future, yet may
ceptions across faculty in different stages of SL involvement still be ambivalent. At preparation stage, the individual is
will add new understanding of community–higher education ready to change behavior and has begun taking steps to do
engagement to inform effective and tailored programs to so. One recognizes that the advantages (pros, benefits) out-
encourage SL adoption. Further studies are needed to exam- weigh the disadvantages (cons, barriers) and feels ready to
ine what faculty members who have very different stances take action and may already have a plan of action. Individuals
toward SL think and how these perceptions differ across fac- at action stage have adopted specific action. Maintenance is
ulty involvement stages. These more in-depth analyses can the stage in which people become increasingly confident that

they can continue their change and strive to prevent relapse. This study invited a representative sample of 1,200 fac-
Some researchers have included additional stages to further ulty members from each college/school at one of the major
categorize the change process. For example, to distinguish public research universities in the Southeast United States to
those who are in pre-contemplation from those who are not participate in the Faculty Service-Learning Benchmark
even aware of the issue, the “unaware” stage is sometimes online survey. Faculty members who have instructional
included, especially when applying the model to a behavior responsibility or who had taught a course in the previous aca-
that is not commonly known (Costanza et al., 2005). A demic year were eligible to participate. An administrative
“relapse” stage has also been used to distinguish a person memo was first sent out to deans, directors, and chairs
who has tried out a behavior but returned to an earlier stage informing them of the upcoming survey followed by an invi-
versus someone in an earlier stage such as pre-contemplation tation email sent directly to individual faculty members.
or contemplation who has yet to take action toward the Participants had a 3½-week window to respond. The first
change (Segan, Borland, & Greenwood, 2006). email reminder was sent out a week after the invitation email,
The current study applied the “stages of change” con- and the second email reminder was sent out a week before
struct from TTM to define faculty SL involvement (see mea- the survey was due. Participants clicked through a consent
surement section below). This is the first time that TTM is page before taking the online survey to indicate their con-
being applied and examined in the SL arena to help better sent. The survey took about 12 to 15 min to complete. All
understand faculty SL involvement. Although one can argue phases of the research were conducted with the approval of
that adoption of a new pedagogy might be different than the Institutional Review Board for the Protection of Human
other health-related behaviors, the nature of the complexity Subjects at the principal investigator’s university.
of any intentional behavior change is the same; behavior
change is not an overnight event but an individual’s decision-
making process. In addition, earlier studies examining some
Measurement
of the similar concepts as those in the TTM, including SL The research instrument was an online survey that was devel-
awareness, intention, and repeat involvement, help provide oped via reviewing existing assessment tools on SL
further evidence of the potential applicability of TTM in SL (Community-Campus Partnerships for Health [CCPH],
arena (Abes et al., 2002; Hammond, 1994). The research 2001; Shinnamon, Gelmon, & Holland, 1999), adapting and
question in the current study is whether TTM might be modifying items relevant to perceptions related to benefits or
applied to faculty SL adoption. This can be demonstrated by barriers toward SL pedagogy, and developing new items
increased scores of perceived SL benefit and decreased including corresponding items to assess perceptions among
scores of perceived SL barriers as faculty progress to more faculty with or without prior SL experience. In addition to
engagement with SL. literature review, the research team also gathered inputs and
feedback from various stakeholder groups, and pilot tested
the study instrument before it was finalized and converted
Method into the online format. Detailed description and analyses of
the instrument development and validation are documented
Institutional Context and Study Participants
elsewhere (Hou, 2010). The current study compared four
This research institution established its Office of Service- SL-related beliefs across faculty in different stages of SL
Learning (OSL) in 2005 to promote and support the devel- involvement: perceived benefits at classroom (PROS_CLS)
opment of quality academic SL experiences through a range and community levels (PROS_COM), and perceived barriers
of faculty development programs and funding opportunities. at classroom (CONS_CLS) and institutional levels (CONS_
The OSL is jointly supported by its higher administration INST). The study also compared three participation variables
through the Offices of the Vice President for Instruction and across faculty SL stages: SL program participation (SL_
the Vice President for Public Service and Outreach. The Participate), willingness to participate (SL_WTP), and SL
OSL maintains a campuswide SL listserv, hosts regular resource utilization likelihood (SL_RUL). This article
face-to-face meetings of a SL interest group (SLIG), and describes the measurement of SL involvement stages, SL
administers a SL fellows program for faculty in all stages of beliefs at different levels, and the three participation
SL adoption and a senior scholar program for engaged SL variables.
faculty to take institution-wide initiatives to promote SL Stages of SL adoption/involvement. For the purpose of this sur-
curriculum development, community engagement, and vey, SL as adopted by the researchers’ institution is defined
research. This research institution has language in its pro- as “an experiential education method which integrates aca-
motion and tenure guideline supporting faculty SL activi- demic instruction, meaningful community service, and
ties. In addition, Carnegie Foundation has recently (2010) reflection to enhance the learning experience.” Faculty par-
recognized the study institution with the Community ticipants were asked the following question: “In describing
Engagement Classification for its institutional commitment your involvement in service-learning, which of the following
to community engagement. statements is most accurate?” Seven response categories

were developed based on the conceptualized stage of change learning experience, challenges in balancing class-
construct along with lessons learned from existing literature. room instruction, more requirements of instructor’s
These included the original five stages plus the unaware and time, and challenges in student assessment.
relapse stages: 4. CONS_INST (three items). Institutional barriers
measured included the lack of recognition of SL dur-
1. I don’t know what SL is (Unaware). ing promotion and tenure, as well as the lack of sup-
2. I am not currently thinking of incorporating SL into port from colleagues and administrative leaders.
the courses I teach (Pre-Contemplation).
3. I am interested in learning more about SL SL participation. The study also compared three participation
(Contemplation). variables across faculty SL stages: SL program participation
4. I am exploring how to integrate SL into my course (SL_Participate), willingness to participate (SL_WTP), and
(Preparation). the likelihood of SL resource utilization (SL_RUL).
5. I am currently developing or teaching a course with a
SL component for the first time (Action). 1. SL_Participate (three items). Faculty were asked to
6. I have already taught a SL course and plan to con- indicate whether they have ever participated in the
tinue (Maintenance). following three activities: subscribed to the SL list-
7. I have already taught a SL course but do not plan to serv, attended a meeting of the SLIG, and applied to
teach again (Relapse). be part of the SL fellows program. SL_Participate
variables were coded as “1” if faculty ever partici-
Perceived benefits and barriers. As emphasized in the TTM, pated in any of the above three existing SL programs
perceived advantages (pros, benefits) and disadvantages or listserv and coded as “0” if otherwise.
(cons, barriers) are important influencers on whether an indi- 2. SL_WTP (five items). Faculty were asked to rate
vidual chooses to adopt a change. Based on lessons learned their willingness to participate (WTP) in the follow-
from existing literature, we grouped common motivating and ing five activities in the future: subscribe to the list-
barrier factors into four areas that could be relevant for serv, attend a SLIG meeting, apply to the faculty
assessment among faculty across different stages of SL fellows program, attend a SL seminar, and visit the
involvement. Two perceived benefits were measured: per- OSL website.
ceived benefits at classroom (PROS_CLS, seven items) and 3. SL_RUL (eight items). Faculty were asked what
community (PROS_COM, six items) levels. Similarly, two resources they would likely utilize if offered: pre-
perceived barriers were assessed: perceived barriers at class- sentations on SL, workshops, individual consulta-
room (CONS_CLS, four items) and institutional (CONS_ tions, a library of resources, a frequently updated
INST, three items) levels (Hou, 2010). The current study website inventory, a colloquium with local commu-
compared these four SL-related beliefs across faculty in dif- nity agencies, online resources for course develop-
ferent stages of SL adoption. ment, or video case studies, podcasts, and other
multimedia presentations. Both WTP and resource
1. PROS_CLS (seven items). Items measuring faculty- utilization likelihood (RUL) were measured by a
perceived benefits at the classroom level included 5-point Likert-type scale, with “1” indicating not
enriching classroom discussions, relationship build- willing or very unlikely and “5” as most willing or
ing with students, clarifying areas for scholarship, very likely.
having an important component of a professional
portfolio, understanding own professional strengths
Data Analysis
and weaknesses, changes in teaching style, and
enjoying teaching more. Demographic background of the study sample was described.
2. PROS_COM (six items). Faculty-perceived benefits Means and standard deviations of perceived benefits and bar-
at the community level included items measuring ser- riers, WTP, and RUL among faculty at different stage of SL
vice that is beneficial to the community, the value of involvement were compared using ANOVA test. Faculty
working with community partners, learning new who indicated they were not aware of what SL is were
things about communities, the active role that the excluded from the perceived benefits and barriers analyses as
community plays in planning SL activities, enhanced these SL statements would not be relevant to them. They
communication skills, and making a difference in the were, however, included in the analyses of the three partici-
community. pation variables. Since participants in action, maintenance,
3. CONS_CLS (four items). Key barriers assessed and relapse stages all have already had some experience
included time constraints in co-ordination of the SL teaching a SL course, the current analyses grouped them
experience: the sense of giving up control of the together as one A-M-R group.

Table 1. Demographic and Background Information Among (Unaware), 31.6% (n = 142) were not currently thinking of
Study Participants. incorporating SL into teaching (Pre-Contemplation), 15.8%
Overall (n = 71) were interested in learning more (Contemplation),
Study institution about 10.5% (n = 47) were already exploring how to incorpo-
participantsa facultyb rate SL (Preparation), and 22.7% (n = 102) were either cur-
rently teaching or have taught a SL course (Action/Maintena
n % n % nce/Relapse).
Overall 449 100.0 1,201 100.0
By gender
Faculty-Perceived Benefits and Barriers Across
Men 273 60.8 775 64.5
Women 176 39.2 426 35.5 Stages
By age (years) Analyses showed significant differences for the four
<40 105 33.4 NAc NAc SL-related beliefs across faculty SL stages, F(3, 358) ranged
40-50 143 31.8 among 7.05 to 78.31, all p< .001. Data showed nearly linear
50-60 150 23.4 trends of increasing perceived benefits of SL from pre-con-
>60 51 11.4
templation (PC) to contemplation (C) to preparation (Prep)
By tenure status
stages. The strengths of these positive perceived benefits
Tenured/tenure track 356 79.3 905 75.4
were similar between faculty in action/maintenance/relapse
Non-tenure track 93 20.7 296 24.6
(A-M-R) stages and Prep stages. Results also showed nearly
By rank
Assistant 105 33.4 245 20.4
a perfect linear trend of decreasing CONS_CLS from A-M-R
Associate 143 31.8 349 29.1 stage to PC stage. The CONS_INST, however, remained
Full 150 23.4 458 38.1 high regardless of stages, except that faculty in preparation
Other 51 11.4 149 12.4 stage perceived the lowest CONS_INST level. Table 2
By college describes perceived benefits and barriers among faculty at
Art/science 153 34.1 435 36.2 different stages of SL involvement. Figure 1 provides visual
Agriculture/environment 54 12.0 152 12.7 graphs of the relationships on faculty perception across SL
(forest/eco) stages.
Pharmacy/vet 60 13.3 136 11.3
Education 71 15.8 199 16.6
Law/business 30 6.7 107 8.9
WTP and RUL Across Stages
Social science 81 18.4 172 14.3 Analyses showed significant differences on the three SL par-
a ticipation variables across faculty stages, F(4, 444) ranged
Faculty members who have instructional responsibility or who had taught
a course in the previous academic year are eligible to participate in the from 37.59 to 75.61, all p< .001. Data also showed positive
study. dose–response relationships of the three SL participation
b
Data reflect the 2008 demographic profile of faculty with instructional variables with each advancement of a SL stage. Table 3
responsibility.
c
Data not comparable with the institutional age group categories due to
details data on WTP and RUL among faculty at different
different cutting criteria. stages of SL involvement. Figure 2 provides visual graphs on
the relationships of WTP and RUL across SL stages.
Results
Discussion
Demographics and SL Stages
Data showed that perceived benefits were higher among faculty
A total of 450 faculty participated in the study, a response in the later stages of SL adoption compared with those in the
rate of 37.4%. About 11.8% were aged more than 60 years, earlier stages and represented nearly a linear relationship. The
more than a third of the participants (36.7%) were in their perceived benefits of SL were, however, similar among faculty
50s, about a quarter (26.1%) were in their 40s, and another of A-M-R stage and preparation stage. This indicated that per-
quarter (25.4%) of the participants were in their 30s or ceived benefits might reach their maximum effect if individuals
younger. About 60% were males and 80% were tenured or advanced to preparation stage. However, the perceived cons of
tenure-track faculty. The proportions of faculty from each SL showed linear negative relationship across different stages.
college/school participating in the survey are representative Data indicated that as faculty advanced to the A-M-R stages,
of the overall institutional sample. These distributions were their perceived barriers continually decreased, although their
representative of faculty with instructional responsibilities at perceived benefits of SL plateau were at preparation stage. The
the study institution (see Table 1). Data showed that 19.4% perceived barriers at the institutional level, however, showed no
(n = 87) of the participants were unaware of what SL is clear trend. Data indicated that institutional barriers were

Table 2. Perceived Benefits and Barriers Among Faculty at Different Stage of SL Involvement.
PROS_CLS** PROS_COM** CONS_CLS** CONS_INST**
TTM stages n M (SD) M (SD) M (SD) M (SD)

Pre-contemplation 142 19.30 (4.73) 20.26 (4.41) 13.82 (2.85) 10.19 (2.29)
Contemplation 71 24.76 (3.94) 23.44 (3.29) 13.39 (2.64) 10.73 (2.43)
Preparation 47 27.28 (3.60) 25.06 (2.89) 12.09 (2.74) 8.81 (2.54)
A-M-R 102 27.19 (4.75) 25.19 (3.12) 11.01 (2.98) 10.53 (2.48)
Total 362 23.63 (5.72) 22.90 (4.28) 12.72 (3.07) 10.21 (2.46)
ANOVA F(3, 358) = 78.31, p< .001 F(3, 358) = 43.26, p< .001 F(3, 358) = 21.65, p< .001 F(3, 358) = 7.05, p< .001
Note. Faculty who do know what service-learning is (Unaware, n = 87) were not asked about these perceptions toward service-learning.
SL = service-learning; TTM = transtheoretical model; A-M-R = action/maintenance/relapse.
**p< .001.
Figure 1. Faculty-perceived benefits and barriers across stage of adoption.

Note. U = unaware; PC = pre-contemplation; C = contemplation; Prep = preparation; AMR = action/maintenance/relapse.
perceived to be high among faculty in pre-contemplation, in SL activities (SL_WTP) and utilizing SL-related resources
contemplation, as well as A-M-R stages. Institutional barri- (SL_RUL) increased with advancement of SL involvement
ers were, however, perceived lower among faculty in prepa- and reached peak among faculty at preparation stage and
ration stage. In addition, it is interesting to note that the WTP then decreased a little bit in A-M-R stage. This may not be

Table 3. WTP and RUL Among Faculty at Different Stage of SL Involvement.
SL_Participate (ever)** SL_WTP** SL_RUL**
TTM stages N M (SD) N M (SD) M (SD)

Unaware — — 87 10.84 (4.71) 21.62 (7.82)
Pre-contemplation 142 0.03 (0.17) 142 9.62 (4.41) 21.02 (8.12)
Contemplation 71 0.13 (0.34) 71 16.54 (4.06) 29.80 (4.35)
Preparation 47 0.23 (0.43) 47 18.96 (3.68) 32.17 (4.51)
A-M-R 102 0.51 (0.50) 102 17.64 (.58) 28.77 (7.40)
Total 362 0.21 (0.41) 449 13.75 (6.00) 25.45 (8.32)
ANOVA F(3, 358) = 37.59, p< .001 F(4, 444) = 75.61, p< .001 F(4, 444) = 42.99, p< .001
Note. SL_Participate were coded as 1 = ever and 0 = never. WTP and RUL were scale items rated with 5-point Likert-type scale.
WTP = willingness to participate; RUL = resource utilization likelihood; SL = service-learning; TTM = transtheoretical model; A-M-R = action/
maintenance/relapse.
**p< .001.
Figure 2. Participation, WTP, and RUL of service-learning activities across faculty in different stage of SL adoption.
Note. WTP = willingness to participate; RUL = resource utilization likelihood; SL = service-learning; U = unaware; PC = pre-contemplation; C =
contemplation; Prep = preparation; AMR = action/maintenance/relapse.
surprising as one could argue that the A-M-R group who was closer look at what salient factors or specific beliefs play a
already incorporating the SL approach might not view key role among faculty in a specific stage of SL involvement
SL-related resources or programs as necessary for them. The and then make recommendations to institutional leaders
current findings provide empirical data demonstrating the whether to adapt support or reward systems to reinforce posi-
utility of applying TTM to faculty SL adoption. Data showed tive beliefs or address specific concerns or barriers that
that faculty in the advanced stages of SL involvement had would deepen faculty SL involvement or adoption.
higher perceived benefit and lower perceived barriers, and Furthermore, the TTM provides 10 processes of change
faculty in the earlier SL stages had lower perceived benefit strategies to help an individual move along the stage of adop-
and higher perceived barriers. tion process. The TTM also provides guidance on what pro-
To better develop resources and support to encourage fac- cesses of change are more effective among individuals in
ulty participation in SL pedagogy, it is essential to under- particular stages of the change process (Prochaska et al.,
stand benefits and barriers faculty members perceive across 2002). The study has implication for developing tailored
different SL involvement statuses to identify the key beliefs resources for faculty support and for reforming institutional
that could be used to encourage, motivate, and sustain fac- reward system to encourage faculty in various stages of SL
ulty involvement in SL. The empirical data obtained from the involvement.
current study help identify salient beliefs and factors that This study is among the first large-scale campuswide online
hinder or facilitate faculty SL involvement at different stages. surveys conducted at a public research institution and the first
The specific items developed under each measurement scale using TTM to define faculty SL involvement status and ana-
(PROS_CLS, PROS_COM, CONS_CLS, CONS_INST, lyze faculty SL perceptions across stages of change. The evi-
SL_Participate, SL_WTP, and SL_RUL) serve as the key dence of quantitative data showing the relationships of the
indicators for guiding faculty support programs and inter- perceived benefits and barriers across faculty in different SL
vention development. SL advocates and scholars can take a stages is indeed valuable to demonstrate the applicability of

TTM to the SL arena. Results interpretation is limited to fac- Funding

ulty at research institutions of similar environment or con- The author(s) disclosed receipt of the following financial support
text. Future research could apply these measurements to for the research and/or authorship of this article: This study was
colleges and universities of different types and levels. supported by the Office of Service-Learning (OSL) at University of
Replication of the study and comparison of results across Georgia (UGA).
institutions of same or different types (i.e., community col-
leges, teaching-intensive) is encouraged as such replication References
studies could provide additional insights and understanding of Abes, E. S., Jackson, G., & Jones, S. R. (2002). Factors that motivate
faculty SL involvement. Data from the current study were and deter faculty use of service-learning. Michigan Journal of
measured and validated via an online survey, which holds Community Service Learning, 9, 5-17.
promise for easy adoption and expansion for SL-related Bringle, R. G., & Hatcher, J. A. (1995). A service-learning cur-
research in the future. The current study is the first to develop riculum for faculty. Michigan Journal of Community Service
and validate a theory-based research instrument of this kind on Learning, 2, 112-122.
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vations, and barriers, and to facilitate developing tailored and supporting faculty in service learning. Journal of Public
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In summary, current findings were consistent with the Bulot, J. J., & Johnson, C. J. (2006). Rewards and costs of faculty
TTM regarding the relationship of perceived benefits and involvement in intergenerational service-learning. Educational
barriers with stages of SL adoption. This study showed Gerontology, 32, 633-645.
increased perceived benefits and decreased perceived barri- Burkardt, M. J., Holland, B., Percy, S. L., & Zimpher, N. (2004).
ers as faculty move forward in their SL involvement. In addi- Calling the questions: Is higher education ready to commit to
tion, SL participation, WTP, and RUL showed positive community engagement? Wingspread Statement. Milwaukee:
relationships across SL stages. This study utilizes an innova- University of Wisconsin–Milwaukee.
tive approach to assess faculty SL involvement. It also pro- Butin, D. W. (2006). Special issue: Introduction. Future directions
for service learning in higher education. International Journal
vides the first valuable empirical data to support the
of Teaching and Learning in Higher Education, 18, 1-4.
application of the TTM to the SL arena, and pave an impor- Community-Campus Partnerships for Health. (2001). Self-
tant foundation for future intervention and evaluation studies assessment tool for service-learning sustainability. Retrieved
focusing on faculty SL support programs. Future faculty from http://talloiresnetwork.tufts.edu/wp-content/uploads/service
development programs could utilize the study measurement learningsustainabilitytool.pdf.
tools to identify SL benefits and barriers relevant to faculty at The Conference on Research Universities and Civic Engagement.
different stage of SL involvement, and develop tailored pro- (2007). New Times Demand New Scholarship II—Research
gram or interventions for faculty members interested in Universities and Civic Engagement: Opportunities and
deepening their involvement and utilization of SL in their Challenges (A conference report co-convened by National
instruction. Campus Compact & California Campus Compact). Retrieved
from http://www.compact.org/initiatives/research_universities/
Civic_Engagement.pdf
Acknowledgments
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The principal investigator is grateful to all faculty participants for White, M. J., Stark, J. R., . . . Rosal, M. (2005). Applying a
their time and support of this institutional-wide benchmark study. stage model of behavior change to colon cancer screening.
Special thanks to Dr. Denise Gardner for participant sampling, Preventive Medicine, 41(3-4), 707-719.
research assistants Erin Adams for literature and assessment tool Driscoll, A. (2000, Fall). Studying faculty and service-learning
review, and Joel Scott for technology support. In addition, sincere directions for inquiry and development. Michigan Journal of
thanks go to the offices of the Vice President for Instruction and the Community Service Learning, pp. 35-41.
Vice President for Public Service and Outreach for the endorsement Eyler, J., & Giles, D. E. (1999). Where’s the learning in service-
and support on this project. learning? San Francisco, CA: Jossey-Bass.
Eyler, J., Giles, D. E., Stenson, C. M., & Gray, C. J. (2001). At a
Authors’ Note glance: What we know about the effects of service-learning on
college students, faculty, institutions, and communities, 1993–
This research was conducted with the approval of the Institution
2000 (3rd ed.). Nashville, TN: Vanderbilt University.
Review Board for the Protection of Human Subjects at The
Faculty Survey of Student Engagement. (2011). Center for
University of Georgia.
Postsecondary Research, Indiana University Bloomington.
Retrieved from http://fsse.iub.edu/pdf/FSSE_IR_2011/
Declaration of Conflicting Interests FSSE%20Overview.pdf
The author(s) declared no potential conflicts of interest with respect Hammond, C. (1994). Integrating service and academic study:
to the research, authorship, and/or publication of this article. Faculty motivation and satisfaction in Michigan higher

education. Michigan Journal of Community Service Learning, stage of change among ex-smokers who quit after calling a
1(1), 21-28. quitline? Addictive Behaviors, 31, 414-428.
Heckert, T. (2010). Alternative service learning approaches: Two Shinnamon, A., Gelmon, S., & Holland, B. (1999). HPSISN Faculty
techniques that accommodate faculty schedules. Teaching of Service-Learning-Program Directors/Faculty Survey: Methods
Psychology, 37, 32-35. and strategies for assessing service-learning in health profes-
Holland, B. (1999). Factors and strategies that influence faculty sions. San Francisco, CA: Community-Campus Partnerships
involvement in public service. Journal of Public Service & for Health.
Outreach, 4, 37-43.
Hou, S. (2009). Service-learning + New MPH students = Challenges Author Biographies
for the professor.International Journal of Teaching and
Su-I Hou is an associate professor of Department of Health
Learning in Higher Education, 20, 292-297.
Promotion and Behavior at the College of Public Health. She served
Hou, S. (2010). Developing a faculty inventory measuring per-
as an associate editor for the Journal of Community Engagement
ceived service-learning benefits and barriers. Michigan Journal
and Higher Education. She is also an associate editor for the Health
of Community Service Learning, 16(2), 78-89.
Promotion Practice, Society of Public Health Education’s official
Hou, S., & Chen, P. (2004). Home-administered fecal occult blood
journal devoted to the practical application of health promotion and
test for colorectal cancer screening among worksites in Taiwan.
education. She is a recognized scholar of service-learning (SL) by
Preventive Medicine, 38, 78-84.
the Community-Campus Partnerships for Health (CCPH) and is an
Hou, S., Fernandez, M., Baumler, E., & Parcel, G. (2002).
inaugural SL senior scholar for University of Georgia’s (UGA)
Effectiveness of an intervention to increase Pap test screen-
Office of Service-Learning. Most of her research involves working
ing among Chinese women in Taiwan. Journal of Community
with community partners in developing and validating the study
Health, 27, 277-290.
instrument, assessing psycho-social factors that influence health
Hou, S., & Wisenbaker, J. (2005). Using a web survey to assess
behaviors, developing and implementing theory-based health pro-
correlates of intention towards HIV testing among never-been-
grams, and evaluating the effectiveness of program interventions.
tested but sexually experienced college students. AIDS Care,
She has extensive experience integrating SL components into her
17, 329-334.
teaching of core or required MPH and DrPH courses. She repeat-
Hutchison, A. J., Breckon, J. D., & Johnston, L. H. (2009). Physical
edly receives grants to work with the communities in Georgia and
activity behavior change interventions based on the transtheo-
successfully developed a SL model to build and sustain engaged
retical model: A systematic review. Health Education and
community–campus partnerships while providing valuable real-
Behavior, 36, 829-845. doi:10.1177/1090198108318491
world experiential learning opportunities for her graduate students.
Kellogg Commission on the Future of State and Land-Grant
She also is the recipient of the 2011 Inaugural Service-Learning
Universities. (1999). Returning to our roots: The engaged
Research Excellence Award from the Office of Service-Learning at
institution. Battle Creek, MI: W.K. Kellogg Foundation.
the UGA.
National Survey of Student Engagement. (2012). Promoting student
learning and institutional improvement: Lessons from NSSE at Shannon Wilder is the founding director of the Office of
13. Bloomington: Indiana University Center for Postsecondary Service-Learning (OSL) at the UGA. As director of the OSL, she
Research. Retrieved from http://nsse.iub.edu/NSSE_2012_ oversees the expansion of academic service-learning (SL) oppor-
Results/pdf/NSSE_2012_Annual_Results.pdf tunities through a range of faculty development and instructional
O’Meara, K., & Jaeger, A. (2006). Preparing future faculty for com- programs, services, and funding opportunities. She promotes the
munity engagement: History, barriers, facilitators, models and development of academic SL courses in both residential and
recommendations. Journal of Higher Education Outreach and study abroad programs, as well as SL course tracking and assess-
Engagement, 11(4), 3-26. ment projects. She developed UGA’s Service-Learning Faculty
Pribbenow, D. A. (2005). The impact of service-learning peda- Fellows program as well as the Senior Scholars Leadership pro-
gogy on faculty teaching and learning. Michigan Journal of gram. Both programs provide opportunities for faculty to develop
Community Service Learning, 11(2), 25-38. projects related to SL and become institutional leaders for pro-
Prochaska, J. O., Redding, C. A., & Evers, K. E. (2002). The moting engaged teaching, learning, and scholarship. She is an
transtheoretical model and stages of change. In K. Glanz, F. adjunct faculty member in the University’s Lamar Dodd School
M. Lewis, & B. Rimer (Eds.), Health behavior and health of Art and serves on the executive committee of the Gulf-South
education: Theory, research, and practice (pp. 99-120). San Summit on Service-Learning and Civic Engagement Through
Francisco, CA: Jossey-Bass. Higher Education and served as the 2010 conference chair. In
Riebe, D., Blissmer, B., Greene, G., Caldwell, M., Ruggiero, L., 2008, she was selected as an inaugural member of the Georgia
Stillwell, K. M., & Nigg, C. R. (2005). Long-term maintenance Education Policy Fellows Program through the Georgia
of exercise and healthy eating behaviors in overweight adults. Partnership for Excellence in Education. She holds a PhD in art
Preventive Medicine, 40, 769-778. education (2006) and a MEd in instructional technology (2001)
Segan, C. J., Borland, R., & Greenwood, K. M. (2006). Can trans- from the UGA and earned a BFA in studio art from Baylor
theoretical model measures predict relapse from the action University (1995).

608423
SGOXXX
12
Learning, Leading, and Letting Go of
Control: Learner-Led Approaches in
Education
Ann-Merete Iversen1,2, Anni Stavnskær Pedersen1,

Lone Krogh2, and Annie Aarup Jensen2
Abstract
The article introduces a new term in higher education: learner-led approaches in education (LED). This does not represent
a single approach or dogma to replace existing dogmas, but a way of approaching learning and education that mirrors the
complexity of society as it develops. LED is based on the assumption that all students have their own unique approach to
learning and therefore have the potential to design learning processes that are meaningful for them. This removes focus
from the teacher and the teaching to the learner and the learning. It builds on the student’s motivation and experienced
meaningfulness as a driving force, and hence the term learner led. The methods applied in LED change over time, as different
learners and teachers together co-create and design methods and approaches appropriate at that particular time, in that
particular context and for that particular student or group of students.
Keywords
education, education theory and practice, educational research, higher education, modernity and postmodernity
Introduction innovation pedagogical profile at University College of

Northern Denmark (Haslam, 2012), classic teacher-centered
The role of education is among other things to prepare stu- methods, and a variety of methods aiming at developing cre-
dents for an unknown future. This means that learning goals ativity, innovational skills, and entrepreneurship. The devel-
for education must also aim to make students capable of opment of LED was inspired by collaboration and exchanges
searching for knowledge, of selecting, analyzing, and evalu- between professors from Aalborg University, Cornwall
ating findings against criteria and standards; of questioning College, and University College of Northern Denmark. In
their findings; and of becoming knowledge producers. This developing the theoretical framework of this approach, we
requires independent and critical reflection. As (global) citi- have taken as our point of departure the principles of self-
zens, they may find themselves in unknown contexts having directed learning and the PBL methodology and the theories
to act according to changing conditions, which may be pro- used at the innovation pedagogical profile. We have also
fessionally and emotionally challenging. Consequently, edu- been inspired by theories from the fields of organization,
cation must cater for the “whole” person and ensure that innovation, and design (Liedtka & Mintzberg, 2006; Stacey,
students develop knowledge, skills, and competences in the 2007).
cognitive, behavioral, and emotional domains to become Data material has been gathered from an evaluation of a
strong individuals. However, often, education primarily bachelor program in social education at University College
focuses on the cognitive domain. Research within sociology of North Denmark designed in accordance to the basic prin-
and pedagogy shows that this is not enough (Bowden & ciples of LED. The evaluation was carried out by the Danish
Marton, 2006; Giddens, 2000).
The aim of the article is to introduce a new concept within
teaching in higher education—learner-led approaches in 1
University College of Northern Denmark, Aalborg, Denmark
education (LED)—which may facilitate students’ develop- 2
Aalborg University, Denmark
ment into becoming knowledge producers. The sources of
inspiration and the experiences we draw on are, in particular, Ann-Merete Iversen, University College of Northern Denmark, Hobrovej
problem-based project work (PBL) at Aalborg University 85, 9000 Aalborg, Denmark.
(Krogh, 2013), 8 years of didactical experiments with the Email: ani@ucn.dk

knowledge center for evaluation in practice (Cepra) in May PBL is a specific approach to learning closely connected
2012 (Haslam, 2012). The data collection consists of the fol- to the ideas of student-directed teaching and learning
lowing data: (Barrows, 1986). PBL may occur more or less directed by
teachers and as such related both to teaching activities in
•• Teaching plans classes and to independent (project) work in teams. As a
•• Questionnaires to all students (January, 2011) teaching activity, it is often seen as case-based, where the
•• Interviews with three teachers (October, 2011) teacher has chosen a number of cases for the students to work
•• Questionnaire to all graduates a year after completion on (Krogh et al., 2013; Laursen, 2013), and it thus shares
of their studies (November, 2011) some of the traits of student-directed learning. It is important
•• Questionnaire to the first cohort of students to mention that students studying within this approach have
(December, 2011) to ask questions—they must search for knowledge and share
•• Interviews with graduate students (March, 2012) findings with peers and teachers to create solutions. As a
•• Individual student portfolios from praxis example learning activity taking place parallel to courses, problem-
given later in the article based project work in teams over a period of time is self-
directed. In the radical form, practiced at the Danish Aalborg
Surveys and questionnaires were responded to by approxi- University, students find and define the problems them-
mately 80% of the students asked. selves, research the problems in question, search for litera-
ture and theory, make experiments and surveys, and critically
reflect on the character of the problem and possible solu-
Conceptualization tions. In this method, the ill-defined problem is the means of
As we define and use the concept of learner-led approaches, students’ learning (Illeris, 1974; as opposed to the pre-
it is situated in the field of constructivist learning theory defined problems of case-based learning), and students are
(Piaget, 1954; Vygotsky, 1978) and draws on active learning expected to be able to “argue for, select, apply and assess
strategies. Key concepts in the field are constructivism, stu- specific theories and methods with regard to their appropri-
dent activity, student-directed teaching and learning, and ateness for dealing with the specific problem they have cho-
enquiry- or problem-based learning. sen for their area of inquiry” (Laursen, 2013, p. 30). The
Student (or self)-directed collaborative teaching and student groups are self-managed and supported in their work
learning is characterized by a teaching approach that aims to by a supervisor/facilitator. The group’s work is documented
give students control, ownership, and accountability over in a written project report, which is submitted for examina-
their own education while the teacher acts as facilitator and tion (Kjærsdam & Enemark, 1994; Krogh & Jensen, 2013).
resource person. It has been developed to counter institution- In our understanding, learner-led approaches combines
alized traditional teaching and is based on theories about traits from the student-directed teaching and learning
how to support students in achieving better and more effec- approach and self-directed problem-based project work and
tive learning within a certain learning context (Ramsden, heavily relies on the students’ active and responsible partici-
2003). In practice, however, it will also be used to solve pation. As in the PBL approach, students have ownership of
problems related to finance and lack of teaching staff the process, but while in the PBL approach, course content
(Wilson, 2001). The most essential learning-related aspect is and format supporting the project work are generally decided
that the student has a very active role. It may take various upon by the teachers, in learner-led approaches, the students
forms such as peer learning practices integrated into a course themselves decide on the content and format and take respon-
design, as for instance, study groups presenting a workshop sibility for some of the teaching activities and lectures in col-
for their class (Sampson & Cohen, 2001). Groups or teams laboration with teachers. Self-directed project work may be
may work on projects based on briefs provided by the teacher seen as an integrated part of the learner-led approaches,
(Wilson, 2001), or choose a project from a range offered by where students themselves decide on the topic of their work
the study program (Lederer & Raban, 2001). In such cases, and the research approach. Both PBL and the learner-led
teams work in a self-managed process with possibility of approaches are carried out within a curricular framework
teacher intervention, if needed. Another example of student- with which they must comply.
directed learning is casework where the students select the A question to be asked, then, is, “How does the concept of
course objectives and design the syllabus around a textbook LED differ from similar concepts such as self-directed learn-
chosen by the teacher, then choose from a list of assignments ing and student-centered learning?” Malcolm Knowles (1975)
provided by the teacher (Gibson, 2011). In general, these describes self-directed learning as “a process in which indi-
approaches allow students to make their own choices in viduals take the initiative without the help of others in diag-
some of the educational aspects within the curricular frame- nosing their learning needs, formulating goals, identifying
work to make education much more meaningful, relevant, human and material resources, and evaluating learning out-
and effective for them (Boud, Cohen, & Sampson, 2001; comes” (p. 18). Student-centered learning can be defined as
Dewey, 1933; Knowles, 1975; Ramsden, 2003). the following: “Student-centered learning is a broad teaching

Learning, Leading, and Letting Go of Control: Learner-Led Approaches in Education 117
approach that encompasses replacing lectures with active they “opt in” instead of “out,” that they encourage studying
learning, integrating self-paced learning programs and/or and learning in an independent way, that is, with less control,
cooperative group situations, ultimately holding the student and finally that are adjusted to the conditions of HE today
responsible for his own advances in education” (Nanney, and the unknown demands of tomorrow.
2004, p. 1). Learner-led approaches, however, replace the
term student with the term learner. This signals a shift in Educational Systems Moving From
focus from formal positions within an educational system
(students and teachers) and to the processes that take place in Modes 1.0 to 3.0
the shared space of learning. It appears to the authors that educational systems in many
In both student-directed and student-centered learning, ways are out of date. Besselink (2014) states,
students are responsible and active to a higher degree than in
traditional teacher-centered teaching. In self-directed learn- I see education struggling with its place in society. I often
ing, the individual student takes the initiative without the encounter a search for meaning and direction when I help
help of others, and in student-centered learning, the students schools or universities in their transition . . . An “education” and
are responsible for their own advance. In LED, the tradi- its forms and procedures are simply taken for granted. Modern
tional teacher role is replaced not by the individual student education’s objective of emancipation and industrialization have
been accomplished, and innovation in education occurs only
but by the collective through a co-creation between students
under strict and conservative inspection. (p. 95)
and teachers where didactics are designed and methods
developed within the curriculum. This process is by its very
Based on our experiences from HE, we recognize the struggle
nature context-sensitive and thus sustainable in a long-term
between a fixed perception of the concept of education and a
perspective. The methods applied in LED change over time,
need for taking the next step. It seems that the overall question
as different learners and teachers together co-create and
that needs to be asked is, “How do we go about developing
design methods and approaches appropriate at that particular
educational practices that match societal, cultural, and techno-
time, in that particular context and for that particular student
logical change?” You could say that educational systems in
or group of students.
some ways still operate in the so-called Mode 1.0 or perhaps
2.0, while cultures and societies around them are operating in
Post-Modern Students Mode 3.0 (Moravec, 2008). The amount of accessible knowl-
edge is increasing rapidly and so are the platforms of learning
International and Danish research shows that Danish stu-
and consequently the possibilities for constructing knowledge.
dents can be characterized as post- or late-modern students
Moravec introduces the term knowmads to describe the 21st
(Giddens, 1991; Thomsen, 2007; Ziehe, 1989). From an
century knowledge worker. Knowmads are
early age, they feel a deep sense of individualism and self-
responsibility. In secondary school, many students give evi- valued for the personal knowledge that they possess, and this
dence of a strong feeling of responsibility for making the knowledge gives them a competitive advantage. Knowmads are
right choices in life to secure their happiness and success in responsible for designing their own futures. This represents a
all areas, personally as well as professionally (Hutters, 2013; massive shift from agricultural, industrial, and information-
Illeris, Katzenelson, Nielsen, Simonsen, & Sørensen, 2009). based work in which our relationships and responsibilities were
Although Ziehe’s analyses of youth culture date back some clearly defined by others. (Moravec, 2014, p. 19)
years, we still find them relevant, as they provide us with
insight into the complexity of factors influencing students’ The individual may create his or her own unique pool of
lives. Ziehe points to three important aspects: unlimited knowledge, and the formal educational system is merely one
access to and flow of information, which gives students the among a broad variety of legitimate learning contexts. The
feeling that any given subject is already well known, learn- learner is “in the control room,” and this requires skills that
ers’ reluctance to venture into an activity unless the outcome learners have not necessarily acquired in formal educational
is known beforehand, and the claim or expectation that any contexts. However, in the world of social media and other
given task, activity, or text should relate directly to the indi- virtual communication and information platforms, a majority
vidual learner, in other words, What is in it for me? of young people in technologically developed countries have
In Higher Education (HE), we therefore have to deal with the ability to gather and produce the information needed to
two potentially opposing factors: (a) students’ motivation, have what we could call “a virtual life.” They are highly
which will greatly influence their choices and opt-outs, and motivated toward keeping in touch and staying visible on
consequently their allocation of time and effort in education social platforms such as Facebook, Twitter, and Instagram,
and (b) formal requirements, educational goals, which have motivated to an extent that many teachers envy. What is the
to be fulfilled. We therefore frame the overall problem of this attraction? What fosters the motivation, and could we tap
article as how to create meaningful learning scenarios that into these highly motivating platforms and processes in some
are so engaging, inspiring, and motivating for students, that relevant ways?

Student motivation in this case is influenced by criteria the assumption that the learner in fact can lead his or her own
that might have little or nothing to do with formal require- learning processes. Given very different backgrounds and
ments, because they might not necessarily be perceived as experiences, some will find it easy and natural, while others
meaningful. This leaves educational institutions in a some- will find it challenging, difficult, or even impossible. A per-
what awkward situation. They can either accept students’ son’s perception of ability or lack of ability, when confronted
choices and opt-outs with the risk of increasing frustration with a difficult task—their self-efficacy (Bandura, 2012)—
among teachers or, as we suggest, start investigating what has a determining influence on the ability to solve the task. A
seems to be meaningful from the students’ perspective. In his student with little or no self-efficacy in being self-directive
book Freedom to Learn for the 80’s, Rogers (1983) defines will need support from the teacher/facilitator or peer stu-
meaningful learning as having a “quality of personal involve- dents. The teacher is responsible for creating the overall
ment—the whole person in both feeling and cognitive aspects framework and thus facilitating learning processes according
being in the learning event” (p. 20). And more importantly, to progress and development of the student through dialogue,
meaningful learning is initiated by the learner and changes portfolio, or other means of evaluation and self-evaluation.
behavior, attitudes, and maybe even personality of the Kirketerp (2010, 2012) has developed a method called
learner. Evaluation is carried out by the learner according to “SKUB” (English: PUSH), where teachers gently push stu-
the experienced meaningfulness of the learning process— dents into action by helping to set up relevant tasks to be
does it provide the learner with what she or he needs and solved, as part of the formal curriculum. This has proven
wants to know? both to improve self-efficacy and to stimulate students
So, HE is facing the challenge of bridging the gap between toward acting with knowledge.
formal requirements and experienced meaningfulness by stu-
dents. We advocate learner-led approaches (LED) as a way
of approaching education that mirrors the rapid development Taking Design Approaches Into the
of society (Lundvall, Rasmussen, & Lorenz, 2008). World of Teaching
Therefore, a key point of this approach is for students to
develop the expertise to design learning processes that are In developing the didactic of LED, we were, as mentioned in
optimal and meaningful for them. We thereby shift focus the beginning, inspired by different approaches and knowl-
from the teacher and the teaching to the learner and the learn- edge fields. Work by Liedtka and Mintzberg (2006) on archi-
ing processes, hence the term learner led. The methods tects’ open user-driven design processes inspired us to focus
applied in LED will change over time, being both culture- on an open user-led design process for teaching, using com-
and context-sensitive. munication as a path to user involvement. Liedtka and
Mintzberg understand learning as something complex and
non-linear that emerges in communication. They describe
Basic Principles of LED four different approaches to design processes. Below, we
In a situation where students are becoming knowmads and translate them into an educational context, describing four
given what we have said about student learning, LED places different didactic approaches to teaching: a formulaic
part of the initiative of finding, processing, and creating approach, a visionary approach, a conversational approach,
knowledge with the learner. The radical change in LED is and an evolving approach.
that the research and knowledge production is done accord- In the formulaic approach, the design expert conceives,
ing to students’ experience of meaningfulness—within the formulates, and controls the design. It is “a controlled pro-
framework of formal educational goals. This leaves us with a cess, with a fixed design, where the design is based on the
dilemma: Is every accessible bit of information and every designer’s global knowledge and expertise” (Liedtka &
action relevant in any educational context? No, not necessar- Mintzberg, 2006, p. 13). Translated into teaching, this means
ily. Students therefore need a strong critical sense and frames that teaching is primarily based on the teacher’s knowledge
of reference (Mezirow, 1997). “Education that fosters criti- of the subject and expertise in how to teach it. The expert
cally reflective thought, imaginative problem posing and dis- teacher activates his or her global knowledge, and formulates
course is learner-centered, participatory and interactive” and controls the didactics and the teaching content, trying to
(Mezirow, 1997, p. 10). These are also some of the character- control students learning outcome. This approach is often seen
istics of transformative learning. Instructional material in HE institutions, for instance, in lecture halls. One criticism
should reflect real-life experiences but, at the same time, of this is that “its detachment from the users—the people who
introduce students to methods they are not familiar with. must live with the design—is a potentially fatal flaw” (Liedtka
Mezirow describes how the teacher gradually moves from & Mintzberg, 2006, p.13). Not involving students may lead to
being an authority figure to being a co-learner and a facilita- a teaching design that is not well-suited to students’ needs and
tor. The leadership is transferred to the students. prerequisites. The consequence may be students who are not
Learning being led by the learner poses yet another overly engaged or motivated, and one might miss the opportu-
dilemma. The concept of learner-led approaches is based on nity of developing a more radical design.

Figure 1. The LED teaching relation model.

Note. The model (Iversen, Jensen, Krogh & Stavnskær, 2015) “translates” the design thinking by Liedtka and Mintzberg (2006); the description of complex
responsive processes by Mowles, Stacey, and Griffin (2008); and Ben’s (2006) model of empowerment into educational thinking and the relations between
student and teaching in the teaching situation.
In the visionary approach, the designer’s vision is leading not to see what we set out to achieve in the way we origi-
the design process, but with space for adjustment. As a teach- nally intended” (Stacey, 2007, p. 812). In an educational
ing approach, the teacher’s vision leads the design and context, it means that if we choose the LED approach to
decides the content of the teaching, but there is room left for teaching, teachers must be very open toward students’
adjustment based on students’ feedback. proposals and prepared to accept other visions of the pro-
In the conversational approach, users are involved in the cess. By listening carefully to students and involving them
design process through communication. This approach in co-creation processes, we must transform our role
“opens up the design process—making it a conversation as teachers and be open to having our views on teaching
among many people, all of whom should be recognized as challenged.
designers” (Liedtka & Mintzberg, 2006, p. 14). Transferring Stacey (2003) unfolds this perspective by describing how
this approach into the educational world, students are the new emerges through communication with others, and
involved in the design of teaching. This is similar to what we that this kind of transformative learning process “involves
call the LED approach, where students and teachers co-cre- moving into the unknown” (p. 330). How students and teacher
ate the didactics and content at the beginning of each period, communicate is of significant importance and determines to
class, or session. This approach is characterized by a high what degree it is possible to involve students.
degree of user involvement. It is based on communication The last approach is an evolving approach, where the
strategies similar to the “complex responsive processes,” design is continually shaped by users in an open source pro-
described by Mowles, Stacey, and Griffin (2008) and Stacey cess (Liedtka & Mintzberg, 2006). In LED, an important part
(2007). With experiences from the world of design and inno- of the process is students doing research themselves. Parts of
vation, they argue that the path to innovation goes through this process take place without involvement of teachers. The
communication with local actors and not along a path staked final result of the process is teaching done by students and
out in advance by an expert. If users are expected to find for students, with a variety of learning processes taking place
values and feel ownership, it is essential that they are in and out of class, as well as on digital platforms. This will
involved in the whole design process. According to this, be elaborated below.
teachers and students have to be involved in the design of Our model inspired by Bens’s (2006) model of different
teaching and teaching together—in co-creation processes. levels of empowerment between leader and staff gives an
Attention to daily challenges confronting users means that overview of the four approaches to teaching (Figure 1). It
final results can be transformed in a decisive way, and a indicates the gradual shift in roles for both students and
new and different path may emerge: “We should expect teachers.

The type of teaching we typically experience in HE is the We use the concepts of teacher and facilitator. Literature
teacher-led approach: “Most of our scholarly traditions— about the role of the facilitator and the process of facilitation
stripped as they are of advocacy and action—limit scholars offers a variety of interpretations of these concepts (Bens,
to observation and reporting” (Adler & Hansen, 2012, p. 1). 2006; Ghais, 2005; Ravn, 2007; Rogers, 1983). Our under-
A teacher- led approach often results in unmotivated stu- standing is closest to that of Rogers. He emphasizes that
dents. Ziehe (1989) argues that teachers constantly have to learning processes belong to the students and that the teach-
legitimate their teaching, and their personal and professional er’s most important role is to help them in these processes—
authority is often challenged. The teacher-centered approach the teacher must humbly take the role of facilitator. To
with its corresponding passivity affects motivation nega- facilitate in this context means guiding the process of seek-
tively in post-modern students, demanding different ing knowledge (Rogers, 1983).
approaches to learning. After listening carefully to what students say about con-
At the other end of the continuum is a radical learner-led tent, forms/methods, and desired outcome, together with stu-
approach, where students’ learning processes are continu- dents, teachers paraphrase and make associations on the
ously taking place initiated by students themselves and with basis of what they have perceived. Generally speaking,
little or no teacher interference. We have studied this radical teachers should be good at asking questions and stimulating
version of LED in relation to problem-based project work, students to ask questions themselves to create lively dia-
that is, not in a classroom context. It is, however, interesting, logue. This also implies being able to balance different view-
because it represents an approach to learning that points to points and manage conflicts. Students should be encouraged
the development described by Moravec as “knowmad soci- to express explicitly how they understand learning—so that
ety,” characterized by self-motivation, independent and self- teachers can relate their understanding to other approaches.
directed gathering, and use of information. A LED-learning process allows something new and unfore-
seen to emerge from co-creative learning processes from the
very first stage, due to the explorative process of determining
Co-Creative Dialogue content and deciding on design.
To explore the form of communication that can facilitate co-
creative dialogue between teachers and students, we turn to
Learner-Led Approaches: An Example
Shaw (2002), who takes her point of departure in complexity
theory. Shaw (2002, 2005) includes a concrete description of Below, we describe how LED was carried out in the fourth
the communicative approach to user-driven design, which semester of a bachelor program, in a 5-week culture studies
could be transferred into an educational context and inte- course. Participants were a class consisting of 29 students, 2
grated in LED approaches. She describes an open and mean- teachers, and a teaching assistant. The assessment of the
ingful type of communication that captures the interest of course took place as part of a project exam assessing a num-
participants, revolving around what excites or even frustrates ber of courses (Danish, Communication and Culture). Phases
participants. The dialogue implies a willingness to explore were as follows:
and improvise. The teacher listens closely to what students
say and lets associations arise. “I am describing the process
Planning
of weaving in our actions one with one another to co-create
the future” (Shaw, 2002, p. 70). However, they also need The teachers planned how to introduce the course and its formal
very clear and direct communication from the teacher about goals. Key terminologies were chosen to set an initial direction
the learning process, the necessary framework of the curricu- of the course and frame it within the formal requirements. Key
lum and the subject. terminologies were interculture and cultural encounters.
This implies that the purpose of dialogue between stu-
dents and teachers is not just to understand their existing
approach to teaching but also to co-create new ideas for
Introduction/Framing
teaching design. The teacher becomes facilitator to encour- The teachers introduced the formal frames and goals of the
age lively dialogue and encompass different views, even course and the overall method—LED, that is, the didactics
conflicts, regarding how and what is going to be taught. This and the purpose of learner-led working. Key terminologies
requires that teachers and students alike are at ease with an were introduced. This phase was teacher-directed.
open approach. Teachers must let go of fixed agendas and be
able to help students do the same. “Leading becomes being
able to articulate issues and themes as they emerge and trans-
Pre-Conceptualization and Visualization
form” (Shaw, 2005, p. 21). A learner-led approach requires Students activated their preconceptions of the chosen termi-
the teacher/facilitator to be very conscious of the form of nology in groups formed randomly by the teachers. They
communication used when in dialogue with students about brainstormed and wrote the result on flip-overs. Teachers
content. facilitated the process.

Exploration requirements. This is the LED triangulation, and it is the

teachers’ responsibility.
Based on results of the pre-conceptualization/visualization,
students individually formulated tentative research ques-
tions, which were written down on post-it notes and made The Puzzle Is Put Together
visible for everybody in the room to explore. Again, the The teachers presented the overview to students, and the
teachers facilitated the process. Examples of questions asked design was discussed and decided on. Assessment, feedback,
were as follows: How do I get to know my own culture? and presentation methods were discussed and decided by
What is culture? Where do cultural encounters take place? teachers and students together. Responsibilities and tasks
What characterizes cultural encounters? How can I develop were distributed among teacher(s) and students, and a plan
intercultural skills? was made. Who would teach what and when? Which exer-
cises were relevant, and who would facilitate them? Which
First Design groups would be formed, and which topics would they be
working on? Would there be field studies and where? Some
Students categorized the questions to formulate topics that activities were facilitated by the teacher, others by the stu-
would give structure for the rest of the course. The first dents, and some were co-created as the course progressed.
research was done on the topics. Teachers facilitated. Up until the end of the course, the process remained open.
Topics that came up were media, knowledge/school cul- This process ended with a design consisting of lectures
ture, understanding, culture in general, the meeting between with exercises given by the teachers alone and with students,
people from different cultures, and exclusion/inclusion. lectures by a guest lecturer chosen by the students, lectures
given by the students, role-plays combined with analysis and
Method reflection facilitated by the teachers, and narrative exercises
designed and facilitated by two students. All groups did field
In an open process, students discussed and developed sug- studies in a variety of contexts; one group carried out a cul-
gestions for how the chosen topics could be “taught.” They ture study in a shopping street in one of the larger cities in
pitched the different suggestions to the group. Suggested Denmark, one group designed a homepage, one group stud-
methods were written down and later on integrated in the ied skater culture and made a documentary, one group per-
onward planning. A deadline was set for incoming method formed a Facebook study on homosexuality, one student
suggestions. Among the suggestions were fieldwork, role- performed a cultural study among people collecting usable
play, ethnographic studies, combining analysis, reflection garbage (in Danish “skraldere”) and got so hooked on the
and different artistic expressions, public performances, nar- lifestyle that she persuaded several other students to take it
rative methods/life history, and the more classic—lectures up, and one group designed a complete set of teaching mate-
from students and teachers, guest lectures. rial about culture and cultural encounters to be used by social
workers.
Choosing Focus
Individually, students choose among the topics formulated.
Documentation and Course Evaluation
Students may form groups based on their choice of topic or As the course progressed, documentation of learning pro-
work alone. Six groups were formed, and two students chose cesses elaborated on the shared communication platforms.
to work alone. The two students working alone later in the Both students and teachers shared and commented on the
process chose to share discussions and give each other materials produced. All students handed in individual logs
feedback. with descriptions of and reflections on the course and
received feedback on the logs from the teachers. All groups
gave presentations followed by discussion facilitated by the
Toward a Design
group and feedback given by students and teachers in accor-
All suggestions for methods, materials, discussions, and so dance with the formal requirements of the course.
on were published on a shared information platform. In this
case, we used Dropbox and Google Docs.
Analysis of Student Evaluations of LED
In their individual logs, students were asked to evaluate
Overview
working with learner-led approaches. Most students
Teachers gathered the published suggestions and formed an expressed appreciation of the meta-communication regard-
overview by integrating as many suggestions as possible into ing curricular frames, arguing that it enabled them to under-
a meaningful whole, balancing suggestions from the stu- stand learning processes at a higher level and to apply this
dents, the teacher’s own ideas, and the formal educational acquired understanding to their professional skills. Some

expressed appreciation of their new role in teaching situa- student has on his or her preferred learning style in relation
tions and the empowerment they experienced, which led to to the course:
both subject-related and personal development (all quotes
are from student logs). It means a lot to me to play an active part. I learn best by trying,
Below, in addition to giving voice to the students’ experi- touching and feeling. (Student D)
ences and their own understanding of their learning outcome,
we will show some of the additional learning outcomes of Student D may have had this understanding before the
the process. course, but it emphasizes that the course concept was experi-
enced as catering for the whole person, in a way that sup-
All in all I think this course has been very good, I find it ported Student D’s learning processes. It is, however, not
interesting to work in a new way, where you all of a sudden are necessarily a straightforward task for students to grasp the
given influence on the content of the teaching. (Student C) concept of LED because it challenges their traditional under-
standing of classroom teaching and the roles of teacher and
From Student C’s statement, we see that the idea of students students, as expressed by Student E:
having influence on the content of their course is a new and
unexpected concept (“a new way,” “all of a sudden”). Below, I find the idea (of Learner-led approaches, ed.) extremely good.
we see how students experienced this and some of the learn- To me personally it was messy for a long time. But at one point
ing outcomes of the course. the meaning of it all became clear to me and it came out good.
Especially when I look at all the different things people chose to
work with. I do, though, see a challenge in covering everybody’s
And now I know . . . I should live my life. Be proactive and
learning needs over a relatively short period of time. (Student E)
interactive . . . The Learner Led Approach helps a lot to feel
good about myself. During the idea generation stage, the class
had the opportunity to write individually the things we would Student E struggles with understanding the concept (“messy
like to learn about culture studies. We designed the teaching for a long time”), and the statement shows the importance of
structures and contents through a certain process both as allowing time for the meaning-making process to take place
individuals and as a group. I was both in harmony with myself through the individual’s active participation. Furthermore, it
and others. I enjoy listening to my own learning needs as well as is interesting to observe the students’ meta-reflection on the
the needs of others. (Student A) didactic challenge of the concept (“covering everybody’s
learning needs”), which shows an analytical approach—an
The learning outcome described by Student A is an example additional learning outcome. In the following statement, we
of something new and unforeseen (“to feel good about see other aspects of the challenges experienced:
myself”) that emerges from the processes of both individual
and co-creative activities. Referring to Rogers’s (1983) defi- . . . we are involved, challenged in leading and standing by the
nition of meaningful learning, we see that the student experi- actions we find exciting and relevant. I like being in the process,
ences a learning process that involves the whole person, their but I always have a need to see where things are heading, where
feelings (“in harmony,” “enjoy listening”) as well as cogni- we will end. I am repeatedly challenged and I work hard with
tive aspects. Last but not least, there are indications of a myself in this phase. (Student F)
beginning feeling of empowerment (“I should live my life.
Be proactive and interactive”). The following statement by Apart from the excitement, Student F clearly expresses the
Student B emphasizes the aspect of personal development, to personal and emotional challenges felt “by moving into the
which the course has led, unknown” as Stacey (2003) put it. Psychologically, it is
demanding to be in an open-ended process, as demonstrated
by Student F’s statement of his or her conscious efforts to
It’s a fantastic and innovative approach and a great opportunity
to have as a student because it puts me in a position where I am deal with that (“I work hard with myself”). This shows
master of things, I can leave my own marks and I learn to another aspect of the additional learning outcome, that is, the
manage myself. I have gone through a huge personal student’s understanding of the character of the process, as
development by conducting myself, and being in control of the well as his or her own reaction to the situation. Another
process. It has given me a taste for autonomy. (Student B) aspect of the new challenge is described in the students’ tak-
ing responsibility for their interpretations of what is relevant
In Student B’s statement, we see an experience of empower- content (“standing by the actions”) and thus of interest to this
ment (“master of things,” “being in control”) and a develop- particular group of students as well as being in accordance
ment toward a higher degree of independence and with formal requirements.
self-direction (“a taste for autonomy”). We interpret this as Relating these results to our initially stated two chal-
an indication of meaningful learning that might change lenges, we found that the LED course was experienced as a
behavior, attitudes, and maybe even the personality of the meaningful learning scenario for the students, to such an
learner. The following statement shows the reflection the extent that they were willing to allocate the time and effort to

understand the concept and the learning-related rationale learning situations can be understood as expressing a high
behind it. The format motivated students to opt-in and to be degree of self-efficacy.
part of the co-creative processes, even when they were expe- For the future development of LED, it will be important to
rienced as open-ended and thus somewhat daunting. They develop the assessment form to align the teaching and learn-
managed to deal with the insecurity of the “unknown” and ing forms. The students report that this is not the case at pres-
took on the aspects of responsibility open to them. The ent. Because the course is assessed together with other
course was experienced as addressing the whole person courses, they feel they have to adapt their performance so
through a variety of activities, and there are indications of that it fits in with the demands of the assessment form where
both emotional and cognitive development, some of which it is mostly their academic abilities that are assessed, and not
may be regarded as unintended and additional personal their innovative and creative abilities and action competen-
development. The course consequently seems to have man- cies, obtained through LED didactics.
aged to successfully solve the problem of two opposing fac-
tors: Students found the course relevant and were motivated
Discussion
and hard-working, and the formal requirements were met.
These findings are substantiated by the large-scale overall If the aim of teaching is to promote appropriate learning—
evaluation of a bachelor program in social education special- and that learning must be significant, meaningful, and
izing in innovation at University College of North Denmark. involving—we need a new focus on how we organize teach-
In the report, students describe how learner-led approaches ing. Involving the whole person in learning means, as Rogers
made them better navigators in chaos and equipped them suggests, freeing the learner and utilizing his or her whole
with a sense of coping (Haslam, 2012). “We have been body, brain, and emotions in communicative processes with
trained to throw ourselves onto a rocky foundation and navi- peers and teachers (see also Illeris, 2006). “Significant learn-
gate there” (Haslam, 2012, p. 13). Another student expresses ing combines the logical and the intuitive, the intellect and
himself with reference to the domain of action and shows the feelings, the concept and the experience, the idea and the
capacity for taking initiative: “I have a special focus on peda- meaning. Learning in that way, we are whole, utilizing all
gogical and societal dilemmas and I try to find solutions and our masculine and feminine capacities” (Rogers, 1983,
active interventions” (Haslam, 2012, p. 19). The didactics p. 20).
that encouraged the development of the students’ compe- The LED approach represents one answer for meeting
tence for action were that they were “compelled to act.” some of the demands and needs from society and workplaces
Regarding motivation for the work and the ability to set regarding education for the future. Based on our studies, stu-
one’s own goals, these would seem to be inherent elements dents taking part in co-creating processes generally seem to
of the approach (Haslam, 2012, p. 21). There are points of be more involved and engaged in the learning processes.
similarity between some of the factors identified by Amabile Introducing close collaboration with students in teaching
(2002), who emphasizes that individuals must be offered a processes poses challenges to both teachers and students.
certain degree of autonomy to encourage the development of First of all, it makes it necessary to organize teaching envi-
intrinsic motivation: “Autonomy around process fosters cre- ronments in new ways. Even with large classes, LED
ativity because giving people freedom in how they approach approaches seem to be sustainable. It is a matter of didactic
their work heightens their intrinsic motivation and sense of expertise and believing in the students’ potential. Some
ownership” (Amabile, 2002, p. 82). According to Amabile’s teachers may find it difficult to believe that students can take
recommendations, students should be given fixed academic on responsibilities in the way required in LED approaches.
expectations and clearly structured assignments, but they Our studies show that most students seem ready to take on
should be given considerable freedom to choose and solve their part of the responsibilities in the co-creating processes.
the challenges they meet on the way. The LED approach However, our studies also show that there may be some dif-
seems to encourage students’ sense of ownership and intrin- ficulties for students who are unfamiliar with the democratic
sic motivation. aspects that typically characterize Nordic educational sys-
At the same time, the students seemed to acquire a high tems. It might be argued that the experience of “messiness”
degree of self-efficacy: “People with high efficacy approach or “chaos” expressed by students is an unavoidable effect of
difficult tasks as challenges to be mastered rather than as any open design phase to promote diversity and creativity in
threats to be avoided” (Bandura, 1993, p. 144). Bandura’s the co-creation process. Nevertheless, some students may
(1993) point is that this does not have to involve the students’ opt out if the confusion is not properly handled in the shared
actual ability to meet challenges, but only their belief in their spaces of the process.
own ability, and that this latter belief is the decisive factor in Covering a wide range of learning needs is another chal-
determining how they deal with the field of non-knowledge: lenge, which demands time, resources, and carefully struc-
“students’ belief in their efficacy to regulate their own learn- tured communication between students and teachers. Letting
ing and master different subjects” (p. 135). The students’ go of control, in the classic sense of the word, requires both
evaluations of their ability to handle chaos or “messiness” in co-creative dialogue and documentation of the learning

process taking place in the group and the individual student. Funding
Interactive logs, portfolios, Google documents, and other The author(s) received no financial support for the research and/or
materials produced by students and teachers contain poten- authorship of this article.
tially valuable evaluation of the course, if properly analyzed.
Such analysis takes time and resources and also requires a References
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http://ollysofalhaj.ipgkti.edu.my/sumber/resosbestari/ learning processes in higher education and cultural conditions for
PENDEKATAN/scl/7%20SCL-Nanney.pdf teaching and learning.

603427
SGOXXX10.1177/2158244015603427SAGE OpenKing Miller
13
Effective Teachers: Culturally
Relevant Teaching From the Voices
of Afro-Caribbean Immigrant Females
in STEM
Beverly A. King Miller1
Abstract
This article focuses on the educational strategies that can be used to support female students of African descent in their
persistence in science, technology, engineering, and mathematics (STEM) education and careers. STEM careers have
historically been White male and White female dominated, which has yielded an underrepresentation of those of African
descent. Drawing from a grounded qualitative case study, the data used for this article share the responses of Afro-Caribbean
females in STEM who have immigrated to the United States from the country of Panama. As Latinas, they are representative
of the changing face in the American educational system—bilingual, multicultural, and of African descent. The strategies
offered reflect their own teaching practices, their former teachers, or experiences with their children’s teachers. What
emerged were descriptions of four strategies and behaviors of effective teachers that align with Ladson-Billings’s culturally
relevant pedagogy and Gay’s culturally responsive teaching. Included in the findings are the high standards and expectations
embodied by effective teachers that serve to positively inspire their students. Culturally responsive teachers create an
atmosphere of learning that supports academic success, conveying their belief in their students’ ability based upon their own
reflectivity. As the U.S. educational system continues to become multilingual and multicultural, there is need for strategies for
the successful inclusion and progression of students in STEM educational pathways and careers. This will occur as teachers
challenge themselves to be the agents of change in the lives of their students.
Keywords
culturally relevant pedagogy (CultRP), culturally responsive teaching (CultRT), STEM, gender
The effect on curriculum development to meet the require- now the collective majority representing 50.3% of public
ments of the No Child Left Behind (NCLB) Act has meant school students (Maxwell, 2014). Non-White student enroll-
that students reached high school from schools where the ment has already reached majority levels in major school
emphasis was on increasing reading and math scores to the districts in the South and West regions of the country
negation of science literacy. This program, which was (Maxwell, 2014). In California, 73% of public school stu-
designed to increase the performance of all students and dents are non-White (Boser, 2014). Within these multicul-
close the achievement gap between Whites, Blacks, and tural and multiethnic classrooms, the new immigrant students
Hispanics, has created a new problem (Freidich, 2003). are often also multilingual with English not being the home
Results from the National Assessment of Educational language. Furthermore, Hispanic or Latino students are not
Progress (NAEP; National Center for Education Statistics, considered a racial group because within its members are
2009) show that only 21% of Grade 12 high school students those of African, European, or Indian descent (Genova &
tested at or above proficiency in science. Denying these stu- Ramos-Zayas, 2003; Quiros & Dawson, 2013; Tatum 1997).
dents access to scientific literacy in their formative years ren- The educational system is not preparing an adequate
dered them unprepared for the rigor of secondary education number of students in STEM resulting in the need to recruit
training in science, technology, engineering and mathematics
(STEM). 1
University of Johannesburg, Auckland Park, South Africa
The public education in the United States has seen notable
changes in the racial and ethnic composition of schools. The Beverly A. King Miller, University of Johannesburg, P.O. Box 524,
National Center for Education Statistics has indicated that Auckland Park 2006, South Africa.
minorities—Latinos, African Americans, and Asians—are Email: beverlyamiller3@gmail.com

Effective Teachers: Culturally Relevant Teaching From the Voices of Afro-Caribbean Immigrant Females in STEM 127
individuals from India and China for many of these special- those who possess comparatively light skin (Burton, Bonilla-
ized occupations (National Academy of Sciences [NAS], Silva, Ray, Buckelew, & Freeman, 2010; Machery &
2011; Saxenian, 1999). The National Science Foundation, Faucher, 2005). This article relies on ethnic and cultural
Division of Science Resources Statistics (NSF; 2013) finds markers that include language, beliefs, and historical events.
that although gender continues to be an issue for STEM It recognizes that within people of similar phenotype (i.e.,
membership, racial classification continues to be a major physical characteristics based upon genetics and environ-
marker for STEM inclusion. The findings revealed that in ment), there are cultural and ethnic differences. For example,
2010, Whites represented 69% of all STEM jobs although African American, Afro-Caribbean, and Afro-Latinas may
they represented 63.6% of the population, Asians held 18% be racialized as Black based upon phenotype, but they repre-
in STEM jobs although they were 5% of the population (for sent diverse cultures and ethnic traditions. In acknowledging
this reason they, are not classified as underrepresented in this, the article concedes that hegemony affects all persons of
STEM), and Blacks were 12% of the population, but only African phenotype. Therefore, the terms Black and African
5% of STEM members. descent will be used interchangeably as a collective refer-
Females in general, but females of African descent in par- ence to all people of African ancestry inclusive of Africans
ticular, are underrepresented in STEM (Hill, Corbett, & and the aforementioned groups that comprise the African
Rose, 2010). This could be a by-product of the racialized diaspora, and will refer specifically to cultural and ethnic
beliefs regarding intelligence and STEM inclusion for those groups when needed.
of African descent (Chen, 2011; Quinn & Spencer, 2001; Furthermore, this article attempts to define the effective
Steele & Aronson, 1995). As a result, the onus is on teachers teacher beyond the characteristics of those who utilize good
to reconsider the ways in which they foster and support stu- teaching habits. Drawing from Stronge (2002), this article
dents in STEM education, and how they may be denying will define an effective teacher as an agent of change who
access to underrepresented groups—students of African integrates teaching strategies that reflect behaviors and
descent in particular. beliefs that yield positive student learning outcomes.
This article’s argument is twofold. First, effective teach- Effective teachers create a culturally relevant learning envi-
ing strategies are “good teaching” that can empower students ronment where students make academic progress regardless
toward academic excellence. Second, these teaching strate- of their prior levels of achievements and deficits (Ladson-
gies yield greater persistence in STEM educational training. Billings, 1994).
The question under consideration is what are the pedagogical
ideologies and strategies offered by CultRP and CultRT that
are effective teaching strategies to support females of African Conceptual Framework
descent in STEM educational pathways that lead to STEM
careers? Using the voices of Afro-Caribbean females in
CultRP
STEM careers, this article offers insights from their experi- CultRP was introduced by Gloria Ladson-Billings (1994) to
ences with educators, as educators, or as parents or grandpar- combat the “intellectual death” occurring among African
ents. These women were credible voices because they not American students in the United States. Its “aim is to assist
only participated in STEM but also rose to leadership and in the development of a ‘relevant Black personality’ that
management positions in their respective fields. Therefore, allows African American students to choose academic excel-
they were able to offer a reflective perspective based upon lence yet still identity with African and African American
their own experiences and challenges as women of African culture” (Ladson-Billings, 1994, p. 17).
descent in STEM. CultRP is designed to “empower students intellectually,
socially, emotionally and politically by using cultural refer-
ents to impart knowledge, skills and attitudes” (Ladson-
Explanation of Key Concepts Billings, 1994, pp. 17-18). This is done through the
Taken from the broad definition of the National Science integration of home and community experiences with school,
Foundation, STEM will refer to all careers in biological, curriculum, and classroom. Students from the homes and
physical science, natural sciences, engineering technologies, communities of the dominant culture do not experience the
and computer science; it will also include the social sciences lack of integration from home and school that is often found
and psychology (Green, 2007). in students who are from underrepresented groups.
Throughout this article, culturally relevant pedagogy will Looking specifically at African American students and
be denoted as CultRP and culturally responsive teaching as their teachers, Ladson-Billings (1995a) found three areas
CultRT. that CultRP relies on: “(a) students must experience aca-
The term Black as a racial construct is often rooted with demic success, (b) students must develop and maintain cul-
negative perceptions originating from fallacious beliefs used tural competence, and (c) students must develop a critical
to propagate hegemony. Racial constructs attempt to create consciousness” (p. 2). CultRP (Ladson-Billings, 1994) offers
social structures that provide privilege and advantage for effective strategies for the academic success of African

American students who were formerly marginalized by the One characteristic that emerged from CultRT is the con-
educational system (Coleman, 1988; Wilson, 1987). She cept of care (Noddings, 1984, 1999). Caring is action pro-
refers to these strategies as simply good teaching for any stu- voking and requires effort from the teacher. Therefore, she
dent regardless of race or ethnicity. alludes to the notion of culturally responsive caring (Gay,
Ladson-Billings (1994) proposed the following CultRP 2000; Parsons, 2005). Teachers are further challenged to
teaching ideologies that CultRP teachers embrace to insure learn strategies to create classrooms where learning styles
success in African American students. are respected through the use of differentiated instruction
and classroom activities (Gay, 2000).
Shared responsibility for student excellence. CultRP teachers CultRT is used in diverse classrooms and school districts
believe that students are capable of excellence and share the throughout the world. It has been adopted to help the aca-
responsibility with students, parents, and community to see it demic progress of Maori students in New Zealand (Savage
realized. et al., 2011) and Canadian school districts with ethnically
diverse students (Ontario Schools, 2013).
CultRP teachers see teaching as an art and not a technical CultRP and CultRT require constant and critical reflection
skill. Teachers are proud to be teachers. and praxis by the teacher. To create classrooms where stu-
dents are successful, CultRP and CultRT teachers consider
CultRP teachers believe all students can succeed. This is not the epistemic root of knowledge production from a critical
negotiable. Academic progress in some form is expected lens to be aware of the ways in which education has served to
from all students in their charge. empower students who are White while marginalizing those
from different ethnicities and cultures.
CultRP teachers help students make connection to community, African American students in particular and non-White
nation, and global community. Teachers are aware that there students in general are often taught by teachers who view the
may be other cultures represented in their classrooms; they world from a dominant culture perspective and ignore the
teach in ways that foster respect for other cultures. lens from which others may see the world and their place in
it (Gay, 2000). CultRP and CultRT necessitate a reflective
CultRP teachers see knowledge as mining not pouring. They praxis that includes a type of care that challenges teachers to
realize that their students are not blank slates waiting for consider their hegemonic position and privilege and the ways
them to pour knowledge into, but rather they bring a fund of in which it affects student academic performance. The onus
knowledge from their homes and community. is on teachers to resist the temptation to use the excuses that
blame family of origin, socioeconomic factors, or academic
CultRP teachers are passionate about knowledge and knowledge readiness for the lack of student performance.
production. Teachers challenge themselves academically and
realize that learning is a lifelong process. Education for Students of African
CultRP teachers provide intellectual challenges. They realize
Descent
that education needs to extend student thinking, so there is no King Miller (2013) offered research on the academic success
need to give all the answers; they help students to find it for and progress of African American students that resulted in
themselves. Through this, they also reflect that their self- the following: (a) African American students need to feel
esteem is not connected to being perceived as the sole source valued and have their ethnicity and culture validated (Harris
of knowledge; they do not need to be the center or the one & Marsh, 2010; Ladson-Billings, 1995a; Lynn, Bacon,
with all the answers. Totten, Bridges, & Jennings, 2010), (b) teachers need to have
high expectations for student success (Cholewa, Amatea,
West-Olatunji, & Wright, 2012; Lynn et al., 2010; Tucker,
CultRT Dixon, & Griddine, 2010; Wiggan, 2007), and (c) African
CultRT (Gay, 2000) emerged as a by-product of cultural rel- American students need to experience connections with their
evant pedagogy. It moved beyond pedagogy for African teachers, their classrooms, and their school (Lemberger &
American students and extended to include all students who Clemens, 2012; Li & Hasan, 2010; Wiggan, 2007).
are from racially and ethnically diverse backgrounds inclu- Historically, females in general were excluded from sub-
sive of Native Americans, Asians, and Immigrant Blacks. jects such as math and science as these disciplines were
This supported the premise of Ladson-Billings that CultRP deemed for males only (Gornick, 1990). When looking spe-
was simply “good teaching” for all students. Gay asserts that cifically at females of African descent in STEM educational
culture matters and the cultural identity of students cannot be pathways, the educational outcomes are even more challeng-
denied if they are to be educated. Students’ prior cultural ing (Bonous-Hammarth 2000; Hill et al., 2010; Jenkins,
knowledge and references must be affirmed, validated, and Harburg, Weissberg, & Donnelly, 2004). With the precept that
then woven into the academic experience (Gay, 2000). math and science are subjects for those who are intelligent and

that Blacks are surmised intellectually inferior to Whites, the to use thick description to express as fully as possible the
attrition rate increases for Blacks. Ultimately, for Black varied and nuanced meanings related to the events or obser-
females there seems to be a double bind that limits their vations they are attempting to explain (Geertz, 1973).
access to STEM educational pathways—race and gender In case study research, the issue is explored through one
(Malcom, Hall, & Brown, 2005). or more cases within a bounded system (Creswell, 2007). A
Furthermore, LaVar, Phillis, Jackson, Berhanu, and case study is an examination of a particular group, entity, or
Amechi (2014) found that persistence for Black women in case within a system to understand their response to a par-
computer science higher education courses was made diffi- ticular event or their behaviors within a particular system
cult by the perception of some professors who believed that (Merriam, 1988). The data sources for a case study may
they had only gained access to the program because gate- include observations, interviews, or reports and documents
keepers felt “bad about slavery.” Borum and Walker (2012) (Creswell, 2007).
shared the experiences of Black female PhD holders who The selected methodological approach is the most benefi-
cited their persistence in spite of overt statements that cial to explore the lived experiences of the women in this
reflected that women in general, but Black women in study and garner reflections from their past. From strategies
particular, were not equipped to do mathematics. Further they used with their students and the strategies they observe
feelings of isolation and lack of support were reported as as beneficial to their children/grandchildren, they offer
some of the difficulties they experienced in earning a PhD in insights to educators. The selected case study approach
mathematics. affords the opportunity to focus on this small group, to
In 2005, 40% of all full-time faculty in colleges and uni- thickly describe their responses to fully understand the
versities in the United States were women (McNeely & needed support of females in their pursuit of STEM educa-
Vlaicu, 2010). However, they are still less likely to be in ten- tion and careers.
ure track positions when compared with males; women ten-
ured at universities were 44%, whereas males tenured were
62.0% (Catalyst, 2012). Of the 7,000 computer science doc-
Participants
toral faculty in 2006, only 60 were reported as African Five Afro-Caribbean women from Panama were selected for
American women. Also, less than 1% of the 17,150 post- the study. Panamanian women were selected because of the
secondary teachers in engineering were African American historical relationship in providing STEM workers to the
women. African American women appeared to fare only United States and Canada (Clarke & Riviere, 1989). New
slightly better in the biological sciences holding 380 of York City was selected because it is a major city of entry for
25,000 faculty positions (Hill et al., 2010). There remains all immigrants in general and Afro-Caribbeans in particular
exclusion among women of African descent in STEM (Advincula, 2007). It is one of the cities with the largest
careers. Afro-Caribbean populations (McCabe, 2011). Participants
Unfortunately, the data do not portray an adequate picture were recruited from members in the Afro-Caribbean com-
because all persons of African descent are categorized as munity through the church, school, and neighborhood hospi-
Black or African American. Afro-Caribbean immigrants are tal. A purposive sample (Bogdan & Biklen, 2007; Creswell,
the largest Black ethnic population in the United States, com- 2007; Lincoln & Guba, 1985) was determined to best meet
prising 9% of the overall immigrant population (McCabe, the needs of this research. All participants were from a spe-
2011). Furthermore, there are those who may self-identity as cific immigrant population representing a specific commu-
Latina/Afro-Latina. About 8% of Black immigrants are from nity in the United States with information and strategies to
Spanish-speaking countries, including the Dominican amass an understanding of the research question that would
Republic, Mexico, Panama, and Cuba. With regard to lead to a grounded theory design analysis (Lincoln & Guba,
Panama, one third of those who immigrated to the United 1985). Three selection criteria for the purposive sample were
States in 2005 self-identified as Black (Kent, 2007). This used.
article will present evidence from these Black/Afro-Latina/ The first criterion was that the women had to be currently
Afro-Caribbean females in STEM attesting to their percep- or previously employed in a STEM career. All of the women
tions of positive effective teaching strategies that may had gained success in their field and were often the first
embolden females of African descent to persist in STEM Black woman to enter their workplace or position. STEM
educational training and into STEM career pathways. careers were defined by the STEM Occupation Classification
list by the National Science Foundation, which included sci-
ence teachers, nurses, and psychologists (Green, 2007;
Method Landivar, 2013). The second criterion for selection was the
This research study used a qualitative case study approach. participants had to verify that their parents or grandparents
Qualitative designs are inductive. Knowledge is constructed had voluntarily immigrated to Panama from various
from multiple observations after which a conclusion is drawn Caribbean islands to work on the Panama Canal building
(Marshall & Rossman, 1989). Qualitative researchers attempt project with the American government.

Each of the study participants voluntarily immigrated to the participants’ level of work-related success. Most of the
the United States from Panama between 1965 and 1975. All participants gave me written information on themselves (i.e.,
participants were bilingual, speaking both English and pamphlets/materials they published for their work), or I used
Spanish, and were born in the Central American country of the Internet and found public information about them. One
Panama. During their time in Panama they lived either in participant had been honored at a large regional area awards
Colon, the port of entry from the Caribbean islands or in dinner. This event was attended by notable members in her
Panama City. Participants selected their own pseudonyms for field as well as local politicians.
the study, which will be used throughout this article.
Data Analysis
Data Sources Data were triangulated using open-ended interview questions,
There were four data sources selected for this research. Data field notes and observations, the qualitative survey, and docu-
sources included interviews, a demographic survey, researcher ments (Emerson et al., 1995; Kvale & Brinkmann, 2009;
field notes and observations, and artifacts and documents. An LeCompte & Preissle, 1993; Patton, 1980; Schatzman &
explanation of these will follow. Strauss, 1973). All interviews were personally transcribed and
coded by the researcher (Lincoln & Guba, 1985; Schatzman &
Interviews. In qualitative research, knowledge is produced Strauss, 1973; Strauss & Corbin, 1990). The preferred lan-
through social interactions (Kvale & Brinkmann, 2009). In this guage of the participants was respected, and translations are
process, an interview is an “an interchange of views between provided where necessary (Myers-Scotton, 2006).
two persons conversing about a common theme” (Kvale, 1996, The study used a grounded theory approach and the pro-
p. 44). Interviews were conducted individually in a location cedures and protocol for such a design (Strauss & Corbin,
agreed upon by the researcher and participant. The interviews 1990). In grounded theory, knowledge is derived inductively,
were at their homes, restaurants, or their workplaces. There moving from the particular to the general. It is derived from
were more than 50 open-ended interview and probing ques- the data as it pertains to the cases (Strauss & Corbin, 1990).
tions used throughout the individual interviews. The interviews Procedures and protocols for grounded theory came from
lasted 5 to 8 hrs over 3 days. Questions were divided into three Strauss and Corbin (1990), which included the coding strate-
foci. This article addresses the third foci which is the support gies of open coding, axial, and selective coding. Data analy-
needed from teachers to enable females of African descent to sis began from the time of initial collection or interviews,
persist through STEM educational pathways. and categories were developed from constant comparisons
derived from the theoretical memos written by the researcher.
Demographic survey. The survey was emailed to those partici- Constant comparisons included comparing incidents, stories,
pants who were presently employed; it was given in person and descriptions that were similar for all participants (Lincoln
to those who were retired and were traveling between the & Guba, 1985). Furthermore, I contacted all participants for
United States and Panama at the time of the inquiry. The pro- member checking to ensure that they were in agreement with
tocol for writing this survey was taken from several sources. my analyses (Glesne, 2006; Lincoln & Guba, 1985).
I drew upon LeCompte and Preissle’s (1993) description of a
confirmation survey which uses structured questions to
Findings
gather key information. The questions were closed and quan-
tifiable (Marshall & Rossman, 1989). The survey also This article was extracted from more than 45 questions from
included nominal questions about age, school attendance, two of the three main subquestions from the larger study.
and college major and degree (LeCompte & Preissle, 1993). What emerged from the overall data was the significance of
cultural identity on the persistence of these Afro-Caribbean
Field notes and observations. I used an ethnographic approach women. The values and strategies learned from Caribbean
to field notes data, which included jottings, headnotes, and culture seemed to have influenced their choices of STEM
memos (Emerson, Fretz & Shaw, 1995; Mason, 1996; careers and their ability to persist in the face of adversity.
Schatzman & Strauss, 1973). I used two forms of field notes: When recalling educational challenges in the United States,
key word jottings and whole text jottings (LeCompte & Pre- they confirmed that racial inequities affected the education
issle, 1993). I typed memo journals after each interaction with of Black children (Banks, 1997; Coleman, 1988; hooks,
each participant and included the date, the participant pseud- 1994; Lareau, 2011). In addition, they voiced their concerns
onym as per the Institutional Review Board, and a brief over- regarding stereotype threats (J. Aronson, Fried, & Good,
view of the interaction from my perspective as the researcher 2002; Steele & Aronson, 1995) which serve to exclude
(Emerson et al., 1995; Schatzman & Strauss, 1973). Blacks and females from participation in math and science.
From their responses what manifested was an intersection
Artifacts and documents. Documents were derived from pub- between how they gained success themselves and what
lic sources. It included recognitions and awards attesting to resources were needed to garner this success.

The focal point of this article is the resources for STEM school appointment, she was the first Black instructor to
success, specifically the need for effective teachers for Black teach an academic subject (math, science, history). She
females in STEM. This emerged from the analysis of the data was part of a team of teachers who developed a Spanish
following a grounded theory approach. Although they did manual for biology students to help bilingual students in
not have the academic language to refer to CultRT and the New York City public schools be taught in their first
CultRP, what they voiced aligned with the tenets of these language. Dorcas was a retired middle and high school
pedagogical theories. biology and chemistry teacher.
This section begins with a description of the participants
to establish credence for their offerings. The following From their perspectives as educators (Nubia, Dorcas,
describes their age of arrival at the United States and choice and Afia) or as parents (Andrea, Afia), they lend their
of STEM career. voices in support of the culturally relevant instruction
which they perceived affected their outcomes in education.
a. Nubia is a part-time practicing nurse and professor in The following is the result of their collective responses
the nursing department at a Historically Black College that resulted in the strategies and behaviors of effective
(HBCU). She came to the United States at the age of 12 teachers.
and entered and completed Grade 7. She completed the
remainder of her education in New York City Public
schools. She then applied and attended City College to A Belief That Every Student Is Capable of
study as a nurse. She later received her master’s in adult Learning
clinical specialty.
b. Afia completed K-12 in Panama. She received a full The participants strongly shared the importance of positive,
scholarship for university in Panama and attended 1 year teacher communication that reflects faith in the students’
at the University of Panama before deciding she wanted abilities. Dorcas began her teaching career at an inner-city
to study psychology. As it was not offered at any univer- middle school where most of the students were of African
sity in Panama, she applied and was accepted at a college descent representing African Americans, Afro-Caribbeans,
in New York City. At the age of 21, she arrived in New and Afro-Latinos/Latinas. However, most teachers were
York City to pursue her degree in psychology. She would White and Jewish. She did not perceive that the White teach-
later also obtain a master’s degree in psychology and in ers believed in the students’ ability to learn and become suc-
social work. cessful professionals. Many felt that they would remain
blue-collar laborers like their parents. Below is Dorcas’
c. Andrea gained admittance to the United States as a
response to what she felt was the difference among the White
result of a nursing shortage. After graduating from nurs-
teachers toward the students:
ing school in Panama, she worked for 2 years as a nurse.
Salaries were very low and a friend in the United States
Dorcas
suggested she apply to hospitals in the United States. She
applied and was accepted to work at a large hospital in
I think it’s a class [thing] and they see the kids are poor . . . from
New York City. The hospital provided her with the visa, poverty and also many of the White teachers especially they feel
and eventually she was united with her husband and chil- that those children will never fill their shoes . . . In my mind, I’ve
dren in the United States. She came to the United States at never felt that way . . . I’ve always felt that one day one of these
the age of 26; within months of her arrival, she took the children will fill my shoes and fill it better than I . . . A lot of
national board exams and qualified as a registered nurse teachers don’t have that.
in New York City. She pursued her master’s degree in
public administration while working in her field. After This powerful statement from Dorcas demonstrated her
completing that, she pursued the course for a new certifi- belief in her students and reinforced her expectation that they
cate being offered in quality control training. would do better than she. She seemed to suggest that when
d. Fusia is a podiatrist. She came to the United States at teachers do not believe in the ability of their students, they
the age of 15 and entered Grade 9 and completed high are directly limiting their students’ potential. She further
school. She had wanted to be a doctor from the age of 9 added, “Don’t just look at the kids and give up . . . because in
when she accompanied her grandmother to a hospital in those brains they have a lot to offer.” Dorcas believed that
Panama and found that there were not enough doctors to her students possessed the ability to be successful, and it was
attend to all the patients. After attending college in New her communicated expectation of this fact that enabled her to
York City, she was accepted into medical school for podi- get them to produce.
atry in New York City. Afia, a school social worker and college professor, adds
e. Dorcas came to the United States at the age of 23 with that often teachers communicate low expectations for stu-
a degree in chemistry and biology from the University dents of African descent because of the cultural and social
in Panama. She had taught for over 30 years. At her first beliefs:

Afia have an open door policy. [She says to them] “If you don’t want
to see me, you can email me, I’ll explain it by email, but you
I think the studies have shown that people don’t expect us to be don’t even seek the help I give you.”
smart and those are subjects that are considered to be smart
subjects, [such as] math. I remember a Chinese Asian kid who Nubia’s African American students were not willing to seek
was having a hard time and a teacher said to me—and they were the help they needed based on the merits of the teacher–
packing the Black kids in Special Education—and she said, “Oh student relationship. This may have been the case because
he can’t be learning disabled he’s Chinese.” This was a so called internally they had to fight against the covert and overt mes-
teacher, and she was saying this about this kid because he was of
sages conveyed by previous teachers that they do not possess
a particular group. So the assumption is that you know the
expectation is that you can’t do it and you get that message.
the capabilities to understand such content.
This communicated message regarding their intelligence
from their foundational years may have served to sabotage
The implications are that if Asians struggle academically, it
their willingness to seek help when needed. This lack of aca-
is not because of their lack of ability but some other external
demic equity often left students feeling it was best to struggle
factor. However, filling the special education classes with
alone rather than expose such weaknesses (Beilock, 2010).
students of African descent was reasonably expected.
This attack on their self-confidence must be countered
The problem with communicating to students that they
by both the school and the home. This can be done by the
are less capable is that it erodes the confidence needed to
teacher forming connections with the home environment and
attempt new and challenging tasks and increases their fear of
culture.
failure. To counter this, teachers are challenged to teach in
ways that communicate care, provide the necessary condi-
tions for learning, and transgress the boundaries of what was Be the Bridge Between Home and School
previously defined as good teaching (hooks, 1994).
When asked what would help them to persevere in STEM, Parents are the first teachers that children will have. As such,
all reported the need for self-confidence; family support and they are concerned with the educational progress of their
teachers who help imbue self-confidence through sensitivity child, and many understand the importance of their role in
to culture, gender, and familial concerns. Andrea stated, the academic process (Lareau, 2011). It becomes a challenge
“The first skill is to have personal/self-confidence, Believe if teachers feel there are no educational goals in the home
in yourself and when challenges come, because they will . . . and proceed to address parents of African descent as if they
don’t ever turn it down because that might be the challenge were simply happy to have their children socially accepted.
that you will be successful at.” Dorcas had immutably high Lareau (2011) found that middle-class African American
expectations for her students and employed a teaching style parents had high expectations of their children, were more
that was often light-hearted. This resulted in students who involved in the educational process, and monitored teacher
were engaged and active in their learning. She remembered performance closely. Unfortunately, what some parents came
that they would say about her: “You are going to Noriega’s to realize was many teachers did not expect them to have
class [the former military leader of Panama].” She was academic goals for their children. In parent–teacher meet-
known for discipline and control. ings, these teachers’ sole attention rests on the physical char-
acteristics of the student or on their ability to socially conform
Dorcas in the classroom:
Because I told them, once you cross into my class, hats off, and Andrea
when I close my door . . . “Oh, oh there she goes . . . don’t make
her angry because the accent is gone, she becomes Jamaican.” When I go and hear about my kid in school, tell me about his
grades and his academic performance. I don’t want to hear how
Dorcas was firm with her students and used her culture handsome and what a delight, I had to stop that . . . I know how
handsome or not he is, let’s talk about his grades.
and Creole English to communicate her expectations.
Nubia, a professor of nursing at a HBCU, shares her con-
When parents set academic goals for their children it is off
cerns about the effects on Black students when they con-
putting when they encounter teachers who assume because
stantly receive messages regarding their inability. When
they are Black they do not value education (Lynn et al.,
asked about her students and why she thought the ones who
2010). The communication to both student and parent is that
needed extra help did not seek it she reasoned:
there is no expectation of academic achievement because of
Nubia their racial categorization (Massey, Scott, & Dornbusch,
1975).
[Her students say] “I don’t want you to think I’m stupid.” I say, When Nubia came from Panama she entered the seventh
“Nobody knows everything. You are here to learn. Nobody is grade. She reflected on the fact that although she could speak
going to think you are stupid.” I get this over and over again. I the language and had great math skills, she struggled with the

academic English. She explained that her English teacher the desire for learning (Stronge, 2002). Andrea further added
served as a cultural bridge for her academic success. After when speaking about her son, “Mom, they never call on me
meeting with her parents, he had a conversation with her: to give the answer, I will put my hand up to give the answer
. . . and they never call on me.” This invisibility for intelli-
Nubia gent Black students is formed when they follow the rules by
raising their hands but then are ignored. In a classroom where
And then my English teacher was a young, White guy, and he teachers acknowledge cultural differences, there is room for
said, “Tell me something about yourself?” I said, “I’m new to expression of individuals.
this country and my dominant language is Spanish” [all of her
education to this point was in Spanish] . . . He developed a
different approach in terms of teaching me. I would meet with The Use of Differentiated Instruction
him every day after school for 30 minutes and I would work on
English comprehension and he said to me all you need to do is All of the participants shared the importance of teachers who
just read . . . When classes ended in June he gave me a list of differentiated instructional strategies to meet the unique
books that he wanted me to read over the summer . . . He learning modalities of their students. Afia mentioned the
said, “Because when you read them when you come back in importance of Gardner’s Multiple Intelligences, so that
September you will be ready.” teachers could be reminded that there is no “one size fits all”
in the educational process.
This teacher did not operate based on racialized social
assumptions; instead, he took the time to ask her questions Afia
about her background and to learn about her home and cul-
ture. He gave the extra time after school and became the You look at Gardner’s multiple intelligences and you see some
sponsor she needed to usher her into this new system. To be of those kids head on in the sciences. But we label them and they
effective, teachers must come to learn and engage in the cul- get bored and they are like, “Please, can you just stop talking
and do something, let’s do something, build some bridges.” But
ture of the student with the parents, and overcome damaging
they talk, talk, talk.
myths about children’s aptitudes, to create successful aca-
demic strategies (Delpit, 1988). With the help of this instruc-
Afia makes the plea to teachers that Black children need
tor, she was ready to move on to eighth grade after just 5
hands-on learning. She challenged teachers to take a fresh
months of instruction in the United States.
look at Gardner’s Multiple Intelligences and consider the
As a parent, Andrea’s interaction with the U.S. educa-
needs of the individual children in front of them. Black stu-
tional system reflected frustration. She felt that many White
dents are often educated in systems that reflect a banking
teachers had preconceived negative beliefs about Black
education, devoid of elements of interaction (Freire, 1970).
students:
In contrast, effective teachers use strategies to manage the
classroom, motivate students, and create an atmosphere for
Andrea
dialogue and interactions (Stronge, 2002).
And for some Black kids they become extremely intimidated or Dorcas shared a conversation with a pregnant high school
they become bad behaving because they feel if I’m going to be student in which she asked, “Where is your baby develop-
blamed anyway . . . I find that they give more attention to the ing?” The student unknowingly said that her baby was devel-
Whites . . . I experienced that with my own kids and I went to the oping in her stomach. From this response, Dorcas was able to
school and told the teacher pretty much what I thought. introduce a conversation about the reproductive system. She
stated, “I taught regular biology . . . and we were supposed to
Andrea came from a culture that valued education. As a par- start with the protozoans, the amoeba.” I said, “No. Let’s talk
ent, she was disturbed when it seemed that teachers did not about sex, because they like that.” Dorcas believed that it is
know what to do with smart males of African descent. important to begin with the students’ interest to teach the cur-
Andrea complained that the educational process often riculum and get them actively engaged. Her strategy was
slowed down her son to let the other children catch up, so Socratic, and she often began instruction with questions that
that all students could be at the same place academically. She would stimulate interest and encourage involvement. She
stated, “If he is that advanced, then move him up, but don’t explained, “I ask a lot of questions, that’s my style.”
have him when things come up, he holds up his hands and Dorcas, as an effective teacher, realized the importance of
never get called on.” opening the lesson from the point of student interest. She
When bright students are forced to wait for the others, it delivered the necessary “hook” as the motivation that sparked
creates restlessness which can manifest in what is often the interest of her students. Andrea believed teachers need to
labeled bad behavior. The effective teacher knows each stu- remember that all children do not learn in the same way or at
dent and uses assignments that motivate rather than dampen the same rate:

Andrea students to ask questions and respectfully disagree with their

teachers:
Teachers need to know every pupil doesn’t learn the same way.
I learn by being present, hearing and interacting, asking Andrea
questions. Some people they don’t need to go, they can take the
book, read it and they will do very well. That’s how they learn. Asking a question . . . maybe not agreeing or saying, “Look I
Other people have to have the interaction and that’s how they didn’t understand that to be that way, could we go over that
learn. So you need to know. again” . . . Ok and once they put out their point of view, their
point of view may not be correct, but allowing them to express
In this narrative, Andrea challenges effective teachers to get it. And then being able to show them . . . I learn that, and I tried
to know the learning styles of each student to help them to be to teach that to my staff and my department . . . Sometimes you
successful. Teachers can only arrive at these strategies and may know something is not going to work . . . but you have to
behaviors if they continuously reflect upon their practice. tell the person, “Alright you go ahead and try it.”
Andrea felt that students should have the opportunity to

Being Self-Reflective share their opinions because that is how they begin to engage
In the final theme drawn from the data, effective teachers are in a cognitive search for understanding. This is what she
lifelong learners who reflect upon their practice and reexam- modeled as a corporate manager. These opinions may be
ine their beliefs and practices based on their culture and naïve or limited, and not reflect what they really believe but
training. Freire (1970) asserts that reflection is essential to the process of communicating encourages independent
praxis, which is the avenue for transformative teaching or thinking and self-reflection. It can also be an indicator of
teaching that transgresses (hooks, 1994). their base of knowledge. Andrea is making a plea for student
Afia believed that a major problem with teachers who voice in the learning process. She felt that this process would
teach children of African descent is their lack of belief in serve to develop critical thinking and problem-solving skills.
their students’ ability and intelligence. She stated, She calls for teachers to be confident and professionally self-
assured, so that they are not threatened by the voices of their
Most of us . . . don’t believe that our kids have the capacity to do student. Freire (1970) asserts that for praxis to be effective,
stuff. We still believe that our kids need correction, so we think the voices of others must be included.
that school is about uniforms and discipline . . . and not about
creativity and exploring.
Discussion
Afia explained that schools for Black children are centered
This article explored the pertinence of CultRP and CultRT to
too much on structure that limits their creativity. Judicious
address the attrition and lack of inclusion for females of
reflection is needed to question the assumption that Black
African descent in STEM educational training. There often
students are less intelligent and cannot succeed in STEM
exist barriers to STEM pathways for Black students due to
subjects (P. Aronson, 2008).
stereotype threats and assumptions regarding race and gen-
Fusia’s sole response here was on the importance of effec-
der (J. Aronson et al., 2002; Steele & Aronson, 1995). It is
tive teachers to reflect upon how to support and encourage
further challenged by teaching strategies that use a banking
students:
educational model (Freire, 1970).
Fusia This article argued that CultRP (Ladson-Billings, 1994)
and CultRT (Gay, 2000) offer effective teaching strategies and
The teacher should be a cheerleader who will mentor [students] beliefs that are reflected in the behavior and practice of teach-
and who will be a good source that will serve as a resource for ers who work with Black students. From the participant
them to get what they need to get to take them to the level to responses, four themes emerged that centered specifically on
achieve that STEM profession. teacher strategies and behaviors. These are as follows: (a)
Effective teachers believe in the capabilities of their students,
It is an expectation in CultRT that teachers communicate (b) effective teachers create a cultural bridge between the
care. Teacher reflection is needed to insure that behavior home and the school, (c) effective teachers use differentiated
demonstrates care that is received as care (Noddings, 1999). instruction and strategies based upon Gardner’s Multiple
It is not limited to the teachers’ intention or hopes, but Intelligences, and (d) effective teachers use strategies of reflec-
extends to the recipients’ perception and recipience. tion and praxis. From the voices of my participants, there is
Finally, Dorcas and Andrea call for teachers not to feel evidence that suggests that teachers who use the tenets of
intimidated or threatened when students voice their CultRP and CultRT experience positive academic outcomes
opinions. They should establish a professionalism that enables for their students.

Challenge to Teacher: Care That Reflects a students develop confidence in their ability and accept their
Positive Belief in Students inabilities as areas that can be improved.
Dorcas was able to realize these goals for her students
The belief system of teachers often reflects their position in through firm boundaries and consistent classroom manage-
the social hegemonic structure and affects their beliefs about ment strategies. She used her Jamaican dialect, familiar to
the U.S. educational system. If they consider themselves as a her Afro-Caribbean students, and spoke in Spanish as needed
representative of the dominant culture, they may enter the in her class. Gay (2000) noted the importance of respecting
field with a belief system that views students of African and incorporating the dialects of African American students
descent as less capable and less intelligent (Martens, Johns, in writing projects.
Greenberg, & Schimel, 2006; Steele & Aronson, 1995). This There is a dynamic tension of care intertwined with pres-
belief system and its comparative support structure often sure toward academic excellence and achievement. This also
serve to reinforce the academic deficits in Black students includes having classroom management strategies that
(Wiggan, 2007). increase reciprocal respect between teachers and students
These belief systems are reflected in the ways in which (Marzano, Gaddy, Foseid, Foseid, & Marzano, 2005). The
services are provided to students. In Afia’s narrative of the classroom becomes a place filled with verbal affirmations.
Black and Asian student, the Asian student may not get the This serves to counter the stereotype threats that students
help he or she needs because of the teacher’s misguided may have received that are transmitted through media, peers,
beliefs about Asians and their intelligence. The teacher teachers, and the society at large (Smith & Hung, 2008). By
openly shared her stereotype threats regarding the superior using positive, relevant strategies, teachers partner with the
intelligence of Asians, while implying that the Black student family to build the self-confidence of their students.
was intellectually inferior (Martens et al., 2006; Steele & Within this paradigm, Dorcas demonstrated her belief in
Aronson, 1995). These beliefs permeate the ways in which her students’ ability through her expectation that they would
educational services are offered to students. Teachers are succeed academically and replace her as a fellow profes-
challenged to seriously contemplate their belief systems to sional. She challenged the beliefs of her colleagues with her
recognize how these beliefs affect their behavior. To confront straightforward expectation that her students would “fill her
their personal biases, CultRP requires that they learn the cul- shoes.” This reflected her faith in her students’ potential to
ture of students, so that they do not employ misconceptions excel.
that impede the learning and equitable access to high-quality
education. Challenge to Teachers: Providing the Link for
Noddings asserts that caring involves an agent career and
Culture and School
an agent who feels cared-for. In addition, caring is not a cur-
riculum but a quality in the person who is actively demon- By bridging the culture of home with the school community,
strating care (Noddings, 1999). Such teachers who value and teachers can create the link that supports the equitable aca-
respect their students tend to communicate this through their demic outcomes for all students (Ladson-Billings, 1995b).
behavior. The result is a student who is motivated to apply Social justice pedagogy requires teachers to bring the
more effort (Gay, 2000). The student must genuinely feel that home and community culture together in a congruent rela-
the actions of the teacher are motivated by their desire to see tionship to be utilized as a resource for academic success
them excel academically. (Cochran-Smith, 2004).
According to Tucker et al. (2010), successful African CultRT and CultRP teachers see themselves as commu-
American male students at an inner-city school reported that nity partners with parents and share the responsibility for
they felt teachers treated them as if they mattered (cared student excellence.
about them) and conveyed high expectations. One student Nubia’s story from seventh grade illustrated this bridging.
explained that when his grades slipped even a little, his She explained how her English teacher took the time to
teacher immediately noticed the trend and communicated the inquire into her cultural background and develop a strategy
expectation that it was not acceptable and improvement is for her success and assimilation into the U.S. educational
needed. This supports Gay’s (2000) assertion that CultRP are system. Nubia, along with Dorcas and Afia, adopted this
those who care about their students and demonstrate this care strategy of CultRP by actively getting to know the culture
in their behaviors and verbal interactions. and backgrounds of their students to better serve their needs.
Caring does not equate to condoning bad behavior nor Their instructional starting point was based upon their
does it imply an unfair advantage for the student. Ladson- knowledge of the students’ culture to improve learning (i.e.,
Billings (1994) insists that CultRT promote classrooms that setting up tutoring meetings, starting with their interests, and
are intellectually challenging and reflect consistent expecta- learning profiles).
tions. CultRT classrooms demonstrate control and order. The Furthermore, teachers such as Dorcas and Nubia verbal-
caring teacher provides dependable and consistent structure ized their expectations that their students were to become
that students learn to rely on to thrive. These classrooms help professionals. This validation helped bolster the students’

belief in their ability to succeed. They demonstrated their erode the self-confidence of students and become a self-
concern and knowledge of the issues their students faced and fulfilling prophecy that impedes their academic progress. To
recognized the sociocultural complexities (i.e., perceptions build the self-confidence of students, teachers must under-
of inferiority or of feeling “stupid”). They acknowledge that stand their identity and situate it in the hegemonic structure
as educators they are an integral link to the home; they of society. Regardless of race and gender, there is privilege
embraced the belief that parents, as the first teachers, genu- and power that is derived from being a teacher in the room.
inely care about the educational progress of their children. In subtle conversations like the one regarding the students
and Special Education, beliefs are presented based upon
racial constructs that affect the way services are provided.
Challenge to Teachers: Creating Classrooms That
White schools and neighborhoods often set academic
work benchmarks that are used as the standard for comparison
It is the culturally responsive teacher who creates a class- (Wiggan, 2007). When Black schools and neighborhoods are
room climate that integrates students’ experiences into the compared with this set of standards, which are often cultur-
lesson to better effect learning (Gay, 2000). In this way, A ally biased, Black schools often fall short (J. Aronson et al.,
(teacher) + B (student) = (yields) C (increased learning out- 2002). This indicates that Whites continue to be the standard
put for student and teacher). This is because the teacher has measuring rod for academic success irrespective of socio-
learned about the culture and the learning style of the student economic, language, or cultural perspectives.
and the student has learned the academic information, hence Furthermore, teachers are challenged to resist the beliefs
both are learners. that parents of Black children do not care about the educa-
As CultRT teachers see knowledge acquisition as mining tional progress of their children. Too often, teachers use this
for information rather than banking, they take time to get to misbelief to excuse their ineffective teaching and minimize
know their students and are able to create classrooms that their responsibility in the academic progress of their stu-
encourage all voices in the room. This is why Dorcas advo- dents. Lynn et al. (2010) conducted an 18-month ethno-
cates a Socratic method that employs questioning and class- graphic study at a failing school in the mid-Atlantic region of
room interaction. She explained that this was her “style.” the United States. Their findings overwhelmingly demon-
CultRT teachers are not afraid of providing the platform for strated that teachers, administrators, and counselors believed
inquiry, self-expression, analysis, concerns, or opinions. that student underachievement was due to lack of motivation
Andrea allowed staff members to voice their opinions to and lack of family support. They further believed that the
empower their ideas even if she did not agree. She afforded poor outcomes had nothing to do with their performance as
them the opportunity of having these considered for imple- teachers or support staff. These misconceptions serve to
mentation. As such, CultRT teachers are challenged to excuse the ineffective learning environment by placing
encourage critical thinking skills that sustain student interest blame solely at the feet of the learner and their parents. What
through conversation and student interaction. Effective it does not do is consider the culture and community that
teachers understand the power of classroom interactions and these students represent which is essential in forming a part-
allocate power to their students through the inclusion of their nership that produces academic success.
voices (Delpit, 1988). They are not in a power struggle with
their students, but rather they are working to actively
empower them (Cochran-Smith, 2004). Conclusion
With the changing demographics and increased percentage
Challenge to Teachers: Developing the Art of of immigrant students in the United States, there is a need for
teacher training programs that will establish continuity
Teaching between home and school. In addition, educators must be
Just as no artist or creator can run out of ideas, teachers who trained or retrained to facilitate high levels of student learn-
reflect upon their practice are constantly changing and making regardless of socioeconomic or cultural differences. This
ing themselves anew for the diverse students in their charge. may require teachers to reflect upon their beliefs regarding
CultRT teachers have come to realize that teaching is not a the ability of students of African descent. The basic tenant of
scripted technical skill. CultRT teachers are not afraid to take CultRP and CultRT is that students make academic progress
risks to see their students excel. The challenge here to teach- and become critical knowledge producers by engaging their
ers is to engage in reflective behaviors that can lead to curriculum. This is not negotiable. As successful women in
improved practice to ensure that all students are successful STEM, the voices of my participants proved insightful in
learners. validating and offering support for CultRP and CultRT.
Constant reflection of practice is needed to eradicate ste- This study focused on the behaviors and beliefs of teachers.
reotype threats that reveal a belief in the lack of intelligence However, principals, educational leaders, and support staff are
of students (Steele & Aronson, 1995; Martens et al., 2006). challenged to reconsider the ways in which their beliefs affect
These biased communications, whether verbal or non-verbal, policies and procedures that maintain hegemonic structures.

Effective teachers need schools and administrators who Borum, V., & Walker, E. (2012). What makes the difference? Black
allow them to transgress the normative boundaries to eradi- women’s undergraduate and graduate experiences in math-
cate barriers that restrict STEM access for Black students. ematics. The Journal of Negro Education, 81, 366-378
“In-service training is needed for all school personnel from Boser, U. (2014, May). Teacher diversity revisited: A new state-by-
state analysis. Center for American Progress. Available from
the ancillary staff to the classroom teacher to increase the
www.americanprogress.org
cultural competence . . . and foster respect for students and
Burton, L. M., Bonilla-Silva, E., Ray, V., Buckelew, R., & Freeman,
their families of origin” (King Miller, 2013, p. 183). There is E. H. (2010). Critical race theories, colorism, and the decade’s
an appeal to principals and school superintendents who are research on families of color. Journal of Marriage and Family,
tasked with budgetary allocations to show their support by 72, 440-459. doi.10.1111/j.1741-3737.2010.00712.x
funding such initiatives. Catalyst. (2012). Women in academia. Available from www.cata-
Further study is needed to provide evidence on the ways lyst.org
in which CultRP and CultRT are effective in classrooms with Chen, B. (2011). The effect of student ethnicity on teacher percep-
immigrant Blacks and Latina students. This study is limited tions. Journal of Research in Education, 21(2), 55-65.
in that it reports from a small purposive sample and focuses Cholewa, B., Amatea, E., West-Olatunji, C., & Wright, A. (2012).
specifically on females. This study reported only on the ways Examining the relational processes of a highly successful
teacher of African American children. Urban Education, 47,
in which CultRP and CultRT concurred with the effective
250-279. doi:10.1177/0042085911429681
teaching strategies employed by or recognized by these Afro-
Clarke, V., & Riviere, E. (1989). Establishing new lives selected
Caribbean females in STEM careers. readings on Caribbean immigrants in New York City. New
Ultimately, if the United States is to be effective in the York: Medgar Evers College City University of New York.
global science, engineering, technological, and mathematics Cochran-Smith, M. (2004). Walking the road: Race, diversity, and
market, it is important to challenge views regarding gender social justice in teacher education. New York, NY: Teachers
and race constructs. There is no room for the exclusion of College Press.
sectors of the population based upon racial constructs. Coleman, J. (1988). Equality of educational opportunity. Salem,
Effective teachers acknowledge that they are agents of MA. Ayer Company.
change for all students to achieve academic success. Creswell, J. (2007). Qualitative inquiry & research design choosing
among five approaches (2nd ed.). Thousand Oaks, CA: SAGE.
Delpit, L. (1988). The silenced dialogue: Power and pedagogy
in educating other people’s children. Harvard Educational
The author(s) declared no potential conflicts of interest with respect Review, 58, 280-298.
to the research, authorship, and/or publication of this article. Emerson, R., Fretz, R., & Shaw, L. (1995). Writing Ethnographic
Fieldnotes. Chicago, Illinois: University of Chicago.
Funding Freidich, S. (2003, November). No Child Left Behind: What
The author(s) received no financial support for the research and/or it means to teachers. The National Council of Teachers of
authorship of this article. Mathematics New and Media, pp. 1-3.
Freire, P. (1970). Pedagogy of the oppressed. New York, NY:
Continuum International.
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596208
SGOXXX10.1177/2158244015596208SAGE OpenMensah
14
Exploring Constructivist
Perspectives in the College Classroom
Emmanuel Mensah1
Abstract
The study used Explanatory Sequential Design (ESD) of Mixed-Methods to investigate college students’ and instructors’
perspectives of constructivist learning environment (CLE). Students, including graduates and undergraduates from a
Midwestern university, rated their preference for personal relevance, collaboration, negotiation, and autonomy as key
learning experiences embodied in CLE. Results indicated that undergraduates were more likely than graduate students to
prefer collaboration and negotiation experiences. Expanding on the results of students’ quantitative ratings, students’ and
instructors’ perspectives of collaboration were explored. Eight participants (four students and four instructors) participated
in one-on-one interview sessions. Themes that emerged from the qualitative analysis showed that the differences in students’
preference for collaboration related to students’ perceptions of unequal opportunities to collaborate, perceived benefits, and
diverse backgrounds and orientations. In addition, conditions necessary for effective collaboration in the college environment
were explored. Thematic analysis produced three themes: understanding collaboration process; monitoring, assessment, and
evaluation system; and group composition. Implications for practice in the college classroom have been discussed.
Keywords
constructivism, objectivism, knowledge construction, college students, learning
Introduction transformational learning framework; and Baxter Magolda’s,

1999, self-authorship and learning partnership models, etc.)
Postmodernity and its epistemological implications for illuminate frameworks that demonstrate a shift from the tradi-
knowledge and its acquisition have informed a range of tional notion of knowledge acquisition to the conception of the
learning theories that provide frameworks for enhancing stu- construction of multiple realities. The instructional implications
dents’ active engagement. Constructivist frameworks of of these models appear consistent with the assumptions inherent
learning, along this trajectory, have become significant in in constructivism (Jonassen, 1991), with emphasis on students’
most pedagogical decisions across different levels of educa- responsibilities and initiatives in determining learning goals and
tion. The constructivist paradigm posits that all knowledge the regulation efforts toward achieving such goals (Mara, 2005).
and meaning are contingent upon human practices and expe- Creating CLEs requires instructors to meaningfully inte-
riences (Crotty, 1998). In the college classroom, instructors grate their understanding of students’ conceptions and pref-
and students’ conceptions of constructivism shape the peda- erences in such a learner-centered environment (Kember,
gogical landscape by framing their respective understanding 2001; Mara, 2005). In addition, a consideration of instruc-
of the nature of truth and their role expectations. tors’ own epistemological beliefs, conceptions, and percep-
A growing body of literature aligns the constructivist learn- tions about CLEs is critical, given the extent to which they
ing environment (CLE) with the promotion of active student act as facilitators in such a learning environment. Although
engagement anchored in a range of experiences, including several researchers (e.g., Loyens et al., 2008, 2009; Mara,
metacognitive activities, collaborative learning, problem-based 2005; Swan, 2005; Wang, 2009) have investigated various
activities, higher order thinking, and authentic learning experi- conceptions of CLE in the college environment, less is
ences (Gijbels, van de Watering, Dochy, & van den Bossche,
2006; Jonassen, 1994; Jonassen, Peck, & Wilson, 1999; Loyens,
Rikers, & Schmidt, 2008; Sherman & Kurshan, 2005; 1
University of North Dakota, Grand Forks, USA
Tenenbaum, Naidu, Jegede, & Austin, 2001). Within the higher
education context, a myriad of theoretical traditions (e.g., Emmanuel Mensah, University of North Dakota, 3904 University Avenue,
Perry’s, 1970, intellectual development model; Knowles’s, Room # 18, Grand Forks, ND 58202-7189, USA.
1980, andragogy-theory of adult learning; Mezirow’s, 2000, Email: emmanuel.mensah@my.und.edu

Exploring Constructivist Perspectives in the College Classroom 141
known about students’ perceptions of constructivism in the The constructivist tradition. Constructivism speculates that
context of their own preferred learning experiences. To knowledge does not exist independent of the learner, but
expand researchers’ understanding of constructivism in the constructed by the learner (Moallem, 2001). Constructiv-
college environment, the study investigated college instruc- ism offers a more contemporary perspective that learning is
tors’ perceptions of CLE and students’ preferred learning an active process and that the learner is an active agent in
experiences embodied in such contexts. the process of knowledge acquisition. Thus, students
actively participate in the meaning-making process so that
“ . . . the knowledge they construct is not inert, but rather
Conceptual Framework usable in new and different situations” (Jonassen, David-
Learning Paradigms son, Collins, Campbell, & Haag, 1995, p. 11). Within the
individual learners’ minds are the schemata that interpret
Varying philosophical perspectives have drawn increased events, objects, and perspectives based on their own cogni-
attention to contrasted beliefs about the nature of knowledge tive and social experiences (Jonassen et al., 1995). While
and truth. These disagreements are generally extrapolated proponents of constructivism share the view of the exis-
from researchers’ epistemological and ontological positions tence of the real world, however, they argue that learners
regarding what knowledge is and how it can be acquired cannot fully understand the real world in a single way but
(Jonassen, 1999; Vrasidas, 2000). While some researchers in multiple ways (Jones & Brader-Araje, 2002; Piaget,
reject the dichotomy of these philosophical traditions into 1970; von Glasersfeld, 1995; Vygotsky, 1978). Consistent
positions (Cronjé, 2006; Jonassen, 1999; Renkl, 2009), oth- with this claim, constructivists emphasize that classroom
ers conceptualize them as learning paradigms that fall on a experiences should encourage multiple perspectives (Jona-
continuum (Carswell, 2001; Vrasidas, 2000), with the objec- ssen et al., 1995; Vrasidas, 2000).
tivist and the constructivist traditions marking the opposite Dewey (1938), Piaget (1970), Vygotsky (1978), and
ends of that continuum. For the purpose of the study, the Bruner (1996) are few examples of the pioneering works that
researcher focused on the objectivist and the constructivist have laid the foundations for contemporary understanding of
learning paradigms. constructivism. Jean Piaget’s cognitive development theories
and the social constructivist perspectives of Lev Vygotsky
The objectivist tradition. The objectivist tradition is rooted have had the widest influence on the emerging and the con-
in the philosophical belief that an objective reality exists temporary perspectives on constructivism. A review of
outside the mind of the individual (Lakoff, 1987; Swan, Piaget (1964, 1972), Vygotsky (1978, 1981), and other con-
2005; Vrasidas, 2000). Instructors who ascribe to this temporary scholarships (e.g., Fosnot & Perry, 2005; Knight
underlying epistemological position use external stimuli & Sutton, 2004; Tudge & Winterhoff, 1993) reveals a num-
to change the behavioral and the cognitive structures of ber of differences between the cognitive development and
learners toward mastering the content of the learning task the social constructivist perspectives. Piaget’s and Vygotsky’s
(Fosnot & Perry, 2005). Consistent with the objectivist theoretical positions knit together significant intellectual
tradition, instructional strategies focus on transferring the foundations beyond their mere categorizations (Tudge &
“objective knowledge” to the learner through strands of Winterhoff, 1993). Consistent with this view, the research-
activities perceived to be independent of the learner (Jona- er’s theoretical position was guided by both the tenets of the
ssen, 1999; Vrasidas, 2000). Vrasidas (2000) argued that cognitive development theory, as well as the social construc-
most traditional methods of learning and teaching ascribed tivist perspectives.
to the behavioristic and cognitive theories share philo-
sophical assumptions that are fundamental in objectivism.
Cognitive Development Theory
These methods emphasize the role of memorization of
facts, replication of content and structure, and the pre- The study of cognition regarding the nature of knowledge
scription of a series of steps that learners have to follow in and knowing became an important area for Piaget at the time
the process of knowledge acquisition (Jonassen, 1991). when behaviorists’ ideas about learning were widespread
Students acquire knowledge by learning a defined body of (Swan, 2005). From behaviorists’ point of view, learning
knowledge within instructor-prescribed boundaries, while means a systematic change in human behavior in response to
instructors’ role is to identify the course objectives physical stimuli. With this fundamental understanding, edu-
required of students and then systematically arrange the cators use reinforcement, practice, and external motivation
content to reach those objectives (Carwile, 2007). While to influence the behavior patterns of learners (Fosnot &
the objectivist cast focuses more on documenting changes Perry, 2005). Opposite to this perspective, Piaget (1964,
in students’ behavior and cognitive schemes, with limited 1970) drew attention to the changes that occur within the
emphasis on meaning-making (Vrasidas, 2000), its useful- internal mechanisms of cognition and how such changes can
ness in the context of student learning is significant influence the process of meaning-making. Piaget (1964)
(Jonassen, 1999). maintained that

[T]o know an object is to act on it . . . [T]o know is to modify, to Tudge and Winterhoff (1993) argued that the zone is cre-
transform the object, and to understand the process of this ated in the course of social interaction. For Vygotsky, the
transformation, and as a consequence to understand the way the nature and the form of historical developments in any given
object is constructed. (p. 20) culture influence a number of experiences, including think-
ing, literacy, numeracy, and art which are also embedded in
Knowledge development, according to Piaget (1964), is that culture (Tudge & Hogan, 1997).
underpinned by what he termed “operational structures” (p. 20).
He specified these structures as follows: sensory-motor stage
(infancy), pre-operational stage (toddler and early childhood), Knowledge Construction in the College
concrete operations (elementary and early adolescence), and Environment
formal operations (adolescence and adulthood). Therefore, to
The mechanism of meaning-making by students is a dynamic
understand the process of knowledge development is “to under-
process mediated by multiple experiences and structures in a
stand the formation, elaboration, organization, and functioning
given learning context (Jonassen et al., 1995). The consider-
of these structures” (Piaget, 1964, p. 20). Transitions across
ation of Piaget’s cognitive development theory and Vygotsky’s
these stages are marked with qualitative changes in successive
social constructivist perspectives highlights frameworks that
order (Tudge & Winterhoff, 1993). According to Piaget (1964),
conceptualize learning as a dynamic activity situated in a unique
these changes are mediated by a host of factors, including matu-
physical, cognitive, social, and a cultural context. Students con-
ration, experience, social, or linguistic transmission, and what
struct knowledge through their active engagement in their phys-
he called equilibration. Piaget (1964) used the term equilibra-
ical, social, cultural, and mental environments (Swan, 2005;
tion to explain the process of self-regulation toward achieving a
Wang, 2009). Specifically, the intersection of these two theoreti-
balance between two intrinsic polar behaviors of assimilation
cal dimensions accentuates the role of individuals’ cognitive
and accommodation. Thus, according to Piaget, to know an
structures, as well as the social and the cultural milieu in the
object or an event involves active processes of assimilation and
process of meaning-making (Fosnot & Perry, 2005).
accommodation. The former relates to how learners translate
incoming information into a form that they can understand, and
The cognitive context. Piaget’s model of cognitive develop-
the latter denotes how individuals adjust their current knowl-
mental progression informs a frame of understanding that
edge structures in response to new experience (Tudge &
learning as a developmental process is an interplay between
Winterhoff, 1993).
the structures of the mind and the knowledge that students
construct. Learners build their knowledge structures by dis-
Social Constructivism Theory covering and transforming information, checking new infor-
Social constructivism provides a frame that shifts emphasis mation against old, and by revising rules when they no longer
from the individual construction of knowledge to a view of col- apply (Loyens et al., 2008). Students make sense of their
lectively constructed meaning (Sivan, 1986). Although Piaget own experiences by building and adjusting their knowledge
theoretically related development and knowledge to the inter- structures that collect and organize perceptions and reflec-
nal changes, Vygotsky (1978) focused on the external changes, tions (Swan, 2005). Even though Piaget’s theory was origi-
with an emphasis on cultural contexts mediated by language nally developed to explain the cognitive organization of how
and other symbolic systems. According to Vygotsky (1978), children and young adolescents come to know and construct
the means by which culture and knowledge are transmitted new perspectives of their environment (Fosnot & Perry,
influence the way learners think, act, and the meaning that they 2005), its pedagogical relevance has been extended to the
make. Social constructivist theorists posit that “ . . . culture pro- college classroom. Specifically, the cognitive development
vides the context in which the tools and signs (e.g. language perspectives of Piaget remain significant foundations of the
and numbers) and knowledge (a body of affective and cogni- neo-Piagetian perspectives (Labouvie-Vief, 1992; Suther-
tive information available to an individual) are shaped” (Sivan, land, 1999). The extension of Piaget’s ideas in the study of
1986, p. 214). Language is viewed as a tool of thought and adult cognitive development has shown that young and older
cognitive activity. For Vygotsky (1978), development and students demonstrate varying functional and optimal levels
learning are not achieved by learners in an equal measure; of cognition in their abstraction of ideas and their ability to
therefore, there is always a qualitative gap between these access at optimal levels (Knight & Sutton, 2004).
dynamic processes, which he terms this gap the zone of proxi- Perry’s (1970) scheme of intellectual development
mal development. Thus, the zone of proximal development describes nine progressive stages through which college stu-
dents navigate during their intellectual development. Perry’s
. . . is the distance between the actual development level as scheme has informed a number empirical and theoretical
determined by independent problem solving and the level of works and educators’ understanding about how college stu-
potential development as determined through problem solving dents’ epistemological beliefs in the meaning-making pro-
under adult guidance or in collaboration with more peers . . . cess shift from a dualistic view to an understanding that one
(Vygotsky, 1978, p. 33) can approach a situation from different perspectives, and to

the development of a personal opinion, acknowledging that Mara (2005) was one of the few inquiries that used a
all knowledge and ideas are relative (Loyens et al., 2009). qualitative method to examine the impact of the design of
However, several other researchers (e.g., Baxter Magolda, CLEs on college instructors’ epistemological belief sys-
1992; Belenky, Clinchy, Goldberger, & Tarule, 1997) have tems and how instructors’ epistemologies might be
observed that Perry’s scheme is limited in accounting for a affected by engaging in CLE design. Based on the themes
broader demographic representation of students because it that emerged from the data analysis, Mara concluded that
was developed based on interviews with students of Harvard instructors who were in a zone of “readiness” for intel-
University who are predominantly of White middle-class. lectual growth could experience epistemological growth
Kember (2001) examined students’ beliefs about the process from this experience. However, Mara’s study does not
of teaching and learning in the college classroom by draw- address how the instructors’ epistemological beliefs influ-
ing from the assumptions that students bring to class a set of ence their understanding and their pedagogical decisions
beliefs about the nature of knowledge, a conception of learn- in the CLE.
ing, and a belief about how teaching should take place.
Kember argued that these beliefs constitute a major factor in The social context. The social dimension of learning has
the degree to which students are able to cope with learning. become an important component in different learning envi-
While the study concludes that the set of beliefs about ronments, including online and face-to-face experiences
knowledge, learning, and teaching is a fundamental factor in (Moallem, 2003). In the adult learning environment,
determining how well students cope with learning, it failed Vygotsky’s social constructivist framework draws attention
to address how these beliefs and conceptions of students are to the mediating role of the sociocultural context in which
incorporated into the instructional decisions. teaching and learning are situated. Specifically, Vygotsky’s
Several other researchers (see Harrington & Enochs, constructivist perspectives illuminate frameworks that help
2009; Loyens et al., 2008, 2009; Tenenbaum et al., 2001) to explain how learners’ construction of knowledge is influ-
investigated students’ conceptions of the CLE using quanti- enced by the sociocultural landscape of the learning environ-
tative scales. For instance, Loyens et al. (2009) investigated ment. From Vygotsky’s perspectives, knowledge is the
students’ conceptions of constructivist learning using quan- outcome of the mechanism of individuals’ social, as well as
titative measures of students’ knowledge construction, cultural, experiences. Drawing from this perspective,
cooperative learning, self-regulation, use of authentic prob- researchers consider learning as a social process in which
lems, self-perceived inability to learn, and motivation to learners collaboratively construct knowledge through inter-
learn. In this cross-sectional study, the researchers found a active processes of information sharing, active participation,
significant difference in the questionnaire’s scores between negotiation, and modification (Gunawardena, Lowe, &
Year 1 and Year 2 (but not between Year 2 and Year 3) Abderson, 1997; Swan, 2005; Wang, 2009).
regarding students’ conceptions about knowledge construc- Social learning takes the form of group projects, whole
tion, self-regulation, and the use of authentic problems, but class discussions, collaboration, and cooperative learning
not for cooperative learning and motivation to learn. Based experiences (Wang, 2009). Although constructivists differ on
on the results, the authors concluded that differences in stu- how peer learning, including collaborative learning, contrib-
dents’ conception of knowledge construction, self-regula- utes to knowledge acquisition, they seem to speculate a
tion, and the use of authentic problems can be observed shared understanding that social design of CLE facilitates
between students who enter a new learning program and construction of social relationships, social negotiation, and
students who already have 1 year experience in higher edu- social interactions (Greeno, Collins, & Resnick, 1996;
cation. Similarly, Tenenbaum et al. (2001) used a quantita- Loyens et al., 2008). Collaborative and cooperative learning
tive survey to investigate the presence of constructivist experiences allow students to construct a shared understand-
principles in the face to-face and in open and distance ing by negotiating appropriate meaning and solutions to
learning (ODL) environments within higher education. learning tasks (Jonassen et al., 1995). Osterholt and Barratt’s
Their results indicated seven components of constructivist (2010) examined the use of collaborative learning as a tool to
teaching and learning: arguments, discussions, and debates; address social and emotional inhibitors that have the poten-
conceptual conflicts and dilemmas; sharing ideas with oth- tial to impede beginning college students’ successes. The
ers; materials and measures targeted toward solutions; authors found that central to creating a collaborative-facili-
reflections and concept investigation; meeting student tated environment are the instructors’ knowledge and com-
needs; and making meaning and real-life examples. petencies to guide, model, and provide critical thinking
Although the generalized results of these studies have opportunities for students as they learn and apply collabora-
added to the growing literature in the field, they fail to pro- tive skills. Notwithstanding, Osterholt and Barratt’s scope of
vide in-depth understanding about how the background the study was limited to beginning college students, failing
experiences of students affect their conceptions of CLE and to account for broader demographic dynamics.
what learning experiences students might prefer in such a McDuff (2012) compared students’ comments, reflec-
learner-facilitated learning environment. tions, and evaluations in traditional and collaborative

learning classes and reported increased student active Sample

engagement and interest in the collaborative learning
environment, compared with the traditional classroom The questionnaire was administered to a sample of 150
environment. Chapman and van Auken (2001) used a undergraduate (75%) and 50 graduate (25%) students drawn
path-analysis model to examine the role of college instruc- from a Midwestern university. Participants included 165
tors in influencing students’ attitudes, perceived benefits, (82.5%) females and 35 (17.5%) males. Their median age
and work and grade equity concerns regarding group was 20 years (range = 18-64). More than half of the partici-
activities. The authors found that students were more pants were White (75%), followed by Black/African
likely to have positive attitudes about group work if they American (15%), Hispanic/Latino (5%), American Indian/
had instructors who discussed group management issues Alaska Native (2.5%), and Asian/Asian American (2.5%).
(e.g., group dynamics) and used methods to evaluate indi- They were enrolled in different programs, including edu-
vidual performance within the group (e.g., peer evalua- cation (106), nursing (30), occupation therapy (36), and
tions). However, because both studies used quantitative communication disorders (28) during fall 2014.
measures to investigate students’ attitudes and percep-
tions, they provide limited depth of understanding about Procedure
how educators can use their understanding of group
dynamics to provide enough accommodation for different Participants were given paper and survey designed to col-
learning styles when assigning group projects. lect demographics and perceptual information on students’
In sum, extant literature demonstrates that different preferred learning experiences. The survey was adminis-
aspects of students’ and instructors’ conceptions of the tered in six different classroom settings during regular
CLE have been studied in the college environment. While class sessions. In some cases, the instructors teaching the
several conclusions drawn from these studies have pro- courses administered the survey. However, to minimize
vided a breath of knowledge, they do not fully address the the potential for students to feel coerced to participate in
multidimensional nature of the CLE (Jonassen et al., 1995; the survey, participation was voluntary and completely
Taylor, Fraser, & Fisher, 1997). Thus, knowledge about anonymous. Instructors were blinded to the identity of the
students’ perceptions of their preferred learning experi- participants. In addition, no conditions such as earning
ences in a CLE is limited. The consideration of this gap extra credit were attached to participation. In all cases,
informed the scope of the current study. participants had the same instructions, and they returned
the completed survey to either the researcher or the
instructor. Participants independently completed the ques-
Method tionnaire, which took approximately 8 min. Of the 220
The study used Explanatory Sequential Design (ESD) to surveys that were administered, a total of 200 were com-
investigate college students’ and instructors’ perceptions pleted for a response rate of 89%.
of CLE. Consistent with the design, data were collected
in two phases. First, the researcher collected and ana- Measures
lyzed results of quantitative data (Quantitative phase) and
then followed-up with an in-depth qualitative study for Using Piaget’s cognitive theory, Vygotsky’ social construc-
possible explanations to the quantitative results tivism, and conceptual perspectives (Jonassen et al., 1995;
(Qualitative phase; Creswell & Plano Clark, 2010). Taylor, Fraser, & Fisher, 1993, 1997) as lens, 20 items were
Specifically, the researcher used the follow-up explana- designed to measure students’ preference for personal rele-
tion model where the qualitative phase expanded on the vance, collaboration, negotiation, and autonomy in their
quantitative results to offer a better understanding of the learning experiences. However, the constructs were named
outcome (Creswell & Plano Clark, 2010; Ivankova, after performing principal components analysis (PCA). The
Creswell, & Stick, 2006). four constructs constituted the dependent variables, and stu-
dents’ level of education which was dichotomized into two
levels (graduate and undergraduate) represented the inde-
Quantitative Phase pendent variable.
The purpose of the quantitative phase of the study was to
investigate college students’ preferred learning experiences Personal relevance. The measure of personal relevance scale
embodied in the CLE. Specifically, the first phase of the dealt with students’ perceived preference for opportunities to
study was guided by the following research question: relate learning experiences to their own personal and learn-
ing needs. Five items were included in this construct, with
Research Question 1: Do graduate and undergraduate each item measured on a 6-point Likert-type scale (strongly
students differ in their perspectives of their preferred disagree = 1, strongly agree = 6). Internal consistency
learning experiences in constructivist contexts? (Cronbach’s α) of this scale was .70.

Collaboration. The collaboration construct measured stu- that the sample was normally distributed, and there were no
dents’ perceived preference for opportunities to work with extreme outliers (Tabachnick & Fidell, 2001). Overall, par-
other students to accomplish group tasks (Johnson, John- ticipants’ preference patterns were above the mean score.
son, & Stanne, 2000). This construct consisted of four This indicated that students’ preference for autonomy, per-
items measured on a 6-point Likert-type scale (strongly sonal relevance, negotiation, and collaboration in their
disagree = 1, strongly agree = 6). Internal consistency of learning experiences were generally high. Descriptive sta-
this scale was .85. tistics (Tables 1 and 2) show mean scores and standard devi-
ations for individual items and the factors.
Negotiation. The negotiation scale assessed the perception of PCA with factor loadings which yielding four factors
students’ preference for opportunities to interact and negoti- (autonomy, negotiation, collaboration, and personal rele-
ate meaning and build consensus by explaining and modify- vance) is shown by Table 3. The inter-correlation coeffi-
ing their ideas in contexts of other students’ ideas (Taylor cients were positive and showed statistically significant
et al., 1993). The scale was determined by three items mea- relationships among all factors. However, collaboration
sured on 6-point Likert-type scale (strongly disagree = 1, and negotiation factors demonstrated the strongest corre-
strongly agree = 6). Internal consistency (Cronbach’s α) of lation (r = .42, p < .001). All correlations were significant
this scale was .65. at α = .01 level. Correlation matrix has been reported with
Cronbach’s alpha reliability coefficients in Table 4.
Autonomy. The measure of autonomy related to students’ Results of the Univariate T analysis indicated that gradu-
preference for opportunities to exercise some degree of con- ate and undergraduate students significantly differed in
trol over their learning experiences and to think indepen- terms of their preferences for collaboration and negotia-
dently of instructors and other students (Taylor et al., 1993). tion. Specifically, undergraduate students reported signifi-
Five items measured the scale of student autonomy. Partici- cantly higher levels of preference for collaboration and
pants rated each item on 6-point Likert-type scale (strongly negotiation, with relatively small effect sizes. The results
disagree = 1, strongly agree = 6). Internal consistency (Cron- (see Table 5) suggested the extent of shared commonali-
bach’s α) of this scale was .74. ties between the concepts of negotiation and collabora-
tion. The results of the quantitative phase motivated the
Data Analysis exploration of perceptions that might explain the prefer-
ential differences between graduate and undergraduate
Descriptive statistics were performed to explore variations students in terms of collaboration and negotiation learning
and the overall distribution of study variables. Two nega- experiences. A consideration of an expansion on the quan-
tively worded items were reverse coded. To analyze the con- titative results allowed the researcher to explore other
struct validity, PCA was conducted using maximum conditions or factors that might be important in making
likelihood extraction with varimax rotation (Pallant, 2011). collaboration effective in the college classroom. These
This gave a four-factor structure that explained 44.9% of the conclusions informed the qualitative phase of the study.
systematic covariance among the items. These factors
reflected different dimensions of constructivism and using Qualitative Phase
theoretical and conceptual understandings, they were named
as personal relevance, collaboration, negotiation, and auton- Purpose and research questions. With the qualitative phase,
omy. Included items had loadings >0.30 on the factor and the follow-up explanation model was used to explain and
were considered relevant in the conceptual category. Only expand on the quantitative results (Creswell & Plano
factors with eigenvalues >1 were retained. The internal con- Clark, 2010; Ivankova et al., 2006). The purpose of the
sistency reliability of each scale was determined, and qualitative phase was to explore students’ differential
Cronbach’s alpha coefficients were reported. Three items preference patterns toward social learning. Specifically,
not fitting any of the four factors were dropped and excluded as collaboration being an umbrella term (Smith & Mac-
from further analysis. Pearson correlation matrix was per- Gregor, 1999), shares conceptual commonalities with
formed to determine the extent to which the subscales co- negotiation (Osterholt & Barratt, 2010). Based on this
varied. To assess the association between the independent understanding, the second phase of the study focused on
variable (level of education) and the factors, Univariate T collaboration. This phase explored how differences in
tests were performed. Mean values were presented and sta- graduate and undergraduate students’ preferences for col-
tistical significance was determined at p < .05. laborative experiences were a reflection of both student
and instructor perspectives and classroom experiences.
The study also explored conditions that were essential for
Results creating collaborative learning experience in the college
Examination of histograms and box plots, as well as skew- environment. Specifically, the study was guided by two
ness (−1.0 to +1.0) and kurtosis (−1 to 0) values, indicated main research questions.

Table 1. Student Preference for Autonomy, Personal Relevance, Negotiation, and Collaboration in Their Learning Experiences
(6 = Strongly Agree, 1 = Strongly Disagree) Mean and Standard Deviation.
Survey questions M SD
Autonomy
1. I prefer lessons that provide opportunities for me to exercise control over my own 4.5 0.9
learning experiences.
2. I rather prefer that instructors allow students to construct their own understanding. 4.1 0.9
3. I would rather prefer to learn to follow instructors’ methods of investigating problems.a 4.5 1.0
4. I prefer to set my own learning goals in the classroom. 4.4 0.8
5. I like it when I have to determine my own learning pace. 4.6 1.0
Personal relevance
1. I prefer lessons that offer practically relevant information. 5.3 0.8
2. I prefer lessons that relate ideas to real-life situations. 4.9 0.9
3. I understand new concepts better when they relate to my background experience. 5.1 0.8
4. I prefer to acquire knowledge that is useful in everyday life. 5.0 0.8
5. I do not like to learn things that are irrelevant to my everyday routines. 5.3 0.8
Negotiation
1. I prefer having other students explain concepts to me than professors. 2.9 1.1
2. I like it when other students challenge my ideas. 4.1 0.9
3. I prefer to know the perspectives of other students in my class. 4.0 1.2
Collaboration
1. I prefer lessons that are driven by group discussions. 4.4 1.2
2. I learn better when engaged in group activities with other students. 4.2 1.4
3. Group activities make me a better learner than individualized activities. 3.9 1.4
4. I would rather prefer individual-based inquiries than group activities.a 3.4 1.3
a
Item that was reverse coded.
Table 2. Mean and Standard Deviation of the Dependent and Table 3. Factor Loadings for the Constructivist Learning
Independent Variables. Experiences Survey.
Variables M SD Personal
Item Autonomy relevance Negotiation Collaboration
1. Age undergraduates 20.1 2.0
2. Age graduates 30.1 10.6 a_8 .59
3. Autonomy 22.4 3.2 a_19 .54
4. Personal relevance 25.7 2.8 a_22 .77
5. Negotiation 11.0 2.5 a_24 .50
6. Collaboration 15.8 4.3 a_29 .71
pr_q3 .46
Note. Descriptive statistics (Table 1) show two levels of the independent pr_12 .63
variables and the four factors that were used as dependent variables in
pr_15 .75
the Univariate T tests analyses.
pr_25 .62
pr_26 .55
Research Question 2: How are college students’ prefer- ng_14 .76
ential differences in collaboration reflected in students’ ng_16 .45
and instructors’ perceptions of collaboration? ng_20 .64
Research Question 3: What conditions are necessary for cl_7 .55
creating collaborative learning environment in the college cl_11 .87
classroom? cl_18 .85
cl_21r .82
% variance 11.3 8.8 5.0 11.2
Participants Eigenvalue 5.4 2.5 1.4 3.0
The participants were college students and instructors from a Note. N = 200 college students. The factor loadings produced four factors
Midwestern university. Student participants had enrolled in (autonomy, negotiation, collaboration, and personal relevance). Three
various courses during the fall 2014 semester. Instructor items were dropped.

Table 4. Correlation of Subscale Constructs and Measures of among variables, and common patterns that were emerging.
Internal Consistency. A consistent study of the common patterns and the relation-
Subscale constructs 1 2 3 4 α ships that had emerged allowed for further organization of
the data into categories and themes. The researcher made
1. Collaboration — .85 some assertions based on the themes that emerged with com-
2. Personal relevance .20** — .70 posite descriptions of the phenomena (Creswell, 2013). The
3. Negotiation .42** .29** — .63 researcher triangulated qualitative data with the quantitative
4. Autonomy .30** .36** .33** — .74 data which allowed for a broader understanding and also
**p < .05, two-tailed. informed accurate and a complete account of the data col-
lected (Maxwell, 2005). Thus, the qualitative findings were
corroborated with the quantitative results.
participants taught courses during the fall 2014 semester. In
all, eight participants (four students and four instructors) vol-
unteered to participate in the qualitative phase. Table 6 pro- Findings
vides a summary of participants’ background information.
Students’ and Instructors’ Perspectives of
Collaboration
Procedure
First, the researcher explored how the differences in college
The selection of student participants was open to instructors students’ preference for collaboration reflected in the way
and students. However, consistent with the framework of the students and instructors perceived collaboration. Second, the
ESD, the researcher purposefully selected students and researcher explored conditions that might allow for effective
instructors who might provide useful discussions to the con- collaboration in the college classroom. With the first part,
cept of collaboration (Maxwell, 2005). There were no spe- three main themes emerged from the analysis of the qualita-
cific exclusionary criteria for participant selection, except tive data: opportunities for collaboration, perceived useful-
that participants had to be either currently teaching (instruc- ness, and students’ background and orientations.
tor participant) or enrolled in at least one course during the
fall 2014 (student participant). These courses included both
Opportunities for collaboration. The findings indicated that
online and face-to-face. Student participants who partici-
undergraduate and graduate students seemed to have different
pated in the quantitative survey volunteered to participate in
range of opportunities to engage in collaborative activities.
a follow-up qualitative study. Email correspondences with
Nick who taught both graduate and undergraduate courses dis-
prospective participants, including instructors, were used at
closed that undergraduates have more opportunities to work in
all stages of the recruitment process.
small groups. However, it was found that graduate students’
level of engagement in collaboration was relatively lesser than,
Data Collection perhaps, expected. As Gifty, a graduate student, indicated:
All the eight participants were engaged in two sessions of I think collaboration learning is important in graduate education
one-on-one interview, lasting approximately 45 min at each and should be used more often than it is being used because a lot
session. Participants were asked semi-structured questions of people come from different backgrounds with different ideas,
with follow-up questions. All interview sessions were audio- different work experiences, and sharing that really helps other
recorded which allowed the researcher to take notes and students who may not have had the experience to work in certain
guided participants into areas of more depth. All participants places . . . but it is not being used as much.
were assigned pseudonyms. This was to identity participants’
quotes and comments for appropriate referencing. Using phe- A different dimension to this finding was the indication
nomenological lens (Charmaz, 2011), the researcher aimed at that graduate students seemed to have different level of
learning about participants’ understanding of collaboration expectations for collaboration learning. The findings also
from their own perspectives, without any preconceived struc- showed that graduate students expected varied ways of col-
ture or concepts imposed on participants’ perspectives. laboration. “I have always been grouped with someone so
there has always been collaborative thing going on which is
good, but I want something different and unique in collabora-
Data Analysis tion and not the same old way of group work,” Charity shared.
The researcher began the data analysis process with the tran-
scription of all tape-recorded data from both faculty and stu- Perceived usefulness. Both students and instructors perceived
dent interviews. The researcher studied the transcripts and collaboration as an important learning experience for social
generated initial codes. The researcher further organized and and community skill development, building relationships and
examined the codes to identify similar phrases, relationships networking, establishing a system of support, and encouraging

Table 5. The Comparisons Between Undergraduates and Graduates.
Undergraduate Graduate
Construct category Larger number means higher preference for . . . M M p d

Personal relevance personalized learning experiences. 25.9 25.2 .14 0.01
Autonomy exercising degree of control. 23.1 22.9 .20 0.01
Negotiation negotiating with other students to modify understanding. 12.0 11.2 .01 0.03**
Collaboration engaging in group activities. 16.3 14.4 .01 0.04**
**p < .05.
Table 6. Instructor and Student Participants’ Background Information.
Participants Sex Race Age Status Program/teach Year of teaching/program

1. Nick Male Caucasian 48 Instructor Undergraduate 8 years
2. Joel Male Hispanic 31 Instructor Graduate 3 years
3. Nash Male Caucasian 36 Instructor Undergraduate 2 years
4. Tasha Female Caucasian 42 Instructor Undergraduate 15 years
5. Gift Female African 35 Student Graduate 2 years
6. Dan Male Caucasian 20 Student Undergraduate 2 years
7. Dove Female Caucasian 19 Student Undergraduate 1 year
8. Charity Female African 34 Student Graduate 3 years
multiple perspectives. Dove indicated, “When you interact I like opportunities to collaborate outside in order to seek help in areas
with others and keep going back and forth with other people that I struggle. As an adult learner, I really love working with some
when you are struggling and find something and you ask for people, not all of them but with people that I can work with . . .
help you realize that collaboration gets you in a long way.”
While in their perspectives, undergraduates viewed collabora- Tasha, an instructor, disclosed:
tion as way of making up for their weaknesses and building
upon their strengths, graduate students in the current study . . . with collaborative groupings, you go round and observe
and you see students who never speak in class. They never raise
appeared to consider collaboration as a means of building aca-
their hand and say anything in a large group but will say
demic and social networks beyond coursework experiences.
something in a small group.
Charity cited,
In sharing her experiences, Charity cited:
I see collaborative learning as a way for me to work with others
and establish network relationships. You learn personal issues
Some people don’t want to take your ideas into consideration.
about people. It is not all about the coursework but it is also
They think what they wrote or what they brought up, that is it,
about learning about the person you are working with.
that is what has to be taken into consideration and if you try to
not criticize but critique it in a good way, they feel you are
Students’ background and orientations. The findings, again,
putting them down in some ways.
showed that students bring their own cultural background
and orientations in prescribing their preference for collabora-
tive learning experiences. For instance, Nash emphasized: Conditions Necessary for Effective Collaborative
Experiences in the College Classroom
Some of the students just want to work individually and then
collaborate in discussions. They don’t want to do the work
The second part of the qualitative phase explored conditions
collaboratively. I think it is a perfect thing to have but I think necessary for creating effective collaborative learning experi-
with some students, they need their space. They just want to ences in a college classroom. Three themes emerged from the
work in a little corner and come back and share with the class. analysis: understanding collaboration process; monitoring,
They don’t want to rely on other people to help them. It is a nice assessment, and evaluation system; and group composition.
thing in general, but to some people, they just don’t want it.
Understanding collaboration process. The findings of the cur-
Graduate students in the current study appeared skeptical rent study demonstrated the need for both instructors and
about not just the opportunity but whom they actually work students to understand what and how it means for students to
with. Gifty indicated: collaborate. Nash explained:

I think first of all, you have to know what collaboration is. I and student participants as key issues in terms of student
think they just use the word referring to working with other groupings. For instance, Charity expressed, “ . . . as a stu-
people but they don’t understand the intricacies of it and I still dent, I still prefer the professor to form the groups because I
don’t get it. It is not just splitting up some work for students to think professors know who works well with whom.”
do, it is not just getting them in groups.
What it meant to collaborate among students was to, Discussions and Implications
according to Joel, “have students give off their energies as Most contemporary classroom pedagogical decisions across
they interact toward a common goal and try to help each different levels and multiple disciplines are ascribed to the
other, instead of taking some parts moving away and coming constructivist traditions. This relates to the conception that
together. They have to keep working together and keep inter- CLE drives students’ knowledge construction through their
acting.” Understanding the process of collaboration, accord- active engagement in deep and meaningful learning experi-
ing to participants, also meant encouraging students to use ences (Jonassen et al., 1999; Rikers, Gog, & Paas, 2008). The
their strengths and help each other with their weaknesses. idea that higher education seeks to provide students with
This included ensuring the “togetherness of students.” In opportunities to experiment with new ideas, new relationships,
sharing her experiences, Dove indicated that their collabora- and new roles (Gurin, Dey, Hurtado, & Gurin, 2002) makes
tive effort often paid off well because they were able to work constructivist frameworks particularly important in the college
together as a group. classroom. Because limited studies have examined the prefer-
ential patterns of college students in terms of their learning
Monitoring, assessment, and evaluation systems. One other key experiences, less is known about how they perceive their own
issue with collaboration in the college classroom the current roles in an environment that is supposed to empower them.
study found was how to effectively monitor, assess, and eval- The current study used an ESD to investigate college students’
uate individuals’ level of engagement as well as group preferred learning experiences embedded in the CLE and
efforts. “I think one important issue is how to assess students whether students’ experiences differed with their level of edu-
as they work together. Some people have certain traits and cation (quantitative phase). On the factors that students’ pref-
some can also combine a set of skills and I may not have time erences differed, those differences were explored as reflected
to assess all that,” Nash disclosed. Students as well as instruc- in instructors and students’ perceptions and experiences.
tors appeared to hold different assumptions about how to
monitor and reward individual and group efforts. In sharing
College Students’ Preferred Learning Experiences
his experiences, for instance, Nich said:
Embedded in a CLE
I had assignment recently for undergraduate science class where Although there is lack of consensus on the dimensional lim-
they did a research whether it is quantitative or qualitative, and its of CLE (Rikers et al., 2008), researchers have studied dif-
they did it with their partners. But I felt some of them were just
ferent dimensions that reflect diverse learning perspectives.
following their partners, they just tended in one report with both
The basic assumption of constructivism is that knowledge is
names. When they shared in class one of them did most of the
talking, I could tell. actively constructed by learners. Researchers have used
dimensions of arguments, discussions, debates, conceptual
However, Dan, an undergraduate student, shared a con- conflicts and dilemmas, sharing ideas with others, reflec-
trasted view by stating; tions, concept investigation, and real-life examples to assess
the extent to which college students perceive their learning
I think it is difficult to assess or evaluate our efforts fairly environment as constructivist oriented (Gijbels et al., 2006;
because the fact that someone is not talking does not mean he or Tenenbaum et al., 2001). In the current study, college stu-
she did not do the work. Someone talking does not also mean he dents’ preference for constructivist learning experiences
or she did most of the work. We might not know the story behind were investigated using multidimensional scales of personal
how the work unfolded and if students don’t report other relevance, student autonomy, collaboration, and student
students, the instructor may think all worked well in the group. negotiation. The evidence from the current study indicated
that undergraduates were more likely than graduate students
Group composition. Both student and instructor participants to prefer collaborative learning experiences and negotiation.
perceived group composition as an important factor in imple- In a previous study, Loyens et al. (2008) found no significant
menting collaborative experiences in the college classroom. differences among first, second, and third year students’ con-
Gifty disclosed, “I always want to work with students but ceptions on cooperative learning. In the current study, col-
only with people that I think we can work together so that I laboration scale assessed students’ perceived preference for
can get my stuff done.” The individual uniqueness in the opportunities to work together with other students to accom-
group, the group dynamics, the strengths and weakness of stu- plish shared learning goals (Johnson et al., 2000). Negotiation
dents, and student choices were identified by both instructor scale assessed the perception of students’ preference for

opportunities to interact and negotiate meaning, thereby, 1999). Varying collaborative experiences can also appeal to
building consensus by explaining and modifying their ideas the multiple and diverse learning needs of students. These
in the contexts of other students’ ideas (Taylor et al., 1993). can be done through different group activity models such as
Conceptually, collaboration and negotiation share instruc- writing fellows, cooperative learning, peer teaching, simula-
tional commonalities in terms of purpose and the overall out- tions, writing groups, and supplemental designs (Smith &
come but might have different structures and processes MacGregor, 1999). In each case, instructors can provide
through which they are carried out. This was statistically structures to guide students’ interactions and allow adequate
supported with a significant inter-correlation coefficient feedbacks from students to inform the process.
between collaboration and negotiation. They both constitute
different forms of student social learning. Thus, creating col- Essential Conditions for Creating Effective
laborative learning environment might increase the chances
for students to negotiate ideas and deal with individuals’ Collaboration in the College Classroom
prejudices and misconceptions. The significance of this find- Expanding on the quantitative results, the researcher explored
ing relates to students’ decisions to seek opportunities to conditions that might be essential in designing effective col-
interact and construct new understanding with other students, laborative activities in the college classroom. The findings
either in small or large groups. With graduate education showed three main conditions: understanding collaboration
seeking to provide students with advanced knowledge and process; monitoring, assessment, and evaluation systems;
skills to develop innovative and critical thinking skills and group composition. Previous studies have discussed
(Wendler et al., 2010), it was expected that graduate students understanding (McDuff, 2012; Osterholt & Barratt, 2010;
would rather prefer more opportunities to explore the social Smith & MacGregor, 1999) assessment (Pombo, Loureiro, &
milieu within the CLE. An exploration of participants’ per- Moreira, 2010) and groupings (Oakley, Brent, Felder, &
spectives on collaboration within the qualitative phase found Elhajj, 2004; Osterholt & Barratt, 2010) aspects of
that these preferential differences reflected instructors and collaboration.
students’ perceived opportunities for collaboration, benefits
of collaboration, and students’ background and orientations. Understanding collaboration process. Students’ preference to
Both students and instructors in the current study consid- negotiate with other students to modify their ideas closely
ered collaboration as both social and intellectual space to related to students’ preference for collaboration experiences.
modify understandings, encourage multiple and diverse per- The findings were consistent with the observation that as stu-
spectives, and build relationships. However, different range dents become more and more confident in their paired activi-
of opportunities seems to exist for both category of students, ties, they transition into larger group sizes to learn the
with undergraduates more likely to have adequate opportuni- importance of negotiating more than one perspective (Oster-
ties to engage in small-group activities. Also, students holt & Barratt, 2010). Students may negotiate many perspec-
appeared to have different range of expectations, with gradu- tives to reach a mutual consensus to produce a collaborative
ate students preferring more varied approach to collaboration, outcome (Osterholt & Barratt, 2010). Collaboration and nego-
while maintaining the core tenor of working together as a tiation, as conceptually related, help advance the value for
team. When students’ expectations are aligned with the broad multiple perspectives in knowledge construction. Both stu-
classroom goals, such expectations tend to govern their pref- dents’ and instructors’ level of understanding of the process of
erences and their approach to learning (Buckley, Novicevic, collaboration was found to be critical if collaboration in the
Halbesleben, & Harvey, 2004). Therefore, if graduate stu- college classroom can be effective. The term collaboration
dents observe repetitive patterns of less perceived usefulness has often and loosely been used to mean any form of group
of collaboration in terms of their own intellectual and social (small or large) activities. With this basic understanding, atten-
growth, they may prefer to rely on their individual acuteness. tion is drawn to the final product more than the processes that
If higher education can foster students’ skills to communicate, students have go through as they try to work toward achieving
think and reason effectively, make judgments about the accu- their mutual goals. Smith and MacGregor (1999) had defined
racy of large volumes of information, solve complex prob- collaborative learning as an umbrella term encapsulating vari-
lems, and work collaboratively in diverse teams (Pellegrino, ety of educational approaches involving joint intellectual
Chudowsky, & Glaser, 2001), expanding the space for intel- effort by students who work in groups and mutually search for
lectual and social synergy is critical. understanding and meaning of an assigned task.
Graduate students tend have broad learning needs that Students in the current study held different expectations
relate to building research efficacies, synthesizing complex as they collaborate with other students. Some instructor and
ideas, and communicating ideas. Their ability to master these student participants perceived that some students take collab-
complex attitudes and skills is more likely to occur in a learn- orative activities as avenues to relieve themselves of course-
ing environment where enormous opportunities exist for stu- work pressure, thereby adopting relatively passive roles.
dents to work in groups and mutually seek meaning and However, others use it to advance their understanding and deal
understanding to complex problems (Smith & MacGregor, with their misconceptions. These contrasted expectations held

by students undermine the essence of working together as a distinct groups undermine the unique strength of social con-
group. Students tend to complete different parts of the assign- struction of knowledge. The advantage of instructor-formed
ment individually and arrange for the final product (Pombo groups over student-formed groups is that instructors are
et al., 2010). As argued, it is important for students to begin able to form groups whose members are diverse academi-
to understand the limitations of “singular, personal experi- cally, culturally, and socially. Groups of such nature might
ences” that can lead to “ego-centric” thinking (Paul & Elder, help to curtail possible isolations. In all these, the instructor
2010). The framework of collaboration should be constructed might need to have a considerable depth of understanding
on a deep understanding informed by a set of guiding prin- about the contextual relevance of the entire process of
ciples (McDuff, 2012). In implication, the structure and collaboration.
interactive process of collaboration should be constructed on
shared and agreeable rules, norms, ethics, and principles.
Limitations and Direction for Future Research
Effective monitoring, assessment, and evaluative framework. The The strength of the current study lied in its ability, using a
findings of the current study indicated that effective monitor- single study, to address multidimensional questions related
ing, assessment, and evaluative criteria to determine both to CLE. The results of the current study indicate that collabo-
group and individual efforts are essential features of effec- ration as a central tenet of constructivism is an essential
tive collaboration. The findings were consistent with previ- learning experience that fosters student classroom engage-
ous studies (Pombo et al., 2010). Drawing out clear criteria ment. It provides contexts for integrating, testing, and evalu-
for determining and rewarding both individual and group ating student diverse sociocultural beliefs and perspectives
efforts should be central in maintaining fairness, orderliness, into the framework of knowledge construction (Jonassen
and the sense of responsibility among team members. During et al., 1995). However, the generalizability of the results
small-group activities, some students have the tendency to should be done with context, given that the data were drawn
go off track which can divert attention and efforts. Therefore, from a cross section of a study population from a single insti-
monitoring systems should determine a broad collective and tution which was predominantly White Caucasians and also
individual collaborative competencies and traits found within the majority of participants being education majors. Again,
and between groups. In addition, providing structure that while the study illuminates important issues about CLE, the
specifies roles, sets timelines, and determines feedback crite- dimensions captured (collaboration, autonomy, negotiation,
ria might help to reduce group infractions and disagreements personal relevance) were not broad enough to provide a com-
that have the potential to undermine individual efforts. Fos- prehensive understanding of CLE. Therefore, the conclu-
tering peer feedback, either individually based or group- sions of the current study need to be examined in light of
based, can be useful in informing the systemic structure of further studies informed by a range of learning experiences
the collaboration process. embodied in constructivism. Also, as the instrument used to
measure college students’ preferred learning experiences in a
Effective group composition. Effective grouping in collabora- CLE was a new instrument, future studies can increase the
tion learning experiences, from participants’ perspectives, is range of the individual items to improve the variability
one of the key factors that mediate collaboration. The finding within each factor.
was consistent with previous research (Oakley et al., 2004).
Ongoing discussions suggest contrasted positions on stu- Declaration of Conflicting Interests
dent-formed groups and instructor-formed groups. However, The author(s) declared no potential conflicts of interest with respect
current research evidence supports instructor-formed groups to the research, authorship, and/or publication of this article.
(Oakley et al., 2004; Obaya, 1999). Consistent with the cur-
rent study, student participants were more likely to prefer Funding
instructor-formed groups than those constituted by students’
themselves. Collaboration experiences are used, among authorship of this article.
other things, to model to students the realities of the social
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607454
SGOXXX10.1177/2158244015607454SAGE OpenFirstater et al.
15
The Experiences of Israeli Early Childhood
Educators Working With Children of
Ethiopian Background
Esther Firstater1, Laura I. Sigad2, and Tanya Frankel1
Abstract
This study offers an in-depth examination of the experiences of early childhood educators, focusing on their work with
Ethiopian immigrant children and their families. We aim to describe and analyze the teachers’ insider views vis-à-vis the
challenges faced by these children and their parents in the Israeli preschool system. Using narrative methodology, the
analysis of findings is based upon 20 stories written by 10 early childhood educators. It reveals that for these teachers,
the chief struggle is their relationship with the parents of their Ethiopian pupils, one characterized by difficulties, frustrations,
and burdens. The engagement with parents of Ethiopian children exhibited a range of possibilities: from the expression of
patronizing, hierarchical viewpoints, to a search for ad hoc ways of coping with a persistent cultural gap, to the attainment
of genuine, successful partnerships. Lack of sufficient knowledge and understanding of the unique cultural attributes of
the Ethiopian community appears to be the basis for the teachers’ view of the parents as lacking faith in them and in the
educational system as a whole. In addition, suggestions are made about implications for educational practice and for policies
that might assist teachers in ameliorating these challenges via the development of, and professional training in, skills which
help coping with the problems and dilemmas unique to the multicultural classroom.
Keywords
early childhood education, children, Ethiopian, multicultural
Introduction study, we explore the question of what can be learned from the
teachers’ experiences of working with Ethiopian children in
The capabilities, perceptions, and self-efficacy of educators kindergarten.
greatly affect the quality of immigrant children’s integration Kindergarten teachers’ perceptions, experiences, and pro-
into their receiving society. As the first professional-educational fessional knowledge have implications for their work with chil-
figures to encounter the children upon their arrival, preschool dren of Ethiopian origin. Analyzing the kindergarten teachers’
teachers play an important role in receiving immigrant children. stories enabled an examination of how they perceived the
These teachers are influential in determining their immigrant beliefs and social norms of Ethiopian society, how the teachers
students’ future attitudes to learning, to the educational system, related to the immigrants’ values, and how they coped with
and to society as a whole, as well as in building the children’s educating immigrant children from a different culture.
self-identity and self-esteem and in creating a trusting relation-
ship between the school system and immigrant families.
Preschool teachers in Israel are in a unique position because Teachers’ Attitudes Toward Families and Children
their classes are physically and structurally distinct from the From a Minority Culture
primary school system. They work in autonomous profes-
Successful multicultural education is linked to teachers’ atti-
sional units, each consisting of the teacher, a semi-professional
tudes and self-awareness, as well as to their willingness to
assistant, and up to 35 children per class. Like other teachers,
they have been found to suffer from overwork, but particularly 1
Gordon College of Education, Haifa, Israel
kindergarten teachers in Israel are the unmet needs of support, 2
Oranim Academic College of Education, Kiryat Tivon, Israel
sharing, and professional recognition. This situation has cre-
ated the simultaneous experience of loneliness on one hand, Esther Firstater, Gordon College of Education, 73 Tchernichovsky St.,
and satisfaction with their autonomy and status within their Haifa, 3570503, Israel.
own professional world on the other (Firstater, 2012). In this Email: estyf@gordon.ac.il

The Experiences of Israeli Early Childhood Educators Working With Children of Ethiopian Background 155
engage in self-criticism and to show empathy toward minority through appropriate mediation, racist attitudes can be
groups and children of different ethnic and cultural back- changed and prejudices reduced (Ogletree & Larke, 2010).
grounds, to interact with immigrant children and their fami- This goal can be achieved by designing a learning environ-
lies, to legitimize the minority language in the classroom, to ment that reflects the values of its students, adapting learning
acknowledge the existence of different cultures, and to develop programs, and giving children the opportunity to present and
positive attitudes among the other students and teaching staff describe their society’s customs with pride (Chavkin, 2005).
toward the students from the minority group (Cho & DeCastro-
Ambrosetti, 2005; Lee & Dallman, 2008). When relations Educators Working With Families From Diverse
between teachers and children from different ethno-cultural
backgrounds lack cultural sensitivity, conflicts and significant
Cultures
misunderstandings can result. These problems may prevent Working with preschool-age children in general—and from
the children from receiving effective developmental support differing cultural backgrounds in particular—demands the
that does not pressure them to disregarding their cultural iden- development of a relationship with the pupil’s family.
tities and does not diminish their pride in their cultures of ori- According to Bermúdez and Márquez (1996), the primary
gin (Han & Thomas, 2010; Irvine, 2003; Kemple, 2004). communication barriers between teachers and parents from
Notwithstanding the empathy educators express toward such different cultural backgrounds are related to differences in
children in conjunction with listing all the challenges involved, language, education, and child-rearing methods. These barri-
the teachers are also often critical toward the children’s cul- ers are also related to the parents’ troubled relationships with
tural worlds, perceiving these cultures as factors that hinder the educational system, relationships characterized by unfa-
the students’ achievement levels and affect their attitudes to miliarity, bad experiences, and lack of understanding, lead-
learning. Joshi, Eberly, and Konzal (2005) have examined ing to a lack of trust. These problems are exacerbated by
teachers’ levels of understanding of the cultures of their stu- teachers’ prejudices, lack of sensitivity, and sometimes even
dents’ families and the implications of this understanding for blame directed toward the families for their supposed lack of
the teachers’ attitudes toward the parents. Although on the values and for not educating their children in accord with
conceptual level the teachers appreciate the importance of the what the teachers believe to be an appropriate manner
culture and its influences on the children, these educators are (DeCastro-Ambrosetti & Cho, 2005).
not adequately equipped to translate this understanding into When the families of immigrant children are disconnected
practice, instead emphasizing only external aspects of the cul- from the kindergarten, the children become a vulnerable
ture such as food, clothing, celebrations, and stories. group that does not receive a good educational foundation
The rapid increase in immigration rates of people with prior to starting school, resulting in significant gaps from the
different ethnic origins in the Western world and the subse- start of these students’ school careers (Pelletier & Corter,
quent demand that teachers develop culturally sensitive 2005). The best way of involving parents from different cul-
learning programs are usually not supported with appropriate tural backgrounds is to maintain open communication chan-
training to provide mainstream education for children from nels, to hold discussions in which parents and teachers can
varied backgrounds (Santoro, 2009). In Israeli culture, it is become acquainted with each other’s cultures, as well as to
difficult to implement the multicultural approach, to change organize activities in the classroom that respect multicultur-
teaching methods and educational programs, and to recog- alism and the principle of inclusion (Joshi et al., 2005).
nize and integrate the children’s cultural backgrounds (Geldi, Children from minority cultures have a much better
2009). To this end, training is required for culturally respon- chance of academic success when the school builds partner-
sive teaching (Han & Thomas, 2010), including increasing ships with their families and learns about their values and
awareness and sensitivity to intercultural differences as well customs. This openness serves to create a safe learning envi-
as multicultural knowledge about the values, worldviews, ronment for minority groups and increases their sense of
and norms of both the teachers and children. Also necessary belonging, which is crucial to success in the classroom
is the development of relevant proficiencies, such as the abil- (Chavkin, 2005; Joshi et al., 2005; Purnell et al., 2007;
ity to establish a “skilled dialogue” in the relationship Wegmann & Bowen, 2010). Furthermore, Bermúdez and
between children and their families from different cultural Márquez (1996) have demonstrated that immigrant families
backgrounds (Barrera & Corso, 2002). Increasing parents’ who are involved in their children’s education are more suc-
trust and sense of belonging can lead to the development of cessful in helping them progress.
an environment that respects cultural differences and invites
all students to accept and explore new, unfamiliar cultures The Integration of Ethiopian Immigrants Into the
(Purnell, Ali, Begum, & Carter, 2007); other positive results
include the creation of communication channels that will
Israeli Educational System
remain permanently open (Jones, 2010). Most Ethiopian Jews arrived in Israel in two large waves in the
Early childhood is an especially suitable stage at which to 1980s and 1990s, followed by a slow stream of immigration
begin educating toward multiculturalism. At this young age, up to the present day. By 2009, the Ethiopian population in

Israel numbered approximately 130,000 people (Leibel, & Eshel, 2003). One of the repercussions of these inadequa-
2009). Their absorption was made more difficult because of cies has been the very slow development of trust in the edu-
their skin color, doubts about the authenticity of their cational system among the parents of Ethiopian students
Jewishness, their low educational levels, broad cultural differ- (Geldi, 2009).
ences, their concentration in distressed neighborhoods, and the Certain steps have already been taken in Israeli society to
limited opportunities available to them in employment. In cope with these phenomena. They include the increased par-
addition, Ethiopian immigrants were stigmatized as a “differ- ticipation of young, educated members of the Ethiopian
ent” and “problematic” community (Leibel, 2009; Shabtay, community in social and educational programs, the creation
2001). These difficulties resulted in psychological stress, a of intercultural bridging and initiatives for promoting inclu-
sense of disappointment and affront, crises within the family, sion in the educational system, and strengthening the involve-
and a sense of foreignness because of their skin color, which ment and authority of Ethiopian parents (Sever, 2004).
hindered their acceptance as equals in Israeli society (Walsh & Nevertheless, the issue of education in a multicultural soci-
Tuval-Mashiach, 2012). ety poses a challenge of the highest degree at all levels of the
The Ethiopian immigrants—who experienced a sudden educational system, starting in preschool education and con-
transition from a rural, agricultural culture to a Western, tinuing through teacher training educational programs. The
industrialized society—were required to cope with a multi- attitudes and approaches of educators toward this population
plicity of changes. Their consciousness of difference from are of vital significance to the future of these children.
the rest of Israeli society was expressed in oppositional atti-
tudes toward figures of authority, the withholding of nega-
tive emotions, and avoidance of asking questions, making
Method
requests, or taking initiative. Helplessness, confusion, mis- The aim of the present article is to provide an insider’s view
understanding, the sense of a lack of control, and weakening of the ways in which kindergarten teachers in Israel perceive
of mutual familial support were other expressions of the their work with pupils of Ethiopian origin and their families.
challenges of cross-cultural adaptation (BenEzer, 1992). The narrative method guides our methodology (Polkinghorne,
These cultural changes and immigration difficulties 1995), giving us the opportunity to learn about lived experi-
affected the children’s absorption into the Israeli educa- ence through the practical and personal knowledge recounted
tional system. Typical of this process was their separation in teachers’ written accounts (Bruner, 1987; Clandinin &
from other students as a result of their high concentration Connelly, 2000; Connelly & Clandinin, 1988; Lieblich,
in distressed neighborhoods with weak educational institu- Tuval-Mashiach, & Zilber, 1998).
tions. Ethiopian immigrant children therefore encountered
native Israeli students mainly from disadvantaged seg-
Sample
ments of society. Also endemic in the educational system
was the indiscriminate referral of Ethiopian children to Participants in the present study were selected by purposive
residential facilities, conveying the message of a lack of sampling (Patton, 2002). The data consisted of 20 narrative
trust in the parents’ ability to educate them, as well as the stories told by 10 participating kindergarten teachers, who
overreferral of these students to the special education sys- had professional experience working with Ethiopian chil-
tem (Mulat & Arcavi, 2009). Consequently, Ethiopian children and their families. The choice of sample in qualitative
dren, who were already suffering from barriers and research is based on conceptual and theoretical decisions
stereotypes because of their skin color, were found to guided by research aims. Purposive sampling allows access
underachieve at school and in higher education and to have to a multiplicity of perspectives. In the case at hand, the
a high rate of drop-out, dissociation, and delinquency selection criteria were kindergarten teachers who worked in
(Goldblatt & Rosenblum, 2011). the North of Israel in low-income neighborhoods, where the
Geiger (2012) found that, according to the children’s highest percentage of the Ethiopian community resides. The
accounts, teachers had negative attitudes toward them. In a participants were between 30 and 55 years of age, and their
study in Israel in which 232 sixth-grade students were inter- work experience as kindergarten teachers ranged from 5 to
viewed about teachers’ verbal violence, it was found that 23 years.
teachers tended to target immigrants from Ethiopia in verbal These kindergarten teachers were prompted to write
attacks, separate them from their classmates during games down two separate stories about significant experiences
and parties, hint at their low levels of culture and education, they had while teaching Ethiopian children. The stories
and make insulting remarks about the parents’ lack of educa- were to be written in an open manner, with the component
tion and inability to help their children. parts of beginning, middle, and end (Lieblich et al., 1998).
In kindergartens in Israel, difficulties in relations with The research aims were described in full to the participants
Ethiopian students have been found to be based upon the who wrote their stories by hand in their places of work.
absence of an atmosphere of mutual respect as well as an Pseudonyms have been used to protect the promised ano-
inadequate understanding of Ethiopian cultural norms (Tzur nymity of the participants.

Analysis centered solely on the teachers’ perceptions, relationships,

and experiences with the children’s parents, rather than on
Data analysis included open coding to enable the identifica- daily interactions with the pupils themselves. Teachers’ per-
tion of units of meaning. A cross-case analysis followed in ceptions of Ethiopian immigrant parents ranged from a lack
which segments from each interview were condensed until of sensitivity toward these parents, to a desire to diminish
core themes emerged (Lincoln & Guba, 2005; Patton, 2002). cultural variation, to acceptance and understanding of such
This process was completed by all three of the authors of this differences. This continuum included three primary types:
study separately, and then compared to ensure interceder (a) a patronizing stance toward parents, (b) a missionary
reliability. The themes, which emerged from the analysis, are approach that paternalistically aimed at assimilating immi-
differentiated from the prompt to write about significant grants, and (c) an open attitude toward learning from cross-
experiences with Ethiopian children. For example, the theme cultural encounters and toward establishing mutual
“Patronizing stances toward parents: ‘They smile and say partnerships with parents. The written narratives selected
yes, yes, and then continue in their own way’,” is based on and analyzed are representative illustrations of these types.
several different accounts of the multiple ways that teachers
showed patronizing stances toward Ethiopian children and 1. Patronizing stances toward parents: “They smile and
their families. Our cross-case analysis revealed that all those say yes, yes, and then continue in their own way.”
different perspectives fall under a unified spectrum. This
spectrum is the content of first theme. Three primary themes A patronizing stance proved to be a primary mode of relating to
emerged from the data and serve as the backbone of our Ethiopian parents. Teachers who adopted this stance tended to
analysis. exhibit negative judgments and to criticize the perceived physi-
cal neglect of these parents, for example, claiming that the chil-
dren lacked personal hygiene, wore inappropriate clothing for
Trustworthiness
size and weather conditions, consumed an unhealthy diet, and
In the present article, credibility is established through the failed to adhere to kindergarten timetables—tardiness being
systematic presentation of written stories and their analyses, especially problematic. The teachers’ belief that they were in a
a format that allows the reader to evaluate the ways in which better position of knowing and understanding the best interests
reality was constructed and themes were derived (Maxwell, of the child was often accompanied by frustration caused by the
2005). In qualitative research, the emphasis shifts from parents’ failure to accept the teacher’s point of view and her
validity to validation. Rather than presenting a finished prod- efforts to control the situation and improve the students’
uct, researchers describe the process by which they arrived at situation.
the specific constructions underlying the study, and thus Rivka describes her frustration when an Ethiopian father
allow readers to make their own judgments and to validate or refused to allow his son to be referred to a special education
reject the interpretations suggested (Angen, 2000; Patton, center for remedial reinforcement. In the case at hand, the
2002). For example, the theme “They don’t play by our mother of the boy was at the time institutionalized in a men-
rules” is presented in the following manner: First, contextual tal health facility, and the boy was one of six children whom
information regarding the particular research participant is the father solely cared for in the mother’s absence. She
offered, followed by a segment of the narrative itself. writes,
Afterward, the analysis of the story component is presented,
including the context, the structure, and its relationship to the Last year, I had an Ethiopian child whose mother was in a
unified theme as well as to the subsequent written account. nuthouse [mental institution]. The children were cared for by the
This detailed process is accessible to the reader in the presen- father, and there was great neglect . . . The siblings would bring
tation of findings, and as such serves as a validation tool for the boy to the kindergarten, and sometimes no one bothered to
the researcher’s systematic work. The focus of such research pick him up. The boy was bright, and it is clear that he had
potential, if there would have been any type of investment from
is on in-depth, subjective analysis of experiences rather than
the home and good and positive relations towards him. I
on generalizations. That being said, such an analysis also approached the father and told him that his son needs professional
provides a solid foundation for building a heuristic model on help. The father refused and said that I should not make his son
which studies aimed at rigorous generalizations can be based into a “crazy” because he is not! . . . The boy continued to walk
(Babbie, 2004). the streets in the afternoons, had behavioral problems, and
vented his aggression on other children. I pitied him so, but
despite everything that I tried to do to persuade the father,
Data Presentation and Analysis nothing helped. I heard that now it still goes on, and the boy
receives no help.
Emergent Themes
The primary theme that arose from the analysis of the data Rivka’s patronizing position is reflected in her conviction
was the importance of the teachers’ interactions with the and assumption that the core of the hardship of the Ethiopian
Ethiopian pupils’ parents. All of the written narratives child is rooted solely in what she defines as a neglectful and

negative home. She is the one who knows what is best for the directly communicates her feelings of insult, as in Rivka’s
child and is slighted that her efforts for intervention are not narrative, it is the teachers’ experience of insult and hurt that
realized. Ironically, while she declares her sense of pity and is placed at the center of the narrative.
concern for the boy, it is she whose professional integrity is As we have shown, these kindergarten teachers are
challenged, and thus she becomes the center of the tale. ambivalent as to how to relate to Ethiopian children and their
While she believes strongly in her own professional fore- families. The teachers’ narratives alternate between the wish
sight and even backs this up by offering proof of what hap- to include Ethiopian immigrants and the need to assert their
pens subsequently, her particular solution for the child is professional authority. The emotional response to what they
externalized as she recommends outside intervention, rather perceive as a lack of cooperation is a painful sense of rejec-
than attempting to remedy the situation within her own kin- tion. It appears that they are willing to accept Ethiopian fami-
dergarten. She reveals little, if any sensitivity, to the fact that lies, provided that the parents unquestioningly accept their
this external, professional recommendation has particularly authority. As one of the teachers wrote, “They smile and say
negative connotations in the unique family situation of the yes, yes. And then continue in their own way.”
father, nor does she express sympathy for the emotional and
logistical struggles of a father parenting six children on his 2. The missionary approach: “Even though I present it
own. The teacher knows best; her advice is ignored; and the as a free gift that will truly help the child.”
prophecy is not prevented. Not only is a child “lost,” but
when the “right” help is not accepted, Rivka bears the emo- The teachers in our study expressed a strong and genuine
tional costs of professional disrespect. desire to assist Ethiopian children and their families to accli-
Similarly, Hannah conveys her sense of insult that the mate and become integrated into Israeli society and culture.
norms of her classroom management in the kindergarten are However, by analyzing the written narratives of the partici-
not respected by an Ethiopian mother. The mother works pating teachers, it becomes apparent that they sometimes
nights and consistently brings her daughter late, insisting adopt an assimilationist approach toward this aim. While
upon entering the kindergarten to see what is going on: their aim is to help, they define help as teaching and educat-
ing the immigrants to conform to the norms of the majority.
When a mother brought her child late [to kindergarten], I went This entails celebrating holidays and birthdays in the “cus-
out to the gate and asked her to say goodbye to her daughter tomary” way, adhering to a particular diet, and accepting
outside, like every other parent who comes late. She liked to
Israeli parenting norms. Although the teachers display a
come into the kindergarten and see what we were doing. No
matter how much I tried to explain to her, I didn’t succeed,
strong altruistic desire to help, this help is coupled with a
and the mother insisted that she must go inside, and I didn’t very clear message that there is one correct way to be Israeli.
agree. The mother told the girl that they were leaving and Clara relates to her efforts to educate and socialize the
would never come back to the kindergarten. She took a step kindergarten parents on dietary matters, explaining her frus-
back, stopped, and said, “If we were Israelis, you wouldn’t tration when the Ethiopian parents do not follow suit. She
speak to me that way; it’s only because we are Ethiopian.” I writes,
was insulted and hurt.
I see improvements with most of the kindergarten parents as a
Hannah’s working style expresses a strong need for order result of my advice and guidance. It is only the Ethiopians who
and control; the norms and codes of the kindergarten offer an continue to send their children food without paying attention to
important and needed structure for daily routines. Hannah my guidelines to provide variety. They send sweet things, and
therefore takes matters into her own hands and physically sweet drinks; this is despite the fact that I prohibit it.
stops the mother at the gate. Setting boundaries, in her eyes,
takes precedence over efforts toward interpersonal commu- Clara is the one in control and believes that her authority is
nication. The desire of the mother to enter the kindergarten is for the ultimate benefit of all. She feels slighted that despite
seen only as a disruption of codes and order, and the possibil- her pure and good intentions to create what she sees as posi-
ity that positive outcomes could come from such an interactive health changes for the children, her advice is ignored,
tion is not considered. The communication style used by and she emphasizes that it is solely the Ethiopian parents
Hannah leaves the mother feeling marginalized both physi- who refuse to follow her important instructions. By seeing
cally and emotionally, and this in turn evokes the sense that them as under her control, she infantilizes them, failing to
her foreignness is at the root of the insult she experiences. fully recognize the parents’ own agency.
The teacher’s patronizing stance is revealed in bottom-down Shoshana is an experienced kindergarten teacher. She
communication, both verbal and physical, clearly stating that explains in her written narrative the ways in which she is
it is the teacher who defines the sole accepted order and way challenged by the refusal of a parent to follow her profes-
of being in the kindergarten. Uncharacteristically for this sional advice, in this case the referral of an Ethiopian child to
immigrant group, the mother outwardly articulates her expe- an inclusive education committee for him to receive addi-
rience of discrimination. Despite the fact that the mother tional remedial teaching with a specialist.

I’ve been working with this population for 10 years already, and surprised, and I didn’t know what to do, and the educational
it is still hard for me to accept the reactions. Where does this bridger said that she would help me and would write the blessing
resistance to receiving help come from? Even though I present it in Amharic and would also find out which of the parents do
as a free gift that will truly help the child’s progress. After that know how to read. In the end of the day, we found a father who
incident, I felt frustrated and unprofessional since I wasn’t able said the blessing in Amharic. In that moment, I looked at the
to convince the parent when I saw how badly the boy needed Ethiopian parents and saw pride and happiness on their faces;
help. When I asked that the parents come to the Inclusive their faces glowed with joy. Even though afterwards no one told
Education Committee, so that the boy could receive professional me how important it was to them to hear their language and to
help, they refused to cooperate. Even at the expense that he relate to their culture. In those moments, I felt great happiness
would not receive the help that he needs. overcome me and felt that I had done something holy and very
important.
Shoshanna bears the burden of her inability to actualize her
desire to help an Ethiopian child. However, she does not Rina, like the other teachers presented previously, also feels
place the locus of blame on herself, but rather on the parents, disappointed and frustrated when perceived good intentions
because of their refusal to accept assistance. Throughout her cannot be actualized. However, unlike the two previous types
10 years of experience with this population, she has consis- discussed above, she does not remain paralyzed by bad feel-
tently found herself left on the sidelines, marginalized in her ings. She takes action, utilizing the resources available to her
efforts to enact what she perceives as a kind, well-intentioned by turning to the appropriate person for advice, and thus cre-
attempt to help. This is experienced as emotional hardship, ates an opportunity to resolve the misunderstanding.
and she and the parents remain distinct and oppositional enti- The integrationist approach fosters a process of cultural
ties. An ever-present lack of mutual trust has not dissipated understanding and cooperation which mutually benefits both
despite long years of genuine effort and good intentions. the parents and the teachers themselves. While the teacher
The missionary stance highlights the cultural gap between begins her account with feelings of frustration and shock, she
the teachers and the parents. We see from this pattern that in prides herself on overcoming challenges and making a con-
adapting an assimilationist approach to the integration of tribution to the community. Such a contribution is so fulfill-
these children, the teachers themselves wind up feeling bur- ing to her that she is able to cope without the explicit gratitude
dened with frustration as well as a sense of hardship which of the parents and enjoys a sense of pride.
they are left to cope with on their own. The lack of mutual Teachers who embrace such an approach not only learn to
trust between teachers and parents is characteristic of the cope with challenges as they arise, but grow professionally
missionary approach. from these experiences. Esther describes such an encounter:
3. Learning from cross-cultural encounters: “It was like I write messages to the parents via the children, to provide
rain on a summer’s day.” challenges for the children. I noticed that whenever I gave such
a note to a particular Ethiopian boy, who was very bright, that he
A third approach which emerged from the data reflects an would throw the note on the floor or in the trash bin on his way
attitude of cultural sensitivity. Through experience-based out of the classroom. I was shocked the first time it happened. I
practice, accompanied by emotional connections to the par- couldn’t understand why he would do such a thing, and since he
ents, teachers learn to find solutions to challenges as they avoided my question, I came to the conclusion that the boy has
arise. Rina writes of the preparations for the Chanukah cele- a behavioral problem. I called the educational bridger who
bration in the kindergarten, an occasion which she decides to speaks Amharic, to speak to his parents and clarify the issue.
use as an opportunity for multicultural inclusion. Her idea is One day, during a conversation with the boy, I asked him again
about the note. I was amazed by his answer; it was like rain on a
that the Chanukah prayer should be recited by the parents,
summer day for me; I did not expect such a reaction from the
not only in Hebrew, as is customary, but also in the other two
child. When he spoke he had anger in his voice: “They don’t
spoken languages of the parents: read anyway!” I saw the frustration and disappointment on his
face, and since then, whenever I send a note home, I read it
The incident happened at Chanukah. It was my first year in the aloud. I tell the children that they are grown up and that they also
kindergarten, and I wanted to bring people together, to join need to know what is written in the message. I succeeded in that
hearts, and bring things together through something that unites the boy no longer throws the notes away, and he has become
all Israelis. At the Chanukah party, I decided that the blessing for responsible in telling his parents the message. (uses Hebrew
lighting the Chanukah candles would be said in three languages:
proverb: “I have learned more than all my teachers before me.”)
Hebrew, Russian, and Amharic (the Ethiopians’ native language).
I asked the Ethiopian parents [at the Chanukah party] to
participate, and nearly everyone refused. I was shocked and I The teacher combines empathy and creativity to generate an
couldn’t understand it, since it was such a nice gesture on my approach which reflects her educational awareness and sen-
part. But I didn’t give up and I called an “educational bridger” of sitivity toward cultural differences, and which allows her to
Amharic, and she explained to me that most of the Ethiopian fulfill her desire to include Ethiopian children and their par-
parents do not know how to read or write. I was even more ents in the educational process.

Teachers thus have the ability to connect to their own such emotion offers the teachers an opportunity to confront
emotions and use them as tools to learn and grow, creating a the experience of coping with otherness and the potential
norm of cultural sensitivity in the classroom. When this pro- threat of the other (Zembylas, 2010). It may be that the
cess occurs, it is empowering; problems can be overcome, “other” symbolizes the need for uncomfortable, uneasy
and the benefits are manifold. change and for reevaluating the way that one has become
The kindergarten teachers who participated in our study accustomed to being in the world.
provided an insider perspective on the challenges and Foucault (1994) uses the term “ethics of discomfort” to
rewards of working with Ethiopian children, while focusing explain the potential empowerment that a state of emo-
on the difficulties in relating to their families. Despite differ- tional discomfort can ultimately induce. The ethics of dis-
ent attitudes ranging from patronizing to missionary, and comfort can and should be used as a tool among educators
finally an openness to discovering methods of cultural inte- to enable them to view negative feelings toward immi-
gration, the educators were all united by their impassioned grant children, such as the Ethiopian children and their
reactions and emotional involvement. families, not as a destructive, malevolent force, but rather
as problematic emotions to be approached and faced with-
out self-judgment.
Discussion
The ethics of discomfort thus offers an opportunity for
In our era of ever increasing globalization, educators are teachers to explore their assumptions about themselves to
coping with the needs, challenges, and benefits of immigrant position themselves as witnesses to social injustice and not
students from diverse cultural backgrounds (Suárez-Orozco merely as observers and to be able to see their situation from
& Qin-Hilliard, 2004). The educator–parent relationship is different perspectives (Zembylas, 2010).
one of the keys to successful integration of both the pupils Furthermore, we find in our study that it is often the
and their family units within the educational setting. intense emotional involvement of the teachers which empow-
The goal of the study at hand was to describe and analyze ers them to undergo a process of positive change. Once our
the accounts of the kindergarten teachers who participated in participants are able to connect to their own emotional expe-
our study, depicting their challenges in working with riences and feel empathy, they succeed in developing suc-
Ethiopian children. It should be noted that the majority of the cessful and creative solutions that bridge cultural gaps and
stories dealt with the characteristically frustrating nature of give them a sense of great pride and satisfaction.
the teachers’ relationships with the children’s parents.
The narratives that were described and analyzed focus Recommendations for Teacher Education and
primarily on common day-to-day issues of the kindergarten,
such as referral for remedial intervention and coping with
Development
tardiness. However, the kindergarten teachers often associate Based on the findings of our study, teacher education should
these issues with the specific Ethiopian cultural origin of the be at the forefront of our efforts to improve the integration of
families. It may be that to some extent, the cognitive force of immigrant children and their families within educational and
prejudice plays a role in the tendency to assign negative sig- cultural frameworks. It is early childhood educators who
nificance to anything that appears to deviate from the most often serve as the initial, formal face of the receiving
expected norm. In this particular case, not only are the chil- society, and thus teachers have a particularly strong influ-
dren from an immigrant background, but they also represent ence on the formation of the attitudes of the child and his
the only Jewish sub-community that is racially and culturally family toward schooling, learning, and society.
African. However, it should be noted that educator–family Teachers’ emotions should be emphasized as the fulcrum
relationships in general are often fraught with conflict for changing attitudes, relations, and behaviors toward immi-
(Lahman & Park, 2004), and the challenges described by grant children. Such an approach should take priority over
Israeli kindergarten teachers are perhaps not unique to or knowledge-based cultural diversity programs because it is
specifically related to Ethiopian culture. empathy development which will serve as a chief force to
The quantity and intensity of emotion expressed in connect families to the educational setting and to prevent
response to coping with immigrant-parental challenges is marginalization. Thus, teachers should be exposed to the
one of the main findings of the study. This element appears concept of the ethics of discomfort as a means of initiating
to connect the diverse patterns of behavior and expressions reflection and personal transformation.
of the kindergarten teachers: Their strong emotional reac- Furthermore, it is critical to enrich the understanding of
tions ranged from feeling a need to distance themselves from early childhood educators with regard to the processes of dis-
the pupils, personal insult, anger, frustration, embarrassment, crimination and prejudice. Most significantly, it is important to
helplessness, and guilt to feelings of professional satisfac- make them aware that such feelings are part of human nature
tion, pride, and intense empathy. The intensity of the teach- and should be evaluated holistically for both their potential
ers’ feelings may be proportional to the severity of the dangers and their potential benefits in triggering positive
problems as they perceive them. Moreover, the intensity of change. This positive potential can be achieved not by

suppressing any such negative emotion, but rather by being in Geldi, B. (2009). Multicultural education in Israel: Vision or real-
continual inner dialogue with these uncomfortable feelings. ity? Et-Hasade, 3, 11-17. (In Hebrew)
The application of the aforementioned suggestions will Goldblatt, H., & Rosenblum, S. (2011). Between “there” and
provide teachers with the tools necessary to improve the rela- “here”—Values, needs, and dreams of immigrant Jewish
Ethiopian youth in Israel. Megamot, 47, 593-615. (In Hebrew)
tionship between the teachers and the parents of Ethiopian
Han, H. S., & Thomas, M. S. (2010). No child misunderstood:
students, establishing a new foundation upon which to ame-
Enhancing early childhood teachers’ multicultural respon-
liorate the learning experience of the children from the very siveness to the social competence of diverse children. Early
beginning of their education in the Israeli school system. Childhood Education Journal, 37, 469-476.
Irvine, J. J. (2003). Educating teachers for diversity: Seeing with
Declaration of Conflicting Interests a cultural eye. New York, NY: Teachers College Press,
The author(s) declared no potential conflicts of interest with respect Columbia University.
to the research, authorship, and/or publication of this article. Jones, J. M. (2010). Culturally diverse families: Enhancing home-
school relationships. Communique, 38(6), 31-33.
Funding Joshi, A., Eberly, J., & Konzal, J. (2005). Dialogue across cultures:
Teachers’ perceptions about communication with diverse fami-
The author(s) received no financial support for the research and/or lies. Multicultural Education, 13(2), 11-15.
authorship of this article. Kemple, K. M. (2004). Let’s be friends: Peer competence and
social inclusion in early childhood programs. New York, NY:
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Author Biographies
Suárez-Orozco, M. M., & Qin-Hilliard, D. (2004). Globalization: Esther Firstater, PhD, is a lecturer and the director of the master’s
Culture and education in the new millennium. Berkeley: program in Inclusive Education, Gordon College of Education,
University of California Press. Haifa, Israel.
Tzur, R., & Eshel, M. (2003). Ethiopian children and parents in
Laura I. Sigad, PhD, is a lecturer at Oranim Academic College of
educational processes in kindergartens. Research in Teacher
Education, Israel and research fellow at the Center for the Study of
Training, 9, 43-64.
Society, University of Haifa, Israel. Her research interests include
Walsh, S. D., & Tuval-Mashiach, R. (2012). Ethiopian emerging
transnational migration and the family, multi cultural education,
adult immigrants in Israel coping with discrimination and rac-
cultural contexts of child abuse and insider’s perspectives on child
ism. Youth & Society, 44, 49-75.
abuse and neglect.
Wegmann, K., & Bowen, G. L. (2010). Strengthening connections
between schools and diverse families: A cultural capital per- Tanya Frankel, MEd, studied at the Gordon College of Education,
spective. Prevention Researcher, 17(3), 7-10. Haifa, Israel and currently works as an early childhood educator in
Zembylas, M. (2010). Teachers’ emotional experiences of growing an area with a large Ethiopian immigrant population. She is herself
diversity and multiculturalism in schools and the prospects of an immigrant from the former Soviet Union.

564342
SGOXXX10.1177/2158244014564342SAGE OpenKingsley and Sharon
16
Business and Academic Interests in
the Maintenance of Standards in
Online Higher Education
Paul Kingsley1 and Taly Sharon1
Abstract
This article questions whether there is a conflict between the academic and business interests of a university in addressing
grade inflation. A survey of online master’s degree students at a British university was carried out. It asked students about
a number of possible changes aimed at reducing the sacrifices involved in gaining a degree; making it less likely that students
would fail modules or their degree; and reducing the degree drop-out rate to almost zero. Changes in the perceived value
of a degree or the university’s perceived reputation were measured. The conclusion is that students saw such changes as
reducing the value of their degree. The research suggests that in certain circumstances, academic and business interests can
be aligned in opposing grade inflation.
Keywords
grade inflation, perceived value, online education, failure rates, drop-out rates
Introduction grounds in opposition to business interests, which would be

served by easier degree courses. This would be unfortunate.
Many university teachers may often feel that the pressure in By broadening the perspective and looking at some of the
favor of grade inflation and a lowering of standards is relent- economic forces that influence demand for degrees, it can be
less. They may be tempted to identify such pressure as being seen that well-established and validated marketing theory
exerted by the business interests of their university, driven in does not suggest that there will always be this conflict
turn by student demands to make courses easier. The view of between academic and business interests.
Sadler (2009) is that “grade inflation occurs when high To test this theory in the context of online education, we
grades are awarded for progressively lower and lower conducted a survey aimed at online students who were just
achievements” (p. 823). It also implies that some students, about to complete their online master’s degrees offered by
who would not otherwise do so, will pass assessments. He the University of Liverpool. The participants were asked
argues for grade integrity, which about the effect on the perceived value of their degrees of a
number of changes which were directly or indirectly associ-
is defined as the extent to which each grade awarded, either at
ated with grade inflation. These changes were generally seen
the conclusion of a course or module of study, or for an extended
response to an assessment task, is strictly commensurate with as reducing the value of their degrees, thus potentially harm-
the quality, breadth and depth of a student’s performance. ing the business interests of the university.
(Sadler, 2009, p. 807)
Theory
A number of harmful consequences of grade inflation have
been identified. It leads to a compression of grades, making it Pricing and the Sacrifice
difficult for employers to distinguish between students of dif- Kotler and Armstrong (2010), in their classic work, Principles
ferent abilities. Different degrees of grade inflation lead to of Marketing, state that “consumers usually perceive higher-
uneven, and hence unfair, assessment (Abbott, 2008). The priced products as having higher quality” (p. 317). This
credibility of grades can be undermined so that employers turn
to other methods of evaluating job applicants (Wongsurawat, 1
2009). In terms of the theories of Spence (2002), the fact that
a graduate owns a degree at a particular grade would be send- Corresponding Author:
Paul Kingsley, Computer Science Department (Online Degree
ing a misleading signal to potential employers. Programmes), University of Liverpool, Ashton Building, Ashton Street,
It is understandable in such situations to regard teaching Liverpool L69 2BX, UK.
staff as defending academic standards on largely ethical Email: Paul.Kingsley@liverpool.ac.uk


implies that the cost of goods can be too low as well as too after all the pluses and minuses have been added up. In the
high. Teas and Agarwal (2000) write about extrinsic product definition of Zeithaml (1988), perceived value is “the con-
cues, such as price and brand name, affecting in a positive sumer’s overall assessment of the utility of a product based
way perceptions of quality. André Gabor, one of the pioneers on perceptions of what is received and what is given” (p. 14).
in the field of research about price as an indicator of quality, The weakness of this is that it hides much of the detail. In
gives examples of products that increased their sales when particular, it does not tell us whether a high level of sacrifice
they put up their prices. He maintains that such judgments is perceived as a plus or a minus. Too often, the sacrifice is
about quality are based more on consumers’ experience than seen as unambiguously negative, ignoring the obvious exam-
on their ignorance. ple of luxury goods where a high price is often seen as a posi-
Gabor (1988) concludes that tive feature.
the customer bent on a purchase will approach the market with

two price limits in mind: an upper limit beyond which he would Adjuncts
consider the item too expensive for his purposes. And a lower The term adjunct is peculiar to certain countries, particularly
limit below which he could not trust the quality (p.254). the United States, and it is not in widespread use in the
United Kingdom. It usually refers to a part-time teacher
Between this upper and lower limit, price will not act as without security of employment. A number of studies have
an absolute barrier to purchase (Gabor & Granger, 1966). suggested that the greater use of adjuncts, particularly in
This builds on earlier insights by French researchers whose online classes, has contributed to the increase in grade infla-
work is not quite as accessible to those working in the English tion. Because there is no convenient British equivalent, the
language (Adam, 1958; Stoetzel, 1954). term adjunct will be used here.
Marketing theory is flexible enough to realize that there If grade inflation is the result of inexorable pressures on
are costs that are not related to financial price involved in the degrees that rely on the use of adjuncts, then this would tend
acquisition of goods and services. These total perceived to undermine the argument in this article. This is because the
costs, financial and non-financial, are often referred to as the University of Liverpool qualifications delivered by Laureate
give or sacrifice (Zeithaml, 1988). The latter term is particu- Online Education are taught almost exclusively by adjuncts.
larly pertinent to university students taking a degree. The The evidence must therefore be considered.
stress involved in balancing competing demands on time can Kezim, Pariseau, and Quinn (2005) looked at grades at an
be considerable. The suffering involved in acquiring a degree American college over a 20-year period and concluded that
is particularly acute among part-time mature students who adjuncts contributed to additional grade inflation. A popular
have so many more commitments than their younger full- explanation of this phenomenon is that adjuncts are judged
time counterparts. These are the kind of students who are largely or exclusively on student evaluations, and higher
taught on completely online master’s degree programs run grades are a means of trying to increase popularity. The inse-
by Laureate Online Education on behalf of the University of curity of employment experienced by adjuncts is suspected
Liverpool. The university is believed to be the biggest proof increasing this desire to curry favor.
vider of online master’s degrees in Europe. The students Ewing (2011) found there was a positive correlation
have an average age of around 38, and are drawn from all between students’ expected grades and their evaluations of
parts of the world. teachers. The study of Love and Kotchen (2010) concludes
The current authors’ research focused on the question of that “increased institutional emphasis on teaching evalua-
whether it is possible that, in certain circumstances, degrees tions can exacerbate the problems of grade inflation and
that involve greater sacrifice are perceived as having more inadvertently lower faculty teaching effort” (p. 162).
value. Conversely, those degrees which involve few sacri- The research of Langbein (2008) discovered that actual
fices could be seen as being of poor quality. If this is so, then and expected grades had an effect on student evaluations of
there may well be an alignment of academic and business teaching. Because of the widespread use of such evaluation
interests. The teacher who protects academic standards could methods in the United States, she feared that they would fuel
be maintaining the value and economic desirability of the universal grade inflation, although this would be particularly
product. acute in private colleges. Eiszler’s (2002) examination of
more than 900,000 student evaluations concludes that they
were significantly related to expected grades. Crumbley,
Perceived Value
Flinn, and Reichelt (2010) feel that student evaluations
Alves (2010) conducted a wide ranging review of the litera- encourage a range of unethical behavior in teachers aimed at
ture on perceived value in higher education. Sancjez- improving ratings without increasing learning.
Fernandez and Iniesta-Bonillo (2007) performed a similar Bar, Kadiyali, and Zussman’s (2009) study reports that
service in looking at perceived value in general. Some of the “in the spring semester of 1998, Cornell University started
literature treats perceived value as the net value of a product publishing median course grades on the Internet. Our

Business and Academic Interests in the Maintenance of Standards in Online Higher Education 165
analysis finds that the provision of grade information online In the world of online education, where all interactions
induced students to select leniently graded courses” (p. 107). can be stored in a virtual learning environment, there is no
In assessing the impact of such practices on adjuncts, excuse for lazy management. A broad range of data is typi-
Sonner (2000) finds that adjunct instructors, keen to improve cally available in an electronic form so that more rounded
their evaluation results, did give higher grades than full-time evaluations of teachers can take place. Teaching in a goldfish
teachers. Cavanaugh’s (2006) research suggests that a typical bowl, where teachers realize that everything they have ever
student would receive a B grade from an adjunct and a C written to any student in the last 10 years is available to
from a full-time member of staff. It is not perhaps an accident external regulatory bodies such as the Quality Assurance
that most of the evidence for grade inflation is coming from Agency for Higher Education (QAA), is not always comfort-
those who teach undergraduates in the United States. able. It does, however, provide relatively unambiguous evi-
The degrees which are featured in this current article are dence of who did and said what to whom. Unjustified
normally taught by teachers who are all adjuncts. Their mod- criticisms of instructors can be refuted by documentary evi-
ule managers, faculty managers, and directors of online stud- dence, and teaching staff are less reliant on receiving positive
ies are also adjuncts. A large number of these come from the feedback in circumstances where difficult decisions have to
United States, where grade inflation might well be a daily be made.
reality of their teaching on campus. All online teachers are Oleinik (2009) pessimistically concludes that “grade
subject to student evaluations at the end of every module. At inflation results from the substitution of criteria specific to
the same time, there has, to date, been a strong culture of the search for truth by criteria of quality control generated
opposing grade inflation. outside of academia” (p. 156). He did not foresee that certain
The degree programs described in this article apply very systems of quality control would be aimed at preventing
strict grading criteria. Only around 20% of the students could grade inflation on the understanding that courses with
expect to receive A or A* grades. This can be contrasted with inflated grades are of reduced quality.
the case at Princeton University, which reported as a success
the fact that the proportion of A+, A, and A− grades on
undergraduate courses had fallen from 47.9% in 2002-2003
Areas for Investigation
to 39.7% in 2008-2009 (Quinones, 2009). International stu- In this study, the approach was to isolate a number of vari-
dents are generally advised that a Grade C at Liverpool is ables to see whether something interesting, and possibly
equivalent to Grade B in the United States. There is no inter- unexpected, could be identified. A cluster of three issues was
nal evidence that grades have increased over the decade in identified, which might be seen as associated with grade
which the oldest of the University of Liverpool online inflation and a lowering of academic standards.
degrees have been provided. How is that possible?
The answer is that instructors can normally gain no advan- 1. The level of sacrifice involved in obtaining a stu-
tage by providing higher grades to students in the absence of dent’s degree. We asked respondents to ignore the
evidence that work of superior quality has been produced. cost of fees and concentrate on other sacrifices they
Although student evaluations are used, they constitute just had made. The question of tuition fee costs as a sign
one of many indicators of performance for online teachers. of quality was tested separately.
Alongside such evidence, a faculty manager will consider 2. The proportion of students who failed their degree or
whether the grading profile of a teacher is significantly dif- individual modules (a module is an intensive class
ferent from his or her peers. It would certainly be considered lasting 8 weeks). The survey asked about the case
undesirable if popularity had been bought, intentionally or where the number of failures was very low. It was
otherwise, by the offering of higher grades. Thus, a teacher reasoned that where grades were uniformly inflated,
demonstrates that he or she is valuable to the university the number of failures would fall, and that questions
partly by showing that he or she does not award higher grades such as this would be the easiest way of testing atti-
without justification. tudes toward grade inflation.
The conclusion is that there is nothing inevitable about 3. The numbers of students who dropped out of their
grade inflation in circumstances where there is an intensive degree. Ormond Simpson (2003), in a book based on
use of adjuncts subject to student evaluations. The negative his experiences at the Open University in the United
consequences are purely the result of specific academic or Kingdom, expresses the opinion that “an institution
business decisions, which in turn seem to be the result of that awarded its own qualifications and had zero
very poor management. If a university chooses to make dropout might have difficulty in persuading both its
appointment and promotion decisions based solely or pre- students and the general public that its qualifications
dominantly on student evaluations, particularly in the face of were worth having” (p. 11). Part of the current
evidence that undergraduates respond to those who grade authors’ research was aimed at establishing how far
generously, then it should expect to be embarrassed. this was true.

The responses to some of the questions would probably not watertight, and the damage inflicted by a collision with
depend on the current situation. The reaction of students an iceberg was so severe that the vessel sank.
could be different if they were enrolled on a degree course The response was to divide the online survey into a number
where grades were already inflated. As has been noted, the of compartments that were a little more watertight than those
baseline position was that grade inflation was not a problem, on the Titanic. For each of the 60 classes that were surveyed, a
and students would therefore be expected to work hard for blackboard message (internal email) was sent to every mem-
good grades. It could not be considered easy to pass the ber of a particular class inviting them to take part in the survey.
degrees in question. This is consistent with what colleagues Each class was directed to a separate web address.
in marketing would call the positioning of the degrees. The service that was used, SurveyGizmo, made it easy to
Two authors who pioneered the programs, Kalman and generate new instances of the survey, each of which had its
Leng (2007), write about “the widespread public suspicion own web address. Hence, there were 60 copies of the survey
that this educational [online] paradigm will be associated residing at 60 web addresses, and generating 60 separate data
with low standards and quality.” They concluded that, in sets. These data sets were combined during the analysis.
overcoming this perception, “quality cannot be bought The consequence of adopting this approach was that if a
cheaply” (p.59). Computing colleagues, Grasso and Leng single web address was leaked to a wider audience, only one
(2005), state that “we believe firmly that the successful pro- compartment in our survey ship would be flooded by invalid
grammes of the future will be those that focus on pedagogy, data. It could then be disregarded without corrupting the
and give precedence to academic standards and quality whole survey. In the event, there is no evidence that such a
assurance, rather than those that emphasize technological leak occurred. The numbers responding to the survey never
aspects or focus on low-cost delivery” (p. 2386). This meets exceeded, or even approached, the number of students in
the concerns expressed by Thirunarayanan (2001) a decade each class.
ago that online education might lead to people receiving Many respondents did not have English as their first lan-
degrees who did not really deserve them. guage, and so they were asked to indicate whether any ques-
A decision was taken to gather students’ views through tion in the survey was so difficult for them to understand that
the medium of an anonymous online survey. What the survey their reply might not reflect their true opinion. Where a stu-
sought to measure was perceived value. Students were not dent indicated that a question fell into that category, the
asked to apply a range of objective criteria in making their response to that question was discounted.
judgments. In general, they were simply asked whether cer- Students were asked for their age and gender, and the sur-
tain things increased or decreased the value or quality of vey service that was used, SurveyGizmo, identified their
their degree in their eyes. location from their IP address. Students were asked about the
actual sacrifices they had made compared with the sacrifices
they expected to make; how important it was to them that
Method their degree was being awarded by the University of
An online survey was carried out in 60 small Research Liverpool; their level of satisfaction with their degree course;
Methods classes of the University of Liverpool’s online mas- and the survey asked about their views on the relationship
ter’s degree programs. The main subjects were computing, between tuition fees and course quality.
business administration, and management, with smaller The core of the survey addressed questions of perceived
numbers from public health and clinical research administra- value in situations where changes were made that would gener-
tion. Research Methods is the module students take toward ally make the course easier. These were grouped as follows:
the end of their degree immediately before attempting their
dissertation, and after completing 8 other modules (a module 1. Questions that asked about the effect on the perceived
is an 8-week class). Some 369 students completed the survey value of the degree if, shortly after the student’s grad-
anonymously with a response rate of 44.8%. uation, changes were made that resulted in modules
One of the concerns of using a publicly visible online sur- being much easier to pass, students being unlikely to
vey is that, either through misplaced enthusiasm or malice, drop out of their degree because it was too difficult,
the web address could be made available to those outside the or students finding that gaining a degree involved far
target audience. There is then a danger that the sample could fewer sacrifices.
be corrupted by the presence of large numbers of respon- 2. Questions about the effect on the perceived value of
dents whom the researchers did not want to take part. the degree if it involved very little non-monetary sac-
To reduce the risks of this happening, and to limit the rifice, students hardly ever failed, or the drop-out rate
damage if it did, the authors used what they called, some- was close to zero.
what tongue in cheek, the New Titanic Method. It will be 3. Questions about the effect on the University of
recalled that the RMS Titanic was meant to have a number of Liverpool’s reputation if students rarely failed mod-
watertight compartments which would help it stay afloat if ules or rarely dropped out because the work was too
the hull was breached. In practice, the compartments were hard.

For the most part, semantic differential questions were

used, with possible options ranging from 7 (increased value/
higher reputation) to 1 (decreased value/lower reputation).
This has been treated as interval data for which the mean
score can legitimately be calculated. The choice by partici-
pants of the mid-point value 4 was assumed to indicate a
degree of neutrality or indifference toward the issue in ques-
tion; scores of 5 to 7 were interpreted as being broadly posi-
tive, and scores of 1 to 3 negative. The results which were
consistent with the authors’ expectations would involve a
mixture of high and low scores.
Results Figure 1. Mean values for the assessment of future changes.
Sacrifice and Tuition Fees

Some 79% of students indicated that their degree had
involved greater sacrifices than they had expected. Only 5%
thought it involved less sacrifices. The mean score was 5.5.
At the same time, 88% of the sample were satisfied with their
degree (M = 5.7) and 88% would recommend their degree to
others (M = 5.9). It can therefore be seen that there is no
incompatibility between high student satisfaction and a
higher than expected degree of sacrifice.
The assumption had been that high tuition fees would not
be a strong indicator of course quality, and that other aspects
of the give or sacrifice involved in obtaining a degree would
be more important. This was confirmed by the survey. When
asked whether courses with high tuition fees were typically
Figure 2. Percentages of those who saw changes as having a
of better quality than those with lower tuition fees, respon-
positive or negative effect on the value of the degree.
dents produced a mean score of 3.8 (median = 4). The num-
bers of positive, neutral, and negative responses were almost
precisely equal. unlikely to drop out of their degree because it was too diffi-
cult would signal a qualification that had less value. Twenty-
five percent took the contrary view (M = 3.4, median = 3).
Changes to Degrees After Graduation The mean scores for these three questions are highlighted in
Possibly the most significant results from the survey were Figure 1. The percentage of respondents who thought these
produced by the questions that asked about future changes changes would be positive or negative is represented in
that would make degrees easier in certain specified respects Figure 2.
after the student had graduated. The general conclusion was
that students would see such changes as devaluing their
Less Sacrifice, Low Failure/Drop-Out Rates
degree. This would be likely to generate significant negative
word-of-mouth (as well as negative social network and email The next set of questions involved subtle differences in
traffic) about their degree program. wording. Instead of being asked about failing modules, stu-
If, in future, it would be much easier to pass each module dents were quizzed about their view if people hardly ever
on the degree, 69% of the respondents felt that this would failed their degree. Fifty-eight percent of the respondents felt
decrease the value of their degree and only 14% believed that this would decrease the value of the qualification. This repre-
its value would increase (M = 2.8, median = 3). Similarly, sented a slight softening of attitudes, because degree failure
66% saw a future degree that would involve far fewer sacri- was clearly a harsher penalty than module failure, and hence
fices on the part of students as involving a lowering of value. a higher price to pay for degree quality. However, the polar-
Just 12% of the sample thought this would increase the ity of student opinion was clear, with only 14% feeling the
degree’s value (M = 3.0, median = 3). degree would increase in value (M = 3.2, median = 3).
Throughout the survey, respondents were less concerned When asked how they would rate their degree if it involved
about low drop-out rates as a negative indictor, but 52% of very little sacrifice on their part, 60% said their qualification
the sample believed that a future in which students would be would decrease in value, with 15% taking the contrary view

out because the work was too hard. Here the results were
inconclusive. The split meant that 35% thought this change
would lower the reputation of the university, 36% thought it
would give Liverpool a higher reputation, and 29% were
indifferent (M = 4.0, median = 4).
Although the question did specify a particular reason why
students might drop out of degree courses, informal feedback
suggested some participants might have taken account of
other reasons, such as illness or a change in personal circum-
stances. The retention of students under these difficult cir-
cumstances would be seen as a positive sign. It was also
likely that the reputation of the university was considered so
robust that changes were less likely to damage its image.
Figure 3. Percentages of those who saw features as having a It was concluded that the use of drop-out rates as a signal
positive or negative effect on the value of the degree. of perceived value was problematical and any future research
would require more incisive questioning to separate out the
various factors involved.
(M = 3.1, median = 3). A drop-out rate close to zero was seen
as a negative thing by 46% of the respondents, whereas 23%
Demographics
saw it as positive (M = 3.6, median = 4). In this case, the rea-
son for dropping out was not mentioned in the question. A Gender, geography, and age. Just 33% of the survey sample
summary of the relevant percentages is set out in Figure 3. was female. There were no statistically significant differ-
ences (p < .05) with the one- or two-tailed test in the answers
provided by men and women.
The University’s Reputation In analyzing the sample according to the part of the world
The University of Liverpool brand proved to have been an in which students were resident, the only significant differ-
important factor in attracting students to their degree pro- ences were between the 21% of students who came from
gram. Many online degrees are offered by institutions whose Africa and the rest. The results of this analysis are presented
names are not immediately recognizable. Liverpool is one of in Table 1. African students were more likely to believe that
the older British civic or redbrick universities formed around the sacrifices they had had to make were greater than
the turn of the 20th century. It is a member of the Russell expected (p = .0001) and to value the Liverpool brand in
Group, a collection of research-intensive universities in the choosing their degree (p = .00003). They were less likely to
United Kingdom. believe that future changes after their graduation that would
In the survey, 85% of the students indicated that the fact make their degrees easier would reduce the value of those
that the University of Liverpool was offering their degree degrees. In the case where it would be much easier to pass
was important or very important. Only 6% thought this fac- each module, p = .002; where it would be unlikely for stu-
tor was unimportant (M = 5.9, median = 6). Students were dents to drop out because the degree was too difficult, p =
therefore asked about the effect of certain scenarios on the .0007; where gaining a degree in the future would require far
Liverpool brand. The result of students rarely failing mod- fewer sacrifices, p = .01. African students were more satis-
ules on their degree course would, in the opinion of 49% of fied with their degree (p = .0000005) and more likely to rec-
the respondents, lower the reputation of the university (M = ommend it to someone else (p = .002). In almost all cases,
3.5, median = 4). the polarity of African and non-African students’ views was
A very significant 29% of the sample opted for the mid- the same, meaning they were both positive or negative in
point value on the scale, indicating some degree of indiffer- relation to any particular question, but one group’s attitudes
ence. If that assumption of indifference is correct, then the were stronger to a statistically significant degree. The two
natural conclusion is that the university does not need to questions where there was an opposite polarity were the
worry about the reaction of a certain proportion of its stu- above mentioned case about future changes where students
dents to modules getting easier. The reaction is likely to be would be less likely to drop out (African M = 4.1, non-Afri-
neither positive nor negative. The focus will therefore switch can M = 3.3), and the question that asked about the effect on
to the proportions of students who react positively (22% in Liverpool’s reputation if students rarely dropped out (African
this case) and negatively (49%). On balance, therefore, it M = 4.5, non-African M = 3.9).
was concluded that modules that are rarely failed would An examination of correlation results showed that the
damage the reputation of the university. relationship between age and other variables was almost
The sample was also asked about the effect on the completely random. Although age was not generally a deter-
University of Liverpool reputation if students rarely dropped minant of outcomes, there were a few statistically significant

Table 1. Comparison of African Students With the Rest of the Sample.
Question African M Non-African M p (one-tailed) p (two-tailed)

Q1 5.9 5.4 <.000 <.000
Q3 3.4 3.1 .05 .09
Q5 6.4 5.8 <.000 <.000
Q7 4.5 3.9 .002 .005
Q8 3.3 2.7 .002 .004
Q9 4.1 3.3 <.000 <.000
Q11 6.2 5.6 <.000 <.000
Q12 6.2 5.7 .002 .004
Table 2. Comparison of Students Above 40 With the Rest of the Sample.
Question Above 40 M ≤ 40 M p (one-tailed) p (two-tailed)

Q7 3.8 4.1 .04 .09
Q8 2.6 2.9 .02 .03
Q13 4.0 3.7 .04 .08
differences when comparing students who were above 40 in choosing their degree, and they were more satisfied with
(38% of the sample) with the rest (the mean age of students their program. They were therefore treated as one group.
was 38). The older group felt in Q4 that the damage to the In a kind of mirror image of the computing students, the
university’s reputation where students rarely dropped out respondents taking management degrees felt they had made
would be greater than it was in the eyes of younger students greater sacrifices than expected (p = .0008). In choosing a
(p = .04). Similarly, the above 40s were in Q8 more con- level at which the module failure rate was too high to recom-
cerned by future changes that would make it easier to pass mend their degree to others, management students named a
each module (p = .02). They were a little more inclined in lower figure than other respondents (p = .006).
Q13 to believe that degrees with high tuition fees are of bet- Clinical research administration students were a little less
ter quality (p = .04). In Table 2, the lower scores indicate a likely to recommend their degree to others (p = .005). In
lower perceived value or greater damage to the university’s other respects, they were very similar in their views to those
reputation. of other students taking other degrees.
Public health students had a higher average age of 41.
Degree comparisons. In comparing the results across degree They made up just 10% of the total sample, and therefore, the
programs, the most noticeable feature was that there were comparisons should be treated with some caution because of
relatively few statistically significant differences. To isolate the relatively small numbers involved. However, it was noted
any variations that were peculiar to a particular degree pro- that public health students were rather less concerned about
gram, a series of t test comparisons were conducted in which the effect of low drop-out rates on the value of their degree
those in Degree X were compared with a combined group (p = .03) or on the reputation of the university (p = .05). They
consisting of those not in Degree X. were similarly less bothered by the effect of lower module
Computing students felt that they had made slightly fewer failure rates on the university’s reputation (p = .0006), to the
sacrifices to obtain their degree than other students (p = extent that, on this question, they actually saw the change as
.006). With respect to future changes after graduation that slightly positive (M = 4.2). They were even more likely to
would make it easier to pass each module (p = .04) and make recommend their degree to others (p = .04). The percentage
it unlikely that students would drop out because their degree at which module failure rates cast doubt on the quality of
was too difficult (p = .03), computing students were a little their degree is lower for public health students (p = .02), as is
more likely to see these changes as negative. The level of the percentage drop-out rate at which the degree could not be
module failure (p = .0004) and degree dropout (p = .008) at recommended to others (p = .03).
which students could not recommend their degree to others
was higher than among non-computing students.
Not Enough Sacrifice?
Management students were studying for an MBA or an
MSc in management. These two groups did not display statis- The authors wanted to get an idea of when the level of stu-
tically significant differences, except in two less crucial dent module failures and dropouts due to the difficulty of the
areas—the latter felt the Liverpool brand was more important degree was considered too high or too low. To answer these

Table 3. Students Who Were Indifferent to Low or High Failure or Drop-Out Rates.
Question M Median % who replied “no figure is too low (too high)”
Q14 15.9 10 12.5
Q15 48.1 50 (6.3)
Q16 14.7 10 15.9
Q17 45.3 45 (5.8)
questions, use was made of some techniques employed in the too high” when we were asking about values that were too
Price Sensitivity Meter of the Dutch economist Peter van high. Thus, participants were given every opportunity to
Westendorp. The typical use of the Price Sensitivity Meter is indicate that they were not concerned about this issue.
to establish when the price of a product or service is consid- Although these questions were in a well-established for-
ered to be too high or too low by potential consumers. It mat, and the wording was as clear as it could reasonably be
often helps in setting the price of a new product or in estab- made, the concepts involved were not necessarily easy to
lishing whether the current price of a product is appropriate grasp. The authors therefore included an optional question at
(Lipovetsky, Magnan, & Zanetti-Polzi, 2011). the end of the survey:
The approach of van Westendorp was adapted to the
slightly different situation being addressed by ourselves. Were any of our questions so difficult to understand that your
Whereas the original technique would ask when the price reply might not reflect your true opinion?
was too low for it to be of good quality, in this study, respon-
dents were asked about the average percentage of students For most of the survey questions, the numbers indicating
who fail each module: this degree of difficulty in understanding a question were
very small. In the case of Questions 14 to 17, it was more
Q14: At what percentage would you consider the failure significant. The percentages indicating a degree of difficulty
rate to be so low that the degree’s quality would be for these four questions were 14.1%, 10.8%, 16.5%, and
doubted? 11.9%.
The analysis of the data erred on the side of caution by
In relation to the percentage of students who decide to discounting the replies to questions where respondents had
withdraw from their degree course (drop out) before the dis- indicated that their reply might not reflect their true opinion.
sertation stage because the degree is too hard, the corre- However, a statistical examination of the replies to Questions
sponding question was as follows: 14 to 17 of those who did and did not indicate this difficulty
showed that the difference between the mean values was not
Q16: At what percentage would you consider the drop- statistically significant (p < .05) for any of the four questions.
out rate to be so low that the degree’s quality would be In terms of the median scores, the inclusion of respondents
doubted? who had doubts about their reply reflecting their true opinion
would not have changed the median at all in the first three
The application of the Price Sensitivity Meter would then questions. For Q17, the effect would have been to increase
normally involve asking respondents when the price was so the median from 45 to 50. The conclusion was that the doubts
high that they would not consider buying the product. The that some respondents experienced had affected their
two questions that were asked in this survey to test the case responses in the most trivial of ways. The exclusion of those
where values were deemed to be too high were as follows: who had doubts did not affect the median or mean scores to
any significant degree.
Q15: At what percentage would you consider the failure The right hand column in Table 3 has been interpreted as
rate to be so high that the degree could not be recom- the proportion of students who were indifferent to module
mended to others? failure or drop-out rates in assessing degree quality (Q14 and
Q17: At what percentage would you consider the drop- Q16) or in deciding whether to recommend their degree to
out rate to be so high that the degree could not be rec- others (Q15 and Q17).
ommended to others? The replies to Questions 15 and 17, which asked about
when values were too high, were something of a surprise,
In all cases, respondents were asked to select a value from but were consistent throughout the phased conduct of the
a drop down menu. The values available were in a range survey. They indicated that the level of satisfaction students
from 0% to 100% with 5% increments. The very first option felt with their degree course was such that only when fail-
on the menu was “No figure is too low” in the case where we ure or drop-out rates were approaching 50% would a major-
were asking about values that were too low and “No figure is ity begin to stop recommending their degree to others in

Table 4. Correlation Matrix.
Q3 Q4 Q6 Q7 Q8 Q9 Q10
Q2 0.33 0.30 0.33 0.16 0.35 0.22 0.43
Q3 X 0.44 0.59 0.37 0.39 0.43 0.40
Q4 X X 0.46 0.38 0.32 0.33 0.37
Q6 X X X 0.52 0.43 0.41 0.45
Q7 X X X X 0.34 0.52 0.29
Q8 X X X X X 0.54 0.58
Q9 X X X X X X 0.48
large numbers. The results did indicate a high tolerance of The authors do acknowledge that where a university has a
significant failure and drop-out rates on the part of the more reputation for recruiting the most talented and motivated stu-
retainable students. dents in a particular country, such as is the case with the
In Questions 14 and 16, the authors have taken a cautious Universities of Oxford and Cambridge in the United
approach in drawing conclusions about minimum module Kingdom, the perceptions of what constitutes an acceptable
failure and drop-out rates by focusing on the median values. minimum drop-out rate may well be much lower. In the
It does seem clear that if these rates were to fall below 10%, absence of such exceptional factors, it has been concluded
then large numbers of students are likely to see this as indi- that there will routinely be minimum failure and drop-out
cating a reduction in degree quality. A reasonable interpreta- rates below which it would be unwise for a university to fall.
tion of the data in Table 3 is that an average of 0% module Degrees where everyone passes and nobody drops out
failures would be interpreted as a reduction in degree quality because the work is too hard will typically be viewed as qual-
by 87.5% of the students. A drop-out rate of 0% would be ifications of poor quality.
similarly interpreted by 84.1% of the participants. Until around the 1960s, there was a reasonably wide-
Park and Choi (2009) outline a number of ways in which spread belief that a lower price was always better for the cus-
retention can be improved by legitimate means without grade tomer. This was not based on strong empirical evidence, and
inflation. There is, however, likely to be a level beyond when empirical studies were carried out, it was soon discov-
which it is unwise to go if the perceived value of degrees is ered that prices could be too low as well as too high, and that
to be maintained. this finding was not limited to the special case where rich
In other questions, participants were asked about a drop- buyers were trying to impress their friends (Gabor & Granger,
out rate that was close to zero, or where students rarely 1966; Shapiro, 1968). Some 50 years later, we may be on the
dropped out because the work was too hard. It was felt that verge of acknowledging the business problems created by
asking about the situation where no-one dropped out would universities whose degrees are obtained at a level of suffer-
be tantamount to asking about a situation that would never, ing that is too low.
in practice, happen. Respondents would have probably not
seen this as a credible scenario. Although those taking the
Correlation Analysis
survey might not have difficulty in assessing the effect on
perceived value of drop-out rates that were close to zero, or Where students were satisfied with their degree, they would
situations where students rarely dropped out, there was typically recommend it to others. A correlation of .76
always the danger that they would privately define those between these two variables underlined this close relation-
terms differently. ship. The results of the correlation analysis are shown in
Q16, inspired by the Price Sensitivity Meter, showed that Table 4.
a large majority of students were able to nominate a drop-out The key questions in the survey, which asked about how
rate at which the degree’s quality would be doubted, and just changes or different scenarios would affect the quality of
15.9% rejected the notion that there was any such figure. degrees or the reputation of the university, were Q2 to Q9.
It does seem to be a requirement of students’ willingness In Questions 8, 9, and 10, respondents were asked to indi-
to undergo a certain amount of suffering to obtain their cate whether the suggested change would increase or
degree that such hardship is not seen as unjust or unreason- decrease the value of their degree. It will be recalled that in
able. The degree satisfaction rates revealed in this survey each case, students were presented with a 7-point semantic
suggest that there is no such perception. Theoretically, this differential scale. See the Appendix for the wording of
can be linked back to the work of André Gabor (1967), who questions.
maintained that a price (sacrifice) that was seen as neither An analysis showed that there were a few questions where
too high nor too low by buyers and sellers could be regarded replies were quite well correlated (> .40) with other responses.
as a just price for a product or service. A key question was the following:

Q6: If students on your degree rarely failed modules, how The survey sample consisted of students who were survi-
would that affect the University of Liverpool’s vors. Those who had dropped out (typically in the first or
reputation? second module of the degree) could have a different view.
However, the authors’ informed conjecture is that the support
Respondents were asked to select a point on a scale indi- services offered to online students by Laureate and Liverpool
cating whether the university would have a higher or lower are gradually eliminating avoidable dropouts. Those who
reputation. The replies were well correlated with six out of leave are increasingly likely to be those who see how hard
seven similar questions, indicating that it was a reasonable the online program is and realize that they cannot fit it into
predictor of other attitudes. Knowing the answer to this ques- their schedule.
tion would provide a fair indication of (correlation figures in If this is true, then at least some of these early dropouts
brackets) the value of the student’s degree if people hardly are possibly a necessary evil in proving that this example of
ever failed (.59); its value if the drop-out rate was close to 0 online education is not an easy option. It would seem a far
(.46); the effect on the university’s reputation if students better business option to appeal to those who are similar to
rarely dropped out because the work was too hard (.52); the the people in the sample who had demonstrated that they
respondent’s attitude if, in the future, each module was much were retainable. Their desire is for degrees that, through the
easier to pass (.43); the attitude toward a future change where sacrifices involved, indicate their high value.
students would be unlikely to drop out because their degree The authors’ research highlighted a cluster of interesting
is too difficult (.41); and the student’s attitude toward a variables. It is possible that other variables will have an
degree that would in future require far fewer sacrifices (.45). effect on students’ attitudes toward degrees that are challeng-
Establishing the relationship between concepts by math- ing. Further research in comparing the influence of different
ematical means is sometimes a little like typing a letter wear- variables would be welcomed.
ing boxing gloves, but the mathematical relationships can be The high proportion of students who felt that their degree
suggestive. For the authors, the cluster of correlations around had involved greater sacrifices than they expected does sug-
Q6 pointed to the centrality of the Liverpool brand and to gest that, at the time of their enrolling for the degree, the
anything that would damage the university’s reputation. marketing and other university literature did not prepare
It has already been seen that the brand was an important them satisfactorily for what was to come. This may have
factor in students choosing their degree. The most natural changed in more recent times.
interpretation of the data is that if a degree’s becoming easier This does point to the dangers of being unduly positive in
is seen as damaging the brand, then similar changes (as promotional material. It can inflate avoidable drop-out rates.
described in other questions) would also be seen in a nega- First, because those who have believed the myths about
tive light. Only where the change was not seen as damaging online education being an easy option do not have those
the brand would it be viewed as having no harmful effect on myths sufficiently dispelled by what they read about their
the quality of a degree. This is also true of future changes that degree. This encourages applications from people who are
might be made after graduation. Such changes were likely to not suited to the workload or the pedagogical/andragogical
be seen as diluting the value of a Liverpool degree obtained model used. Such people might not apply if promotional
at some point in the past. material consistently pointed out how difficult study was
The other area with the highest correlations was that relat- likely to be.
ing to future changes after graduation. The correlations were Second, being more realistic in public statements would
Q8 to Q9, .54; Q8 to Q10, .48; and Q9 to Q10, .58. Students reduce the number of avoidable dropouts among students
tended to see such changes as being distinctly all positive or who felt that they were failures because they found online
all negative. education extremely challenging. A university can say, “This
degree course is going to be very difficult, but ultimately
rewarding. You will experience many problems in balancing
Discussion all your commitments, but we have the support services that
can help you.”
Reduced Value Such an approach would tend to engender different expec-
The results of the survey show that, at least in certain circum- tations, so that the student might think, “I have problems, but
stances, students do perceive high pass rates, low drop-out this is normal. It does not mean that I am inadequate.” It is
rates, and degrees that involve very little sacrifice on their also likely that there are strong potential students who have
part as reducing the value of their qualification. This percep- believed the stories about online education being an easy,
tion is particularly strong in the case where post-graduation low-quality option (which in some cases might be true). It is
changes are proposed that would make the degree easier to possible that more honest marketing, telling them that they
obtain. Students who have made great sacrifices to gain a will have to suffer to gain a degree, would actually have a
master’s degree would be particularly unhappy at seeing positive appeal. It could open up new markets by astute prod-
their degree devalued. uct positioning. In terms of signaling theory, it could be said

that the university would be sending a signal to potential Pressman (2007) would identify this as demand-pull infla-
buyers that its products were of high value (Spence, 2002). tion, where too many students are chasing too few jobs.
The data suggest that retainable students taking the mas- It is clearly much easier to prevent grade inflation that has
ter’s degrees discussed in this article see factors that add to not historically taken place than it is to reduce grades that
the difficulty in obtaining their qualification as increasing its have become inflated. Once the proportion of A grades has
perceived value. This will inevitably influence their word- risen above 40%, it is difficult to get the genie back in the
of-mouth recommendations (and these days that includes rec- bottle. However, the business case for doing so is suggested
ommendations made by electronic means of communication). by the results of this research. There is a market for high-
In this case, there is strong evidence that academic and busi- value degrees, the acquisition of which involves a significant
ness interests are aligned. Pressures for grade inflation and a amount of suffering on the part of the student. Indeed, it is
degree obtained with fewer sacrifices are likely to undermine possible to argue for the necessity of suffering. The student
the value of the product and make it less attractive in the eyes who has suffered is likely to believe that he or she has
of retainable students. obtained a prize of great value.
A business manager who was asked “How difficult is it to Where degree programs require a high level of student
resist the temptations of grade inflation?” could reasonably participation, such as in the numerous assessed asynchro-
reply, “It is quite easy. Grade inflation would damage our nous online discussions favored by Liverpool, a campaign
business by making the product less attractive.” against grade inflation might also be a good way of getting
students to work harder and participate to the desired extent.
The Potential Scope of These Findings Babcock (2009), in surveying a large number of students at
the University of California, San Diego, concluded that
Under what circumstances are these factors likely to apply?
What is the scope of these conclusions? Marketing theory holding fixed instructor and course, classes in which students
suggests that when an organization is selling a high value, expect higher grades are found to be classes in which students
high price product, the high price can be a positive attraction. study significantly less. Results indicate that average study time
This is because it makes the product exclusive. The owner would be about 50% lower in a class in which the average
possesses something that others do not have. expected grade was an “A” than in the same course taught by the
In education, it is the total sacrifice involved in obtaining same instructor in which students expected a “C.” (p. 983)
a degree, rather than the level of fees, that provides this
exclusivity. Conversations between the authors and online Although the University of Liverpool degrees are deliv-
students after graduation ceremonies suggest that it is pre- ered in conjunction with an American private sector organi-
cisely because students have suffered to gain their degree zation, Laureate Online Education, the authors have noted no
that they regard it as having a high value. Under no circum- pressures for grade inflation from their paymasters in their
stances would they accept that studying online was an easy day to day teaching. There is therefore little cost-push pres-
option. sure for grade inflation where teachers are encouraged to
Are all degrees likely to engender this feeling in their stu- give higher grades by their institution (Pressman, 2007).
dents? Almost certainly not. A master’s degree, particularly Why? Because it would be bad for business.
one from a reputable university (one with a strong brand) is The pressure is likely to be in the opposite direction, par-
still something that sets an employee apart from others. It ticularly in the case of Americans and other instructors who
does, in many circumstances, still provide a career advan- might be operating in on-campus courses characterized by
tage. It is exclusive because large numbers of people do not rampant grade inflation. When they become online teachers
have a master’s degree. In such circumstances, the business at Liverpool, they have to adjust quickly to their new
pressures to combat grade inflation are likely to be strong. environment.
Although the amount of fees charged is not in itself crucial in On the demand side of the equation, Liverpool students
indicating the quality or value of the degree, it is likely that may wish that the assignment they are currently completing
students who perceive their degree as having a high value are were not so time-consuming. In the passing moment, they
more willing to pay high fees. may wish for an easier life. However, in the longer term, they
On the other hand, where the possession of certain kinds value the suffering they have had to undergo. This may not
of degrees becomes commonplace (a bachelor’s degree in be universally true, but it would be surprising if there were
some countries, for instance), the product takes on more of not general lessons to be learned here. The sacrifice is transi-
the features of mass-produced consumer goods. Here there tory, but positive recommendations persist over the long
are more pressures to drive the price down. In education term.
terms, the emphasis switches to the importance of the grade Ledden and Kalafatis (2010) highlight the fact that
that is obtained, because the mere possession of a degree has degrees can have a different perceived value at different
a reduced value. The pressure here is often to reduce the times. Therefore, when we ask students about perceived
amount of sacrifice involved in getting a good grade. value might be important. Asking students during a

temporary period of suffering might give a distorted view of To test the applicability of this body of theory to the online
the long-term benefits of such experiences to students who degree programs of a prominent British university, the
will, in graduating, gain a prize of great value. authors conducted a survey among students coming toward
the end of their master’s degrees and asked what their reac-
tion would be if certain changes were introduced that would
Conclusion make their degrees easier to obtain. These changes included
Pricing theory suggests that the price of a product can be too a reduction in failure rates, a reduction in drop-out rates, and
low as well as too high. That price can include non-financial a reduction in the sacrifices made in obtaining the degree in
contributions the buyer has to make in acquiring the product. question.
It can, for instance, include the sacrifices the student makes A lower percentage of failures and fewer sacrifices were
in acquiring a degree. The greater the sacrifice, the greater clearly seen as reducing the value of the degree. Lower drop-
the perceived value of the product can be. out rates did, on balance, suggest the same conclusion, but
It therefore does not follow from this body of theory that with some ambiguity. The results showed that failure and
there are inexorable pressures to reduce student sacrifices by drop-out rates would need to reach very high levels before
making degrees easier to obtain. There are theoretical students would stop recommending their degree to others.
grounds for believing that, at least in certain circumstances, The conclusion was that positioning a degree successfully
a high level of sacrifice will increase the perceived value of as a high-value, high-cost product that is difficult to obtain
a degree. This suggests that there are some situations where would produce a situation where the business interests of a
the ethical demand of teachers to maintain academic stan- university would lie in combatting grade inflation. The busi-
dards could be quite compatible with the business goals of a ness and academic interests of the university in maintaining
university in maintaining the value of the product it sells. standards would tend to coincide.
Appendix
List of Survey Questions
Question number Wording of question Labels on Semantic Differential Scale

Q1 Compared with the sacrifices you expected to make to get your Much Greater–Much Less
degree, the actual sacrifices have been . . .
Q2 If your degree involved very little sacrifice on your part, how Increase Its Value–Decrease Its Value
would that affect the value of the degree in your eyes? Would it
...
Q3 If students hardly ever failed your degree, how would that affect Increase Its Value–Decrease Its Value
the value of the degree in your eyes? Would it . . .
Q4 If your degree had a drop-out rate close to zero, how would that Increase Its Value–Decrease Its Value
affect the value of the degree in your eyes? Would it . . .
Q5 When you chose this degree course, how important was it that Very Important–Not Important at All
the degree was awarded by the University of Liverpool?
Q6 If students on your degree rarely failed modules, how would that A Higher Reputation–A Lower Reputation
affect the University of Liverpool’s reputation? Would it have . . .
Q7 If students on your degree rarely dropped out because the A Higher Reputation–A Lower Reputation
work was too hard, how would that affect the University of
Liverpool’s reputation? Would it have . . .
Q8 It will in future be much easier to pass each module. Would that Increase Its Value–Decrease Its Value
...
Q9 It will in future be unlikely that students will drop out of the Increase Its Value–Decrease Its Value
degree because it is too difficult. Would that . . .
Q10 Gaining a degree will in future require far fewer sacrifices to be Increase Its Value–Decrease Its Value
made by students. Would that . . .
Q11 How satisfied are you with your degree course? Very Satisfied–Very Dissatisfied
Q12 How likely would you be to recommend your degree course to Very Likely–Very Unlikely
someone else?
Q13 Degree courses with high tuition fees are typically of better quality Strongly Agree–Strongly Disagree
than those with lower tuition fees.
(continued)

Appendix (continued)
Question number Wording of question Labels on Semantic Differential Scale
Q14 At what percentage would you consider the failure rate to be so N/A
low that the degree’s quality would be doubted?
Q15 At what percentage would you consider the failure rate to be so N/A
high that the degree could not be recommended to others?
Q16 At what percentage would you consider the drop-out rate to be N/A
so low that the degree’s quality would be doubted?
Q17 At what percentage would you consider the drop-out rate to be N/A
so high that the degree could not be recommended to others?
Authors’ Note Gabor, A. (1988). Pricing: Concepts and methods for effective mar-
keting. Aldershot, UK: Gower.
A subset of the data from the survey described in this article, namely
Gabor, A., & Granger, C. (1966). Price as an indicator of quality:
those records relating to students of computing, was previously the
Report on an enquiry. Economica, 33, 43-70.
subject of a short conference paper (Sharon & Kingsley, 2012).
Grasso, F., & Leng, P. H. (2005). Quality assurance issues for online
universities. In M. Khosrow-Pour (Ed.), Encyclopedia of infor-
Declaration of Conflicting Interests mation science and technology (pp. 2382-2386). Hershey, PA:
The author(s) declared no potential conflicts of interest with respect Idea Group.
to the research, authorship, and/or publication of this article. Kalman, Y. M., & Leng, P. H. (2007). A distributed model for man-
aging academic staff in an international online academic pro-
Funding gramme. Interactive Learning Environments, 15, 47-60.
Kezim, B., Pariseau, S., & Quinn, F. (2005). Is grade inflation
The author(s) disclosed receipt of the following financial support
related to faculty status? Journal of Education for Business,
for the research and/or authorship of this article: This research was
80, 358-363.
conducted with the help of a grant from Laureate Online Education.
Kotler, P., & Armstrong, G. (2010). Principles of marketing (13th
It had no role in the conduct of the research.
ed.). Upper Saddle River, NJ: Prentice Hall.
Langbein, L. (2008). Management by results: Student evaluation
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5-8. Author Biographies
Spence, M. (2002). Signaling in retrospect and the informational
Paul Kingsley has taught on the University of Liverpool’s online
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Education) for over a decade. He holds degrees in Computing,
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Education and Philosophy from the University of Ulster, the Open
P. Reynaud (Ed.), La psychologie économique (pp. 183-188).
University and the University of Birmingham respectively. He
Paris, France: Librairie Marcel Rivière.
completed his doctorate in Computing as a mature student in the
Teas, R. K., & Agarwal, S. (2000). The effects of extrinsic prod-
year 2000.
uct cues on consumers’ perceptions of quality, sacrifice, and
value. Journal of the Academy of Marketing Science, 28, Taly Sharon, MBA, MSc is a consultant in e-learning and multi-
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SGOXXX10.1177/2158244015571488SAGE OpenAbuya et al.
17
Free Primary Education and
Implementation in Kenya: The Role of
Primary School Teachers in Addressing
the Policy Gap
Benta A. Abuya1, Kassahun Admassu4, Moses Ngware1,

Elijah O. Onsomu2, and Moses Oketch3
Abstract
Free primary education policy has substantially increased school enrollment rates in Sub-Saharan African countries. The
success and sustainability depend on teachers’ perception, motivation, and proper implementation of the policy in the
classroom. Few studies focus on teachers’ experiences and challenges in the process of implementing the policy. The current
study presents theoretical reviews using the “bottom-up,” “top-down,” and incremental policy frameworks. The study used
a desk review of the documents from the Ministry of Education and other published materials from an Education Research
Program in Kenya. Findings suggest that there is no adequate empirical study to support the views and assertions concerning
teachers’ experiences and motivation toward the implementation of free universal primary education policy in Kenya. There
is a need for empirical research and programs to understand teachers’ experiences and challenges in translating education
policy into practices.
Keywords
bottom up, free primary education, Kenya, teachers, top down
Introduction formulation and implementation. The FPE policy initiative in

Kenya was a directive implemented using the top-down
Implementation is the nemesis of designers, it conjures up
model, without the application of the other two.
images of plans gone awry and of social carpenters and masons
who fail to build to specifications and thereby distort the In this article, we review applications of the top-down
beautiful blue prints of progress which were handed to them. It approach and alternative policy frameworks in the context of
provokes memories of “good” ideas that did not work and places FPE, in an attempt to describe the role that teachers could
the blame on second (and second-class) member of policy and play in the policy process and how their participation could
administration team . . . (Honalde, 1979, p. 6) have impacted Kenya’s FPE policy. The rest of the article is
organized as follows: First, we describe the method that was
The aim of this analytical review article was to review the free used in the literature search. The “FPE” section describes the
primary education (FPE) policy implementation in the frame- FPE policy initiative. The next three sections highlight those
work of the “bottom-up,” the “top-down” (Darling-Hammond, approaches that are often used in policy implementation, the
1990), and the interactive, incremental process (Haddad & concept of street-level bureaucracy, and the role of primary
Demsky, 1995) while placing the role of the primary school
teachers in context. Top-down strategies refer to a rational,
unitary, and linear process, usually from the top, whereas the 1
E ducation Research Program, African Population and Health Research
bottom-up is more of a communicative process, usually from Center (APHRC), Nairobi, Kenya
2
the bottom (Darling-Hammond, 1990), and the interactive Division of Nursing, Winston-Salem State University, NC, USA
3
Institute of Education, University of London, UK
model is more complex, incremental, and ongoing policy pro- 4
Independent Consultant
cess (Haddad & Demsky, 1995). In the public policy arena,
some policies require either the bottom-up, the top-down, or Corresponding Author:
Benta A. Abuya, African Population and Health Research Center
the incremental policy process or a combination of these (APHRC), APHRC Campus, Kirawa Road, Off Peponi Road, P.O. Box
approaches. This makes the policy-making process very com- 10787-00100, Nairobi, Kenya.
plex, particularly in bridging the gap between policy Email: atienoa6@gmail.com

school teachers in context, respectively, followed by “Top- Despite the introduction of FPE in these respective coun-
Down Policies and National Policy on Teacher Training.” tries, research evidence shows that there has been concern
Finally, conclusions and recommendations are presented. with quality of instruction offered (Deininger, 2003; Oketch
& Somerset, 2010), even when many governments have put
a lot of emphasis on access and transition. For instance, the
Method
Kenyan government moved fast to employ more teachers to
This study was a desk review of published works from the reduce class size with the numbers in employment being an
Education Research Program (ERP) at the African Population outcome of class size and pupil–teacher ratio. It is expected
and Health Research Center (APHRC), published literature that if FPE would be effective and sustainable in many coun-
on education in the context of Kenya, and policy documents tries, it should be a program that in the long term is accessible
from the Ministry of Education (MOE), Kenya. We reviewed to all beneficiaries and provides opportunities to all school-
published and working papers from ERP since 2003 when age children to gain access to quality education for a full
the FPE was implemented. It was important to review papers cycle of basic education.
from the ERP because of the intensive research and detailed In Kenya, the 2003 FPE program was not the first initia-
evidence on FPE, generated from demographic surveillance tive aimed at achieving UPE. It was first introduced in the
data. In addition, we studied the MOE policy documents on country in 1974 when the government at the time abolished
FPE, the Government of Kenya (GOK; 2005a) 5-year plan the school fees for Standards 1 to 4. The elimination of school
(2005-2010), and published documents from the government fees was extended to Standards 5 to 7 in 1978. Subsequently,
and by other scholars on FPE and universal primary educa- it was reintroduced in 1979 and recently in 2003. These
tion (UPE) outside the ERP implementation of FPE in 2003. school fee abolition initiatives had significant impact in
We searched for the documents that had the following key- increasing primary school enrollments, particularly for
words: free primary education, policy, teachers, bottom up, Standard 1 in 1981 (Ohba, 2009). However, scholars argue
top down, Kenya, and incremental process. We obtained the that 1 to 2 years after abolishing tuition fees in 2003, enroll-
literature access to education from JSTOR, HINARI, and ments fell and dropout rates rose (Oketch & Somerset, 2010).
ERIC databases. Other literature was obtained from the Experts attributed this phenomenon to declining quality of
APHRC publications within the Center’s library. The policy education due to a massive surge in enrollment, overcrowd-
documents were obtained directly from the MOE headquar- ing of classrooms, and lack of textbooks and shortage of
ters, in Nairobi. trained teachers (Oketch, Mutisya, Ngware, & Ezeh, 2010).
The selection criteria were that articles were to be research
articles, published reports, and government documents from Comparisons Across Selected Countries in East and Central
the MOE since 2003 when FPE was launched in schools. Africa. In Kenya, Lesotho, Malawi, and Uganda, FPE led to
These reports, research articles, and documents were those a large influx of children into the schools, which resulted into
reporting on FPE as a criterion for inclusion. Synthesis was an “access shock.” The shock resulted into classrooms that
done by identifying thematic areas across the various studies were overcrowded, children learning in double and triple
and developing literature synthesis in themes. Literature syn- shifts, acute shortages of teachers and teaching and learning
thesis is a method that has been used previously in several materials like textbooks (Avenstrup, Liang, & Nellemann,
scientific studies (Suri & Clarke, 2009). 2004), and large numbers of overage pupils who should have
been taking adult education classes instead of being in the
same class with 13-year-olds who would have been their
Free Primary Education children or grandchildren. According to Avenstrup et al.
With the introduction of UPE in many countries in Sub- (2004), in Lesotho, Malawi, and Uganda, the public response
Saharan Africa (SSA), many children who had been out of elicited with the policy pronouncement was far greater than
school were enrolled in school and provided with the oppor- anticipated.
tunity to pursue an education (GOK, 2005a; Ngware, Oketch, For instance, in Lesotho, enrollment into Grade 1 rose to
Ezeh, & Mudege, 2009; Ohba, 2009; Oketch, Mutisya, 75% in the first year, which was far much higher than the
Ngware, & Ezeh, 2010). Despite the fact that the goal of projections by the Ministry of Education and Training, which
many countries in SSA was to provide universal and FPE, stood at 11%. In Malawi, enrollment levels rose by 68% in
this goal has been elusive 40 years after independence by 1994—the first year of FPE—yielding a gross enrollment
many of these countries. With the inclusion of UPE in the rate of 108%. In Uganda, enrollment increased by 68% in 1
Millennium Development Goals agenda, the attention toward year, bringing the gross enrollment rate to 123%. However,
achieving UPE has been accelerated, especially between the increase in Kenya was up by 22%, from 5.9 to 7.2 mil-
1990 and 2000 (Watkins et al., 2008). The accelerated effort lion, resulting in a gross enrollment rate of 104%. The
has been demonstrated in Malawi (1994), Uganda (1997), increase in enrollment saw an increase in demand for teach-
Tanzania and Lesotho (2000), and Burundi, Rwanda, Ghana, ers in these countries. However, there was insufficient shared
Cameroon, and Kenya (2003) (Grogan, 2008; Kadzamira & knowledge in approaches for training teachers to fulfill their
Rose, 2003; Watkins et al., 2008). demand. More recently, some of these countries have adapted

Free Primary Education and Implementation in Kenya: The Role of Primary School Teachers in Addressing... 179
new methodologies, but only few educational systems in implementation strategies that are important for policy
SSA countries have completely adapted teachers training to implementation include effective team work, focused
include the education for all paradigms. This is to say that leadership, and excellent communication. According to
teacher preparation programs encompassed the meaning and Darling-Hammond (1990), top-down strategies in policy
knowledge of what teachers were to expect in African class- implementation are not constructive; rather, they constrain
rooms in the era of UPE. the translation of policy into practice. She argues that “local
agencies must adapt policy rather than adopting them . . . ”
Approaches Used in Policy Formulation and (Darling-Hammond, 1990, p. 341), and when teachers and
administrators have opportunities to learn constantly and
Implementation make decisions during the process of implementation, the
Scholars have debated the lack of clarity, non-linearity, effect of the policy will persist beyond few years after the
and often indirect relationship that exists between policy implementation. According to Rothstein (1998), bottom-up
guidance—as pronounced by the central authority and what implementation strategies are regarded as important in the
happens in practice, which is often an outcome of policy provision of public services like public schooling and health,
implementation (Bergen & While, 2005). Therefore, the line which require the implementer to make discretionary deci-
between policy and practice is an outcome of ambiguous sions that in turn allow them to respond to the varied needs
intentions with responses that are unpredictable (Bergen & of their clients. For instance, a teacher in a classroom with
While, 2005). The implementation of policy, which ideally 40 students has to find ways of balancing all the student’s
should lead to effective practice, is often vague, leading to needs, individual ability levels, in the process of classroom
discretion being exercised by those charged with the respon- instruction (Wax, 2003).
sibility of implementing such policies. Practitioners often Haddad and Demsky (1995) characterize education policy
take advantage of the loophole and are aided by their willing- development and implementation as more complex, interac-
ness to tailor policy guidelines to suit their practice needs. tive, and incremental rather than centrally controlled unitary
The vagueness of the policy on paper and the interpretive rational policy-making process. Theoretical and empirical
discretion exercised by implementers are congruent with the studies on the policy-making process focus on two essential
classical theories in policy analysis—policy implementation dimensions: who are involved in policy making (actors) and
theory (Van Meter & Von Horn, 1975) and “street level the process (how) of policy making (Haddad & Demsky,
bureaucracy” (Lipsky, 1980). Clarity of policy objectives, 1995). To capture policy complexity and its interactive nature,
rules, and implementation strategies are crucial for their Haddad and Demsky (1995) combined two dimensions in a
implementation. horizontal and vertical typology. The actors are placed on
Policy implementation and the factors that affect the pro- the horizontal axis—At one end of the spectrum is multiple
cess of implementation can be discussed using three actors, while on the other end is the organizational/
approaches—the “top-down,” the “bottom-up,” and the bureaucratic mode. The process of policy making—placed on
interactive approaches commonly used in policy analysis. In the vertical axis—extends from the synoptic mode on the one
top-down strategies, policy implementation is seen as a end to the incremental approach on the other end. These two
rational process, planned in advance, and strictly controlled dimensions generate actor–process combinations typography.
by a central authority. Implementation requirements are On the one extreme of this new topography is the rational
outlined as a list of conditions that, if fulfilled, enables model which is a composite of the synoptic method and the
implementation to take place (Darling-Hammond, 1990; organizational/bureaucratic mode. On the other extreme is a
Walker & Gilson, 2004). According to rational thought in composite of interaction between decision makers and imple-
policy analysis, the gap between the policy objectives and menters in a dynamic and incremental process rather than on
effective implementation is seen as the result of failing to a unitary and static policy making. Most policy making falls
plan and control the implementation process adequately somewhere between these two extremes: Rigid bureaucratic
(Walker & Gilson, 2004). approach ignores social and political context, whereas negoti-
Proponents of bottom-up implementation approach see ated process is prone to value judgments and fluidity (Haddad
policy change as an intense and communicative process. & Demsky, 1995). However, in the context of Kenya, argues
The emphasis is to understand systems of policy implemen- Sawamura and Sifuna (2008), “ . . . in top down communica-
tation and policy actors to understand why outcomes tion from the Ministry of Education to schools, government
intended are not always achieved when policies are formu- officials including district education officers did not try to lis-
lated (Darling-Hammond, 1990; Elmore, 1983; Makinde, ten to the voices of teachers concerned . . . ” (p. 110), showing
2005). In addition, bottom-up implementation strategies the unidimensional process in top-down policy process.
examine how the policy recipients and actors (teachers, Whereas top-down and bottom-up approaches are charac-
pupils, principals, parents, and board members) view or terized by one-dimensional process, a complex, interactive,
experience the effects of the policy once it has been legis- and dynamic policy development follows a complete policy
lated or pronounced (Darling-Hammond, 1990). Bottom-up cycle. According to Haddad and Demsky (1995), this

approach involves teachers—as street bureaucrats—not only Evidence shows that FPE was announced barely 1 month
being involved at the policy formulation and planning stages before the start of a school term in January 2003. Therefore,
but also in evaluating challenges in implementation and pro- rapid implementation was the main priority, and very little
viding feedback to improve the subsequent policy cycles. time was given for consultation with teachers (Somerset,
Such participation has the greatest potential to give teachers 2009). Therefore, there was little time if any for teacher
an opportunity to better understand the objectives of a policy, induction into the new FPE policy. According to the Haddad
a sense of belonging, and be committed to the successful and Demsky (1995) framework, the FPE policy went through
implementation of the policy. two stages: the pronouncement of the policy decision and
implementation. In so doing, key stages that would have
brought more participation of the teachers were missed.
The Concept of Street-Level Bureaucracy
These include (a) agenda setting and issue identification, (b)
The concept of “street-level bureaucrat” was put forward by planning of policy implementation, (c) evaluation and modi-
Lipsky (1980). The main tenet of the concept is that public fication, and (d) subsequent policy cycles.
servants have an important role in delivering government We speculate that if the teachers were more involved in
services and “goods” to the masses. Employees at the lower setting the agenda, planning, and evaluation, to give feed-
level are in constant interactions with the public, and exer- back to the system, the effect of the challenges that reduced
cise discretion in execution of their work geared toward pro- the impact of FPE would have been minimized. Moreover,
viding the needs of the masses (Bergen & While, 2005; with such a declaration, what was missed was how teachers
Lipsky, 1980). Street-level bureaucrats generally perform receive and translate broad policy, and curricula goals, into
their duties in conditions that are not favorable toward meaningful experiences and how these broad goals get
enhancing their performance. Street-level bureaucrats face passed to the teachers so that they can be key actors in the
high demand for their services, yet lack resources at the orga- teaching and learning process. This reinforces our earlier
nizational and personal level to get the job done (Elmore, assertion that the way a teacher teaches course contents are
1978; Walker & Gilson, 2004). Scholars who are proponents not only dependent on his/her training, but also on how he/
of the bottom-up approach argue that “the decisions of street she internalizes the curricula, and believes in the capacity to
level bureaucrats, the routines they establish, and the devices impart knowledge to the learners. This is in turn dependent
they invent to cope with uncertainty and work pressures, on the mechanisms with which the broad goals of the curri-
effectively become the public policies they carry out” cula content are passed down to the teacher.
(Lipsky, 1980, p. xii). According to Elmore (1978), “Street This goes to emphasize that the success and sustainability
level bureaucrats are expected to treat individual as clients of well-intended program depend on how well the objectives
but the high demand for their services force them to invent of the program are implemented in the classroom (Darling-
routines for mass processing . . . ” (p. 251). The major con- Hammond, 1990). It is argued here that teachers as key play-
cern for the street-level implementer is how to control the ers in the teaching and learning process are central in the
stress and complexity of day-to-day work. According to success of Kenya’s FPE. However, the disconnect between
Lipsky (1980), the day-to-day practices of street-level the policy-making process and the reality of implementation
bureaucrats essentially become policy, not the intentions or by teachers in schools posed major challenges in translating
objectives emanating from the documents and policy state- policy objectives into practice (Darling-Hammond, 1990;
ments and pronouncement from the top—in many instances Elmore, 1983). Scholars of public policy see those charged
a centralized authority or government. For instance, what is with implementation to be at the center of the policy-making
taught to pupils in a classroom partly depends on the way a process (Darling-Hammond, 1990; Elmore, 1983), speci-
teacher delivers the curriculum in the class, which in turn fically teachers who are the key actors in the classroom
depends on a teacher’s level of qualification and teaching (Darling-Hammond, 1990). Therefore, the role of primary
materials available to them (Ngware, Oketch, Mutisya, & school teachers as street-level bureaucrats cannot be overem-
Kodzi, 2010). phasized in the implementation of the FPE policy, its sus-
tainability, and subsequent success. For instance, during the
piloting of the ERP cross-sectional survey in January 2012,
Placing the Primary School Teacher in Context
teachers who were participants in the focus group discussion
Teachers and classroom practices under the FPE policy. Research observed that teachers are often neglected during the crucial
shows that teachers are key actors in the teaching and learn- stages of education policy process, particularly the FPE, and
ing process (Oketch, Mutisya, Ngware, Ezeh, & Epari, this can result in low teacher motivation. If teachers, who are
2010). Therefore, a policy that is focusing on the teaching in charge of the teaching and learning processes in the class-
and learning process should involve the teachers. However, room, are excluded or lack necessary information and under-
teachers continue to be subjected to low social status, in part, standing, they will have little motivation to make the policy
because of poor pay (Bennell, 2004), and that teaching is work and translate it into practice in their daily activities
viewed as a profession without much clout (Wiener, 2010). (Darling-Hammond, 1990; Elmore, 1983).

Implementation is about capacity and motivation of teachers in the wake of FPE. These are centered on struc-
implementers, the extent to which rules and regulations of tural problems, inadequate resources, to those that stem
implementation strategies are known by all actors, and from the presence of overage and low ability learners in
actions taken in daily tasks done by different actors through- the same classroom (UNESCO, 2005). However, these
out the system (Darling-Hammond, 1990). We argue that the challenges hardly focus on teachers’ roles and respon-
clarity with which the teachers will organize and teach math sibilities as the key actors in the FPE policy imple-
or any other subject in the schools is dependent on their mentation.
experiences with the specific subjects and how well they In addition, the FPE initiative was more a declaration of
have internalized the policy messages emanating from a political expediency, with rapid implementation as the main
policy initiative—in this case, FPE. Therefore, Wiener priority (Somerset, 2009) rather than involving all education
(2010) was right when she argued that “ . . . there is little stakeholders. There was neither time to plan for implementa-
known about what challenges the policy creates, how teachers tion nor time for capacity building for teachers. The capacity
respond to these difficulties, and how this, in turn, affects building would have been in the form of in-service training
students’ abilities to learn” (p. 1). for teachers to be able to cope with the complexities of
increased numbers into the various schools. No policy initia-
Effects of FPE policy. Available evidence from the Ministry of tive succeeds without improved capacity and motivation of
Education, Science, and Technology (MOEST) shows that those charged with the actual implementation (Darling-
the current FPE policy has led to a significant increase in Hammond, 1990; Elmore, 1983). This notwithstanding, it is
primary school enrollment in the country, from 5.9 million in worth noting that FPE was a policy that elicited a lot of
2002 to 7.2 million in 2003 (MOEST, 2004). Consequently, excitement among the population, teachers included—a pol-
the number of enrolled pupils surpassed the available human icy that was meant to get all children, irrespective of their
and physical facilities in the 18,000 public primary schools family circumstances, into school (Oketch & Somerset,
in Kenya. Moreover, the teacher-to-pupil ratio rose from the 2010). The excitement was short lived for teachers.
recommended 1:40 pupils per class to 1:60 (Majanga, Moreover, teachers are not getting the necessary support
Nasongo, & Sylvia, 2011; Ngware, Oketch, & Ezeh, 2011). and guidance from local education officials to ensure that
This further exacerbated the difficulty of delivering lessons FPE succeeds. As street-level bureaucrats in the teaching
in the classrooms for teachers. Large classes incapacitated and learning process, it is important to look at how teachers
the teachers’ ability to organize and manage classes (Alubi- internalize these policies in the process of their classroom
sia, 2005), thereby impairing the ability of teachers to delivery and how they can adapt them to the local circum-
provide attention to individual pupils (Wax, 2003). This stances in the classroom setting. If teachers are not able to
led to deteriorating quality of education, one of the major adapt the policy to their local circumstances, they are unable
challenges that eroded the initial gains and became a great to deliver quality education to the pupils. In short, access to
concern to teachers (Majanga et al., 2011; Ngware et al., school does not translate into quality education if the teachers’
2011; Oketch, Mutisya, Ngware, Ezeh, & Epari, 2010; effective control of the classroom is compromised (Abuya,
UNESCO, 2005). Oketch, & Musyoka, 2013).
At one point, teachers were asked to teach in shifts. We The top-down policy formulation and implementation
assert that teachers were reduced to inputs into the teaching approach to FPE did not have mechanisms to listen to the
and learning process, whose involvement in the FPE policy voices of teachers concerned about the declining quality
that was going to impact on their workloads was not neces- of education (Sawamura & Sifuna, 2008). In general, the
sary. Moreover, inadequate resources have compounded experiences of teachers with FPE policy in Kenya, the
teachers’ problems in the era of FPE, with only a half of all challenges they encounter in the classroom, their motiva-
the classrooms in Kenya had chalkboards in the classes that tions and its consequence on the quality of education
were visible from all parts of the classroom (UNESCO, remains less studied. Much of what has been documented
2005). This, together with inadequacy of resources like in the context of SSA relates to demand and supply of
learning supplies, furnishings, and appropriate infrastruc- teachers as it is compromised by high costs of training
ture, led to teachers’ incapability to fulfill their mandate in (Lewin, 2002); teacher education curricula and its respon-
various classrooms across the country. siveness to the qualities and perceptions that teachers bring
Large class size notwithstanding, teachers continue to into training (Coultas & Lewin, 2002); who comes for
grapple with increased heterogeneity among pupils in training and how teachers perceive themselves in relation
terms of age and ability. A study carried out by UNESCO to teaching, training, and future aspirations (Akyeampong
(2005) showed that about 44% of the pupils who were & Stephens, 2002); and the fact that teachers can reflect on
enrolled in schools in Kenya as FPE was introduced were their experiences and produce more sophisticated accounts
overage by 2 years. The foregoing discussion points to of learning given the right circumstances (Akyeampong,
a one-sided conversation around the challenges facing Pryor, & Ampiah, 2006).

Top-Down Policies and National Policy on as school input/non-human materials, implying that teachers’
Teacher Training contribution to the policy is through being trained, and posted
to various primary schools in Kenya. In reality, teachers
Scholars argue that street-level bureaucrats—in this case can react to government policies, choose to internalize these
teachers—face high demand for their services, yet they may policies in the process of their classroom teaching interac-
lack resources at the organizational and personal level to get tions, and adapt them to their local circumstances as frontline
the job done (Elmore, 1978; Walker & Gilson, 2004). This soldiers in the teaching and learning processes.
implies that teachers as key actors in policy implementation Therefore, as long as the teaching and learning process is
must possess the necessary pedagogical skills, be supported looked at wholly from the point of view of “input–output,”
by the MOE at the national, local, and by their head teachers policy makers miss one of the most important ways in which
within the respective schools, to teach. Similarly, in Kenyan policies are easily internalized—how policy recipients at the
classrooms, the teacher must possess the pedagogical skills, various levels (teachers, pupils, parents, school principals)
the content knowledge to adequately prepare pupils in class- experience policy pronouncements from the central govern-
rooms. A recent study by the APHRC indicates that teachers ment and seek to incorporate these new guidelines into their
do not possess the necessary content knowledge to teach everyday work experiences. The authors argue for a change
math curricula in the classroom (Ngware, Oketch, Mutisya, in the way teachers are viewed—not as inputs but rather as
& Abuya, 2010), implying that the national teacher training the center of the discussion about their role in the classroom,
curricula falls short of preparing individual teachers, to ade- particularly during the FPE era. It is not enough to centrally
quately teach subjects like math in the primary schools. pronounce policies and to centrally control teacher training
According to the GOK (2005b), the policy from the top as and deployment, but rather it is necessary to make the teach-
applied to primary teacher education stipulates that all primary ers feel part and parcel of the policy process for which they
school teachers be trained to teach all the subjects taught in the are actors in the classroom.
primary school curriculum in Kenya. For example, the GOK
Sessional Paper No 1 states, “ . . . however, the content of the Local organizational structures, practices, and policy imple-
entire curricula is too wide to cover while at the same time mentation. Formerly, teachers worked under the head
acquiring the requisite pedagogical skills . . . ” (GOK, 2005b, teacher who is the local TSC agent, answerable to the Dis-
p. 63). Thus, the training is rigorous, but the large expanse of trict Educational Officer, who reports to the Provincial
the curricula makes it hard to cover course contents and neces- Education Officer. Therefore, policy pronouncements pass
sary pedagogical skills required to teach the primary school through different levels before reaching the teacher who is
curricula. A teacher trainee graduates from a primary teacher the implementer in the classroom where it matters most. As
training college in Kenya ill equipped to manage large class such, messages that teachers get have been filtered through
sizes and teach students with a wide range of learning abilities. the different hierarchical levels. Failure of policies like
The authors argue that in such circumstances, teachers are FPE result from the fact that teachers are expected to con-
reduced to non-actors who cannot respond to personal needs struct the meanings from the broad policy for themselves,
of their respective clients, nor deliver the required curricula and thereby implement what can be fully understood by
content to the pupils for the success of FPE. pupils. We hypothesize that faced with such circumstances,
It is not surprising that the initial gains accrued to FPE in teachers will seek to interpret the policy in the context of
the initial 2 years have since been eroded over time (Oketch, their previous experiences and “ . . . fill the gaps in their
Mutisya, Ngware, Ezeh, & Epari, 2010; Tooley, Dixon, & understanding of the policy with what is already familiar to
Stanfied, 2008) and that 60% of the pupils in the slums are them . . . ” (Darling-Hammond, 1990, p. 342). Implicit in
attending private schools (Ngware, Oketch, Mutisya, & this is that teachers will interpret the new policy through
Abuya, 2010). Reasons that have been advanced include the the lens of what is familiar to them.
perceived quality of education in the public schools and dis- In addition, the voice of teachers is rarely heard by policy
cipline that is evident among private schools (Oketch, makers, and they are treated as passive implementers of edu-
Mutisya, Ngware, Ezeh, & Epari, 2010). The authors argue cation reforms decided at the top rather than regarding them
that the place of the teacher as a key actor in the classroom as partners (Bennell & Akyeampong, 2007). The Kenya
unable to be responsive to the needs of his learners is part of National Union of Teachers (KNUT) listens to the voices of
the problem of quality education in the context of FPE. teachers as concerns of their remuneration. However, little is
done about the teachers’ concerns and challenges that they
Teacher recruitment, utilization, and policy implementation. encounter in implementing the policy in the classroom
Documented evidence shows that teachers are considered (Sawamura & Sifuna, 2008). Moreover, the short period
educational inputs, and they are necessary for quality learn- between the announcement barely a month before the begin-
ing outcomes (Osei-Kofi, 2005). To this end, the Teachers ning of a new school term (Somerset, 2009) made the time
Service Commission (TSC) until recently was charged with for implementation too short for KNUT to have had adequate
recruiting and deploying teachers. Teachers are considered time to consult the teachers.

Teachers, as key actors in policy implementation, need to work almost exclusively in self-contained classrooms, exer-
be empowered and possess the necessary skills and partici- cising a high degree of discretion in the management of
pate at the national, local, and within their respective schools’ classroom activities. Direct administrative control over
planning and decision-making processes (Wanzare & Ward, classroom behavior is not only extraordinary difficult but
2000). For example, teachers at the primary school level do very risky . . . ” (p. 356). The assertion by Elmore (1983)
not have continuous professional development training and sums the power of the teacher at the bottom of the pyramid in
workshops. In addition, primary school teachers have limited the implementation process, and emphasis on this power of
networking opportunities. This leads to lack of consultation, the teacher is useful for the success of the provision of educa-
absence of clear guidelines, and communication strategy on tion service to the learners in primary schools in Kenya.
implementation of policies such as FPE, which in turn has What is evident from research on the way teachers teach
negative consequences on teachers’ performance and pupils is that they have to be trained, materials needed for teaching
learning outcomes. are provided, and that they get regular tips on ways to orga-
Effectiveness of the implementation of the policy is nize their classrooms for implementation at the classroom
mainly focused on quantitative indicators such as financial level to be successful. This has to be tailored to the interac-
and material inputs and increase in enrollments instead of the tion between the teachers and their students in the classroom,
quality of education and learning outcomes. In addition, and the behavior has to contribute to the teachers’ sense of
focusing primarily on the number of teachers and pupil– control in his or her classroom. In the case of FPE in Kenya,
teacher ratio overlooks important experiences and the voice there was a sudden increase in enrollment into schools. In as
of teachers in improving the quality of education and leaves much as the teachers had been trained, and the schools had
teachers disempowered and lacking agency. To this end, some resources, local or central education officials never
Wanzare and Ward (2000) argue that involving teachers in provided tips to teachers on the coping mechanisms with
planning, designing, and decision-making stages helps to additional numbers of pupils in the wake of FPE. In addition,
improve teachers to articulate and understand their own few questions were raised, if any, regarding the sudden
training needs. In the long run, such teachers are able to announcement of a new policy, its effects on teacher–learner
internalize policy and program objectives better and ensure relationships, and how it usurped the teachers’ instructional
successful delivery and implementation (Wanzare & Ward, capacity and control of the classroom interaction processes
2000) of policies such as FPE. (Majanga et al., 2011).
Given a history of demotivation, low self-esteem, and
anger about how their profession is perceived, being
Conclusion and Recommendations ignored during the pronouncement of FPE may have added
In conclusion, there is no doubt that UPE improved access to the feeling of being unrecognized and demoralized.
of children into schools in many SSA countries, Kenya Moreover, FPE unanticipated and negative impact on the
included, and enrollment rates increased (Ngware et al., morale and motivation of the teachers was exacerbated by
2009; Ngware, Oketch, Mutisya, & Kodzi, 2010; Ohba, the pre-existing problems in the teaching profession, hence,
2009). We hypothesize that FPE has had significant negative undermining the their ability to provide quality education
professional and personal ramifications for teachers as to a vast majority of Kenyan primary school children and
frontline providers of the education services. Teachers were their ability to exercise professionalism. We argue that the
required to implement the FPE policy about which they had speed with which FPE was implemented and the failure to
no clear guidelines prior to the pronouncement, let alone communicate effectively left teachers isolated in their
consulted on, and whose impact for their daily practice as respective classrooms as the directives and finances were
teachers were largely ignored. channeled from the top. This ignored the aspects of the
Moreover, providing education to a vast majority of policy-making process that ought to be a more interactive
Kenyan primary school–going children is a service. Provision and incremental rather than a centrally controlled unitary
of educational services depend on the internalization of the rational policy-making process (Haddad & Demsky, 1995).
curricula and, by extension, the reaction of teachers to the Limitations of top-down policies include not allowing for
policy from which the instructional materials are being identification of potential problems by the frontline provid-
drawn, how fast the teacher internalizes the contents of the ers—in this case, primary schools—on potential issues that
policy and adapts the key components of the curriculum into will affect the delivery of the education service, and these
tangible classroom learning experiences for the learners, and policies ignore the influence of implementers’ own experi-
how sensitive the teacher is to the individual characteristics ences and values over the key components of policy change.
of the students as well as the ability of the teacher to teach a Therefore, top-down policies in many instances will “con-
class that is organized and focused on the learning tasks. The strain but not construct” practice, and local agencies—
importance of teachers as “street level bureaucrats” where teachers in the Kenyan case—must “adapt policies rather
the education policy matters most—in the classroom—is than adopting them” (Darling-Hammond, 1990, p. 341).
shared by Elmore (1983) when he posits that “ . . . teachers Teachers must be given the opportunity to learn continually,

experiment with the new ideas, and make decisions during Declaration of Conflicting Interests
the implementation process. This, according to Darling- The author(s) declared no potential conflicts of interest with respect
Hammond (1990, p. 341), determines “whether policies will to the research, authorship, and/or publication of this article
come alive in schools or fade away when money or enforce-
ment pressures end.” Funding
Therefore, we acknowledge that in many instances, policy
The author(s) disclosed receipt of the following financial support
formulation is usually one single centrally controlled and
for the research and/or authorship of this article: This work was
completely technical decision-making process. However,
made possible through funding from the core support to African
for the policy cycle to be complete, the dynamic process is Population and Health Research Center (APHRC) by Rockefeller
necessary. Consequently, there is need for composite of Foundation, Sida, and the William and Flora Hewlett Foundation.
interaction between decision makers and implementers and
interest groups in a dynamic and incremental process rather
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teaching style explain differences in learner achievement in Author Biographies
low and high performing schools in Kenya? (Working Paper
Benta A. Abuya is an associate research scientist at the African
No. 44). Nairobi, Kenya: APHRC.
Population and Health Research Center (APHRC) in Nairobi,
Ohba, A. (2009). Does free secondary education enable the poor
Kenya. She received her dual title PhD in education theory and
to gain access? A study from rural Kenya. (Create Pathways to
policy and comparative and international education, with a doc-
Access, Research Monograph No. 21). Retrieved from http://
toral minor in demography from Pennsylvania State University.
r4d.dfid.gov.uk/PDF/Outputs/ImpAccess_RPC/PTA21.pdf
Her research interests include comparative education; education
Oketch, M., Mutisya, M., Ngware, M., & Ezeh, A. C. (2010). Why
policy issues of access, equity, and quality; the linkages between
are there proportionately more poor pupils enrolled in non-state
education and health outcomes for adolescents; and gender issues
schools in urban Kenya in spite of FPE policy? International
in education.
Journal of Educational Development, 30, 23-32.
Oketch, M., Mutisya, M., Ngware, M., Ezeh, A. C., & Epari, C. Kassahun Admassu is an independent consultant. He completed
(2010). FPE policy and pupils school mobility in urban Kenya. his PhD in sociology from Brown University. He holds a master’s
International Journal of Educational Research, 49, 173-183. degree in demography and a bachelor’s degree in statistics from
Oketch, M., & Somerset, A. (2010). Free primary education and Addis Ababa University. He previously worked as a researcher at
after in Kenya: Enrolment impact, quality effects, and the the Population Analysis and Study Center of the Central Statistical

Authority in Ethiopia for 6 years. His research interest includes in the areas of maternal and child health, domestic violence, HIV/
quantitative methods, education and social stratification, child well- AIDS, and high-risk sexual behaviors; which have led to over 20
being, and adolescents’ transition to adulthood. peer reviewed journal publications some of which on education
issues.
Moses Ngware is a research scientist and the program leader of
the Education Research Program at APHRC. He holds a PhD in Moses Oketch is a reader at the Institute of Education, University
economics of education from Egerton University, Kenya. His cur- of London, UK. He holds a PhD in economics of education and
rent research and policy work interests are in quality and access to education policy analysis from University of Illinois at Urbana–
education in Sub-Saharan Africa, in particular, teaching and Champaign. He previously worked at the APHRC as senior research
learning processes, learning outcomes, and impact evaluations of scientist and Director of Research while on leave from the Institute
education interventions. He has published and/or contributed to of Education,University of London. He also worked as research
more than 25 research articles in peer reviewed journals, a book assistant professor of education and public policy at Vanderbilt
chapter, and more than 20 working/discussion papers on topical University, USA. His research interest is in economics of education
issues in education. with specific focus on education policy and outcomes—focusing on
access, skills, livelihoods, economic development, quality, funding
Elijah O. Onsomu is an assistant professor of nursing at Winston- mechanisms and their effectiveness; policy impact assessment;
Salem State University. He received his PhD in health services policy analysis; evaluation of education programs; and general
research from the College of Health and Human Services at the issues of educational planning. He has had his research work
University of North Carolina at Charlotte. He also holds a profes- published in Economics of Education Review, International Journal
sional master in public health (MPH) from the Northwest Ohio of Educational Development, Peabody Journal of Education,
Consortium for Public Health (NOCPH; Department of Public Compare, Review of Research in Education, Comparative
and Allied Health, Bowling Green State University and Education Review, London Review of Education, International
Department of Public Health & Preventive Medicine, College of Journal of Educational Research, and Development in Practice,
Medicine–University of Toledo). He is also a master certified among others. He has also contributed to several book chapters and
health education specialist (MCHES). He has written extensively authored books.

571637
SGOXXX10.1177/2158244015571637SAGE OpenDalziel et al.
18
Assessment of the Cost–Benefit
Literature on Early Childhood Education
for Vulnerable Children: What the
Findings Mean for Policy
Kim M. Dalziel1, Dale Halliday2, and Leonie Segal2
Abstract
Given international interest in evidence-informed early education policy, we sought to interpret what is often a confusing
literature on the performance of early childhood education programs. We explore whether they represent a good return on
investment and the factors affecting their transferability. A systematic review was conducted to identify all cost–benefit (C-
B) studies of center-based programs enrolling disadvantaged children prior to age 5 compared with a matched group. From
a search across all pertinent databases in 2013, 13 economic evaluations relating to six distinct programs were identified
that met the inclusion criteria. Of the six programs, half were reported as producing a substantial net benefit (benefits
considerably greater than cost) representing a good investment, while for the other half, costs were greater than benefits.
We explore possible reasons for the considerable divergence in economic outcomes. The primary driver was the divergent
effectiveness of the programs reported in the original outcome studies, and to a lesser extent the scope of benefits included
in the economic evaluation and period of follow-up. The context in which programs were delivered and program intensity
differed markedly. The two oldest (1960s and 1970s) small randomized control trials of high intensity produced far better
outcomes and return on investment than more recent large-scale service delivery. This collection of C-B studies challenges
the expectation of good returns on investment from the rollout of early childhood programs. A checklist is provided to assist
policy makers with the interpretation of C-B studies.
Keywords
early intervention (education), cost–benefit analysis, economic evaluation, systematic review, policy
Introduction (Mustard, 2010). Recent research is pointing to the impor-

tance of brain development, particularly in the initial years of
Early childhood education programs have been delivered a child’s life (Shonkoff, 2003; Shonkoff, Richter, van der
since the early 20th century. Formal evaluations of these pro- Gaag, & Bhutta, 2012). Early childhood programs aim to
grams have been conducted at least since the 1960s (Howard support all aspects of a child’s development and have been
& Plant, 1968). Programs such as Head Start in the United identified as particularly beneficial for children with known
States were introduced with the aim of providing a preschool disadvantages such as low income, ethnic minority, risk of
program for low-income children to meet their health, social, maltreatment; (Heckman, 2006, 2012; Melhuish, 2011;
and psychological needs (Zigler & Styfco, 1993). There have Melhuish, Belsky, Leyland, Barnes, & The National
been numerous studies of the effectiveness of early child- Evaluation of Sure Start Research Team, 2008).
hood development programs (Burger, 2010; Currie, 2001; Findings have been disseminated to policy makers who
Karoly & Bigelow, 2005; Reynolds, Wang, & Walberg, have increased investment in preschool and kindergarten ser-
2003). These studies provide evidence that early childhood vices through direct provision and/or subsidies to families.
education programs can have a positive impact on cognitive
skills, school achievement, social and emotional develop- 1
The University of Melbourne, Melbourne, Victoria, Australia
ment, educational achievement, employment, and crime 2
University of South Australia, Adelaide, South Australia, Australia
(Reynolds & Temple, 2008), especially for children from
disadvantaged backgrounds.
Leonie Segal, Chair, Health Economics & Social Policy, School of
The early years in a child’s life are known to be important Population Health, University of South Australia, G.P.O. Box 2471, CWE-
determinants of subsequent development and provide a cru- 48, Adelaide, South Australia, Australia.
cial foundation for health, education, and general well-being Email: Leonie.Segal@unisa.edu.au

Of particular interest to policy makers and governments are 1989; Currie, 2001; Karoly, Kilburn, Bigelow, Caulkins, &
arguments that early investments in children produce the Cannon, 2001; Reynolds & Temple, 2008). Two of the pro-
largest returns on investment, compared with investments grams, Perry Preschool and Abecedarian were small (<60
made at later ages (Heckman, 2006). That investment in children in the experimental group), single site, randomized
early childhood education will generate high returns for soci- control trials (RCTs), and delivered decades ago (in 1962-
ety is widely accepted. But does the evidence consistently 1967 and 1972-1977, respectively). The Chicago Child-
support this view? Parent Centers (CCPC; delivered in 1983-1985) has been
Proposed major expansions in access to early childhood operational at some 24 sites, and is continuing to be rolled
education services are costly; an important consideration out across the United States.
given ongoing pressures on government budgets. Our A number of more recent benefit–cost studies are now
updated cost estimates (2011 US$) of six of the most widely available of early childhood education programs that have
cited early childhood programs identified a cost per child of been “taken to scale” and delivered in the community, rather
between US$6,000 and US$45,000, depending on program than the research trial setting. A review incorporating these
intensity (see Tables 1 and 3). This is high compared with more recent cost–benefit (C-B) studies is critical to an under-
other government-funded programs. For example, in 2011- standing of the performance of early childhood education
2012, Australia’s mean annual health cost per person was programs in the current context and the community setting.
AUD6,230 (AUD4,345 government spending), while in the The aim of this review was to fill this gap, through a sys-
United States, just under US$5,5000 per head was spent by tematic literature review of benefit–cost studies of center-
governments on health care in 2011. based early childhood education programs for disadvantaged
Because a population-wide rollout of early childhood pro- children. We aimed to assess their economic performance,
grams would be very costly even if targeted to disadvantaged and to determine if the economic benefits from the early tri-
communities, it is imperative that governments determine als were realized in the larger nation-wide rollouts. We also
whether these programs represent a good return on invest- sought to provide guidance for the interpretation of C-B
ment. Policy decisions require information on both outcomes studies to assist policy makers.
and costs. Benefit–cost analyses compare benefits with costs
and assess the return on investment, reported either as a ben-
efit–cost ratio (which can also be expressed as $x return for Method
each $ invested), net present value benefit (see Figure 1), or Identification and Selection of Benefit–Cost
internal rate of return. Break-even is reached where either
the present value of benefits is equal to the present value of
studies
costs of the initial investment (incorporating the mean The databases Medline, Embase, A+Education, Family
expected rate of return), the benefit–cost ratio is one, or Databases, Proquest Education journals, Proquest Psychology
where the internal rate of return is equal to the expected rate. journals, Education Research Complete, ERIC, EconLit,
Benefit–cost analyses can also report on other aspects of pro- PsychINFO, and PsychArticles were searched on April 5,
gram performance such as the time to recoup the initial 2013, using key words for child care, day care, kindergarten,
expenditure and program types and subpopulations that offer preschool, and nursery combined with subject headings and
the best (and poorest) returns. An advantage of benefit–cost key words for early intervention education and benefit–cost.
analysis is its ability to capture a wide range of impacts such In addition, Internet searching of key websites (including the
as health, welfare dependency, crime, or education in a single Washington State Institute for Public Policy [WSIPP] and
monetary metric. This means, benefits can be summed across the RAND Corporation) was performed, along with key
various types of impacts (and impacts occurring at differing author searches and bibliographic searching.
time points) and compared directly with costs. This is par- The full text articles were independently assessed for
ticularly valuable in assessing the potentially wide-ranging inclusion by two reviewers (K.M.D. and D.H.) and discrep-
impacts of early childhood education. The commonly ancies were resolved through discussion. The inclusion crite-
reported outcome metric of “effect size,” while providing ria were as follows:
some insight into program effect on selected outcome mea-
sures, is highly challenging for policy makers to interpret in •• An original economic evaluation including both costs
the context of competing demands for funds. Benefit–cost and benefits
analysis is ideal for informing cross-portfolio or “whole of •• The primary effectiveness study included a control
government” decision making, and is increasingly accepted group
as necessary for positive social change and lasting improve- •• A center-based educational intervention
ments for children at disadvantage. •• Children prior to school age (i.e., less than 5 years)
While a small number of reviews have been published of •• Disadvantaged children (e.g., area of low socioeco-
the benefit–cost literature, these have covered only three nomic status, low income, racial minority, teenage
early childhood education programs (Barnett & Escobar, parents)

Table 1. Description of Program Participants and Components.
Program
High-Scope Perry Chicago Child-Parent Even Start Family Literacy

Characteristics Preschool Carolina Abecedarian Center Program Program Early Head Start Sure Start
a
Years of operation 1962-1967 1972-1977 1983-1985 1989 1995 1999-2003
City/region Ypsilanti, Michigan, Chapel Hill, North Chicago, Illinois, USA Throughout USA Throughout USA Throughout England
USA Carolina, USA
Location of early Elementary School University Elementary school Mixed. Center or home Mixed. Can be center or Mixed and locally
childhood center based. Encouraged to build home based or both determined
on existing services such as
adult education programs
or Head Start
n sites and n 1 site, 123 1 site, 111 participants 24 sites, 1,539 18 evaluation projects (463 17 research programs 524 sites, 19,112
participants participants (I = (I = 57, C = 54) participants (I = 989, families) from >1,000 sites (3,001 families, I = 1,513, participants (I =
58, C = 65) C =550) serving 40,000 families C = 1,488) from >700 16,502, C = 2,610)
sites
Participant Low SES, Low IQ, Low SES, high risk, low Low SES, high risk area, Poor, undereducated, Income below poverty Families living in
attributes African American IQ, predominantly Hispanic (7%) or underemployed level. 10% reserved for disadvantaged areas
African American African American (93%) children with disabilities
Age at program 3 or 4 years 6-12 weeks 3-4b years 0-8c years ≤1 year Up to 4 years
start
Mean duration 21.6 months Mean not reported 19.2 months 10 months 22 months Not reported (variable)
(Max 60 months)
Length of day 2.5 hr/day Up to 10 hr/day 3 hr/day 14 hr/week Not reported Not reported (variable)
Days per week 5 days 5 days 5 days Not reported Not reported Not reported (variable)
Child–staff ratio 5.7:1 6:1 (children)3:1 8.5:1 (preschool)
(infants)
Emphasis Cognitive Language and social Cognitive and social
Improving academic Enhancing child Early education, child
development development development, family
achievement of low- development while care, health services
supportincome young children and strengthening families
Assessment of the Cost–Benefit Literature on Early Childhood Education for Vulnerable Children...
parents (especially reading)

Other components 1.5 hr/week home Medical and nutrition Home outreach to Builds on community Home visits, child care, Outreach and home
visit services for engage most vulnerable resources. Provides case management, visiting, community
Parent groups intervention and families referrals for a number of parenting education, health care, family
control group, free Biweekly home visits other social services health care and referrals, support programs,
transport to center (1-1.5 hr): Child health and family support support for parents
and nutrition services, employment
parent program
Note. I = intervention group participants; C = control group participants; SES = socioeconomic status.
a
The Early Head Start program was initiated by Congress in 1994 specifically for infants/children aged 0-3 years, it sits within the “Head Start” group of programs which commenced in 1965 specifically
for preschoolers.
b
Program commenced with a preschool program but also extended to kindergarten and school programs for some children up to age 6 years. For the purpose of this assessment, the kindergarten and
school programs are not included.
c
91% of children were 5 years or less when program commenced.

189
Early Childhood Program

compared to Usual Care
Incremental Benefits (IB) of program $

i) Reported in original study/trial e.g.
Incremental costs (IC) of program Lower remedial educaon
delivery valued in $ Increased workforce parcipaon by
Educators and other staff parents
Centre facilies ii) Modelled downstream consequences e.g.
Educaonal materials Greater parcipaon in higher educaon
Other program components of children
Reduced welfare dependency
Higher employment
Lower crime
Reduced child maltreatment
C-B Metrics
Benefit /Cost Rao = ∑IB (discounted) ÷ by ∑ IC (discounted)
Return on Investment = the interest rate that equates the
present value of the flow of benefits with the present value of the
flow of costs (Boardman, Greenberg, Vining, & Weimar, 2010)
Net Present Value= ∑IB (discounted) less ∑ IC (discounted)
Figure 1. Schematic representation of cost–benefit analysis for early childhood programs.
•• Not a specific focus on children with learning or intel- in cost measurement, and length of follow-up were all
lectual disability recorded. The measures of performance were net present
•• Not a duplicate publication value benefit and benefit–cost ratio (see Figure 1 for defini-
•• English language tions). Synthesis via meta-analysis was deemed inappropri-
ate as a stated aim was to examine the content of each
benefit–cost analysis, to contrast styles of analysis, and to
Quality Assessment draw conclusions regarding their relative usefulness for pol-
The quality of the economic evaluations was assessed icy and understand why results might differ. All costs and
using standard economic evaluation appraisal criteria benefits were translated into 2011 US$ using published
from Drummond, Schulpher, Torrance, O’Brien & exchange rates.
Stoddard (2005). The categories assessed covered the
design of the benefit–cost study and of the study from
Results
which evidence of impact was drawn, the rigor of cost
identification and measurement, reporting of costs and The search strategy (see the appendix) yielded 7,590 hits,
benefits for the early childhood program relative to the many of which were duplicates or obviously irrelevant. A
control group (i.e., as incremental costs and benefits), total of 147 full text articles were examined of which 13 met
validity of the modeling techniques, and the conduct of the inclusion criteria and were included in the systematic
sensitivity analysis. review (see Figure 2).
Data Extraction Study Characteristics

Data extraction was performed by one researcher (D.H.) into The 13 benefit–cost studies meeting the inclusion criteria
predetermined forms and checked independently by a second related to six distinct early childhood programs (Table 1).
researcher (K.M.D.). Details such as study design, characteris- The programs covered in total just over 24,000 participants,
tics of participants, details of each intervention, items included with the vast majority drawn from the one study covering

Assessment of the Cost–Benefit Literature on Early Childhood Education for Vulnerable Children... 191
Potenally relevant arcles

idenfied and screened for
retrieval (n=>6000 hits)
Arcles excluded as obviously irrelevant or

duplicate
Arcles retrieved in full

text by 2 independent
reviewers (n=107) Arcles excluded (n=94)
• No original economics (n=53)

• Did not include costs and benefits (n=15)
• Not based on a real life effecveness
study with a control group (n=4)
• No educaon component (n=9)
• Not children prior to school age (n=2)
Benefit-cost analyses • Focus on learning disability (n=6)
• Duplicate (n=4)
included in systemac
• Non-English (n=1)
review (n=13)
Figure 2. Trial flow.
524 Sure Start sites. Five of the six programs were based in child care, health and family support) and delivery methods,
the United States with one (Sure Start) based in the United based on an assessment of local needs and consultation with
Kingdom (see Table 1). parents. Sure Start could involve additional services and also
greater co-ordination of existing services. The program was
targeted geographically at disadvantaged areas only and
Program Description operates in a system where early childhood education for 3-
Key characteristics of the included programs are described in and 4-year-olds is already free and available. The service
Table 1. The intensity of programs has been described in mix and delivery differed across the 524 Sure Start locations
terms of mean months/years of attendance, hours per day and (Meadows, 2011). Program emphasis was predominantly
days per week that the program was offered, and child-staff cognitive, educational, and social development. The Perry
ratio. Programs were mostly offered to 3- and 4-year-old chil- Preschool and Abecedarian programs were administered as
dren, with mean duration of attendance between 1 and 2 small randomized trials (n = 121 and 105, respectively). In
years. In terms of hours, Perry Preschool (Barnett, 1985b) and contrast, the CCPC, Early Head Start, Even Start, and Sure
CCPC (Reynolds, Temple, Robertson, & Mann, 2002) offered Start benefit–cost analyses were of larger scale community-
2.5 hr a day 5 days per week. The Carolina Abecedarian child wide programs within disadvantaged communities. The ben-
care program (Masse & Barnett, 2002) was the most inten- efit–cost analysis of Sure Start sought to assess the effect at
sive, functioning for 10 hr a day, 5 days per week, and avail- the population level, covering all children within “Sure
able to children from 6 weeks to 5 years of age. Start” and “comparison” regions, not just children enrolled
Many of the programs included components in addition to in the program.
the center-based learning such as home visiting (Perry
Preschool, CCPC, Early Head Start, and Sure Start pro-
Participants
grams), parenting groups or programs (Perry Preschool,
CCPC, Early Head Start, and Sure Start), health and nutrition Core characteristics of the program participants are described
services (Abecedarian, Early Head Start, CCPC, and Sure in Table 2. All participants in the programs included in this
Start programs), and referrals for social services (Even Start, review were under school age (although Even Start had an
Early Head Start programs). extension program through to age 8 for some families). All
While Sure Start had a common goal of promoting physi- programs were targeted at low socioeconomic groups/fami-
cal, intellectual, and social development, each Sure Start pro- lies living in poverty/in disadvantaged areas. The five U.S.
gram could include a unique mix of services (across education, programs had large enrollment of African American families

Table 2. Difference Between Intervention and Control Groups Core Education Outcome.
Program outcome
Number of Study design (key Comments on quality of original

Program participants reference) Control group Intervention Control Difference trial
Percentage high school completion rates (by age 27, 21, and 25, respectively)
1. High-Scope 123 RCT Did not receive 71% 54% 17% Trial commenced 1960s.
Perry Preschool I = 58 (Schweinhart, Barnes, preschool Randomization via alternating
C = 65 & Weikart, 1993) enrollees with some
participants reassigned. Baseline
characteristics of intervention
and control group not reported.
94% follow-up for high school
completion. Small, protocol-
driven program delivered
through one university site.
2. Carolina 111 RCT Iron-fortified formula 70% 67% 3% Trial commenced 1970s.
Abecedarian I = 57 (F. A. Campbell, to 15 months, free Quality uncertain: Randomization
C = 54 Ramey, Pungello, disposable nappies, method unclear, baseline
Sparling, & Miller- social work services as characteristics of intervention
Johnson, 2002) needed and control groups not reported.
93% retention at age 21 follow-
up. Small protocol-driven
program delivered at one site.
3. Chicago Parent 1,539 Non-randomized Children in other early 80% 73% 7% Evaluation across 25 sites in
Child Center I = 989 matched-group childhood program Chicago.
Program C = 550 cohort (preschool low-income Reasonable quality study design.
(Reynolds, Temple, children). M years C = Groups well matched at baseline,
White, Ou, & 1.0 cf. I = 1.6 intervention group higher level
Robertson, 2011) of poverty (statistically sign.
diff). 85% retention at age 21
follow-up. Used data from
Chicago longitudinal study to
map outcomes.
M Peabody Picture Vocabulary Test Score
4. Even Start, USA 463 families 1 study RCT “Usual alternative,” Change Change 0.06 RCT of 18 community projects
(St. Pierre, Ricciuti, & i.e., not Even Start +7.80 +7.74 from over 1,000 areas across the
Rimdzius, 2005) but potentially other United States.
Effect size of 0.00 used educational programs Study has serious potentials for
in B-C analysis (Aos, bias, e.g., over 50% drop out
Mayfield, Miller, & from randomization to final
Pennuci, 2004) follow-up, exclusion of tests
conducted in Spanish, and
project’s self-selected (18 from
> 1,000). Average 8 months
of program and a further 10
months follow-up.
5. Early Head 3,001 1 study RCT “?Usual alternative,” i.e., M M 2.2 From 68 programs delivered across
Start, USA families (Love et al., 2005) not Early Head Start 83.3 81.1 the United States, 17 were
I = 1,513 Effect size of 0.085 but potentially other purposefully selected as “research”
C = 1,488 used in B-C analysis educational programs sites. Individual families were
(Aos et al., 2004) recruited for the evaluation and
randomized from these 17 sites.
Study was of good quality although
only 55% response rates by 36
months follow-up.
6. Sure Start, UK 19,112 Non-randomized Millennium Cohort −0.10 −0.13 0.03 Outcomes for children in areas in
I = 16,502 comparative study Study was used as which Sure Start was delivered
C = 2,610 by local area control (did not (approximately 25% of eligible
(Meadows, 2011) receive Sure Start, children received services), were
although had access compared with children in areas
to other educational without Sure Start. Effectiveness
programs) is reflected at the population
level. Control group was more
disadvantaged at baseline, but
analysis seems to control for the
difference
Notes. I = intervention group participants; C = control group participants; C-B = cost–benefit; RCT = randomised control trial; M = change in Foundation Profile Score

(up to 93% in the CCPC). Low parental education was spe- Start US$7,870 per family, and the CCPC program US$9,280
cifically reported to be common among the participants in per family. The most expensive program was the Abecedar-
the Perry Preschool, Abecedarian, and Even Start programs. ian program at US$45,190 per family, reflecting high inten-
The populations appear to be significantly more vulnerable sity in terms of hours per day and years of possible attendance.
than the general population, with 10% Early Head Start The Perry Preschool program was also high cost at US$29,836
places reserved for children with disabilities. The relative per family, which included a home visiting component and
level of disadvantage across programs is difficult to the Early Head Start program at US$25,796 per family,
establish. which included case management, specific parenting pro-
grams, and home visiting. Program costs are reported in
Table 3.
Cost–Benefit (C-B) Analyses
Method. All C-B analyses used standard methodology, Downstream impacts beyond program. All benefits were mea-
whereby incremental benefits and costs are identified and sured post program completion. The value of these down-
valued in dollars. Actual trial/study data to the final point of stream impacts was dependent on (a) scope of impacts
follow-up (which ranged from 3 years to 40 years) informed (reflecting primarily length of follow-up and program
the analysis. Most C-B analyses modeled to age 65 or full objectives) and (b) measurement methods (reflecting data
life expectancy, drawing on evidence of the relationship collection instruments used, model structure, age to which
between observed outcomes and downstream end points. modeling taken, source of evidence to inform parameter
Analyses did vary in terms of range of impacts included, the values).
model structure, parameter values used in modeling down- The scope of impacts included in each C-B analysis is
stream consequences, and whether or how uncertainty in the reported in Table 4, categorized into education-related,
primary evidence are incorporated. health-related, employment and earnings, and crime and
The C-B analyses for two programs, Even Start and Early social welfare. For five of the six programs, education out-
Head Start, have been taken from the work by Aos and col- comes are reported, covering typically additional costs such
leagues (Aos et al., 2011; Aos, Lieb, Mayfield, Miller, & as remedial education and grade repetition and impact on
Pennuci, 2004) at the WSIPP which thus has employed a educational attainment. The exception is the Sure Start eval-
consistent approach. One feature of the WSIPP model is a uation (Meadows, 2011). Three programs considered impact
downward adjustment to effectiveness to reflect the com- on crime. Perry Preschool (Barnett, 1985a, 1985b, 1993;
monly observed reduction in effect from the trial setting to Heckman, Moon, Pinto, Savelyeva, & Yavitza, 2009, 2010;
community rollout. Nores, Belfield, Barnett, & Schweinhart, 2005) and CCPC
(Lee, Aos, & Miller, 2008; Reynolds et al., 2002; Reynolds
Quality assessment. The C-B analyses were found to be well et al., 2011; Temple & Reynolds, 2007) identify reduction in
conducted across most criteria, except that sensitivity analy- crime as a significant contributor to estimated benefits, while
ses were not always conducted and where conducted mainly no impact was identified for Abecedarian. The Abecedarian
focused on the discount rate. This does not capture the major analysis was the only C-B analysis to include impact on
sources of uncertainty, which primarily arise from the effec- smoking (Barnett & Masse, 2007; Masse & Barnett, 2002).
tiveness data and the assumptions underpinning the down- Reynolds and colleagues’ (2011) C-B analysis of the CCPC
stream modeling. The exceptions were the Reynolds, Temple, study incorporated the largest number of impacts, including
White, Ou, and Robertson (2011) analysis of the CCPC pro- a number of educational outcomes, criminal justice and child
gram and the Heckman, Moon, Pinto, Savelyeva, and Yavitza protection outcomes, and effect on mental health and sub-
(2010) evaluation of Perry Preschool which both conducted stance abuse (based on follow-up at age 21). The Sure Start
extensive sensitivity analyses, including Monte Carlo simu- (Meadows, 2011) and Abecedarian (Masse & Barnett, 2002)
lations. Both these evaluations also include an assessment of C-B analyses included the impact on parental earnings,
“deadweight losses” the cost of financing these programs which reflect the child care aspects of the programs. In the
through public taxation, which involves additional welfare case of Abecedarian, increased parental earning accounted
costs to society. The lack of sensitivity analysis is a weakness for the majority of benefits (Masse & Barnett, 2002). The
of the other studies, given concerns with the underlying C-B studies that included the least number of potential ben-
effectiveness data (see also Table 2). efit categories were Even Start (St. Pierre, Ricciuti, &
Rimdzius, 2005), which only included education and
Program costs. The costs of delivering the early childhood increased earnings, and Sure Start. For Sure Start, outcome
program per family or per enrolled child (translated into data were collected on a number of attributes. However, a
2011 US$) varied considerably, reflecting the diversity in statistically significant effect was found only for parental
program composition and program intensity. The less expen- earnings, which is thus the only contributor to the benefit
sive programs were Even Start US$5,980 per family, Sure stream (Meadows, 2011).

Table 3. Key Cost–Benefit Results.
Incremental program cost Incremental benefit Cost–benefit result
Current, local NPV (net

currency (program present value
Number of length, reference Program cost Current (local Benefit (2011 Benefit/cost = (ΣB − ΣC) Age of follow-up AD, M
Name of program/author participants year for costs) (2011 US$)a currency) US$)a ratio 2011 US$c (discount rate)
Perry Preschool
Barnett (1985a) 123 US$9,027 (2-year $22,477 US$18,389 $45,789 2.04 $23,468 AD to age 19, M beyond (5%)
program, 1981)
Barnett (1985b) 123 US$9,289 (2-year $23,130 US$32,966 $82,085 3.55 $58,956 AD to age 19, M welfare to age
program, 1981) 85, M earnings to age 70 (3%)
Barnett (1993) 123 US$12,356 (2-year $19,893 US$108,002 $173,883 8.74 $153,990 AD to age 28, M to age 65:
program, 1992) Earnings, crime and
welfare (3%)
Nores, Belfield, Barnett, and 123 US$15,166 (2-year $19,867 US$244,811 $320,702 16.14 $300,835 AD to age 40, M to age 65 (3%)
Schweinhart (2005) and program, 2000)
Belfield, Nores, Barnett, and
Schweinhart (2006) both
have same data
Heckman, Moon, Pinto, 123 US$26,639 (2 $29,836 US$165,053 $184,859 6.20 $155,024 AD to age 40, M to age 65 (3%)
Savelyeva, and Yavitza (2010) years, 2006)b
Abecedarian
Masse and Barnett (2002) and 104 US$35,864 (5 $45,189 US$135,546 $170,788 3.78 $125,599 AD to age 21, M to age 60 (3%)
Barnett and Masse (2007) years, 2002)c
Chicago Child-Parent Center Program
Reynolds, Temple, Robertson, 1,539 US$6,692d (1.6- $9,302 US$47,759 $66,385 7.14 $57,083 AD to age 21, M earnings to
and Mann (2002) year program, age 65
1998) M crime to age 44 (3%)
Temple and Reynolds (2007)e 1,539 US$7,384 (1.6-year $9,304 US$74,981 $94,476 10.15 $85,170 AD to age 21, M crime to age
program, 2002) 44 M other to lifetime (3%)
Lee, Aos, and Miller (2008) 1,539 US$8,124 (1.6-year $8,855 US$39,160 $42,684 4.82 $33,829 AD to age 21, M to
program, 2007) lifetime (3%)
Reynolds, Temple, White, Ou, 1,473 $8,512 (1.6-year $9,278 US$92,220 $100,520 10.83 $91,242 AD to age 27, M to age 65 (3%)
and Robertson (2011) program, 2007)
Even Start
Aos, Lieb, Mayfield, Miller, and 463f US$4,863 (2003) $5,981 US$0 $0 0.00 −$5,981 AD 3 years, M to lifetime
Pennuci (2004) (3.5%)
Early Head Start
Aos et al. (2004) 3,001g US$20,972 (2003) $25,796 US$4,768 $5,865 0.23 −$19,930 AD 3 years, M to lifetime
(3.5%)
Sure Start
Meadows (2011) 19,112 UK£4,860 (2009- $7,873 UK£279 to $452 to $902 0.057-0.115 −$7,421 to AD 5 years, M not modeled
2010) £557 −$6,971
Note. Green shade indicates best quality estimate for each type of program where multiple evaluations are provided (based on longest follow-up and most rigorous
identification and assessment of cost saving. AD = actual data; M = modeled data.
a
Inflated to 2011 US$ using the CPI http://www.bls.gov/data/inflation_calculator.htm
b
High comparative cost of program as deadweight cost (50%) included in calculations.
c
Two sets of program costs are reported in original article, one with program administered through school and another with program administered through a child
development center, we have chosen to use the latter figure.
d
Represents total cost of intervention not incremental cost relative to program received by control group.
e
This analysis is based on the Reynolds, Temple, Robertson, and Mann’s (2002) results with the addition of intangible crime victim benefits.
f
Meta-analysis (at 3 years from start of intervention recruitment) based on 1 evaluation (of 18 Even Start Programs).
g
Meta-analysis at (at 3 years from start of intervention recruitment) based on 1 evaluation (of 17 Early Head Start Programs).
Program Performance Programs show mixed C-B results. The three earliest pro-
grams, two of which were small single site trials, report high
The costs and benefits and C-B result for each program are positive returns on investment as follows: Perry Preschool,
reported in Table 3. The Perry Preschool and CCPC pro- up to US$16.1 per US$1 invested; Abecedarian, up to US$3.8
grams have multiple C-B results reported in several studies, per US$1; and the CCPC program, up to US$10.8 per US$1
based on observations of participants at different ages and invested.
lengths of follow-up.

Table 4. Most common classes of impacts included as potential benefits by program and C-B analysis.
Impacts or Potential Benefits - Category included #
Employment and Crime and social

Education related Health related earnings related welfare related
Total NPV
Education (primary &

secondary)
Adult education
Parents’ child care
benefits
Higher education
Remedial education
Mental health
Substance misuse
Smoking costs
Increased earnings
Reduced social security
Future gen. earnings
Tax contribution
Parental earnings
Crime - adult and juvenile
Victims of crime
Reduced child protection
expenditure
Program reference 2011 US$
High-Scope Perry Preschool

Barnett, (1985a) # # # # # # # # 23,468
Barnett, (1985b) # # # # # # # # # 58,956
Barnett, (1993) # # # # # # # # # # 153,990
Nores, Belfield, Barnett, Schweinhart (2005); Belfield, # # # # # # # # # # 300,835
Nores, Barnett, Schweinhart (2006)
Heckman Moon, Pinto, Savelyeva, and Yavitza, (2010) # # # # # # # # # 155,024
Carolina Abecedarian
Masse and Barnett(2002) & Barnett and Masse (2007) # # # # # # # # ## 119,451
Chicago Child-Parent Centre Program
Reynolds Temple, Robertson, and Mann (2002) # # # # # # # 57,083
Assessment of the Cost–Benefit Literature on Early Childhood Education for Vulnerable Children...
Temple and Reynolds(2007) # # # # # # # # 85,170

Lee, Aos and Miller (2008) # # # # # # # 33,829
Reynolds, Temple, White, Ou, Robertson (2011) # # # # # # # # # # # 91,242
Even Start
Aos,Lieb, Mayfield, Miller and Pennuci (2004) # # 5,981
Early Head Start
Aos, Lieb, Mayfield, Miller and Pennuci (2004) # # 19,930
Sure Start
Meadows, (2011) # -7421 to -6971

195
The three more recent programs that involved wider As the ultimate purpose of economic evaluation is to
national rollout—Even Start, Early Head Start, and Sure inform policy, we provide guidance on the interpretation of
Start programs—report C-B ratios of less than 1; that is, the C-B results. Economic evaluation by its nature adds uncer-
value of measured benefits was less than program cost. tainty, particularly when modeling to longer term outcomes.
It is essential to have a thorough understanding of the effec-
tiveness results and quality of the original study to under-
Discussion
stand what is driving the C-B results.
Overview We note the design of the initial Trial is important in con-
sidering likely generalizability of study results. For example,
The C-B results of the six center-based early childhood edu- the Abecedarian program used a matched pair randomization
cation programs targeted at disadvantaged groups included method and the recruitment method is not well defined, leav-
in this review would suggest investment in early childhood ing some uncertainly around possibility for selection bias
educational programs is equivocal in terms of potential for and representativeness of the wider eligible population.
return to society. These studies suggest that while the theory Although F. Campbell and colleagues (2014) using new sta-
behind early childhood programs for disadvantaged popula- tistical techniques to re-analyze the Abecedarian study (tak-
tions looks sound, the economic success of the early trials ing into account issues with randomization, sample size and
has not often been replicated. Only the CCPC program com- retention), still find positive results. Baseline equivalence
bined quality evidence, an intervention of large scale, and a between groups for studies is not always clear. The Even
program cost that might be considered affordable with a high Start program evaluation had study groups with some base-
return. The poor returns for Even Start (St. Pierre et al., 2005) line differences, unclear blinding, significant dropout, and a
and Early Head Start (Love et al., 2005) and Sure Start failure to perform intention to treat analysis.
(Meadows, 2011) reflect the failure to achieve large changes The Perry Preschool program used an “alternate” random-
in educational outcomes (with relatively small, or no, change ization process with some parents reassigned following
in short-term educational outcomes), not high cost. group allocation. However, a reanalysis by Heckman and
There has been considerable discussion concerning the colleagues concluded that the allocation process did not
lack of success of Sure Start. Explanations generally focus affect the results. Other adjustments to the analysis by
on implementation failure, suggesting that the community- Heckman (e.g., in estimating the costs of crime) did however
driven model, while maximizing local community engage- result in a reduction in the estimated internal rate of return
ment, has failed to ensure fidelity with core model from 16%-17% to 6%-10% (Heckman et al., 2010). We also
components. It also may reflect access to preschool by con- note strong retention at follow-up for the Perry Preschool,
trol children which was little different to that offered under Abecedarian, and CCPC programs.
the study programs. These are not always well defined. The Sure Start evaluation is the only C-B analysis to mea-
Furthermore, the Sure Start C-B analysis was based on out- sure the community-level effects of the program rather than
come data for children at 5 years of age, when the large the effects just for program participants, which will always
impacts from other studies such as effect on crime, employ- show a smaller impact (but also lower costs). While all chil-
ment, or educational attainment are not yet observable. dren in the “Sure Start” regions were eligible for the pro-
gram, with no Sure Start Program available in comparison
Limitations. This analysis was limited to programs for which regions, not all children will have attended, and rates of par-
C-B studies have been completed. And the programs included ticipation and attendance will have affected the result. But
had differing years of follow-up and measured different sets this is reflective of “real world rollout” of an early childhood
of impacts, which will have affected reported C-B ratios. A education program. While study populations were not ran-
number of important early childhood programs, such as Head domized and participants in the control regions were signifi-
Start, KidsMatter PATHS, and Incredible Years, are not cantly more disadvantaged, this has been controlled for in
included in this work. It will be important to include these as the analysis. As noted, because Sure Start was evaluated
economic analyses become available. The existing evidence when children were only 5 years of age, the ability to express
base is predominantly for the United States, and generaliz- outcomes was limited. The team lead by Meadows (2011)
ability to other settings is unknown. note a number of small effects which may (or may not) trans-
late into measurable downstream benefits.
Core effectiveness results from the primary intervention
Policy Implications and Interpretation of C-B studies are reported in Table 2, with a focus on high school
Studies completion rates where reported (limited by years of follow-
These C-B studies highlight the challenge for policy makers up) or school test scores. Perry Preschool, Abecedarian, and
in interpreting the results of complex social policy CCPC report high school completion rates that were respec-
initiatives. tively, 17%, 3%, and 7% higher than control populations. Early

18
16
14
Benefit/cost rao
12
10
8
6
4
2
0
-2 0 2 4 6 8 10 12
-4
Number of benefit categories included
High-Scope Perry Preschool
Carolina Abecedarian
Chicago Parent Child Centre Program
Sure Start
Even Start
Early Head Start
Figure 3. Benefit–cost ratios for the different early childhood education programs by number of benefits included in the analysis.
Head Start had a statistically significant effect on the Peabody depth recent results and issues related to translation.
Picture Vocabulary Test scores and the Even Start program Particularly of interest is research on wider community rollout
showed no effect. The Sure Start evaluation reported on the of programs. The evidence of generalizability of beneficial
Foundation Profile Score as their key education measure (part long-term effect is still uncertain, especially for programs
of the U.K. government statutory framework standards for delivered at the population level, and it is critical that high-
early years providers) but did not find a statistically signifi- quality evaluations accompany new program delivery. Issues
cant difference between intervention and control sites. to be considered in interpreting C-B studies are summarized in
A broader scope of included benefits and longer follow- Table 5.
up would generally result in a more favorable C-B ratio if the
programs were successful, with additional benefits being
Conclusion
accrued but not costs (see Figure 3). This is best observed for
the Perry Preschool C-B studies, with successive studies This is the most comprehensive review to date of C-B studies
incorporating longer follow-up (up to age 40), reporting suc- of early childhood education. It not only offers a more com-
cessful higher C-B ratios (Barnett, 1993; Barnett & Escobar, plete insight into the likely return on investment but also
1990; Belfield, Nores, Barnett, & Schweinhart, 2008). highlights challenges in interpreting these studies and pro-
The services accessed by the comparison group also affect vides guidance to policy makers in this regard.
the results, and is important in considering transferability of A consideration of all the published C-B studies of early
results if the service system and population characteristics childhood education programs challenges the view widely
where a program is to be implemented differ from the trial held by policy makers, that investing in early childhood
site. This is also the case when considering outcomes such as education will always represent an excellent return on
criminal justice or child protection—where background rates investment for society. The early promise of two small RCTs
vary hugely across time and space. Randomized control tri- of questionable generalizability is yet to be realized in large
als while offering high internal validity tend to have poor population-wide program delivery. As a body of evidence,
external validity, which means results are unlikely to be rep- the existing C-B studies do not yet provide an ideal guide to
licated in population rollout. This is a critical issue for policy. investment decisions relating to early childhood education.
On the contrary, community evaluations (such as Sure Start) Greater attention to the underlying program effectiveness
provide an accurate picture of what a scaled up program and the context in which programs have been delivered,
would look like, but they often suffer from internal validity their fidelity, and the benefits for specific subpopulations
constraints in demonstrating effectiveness. will assist policy makers with decisions regarding invest-
We are now at a point in the evaluation of early childhood ment in early childhood programs. The same guidance
education programs that longer term follow-up of older stud- would help those conducting such analyses to provide
ies is less useful, given their small size and concerns with results that are transparent, comparable, and able to inform
transferability. What is more useful is research that explores in policy.

Table 5. Framework to Guide Interpreting Early Childhood Education Cost–Benefit (C-B) Evaluations.
Things to consider when

interpreting C-B results and
assessing applicability Questions to ask
1. Program effectiveness •• Have I reviewed the primary effectiveness data—this is what the economic
evaluation builds on. Is it a robust source of evidence?
•• Consider in particular:
•• How effective was the program compared with the control group? Are results
consistent across domains?
•• How confident are you that these results are true? (Consider potentials for bias.)
2. Program costs •• What is the immediate budget impact—What would it cost to implement in
your setting? What is the up-front program cost per child and across the eligible
population (additional to a current service delivery model)?
3. Measurement and timing of •• What was the scope of the included savings/what categories are included?
savings associated with benefits •• Over what time period were the benefits (savings) accrued and how long until a
positive return on investment is projected?
4. Context and generalizability •• How likely is it that these results would be replicated in my setting? Consider scope
of trial, similarity of participants, context, setting, delivery system, characteristics of
control group.
•• What assumptions underpin the projected downstream savings? Are these likely to
be valid in your policy context? How similar is the wider human service system and
population characteristics that describe risk profile (e.g., likelihood of incarceration)?
•• In relation to research trials, what is the expected loss of fidelity and effectiveness in
large-scale rollout?
•• What are the impacts by subpopulations—Are there some groups for whom benefits
are not realized that suggest targeting is critical? What is the likely access/use by the
eligible population and particularly those with greatest capacity to benefit?
Appendix
Search Strategy
Medline and Embase: April 05, 2013
1. Child care.mp
2. Child care/
3. Kindergarten.mp
4. Day care.mp
5. Nursery.mp
6. Preschool.mp
7. Early Intervention Education/
8. Or 1-7
9. Cost$.mp
10. Cost benefit analysis/
11. Cost and cost analysis/
12. OR 9-11
13. Child/
14. Vaccination
15. ((8 AND 12 AND 13) NOT 14)
Hits 4,015.
Database Number of hits Selected to examine in full text

Medline and Embase 4,015 83

Other Data Bases Searched (April 5, 2013).
Database Number of hits Selected to examine in full text

A+Education, Family Databases, Society Journal collection 325 7
Proquest Education Journals, ProQuest Psychology Journals 225 3
Education Research Complete 317 12
ERIC, EconLit, PsychArticles, PsychINFO 2,708 42
Total 7,590 147
Declaration of Conflicting Interests Burger, K. (2010). How does early childhood care and education
The author(s) declared no potential conflicts of interest with respect affect cognitive development? An international review of the
to the research, authorship, and/or publication of this article. effects of early interventions for children from different social
backgrounds. Early Childhood Research Quarterly, 25, 140-
165. doi:10.1016/j.ecresq.2009.11.001
Funding
Campbell, F., Conti, G., Heckman, J. J., Moon, S. H., Pinto, R.,
The author(s) received no financial support for the research and/or Pungello, E., & Pan, Y. (2014). Early childhood investments
authorship of this article. substantially boost adult health. Science, 343, 1478-1485.
doi:10.1126/science.1248429
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Author Biographies
development. In R. E. Tremblay, M. Boivin, & R. D. Peters
(Eds.), Encyclopedia on early childhood development. Dr Kim Dalziel holds a Masters and PhD in Health Economics and
Retrieved from http://www.child-encyclopedia.com/Pages/ is a Senior Research Fellow and McKenzie Fellow at The University
PDF/MustardANGxp.pdf of Melbourne. Her research interests and expertise include eco-
Nores, M., Belfield, C. R., Barnett, W. S., & Schweinhart, L. nomic evaluation and modelling particularly in child health.
(2005). Updating the economic impacts of the High/Scope Dale Halliday’s research experience includes focusing on
Perry Preschool Program. Educational Evaluation and Policy Indigenous primary health care with the Health Economics &
Analysis, 27, 245-261. doi:10.3102/01623737027003245 Social Policy Group at University of South Australia, as well as
Reynolds, A. J., & Temple, J. A. (2008). Cost-effective early maternal primary health care in developing countries at University
childhood development programs from preschool to third of Adelaide. Dale has worked in public health roles with Adelaide
grade. Annual Review of Clinical Psychology, 4, 109-139. based NGO, Hepatitis SA, and with the East Kalimantan Provincial
doi:10.1146/annurev.clinpsy.3.022806.091411 Health Department, Indonesia. Currently, Dale works at the
Reynolds, A. J., Temple, J. A., Robertson, D. L., & Mann, E. A. Sydney-based independent think tank, Policy Cures, focusing on
(2002). Age 21 cost-benefit analysis of the Title I Chicago research and development for neglected diseases.
Child-Parent Centers. Educational Evaluation and Policy
Analysis, 24, 267-303. doi:10.2307/3594119 Professor Leonie Segal is the Foundation Chair of Health
Reynolds, A. J., Temple, J. A., White, B. A. B., Ou, S.-R., & Economics and Social Policy at the University of South Australia,
Robertson, D. L. (2011). Age 26 cost-benefit analysis of the child- after 7 years as Deputy Director at the Centre for Health Economics
parent center early education program. Child Development, 82, at Monash University. Her research is focused on using economics
379-404. doi:10.1111/j.1467-8624.2010.01563.x to improve outcomes for vulnerable populations.

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List of Contributors
Jinjin Lu A. (Jos) de Kock
University of Tasmania, Launceston, Australia Protestant Theological University, Amsterdam, The
Netherlands
Stuart Woodcock
Macquarie University, Sydney, NSW, Australia Su-I Hou and Shannon Wilder
The University of Georgia, Athens, GA, USA
Han Jiang
University of Wollongong, NSW, Australia Ann-Merete Iversen
University College of Northern Denmark, Aalborg,
Marsha K. Youssef, Gerard Hutchinson and Farid F. Denmark
Youssef Aalborg University, Denmark
The University of the West Indies, Trinidad and
Tobago Anni Stavnskær Pedersen
University College of Northern Denmark, Aalborg,
Richard Herdlein Denmark
SUNY Buffalo State, NY, USA
Lone Krogh and Annie Aarup Jensen
Emily Zurner Aalborg University, Denmark
SUNY New Paltz, NY, USA
Beverly A. King Miller
Rachaniphorn Ngotngamwong University of Johannesburg, Auckland Park, South
Stamford International University, Bangkok, Thailand Africa
Benedict Iorzer Labe Emmanuel Mensah
Benue State University, Makurdi, Nigeria University of North Dakota, Grand Forks, USA
Elida V. Laski Esther Firstater and Tanya Frankel
Boston College, Chestnut Hill, MA, USA Gordon College of Education, Haifa, Israel
Jamilah R. Jor’dan Laura I. Sigad
Chicago State University, IL, USA Oranim Academic College of Education, Kiryat Tivon,
Israel
Carolyn Daoust
Saint Mary’s College of California, Moraga, USA Paul Kingsley and Taly Sharon
Angela K. Murray
University of Kansas, Lawrence, USA Benta A. Abuya and Moses Ngware
Education Research Program, African Population
Donna J. Satterlee, Jeffrey M. Molavi and Mark E.
and Health Research Center (APHRC), Nairobi,
Williams
Kenya
University of Maryland Eastern Shore, Princess Anne,
USA Kassahun Admassu
Independent Consultant
Megumu D. Burress and John M. Peters
The University of Tennessee, Knoxville, USA Elijah O. Onsomu
Division of Nursing, Winston-Salem State University,
Giovanni Sala
NC, USA
University of Milan, Italy Moses Oketch
Institute of Education, University of London, UK
Alessandra Gorini and Gabriella Pravettoni
University of Milan, Italy

List of Contributors 203
Kim M. Dalziel Dale Halliday and Leonie Segal

The University of Melbourne, Melbourne, Victoria, University of South Australia, Adelaide, South
Australia Australia, Australia

Index
A F
Achievement, 2, 8, 14-15, 22-23, 34-35, 40-41, 48, 50, 52, Failure Rates, 163, 169, 174
56-58, 60, 69, 85, 92, 126, 132, 135, 138, 155, 175, 185, Foreign/second Language Education, 71
187, 189
Free Primary Education, 177-178, 185
Action Research, 71, 74
Adolescents, 22, 50, 94-97, 103-105, 142, 185-186 G
Applied Psychology, 85 Globalization, 24, 26, 160, 162
Attention Deficit Hyperactivity Disorder, 15-16, 19-21, 23 Grade Inflation, 163-166, 173-176
B H
Bottom Up, 177-178 Higher Education, 14, 24-26, 32-35, 40, 50, 71, 82-83, 106-
107, 113-115, 117, 124-125, 129, 138, 140, 143, 149-150,
C 152-153, 156, 163-165, 175-176
Caribbean Nation, 16
Chinese University, 1 I
Indoor Air Quality, 60, 63, 65-66, 69-70
Co-curricular Activities, 24-26, 31
International Education, 34, 184-185
Cognitive Science, 52-53, 58-59
Cognitivism, 85
K
Collaborative Learning, 34, 71-72, 83-84, 140, 143-146, Kindergarten Readiness Scores, 60, 62-64, 67-68
148-150, 152-153
Knowledge Construction, 140, 142-143, 149-151
College Students, 4-6, 8, 14-15, 23, 50, 113-114, 137, 140,
142-144, 146, 149, 151, 175
L
Constructivism, 116, 140-142, 145, 149, 151-153 Language Teaching And Learning, 1
Cost-benefit Analysis, 187, 190, 199-200 Learning Outcomes, 4, 6, 10, 24-32, 35, 50, 58, 68, 122,
Culturally Relevant Pedagogy, 126-127, 138 127, 183, 186
Culturally Responsive Teaching, 126-127, 137
M
D Mathematics Manipulatives, 52, 55-56, 59
Drop-out Rates, 163, 167-172, 174 Modernity and Postmodernity, 115
Montessori Education, 52
E Multicultural, 126, 154-156, 159, 161
Early Care And Education, 60-62
Early Childhood Education, 60-62, 154, 161, 187-188, 191, N
197-199 Normative Considerations, 97, 100
Early Childhood Education Programs, 187-188, 197, 199 Normativity Regarding Learning, 100
Early Intervention, 187-188, 198-199
Economic Evaluation, 187-188, 190, 196, 198 O
Education Research Program, 177-178, 186 Objectivism, 102, 140-141, 152-153
Education Theory And Practice, 34, 85, 115 Online Education, 153, 163-166, 172-173, 175
Educational Measurement and Assessment, 34
Educational Psychology, 14-15, 23, 50, 58, 83-85, 152 P
Perceived Barriers, 106, 108-110, 112
Educational Research, 23, 33-34, 40, 85, 92, 104, 115, 124,
138, 153, 175, 185-186, 199 Perceived Benefits, 106, 108-113, 140, 144
English Language Learning, 1 Perceived Value, 163-164, 166, 168-169, 171, 173-175
Environmental Policy, 60 Performative Text, 71, 75
European University, 24-25 Policy Formulation, 179-181, 184
Experimental Psychology, 85 Practical Theology, 94, 104

Index 205
Problem-solving Abilities, 42, 85-86, 90-91 Street-level Bureaucracy, 177, 180, 184
Problem-solving Self-appraisal, 42, 46-48 Student Affairs/services, 24
Process of Learning, 2, 94, 98-100, 102 Student Assessment, 87, 109
Program Costs, 193-194, 198 Systematic Review, 23, 58, 114, 175, 187
Program Performance, 194
T
Q Teacher Education And Curriculum, 1
Qualitative/quantitative Methods, 24 Teacher Training, 16-18, 42, 44-45, 136, 156, 161, 178, 182
Quality Assessment, 70, 190, 193 Teaching and Learning, 1, 10, 14, 49, 71-74, 78, 81-84, 107,
Quality of Indoor Environment, 60 113-114, 116, 124-125, 143, 152-153, 178, 180, 182, 184
Technological Problem Solving, 42, 48-50
R The Transtheoretical Model (ttm), 106
Religious Education, 94-97, 101-105 Top Down, 177-179
Resource Utilization Likelihood, 106, 108, 112 Trinidad & Tobago (tt), 17
Troubleshooting Activities, 42-48
S
Science, Technology, Engineering, and Mathematics (stem),
126
W
Willingness, 42-50, 106, 108-109, 112, 120, 132, 154, 171
Service-learning, 106, 108, 111-114
Willingness To Participate, 43, 106, 108-109, 112
Social Sciences, 14-15, 24, 34, 50, 85, 124, 127

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Educational Planning

Edited by Jayson Bird

Copyright © 2017 College Publishing House

Educational planning and management / edited by Jayson Bird.

Chapter 1 Investigation of Chinese University Students’ Attributions of English

Chapter 3 Student Satisfaction, Needs, and Learning Outcomes.................................................................................. 24

Chapter 5 Student Teachers’ Self-Appraised Problem-Solving Ability and Willingness to

Chapter 6 What Makes Mathematics Manipulatives Effective? Lessons From Cognitive

Chapter 7 An Evaluation of Early Education Based on Physical Environmental Guidelines.................................. 60

Chapter 8 Collaborative Learning in a Japanese Language Course.............................................................................. 71

Chapter 9 Mathematical Problem-Solving Abilities and Chess .................................................................................... 85

Chapter 10 What About Learning in Practical Theological Studies? Toward

__________________________ WORLD TECHNOLOGIES __________________________

Chapter 12 Learning, Leading, and Letting Go of Control: Learner-Led

Chapter 13 Effective Teachers: Culturally Relevant Teaching From the Voices of

Chapter 14 Exploring Constructivist Perspectives in the College Classroom.............................................................. 140

Chapter 16 Business and Academic Interests in the Maintenance of Standards in Online

Chapter 18 Assessment of the Cost–Benefit Literature on Early Childhood Education for

__________________________ WORLD TECHNOLOGIES __________________________

__________________________ WORLD TECHNOLOGIES __________________________

Jinjin Lu1, Stuart Woodcock2, and Han Jiang3

__________________________ WORLD TECHNOLOGIES __________________________

• determining the objectives; made an analysis of the major components in constructing a

__________________________ WORLD TECHNOLOGIES __________________________

Cause Locus of causality Stability Controllability

__________________________ WORLD TECHNOLOGIES __________________________

__________________________ WORLD TECHNOLOGIES __________________________

25 Art and Social Science

__________________________ WORLD TECHNOLOGIES __________________________

60 Art and Social Science

__________________________ WORLD TECHNOLOGIES __________________________

Autonomous Teacher-centered Autonomous Teacher-centered

__________________________ WORLD TECHNOLOGIES __________________________

__________________________ WORLD TECHNOLOGIES __________________________

__________________________ WORLD TECHNOLOGIES __________________________

Part 1 and Part 2 in the Questionnaire as Examples

Gender：□ Male □ Female Ethnic：□ Han □ Minorities

__________________________ WORLD TECHNOLOGIES __________________________

Strongly disagree Disagree Not sure Agree Strongly agree

2. You couldn’t complete a listening task in class. It would probably be because

Strongly disagree Disagree Not sure Agree Strongly agree

Strongly disagree Disagree Not sure Agree Strongly agree

Strongly disagree Disagree Not sure Agree Strongly agree

5. You didn’t understand an English novel. It would probably be because:

Strongly disagree Disagree Not sure Agree Strongly agree

__________________________ WORLD TECHNOLOGIES __________________________

Strongly Disagree Disagree Not sure Agree Strongly agree

7. You can read the 21st newspaper. It would probably be because

Strongly disagree Disagree Not sure Agree Strongly agree

Strongly disagree Disagree Not sure Agree Strongly agree

9. You listened to a tape recording and understood. It would probably be because

Strongly disagree Disagree Not sure Agree Strongly agree

Strongly disagree Disagree Not sure Agree Strongly agree

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