Academic Optimism: Decades of Research in a Quest for School Characteristics that Make a Difference...

© Hoy, 2013

Academic Optimism:Decades of Research in a Quest for

School Characteristics that Make a Difference for the Achievement of All Students

Hoy, W. K., Tarter, C. J., & Woolfolk Hoy, A. (2006). Academic optimism of schools: A force for student achievement. American Educational Research

Journal, 43, 425-446.

Hoy, W. K. (2012). School characteristics that make a difference for the achievement of all students: A 40-year academic odyssey. Journal of Educational

Administration., 50, 76-97.

Seton Hall, April 13, 2013www.waynekhoy.com

© Hoy, 2013

The Journey BeginsOklahoma State (1965)

As a new professor needing to do research, I had an interest in school climate.

1. Each school has it own distinct feel, aura, identity, character, atmosphere, climate.

2. Individuals have personalities—so do schools—climate. 3. How does one conceptualize the climate of a school.4. Initially, we decided on climates along a two continua: from custodial to humanistic from closed to open.

Where open school climates related to humanistic ones?

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School Climates: Open Climates and Humanistic Climates

• The rigidly traditional school serves as a model for the custodial orientation. This kind of organization provides a highly controlled setting concerned primarily with the maintenance of order. Watchful mistrust and autocratic control are the critical aspects of a custodial perspective.

• The model for the humanistic orientation is the school conceived of as an educational community in which members learn through interaction and experience. The humanistic teacher is optimistic about the student and has open and friendly relations with students. Teachers and students are willing to act on their own volition and accept responsibility for their actions.

• The Open School Climate is one anchored in authentic, open, and transparent interactions among faculty members, supportive supervision, & high morale.

• The Closed School Climate is one imbued with game playing, close teacher supervision, teacher apathy, and low morale

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Oklahoma FindingsHumanistic Schools (contrasted with Custodial ones) had principals who were:

– Considerate– Personal– Engaging– Friendly– Supportive—avoided close supervision

1. Moreover, humanistic schools had faculties with higher morale and the faculty was more engaged.

2. The more open the climate, the more humanistic the control perspectives—two go together. The relation is a reciprocal one.

3. There was openness and authenticity in teacher-principal relations and openness in teacher-teacher relations in humanistic schools.

Three years in Oklahoma and then back to east coast, Rutgers in NJ

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Rutgers Studies(1968)

More studies on the Climate of Schools in New Jersey.What kind of consequences did open climates and humanistic climates have on schools?Series of studies done in New Jersey to answer these questions was performed, looking at the impact of climate (openness and humanism) on students rather than faculty.Two student concepts came to mind: alienation and self-actualization.

1. Custodialism and openness were both related to student alienation in NJ high schools.2. In general, the more open the school climate, the less alienated were the students. 3. Open schools were antidotes for student sense of powerlessness and normlessness.4. Students suffered less from a sense of powerlessness, normlessness, and self-

estrangement or isolation.5. Not surprisingly, custodial climates had alienated students along same dimensions.6. Humanism of school climate related to student level of self-actualization.7. Feeling good about the results of our work on climate—direction clear.8. But graduate students and administrators want to know if climate was related to student

achievement.9. We started to look in each sample of schools, but to no avail.

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Organizational Climate of SchoolsDimensions of Principal’s Behavior

Supportive—reflects a concern for teachers, is open to suggestions, respects teachers’ professional competence. Praise is genuine and frequent and criticism is constructive.

The principal uses constructive criticism.

Directive—maintains close and constant control over all teacher and school activities. The principal monitors everything teachers do.

Restrictive—Hinders rather than facilitates teacher work; burdens with busywork.• Routine duties interfere with the job of teaching.

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Dimensions of Teacher Behavior

Collegial—supports open and professional interactions among teachers. Teachers are enthusiastic, accepting, and mutually respectful of professional competence.

Teachers respect the professional competence of their colleagues.

Intimate—reflects a cohesive and strong network of socials support among the faculty. Teachers know each other well, are close personal friends, and socialize.

• Teachers socialize with each other.Disengaged—refers to a lack of meaning and focus in professional activities. Teachers are simply putting in time and going

through the motions.• Faculty meetings are useless.

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Organizational Climate of Schools

SupportiveDirectiveRestrictive

CollegialIntimateDisengaged

Openness of Principal Behavior

Openness of Teacher Behavior

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Types of Organizational Climate

Principal Behavior

Open Closed

Open

Closed

TeacherBehavior

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Principal Behavior

Open Closed

Open

Closed

TeacherBehavior

Open Climate

Closed Climate

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Principal Behavior

Open Closed

Open

Closed

TeacherBehavior

Open Climate

EngagedClimate

Closed Climate

DisengagedClimate

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Climate Studies Summary

1. School Climate does capture the feel of the school.

2. Openness and humanism have many positive effects on students—less alienated, more committed, greater

confidence, and higher self actualization.

3. But neither the openness of the climate nor the humanism of teachers is related to academic performance of students.

4. School climate was related to affective student outcomes, but not related to academic outcomes.

5. Why?

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Rutgers Climate Studies1. Every climate study we did at RU, where we could, we checked its influence on academic

performance, but with SES included as a control, there was no relation.

2. We actually did another seven or eight studies to do avail—climate not related to achievement.

3. James Coleman’s classic national study of American Public Schools was also discouraging because he found: “Only a small part of (student achievement) is the result of

school factors, in contrast to family background differences between communities.”

4. SES overwhelmed when it comes to achievement.

5. Together with my own research and Coleman’s findings, I came to believe that organization had little to do with school achievement; achievement primarily in the hands of teachers in the classroom.

6. Thus, I turned my attention to research to different areas.

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Detour: New Research Directions1. Bureaucratic structure was directly related to teacher alienation.

2. Bureaucratic structure was negatively related to innovation and change.

3. Bureaucratic socialization of new teachers—more bureaucratic and custodial.

4. Key principal behaviors to develop loyal teachers: 1) Consideration2) Initiating structure3) Leading by example4) Emotional detachment 5) Hierarchical independence.6) Authenticity

5. Patterns of Administrative Succession for Principals.Outsiders versus InsidersChange Status QuoHigher Satisfaction Lower SatisfactionMore Influence Less InfluenceMore Emotional Detachment Less Emotional DetachmentHigh Faculty Morale Lower Faculty Morale

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Return to the Quest 1. School Climate does capture the feel of the school.

2. Openness and humanism have many positive effects on students—less alienated, more committed, greater confidence, and higher self actualization.

3. But neither the openness of the climate nor the humanism of the school was related to academic performance of students.

4. School climate was related to affective student outcomes, but not related to academic outcomes.

5. Ron Edmonds’s Challenge to Coleman: Case Studies of Urban School.6. Edmonds found and argued that high achievement was a function of:

– Strong Principals– High Expectations for Students– Emphasis on Basic Skills– Orderly environments– Frequent, systematic evaluations

One or two cases don’t really prove much—Could the findings be generalized?Another look at School Climate: A New Perspective—Organizational Health

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Organizational HealthOrganizational Health Inventory (OHI)

Institutional (Community) Level—Interactions with the community

• Institutional Integrity

Managerial Level—Interactions with the principal

• Principal Influence

• Consideration

• Initiating Structure

• Resource Support

School Level—Interactions with colleagues and students

• Morale

•Academic Emphasis

Index of the health of school climate is a function of all these elements.

But health was not related to achievement controlling for SES.

Multiple Regression—use individual tests rather than index.

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Organizational Health

A Healthy School Climate is characterized by institutional integrity--teachers are protected from disruptive outside forces. The principal has influence with superiors, gets needed resources, and has a integrated leadership style that is concern with both the task at hand and the social well being of teachers. Morale is high and there is a general press for academic achievement by teachers, parents, and students.

A Unhealthy School Climate is vulnerable to disruptive outside forces. The principal has little influence with superiors, resources are scarce, and the principal neither sets direction nor is supports teachers. Morale is poor and there is limited attention to academic matters because the teacher have given up.

Our index of school health was not related to student achievement, but…

However, only Academic Emphasis was consistently related to student achievement, controlling for SES.

First school property related to Student Achievement, controlling for SES (1990s).

Two decades to find one school property that facilitates student achievement for all.

True for elementary, middle, and high schools (measures for all levels).

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Trust: The First Generation of Studies--RutgersBill Kupersmith-

TRUST: A generalized sense held by the work group that the word or promise of another could be relied upon (Rotter)

Measures: Faculty Trust:In ColleaguesIn Principal In District

Trust related to many important attributes:Authentic leadership of the principalMorale of facultyOpenness of climateHealth of schoolSubjective measure of effectiveness

BUT NOT to ACHIEVEMENT, controlling for SES.About this time, it was on to Ohio State. Thus, far only one school variable has been identified that predicts academic achievement

controlling for SES.

© Hoy, 2013

Trust: The Second Generation—Ohio Statea more refined definition of trust

Megan Tschannen-Moran-

TRUST: Trust is a state in which individuals and groups are willing to make themselves vulnerable to others and take risks with confidence that others will respond to their actions in positive ways, with benevolence, predictability, competence, honesty, and openness.

Faculty Trust in:In ColleaguesIn Principal

New DimensionsIn StudentsIn Parents

Surprise!!!Faculty Trust in Students and Parents is one thing, not two. [Univ. of Chicago]

Faculty Trust in Students and Parents was related to Student Achievement controlling for SES.Relationship is true regardless of school level (elementary, middle, high school).Also true in other countries—for example, China, Taiwan.Second organizational property to make a difference in achievement (1998) .

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Collective Efficacy—Ohio State

Roger Goddard-A Study of Collective Efficacy of elementary schools.

Grew out of the work of Albert Bandura, who claimed efficacy could be framed as a collective as well as an individual construct; in fact , he maintained that collective efficacy was more important than SES in predicting student achievement .

COLLECTVE EFFICACY: teachers as a whole (as a collective) have a sense that they can organize and execute decisions and influence the activities that have positive effects on students.

Developed a reliable and valid measure of the collective efficacy of a school.

Collective Efficacy was the third property of schools that predicted student achievement controlling for SES and other demographic characteristics of schools

Relationship is true regardless of school level (elementary, middle, high school).Also true in other countries.Academic Emphasis, Trust in Clients, and Collective Efficacy were the three characteristics that make a difference in schools beyond SES.What about the three properties working together? Three properties added together should explain more variance in achievement-But!HOW TO RESOLVE THIS PROBLEM? Walk the beaches of Naples, Florida.

© Hoy, 2013

AcademicEmphasis

CollectiveEfficacy

FacultyTrust

Academic Optimism is the uniting of these three concepts into an integrated whole.

Efficacy is the belief faculty can make a positive contribution to student learning: teachers believe in themselves. Trust is the belief that students, parents, teachers can cooperate to improve student learning:

teachers believe in their students. Academic Emphasis is the academic enactment of these beliefs:

teachers act to improve academic success of students.

Academic Optimism is the collective belief that that: The faculty can make a difference--cognitive facet.Students can learn--affective and emotional side.Academic performance can be achieved--behavioral enacted.

The elements of academic optimism and their reciprocal relation to each other.

Academic Optimism: A New Construct

© Hoy, 2013

StudentAchievement

Science

Academic Optimism

Mathematics

Academic EmphasisCollective EfficacyFaculty Trust in Students and Parents

Urbanicity

SocioeconomicStatus

Priori StudentAchievement

Mathematics Science

Academic Optimism and School Achievement: A Theoretical Model

Sample and Method

Sample = 96 high schools in Ohio

Contacted 149 schools and got 96 (65%)

Fairly representative sample of Ohio High School in terms of SES and balance of urban, suburban, and rural.

Data were collected in faculty meetings and also from the Ohio Department of Education (Achievement DATA)

SEM (Structural Equation Modeling) was used to test the model.

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StudentAchievement

Science

Academic Optimism

Mathematics

Academic Emphasis

Collective Efficacy

Faculty Trust in Students & Parents

A Test of the Academic Optimism and Student Achievement Model (Hoy, Tarter, Hoy, 2007)

1.00

.90

.75

.99

.92

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StudentAchievement

Science

Academic Optimism

Mathematics


Urbanicity

SocioeconomicStatus


Mathematics Science

Academic Optimism and School Achievement: A Theoretical Model

© Hoy, 2013

StudentAchievement

Science

Academic Optimism

Mathematics

Academic Emphasis

Collective Efficacy


Urbanicity

SocioeconomicStatus


Mathematics Science

A Test of the Academic Optimism and Student Achievement Model (Hoy, Tarter, Woolfolk Hoy, 2006)

.02.20

1.00

.90

.19

.75

.99 .21

.92

.60

.97 .96 R2=.67**

© Hoy, 2013

StudentAchievement

Reading

Academic Optimism

Academic Emphasis

Collective Efficacy


Urbanicity

SocioeconomicStatus


Writing Social Studies

A Second Test of the Academic Optimism and Student Achievement (Hoy, Tarter, Woolfolk Hoy, 2007)

-.18

.23 .23

.74

.99 .27

.93

.44

.93 .98 .78

Reading Writing Social Studies

.99 .96 .89

R2=.54**

Conclusions

1. There is strong evidence that academic optimism is a latent construct consisting of academic optimism, collective trust in parents and students, and collective efficacy.

2. Academic optimism is directly related to school achievement even after controlling for SES and earlier achievement.

3. Academic optimism is as strong predictor of achievement as SES; academic optimism can be developed, but SES cannot.

4. Optimism in academic matters is a strong force for achievement.

5. Trust in parents and students seems to liberate teachers to innovate in the classroom without fear of retribution from parents.

6. Collective efficacy signals a can do attitude of faculty and enables teachers to set and pursue challenging goals with students.

7. Academic emphasis focuses behavior on academic matters and mobilizes to teachers to action.

© Hoy, 2013

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Conclusions from Other Studies

1. Academic Optimism is related to academic achievement regardless of school level.

2. Academic Optimism is related to academic achievement in other counties and cultures.

3. How can administrators cultivate a culture of academic optimism?

Develop trust, collective efficacy, & academic emphasis

Cooperative relations with parents--trustExperience, Models, Persuasion—

collective efficacyAcademic emphasis—celebrate academic

achievementBut not at the expense of other elements.

© Hoy, 2013

Academic Optimism


Enabling Structure Student Achievement

SocioeconomicStatus

Principals Creating A Culture of Academic Optimism and Student Achievement :A Path Model (McGuigan & Hoy, 2006)

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Academic Optimism


Enabling Structure Student Achievement

SocioeconomicStatus

A Test of Enabling Structure, Academic Optimism, Achievement Model (McGuigan & Hoy, 2006)

.98 .96 .95

.37** .54**(Math)

.21 (Math)

Math R2=.48**

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Why Does Academic Optimism Lead to Higher Student Achievement?

School Conditions that Promote Learning and Achievement

Bryk & Schneider (20Study of Trust in Chicago

1. Teachers’ “can do” Attitude and Internalized Responsibility

2. Outreach to Parents

3. Professional Community--Collaborative Work Practices and Commitment to Improve Teaching and Learning.

4. High Expectations and High Academic Standards

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School Conditions that Promote Achievement

Bryk & Schneider (2002) Hoy, Tarter, & Woolfolk Hoy (2006) Study of Trust Study of Academic Optimism

1. Teachers’ “can do” Attitude and Internalized Responsibility Collective Efficacy

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1. Teachers’ “can do” Attitude and Collective Efficacy

Internalized Responsibility

2. Outreach to Parents

Faculty Trust in Parents and Teachers

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2. Outreach to Parents 3. Professional Community Collaborative Work Practices and Commitment to Improve Teaching


© Hoy, 2013

How Does Academic Optimism Lead to Higher Student Achievement?

Dynamics of School Properties to Promote Student Achievement

Collective Efficacy

Culture of Academic Optimism

Trust inParents & Students

Academic Emphasis

RelationalTrust

GOAL THEORY• Challenging Goals• Effort• Persistence• Resilience

COOPERATION• Students• Teachers• Parents

StudentAchievement

Feedback

Feedback

Motivation• Responsibility• Effort• Persistence• Resilience

© Hoy, 2013

RESEARCH AGENDA FOR ACADEMIC OPTIMISM

A. School-Level Questions: Antecedent and Consequences

1. What are the characteristics that produce School Academic Optimism? [ANTECEDENTS]

• The Leadership of the Principal?• The Structure of the School?• The Professionalism of Teachers?• Professional Learning Community?• Open Organizational Climate?• A Climate of Humanism?• Mindfulness of the Principal?• Self-efficacy of the Principal?• Participatory Decision Making?

2. What are the consequences of a Culture of Academic Optimism? [CONSEQUENCES]

• Higher level of School Effectiveness?• Lower Drop-out Rate?• Lower level of Teacher Absenteeism?• Higher levels of Student Engagement?• High level of Student Self-Efficacy?• Higher level of Student Motivation?• Higher level of Organizational Citizenship?• Higher level of Teacher Morale?• Higher level of Teacher Motivation?

© Hoy, 2013

Individual Academic Optimism is a set of beliefs held by a teacher that he or she can:

1) Teach all students effectively---------------------------—Self-efficacy.2) Trust students to learn and parents to support them —Trust in students & parents.3) Set the bar high and emphasize academics----------- —Academic Emphasis.

Measures: TAOS-E for Elementary Teachers (Beard, Hoy, & Woolfolk Hoy, 2010) TAOS-S for Secondary Teachers (Fahy, Wu, & Hoy, 2010)

Academic Emphasis

Self-Efficacy Faculty Trust

Individual Teacher Academic Optimism

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RESEARCH AGENDA FOR ACADEMIC OPTIMISM

B. Teacher- Level Questions? [Antecedents and Consequences]

1. What personal characteristics facilitate individual teacher optimism? [ANTECEDENTS]• Open-mindedness of Teacher?• General disposition to be Optimistic.• Self-Efficacy of the Teacher?• Humanistic Pupil-Control Orientation?• Professional Orientation?• Bureaucratic Orientation?• Teacher Mindfulness?

2. What are the consequences of individual teacher optimism? [CONSEQUENCES]• Higher level of Student Engagement?• Higher level of Student Motivation?• Higher level of Student Achievement?• Higher level of Student Satisfaction?• Higher level of Student Optimism?• Higher level of Student Self-Efficacy?• Healthier relationships with the principal?• Higher level of Cooperation and Collaboration with parents?• Higher level of Professional Behavior?

3. What about Student Academic Optimism—Brand new concept and measure!!!! What gives students a sense of academic optimism.

Next areas of inquiry—How important is the principal’s academic optimism in schools? How about student academic optimism?

© Hoy, 2013

Other Dependent Variables

• Character of the School• Well-Being of the School• Positive Psy. Concepts from Seligman

Read: Seligman, M. E. P. (2011). Flourish. New York. Free Press.

© Hoy, 2013

Implications and Applications• Cultivate trust in parents and students: Open and transparent teacher-

student relations is the hallmark of authenticity and an apparent road to academic optimism and student achievement.

• Encourage collective self-efficacy: Efficacy is the engine of change, reform, and achievement.

• Foster school academic emphasis: Stress and celebrate academic successes—another path to enhanced achievement.

• View failure as a temporary setback and an opportunity for learning; failure is natural so don’t berate others; to fail in one situation is not to fail in all.

• Learn grit: practice resilience, self-discipline, and perseverance. • Seek zest in school life: Be enthusiastic about what your day has in store.• Embrace academic optimism: A positive climate leads to both increased

achievement and well-being for all.

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1. Beard, K. S., Hoy, W. K. and Woolfolk Hoy, A. (2010). Academic Optimism of New Teachers: Confirming a Construct. Teaching and Teacher Education, 26, 1136-1144.

2. Hoy, W. K. & Miskel, C. (2013). Educational Administration: Theory, Research, and Practice(9th edition). New York: McGraw Hill.

3. Smith, P. A. & Hoy, W. K. (2007). Academic optimism and student achievement in urban elementary schools. Journal of Educational Administration, 45, 556-568.

4.* Hoy, W. K., Tarter, C. J., & Woolfolk Hoy, A. (2006). Academic optimism of schools: A force for student achievement. American

Educational Research Journal, 43, 425-446.

5. McGuigan, L. & Hoy, W. K. (2006). Principal Leadership: Creating a Culture of Academic Optimism to Improve Achievement for All Students. Leadership and Policy in Schools, 5, 203-229.

6. Fahy, P. F., Wu, H. C., and Hoy, W. K. (2010), “Individual academic optimism of teachers: A new concept and its measure,”in Hoy, W. K. and DiPaola, M. (Eds.), Analyzing School Contexts: Influences of Principals and Teachers in the Service of Students, Information Age, Greenwich, CT, pp. 209-227.

7. Adams, C. A. and Forsyth, P. B. (2011). “Student academic optimism: Confirming a construct”, in DiPaola, M. & Forsyth, P. B. (Eds.). Leading Research in Educational Administration: A Festschrift for Wayne K. Hoy, Information Age, Greenwich, CT, pp. 73-88.

8. Forsyth, P. A., Adams, C. & Hoy, W. K. (2011). Collective Trust: Why Schools Cannot Improve Without It. New York: Columbia TC Press—Chapter 6.

9. Beard, K. S., Hoy, W. K., & Woolfolk Hoy (2010). The nature, meaning, and measure of flow. A test of rival hypotheses. Educational

Administration Quarterly, 46, 426-458.

10. *Hoy, W. K. (2012). School characteristics that make a difference for the achievement of all students: A 40-year academic odyssey. Journal of Educational Administration.

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