Citation
Using group counseling to improve the self-concepts, school attitudes and academic success of limited-English-proficient (LEP) Hispanic students in English-for-Speakers-of-Other-Languages/English-as-a-Second-Language (ESOL/ESL) programs

Material Information

Title:
Using group counseling to improve the self-concepts, school attitudes and academic success of limited-English-proficient (LEP) Hispanic students in English-for-Speakers-of-Other-Languages/English-as-a-Second-Language (ESOL/ESL) programs
Creator:
Villalba, Josè Arley Jr., 1973-
Publication Date:
Language:
English
Physical Description:
vii, 153 leaves : ill. ; 29 cm.

Subjects

Subjects / Keywords:
Academic advising ( jstor )
Control groups ( jstor )
Group psychotherapy ( jstor )
Hispanics ( jstor )
Learning ( jstor )
School counseling ( jstor )
School counselors ( jstor )
Schools ( jstor )
Self concept ( jstor )
Students ( jstor )
Counselor Education thesis, Ph. D ( lcsh )
Dissertations, Academic -- Counselor Education -- UF ( lcsh )
Genre:
bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )

Notes

Thesis:
Thesis (Ph. D.)--University of Florida, 2002.
Bibliography:
Includes bibliographical references (leaves 143-151).
Biographical:
Vita.
Statement of Responsibility:
by Josè Arley Villalba Jr.

Record Information

Source Institution:
University of Florida
Holding Location:
University of Florida
Rights Management:
Copyright [name of dissertation author]. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
Resource Identifier:
029237483 ( ALEPH )
51020699 ( OCLC )

Downloads

This item has the following downloads:


Full Text











USING GROUP COUNSELING TO IMPROVE THE SELF-CONCEPTS,
SCHOOL ATTITUDES AND ACADEMIC SUCCESS
OF LIMITED-ENGLISH-PROFICIENT (LEP) HISPANIC STUDENTS IN ENGLISH-
FOR-SPEAKERS-OF-OTHER-LANGAUGES/ENGLISH-AS-A-SECOND-
LANGUAGE (ESOL/ESL) PROGRAMS














By

JOSE ARLEY VILLALBA, JR.


A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT
OF THE REQUIREMENT FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY

UNIVERSITY OF FLORIDA


2002




USING GROUP COUNSELING TO IMPROVE THE SELF-CONCEPTS,
SCHOOL ATTITUDES AND ACADEMIC SUCCESS
OF LIMITED-ENGLISH-PROFICIENT (LEP) HISPANIC STUDENTS IN ENGLISH-
FOR-SPEAKERS-OF-OTHER-LANGAUGES/ENGLISH-AS-A-SECOND-
LANGUAGE (ESOL/ESL) PROGRAMS
By
JOS ARLEY VILLALBA, JR.
A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT
OF THE REQUIREMENT FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY
UNIVERSITY OF FLORIDA
2002


ACKNOWLEDGMENTS
I would like to sincerely thank Dr. Joe Wittmer for serving as chair of my
committee. His encouragement, understanding, guidance and genuine interest helped me
focus and complete the task at hand. Special thanks also must be extended to Dr. Larry
Loesch for his assistance with the research methodology and thorough editing. I also
extend thanks to Dr. Silvia Echevarria-Doan for her qualitative know-how, and to Dr.
Vivian Correa for giving me a start in educational research so long ago and supporting
me through the dissertation process.
I also extend my gratitude to the faculty and staff of the Department of
Counseling at Indiana State University, especially Dr. Michelle Boyer, Dr. Reece Chaney
and Dr. Peggy Hines. Also, a special thanks to Dr. Christy Coleman for her assistance
with data analysis and interpretation. Finally, recognition goes out to Sharon Hopkins,
Lauren Shoemaker and Christina Zuber for their help with the final stages of this
research.
In addition, I am grateful to the Lafayette (Indiana) School Corporation for
allowing me to conduct my research within their school system. I thank the four
participating schools, their principals, and assistant superintendent Linda Thompson.
Gratitude also is extended to the staff at Hidden Oak elementary school for
granting me the chance to be a school counselor, especially Dr. Doris Richardson for
being a great principal and believing in me, Dawn Flanegan for her guidance, and Donna
Melnick for her friendship. I also thank and honor my late mentor, Dr. Marta Konik.
11


Finally, I offer my heartfelt thanks to my support circle: (a) Rachel, for her love,
patience and faith in me; (b) my parents, Jose and Tania, who gave me life and were my
first (and best) teachers; (c) my brother, Jessed, for his unique view of the world; (d) my
grandmother, Mima, who taught me the meaning of unconditional positive regard; (e)
Susanne, who offered me her knowledge, home and warmth; (f) my entire family, for
their continued support; and (g) my best friends, Dennis and Grant, for making it fun
along the way.


TABLE OF CONTENTS
page
ACKNOWLEDGMENTS ii
ABSTRACT vi
CHAPTERS
1 INTRODUCTION 1
Scope of the Problem 3
Statement of the Problem 5
Theoretical Bases 7
Need for the Study 10
Purpose of the Study 11
Definition of Terms 12
Organization of the Remainder of the Dissertation 14
2 REVIEW OF THE LITERATURE 15
Educational Experiences of Hispanic American/Latino LEP Students 15
Experiences in English-as-a-Second-Language Classroom Settings 20
Language Acquisition 22
Counseling Hispanic American/Latino Children in Elementary Schools 27
Solution-Focused Counseling 30
Small Group Counseling Interventions 35
Summary 38
3 METHODOLOGY 40
Population 40
Sampling Procedure 42
Resultant Sample 43
Relevant Variables 44
Independent Variables 44
Dependent Variables 45
Instruments 46
Hypotheses 50
Research Design and Data Analyses 51
Masters-level School Counseling Student Training 53
IV


Description of Treatment 54
Summary 57
4 RESULTS 58
Data Analyses 59
Summary 74
5 DISCUSSION 75
Conclusions 76
Discussion 77
Limitations 81
Implications 83
Recommendations for Further Study 84
Summary 86
APPENDIX
A CONSENT LETTERS, ASSENT SCRIPTS, LETTERS TO PRINCIPALS 88
B RESEARCH PROCEDURES ANDGROUP FACILITATOR WORKSHOP 96
C INSTRUMENTS 106
D GROUP FACILITATOR MANUAL 114
E RESPONSES TO QUALITATIVE QUESTIONNAIRE 138
REFERENCES 143
BIOGRAPHICAL SKETCH 152
v


Abstract of Dissertation Presented to the Graduate School
of the University of Florida in Partial Fulfillment of the
Requirements for the Degree of Doctor of Philosophy
USING GROUP COUNSELING TO IMPROVE THE SELF-CONCEPTS,
SCHOOL ATTITUDES AND ACADEMIC SUCCESS
OF LIMITED-ENGLISH-PROFICIENT (LEP) HISPANIC STUDENTS IN ENGLISH-
FOR-SPEAKERS-OF-OTHER-LANGAUGES/ENGLISH-AS-A-SECOND-
LANGUAGE (ESOL/ESL) PROGRAMS
By
Jos Arley Villalba, Jr.
August 2002
Chairman: Dr. Joseph Wittmer
Major Department: Counselor Education
A small group counseling intervention for Hispanic American/Latino, limited-
English proficiency (LEP) students was assessed for its effects on three dependent
variables: self-concept (Piers-Harris Children Self-Concept Scale), attitudes toward
school (School Attitude Inventory), and school success (Three-Item Structured Interview
Questionnaire). The intervention was provided by two Masters-level, school counseling
students to 59 LEP students in Grades 3, 4, and 5 in four public schools. All students
were enrolled in English-for-Speakers-of-Other-Languages/English-as-a-Second-
Language (ESOL/ESL) programs.
A pre-post test, control group design was used to measure the effects of the
intervention. Children in ESOL/ESL programs were randomly assigned to the control or
experimental groups. Students in the experimental group participated in a 6-week,
vi


solution-focused counseling intervention related to experiences within school, being LEP,
self-concept, developing effective school success skills, and attitudes toward school.
Members of the control group did not participate in the treatment.
Analyses of covariance (ANCOVA) showed no significant differences after
treatment between children in the experimental and control groups with regard to self-
concept and attitudes toward school. No significant interactions were found for either
self-concept or attitudes toward school by gender, age, or years of participating in
ESOL/ESL programs. However, key-words-in-context (KWIC) analysis of the school
success questionnaire suggests that a small-group counseling intervention designed for
LEP children may increase school success and awareness. Overall, children in the
experimental group indicated increased awareness of their ESOL/ESL teachers positive
impact on their school success and reported greater degrees of satisfaction with their
school success.
Results suggest that a small group counseling intervention designed specifically
for LEP children may increase school success. However, the lack of significant
quantitative results indicates the need for longer treatment or perhaps having more-
experienced school counselors perform the intervention.
Overall, this study contributed information for school counselors interested in
working with LEP Hispanic American/Latino students to improve their social,
educational, and personal development.
Vll


CHAPTER 1
INTRODUCTION
Hispanic Americans/Latinos are found throughout the United States and comprise
approximately 12.5% of the U.S. population, numbering more than 31.3 million residents
(U. S. Census, 2001). Their numbers are growing at a rate three to five times faster than
the general population (Garcia & Marotta, 1997). As a group, Hispanic Americans and
Latinos are diverse because subgroups emigrated from different countries, each with their
own identities, rituals, customs and traditions. Despite differences within the Hispanic
American/Latino population, their common bonds are the Spanish language and a culture
uniquely different from the Anglo-American culture (Pedersen, 1990).
The 1990 Census shows that 77% of Hispanic Americans/Latinos speak Spanish
in their homes (US Bureau of the Census, 1995). However, this does not mean that most
Hispanic Americans/Latinos lack English fluency. Rather, it highlights the importance of
their native language in everyday communication. Hispanic American/Latino parents in
particular are, most likely, speaking English at their jobs. Their children likely are
communicating in English at school. However, Spanish remains the language of choice
around the dinner table.
In most states within the U.S., children who have a first language other than
English and who also qualify for special services in public schools are eligible for
instruction in English as a Second Language (ESL) or English for Speakers of Other
Languages (ESOL) programs. These terms are often used interchangeably and fall under
the general rubric of bilingual education (Crawford, 1999). Children who learn English as
1


2
a second language and who display daily problems in reading, writing and
communicating in English are considered limited-English proficient (LEP) (Gopaul-
McNicol & Thomas-Presswood, 1998). This is the most commonly used term to describe
bilingual students in U.S. public schools (Padilla, Fairchild & Valdez, 1990). The number
of children requiring bilingual education is increasing in the U.S. at an annual rate of
9.6% (Samway & McKeon, 1999). According to Samway and McKeon (1999), 75% of
children enrolled in ESOL/ESL classes are native Spanish speakers and two-thirds of
them are in Grades kindergarten through six.
Children who spend most of their out-of-school time speaking Spanish while
interacting in a primarily Anglo culture at school are forced to cope with very different,
and often confusing, scenarios. Whether children who are LEP are born in the U.S. or are
immigrants, chances are that their typical day begins by conversing with Spanish
speaking family members, then riding to school on a bus with English-speaking peers.
Next, the school bell rings while these children prepare to listen to teachers instructions
for the days work, in English. The day progresses with English being the primary
language heard on the playground, in the lunchroom, and classes. If the Hispanic
American/Latino children are in a school with a "pull-out" ESL class, they will spend
perhaps an hour of the day with instruction in Spanish, or simply more visual and less
oral instruction. The ride back home is on the same bus, with the same peers, and mostly
English. Then, again at home, it is back to Spanish with mom and dad, siblings, and
friends. It is this constant back-and-forth switching of culture and language that may lead
to a stressful, trying, and confusing experience in their young lives as compared to their
language-majority counterparts (Cummins, 1994).


3
Scope of the Problem
The growing numbers of Hispanic Americans/Latinos in the U.S. has lead to
recent publications showing some common needs and trends for this unique group.
According to Garcia and Marotta (1997), 29% of Hispanic Americans/Latinos are living
below the poverty line as compared to 14% of the general U.S. population. Their report
also indicated that Hispanic Americans/Latinos have high-school dropout rates above the
national average, and only 9% hold college compared to a nationwide average of 21%.
Unemployment is also more prevalent among Hispanic Americans/Latinos than among
the general population (August & Hakuta, 1997).
Unfortunately, many Hispanic/Latino immigrants experienced tragic and
traumatic situations in their lives from the decision to immigrate to the U.S. (with the
exception of the Puerto Rican population which are considered U.S. citizens). Zea, Diehl
and Porterfield (1997) specifically studied Central American youth and their exposure to
war. The shock of witnessing mass destruction, death and forced military action in
countries such as El Salvador, Panama, Nicaragua, and Guatemala; and the abrupt
displacement from family homes to detention centers in the U.S. brought about
immeasurable anguish and grief for these Hispanic/Latino immigrant youth (McFadden,
1999).
Political reasons not withstanding, economic hardships also force many
Hispanics/Latinos to leave their native homelands for the U.S. Hispanic/Latino
immigrants often view the U.S. (as did previous immigrants in the 1900s) as the land of
opportunity (Suarez-Orozco & Suarez-Orozco, 1995). For example, immigrants from
Central and South America and the Caribbean cross borders of both land and sea with the
hope of improving their economic, political, and family situations. However, as


evidenced in the poverty levels cited above, a large proportion of these families remain
less affluent and more under-educated than their Anglo-American peers.
Needs of Hispanic American/Latino Children in U.S. Schools
4
Nationwide, LEP enrollment of 104% between 1989 and 1999, compared to an
overall increase in school enrollment of 14% for the same time period (National
Clearinghouse for Bilingual Education, 2000). According to Cummins (1994),
linguistically and culturally diverse children are becoming the norm in classrooms across
the country.
As noted, the U.S. public school system contains a large proportion of Hispanic
American/Latino students in Grades kindergarten through twelve. It is estimated that the
number of Hispanic American/Latino children eligible for elementary school in 2000 was
6,207,000, as compared to 4,825,000 children in 1990 (Baruth & Manning, 1992). These
children are more likely to have very different, often confusing, and trying experiences
than does the average elementary school student. And yet, regardless of the degree to
which U.S. public elementary school educators become more culturally aware, such
awareness will not prevent the number of troubled Hispanic American/Latino children
from growing. Their special needs continue to exceed current resources.
The need for increased multicultural awareness and skills of elementary school
teachers, administrators, counselors, and majority students is apparent. People from
different cultures engage in problem solving, communication, acquisition of resources,
and relationships in ways often not understood or accepted by the general population.
The counseling profession has emphasized multicultural awareness for many years, and
counselor education programs have long espoused the benefits of multicultural
counseling. That is, such training has been emphasized, taught, and researched in


5
counselor education departments across the country. Counseling researchers (Lee, 1995;
Sue & Sue, 1999) have categorized the four major cultural groups in the U.S. as African
American, Asian American, Hispanic American/Latino and Native American in hopes of
portraying common themes regarding counseling non-White populations. Other
counseling researchers have written extensively about school counselors specifically and
the skills they need to serve minority children effectively (Gopaul-McNicol & Thomas-
Presswood, 1998; Lee, 1995; Vargas & Koss-Chioino, 1992).
Samway and McKeon (1999) described social factors, such as learner attitudes,
past experiences, and personality, that influence the learning of LEP students greatly. The
differences between the culture and language of LEP students in ESOL/ESL programs
and that of their language-majority peers thus affect their self-concepts and attitudes
toward school. Consequences often manifest themselves as delayed school adjustment,
low self-esteem, poor academics, limited expression of feelings, and perceptions of not
fitting in, among other problems for these children (Cummins, 1994; McFadden, 1999).
Professional school counselors are trained to be aware of cultural differences and
are potentially instrumental in assisting culturally diverse clients and their social-
emotional needs (Bernal & Knight, 1997). However, the counseling profession has not
adequately addressed what part school counselors play in ESOL/ESL programs, or the
potential effectiveness of their efforts. In regards to social-emotional needs, school
counselors and other educators also should be keenly aware of how the Hispanic
American/Latino culture and use of the Spanish language affect the social-emotional
aspects of the daily life of Hispanic American/Latino children in schools (Lee, 1995).


6
Statement of the Problem
Title VII of the Elementary and Secondary Education Act addressed bilingual
education, language enhancement, and language acquisition programs under the
Improving Americas Schools Act of 1965, which was re-authorized in 1994. Public
funding for bilingual education programs were first authorized by the Bilingual
Education Act of 1968 (Sinclair, 1983). In accordance with such legislation, educators
must ensure that LEP students receive fair and beneficial education in order to achieve
high academic standards. With respect to colleges and universities, the U.S. Congress
(1994) stated, [institutions of higher education can assist in preparing teachers,
administrators and other school personnel to understand and build upon the educational
strengths and needs of language-minority and culturally diverse student enrollment
(SEC. 7102. (a) (7)). Furthermore, it is written in P.L 103-382 that there is a need for
multicultural training for all pupil services personnel (SEC. 7142. (a)). School
counselors fall under the broad title of student services personnel and thus are responsible
for assisting bilingual students with their specific academic and personal/social
development.
Even though Title VII calls for academic enrichment for language-minority
students, growing numbers of these children (continue to) experience personal problems
and concerns not shared by children in the language-majority. More importantly, they
tend to come from low socio-economic families, are more insecure, have negative
attitudes toward school and academics, display lower self-esteem, feel less empowered
than do English proficient students, and feel less valued (Ada, 1986; Ashworth, 1977;
Cummins, 1994; Lee, 1995; Ogbu, 1995; Suarez-Orozco, 1995; Weis, 1988). These
stressors obviously have negative effects on the learning and socialization of LEP


7
students. Furthermore, regardless of the amount or type of extra assistance these students
receive in regular classrooms or ESOL/ESL programs, their social-emotional concerns
are secondary to the academic rigors emphasized in the classroom setting (Lee, 1995).
Thus, many of these children rarely are exposed to an adult in their school with whom
they can talk about their feelings of insecurity, language barriers, confusion with being
bicultural, evolving ethnic identity, or not fitting in with their language-majority peers
(Canino & Spurlock, 1994; McFadden, 1999).
School guidance counselors have the facilitative skills and multicultural
awareness to assist most students they encounter who are experiencing personal or
academic difficulties (Myrick, 1997). Therefore, LEP Hispanic American/Latino children
should benefit from counseling interventions specifically designed to address their social-
emotional and academic issues, including those experienced both inside and outside of
school settings.
There is ample evidence to indicate that LEP high school students benefit
positively from counseling provided by high school guidance counselors (Brilliant, 1995;
Faltis & Hudelson, 1998; Gilbert, 1989; Keyes, 1989; Martinez, 1986; Martinez &
Dukes, 1997; Suarez-Orozco, 1995). However, little is known about the effectiveness of
LEP elementary school-aged children and the services provided to them by school
counselors (Ashworth, 1977; Gopaul-McNicol & Thomas-Presswood, 1998). Therefore,
this was the main focus of this study and is discussed in detail in Chapter 2.
Theoretical Bases
According to Lee (1995), Hispanic/Latino culture, history and the use of the
Spanish language significantly impacts the psycho-social development of Hispanic
American/Latino students. These childrens background, coupled with socioeconomic


8
factors and experiences with other members of the school environment, have a decided
effect on their learning and personality development.
The development of personality in children has traditionally been understood to
be a biological and sociological occurrence. Theorists such as Erikson and Fromm
realized that many social experiences and conditions served as integrative influences in
the development of a childs personality alongside physical growth and maturation
(Yamamoto, Silva, Ferrari, & Nukariaya, 1997).
Erikson (1963, 1968) viewed personality development from both personal and
social perspectives. Apart from the impact that biological maturation has on a childs
personality, Erikson chose to emphasize the importance of the social environment.
According to Erikson, parents, family, friends, teachers, mass media, socioeconomic
background, culture and language all play a significant part in the evolution of a childs
personality.
Erikson (1963, 1968) based his psycho-social personality theory on eight stages,
from birth to late adulthood, whereby a person moves from a current stage to the next by
resolving a crisis between opposing psychological constructs. Although Eriksons theory
as a whole has been widely documented and applied to counseling, stages three and four
are of particular interest for the purposes of this study (Gibson, Mitchell, & Basilie,
1993). Stage three of Eriksons psycho-social theory occurs between age 3 and 6. In this
stage children are encouraged to initiate new behaviors, ideas and activities, as physical
and language development occurs. Children who are not permitted to become responsible
and creative, for example, suffer guilt from trying to explore and become more individual
in their thinking and behavior. Stage four is characterized by the struggle to be
industrious or inferior, and, in general, occurs between six and 12 years of age. Children


9
in this stage experience alternatives between doing well in school, making friends,
completing their chores, or developing a negative self-image from not performing well in,
for example, school or sports. This stage is extremely important to the development of
children because it encompasses the elementary school years. Stage four is also the first
stage where the school environment becomes as important, if not more important, than
the home environment.
Erikson (1963, 1968) emphasized the impact of culture in the development of his
theory on psycho-social development. A childs ethnic identity develops alongside their
personality and self-concept. By age four children gain awareness of their culture and
ethnicity, and by age eight they are oriented and can identify as belonging to a certain
ethnic group (Canino & Spurlock, 1994). That is, the psycho-social development of a
Hispanic American/Latino child is directly influenced by his or her ethnic identity (Ogbu,
1995).
This research study was grounded on the construct that the significance of culture,
language, and ethnic identity are paramount, as a childs personality and self-concept
develops. For example, Mejia (1983) noted that Mexican American children in California
elementary schools evaluated themselves as being low achievers, having low self-worth
and low self-esteem because they had trouble fitting into the school environment. That
is, these Mexican American children viewed themselves as significantly different from
their peers while simultaneously going through stages three and four of Eriksons psycho
social development. In essence, according to Mejia, the Mexican American childrens
psycho-social development took an unpleasant turn.
According to many researchers, a young childs continued low self-concept
severely impairs their social development and academic achievement (Crawford, 1999;


10
Cummins, 1994; Gibson, Mitchell, & Basilie, 1993). Furthermore, Metcalfe (1981)
reported a positive correlation of self-concepts in children and attitudes toward school.
From the perspective reported earlier that LEP children in ESOL/ESL classes
experience low self-concept and poor attitude toward school and learning, it is apparent
that additional interventions are needed to assist Hispanic American/Latino children in
elementary schools in personal, social and academic development. The reported literature
indicates that an LEP students psycho-social development, most likely, will be stunted
by the negative relationship between their culture and language and that of their school
environment. Thus, this researcher postulates that a solution-based counseling
intervention, based on cognitive-behavioral counseling theory, should be able to be used
effectively to assist these children in acquiring more positive self-concepts and more
positive attitudes toward school.
Need for the Study
Can an elementary school counselor effectively help Hispanic American/Latino
(in an ESOL/ESL program) cope with social-emotional problems that are directly
attributed to their limited English proficiency? Bilingual education and counseling
professionals support counseling interventions as being beneficial for children in
ESOL/ESL programs (Ashworth, 1977; Brilliant, 1995; Faltis & Hudelson, 1998; Lee,
1995). However, because of the growing number of Hispanic-ESL students (particularly
in elementary schools) potential benefits of counseling interventions that include topics
of concern to these children must be further explored.
The fact that Spanish-speaking students in ESOL/ESL classes share similar
negative experiences in school because of their specific language suggests that it should
be possible to develop effective small-group counseling interventions to assist these


11
children with their personal-social development and academic prosperity. The benefits of
such intervention should include improved self-concepts, more positive attitudes toward
school and academic success for these children. More specifically, this research was
designed to evaluate a specific small-group counseling intervention and its effects on
LEP Hispanic American/Latino children in third, fourth, and, fifth grades who have
received at least one year of ESOL/ESL education.
Purpose of the Study
A variety of problems face children of all backgrounds and ethnicity in American
schools (Wittmer, 2000). Divorce, peer pressure, loss of loved ones, drug abuse and
violence are just a few of these tribulations. However, the compounding effect that a
weak and incomplete cultural identity has on the ability for children to cope with daily
stressors is an additional burden for LEP students (Cummins, 1994; Martinez & Dukes,
1997; Ogbu, 1995). Therefore, the purpose of this study was to examine the effectiveness
of a small-group counseling intervention, developed specifically for use with Hispanic
American/Latino, elementary school-aged children in ESOL/ESL programs, toward a
more positive self-concept, attitude toward school and academic success. The small
group intervention was based on solution-focused counseling techniques. It addressed the
concerns, issues, and problems commonly encountered by these children in a school
setting and the resulting effects on their academic accomplishments, personal/social
development and attitudes toward school.
The following research questions were addressed using an experimental research
design with pre- and post-test measures to evaluate outcomes. In addition, limited
qualitative research methods used a structured questionnaire.


12
1. Will there be a change in the self-concept of Hispanic American/Latino, elementary
school-aged children in ESOL/ESL programs as a result of completing the small group
intervention?
2. Does self-concept and attitude toward school of LEP Hispanic American/Latino,
elementary school-aged children vary as a function of gender, age-level and level for time
enrolled in an ESOL/ESL program?
3. Will there be a change in the attitudes toward school of Hispanic American/Latino,
elementary school aged children in ESOL/ESL programs as a result of completing the
small group interventions?
4. Will there be a change in the school success of Hispanic American/Latino,
elementary school aged children in ESOL/ESL programs as a result of completing the
small group interventions?
Definition of Terms
Attitudes are a tendency toward a certain action, whereby feelings are held about
specific people, places, or objects (Baker, 1992).
Bilingual Education is a set of differing programs and pedagogical ideology
established to educate and serve non-native English speakers. Some of these programs
make use of the childs native language in the classroom, while others do not (Faltis &
Hudelson, 1998).
Culture refers to a population of people sharing commonalties (including
ethnographic variables such as religion, ethnicity, language, nationality; and demographic
variables of gender, age, place of residence) and status variables (such as economic,
social and educational background) (Pedersen, 1990).
English for Speakers of Other Languages (ESOLV English as a Second Language
(ESL) are used interchangeably to indicate educational services offered to non-native
English speakers. Some of these services are provided in regular classrooms, while others
involve participation in separate learning environments composed solely of non-native
English speakers for part of the school day.


13
Ethnic Identity is a construct or set of self-ideas about personal ethnic group
membership, and includes knowledge of the personal ethnic group. It is an important
element of self-concept, one often affected by minority status (Bernal & Knight, 1997).
Hispanic American/Latino is the term used to designate those individuals who
live in the U.S. but whose cultural origins are in Cuba, Mexico, Puerto Rico, and other
Latin American countries in the Caribbean basin and Central and South America (Sue &
Sue, 1999; Pedersen, 1985). Separate identity differences are associated with both terms.
However, no distinction needs to be made for the purposes of this study.
Limited English Proficient (LEP) refers to students living in homes where a
language other than English is used for communication primarily and who have difficulty
in understanding, speaking, writing, or reading the English Language (Gopaul-McNicol
& Thomas-Presswood, 1998).
Self-concept is a relatively broad concept that normally refers to self-esteem and
how one feels about ones self (Rotheram-Borus, 1993). Regarding children, the self-
concept is a collection of identities (such as ethnic identity, gender identity, familial
identity, and school identity) that mediates the relationship between socialization and
behavior (Knight, Bernal, Garza, & Cota, 1993).
Small-group counseling is a school-counselor-led educational experience in which
pupils have the opportunity to collaborate as they engage in interchanges of feelings,
behaviors, attitudes, and ideas, especially as related to progress in school and personal
development (Myrick, 1997).
Solution-focused counseling is, according to Murphy (1997) a counseling method
used to encourage students, parents and teachers to discover and implement solutions
based on their experiences and strengths. It falls under the category of brief therapy and


has been used by school counselors to promote changes in children in a short period of
time. Solution-focused therapy has also been proven to work effectively with minority
groups.
Title VII of the Elementary and Secondary Education Act: The Bilingual
Education Act of 1968 was the first U.S. federal law to authorize resources to support
educational programs, train teachers and teacher aides, develop and disseminate
instructional materials, and encourage parental involvement. Further re-authorizations of
Title VII have ensured the requirement of schools to provide some level of bilingual
education in order to receive federal funding (Crawford, 1999).
Organization of the Remainder of the Dissertation
A review of the related literature is provided in Chapter 2. Chapter 3 provides a
description of the methodology for this study. Results are reported in Chapter 4 and
Chapter 5 contains a discussion of the results of the study.


CHAPTER 2
REVIEW OF THE LITERATURE
The purpose of this study was to examine the effects of a small group, solution-
focused counseling intervention conducted with limited-English proficient, elementary
school-aged Hispanic American/Latino children in the third, fourth, and, fifth grade who
have received ESOL/ESL instruction for at least one year. Specifically, the researcher
investigated the changes in three dependent variables as a result of participating in the
school counselor-led group counseling experience: 1) students self-concept, 2) students
attitude toward school, and 3) students academic success.
Chapter 2 is a review of related literature and centers on the educational
experiences of Hispanic American/Latino LEP children in school settings, language-
acquisition theory, counseling Hispanic American/Latino children, solution-focused
counseling (SFC), and small group counseling as an intervention. How these factors
influence the three previously mentioned dependent variables is the focus of this study.
Educational Experiences of Hispanic American/Latino LEP Students
When considering the classroom and overall school environment of limited-
English proficient students, it is important to consider the type of bilingual education
program in which the child is enrolled. Often the ideology and philosophy of a particular
bilingual education program greatly influences both the social-emotional and academic
development of a student. That is, the type of program has an effect on the childs entire
personal/social and academic development (Faltis & Hudelson, 1998).
15


16
Types of Bilingual Education Programs in Elementary School
Bilingual education in elementary schools can be organized into two major forms:
real bilingual programs where two languages are used in classroom settings, and other
programs that primarily use English to deliver classroom instruction (Homberger, 1991).
A bilingual education program in which LEP children and their English-speaking
peers both learn in English and Spanish is considered to be the most enriching and
beneficial method that can be used to teach LEP Hispanic American/Latino students
(Samway & McKeon, 1999; Fatis & Hudelson, 1998). Programs such as these have
proved academically successful for children in Quebec, Canada, where French and
English are used equally in classroom instruction (Cummins, 1994). That is, teachers in
truly bilingual programs conduct lessons in both languages and the use of both languages
is reinforced and encouraged throughout the entire school. In these types of programs,
LEP children have the opportunity to learn English while strengthening language skills in
their first language. This approach also permits a strong foundation in the native language
to develop. In addition, real bilingual programs provide native-English proficient peers
with the opportunity to learn an appreciation for a different language and provide the
advantages associated with being proficient in two languages.
According to Hornberger (1991), bilingual education, where two languages are
used simultaneously, can be separated into three formats. The early-exit/transitional
format involves heavy immersion in a childs native language for the first three years of
school. During their first three years approximately 90% of academic instruction occurs
in the childs native language. However, by the time a child reaches third grade the native
language is used less than 25% of the time in the classroom setting. The primary goal of


17
early exit programs is to acknowledge the importance of using a childs native language
first, while increasing English achievement as quickly as possible.
In the second format for delivering real bilingual education, known as late-
exit/maintenance, the use of both languages is encouraged throughout the elementary
grades. In kindergarten and first grade the native language is used more than 90% of the
time within the classroom setting. After the first two years, use of the native language
decreases to about 50% usage for core academic subjects, such as math, reading and
writing, and continues at this rate until the end of sixth grade (Hornberger, 1991).
Teachers in these types of bilingual programs encourage students to continue using and
developing their first language, even after students attain English mastery. The goal of
these programs is to assist LEP children with English mastery while increasing respect
for native languages by all students and adults at the school.
Two Way enrichment is the third type of bilingual program emphasized by
Hornberger (1991). In this format, LEP students share classrooms with native-English
speakers. This differs from early- and late-exit programs where LEP students are taught
separately from mainstream students, specifically in kindergarten through third grade
(Faltis & Hudelson, 1998). In the two-way enrichment program, classroom instruction is
conducted in both languages for equal amounts of time. The emphasis in these types of
programs is to assist LEP and native-English proficient children alike to attain full
proficiency in two languages by the time they exit the sixth grade. These programs tend
to be used in areas where one dominant, non-English language exists, such as French in
Montreal, Canada, or Spanish in Miami, Florida (Faltis & Hudelson, 1998). Such
programs are considered the epitome of bilingual education because they foster the


18
positive attributes of a child being proficient in more than one language (Cummins, 1994;
Crawford, 1999).
Research on each of the three types of real bilingual education programs
described above indicates academic success, school-wide appreciation of diversity, and
positive social-emotional growth for most LEP children (Crawford, 1999; Hakuta &
Garcia, 1989). Regarding Hispanic-American/Latino children, the research (evidence)
indicates that Spanish language maintenance improves academic success and levels of
self-esteem among these children (Casanova, 1991). Regardless of the research and
practice used to support truly bilingual programs, the time, teachers and resources needed
to implement these programs nationwide are scarce (Casanova, 1991; Crawford, 1999).
For these reasons, non-bilingual settings, such as English for Speakers of Other
Languages (ESOL) or English as a Second Language (ESL), are currently the most
common methods of academic instruction used to teach LEP students (Faltis & Hudelson,
1998).
English-as-a-second-language/ESOL instruction falls in the area of transitional
bilingual education in that the primary purpose is to assist LEP students in academically
achieving in English as soon as possible. The services offered in ESOL/ESL classrooms
range from pulling out children who qualify for services and providing specialized
services for a portion of the school day, to placing these children in a classroom with a
certified ESOL/ESL teacher (or one who has taken a few courses on the subject matter)
while receiving little or no ESOL/ESL instruction, or providing an ESOL/ESL certified
paraprofessional aide for the purpose of temporary assistance on an as-needed basis
(Faltis & Hudelson, 1998).


19
As reported by several researchers (Crawford, 1999; Faltis & Hudelson, 1998;
Malakoff & Hakuta, 1990; Met, 1994), the reauthorization of the Bilingual Education Act
(Title VII) in 1984 allowed individual school districts to define and implement their own
form of bilingual education under the term special alternative instruction programs. It
is under this provision that transitional ESOL/ESL programs became the most popular
and most used delivery systems for providing bilingual education.
Because of the reauthorization of Title VII, the act of placing an LEP child in a
classroom where all the students are native English speakers and with an ESOL/ESL
certified teacher (who does not actually provide specific ESOL/ESL instruction), is
considered an adequate provision. This approach is considered to be a form of bilingual
education even though no direct ESOL/ESL instruction occurs. This is a common
experience of Hispanic American/Latino, LEP children who attend schools where lower
numbers of LEP students are enrolled, or in school corporations (districts) with a small
Hispanic American/Latino population. According to the U.S. General Accounting Office
(1997), LEP children in elementary schools, where LEP enrollment is minimal, have a
much lower chance of receiving appropriate ESOL/ESL instruction. Consequently, 15%
of elementary school-aged children eligible for ESOL/ESL instruction experience no
such accommodations at school (U.S. General Accounting Office, 1997).
The most frequently used form of ESOL/ESL education that occurs today is
known as a pull out program (Crawford, 1999; Met, 1994). According to Faltis and
Hudelson (1998), students in pull out ESOL/ESL programs, also known as resource
ESOL/ESL programs, receive limited instruction in bilingual education. This separate
instruction lasts from 15 minutes to an hour and one-half a day, depending on the school
and the number of LEP students enrolled and may be provided by a teacher or


20
paraprofessional teachers aide. Since most ESOL/ESL programs deal with a variety of
languages, the teachers in these settings do not necessarily use the native language of
their students. Rather, techniques that have been proven to work with LEP students, such
as using more visual cues, math-manipulatives, hands-on activities, and integrating native
cultures are the main differences between the mainstream classroom and the ESOL/ESL
instruction provided to the majority of LEP students (Met, 1994). A students instruction
in an ESOL/ESL program tends to last no more than three years. Following the third
year, students usually are dismissed from ESOL-/ESL-program eligibility and are
mainstreamed full-time into the regular education classroom settings (Crawford, 1999).
The debate between which type of instruction LEP children are entitled to, or
should receive, is a political, ideological, and pedagogical one. The push for (more or
less) first-language instruction of LEP students tends to fall along politically liberal lines
(Crawford, 1999). However, educators, parents and politicians alike agree that some type
of instruction by appropriately certified teachers is needed where LEP children are
concerned.
Experiences in English-as-a-Second-Language Classroom Settings
Since transitional, non-bilingual, ESOL/ESL settings are the most common form
of bilingual education, the experiences documented and research cited in this section
pertain to these programs and not to late exit/enrichment programs. This coincides with
the research being conducted in this particular study, which focused on LEP children
enrolled in non-bilingual, ESOL/ESL programs.
Most Hispanic American/Latino children enrolled in pull out ESOL/ESL
programs are taught by teachers or paraprofessional aides who are not fluent in the
native, Spanish language spoken by their LEP students (Cazden, 1992). Since most


21
school districts have adopted non-bilingual ESOL/ESL programs, classroom instruction
in these settings tends to focus on the English language. Teachers teach academic content
(math, reading, language arts, science, and social studies) in English and often depend on
bilingual instructional (paraprofessional) aides to translate the material into students first
language (Faltis & Hudelson, 1998).
According to Tabors and Snow (1994), instruction in the ESOL/ESL setting
involves a structured set routine in which activities occur in predictable ways at specified
time intervals. Limited-English proficient children enrolled in ESOL/ESL are given extra
time to learn and practice oral and written communication in English. They may be
paired up with an English-speaking peer, and/or encouraged to use English for
interpersonal communication.
Young children in ESOL/ESL classrooms are presented with learning a new
language as well as facing various social-emotional challenges (Tabors & Snow, 1994).
Although the addition of instructional personnel fluent in Spanish may seem to be a
positive intervention, most children with experience in these settings continue to recount
personal problems related to the school environment. For example, Hispanic
American/Latino children in these settings reported isolation from classroom peers,
feeling inferior when they are not permitted to use their native language in the classroom,
ridicule by other students because they are not fluent in English (do not know English
well enough), and feeling as if they do not fit into the overall school environment
(Coelho, 1994).
As stated in Chapter 1, the socio-economic background, reasons for immigrating
to the U.S., amount of years spent learning in the first language and years spent in the an
ESOL/ESL program all have an affect on Hispanic American/Latino LEP children in the


22
schools. Given the classroom scenario in which most of these children find themselves
(limited resources, little use of the native language, frustration with learning English),
school authorities may not be directing enough attention to these problems (areas).
Figueroa (1993) best summed up this issue when he wrote that LEP students experience
frustration and nonsuccess, not because of problems in the home and family, but because
they feel neglected and academically inferior at school.
It is unlikely that bilingual education programs in schools will soon begin to
emphasize true bilingual settings versus pull out programs (or no ESOL/ESL
instruction), such as those in existence prior to the reauthorization of Title VII in 1984
(Crawford, 1999). For this reason, it becomes paramount that methods be developed that
will empower Hispanic American/Latino, as well as other LEP students in the school
setting to compensate for negative experiences they encounter in the classroom and
throughout the school (Cummins, 1986).
Using appropriate counseling interventions, including small group methods, is
one way to address the lack of empowerment experienced by Hispanic American/Latino,
LEP children in our schools (Gopaul-McNicol & Thomas-Presswood, 1998). Although
small group counseling interventions will not alleviate all of the negative experiences
encountered by LEP students in the ESOL/ESL programs and the overall school
environment, providing small group interventions may assist these students in
constructively coping with their personal/social and academic problems.
Language Acquisition
Children and adults alike use language in order to cope with personal issues and
engage in social participation (Piper, 1993). Theorists such as Cummins (1994) and
Krashen (1982) have developed hypotheses and premises for the development of


23
language, both native and second languages, in children and adults. There are several
important byproducts of this research. These include considerable information on the
self-concept, academic ability and school success, and attitudes toward learning of
elementary level school-aged children (Cummins, 1986).
Regardless of whether a child is learning to communicate in her/his native
language or a second, Krashen (1982) hypothesized that initial language acquisition
occurs through practice in real life situations. It is in these first and informal situations
that children learn and incorporate the basic rules and structure of language. Grammatical
rules, vocabulary, and reading comprehension normally occur in the school setting,
presented through more formal teaching methods (August & Hakuta, 1997; Crawford,
1999).
This study was geared toward elementary school-aged LEP children in
ESOL/ESL programs who speak Spanish as a first language. Thus, the review of the
literature that follows focuses on how these children acquire English as their second
language. Also related to this study is how second-language acquisition affects a childs
academic performance and personal/social development.
According to Krashen (1982), acquisition of a second language occurs in five
stages. In the first, Preproduction, comprehension skills are developed while expressive
skills remain minimal. It is in this stage that the individual focuses on listening in order to
gain meanings of words and their context. The Early Production (second) stage is where
verbalization of the new language begins and short, two or three word sentences are
being formed while comprehension skills continue to be reinforced. Longer, more
complex sentence structure is the hallmark of stage three, Speech Emergence. Although
grammatical errors abound, the LEP learner gains more confidence in use of the second


24
language during this stage of development. Narratives and conversation engagement
characterize the fourth stage, Intermediate fluency. However, during this stage processing
in the new language remains slower when compared to a childs native tongue. This is
due, in part, to the need to translate information from one language to another (Dornic,
1979). The final stage of Krashens model is known as Advanced Fluency. Students of
the new language develop better, and relatively fluent, expressive and receptive abilities
during this stage. The learners ability to write in the second language (use of proper
grammar, spelling and punctuation) also becomes stronger during this stage. However,
memorization, retrieval of information and information processing for the child rarely
ever becomes as fast and accurate as in their first language (Lopez & Gopaul-McNicol,
1997).
An individuals success at becoming fluent in writing and speaking in a second
language depends on that persons level of development in her/his first language
(Crawford, 1999, & Cummins, 1986, 1994). The number of years a person has spent
communicating in their first language (LI) also is related to the level of fluency attained
in the second language (L2). Collier (1987) reported that young, LEP children in Grades
kindergarten through third grade required more time to reach proficiency in English.
Collier based this on the fact that these younger children have little or no schooling and
have less experience in their first language than do older children.
Cummins (1986, 1994) described the effects LI has on L2 by distinguishing
between two types of language proficiency: Basic Interpersonal Communicative Skills
(BICS) and Cognitive Academic Language Proficiency (CALP). A child demonstrates a
grasp of the social and conversational skills of their native tongue, LI, by interacting with
parents, siblings and friends, thereby having achieved BICS in their first language.


25
However, in order to achieve basic conceptual and academic skills in LI and L2, they
need to reach the CALP level. This cognitive and more analytical language usage begins
around age seven and is solidified by approximately age ten (when the child is still
employing LI to learn mathematical, grammatical and higher-level thinking) (Cummins,
1991). A child who learns academic skills in their first language by age seven to nine
stands a much better chance of attaining CALP in a second language compared to a child
who only received native language instruction up to the ages three to five. For this
reason, several researchers advocate for teaching LEP students in their native languages
alongside the new language, rather than completely eliminating childrens first language
from school-wide instruction (Cummins, 1994; Krashen, 1982). The latter situation
would have the effect of restricting L2 fluency to the BICS level (Collier 1987).
Cummins (1994) acknowledged that a child who develops a strong conceptual base in LI
would most likely develop strong abilities in L2. Furthermore, Cummins (1994) and
Collier (1987) stated that it would (usually) take an additional five to seven years after
CALP in LI has been reached for LEP students to write and speak English as well as
native speakers.
In essence, the more time a child has to learn and practice their native language,
the better she or he will do at achieving proficiency in the second language. For this
reason, middle school and high school-aged children who are learning English as a
second language do so more quickly than younger children (August and Hakuta, 1997).
Furthermore, this explanation also seems to account for the social/emotional and
academic problems experienced by young learners of English as a second language.
The acquisition of a new language is an academic and social endeavor. Limited-
English proficient children acquire English in the schools, while at the same time they are


26
receiving messages about their native culture and their recently acquired role in society
(McKeon, 1994). Often times, these messages, although covert, negatively evaluate a
childs first language or country of origin as being second class or inferior. Researchers
have concluded that such messages can affect the outcome of a childs education and
attitudes toward school (Ogbu & Matute-Bianchi, 1986). Children may also experience
dissonance between the language spoken in the home and the language used at their
school, forcing them to be bilingual and bicultural. This dissonance increases the stress
these young children experience. This stress is the result of a childs difficulty in
balancing a new language with an old language, and a new culture and society with a
native one (Piper, 1993). Hence, language acquisition and increased proficiency directly
affects the social/emotional development and academic success of young children.
Marcos (1976) found a significant correlation between LEP and native language
fluency and the distortion of emotions. Children in ESOL/ESL programs who were
unable to express themselves clearly because of inadequate development of language,
such as being at a BICS level in L2 while trying to attain the CALP level, had a more
difficult time with comprehension, as well as expressing and discussing their true
emotions. This could lead to unresolved, negative effects, such as in problems with the
development of the self-concept (McFadden, 1999). Furthermore, as the self-concept of
an LEP student continues to be affected by restricted exposure to the native language
while adjusting to a new educational system, the possibility of conduct and anxiety
disorders increases (Malgady, Rogler, & Costantino, 1990). Research indicates that such
disorders usually lead to lower academic performance, one of the dependent variables in
this study, for LEP students (Ogbu, 1995).


27
Counseling Hispanic American/Latino Children in Elementary Schools
Elementary school counselors are responsible for ensuring that all children in the
school have the opportunity to experience a sense of academic accomplishment and
social-emotional satisfaction (Gibson, Mitchell, & Basilie, 1993). The American School
Counseling Associations position corresponding to ethic and racial minority children is
that school counselors are also responsible for ensuring that minority children receive
access to school counseling programs and interventions to facilitate their personal/social
and academic development (American School Counseling Association [ASCA], 1999).
Through this strongly worded position statement on cross/multicultural counseling,
ASCA advocates for a professional school counselor who is aware of the impact a childs
ethnicity has on her or his personal, social, and academic development.
Over a generation ago, Ashworth (1977) and Wittmer (1971) highlighted the need
for school counselors awareness of students cultural diversity. Wittmer was clear on the
importance of students native cultures in school counseling when he wrote, school
counselors hold the key to the process of reducing, if not completely eliminating, the
social and emotional barriers which prevent many minority group members from
becoming secure American citizens (p. 49). The importance of this concept has
continued to expand in the counseling profession as demonstrated by the growing number
of books and chapters on the benefits of multicultural counseling, as well as the different
counseling needs of diverse populations (Pedersen, 1997; Sue & Sue, 1999; Lee, 1995;
Pedersen & Carey, 1993; Gerler, Ciechalski, & Parker, 1990; Schmidt, 1999; Thompson
& Rudolph, 2000; Gibson, Mitchell, & Basilie, 1993).
The first major work to consolidate the ideas, literature, and research on
counseling Hispanic children was written by Baruth and Manning in 1992. A literature


28
review of the past 40 years of school counseling literature conducted by this writer
yielded Baruth and Mannings journal article as the only comprehensive, major journal
publication on the topic.
In their article, Baruth and Manning (1992) review demographic information,
outline major problems affecting Hispanic American/Latino youth, and describe ideas for
counseling Hispanic American/Latino youth. Statistics reveal the problem areas of high
school dropout rates, poverty, single-parent families, and teenage pregnancy rates among
Hispanic Americans/Latinos. More closely related to the research being conducted by this
researcher, Baruth and Manning identify problems related to negative cultural identity,
poor self-concept, and conflicts between the languages spoken at home and at school.
Baruth and Manning (1992) emphasize that effective counseling with Hispanic
American/Latino children requires that the professional school counselor understand and
recognize how culture affects children. They also note that special attention must be paid
to coping with language problems and developing positive self-concepts and cultural
identities (p.l 17). in both individual and group counseling interventions used with
Hispanic American/Latino children.
Baruth and Manning (1992) outlined a three-step process to becoming a more
effective school counselor with Hispanic-American/Latino children. First, the counselor
must have a cognitive knowledge and understanding of the Hispanic American/Latino
culture and the problems that these children face, while maintaining an appreciation for
cultural diversity. Next, the professional school counselor needs the skills, knowledge,
and attitudes to intercede in situations of cultural diversity. Finally, an effective school
counselor must follow ethical guidelines while acquiring real-world experiences with
Hispanic American/Latino children. Baruth and Manning expand on this three-step


29
process by highlighting the importance of understanding the problems Spanish-speaking
children experience in the schools.
Lee (1995), writing on the status of Hispanic American/Latino children and youth
in the schools, focuses on the self-concept of these children. Expanding on the ideas
proposed by Baruth and Manning (1992), Lee proposes that the effective school
counselor must focus on the role socio-economic and cultural factors play in the
Hispanic-American/Latino childs development of self-concept.
Arredondo (1996) believes counselors working with Hispanic Americans/Latino
must be aware of the many social/emotional factors influencing their self-concept and
ethnic identity. In addition, Arredondo also writes that religious affdiation, gender roles,
feelings of oppression experienced in the country of origin, and the collectivistic nature
of the Hispanic American/Latino family all play key roles in how a child acts and reacts
in the school setting. Arredondo further recommends that counselors understand the
Hispanic childs belief system regarding influence in the school environment.
Aside from direct work with Hispanic American/Latino children, school
counselors should also carry out other tasks that indirectly affect the adjustment and well
being of these children. Schmidt (1999) refers to school counselors as vanguards of [the
multicultural] movement (p. 315) because of their commitment to assist teachers and
colleagues to gain a better understanding of cultural differences. School counselors are
capable of assisting Hispanic American/Latino children on an individual, one-on-one
level, while simultaneously helping to establish respect for the various Hispanic
American/Latino cultures found within their respective schools.


30
Solution-Focused Counseling
Solution-focused counseling (SFC) is one of the more popular forms of
counseling methods available to school counselors, and other mental healthcare
providers, in the 21st century. Although it has been in existence since the 1970s, this
counseling approach has come into prominence in the past decade. This is due in part to
the time constraints placed on the counseling professionals by managed care and school
administrators (Thompson & Rudolph, 2000). That is, counselors have experienced
pressures to limit their interventions and numbers of sessions, thereby contributing to
more research and an increase in the use of SFC among counseling professionals.
Steve de Shazer (with Insoo Kim Berg) is credited with developing SFC and
bringing it to the forefront of the counseling profession (Corey, 2001; Murphy, 1997;
Thompson & Rudolph, 2000). Grounded in brief therapy and corresponding to the
general category of marriage and family counseling, SFC has grown into its own as a
counseling method focusing on finding solutions rather than exploring the problem (de
Shazer, 1985). De Shazer believes that too much time and energy is spent by counselors
trying to discover the cause of a clients problem by using vague and subjective
terminology such as feelings, thoughts and motivations instead of trying to establish
concrete, appropriate solutions. He believes the key to helping clients feel better is to
assist them in focusing on what they are doing that is positive, instead of why they think a
problem exists. Furthermore, solution-focused therapy is grounded in the present and
future, as opposed to the past (Murphy, 1997). As with Carl Rogers person-centered
counseling, SFC acknowledges the basic goodness in people, their capacity for rational
thought, and the ability to solve their own problems (Thompson & Rudolph, 2000).


31
Theoretically, SFC is based on the belief that a strong counselor-client alliance is
the best way to find solutions to the clients problem. The strength of this relationship
depends on the counselors: 1) acceptance of the client for who she or he is, 2)
acknowledgment that the client needs to develop solutions, and 3) accommodating their
goals and beliefs (Murphy, 1997). To achieve the Three-A rule, as Murphy has titled it,
warmth, empathy and caring are necessary to enable the relationship to flourish. After a
strong rapport has been established, the counselor and client work together to identify the
clients strengths, implement concise and proactive interventions, such as role-plays and
homework assignments, and establish clear and achievable goals (Bruce, 1995). Once
rapport has been established in the counselor-client relationship, the client then is
encouraged to initiate change while social/emotional progress is supported (Corey, 2001).
Solution-focused counseling uses the idea of exceptions as a foundation for
methods and techniques used in counseling sessions, whereby the client and counselor
accentuate the positive (Coe & Zimpher, 1996). Murphy (1994) delineates exceptions in
situations in which the problem experienced by the client does not occur, or it occurs to a
lesser degree. That is, effective SFC counselors challenge their clients to recount a time
when an unwanted problem or negative situation does not occur. From this knowledge
base, the client-counselor alliance focuses on what caused the negative occurrence to
cease, and how to develop solutions and goals to decrease the likelihood of the problem
occurring again.
De Shazer (1990) acknowledged that for clients who are not capable of forming
positive, constructive, behavioral goals, a more straightforward and concrete method is
needed. The miracle question, developed by de Shazer (1990), challenges clients to
consider solutions and goals by presenting them with a hypothetical situation that


32
provides an opportunity to explore how they would react if a presenting problem
miraculously disappeared overnight. They are asked questions such as: What would be
different? or How would you know the problem disappeared? A client presented with
a miracle question has the opportunity to think of what life would be like without the
specific problem. After the client reflects on the question the counselor asks what things
would need to occur in real life if a miracle were to become a reality, emphasizing the
clients role in bringing about the desired changes. This method allows clients to discover
their own solutions, with guidance from the counselor. According to Murphy (1994,
1997), the use of positive exceptions is the driving force behind the miracle question. It is
during these moments that a client is forced to think about her/his role in creation of
constructive solutions.
Hopefully, the miracle question and the focus on positive exceptions interact to
create positive change, no matter how small the size of that change. LaFountain, Garner
and Eliason (1996) write that counselors using SFC methods should be concerned with
any amount of change, regardless of how small. These researchers assert that major
changes in a clients life, and the ways in which changes account for solutions and
improvements, are first based on small changes. From small but significant change, they
postulate that it is possible for clients to establish long-term goals and to activate
workable solutions. Considering that concrete, small, realistic goals and solutions are
particularly useful when working with children and adolescents, school counselors can
benefit from using SFC when assisting students assigned to their often overwhelming
caseloads (Bonnington, 1993; Mosert, Johnson, & Mosert, 1997).
Professional school counselors are using the recent surge in research and practice
of SFC to justify the increased use of this brief counseling approach in school settings.


33
Although few school counselors deal with the stress of third-party payments and health
management organizations, they do experience large caseloads and limited time in the
school day to effectively address the needs of students, faculty, parents and the school
administration. Downing and Harrison (1992), citing the realities of school counseling,
acknowledge that SFC can assist school counselors in becoming more efficient and
productive facilitators in spite of the alarming number of duties for which they are
responsible.
As noted, elementary school counselors can benefit from SFC in that it helps them
provide effective individual and small-group counseling services in spite of large
caseloads. Also, LaFountain and Garner (1996) acknowledge the usefulness of SFC
techniques with young children by highlighting the use of concrete activities such as,
homework assignments, using art to tell stories, and structured thematic units that can be
used highlight and identify exceptions to childrens problems. As stated earlier, solutions
and goals can be set for the student-client after new ideas and perspectives are outlined
through SFC techniques.
The idea of the miracle question is also useful when working with young
children, as is the case in this study. Sklare (1997) wrote that children who identify with
the concept of magic, tales of fiction and make-believe and storytelling, would approve
and relate to the use of a miracle or magic questions. Sklare is aware of the unrealistic
goals and forecasts that young children may aspire to in answering a miracle question.
However, he calls on the counselor to reframe and guide the child to a more probable and
realistic solution.
Considering that young children posses fewer life-experiences from which to
draw upon than do adults, some critics of SFC claim that children lack the awareness and


34
skills to make SFC a useful counseling approach in school counseling (Thompson &
Rudolph, 2000). However, several researchers believe the strength of the counselor-child
relationship, as well as the counselors ability to follow the lead of the child, are
responsible for yielding positive results from the use of SFC (Campbell & Elder, 1999;
Mosert, Johnson, & Mosert, 1997; Sklare, 1997). Murphy (1997) points to genuinely
matching the childs language, when appropriate, as another key to compensating for a
childs lack of resourcefulness. This adds a sense of empathy and patience to a SFC-type
counseling session where the child feels acknowledged and respected. As a result,
children feel they are equal partners in the communication process that occurs in the
counseling environment.
Murphy (1994) acknowledges the empowering affect SFC and its use of
exceptions can have on childrens self-esteem and sustained use of newly discovered
solutions over long periods of time. In a separate study by LaFountain and Garner (1996),
heightened levels of self-esteem were found for children who participated in small groups
led by school counselors trained in SFC.
Regarding multicultural issues, Thompson and Rudolph (2000) write that SFC is
applicable to Hispanic American/Latino culture members because of the directive and
focused nature of the methods, along with the concept of centering on the here-and-now.
According to Thompson and Rudolph, Hispanic Americans/Latino children feel more
comfortable with counselors that offer directive hands-on interventions instead of
cognitive, esoteric, affective, open-ended counseling sessions. While cautioning against
generalizations regarding how diverse cultures react to counseling, Thompson and
Rudolph indicate that Hispanic Americans/Latinos tend to favor interventions that are
concise and those that can be completed in less than ten sessions.


35
The concrete nature of the interventions, emphasis on the counselor-client
relationship, overall positive reaction of Hispanic Americans/Latinos to SFC, and
unconditional positive regard for children inherent in de Shazers theory have led to the
decision to use SFC in this study. Furthermore, studies on the efficacy of SFC with small
group interventions demonstrate positive outcomes when working with children
experiencing difficulty in the school environment (Clark, 1998; LaFountain & Garner,
1996).
Small Group Counseling Interventions
Small group counseling can be used to assist children in expressing feelings and
in coping with various problems (Corey, 2000). According to Corey, counseling groups
in an elementary school setting can be effectively used for developmental, remedial and
preventative purposes. Counseling groups also provide school counselors with the
opportunity to effectively provide services to concurrently meet the needs of many
children (Brown, 1994). Through group work, school counselors can identify and assist
young children in their academic and social development. Experiencing this intervention
can provide children with the coping mechanisms and strategies needed to effectively
handle current and future negative experiences they may encounter.
Gibson, Mitchell, and Basilie (1993) consider small group counseling beneficial
for children in that it enables them to confront concerns in a social environment, where
they gain indirect support from the notion that their problem is not exclusive to them.
This idea of universality, developed by Yalom (1995), leads to decreased shame,
isolation and self-perceptions of being different from others.
The developmental nature of counseling groups proves very useful when working
with childrens self-concepts, attitudes toward school and improved academic success;


36
the three dependent variables addressed in this study. Jacobs, Harvill, and Masson (1994)
consider a small group intervention to be effective in treating children with negative self-
concepts. These authors indicate that well organized groups, with structured activities and
exercises, can assist students by increasing feelings of self worth. In working with
learning disabled students, Amerikaner and Summerlin (1982) determined students
participating in a social-skills group counseling intervention showed increased self
esteem when compared to students who did not take part in the counseling activity.
Regarding attitudes, Campbell and Myrick (1990) found increases in childrens
positive attitude toward schools for those who participated in group counseling. Teachers
of low-performing students in this study rated their students as having a better attitude
and improved behavior after taking part in structured activities centered on self-concept,
motivation, school attitude and behavior. Also, Myrick and Dixon (1985) used the
existence of a positive correlation between positive school attitudes and academic success
as justification for providing small group counseling interventions focused on improving
self-concepts to unmotivated or troubled students. A related study by Kilmann, Henry,
Scarboro, and Laughlin (1979), found that elementary school-aged underachieving
students were more motivated to learn after engaging in a nine-week, small-group
counseling experience focusing on self-control and behavior modification.
The future of school counseling is directly related to the current focus on
accountability of academic success and improved standardized test scores for all students.
Schmidt (1999) stresses the importance for school counselors to become active agents in
helping children meet the rigors of academic standards. He advocates the use of small
group counseling as an effective way to improve academic success for children. Gerler,
Kinney, and Anderson (1985) conducted research to test the effects of individual and


37
small-group counseling interventions on students school performance. Students who
participated in the experimental group of this study demonstrated significant
improvements in mathematics and language arts grades when compared to students in the
control group not receiving the intervention. Gerler, Kinney, and Anderson (1985)
concluded that general counseling interventions that positively change a childs self-
concept and focus on study-skills also accentuate the importance of socio-emotional
variables regarding academic achievement.
As noted previously, solution-focused counseling is effective when administered
through small-group interventions in a school setting. LaFountain, Garner, and Eliason
(1996) indicate that school counselors who conduct SFC groups have the opportunity to
simultaneously work with four or more students. These researchers believe it is in the
best interest of the school counselor to work with a group of students who share the same
problems, concerns, or situations, as opposed to working with them on an individual
basis. Since SFC counselors concern themselves with finding solutions instead of
dwelling on problems, children in SFC groups can work together, with guidance from the
school counselor as a small group leader, on establishing goals and solutions (Coe &
Zimpher, 1996). In general, solution-focused counseling groups allow children to bring
their experiences to a counseling session, share those experiences with peers, engage in
open discussion on feasibility of solutions, implement new solutions, and recount to the
group the efficacy of newly-acquired coping skills.
When working with children from culturally diverse populations, researchers
(Fehr, 1999; Pedersen, 1997; Yalom, 1995) caution small-group counselors to become
aware of their own biases before beginning a small-group intervention. The success and
ability to apply small group counseling techniques to Hispanic American/Latino children


38
depends more on the counselors multicultural training, awareness of her/his own culture,
and knowledge of her/his clients cultural identity than the students ethnicity (Corey,
2000). Overall, minority students from various cultural backgrounds will find small-
group counseling experiences to be rewarding and beneficial (Lee, 1995).
Because of the ever-growing numbers of LEP students in U.S. schools, school
counselors are faced with providing services to a vastly diverse student population
(Keyes, 1989). Small-group counseling becomes a viable intervention in light of
increasing Hispanic American/Latino, LEP caseloads. As noted, school counselors often
organize and effectively execute small-group counseling activities for children focusing
on divorced families, relocating to a new school and grief issues (Schmidt, 1999;
Thompson & Rudolph, 2000). Therefore, it is also plausible for school counselors to
assist elementary school-aged, LEP Hispanic American/Latino children experiencing
difficulty in the school setting by providing them with a small-group counseling
experience designed to fit their specific needs.
Summary
Ogbu (1995) emphasized that LEP students experiencing problems with school
adjustment and related socio-emotional concerns can benefit from additional assistance
from school personnel. School counselors fill this role by facilitating Hispanic
American/Latino LEP childrens adjustment to the school environment using a variety of
interventions (Gopaul-McNicol & Thomas-Presswood, 1998; Lee, 1995). A review of the
professional literature in this chapter has provided information on relevant factors and
techniques necessary to assist this specific group of elementary school-aged children.
The use of a small-group solution-focused counseling intervention, grounded in
ameliorating a childs concerns and worries through reflective listening, can help a school


39
counselor establish rapport with children while also furthering their academic and
personal/social coping skills (Wittmer, 2000). Cognizant of how language acquisition and
negative educational experiences may hinder the socio-emotional development and
academic progress of these children, this study seeks to determine the effectiveness of
SFC, small-group counseling interventions as they pertain to Hispanic American/Latino
LEP children.


CHAPTER 3
METHODOLOGY
The purpose of this study was to determine the effectiveness of a structured, small
group, solution-focused counseling intervention with Spanish-speaking, LEP, elementary
school students. The sample for the experimental and control groups was derived from
LEP children in Grades three, four, and five who had received public school ESOL/ESL
instruction for at least one year. The researcher-developed counseling intervention,
administered by specially trained school counseling graduate students enrolled in their
internships, was evaluated for its effectiveness in assisting Spanish-speaking, LEP
students attain greater academic success, improve their self-concepts, and develop more
positive school attitudes. Pre- and post-measures of effectiveness were completed by the
participating students. A random sample of participating students were asked to respond
to a set of qualitative, structured, open-ended questions following the experimental
treatment.
The sampling and research procedures are described in this chapter. The
intervention and counselor training for the study also are described.
Population
The population of interest for this study was native-Spanish-speaking, LEP
students in the third, fourth, or fifth grade who had received at least one year of
ESOL/ESL education. Students participating in the study were classified as LEP and
enrolled in a public school ESOL/ESL program in the Lafayette School Corporation
(LSC), Lafayette, Indiana.
40


41
In 2001, the population of Lafayette, a mid-size city, was 56,397. In the academic
year 2000-2001, the Indiana Department of Education (2001) reported the Lafayette
School Corporation as having 7405 students attending 14 schools. Eleven of the 14
schools are elementary schools. A total of 3706 students were enrolled in Grades K
through 6, with 1802 in Grades 3, 4, and 5. In addition, 27.3% of all students were
eligible for free lunch and 21.2% of students fell into the Minority category African
American, Asian American, Hispanic American, Native American, and Other.
The 2001 demographics for Lafayette were similar to those statewide with the
exception of Hispanic American/Latino residents and LEP students enrolled in
ESOL/ESL programs. According to the State of Indiana (Stats Indiana, 2001), Hispanic
American/Latinos accounted for 5.6% of the population in Lafayette, compared to 3.5%
statewide. Lafayette reported a 307% increase in the number of Hispanic
American/Latino residents between 1990 and 2000, the second largest increase in Indiana
during the same time period. Most of these Latinos identified themselves as Mexican.
Most of the Hispanic American/Latino population in this area is employed in agriculture
or automobile manufacturing. With regard to LEP students, 1.36% of the Indiana public
school students were enrolled in ESOL/ESL programs statewide in 2001, while 6.49% of
Lafayette students were receiving ESOL/ESL instruction.
At the time of the study, 15.51% of all elementary school students enrolled in the
LSC indicated Hispanic American/Latino as their ethnicity (Indiana Department of
Education, 2001). According to data provided by the LSC, 360 elementary school-aged,
LEP, Spanish-speaking students were receiving some sort of ESOL/ESL instruction
during the 2001-2002 academic year. Of the 360 LEP, Spanish-speaking students, 194
elementary school children had received at least one year of ESOL/ESL instruction.


42
Sampling Procedure
Permission to conduct the research with a particular school district/corporation
was sought after the University of Floridas Institutional Review Board granted approval
for the study. After establishing that Lafayette, Indiana had an above average number of
Hispanic American/Latino residents, the researcher sought the support and permission to
conduct this research project within the Lafayette School Corporation.
In 2001, the Lafayette School Corporation had nine elementary schools where
ESOL/ESL services for elementary school-aged children were provided. The Hispanic
American/Latino student population in these schools accounted for 10% or more of the
entire school enrollment. The details of the research project were presented to all nine
principals as well as to the assistant superintendent for elementary education for LSC.
School principals were provided with general information about the study, the population
of interest for the study, a description of the counseling intervention as well as all other
logistics pertinent to the study. Of the nine school principals who reviewed the
information, four out of nine agreed to involve their schools in this project. Those who
did not volunteer to do so indicated the project was too time consuming and/or did not
see the benefits of associating their schools with the project.
A list, compiled of eligible students in Grades three, four, and five from the four
r
participating schools, totaled 91. The four participating school principals assumed the
responsibility of distributing informational materials to all ESOL/ESL students and their
parents. The materials distributed to children and their families included informed
consent forms, as well as a brief description of the study. All information provided to
parents was written in both English and Spanish. The 59 students whose parents provided


43
consent to participate in the study were randomly assigned to the control group or the
treatment group(s) at their schools, respectively.
Resultant Sample
The resultant sample was composed of 59 ESOL/ESL students from four
elementary schools whose parents provided consent for participation in the study. The
pre- and post-tests measures, as well as the treatment were completed for all students
within the pre-established time frame. Student demographics of the four participating
schools are given in Table 3-1.
Table 3-1
Total Enrollment and Student Race/Ethnicity by Participating School
School Number
Enrollment
Percent of Students by Race/Ethnicity
White
Black
Latino
Asian
Native American
1
547
75%
2.6%
17.2%
1.1%
0.2%
2
444
59.9%
7%
28.2%
0.7%
0.2%
3
366
71%
6.8%
19.7%
0.0%
0.0%
4
375
78.1%
3.7%
12.8%
1.6%
0.3%
The number of participating students per school varied from 6 to 21. Based on
related research and expert opinion (Wittmer, 2000), it was determined that no treatment
group should have more than five members. For this reason, the sample was divided into
a control group of 31 students and an experimental group of 28 students. Of the six
treatment groups, one had three participants while the other five consisted of five
participants each. The demographics of the total sample, treatment group and control
group are found in Table 3-2.
The control group consisted of 19 females and 12 males and the treatment group
included 17 females and 11 males. Five of the control group members were 8-year-olds,


44
thirteen were 9-year-olds, ten were 10-year-olds and three were 11-year-olds. The
treatment group consisted of nine children who were 8-year-olds, eight who were 9-year-
olds, eight who were 10-year-olds and three who were 11-year-olds.
i
Table3-2
Demographic Characteristics of Sample by Sex. Age-level, and Level of Time in
ESOL/ESL Program
Demographics
Sex
Age-Level
Level for Time in ESOL/ESL
Groupings
Male
Female
8
9
10
11
3 Years
4 Years
5 years
Sample
n = 59
39%
61%
24%
36%
30%
10%
35.6%
35.6%
28.8%
Treatment
n = 28
39%
61%
32%
29%
29%
10%
35.8%
32.1%
32.1%
Control
n = 31
39%
61%
16%
42%
32%
10%
35.5%
38.7%
25.8%
Relevant Variables
Two standardized assessment instruments were administered pre- and post
intervention to participants in both the control and experimental groups. The instruments
used were the (a) Piers-Harris Childrens Self-Concept Scale (PHCSCS) and the (b)
School Attitude Inventory (SAI). In order to ensure confidentiality of scores, all
instrument measures were coded according to gender, age-level, and level of time in
ESOL/ESL programs for each participating child. In addition, after the treatment, an
open-ended, three-question interview was conducted with a small, random sample of
children from the experimental and control groups. The group consisted of 24 children,
roughly 40% of the original sample.
Independent Variables
According to Gay (2000), quantitative research studies wherein the researcher
manipulates an independent variable are considered to be experimental in nature.


45
Therefore, the independent variable for this study was the solution-focused, small-group
counseling treatment (Appendix D).
The researcher, with the assistance of the counseling interns, randomly assigned
students at their respective schools to the treatment or control groups. As noted, 28
children participated in the small group treatment experience while 31 comprised the
control group.
The masters-level school counseling interns attended a 2-hour workshop
conducted by the researcher prior to implementing the treatment (Appendix B). The
treatment facilitators were responsible for leading the experimental small groups in their
assigned schools, as well as administering the pre and post measures. The control group
participants did not receive treatment. However, the researcher and participating school
principals undertook measures to provide the small-group counseling intervention to the
control group once post-treatment data had been collected from both groups.
Finally, in order to account for Fidelity of treatment, each treatment facilitator
completed a weekly checklist to verify duration of the weekly small group interventions,
the completion of the structured exercises in each activity, the discussion of homework
assignments, and any presenting problems with the intervention.
Dependent Variables
This study focused on two dependent variables: participating students self-
concept and school attitude.
The academic success of the participants also was of interest in this study. This
variable was addressed by the researcher asking three open-ended questions (Appendix
C) to a small, selected sample of experimental and control group participants at the
conclusion of the 6-week treatment. The structured interviews helped gauge possible


46
changes in students perceptions of their academic success following the treatment. Their
responses were recorded and appear in Appendix E.
Instruments
In order to determine the effects of the treatment, the following assessment
measures were used: Piers-Harris Childrens Self-Concept Scale (PHCSCS), the School
Attitude Inventory (SAI) and the three-question structured interview (Appendix C). Both
the PHCSCS and the SAI are self-report surveys. Pre-test and post-test of the PHCSCS
and SAI were administered by the group facilitators and scored within five days of being
administered. The structured interview was conducted by the researcher, without previous
contact with the respondents or knowledge of treatment/control group affiliation (blind
review).
Piers-Harris Childrens Self-Concept Scale (PHCSCS)
The Piers-Harris Childrens Self-Concept Scale (PHCSCS) was developed in
1966 by Ellen Piers and Dale Harris to assess how children and adolescents feel about
themselves (Epstein, 1985). The PHCSCS is normed-referenced and intended for use
with children ages eight through 18. It was originally normed on a sample of 1,183
Pennsylvania children in Grades three through twelve (Piers, 1984).
The PHCSCS is a self-report measure composed of 80 items and takes
approximately 20-30 minutes to complete. Responses to the items are either yes or
no, indicating if the item is true or not (most of the time) for the experience described.
An adult may administer the PHCSCS individually or to a group of children. Children
taking the PHCSCS may read the items themselves or, if necessary, the examiner is
permitted to read the questionnaire aloud, especially to children in lower grades (four,
five, and six) and younger (Epstein, 1985). According to Jeske (1985), procedures for


47
administering, hand scoring, and interpreting the instrument may be completed in 30
minutes per student.
The PHCSCS was designed to measure how children and adolescents perceive
themselves within six areas:
Behavior (16 items)
Intellectual and school status (17 items)
Physical attributes and appearance (13 items)
Anxiety (14 items)
Popularity (12 items)
Happiness and satisfaction (10 items)
According to Piers (1984), the six clusters that comprise the PHCSCS were
chosen based on a meta-analysis of correlations of seven separate samples of students.
Along with an overall score, the PHCSCS yields scores for the six individual clusters.
The participants overall score, as well as individual cluster scores, were a part of the data
analyzed in this study.
Teachers and trained paraprofessionals are best suited for administering the
PHCSCS, while interpreting the scores should be done by masters-level professionals
with advance knowledge of psychological assessments (Piers, 1984). The lowest possible
raw score for each cluster is 0 while the highest raw score depends on the number of
items in the specific cluster. The overall raw score for the PHCSCS is determined by
adding the six individual raw scores, with the lowest score being 0 and the highest
score being 80. Information for converting raw scores into percentiles, stanines and T-
scores are provided on the individual answer sheets. Higher raw scores correspond with
higher stanines, percentiles, and T-scores.
Tests of reliability for the PHCSCS have been conducted with a variety of
children. Using the Kuder-Richarsdon Formula 20, reliabilities of .88 .93 for males and


48
females were cited by Piers (1984) for the overall test scores. Also, alpha coefficients of
.90 .91 were reported by Piers for males and females. Thus, internal consistency for the
total score on the test is relatively high. Finally, Piers (1984) reports a .72 reliability
coefficient for a four-month test-retest time interval based on a study of children in the
third grade.
Tests of reliability for individual clusters of items are based on the initial
standardization sample for the six sub-scales using 485 students from the original 1,183,
and an additional 97 children from Pennsylvania outpatient psychiatric clinics.
Coefficient alpha levels of internal consistency were reported at .73 for Satisfaction, .74
for Popularity, .76 for Physical appearance, .77 for Anxiety, .78 for Intellectual and
School Status, and .81 for Behavior (Piers, 1984).
A number of empirical studies by Piers (1984) were used to determine the
content, criterion-related, and construct validity of the PHCSCS. An original factor
analysis conducted by Piers (1984) in order to establish content validity narrowed down
ten original scales into the current six clusters. A follow-up factor analysis using the six
clusters was conducted ten years later and yielded strong support for the original six
clusters (Piers, 1984). Other studies cited by Piers (1984) indicate support for most or all
of the six clusters of the PHCSCS. Piers also determined levels of intercorrelation among
the six clusters of items in order to establish criterion-related validity, yielding
correlations ranging from .21 to .59. Finally, construct validity estimates were determined
by comparing the PHCSCS to several related instruments, including the Coopersmith
Self-Esteem Inventory and Personal Attribute Inventory for Children. Correlations
between the PHCSCS and the other measures ranged from .32 to .85 (Piers, 1984).


49
The PHCSCS, considered an excellent research instrument (Epstein, 1985), has
been used successfully by several researchers to study the self-concepts of bilingual
Hispanic-American/Latino children and adolescents (Piers, 1984). These two factors,
along with strong reliability and validity indicators, demonstrated the rationale for using
the PHCSCS in this study.
School Attitude Inventory (SAD
The School Attitude Inventory (SAI) (Appendix C) is a self-report, paper-and-
pencil measure that consists of ten items dealing with ones pleasure, excitement, and
personal control at school. The items comprise behaviors related to school success and
attitude toward school for elementary aged children (Cuthbert, 1987). Students responses
to the SAI are based on a pictorial scale termed the Self-Assessment Manikin (Lang,
1980). The Self-Assessment Manikin was based on factor analytic studies of affective
ratings with children (Osgood, 1962).
The SAI evaluation scale for each item is presented visually through use of three
cartoon panels. Each panel consists of five pictures. The first panel reveals a cartoon
figure with five variations of a face, from excessive smiling to extreme frowning. This is
intended to measure a young childs happiness at school. The second panel shows a
cartoon figure with five variations of stress, from being highly anxious or stressed to utter
calmness. The third panel depicts a cartoon figure with five variations of control, from a
small size figure representing total control to a large figure representing extreme lack of
control. This is intended to measure the level of a young childs perceived control at
school. Students taking the SAI indicate their choices to each of the ten items in relation
to the three dimensions (happiness, stress and control) by placing an X over the picture
that best symbolizes their feelings regarding a specific dimension. Each dimension has a


50
range from one to five points per question. Thus, total scores on the SAI range from 30 to
150, with total scores per question ranging from three to 15 and total scores per
dimension range from 10 to 50. For analysis purposes, each response is converted into
numbers, with 5 representing the most pleasure, 5 the most calm, and 5 the most
control.
Cuthbert (1987) used the SAI in a study focusing on measuring the effectiveness
of an elementary school classroom guidance unit for promoting school success.
Consequently, the SAI was developed for children at or above a third-grade reading level.
However, in cases where children are unable to read and comprehend the items, the SAI
can be read aloud to children (Webb, 1999). Cuthbert (1987) conducted test-retest
reliability for the SAI and found a coefficient of stability of .76 with 49 third-grade
students.
Three-Question Interview for Academic Success
The researcher randomly selected 24 children (12 from the experimental group
and 12 from the control group) to participate in a structured, three open-ended-question
interview (p. 112) regarding their perceived academic success. In accordance with proper
structured interview techniques, each child was asked the same three pre-established
questions in the same order (Fontana & Frey, 2000). The responses of the 24 participants
were recorded in writing and analyzed using qualitative research methods. The research
methodology used to analyze the questionnaire data is given below and the results are
given in Chapter 4 and discussed in Chapter 5.
Hypotheses
A .05 alpha level of significance was used to determine whether differences found
between the means of the experimental and control group were due to chance or to the


51
treatment provided. According to McNamara (1994), an appropriate level of significance
(a = .05 in this case) represents the risk of wrongfully rejecting the null hypothesis and
thereby committing a Type I error.
The following eight null hypothesis were tested:
1. There is no difference in the self-concept of third, fourth and fifth grade Hispanic
American/Latino, LEP children in ESOL/ESL programs as a result of
participation in the experimental small group intervention, as compared to the
control group.
2. There is no difference in the attitudes toward school of third, fourth and fifth
grade Hispanic American/Latino, LEP children in ESOL/ESL programs as a
result of participation in the experimental small group intervention, as compared
to the control group.
3. There is no self-concept interaction among treatment and gender.
4. There is no self-concept interaction among treatment and age-level.
5. There is no self-concept interaction among treatment and level for time in
ESOL/ESL program.
6. There is no school attitude interaction among treatment and gender.
7. There is no school attitude interaction among treatment and age-level.
8. There is no school attitude interaction among treatment and level for time in
ESOL/ESL program.
In addition to the hypotheses testing listed above, the researcher determined the
effectiveness of the small group counseling intervention on participants school success.
The researcher sought to ascertain the relationship between school success and
participation in the treatment or control group, by using the qualitative data collected
using the structured interview instrument.
Research Design and Data Analyses
The research design used for this study was a pre-post, control group design.
Children were randomly assigned to a control or experimental group at their individual


52
schools. Random assignment of the children to the experimental and control groups
enhanced internal validity (Gay, 2000). As noted, there were a total of 59 children,
representing four different schools, participating in the study. A total of 31 children were
in randomly assigned to the control group while 28 children participated in the
experimental group. Table 3-3 details the experimental design for this study.
Analysis was performed on the pre-to-post test changes in scores for the two
standardized measures used in the study. Analyses of covariance (ANCOVA) was
conducted to determine the significance of differences between groups, with the
participants pre-test scores used as the covariate (Shavelson, 1996). Factorial ANCOVA
was used to determine relationships and differences among self-concept and school
attitudes, and gender, age-level and level for time students had been enrolled in
ESOL/ESL program also were computed.
Qualitative research analyses were applied to respondents answers to the
structured interview administered by the researcher. Data was gathered from key-words-
in-context (KWIC) lists derived from the ethnographic examination of field notes (Ryan
& Bernard, 2000). The qualitative data then was analyzed through the constant
comparative method. According to Gilgun, Daly and Handel (1992), this method, derived
from grounded theory, can be conducted in order to determine possible similarities and
differences between control and experimental groups. This was done by comparing the
KWIC lists from the treatment group with the KWIC lists derived from the control group
respondents to the 3 questions.
The researcher conducted the short, approximately five-minute long interview,
with each of the 24 participants (12 control and 12 experimental group participants). The


53
interviews were conducted in English and each interviewee agreed that she/he understood
the questions asked. Of the 12 participating control group members, eight were female
and four were male. Consequently, seven female participants and five male participants
comprised the 12 treatment group participants. Overall, 15 female students and nine male
students were interviewed.
Table 3.3
Pre-Post Control-Experimental Group Design
Outcome measurement times
Condition
Pre
Post
Ti
R
Oi
O2
X
Oi
O2
Ci
R
Oi
O2
Oi
O2
T2
R
Oi
O2
X
Oi
O2
C2
R
Oi
O2
Oi
O2
T3
R
Oi
O2
X
Oi
O2
C3
R
Oi
O2
Oi
O2
T4
R
Oi
O2
X
Oi
O2
C4
R
Oi
O2
Oi
O2
Tn = Treatment group and school number
Cn = Control group and school number
R = Random assignment of subjects to groups
X = Group counseling treatment for LEP, ESOL/ESL students
Oi = Piers-Harris Children's Self-Concept Scale (PHCSCS)
O2 = School Attitude Inventory (SAI)
Masters-level School Counseling Student Training
The researcher trained the two female, Caucasian, masters-level school
counseling interns in the implementation and use of the small group intervention. The
facilitators were 25 and 41 years old. The training consisted of a 2-hour in-service
meeting designed to prepare them to implement the small-group counseling treatment


54
along with specific instructions so as to insure that the treatment would be uniform and
consistent across the participating treatment groups and schools.
The scope of the information presented as a handout packet at the in-service
training included a description of the research and its procedures, and a standardized
schedule for delivering the intervention to the selected students (Appendix B). Particular
attention was given to obtaining data for the dependent variables, including instructions
on how to administer the instruments. Also, controlling and standardizing the
experimental conditions as much as possible was discussed in order to limit differences
among the experimental groups. The in-service concluded with an opportunity for both
interns to ask questions and provide comments. A brief workshop outline follows below.
Details of the workshop are provided in Appendix B.
Masters-level School Counseling Student Training Workshop Outline
Purpose of the Study (5 minutes)
Experiences of Hispanic American/Latino, Limited-English Proficient Children
(50 minutes)
A. Needs of Hispanic American/Latino children and counseling issues
B. Educational experiences of Spanish-speaking, LEP children
C. English-as-a-Second-Language instruction and language acquisition
D. Assisting Hispanic American/Latino, LEP students in ESOL/ESL
programs
Research Procedures (50 minutes)
A. Overview of research design
B. Small-Group Guidance and Solution-Focused Counseling
C. Randomization of student participants
D. Informed notice and consent
E. Collecting pre- and post-data
Delivery of Counseling Interventions
Return of Research Materials (5 minutes)
Questions and Comments (10 minutes)
Lastly, the researcher provided weekly written notices to each of the group
facilitators in an effort to assist them to follow the timeline, suggestions for counseling


55
Hispanic American/Latino students, providing the intervention and related home
activities, and administering the post-measures.
Description of Treatment
A solution-focused, small group counseling intervention, developed by the
researcher, was used in this study. The treatment period for the experimental group
spanned 6 weeks and included one 40-minute session per week. The intervention was
conducted during the Fall 2001 semester to coincide with the second school grading
period. The participating LEP students assigned to the experimental group received the
small-group treatment.
The overall theme of the 6-session, small-group intervention was that of a
structured treasure hunt, including structured take-home assignments. The items that
were discovered and collected to use treatment jargon consisted of skills and
tools that can be helpful to LEP, Spanish-speaking students, in order to achieve academic
success and to develop a positive self-concept and overall more positive school attitude.
The solution-focused counseling, 6-session, thematic unit was designed to give children
the impression that they are on a quest for items to place in their treasure bags, with
the school counselor serving as their Treasure Hunt guide again, using treatment
jargon. The results of participating in the treatment were a completed treasure map for
each experimental group participant that depicts improved academic achievement, social-
emotional development, and school adjustment.
The pre-tests were administered by the masters-level school counseling students
to the 59 participants, one week prior to the first small-group counseling session. The
experimental groups began meeting the following week. The control group members
continued to go about their regular school routines.


56
The first session of the counseling intervention focused on establishing school
counselor-child rapport. The first session also introduced the entire intervention,
addressed the reason for the childrens participation and explained the treasure hunt
theme, confidentiality in the group, duration of each session, number of sessions, and
additional questions the children may have had. The remaining five sessions addressed
specific stigmas, problems, and concerns encountered in the school environment, as well
as other issues facing the Spanish-speaking, LEP students in the school environment.
Students in the treatment group were excused from recess and physical education classes
in order to take part in the intervention.
To adhere to the basic premises of solution-focused counseling, children
participating in the experimental small groups were provided with the opportunity to
develop and implement solutions to possible concerns and issues. Dealing with
discrimination, discussing and acknowledging emotions and experiences related to being
ethnically and linguistically different from peers, discussing their experiences with their
ESOL/ESL teachers, reducing stress caused by non-native language instruction,
developing better study skills, strengthening self-concept, coping with a society and
school environment different from the one experienced in the home and country of origin,
and planning for future goals are among the topics were addressed in the small-group
counseling sessions. At the conclusion of each session, children were encouraged to
apply what they learned in the small group setting to their school and home environments
during the next week. Therefore, homework assignments were completed by participants
and became a major aspect of the following small-group session. The intervention
culminated at the end of 6 weeks with a wrap-up session to highlight key points and
agreed upon solutions.


57
The post-tests and open-ended question, structured interviews were conducted
within a total of seven days of termination of the treatment. Both the experimental and
control group members were administered the post-tests measures by the school
counseling interns three days following the last small group session with the experimental
groups. The researcher conducted the three-question, structured interview within seven
days of the administering the post-treatment measures.
Summary
The study occurred during the second grading period of the 2001-2002 public
school year, between October and December 2001. Prior to beginning the study, the
researcher met with administrators and nine elementary school principals in the Lafayette
(Indiana) School Corporation to secure permission to conduct the research within their
school corporation. The researcher conducted in-service training with the two masters-
level school counseling interns to discuss assessment administration and their facilitating
of the small group counseling treatment. The six treatment sessions lasted approximately
40 minutes each and occurred once per week. The researcher conducted interviews with
24 participants using a qualitative, open-ended, three-item questionnaire. The interviews
followed the post-test administration of assessment instruments.


CHAPTER 4
RESULTS
The purpose of this study was to examine the effects of a solution focused, small
group counseling intervention with third, fourth, and fifth grade, limited English
proficient (LEP), Hispanic American/Latino students' self-concepts and attitudes toward
school. The students selected for participation in the study were all participants in an
English for Speakers of Other Languages/English as a Second Language (ESOL/ESL)
public school program and had been so enrolled for at least one year prior to the
beginning of the study. The small group counseling intervention, developed and written
by the researcher, was designed to improve the students self-concepts and attitudes
toward school, as well as their overall perceived school success.
Two school counseling interns, both enrolled in a graduate-level program in a
Counselor Education department, delivered the structured, small group intervention to the
students over a 6-week time period. Both interns were in their final semester of internship
and were female, and were 25 and 41 years of age. Lastly, both completed the required
training for administering the assessments used in the study and for effectively
conducting the 6-week long treatment. The school counseling interns also were
responsible for administering the pre- and post-measures.
In order to determine the effectiveness of the small group counseling intervention,
statistical analyses were conducted on the pre- and post-test data collected. A two-way
ANOVA was performed on the school effects data, an ANCOVA on the main effects and
an ANCOVA was performed on the categorical data.
58


59
Two dependent measures, the Piers-Harris Children Self-Concept Scale
(PHCSCS) and the School Attitude Inventory (SAI) were administered to all participants
(N = 59). A qualitative, structured interview, conducted by the researcher following
completion of the small group intervention, was completed with a random sample of
participants from the experimental and control groups. The three-question, verbal
interview was conducted to determine the perceived overall effectiveness of the
intervention on participants' perceived school success.
The 28 third through fifth grade students who completed the 6-week treatment
program were enrolled in four different public schools in a city in Indiana. Random
assignment of students to the control and treatment groups was done prior to
administering the pre-test measures. This random assignment resulted in 31 students
being placed in the control group and 28 in the treatment group. Twenty-four of the 59
participants also were randomly selected to participate in the qualitative, structured
interview at the conclusion of the treatment.
Data Analyses
Eight hypotheses were tested on the two quantitative dependent variables. The
level of significance was set at .05 for all statistical tests performed. The means and
standard deviations for the pre- and post-tests are provided in Table 4-1.
School Effects
The 59 students participating in this study had been assigned to four intact school
groups. Thus, a two-way ANOVA was conducted on pre-assessment measures for the
PHCSCS and SAI to test for the between schools differences and/or school-by-group as
well as for between interactions. The data analysis yielded no significant differences
between schools for the PHCSCS pre-test (F (1,51) = 2.13, p = .11), or the SAI pre-test


60
(F (1,51) = 1.16, 2 = -34). Also, the school-by-group interactions were not found to be
significant for the PHCSCS (F (3,51) = 2.37, p = .68) or the SAI (F (3,51) = .64, p = .59).
Therefore, the data for both the control and treatment groups were collapsed, to establish
one treatment group (N = 28) and one control group (N = 31). The complete results of
this ANOVA are found in Table 4-2.
Table 4-1
Means and Standard Deviation of Pre- and Post-Test Scores for Control and Treatment
Group Students
Variable
N
Mean
Std Dev
Control Group Students
PHCSCS Pre
31
62.64
13.98
PHCSCS -Post
31
62.29
13.55
SAI Pre
31
132.94
18.65
SAI Post
31
134.26
18.89
Treatment Group Students
PHCSCS Pre
28
56.93
11.63
PHCSCS Post
28
57.96
13.63
SAI Pre
28
128.75
16.58
SAI Post
28
131.75
17.63
Table 4-2
Two-way Analysis of Variance for Between Schools Effect and Between Schools Effect
by Treatment Group Effects
Source
SS
df
MS
F
P
SchGrp, PHCSCS
1023.09
3
341.03
2.13
.11
SchGrp*Trt, PHCSCS
241.55
3
80.59
.50
.68
Error
8175.81
51
160.31
Corrected Total
9995.73
58
SchGrps, SAI
1091.71
3
363.90
1.16
.34
SchGrps*Trt, SAI
606.74
3
202.25
.64
.59
Error
16061.94
51
314.94
Corrected Total
18108.85
58
Main Effects and Interactions
According to Shavelson (1996), use of ANCOVA is appropriate if a correlation
greater than .60 exists between the covariate and post-test. Correlations of .88 between


61
PHCSCS pre- and post-tests and .67 between SAI pre- and post-tests were found.
Therefore, an ANCOVA, with the pre-test measures of the PHCSCS and SAI as
covariates, was used to test for main effects.
Self-Concept
To examine of treatment effects on self-concept, an ANCOVA was conducted on
the participants total scores on the PHCSCS. The PHCSCS measures a childs self-
concept based on her or his self-report; lower overall scores indicate a lower self-concept
while higher overall scores indicate a higher self-concept.
Participation in the small group intervention by the experimental group yielded no
significant differences between the experimental and control group PHCSCS means. The
following null hypothesis (Hoi) was not rejected:
Hoi: There is no difference in the self-concept of third, fourth and fifth grade
Hispanic American/Latino, LEP children in ESOL/ESL programs as a
result of participation in the experimental small group intervention.
The participating students self-concepts were not significantly affected by the
small group intervention experience as measured by the PHCSCS. The covariate was
significant (F (1,56) = 189.04, p< .001). However, as shown in Table 4-3, although the
(adjusted) mean score on the post-test was slightly higher, the resultant difference was
not significant. The data for this analysis are shown in Table 4-4.
Table 4-3
Adjusted Post-Means of PHCSCS Scores
Source
Adjusted Post-Test Means
Control Group
59.79
Treatment Group
60.74


Table 4-4
Analysis of Covariance for Main Effects of Treatment for PHCSCS
62
Source
SS
df
MS
F
P
Pre-Test
8116.81
1
8116.81
189.06
.00
Trt
12.74
1
12.74
.30
.59
Error
2404.54
56
42.94
Corrected Total
10976.68
58
Interaction effects. The treatment by gender interaction also was examined for the
PHCSCS to test the following null hypothesis:
Ho3: There is no self-concept interaction of treatment by gender.
The independent variable of gender did not significantly interact for the PHCSCS
(F (1, 54) = .64, p_= .43). Therefore, this null hypothesis was m)t rejected (see Table 4-5).
Table 4-5
Factorial Analysis of Covariance for Interaction of Gender and Self-Concept
Source
SS
df
MS
F
P
Pre-Test
7442.65
1
7442.65
169.17
.00
Sex*Trt
28.10
1
28.10
.64
.43
Error
2375.71
54
43.10
Corrected Total
10796.68
58
The treatment by age-level interaction also was examined for the PHCSCS to test
the following null hypothesis:
Ho4: There is no self-concept interaction of treatment by age-level.
The independent variable of age-level did not significantly interact for the
PHCSCS (F (1,50) = .77, p = .52). Therefore, the null hypothesis was not rejected (see
Table 4-6).


63
Table 4-6
Factorial Analysis of Covariance for Interaction of Age-Level and Self-Concept
Source
SS
df
MS
F
2
Pre-Test
6530.22
1
6530.24
148.56
.00
Age*Trt
101.71
1
33.91
.77
.52
Error
2197.81
50
43.96
Corrected Total
10796.68
58
The treatment by level of time in an ESOL/ESL program interaction also was
examined for the PHCSCS test the following null hypothesis:
Ho5: There is no self-concept interaction of treatment by level of time in
ESOL/ESL program.
The independent variable of level of time in an ESOL/ESL program did not
significantly interact for the PHCSCS (F (1, 52) = .20, p = .82). Therefore, null
hypothesis five was not rejected (see Table 4-7).
The six subscales of the PHCSCS also were used to measure the effect of
treatment on the self-concept of the participating students and particularly in regard to
gender, age-level, and level of time in an ESOL/ESL program. No statistically significant
results were revealed by these ANCOVA, for any of the six subscales. The data analyses
for main effects of treatment for the PHCSCS subscales are presented in Tables 4-8 and
4-9. Tables 4-10 through 4-15 present data analyses of interactions for gender, age and
years in ESOL/ESL programs, and PHCSCS subscales.
Table 4-7
and Self-Concept
Source
SS
df
MS
F
P
Pre-Test
5944.58
1
5944.58
133.07
.00
ESL*Trt
17.58
2
8.79
.20
.82
Error
2322.97
52
44.67
Corrected Total
10796.68
58


64
Table 4-8
Analysis of Covariance for Main Effects of Treatment for PHCSCS Subscales
Behavior. Intellectual Status and Physical Appearance
Source
SS
df
MS
F
P
Pre-Test: Behavior
192.01
1
192.01
32.25
.00
Trt
4.16
1
4.16
.70
.41
Error
333.45
56
5.95
Corrected Total
568.75
58
Pre-Test: Intellectual
694.89
1
694.89
158.67
.00
Trt
.40
1
.40
.09
.77
Error
245.25
56
4.38
Corrected Total
955.19
58
Pre-Test: Physical Appearance
395.66
1
395.66
70.88
.00
Trt
4.79
1
4.79
.86
.36
Error
312.62
56
5.58
Corrected Total
708.88
58
Table 4-9
Analysis of Covariance for Main Effects of Treatment for PHCSCS Subscales -
Anxiety, Popularity, and Happiness
Source
SS
df
MS
F
P
Pre-Test: Anxiety
341.92
1
341.92
78.87
.00
Trt
1.14
1
1.14
.26
.61
Error
242.78
56
4.33
Corrected Total
608.24
58
Pre-Test: Popularity
329.83
1
329.83
71.51
.00
Trt
2.13
1
2.13
.46
.50
Error
258.31
56
4.61
Corrected Total
590.98
58
Pre-Test: Happiness
116.48
1
116.48
62.86
.00
Trt
1.16
1
1.16
.62
.43
Error
103.77
56
1.86
Corrected Total
220.95
58


65
Table 4-10
Factorial Analysis of Covariance for Interaction of Gender, Age-Level and Level of Time
in ESOL/ESL Programs, and Self-Concept PHCSCS Behavior Subscale
Source
SS
df
MS
F
2
Pre-Test: Behavior
142.17
1
142.17
24.06
.00
Sex*Trt
12.46
1
12.46
2.11
.15
Error
319.16
54
5.91
Pre-Test: Behavior
146.67
1
146.67
22.90
.00
Age*Trt
7.58
3
2.53
.39
.76
Error
320.18
50
6.40
Pre-Test: Behavior
124.06
1
124.06
22.54
.00
ESL*Trt
26.70
2
13.35
2.43
.10
Error
286.25
52
5.51
Corrected Total
568.75
58
Table 4-11
Factorial Analysis of Covariance for Interaction of Gender. Age-Level and Level of Time
in ESOL/ESL Programs, and Self-Concept
- PHCSCS Intellectual Status Subscale
Source
SS
df
MS
F
2
Pre-Test: Intellectual
659.36
1
659.31
149.95
.00
Sex*Trt
7.73
1
7.73
1.76
.19
Error
237.44
54
4.40
Pre-Test: Intellectual
626.68
1
626.8
145.66
.00
Age*Trt
22.63
3
7.54
1.75
.17
Error
215.12
50
4.30
Pre-Test: Intellectual
553.51
1
553.51
123.75
.00
ESL*Trt
2.86
2
1.43
.32
.73
Error
232.58
52
4.47
Corrected Total
955.19
58


66
Table 4-12
Factorial Analysis of Covariance for Interaction of Gender, Age-Level and Level of Time
in ESOL/ESL Programs, and Self-Concept PHCSCS Physical Appearance Subscale
Source
SS
df
MS
F
P
Pre-Test: Physical Appearance
357.35
1
357.35
62.29
.00
Sex*Trt
1.53
1
1.53
.27
.61
Error
309.84
54
5.74
Pre-Test: Physical Appearance
295.75
1
295.75
54.89
.00
Age*Trt
8.97
3
2.99
.56
.65
Error
269.42
50
5.39
Pre-Test: Physical Appearance
314.30
1
314.30
53.67
.00
ESL*Trt
4.58
2
2.29
.39
.68
Error
304.52
52
5.86
Corrected Total
708.88
58
Table 4-13
Factorial Analysis of Covariance for Interaction of Gender. Age-Level and Level of Time
in ESOL/ESL Programs, and Self-Concept PHCSCS Anxiety Subscale
Source
SS
df
MS
F
P
Pre-Test: Anxiety
298.06
1
298.06
66.65
.00
Sex*Trt
1.28
1
1.28
.256
.60
Error
241.48
54
4.47
Pre-Test: Anxiety
323.82
1
323.82
71.80
.00
Age*Trt
12.01
3
4.00
.89
.45
Error
225.52
50
4.51
Pre-Test: Anxiety
260.64
1
260.64
57.00
.00
ESL*Trt
2.65
2
1.32
.29
.75
Error
237.77
52
4.57
Corrected Total
608.24
58


67
Table 4-14
Factorial Analysis of Covariance for Interaction of Gender, Age-Level and Level of Time
in ESOL/ESL Programs, and Self-Concept PHCSCS Popularity Subscale
Source
SS
df
MS
F
P
Pre-Test: Popularity
328.93
1
328.93
70.09
.00
Sex*Trt
4.72
1
4072
1.01
.32
Error
253.41
54
4.70
Pre-Test: Popularity
282.17
1
282.17
61.40
.00
Age*Trt
12.77
3
4.26
.93
.44
Error
229.79
50
4.60
Pre-Test: Popularity
200.33
1
200.33
46.05
.00
ESL*Trt
15.09
2
7.55
1.74
.19
Error
226.19
52
4.35
Corrected Total
590.98
58
Table 4-15
Factorial Analysis of Covariance for Interaction of Gender. Age-Level and Level of Time
in ESOL/ESL Programs' and Self-Concept PHCSCS Happiness Subscale
Source
SS
df
MS
F
P
Pre-Test: Happiness
93.94
1
93.94
52.81
.00
Sex*Trt
6.50
1
6.50
3.65
.061
Error
69.06
54
1.78
Pre-Test: Happiness
88.22
1
88.22
54.65
.00
Age*Trt
4.69
3
1.56
.97
.42
Error
80.72
50
1.61
Pre-Test: Happiness
98.87
1
98.87
55.23
.00
ESL*Trt
.145
2
7.23
.04
.96
Error
93.09
52
1.79
Correlated Total
220.95
58
Student Attitude Toward School
To study the effects of treatment on students attitudes toward school, statistical
analyses were conducted on School Attitude Inventory (SAI) scores for the experimental
group. The SAI is a self-report measure of a childs attitude toward school. Lower overall
scores indicate a more negative attitude toward school while higher overall scores
indicate a more positive attitude toward school. The resulting data were used to test the
second null hypothesis:


68
Ho2: There is no difference in the attitude toward school of third, fourth and
fifth grade Hispanic American/Latino, LEP children in ESOL/ESL
programs as a result of participation in the experimental small group
intervention.
Participation in the small group intervention by the experimental group yielded no
significant differences in score means on the SAI when compared to the control groups
scores. Therefore, Ho2 was not rejected (see table 4-16). This result indicates that the
participating LEP, Hispanic American/Latino students overall attitudes toward school
were not significantly affected by the small group intervention (F (1,56) = .53, p = .47).
The covariate analysis was significant (F (1,56) = 44.49, p < .001) indicating a significant
difference between the pre-test group means.
Table 4-16
Analysis of Covariance for Main Effects of Treatment for SAI
Source
SS
df
MS
F
P
Pre-Test
7800.42
1
7800.42
44.49
.00
Trt
92.61
1
92.61
.53
.47
Error
3818.48
56
175.33
Corrected Total
18031.19
58
The treatment by gender interaction was examined for the SAI. A factorial
ANCOVA was performed to test the following null hypothesis:
Ho6: There is no treatment by gender interaction for attitudes toward school.
The independent variable of gender did not significantly interact with treatment
for the SAI (F (1, 54) = .98, pj= .33), as shown in Table 4-17. Therefore, this null
hypothesis was not rejected.


69
Table 4-17
Factorial Analysis of Covariance for Interaction of Gender and Attitude Toward School
Source
SS
df
MS
F
Pre-Test
7791.46
1
7791.46
45.21
.00
Sex*Trt
168.73
1
168.73
.98
.33
Error
9306.16
54
172.34
Corrected Total
18031.19
58
Another factorial ANCOVA was performed to test the following null hypothesis:
Ho7: There is no treatment by age-level interaction for attitudes toward school.
The independent variable of age-level did not significantly interact with the
treatment for the SAI (F (1,50) = .57, p = .64). Therefore, the null hypothesis was not
rejected (see Table 4-18).
Table 4-18
Factorial Analysis of Covariance for Interaction of Age-Level and Attitude Toward
School
Source
SS
df
MS
F
P
Pre-Test
7320.86
1
7320.86
40.36
.00
Age*Trt
312.56
3
104.19
.57
.64
Error
9069.64
50
181.39
Corrected Total
18031.19
58
The treatment by level of time in ESOL/ESL program interaction was examined
for the SAI by factorial ANCOVA to test the following null hypothesis:
Ho8: There is no treatment by level of time in ESOL/ESL program interaction
for attitudes toward school.
The independent variable level of time in ESOL/ESL program did not
significantly interact with treatment. Therefore, the null hypothesis was not rejected (see
Table 4-19).


70
Table 4-19
Factorial Analysis of Covariance for Interaction of Level for Time in ESOL/ESL
program and Attitude Toward School
Source
SS
df
MS
F
P
Pre-Test
6001.61
1
6001.61
32.94
.00
ESL*Trt
63.76
2
31.88
.18
.84
Error
9473.38
52
182.18
Corrected Total
18031.19
58
The data derived from the three subscales of the SAI also were examined in
regard to attitudes toward school, gender, age-level, and level of time in an ESOL/ESL
program. No statistically significant effects were found by the respective ANCOVA. The
data analyses for main effects of treatment for the SAI subscales are presented in Table
4-20. Tables 4-21 through 4-23 present data analyses of interactions for gender, age and
years in ESOL/ESL programs, and SAI subscales.
Table 4-20
Analysis of Covariance for Main Effects of Treatment for SAI Subscales Happiness,
Stress and Self-Control
Source
SS
df
MS
F
P
Pre-Test: Happiness
272.89
1
272.89
15.18
.00
Trt
8.63
1
8.63
.48
.49
Error
1006.57
56
17.98
Corrected Total
2110.92
58
Pre-Test: Stress
674.77
1
674.77
11.58
.00
Trt
10.08
1
10.08
.17
.68
Error
3263.87
56
58.28
Corrected Total
3975.56
58
Pre-Test: Control
881.12
1
881.12
20.09
.00
Trt
16.23
1
16.23
.37
.55
Error
2456.43
56
43.87
Corrected Total
3395.19
58


71
Table 4-21
Factorial Analysis of Covariance for Interaction of Gender, Age-Level and Level of Time
in ESOL/ESL Programs, and Attitudes Toward School SAI Happiness Subscale
Source
SS
df
MS
F
P
Pre-Test: Happiness
1039.70
1
1039.70
57.20
.00
Sex*Trt
18.93
1
18.93
1.04
.31
Error
981.55
54
18.18
Pre-Test: Happiness
1054.36
1
1054.36
56.12
.00
Age*Trt
58.75
3
19.58
1.04
.38
Error
939.32
50
18.79
Pre-Test: Happiness
917.28
1
917.28
46.98
.00
ESL*Trt
47.20
2
23.60
1.29
.29
Error
954.42
52
18.35
Corrected Total
2110.91
58
Table 4-22
Factorial Analysis of Covariance for Interaction of Gender. Age-Level and Level of Time
in ESOL/ESL Programs, and Attitudes Toward School SAI Stress Subscale
Source
SS
df
MS
F
P
Pre-Test: Stress
603.93
1
603.93
10.22
.00
Sex*Trt
68.19
1
68.19
1.15
.29
Error
3191.79
54
59.11
Pre-Test: Stress
599.93
1
599.93
9.97
.00
Age*Trt
174.44
3
58.15
.97
.42
Error
3007.88
50
60.16
Pre-Test: Stress
291.69
1
291.69
4.90
.03
ESL*Trt
157.44
2
78.72
1.32
.28
Error
3093.82
52
59.50
Corrected Total
3975.56
58


72
Table 4-23
Factorial Analysis of Covariance for Interaction of Gender, Age-Level and Level of Time
in ESOL/ESL Programs, and Attitudes Toward School SAI Self-Control Subscale
Source
SS
df
MS
F
P
Pre-Test: Control
953.85
1
953.85
22.11
.00
Sex*Trt
6.99
1
6.99
.00
.97
Error
2330.01
54
43.15
Pre-Test: Control
798.88
1
798.88
18.32
.00
Age*Trt
45.20
3
15.07
.35
.79
Error
2179.98
50
43.60
Pre-Test: Control
832.94
1
832.94
18.46
.00
ESL*Trt
3.65
2
1.82
.04
.96
Error
2346.09
52
45.12
Corrected Total
3395.19
58
Academic Success
Qualitative data analysis was applied to the students' replies to the structured-
interview questionnaire that was given one week after the conclusion of the 6-week
treatment period. The data from the surveys were separated into two categories for
students in the control and experimental groups. The three questions asked were as
follows: (1) Since the school year started, what or who has helped you with your school
work the most? ; (2) Since the school year started, how happy are you at school? ; (3)
Since the school year started, have you seen your grades and school success change?
Key-word-in-context (KWIC) (Ryan & Bernard, 2000) lists were created for both
the control and experimental group interviewees in order to determine possible
differences between the two groups' responses to the three questions. Overall, 18 of the
24 students responding to the questionnaire indicated improved grades and school
success between the start of the school year and the interview. Four of the 12 children in
the treatment group pointed to the assistance of their ESOL/ESL teachers as being very
helpful to them. Five children in the experimental group indicated that they were


73
very/really happy at school. No children among the interviewed control group
participants mentioned their ESOL/ESL teachers nor did any elaborate on the degree of
change in positive feelings toward school.
What/Who has helped the most. Ten children in the control group indicated that
their teachers had helped them the most. However, two of the control group children
indicated that a family member (i.e., mother and cousin) as being most helpful.
Responses of children in the experimental group were evenly split among those about
teachers (n = 4), parents (n = 4), and ESOL/ESL teachers (n = 4) who were assisting them
with learning English.
How happy are you at school. Students in the control group responded to this
question in a variety of ways, with eleven children simply indicating they felt happy,
excited, fine, and/or good about school. One control-group student indicated
feeling sad at school. In contrast, seven of the 12 students in the experimental group
responded, for example very/really happy, happy since day one, so happy about my
good grades, to this question. They elaborated on their responses by stating that
homework had become easier and their grades had improved since the beginning of
school.
How have you seen your school success/grades change. Each of the 12 students
from the experimental group and the control, 24 in total, indicated that their grades had
improved or that they had always received good grades in their schoolwork. Two of the
students in the control group indicated having received better grades since the beginning
of the school year, specifically in the areas of reading and mathematics; one student in the
treatment group indicated improved grades in math, reading and science.


74
Summary
A summary of the results arranged by dependent variable follows.
Self-Concept (Piers-Harris Children Self-Concept Scale)
1. There was no significant difference between treatment and control groups in
regard to self-concept.
2. There was no significant interaction among gender, age-level and level of years in
ESOL/ESL programs and self-concept.
School Attitude (School Attitude Inventory)
1. There was no significant difference between the treatment and control groups in
regard to students attitudes toward school.
2. There was no significant interaction among gender, age-level and level of years in
ESOL/ESL programs and attitudes toward school.
Academic Success (Structured Interview)
1. Four children in the experimental group indicated their ESOL/ESL teacher
assisted them with their schoolwork, as compared with no children in the control
group indicating the assistance of their ESOL/ESL teacher.
2. Seven children in the experimental group provided detailed responses about their
feelings, as compared to none in the control group.
All children (n = 24) provided similar responses about improved grades since the
beginning of the term.
3.


CHAPTER 5
DISCUSSION
The purpose of this study was to determine the effectiveness of a solution-
focused, small group counseling intervention on the self-concept, attitude toward school
and the perceived school success of limited-English proficient, Hispanic American/Latino
children. Fifty-nine Hispanic American/Latino children in the third, fourth, and fifth
grades participated in the study. Each was enrolled in an English-Speakers-of-Other-
Languages/English-as-a-Second-Language (ESOL/ESL) program in four different public
elementary schools in Indiana. The participants were randomly assigned to control and
treatment groups. For the purposes of data analyses, the eight (4 control and 4
experimental) groups were consolidated into one control group (n = 31) and one
treatment group (n = 28).
Two school counseling interns who were enrolled in a graduate-level school
counseling program in a counselor education department administered the 6-week
treatment. The main focus of the small group intervention was to assist the children to
have better understanding of their self-concepts, to develop positive attitudes toward
school, and establish strategies for attaining overall school success. Other activities and
discussions during the small group experience were intended to teach the children
effective ways of communicating their feelings about school, how their attitudes toward
school impacted their academic success, what it meant to be limited-English proficient,
and how they felt about being bilingual in a public school setting (see Appendix E).
75


76
Students participating in the treatment were compared with those in the control
group on three dependent variables: (a) self concept, (b) school attitude, and (c) overall
school success. The students' self-concepts and attitudes toward school were pre- and
post-measured using the Piers-Harris Children Self-Concept Scale (PHCSCS) and the
School Attitude Inventory (SAI), respectively.
Examination of the participants self-perceived school success also was addressed
through use of a three-item questionnaire administered to randomly selected participants
from both the experimental and control group members. The interviews were conducted
at the conclusion of the 6-week treatment period and occurred during the latter part of the
fall semester. Of the 59 children who participated in the study, 24 (12 from the control
group and 12 from the treatment group) were individually interviewed. Participants
responses to the three questions were transcribed and examined for common themes. A
Key-Words-in-Context analysis (KWIC) (Ryan & Bernard, 2000) was used to determine
if the treatment conditions affected treatment participants' overall perceived school
success as compared to that of the control group participants. Gilgun, Daly and Handel
(1992) indicated that KWIC analyses could be effectively used to determine if significant
similarities and difference are present in qualitative results from an interview.
Conclusions
The results of data analyses indicated that the small group treatment had no
significant differential effect on the participants' self-concepts. The differences between
the pre- and post PHCSCS scores, using ANCOVA, were not found to be statistically
significant. In addition, no significant interactions for treatment by gender, age, or
amount of time participants spent in ESOL/ESL programs were found when the treatment
and control group participants' PHCSCS pre-post scores were compared. Therefore it is


77
concluded that study participants' gender, age and time in ESOL/ESL programs, whether
members of the experimental or control groups, had no influence on their self-concepts.
Scores for the six subscales of the PHCSCS also were not significantly affected
by treatment. Thus, the small group treatment did not significantly impact the
experimental participants' happiness, intellectual status, anxiety, popularity, physical
appearance, or behavior as compared to students in the control group.
The ANCOVA on student responses on the SA1 indicated no statistically
significant interactions between treatment and attitudes toward school. Therefore, the
intervention had no significant effect on the experimental group participants' attitudes
toward school as compared to their control group peers.
There also were no statistically significant interactions for treatment by gender,
age, or amount of time spent in ESOL/ESL programs in regards to participants' attitudes
toward school. Therefore, the participants results were not influenced by gender, age, or
how many years they had been enrolled in an ESOL/ESL program.
Pre- and post-measure data analyses concerning happiness, stress, and self-control
subscales of the SAI did not significantly differ as a result of treatment. Children in the
treatment group did not report feeling significantly differently than children in the control
group in regards to their happiness, stress and self-control at school.
The KWIC analysis results from the 24 post-treatment interviews did yield
several differences in the responses of the children in the control group versus those who
had participated in the 6-week-long treatment.
Discussion
The children in the treatment groups spent 6 weeks in the counseling groups and
were provided with specific opportunities to assist them to learn and practice techniques


78
intended to improve their self-concept and attitudes toward school. Interestingly, other
researchers (Arrendondo, 1996; McFadden, 1999) have alluded to the importance of age
and time spent in ESOL/ESL classes as being related to having an impact on the
participants' self-concepts and attitudes toward school. Thus, the lack of significant
difference between the control group and the treatment group on these variables was an
unexpected finding.
Because both the PHCSCS and SAI have separate subscales, a secondary purpose
of this study was to determine if there were differences between the control and treatment
group children's scores on the subscales. Again, the children in the treatment group did
not significantly differ from children in the control group for any of these subscales.
As shown in Chapter 4, participants had an above average self-concept mean,
both pre- and post-treatment, when compared to the PHCSCS normative data. According
to Piers (1984), the average score for the PHCSCS rages between the 31st and 70,h
percentile. The mean pre- and post-test PHCSCS scores for the participants in this study
were eight and nine points higher, respectively, than the mean score for the normative
population. This finding places the participants, as a group, at approximately the 60th
percentile pre and post treatment on the PHCSCS. The difference between the post
treatment mean PHCSCS score for the treatment and control group was small and not
significant, which might be attributable to the fact that both groups means were
relatively high initially.
Unlike the PHCSCS, the SAI is not a norm-referenced test (Cuthbert, 1987) and
normative data do not exist for it. For this sample, the mean score on the pre-measures of
the SAI was 130.95 and the average post-measure score was 131.75. According to
Cuthbert, these scores may be classified as positive attitudes toward school. Again,
*


79
there was no significant change in students attitudes toward school following treatment
possibly because the participants attitudes were favorable initially.
In searching for explanations for the findings, several questions can be raised. For
example, were the instruments and/or the intervention appropriate for LEP, Hispanic
American/Latino children? Were the group facilitators, two Caucasian women who did
not speak Spanish, appropriate for this study and were they culturally responsive? Did
their ethnicity and inability to speak Spanish somehow hinder their ability to translate a
particular concept or establish rapport with the children in the experimental group?
Finally, was the intervention not lengthy or intensive enough to yield measurable
differences between the treatment and control group? Further research is needed to
provide answers to these and related questions.
The only evidence of treatment effect on the experimental group participants was
found in the qualitative data gathered, which was administered by the researcher without
prior knowledge of whether the respondents were in the control group or the treatment
group. The KWIC analysis of the qualitative questionnaire points in regard to the
prevalence of expressive and feeling-focused language in the responses treatment group
children revealed some (subjective) effects. These children elaborated and verbalized
their feelings more regarding their school success than did control group. In point of fact,
none of the 12 children interviewed from the control group responded to the qualitative
questions by expressing their feelings about school. A focused discussion of the
childrens feelings about school success was one of the major components of the small
group treatment process. Thus, it was not surprising to find they expressed their feelings
about school more readily.


80
Examples of how children in the treatment group responded to how happy they
felt about school success included, I am really happy because I'm getting better grades
since (sic) last year, and Im very happy because I have a good teacher and good
friends. Examples of responses from children in the control group include, I feel fine,
or I feel good, and Im kind of happy. These findings coincide with those of Corey
(2000) who suggested that the benefits derived from participating in a small group
counseling experience include the enhanced ability to be expressive and to better
communicate feelings.
The small group experience also appears to have contributed to the experimental
children being able to express personal awareness of the teachers role in their overall
school success. Several treatment group children highlighted the positive influence that
their ESOL/ESL teachers had on them since the beginning of the school year. For
example, one of the boys in the treatment group responded to who or what has
helped with schoolwork the most by saying, Mrs. has helped me learn
English. Another boy answered, Mrs. knows Spanish and helps me with school
work. Finally, a third grade girl said, Mrs. my special teacher, has helped me
do better in reading and writing. Again, these are important findings in that positive
feelings being expressed toward participants ESOL/ESL teachers likely would translate
to positive performance in the classroom. Researchers (Samway & McKeon, 1999) have
shown that LEP students enrolled in schools where their ESOL/ESL teachers are
perceived as positive role models is a factor that contributes positively to the overall
success of those children. These same researchers concluded that when ESOL/ESL
teachers are viewed by their students as being positive and as constant and fundamental


81
parts of their learning experiences, the children are much more likely to achieve
academically.
These findings may be due, in part, to the fact that during the small group
counseling process, considerable time was spent discussing the meaning of being
bilingual and ethnically different. In addition, the group facilitators discussed what it
meant to be enrolled in an ESOL/ESL program and what and how the situation affects
feelings about school. It is clear that some children in the treatment group internalized
certain lessons or topics from the small group intervention, leading them to provide more
positive responses to the qualitative questionnaire than those offered by children in the
control group.
Hispanic American/Latino children being able to express and verbalize their
feelings regarding school is an immeasurable, positive ability and one that contributes to
their overall school success. Thus, these findings add some credence to the value of using
small group counseling as an intervention with ESOL/ESL-enrolled Hispanic
American/Latino, elementary school aged children.
Limitations
In considering the results of this study, several limitations should be taken into
account. First, the length of the treatment may have been a limitation. Six approximately
40-minute sessions spread over 6 weeks is common in this type of research and has been
considered an effective format for conducting a small group guidance interventions with
children (Myrick, 1997; Wittmer, 2000). However, these Hispanic American/Latino,
bilingual children may have benefited more from a lengthier intervention, especially as it
relates to change in self-concept. Given the language limitation of many of the students
participating in this study, having been provided more time to familiarize themselves


82
with more of the terminology and procedures used may have yielded more significant,
positive effects on their self-concepts and attitudes toward school.
The location of the study may limit the generalization of these findings. Indianas
population is 3.5% Hispanic American/Latino, compared with 12.5% for the entire U.S.
In addition, many states have a greater population of Hispanic American/Latino residents
than does Indiana. For example, California has 32.4%, Florida 16.8%, Illinois 12.3%,
New York 16.8%, and Texas 32.0% (U.S. Census, 2001). This situation may have an
impact on how children in schools and/or communities with a small population of
Hispanic American/Latinos feel about themselves and their school when compared to
children in schools and/or communities with larger numbers of Hispanic
American/Latino students.
Another limitation may have been the group facilitators lack of work-related
experiences. Both facilitators were school counseling graduate students in their final
internship experience. Although both had previous experience in public schools (i.e.,
teaching, practicum, and temporary school counselor status), neither had been previously
employed as a full-time school counselor. Also, the children may have been confused by
the presence of the outside-the-school interns conducting their small groups. In
addition, both of the school counseling interns who facilitated the small groups were
female Caucasians and their ethnicity and gender may have been a limitation of the study.
None of the six small group counseling sessions were designed to focus
specifically on particular subscales of either the PHCSCS or the SAI, which may have
accounted for the lack of significant interactions or differences for these variables
between treatment and control group members.


83
The particular public schools where the study was conducted also may have been
a limitation. Public school settings are prone to various factors that affect childrens self-
concepts, attitudes toward school, and overall school success (Webb, 1999). In addition,
it is not known what role the Hispanic American/Latino parents may have played in these
findings.
A final limitation is the fact that the four school principals volunteered to have
their schools participate in the study. Randomization of all possible schools and
participants might have resulted in different results.
Implications
There is a relative paucity of research about counseling Hispanic American/Latino
children, whether in small groups or individually. Even narrower in scope is the research
about counseling LEP students from native Spanish-speaking homes. This research study
therefore has contributed to the professional research even though significant differences
were not found between the control and treatment groups on quantitative measures.
The value of using small group counseling with young Hispanic American/Latino
children remains potentially positive and could be used effectively to help these children
to understand their roles as minorities in their school, practice study skills, and develop
other skills (Myrick, 1997). As demonstrated in the responses to the questionnaire,
Hispanic American/Latino students taking part in a small group counseling activity will
at least benefit from increased self-expression and greater awareness of the educators
who are instrumental to their attaining school success.
A small group guidance intervention specifically designed for LEP, Hispanic
American/Latino students in ESOL/ESL programs also remains an appropriate forum to
discuss issues and concerns specific to these children. Small group counseling


84
interventions are proven methods to enrich the academic and psychosocial environments
of elementary school children of any race or ethnicity (Gopaul-McNicol & Thomas-
Presswood, 1998; Myrick, 1997; Thompson & Rudolph, 2000). The qualitative findings
also support the use of a solution-focused small group counseling approach as a method
to assist these type of children to better understand the part their ESOL/ESL teachers play
in them attaining academic success.
Finally, the group facilitators training workshop developed for use in this study
(Appendix B) may be of benefit for practicing school counselors, teachers, school
counseling students in training, counselor educators, and other educators. Mental health
practitioners working with LEP Hispanic American/Latino students can apply the
information in the workshop effectively to their specific work settings. With the size of
the bilingual Hispanic American/Latino school population increasing, school counselors
need to understand the intricacies of how LEP children learn as well as effective
strategies for ensuring their positive psychosocial.
Recommendations for Further Study
A similar study could be conducted with Hispanic American/Latino, LEP children
to include an extended intervention time. An increase in the number of small group
sessions, perhaps two to four additional sessions, might provide the time necessary to
discuss the topics and themes more adequately and also allow more time for practice of
the school success skills. Potentially, this would add to the efficacy of the intervention.
It is also recommended that this study be replicated using experienced, practicing
school counselors (i.e., employed full-time in the particular elementary school where the
LEP, Hispanic American/Latino children are enrolled). Having a familiar person as
leader of the small group experience seemingly would be important to the children and


85
might yield quantitative results. It is also recommended that the study be replicated using
a combination of Hispanic and Caucasian school counselors, perhaps comparing the
effectiveness of each as well as comparing the effectiveness of male and female group
facilitators.
A similar study should be conducted to compare the differences between
conducting the small group counseling intervention in Spanish and English. Even though
most LEP children in the U.S. receive some ESOL/ESL education, and are therefore
familiar with the English language, it would be beneficial to measure their reaction to
counseling interventions provided in their native language.
Another promising investigation would be to explore the differences in self-
f,
concept, attitudes toward school, and school success of Hispanic American/Latino, LEP

children enrolled in private schools versus those attending public schools.
This study also should be replicated with Hispanic American/Latino middle
school students. Older children would, most likely, have a better grasp of the English
language and would thus have more experience and understanding of topics discussed
during the small group meetings.
Researchers (Lee, 1995; Schmidt, 1999) report that changes in self-concept may
take more time to manifest than six weeks. Hence, future researchers also should review
the change in self-concept of participants at the conclusion of the treatment period, as
well as at the end of the school year. It also would have been interesting to compare the
year-end grades and standardized achievement scores of children in the treatment group
with children in the control group.
Finally, it is recommended that the training workshop designed for this study be
provided to other school counselors and counselor educators. The information presented
i


86
in the workshop has been thoroughly researched and provides a synopsis of literature on
working with LEP, Hispanic American/Latino children in ESOL/ESL programs. The
facilitators training workshop also highlights effective ways of assisting these LEP,
special needs children that would be of benefit to practicing all practicing school
counselors.
Summary
The goals for conducting this research study were to assist the social, emotional
and academic development of LEP Hispanic American/Latino children in elementary
school via a small group counseling intervention. And, related literature clearly indicated
that such treatment would be beneficial for these children. For this reason, a specially
designed small group counseling treatment was developed and administered.
Unfortunately, the quantitative results were insignificant.
Although the summative quantitative analysis yielded no significant differences
between those children who received the treatment versus those who did not, several
differences between groups were witnessed in how children viewed their academic
success. Regardless of quantitative findings, however, the fact remains that more, newer
research is needed in the area of counseling Hispanic American/Latino children and
adolescents. This study provides a beginning to such research and enriches the current
counseling literature. Hopefully this study will also provide the impetus to future
researchers to work to discover new and innovative methods to assist Hispanic
American/Latino children to better succeed in their school environment.


APPENDIX A
CONSENT LETTERS, ASSENT SCRIPTS, LETTERS TO PRINCIPALS


Department of Counselor Education
PO Box 117046 University of Florida
Gainesville, FL 36211
Dear Parent/Guardian,
My name is Jose Villalba and I am a doctoral student at the University of Florida, conducting
research on school counseling with Hispanic American/Latino, limited-English (LEP) proficient students
under the supervision of Dr. Joe Wittmer. The purpose of this study is to compare the perceptions of
Hispanic American/Latino LEP students enrolled in English as Second Languages (ESL) program in 3rd, 4,h
and 5th grades who take part in a small-group counseling intervention, with LEP students in ESL programs
who do not participate in the intervention. The results of the study may better help school counselors
understand the types of interventions that can help Hispanic American/Latino LEP students become better
adjusted to the school environment and ESL program. Each group will be lead by a group facilitator.
If you should decide to allow your child to participate in this study, please be advised of the
following:
Half of the students who participate will be randomly selected to take part in the small group
counseling intervention. This will take six weeks, and the group will meet once a week for a
30-40 minute session. The group facilitator and your son/daughters principal will determine
the group meeting-time and how to make up missed class work and assignments. The
sessions will feature activities and discussions that focus on helping students learn more
about their feelings, self-concept, attitude towards school and academic success.
The other half of the students not receiving the intervention will maintain their regular school
routine, helping to determine the effectiveness of the small-group counseling intervention.
All participating students, even those not selected to take part in the counseling intervention,
will be asked to complete two instruments about their attitude towards school and their self-
concept if they agree. This will require about 30 minutes of their time prior to the beginning
of the intervention and again at the conclusion of the intervention, about 8 weeks later.
The group facilitator will read the instruments to students at a time she/he has arranged with
the teacher. The students will not have to mark or answer any items they do not want to.
In addition, the principal researcher for this study will randomly select a few students from
each school (40% students from each school) and ask them three open-ended questions as
part of an interview to see how they perceive their academic success.
Although the children will be asked to write their names on a checklist for matching
purposes, their identity will be kept confidential to the extent provided by law. We will
replace their names with code numbers. Results will only be reported in the form of group
data and will be available upon request after January 2002.
Participation or non-participation in this study will not affect the childrens grades or
placement in any programs.
You and your child have the right to withdraw consent at any time without consequence.
Please contact your childs school principal, if you have any
questions. I am also available to answer any questions you may have regarding the research study. My
telephone number and that of my supervisor are provided below. Concerns or questions about the research
participants rights can be directed to the University of Florida-Instructional Review Board (UF1RB) Office,
PO Box 112250, University of Florida, Gainesville, FL 32611-2250; phone (352) 392-0433.
If you are satisfied with the information provided and are willing to have your child participate in
this research study, please sign the Parent/Guardian Consent below and return it to your childs school
counselor.
Sincerely,
Jose Villalba, Ed. S. Joe Wittmer, Ph.D.
Researcher, (812) 237-8440 Professor, University of Florida, (352) 392-0731
88


89
Department of Counselor Education
PO Box 117046 University of Florida
Gainesville, FL 32611
Estimado Padre/Guardian,
Mi nombre es Jose Villalba y soy un estudiante para doctorado en la Universidad de la Florida,
dirijiendo un estudio sobre la consejera escolar con estudiantes Hispano Americanos/Latinos, con
proficiencia limitada con el Ingles, bajo la supervision de el Dr. Joe Wittmer. El proposito de este estudio
es comparar las percepciones de ios Hispano Americanos/Latinos matriculados en programas para el
aprendisaje de Ingles (llamado ESL en el colegio de su hijo/hija) en el tercero, cuarto o quinto grado que
participaran en un grupo pequeo de consejera, con otros ios en clases ESL/ESOL que no participaran
en el grupo. Los resultados de este estudio sern usados para ayudar a que los consejeros escolares
entiendan que tipo de asistencia necesitan estudiantes Hispano Americanos/Latinos, para que estos ios
puedan acostumbrarse mejor a el medioambiente escolar y los programas de ESL. Tomen en cuenta que un
adulto entrenado en consegeria sera la perosona administrando el estudio en su colegio.
Si usted decide permitir la participacin de su hijo/hija en este estudio, por favor tomen en cuenta
los detalles que siguen:
De los ios que participaran en el estudio, la mitad sern escojido para tomar parte en el
grupo de consejera. La experiencia en el grupo tomara sies semanas, y el grupo se va a reunir
una vez a la semana por 30-40 minutos. El lder de el grupo y el administrador (pricipal) de su
hijo/hija determinaran el horario y dia semanal, mas otros detalles. Los tpicos de discucion
sern el auto-estima personal, expresin de sentimientos, actitude escolar y logros
acadmicos, y sern discutidos en forma de actividad y discuciones entre el grupo.
La otra mitad de el grupo de estudiantes no sera parte de el grupo inicialmente. Ellos
mantendrn su rutina escolar normal, y ayudano a determinar la efectividad de el grupo.
A todos los ios, hasta los que no sern parte de el grupo de consejeria, se les pedir que
tomen dos cuestionarios sobre sus actitudes con respecto al colegio y su auto-estima,
solamente si ellos quieren responder. Los questionarios tomaran 30 minutos de su tiempo, y
sern adiministrados una semana antes de empesar en grupo, y 8 semanas despus.
El lider de el grupo leer los cuestionarios a los estudiantes durante un tiempo determindo por
el y la maestra de su hijo/hija. Los ios no tienen que responder las preguantas que no
quieran.
En adicin, yo como investigador principal voy a escoger a unos estudiantes de cada escuela
(40% de estudiantes por escuela) y les voy a hacer tres preguntas de discucion como parte de
una entrevista para determinar opiniones sobre logros acadmicos.
Aunque a los ios se les pedir que escriban sus nombres en una lista con el proposito de
determinar quien respondi a cual cuestionario y en que colegio esta, sus identidades sern
mantenidas legalmente confidenciales. Resultados de este proyecto sern reportado solamente
en forma de el grupo completo y estarn listas despus de Enero 2002.
Sus decision de dejar o no dejar que su hijo/hija participe en este estudio no afectara sus
calificaciones o participacin en programas.
Usted y su hijo/hija tiene el derecho de terminar el proyecto cuando quiera sin consecuencia.
Por favor comuniqese con el administrador (principal) de su hijo/hija,
, si tiene cualquier pregunta. Yo tambin estoy disponible a responder
cualquier pregunta que usted tenga con respecto a mi estudio. Mi numero de telefono y el de mi supervisor
estn escrito abajo. Preguntas sobre los derechos de los participantes pueden ser dirigidas a The University
of Florida-Instructional Review Board (UFIRB) Office, PO Box 112250, University of Florida,
Gainesville, FL 32611, telefono (352) 392-0433.
Si ustedes estn satisfechos con esta informacin, y desean permitir que su hijo/hija participe en
este estudio, por favor firme la forma de permiso en la prxima pagina y devulvala a el consejor escolar.
Muchas Gracias,
Jos Villalba, Ed. S.
Investigador principal, (812) 237-8440
Joe Wittmer, Ph. D.
Professor, University of Florida, (352) 392-0731


90
Please return this form to the school counselor/ Por favor de vuelva esta forma a el consejero escolar
1 have read the procedure described in the previous page. I voluntarily give consent for my child,
, to participate in Jose Villalbas (Ed.S.) study, and I have received a copy of this
description.
Yo he ledo el proceso descrito en la pagina anterior detalladamente. Yo voluntariamente doy permiso para
que mi hijo/hija, participe en el estudio de Jos Villalba (Ed.S.), y yo he
recibido un copia de la descripcin de el proyecto.
Parent-Guardian/Padre-Guardian
Date
2nd Parent-Guardian/2"d Padre-Guardian
Date


91
Assent Script for All Hispanic American/Latino LEP, ESL Students
(Third, Fourth and Fifth Grades)
The following statement is to be read aloud to all students prior to administering the pre-
and post-test instruments. The name of each group facilitator will go in the blank space.
Hello,
My name is I am helping a University of Florida
student, Jose Villalba, who is also teacher at Indiana State University, gather
information about the way Hispanic American/Latino students your age feel about
themselves and school. I would like to ask you to complete two checklist forms with
me today, and two again at a later time. I will read them to you. Only myself and
Mr. Villalba will see your individual answers.
I already received permission from your parents to see you today. If you do
choose to take part in the test but feel like you dont want to answer a certain
questions, you may stop at any time.
Would you like to do this?


92
Assent Script for Hispanic American/Latino LEP, ESL Students
Randomly Selected for Small Group Counseling
(Third, Fourth and Fifth Grades)
The following statement is to be read aloud to all students selected to participate in the
small group counseling intervention. The name of each group facilitator will go in the
blank space.
Hello,
My name is I am helping a University of Florida
student, Jose Villalba, who is also teacher at Indiana State University, try out some
ways school counselors can help Hispanic American/Latino students become more
comfortable with school. Once each week for the next six weeks, I will be meeting
with a group of students for discussions and activities that have to do with being
happy and successful at school. You will have the opportunity to take part in these
groups if you would like to.
I already received permission from your parents to see you today. If you do
choose to take part, you may stop at any time.
Would you like to be part of the group?


Full Text
xml version 1.0 encoding UTF-8
REPORT xmlns http:www.fcla.edudlsmddaitss xmlns:xsi http:www.w3.org2001XMLSchema-instance xsi:schemaLocation http:www.fcla.edudlsmddaitssdaitssReport.xsd
INGEST IEID E7G0QOO0V_H9JTOM INGEST_TIME 2014-06-25T14:39:34Z PACKAGE AA00022297_00001
AGREEMENT_INFO ACCOUNT UF PROJECT UFDC
FILES



PAGE 1

86,1* *5283 &2816(/,1* 72 ,03529( 7+( 6(/)&21&(376 6&+22/ $77,78'(6 $1' $&$'(0,& 68&&(66 2) /,0,7('(1*/,6+352),&,(17 /(3f +,63$1,& 678'(176 ,1 (1*/,6+ )2563($.(562)27+(5/$1*$8*(6(1*/,6+$6$6(&21' /$1*8$*( (62/(6/f 352*5$06 %\ -26‹ $5/(< 9,//$/%$ -5 $ ',66(57$7,21 35(6(17(' 72 7+( *5$'8$7( 6&+22/ 2) 7+( 81,9(56,7< 2) )/25,'$ ,1 3$57,$/ )8/),//0(17 2) 7+( 5(48,5(0(17 )25 7+( '(*5(( 2) '2&725 2) 3+,/2623+< 81,9(56,7< 2) )/25,'$

PAGE 2

$&.12:/('*0(176 ZRXOG OLNH WR VLQFHUHO\ WKDQN 'U -RH :LWWPHU IRU VHUYLQJ DV FKDLU RI P\ FRPPLWWHH +LV HQFRXUDJHPHQW XQGHUVWDQGLQJ JXLGDQFH DQG JHQXLQH LQWHUHVW KHOSHG PH IRFXV DQG FRPSOHWH WKH WDVN DW KDQG 6SHFLDO WKDQNV DOVR PXVW EH H[WHQGHG WR 'U /DUU\ /RHVFK IRU KLV DVVLVWDQFH ZLWK WKH UHVHDUFK PHWKRGRORJ\ DQG WKRURXJK HGLWLQJ DOVR H[WHQG WKDQNV WR 'U 6LOYLD (FKHYDUULD'RDQ IRU KHU TXDOLWDWLYH NQRZKRZ DQG WR 'U 9LYLDQ &RUUHD IRU fJLYLQJ PH D VWDUWf LQ HGXFDWLRQDO UHVHDUFK VR ORQJ DJR DQG VXSSRUWLQJ PH WKURXJK WKH GLVVHUWDWLRQ SURFHVV DOVR H[WHQG P\ JUDWLWXGH WR WKH IDFXOW\ DQG VWDII RI WKH 'HSDUWPHQW RI &RXQVHOLQJ DW ,QGLDQD 6WDWH 8QLYHUVLW\ HVSHFLDOO\ 'U 0LFKHOOH %R\HU 'U 5HHFH &KDQH\ DQG 'U 3HJJ\ +LQHV $OVR D VSHFLDO WKDQNV WR 'U &KULVW\ &ROHPDQ IRU KHU DVVLVWDQFH ZLWK GDWD DQDO\VLV DQG LQWHUSUHWDWLRQ )LQDOO\ UHFRJQLWLRQ JRHV RXW WR 6KDURQ +RSNLQV /DXUHQ 6KRHPDNHU DQG &KULVWLQD =XEHU IRU WKHLU KHOS ZLWK WKH ILQDO VWDJHV RI WKLV UHVHDUFK ,Q DGGLWLRQ DP JUDWHIXO WR WKH /DID\HWWH ,QGLDQDf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

PAGE 3

)LQDOO\ RIIHU P\ KHDUWIHOW WKDQNV WR P\ VXSSRUW FLUFOH Df 5DFKHO IRU KHU ORYH SDWLHQFH DQG IDLWK LQ PH Ef P\ SDUHQWV -RVH DQG 7DQLD ZKR JDYH PH OLIH DQG ZHUH P\ ILUVW DQG EHVWf WHDFKHUV Ff P\ EURWKHU -HVVHG IRU KLV XQLTXH YLHZ RI WKH ZRUOG Gf P\ JUDQGPRWKHU 0LPD ZKR WDXJKW PH WKH PHDQLQJ RI XQFRQGLWLRQDO SRVLWLYH UHJDUG Hf 6XVDQQH ZKR RIIHUHG PH KHU NQRZOHGJH KRPH DQG ZDUPWK If P\ HQWLUH IDPLO\ IRU WKHLU FRQWLQXHG VXSSRUW DQG Jf P\ EHVW IULHQGV 'HQQLV DQG *UDQW IRU PDNLQJ LW IXQ DORQJ WKH ZD\

PAGE 4

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

PAGE 5

'HVFULSWLRQ RI 7UHDWPHQW 6XPPDU\ 5(68/76 'DWD $QDO\VHV 6XPPDU\ ',6&866,21 &RQFOXVLRQV 'LVFXVVLRQ /LPLWDWLRQV ,PSOLFDWLRQV 5HFRPPHQGDWLRQV IRU )XUWKHU 6WXG\ 6XPPDU\ $33(1',; $ &216(17 /(77(56 $66(17 6&5,376 /(77(56 72 35,1&,3$/6 % 5(6($5&+ 352&('85(6 $1'*5283 )$&,/,7$725 :25.6+23 & ,167580(176 *5283 )$&,/,7$725 0$18$/ ( 5(63216(6 72 48$/,7$7,9( 48(67,211$,5( 5()(5(1&(6 %,2*5$3+,&$/ 6.(7&+ Y

PAGE 6

$EVWUDFW RI 'LVVHUWDWLRQ 3UHVHQWHG WR WKH *UDGXDWH 6FKRRO RI WKH 8QLYHUVLW\ RI )ORULGD LQ 3DUWLDO )XOILOOPHQW RI WKH 5HTXLUHPHQWV IRU WKH 'HJUHH RI 'RFWRU RI 3KLORVRSK\ 86,1* *5283 &2816(/,1* 72 ,03529( 7+( 6(/)&21&(376 6&+22/ $77,78'(6 $1' $&$'(0,& 68&&(66 2) /,0,7('(1*/,6+352),&,(17 /(3f +,63$1,& 678'(176 ,1 (1*/,6+ )2563($.(562)27+(5/$1*$8*(6(1*/,6+$6$6(&21' /$1*8$*( (62/(6/f 352*5$06 %\ -RV $UOH\ 9LOODOED -U $XJXVW &KDLUPDQ 'U -RVHSK :LWWPHU 0DMRU 'HSDUWPHQW &RXQVHORU (GXFDWLRQ $ VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQ IRU +LVSDQLF $PHULFDQ/DWLQR OLPLWHG (QJOLVK SURILFLHQF\ /(3f VWXGHQWV ZDV DVVHVVHG IRU LWV HIIHFWV RQ WKUHH GHSHQGHQW YDULDEOHV VHOIFRQFHSW 3LHUV+DUULV &KLOGUHQ 6HOI&RQFHSW 6FDOHf DWWLWXGHV WRZDUG VFKRRO 6FKRRO $WWLWXGH ,QYHQWRU\f DQG VFKRRO VXFFHVV 7KUHH,WHP 6WUXFWXUHG ,QWHUYLHZ 4XHVWLRQQDLUHf 7KH LQWHUYHQWLRQ ZDV SURYLGHG E\ WZR 0DVWHUVOHYHO VFKRRO FRXQVHOLQJ VWXGHQWV WR /(3 VWXGHQWV LQ *UDGHV DQG LQ IRXU SXEOLF VFKRROV $OO VWXGHQWV ZHUH HQUROOHG LQ (QJOLVKIRU6SHDNHUVRI2WKHU/DQJXDJHV(QJOLVKDVD6HFRQG /DQJXDJH (62/(6/f SURJUDPV $ SUHSRVW WHVW FRQWURO JURXS GHVLJQ ZDV XVHG WR PHDVXUH WKH HIIHFWV RI WKH LQWHUYHQWLRQ &KLOGUHQ LQ (62/(6/ SURJUDPV ZHUH UDQGRPO\ DVVLJQHG WR WKH FRQWURO RU H[SHULPHQWDO JURXSV 6WXGHQWV LQ WKH H[SHULPHQWDO JURXS SDUWLFLSDWHG LQ D ZHHN YL

PAGE 7

VROXWLRQIRFXVHG FRXQVHOLQJ LQWHUYHQWLRQ UHODWHG WR H[SHULHQFHV ZLWKLQ VFKRRO EHLQJ /(3 VHOIFRQFHSW GHYHORSLQJ HIIHFWLYH VFKRRO VXFFHVV VNLOOV DQG DWWLWXGHV WRZDUG VFKRRO 0HPEHUV RI WKH FRQWURO JURXS GLG QRW SDUWLFLSDWH LQ WKH WUHDWPHQW $QDO\VHV RI FRYDULDQFH $1&29$f VKRZHG QR VLJQLILFDQW GLIIHUHQFHV DIWHU WUHDWPHQW EHWZHHQ FKLOGUHQ LQ WKH H[SHULPHQWDO DQG FRQWURO JURXSV ZLWK UHJDUG WR VHOI FRQFHSW DQG DWWLWXGHV WRZDUG VFKRRO 1R VLJQLILFDQW LQWHUDFWLRQV ZHUH IRXQG IRU HLWKHU VHOIFRQFHSW RU DWWLWXGHV WRZDUG VFKRRO E\ JHQGHU DJH RU \HDUV RI SDUWLFLSDWLQJ LQ (62/(6/ SURJUDPV +RZHYHU NH\ZRUGVLQFRQWH[W .:,&f DQDO\VLV RI WKH VFKRRO VXFFHVV TXHVWLRQQDLUH VXJJHVWV WKDW D VPDOOJURXS FRXQVHOLQJ LQWHUYHQWLRQ GHVLJQHG IRU /(3 FKLOGUHQ PD\ LQFUHDVH VFKRRO VXFFHVV DQG DZDUHQHVV 2YHUDOO FKLOGUHQ LQ WKH H[SHULPHQWDO JURXS LQGLFDWHG LQFUHDVHG DZDUHQHVV RI WKHLU (62/(6/ WHDFKHUf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

PAGE 8

&+$37(5 ,1752'8&7,21 +LVSDQLF $PHULFDQV/DWLQRV DUH IRXQG WKURXJKRXW WKH 8QLWHG 6WDWHV DQG FRPSULVH DSSUR[LPDWHO\ b RI WKH 86 SRSXODWLRQ QXPEHULQJ PRUH WKDQ PLOOLRQ UHVLGHQWV 8 6 &HQVXV f 7KHLU QXPEHUV DUH JURZLQJ DW D UDWH WKUHH WR ILYH WLPHV IDVWHU WKDQ WKH JHQHUDO SRSXODWLRQ *DUFLD t 0DURWWD f $V D JURXS +LVSDQLF $PHULFDQV DQG /DWLQRV DUH GLYHUVH EHFDXVH VXEJURXSV HPLJUDWHG IURP GLIIHUHQW FRXQWULHV HDFK ZLWK WKHLU RZQ LGHQWLWLHV ULWXDOV FXVWRPV DQG WUDGLWLRQV 'HVSLWH GLIIHUHQFHV ZLWKLQ WKH +LVSDQLF $PHULFDQ/DWLQR SRSXODWLRQ WKHLU FRPPRQ ERQGV DUH WKH 6SDQLVK ODQJXDJH DQG D FXOWXUH XQLTXHO\ GLIIHUHQW IURP WKH $QJOR$PHULFDQ FXOWXUH 3HGHUVHQ f 7KH &HQVXV VKRZV WKDW b RI +LVSDQLF $PHULFDQV/DWLQRV VSHDN 6SDQLVK LQ WKHLU KRPHV 86 %XUHDX RI WKH &HQVXV f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f RU (QJOLVK IRU 6SHDNHUV RI 2WKHU /DQJXDJHV (62/f SURJUDPV 7KHVH WHUPV DUH RIWHQ XVHG LQWHUFKDQJHDEO\ DQG IDOO XQGHU WKH JHQHUDO UXEULF RI ELOLQJXDO HGXFDWLRQ &UDZIRUG f &KLOGUHQ ZKR OHDUQ (QJOLVK DV

PAGE 9

D VHFRQG ODQJXDJH DQG ZKR GLVSOD\ GDLO\ SUREOHPV LQ UHDGLQJ ZULWLQJ DQG FRPPXQLFDWLQJ LQ (QJOLVK DUH FRQVLGHUHG OLPLWHG(QJOLVK SURILFLHQW /(3f *RSDXO 0F1LFRO t 7KRPDV3UHVVZRRG f 7KLV LV WKH PRVW FRPPRQO\ XVHG WHUP WR GHVFULEH ELOLQJXDO VWXGHQWV LQ 86 SXEOLF VFKRROV 3DGLOOD )DLUFKLOG t 9DOGH] f 7KH QXPEHU RI FKLOGUHQ UHTXLULQJ ELOLQJXDO HGXFDWLRQ LV LQFUHDVLQJ LQ WKH 86 DW DQ DQQXDO UDWH RI b 6DPZD\ t 0F.HRQ f $FFRUGLQJ WR 6DPZD\ DQG 0F.HRQ f b RI FKLOGUHQ HQUROOHG LQ (62/(6/ FODVVHV DUH QDWLYH 6SDQLVK VSHDNHUV DQG WZRWKLUGV RI WKHP DUH LQ *UDGHV NLQGHUJDUWHQ WKURXJK VL[ &KLOGUHQ ZKR VSHQG PRVW RI WKHLU RXWRIVFKRRO WLPH VSHDNLQJ 6SDQLVK ZKLOH LQWHUDFWLQJ LQ D SULPDULO\ $QJOR FXOWXUH DW VFKRRO DUH IRUFHG WR FRSH ZLWK YHU\ GLIIHUHQW DQG RIWHQ FRQIXVLQJ VFHQDULRV :KHWKHU FKLOGUHQ ZKR DUH /(3 DUH ERUQ LQ WKH 86 RU DUH LPPLJUDQWV FKDQFHV DUH WKDW WKHLU W\SLFDO GD\ EHJLQV E\ FRQYHUVLQJ ZLWK 6SDQLVKn VSHDNLQJ IDPLO\ PHPEHUV WKHQ ULGLQJ WR VFKRRO RQ D EXV ZLWK (QJOLVKVSHDNLQJ SHHUV 1H[W WKH VFKRRO EHOO ULQJV ZKLOH WKHVH FKLOGUHQ SUHSDUH WR OLVWHQ WR WHDFKHUVf LQVWUXFWLRQV IRU WKH GD\f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f

PAGE 10

6FRSH RI WKH 3UREOHP 7KH JURZLQJ QXPEHUV RI +LVSDQLF $PHULFDQV/DWLQRV LQ WKH 86 KDV OHDG WR UHFHQW SXEOLFDWLRQV VKRZLQJ VRPH FRPPRQ QHHGV DQG WUHQGV IRU WKLV XQLTXH JURXS $FFRUGLQJ WR *DUFLD DQG 0DURWWD f b RI +LVSDQLF $PHULFDQV/DWLQRV DUH OLYLQJ EHORZ WKH SRYHUW\ OLQH DV FRPSDUHG WR b RI WKH JHQHUDO 86 SRSXODWLRQ 7KHLU UHSRUW DOVR LQGLFDWHG WKDW +LVSDQLF $PHULFDQV/DWLQRV KDYH KLJKVFKRRO GURSRXW UDWHV DERYH WKH QDWLRQDO DYHUDJH DQG RQO\ b KROG FROOHJH FRPSDUHG WR D QDWLRQZLGH DYHUDJH RI b 8QHPSOR\PHQW LV DOVR PRUH SUHYDOHQW DPRQJ +LVSDQLF $PHULFDQV/DWLQRV WKDQ DPRQJ WKH JHQHUDO SRSXODWLRQ $XJXVW t +DNXWD f 8QIRUWXQDWHO\ PDQ\ +LVSDQLF/DWLQR LPPLJUDQWV H[SHULHQFHG WUDJLF DQG WUDXPDWLF VLWXDWLRQV LQ WKHLU OLYHV IURP WKH GHFLVLRQ WR LPPLJUDWH WR WKH 86 ZLWK WKH H[FHSWLRQ RI WKH 3XHUWR 5LFDQ SRSXODWLRQ ZKLFK DUH FRQVLGHUHG 86 FLWL]HQVf =HD 'LHKO DQG 3RUWHUILHOG f VSHFLILFDOO\ VWXGLHG &HQWUDO $PHULFDQ \RXWK DQG WKHLU H[SRVXUH WR ZDU 7KH VKRFN RI ZLWQHVVLQJ PDVV GHVWUXFWLRQ GHDWK DQG IRUFHG PLOLWDU\ DFWLRQ LQ FRXQWULHV VXFK DV (O 6DOYDGRU 3DQDPD 1LFDUDJXD DQG *XDWHPDOD DQG WKH DEUXSW GLVSODFHPHQW IURP IDPLO\ KRPHV WR GHWHQWLRQ FHQWHUV LQ WKH 86 EURXJKW DERXW LPPHDVXUDEOH DQJXLVK DQG JULHI IRU WKHVH +LVSDQLF/DWLQR LPPLJUDQW \RXWK 0F)DGGHQ f 3ROLWLFDO UHDVRQV QRW ZLWKVWDQGLQJ HFRQRPLF KDUGVKLSV DOVR IRUFH PDQ\ +LVSDQLFV/DWLQRV WR OHDYH WKHLU QDWLYH KRPHODQGV IRU WKH 86 +LVSDQLF/DWLQR LPPLJUDQWV RIWHQ YLHZ WKH 86 DV GLG SUHYLRXV LPPLJUDQWV LQ WKH Vf DV WKH ODQG RI RSSRUWXQLW\ 6XDUH]2UR]FR t 6XDUH]2UR]FR f )RU H[DPSOH LPPLJUDQWV IURP &HQWUDO DQG 6RXWK $PHULFD DQG WKH &DULEEHDQ FURVV ERUGHUV RI ERWK ODQG DQG VHD ZLWK WKH KRSH RI LPSURYLQJ WKHLU HFRQRPLF SROLWLFDO DQG IDPLO\ VLWXDWLRQV +RZHYHU DV

PAGE 11

HYLGHQFHG LQ WKH SRYHUW\ OHYHOV FLWHG DERYH D ODUJH SURSRUWLRQ RI WKHVH IDPLOLHV UHPDLQ OHVV DIIOXHQW DQG PRUH XQGHUHGXFDWHG WKDQ WKHLU $QJOR$PHULFDQ SHHUV 1HHGV RI +LVSDQLF $PHULFDQ/DWLQR &KLOGUHQ LQ 86 6FKRROV 1DWLRQZLGH /(3 HQUROOPHQW RI b EHWZHHQ DQG FRPSDUHG WR DQ RYHUDOO LQFUHDVH LQ VFKRRO HQUROOPHQW RI b IRU WKH VDPH WLPH SHULRG 1DWLRQDO &OHDULQJKRXVH IRU %LOLQJXDO (GXFDWLRQ f $FFRUGLQJ WR &XPPLQV f OLQJXLVWLFDOO\ DQG FXOWXUDOO\ GLYHUVH FKLOGUHQ DUH EHFRPLQJ WKH QRUP LQ FODVVURRPV DFURVV WKH FRXQWU\ $V QRWHG WKH 86 SXEOLF VFKRRO V\VWHP FRQWDLQV D ODUJH SURSRUWLRQ RI +LVSDQLF $PHULFDQ/DWLQR VWXGHQWV LQ *UDGHV NLQGHUJDUWHQ WKURXJK WZHOYH ,W LV HVWLPDWHG WKDW WKH QXPEHU RI +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ HOLJLEOH IRU HOHPHQWDU\ VFKRRO LQ ZDV DV FRPSDUHG WR FKLOGUHQ LQ %DUXWK t 0DQQLQJ f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

PAGE 12

FRXQVHORU HGXFDWLRQ GHSDUWPHQWV DFURVV WKH FRXQWU\ &RXQVHOLQJ UHVHDUFKHUV /HH 6XH t 6XH f KDYH FDWHJRUL]HG WKH IRXU PDMRU FXOWXUDO JURXSV LQ WKH 86 DV $IULFDQ $PHULFDQ $VLDQ $PHULFDQ +LVSDQLF $PHULFDQ/DWLQR DQG 1DWLYH $PHULFDQ LQ KRSHV RI SRUWUD\LQJ FRPPRQ WKHPHV UHJDUGLQJ FRXQVHOLQJ QRQ:KLWH SRSXODWLRQV 2WKHU FRXQVHOLQJ UHVHDUFKHUV KDYH ZULWWHQ H[WHQVLYHO\ DERXW VFKRRO FRXQVHORUV VSHFLILFDOO\ DQG WKH VNLOOV WKH\ QHHG WR VHUYH PLQRULW\ FKLOGUHQ HIIHFWLYHO\ *RSDXO0F1LFRO t 7KRPDV 3UHVVZRRG /HH 9DUJDV t .RVV&KLRLQR f 6DPZD\ DQG 0F.HRQ f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f 3URIHVVLRQDO VFKRRO FRXQVHORUV DUH WUDLQHG WR EH DZDUH RI FXOWXUDO GLIIHUHQFHV DQG DUH SRWHQWLDOO\ LQVWUXPHQWDO LQ DVVLVWLQJ FXOWXUDOO\ GLYHUVH FOLHQWV DQG WKHLU VRFLDO HPRWLRQDO QHHGV %HUQDO t .QLJKW f +RZHYHU WKH FRXQVHOLQJ SURIHVVLRQ KDV QRW DGHTXDWHO\ DGGUHVVHG ZKDW SDUW VFKRRO FRXQVHORUV SOD\ LQ (62/(6/ SURJUDPV RU WKH SRWHQWLDO HIIHFWLYHQHVV RI WKHLU HIIRUWV ,Q UHJDUGV WR VRFLDOHPRWLRQDO QHHGV VFKRRO FRXQVHORUV DQG RWKHU HGXFDWRUV DOVR VKRXOG EH NHHQO\ DZDUH RI KRZ WKH +LVSDQLF $PHULFDQ/DWLQR FXOWXUH DQG XVH RI WKH 6SDQLVK ODQJXDJH DIIHFW WKH VRFLDOHPRWLRQDO DVSHFWV RI WKH GDLO\ OLIH RI +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ LQ VFKRROV /HH f

PAGE 13

6WDWHPHQW RI WKH 3UREOHP 7LWOH 9,, RI WKH (OHPHQWDU\ DQG 6HFRQGDU\ (GXFDWLRQ $FW DGGUHVVHG ELOLQJXDO HGXFDWLRQ ODQJXDJH HQKDQFHPHQW DQG ODQJXDJH DFTXLVLWLRQ SURJUDPV XQGHU WKH ,PSURYLQJ $PHULFDfV 6FKRROV $FW RI ZKLFK ZDV UHDXWKRUL]HG LQ 3XEOLF IXQGLQJ IRU ELOLQJXDO HGXFDWLRQ SURJUDPV ZHUH ILUVW DXWKRUL]HG E\ WKH %LOLQJXDO (GXFDWLRQ $FW RI 6LQFODLU f ,Q DFFRUGDQFH ZLWK VXFK OHJLVODWLRQ HGXFDWRUV PXVW HQVXUH WKDW /(3 VWXGHQWV UHFHLYH IDLU DQG EHQHILFLDO HGXFDWLRQ LQ RUGHU WR DFKLHYH KLJK DFDGHPLF VWDQGDUGV :LWK UHVSHFW WR FROOHJHV DQG XQLYHUVLWLHV WKH 86 &RQJUHVV f VWDWHG f>LQVWLWXWLRQV RI KLJKHU HGXFDWLRQ FDQ DVVLVW LQ SUHSDULQJ WHDFKHUV DGPLQLVWUDWRUV DQG RWKHU VFKRRO SHUVRQQHO WR XQGHUVWDQG DQG EXLOG XSRQ WKH HGXFDWLRQDO VWUHQJWKV DQG QHHGV RI ODQJXDJHPLQRULW\ DQG FXOWXUDOO\ GLYHUVH VWXGHQW HQUROOPHQWf 6(& Df ff )XUWKHUPRUH LW LV ZULWWHQ LQ 3/ WKDW WKHUH LV D QHHG IRU PXOWLFXOWXUDO WUDLQLQJ IRU DOO fSXSLO VHUYLFHV SHUVRQQHOf 6(& Dff 6FKRRO FRXQVHORUV IDOO XQGHU WKH EURDG WLWOH RI VWXGHQW VHUYLFHV SHUVRQQHO DQG WKXV DUH UHVSRQVLEOH IRU DVVLVWLQJ ELOLQJXDO VWXGHQWV ZLWK WKHLU VSHFLILF DFDGHPLF DQG SHUVRQDOVRFLDO GHYHORSPHQW (YHQ WKRXJK 7LWOH 9,, FDOOV IRU DFDGHPLF HQULFKPHQW IRU ODQJXDJHPLQRULW\ VWXGHQWV JURZLQJ QXPEHUV RI WKHVH FKLOGUHQ FRQWLQXH WRf H[SHULHQFH SHUVRQDO SUREOHPV DQG FRQFHUQV QRW VKDUHG E\ FKLOGUHQ LQ WKH ODQJXDJHPDMRULW\ 0RUH LPSRUWDQWO\ WKH\ WHQG WR FRPH IURP ORZ VRFLRHFRQRPLF IDPLOLHV DUH PRUH LQVHFXUH KDYH QHJDWLYH DWWLWXGHV WRZDUG VFKRRO DQG DFDGHPLFV GLVSOD\ ORZHU VHOIHVWHHP IHHO OHVV HPSRZHUHG WKDQ GR (QJOLVK SURILFLHQW VWXGHQWV DQG IHHO OHVV YDOXHG $GD $VKZRUWK &XPPLQV /HH 2JEX 6XDUH]2UR]FR :HLV f 7KHVH VWUHVVRUV REYLRXVO\ KDYH QHJDWLYH HIIHFWV RQ WKH OHDUQLQJ DQG VRFLDOL]DWLRQ RI /(3

PAGE 14

VWXGHQWV )XUWKHUPRUH UHJDUGOHVV RI WKH DPRXQW RU W\SH RI H[WUD DVVLVWDQFH WKHVH VWXGHQWV UHFHLYH LQ UHJXODU FODVVURRPV RU (62/(6/ SURJUDPV WKHLU VRFLDOHPRWLRQDO FRQFHUQV DUH VHFRQGDU\ WR WKH DFDGHPLF ULJRUV HPSKDVL]HG LQ WKH FODVVURRP VHWWLQJ /HH f 7KXV PDQ\ RI WKHVH FKLOGUHQ UDUHO\ DUH H[SRVHG WR DQ DGXOW LQ WKHLU VFKRRO ZLWK ZKRP WKH\ FDQ WDON DERXW WKHLU IHHOLQJV RI LQVHFXULW\ ODQJXDJH EDUULHUV FRQIXVLRQ ZLWK EHLQJ ELFXOWXUDO HYROYLQJ HWKQLF LGHQWLW\ RU QRW ILWWLQJ LQ ZLWK WKHLU ODQJXDJHPDMRULW\ SHHUV &DQLQR t 6SXUORFN 0F)DGGHQ f 6FKRRO JXLGDQFH FRXQVHORUV KDYH WKH IDFLOLWDWLYH VNLOOV DQG PXOWLFXOWXUDO DZDUHQHVV WR DVVLVW PRVW VWXGHQWV WKH\ HQFRXQWHU ZKR DUH H[SHULHQFLQJ SHUVRQDO RU DFDGHPLF GLIILFXOWLHV 0\ULFN f 7KHUHIRUH /(3 +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ VKRXOG EHQHILW IURP FRXQVHOLQJ LQWHUYHQWLRQV VSHFLILFDOO\ GHVLJQHG WR DGGUHVV WKHLU VRFLDO HPRWLRQDO DQG DFDGHPLF LVVXHV LQFOXGLQJ WKRVH H[SHULHQFHG ERWK LQVLGH DQG RXWVLGH RI VFKRRO VHWWLQJV 7KHUH LV DPSOH HYLGHQFH WR LQGLFDWH WKDW /(3 KLJK VFKRRO VWXGHQWV EHQHILW SRVLWLYHO\ IURP FRXQVHOLQJ SURYLGHG E\ KLJK VFKRRO JXLGDQFH FRXQVHORUV %ULOOLDQW )DOWLV t +XGHOVRQ *LOEHUW .H\HV 0DUWLQH] 0DUWLQH] t 'XNHV 6XDUH]2UR]FR f +RZHYHU OLWWOH LV NQRZQ DERXW WKH HIIHFWLYHQHVV RI /(3 HOHPHQWDU\ VFKRRODJHG FKLOGUHQ DQG WKH VHUYLFHV SURYLGHG WR WKHP E\ VFKRRO FRXQVHORUV $VKZRUWK *RSDXO0F1LFRO t 7KRPDV3UHVVZRRG f 7KHUHIRUH WKLV ZDV WKH PDLQ IRFXV RI WKLV VWXG\ DQG LV GLVFXVVHG LQ GHWDLO LQ &KDSWHU 7KHRUHWLFDO %DVHV $FFRUGLQJ WR /HH f +LVSDQLF/DWLQR FXOWXUH KLVWRU\ DQG WKH XVH RI WKH 6SDQLVK ODQJXDJH VLJQLILFDQWO\ LPSDFWV WKH SV\FKRVRFLDO GHYHORSPHQW RI +LVSDQLF $PHULFDQ/DWLQR VWXGHQWV 7KHVH FKLOGUHQfV EDFNJURXQG FRXSOHG ZLWK VRFLRHFRQRPLF

PAGE 15

IDFWRUV DQG H[SHULHQFHV ZLWK RWKHU PHPEHUV RI WKH VFKRRO HQYLURQPHQW KDYH D GHFLGHG HIIHFW RQ WKHLU OHDUQLQJ DQG SHUVRQDOLW\ GHYHORSPHQW 7KH GHYHORSPHQW RI SHUVRQDOLW\ LQ FKLOGUHQ KDV WUDGLWLRQDOO\ EHHQ XQGHUVWRRG WR EH D ELRORJLFDO DQG VRFLRORJLFDO RFFXUUHQFH 7KHRULVWV VXFK DV (ULNVRQ DQG )URPP UHDOL]HG WKDW PDQ\ VRFLDO H[SHULHQFHV DQG FRQGLWLRQV VHUYHG DV LQWHJUDWLYH LQIOXHQFHV LQ WKH GHYHORSPHQW RI D FKLOGfV SHUVRQDOLW\ DORQJVLGH SK\VLFDO JURZWK DQG PDWXUDWLRQ
PAGE 16

LQ WKLV VWDJH H[SHULHQFH DOWHUQDWLYHV EHWZHHQ GRLQJ ZHOO LQ VFKRRO PDNLQJ IULHQGV FRPSOHWLQJ WKHLU FKRUHV RU GHYHORSLQJ D QHJDWLYH VHOILPDJH IURP QRW SHUIRUPLQJ ZHOO LQ IRU H[DPSOH VFKRRO RU VSRUWV 7KLV VWDJH LV H[WUHPHO\ LPSRUWDQW WR WKH GHYHORSPHQW RI FKLOGUHQ EHFDXVH LW HQFRPSDVVHV WKH HOHPHQWDU\ VFKRRO \HDUV 6WDJH IRXU LV DOVR WKH ILUVW VWDJH ZKHUH WKH VFKRRO HQYLURQPHQW EHFRPHV DV LPSRUWDQW LI QRW PRUH LPSRUWDQW WKDQ WKH KRPH HQYLURQPHQW (ULNVRQ f HPSKDVL]HG WKH LPSDFW RI FXOWXUH LQ WKH GHYHORSPHQW RI KLV WKHRU\ RQ SV\FKRVRFLDO GHYHORSPHQW $ FKLOGfV HWKQLF LGHQWLW\ GHYHORSV DORQJVLGH WKHLU SHUVRQDOLW\ DQG VHOIFRQFHSW %\ DJH IRXU FKLOGUHQ JDLQ DZDUHQHVV RI WKHLU FXOWXUH DQG HWKQLFLW\ DQG E\ DJH HLJKW WKH\ DUH RULHQWHG DQG FDQ LGHQWLI\ DV EHORQJLQJ WR D FHUWDLQ HWKQLF JURXS &DQLQR t 6SXUORFN f 7KDW LV WKH SV\FKRVRFLDO GHYHORSPHQW RI D +LVSDQLF $PHULFDQ/DWLQR FKLOG LV GLUHFWO\ LQIOXHQFHG E\ KLV RU KHU HWKQLF LGHQWLW\ 2JEX f 7KLV UHVHDUFK VWXG\ ZDV JURXQGHG RQ WKH FRQVWUXFW WKDW WKH VLJQLILFDQFH RI FXOWXUH ODQJXDJH DQG HWKQLF LGHQWLW\ DUH SDUDPRXQW DV D FKLOGfV SHUVRQDOLW\ DQG VHOIFRQFHSW GHYHORSV )RU H[DPSOH 0HMLD f QRWHG WKDW 0H[LFDQ $PHULFDQ FKLOGUHQ LQ &DOLIRUQLD HOHPHQWDU\ VFKRROV HYDOXDWHG WKHPVHOYHV DV EHLQJ ORZ DFKLHYHUV KDYLQJ ORZ VHOIZRUWK DQG ORZ VHOIHVWHHP EHFDXVH WKH\ KDG WURXEOH fILWWLQJ LQWRf WKH VFKRRO HQYLURQPHQW 7KDW LV WKHVH 0H[LFDQ $PHULFDQ FKLOGUHQ YLHZHG WKHPVHOYHV DV VLJQLILFDQWO\ GLIIHUHQW IURP WKHLU SHHUV ZKLOH VLPXOWDQHRXVO\ JRLQJ WKURXJK VWDJHV WKUHH DQG IRXU RI (ULNVRQfV SV\FKRn VRFLDO GHYHORSPHQW ,Q HVVHQFH DFFRUGLQJ WR 0HMLD WKH 0H[LFDQ $PHULFDQ FKLOGUHQfV SV\FKRVRFLDO GHYHORSPHQW WRRN DQ XQSOHDVDQW WXUQ $FFRUGLQJ WR PDQ\ UHVHDUFKHUV D \RXQJ FKLOGfV FRQWLQXHG ORZ VHOIFRQFHSW VHYHUHO\ LPSDLUV WKHLU VRFLDO GHYHORSPHQW DQG DFDGHPLF DFKLHYHPHQW &UDZIRUG

PAGE 17

&XPPLQV *LEVRQ 0LWFKHOO t %DVLOLH f )XUWKHUPRUH 0HWFDOIH f UHSRUWHG D SRVLWLYH FRUUHODWLRQ RI VHOIFRQFHSWV LQ FKLOGUHQ DQG DWWLWXGHV WRZDUG VFKRRO )URP WKH SHUVSHFWLYH UHSRUWHG HDUOLHU WKDW /(3 FKLOGUHQ LQ (62/(6/ FODVVHV H[SHULHQFH ORZ VHOIFRQFHSW DQG SRRU DWWLWXGH WRZDUG VFKRRO DQG OHDUQLQJ LW LV DSSDUHQW WKDW DGGLWLRQDO LQWHUYHQWLRQV DUH QHHGHG WR DVVLVW +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ LQ HOHPHQWDU\ VFKRROV LQ SHUVRQDO VRFLDO DQG DFDGHPLF GHYHORSPHQW 7KH UHSRUWHG OLWHUDWXUH LQGLFDWHV WKDW DQ /(3 VWXGHQWf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f FRSH ZLWK VRFLDOHPRWLRQDO SUREOHPV WKDW DUH GLUHFWO\ DWWULEXWHG WR WKHLU OLPLWHG (QJOLVK SURILFLHQF\" %LOLQJXDO HGXFDWLRQ DQG FRXQVHOLQJ SURIHVVLRQDOV VXSSRUW FRXQVHOLQJ LQWHUYHQWLRQV DV EHLQJ EHQHILFLDO IRU FKLOGUHQ LQ (62/(6/ SURJUDPV $VKZRUWK %ULOOLDQW )DOWLV t +XGHOVRQ /HH f +RZHYHU EHFDXVH RI WKH JURZLQJ QXPEHU RI +LVSDQLF(6/ VWXGHQWV SDUWLFXODUO\ LQ HOHPHQWDU\ VFKRROVf SRWHQWLDO EHQHILWV RI FRXQVHOLQJ LQWHUYHQWLRQV WKDW LQFOXGH WRSLFV RI FRQFHUQ WR WKHVH FKLOGUHQ PXVW EH IXUWKHU H[SORUHG 7KH IDFW WKDW 6SDQLVKVSHDNLQJ VWXGHQWV LQ (62/(6/ FODVVHV VKDUH VLPLODU QHJDWLYH H[SHULHQFHV LQ VFKRRO EHFDXVH RI WKHLU VSHFLILF ODQJXDJH VXJJHVWV WKDW LW VKRXOG EH SRVVLEOH WR GHYHORS HIIHFWLYH VPDOOJURXS FRXQVHOLQJ LQWHUYHQWLRQV WR DVVLVW WKHVH

PAGE 18

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f 'LYRUFH SHHU SUHVVXUH ORVV RI ORYHG RQHV GUXJ DEXVH DQG YLROHQFH DUH MXVW D IHZ RI WKHVH WULEXODWLRQV +RZHYHU WKH FRPSRXQGLQJ HIIHFW WKDW D ZHDN DQG LQFRPSOHWH FXOWXUDO LGHQWLW\ KDV RQ WKH DELOLW\ IRU FKLOGUHQ WR FRSH ZLWK GDLO\ VWUHVVRUV LV DQ DGGLWLRQDO EXUGHQ IRU /(3 VWXGHQWV &XPPLQV 0DUWLQH] t 'XNHV 2JEX f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

PAGE 19

:LOO WKHUH EH D FKDQJH LQ WKH VHOIFRQFHSW RI +LVSDQLF $PHULFDQ/DWLQR HOHPHQWDU\ VFKRRODJHG FKLOGUHQ LQ (62/(6/ SURJUDPV DV D UHVXOW RI FRPSOHWLQJ WKH VPDOO JURXS LQWHUYHQWLRQ" 'RHV VHOIFRQFHSW DQG DWWLWXGH WRZDUG VFKRRO RI /(3 +LVSDQLF $PHULFDQ/DWLQR HOHPHQWDU\ VFKRRODJHG FKLOGUHQ YDU\ DV D IXQFWLRQ RI JHQGHU DJHOHYHO DQG OHYHO IRU WLPH HQUROOHG LQ DQ (62/(6/ SURJUDP" :LOO WKHUH EH D FKDQJH LQ WKH DWWLWXGHV WRZDUG VFKRRO RI +LVSDQLF $PHULFDQ/DWLQR HOHPHQWDU\ VFKRRO DJHG FKLOGUHQ LQ (62/(6/ SURJUDPV DV D UHVXOW RI FRPSOHWLQJ WKH VPDOO JURXS LQWHUYHQWLRQV" :LOO WKHUH EH D FKDQJH LQ WKH VFKRRO VXFFHVV RI +LVSDQLF $PHULFDQ/DWLQR HOHPHQWDU\ VFKRRO DJHG FKLOGUHQ LQ (62/(6/ SURJUDPV DV D UHVXOW RI FRPSOHWLQJ WKH VPDOO JURXS LQWHUYHQWLRQV" 'HILQLWLRQ RI 7HUPV $WWLWXGHV DUH D WHQGHQF\ WRZDUG D FHUWDLQ DFWLRQ ZKHUHE\ IHHOLQJV DUH KHOG DERXW VSHFLILF SHRSOH SODFHV RU REMHFWV %DNHU f %LOLQJXDO (GXFDWLRQ LV D VHW RI GLIIHULQJ SURJUDPV DQG SHGDJRJLFDO LGHRORJ\ HVWDEOLVKHG WR HGXFDWH DQG VHUYH QRQQDWLYH (QJOLVK VSHDNHUV 6RPH RI WKHVH SURJUDPV PDNH XVH RI WKH FKLOGfV QDWLYH ODQJXDJH LQ WKH FODVVURRP ZKLOH RWKHUV GR QRW )DOWLV t +XGHOVRQ f &XOWXUH UHIHUV WR D SRSXODWLRQ RI SHRSOH VKDULQJ FRPPRQDOWLHV LQFOXGLQJ HWKQRJUDSKLF YDULDEOHV VXFK DV UHOLJLRQ HWKQLFLW\ ODQJXDJH QDWLRQDOLW\ DQG GHPRJUDSKLF YDULDEOHV RI JHQGHU DJH SODFH RI UHVLGHQFHf DQG VWDWXV YDULDEOHV VXFK DV HFRQRPLF VRFLDO DQG HGXFDWLRQDO EDFNJURXQGf 3HGHUVHQ f (QJOLVK IRU 6SHDNHUV RI 2WKHU /DQJXDJHV (62/9 (QJOLVK DV D 6HFRQG /DQJXDJH (6/f DUH XVHG LQWHUFKDQJHDEO\ WR LQGLFDWH HGXFDWLRQDO VHUYLFHV RIIHUHG WR QRQQDWLYH (QJOLVK VSHDNHUV 6RPH RI WKHVH VHUYLFHV DUH SURYLGHG LQ UHJXODU FODVVURRPV ZKLOH RWKHUV LQYROYH SDUWLFLSDWLRQ LQ VHSDUDWH OHDUQLQJ HQYLURQPHQWV FRPSRVHG VROHO\ RI QRQQDWLYH (QJOLVK VSHDNHUV IRU SDUW RI WKH VFKRRO GD\

PAGE 20

(WKQLF ,GHQWLW\ LV D FRQVWUXFW RU VHW RI VHOILGHDV DERXW SHUVRQDO HWKQLF JURXS PHPEHUVKLS DQG LQFOXGHV NQRZOHGJH RI WKH SHUVRQDO HWKQLF JURXS ,W LV DQ LPSRUWDQW HOHPHQW RI VHOIFRQFHSW RQH RIWHQ DIIHFWHG E\ PLQRULW\ VWDWXV %HUQDO t .QLJKW f +LVSDQLF $PHULFDQ/DWLQR LV WKH WHUP XVHG WR GHVLJQDWH WKRVH LQGLYLGXDOV ZKR OLYH LQ WKH 86 EXW ZKRVH FXOWXUDO RULJLQV DUH LQ &XED 0H[LFR 3XHUWR 5LFR DQG RWKHU /DWLQ $PHULFDQ FRXQWULHV LQ WKH &DULEEHDQ EDVLQ DQG &HQWUDO DQG 6RXWK $PHULFD 6XH t 6XH 3HGHUVHQ f 6HSDUDWH LGHQWLW\ GLIIHUHQFHV DUH DVVRFLDWHG ZLWK ERWK WHUPV +RZHYHU QR GLVWLQFWLRQ QHHGV WR EH PDGH IRU WKH SXUSRVHV RI WKLV VWXG\ /LPLWHG (QJOLVK 3URILFLHQW /(3f UHIHUV WR VWXGHQWV OLYLQJ LQ KRPHV ZKHUH D ODQJXDJH RWKHU WKDQ (QJOLVK LV XVHG IRU FRPPXQLFDWLRQ SULPDULO\ DQG ZKR KDYH GLIILFXOW\ LQ XQGHUVWDQGLQJ VSHDNLQJ ZULWLQJ RU UHDGLQJ WKH (QJOLVK /DQJXDJH *RSDXO0F1LFRO t 7KRPDV3UHVVZRRG f 6HOIFRQFHSW LV D UHODWLYHO\ EURDG FRQFHSW WKDW QRUPDOO\ UHIHUV WR VHOIHVWHHP DQG KRZ RQH IHHOV DERXW RQHfV VHOI 5RWKHUDP%RUXV f 5HJDUGLQJ FKLOGUHQ WKH VHOI FRQFHSW LV D FROOHFWLRQ RI LGHQWLWLHV VXFK DV HWKQLF LGHQWLW\ JHQGHU LGHQWLW\ IDPLOLDO LGHQWLW\ DQG VFKRRO LGHQWLW\f WKDW PHGLDWHV WKH UHODWLRQVKLS EHWZHHQ VRFLDOL]DWLRQ DQG EHKDYLRU .QLJKW %HUQDO *DU]D t &RWD f 6PDOOJURXS FRXQVHOLQJ LV D VFKRROFRXQVHORUOHG HGXFDWLRQDO H[SHULHQFH LQ ZKLFK SXSLOV KDYH WKH RSSRUWXQLW\ WR FROODERUDWH DV WKH\ HQJDJH LQ LQWHUFKDQJHV RI IHHOLQJV EHKDYLRUV DWWLWXGHV DQG LGHDV HVSHFLDOO\ DV UHODWHG WR SURJUHVV LQ VFKRRO DQG SHUVRQDO GHYHORSPHQW 0\ULFN f 6ROXWLRQIRFXVHG FRXQVHOLQJ LV DFFRUGLQJ WR 0XUSK\ f D FRXQVHOLQJ PHWKRG XVHG WR HQFRXUDJH VWXGHQWV SDUHQWV DQG WHDFKHUV WR GLVFRYHU DQG LPSOHPHQW VROXWLRQV EDVHG RQ WKHLU H[SHULHQFHV DQG VWUHQJWKV ,W IDOOV XQGHU WKH FDWHJRU\ RI EULHI WKHUDS\ DQG

PAGE 21

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f 2UJDQL]DWLRQ RI WKH 5HPDLQGHU RI WKH 'LVVHUWDWLRQ $ UHYLHZ RI WKH UHODWHG OLWHUDWXUH LV SURYLGHG LQ &KDSWHU &KDSWHU SURYLGHV D GHVFULSWLRQ RI WKH PHWKRGRORJ\ IRU WKLV VWXG\ 5HVXOWV DUH UHSRUWHG LQ &KDSWHU DQG &KDSWHU FRQWDLQV D GLVFXVVLRQ RI WKH UHVXOWV RI WKH VWXG\

PAGE 22

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f VWXGHQWVf VHOIFRQFHSW f VWXGHQWVf DWWLWXGH WRZDUG VFKRRO DQG f VWXGHQWVf DFDGHPLF VXFFHVV &KDSWHU LV D UHYLHZ RI UHODWHG OLWHUDWXUH DQG FHQWHUV RQ WKH HGXFDWLRQDO H[SHULHQFHV RI +LVSDQLF $PHULFDQ/DWLQR /(3 FKLOGUHQ LQ VFKRRO VHWWLQJV ODQJXDJH DFTXLVLWLRQ WKHRU\ FRXQVHOLQJ +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ VROXWLRQIRFXVHG FRXQVHOLQJ 6)&f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fV HQWLUH SHUVRQDOVRFLDO DQG DFDGHPLF GHYHORSPHQW )DOWLV t +XGHOVRQ f

PAGE 23

7\SHV RI %LOLQJXDO (GXFDWLRQ 3URJUDPV LQ (OHPHQWDU\ 6FKRRO %LOLQJXDO HGXFDWLRQ LQ HOHPHQWDU\ VFKRROV FDQ EH RUJDQL]HG LQWR WZR PDMRU IRUPV fUHDOf ELOLQJXDO SURJUDPV ZKHUH WZR ODQJXDJHV DUH XVHG LQ FODVVURRP VHWWLQJV DQG RWKHU SURJUDPV WKDW SULPDULO\ XVH (QJOLVK WR GHOLYHU FODVVURRP LQVWUXFWLRQ +RPEHUJHU f $ ELOLQJXDO HGXFDWLRQ SURJUDP LQ ZKLFK /(3 FKLOGUHQ DQG WKHLU (QJOLVKVSHDNLQJ SHHUV ERWK OHDUQ LQ (QJOLVK DQG 6SDQLVK LV FRQVLGHUHG WR EH WKH PRVW HQULFKLQJ DQG EHQHILFLDO PHWKRG WKDW FDQ EH XVHG WR WHDFK /(3 +LVSDQLF $PHULFDQ/DWLQR VWXGHQWV 6DPZD\ t 0F.HRQ )DWLV t +XGHOVRQ f 3URJUDPV VXFK DV WKHVH KDYH SURYHG DFDGHPLFDOO\ VXFFHVVIXO IRU FKLOGUHQ LQ 4XHEHF &DQDGD ZKHUH )UHQFK DQG (QJOLVK DUH XVHG HTXDOO\ LQ FODVVURRP LQVWUXFWLRQ &XPPLQV f 7KDW LV WHDFKHUV LQ WUXO\ ELOLQJXDO SURJUDPV FRQGXFW OHVVRQV LQ ERWK ODQJXDJHV DQG WKH XVH RI ERWK ODQJXDJHV LV UHLQIRUFHG DQG HQFRXUDJHG WKURXJKRXW WKH HQWLUH VFKRRO ,Q WKHVH W\SHV RI SURJUDPV /(3 FKLOGUHQ KDYH WKH RSSRUWXQLW\ WR OHDUQ (QJOLVK ZKLOH VWUHQJWKHQLQJ ODQJXDJH VNLOOV LQ WKHLU ILUVW ODQJXDJH 7KLV DSSURDFK DOVR SHUPLWV D VWURQJ IRXQGDWLRQ LQ WKH QDWLYH ODQJXDJH WR GHYHORS ,Q DGGLWLRQ fUHDOf ELOLQJXDO SURJUDPV SURYLGH QDWLYH(QJOLVK SURILFLHQW SHHUV ZLWK WKH RSSRUWXQLW\ WR OHDUQ DQ DSSUHFLDWLRQ IRU D GLIIHUHQW ODQJXDJH DQG SURYLGH WKH DGYDQWDJHV DVVRFLDWHG ZLWK EHLQJ SURILFLHQW LQ WZR ODQJXDJHV $FFRUGLQJ WR +RUQEHUJHU f ELOLQJXDO HGXFDWLRQ ZKHUH WZR ODQJXDJHV DUH XVHG VLPXOWDQHRXVO\ FDQ EH VHSDUDWHG LQWR WKUHH IRUPDWV 7KH HDUO\H[LWWUDQVLWLRQDO IRUPDW LQYROYHV KHDY\ LPPHUVLRQ LQ D FKLOGfV QDWLYH ODQJXDJH IRU WKH ILUVW WKUHH \HDUV RI VFKRRO 'XULQJ WKHLU ILUVW WKUHH \HDUV DSSUR[LPDWHO\ b RI DFDGHPLF LQVWUXFWLRQ RFFXUV LQ WKH FKLOGfV QDWLYH ODQJXDJH +RZHYHU E\ WKH WLPH D FKLOG UHDFKHV WKLUG JUDGH WKH QDWLYH ODQJXDJH LV XVHG OHVV WKDQ b RI WKH WLPH LQ WKH FODVVURRP VHWWLQJ 7KH SULPDU\ JRDO RI

PAGE 24

HDUO\ H[LW SURJUDPV LV WR DFNQRZOHGJH WKH LPSRUWDQFH RI XVLQJ D FKLOGfV QDWLYH ODQJXDJH ILUVW ZKLOH LQFUHDVLQJ (QJOLVK DFKLHYHPHQW DV TXLFNO\ DV SRVVLEOH ,Q WKH VHFRQG IRUPDW IRU GHOLYHULQJ fUHDOf ELOLQJXDO HGXFDWLRQ NQRZQ DV ODWH H[LWPDLQWHQDQFH WKH XVH RI ERWK ODQJXDJHV LV HQFRXUDJHG WKURXJKRXW WKH HOHPHQWDU\ JUDGHV ,Q NLQGHUJDUWHQ DQG ILUVW JUDGH WKH QDWLYH ODQJXDJH LV XVHG PRUH WKDQ b RI WKH WLPH ZLWKLQ WKH FODVVURRP VHWWLQJ $IWHU WKH ILUVW WZR \HDUV XVH RI WKH QDWLYH ODQJXDJH GHFUHDVHV WR DERXW b XVDJH IRU FRUH DFDGHPLF VXEMHFWV VXFK DV PDWK UHDGLQJ DQG ZULWLQJ DQG FRQWLQXHV DW WKLV UDWH XQWLO WKH HQG RI VL[WK JUDGH +RUQEHUJHU f 7HDFKHUV LQ WKHVH W\SHV RI ELOLQJXDO SURJUDPV HQFRXUDJH VWXGHQWV WR FRQWLQXH XVLQJ DQG GHYHORSLQJ WKHLU ILUVW ODQJXDJH HYHQ DIWHU VWXGHQWV DWWDLQ (QJOLVK PDVWHU\ 7KH JRDO RI WKHVH SURJUDPV LV WR DVVLVW /(3 FKLOGUHQ ZLWK (QJOLVK PDVWHU\ ZKLOH LQFUHDVLQJ UHVSHFW IRU QDWLYH ODQJXDJHV E\ DOO VWXGHQWV DQG DGXOWV DW WKH VFKRRO f7ZR :D\ HQULFKPHQWf LV WKH WKLUG W\SH RI ELOLQJXDO SURJUDP HPSKDVL]HG E\ +RUQEHUJHU f ,Q WKLV IRUPDW /(3 VWXGHQWV VKDUH FODVVURRPV ZLWK QDWLYH(QJOLVK VSHDNHUV 7KLV GLIIHUV IURP HDUO\ DQG ODWHH[LW SURJUDPV ZKHUH /(3 VWXGHQWV DUH WDXJKW VHSDUDWHO\ IURP PDLQVWUHDP VWXGHQWV VSHFLILFDOO\ LQ NLQGHUJDUWHQ WKURXJK WKLUG JUDGH )DOWLV t +XGHOVRQ f ,Q WKH WZRZD\ HQULFKPHQW SURJUDP FODVVURRP LQVWUXFWLRQ LV FRQGXFWHG LQ ERWK ODQJXDJHV IRU HTXDO DPRXQWV RI WLPH 7KH HPSKDVLV LQ WKHVH W\SHV RI SURJUDPV LV WR DVVLVW /(3 DQG QDWLYH(QJOLVK SURILFLHQW FKLOGUHQ DOLNH WR DWWDLQ IXOO SURILFLHQF\ LQ WZR ODQJXDJHV E\ WKH WLPH WKH\ H[LW WKH VL[WK JUDGH 7KHVH SURJUDPV WHQG WR EH XVHG LQ DUHDV ZKHUH RQH GRPLQDQW QRQ(QJOLVK ODQJXDJH H[LVWV VXFK DV )UHQFK LQ 0RQWUHDO &DQDGD RU 6SDQLVK LQ 0LDPL )ORULGD )DOWLV t +XGHOVRQ f 6XFK SURJUDPV DUH FRQVLGHUHG WKH HSLWRPH RI ELOLQJXDO HGXFDWLRQ EHFDXVH WKH\ IRVWHU WKH

PAGE 25

SRVLWLYH DWWULEXWHV RI D FKLOG EHLQJ SURILFLHQW LQ PRUH WKDQ RQH ODQJXDJH &XPPLQV &UDZIRUG f 5HVHDUFK RQ HDFK RI WKH WKUHH W\SHV RI fUHDOf ELOLQJXDO HGXFDWLRQ SURJUDPV GHVFULEHG DERYH LQGLFDWHV DFDGHPLF VXFFHVV VFKRROZLGH DSSUHFLDWLRQ RI GLYHUVLW\ DQG SRVLWLYH VRFLDOHPRWLRQDO JURZWK IRU PRVW /(3 FKLOGUHQ &UDZIRUG +DNXWD t *DUFLD f 5HJDUGLQJ +LVSDQLF$PHULFDQ/DWLQR FKLOGUHQ WKH UHVHDUFK HYLGHQFHf LQGLFDWHV WKDW 6SDQLVK ODQJXDJH PDLQWHQDQFH LPSURYHV DFDGHPLF VXFFHVV DQG OHYHOV RI VHOIHVWHHP DPRQJ WKHVH FKLOGUHQ &DVDQRYD f 5HJDUGOHVV RI WKH UHVHDUFK DQG SUDFWLFH XVHG WR VXSSRUW WUXO\ ELOLQJXDO SURJUDPV WKH WLPH WHDFKHUV DQG UHVRXUFHV QHHGHG WR LPSOHPHQW WKHVH SURJUDPV QDWLRQZLGH DUH VFDUFH &DVDQRYD &UDZIRUG f )RU WKHVH UHDVRQV QRQELOLQJXDO VHWWLQJV VXFK DV (QJOLVK IRU 6SHDNHUV RI 2WKHU /DQJXDJHV (62/f RU (QJOLVK DV D 6HFRQG /DQJXDJH (6/f DUH FXUUHQWO\ WKH PRVW FRPPRQ PHWKRGV RI DFDGHPLF LQVWUXFWLRQ XVHG WR WHDFK /(3 VWXGHQWV )DOWLV t +XGHOVRQ f (QJOLVKDVDVHFRQGODQJXDJH(62/ LQVWUXFWLRQ IDOOV LQ WKH DUHD RI WUDQVLWLRQDO ELOLQJXDO HGXFDWLRQ LQ WKDW WKH SULPDU\ SXUSRVH LV WR DVVLVW /(3 VWXGHQWV LQ DFDGHPLFDOO\ DFKLHYLQJ LQ (QJOLVK DV VRRQ DV SRVVLEOH 7KH VHUYLFHV RIIHUHG LQ (62/(6/ FODVVURRPV UDQJH IURP fSXOOLQJ RXWf FKLOGUHQ ZKR TXDOLI\ IRU VHUYLFHV DQG SURYLGLQJ VSHFLDOL]HG VHUYLFHV IRU D SRUWLRQ RI WKH VFKRRO GD\ WR SODFLQJ WKHVH FKLOGUHQ LQ D FODVVURRP ZLWK D FHUWLILHG (62/(6/ WHDFKHU RU RQH ZKR KDV WDNHQ D IHZ FRXUVHV RQ WKH VXEMHFW PDWWHUf ZKLOH UHFHLYLQJ OLWWOH RU QR (62/(6/ LQVWUXFWLRQ RU SURYLGLQJ DQ (62/(6/ FHUWLILHG SDUDSURIHVVLRQDO DLGH IRU WKH SXUSRVH RI WHPSRUDU\ DVVLVWDQFH RQ DQ DVQHHGHG EDVLV )DOWLV t +XGHOVRQ f

PAGE 26

$V UHSRUWHG E\ VHYHUDO UHVHDUFKHUV &UDZIRUG )DOWLV t +XGHOVRQ 0DODNRII t +DNXWD 0HW f WKH UHDXWKRUL]DWLRQ RI WKH %LOLQJXDO (GXFDWLRQ $FW 7LWOH 9,,f LQ DOORZHG LQGLYLGXDO VFKRRO GLVWULFWV WR GHILQH DQG LPSOHPHQW WKHLU RZQ IRUP RI ELOLQJXDO HGXFDWLRQ XQGHU WKH WHUP fVSHFLDO DOWHUQDWLYH LQVWUXFWLRQ SURJUDPVf ,W LV XQGHU WKLV SURYLVLRQ WKDW WUDQVLWLRQDO (62/(6/ SURJUDPV EHFDPH WKH PRVW SRSXODU DQG PRVW XVHG GHOLYHU\ V\VWHPV IRU SURYLGLQJ ELOLQJXDO HGXFDWLRQ %HFDXVH RI WKH UHDXWKRUL]DWLRQ RI 7LWOH 9,, WKH DFW RI SODFLQJ DQ /(3 FKLOG LQ D FODVVURRP ZKHUH DOO WKH VWXGHQWV DUH QDWLYH (QJOLVK VSHDNHUV DQG ZLWK DQ (62/(6/ FHUWLILHG WHDFKHU ZKR GRHV QRW DFWXDOO\ SURYLGH VSHFLILF (62/(6/ LQVWUXFWLRQf LV FRQVLGHUHG DQ DGHTXDWH SURYLVLRQ 7KLV DSSURDFK LV FRQVLGHUHG WR EH D IRUP RI ELOLQJXDO HGXFDWLRQ HYHQ WKRXJK QR GLUHFW (62/(6/ LQVWUXFWLRQ RFFXUV 7KLV LV D FRPPRQ H[SHULHQFH RI +LVSDQLF $PHULFDQ/DWLQR /(3 FKLOGUHQ ZKR DWWHQG VFKRROV ZKHUH ORZHU QXPEHUV RI /(3 VWXGHQWV DUH HQUROOHG RU LQ VFKRRO FRUSRUDWLRQV GLVWULFWVf ZLWK D VPDOO +LVSDQLF $PHULFDQ/DWLQR SRSXODWLRQ $FFRUGLQJ WR WKH 86 *HQHUDO $FFRXQWLQJ 2IILFH f /(3 FKLOGUHQ LQ HOHPHQWDU\ VFKRROV ZKHUH /(3 HQUROOPHQW LV PLQLPDO KDYH D PXFK ORZHU FKDQFH RI UHFHLYLQJ DSSURSULDWH (62/(6/ LQVWUXFWLRQ &RQVHTXHQWO\ b RI HOHPHQWDU\ VFKRRODJHG FKLOGUHQ HOLJLEOH IRU (62/(6/ LQVWUXFWLRQ H[SHULHQFH QR VXFK DFFRPPRGDWLRQV DW VFKRRO 86 *HQHUDO $FFRXQWLQJ 2IILFH f 7KH PRVW IUHTXHQWO\ XVHG IRUP RI (62/(6/ HGXFDWLRQ WKDW RFFXUV WRGD\ LV NQRZQ DV D fSXOO RXWf SURJUDP &UDZIRUG 0HW f $FFRUGLQJ WR )DOWLV DQG +XGHOVRQ f VWXGHQWV LQ SXOO RXW (62/(6/ SURJUDPV DOVR NQRZQ DV UHVRXUFH (62/(6/ SURJUDPV UHFHLYH OLPLWHG LQVWUXFWLRQ LQ ELOLQJXDO HGXFDWLRQ 7KLV VHSDUDWH LQVWUXFWLRQ ODVWV IURP PLQXWHV WR DQ KRXU DQG RQHKDOI D GD\ GHSHQGLQJ RQ WKH VFKRRO DQG WKH QXPEHU RI /(3 VWXGHQWV HQUROOHG DQG PD\ EH SURYLGHG E\ D WHDFKHU RU

PAGE 27

SDUDSURIHVVLRQDO WHDFKHUfV DLGH 6LQFH PRVW (62/(6/ SURJUDPV GHDO ZLWK D YDULHW\ RI ODQJXDJHV WKH WHDFKHUV LQ WKHVH VHWWLQJV GR QRW QHFHVVDULO\ XVH WKH QDWLYH ODQJXDJH RI WKHLU VWXGHQWV 5DWKHU WHFKQLTXHV WKDW KDYH EHHQ SURYHQ WR ZRUN ZLWK /(3 VWXGHQWV VXFK DV XVLQJ PRUH YLVXDO FXHV PDWKPDQLSXODWLYHV KDQGVRQ DFWLYLWLHV DQG LQWHJUDWLQJ QDWLYH FXOWXUHV DUH WKH PDLQ GLIIHUHQFHV EHWZHHQ WKH PDLQVWUHDP FODVVURRP DQG WKH (62/(6/ LQVWUXFWLRQ SURYLGHG WR WKH PDMRULW\ RI /(3 VWXGHQWV 0HW f $ VWXGHQWfV LQVWUXFWLRQ LQ DQ (62/(6/ SURJUDP WHQGV WR ODVW QR PRUH WKDQ WKUHH \HDUV )ROORZLQJ WKH WKLUG \HDU VWXGHQWV XVXDOO\ DUH GLVPLVVHG IURP (62/(6/SURJUDP HOLJLELOLW\ DQG DUH PDLQVWUHDPHG IXOOWLPH LQWR WKH UHJXODU HGXFDWLRQ FODVVURRP VHWWLQJV &UDZIRUG f 7KH GHEDWH EHWZHHQ ZKLFK W\SH RI LQVWUXFWLRQ /(3 FKLOGUHQ DUH HQWLWOHG WR RU VKRXOG UHFHLYH LV D SROLWLFDO LGHRORJLFDO DQG SHGDJRJLFDO RQH 7KH SXVK IRU PRUH RU OHVVf ILUVWODQJXDJH LQVWUXFWLRQ RI /(3 VWXGHQWV WHQGV WR IDOO DORQJ SROLWLFDOO\ OLEHUDO OLQHV &UDZIRUG f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fSXOO RXWf (62/(6/ SURJUDPV DUH WDXJKW E\ WHDFKHUV RU SDUDSURIHVVLRQDO DLGHV ZKR DUH QRW IOXHQW LQ WKH QDWLYH 6SDQLVK ODQJXDJH VSRNHQ E\ WKHLU /(3 VWXGHQWV &D]GHQ f 6LQFH PRVW

PAGE 28

VFKRRO GLVWULFWV KDYH DGRSWHG QRQELOLQJXDO (62/(6/ SURJUDPV FODVVURRP LQVWUXFWLRQ LQ WKHVH VHWWLQJV WHQGV WR IRFXV RQ WKH (QJOLVK ODQJXDJH 7HDFKHUV WHDFK DFDGHPLF FRQWHQW PDWK UHDGLQJ ODQJXDJH DUWV VFLHQFH DQG VRFLDO VWXGLHVf LQ (QJOLVK DQG RIWHQ GHSHQG RQ ELOLQJXDO LQVWUXFWLRQDO SDUDSURIHVVLRQDOf DLGHV WR WUDQVODWH WKH PDWHULDO LQWR VWXGHQWfV ILUVW ODQJXDJH )DOWLV t +XGHOVRQ f $FFRUGLQJ WR 7DERUV DQG 6QRZ f LQVWUXFWLRQ LQ WKH (62/(6/ VHWWLQJ LQYROYHV D VWUXFWXUHG VHW URXWLQH LQ ZKLFK DFWLYLWLHV RFFXU LQ SUHGLFWDEOH ZD\V DW VSHFLILHG WLPH LQWHUYDOV /LPLWHG(QJOLVK SURILFLHQW FKLOGUHQ HQUROOHG LQ (62/(6/ DUH JLYHQ H[WUD WLPH WR OHDUQ DQG SUDFWLFH RUDO DQG ZULWWHQ FRPPXQLFDWLRQ LQ (QJOLVK 7KH\ PD\ EH SDLUHG XS ZLWK DQ (QJOLVKVSHDNLQJ SHHU DQGRU HQFRXUDJHG WR XVH (QJOLVK IRU LQWHUSHUVRQDO FRPPXQLFDWLRQ
PAGE 29

VFKRROV *LYHQ WKH FODVVURRP VFHQDULR LQ ZKLFK PRVW RI WKHVH FKLOGUHQ ILQG WKHPVHOYHV OLPLWHG UHVRXUFHV OLWWOH XVH RI WKH QDWLYH ODQJXDJH IUXVWUDWLRQ ZLWK OHDUQLQJ (QJOLVKf VFKRRO DXWKRULWLHV PD\ QRW EH GLUHFWLQJ HQRXJK DWWHQWLRQ WR WKHVH SUREOHPV DUHDVf )LJXHURD f EHVW VXPPHG XS WKLV LVVXH ZKHQ KH ZURWH WKDW /(3 VWXGHQWV H[SHULHQFH IUXVWUDWLRQ DQG QRQVXFFHVV QRW EHFDXVH RI SUREOHPV LQ WKH KRPH DQG IDPLO\ EXW EHFDXVH WKH\ IHHO QHJOHFWHG DQG DFDGHPLFDOO\ LQIHULRU DW VFKRRO ,W LV XQOLNHO\ WKDW ELOLQJXDO HGXFDWLRQ SURJUDPV LQ VFKRROV ZLOO VRRQ EHJLQ WR HPSKDVL]H fWUXHf ELOLQJXDO VHWWLQJV YHUVXV fSXOO RXWf SURJUDPV RU QR (62/(6/ LQVWUXFWLRQf VXFK DV WKRVH LQ H[LVWHQFH SULRU WR WKH UHDXWKRUL]DWLRQ RI 7LWOH 9,, LQ &UDZIRUG f )RU WKLV UHDVRQ LW EHFRPHV SDUDPRXQW WKDW PHWKRGV EH GHYHORSHG WKDW ZLOO HPSRZHU +LVSDQLF $PHULFDQ/DWLQR DV ZHOO DV RWKHU /(3 VWXGHQWV LQ WKH VFKRRO VHWWLQJ WR FRPSHQVDWH IRU QHJDWLYH H[SHULHQFHV WKH\ HQFRXQWHU LQ WKH FODVVURRP DQG WKURXJKRXW WKH VFKRRO &XPPLQV f 8VLQJ DSSURSULDWH FRXQVHOLQJ LQWHUYHQWLRQV LQFOXGLQJ VPDOO JURXS PHWKRGV LV RQH ZD\ WR DGGUHVV WKH ODFN RI HPSRZHUPHQW H[SHULHQFHG E\ +LVSDQLF $PHULFDQ/DWLQR /(3 FKLOGUHQ LQ RXU VFKRROV *RSDXO0F1LFRO t 7KRPDV3UHVVZRRG f $OWKRXJK VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQV ZLOO QRW DOOHYLDWH DOO RI WKH QHJDWLYH H[SHULHQFHV HQFRXQWHUHG E\ /(3 VWXGHQWV LQ WKH (62/(6/ SURJUDPV DQG WKH RYHUDOO VFKRRO HQYLURQPHQW SURYLGLQJ VPDOO JURXS LQWHUYHQWLRQV PD\ DVVLVW WKHVH VWXGHQWV LQ FRQVWUXFWLYHO\ FRSLQJ ZLWK WKHLU SHUVRQDOVRFLDO DQG DFDGHPLF SUREOHPV /DQJXDJH $FTXLVLWLRQ &KLOGUHQ DQG DGXOWV DOLNH XVH ODQJXDJH LQ RUGHU WR FRSH ZLWK SHUVRQDO LVVXHV DQG HQJDJH LQ VRFLDO SDUWLFLSDWLRQ 3LSHU f 7KHRULVWV VXFK DV &XPPLQV f DQG .UDVKHQ f KDYH GHYHORSHG K\SRWKHVHV DQG SUHPLVHV IRU WKH GHYHORSPHQW RI

PAGE 30

ODQJXDJH ERWK QDWLYH DQG VHFRQG ODQJXDJHV LQ FKLOGUHQ DQG DGXOWV 7KHUH DUH VHYHUDO LPSRUWDQW E\SURGXFWV RI WKLV UHVHDUFK 7KHVH LQFOXGH FRQVLGHUDEOH LQIRUPDWLRQ RQ WKH VHOIFRQFHSW DFDGHPLF DELOLW\ DQG VFKRRO VXFFHVV DQG DWWLWXGHV WRZDUG OHDUQLQJ RI HOHPHQWDU\ OHYHO VFKRRODJHG FKLOGUHQ &XPPLQV f 5HJDUGOHVV RI ZKHWKHU D FKLOG LV OHDUQLQJ WR FRPPXQLFDWH LQ KHUKLV QDWLYH ODQJXDJH RU D VHFRQG .UDVKHQ f K\SRWKHVL]HG WKDW LQLWLDO ODQJXDJH DFTXLVLWLRQ RFFXUV WKURXJK SUDFWLFH LQ UHDO OLIH VLWXDWLRQV ,W LV LQ WKHVH ILUVW DQG LQIRUPDO VLWXDWLRQV WKDW FKLOGUHQ OHDUQ DQG LQFRUSRUDWH WKH EDVLF UXOHV DQG VWUXFWXUH RI ODQJXDJH *UDPPDWLFDO UXOHV YRFDEXODU\ DQG UHDGLQJ FRPSUHKHQVLRQ QRUPDOO\ RFFXU LQ WKH VFKRRO VHWWLQJ SUHVHQWHG WKURXJK PRUH IRUPDO WHDFKLQJ PHWKRGV $XJXVW t +DNXWD &UDZIRUG f 7KLV VWXG\ ZDV JHDUHG WRZDUG HOHPHQWDU\ VFKRRODJHG /(3 FKLOGUHQ LQ (62/(6/ SURJUDPV ZKR VSHDN 6SDQLVK DV D ILUVW ODQJXDJH 7KXV WKH UHYLHZ RI WKH OLWHUDWXUH WKDW IROORZV IRFXVHV RQ KRZ WKHVH FKLOGUHQ DFTXLUH (QJOLVK DV WKHLU VHFRQG ODQJXDJH $OVR UHODWHG WR WKLV VWXG\ LV KRZ VHFRQGODQJXDJH DFTXLVLWLRQ DIIHFWV D FKLOGfV DFDGHPLF SHUIRUPDQFH DQG SHUVRQDOVRFLDO GHYHORSPHQW $FFRUGLQJ WR .UDVKHQ f DFTXLVLWLRQ RI D VHFRQG ODQJXDJH RFFXUV LQ ILYH VWDJHV ,Q WKH ILUVW 3UHSURGXFWLRQ FRPSUHKHQVLRQ VNLOOV DUH GHYHORSHG ZKLOH H[SUHVVLYH VNLOOV UHPDLQ PLQLPDO ,W LV LQ WKLV VWDJH WKDW WKH LQGLYLGXDO IRFXVHV RQ OLVWHQLQJ LQ RUGHU WR JDLQ PHDQLQJV RI ZRUGV DQG WKHLU FRQWH[W 7KH (DUO\ 3URGXFWLRQ VHFRQGf VWDJH LV ZKHUH YHUEDOL]DWLRQ RI WKH QHZ ODQJXDJH EHJLQV DQG VKRUW WZR RU WKUHH ZRUG VHQWHQFHV DUH EHLQJ IRUPHG ZKLOH FRPSUHKHQVLRQ VNLOOV FRQWLQXH WR EH UHLQIRUFHG /RQJHU PRUH FRPSOH[ VHQWHQFH VWUXFWXUH LV WKH KDOOPDUN RI VWDJH WKUHH 6SHHFK (PHUJHQFH $OWKRXJK JUDPPDWLFDO HUURUV DERXQG WKH /(3 OHDUQHU JDLQV PRUH FRQILGHQFH LQ XVH RI WKH VHFRQG

PAGE 31

ODQJXDJH GXULQJ WKLV VWDJH RI GHYHORSPHQW 1DUUDWLYHV DQG FRQYHUVDWLRQ HQJDJHPHQW FKDUDFWHUL]H WKH IRXUWK VWDJH ,QWHUPHGLDWH IOXHQF\ +RZHYHU GXULQJ WKLV VWDJH SURFHVVLQJ LQ WKH QHZ ODQJXDJH UHPDLQV VORZHU ZKHQ FRPSDUHG WR D FKLOGfV QDWLYH WRQJXH 7KLV LV GXH LQ SDUW WR WKH QHHG WR WUDQVODWH LQIRUPDWLRQ IURP RQH ODQJXDJH WR DQRWKHU 'RUQLF f 7KH ILQDO VWDJH RI .UDVKHQfV PRGHO LV NQRZQ DV $GYDQFHG )OXHQF\ 6WXGHQWV RI WKH QHZ ODQJXDJH GHYHORS EHWWHU DQG UHODWLYHO\ IOXHQW H[SUHVVLYH DQG UHFHSWLYH DELOLWLHV GXULQJ WKLV VWDJH 7KH OHDUQHUfV DELOLW\ WR ZULWH LQ WKH VHFRQG ODQJXDJH XVH RI SURSHU JUDPPDU VSHOOLQJ DQG SXQFWXDWLRQf DOVR EHFRPHV VWURQJHU GXULQJ WKLV VWDJH +RZHYHU PHPRUL]DWLRQ UHWULHYDO RI LQIRUPDWLRQ DQG LQIRUPDWLRQ SURFHVVLQJ IRU WKH FKLOG UDUHO\ HYHU EHFRPHV DV IDVW DQG DFFXUDWH DV LQ WKHLU ILUVW ODQJXDJH /RSH] t *RSDXO0F1LFRO f $Q LQGLYLGXDOfV VXFFHVV DW EHFRPLQJ IOXHQW LQ ZULWLQJ DQG VSHDNLQJ LQ D VHFRQG ODQJXDJH GHSHQGV RQ WKDW SHUVRQfV OHYHO RI GHYHORSPHQW LQ KHUKLV ILUVW ODQJXDJH &UDZIRUG t &XPPLQV f 7KH QXPEHU RI \HDUV D SHUVRQ KDV VSHQW FRPPXQLFDWLQJ LQ WKHLU ILUVW ODQJXDJH /,f DOVR LV UHODWHG WR WKH OHYHO RI IOXHQF\ DWWDLQHG LQ WKH VHFRQG ODQJXDJH /f &ROOLHU f UHSRUWHG WKDW \RXQJ /(3 FKLOGUHQ LQ *UDGHV NLQGHUJDUWHQ WKURXJK WKLUG JUDGH UHTXLUHG PRUH WLPH WR UHDFK SURILFLHQF\ LQ (QJOLVK &ROOLHU EDVHG WKLV RQ WKH IDFW WKDW WKHVH \RXQJHU FKLOGUHQ KDYH OLWWOH RU QR VFKRROLQJ DQG KDYH OHVV H[SHULHQFH LQ WKHLU ILUVW ODQJXDJH WKDQ GR ROGHU FKLOGUHQ &XPPLQV f GHVFULEHG WKH HIIHFWV /, KDV RQ / E\ GLVWLQJXLVKLQJ EHWZHHQ WZR W\SHV RI ODQJXDJH SURILFLHQF\ %DVLF ,QWHUSHUVRQDO &RPPXQLFDWLYH 6NLOOV %,&6f DQG &RJQLWLYH $FDGHPLF /DQJXDJH 3URILFLHQF\ &$/3f $ FKLOG GHPRQVWUDWHV D JUDVS RI WKH VRFLDO DQG FRQYHUVDWLRQDO VNLOOV RI WKHLU QDWLYH WRQJXH /, E\ LQWHUDFWLQJ ZLWK SDUHQWV VLEOLQJV DQG IULHQGV WKHUHE\ KDYLQJ DFKLHYHG %,&6 LQ WKHLU ILUVW ODQJXDJH

PAGE 32

+RZHYHU LQ RUGHU WR DFKLHYH EDVLF FRQFHSWXDO DQG DFDGHPLF VNLOOV LQ /, DQG / WKH\ QHHG WR UHDFK WKH &$/3 OHYHO 7KLV FRJQLWLYH DQG PRUH DQDO\WLFDO ODQJXDJH XVDJH EHJLQV DURXQG DJH VHYHQ DQG LV VROLGLILHG E\ DSSUR[LPDWHO\ DJH WHQ ZKHQ WKH FKLOG LV VWLOO HPSOR\LQJ /, WR OHDUQ PDWKHPDWLFDO JUDPPDWLFDO DQG KLJKHUOHYHO WKLQNLQJf &XPPLQV f $ FKLOG ZKR OHDUQV DFDGHPLF VNLOOV LQ WKHLU ILUVW ODQJXDJH E\ DJH VHYHQ WR QLQH VWDQGV D PXFK EHWWHU FKDQFH RI DWWDLQLQJ &$/3 LQ D VHFRQG ODQJXDJH FRPSDUHG WR D FKLOG ZKR RQO\ UHFHLYHG QDWLYH ODQJXDJH LQVWUXFWLRQ XS WR WKH DJHV WKUHH WR ILYH )RU WKLV UHDVRQ VHYHUDO UHVHDUFKHUV DGYRFDWH IRU WHDFKLQJ /(3 VWXGHQWV LQ WKHLU QDWLYH ODQJXDJHV DORQJVLGH WKH QHZ ODQJXDJH UDWKHU WKDQ FRPSOHWHO\ HOLPLQDWLQJ FKLOGUHQfV ILUVW ODQJXDJH IURP VFKRROZLGH LQVWUXFWLRQ &XPPLQV .UDVKHQ f 7KH ODWWHU VLWXDWLRQ ZRXOG KDYH WKH HIIHFW RI UHVWULFWLQJ / IOXHQF\ WR WKH %,&6 OHYHO &ROOLHU f &XPPLQV f DFNQRZOHGJHG WKDW D FKLOG ZKR GHYHORSV D VWURQJ FRQFHSWXDO EDVH LQ /, ZRXOG PRVW OLNHO\ GHYHORS VWURQJ DELOLWLHV LQ / )XUWKHUPRUH &XPPLQV f DQG &ROOLHU f VWDWHG WKDW LW ZRXOG XVXDOO\f WDNH DQ DGGLWLRQDO ILYH WR VHYHQ \HDUV DIWHU &$/3 LQ /, KDV EHHQ UHDFKHG IRU /(3 VWXGHQWV WR ZULWH DQG VSHDN (QJOLVK DV ZHOO DV QDWLYH VSHDNHUV ,Q HVVHQFH WKH PRUH WLPH D FKLOG KDV WR OHDUQ DQG SUDFWLFH WKHLU QDWLYH ODQJXDJH WKH EHWWHU VKH RU KH ZLOO GR DW DFKLHYLQJ SURILFLHQF\ LQ WKH VHFRQG ODQJXDJH )RU WKLV UHDVRQ PLGGOH VFKRRO DQG KLJK VFKRRODJHG FKLOGUHQ ZKR DUH OHDUQLQJ (QJOLVK DV D VHFRQG ODQJXDJH GR VR PRUH TXLFNO\ WKDQ \RXQJHU FKLOGUHQ $XJXVW DQG +DNXWD f )XUWKHUPRUH WKLV H[SODQDWLRQ DOVR VHHPV WR DFFRXQW IRU WKH VRFLDOHPRWLRQDO DQG DFDGHPLF SUREOHPV H[SHULHQFHG E\ \RXQJ OHDUQHUV RI (QJOLVK DV D VHFRQG ODQJXDJH 7KH DFTXLVLWLRQ RI D QHZ ODQJXDJH LV DQ DFDGHPLF DQG VRFLDO HQGHDYRU /LPLWHG (QJOLVK SURILFLHQW FKLOGUHQ DFTXLUH (QJOLVK LQ WKH VFKRROV ZKLOH DW WKH VDPH WLPH WKH\ DUH

PAGE 33

UHFHLYLQJ PHVVDJHV DERXW WKHLU QDWLYH FXOWXUH DQG WKHLU UHFHQWO\ DFTXLUHG UROH LQ VRFLHW\ 0F.HRQ f 2IWHQ WLPHV WKHVH PHVVDJHV DOWKRXJK FRYHUW QHJDWLYHO\ HYDOXDWH D FKLOGfV ILUVW ODQJXDJH RU FRXQWU\ RI RULJLQ DV EHLQJ fVHFRQG FODVVf RU LQIHULRU 5HVHDUFKHUV KDYH FRQFOXGHG WKDW VXFK PHVVDJHV FDQ DIIHFW WKH RXWFRPH RI D FKLOGfV HGXFDWLRQ DQG DWWLWXGHV WRZDUG VFKRRO 2JEX t 0DWXWH%LDQFKL f &KLOGUHQ PD\ DOVR H[SHULHQFH GLVVRQDQFH EHWZHHQ WKH ODQJXDJH VSRNHQ LQ WKH KRPH DQG WKH ODQJXDJH XVHG DW WKHLU VFKRRO IRUFLQJ WKHP WR EH ELOLQJXDO DQG ELFXOWXUDO 7KLV GLVVRQDQFH LQFUHDVHV WKH VWUHVV WKHVH \RXQJ FKLOGUHQ H[SHULHQFH 7KLV VWUHVV LV WKH UHVXOW RI D FKLOGfV GLIILFXOW\ LQ EDODQFLQJ D QHZ ODQJXDJH ZLWK DQ ROG ODQJXDJH DQG D QHZ FXOWXUH DQG VRFLHW\ ZLWK D QDWLYH RQH 3LSHU f +HQFH ODQJXDJH DFTXLVLWLRQ DQG LQFUHDVHG SURILFLHQF\ GLUHFWO\ DIIHFWV WKH VRFLDOHPRWLRQDO GHYHORSPHQW DQG DFDGHPLF VXFFHVV RI \RXQJ FKLOGUHQ 0DUFRV f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f )XUWKHUPRUH DV WKH VHOIFRQFHSW RI DQ /(3 VWXGHQW FRQWLQXHV WR EH DIIHFWHG E\ UHVWULFWHG H[SRVXUH WR WKH QDWLYH ODQJXDJH ZKLOH DGMXVWLQJ WR D QHZ HGXFDWLRQDO V\VWHP WKH SRVVLELOLW\ RI FRQGXFW DQG DQ[LHW\ GLVRUGHUV LQFUHDVHV 0DOJDG\ 5RJOHU t &RVWDQWLQR f 5HVHDUFK LQGLFDWHV WKDW VXFK GLVRUGHUV XVXDOO\ OHDG WR ORZHU DFDGHPLF SHUIRUPDQFH RQH RI WKH GHSHQGHQW YDULDEOHV LQ WKLV VWXG\ IRU /(3 VWXGHQWV 2JEX f

PAGE 34

&RXQVHOLQJ +LVSDQLF $PHULFDQ/DWLQR &KLOGUHQ LQ (OHPHQWDU\ 6FKRROV (OHPHQWDU\ VFKRRO FRXQVHORUV DUH UHVSRQVLEOH IRU HQVXULQJ WKDW DOO FKLOGUHQ LQ WKH VFKRRO KDYH WKH RSSRUWXQLW\ WR H[SHULHQFH D VHQVH RI DFDGHPLF DFFRPSOLVKPHQW DQG VRFLDOHPRWLRQDO VDWLVIDFWLRQ *LEVRQ 0LWFKHOO t %DVLOLH f 7KH $PHULFDQ 6FKRRO &RXQVHOLQJ $VVRFLDWLRQfV SRVLWLRQ FRUUHVSRQGLQJ WR HWKLF DQG UDFLDO PLQRULW\ FKLOGUHQ LV WKDW VFKRRO FRXQVHORUV DUH DOVR UHVSRQVLEOH IRU HQVXULQJ WKDW PLQRULW\ FKLOGUHQ UHFHLYH DFFHVV WR VFKRRO FRXQVHOLQJ SURJUDPV DQG LQWHUYHQWLRQV WR IDFLOLWDWH WKHLU SHUVRQDOVRFLDO DQG DFDGHPLF GHYHORSPHQW $PHULFDQ 6FKRRO &RXQVHOLQJ $VVRFLDWLRQ >$6&$@ f 7KURXJK WKLV VWURQJO\ ZRUGHG SRVLWLRQ VWDWHPHQW RQ FURVVPXOWLFXOWXUDO FRXQVHOLQJ $6&$ DGYRFDWHV IRU D SURIHVVLRQDO VFKRRO FRXQVHORU ZKR LV DZDUH RI WKH LPSDFW D FKLOGfV HWKQLFLW\ KDV RQ KHU RU KLV SHUVRQDO VRFLDO DQG DFDGHPLF GHYHORSPHQW 2YHU D JHQHUDWLRQ DJR $VKZRUWK f DQG :LWWPHU f KLJKOLJKWHG WKH QHHG IRU VFKRRO FRXQVHORUVf DZDUHQHVV RI VWXGHQWVf FXOWXUDO GLYHUVLW\ :LWWPHU ZDV FOHDU RQ WKH LPSRUWDQFH RI VWXGHQWVf QDWLYH FXOWXUHV LQ VFKRRO FRXQVHOLQJ ZKHQ KH ZURWH fVFKRRO FRXQVHORUV KROG WKH NH\ WR WKH SURFHVV RI UHGXFLQJ LI QRW FRPSOHWHO\ HOLPLQDWLQJ WKH VRFLDO DQG HPRWLRQDO EDUULHUV ZKLFK SUHYHQW PDQ\ PLQRULW\ JURXS PHPEHUV IURP EHFRPLQJ VHFXUH $PHULFDQ FLWL]HQV S ff 7KH LPSRUWDQFH RI WKLV FRQFHSW KDV FRQWLQXHG WR H[SDQG LQ WKH FRXQVHOLQJ SURIHVVLRQ DV GHPRQVWUDWHG E\ WKH JURZLQJ QXPEHU RI ERRNV DQG FKDSWHUV RQ WKH EHQHILWV RI PXOWLFXOWXUDO FRXQVHOLQJ DV ZHOO DV WKH GLIIHUHQW FRXQVHOLQJ QHHGV RI GLYHUVH SRSXODWLRQV 3HGHUVHQ 6XH t 6XH /HH 3HGHUVHQ t &DUH\ *HUOHU &LHFKDOVNL t 3DUNHU 6FKPLGW 7KRPSVRQ t 5XGROSK *LEVRQ 0LWFKHOO t %DVLOLH f 7KH ILUVW PDMRU ZRUN WR FRQVROLGDWH WKH LGHDV OLWHUDWXUH DQG UHVHDUFK RQ FRXQVHOLQJ +LVSDQLF FKLOGUHQ ZDV ZULWWHQ E\ %DUXWK DQG 0DQQLQJ LQ $ OLWHUDWXUH

PAGE 35

UHYLHZ RI WKH SDVW \HDUV RI VFKRRO FRXQVHOLQJ OLWHUDWXUH FRQGXFWHG E\ WKLV ZULWHU \LHOGHG %DUXWK DQG 0DQQLQJfV MRXUQDO DUWLFOH DV WKH RQO\ FRPSUHKHQVLYH PDMRU MRXUQDO SXEOLFDWLRQ RQ WKH WRSLF ,Q WKHLU DUWLFOH %DUXWK DQG 0DQQLQJ f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f HPSKDVL]H WKDW HIIHFWLYH FRXQVHOLQJ ZLWK +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ UHTXLUHV WKDW WKH SURIHVVLRQDO VFKRRO FRXQVHORU XQGHUVWDQG DQG UHFRJQL]H KRZ FXOWXUH DIIHFWV FKLOGUHQ 7KH\ DOVR QRWH WKDW VSHFLDO DWWHQWLRQ PXVW EH SDLG WR fFRSLQJ ZLWK ODQJXDJH SUREOHPV DQG GHYHORSLQJ SRVLWLYH VHOIFRQFHSWV DQG FXOWXUDO LGHQWLWLHV SO ff LQ ERWK LQGLYLGXDO DQG JURXS FRXQVHOLQJ LQWHUYHQWLRQV XVHG ZLWK +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ %DUXWK DQG 0DQQLQJ f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

PAGE 36

SURFHVV E\ KLJKOLJKWLQJ WKH LPSRUWDQFH RI XQGHUVWDQGLQJ WKH SUREOHPV 6SDQLVKVSHDNLQJ FKLOGUHQ H[SHULHQFH LQ WKH VFKRROV /HH f ZULWLQJ RQ WKH VWDWXV RI +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ DQG \RXWK LQ WKH VFKRROV IRFXVHV RQ WKH VHOIFRQFHSW RI WKHVH FKLOGUHQ ([SDQGLQJ RQ WKH LGHDV SURSRVHG E\ %DUXWK DQG 0DQQLQJ f /HH SURSRVHV WKDW WKH HIIHFWLYH VFKRRO FRXQVHORU PXVW IRFXV RQ WKH UROH VRFLRHFRQRPLF DQG FXOWXUDO IDFWRUV SOD\ LQ WKH +LVSDQLF$PHULFDQ/DWLQR FKLOGfV GHYHORSPHQW RI VHOIFRQFHSW $UUHGRQGR f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fV EHOLHI V\VWHP UHJDUGLQJ LQIOXHQFH LQ WKH VFKRRO HQYLURQPHQW $VLGH IURP GLUHFW ZRUN ZLWK +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ VFKRRO FRXQVHORUV VKRXOG DOVR FDUU\ RXW RWKHU WDVNV WKDW LQGLUHFWO\ DIIHFW WKH DGMXVWPHQW DQG ZHOO EHLQJ RI WKHVH FKLOGUHQ 6FKPLGW f UHIHUV WR VFKRRO FRXQVHORUV DV fYDQJXDUGV RI >WKH PXOWLFXOWXUDO@ PRYHPHQW S ff EHFDXVH RI WKHLU FRPPLWPHQW WR DVVLVW WHDFKHUV DQG FROOHDJXHV WR JDLQ D EHWWHU XQGHUVWDQGLQJ RI FXOWXUDO GLIIHUHQFHV 6FKRRO FRXQVHORUV DUH FDSDEOH RI DVVLVWLQJ +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ RQ DQ LQGLYLGXDO RQHRQRQH OHYHO ZKLOH VLPXOWDQHRXVO\ KHOSLQJ WR HVWDEOLVK UHVSHFW IRU WKH YDULRXV +LVSDQLF $PHULFDQ/DWLQR FXOWXUHV IRXQG ZLWKLQ WKHLU UHVSHFWLYH VFKRROV

PAGE 37

6ROXWLRQ)RFXVHG &RXQVHOLQJ 6ROXWLRQIRFXVHG FRXQVHOLQJ 6)&f LV RQH RI WKH PRUH SRSXODU IRUPV RI FRXQVHOLQJ PHWKRGV DYDLODEOH WR VFKRRO FRXQVHORUV DQG RWKHU PHQWDO KHDOWKFDUH SURYLGHUV LQ WKH VW FHQWXU\ $OWKRXJK LW KDV EHHQ LQ H[LVWHQFH VLQFH WKH V WKLV FRXQVHOLQJ DSSURDFK KDV FRPH LQWR SURPLQHQFH LQ WKH SDVW GHFDGH 7KLV LV GXH LQ SDUW WR WKH WLPH FRQVWUDLQWV SODFHG RQ WKH FRXQVHOLQJ SURIHVVLRQDOV E\ PDQDJHG FDUH DQG VFKRRO DGPLQLVWUDWRUV 7KRPSVRQ t 5XGROSK f 7KDW LV FRXQVHORUV KDYH H[SHULHQFHG SUHVVXUHV WR OLPLW WKHLU LQWHUYHQWLRQV DQG QXPEHUV RI VHVVLRQV WKHUHE\ FRQWULEXWLQJ WR PRUH UHVHDUFK DQG DQ LQFUHDVH LQ WKH XVH RI 6)& DPRQJ FRXQVHOLQJ SURIHVVLRQDOV 6WHYH GH 6KD]HU ZLWK ,QVRR .LP %HUJf LV FUHGLWHG ZLWK GHYHORSLQJ 6)& DQG EULQJLQJ LW WR WKH IRUHIURQW RI WKH FRXQVHOLQJ SURIHVVLRQ &RUH\ 0XUSK\ 7KRPSVRQ t 5XGROSK f *URXQGHG LQ EULHI WKHUDS\ DQG FRUUHVSRQGLQJ WR WKH JHQHUDO FDWHJRU\ RI PDUULDJH DQG IDPLO\ FRXQVHOLQJ 6)& KDV JURZQ LQWR LWV RZQ DV D FRXQVHOLQJ PHWKRG IRFXVLQJ RQ ILQGLQJ VROXWLRQV UDWKHU WKDQ H[SORULQJ WKH SUREOHP GH 6KD]HU f 'H 6KD]HU EHOLHYHV WKDW WRR PXFK WLPH DQG HQHUJ\ LV VSHQW E\ FRXQVHORUV WU\LQJ WR GLVFRYHU WKH FDXVH RI D FOLHQWfV SUREOHP E\ XVLQJ YDJXH DQG VXEMHFWLYH WHUPLQRORJ\ VXFK DV IHHOLQJV WKRXJKWV DQG PRWLYDWLRQV LQVWHDG RI WU\LQJ WR HVWDEOLVK FRQFUHWH DSSURSULDWH VROXWLRQV +H EHOLHYHV WKH NH\ WR KHOSLQJ FOLHQWV IHHO EHWWHU LV WR DVVLVW WKHP LQ IRFXVLQJ RQ ZKDW WKH\ DUH GRLQJ WKDW LV SRVLWLYH LQVWHDG RI ZK\ WKH\ WKLQN D SUREOHP H[LVWV )XUWKHUPRUH VROXWLRQIRFXVHG WKHUDS\ LV JURXQGHG LQ WKH SUHVHQW DQG IXWXUH DV RSSRVHG WR WKH SDVW 0XUSK\ f $V ZLWK &DUO 5RJHUfV SHUVRQFHQWHUHG FRXQVHOLQJ 6)& DFNQRZOHGJHV WKH EDVLF JRRGQHVV LQ SHRSOH WKHLU FDSDFLW\ IRU UDWLRQDO WKRXJKW DQG WKH DELOLW\ WR VROYH WKHLU RZQ SUREOHPV 7KRPSVRQ t 5XGROSK f

PAGE 38

7KHRUHWLFDOO\ 6)& LV EDVHG RQ WKH EHOLHI WKDW D VWURQJ FRXQVHORUFOLHQW DOOLDQFH LV WKH EHVW ZD\ WR ILQG VROXWLRQV WR WKH FOLHQWfV SUREOHP 7KH VWUHQJWK RI WKLV UHODWLRQVKLS GHSHQGV RQ WKH FRXQVHORUfV f DFFHSWDQFH RI WKH FOLHQW IRU ZKR VKH RU KH LV f DFNQRZOHGJPHQW WKDW WKH FOLHQW QHHGV WR GHYHORS VROXWLRQV DQG f DFFRPPRGDWLQJ WKHLU JRDOV DQG EHOLHIV 0XUSK\ f 7R DFKLHYH WKH f7KUHH$f UXOH DV 0XUSK\ KDV WLWOHG LW ZDUPWK HPSDWK\ DQG FDULQJ DUH QHFHVVDU\ WR HQDEOH WKH UHODWLRQVKLS WR IORXULVK $IWHU D VWURQJ UDSSRUW KDV EHHQ HVWDEOLVKHG WKH FRXQVHORU DQG FOLHQW ZRUN WRJHWKHU WR LGHQWLI\ WKH FOLHQWfV VWUHQJWKV LPSOHPHQW FRQFLVH DQG SURDFWLYH LQWHUYHQWLRQV VXFK DV UROHSOD\V DQG KRPHZRUN DVVLJQPHQWV DQG HVWDEOLVK FOHDU DQG DFKLHYDEOH JRDOV %UXFH f 2QFH UDSSRUW KDV EHHQ HVWDEOLVKHG LQ WKH FRXQVHORUFOLHQW UHODWLRQVKLS WKH FOLHQW WKHQ LV HQFRXUDJHG WR LQLWLDWH FKDQJH ZKLOH VRFLDOHPRWLRQDO SURJUHVV LV VXSSRUWHG &RUH\ f 6ROXWLRQIRFXVHG FRXQVHOLQJ XVHV WKH LGHD RI fH[FHSWLRQVf DV D IRXQGDWLRQ IRU PHWKRGV DQG WHFKQLTXHV XVHG LQ FRXQVHOLQJ VHVVLRQV ZKHUHE\ WKH FOLHQW DQG FRXQVHORU DFFHQWXDWH WKH SRVLWLYH &RH t =LPSKHU f 0XUSK\ f GHOLQHDWHV H[FHSWLRQV LQ VLWXDWLRQV LQ ZKLFK WKH SUREOHP H[SHULHQFHG E\ WKH FOLHQW GRHV QRW RFFXU RU LW RFFXUV WR D OHVVHU GHJUHH 7KDW LV HIIHFWLYH 6)& FRXQVHORUV FKDOOHQJH WKHLU FOLHQWV WR UHFRXQW D WLPH ZKHQ DQ XQZDQWHG SUREOHP RU QHJDWLYH VLWXDWLRQ GRHV QRW RFFXU )URP WKLV NQRZOHGJH EDVH WKH FOLHQWFRXQVHORU DOOLDQFH IRFXVHV RQ ZKDW FDXVHG WKH QHJDWLYH RFFXUUHQFH WR FHDVH DQG KRZ WR GHYHORS VROXWLRQV DQG JRDOV WR GHFUHDVH WKH OLNHOLKRRG RI WKH SUREOHP RFFXUULQJ DJDLQ 'H 6KD]HU f DFNQRZOHGJHG WKDW IRU FOLHQWV ZKR DUH QRW FDSDEOH RI IRUPLQJ SRVLWLYH FRQVWUXFWLYH EHKDYLRUDO JRDOV D PRUH VWUDLJKWIRUZDUG DQG FRQFUHWH PHWKRG LV QHHGHG 7KH fPLUDFOH TXHVWLRQf GHYHORSHG E\ GH 6KD]HU f FKDOOHQJHV FOLHQWV WR FRQVLGHU VROXWLRQV DQG JRDOV E\ SUHVHQWLQJ WKHP ZLWK D K\SRWKHWLFDO VLWXDWLRQ WKDW

PAGE 39

SURYLGHV DQ RSSRUWXQLW\ WR H[SORUH KRZ WKH\ ZRXOG UHDFW LI D SUHVHQWLQJ SUREOHP PLUDFXORXVO\ GLVDSSHDUHG RYHUQLJKW 7KH\ DUH DVNHG TXHVWLRQV VXFK DV f:KDW ZRXOG EH GLIIHUHQW"f RU f+RZ ZRXOG \RX NQRZ WKH SUREOHP GLVDSSHDUHG"f $ FOLHQW SUHVHQWHG ZLWK D PLUDFOH TXHVWLRQ KDV WKH RSSRUWXQLW\ WR WKLQN RI ZKDW OLIH ZRXOG EH OLNH ZLWKRXW WKH VSHFLILF SUREOHP $IWHU WKH FOLHQW UHIOHFWV RQ WKH TXHVWLRQ WKH FRXQVHORU DVNV ZKDW WKLQJV ZRXOG QHHG WR RFFXU LQ UHDO OLIH LI D PLUDFOH ZHUH WR EHFRPH D UHDOLW\ HPSKDVL]LQJ WKH FOLHQWfV UROH LQ EULQJLQJ DERXW WKH GHVLUHG FKDQJHV 7KLV PHWKRG DOORZV FOLHQWV WR GLVFRYHU WKHLU RZQ VROXWLRQV ZLWK JXLGDQFH IURP WKH FRXQVHORU $FFRUGLQJ WR 0XUSK\ f WKH XVH RI SRVLWLYH H[FHSWLRQV LV WKH GULYLQJ IRUFH EHKLQG WKH PLUDFOH TXHVWLRQ ,W LV GXULQJ WKHVH PRPHQWV WKDW D FOLHQW LV IRUFHG WR WKLQN DERXW KHUKLV UROH LQ FUHDWLRQ RI FRQVWUXFWLYH VROXWLRQV +RSHIXOO\ WKH PLUDFOH TXHVWLRQ DQG WKH IRFXV RQ SRVLWLYH H[FHSWLRQV LQWHUDFW WR FUHDWH SRVLWLYH FKDQJH QR PDWWHU KRZ VPDOO WKH VL]H RI WKDW FKDQJH /D)RXQWDLQ *DUQHU DQG (OLDVRQ f ZULWH WKDW FRXQVHORUV XVLQJ 6)& PHWKRGV VKRXOG EH FRQFHUQHG ZLWK DQ\ DPRXQW RI FKDQJH UHJDUGOHVV RI KRZ VPDOO 7KHVH UHVHDUFKHUV DVVHUW WKDW PDMRU FKDQJHV LQ D FOLHQWf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t 0RVHUW f 3URIHVVLRQDO VFKRRO FRXQVHORUV DUH XVLQJ WKH UHFHQW VXUJH LQ UHVHDUFK DQG SUDFWLFH RI 6)& WR MXVWLI\ WKH LQFUHDVHG XVH RI WKLV EULHI FRXQVHOLQJ DSSURDFK LQ VFKRRO VHWWLQJV

PAGE 40

$OWKRXJK IHZ VFKRRO FRXQVHORUV GHDO ZLWK WKH VWUHVV RI WKLUGSDUW\ SD\PHQWV DQG KHDOWK PDQDJHPHQW RUJDQL]DWLRQV WKH\ GR H[SHULHQFH ODUJH FDVHORDGV DQG OLPLWHG WLPH LQ WKH VFKRRO GD\ WR HIIHFWLYHO\ DGGUHVV WKH QHHGV RI VWXGHQWV IDFXOW\ SDUHQWV DQG WKH VFKRRO DGPLQLVWUDWLRQ 'RZQLQJ DQG +DUULVRQ f FLWLQJ WKH fUHDOLWLHV RI VFKRRO FRXQVHOLQJf DFNQRZOHGJH WKDW 6)& FDQ DVVLVW VFKRRO FRXQVHORUV LQ EHFRPLQJ PRUH HIILFLHQW DQG SURGXFWLYH IDFLOLWDWRUV LQ VSLWH RI WKH DODUPLQJ QXPEHU RI GXWLHV IRU ZKLFK WKH\ DUH UHVSRQVLEOH $V QRWHG HOHPHQWDU\ VFKRRO FRXQVHORUV FDQ EHQHILW IURP 6)& LQ WKDW LW KHOSV WKHP SURYLGH HIIHFWLYH LQGLYLGXDO DQG VPDOOJURXS FRXQVHOLQJ VHUYLFHV LQ VSLWH RI ODUJH FDVHORDGV $OVR /D)RXQWDLQ DQG *DUQHU f DFNQRZOHGJH WKH XVHIXOQHVV RI 6)& WHFKQLTXHV ZLWK \RXQJ FKLOGUHQ E\ KLJKOLJKWLQJ WKH XVH RI FRQFUHWH DFWLYLWLHV VXFK DV KRPHZRUN DVVLJQPHQWV XVLQJ DUW WR WHOO VWRULHV DQG VWUXFWXUHG WKHPDWLF XQLWV WKDW FDQ EH XVHG KLJKOLJKW DQG LGHQWLI\ H[FHSWLRQV WR FKLOGUHQfV SUREOHPV $V VWDWHG HDUOLHU VROXWLRQV DQG JRDOV FDQ EH VHW IRU WKH VWXGHQWFOLHQW DIWHU QHZ LGHDV DQG SHUVSHFWLYHV DUH RXWOLQHG WKURXJK 6)& WHFKQLTXHV 7KH LGHD RI WKH fPLUDFOH TXHVWLRQf LV DOVR XVHIXO ZKHQ ZRUNLQJ ZLWK \RXQJ FKLOGUHQ DV LV WKH FDVH LQ WKLV VWXG\ 6NODUH f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

PAGE 41

VNLOOV WR PDNH 6)& D XVHIXO FRXQVHOLQJ DSSURDFK LQ VFKRRO FRXQVHOLQJ 7KRPSVRQ t 5XGROSK f +RZHYHU VHYHUDO UHVHDUFKHUV EHOLHYH WKH VWUHQJWK RI WKH FRXQVHORUFKLOG UHODWLRQVKLS DV ZHOO DV WKH FRXQVHORUfV DELOLW\ WR IROORZ WKH OHDG RI WKH FKLOG DUH UHVSRQVLEOH IRU \LHOGLQJ SRVLWLYH UHVXOWV IURP WKH XVH RI 6)& &DPSEHOO t (OGHU 0RVHUW -RKQVRQ t 0RVHUW 6NODUH f 0XUSK\ f SRLQWV WR JHQXLQHO\ PDWFKLQJ WKH FKLOGfV ODQJXDJH ZKHQ DSSURSULDWH DV DQRWKHU NH\ WR FRPSHQVDWLQJ IRU D FKLOGfV ODFN RI UHVRXUFHIXOQHVV 7KLV DGGV D VHQVH RI HPSDWK\ DQG SDWLHQFH WR D 6)&W\SH FRXQVHOLQJ VHVVLRQ ZKHUH WKH FKLOG IHHOV DFNQRZOHGJHG DQG UHVSHFWHG $V D UHVXOW FKLOGUHQ IHHO WKH\ DUH HTXDO SDUWQHUV LQ WKH FRPPXQLFDWLRQ SURFHVV WKDW RFFXUV LQ WKH FRXQVHOLQJ HQYLURQPHQW 0XUSK\ f DFNQRZOHGJHV WKH HPSRZHULQJ DIIHFW 6)& DQG LWV XVH RI H[FHSWLRQV FDQ KDYH RQ FKLOGUHQfV VHOIHVWHHP DQG VXVWDLQHG XVH RI QHZO\ GLVFRYHUHG VROXWLRQV RYHU ORQJ SHULRGV RI WLPH ,Q D VHSDUDWH VWXG\ E\ /D)RXQWDLQ DQG *DUQHU f KHLJKWHQHG OHYHOV RI VHOIHVWHHP ZHUH IRXQG IRU FKLOGUHQ ZKR SDUWLFLSDWHG LQ VPDOO JURXSV OHG E\ VFKRRO FRXQVHORUV WUDLQHG LQ 6)& 5HJDUGLQJ PXOWLFXOWXUDO LVVXHV 7KRPSVRQ DQG 5XGROSK f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

PAGE 42

7KH FRQFUHWH QDWXUH RI WKH LQWHUYHQWLRQV HPSKDVLV RQ WKH FRXQVHORUFOLHQW UHODWLRQVKLS RYHUDOO SRVLWLYH UHDFWLRQ RI +LVSDQLF $PHULFDQV/DWLQRV WR 6)& DQG XQFRQGLWLRQDO SRVLWLYH UHJDUG IRU FKLOGUHQ LQKHUHQW LQ GH 6KD]HUfV WKHRU\ KDYH OHG WR WKH GHFLVLRQ WR XVH 6)& LQ WKLV VWXG\ )XUWKHUPRUH VWXGLHV RQ WKH HIILFDF\ RI 6)& ZLWK VPDOO JURXS LQWHUYHQWLRQV GHPRQVWUDWH SRVLWLYH RXWFRPHV ZKHQ ZRUNLQJ ZLWK FKLOGUHQ H[SHULHQFLQJ GLIILFXOW\ LQ WKH VFKRRO HQYLURQPHQW &ODUN /D)RXQWDLQ t *DUQHU f 6PDOO *URXS &RXQVHOLQJ ,QWHUYHQWLRQV 6PDOO JURXS FRXQVHOLQJ FDQ EH XVHG WR DVVLVW FKLOGUHQ LQ H[SUHVVLQJ IHHOLQJV DQG LQ FRSLQJ ZLWK YDULRXV SUREOHPV &RUH\ f $FFRUGLQJ WR &RUH\ FRXQVHOLQJ JURXSV LQ DQ HOHPHQWDU\ VFKRRO VHWWLQJ FDQ EH HIIHFWLYHO\ XVHG IRU GHYHORSPHQWDO UHPHGLDO DQG SUHYHQWDWLYH SXUSRVHV &RXQVHOLQJ JURXSV DOVR SURYLGH VFKRRO FRXQVHORUV ZLWK WKH RSSRUWXQLW\ WR HIIHFWLYHO\ SURYLGH VHUYLFHV WR FRQFXUUHQWO\ PHHW WKH QHHGV RI PDQ\ FKLOGUHQ %URZQ f 7KURXJK JURXS ZRUN VFKRRO FRXQVHORUV FDQ LGHQWLI\ DQG DVVLVW \RXQJ FKLOGUHQ LQ WKHLU DFDGHPLF DQG VRFLDO GHYHORSPHQW ([SHULHQFLQJ WKLV LQWHUYHQWLRQ FDQ SURYLGH FKLOGUHQ ZLWK WKH FRSLQJ PHFKDQLVPV DQG VWUDWHJLHV QHHGHG WR HIIHFWLYHO\ KDQGOH FXUUHQW DQG IXWXUH QHJDWLYH H[SHULHQFHV WKH\ PD\ HQFRXQWHU *LEVRQ 0LWFKHOO DQG %DVLOLH f FRQVLGHU VPDOO JURXS FRXQVHOLQJ EHQHILFLDO IRU FKLOGUHQ LQ WKDW LW HQDEOHV WKHP WR FRQIURQW FRQFHUQV LQ D VRFLDO HQYLURQPHQW ZKHUH WKH\ JDLQ LQGLUHFW VXSSRUW IURP WKH QRWLRQ WKDW WKHLU SUREOHP LV QRW H[FOXVLYH WR WKHP 7KLV LGHD RI XQLYHUVDOLW\ GHYHORSHG E\
PAGE 43

WKH WKUHH GHSHQGHQW YDULDEOHV DGGUHVVHG LQ WKLV VWXG\ -DFREV +DUYLOO DQG 0DVVRQ f FRQVLGHU D VPDOO JURXS LQWHUYHQWLRQ WR EH HIIHFWLYH LQ WUHDWLQJ FKLOGUHQ ZLWK QHJDWLYH VHOI FRQFHSWV 7KHVH DXWKRUV LQGLFDWH WKDW ZHOO RUJDQL]HG JURXSV ZLWK VWUXFWXUHG DFWLYLWLHV DQG H[HUFLVHV FDQ DVVLVW VWXGHQWV E\ LQFUHDVLQJ IHHOLQJV RI VHOI ZRUWK ,Q ZRUNLQJ ZLWK OHDUQLQJ GLVDEOHG VWXGHQWV $PHULNDQHU DQG 6XPPHUOLQ f GHWHUPLQHG VWXGHQWV SDUWLFLSDWLQJ LQ D VRFLDOVNLOOV JURXS FRXQVHOLQJ LQWHUYHQWLRQ VKRZHG LQFUHDVHG VHOIn HVWHHP ZKHQ FRPSDUHG WR VWXGHQWV ZKR GLG QRW WDNH SDUW LQ WKH FRXQVHOLQJ DFWLYLW\ 5HJDUGLQJ DWWLWXGHV &DPSEHOO DQG 0\ULFN f IRXQG LQFUHDVHV LQ FKLOGUHQfV SRVLWLYH DWWLWXGH WRZDUG VFKRROV IRU WKRVH ZKR SDUWLFLSDWHG LQ JURXS FRXQVHOLQJ 7HDFKHUV RI ORZSHUIRUPLQJ VWXGHQWV LQ WKLV VWXG\ UDWHG WKHLU VWXGHQWV DV KDYLQJ D EHWWHU DWWLWXGH DQG LPSURYHG EHKDYLRU DIWHU WDNLQJ SDUW LQ VWUXFWXUHG DFWLYLWLHV FHQWHUHG RQ VHOIFRQFHSW PRWLYDWLRQ VFKRRO DWWLWXGH DQG EHKDYLRU $OVR 0\ULFN DQG 'L[RQ f XVHG WKH H[LVWHQFH RI D SRVLWLYH FRUUHODWLRQ EHWZHHQ SRVLWLYH VFKRRO DWWLWXGHV DQG DFDGHPLF VXFFHVV DV MXVWLILFDWLRQ IRU SURYLGLQJ VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQV IRFXVHG RQ LPSURYLQJ VHOIFRQFHSWV WR XQPRWLYDWHG RU WURXEOHG VWXGHQWV $ UHODWHG VWXG\ E\ .LOPDQQ +HQU\ 6FDUERUR DQG /DXJKOLQ f IRXQG WKDW HOHPHQWDU\ VFKRRODJHG XQGHUDFKLHYLQJ VWXGHQWV ZHUH PRUH PRWLYDWHG WR OHDUQ DIWHU HQJDJLQJ LQ D QLQHZHHN VPDOOJURXS FRXQVHOLQJ H[SHULHQFH IRFXVLQJ RQ VHOIFRQWURO DQG EHKDYLRU PRGLILFDWLRQ 7KH IXWXUH RI VFKRRO FRXQVHOLQJ LV GLUHFWO\ UHODWHG WR WKH FXUUHQW IRFXV RQ DFFRXQWDELOLW\ RI DFDGHPLF VXFFHVV DQG LPSURYHG VWDQGDUGL]HG WHVW VFRUHV IRU DOO VWXGHQWV 6FKPLGW f VWUHVVHV WKH LPSRUWDQFH IRU VFKRRO FRXQVHORUV WR EHFRPH DFWLYH DJHQWV LQ KHOSLQJ FKLOGUHQ PHHW WKH ULJRUV RI DFDGHPLF VWDQGDUGV +H DGYRFDWHV WKH XVH RI VPDOO JURXS FRXQVHOLQJ DV DQ HIIHFWLYH ZD\ WR LPSURYH DFDGHPLF VXFFHVV IRU FKLOGUHQ *HUOHU .LQQH\ DQG $QGHUVRQ f FRQGXFWHG UHVHDUFK WR WHVW WKH HIIHFWV RI LQGLYLGXDO DQG

PAGE 44

VPDOOJURXS FRXQVHOLQJ LQWHUYHQWLRQV RQ VWXGHQWVf VFKRRO SHUIRUPDQFH 6WXGHQWV ZKR SDUWLFLSDWHG LQ WKH H[SHULPHQWDO JURXS RI WKLV VWXG\ GHPRQVWUDWHG VLJQLILFDQW LPSURYHPHQWV LQ PDWKHPDWLFV DQG ODQJXDJH DUWV JUDGHV ZKHQ FRPSDUHG WR VWXGHQWV LQ WKH FRQWURO JURXS QRW UHFHLYLQJ WKH LQWHUYHQWLRQ *HUOHU .LQQH\ DQG $QGHUVRQ f FRQFOXGHG WKDW JHQHUDO FRXQVHOLQJ LQWHUYHQWLRQV WKDW SRVLWLYHO\ FKDQJH D FKLOGfV VHOI FRQFHSW DQG IRFXV RQ VWXG\VNLOOV DOVR DFFHQWXDWH WKH LPSRUWDQFH RI VRFLRHPRWLRQDO YDULDEOHV UHJDUGLQJ DFDGHPLF DFKLHYHPHQW $V QRWHG SUHYLRXVO\ VROXWLRQIRFXVHG FRXQVHOLQJ LV HIIHFWLYH ZKHQ DGPLQLVWHUHG WKURXJK VPDOOJURXS LQWHUYHQWLRQV LQ D VFKRRO VHWWLQJ /D)RXQWDLQ *DUQHU DQG (OLDVRQ f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t =LPSKHU f ,Q JHQHUDO VROXWLRQIRFXVHG FRXQVHOLQJ JURXSV DOORZ FKLOGUHQ WR EULQJ WKHLU H[SHULHQFHV WR D FRXQVHOLQJ VHVVLRQ VKDUH WKRVH H[SHULHQFHV ZLWK SHHUV HQJDJH LQ RSHQ GLVFXVVLRQ RQ IHDVLELOLW\ RI VROXWLRQV LPSOHPHQW QHZ VROXWLRQV DQG UHFRXQW WR WKH JURXS WKH HIILFDF\ RI QHZO\DFTXLUHG FRSLQJ VNLOOV :KHQ ZRUNLQJ ZLWK FKLOGUHQ IURP FXOWXUDOO\ GLYHUVH SRSXODWLRQV UHVHDUFKHUV )HKU 3HGHUVHQ
PAGE 45

GHSHQGV PRUH RQ WKH FRXQVHORUfV PXOWLFXOWXUDO WUDLQLQJ DZDUHQHVV RI KHUKLV RZQ FXOWXUH DQG NQRZOHGJH RI KHUKLV FOLHQWVf FXOWXUDO LGHQWLW\ WKDQ WKH VWXGHQWVf HWKQLFLW\ &RUH\ f 2YHUDOO PLQRULW\ VWXGHQWV IURP YDULRXV FXOWXUDO EDFNJURXQGV ZLOO ILQG VPDOO JURXS FRXQVHOLQJ H[SHULHQFHV WR EH UHZDUGLQJ DQG EHQHILFLDO /HH f %HFDXVH RI WKH HYHUJURZLQJ QXPEHUV RI /(3 VWXGHQWV LQ 86 VFKRROV VFKRRO FRXQVHORUV DUH IDFHG ZLWK SURYLGLQJ VHUYLFHV WR D YDVWO\ GLYHUVH VWXGHQW SRSXODWLRQ .H\HV f 6PDOOJURXS FRXQVHOLQJ EHFRPHV D YLDEOH LQWHUYHQWLRQ LQ OLJKW RI LQFUHDVLQJ +LVSDQLF $PHULFDQ/DWLQR /(3 FDVHORDGV $V QRWHG VFKRRO FRXQVHORUV RIWHQ RUJDQL]H DQG HIIHFWLYHO\ H[HFXWH VPDOOJURXS FRXQVHOLQJ DFWLYLWLHV IRU FKLOGUHQ IRFXVLQJ RQ GLYRUFHG IDPLOLHV UHORFDWLQJ WR D QHZ VFKRRO DQG JULHI LVVXHV 6FKPLGW 7KRPSVRQ t 5XGROSK f 7KHUHIRUH LW LV DOVR SODXVLEOH IRU VFKRRO FRXQVHORUV WR DVVLVW HOHPHQWDU\ VFKRRODJHG /(3 +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ H[SHULHQFLQJ GLIILFXOW\ LQ WKH VFKRRO VHWWLQJ E\ SURYLGLQJ WKHP ZLWK D VPDOOJURXS FRXQVHOLQJ H[SHULHQFH GHVLJQHG WR ILW WKHLU VSHFLILF QHHGV 6XPPDU\ 2JEX f HPSKDVL]HG WKDW /(3 VWXGHQWV H[SHULHQFLQJ SUREOHPV ZLWK VFKRRO DGMXVWPHQW DQG UHODWHG VRFLRHPRWLRQDO FRQFHUQV FDQ EHQHILW IURP DGGLWLRQDO DVVLVWDQFH IURP VFKRRO SHUVRQQHO 6FKRRO FRXQVHORUV ILOO WKLV UROH E\ IDFLOLWDWLQJ +LVSDQLF $PHULFDQ/DWLQR /(3 FKLOGUHQfV DGMXVWPHQW WR WKH VFKRRO HQYLURQPHQW XVLQJ D YDULHW\ RI LQWHUYHQWLRQV *RSDXO0F1LFRO t 7KRPDV3UHVVZRRG /HH f $ UHYLHZ RI WKH SURIHVVLRQDO OLWHUDWXUH LQ WKLV FKDSWHU KDV SURYLGHG LQIRUPDWLRQ RQ UHOHYDQW IDFWRUV DQG WHFKQLTXHV QHFHVVDU\ WR DVVLVW WKLV VSHFLILF JURXS RI HOHPHQWDU\ VFKRRODJHG FKLOGUHQ 7KH XVH RI D VPDOOJURXS VROXWLRQIRFXVHG FRXQVHOLQJ LQWHUYHQWLRQ JURXQGHG LQ DPHOLRUDWLQJ D FKLOGfV FRQFHUQV DQG ZRUULHV WKURXJK UHIOHFWLYH OLVWHQLQJ FDQ KHOS D VFKRRO

PAGE 46

FRXQVHORU HVWDEOLVK UDSSRUW ZLWK FKLOGUHQ ZKLOH DOVR IXUWKHULQJ WKHLU DFDGHPLF DQG SHUVRQDOVRFLDO FRSLQJ VNLOOV :LWWPHU f &RJQL]DQW RI KRZ ODQJXDJH DFTXLVLWLRQ DQG QHJDWLYH HGXFDWLRQDO H[SHULHQFHV PD\ KLQGHU WKH VRFLRHPRWLRQDO GHYHORSPHQW DQG DFDGHPLF SURJUHVV RI WKHVH FKLOGUHQ WKLV VWXG\ VHHNV WR GHWHUPLQH WKH HIIHFWLYHQHVV RI 6)& VPDOOJURXS FRXQVHOLQJ LQWHUYHQWLRQV DV WKH\ SHUWDLQ WR +LVSDQLF $PHULFDQ/DWLQR /(3 FKLOGUHQ

PAGE 47

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f /DID\HWWH ,QGLDQD

PAGE 48

,Q WKH SRSXODWLRQ RI /DID\HWWH D PLGVL]H FLW\ ZDV ,Q WKH DFDGHPLF \HDU WKH ,QGLDQD 'HSDUWPHQW RI (GXFDWLRQ f UHSRUWHG WKH /DID\HWWH 6FKRRO &RUSRUDWLRQ DV KDYLQJ VWXGHQWV DWWHQGLQJ VFKRROV (OHYHQ RI WKH VFKRROV DUH HOHPHQWDU\ VFKRROV $ WRWDO RI VWXGHQWV ZHUH HQUROOHG LQ *UDGHV WKURXJK ZLWK LQ *UDGHV DQG ,Q DGGLWLRQ b RI DOO VWXGHQWV ZHUH HOLJLEOH IRU IUHH OXQFK DQG b RI VWXGHQWV IHOO LQWR WKH f0LQRULW\f FDWHJRU\ $IULFDQ $PHULFDQ $VLDQ $PHULFDQ +LVSDQLF $PHULFDQ 1DWLYH $PHULFDQ DQG 2WKHU 7KH GHPRJUDSKLFV IRU /DID\HWWH ZHUH VLPLODU WR WKRVH VWDWHZLGH ZLWK WKH H[FHSWLRQ RI +LVSDQLF $PHULFDQ/DWLQR UHVLGHQWV DQG /(3 VWXGHQWV HQUROOHG LQ (62/(6/ SURJUDPV $FFRUGLQJ WR WKH 6WDWH RI ,QGLDQD 6WDWV ,QGLDQD f +LVSDQLF $PHULFDQ/DWLQRV DFFRXQWHG IRU b RI WKH SRSXODWLRQ LQ /DID\HWWH FRPSDUHG WR b VWDWHZLGH /DID\HWWH UHSRUWHG D b LQFUHDVH LQ WKH QXPEHU RI +LVSDQLF $PHULFDQ/DWLQR UHVLGHQWV EHWZHHQ DQG WKH VHFRQG ODUJHVW LQFUHDVH LQ ,QGLDQD GXULQJ WKH VDPH WLPH SHULRG 0RVW RI WKHVH /DWLQRV LGHQWLILHG WKHPVHOYHV DV 0H[LFDQ 0RVW RI WKH +LVSDQLF $PHULFDQ/DWLQR SRSXODWLRQ LQ WKLV DUHD LV HPSOR\HG LQ DJULFXOWXUH RU DXWRPRELOH PDQXIDFWXULQJ :LWK UHJDUG WR /(3 VWXGHQWV b RI WKH ,QGLDQD SXEOLF VFKRRO VWXGHQWV ZHUH HQUROOHG LQ (62/(6/ SURJUDPV VWDWHZLGH LQ ZKLOH b RI /DID\HWWH VWXGHQWV ZHUH UHFHLYLQJ (62/(6/ LQVWUXFWLRQ $W WKH WLPH RI WKH VWXG\ b RI DOO HOHPHQWDU\ VFKRRO VWXGHQWV HQUROOHG LQ WKH /6& LQGLFDWHG +LVSDQLF $PHULFDQ/DWLQR DV WKHLU HWKQLFLW\ ,QGLDQD 'HSDUWPHQW RI (GXFDWLRQ f $FFRUGLQJ WR GDWD SURYLGHG E\ WKH /6& HOHPHQWDU\ VFKRRODJHG /(3 6SDQLVKVSHDNLQJ VWXGHQWV ZHUH UHFHLYLQJ VRPH VRUW RI (62/(6/ LQVWUXFWLRQ GXULQJ WKH DFDGHPLF \HDU 2I WKH /(3 6SDQLVKVSHDNLQJ VWXGHQWV HOHPHQWDU\ VFKRRO FKLOGUHQ KDG UHFHLYHG DW OHDVW RQH \HDU RI (62/(6/ LQVWUXFWLRQ

PAGE 49

6DPSOLQJ 3URFHGXUH 3HUPLVVLRQ WR FRQGXFW WKH UHVHDUFK ZLWK D SDUWLFXODU VFKRRO GLVWULFWFRUSRUDWLRQ ZDV VRXJKW DIWHU WKH 8QLYHUVLW\ RI )ORULGDf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b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

PAGE 50

FRQVHQW WR SDUWLFLSDWH LQ WKH VWXG\ ZHUH UDQGRPO\ DVVLJQHG WR WKH FRQWURO JURXS RU WKH WUHDWPHQW JURXSVf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b b b b b b b b b b b b b b b b b b b b 7KH QXPEHU RI SDUWLFLSDWLQJ VWXGHQWV SHU VFKRRO YDULHG IURP WR %DVHG RQ UHODWHG UHVHDUFK DQG H[SHUW RSLQLRQ :LWWPHU f LW ZDV GHWHUPLQHG WKDW QR WUHDWPHQW JURXS VKRXOG KDYH PRUH WKDQ ILYH PHPEHUV )RU WKLV UHDVRQ WKH VDPSOH ZDV GLYLGHG LQWR D FRQWURO JURXS RI VWXGHQWV DQG DQ H[SHULPHQWDO JURXS RI VWXGHQWV 2I WKH VL[ WUHDWPHQW JURXSV RQH KDG WKUHH SDUWLFLSDQWV ZKLOH WKH RWKHU ILYH FRQVLVWHG RI ILYH SDUWLFLSDQWV HDFK 7KH GHPRJUDSKLFV RI WKH WRWDO VDPSOH WUHDWPHQW JURXS DQG FRQWURO JURXS DUH IRXQG LQ 7DEOH 7KH FRQWURO JURXS FRQVLVWHG RI IHPDOHV DQG PDOHV DQG WKH WUHDWPHQW JURXS LQFOXGHG IHPDOHV DQG PDOHV )LYH RI WKH FRQWURO JURXS PHPEHUV ZHUH \HDUROGV

PAGE 51

WKLUWHHQ ZHUH \HDUROGV WHQ ZHUH \HDUROGV DQG WKUHH ZHUH \HDUROGV 7KH WUHDWPHQW JURXS FRQVLVWHG RI QLQH FKLOGUHQ ZKR ZHUH \HDUROGV HLJKW ZKR ZHUH \HDU ROGV HLJKW ZKR ZHUH \HDUROGV DQG WKUHH ZKR ZHUH \HDUROGV L 7DEOH 'HPRJUDSKLF &KDUDFWHULVWLFV RI 6DPSOH E\ 6H[ $JHOHYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDP 'HPRJUDSKLFV 6H[ $JH/HYHO /HYHO IRU 7LPH LQ (62/(6/ *URXSLQJV 0DOH )HPDOH
PAGE 52

7KHUHIRUH WKH LQGHSHQGHQW YDULDEOH IRU WKLV VWXG\ ZDV WKH VROXWLRQIRFXVHG VPDOOJURXS FRXQVHOLQJ WUHDWPHQW $SSHQGL[ 'f 7KH UHVHDUFKHU ZLWK WKH DVVLVWDQFH RI WKH FRXQVHOLQJ LQWHUQV UDQGRPO\ DVVLJQHG VWXGHQWV DW WKHLU UHVSHFWLYH VFKRROV WR WKH WUHDWPHQW RU FRQWURO JURXSV $V QRWHG FKLOGUHQ SDUWLFLSDWHG LQ WKH VPDOO JURXS WUHDWPHQW H[SHULHQFH ZKLOH FRPSULVHG WKH FRQWURO JURXS 7KH PDVWHUVOHYHO VFKRRO FRXQVHOLQJ LQWHUQV DWWHQGHG D KRXU ZRUNVKRS FRQGXFWHG E\ WKH UHVHDUFKHU SULRU WR LPSOHPHQWLQJ WKH WUHDWPHQW $SSHQGL[ %f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fV VHOI FRQFHSW DQG VFKRRO DWWLWXGH 7KH DFDGHPLF VXFFHVV RI WKH SDUWLFLSDQWV DOVR ZDV RI LQWHUHVW LQ WKLV VWXG\ 7KLV YDULDEOH ZDV DGGUHVVHG E\ WKH UHVHDUFKHU DVNLQJ WKUHH RSHQHQGHG TXHVWLRQV $SSHQGL[ &f WR D VPDOO VHOHFWHG VDPSOH RI H[SHULPHQWDO DQG FRQWURO JURXS SDUWLFLSDQWV DW WKH FRQFOXVLRQ RI WKH ZHHN WUHDWPHQW 7KH VWUXFWXUHG LQWHUYLHZV KHOSHG JDXJH SRVVLEOH

PAGE 53

FKDQJHV LQ VWXGHQWVf SHUFHSWLRQV RI WKHLU DFDGHPLF VXFFHVV IROORZLQJ WKH WUHDWPHQW 7KHLU UHVSRQVHV ZHUH UHFRUGHG DQG DSSHDU LQ $SSHQGL[ ( ,QVWUXPHQWV ,Q RUGHU WR GHWHUPLQH WKH HIIHFWV RI WKH WUHDWPHQW WKH IROORZLQJ DVVHVVPHQW PHDVXUHV ZHUH XVHG 3LHUV+DUULV &KLOGUHQfV 6HOI&RQFHSW 6FDOH 3+&6&6f WKH 6FKRRO $WWLWXGH ,QYHQWRU\ 6$,f DQG WKH WKUHHTXHVWLRQ VWUXFWXUHG LQWHUYLHZ $SSHQGL[ &f %RWK WKH 3+&6&6 DQG WKH 6$, DUH VHOIUHSRUW VXUYH\V 3UHWHVW DQG SRVWWHVW RI WKH 3+&6&6 DQG 6$, ZHUH DGPLQLVWHUHG E\ WKH JURXS IDFLOLWDWRUV DQG VFRUHG ZLWKLQ ILYH GD\V RI EHLQJ DGPLQLVWHUHG 7KH VWUXFWXUHG LQWHUYLHZ ZDV FRQGXFWHG E\ WKH UHVHDUFKHU ZLWKRXW SUHYLRXV FRQWDFW ZLWK WKH UHVSRQGHQWV RU NQRZOHGJH RI WUHDWPHQWFRQWURO JURXS DIILOLDWLRQ EOLQG UHYLHZf 3LHUV+DUULV &KLOGUHQfV 6HOI&RQFHSW 6FDOH 3+&6&6f 7KH 3LHUV+DUULV &KLOGUHQfV 6HOI&RQFHSW 6FDOH 3+&6&6f ZDV GHYHORSHG LQ E\ (OOHQ 3LHUV DQG 'DOH +DUULV WR DVVHVV KRZ FKLOGUHQ DQG DGROHVFHQWV IHHO DERXW WKHPVHOYHV (SVWHLQ f 7KH 3+&6&6 LV QRUPHGUHIHUHQFHG DQG LQWHQGHG IRU XVH ZLWK FKLOGUHQ DJHV HLJKW WKURXJK ,W ZDV RULJLQDOO\ QRUPHG RQ D VDPSOH RI 3HQQV\OYDQLD FKLOGUHQ LQ *UDGHV WKUHH WKURXJK WZHOYH 3LHUV f 7KH 3+&6&6 LV D VHOIUHSRUW PHDVXUH FRPSRVHG RI LWHPV DQG WDNHV DSSUR[LPDWHO\ PLQXWHV WR FRPSOHWH 5HVSRQVHV WR WKH LWHPV DUH HLWKHU f\HVf RU fQRf LQGLFDWLQJ LI WKH LWHP LV WUXH RU QRW PRVW RI WKH WLPHf IRU WKH H[SHULHQFH GHVFULEHG $Q DGXOW PD\ DGPLQLVWHU WKH 3+&6&6 LQGLYLGXDOO\ RU WR D JURXS RI FKLOGUHQ &KLOGUHQ WDNLQJ WKH 3+&6&6 PD\ UHDG WKH LWHPV WKHPVHOYHV RU LI QHFHVVDU\ WKH H[DPLQHU LV SHUPLWWHG WR UHDG WKH TXHVWLRQQDLUH DORXG HVSHFLDOO\ WR FKLOGUHQ LQ ORZHU JUDGHV IRXU ILYH DQG VL[f DQG \RXQJHU (SVWHLQ f $FFRUGLQJ WR -HVNH f SURFHGXUHV IRU

PAGE 54

DGPLQLVWHULQJ KDQG VFRULQJ DQG LQWHUSUHWLQJ WKH LQVWUXPHQW PD\ EH FRPSOHWHG LQ PLQXWHV SHU VWXGHQW 7KH 3+&6&6 ZDV GHVLJQHG WR PHDVXUH KRZ FKLOGUHQ DQG DGROHVFHQWV SHUFHLYH WKHPVHOYHV ZLWKLQ VL[ DUHDV f %HKDYLRU LWHPVf f ,QWHOOHFWXDO DQG VFKRRO VWDWXV LWHPVf f 3K\VLFDO DWWULEXWHV DQG DSSHDUDQFH LWHPVf f $Q[LHW\ LWHPVf f 3RSXODULW\ LWHPVf f +DSSLQHVV DQG VDWLVIDFWLRQ LWHPVf $FFRUGLQJ WR 3LHUV f WKH VL[ fFOXVWHUVf WKDW FRPSULVH WKH 3+&6&6 ZHUH FKRVHQ EDVHG RQ D PHWDDQDO\VLV RI FRUUHODWLRQV RI VHYHQ VHSDUDWH VDPSOHV RI VWXGHQWV $ORQJ ZLWK DQ RYHUDOO VFRUH WKH 3+&6&6 \LHOGV VFRUHV IRU WKH VL[ LQGLYLGXDO FOXVWHUV 7KH SDUWLFLSDQWVf RYHUDOO VFRUH DV ZHOO DV LQGLYLGXDO FOXVWHU VFRUHV ZHUH D SDUW RI WKH GDWD DQDO\]HG LQ WKLV VWXG\ 7HDFKHUV DQG WUDLQHG SDUDSURIHVVLRQDOV DUH EHVW VXLWHG IRU DGPLQLVWHULQJ WKH 3+&6&6 ZKLOH LQWHUSUHWLQJ WKH VFRUHV VKRXOG EH GRQH E\ PDVWHUVOHYHO SURIHVVLRQDOV ZLWK DGYDQFH NQRZOHGJH RI SV\FKRORJLFDO DVVHVVPHQWV 3LHUV f 7KH ORZHVW SRVVLEOH UDZ VFRUH IRU HDFK FOXVWHU LV ff ZKLOH WKH KLJKHVW UDZ VFRUH GHSHQGV RQ WKH QXPEHU RI LWHPV LQ WKH VSHFLILF FOXVWHU 7KH RYHUDOO UDZ VFRUH IRU WKH 3+&6&6 LV GHWHUPLQHG E\ DGGLQJ WKH VL[ LQGLYLGXDO UDZ VFRUHV ZLWK WKH ORZHVW VFRUH EHLQJ ff DQG WKH KLJKHVW VFRUH EHLQJ ff ,QIRUPDWLRQ IRU FRQYHUWLQJ UDZ VFRUHV LQWR SHUFHQWLOHV VWDQLQHV DQG 7 VFRUHV DUH SURYLGHG RQ WKH LQGLYLGXDO DQVZHU VKHHWV +LJKHU UDZ VFRUHV FRUUHVSRQG ZLWK KLJKHU VWDQLQHV SHUFHQWLOHV DQG 7VFRUHV 7HVWV RI UHOLDELOLW\ IRU WKH 3+&6&6 KDYH EHHQ FRQGXFWHG ZLWK D YDULHW\ RI FKLOGUHQ 8VLQJ WKH .XGHU5LFKDUVGRQ )RUPXOD UHOLDELOLWLHV RI IRU PDOHV DQG

PAGE 55

IHPDOHV ZHUH FLWHG E\ 3LHUV f IRU WKH RYHUDOO WHVW VFRUHV $OVR DOSKD FRHIILFLHQWV RI ZHUH UHSRUWHG E\ 3LHUV IRU PDOHV DQG IHPDOHV 7KXV LQWHUQDO FRQVLVWHQF\ IRU WKH WRWDO VFRUH RQ WKH WHVW LV UHODWLYHO\ KLJK )LQDOO\ 3LHUV f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f $ QXPEHU RI HPSLULFDO VWXGLHV E\ 3LHUV f ZHUH XVHG WR GHWHUPLQH WKH FRQWHQW FULWHULRQUHODWHG DQG FRQVWUXFW YDOLGLW\ RI WKH 3+&6&6 $Q RULJLQDO IDFWRU DQDO\VLV FRQGXFWHG E\ 3LHUV f LQ RUGHU WR HVWDEOLVK FRQWHQW YDOLGLW\ QDUURZHG GRZQ WHQ RULJLQDO VFDOHV LQWR WKH FXUUHQW VL[ FOXVWHUV $ IROORZXS IDFWRU DQDO\VLV XVLQJ WKH VL[ FOXVWHUV ZDV FRQGXFWHG WHQ \HDUV ODWHU DQG \LHOGHG VWURQJ VXSSRUW IRU WKH RULJLQDO VL[ FOXVWHUV 3LHUV f 2WKHU VWXGLHV FLWHG E\ 3LHUV f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f

PAGE 56

7KH 3+&6&6 FRQVLGHUHG DQ H[FHOOHQW UHVHDUFK LQVWUXPHQW (SVWHLQ f KDV EHHQ XVHG VXFFHVVIXOO\ E\ VHYHUDO UHVHDUFKHUV WR VWXG\ WKH VHOIFRQFHSWV RI ELOLQJXDO +LVSDQLF$PHULFDQ/DWLQR FKLOGUHQ DQG DGROHVFHQWV 3LHUV f 7KHVH WZR IDFWRUV DORQJ ZLWK VWURQJ UHOLDELOLW\ DQG YDOLGLW\ LQGLFDWRUV GHPRQVWUDWHG WKH UDWLRQDOH IRU XVLQJ WKH 3+&6&6 LQ WKLV VWXG\ 6FKRRO $WWLWXGH ,QYHQWRU\ 6$' 7KH 6FKRRO $WWLWXGH ,QYHQWRU\ 6$,f $SSHQGL[ &f LV D VHOIUHSRUW SDSHUDQG SHQFLO PHDVXUH WKDW FRQVLVWV RI WHQ LWHPV GHDOLQJ ZLWK RQHfV SOHDVXUH H[FLWHPHQW DQG SHUVRQDO FRQWURO DW VFKRRO 7KH LWHPV FRPSULVH EHKDYLRUV UHODWHG WR VFKRRO VXFFHVV DQG DWWLWXGH WRZDUG VFKRRO IRU HOHPHQWDU\ DJHG FKLOGUHQ &XWKEHUW f 6WXGHQWfV UHVSRQVHV WR WKH 6$, DUH EDVHG RQ D SLFWRULDO VFDOH WHUPHG WKH 6HOI$VVHVVPHQW 0DQLNLQ /DQJ f 7KH 6HOI$VVHVVPHQW 0DQLNLQ ZDV EDVHG RQ IDFWRU DQDO\WLF VWXGLHV RI DIIHFWLYH UDWLQJV ZLWK FKLOGUHQ 2VJRRG f 7KH 6$, HYDOXDWLRQ VFDOH IRU HDFK LWHP LV SUHVHQWHG YLVXDOO\ WKURXJK XVH RI WKUHH FDUWRRQ SDQHOV (DFK SDQHO FRQVLVWV RI ILYH SLFWXUHV 7KH ILUVW SDQHO UHYHDOV D FDUWRRQ ILJXUH ZLWK ILYH YDULDWLRQV RI D IDFH IURP H[FHVVLYH VPLOLQJ WR H[WUHPH IURZQLQJ 7KLV LV LQWHQGHG WR PHDVXUH D \RXQJ FKLOGfV KDSSLQHVV DW VFKRRO 7KH VHFRQG SDQHO VKRZV D FDUWRRQ ILJXUH ZLWK ILYH YDULDWLRQV RI VWUHVV IURP EHLQJ KLJKO\ DQ[LRXV RU VWUHVVHG WR XWWHU FDOPQHVV 7KH WKLUG SDQHO GHSLFWV D FDUWRRQ ILJXUH ZLWK ILYH YDULDWLRQV RI FRQWURO IURP D VPDOO VL]H ILJXUH UHSUHVHQWLQJ WRWDO FRQWURO WR D ODUJH ILJXUH UHSUHVHQWLQJ H[WUHPH ODFN RI FRQWURO 7KLV LV LQWHQGHG WR PHDVXUH WKH OHYHO RI D \RXQJ FKLOGfV SHUFHLYHG FRQWURO DW VFKRRO 6WXGHQWV WDNLQJ WKH 6$, LQGLFDWH WKHLU FKRLFHV WR HDFK RI WKH WHQ LWHPV LQ UHODWLRQ WR WKH WKUHH GLPHQVLRQV KDSSLQHVV VWUHVV DQG FRQWUROf E\ SODFLQJ DQ f;f RYHU WKH SLFWXUH WKDW EHVW V\PEROL]HV WKHLU IHHOLQJV UHJDUGLQJ D VSHFLILF GLPHQVLRQ (DFK GLPHQVLRQ KDV D

PAGE 57

UDQJH IURP RQH WR ILYH SRLQWV SHU TXHVWLRQ 7KXV WRWDO VFRUHV RQ WKH 6$, UDQJH IURP WR ZLWK WRWDO VFRUHV SHU TXHVWLRQ UDQJLQJ IURP WKUHH WR DQG WRWDO VFRUHV SHU GLPHQVLRQ UDQJH IURP WR )RU DQDO\VLV SXUSRVHV HDFK UHVSRQVH LV FRQYHUWHG LQWR QXPEHUV ZLWK ff UHSUHVHQWLQJ WKH PRVW SOHDVXUH ff WKH PRVW FDOP DQG ff WKH PRVW FRQWURO &XWKEHUW f XVHG WKH 6$, LQ D VWXG\ IRFXVLQJ RQ PHDVXULQJ WKH HIIHFWLYHQHVV RI DQ HOHPHQWDU\ VFKRRO FODVVURRP JXLGDQFH XQLW IRU SURPRWLQJ VFKRRO VXFFHVV &RQVHTXHQWO\ WKH 6$, ZDV GHYHORSHG IRU FKLOGUHQ DW RU DERYH D WKLUGJUDGH UHDGLQJ OHYHO +RZHYHU LQ FDVHV ZKHUH FKLOGUHQ DUH XQDEOH WR UHDG DQG FRPSUHKHQG WKH LWHPV WKH 6$, FDQ EH UHDG DORXG WR FKLOGUHQ :HEE f &XWKEHUW f FRQGXFWHG WHVWUHWHVW UHOLDELOLW\ IRU WKH 6$, DQG IRXQG D FRHIILFLHQW RI VWDELOLW\ RI ZLWK WKLUGJUDGH VWXGHQWV 7KUHH4XHVWLRQ ,QWHUYLHZ IRU $FDGHPLF 6XFFHVV 7KH UHVHDUFKHU UDQGRPO\ VHOHFWHG FKLOGUHQ IURP WKH H[SHULPHQWDO JURXS DQG IURP WKH FRQWURO JURXSf WR SDUWLFLSDWH LQ D VWUXFWXUHG WKUHH RSHQHQGHGTXHVWLRQ LQWHUYLHZ S f UHJDUGLQJ WKHLU SHUFHLYHG DFDGHPLF VXFFHVV ,Q DFFRUGDQFH ZLWK SURSHU VWUXFWXUHG LQWHUYLHZ WHFKQLTXHV HDFK FKLOG ZDV DVNHG WKH VDPH WKUHH SUHHVWDEOLVKHG TXHVWLRQV LQ WKH VDPH RUGHU )RQWDQD t )UH\ f 7KH UHVSRQVHV RI WKH SDUWLFLSDQWV ZHUH UHFRUGHG LQ ZULWLQJ DQG DQDO\]HG XVLQJ TXDOLWDWLYH UHVHDUFK PHWKRGV 7KH UHVHDUFK PHWKRGRORJ\ XVHG WR DQDO\]H WKH TXHVWLRQQDLUH GDWD LV JLYHQ EHORZ DQG WKH UHVXOWV DUH JLYHQ LQ &KDSWHU DQG GLVFXVVHG LQ &KDSWHU +\SRWKHVHV $ DOSKD OHYHO RI VLJQLILFDQFH ZDV XVHG WR GHWHUPLQH ZKHWKHU GLIIHUHQFHV IRXQG EHWZHHQ WKH PHDQV RI WKH H[SHULPHQWDO DQG FRQWURO JURXS ZHUH GXH WR FKDQFH RU WR WKH

PAGE 58

WUHDWPHQW SURYLGHG $FFRUGLQJ WR 0F1DPDUD f DQ DSSURSULDWH OHYHO RI VLJQLILFDQFH D LQ WKLV FDVHf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f VFKRRO VXFFHVV 7KH UHVHDUFKHU VRXJKW WR DVFHUWDLQ WKH UHODWLRQVKLS EHWZHHQ VFKRRO VXFFHVV DQG SDUWLFLSDWLRQ LQ WKH WUHDWPHQW RU FRQWURO JURXS E\ XVLQJ WKH TXDOLWDWLYH GDWD FROOHFWHG XVLQJ WKH VWUXFWXUHG LQWHUYLHZ LQVWUXPHQW 5HVHDUFK 'HVLJQ DQG 'DWD $QDO\VHV 7KH UHVHDUFK GHVLJQ XVHG IRU WKLV VWXG\ ZDV D SUHSRVW FRQWURO JURXS GHVLJQ &KLOGUHQ ZHUH UDQGRPO\ DVVLJQHG WR D FRQWURO RU H[SHULPHQWDO JURXS DW WKHLU LQGLYLGXDO

PAGE 59

VFKRROV 5DQGRP DVVLJQPHQW RI WKH FKLOGUHQ WR WKH H[SHULPHQWDO DQG FRQWURO JURXSV HQKDQFHG LQWHUQDO YDOLGLW\ *D\ f $V QRWHG WKHUH ZHUH D WRWDO RI FKLOGUHQ UHSUHVHQWLQJ IRXU GLIIHUHQW VFKRROV SDUWLFLSDWLQJ LQ WKH VWXG\ $ WRWDO RI FKLOGUHQ ZHUH LQ UDQGRPO\ DVVLJQHG WR WKH FRQWURO JURXS ZKLOH FKLOGUHQ SDUWLFLSDWHG LQ WKH H[SHULPHQWDO JURXS 7DEOH GHWDLOV WKH H[SHULPHQWDO GHVLJQ IRU WKLV VWXG\ $QDO\VLV ZDV SHUIRUPHG RQ WKH SUHWRSRVW WHVW FKDQJHV LQ VFRUHV IRU WKH WZR VWDQGDUGL]HG PHDVXUHV XVHG LQ WKH VWXG\ $QDO\VHV RI FRYDULDQFH $1&29$f ZDV FRQGXFWHG WR GHWHUPLQH WKH VLJQLILFDQFH RI GLIIHUHQFHV EHWZHHQ JURXSV ZLWK WKH SDUWLFLSDQWVf SUHWHVW VFRUHV XVHG DV WKH FRYDULDWH 6KDYHOVRQ f )DFWRULDO $1&29$ ZDV XVHG WR GHWHUPLQH UHODWLRQVKLSV DQG GLIIHUHQFHV DPRQJ VHOIFRQFHSW DQG VFKRRO DWWLWXGHV DQG JHQGHU DJHOHYHO DQG OHYHO IRU WLPH VWXGHQWV KDG EHHQ HQUROOHG LQ (62/(6/ SURJUDP DOVR ZHUH FRPSXWHG 4XDOLWDWLYH UHVHDUFK DQDO\VHV ZHUH DSSOLHG WR UHVSRQGHQWVf DQVZHUV WR WKH VWUXFWXUHG LQWHUYLHZ DGPLQLVWHUHG E\ WKH UHVHDUFKHU 'DWD ZDV JDWKHUHG IURP NH\ZRUGV LQFRQWH[W .:,&f OLVWV GHULYHG IURP WKH HWKQRJUDSKLF H[DPLQDWLRQ RI ILHOG QRWHV 5\DQ t %HUQDUG f 7KH TXDOLWDWLYH GDWD WKHQ ZDV DQDO\]HG WKURXJK WKH FRQVWDQW FRPSDUDWLYH PHWKRG $FFRUGLQJ WR *LOJXQ 'DO\ DQG +DQGHO f WKLV PHWKRG GHULYHG IURP JURXQGHG WKHRU\ FDQ EH FRQGXFWHG LQ RUGHU WR GHWHUPLQH SRVVLEOH VLPLODULWLHV DQG GLIIHUHQFHV EHWZHHQ FRQWURO DQG H[SHULPHQWDO JURXSV 7KLV ZDV GRQH E\ FRPSDULQJ WKH .:,& OLVWV IURP WKH WUHDWPHQW JURXS ZLWK WKH .:,& OLVWV GHULYHG IURP WKH FRQWURO JURXS UHVSRQGHQWV WR WKH TXHVWLRQV 7KH UHVHDUFKHU FRQGXFWHG WKH VKRUW DSSUR[LPDWHO\ ILYHPLQXWH ORQJ LQWHUYLHZ ZLWK HDFK RI WKH SDUWLFLSDQWV FRQWURO DQG H[SHULPHQWDO JURXS SDUWLFLSDQWVf 7KH

PAGE 60

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nV 6HOI&RQFHSW 6FDOH 3+&6&6f 2 6FKRRO $WWLWXGH ,QYHQWRU\ 6$,f 0DVWHUVOHYHO 6FKRRO &RXQVHOLQJ 6WXGHQW 7UDLQLQJ 7KH UHVHDUFKHU WUDLQHG WKH WZR IHPDOH &DXFDVLDQ PDVWHUVOHYHO VFKRRO FRXQVHOLQJ LQWHUQV LQ WKH LPSOHPHQWDWLRQ DQG XVH RI WKH VPDOO JURXS LQWHUYHQWLRQ 7KH IDFLOLWDWRUV ZHUH DQG \HDUV ROG 7KH WUDLQLQJ FRQVLVWHG RI D KRXU LQVHUYLFH PHHWLQJ GHVLJQHG WR SUHSDUH WKHP WR LPSOHPHQW WKH VPDOOJURXS FRXQVHOLQJ WUHDWPHQW

PAGE 61

DORQJ ZLWK VSHFLILF LQVWUXFWLRQV VR DV WR LQVXUH WKDW WKH WUHDWPHQW ZRXOG EH XQLIRUP DQG FRQVLVWHQW DFURVV WKH SDUWLFLSDWLQJ WUHDWPHQW JURXSV DQG VFKRROV 7KH VFRSH RI WKH LQIRUPDWLRQ SUHVHQWHG DV D KDQGRXW SDFNHW DW WKH LQVHUYLFH WUDLQLQJ LQFOXGHG D GHVFULSWLRQ RI WKH UHVHDUFK DQG LWV SURFHGXUHV DQG D VWDQGDUGL]HG VFKHGXOH IRU GHOLYHULQJ WKH LQWHUYHQWLRQ WR WKH VHOHFWHG VWXGHQWV $SSHQGL[ %f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f 3XUSRVH RI WKH 6WXG\ PLQXWHVf f ([SHULHQFHV RI +LVSDQLF $PHULFDQ/DWLQR /LPLWHG(QJOLVK 3URILFLHQW &KLOGUHQ PLQXWHVf $ 1HHGV RI +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ DQG FRXQVHOLQJ LVVXHV % (GXFDWLRQDO H[SHULHQFHV RI 6SDQLVKVSHDNLQJ /(3 FKLOGUHQ & (QJOLVKDVD6HFRQG/DQJXDJH LQVWUXFWLRQ DQG ODQJXDJH DFTXLVLWLRQ $VVLVWLQJ +LVSDQLF $PHULFDQ/DWLQR /(3 VWXGHQWV LQ (62/(6/ SURJUDPV f 5HVHDUFK 3URFHGXUHV PLQXWHVf $ 2YHUYLHZ RI UHVHDUFK GHVLJQ % 6PDOO*URXS *XLGDQFH DQG 6ROXWLRQ)RFXVHG &RXQVHOLQJ & 5DQGRPL]DWLRQ RI VWXGHQW SDUWLFLSDQWV ,QIRUPHG QRWLFH DQG FRQVHQW ( &ROOHFWLQJ SUH DQG SRVWGDWD f 'HOLYHU\ RI &RXQVHOLQJ ,QWHUYHQWLRQV f 5HWXUQ RI 5HVHDUFK 0DWHULDOV PLQXWHVf f 4XHVWLRQV DQG &RPPHQWV PLQXWHVf /DVWO\ WKH UHVHDUFKHU SURYLGHG ZHHNO\ ZULWWHQ QRWLFHV WR HDFK RI WKH JURXS IDFLOLWDWRUV LQ DQ HIIRUW WR DVVLVW WKHP WR IROORZ WKH WLPHOLQH VXJJHVWLRQV IRU FRXQVHOLQJ

PAGE 62

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fWUHDVXUH KXQWf LQFOXGLQJ VWUXFWXUHG WDNHKRPH DVVLJQPHQWV 7KH LWHPV WKDW ZHUH fGLVFRYHUHGf DQG fFROOHFWHGf WR XVH WUHDWPHQW MDUJRQ FRQVLVWHG RI VNLOOV DQG WRROV WKDW FDQ EH KHOSIXO WR /(3 6SDQLVKVSHDNLQJ VWXGHQWV LQ RUGHU WR DFKLHYH DFDGHPLF VXFFHVV DQG WR GHYHORS D SRVLWLYH VHOIFRQFHSW DQG RYHUDOO PRUH SRVLWLYH VFKRRO DWWLWXGH 7KH VROXWLRQIRFXVHG FRXQVHOLQJ VHVVLRQ WKHPDWLF XQLW ZDV GHVLJQHG WR JLYH FKLOGUHQ WKH LPSUHVVLRQ WKDW WKH\ DUH RQ D TXHVW IRU fLWHPVf WR SODFH LQ WKHLU fWUHDVXUH EDJVf ZLWK WKH VFKRRO FRXQVHORU VHUYLQJ DV WKHLU f7UHDVXUH +XQWf JXLGH DJDLQ XVLQJ WUHDWPHQW MDUJRQ 7KH UHVXOWV RI SDUWLFLSDWLQJ LQ WKH WUHDWPHQW ZHUH D FRPSOHWHG WUHDVXUH PDS IRU HDFK H[SHULPHQWDO JURXS SDUWLFLSDQW WKDW GHSLFWV LPSURYHG DFDGHPLF DFKLHYHPHQW VRFLDO HPRWLRQDO GHYHORSPHQW DQG VFKRRO DGMXVWPHQW 7KH SUHWHVWV ZHUH DGPLQLVWHUHG E\ WKH PDVWHUVOHYHO VFKRRO FRXQVHOLQJ VWXGHQWV WR WKH SDUWLFLSDQWV RQH ZHHN SULRU WR WKH ILUVW VPDOOJURXS FRXQVHOLQJ VHVVLRQ 7KH H[SHULPHQWDO JURXSV EHJDQ PHHWLQJ WKH IROORZLQJ ZHHN 7KH FRQWURO JURXS PHPEHUV FRQWLQXHG WR JR DERXW WKHLU UHJXODU VFKRRO URXWLQHV

PAGE 63

7KH ILUVW VHVVLRQ RI WKH FRXQVHOLQJ LQWHUYHQWLRQ IRFXVHG RQ HVWDEOLVKLQJ VFKRRO FRXQVHORUFKLOG UDSSRUW 7KH ILUVW VHVVLRQ DOVR LQWURGXFHG WKH HQWLUH LQWHUYHQWLRQ DGGUHVVHG WKH UHDVRQ IRU WKH FKLOGUHQf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

PAGE 64

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f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

PAGE 65

&+$37(5 5(68/76 7KH SXUSRVH RI WKLV VWXG\ ZDV WR H[DPLQH WKH HIIHFWV RI D VROXWLRQ IRFXVHG VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQ ZLWK WKLUG IRXUWK DQG ILIWK JUDGH OLPLWHG (QJOLVK SURILFLHQW /(3f +LVSDQLF $PHULFDQ/DWLQR VWXGHQWVn VHOIFRQFHSWV DQG DWWLWXGHV WRZDUG VFKRRO 7KH VWXGHQWV VHOHFWHG IRU SDUWLFLSDWLRQ LQ WKH VWXG\ ZHUH DOO SDUWLFLSDQWV LQ DQ (QJOLVK IRU 6SHDNHUV RI 2WKHU /DQJXDJHV(QJOLVK DV D 6HFRQG /DQJXDJH (62/(6/f SXEOLF VFKRRO SURJUDP DQG KDG EHHQ VR HQUROOHG IRU DW OHDVW RQH \HDU SULRU WR WKH EHJLQQLQJ RI WKH VWXG\ 7KH VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQ GHYHORSHG DQG ZULWWHQ E\ WKH UHVHDUFKHU ZDV GHVLJQHG WR LPSURYH WKH VWXGHQWVf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

PAGE 66

7ZR GHSHQGHQW PHDVXUHV WKH 3LHUV+DUULV &KLOGUHQ 6HOI&RQFHSW 6FDOH 3+&6&6f DQG WKH 6FKRRO $WWLWXGH ,QYHQWRU\ 6$,f ZHUH DGPLQLVWHUHG WR DOO SDUWLFLSDQWV 1 f $ TXDOLWDWLYH VWUXFWXUHG LQWHUYLHZ FRQGXFWHG E\ WKH UHVHDUFKHU IROORZLQJ FRPSOHWLRQ RI WKH VPDOO JURXS LQWHUYHQWLRQ ZDV FRPSOHWHG ZLWK D UDQGRP VDPSOH RI SDUWLFLSDQWV IURP WKH H[SHULPHQWDO DQG FRQWURO JURXSV 7KH WKUHHTXHVWLRQ YHUEDO LQWHUYLHZ ZDV FRQGXFWHG WR GHWHUPLQH WKH SHUFHLYHG RYHUDOO HIIHFWLYHQHVV RI WKH LQWHUYHQWLRQ RQ SDUWLFLSDQWVn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f S f RU WKH 6$, SUHWHVW

PAGE 67

) f f $OVR WKH VFKRROE\JURXS LQWHUDFWLRQV ZHUH QRW IRXQG WR EH VLJQLILFDQW IRU WKH 3+&6&6 ) f S f RU WKH 6$, ) f S f 7KHUHIRUH WKH GDWD IRU ERWK WKH FRQWURO DQG WUHDWPHQW JURXSV ZHUH FROODSVHG WR HVWDEOLVK RQH WUHDWPHQW JURXS 1 f DQG RQH FRQWURO JURXS 1 f 7KH FRPSOHWH UHVXOWV RI WKLV $129$ DUH IRXQG LQ 7DEOH 7DEOH 0HDQV DQG 6WDQGDUG 'HYLDWLRQ RI 3UH DQG 3RVW7HVW 6FRUHV IRU &RQWURO DQG 7UHDWPHQW *URXS 6WXGHQWV 9DULDEOH 1 0HDQ 6WG 'HY &RQWURO *URXS 6WXGHQWV 3+&6&6 3UH 3+&6&6 3RVW 6$, 3UH 6$, 3RVW 7UHDWPHQW *URXS 6WXGHQWV 3+&6&6 3UH 3+&6&6 3RVW 6$, 3UH 6$, 3RVW 7DEOH 7ZRZD\ $QDO\VLV RI 9DULDQFH IRU %HWZHHQ 6FKRROV (IIHFW DQG %HWZHHQ 6FKRROV (IIHFW E\ 7UHDWPHQW *URXS (IIHFWV 6RXUFH 66 GI 06 ) 3 6FK*US 3+&6&6 6FK*USr7UW 3+&6&6 (UURU &RUUHFWHG 7RWDO 6FK*USV 6$, 6FK*USVr7UW 6$, (UURU &RUUHFWHG 7RWDO 0DLQ (IIHFWV DQG ,QWHUDFWLRQV $FFRUGLQJ WR 6KDYHOVRQ f XVH RI $1&29$ LV DSSURSULDWH LI D FRUUHODWLRQ JUHDWHU WKDQ H[LVWV EHWZHHQ WKH FRYDULDWH DQG SRVWWHVW &RUUHODWLRQV RI EHWZHHQ

PAGE 68

3+&6&6 SUH DQG SRVWWHVWV DQG EHWZHHQ 6$, SUH DQG SRVWWHVWV ZHUH IRXQG 7KHUHIRUH DQ $1&29$ ZLWK WKH SUHWHVW PHDVXUHV RI WKH 3+&6&6 DQG 6$, DV FRYDULDWHV ZDV XVHG WR WHVW IRU PDLQ HIIHFWV 6HOI&RQFHSW 7R H[DPLQH RI WUHDWPHQW HIIHFWV RQ VHOIFRQFHSW DQ $1&29$ ZDV FRQGXFWHG RQ WKH SDUWLFLSDQWVf WRWDO VFRUHV RQ WKH 3+&6&6 7KH 3+&6&6 PHDVXUHV D FKLOGfV VHOI FRQFHSW EDVHG RQ KHU RU KLV VHOIUHSRUW ORZHU RYHUDOO VFRUHV LQGLFDWH D ORZHU VHOIFRQFHSW ZKLOH KLJKHU RYHUDOO VFRUHV LQGLFDWH D KLJKHU VHOIFRQFHSW 3DUWLFLSDWLRQ LQ WKH VPDOO JURXS LQWHUYHQWLRQ E\ WKH H[SHULPHQWDO JURXS \LHOGHG QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ WKH H[SHULPHQWDO DQG FRQWURO JURXS 3+&6&6 PHDQV 7KH IROORZLQJ QXOO K\SRWKHVLV +RLf ZDV QRW UHMHFWHG +RL 7KHUH LV QR GLIIHUHQFH LQ WKH VHOIFRQFHSW RI WKLUG IRXUWK DQG ILIWK JUDGH +LVSDQLF $PHULFDQ/DWLQR /(3 FKLOGUHQ LQ (62/(6/ SURJUDPV DV D UHVXOW RI SDUWLFLSDWLRQ LQ WKH H[SHULPHQWDO VPDOO JURXS LQWHUYHQWLRQ 7KH SDUWLFLSDWLQJ VWXGHQWVf VHOIFRQFHSWV ZHUH QRW VLJQLILFDQWO\ DIIHFWHG E\ WKH VPDOO JURXS LQWHUYHQWLRQ H[SHULHQFH DV PHDVXUHG E\ WKH 3+&6&6 7KH FRYDULDWH ZDV VLJQLILFDQW ) f S f +RZHYHU DV VKRZQ LQ 7DEOH DOWKRXJK WKH DGMXVWHGf PHDQ VFRUH RQ WKH SRVWWHVW ZDV VOLJKWO\ KLJKHU WKH UHVXOWDQW GLIIHUHQFH ZDV QRW VLJQLILFDQW 7KH GDWD IRU WKLV DQDO\VLV DUH VKRZQ LQ 7DEOH 7DEOH $GMXVWHG 3RVW0HDQV RI 3+&6&6 6FRUHV 6RXUFH $GMXVWHG 3RVW7HVW 0HDQV &RQWURO *URXS 7UHDWPHQW *URXS

PAGE 69

7DEOH $QDO\VLV RI &RYDULDQFH IRU 0DLQ (IIHFWV RI 7UHDWPHQW IRU 3+&6&6 6RXUFH 66 GI 06 ) 3 3UH7HVW 7UW (UURU &RUUHFWHG 7RWDO ,QWHUDFWLRQ HIIHFWV 7KH WUHDWPHQW E\ JHQGHU LQWHUDFWLRQ DOVR ZDV H[DPLQHG IRU WKH 3+&6&6 WR WHVW WKH IROORZLQJ QXOO K\SRWKHVLV +R 7KHUH LV QR VHOIFRQFHSW LQWHUDFWLRQ RI WUHDWPHQW E\ JHQGHU 7KH LQGHSHQGHQW YDULDEOH RI JHQGHU GLG QRW VLJQLILFDQWO\ LQWHUDFW IRU WKH 3+&6&6 ) f SB f 7KHUHIRUH WKLV QXOO K\SRWKHVLV ZDV PfW UHMHFWHG VHH 7DEOH f 7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU DQG 6HOI&RQFHSW 6RXUFH 66 GI 06 ) 3 3UH7HVW 6H[r7UW (UURU &RUUHFWHG 7RWDO 7KH WUHDWPHQW E\ DJHOHYHO LQWHUDFWLRQ DOVR ZDV H[DPLQHG IRU WKH 3+&6&6 WR WHVW WKH IROORZLQJ QXOO K\SRWKHVLV +R 7KHUH LV QR VHOIFRQFHSW LQWHUDFWLRQ RI WUHDWPHQW E\ DJHOHYHO 7KH LQGHSHQGHQW YDULDEOH RI DJHOHYHO GLG QRW VLJQLILFDQWO\ LQWHUDFW IRU WKH 3+&6&6 ) f S f 7KHUHIRUH WKH QXOO K\SRWKHVLV ZDV QRW UHMHFWHG VHH 7DEOH f

PAGE 70

7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI $JH/HYHO DQG 6HOI&RQFHSW 6RXUFH 66 GI 06 ) 3UH7HVW $JHr7UW (UURU &RUUHFWHG 7RWDO 7KH WUHDWPHQW E\ OHYHO RI WLPH LQ DQ (62/(6/ SURJUDP LQWHUDFWLRQ DOVR ZDV H[DPLQHG IRU WKH 3+&6&6 WHVW WKH IROORZLQJ QXOO K\SRWKHVLV +R 7KHUH LV QR VHOIFRQFHSW LQWHUDFWLRQ RI WUHDWPHQW E\ OHYHO RI WLPH LQ (62/(6/ SURJUDP 7KH LQGHSHQGHQW YDULDEOH RI OHYHO RI WLPH LQ DQ (62/(6/ SURJUDP GLG QRW VLJQLILFDQWO\ LQWHUDFW IRU WKH 3+&6&6 ) f S f 7KHUHIRUH QXOO K\SRWKHVLV ILYH ZDV QRW UHMHFWHG VHH 7DEOH f 7KH VL[ VXEVFDOHV RI WKH 3+&6&6 DOVR ZHUH XVHG WR PHDVXUH WKH HIIHFW RI WUHDWPHQW RQ WKH VHOIFRQFHSW RI WKH SDUWLFLSDWLQJ VWXGHQWV DQG SDUWLFXODUO\ LQ UHJDUG WR JHQGHU DJHOHYHO DQG OHYHO RI WLPH LQ DQ (62/(6/ SURJUDP 1R VWDWLVWLFDOO\ VLJQLILFDQW UHVXOWV ZHUH UHYHDOHG E\ WKHVH $1&29$ IRU DQ\ RI WKH VL[ VXEVFDOHV 7KH GDWD DQDO\VHV IRU PDLQ HIIHFWV RI WUHDWPHQW IRU WKH 3+&6&6 VXEVFDOHV DUH SUHVHQWHG LQ 7DEOHV DQG 7DEOHV WKURXJK SUHVHQW GDWD DQDO\VHV RI LQWHUDFWLRQV IRU JHQGHU DJH DQG \HDUV LQ (62/(6/ SURJUDPV DQG 3+&6&6 VXEVFDOHV 7DEOH DQG 6HOI&RQFHSW 6RXUFH 66 GI 06 ) 3 3UH7HVW (6/r7UW (UURU &RUUHFWHG 7RWDO

PAGE 71

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

PAGE 72

7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU $JH/HYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDPV DQG 6HOI&RQFHSW 3+&6&6 %HKDYLRU 6XEVFDOH 6RXUFH 66 GI 06 ) 3UH7HVW %HKDYLRU 6H[r7UW (UURU 3UH7HVW %HKDYLRU $JHr7UW (UURU 3UH7HVW %HKDYLRU (6/r7UW (UURU &RUUHFWHG 7RWDO 7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU $JH/HYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDPV DQG 6HOI&RQFHSW 3+&6&6 ,QWHOOHFWXDO 6WDWXV 6XEVFDOH 6RXUFH 66 GI 06 ) 3UH7HVW ,QWHOOHFWXDO 6H[r7UW (UURU 3UH7HVW ,QWHOOHFWXDO $JHr7UW (UURU 3UH7HVW ,QWHOOHFWXDO (6/r7UW (UURU &RUUHFWHG 7RWDO

PAGE 73

7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU $JH/HYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDPV DQG 6HOI&RQFHSW 3+&6&6 3K\VLFDO $SSHDUDQFH 6XEVFDOH 6RXUFH 66 GI 06 ) 3 3UH7HVW 3K\VLFDO $SSHDUDQFH 6H[r7UW (UURU 3UH7HVW 3K\VLFDO $SSHDUDQFH $JHr7UW (UURU 3UH7HVW 3K\VLFDO $SSHDUDQFH (6/r7UW (UURU &RUUHFWHG 7RWDO 7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU $JH/HYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDPV DQG 6HOI&RQFHSW 3+&6&6 $Q[LHW\ 6XEVFDOH 6RXUFH 66 GI 06 ) 3 3UH7HVW $Q[LHW\ 6H[r7UW (UURU 3UH7HVW $Q[LHW\ $JHr7UW (UURU 3UH7HVW $Q[LHW\ (6/r7UW (UURU &RUUHFWHG 7RWDO

PAGE 74

7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU $JH/HYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDPV DQG 6HOI&RQFHSW 3+&6&6 3RSXODULW\ 6XEVFDOH 6RXUFH 66 GI 06 ) 3 3UH7HVW 3RSXODULW\ 6H[r7UW (UURU 3UH7HVW 3RSXODULW\ $JHr7UW (UURU 3UH7HVW 3RSXODULW\ (6/r7UW (UURU &RUUHFWHG 7RWDO 7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU $JH/HYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDPVn DQG 6HOI&RQFHSW 3+&6&6 +DSSLQHVV 6XEVFDOH 6RXUFH 66 GI 06 ) 3 3UH7HVW +DSSLQHVV 6H[r7UW (UURU 3UH7HVW +DSSLQHVV $JHr7UW (UURU 3UH7HVW +DSSLQHVV (6/r7UW (UURU &RUUHODWHG 7RWDO 6WXGHQW $WWLWXGH 7RZDUG 6FKRRO 7R VWXG\ WKH HIIHFWV RI WUHDWPHQW RQ VWXGHQWVf DWWLWXGHV WRZDUG VFKRRO VWDWLVWLFDO DQDO\VHV ZHUH FRQGXFWHG RQ 6FKRRO $WWLWXGH ,QYHQWRU\ 6$,f VFRUHV IRU WKH H[SHULPHQWDO JURXS 7KH 6$, LV D VHOIUHSRUW PHDVXUH RI D FKLOGfV DWWLWXGH WRZDUG VFKRRO /RZHU RYHUDOO VFRUHV LQGLFDWH D PRUH QHJDWLYH DWWLWXGH WRZDUG VFKRRO ZKLOH KLJKHU RYHUDOO VFRUHV LQGLFDWH D PRUH SRVLWLYH DWWLWXGH WRZDUG VFKRRO 7KH UHVXOWLQJ GDWD ZHUH XVHG WR WHVW WKH VHFRQG QXOO K\SRWKHVLV

PAGE 75

+R 7KHUH LV QR GLIIHUHQFH LQ WKH DWWLWXGH WRZDUG VFKRRO RI WKLUG IRXUWK DQG ILIWK JUDGH +LVSDQLF $PHULFDQ/DWLQR /(3 FKLOGUHQ LQ (62/(6/ SURJUDPV DV D UHVXOW RI SDUWLFLSDWLRQ LQ WKH H[SHULPHQWDO VPDOO JURXS LQWHUYHQWLRQ 3DUWLFLSDWLRQ LQ WKH VPDOO JURXS LQWHUYHQWLRQ E\ WKH H[SHULPHQWDO JURXS \LHOGHG QR VLJQLILFDQW GLIIHUHQFHV LQ VFRUH PHDQV RQ WKH 6$, ZKHQ FRPSDUHG WR WKH FRQWURO JURXSfV VFRUHV 7KHUHIRUH +R ZDV QRW UHMHFWHG VHH WDEOH f 7KLV UHVXOW LQGLFDWHV WKDW WKH SDUWLFLSDWLQJ /(3 +LVSDQLF $PHULFDQ/DWLQR VWXGHQWVf RYHUDOO DWWLWXGHV WRZDUG VFKRRO ZHUH QRW VLJQLILFDQWO\ DIIHFWHG E\ WKH VPDOO JURXS LQWHUYHQWLRQ ) f S f 7KH FRYDULDWH DQDO\VLV ZDV VLJQLILFDQW ) f S f LQGLFDWLQJ D VLJQLILFDQW GLIIHUHQFH EHWZHHQ WKH SUHWHVW JURXS PHDQV 7DEOH $QDO\VLV RI &RYDULDQFH IRU 0DLQ (IIHFWV RI 7UHDWPHQW IRU 6$, 6RXUFH 66 GI 06 ) 3 3UH7HVW 7UW (UURU &RUUHFWHG 7RWDO 7KH WUHDWPHQW E\ JHQGHU LQWHUDFWLRQ ZDV H[DPLQHG IRU WKH 6$, $ IDFWRULDO $1&29$ ZDV SHUIRUPHG WR WHVW WKH IROORZLQJ QXOO K\SRWKHVLV +R 7KHUH LV QR WUHDWPHQW E\ JHQGHU LQWHUDFWLRQ IRU DWWLWXGHV WRZDUG VFKRRO 7KH LQGHSHQGHQW YDULDEOH RI JHQGHU GLG QRW VLJQLILFDQWO\ LQWHUDFW ZLWK WUHDWPHQW IRU WKH 6$, ) f SM f DV VKRZQ LQ 7DEOH 7KHUHIRUH WKLV QXOO K\SRWKHVLV ZDV QRW UHMHFWHG

PAGE 76

7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU DQG $WWLWXGH 7RZDUG 6FKRRO 6RXUFH 66 GI 06 ) 3UH7HVW 6H[r7UW (UURU &RUUHFWHG 7RWDO $QRWKHU IDFWRULDO $1&29$ ZDV SHUIRUPHG WR WHVW WKH IROORZLQJ QXOO K\SRWKHVLV +R 7KHUH LV QR WUHDWPHQW E\ DJHOHYHO LQWHUDFWLRQ IRU DWWLWXGHV WRZDUG VFKRRO 7KH LQGHSHQGHQW YDULDEOH RI DJHOHYHO GLG QRW VLJQLILFDQWO\ LQWHUDFW ZLWK WKH WUHDWPHQW IRU WKH 6$, ) f S f 7KHUHIRUH WKH QXOO K\SRWKHVLV ZDV QRW UHMHFWHG VHH 7DEOH f 7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI $JH/HYHO DQG $WWLWXGH 7RZDUG 6FKRRO 6RXUFH 66 GI 06 ) 3 3UH7HVW $JHr7UW (UURU &RUUHFWHG 7RWDO 7KH WUHDWPHQW E\ OHYHO RI WLPH LQ (62/(6/ SURJUDP LQWHUDFWLRQ ZDV H[DPLQHG IRU WKH 6$, E\ IDFWRULDO $1&29$ WR WHVW WKH IROORZLQJ QXOO K\SRWKHVLV +R 7KHUH LV QR WUHDWPHQW E\ OHYHO RI WLPH LQ (62/(6/ SURJUDP LQWHUDFWLRQ IRU DWWLWXGHV WRZDUG VFKRRO 7KH LQGHSHQGHQW YDULDEOH OHYHO RI WLPH LQ (62/(6/ SURJUDP GLG QRW VLJQLILFDQWO\ LQWHUDFW ZLWK WUHDWPHQW 7KHUHIRUH WKH QXOO K\SRWKHVLV ZDV QRW UHMHFWHG VHH 7DEOH f

PAGE 77

7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI /HYHO IRU 7LPH LQ (62/(6/ SURJUDP DQG $WWLWXGH 7RZDUG 6FKRRO 6RXUFH 66 GI 06 ) 3 3UH7HVW (6/r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

PAGE 78

7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU $JH/HYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDPV DQG $WWLWXGHV 7RZDUG 6FKRRO 6$, +DSSLQHVV 6XEVFDOH 6RXUFH 66 GI 06 ) 3 3UH7HVW +DSSLQHVV 6H[r7UW (UURU 3UH7HVW +DSSLQHVV $JHr7UW (UURU 3UH7HVW +DSSLQHVV (6/r7UW (UURU &RUUHFWHG 7RWDO 7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU $JH/HYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDPV DQG $WWLWXGHV 7RZDUG 6FKRRO 6$, 6WUHVV 6XEVFDOH 6RXUFH 66 GI 06 ) 3 3UH7HVW 6WUHVV 6H[r7UW (UURU 3UH7HVW 6WUHVV $JHr7UW (UURU 3UH7HVW 6WUHVV (6/r7UW (UURU &RUUHFWHG 7RWDO

PAGE 79

7DEOH )DFWRULDO $QDO\VLV RI &RYDULDQFH IRU ,QWHUDFWLRQ RI *HQGHU $JH/HYHO DQG /HYHO RI 7LPH LQ (62/(6/ 3URJUDPV DQG $WWLWXGHV 7RZDUG 6FKRRO 6$, 6HOI&RQWURO 6XEVFDOH 6RXUFH 66 GI 06 ) 3 3UH7HVW &RQWURO 6H[r7UW (UURU 3UH7HVW &RQWURO $JHr7UW (UURU 3UH7HVW &RQWURO (6/r7UW (UURU &RUUHFWHG 7RWDO $FDGHPLF 6XFFHVV 4XDOLWDWLYH GDWD DQDO\VLV ZDV DSSOLHG WR WKH VWXGHQWVn UHSOLHV WR WKH VWUXFWXUHG LQWHUYLHZ TXHVWLRQQDLUH WKDW ZDV JLYHQ RQH ZHHN DIWHU WKH FRQFOXVLRQ RI WKH ZHHN WUHDWPHQW SHULRG 7KH GDWD IURP WKH VXUYH\V ZHUH VHSDUDWHG LQWR WZR FDWHJRULHV IRU VWXGHQWV LQ WKH FRQWURO DQG H[SHULPHQWDO JURXSV 7KH WKUHH TXHVWLRQV DVNHG ZHUH DV IROORZV f 6LQFH WKH VFKRRO \HDU VWDUWHG ZKDW RU ZKR KDV KHOSHG \RX ZLWK \RXU VFKRRO ZRUN WKH PRVW" f 6LQFH WKH VFKRRO \HDU VWDUWHG KRZ KDSS\ DUH \RX DW VFKRRO" f 6LQFH WKH VFKRRO \HDU VWDUWHG KDYH \RX VHHQ \RXU JUDGHV DQG VFKRRO VXFFHVV FKDQJH" .H\ZRUGLQFRQWH[W .:,&f 5\DQ t %HUQDUG f OLVWV ZHUH FUHDWHG IRU ERWK WKH FRQWURO DQG H[SHULPHQWDO JURXS LQWHUYLHZHHV LQ RUGHU WR GHWHUPLQH SRVVLEOH GLIIHUHQFHV EHWZHHQ WKH WZR JURXSVn UHVSRQVHV WR WKH WKUHH TXHVWLRQV 2YHUDOO RI WKH VWXGHQWV UHVSRQGLQJ WR WKH TXHVWLRQQDLUH LQGLFDWHG LPSURYHG JUDGHV DQG VFKRRO VXFFHVV EHWZHHQ WKH VWDUW RI WKH VFKRRO \HDU DQG WKH LQWHUYLHZ )RXU RI WKH FKLOGUHQ LQ WKH WUHDWPHQW JURXS SRLQWHG WR WKH DVVLVWDQFH RI WKHLU (62/(6/ WHDFKHUV DV EHLQJ YHU\ KHOSIXO WR WKHP )LYH FKLOGUHQ LQ WKH H[SHULPHQWDO JURXS LQGLFDWHG WKDW WKH\ ZHUH

PAGE 80

fYHU\UHDOO\ KDSS\f DW VFKRRO 1R FKLOGUHQ DPRQJ WKH LQWHUYLHZHG FRQWURO JURXS SDUWLFLSDQWV PHQWLRQHG WKHLU (62/(6/ WHDFKHUV QRU GLG DQ\ HODERUDWH RQ WKH GHJUHH RI FKDQJH LQ SRVLWLYH IHHOLQJV WRZDUG VFKRRO f:KDW:KR KDV KHOSHG WKH PRVWf 7HQ FKLOGUHQ LQ WKH FRQWURO JURXS LQGLFDWHG WKDW WKHLU WHDFKHUV KDG KHOSHG WKHP WKH PRVW +RZHYHU WZR RI WKH FRQWURO JURXS FKLOGUHQ LQGLFDWHG WKDW D IDPLO\ PHPEHU LH PRWKHU DQG FRXVLQf DV EHLQJ PRVW KHOSIXO 5HVSRQVHV RI FKLOGUHQ LQ WKH H[SHULPHQWDO JURXS ZHUH HYHQO\ VSOLW DPRQJ WKRVH DERXW WHDFKHUV Q f SDUHQWV Q f DQG (62/(6/ WHDFKHUV Q f ZKR ZHUH DVVLVWLQJ WKHP ZLWK OHDUQLQJ (QJOLVK f+RZ KDSS\ DUH \RX DW VFKRROf 6WXGHQWV LQ WKH FRQWURO JURXS UHVSRQGHG WR WKLV TXHVWLRQ LQ D YDULHW\ RI ZD\V ZLWK HOHYHQ FKLOGUHQ VLPSO\ LQGLFDWLQJ WKH\ IHOW fKDSS\f fH[FLWHGf fILQHf DQGRU fJRRGf DERXW VFKRRO 2QH FRQWUROJURXS VWXGHQW LQGLFDWHG IHHOLQJ VDG DW VFKRRO ,Q FRQWUDVW VHYHQ RI WKH VWXGHQWV LQ WKH H[SHULPHQWDO JURXS UHVSRQGHG IRU H[DPSOH fYHU\UHDOO\ KDSS\f fKDSS\ VLQFH GD\ RQHf fVR KDSS\ DERXW P\ JRRG JUDGHVf WR WKLV TXHVWLRQ 7KH\ HODERUDWHG RQ WKHLU UHVSRQVHV E\ VWDWLQJ WKDW KRPHZRUN KDG EHFRPH HDVLHU DQG WKHLU JUDGHV KDG LPSURYHG VLQFH WKH EHJLQQLQJ RI VFKRRO f+RZ KDYH \RX VHHQ \RXU VFKRRO VXFFHVVJUDGHV FKDQJHf (DFK RI WKH VWXGHQWV IURP WKH H[SHULPHQWDO JURXS DQG WKH FRQWURO LQ WRWDO LQGLFDWHG WKDW WKHLU JUDGHV KDG LPSURYHG RU WKDW WKH\ KDG DOZD\V UHFHLYHG JRRG JUDGHV LQ WKHLU VFKRROZRUN 7ZR RI WKH VWXGHQWV LQ WKH FRQWURO JURXS LQGLFDWHG KDYLQJ UHFHLYHG EHWWHU JUDGHV VLQFH WKH EHJLQQLQJ RI WKH VFKRRO \HDU VSHFLILFDOO\ LQ WKH DUHDV RI UHDGLQJ DQG PDWKHPDWLFV RQH VWXGHQW LQ WKH WUHDWPHQW JURXS LQGLFDWHG LPSURYHG JUDGHV LQ PDWK UHDGLQJ DQG VFLHQFH

PAGE 81

6XPPDU\ $ VXPPDU\ RI WKH UHVXOWV DUUDQJHG E\ GHSHQGHQW YDULDEOH IROORZV 6HOI&RQFHSW 3LHUV+DUULV &KLOGUHQ 6HOI&RQFHSW 6FDOHf 7KHUH ZDV QR VLJQLILFDQW GLIIHUHQFH EHWZHHQ WUHDWPHQW DQG FRQWURO JURXSV LQ UHJDUG WR VHOIFRQFHSW 7KHUH ZDV QR VLJQLILFDQW LQWHUDFWLRQ DPRQJ JHQGHU DJHOHYHO DQG OHYHO RI \HDUV LQ (62/(6/ SURJUDPV DQG VHOIFRQFHSW 6FKRRO $WWLWXGH 6FKRRO $WWLWXGH ,QYHQWRU\f 7KHUH ZDV QR VLJQLILFDQW GLIIHUHQFH EHWZHHQ WKH WUHDWPHQW DQG FRQWURO JURXSV LQ UHJDUG WR VWXGHQWVf DWWLWXGHV WRZDUG VFKRRO 7KHUH ZDV QR VLJQLILFDQW LQWHUDFWLRQ DPRQJ JHQGHU DJHOHYHO DQG OHYHO RI \HDUV LQ (62/(6/ SURJUDPV DQG DWWLWXGHV WRZDUG VFKRRO $FDGHPLF 6XFFHVV 6WUXFWXUHG ,QWHUYLHZf )RXU FKLOGUHQ LQ WKH H[SHULPHQWDO JURXS LQGLFDWHG WKHLU (62/(6/ WHDFKHU DVVLVWHG WKHP ZLWK WKHLU VFKRROZRUN DV FRPSDUHG ZLWK QR FKLOGUHQ LQ WKH FRQWURO JURXS LQGLFDWLQJ WKH DVVLVWDQFH RI WKHLU (62/(6/ WHDFKHU 6HYHQ FKLOGUHQ LQ WKH H[SHULPHQWDO JURXS SURYLGHG GHWDLOHG UHVSRQVHV DERXW WKHLU IHHOLQJV DV FRPSDUHG WR QRQH LQ WKH FRQWURO JURXS $OO FKLOGUHQ Q f SURYLGHG VLPLODU UHVSRQVHV DERXW LPSURYHG JUDGHV VLQFH WKH EHJLQQLQJ RI WKH WHUP

PAGE 82

&+$37(5 ',6&866,21 7KH SXUSRVH RI WKLV VWXG\ ZDV WR GHWHUPLQH WKH HIIHFWLYHQHVV RI D VROXWLRQ IRFXVHG VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQ RQ WKH VHOIFRQFHSW DWWLWXGH WRZDUG VFKRRO DQG WKH SHUFHLYHG VFKRRO VXFFHVV RI OLPLWHG(QJOLVK SURILFLHQW +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ )LIW\QLQH +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ LQ WKH WKLUG IRXUWK DQG ILIWK JUDGHV SDUWLFLSDWHG LQ WKH VWXG\ (DFK ZDV HQUROOHG LQ DQ (QJOLVK6SHDNHUVRI2WKHU /DQJXDJHV(QJOLVKDVD6HFRQG/DQJXDJH (62/(6/f SURJUDP LQ IRXU GLIIHUHQW SXEOLF HOHPHQWDU\ VFKRROV LQ ,QGLDQD 7KH SDUWLFLSDQWV ZHUH UDQGRPO\ DVVLJQHG WR FRQWURO DQG WUHDWPHQW JURXSV )RU WKH SXUSRVHV RI GDWD DQDO\VHV WKH HLJKW FRQWURO DQG H[SHULPHQWDOf JURXSV ZHUH FRQVROLGDWHG LQWR RQH FRQWURO JURXS Q f DQG RQH WUHDWPHQW JURXS Q f 7ZR VFKRRO FRXQVHOLQJ LQWHUQV ZKR ZHUH HQUROOHG LQ D JUDGXDWHOHYHO VFKRRO FRXQVHOLQJ SURJUDP LQ D FRXQVHORU HGXFDWLRQ GHSDUWPHQW DGPLQLVWHUHG WKH ZHHN WUHDWPHQW 7KH PDLQ IRFXV RI WKH VPDOO JURXS LQWHUYHQWLRQ ZDV WR DVVLVW WKH FKLOGUHQ WR KDYH EHWWHU XQGHUVWDQGLQJ RI WKHLU VHOIFRQFHSWV WR GHYHORS SRVLWLYH DWWLWXGHV WRZDUG VFKRRO DQG HVWDEOLVK VWUDWHJLHV IRU DWWDLQLQJ RYHUDOO VFKRRO VXFFHVV 2WKHU DFWLYLWLHV DQG GLVFXVVLRQV GXULQJ WKH VPDOO JURXS H[SHULHQFH ZHUH LQWHQGHG WR WHDFK WKH FKLOGUHQ HIIHFWLYH ZD\V RI FRPPXQLFDWLQJ WKHLU IHHOLQJV DERXW VFKRRO KRZ WKHLU DWWLWXGHV WRZDUG VFKRRO LPSDFWHG WKHLU DFDGHPLF VXFFHVV ZKDW LW PHDQW WR EH OLPLWHG(QJOLVK SURILFLHQW DQG KRZ WKH\ IHOW DERXW EHLQJ ELOLQJXDO LQ D SXEOLF VFKRRO VHWWLQJ VHH $SSHQGL[ (f

PAGE 83

6WXGHQWV SDUWLFLSDWLQJ LQ WKH WUHDWPHQW ZHUH FRPSDUHG ZLWK WKRVH LQ WKH FRQWURO JURXS RQ WKUHH GHSHQGHQW YDULDEOHV Df VHOI FRQFHSW Ef VFKRRO DWWLWXGH DQG Ff RYHUDOO VFKRRO VXFFHVV 7KH VWXGHQWVn VHOIFRQFHSWV DQG DWWLWXGHV WRZDUG VFKRRO ZHUH SUH DQG SRVWPHDVXUHG XVLQJ WKH 3LHUV+DUULV &KLOGUHQ 6HOI&RQFHSW 6FDOH 3+&6&6f DQG WKH 6FKRRO $WWLWXGH ,QYHQWRU\ 6$,f UHVSHFWLYHO\ ([DPLQDWLRQ RI WKH SDUWLFLSDQWVf VHOISHUFHLYHG VFKRRO VXFFHVV DOVR ZDV DGGUHVVHG WKURXJK XVH RI D WKUHHLWHP TXHVWLRQQDLUH DGPLQLVWHUHG WR UDQGRPO\ VHOHFWHG SDUWLFLSDQWV IURP ERWK WKH H[SHULPHQWDO DQG FRQWURO JURXS PHPEHUV 7KH LQWHUYLHZV ZHUH FRQGXFWHG DW WKH FRQFOXVLRQ RI WKH ZHHN WUHDWPHQW SHULRG DQG RFFXUUHG GXULQJ WKH ODWWHU SDUW RI WKH IDOO VHPHVWHU 2I WKH FKLOGUHQ ZKR SDUWLFLSDWHG LQ WKH VWXG\ IURP WKH FRQWURO JURXS DQG IURP WKH WUHDWPHQW JURXSf ZHUH LQGLYLGXDOO\ LQWHUYLHZHG 3DUWLFLSDQWVf UHVSRQVHV WR WKH WKUHH TXHVWLRQV ZHUH WUDQVFULEHG DQG H[DPLQHG IRU FRPPRQ WKHPHV $ .H\:RUGVLQ&RQWH[W DQDO\VLV .:,&f 5\DQ t %HUQDUG f ZDV XVHG WR GHWHUPLQH LI WKH WUHDWPHQW FRQGLWLRQV DIIHFWHG WUHDWPHQW SDUWLFLSDQWVn RYHUDOO SHUFHLYHG VFKRRO VXFFHVV DV FRPSDUHG WR WKDW RI WKH FRQWURO JURXS SDUWLFLSDQWV *LOJXQ 'DO\ DQG +DQGHO f LQGLFDWHG WKDW .:,& DQDO\VHV FRXOG EH HIIHFWLYHO\ XVHG WR GHWHUPLQH LI VLJQLILFDQW VLPLODULWLHV DQG GLIIHUHQFH DUH SUHVHQW LQ TXDOLWDWLYH UHVXOWV IURP DQ LQWHUYLHZ &RQFOXVLRQV 7KH UHVXOWV RI GDWD DQDO\VHV LQGLFDWHG WKDW WKH VPDOO JURXS WUHDWPHQW KDG QR VLJQLILFDQW GLIIHUHQWLDO HIIHFW RQ WKH SDUWLFLSDQWVn VHOIFRQFHSWV 7KH GLIIHUHQFHV EHWZHHQ WKH SUH DQG SRVW 3+&6&6 VFRUHV XVLQJ $1&29$ ZHUH QRW IRXQG WR EH VWDWLVWLFDOO\ VLJQLILFDQW ,Q DGGLWLRQ QR VLJQLILFDQW LQWHUDFWLRQV IRU WUHDWPHQW E\ JHQGHU DJH RU DPRXQW RI WLPH SDUWLFLSDQWV VSHQW LQ (62/(6/ SURJUDPV ZHUH IRXQG ZKHQ WKH WUHDWPHQW DQG FRQWURO JURXS SDUWLFLSDQWVn 3+&6&6 SUHSRVW VFRUHV ZHUH FRPSDUHG 7KHUHIRUH LW LV

PAGE 84

FRQFOXGHG WKDW VWXG\ SDUWLFLSDQWVn JHQGHU DJH DQG WLPH LQ (62/(6/ SURJUDPV ZKHWKHU PHPEHUV RI WKH H[SHULPHQWDO RU FRQWURO JURXSV KDG QR LQIOXHQFH RQ WKHLU VHOIFRQFHSWV 6FRUHV IRU WKH VL[ VXEVFDOHV RI WKH 3+&6&6 DOVR ZHUH QRW VLJQLILFDQWO\ DIIHFWHG E\ WUHDWPHQW 7KXV WKH VPDOO JURXS WUHDWPHQW GLG QRW VLJQLILFDQWO\ LPSDFW WKH H[SHULPHQWDO SDUWLFLSDQWVn KDSSLQHVV LQWHOOHFWXDO VWDWXV DQ[LHW\ SRSXODULW\ SK\VLFDO DSSHDUDQFH RU EHKDYLRU DV FRPSDUHG WR VWXGHQWV LQ WKH FRQWURO JURXS 7KH $1&29$ RQ VWXGHQW UHVSRQVHV RQ WKH 6$ LQGLFDWHG QR VWDWLVWLFDOO\ VLJQLILFDQW LQWHUDFWLRQV EHWZHHQ WUHDWPHQW DQG DWWLWXGHV WRZDUG VFKRRO 7KHUHIRUH WKH LQWHUYHQWLRQ KDG QR VLJQLILFDQW HIIHFW RQ WKH H[SHULPHQWDO JURXS SDUWLFLSDQWVn DWWLWXGHV WRZDUG VFKRRO DV FRPSDUHG WR WKHLU FRQWURO JURXS SHHUV 7KHUH DOVR ZHUH QR VWDWLVWLFDOO\ VLJQLILFDQW LQWHUDFWLRQV IRU WUHDWPHQW E\ JHQGHU DJH RU DPRXQW RI WLPH VSHQW LQ (62/(6/ SURJUDPV LQ UHJDUGV WR SDUWLFLSDQWVn DWWLWXGHV WRZDUG VFKRRO 7KHUHIRUH WKH SDUWLFLSDQWVf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

PAGE 85

LQWHQGHG WR LPSURYH WKHLU VHOIFRQFHSW DQG DWWLWXGHV WRZDUG VFKRRO ,QWHUHVWLQJO\ RWKHU UHVHDUFKHUV $UUHQGRQGR 0F)DGGHQ f KDYH DOOXGHG WR WKH LPSRUWDQFH RI DJH DQG WLPH VSHQW LQ (62/(6/ FODVVHV DV EHLQJ UHODWHG WR KDYLQJ DQ LPSDFW RQ WKH SDUWLFLSDQWVn VHOIFRQFHSWV DQG DWWLWXGHV WRZDUG VFKRRO 7KXV WKH ODFN RI VLJQLILFDQW GLIIHUHQFH EHWZHHQ WKH FRQWURO JURXS DQG WKH WUHDWPHQW JURXS RQ WKHVH YDULDEOHV ZDV DQ XQH[SHFWHG ILQGLQJ %HFDXVH ERWK WKH 3+&6&6 DQG 6$, KDYH VHSDUDWH VXEVFDOHV D VHFRQGDU\ SXUSRVH RI WKLV VWXG\ ZDV WR GHWHUPLQH LI WKHUH ZHUH GLIIHUHQFHV EHWZHHQ WKH FRQWURO DQG WUHDWPHQW JURXS FKLOGUHQnV VFRUHV RQ WKH VXEVFDOHV $JDLQ WKH FKLOGUHQ LQ WKH WUHDWPHQW JURXS GLG QRW VLJQLILFDQWO\ GLIIHU IURP FKLOGUHQ LQ WKH FRQWURO JURXS IRU DQ\ RI WKHVH VXEVFDOHV $V VKRZQ LQ &KDSWHU SDUWLFLSDQWV KDG DQ fDERYH DYHUDJHf VHOIFRQFHSW PHDQ ERWK SUH DQG SRVWWUHDWPHQW ZKHQ FRPSDUHG WR WKH 3+&6&6 QRUPDWLYH GDWD $FFRUGLQJ WR 3LHUV f WKH DYHUDJH VFRUH IRU WKH 3+&6&6 UDJHV EHWZHHQ WKH VW DQG K SHUFHQWLOH 7KH PHDQ SUH DQG SRVWWHVW 3+&6&6 VFRUHV IRU WKH SDUWLFLSDQWV LQ WKLV VWXG\ ZHUH HLJKW DQG QLQH SRLQWV KLJKHU UHVSHFWLYHO\ WKDQ WKH PHDQ VFRUH IRU WKH QRUPDWLYH SRSXODWLRQ 7KLV ILQGLQJ SODFHV WKH SDUWLFLSDQWV DV D JURXS DW DSSUR[LPDWHO\ WKH WK SHUFHQWLOH SUH DQG SRVW WUHDWPHQW RQ WKH 3+&6&6 7KH GLIIHUHQFH EHWZHHQ WKH SRVWn WUHDWPHQW PHDQ 3+&6&6 VFRUH IRU WKH WUHDWPHQW DQG FRQWURO JURXS ZDV VPDOO DQG QRW VLJQLILFDQW ZKLFK PLJKW EH DWWULEXWDEOH WR WKH IDFW WKDW ERWK JURXSVf PHDQV ZHUH UHODWLYHO\ KLJK LQLWLDOO\ 8QOLNH WKH 3+&6&6 WKH 6$, LV QRW D QRUPUHIHUHQFHG WHVW &XWKEHUW f DQG QRUPDWLYH GDWD GR QRW H[LVW IRU LW )RU WKLV VDPSOH WKH PHDQ VFRUH RQ WKH SUHPHDVXUHV RI WKH 6$, ZDV DQG WKH DYHUDJH SRVWPHDVXUH VFRUH ZDV $FFRUGLQJ WR &XWKEHUW WKHVH VFRUHV PD\ EH FODVVLILHG DV fSRVLWLYH DWWLWXGHVf WRZDUG VFKRRO $JDLQ r

PAGE 86

WKHUH ZDV QR VLJQLILFDQW FKDQJH LQ VWXGHQWVf DWWLWXGHV WRZDUG VFKRRO IROORZLQJ WUHDWPHQW SRVVLEO\ EHFDXVH WKH SDUWLFLSDQWVf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f HIIHFWV 7KHVH FKLOGUHQ HODERUDWHG DQG YHUEDOL]HG WKHLU IHHOLQJV PRUH UHJDUGLQJ WKHLU VFKRRO VXFFHVV WKDQ GLG FRQWURO JURXS ,Q SRLQW RI IDFW QRQH RI WKH FKLOGUHQ LQWHUYLHZHG IURP WKH FRQWURO JURXS UHVSRQGHG WR WKH TXDOLWDWLYH TXHVWLRQV E\ H[SUHVVLQJ WKHLU IHHOLQJV DERXW VFKRRO $ IRFXVHG GLVFXVVLRQ RI WKH FKLOGUHQfV IHHOLQJV DERXW VFKRRO VXFFHVV ZDV RQH RI WKH PDMRU FRPSRQHQWV RI WKH VPDOO JURXS WUHDWPHQW SURFHVV 7KXV LW ZDV QRW VXUSULVLQJ WR ILQG WKH\ H[SUHVVHG WKHLU IHHOLQJV DERXW VFKRRO PRUH UHDGLO\

PAGE 87

([DPSOHV RI KRZ FKLOGUHQ LQ WKH WUHDWPHQW JURXS UHVSRQGHG WR KRZ KDSS\ WKH\ IHOW DERXW VFKRRO VXFFHVV LQFOXGHG f, DP UHDOO\ KDSS\ EHFDXVH ,nP JHWWLQJ EHWWHU JUDGHV VLQFH VLFf ODVW \HDUf DQG f,fP YHU\ KDSS\ EHFDXVH KDYH D JRRG WHDFKHU DQG JRRG IULHQGVf ([DPSOHV RI UHVSRQVHV IURP FKLOGUHQ LQ WKH FRQWURO JURXS LQFOXGH f, IHHO ILQHf RU f, IHHO JRRGf DQG f,fP NLQG RI KDSS\f 7KHVH ILQGLQJV FRLQFLGH ZLWK WKRVH RI &RUH\ f ZKR VXJJHVWHG WKDW WKH EHQHILWV GHULYHG IURP SDUWLFLSDWLQJ LQ D VPDOO JURXS FRXQVHOLQJ H[SHULHQFH LQFOXGH WKH HQKDQFHG DELOLW\ WR EH H[SUHVVLYH DQG WR EHWWHU FRPPXQLFDWH IHHOLQJV 7KH VPDOO JURXS H[SHULHQFH DOVR DSSHDUV WR KDYH FRQWULEXWHG WR WKH H[SHULPHQWDO FKLOGUHQ EHLQJ DEOH WR H[SUHVV SHUVRQDO DZDUHQHVV RI WKH WHDFKHUfV UROH LQ WKHLU RYHUDOO VFKRRO VXFFHVV 6HYHUDO WUHDWPHQW JURXS FKLOGUHQ KLJKOLJKWHG WKH SRVLWLYH LQIOXHQFH WKDW WKHLU (62/(6/ WHDFKHUV KDG RQ WKHP VLQFH WKH EHJLQQLQJ RI WKH VFKRRO \HDU )RU H[DPSOH RQH RI WKH ER\V LQ WKH WUHDWPHQW JURXS UHVSRQGHG WR fZKRf RU fZKDWf KDV KHOSHG ZLWK VFKRROZRUN WKH PRVW E\ VD\LQJ f0UV KDV KHOSHG PH OHDUQ (QJOLVKf $QRWKHU ER\ DQVZHUHG f0UV NQRZV 6SDQLVK DQG KHOSV PH ZLWK VFKRRO ZRUNf )LQDOO\ D WKLUG JUDGH JLUO VDLG f0UV P\ VSHFLDO WHDFKHU KDV KHOSHG PH GR EHWWHU LQ UHDGLQJ DQG ZULWLQJf $JDLQ WKHVH DUH LPSRUWDQW ILQGLQJV LQ WKDW SRVLWLYH IHHOLQJV EHLQJ H[SUHVVHG WRZDUG SDUWLFLSDQWVf (62/(6/ WHDFKHUV OLNHO\ ZRXOG WUDQVODWH WR SRVLWLYH SHUIRUPDQFH LQ WKH FODVVURRP 5HVHDUFKHUV 6DPZD\ t 0F.HRQ f KDYH VKRZQ WKDW /(3 VWXGHQWV HQUROOHG LQ VFKRROV ZKHUH WKHLU (62/(6/ WHDFKHUV DUH SHUFHLYHG DV SRVLWLYH UROH PRGHOV LV D IDFWRU WKDW FRQWULEXWHV SRVLWLYHO\ WR WKH RYHUDOO VXFFHVV RI WKRVH FKLOGUHQ 7KHVH VDPH UHVHDUFKHUV FRQFOXGHG WKDW ZKHQ (62/(6/ WHDFKHUV DUH YLHZHG E\ WKHLU VWXGHQWV DV EHLQJ SRVLWLYH DQG DV FRQVWDQW DQG IXQGDPHQWDO

PAGE 88

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f +RZHYHU WKHVH +LVSDQLF $PHULFDQ/DWLQR ELOLQJXDO FKLOGUHQ PD\ KDYH EHQHILWHG PRUH IURP D OHQJWKLHU LQWHUYHQWLRQ HVSHFLDOO\ DV LW UHODWHV WR FKDQJH LQ VHOIFRQFHSW *LYHQ WKH ODQJXDJH OLPLWDWLRQ RI PDQ\ RI WKH VWXGHQWV SDUWLFLSDWLQJ LQ WKLV VWXG\ KDYLQJ EHHQ SURYLGHG PRUH WLPH WR IDPLOLDUL]H WKHPVHOYHV

PAGE 89

ZLWK PRUH RI WKH WHUPLQRORJ\ DQG SURFHGXUHV XVHG PD\ KDYH \LHOGHG PRUH VLJQLILFDQW SRVLWLYH HIIHFWV RQ WKHLU VHOIFRQFHSWV DQG DWWLWXGHV WRZDUG VFKRRO 7KH ORFDWLRQ RI WKH VWXG\ PD\ OLPLW WKH JHQHUDOL]DWLRQ RI WKHVH ILQGLQJV ,QGLDQDfV SRSXODWLRQ LV b +LVSDQLF $PHULFDQ/DWLQR FRPSDUHG ZLWK b IRU WKH HQWLUH 86 ,Q DGGLWLRQ PDQ\ VWDWHV KDYH D JUHDWHU SRSXODWLRQ RI +LVSDQLF $PHULFDQ/DWLQR UHVLGHQWV WKDQ GRHV ,QGLDQD )RU H[DPSOH &DOLIRUQLD KDV b )ORULGD b ,OOLQRLV b 1HZ
PAGE 90

7KH SDUWLFXODU SXEOLF VFKRROV ZKHUH WKH VWXG\ ZDV FRQGXFWHG DOVR PD\ KDYH EHHQ D OLPLWDWLRQ 3XEOLF VFKRRO VHWWLQJV DUH SURQH WR YDULRXV IDFWRUV WKDW DIIHFW FKLOGUHQfV VHOI FRQFHSWV DWWLWXGHV WRZDUG VFKRRO DQG RYHUDOO VFKRRO VXFFHVV :HEE f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f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

PAGE 91

LQWHUYHQWLRQV DUH SURYHQ PHWKRGV WR HQULFK WKH DFDGHPLF DQG SV\FKRVRFLDO HQYLURQPHQWV RI HOHPHQWDU\ VFKRRO FKLOGUHQ RI DQ\ UDFH RU HWKQLFLW\ *RSDXO0F1LFRO t 7KRPDV 3UHVVZRRG 0\ULFN 7KRPSVRQ t 5XGROSK f 7KH TXDOLWDWLYH ILQGLQJV DOVR VXSSRUW WKH XVH RI D VROXWLRQIRFXVHG VPDOO JURXS FRXQVHOLQJ DSSURDFK DV D PHWKRG WR DVVLVW WKHVH W\SH RI FKLOGUHQ WR EHWWHU XQGHUVWDQG WKH SDUW WKHLU (62/(6/ WHDFKHUV SOD\ LQ WKHP DWWDLQLQJ DFDGHPLF VXFFHVV )LQDOO\ WKH JURXS IDFLOLWDWRUV WUDLQLQJ ZRUNVKRS GHYHORSHG IRU XVH LQ WKLV VWXG\ $SSHQGL[ %f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f +DYLQJ D IDPLOLDU SHUVRQ DV OHDGHU RI WKH VPDOO JURXS H[SHULHQFH VHHPLQJO\ ZRXOG EH LPSRUWDQW WR WKH FKLOGUHQ DQG

PAGE 92

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ƒ FRQFHSW DWWLWXGHV WRZDUG VFKRRO DQG VFKRRO VXFFHVV RI +LVSDQLF $PHULFDQ/DWLQR /(3  FKLOGUHQ HQUROOHG LQ SULYDWH VFKRROV YHUVXV WKRVH DWWHQGLQJ SXEOLF VFKRROV 7KLV VWXG\ DOVR VKRXOG EH UHSOLFDWHG ZLWK +LVSDQLF $PHULFDQ/DWLQR PLGGOH VFKRRO VWXGHQWV 2OGHU FKLOGUHQ ZRXOG PRVW OLNHO\ KDYH D EHWWHU JUDVS RI WKH (QJOLVK ODQJXDJH DQG ZRXOG WKXV KDYH PRUH H[SHULHQFH DQG XQGHUVWDQGLQJ RI WRSLFV GLVFXVVHG GXULQJ WKH VPDOO JURXS PHHWLQJV 5HVHDUFKHUV /HH 6FKPLGW f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

PAGE 93

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

PAGE 94

$33(1',; $ &216(17 /(77(56 $66(17 6&5,376 /(77(56 72 35,1&,3$/6

PAGE 95

'HSDUWPHQW RI &RXQVHORU (GXFDWLRQ 32 %R[ 8QLYHUVLW\ RI )ORULGD *DLQHVYLOOH )/ 'HDU 3DUHQW*XDUGLDQ 0\ QDPH LV -RVH 9LOODOED DQG DP D GRFWRUDO VWXGHQW DW WKH 8QLYHUVLW\ RI )ORULGD FRQGXFWLQJ UHVHDUFK RQ VFKRRO FRXQVHOLQJ ZLWK +LVSDQLF $PHULFDQ/DWLQR OLPLWHG(QJOLVK /(3f SURILFLHQW VWXGHQWV XQGHU WKH VXSHUYLVLRQ RI 'U -RH :LWWPHU 7KH SXUSRVH RI WKLV VWXG\ LV WR FRPSDUH WKH SHUFHSWLRQV RI +LVSDQLF $PHULFDQ/DWLQR /(3 VWXGHQWV HQUROOHG LQ (QJOLVK DV 6HFRQG /DQJXDJHV (6/f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f +DOI RI WKH VWXGHQWV ZKR SDUWLFLSDWH ZLOO EH UDQGRPO\ VHOHFWHG WR WDNH SDUW LQ WKH VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQ 7KLV ZLOO WDNH VL[ ZHHNV DQG WKH JURXS ZLOO PHHW RQFH D ZHHN IRU D PLQXWH VHVVLRQ 7KH JURXS IDFLOLWDWRU DQG \RXU VRQGDXJKWHUfV SULQFLSDO ZLOO GHWHUPLQH WKH JURXS PHHWLQJWLPH DQG KRZ WR PDNH XS PLVVHG FODVV ZRUN DQG DVVLJQPHQWV 7KH VHVVLRQV ZLOO IHDWXUH DFWLYLWLHV DQG GLVFXVVLRQV WKDW IRFXV RQ KHOSLQJ VWXGHQWV OHDUQ PRUH DERXW WKHLU IHHOLQJV VHOIFRQFHSW DWWLWXGH WRZDUGV VFKRRO DQG DFDGHPLF VXFFHVV f 7KH RWKHU KDOI RI WKH VWXGHQWV QRW UHFHLYLQJ WKH LQWHUYHQWLRQ ZLOO PDLQWDLQ WKHLU UHJXODU VFKRRO URXWLQH KHOSLQJ WR GHWHUPLQH WKH HIIHFWLYHQHVV RI WKH VPDOOJURXS FRXQVHOLQJ LQWHUYHQWLRQ f $OO SDUWLFLSDWLQJ VWXGHQWV HYHQ WKRVH QRW VHOHFWHG WR WDNH SDUW LQ WKH FRXQVHOLQJ LQWHUYHQWLRQ ZLOO EH DVNHG WR FRPSOHWH WZR LQVWUXPHQWV DERXW WKHLU DWWLWXGH WRZDUGV VFKRRO DQG WKHLU VHOI FRQFHSW LI WKH\ DJUHH 7KLV ZLOO UHTXLUH DERXW PLQXWHV RI WKHLU WLPH SULRU WR WKH EHJLQQLQJ RI WKH LQWHUYHQWLRQ DQG DJDLQ DW WKH FRQFOXVLRQ RI WKH LQWHUYHQWLRQ DERXW ZHHNV ODWHU f 7KH JURXS IDFLOLWDWRU ZLOO UHDG WKH LQVWUXPHQWV WR VWXGHQWV DW D WLPH VKHKH KDV DUUDQJHG ZLWK WKH WHDFKHU 7KH VWXGHQWV ZLOO QRW KDYH WR PDUN RU DQVZHU DQ\ LWHPV WKH\ GR QRW ZDQW WR f ,Q DGGLWLRQ WKH SULQFLSDO UHVHDUFKHU IRU WKLV VWXG\ ZLOO UDQGRPO\ VHOHFW D IHZ VWXGHQWV IURP HDFK VFKRRO b VWXGHQWV IURP HDFK VFKRROf DQG DVN WKHP WKUHH RSHQHQGHG TXHVWLRQV DV SDUW RI DQ LQWHUYLHZ WR VHH KRZ WKH\ SHUFHLYH WKHLU DFDGHPLF VXFFHVV f $OWKRXJK WKH FKLOGUHQ ZLOO EH DVNHG WR ZULWH WKHLU QDPHV RQ D FKHFNOLVW IRU PDWFKLQJ SXUSRVHV WKHLU LGHQWLW\ ZLOO EH NHSW FRQILGHQWLDO WR WKH H[WHQW SURYLGHG E\ ODZ :H ZLOO UHSODFH WKHLU QDPHV ZLWK FRGH QXPEHUV 5HVXOWV ZLOO RQO\ EH UHSRUWHG LQ WKH IRUP RI JURXS GDWD DQG ZLOO EH DYDLODEOH XSRQ UHTXHVW DIWHU -DQXDU\ f 3DUWLFLSDWLRQ RU QRQSDUWLFLSDWLRQ LQ WKLV VWXG\ ZLOO QRW DIIHFW WKH FKLOGUHQfV JUDGHV RU SODFHPHQW LQ DQ\ SURJUDPV f
PAGE 96

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f HQ HO WHUFHUR FXDUWR R TXLQWR JUDGR TXH SDUWLFLSDUDQ HQ XQ JUXSR SHTXHR GH FRQVHMHUD FRQ RWURV LRV HQ FODVHV (6/(62/ TXH QR SDUWLFLSDUDQ HQ HO JUXSR /RV UHVXOWDGRV GH HVWH HVWXGLR VHU£Q XVDGRV SDUD D\XGDU D TXH ORV FRQVHMHURV HVFRODUHV HQWLHQGDQ TXH WLSR GH DVLVWHQFLD QHFHVLWDQ HVWXGLDQWHV +LVSDQR $PHULFDQRV/DWLQRV SDUD TXH HVWRV LRV SXHGDQ DFRVWXPEUDUVH PHMRU D HO PHGLRDPELHQWH HVFRODU \ ORV SURJUDPDV GH (6/ 7RPHQ HQ FXHQWD TXH XQ DGXOWR HQWUHQDGR HQ FRQVHJHULD VHUD OD SHURVRQD DGPLQLVWUDQGR HO HVWXGLR HQ VX FROHJLR 6L XVWHG GHFLGH SHUPLWLU OD SDUWLFLSDFLQ GH VX KLMRKLMD HQ HVWH HVWXGLR SRU IDYRU WRPHQ HQ FXHQWD ORV GHWDOOHV TXH VLJXHQ f 'H ORV LRV TXH SDUWLFLSDUDQ HQ HO HVWXGLR OD PLWDG VHU£Q HVFRMLGR SDUD WRPDU SDUWH HQ HO JUXSR GH FRQVHMHUD /D H[SHULHQFLD HQ HO JUXSR WRPDUD VLHV VHPDQDV \ HO JUXSR VH YD D UHXQLU XQD YH] D OD VHPDQD SRU PLQXWRV (O OGHU GH HO JUXSR \ HO DGPLQLVWUDGRU SULFLSDOf GH VX KLMRKLMD GHWHUPLQDUDQ HO KRUDULR \ GLD VHPDQDO PDV RWURV GHWDOOHV /RV WSLFRV GH GLVFXFLRQ VHU£Q HO DXWRHVWLPD SHUVRQDO H[SUHVLQ GH VHQWLPLHQWRV DFWLWXGH HVFRODU \ ORJURV DFDGPLFRV \ VHU£Q GLVFXWLGRV HQ IRUPD GH DFWLYLGDG \ GLVFXFLRQHV HQWUH HO JUXSR f /D RWUD PLWDG GH HO JUXSR GH HVWXGLDQWHV QR VHUD SDUWH GH HO JUXSR LQLFLDOPHQWH (OORV PDQWHQGU£Q VX UXWLQD HVFRODU QRUPDO \ D\XGDQR D GHWHUPLQDU OD HIHFWLYLGDG GH HO JUXSR f $ WRGRV ORV LRV KDVWD ORV TXH QR VHU£Q SDUWH GH HO JUXSR GH FRQVHMHULD VH OHV SHGLU£ TXH WRPHQ GRV FXHVWLRQDULRV VREUH VXV DFWLWXGHV FRQ UHVSHFWR DO FROHJLR \ VX DXWRHVWLPD VRODPHQWH VL HOORV TXLHUHQ UHVSRQGHU /RV TXHVWLRQDULRV WRPDUDQ PLQXWRV GH VX WLHPSR \ VHU£Q DGLPLQLVWUDGRV XQD VHPDQD DQWHV GH HPSHVDU HQ JUXSR \ VHPDQDV GHVSXV f (O OLGHU GH HO JUXSR OHHU£ ORV FXHVWLRQDULRV D ORV HVWXGLDQWHV GXUDQWH XQ WLHPSR GHWHUPLQGR SRU HO \ OD PDHVWUD GH VX KLMRKLMD /RV LRV QR WLHQHQ TXH UHVSRQGHU ODV SUHJXDQWDV TXH QR TXLHUDQ f (Q DGLFLQ \R FRPR LQYHVWLJDGRU SULQFLSDO YR\ D HVFRJHU D XQRV HVWXGLDQWHV GH FDGD HVFXHOD b GH HVWXGLDQWHV SRU HVFXHODf \ OHV YR\ D KDFHU WUHV SUHJXQWDV GH GLVFXFLRQ FRPR SDUWH GH XQD HQWUHYLVWD SDUD GHWHUPLQDU RSLQLRQHV VREUH ORJURV DFDGPLFRV f $XQTXH D ORV LRV VH OHV SHGLU£ TXH HVFULEDQ VXV QRPEUHV HQ XQD OLVWD FRQ HO SURSRVLWR GH GHWHUPLQDU TXLHQ UHVSRQGL D FXDO FXHVWLRQDULR \ HQ TXH FROHJLR HVWD VXV LGHQWLGDGHV VHU£Q PDQWHQLGDV OHJDOPHQWH FRQILGHQFLDOHV 5HVXOWDGRV GH HVWH SUR\HFWR VHU£Q UHSRUWDGR VRODPHQWH HQ IRUPD GH HO JUXSR FRPSOHWR \ HVWDU£Q OLVWDV GHVSXV GH (QHUR f 6XV GHFLVLRQ GH GHMDU R QR GHMDU TXH VX KLMRKLMD SDUWLFLSH HQ HVWH HVWXGLR QR DIHFWDUD VXV FDOLILFDFLRQHV R SDUWLFLSDFLQ HQ SURJUDPDV f 8VWHG \ VX KLMRKLMD WLHQH HO GHUHFKR GH WHUPLQDU HO SUR\HFWR FXDQGR TXLHUD VLQ FRQVHFXHQFLD 3RU IDYRU FRPXQLTHVH FRQ HO DGPLQLVWUDGRU SULQFLSDOf GH VX KLMRKLMD VL WLHQH FXDOTXLHU SUHJXQWD
PAGE 97

3OHDVH UHWXUQ WKLV IRUP WR WKH VFKRRO FRXQVHORU 3RU IDYRU GH YXHOYD HVWD IRUPD D HO FRQVHMHUR HVFRODU KDYH UHDG WKH SURFHGXUH GHVFULEHG LQ WKH SUHYLRXV SDJH YROXQWDULO\ JLYH FRQVHQW IRU P\ FKLOG WR SDUWLFLSDWH LQ -RVH 9LOODOEDfV (G6f VWXG\ DQG KDYH UHFHLYHG D FRS\ RI WKLV GHVFULSWLRQ
PAGE 98

$VVHQW 6FULSW IRU $OO +LVSDQLF $PHULFDQ/DWLQR /(3 (6/ 6WXGHQWV 7KLUG )RXUWK DQG )LIWK *UDGHVf 7KH IROORZLQJ VWDWHPHQW LV WR EH UHDG DORXG WR DOO VWXGHQWV SULRU WR DGPLQLVWHULQJ WKH SUH DQG SRVWWHVW LQVWUXPHQWV 7KH QDPH RI HDFK JURXS IDFLOLWDWRU ZLOO JR LQ WKH EODQN VSDFH f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fW ZDQW WR DQVZHU D FHUWDLQ TXHVWLRQV \RX PD\ VWRS DW DQ\ WLPH :RXOG \RX OLNH WR GR WKLV"

PAGE 99

$VVHQW 6FULSW IRU +LVSDQLF $PHULFDQ/DWLQR /(3 (6/ 6WXGHQWV 5DQGRPO\ 6HOHFWHG IRU 6PDOO *URXS &RXQVHOLQJ 7KLUG )RXUWK DQG )LIWK *UDGHVf 7KH IROORZLQJ VWDWHPHQW LV WR EH UHDG DORXG WR DOO VWXGHQWV VHOHFWHG WR SDUWLFLSDWH LQ WKH VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQ 7KH QDPH RI HDFK JURXS IDFLOLWDWRU ZLOO JR LQ WKH EODQN VSDFH f+HOOR 0\ QDPH LV DP KHOSLQJ D 8QLYHUVLW\ RI )ORULGD VWXGHQW -RVH 9LOODOED ZKR LV DOVR WHDFKHU DW ,QGLDQD 6WDWH 8QLYHUVLW\ WU\ RXW VRPH ZD\V VFKRRO FRXQVHORUV FDQ KHOS +LVSDQLF $PHULFDQ/DWLQR VWXGHQWV EHFRPH PRUH FRPIRUWDEOH ZLWK VFKRRO 2QFH HDFK ZHHN IRU WKH QH[W VL[ ZHHNV ZLOO EH PHHWLQJ ZLWK D JURXS RI VWXGHQWV IRU GLVFXVVLRQV DQG DFWLYLWLHV WKDW KDYH WR GR ZLWK EHLQJ KDSS\ DQG VXFFHVVIXO DW VFKRRO
PAGE 100

$VVHQW 6FULSW IRU +LVSDQLF $PHULFDQ/DWLQR /(3 (6/ 6WXGHQWV 5DQGRPO\ 6HOHFWHG IRU WKH 7KUHH4XHVWLRQ 6WUXFWXUHG ,QWHUYLHZ 7KLUG )RXUWK DQG )LIWK *UDGHVf 7KH IROORZLQJ VWDWHPHQW LV WR EH UHDG DORXG WR VWXGHQWV VHOHFWHG WR SDUWLFLSDWH LQ WKH VWUXFWXUHG LQWHUYLHZ ZLWK WKH UHVHDUFKHU f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

PAGE 101

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f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fV FRXQVHORU DQG SDUHQWV WKURXJKRXW WKH VWXG\ WKDQN \RX LQ DGYDQFH IRU WDNLQJ WKH WLPH WR FRQVLGHU WKLV UHTXHVW DOVR ORRN IRUZDUG WR ZRUNLQJ ZLWK \RX DQG \RXU VFKRRO 3OHDVH FDOO PH DW f LI \RX KDYH DQ\ TXHVWLRQV 6LQFHUHO\ -RVH 9LOODOED $VVLVWDQW 3URIHVVRU ,QGLDQD 6WDWH 8QLYHUVLW\

PAGE 102

$33(1',; % 5(6($5&+ 352&('85(6 $1'*5283 )$&,/,7$725 :25.6+23

PAGE 103

&KHFNOLVW RI 3URFHGXUHV IRU (6/ *URXS &RXQVHOLQJ 6WXG\ 3ULQFLSDO ,QYHVWLJDWRU -RVHf 9LOODOED f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f 3RVWWHVW LV DGPLQLVWHUHG WR ERWK JURXSV 0DWHULDOV UHWXUQHG ,Q DGGLWLRQ PDNH VXUH WR UHWXUQ WKH ZHHNO\ ILGHOLW\ FKHFNOLVWV

PAGE 104

)DFLOLWDWRU )LGHOLW\ &KHFNOLVW $ ZHHNO\ FKHFNOLVW ZLOO QHHG WR EH ILOOHG RXW DQG UHWXUQHG WR WKH UHVHDUFKHU ZHHNO\ LQ RUGHU WR DWWDLQ D OHYHO RI ILGHOLW\ EHWZHHQ ERWK JURXS IDFLOLWDWRUV 3OHDVH ILOO RXW WKH IROORZLQJ FKHFNOLVW DQG UHWXUQ WR UHVHDUFKHU LQ WKH SURYLGHG VHOIDGGUHVVHG VWDPSHG HQYHORSH QR ODWHU WKDQ WKUHH GD\V DIWHU WKH FRQFOXVLRQ RI D SDUWLFXODU VHVVLRQ 3OHDVH PDNH FRSLHV RI WKH IROORZLQJ FKHFNOLVW EHIRUH HQWHULQJ GDWD IRU 6HVVLRQ 2QH 2EMHFWLYHV PHW f f f 0DWHULDOV XVHG f f f $FWLYLWLHV FRQGXFWHG SOHDVH LQFOXGH DGGLWLRQDO LQIRUPDWLRQ LI GLIIHUHQW IURP SURYLGHG LQVWUXFWLRQV LQ *URXS )DFLOLWDWRU 0DQXDOf f f f f &RQFOXVLRQ$VVLJQHG +RPHZRUN &RQFOXVLRQ +RPHZRUN $GGLWLRQDO &RPPHQWV

PAGE 105

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f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f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n PHDVXUHV

PAGE 106

6WXGHQW ,QIRUPDWLRQ 6KHHW 6WXGHQWV UDQGRPO\ VHOHFWHG IURP WKH VFKRRO SRSXODWLRQ 6HQG DQ LQIRUPHG QRWLFH DQG FRQVHQW IRUP KRPH ZLWK HDFK VWXGHQW RQ WKH OLVW RQ WKH OHIW ,I QHFHVVDU\ JR WR WKH DOWHUQDWHG EHJLQQLQJ ZLWK QXPEHU RQH $OWHUQDWHV 3DUWLFLSDWLQJ VWXGHQWV ZLWK SDUHQW SHUPLVVLRQ :ULWH WKH QDPHV RI WKHVH VWXGHQWV LQ WKH EODQNV EHORZ DQG WKHQ DVVLJQ WKHP WR WUHDWPHQW RU FRQWURO JURXSV XVLQJ DV LQGLFDWHG 7UHDWPHQW DQG &RQWURO *URXS $VVLJQPHQW &RQWLQXHG RQ 1H[W 3DJH

PAGE 107

$VVLJQHG QXPEHUV IRU &RQWURO *URXS $VVLJQHG QXPEHUV IRU 7UHDWPHQW *URXSV 7KH QXPEHUV DVVLJQHG WR HDFK VWXGHQW VKRXOG DSSHDU RQ DOO SUH DQG SRVWWHVW LQVWUXPHQWV 7KLV ZLOO SHUPLW WKH UHVHDUFKHU WR PDWFK WKH SUHWHVW UHVXOWV ZLWK WKH SRVWn WHVW UHVXOWV 6WXGHQW QDPHV FDQ EH SXW RQ WKH LQVWUXPHQWV DORQJ ZLWK WKH QXPEHU DERYH IRU \RXU FRQYHQLHQFH LQ LGHQWLI\LQJ VWXGHQWV +RZHYHU WKH QXPEHU PXVW EH SUHVHQW 7KH QDPHV ZLOO EH EORFNHG RXW ZLWK LQN WR HQVXUH FRQILGHQWLDOLW\

PAGE 108

,QVWUXFWLRQV IRU 3UH DQG 3RVW7HVW 'DWD &ROOHFWLRQ 'DWD ZLOO EH FROOHFWHG IURP DOO VWXGHQWV IRU WKH SUHWHVW DQG SRVWWHVW 7KH 3LHU +DUULV &KLOGUHQ 6HOI&RQFHSW 6FDOH DQG 6FKRRO $WWLWXGH ,QYHQWRU\ ZLOO EH DGPLQLVWHUHG WR DOO VWXGHQWV SULRU WR EHJLQQLQJ WKH VPDOO JURXS LQWHUYHQWLRQ ZLWK WKH WUHDWPHQW JURXSV %RWK SUHWHVWV PD\ EH DGPLQLVWHUHG DW WKH VDPH WLPH +RZHYHU SOHDVH DGPLQLVWHU WKH SUHn WHVWV WR WKH FRQWURO JURXS VHSDUDWH IURP WKH WUHDWPHQW JURXS $GPLQLVWHU WKH SRVWWHVW WR ERWK JURXSV LQ WKH VDPH IDVKLRQ DV WKH SUHWHVW XSRQ FRPSOHWLRQ RI WKH VPDOO JURXS FRXQVHOLQJ WUHDWPHQW 3LHUV+DUULV &KLOGUHQfV 6HOI&RQFHSW 6FDOH IRUPV 5HDG WKH DVVHQW VFULSW WR DOO VWXGHQWV EHIRUH DGPLQLVWHULQJ WKH SUHVWHVW LQVWUXPHQWV WR DIILUP WKHLU YROXQWDU\ SDUWLFLSDWLRQf 1RZ VD\ f:H DUH JRLQJ WR GR WZR ZRUNVKHHWV WRGD\ :H DUH JRLQJ WR GR WKHP DV D JURXS 7KHUH DUH QR ULJKW RU FRUUHFW DQVZHUV IRU WKH ZRUNVKHHWV WKDW ZH DUH JRLQJ WR GR 7KHVH ZRUNVKHHWV DUH VLPSO\ DERXW \RX KRZ \RX IHHO DQG ZKDW WKLQN DERXW VFKRRO $OVR ZDQW \RX WR WDNH \RXU WLPH LQ DQVZHULQJ WKH TXHVWLRQV 6LQFH WKHUH LV QR WLPH OLPLW DQG WKHUH DUH QRW ULJKW RU ZURQJ DQVZHUV ZDQW WKHVH ZRUNVKHHWV WR EH DV IXQ DV SRVVLEOH ,I \RX KDYH DQ\ TXHVWLRQV SOHDVH UDLVH \RXU KDQGV DQG ZLOO DQVZHU WKHP 7KHQ VD\ f7KH ILUVW ZRUNVKHHW ZH ZLOO GR WRGD\ KDV D EXQFK RI f\HVf DQG fQRf VHQWHQFHV DP JRLQJ WR UHDG WKH VHQWHQFHV DORXG )RU HDFK VHQWHQFH WKLQN LI ZKDW MXVW UHDG LV WUXH IRU \RX RU IDOVH IRU \RX ,I ZKDW WKH VHQWHQFH LV WUXH IRU \RX WKHQ FLUFOH WKH ZRUG f\HVf ,I ZKDW UHDG LV IDOVH IRU \RX WKHQ FLUFOH WKH ZRUG fQRf :H DUH JRLQJ WR GR WKHVH WRJHWKHU ,I \RX KDYH DQ\ TXHVWLRQV RU GR QRW XQGHUVWDQG D ZRUG RU VHQWHQFH SOHDVH UDLVH \RXU KDQG DQG ZLOO KHOS \RX $UH WKHUH DQ\ TXHVWLRQV" 2N WKHQ OHWfV VWDUW ZLWK WKH ILUVW VHQWHQFHf 3OHDVH JLYH WKH FKLOGUHQ D IHZ PLQXWHV WR UHVW DIWHU WKH\ KDYH FRPSOHWHG WKH LWHPV RQ WKH 3LHU+DUULV WKHQ DGPLQLVWHU WKH 6FKRRO $WWLWXGH ,QYHQWRU\f 6FKRRO $WWLWXGH ,QYHQWRU\ 6D\ f7KLV QH[W ZRUNVKHHW ZLOO EH XVHG WR ILQG RXW KRZ \RX ER\V DQG JLUOV IHHO DERXW VFKRRO -XVW OLNH ZLWK WKH ODVW ZRUNVKHHW ZH ZLOO GR WKLV RQH WRJHWKHU DQG WKHUH DUH QR ULJKW RU ZURQJ DQVZHUV DP JRLQJ WR JLYH \RX D ZRUNVKHHW ZLWK D ORW RI SLFWXUHV 7KH SLFWXUHV DUH DUUDQJHG LQ WKUHH URZV DQG HDFK URZ KDV ILYH SLFWXUHV ZLWK VRPHWKLQJ LQ FRPPRQ ZLOO UHDG DORXG WKH TXHVWLRQ DW WKH WRS RI WKH SLFWXUHV $IWHU GR WKDW ZDQW \RX WR PDUN RQH RI WKH ILYH SLFWXUHV ZLWK DQ f;f WR VKRZ PH KRZ \RX IHHO LQ WKDW DERXW WKDW TXHVWLRQ 7KH ILUVW URZ KDV SLFWXUHV RI D FDUWRRQ WKDW LV UHDOO\ KDSS\ RU UHDOO\ VDG 7KLQN DERXW WKH TXHVWLRQ MXVW DVNHG DQG KRZ UHDOO\ KDSS\ RU UHDOO\ VDG \RX ZRXOG EH DQG SXW DQ f;f RQ WKH RQH SLFWXUH WKDW EHVW VKRZV KRZ KDSS\ RU VDG \RX ZRXOG EH 7KLQNLQJ DERXW WKH VDPH TXHVWLRQ JR WR WKH QH[W URZ ZKHUH WKHUH DUH ILYH SLFWXUHV RI D FDUWRRQ WKDW LV UHDOO\ FDOP DQG UHDOO\ DQ[LRXV RU VWUHVVHG $JDLQ SXW DQ f;f RQ WKH SLFWXUH WKDW EHVW GHVFULEHV KRZ \RX IHHO ZKHQ \RX WKLQN DERXW WKH TXHVWLRQ MXVW DVNHG \RX )LQDOO\ ORRN DW WKH ODVW URZ ZLWK ILYH SLFWXUHV RI KRZ LQ FRQWURO RU RXW RI FRQWURO \RX IHHO ZKHQ \RX WKLQN DERXW WKH TXHVWLRQ WKDW ZDV DVNHG 3XW DQ f;f RQ WKH RQH SLFWXUH WKDW VKRZV \RXU OHYHO RI FRQWURO :H ZLOO GR WKLV IRU DOO WHQ TXHVWLRQV LQ WKLV ZRUNVKHHW $UH WKHUH DQ\ TXHVWLRQV"f 6LQFH WKLV LQVWUXPHQW FDQ EH FRQIXVLQJ HQFRXUDJH D TXHVWLRQ RU WZR
PAGE 109

7ZR+RXU *URXS )DFLOLWDWRU 7UDLQLQJ :RUNVKRS ,f ([SODLQ 3XUSRVH RI WKH 6WXG\ f 7KH SXUSRVH RI WKLV VWXG\ LV WR LGHQWLI\ DQG DVVLVW HOHPHQWDU\ VFKRRODJHG +LVSDQLF $PHULFDQ/DWLQR OLPLWHG(QJOLVK SURILFLHQW SXEOLF VFKRRO VWXGHQWV f $ VPDOOJURXS FRXQVHOLQJ LQWHUYHQWLRQ EDVHG RQ 6ROXWLRQIRFXVHG WKHUDS\ 7KH GHSHQGHQW YDULDEOHV DUH WKH FKLOGUHQfV VHOIFRQFHSW DFDGHPLF VXFFHVV DQG DWWLWXGH WRZDUGV VFKRRO ,,f ([SODLQ DQG 'LVFXVV WKH ([SHULHQFHV RI +LVSDQLF $PHULFDQ/DWLQR /LPLWHG (QJOLVK 3URILFLHQW &KLOGUHQ $ 1HHGV RI +LVSDQLF $PHULFDQ/DWLQR FKLOGUHQ DQG FRXQVHOLQJ LVVXHV f +LVSDQLF $PHULFDQ/DWLQRV SHUFHSWLRQV FXOWXUH DQG ODQJXDJH LQIOXHQFH KRZ WKH\ XVH QDYLJDWH DQG LQWHUSUHW WKH 86 HGXFDWLRQDO V\VWHP f 7KHLU QHHGV FDQ EH TXLWH GLIIHUHQW ZKHQ FRPSDUHG WR FKLOGUHQ DQG IDPLOLHV LQ WKH :KLWH PDMRULW\ DQG RWKHU PLQRULWLHV f 6FKRRO FRXQVHORUV FDQ VHUYH WKHVH FKLOGUHQ E\ XVLQJ WKHLU FRXQVHOLQJ VNLOOV LQ IDFLOLWDWLQJ WKHVH FKLOGUHQfV LVVXHV DQG FRQFHUQV ZLWKLQ WKH (62/ VHWWLQJ DQG WKURXJKRXW WKH VFKRRO HQYLURQPHQW % (GXFDWLRQDO H[SHULHQFHV RI 6SDQLVKVSHDNLQJ /(3 FKLOGUHQ f %RWK FKLOGUHQ DQG SDUHQWV H[SHULHQFH GLIILFXOW\ ZLWK WKH GRPLQDQFH RI WKH QHZ ODQJXDJH ZKHQ LW FRPHV WR PDNLQJ IULHQGV SHUIRUPLQJ XS WR WKHLU LQWHOOHFWXDO DELOLW\ DQG HVWDEOLVKLQJ D VWURQJ OHYHO RI DFDGHPLFVRFLRHFRQRPLF FRPIRUW LQ WKH 86 f 7KHVH SUREOHPV RIWHQ PDQLIHVW WKHPVHOYHV DV SRRU VHOIFRQFHSW DFDGHPLF SHUIRUPDQFH DQG DWWLWXGH WRZDUGV VFKRRO & (QJOLVKDVD6HFRQG/DQJXDJH LQVWUXFWLRQ DQG ODQJXDJH DFTXLVLWLRQ f /DQJXDJH DFTXLVLWLRQ RI D VHFRQG ODQJXDJH LV HDVLHU IRU WKRVH FKLOGUHQ ZKR DUH ILUVW SURYLGHG ZLWK DQ RSSRUWXQLW\ WR IORXULVK DQG VXFFHHG ZLWK WKHLU QDWLYH ODQJXDJH f 5HVHDUFKHUV DGYRFDWH IRU WKH RSSRUWXQLW\ WR DOORZ /(3 FKLOGUHQ WR JUDVS D FRQFHSWXDO DQG DQDO\WLFDO OHYHO RI WKHLU ILUVW ODQJXDJH EHIRUH VXEMHFWLQJ WKHP WR H[FOXVLYH DQG H[WHQVLYH WHDFKLQJ RI WKH VHFRQG ODQJXDJH ZKLFK LQ WKLV FDVH LV (QJOLVK $VVLVWLQJ +LVSDQLF $PHULFDQ/DWLQR /(3 VWXGHQWV LQ (62/ SURJUDPV f (OHPHQWDU\ VFKRRO JXLGDQFH FRXQVHORUV KDYH WKH FDSDFLW\ WKH DELOLW\ DQG WKH UHVSRQVLELOLW\ WR DVVLVW WKHVH FKLOGUHQ +,f 'LVFXVV 5HVHDUFK 3URFHGXUHV DQG 6FKRRO &RXQVHORUfV 5ROH $B 2YHUYLHZ RI UHVHDUFK GHVLJQ f 7KLV UHVHDUFK VWXG\ LV DQ H[SHULPHQWDO GHVLJQ f 7KH H[SHULPHQWDO JURXS ZLOO EH UHFHLYLQJ WKH VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQ ZKLOH WKH FRQWURO JURXS ZLOO QRW UHFHLYH WKH WUHDWPHQW f %RWK JURXSV RI FKLOGUHQ ZLOO EH DGPLQLVWHUHG WKH SUH DQG SRVWn PHDVXUHPHQW LQVWUXPHQWV IRU VHOIFRQFHSW DQG DWWLWXGH WRZDUGV VFKRRO

PAGE 110

f ,QGHSHQGHQW YDULDEOHV WR EH WDNHQ LQWR DFFRXQW LQFOXGH JHQGHU JUDGH OHYHO \HDUV HQUROOHG LQ DQ (62/ SURJUDP DQG WUHDWPHQW D 6PDOO*URXS &RXQVHOLQJ DQG 6ROXWLRQ)RFXVHG &RXQVHOLQJ f 6PDOOJURXS FRXQVHOLQJ KDV EHHQ FKRVHQ DV D GHOLYHU\ PRGHO IRU WKLV LQWHUYHQWLRQ EHFDXVH LW SHUPLWV VFKRRO FRXQVHORUV WR VLPXOWDQHRXVO\ IDFLOLWDWH VHYHUDO FKLOGUHQ ZLWK VLPLODU FRQFHUQV DQG QHHGV f 6ROXWLRQIRFXVHG FRXQVHOLQJ LV D FRQFUHWH GLUHFW DQG RXWFRPH EDVHG FRXQVHOLQJ PHWKRG WKDW KDV EHHQ VKRZQ WR EH HIIHFWLYH ZLWK FKLOGUHQ DQG DGROHVFHQWV % 5DQGRPL]DWLRQ RI VWXGHQW SDUWLFLSDQWV f 5DQGRP DVVLJQPHQW RI VWXGHQWV LQ WKH FRQWURO JURXS DQG WKH H[SHULPHQWDO JURXS LV QHFHVVDU\ WR HQVXUH WKDW ERWK JURXSV DUH HTXLYDOHQW DW WKH VWDUW RI WKH LQWHUYHQWLRQ f $ GHWDLOHG VHW RI LQVWUXFWLRQV DV WR KRZ WR UDQGRPO\ DVVLJQ SDUWLFLSDWLQJ FKLOGUHQ WR WKH FRQWURO JURXS DQG WKH H[SHULPHQWDO JURXS LV SURYLGHG LQ D VHSDUDWH KDQGRXW & ,QIRUPHG QRWLFH DQG FRQVHQW f 6FKRRO FRXQVHORUV ZLOO SURYLGH D FRQVHQW IRUP WR SDUHQWV DQG JHW LW VLJQHG EHIRUH D FKLOG FDQ SDUWLFLSDWH LQ WKH VWXG\ f (DFK SDUHQW LV DOVR WR UHFHLYH DQ LQIRUPHG QRWLFH RI WKH UHVHDUFK VWXG\ GHYHORSHG E\ WKH UHVHDUFKHU SURYLGHG LQ ERWK 6SDQLVK DQG (QJOLVK &ROOHFWLQJ SUH DQG SRVWGDWD f )ROORZ WKH SURYLGHG VFULSW IRU DGPLQLVWHULQJ WKH 3LHUV+DUULV 6HOI &RQFHSW 6FDOH IRU &KLOGUHQ DQG WKH 6FKRRO $WWLWXGH ,QYHQWRU\ f 2QO\ FROOHFW GDWD IURP FKLOGUHQ ZKR KDYH SDUHQWDO SHUPLVVLRQ ,9f 'HOLYHU\ RI &RXQVHOLQJ ,QWHUYHQWLRQV $ 2UJDQL]DWLRQ RI WKH VPDOOJURXS DFWLYLW\ f 7KHUH DUH VL[ PLQXWH ZHHNO\ VHVVLRQV LQ WKH 7UHDVXUH +XQW &OXE FRXQVHOLQJ LQWHUYHQWLRQ f 7KH ILUVW VHVVLRQ LQFOXGHV DQ LQWURGXFWLRQ WR WKH VL[ZHHN H[SHULHQFH DV ZHOO DV VPDOOJURXS JXLGHOLQHV f 7KH ILQDO VHVVLRQ LQFOXGHV DQ RYHUDOO VXPPDU\ RI WKH FRXQVHOLQJ LQWHUYHQWLRQ % 0DWHULDOV XVHG LQ VPDOOJURXS DFWLYLWLHV (YHU\ FKLOG ZLOO KDYH D IROGHU ZLWK KHU RU KLV WUHDVXUH PDS DFWLYLW\ & )DFLOLWDWLYH UHVSRQVHV IRU VFKRRO FRXQVHORUV f )RFXVLQJ RQ IHHOLQJV f &ODULI\LQJ VXPPDUL]LQJ DQG SDUDSKUDVLQJ f 4XHVWLRQLQJ 9f 5HWXUQ RI 5HVHDUFK 0DWHULDOV f $ FKHFNOLVW RI SURFHGXUHV IRU WKH 7UHDVXUH +XQW &OXE ZLOO EH SURYLGHG WR HDFK FRXQVHORU f 7KH FKHFNOLVW SURYLGHV WKH RUGHU LQ ZKLFK WKH UHVHDUFK VWXG\ LV WR EH DGPLQLVWHUHG

PAGE 111

9,f 4XHVWLRQV DQG &RPPHQWV f 4XHVWLRQV DQG FRPPHQWV ZLWK VFKRRO FRXQVHORU SDUWLFLSDQWV ZLOO EH DGGUHVVHG YLD HPDLO DQG SHUVRQDO SKRQH FDOOV 9,,f $ 5HYLHZ RI WKH 6L[ 6HVVLRQV f f7KH 7UHDVXUH +XQW &OXE *RLQJ RQ D 7UHDVXUH +XQWf 7R DOORZ VWXGHQWV WR H[SUHVV WKHLU IHHOLQJV DERXW EHLQJ OLPLWHG(QJOLVK SURILFLHQW DQG GLVFXVV WKHLU H[SHULHQFHV DW VFKRRO 7R GLVFXVV ZLWK VWXGHQWV UHDVRQ IRU EHLQJ VHOHFWHG WR EHFRPH SDUW RI WKH WUHDWPHQW DQG GHVFULEH WKH VPDOOJURXS FRXQVHOLQJ LQWHUYHQWLRQ f f3DFNLQJ RXU EDJV IRU WKH 7UHDVXUH +XQWf 7R DVVLVW FKLOGUHQ LQ WKHLU H[SUHVVLRQ RI IHHOLQJV LQ D PRUH HIIHFWLYH PDQQHU DQG LQFUHDVH IDPLOLDUL]DWLRQ ZLWK D YDULHW\ RI GLIIHUHQW IHHOLQJV 7R GHILQH DQG H[SODLQ WKH ZRUG fVROXWLRQf DQG HPSKDVL]H WKH LPSRUWDQFH RI GHYHORSLQJ DQG LPSOHPHQWLQJ VHOI GHYHORSHG VROXWLRQV f f*HWWLQJ RXUVHOYHV UHDG\ IRU WKH 7UHDVXUH +XQW 7ULSf 7R LQFUHDVH FKLOGUHQfV DZDUHQHVV RI WKHLU VHOIFRQFHSW 7R H[SORUH ZKDW NLQGV RI H[SHULHQFHV FDQ ZHDNHQ RQHfV VHOIFRQFHSW DQG ILQG VROXWLRQV WKDW VWUHQJWKHQVROLGLI\ RQHfV VHOIFRQFHSW f f*HWWLQJ WR NQRZ 7UHDVXUH ,VODQG )HHOLQJ FRPIRUWDEOH RQ WKH ,VODQGf %HFRPLQJ IDPLOLDU DQG FRPIRUWDEOH ZLWK WKH VFKRRO HQYLURQPHQW *DLQLQJ D EHWWHU XQGHUVWDQGLQJ RI WKH (62/ FODVVURRP VHWWLQJ f f7UHDVXUH ,VODQG LV D JUHDW SODFH WR EHf 7R GLVFXVV WKH JURXSfV DWWLWXGH WRZDUGV VFKRRO DQG OHDUQLQJ 'HYHORS VROXWLRQV IRU LPSURYLQJ QHJDWLYH DWWLWXGHV WRZDUGV VFKRRO f f7KH 7UHDVXUH RI +DSSLQHVV 6FKRRO VXFFHVV RQ 7UHDVXUH ,VODQGf 'HWHUPLQH VWXGHQWfV REVWDFOHV DQG SHUFHSWLRQV RI DFDGHPLF VXFFHVV 'LVFXVV VROXWLRQV IRU LPSURYLQJ DQG PDLQWDLQLQJ DFDGHPLF VXFFHVV

PAGE 112

DSSHQGL[ F ,167580(176

PAGE 113

6FKRRO $WWLWXGH ,QYHQWRU\

PAGE 114

+RZ IHHO ZKHQ WKH WHDFKHU FDOOV RQ PH

PAGE 116

+RZ IHHO ZKHQ P\ FODVVPDWHV JLYH VXJJHVWLRQV WR PH

PAGE 117

+RZ IHHO DERXW WHOOLQJ P\ LGHDV LQ FODVV GLVFXVVLRQV ?f§Qr n LVrU 4t6f Z B/BO 8OLD m--/ e (

PAGE 118

+RZ IHHO ZKHQ WHDFKHU FRUUHFWV PH

PAGE 119

7KUHH,WHP 6WUXFWXUHG ,QWHUYLHZ f 6LQFH WKH VFKRRO \HDU VWDUWHG ZKDW RU ZKR KDV KHOSHG \RX ZLWK \RXU VFKRROZRUN WKH PRVW" f 6LQFH WKH VFKRRO \HDU VWDUWHG KRZ KDSS\ DUH \RX DW VFKRRO" f 6LQFH WKH VFKRRO \HDU VWDUWHG KRZ KDYH \RX VHHQ \RXU JUDGHV DQG VFKRRO VXFFHVV FKDQJH"

PAGE 120

$33(1',; *5283 )$&,/,7$725 0$18$/

PAGE 121

6(66,21 21( *RLQJ RQ D 7UHDVXUH +XQW 2EMHFWLYHV 7R DOORZ VWXGHQWV WR H[SUHVV WKHLU IHHOLQJV DERXW EHLQJ /(3 7R SURYLGH VWXGHQWV ZLWK DQ RSSRUWXQLW\ WR GLVFXVV WKHLU H[SHULHQFHV LQ WKH (62/(6/ VHWWLQJ DQG WHDFKHU 7R GLVFXVV UHDVRQ IRU EHLQJ LQYLWHG WR SDUWLFLSDWH LQ WKH VPDOO JURXS FRXQVHOLQJ LQWHUYHQWLRQ DV ZHOO DV RUJDQL]DWLRQDO VWUXFWXUH RI WKH JURXS 0DWHULDOV 'U\HUDVH ERDUG LQFOXGLQJ PDUNHUVf FKDON ERDUG LQFOXGLQJ FKDONf RU FKDUW SDSHU LQFOXGLQJ PDUNHUVf 7UHDVXUH KXQW FKHFNOLVW DQG PDS LQFOXGHG LQ SDFNHWf 2SHQLQJ 6WDWHPHQW 6D\ f+HOOR ER\V DQG JLUOV :HOFRPH WR WKH 7UHDVXUH +XQW &OXE :H ZLOO PHHW DV D JURXS RQH GD\ D ZHHN IRU WKH QH[W VL[ ZHHNV 7KH UHDVRQ \RX KDYH EHHQ VHOHFWHG LV EHFDXVH HDFK RI \RX NQRZV VRPHWKLQJ DERXW EHLQJ LQ DQ (62/(6/ SURJUDP DQG EHFDXVH \RX DQG \RXU SDUHQWV NQRZ KRZ WR VSHDN 6SDQLVK $FWLYLWLHV 6WXGHQWV DUH WR VLW LQ D FLUFOH ZKHUH WKH\ FDQ HDVLO\ YLHZ WKH FKDONGU\ HUDVH ERDUG 7KH\ VKRXOG VLW LQ FKDLUV VR DV WR IDFLOLWDWH VWUXFWXUH LQ WKH JURXS 7KLV fJR DURXQGf DFWLYLW\ ZLOO LQFOXGH WKH IROORZLQJ TXHVWLRQV 6D\ f)LUVW RI DOO EHIRUH ZH FDQ VWDUW WDONLQJ DERXW WKH 7UHDVXUH +XQW &OXE OHWV JHW WR NQRZ D OLWWOH ELW DERXW WKH PHPEHUV LQ WKH JURXS :H DUH QRZ JRLQJ WR WDNH WXUQV VD\LQJ RXU QDPHV RXU WHDFKHUfV QDPH DQG VKDUH ZLWK WKH JURXS VRPHWKLQJ ZH OLNH WR GR IRU IXQ /HWfV VWDUW ZLWK \RX DFNQRZOHGJH WKH FKLOG WR \RXU ULJKWf DQG JR DOO WKH ZD\ DURXQG XQWLO HYHU\RQH KDV KDG D FKDQFH WR VKDUH 1RZ WKH FRXQVHORU ZLOO OHDG D VKRUW GLVFXVVLRQ RQ ZKDW LW PHDQV WR EH LQ DQ (62/(6/ SURJUDP DQG KRZ WKH FKLOGUHQ IHHO DERXW QRW EHLQJ SURILFLHQW LQ (QJOLVK 6D\ f7KDQN \RX WR HYHU\RQH IRU VKDULQJ 1RZ OHWfV WDON D OLWWOH ELW DERXW WKH (62/(6/ VHWWLQJ DQG WHDFKHU (DFK RI \RX KDV D YHU\ VSHFLDO WKLQJ LQ FRPPRQ DQG WKDW LV WKDW \RX DUH DOO LQ D FODVV ZKHUH PRVW RI WKH NLGV VSHDN D GLIIHUHQW ODQJXDJH ZKLOH DW WKH VDPH WLPH OHDUQLQJ (QJOLVK 2U VRPH RI \RX PD\ KDYH D YLVLW IURP D VSHFLDO WHDFKHU GXULQJ WKH ZHHN $QRWKHU WKLQJ WKDW DOO RI \RX LQ WKH 7UHDVXUH +XQW &OXE KDYH LQ FRPPRQ LV WKDW WKH VSHFLDO ODQJXDJH \RX DOO VSHDN LV 6SDQLVK /HW XV QRZ JR DKHDG DQG VKDUH ZKDW LWfV OLNH WR EH LQ D FODVVURRP ZKHUH HYHU\RQH LV OHDUQLQJ WR VSHDN (QJOLVK RU ZKDW LWfV OLNH WR JHW WKRVH VSHFLDO YLVLWV IURP WHDFKHUV ZKR KHOS \RX OHDUQ (QJOLVK $OORZ WLPH IRU HDFK SDUWLFLSDQW WR JLYH D UHVSRQVHf

PAGE 122

1RZ VD\ f(YHU\RQHfV UHVSRQVH ZDV YHU\ KHOSIXO LQ JLYLQJ PH DQ LGHD RI ZKDW \RXU FODVVURRP LV OLNH 1RZ ,fG OLNH WR JLYH \RX VRPH LQIRUPDWLRQ \RX PD\ QRW NQRZ DERXW WKH (62/(6/ VHWWLQJ DQG WHDFKHU DOO RYHU WKH 8QLWHG 6WDWHV (62/(6/ VHWWLQJ DQG WHDFKHUV DUH KHUH WR KHOS \RX OHDUQ (QJOLVK 7KH OHWWHUV LQ (62/(6/ PHDQ f(QJOLVK IRU VSHDNHUV RI RWKHU ODQJXDJHV DQG (QJOLVK DV D VHFRQG ODQJXDJHf ,I \RX ORRN RQ WKLV ERDUG \RX ZLOO VHH WKDW HYHU\ OHWWHU LQ WKH ZRUG f(62/(6/f LV UHDOO\ WKH ILUVW OHWWHU LQ WKHVH IRXU ZRUGV WKH FRXQVHORU SRLQWV WR WKH OHWWHUV WKDW FRUUHVSRQG ZLWK WKH ZRUGV DV VKHKH ZULWHV WKHPf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f FXVWRPV PD\ EH GLIIHUHQW IURP ZKDW WKH\ ZLWQHVV DW VFKRROf 6D\ f1RZ WKDW ZH KDYH WDONHG DERXW VRPH RI WKH GLIIHUHQFHV LQ FXOWXUHV OHWfV VKDUH ZKDW DUH VRPH RI \RXU IDYRULWH WKLQJV DERXW \RXU ODQJXDJH DQG FXOWXUH" $W WKLV WLPH WKH FRXQVHORU VKRXOG EHJLQ ZULWLQJ WKHVH LWHPV RQ WKH ERDUG XQGHU WKH KHDGLQJ f7KLQJV OLNH DERXW P\ &XOWXUH DQG /DQJXDJHff 1H[W VD\ f$V ZRQGHUIXO DQG VSHFLDO DV LW PD\ EH WR DEOH WR VSHDN 6SDQLVK WKHUH DUH VRPH FKLOGUHQ DQG DGXOWV ZKR KDYH D KDUG WLPH OHDUQLQJ KRZ WR VSHDN (QJOLVK DQG DOVR JHWWLQJ XVHG WR WKH FXOWXUH SUDFWLFHG E\ SHRSOH ZKR VSHDN (QJOLVK LQ WKH 8QLWHG 6WDWHV 6RPH JLUOV DQG ER\V ZKR DUH LQ (62/(6/ VHWWLQJV DQG KDYH (62/(6/ WHDFKHUV WKDW UHDG DERXW KDYH D KDUG WLPH DW VFKRRO 7KHVH ER\V DQG JLUOV VD\ WKDW KHDULQJ DQG VSHDNLQJ GLIIHUHQW ODQJXDJHV DW KRPH DQG DW VFKRRO FDQ EH FRQIXVLQJ 6RPH RI WKHP JHW VDG RU PDG RU KXUW RU DQJU\ RU XSVHW EHFDXVH RI DOO WKH GLIIHUHQFHV /HWfV WKLQN DERXW LW IRU D PRPHQW :KDW NLQG RI IHHOLQJV GR \RX IHHO EHFDXVH WKH ODQJXDJH \RX VSHDN LV GLIIHUHQW WKDQ PRVW RI WKH ER\V DQG JLUOV DQG WHDFKHUV DW WKLV VFKRRO
PAGE 123

@ WKRVH fQLFHf DQG fQRWVRQLFHf IHHOLQJV +RZ GR WKHVH WKLQJV WKDW KDSSHQ LQ WKH (62/(6/ VHWWLQJV DQG ZLWK WKH (62/(6/ WHDFKHU DW VFKRRO DQG DW KRPH PDNH \RX IHHO DERXW \RXUVHOI"f $OORZ FKLOGUHQ WR VKDUH IHHOLQJV RI VHOIFRQFHSW DQG VHOIHVWHHP %H VXUH WR VXPPDUL]H ZLWK IHHOLQJV ZKHQ DSSURSULDWH 7KHUH LV QR QHHG WR ZULWH WKHVH WKLQJV RQ WKH ERDUGf 1H[W VD\ f7KH ODVW WKLQJ ZDQW WR DVN \RX LV DIWHU WDONLQJ DERXW VRPH RI WKHVH IHHOLQJV DERXW WKH (62/(6/ VHWWLQJ (62/(6/ WHDFKHUV DQG WKH ZKROH VFKRRO KRZ GR \RX IHHO DERXW FRPLQJ WR VFKRRO DQG GRLQJ \RXU FODVV ZRUN DQG KRPHZRUN" -XVW DV EHIRUH WKHUH LV QR QHHG WR ZULWH WKHVH WKLQJV RQ WKH ERDUGf 7UHDVXUH &KHFNOLVW DQG 0DS $FWLYLW\ *LYH HDFK VWXGHQW D IROGHU FRQWDLQLQJ D WUHDVXUH FKHFNOLVW DQG PDS 'R QRW OHW WKHP RSHQ WKH IROGHU \HW 6D\ f6R QRZ WKDW ZH KDYH WDONHG DERXW WKH (62/(6/ VHWWLQJ DQG WHDFKHUV QDWLYH ODQJXDJHV VSHDNLQJ 6SDQLVK RXU KRPHV DQG FXOWXUHV \RX PD\ EH DVNLQJ \RXUVHOI f:K\ LV WKLV JURXS FDOOHG WKH 7UHDVXUH +XQW &OXE"f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fV UHDOO\ EHLQJ KDSS\ DERXW ZKR ZH DUH DQG WKH VFKRRO ZH DUH LQ :KDW GR \RX WKLQN DERXW WKDW" 3URYLGH D OLWWOH ELW RI WLPH IRU D UHVSRQVH RI WZRf 1RZ KDYH WKHP RSHQ WKH IROGHU DQG VD\ f*R DKHDG DQG RSHQ \RXU IROGHUV ,QVLGH RQH SRFNHW \RX ZLOO VHH WKH 7UHDVXUH 0DS RI DQ LVODQG ZKHUH WKH WUHDVXUH LV EXULHG ,Q WKH RWKHU SRFNHW \RX ZLOO ILQG D 7UHDVXUH +XQW &KHFNOLVW :H ZLOO VSHQG WKH QH[W IHZ PHHWLQJV FKHFNLQJ RII WKH WKLQJV RQ RXU 7UHDVXUH +XQW &KHFNOLVW 2QFH ZH KDYH ILQLVKHG FKHFNLQJ RII HYHU\WKLQJ WKHQ ZH ZLOO WU\ WR ILQG WKH WUHDVXUH XVLQJ RXU 7UHDVXUH 0DS GXULQJ WKH ODVW IHZ PHHWLQJV :H ZLOO VWDUW FKHFNLQJ WKLQJV RII WKH 7UHDVXUH +XQW &KHFNOLVW DW RXU QH[W PHHWLQJ 'RHV DQ\RQH KDYH D TXHVWLRQ WKHQ RQ WKH 7UHDVXUH +XQW &OXE" $IWHU WKH FKLOGUHQ KDYH EHHQ JLYHQ D FKDQFH WR DVN TXHVWLRQV FRQFOXGH WKH VHVVLRQ ZLWK WKH IROORZLQJ VXPPDU\f

PAGE 124

6XPPDU\&ORVLQJ 6WDWHPHQW DQG +RPH $FWLYLW\ )LUVW 6D\ f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f%HIRUH OHW \RX JR EDFN WR FODVV ZRXOG OLNH WR VD\ RQH ODVW WKLQJ 6LQFH ZH DUH JRLQJ WR EH WDONLQJ DERXW D 7UHDVXUH +XQW IRU WKH QH[W )LYH ZHHNV ZRXOG OLNH LI \RX FRXOG ILQG VRPHWKLQJ LQ \RXU KRXVH DERXW \RXU FXOWXUH WKDW \RX WKLQN LV D WUHDVXUH *HW VRPH KHOS E\ WDONLQJ WR \RX SDUHQWV RU JXDUGLDQV DERXW VRPHWKLQJ WKH\ KDYH IURP WKH FRXQWU\ WKH\ ZHUH ERUQ LQ VRPHWKLQJ WKDW PDNHV WKHP IHHO JRRG DERXW WKHPVHOYHV 7KHQ VKDUH ZKDW WKDW LV ZLWK WKH JURXS QH[W WLPH
PAGE 125

6(66,21 7:2 3DFNLQJ 2XU %DJV IRU WKH 7UHDVXUH +XQW 2EMHFWLYHV 7R DVVLVW FKLOGUHQ ZLWK WKH H[SUHVVLRQ RI WKHLU IHHOLQJV PRUH HIIHFWLYHO\ DQG IDPLOLDUL]H WKHP ZLWK D YDULHW\ RI GLIIHUHQW IHHOLQJV 7R GHILQH WKH ZRUG fVROXWLRQf DQG HPSKDVL]H WKH LPSRUWDQFH RI GHYHORSLQJ DQG LPSOHPHQWLQJ VHOIGHYHORSHG VROXWLRQV 0DWHULDOV %ODQN VKHHWV RI SODLQ QRQUXOHG SDSHU 0DUNHUV RU FUD\RQV RU FRORUHG SHQFLOV 7UHDVXUH KXQW FKHFNOLVW DQG PDS f+DSS\IDFHf DQG fXQKDSS\IDFHf FXWRXWV 2SHQLQJ 6WDWHPHQW 6D\ f:HOFRPH EDFN WR WKH 7UHDVXUH +XQW &OXE KRSH \RX DUH DOO KDYLQJ D JRRG GD\ WRGD\ 5HPHPEHU KRZ ZH WDONHG DERXW WKH (62/(6/ VHWWLQJV DQG WHDFKHUV ODVW WLPH DQG KRZ ZH DOVR WDONHG DERXW IHHOLQJV DERXW VFKRRO DQG RXUVHOYHV" :HOO WRGD\ ,fG OLNH WR WDON D OLWWOH ELW PRUH DERXW IHHOLQJV HVSHFLDOO\ WKRVH WRXJK IHHOLQJV OLNH VDGQHVV RU EHLQJ XSVHW :H DUH DOVR JRLQJ WR WDON DERXW RQH RI P\ IDYRULWH ZRUGV fVROXWLRQVf $ VROXWLRQ LV OLNH ZKHQ ZH JHW DQ DQVZHU WR D TXHVWLRQ ZH KDYHZH VROYH LW RU IL[ LW %\ WKH ZD\ GRHV DQ\RQH NQRZ ZKDW LV WKH 6SDQLVK ZRUG IRU VROXWLRQ" 7KDWfV ULJKW LW LV fVROXFLRQHV >VROX&((RQLV@f :H ZLOO WDON PRUH DERXW fVROXFLRQHV >VROX &((RQLV@ LQ D IHZ PLQXWHV $QG DW WKH HQG RI WRGD\fV PHHWLQJ ZH ZLOO WDON DERXW RXU KRPH WUHDVXUHV WRR $FWLYLWLHV 6WDUW E\ VD\LQJ f)HHOLQJV DUH WKLQJV ZH KDYH HYHU\GD\ LQ DOO NLQGV RI SODFHV DW GLIIHUHQW WLPHV DQG DERXW GLIIHUHQW SHRSOH $V ZH NQRZ VRPH IHHOLQJV FDQ EH RI WKH KDSS\ NLQG VKRZ WKH KDSS\IDFH FXWRXWf DQG VRPH FDQ EH RI WKH XQKDSS\ NLQG VKRZ WKH XQKDSS\IDFH FXWRXWf %HIRUH ZH FDQ UHDFK WKDW 7UHDVXUH RI +DSSLQHVV RQ WKH 7UHDVXUH PDS ZH QHHG WR WDON DERXW ZKDW NLQG RI IHHOLQJV ZH KDYH 6R OHWfV VWDUW E\ JRLQJ DURXQG WKH FLUFOH DQG VKDULQJ VRPH IHHOLQJV WKDW ZH KDYH RU KDYH KDG LQ WKH SDVW ,fOO JR ILUVW DQG WKHQ \RX SRLQW WR WKH FKLOG RQ \RXU ULJKW DQG VD\ KLV RU KHU QDPHf FDQ JR DIWHU PH ,I \RX NQRZ PRUH WKDQ RQH IHHOLQJ \RX FDQ VKDUH LW WRR $OORZ IRU WKH FKLOGUHQ WR VKDUH DW OHDVW RQH IHHOLQJ ZRUG (QFRXUDJH WKHP WR VD\ WZR
PAGE 126

RU WZR H[WUD VKHHWV RI SDSHU SHU VWXGHQW LQ FDVH WKH\ ZDQW WR VWDUW RYHU ZLWK DFWLYLW\ 6D\ f/HWfV WDNH VRPH WLPH QRZ WR GUDZ D SLFWXUH DERXW \RX
PAGE 127

7KLV LV WKH PRVW LPSRUWDQW SDUW RI WKLV VHVVLRQ 6LQFH WKLV JURXS LV DERXW ILQGLQJ VROXWLRQV PDNH VXUH WKDW HDFK FKLOG KDV D FKDQFH WR FRPH XS ZLWK WKHP 8VH WKH SDLQWLQJV DV SRVVLEOH fSUREOHPVf DQG KHOS WKH FKLOGUHQ GHYHORS DQG LPSOHPHQW VROXWLRQV LQ WKHVH VFHQDULRV 8VH WKH UHVW RI WKH WLPH LQ WKH JURXS WR SUDFWLFH FRPLQJ XS ZLWK VROXWLRQV WR XQKDSS\ VLWXDWLRQV WKDW FDXVH XQKDSS\ IHHOLQJV 1RZ VD\ f, DP VR SURXG RI DOO RI \RX IRU FRPLQJ XS ZLWK JUHDW VROXWLRQV WR VRPH RI WKRVH KDUG SUREOHPV ,W UHDOO\ LV LPSRUWDQW WR FRPH XS ZLWK \RXU RZQ VROXWLRQV DQG WKHQ XVH WKHP WR VROYH \RXU SUREOHP
PAGE 128

6(66,21 7+5(( *HWWLQJ 2XUVHOYHV 5HDG\ IRU WKH 7UHDVXUH +XQW 7ULS 2EMHFWLYHV 7R LQFUHDVH FKLOGUHQfV DZDUHQHVV RI WKHLU VHOIFRQFHSW 7R H[SORUH ZKDW NLQGV RI H[SHULHQFHV FDQ ZHDNHQ D VHOIFRQFHSW 7R ILQG VROXWLRQV RQ KRZ WR VWUHQJWKHQ D VHOIFRQFHSW 0DWHULDOV &KDONERDUG GU\ HUDVH ERDUG RU FKDUW SDSHU DQG DSSURSULDWH ZULWLQJ XWHQVLO f&RDW RI $UPVf FDUGERDUG FXWRXW LQFOXGHG LQ SDFNHWf $GHTXDWH QXPEHU RI PDUNHUV FUD\RQV RU FRORUHG SHQFLOV /DPLQDWLQJ PDFKLQH LQ PHGLD FHQWHU WKLV SDUW WR EH GRQH DIWHU WKH VHVVLRQ HQGVf 2SHQLQJ 6WDWHPHQW f:HOFRPH EDFN :H KDYH VRPH UHDOO\ QHDW DFWLYLWLHV WRGD\ VR OHWfV JHW VWDUWHG ULJKW DZD\ $V \RX NQRZ ZH WDONHG DERXW IHHOLQJV DQG VROXWLRQV ODVW WLPH 5HPHPEHU KRZ ZH FKHFNHG RII f)HHOLQJ ([SHUWf DQG f1RZ NQRZ KRZ WR PDNH VROXWLRQVf RQ RXU 7UHDVXUH +XQW &KHFNOLVW" :HOO WRGD\ ZH DUH JRLQJ WR XVH IHHOLQJV WR WDON DERXW KRZ ZH IHHO DERXW RXUVHOYHV 7KHQ ZH ZLOO ILQG VROXWLRQV IRU IL[LQJ WLPHV ZKHQ ZH GRQfW IHHO VR JRRG DERXW RXUVHOYHV 2I FRXUVH DOO RI WKLV LV GRQH WR SUHSDUH XV IRU RXW 7UHDVXUH +XQWRXU 7UHDVXUH +XQW IRU +DSSLQHVV $FWLYLWLHV 7KH ILUVW WKLQJ WKH FRXQVHORU ZDQWV WR GR WRGD\ LV HQJDJH WKH JURXS LQ D GLVFXVVLRQ RI VHOIFRQFHSW 7KH JURXS VKRXOG VWDUW E\ WDONLQJ DERXW WKLQJV LQGLYLGXDOV OLNH DERXW HDFK RWKHU 1H[W WKH VFKRRO FRXQVHORU ZLOO GHILQH WKH ZRUG fVHOIFRQFHSWf 6D\ f/HWfV VWDUW WRGD\ E\ JRLQJ DURXQG WKH URRP DQG VKDULQJ ZKDW DUH VRPH RI RXU IDYRULWH WKLQJV DERXW XV ,Q RWKHU ZRUGV ZKDW GR \RX UHDOO\ OLNH D ORW DERXW \RXUVHOI" 5HVSRQVHV &ODULI\ ZKHQ DSSURSULDWH ,I QHHGHG JHQWO\ SUREH IRU UHVSRQVHVf 1H[W VD\ f, VHH ZH ZHUH DOO DEOH WR FRPH XS ZLWK PDQ\ WKLQJV WKDW PDNH XV IHHO JRRG DERXW ZKR ZH DUH 1RZ OHWfV WKLQN DERXW SODFHV WKDW PDNH XV IHHO JRRG DERXW RXUVHOYHV )RU H[DPSOH VRPH FKLOGUHQ DUH JRRG DW EDVHEDOO 7R WKHP EHLQJ RQ WKH EDVHEDOO ILHOG PDNHV WKHP IHHO JRRG DERXW WKHPVHOYHV :KDW SODFHV PDNH \RX IHHO JRRG DERXW EHLQJ \RX" 5HVSRQVHV FODULI\ SUREHf 1RZ VD\ f, FDQ WHOO E\ OLVWHQLQJ WR DOO RI \RXU UHVSRQVHV WKDW WKHUH DUH PDQ\ WLPHV DQG SODFHV WKDW KHOS \RX IHHO JRRG DERXW \RX DQG ZKR \RX DUH 1H[W WKH FRXQVHORU ZLOO H[SORUH WLPHV ZKHQ FKLOGUHQ GR QRW IHHO JRRG DERXW WKHPVHOYHV 7KH FRXQVHORU VKRXOG SD\ SDUWLFXODU DWWHQWLRQ WR LQFLGHQWV ZKHQ JURXS PHPEHUV IHHO QHJDWLYHO\ WRZDUGV WKHPVHOYHV GXH WR ODQJXDJHFXOWXUH GLIIHUHQFHV 6D\ f1RZ WKDW ZHfYH KDG D FKDQFH WR WDON DERXW JRRG IHHOLQJV DERXW RXUVHOYHV ,fG OLNH WR WDON DERXW WLPHV ZKHQ \RX '21f7 VWUHVV WKH ZRUG fGRQfWff IHHO VR JRRG DERXW ZKR \RX DUH ZRXOG OLNH LW LI ZH DOO VKDUHG

PAGE 129

VRPHWKLQJ ZH GRQfW OLNH DERXW RXUVHOYHV 6LQFH WKLV TXHVWLRQ LV KDUGHU WKDQ WKH ODVW RQH ZLOO VKDUH VRPHWKLQJ WKDW GRQfW OLNH DERXW P\VHOI WRR 6R ,fOO JR ILUVW DQG WKHQ WKH SHUVRQ WR P\ OHIW FDQ JR :KDW LV LW DERXW PH WKDW GRQfW OLNH VRPHWLPHV"f 6FKRRO FRXQVHORU VKDUHV ILUVW 7KHQ UHVSRQVHV FODULI\ SUREHf 1RZ VD\ f7KDQN \RX VR PXFK IRU EHLQJ EUDYH DQG KRQHVW NQRZ WKDW VKDULQJ WKLQJV ZH GRQfW OLNH DERXW RXUVHOYHV FDQ EH KDUG WR GR VRPHWLPHV /HWfV WKLQN DERXW WKRVH WLPHV ZKHQ \RX IHHO EDG WKHQ :KR FDQ WHOO PH ZKHUH DUH WKH SODFHV ZKHUH WKH\ IHHO EDG" 5HVSRQVHV FODULI\ SUREHf 1H[W VD\ f6R LW VRXQGV OLNH WKHVH DUH SODFHV DQG WLPHV WKDW PDNH XV IHHO EDG DERXW RXUVHOYHVf 7KH JRDO LQ WKLV VHFWLRQ LV WR KHOS FKLOGUHQ OLQN QHJDWLYH IHHOLQJV RI VHOIFRQFHSW WR FHUWDLQ SODFHV 7KLV SRLQW ZLOO EH FUXFLDO WR WKH f&RDW RI $UPVf DFWLYLW\ DW WKH FRQFOXVLRQ RI WKLV VHVVLRQ 1RZ VD\ f,Q WDONLQJ DERXW WKH WKLQJV WKDW PDNH XV IHHO JRRG DQG EDG DERXW RXUVHOYHV KDYH EHHQ WU\LQJ WR WHDFK \RX DERXW D ZRUG WKDW PD\ EH QHZ WR \RX 7KDW ZRUG LV f6HOI&RQFHSWf /HWfV UHSHDW LW ZKLOH ZULWH LW RQ WKH ERDUG :DLW IRU FKLOGUHQ WR UHSHDW WKH ZRUG D IHZ WLPHVf *UHDW 1RZ LI ZH ORRN DW WKH ZRUG f6HOI&RQFHSWf RQ WKLV ERDUG ZH FDQ VHH WKDW LW LV UHDOO\ WZR ZRUGV 7KH ILUVW ZRUG LV ZKDW" 5HVSRQVHV :ULWH WKH IROORZLQJ ZRUGV LQ TXRWHV XQGHU WKH FRUUHVSRQGLQJ ZRUG RQ WKH ERDUGf 7KDWfV ULJKW LW LV fVHOIf $QG DV \RX FDQ WHOO fVHOIf LV DQRWKHU ZRUG IRU fPHf RU f,f RU fP\f 6R WKH VHFRQG ZRUG LV fFRQFHSWf $Q HDVLHU ZRUG WKDW PHDQV WKH VDPH WKLQJ DV fFRQFHSWf LV fLGHDf RU fWKRXJKWf 6R LI ZH ORRN DW WKH ZRUGV XQGHU f6HOI&RQFHSWf RQ WKH ERDUG ZH FDQ VHH WKDW WKLV KDUG ZRUG UHDOO\ PHDQV f0\ WKRXJKW RI PHf RU f$Q LGHD DERXW PHf 8QGHUOLQH DQG FLUFOH f$Q LGHD DERXW PHf RQ WKH ERDUG VLQFH LW LV D VLPSOH GHILQLWLRQ RI VHOI FRQFHSWf $UH WKHUH DQ\ TXHVWLRQV DERXW WKH ZRUG f6HOI&RQFHSW"f 5HVSRQVHV &ODULI\f 2. WKHQ OHWfV PRYH RQf 7KH VFKRRO FRXQVHORU ZLOO QRZ KHOS WKH VWXGHQWV FRPH XS ZLWK VROXWLRQV WR QHJDWLYH VHOIFRQFHSWV XVLQJ WKH f&RDW RI $UPVf DFWLYLW\ 7KLV DFWLYLW\ ZLOO KHOS FKLOGUHQ YLVXDOL]H VROXWLRQV WR XVH LQ WLPHV DQG SODFHV ZKHUH WKH\ DUH QRW IHHOLQJ YHU\ SRVLWLYHV DERXW WKHPVHOYHV )LUVW VD\ f6R ZKDW FDQ ZH GR ZKHQ ZH DUH QRW IHHOLQJ VR JRRG DERXW RXUVHOYHV" 5HPHPEHU ZKHQ ZH WDONHG DERXW VRPH RI WKH WLPHV DQG SODFHV WKDW PDNH XV IHHO EDG DERXW RXUVHOYHV :HOO ZH DUH JRLQJ WR WU\ DQG ILQG D

PAGE 130

VROXWLRQ WR WKLV SUREOHP :H DUH JRLQJ WR VSHQG WKH UHVW RI RXU WLPH WRJHWKHU WRGD\ ILJXULQJ RXW WKLV SUREOHP f +DQG RXW WKH f&RDW RI $UPVff FDUGERDUG FXWRXW 6HW WKH FRORUHG ZULWLQJ XWHQVLOV LQ WKH FHQWHU RI WKH JURXS 7KH f&RDW RI $UPVff FDQ DOVR EH UHIHUUHG WR DV D fVKLHOGf ,W LV GLYLGHG LQWR WKUHH QXPEHUHG VHFWLRQV 5HDG DORXG WKH IROORZLQJ GHVFULSWLRQ ZKLOH \RX VKRZ WKH JURXS DQ H[DPSOH RI KLVWRULFDO FRDW RI DUPV SURYLGHG LQ WKH *URXS /HDGHUfV PDQXDO 6D\ WKH IROORZLQJ ZKLOH VKRZLQJ WKH FKLOGUHQ WKH VDPSOH FRDW RI DUPV f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f 1RZ VD\ f7KH &RDW RI $UPV RU VKLHOG ZH DUH DERXW WR PDNH LV JRLQJ WR EH D ZD\ IRU XV WR SURWHFW RXUVHOYHV IURP JHWWLQJ RXU IHHOLQJV KXUW ,W ZLOO DOVR EH XVHG WR WHOO WKRVH ZKR ORRN DW LW WKLQJV WKDW ZH DUH SURXG RI DQG OLNH DERXW RXUVHOYHV (YHQ WKRXJK RXU VKLHOGV DUH QRW YHU\ VWURQJ VLQFH WKH\f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f$V \RX FDQ VHH HYHU\RQH KDV D EODQN VKLHOG LQ IURQW RI WKHP (DFK VKLHOG KDV WKUHH GLIIHUHQW SDUWV WR LW ,Q WKH SDUW QXPEHUHG ff ZULWH GUDZ RU FRORU f0\ IDYRULWH WKLQJ DERXW PHf 6RPHZKHUH RQ WKH ERDUG ZULWH WKH QXPEHUV DQG ZLWK WKH FRUUHVSRQGLQJ LQVWUXFWLRQ ZULWWHQ QH[W WR WKH QXPEHUf ,Q WKH SDUW ZLWK D QXPEHU ff ZULWH GUDZ RU FRORU f7KH VFKRRO DFWLYLW\ DP EHVW DWf 6WUHVV DQ DFDGHPLF VXEMHFWf )LQDOO\ LQ WKH SDUW ZLWK D ff ZULWH GUDZ RU FRORU f0\ IDYRULWH WKLQJ DERXW P\ FXOWXUH DQG ODQJXDJHf 7KDWfV ULJKW WKLQN DERXW WKH FRROHVW PRVW DZHVRPH WKLQJ DERXW EHLQJ DEOH WR VSHDN D GLIIHUHQW ODQJXDJH EHVLGHV (QJOLVK DQG DERXW KDYLQJ D VSHFLDO FXOWXUH *R DKHDG DQG FRORU WKDW LQ WKH SDUW ZLWK

PAGE 131

D ff 2. EHIRUH ZH VWDUW DUH WKHUH DQ\ TXHVWLRQV" $OORZ IRU TXHVWLRQVf 7KHQ OHWfV EHJLQf %H VXUH WR DOORZ SOHQW\ RI WLPH WR IRU DOO FKLOGUHQ WR ZULWH GUDZ RU FRORU VRPHWKLQJ LQ HDFK VHFWLRQ RI WKH VKLHOG 2QFH WKDW KDV RFFXUUHG KDYH HDFK FKLOG VKDUH WKH FRQWHQWV RI WKHLU VKLHOG 2QFH WKDW KDV KDSSHQHG FRQFOXGH WKH DFWLYLW\ ZLWK WKH IROORZLQJ VWDWHPHQW 6D\ f/HWfV JR DKHDG DQG VKDUH ZKDW RXU VKLHOGV ORRN OLNH DQG VD\ DERXW XVf 5HVSRQVHV &ODULI\ 3UREHf 1RZ VD\ f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
PAGE 132

)LQDOO\ VD\ f)RU WKH KRPH DFWLYLW\ WKLV ZHHN ,fG OLNH IRU \RX WR DVN \RXU SDUHQWV ZKDW LV WKHLU IDYRULWH WKLQJ DERXW EHLQJ IURP DQRWKHU FRXQWU\
PAGE 133

6(66,21 )285 *HWWLQJ WR .QRZ 7UHDVXUH ,VODQG )HHOLQJ &RPIRUWDEOH RQ WKH ,VODQG 2EMHFWLYHV 7R EHFRPH IDPLOLDU ZLWK WKH VFKRRO HQYLURQPHQW 7R JDLQ D EHWWHU XQGHUVWDQGLQJ RI WKH (62/(6/ HQYLURQPHQW DQG WHDFKHUV 0DWHULDOV 0DS RI 7UHDVXUH ,VODQG LQFOXGHGf 1RWH FDUGV GHWDLOLQJ WKH f,QKDELWDQWVf DQG f3ODFHV RI ,QWHUHVWf ZLWKLQ WKH VFKRRO LQFOXGHGf %RDUG DQGRU FKDUW SDSHU ZLWK DSSURSULDWH ZULWLQJ XWHQVLO 2SHQLQJ 6WDWHPHQW f+HOOR $V \RX NQRZ WKLV JURXS LV VXSSRVHG WR PHHW WLPHV 7RGD\ LV WKH IRXUWK WLPH ZH DUH PHHWLQJ %\ QRZ ZH KDYH FRPSOHWHG RI WKH JURXS PHHWLQJV 6R RQO\ PRUH WR JR LQFOXGLQJ WRGD\fV PHHWLQJ ,fP YHU\ H[FLWHG DERXW WRGD\fV PHHWLQJ VLQFH LW LV WKH ILUVW WLPH WKDW ZH ORRN DW WKH 7UHDVXUH ,VODQG 0DS DV WKH 7UHDVXUH +XQW &OXE JHWV UHDG\ WR YLVLW WKH LVODQG DQG ILQG WKDW 7UHDVXUH RI +DSSLQHVV 6R OHWfV JHW RXW WKRVH IROGHUV UHYLHZ WKH &KHFNOLVW DQG JHW UHDG\ WR OHDUQ D OLWWOH ELW PRUH DERXW 7UHDVXUH ,VODQGf $FWLYLWLHV 1RZ WKDW WKH JURXS KDV FKHFNHG RII PRVW RI WKH LWHPV RQ WKH FKHFNOLVW WKH ODVW LWHP WR PDUN RII LV fEHFRPLQJ IDPLOLDU ZLWK WKH VFKRRO HQYLURQPHQWf ,W LV YHU\ LPSRUWDQW WKDW WKH FKLOGUHQ XQGHUVWDQG WKDW WKH LVODQG LV UHDOO\ WKHLU VFKRRO DQG WKH LQKDELWDQWV DUH UHDOO\ WHDFKHUV VWDII DQG RWKHU VWXGHQWV 6D\ f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f/HWfV SOD\ D JDPH WR VHH KRZ PXFK HDFK SHUVRQ KHUH NQRZV DERXW WKH VFKRRO ,Q IURQW RI PH KDYH D EXQFK RI FDUGV ZLWK QDPHV RQ WKHP 2QH E\ RQH DP JRLQJ WR VKRZ \RX D FDUG ZLWK D ZRUG RQ LW ZRXOG OLNH LW YHU\ PXFK LI \RX WRRN WXUQV WHOOLQJ PH VRPHWKLQJ DERXW WKH ZRUG RQ WKH FDUG DIWHU UHDG LW RXW ORXG 7KH ZRUGV ZLOO VD\ DQG VKRZ \RX DUH SHRSOH DQG SODFHV

PAGE 134

? RQ 7UHDVXUH ,VODQG LQ RWKHU ZRUGV SHRSOH DQG SODFHV DW VFKRRO 7HOO PH ZKDW \RX NQRZ DERXW WKHVH SHRSOH DQG ZKDW \RX NQRZ DERXW WKDW SDUW RI VFKRRO 7KH PRUH ZRUGV \RX NQRZ WKH EHWWHU SUHSDUHG \RX ZLOO EH IRU RXU 7UHDVXUH +XQW RQ 7UHDVXUH ,VODQG 3URFHHG ZLWK WKH JDPH E\ VKRZLQJ WKH JURXS WKH FDUGV RQH E\ RQH 1RWLFH WKH QXPEHUV RQ WKH EDFNVLGH RI HDFK FXH FDUG 6KRZ WKH FDUGV LQ WKH IROORZLQJ RUGHUV IURP RQH WR WHQ 7KH FRXQVHORU VKRXOG DGG H[WUD LQIRUPDWLRQ LI VKH RU KH EHOLHYHV WKH JURXS ZRXOG EHQHILW IURP PRUH LQIRUPDWLRQ RQ D SDUWLFXODU SHUVRQ RU VFKRRO FRPSRQHQW 1RZ VD\ f
PAGE 135

)RU WKH ODVW SDUW RI WKLV DFWLYLW\ FRQQHFW ODVW VHVVLRQfV WRSLF RQ VHOIFRQFHSW ZLWK WKH VFKRRO HQYLURQPHQW WRSLF +HOS FKLOGUHQ UHDOL]H WKDW MXVW DV WKH\ ZHUH DEOH WR IHHO EHWWHU DERXW WKHPVHOYHV E\ OHDUQLQJ PRUH DERXW WKHPVHOYHV ZLWK WKH &RDW RI $UPV H[HUFLVH WKH VDPH FDQ KDSSHQ ZKHQ WKH\ EHFRPH PRUH DZDUH RI WKHLU SHUFHSWLRQV WRZDUGV WKH VFKRRO HQYLURQPHQW 1RZ VD\ f
PAGE 136

2EMHFWLYHV 7R UHYLHZ DQG UHYLVLW WKH JURXSnV DWWLWXGH WRZDUGV VFKRRO DQG OHDUQLQJ 7R LPSURYH WKH JURXSfV DWWLWXGH WRZDUGV VFKRRO DQG OHDUQLQJ 7R GHYHORS ORQJODVWLQJ VROXWLRQV WR LPSURYLQJ QHJDWLYH DWWLWXGH WRZDUGV VFKRRO 0DWHULDOV 7UHDVXUH 0DS RI 7UHDVXUH ,VODQG LQFOXGHGf 0DNHEHOLHYH VFHQDULR FDUGV WR EH UHDG RXWORXG WR VWXGHQWV &UD\RQV PDUNHUV DQGRU FRORUHG SHQFLOV $ QRWH SDG VR WKDW WKH FRXQVHORU FDQ ZULWH GRZQ VWXGHQWfV UHVSRQVHV 2SHQLQJ 6WDWHPHQW 6D\ f:HOFRPH EDFN KRSH HYHU\RQH LV KDYLQJ D JRRG GD\ WRGD\ /DVW ZHHN ZH VWDUWHG WDONLQJ DERXW RXU WULS WR 7UHDVXUH ,VODQG ZKLFK ZH QRZ NQRZ LV RXU VFKRRO 7RGD\ ZH ZLOO WDON DERXW ILQGLQJ DQG KROGLQJ RQ WR D JRRG IHHOLQJ DERXW VFKRRO $V D VFKRRO FRXQVHORU PHHW D ORW RI JLUOV DQG ER\V ZKR IHHO EDG DERXW VFKRRO RU PD\EH GRQfW OLNH WR OHDUQ ZRXOG OLNH WR ILQG RXW D OLWWOH PRUH DERXW KRZ \RX IHHO DERXW VFKRRO 7RZDUGV WKH HQG RI RXU WLPH WRGD\ ZRXOG OLNH \RX WR KHOS PH ILQG VROXWLRQV WR IHHOLQJ EDG DERXW VFKRRO DQG OHDUQLQJ 7RJHWKHU ZH ZLOO ILQG WKH EHVW ZD\ WR ILQG WKDW 7UHDVXUH RI +DSSLQHVV RQ 7UHDVXUH ,VODQG $FWLYLW\ 7KH SXUSRVH RI WKLV DFWLYLW\ LV WR KHOS FKLOGUHQ DVVRFLDWH DWWLWXGHV ZLWK EHKDYLRU 7KH HQG UHVXOW ZLOO EH WR GHYHORS ZD\V WR FKDQJH QHJDWLYH DWWLWXGHV WR SRVLWLYH RQHV WKHUHE\ FKDQJLQJ EHKDYLRU 6D\ f5HPHPEHU KRZ WDXJKW \RX ZKDW VHOIFRQFHSW PHDQV D IHZ GD\V DJR :HOO ZH DUH JRLQJ WR OHDUQ D QHZ ZRUG WRGD\ 7KDW ZRUG LV fDWWLWXGHf $Q DWWLWXGH LV WKH ZD\ ZH IHHO DERXW VRPHWKLQJ $WWLWXGHV FDQ DOVR DIIHFW WKH ZD\ ZH EHKDYH )RU H[DPSOH ZKR KHUH OLNHV WR JR WR WKH WR\ VWRUH" 5HVSRQVHV &ODULI\ 3UREHf 1RZ VD\ f6R LI ZH OLNH JRLQJ WR WKH WR\ VWRUH KRZ GR ZH DFW ZKHQ ZH JHW WR WKH WR\ VWRUH" 5HVSRQVHV &ODULI\ 3UREHf 1H[W VD\ f1RZ KRZ DERXW JRLQJ WR WKH GRFWRU +RZ GR \RX IHHO DERXW JRLQJ WR VHH WKH GRFWRU" 5HVSRQVHV &ODULI\ 3UREHf )LQDOO\ VD\ f6R LI PRVW RI \RX IHHO KDYH D VDG DWWLWXGH DERXW JRLQJ WR VHH WKH GRFWRU KRZ GRHV WKDW PDNH \RX DFW" 5HVSRQVHV &ODULI\ 3UREHf $UH WKHUH DQ\ RWKHU TXHVWLRQV DERXW DWWLWXGHV DQG KRZ WKH\ PDNH XV DFW"f

PAGE 137

%\ QRZ HDFK FKLOG VKRXOG EH DEOH WR VHH WKH FRQQHFWLRQ EHWZHHQ DWWLWXGH DQG EHKDYLRU 1RZ LW LV WLPH WR PDNH D OLQN EHWZHHQ DWWLWXGHV DQG EHKDYLRU DQG VFKRRO WKH (62/(6/ VHWWLQJ DQG WKH 7UHDVXUH +XQW &OXE 6D\ f2. VR QRZ \RX DOO NQRZ DERXW DWWLWXGHV DQG DFWLRQV /HWfV VHH KRZ DWWLWXGHV PDNH XV IHHO DQG DFW KHUH DW VFKRRO DP JRLQJ WR QHHG \RXU KHOS IRU WKLV QH[W SDUW 2Q WKHVH FDUGV KDYH VKRUW VWRULHV DERXW VWXGHQWV DQG WKHLU DWWLWXGHV DERXW WKLQJV KDSSHQLQJ DW VFKRRO DP JRLQJ WR UHDG RXW ORXG ZKDW WKH VKRUW VWRULHV DUH ZLOO WKHQ DVN WKH JURXS ZKDW WKH\ WKLQN WKH SHUVRQfV DWWLWXGHV DUH LQ WKH VWRU\ DQG KRZ WKH\ DUH DFWLQJ KDYH HQRXJK VWRULHV VR WKDW HDFK RI \RX FDQ KHOS PH /HWfV VWDUW ZLWK WKLV RQH 5HDG HDFK VFHQDULR DQG SLFN RQH VWXGHQW WR WDON DERXW WKH IHHOLQJ DQG DFWLRQV RI WKH FKDUDFWHU LQ WKH VWRU\ 0DNH VXUH WR HOLFLW DV PDQ\ UHVSRQVHV DV SRVVLEOH EXW RQO\ DIWHU WKH FKLOG ZKR ZDV VHOHFWHG WR ZRUN ZLWK D SDUWLFXODU VWRU\ KDV EHHQ SURYLGHG ZLWK WLPH WR DQVZHU ILUVW 7KH RUGHU LQ ZKLFK WKH VFHQDULRV DUH VKDUHG ZLWK WKH JURXS LV QRW LPSRUWDQWf 1H[W VD\ f1RZ ZDQW \RX WR WKLQN DERXW WKRVH VWRULHV ZKHUH WKH FKDUDFWHUV KDG D VDG DWWLWXGH DERXW VFKRRO /HWfV VHH ZKR FDQ FRPH XS ZLWK VROXWLRQV WR KHOS WKLV SHUVRQ PDNH WKHLU XQKDSS\ DWWLWXGH KDSSLHU :KDW FDQ WKHVH PDNH EHOLHYH SHRSOH LQ WKHVH VWRULHV GR WR LPSURYH WKHLU DWWLWXGH" )RU WKLV QH[W SDUW WKH FRXQVHORU ZLOO QHHG WKH HQFORVHG QRWH SDG $V WKH FKLOGUHQ SURYLGH DQVZHUV WR WKH IROORZLQJ TXHVWLRQV ZULWH GRZQ D EULHI V\QRSVLV RI WKHLU UHVSRQVHV 7KLV ZLOO EH KHOSIXO ZKHQ UHYLHZLQJ WKHLU DWWLWXGHV WRZDUGV VFKRRO DQG WKH (62/(6/ VHWWLQJ DW WKH FRQFOXVLRQ RI WKLV DFWLYLW\ 1RZ VD\ f
PAGE 138

(62/(6/ WHDFKHUV" 7KLV WLPH OHWfV VWDUW ZLWK \RXf 6WDUW RQ \RXU ULJKW DQG UHSHDW DERYH LQVWUXFWLRQVf 1RZ VD\ f+DYLQJ WDONHG DERXW DOO WKH KDSS\ DWWLWXGHV \RX KDYH DERXW VFKRRO DQG WKH (62/(6/ VHWWLQJ RU (62/(6/ WHDFKHUV ZKDW DUH VRPH RI WKH XQKDSS\ DWWLWXGHV \RX PD\ KDYH DERXW VFKRRO DQG WKH (62/(6/ VHWWLQJV DQG WHDFKHUV" 5HVSRQVHV &ODULI\ 3UREHf )LQDOO\ VD\ f+RZ GR WKHVH XQKDSS\ DWWLWXGHV PDNH \RX DFW LQ VFKRRO DQG WKH (62/(6/ WHDFKHUV DQG VHWWLQJV" 5HVSRQVHV &ODULI\ 3UREHf 7KH ODVW SDUW RI WKLV VHVVLRQ LQYROYHV WKH 7UHDVXUH 0DS DQG WKH FRORUHG ZULWLQJ XWHQVLOV $V \RX FDQ VHH IURP WKH 7UHDVXUH 0DS WKHUH LV DQ DUHD VSHFLILFDOO\ GHVLJQDWHG DV f(62/(6/ %HDFK DW 7UHDVXUH ,VODQGf +DYH WKH FKLOGUHQ IRFXV RQ WKLV SDUW RI WKH PDS DV WKH\ WDON DERXW WKHLU QHJDWLYH DWWLWXGHV WRZDUGV WKH (62/(6/ SURJUDP ,I QRQH H[LVW WKHQ H[SORUH KRZ WKHLU SRVLWLYH DWWLWXGHV LQ WKH (62/(6/ VHWWLQJ FDQ EH DSSOLHG WR WKH UHVW RI VFKRRO 5HPHPEHU WR UHYHUW EDFN WR WKH QRWHSDG LQ RUGHU WR KHOS WKH JURXS UHPHPEHU WKHLU QHJDWLYH DQG SRVLWLYH DWWLWXGHV 0DNH VXUH WR SODFH FUD\RQVPDUNHUVFRORUHG SHQFLOV ZLWKLQ UHDFK RI DOO JURXS PHPEHUV 6D\ f1RZ ZH DUH JRLQJ WR VWDUW DGGLQJ VRPH FRORU DQG SLFWXUHV WR RXU 7UHDVXUH 0DS )HHO IUHH WR XVH ZKDWHYHU FRORUV \RX ZDQW WR GUDZ RQ WKH SDUW RI WKH PDS WKH VD\V f(62/(6/ %HDFK DW 7UHDVXUH ,VODQGf 3RLQW WR WKH DUHD RQ WKH PDSf *R DKHDG DQG VWDUW FRORULQJ \RXU 7UHDVXUH 0DS $V \RX FRORU LQ WKDW SDUW RI WKH PDS ZLOO DVN \RX IRU VROXWLRQV WR VRPH RI \RXU VDG RU EDG IHHOLQJV DERXW WKH (62/(6/ WHDFKHUV DQG VHWWLQJV ,Q RWKHU ZRUGV ZKDW DUH VRPH RI WKH WKLQJV WKDW \RX FDQ GR WR PDNH \RXU XQKDSS\ DWWLWXGHV DERXW WKH (62/(6/ FODVV EHFRPH KDSS\ DWWLWXGHV" %H VXUH WR WKLQN DERXW WKH VROXWLRQV \RX DOO FDPH XS ZLWK IRU WKH FKDUDFWHUV LQ WKH VKRUW VWRULHV UHDG D OLWWOH ZKLOH DJR ,I QR QHJDWLYH IHHOLQJV WKHQ VD\ f:KDW LV LW DERXW WKH (62/(6/ WHDFKHU DQG VHWWLQJ WKDW KHOSV \RX KDYH VXFK D KDSS\ DWWLWXGH"f :KLOH WKH JURXS LV HQJDJHG LQ FRORULQJ WKHLU PDS DVN HDFK LQGLYLGXDO FKLOG DERXW WKHLU QHJDWLYH DWWLWXGHV DQG ZKDW VROXWLRQV WKH\ FDQ FRPH XS ZLWK WR LPSURYLQJ WKHLU DWWLWXGH &ODULI\ DQG SUREH HDFK VWXGHQW LQGLYLGXDOO\ 3UDLVH WKH VWXGHQW IRU KLV RU KHU UHVSRQVHV DQG HQFRXUDJH WKHP WR XVH WKHLU VROXWLRQ LQ RWKHU DVSHFWV RI WKH VFKRRO HQYLURQPHQW 0DNH VXUH HYHU\RQH KDV WLPH WR ILQLVK FRORULQJ DQG GUDZLQJ RQ WKH f(62/(6/ %HDFK DW 7UHDVXUH ,VODQGf SDUW RI WKHLU PDS )LQDOO\ VD\ f/HWfV VWRS FRORULQJ ULJKW QRZ VR FDQ VKDUH ZLWK \RX KRZ KDSS\ DP ZLWK DOO RI \RX )URP HDFK RI \RX KDYH KHDUG VRPH UHDOO\ JUHDW VROXWLRQV WR VROYLQJ VDG RU XQKDSS\ DWWLWXGHV ZLWK WKH (62/(6/ WHDFKHUV RU LQ WKH (62/(6/ VHWWLQJV
PAGE 139

MRE HDFK RI \RX KDV GRQH FRORULQJ \RXU (62/(6/ %HDFK $V \RX FDQ VHH WKH ZRQGHUIXO SLFWXUHV \RX KDYH GUDZQ KDYH PDGH $// RI 7UHDVXUH ,VODQG ORRN D OLWWOH ELW SUHWWLHU DQG QLFHU ORRNLQJ :HOO MXVW OLNH D KDSS\ORRNLQJ (62/(6/ %HDFK PDNHV DOO RI 7UHDVXUH ,VODQG ORRN QLFHU D KDSS\ DWWLWXGH LQ WKH (62/(6/ VHWWLQJ DQG ZLWK (62/(6/ WHDFKHUV PDNHV DOO RI VFKRRO D QLFHU SODFH WR EHf 6XPPDU\&ORVLQJ VWDWHPHQW DQG +RPH DFWLYLW\ 1RZ VD\ f(DFK DQG HYHU\RQH RI \RX KDYH GRQH D VXSHU MRE DW OHDUQLQJ DQG WDONLQJ DERXW DWWLWXGHV WRGD\ DP YHU\ SURXG RI DOO RI \RX DQG DOO RI \RXU ZRUN $V \RX FDQ VHH E\ \RXU 7UHDVXUH 0DS RI 7UHDVXUH ,VODQG WKH 7UHDVXUH +XQW &OXE LV ZHOO RQ LWV ZD\ WR ILQGLQJ WKDW 7UHDVXUH RI +DSSLQHVV
PAGE 140

6(66,21 6,; 7KH 7UHDVXUH RI +DSSLQHVV 6FKRRO 6XFFHVV RQ 7UHDVXUH ,VODQG 2EMHFWLYHV 7R GHWHUPLQH VWXGHQWfV SHUFHSWLRQ RI DFDGHPLF VXFFHVV 7R ILQG RXW ZKDW REVWDFOHV LI DQ\ DUH LQWHUIHULQJ ZLWK DFDGHPLF VXFFHVV 7R GLVFRYHU VROXWLRQV ZKLFK PD\ LPSURYH DFDGHPLF VXFFHVV 7R EULQJ FORVXUH WR WKH 7UHDVXUH +XQW &OXE 0DWHULDOV 7UHDVXUH 0DS RI 7UHDVXUH ,VODQG &KDONERDUG GU\ HUDVH ERDUG RU FKDUW SDSHU DQG DSSURSULDWH ZULWLQJ XWHQVLOV 3HQFLOV &UD\RQV PDUNHUV DQGRU FRORUHG SHQFLOV 2SHQLQJ 6WDWHPHQW 6D\ f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fV VHVVLRQ ZLOO EH FRQFHUQHG ZLWK DWWDLQLQJ DFDGHPLF VXFFHVV )LUVW WKH FRXQVHORU ZLOO HVWDEOLVK WKH FKLOGUHQfV DFDGHPLF SHUIRUPDQFH EDVHG RQ WKHLU SHUFHSWLRQV )LUVW VD\ f:KR FDQ WHOO PH ZKDW fJRRG JUDGHVf PHDQ" ,Q RWKHU ZRUGV KRZ GR \RX NQRZ ZKHQ \RX KDYH GRQH ZHOO LQ D FODVV RU VXEMHFW DW VFKRRO"f 7LWOH WKH WRS RI WKH ERDUG ZLWK f*RRG *UDGHV DQG KRZ WKH\ PDNH XV IHHOf $OORZ VWXGHQWV WLPH WR WKLQN DERXW JUDGHV DQG UHVSRQG :ULWH RQ ERDUG VRPH RI WKH VWDWHPHQWV VKDUHG E\ FKLOGUHQ 0DNH VXUH WR ZULWH GRZQ ZKR VDLG ZKDW IRU XVH GXULQJ GLVFXVVLRQ 6XPPDUL]H WKH FROOHFWLRQ RI DQVZHUV WR ZKDW JRRG JUDGHV ORRN OLNH DIWHU \RX KDYH ZULWWHQ VHYHUDO SKUDVHV RQ WKH ERDUGf 6D\ f6R GR ZH DOO DJUHH WKDW JRRG JUDGHV ORRN OLNH WKLV WKH WKLQJV ZULWWHQ RQ WKH ERDUG"f (UDVH ERDUG DIWHU HQG RI GLVFXVVLRQf 1RZ VD\ f, UHPHPEHU ZKHQ ZDV LQ HOHPHQWDU\ VFKRRO ZRXOG VRPHWLPHV JHW JUDGHV ZDV QRW KDSS\ DERXW 5DLVH \RXU KDQG LI \RX KDYH HYHU JRWWHQ D JUDGH RQ D WHVW RU KRPHZRUN RU \RXU UHSRUW FDUG WKDW \RX ZHUH QRW KDSS\ DERXW :KDW KDSSHQV ZKHQ \RX GRQfW JHW WKH JUDGHV \RX ZDQWHG RU WKRXJKW \RX ZHUH JRLQJ WR JHW"f $OORZ VRPH WLPH IRU FKLOGUHQ WR UDLVH WKHLU KDQGf 1RZ VD\ f+RZ GLG LW PDNH \RX IHHO WR JHW WKRVH JUDGHV WKH NLQG \RX GLGQfW OLNH"f 5HVSRQVHV &ODULI\ 3UREHf

PAGE 141

1H[W VD\ f, NQRZ WKDW LW LV KDUG VRPHWLPHV WR WDON DERXW JUDGHV WKDW PDNH \RX IHHO VDG RU PDG 7KDW LV ZK\ WKDQN \RX IRU VKDULQJ WKHVH WKLQJV ZLWK PH 1RZ WKDW \RX KDYH GRQH WKDW ZLOO \RX SOHDVH VKDUH ZLWK PH ZK\ \RX WKLQN \RX JRW WKHVH JUDGHV WKDW \RX ZHUH QRW KDSS\ DERXW" DP JRLQJ WR ZULWH WKHVH WKLQJV GRZQ VR ZH FDQ ORRN DW WKHP ODWHUf $OORZ WLPH IRU UHVSRQVHV DQG ZULWH WKHP GRZQ RQ WKH ERDUG RU FKDUW SDSHUf )LQDOO\ VD\ f6R WKHVH WKLQJV RQ WKH ERDUG WKDW MXVW ZURWH DUH WKH WKLQJV WKDW NHHS \RX IURP JHWWLQJ JRRG JUDGHV :HOO OHWfV WDON DERXW WKHP VRPH PRUH WKHQf 3URFHVV WKH REVWDFOHV D ELW PRUH XQWLO \RX KDYH JUDVSHG DQ LGHD RI WKHPHV RU FRPPRQDOWLHV LQ WKH JURXSfV UHVSRQVHVf 1RZ WKDW FKLOGUHQ KDYH GLVFXVVHG WKHLU SHUFHSWLRQV RI JUDGHV DQG KRZ QHJDWLYH JUDGHV PDNH WKHP IHHO SRVH D fPLUDFOH TXHVWLRQf ZKHUH WKH\ DUH JLYHQ D FKDQFH WR GHYHORS FRSLQJ PHFKDQLVPV IRU JUDGHV WKH\ GHHP XQVDWLVIDFWRU\ 1RZ VD\ f,PDJLQH IRU D PRPHQW WKDW \RX JRW $fV LQ HYHU\ VXEMHFW RQ \RXU UHSRUW FDUG
PAGE 142

SOHDVDQWORRNLQJ DV FDQ EH 6LQFH 7UHDVXUH ,VODQG LV UHDOO\ VXSSRVHG WR EH VFKRRO OHW XV XVH PDNH LW ORRN OLNH D UHDOO\ QLFH SODFH WR EH 7KLQN DERXW DOO WKH ZRQGHUIXO WKLQJV WKDW \RX IHHO ZKHQ \RX JHW JRRG JUDGHV DV \RX FRORU LQ WKH UHVW RI 7UHDVXUH ,VODQG :KHQ \RX DUH GRQH ZH ZLOO GLVFXVV HYHU\RQHfV GUDZLQJf $OORZ DPSOH WLPH WR FRPSOHWH WKH DVVLJQPHQWf 1H[W VD\ f,I \RX ORRN DW \RXU SLFWXUHV \RX ZLOO VHH WZR PDLQ WKLQJV $ FRORUIXO f(62/ %HDFKf DQG D FRORUIXO 7UHDVXUH ,VODQG PDS 3OHDVH VKDUH ZLWK WKH JURXS \RXU UHDVRQV IRU FRORULQJ WKH 7UHDVXUH 0DS WKH ZD\ \RX GLG ZKDW PDGH \RX SLFN WKH FRORUV \RX GLG DQG LI \RX WKLQN WKH SLFWXUH \RXfYH FRORUHG LQ LV D KDSS\ RQH RU D VDG RQH"f 5HVSRQVH &ODULI\ 3UREHf 1RZ VD\ f%\ ORRNLQJ DW PRVW RI \RXU GUDZLQJV VHH PDQ\ 7UHDVXUH 0DSV WKDW PDNH PH WKLQN \RX FDQ EH KDSS\ DW VFKRRO DQG LQ WKH (62/(6/ VHWWLQJ DQG ZLWK WKH (62/(6/ WHDFKHUV ,W VRXQGV DQG ORRNV OLNH IURP VRPH RI \RXU VWRULHV DQG GUDZLQJV \RX DOVR DJUHH WKDW KDSSLQHVV LV VRPHWKLQJ \RX FDQ ILQG DW VFKRRO ,I \RX DGG DOO WKH WKLQJV ZHfYH WDONHG DERXW LQ WKH ODVW VL[ ZHHNV LQFOXGLQJ WRGD\ DQG LI \RX WKLQN DERXW WKHVH EHDXWLIXO GUDZLQJV RI 7UHDVXUH ,VODQG DQG WKH 7UHDVXUH ,VODQG 0DS ZRXOG KDYH WR VD\ \RX IRXQG WKH KDSSLQHVV RI 7UHDVXUH ,VODQG 7KH ODVW VHW RI VWDWHPHQWV UHTXLUHV EULQJLQJ FORVXUH WR WKH VPDOOJURXS H[SHULHQFH ,W LV LPSRUWDQW WKDW HDFK FKLOG LV SURYLGHG ZLWK D FKDQFH WR VKDUH D FRPPHQW RU WZR DERXW WKHLU H[SHULHQFH LQ WKH JURXS 6D\ f%HIRUH ZH HQG WKH JURXS ZDV KRSLQJ \RX DOO ZRXOG GR PH D IDYRU $OO RI \RX KDYH GRQH D JUHDW MRE RYHU WKH SDVW IHZ ZHHNV WR DQVZHU TXHVWLRQV WDNH SDUW LQ H[HUFLVHV VKDUH \RXU IHHOLQJV DQG OHDUQHG QHZ WKLQJV 6R WKH ODVW WKLQJ ZRXOG OLNH \RX WR GR LV VKDUH ZLWK WKH JURXS WKH QHDWHVW PRVW VSHFLDO WKLQJ \RXfYH OHDUQHG VLQFH EHLQJ LQ WKH JURXSf (DFK VWXGHQW VKRXOG EH HQFRXUDJHG WR SDUWLFLSDWH DQG SURYLGH D UHVSRQVH VLQFH LW ZLOO EH KLV RU KHU ODVW FKDQFH WR GR VR ZLWKLQ WKH JURXS H[SHULHQFH )HHO IUHH WR SUREH DQG FODULI\ LI QHHGHGf 6XPPDU\&ORVLQJ 6WDWHPHQW 7R ZUDS WKLQJV XS ILQLVK WKH DFWLYLW\ E\ W\LQJ WKH PHDQLQJ RI JUDGHV ZKDW HDFK FKLOG GRHV WR JHW JRRG JUDGHV WKH REVWDFOHV WR JHWWLQJ JRRG JUDGHV DQG WKDW VROXWLRQV WR QHJDWLQJ EDG JUDGHV UHVW LQ WKHLU LGHDV IRU JHWWLQJ JRRG JUDGHV 6D\ f:HOO DQRWKHU PHHWLQJ RI WKH 7UHDVXUH +XQW &OXE KDV FRPH WR DQ HQG $OO RI \RXU 7UHDVXUH 0DSV RI 7UHDVXUH ,VODQG ORRN PDJQLILFHQW VXSHU DQG IDQWDVWLF 6XFK JUHDW FRORUV \RX DOO KDYH FKRVHQ WR PDNH \RXU ,VODQGV ORRN VR KDSS\ .LQG RI KRZ \RX IHHO ZKHQ \RX JHW WKRVH JUDGHV WKDW PDNH \RX IHHO KDSS\ 7RGD\ ZH KDYH OHDUQHG ZKDW JUDGHV \RX OLNH WR JHW DQG KRZ WR NHHS JHWWLQJ WKRVH JUDGHV $OO RI \RX GLG D QLFH MRE DW VKRZLQJ HDFK RWKHU KRZ WR QRW OHW XQKDSS\ JUDGHV PDNH \RX IHHO VDG
PAGE 143

XQKDSS\ JUDGHV ULJKW QRZ E\ WU\LQJ \RXU YHU\ KDUGHVW DW VFKRRO DQG LQ DOO \RXU FODVVHV (QGRIWKH,QWHUYHQWLRQ 6WDWHPHQW f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f

PAGE 144

$33(1',; ( 5(63216(6 72 48$/,7$7,9( 48(67,211$,5(

PAGE 145

7KH IROORZLQJ DUH WKH H[DFW UHVSRQVHV WR WKH WKUHHTXHVWLRQ LQWHUYLHZ RQ SDJH RI FKLOGUHQ SDUWLFLSDWLQJ LQ WKH TXDOLWDWLYH TXHVWLRQQDLUH 7KH UHVSRQVHV RI WKH FKLOGUHQ IURP WKH FRQWURO JURXS &f DUH OLVWHG ILUVW 7KH UHVSRQVHV RI WKH FKLOGUHQ IURP WKH H[SHULPHQWDO JURXS 7f DUH OLVWHG VHFRQG )LHOGQRWH GDWD IRU HDFK UHVSRQGHQW LV LQFOXGHG LQ EUDFNHWV ( &f 7HDFKHUV )LQH KDSS\ *RRG 6FLHQFH JRWWHQ EHWWHU >&KLOG DSSHDUHG UHVHUYHG ZLWK DQVZHUV DQG LQGLFDWHG D GHVLUH WR UHWXUQ WR FODVV@ 0LO &f 7HDFKHU KHOS ZLWK PDWK JRRG % RQ UHSRUW )ULHQGV KDYH KHOSHG RXW WRR +DSS\ KDSSLHU OLNH GRLQJ ZRUN 3UHWW\ JRRG JUDGHV ZLWK WKH VRPH QRW JRLQJ XS D ORW >&KLOG DSSHDUHG HDJHU WR DQVZHU TXHVWLRQV DQG SOHDVHG ZLWK RZQ DQVZHUV@ ( &f 0\ VWXGHQW WHDFKHU KHOSHG PH D ORW RQ P\ PDWK WKDW GLG QRW XQGHUVWDQG KH KHOSHG PH ZLWK WLPHV D ORW +DSS\ ZLWK VFKRRO :HOO P\ JUDGHV ZHUH JHWWLQJ )fV EXW WKHQ JRW JRRG LQ HYHU\WKLQJ 7KHQ JRW $fV >&KLOG DSSHDUHG SURXG RI KHU DFDGHPLF DFFRPSOLVKPHQWV DQG VPLOHG D ORW@ &f 7HDFKHU +DSS\ VLQFH VWDUWHG VFKRRO $ ORW %HFDXVH P\ JUDGHV DUH LQ WKH V JRRG DW HYHU\WKLQJ GR ZRUNV UHDOO\ JRRG EHFDXVH VWXG\ >&KLOG DSSHDUHG D ELW FRQIXVHG ZLWK WKH TXHVWLRQV EXW ZDQWHG WR WDON DERXW KLV H[SHULHQFHV@ 0 &f 0\ WHDFKHU 0V 0DWK )LQH IHHOLQJ JRRG DW VFKRRO

PAGE 146

$ OLWWOH ELW XS FRXSOH UHDGLQJ PDWK VRFLDO VWXGLHVf >&KLOG VHHPHG VKRUW ZLWK KLV DQVZHU DQG DQ XQZLOOLQJQHVV WR H[SDQG RQ TXHVWLRQV@ &f 0\ WHDFKHU +DSS\ PLVVHG VFKRRO ZKHQ LQ &DOLIRUQLD 'LGQfW JHW WR VHH P\ IULHQGV *HWWLQJ EHWWHU VFKRRO JUDGHV JHW $fV >&KLOG PDGH DQ XQKDSS\ IDFH ZKHQ VKH PHQWLRQHG &DOLIRUQLD YHU\ HDJHU WR DQVZHU WKH TXHVWLRQV@ 0 &f 7HDFKHU $ ORW WR EH ZLWK HYHU\ERG\ HOVH $ ORW P\ JUDGHV FKDQJHG EHFDXVH ZHUH OLVWHQLQJ D ORW QRW VK\ 3D\LQJ PRUH DWWHQWLRQ WR WHDFKHUV >&KLOG GLG DSSHDU WR EH D ELW VK\ E\ QRW PDNLQJ H\H FRQWDFW@ ( &f 0DWK WHDFKHU JRRG PDWK VWXGHQW .LQGD KDSS\ NLQGD VDG %HWWHU JUDGHV >&KLOG DSSHDUHG FRQIXVHG ZLWK WKH TXHVWLRQ DQG GLG QRW VPLOH WKURXJKRXW WKH LQWHUYLHZ@ ( &f 7HDFKHU +DSS\ WR EH DW VFKRRO %HWWHU JUDGHV PXVLF >&KLOG SURYLGHG VKRUW DQVZHUV DQG VHHPHG WR EH LQ D KXUU\@ 9 &f &RXVLQ *RRG $ OLWWOH ELW EHWWHU JUDGHV DW D WLPH LWfV EHHQ HDVLHU WR UHDG >&KLOG VHHPHG XQKDSS\ DW ILUVW EXW EHFDPH PRUH IULHQGO\ HVSHFLDOO\ GXULQJ WKLUG TXHVWLRQf@ *22 &f 0RP

PAGE 147

,fP KDSS\ 0\ JUDGHV KDYH EHHQ JRLQJ XS PRUH >&KLOG VHHPHG YHU\ IULHQGO\ DV GHPRQVWUDWHG ZLWK KHU KDQGVKDNH DQG VPLOH EXW ZDV QRW YHU\ YHUEDOO\ RU QRQYHUEDOO\ H[SUHVVLYH@ ( &f 7HDFKHUV DQG IULHQGV ,fP KDSS\ 3UHWW\ PXFK WKH VDPH JUDGHV VRPH KLJKHU >&KLOG VHHPHG KDSS\ WR EH PHHWLQJ ZLWK PH DQG ZDQWHG WR DQVZHU PRUH TXHVWLRQV@ (OO (f JRW KHOS LQ WKH FRPSXWHU ODE DQG 0UV P\ WHDFKHU KHOSHG ZLWK (QJOLVK DQG VFKRRO +DSS\ *RRG VRPHWLPHV XS VRPHWLPHV GRZQ >&KLOG DVNHG LI NQHZ KLV JURXS IDFLOLWDWRU DQG ZDQWHG PH WR NQRZ KRZ JRRG KH ZDV GRLQJ DW VFKRRO@ 9 (f 0UV VDPH WHDFKHU VKH NQRZV 6SDQLVK DQG XVHV LW LQ WKH ZRUN ZH GR 9HU\ KDSS\ )LQH JUDGHV JRQH XS >&KLOG GLG QRW VHHP WR ZDQW WR WDON WRR ORQJ EXW VPLOHG ZKHQ KH PHQWLRQHG WKH (6/ WHDFKHU@ ((f 0UV WHDFKHUf FDXVH \RX FDQ XVXDOO\ JHW LW GRQH ZHOO 5HDOO\ JRRG EHFDXVH ,fP JHWWLQJ EHWWHU JUDGHV VLQFH ODVW \HDU 3D\LQJ PRUH DWWHQWLRQ DQG JHWWLQJ EHWWHU DW PDWK DQG VWXII >&KLOG GLG QRW VHHP WR ZDQW WR OHDYH SDXVLQJ EHIRUH DQVZHULQJ HDFK TXHVWLRQ DQG ZRQGHULQJ LI WKHUH ZHUH RWKHU TXHVWLRQV VKH ZDQWHG PH WR DVN@ *(f 0RP *ODG KDSS\ ILUVW GD\ PHW WHDFKHU 7KH\ JRW KLJKHU JUDGHVf >&KLOG VHHPHG YHU\ VK\ DQG GLG QRW DSSHDU WR EH KDSS\ ZLWK WKH UHVHDUFKHU@

PAGE 148

9 (f 0\VHOI GLGQfW OHDUQ (QJOLVK ZLWK VRPHERG\ OHDUQHG LW E\ OLVWHQLQJ WR ZRUGV DQG PHDQLQJV 5HDGLQJ DQG ZULWLQJ VLQFH NLQGHUJDUWHQ 0UV DOVR KHOSHG PH ZLWK (QJOLVK DP UHDOO\ KDSS\ $ ORW ,Q WKLUG JUDGH NQRZ D ORW *HWWLQJ $fV D ORW ORYH P\ JUDGHV WRR >&KLOG ZDONHG LQ ZLWK D VPLOH RQ WKHLU IDFH DQG GLG QRW VWRS VPLOLQJ XQWLO WKH\ OHIW :KHQ WKH\ DQVZHUHG WKH VHFRQG TXHVWLRQ WKHLU H\HV JRW UHDOO\ ZLGH DQG KLV KDQGV ZHQW LQWR WKH DLU@ (f 0\ GDG 5HDOO\ KDSS\ *UDGHV DW ILUVW ZHUH QRW JRRG EXW ,fP EHHQ JHWWLQJ $fV >&KLOG LQIOHFWHG ZKHQ WKH\ VDLG WKH ZRUG fUHDOO\f E\ VSUHDGLQJ RXW WKHLU DUPV DV D ZD\ RI VKRZLQJ WKH VL]H RI WKHLU HPRWLRQV@ 022 (f %URWKHU DQG IULHQGV DQG GDG DQG PRP KDYH KHOSHG ZLWK VFKRRO 9HU\ KDSS\ *RRG JUDGHV ORWV RI IULHQGV IULHQGV KHOS OLVWHQ 6FKRROZRUNfV D OLWWOH KDUGHU VWLOO KDSS\ ZLWK JUDGHV >&KLOG VPLOHG DQG ERDVWHG D ELW ZKHQ DQVZHULQJ WKH VHFRQG TXHVWLRQ@ 0 (f )ULHQGV WHDFKHU 0UV ZLWK (QJOLVK 9HU\ KDSS\ JRRG JUDGHV ORWV RI IULHQGV 8VHG WR KDYH % LQ UHDGLQJ QRZ KDYH $fV EHFDXVH VLVWHU KHOSHG >&KLOG VPLOHG ZKHQ KH PHQWLRQHG KLV (6/ WHDFKHU@ ( (f 0UV WKH WHDFKHU DQG KHU KHOSHU 0UV KHOSV SHRSOH ZLWK KRPHZRUN WKH\ GRQfW XQGHUVWDQG 6R KDSS\ EHFDXVH JRW P\ UHSRUW FDUG LW ZDV DOO $fV *HWWLQJ EHWWHU DW HYHU\WKLQJ >&KLOGfV YRLFH LQFUHDVHG LQ YROXPH DV KH PHQWLRQHG KRZ KDSS\ KH ZDV ZLWK KLV SUHYLRXV UHSRUW FDUG $OVR FKLOG VPLOHG DQG ODXJKHG ZKHQ WDONLQJ DERXW WKH (6/ WHDFKHU@

PAGE 149

((f )ULHQGV DQG WHDFKHUV +DSS\ KRPHZRUN EHLQJ HDV\ .LQGD JRLQJ XS VFLHQFH PDWK t (QJOLVK >&KLOG GLG QRW PDNH H\H FRQWDFW ZLWK WKH UHVHDUFKHU DQG DSSHDUHG SOHDVHG WR EH JRLQJ EDFN WR WKH FODVVURRP@ ( (f %URWKHU ZLWK VSHOOLQJ 5HDOO\ KDSS\ *UDGHV KDYH JRQH XS >&KLOG VPLOHG ZKHQ HQWHULQJ WKH URRP EXW QRWHG WKDW KH ZDQWHG WR JHW EDFN WR FODVV DV VRRQ DV SRVVLEOH@ (f $Q\ WHDFKHU $ ORW %HWWHU JUDGHV >&KLOG ZDV SROLWH EXW VHHPHG WR EH LQ D KXUU\ ZKHQ DQVZHULQJ WKH TXHVWLRQV@

PAGE 150

5()(5(1&(6 $GD $ ) f &UHDWLYH HGXFDWLRQ IRU ELOLQJXDO WHDFKHUV +DUYDUG (GXFDWLRQDO 5HYLHZ $PHULNDQHU 0 t 6XPPHUOLQ 0 / f *URXS FRXQVHOLQJ ZLWK OHDUQLQJ GLVDEOHG FKLOGUHQ (IIHFWV RI VRFLDO VNLOOV DQG UHOD[DWLRQ WUDLQLQJ RQ VHOIFRQFHSW DQG FODVVURRP EHKDYLRU -RXUQDO RI /HDUQLQJ 'LVDELOLWLHV f $PHULFDQ 6FKRRO &RXQVHOLQJ $VVRFLDWLRQ f 3RVLWLRQ 6WDWHPHQW 7KH SURIHVVLRQDO VFKRRO FRXQVHORU DQG FURVVPXOWLFXOWXUDO FRXQVHOLQJ $OH[DQGULD 9$ $XWKRU $UUHGRQGR 3 f 2SHUDWLRQDOL]DWLRQ RI WKH PXOWLFXOWXUDO FRXQVHOLQJ FRPSHWHQFLHV -RXUQDO RI 0XOWLFXOWXUDO &RXQVHOLQJ DQG 'HYHORSPHQW f $VKZRUWK 0 f 7KH (QJOLVK DV D VHFRQG ODQJXDJH SURJUDP DQG WKH VFKRRO FRXQVHOLQJ VHUYLFH 6FKRRO *XLGDQFH :RUNHU $XJXVW t +DNXWD (GVf f ,PSURYLQJ VFKRROLQJ IRU ODQJXDJHPLQRULW\ FKLOGUHQ $ UHVHDUFK DJHQGD :DVKLQJWRQ '& 1DWLRQDO $FDGHP\ 3UHVV %DNHU & f $WWLWXGHV DQG ODQJXDJH *UHDW %ULWDLQ :%& 3ULQW /WG %ULJHQG %DUXWK / t 0DQQLQJ 0 f 8QGHUVWDQGLQJ DQG FRXQVHOLQJ +LVSDQLF $PHULFDQ FKLOGUHQ (OHPHQWDU\ 6FKRRO *XLGDQFH DQG &RXQVHOLQJ %HUQDO 0 ( t .QLJKW 3 (GVf f (WKQLF LGHQWLW\ $OEDQ\ 1< 6WDWH 8QLYHUVLW\ RI 1HZ
PAGE 151

&DPSEHOO & $ t 0\ULFN 5 f 0RWLYDWLRQDO JURXS FRXQVHOLQJ IRU ORZ SHUIRUPLQJ VWXGHQWV 7KH -RXUQDO IRU 6SHFLDOLVWV LQ *URXS :RUN f &DPSEHOO t (OGHU f &UDIWLQJ WKH fWDS RQ WKH VKRXOGHUf $ FRPSOLPHQW WHPSODWH IRU VROXWLRQIRFXVHG WKHUDS\ $PHULFDQ -RXUQDO RI )DPLO\ 7KHUDS\ f &DQLQR 0' $ t 6SXUORFN 0' 6 f &XOWXUDOO\ GLYHUVH FKLOGUHQ DQG DGROHVFHQWV $VVHVVPHQW GLDJQRVLV DQG WUHDWPHQW 1HZ
PAGE 152

&XWKEHUW 0 f 'HYHORSPHQWDO JXLGDQFH IRU VFKRRO VXFFHVV VNLOOV $ FRPSDULVRQ RI PRGHOLQJ DQG FRDFKLQJ 8QSXEOLVKHG GRFWRUDO GLVVHUWDWLRQ 8QLYHUVLW\ RI )ORULGD 'H 6KD]HU 6 f .H\V WR VROXWLRQ LQ EULHI WKHUDS\ OVO HGf 1HZ
PAGE 153

*HUOHU ( 5 &LHFKDOVNL & t 3DUNHU / (GVf f (OHPHQWDU\ VFKRRO FRXQVHOLQJ LQ D FKDQJLQJ ZRUOG $QQ $UERU 0, (5,& &RXQVHOLQJ DQG 3HUVRQQHO 6HUYLFHV &OHDULQJKRXVH *HUOHU ( 5 .LQQH\ t $QGHUVRQ 5 ) f 7KH HIIHFWV RI FRXQVHOLQJ RQ FODVVURRP SHUIRUPDQFH -RXUQDO RI +XPDQLVWLF (GXFDWLRQ DQG 'HYHORSPHQW *LEVRQ 5 / 0LWFKHOO 0 + t %DVLOLH 6 + f &RXQVHOLQJ LQ WKH HOHPHQWDU\ VFKRRO 1HHGKDP +HLJKWV 0$ $OO\Q t %DFRQ ,QF *LOEHUW 6 f $GGUHVVLQJ WKH QHHGV RI (QJOLVKDVDVHFRQGODQJXDJH VWXGHQWV &RPPXQLW\ 7HFKQLFDO DQG -XQLRU &ROOHJH -RXUQDO f *LOJXQ ) 'DO\ t +DQGHO f 4XDOLWDWLYH PHWKRGV LQ IDPLO\ UHVHDUFK 1HZEXU\ 3DUN &$ 6DJH 3XEOLFDWLRQV ,QF *RSDXO0F1LFRO 6 t 7KRPDV3UHVVZRRG 7 f :RUNLQJ ZLWK OLQJXLVWLFDOO\ DQG FXOWXUDOO\ GLIIHUHQW FKLOGUHQ ,QQRYDWLYH FOLQLFDO DQG HGXFDWLRQDO DSSURDFKHV %RVWRQ 0$ $OO\Q t %DFRQ ,QF +DNXWD t *DUFLD ( f %LOLQJXDOLVP DQG HGXFDWLRQ $PHULFDQ 3V\FKRORJLVW f +RUQEHUJHU 1 f /DQJXDJH SODQQLQJ DQG LQWHUQDWLRQDOLVP 3ODQQLQJ IRU +LJKHU (GXFDWLRQ f ,QGLDQD 'HSDUWPHQW RI (GXFDWLRQ f 'DWD IRU RQH VFKRRO RU RQH VFKRRO FRUSRUDWLRQ LQ ,QGLDQD 5HWULHYHG RQ 1RYHPEHU KWWSPXVWDQJGRHVWDWHLQXV 6($5&+VFIP"FLW\ /DID\HWWH -DFREV ( ( +DUYLOO 5 / t 0DVVRQ 5 / f *URXS FRXQVHOLQJ VWUDWHJLHV DQG VNLOOV QG HGf 3DFLILF *URYH &$ %URRNV&ROH 3XEOLVKLQJ &RPSDQ\ -HVNH 5 f 5HYLHZ RI 3LHUV+DUULV FKLOGUHQfV VHOIFRQFHSW VFDOH ,Q -9 0LFKHO -U (Gf 1LQWK 0HQWDO PHDVXUHPHQWV \HDUERRN SS f /LQFROQ 1( 8QLYHUVLW\ RI 1HEUDVND 3UHVV .H\HV f 2Q WKH VFHQH 7KH FRXQVHORUfV UROH LQ KHOSLQJ VWXGHQWV ZLWK OLPLWHG (QJOLVK SURILFLHQF\ 7KH 6FKRRO &RXQVHORU .LOPDQQ 3 5 +HQU\ 6 ( 6FDUERUR + t /DXJKOLQ ( f 7KH LPSDFW RI DIIHFWLYH HGXFDWLRQ RQ HOHPHQWDU\ VFKRRO XQGHUDFKLHYHUV 3V\FKRORJ\ LQ WKH 6FKRROV f .QLJKW 3 %HUQDO 0 ( *DU]D & $ t &RWD 0 f $ VRFLDO FRJQLWLYH PRGHO RI WKH GHYHORSPHQW RI HWKQLF LGHQWLW\ DQG HWKQLFDOO\EDVHG EHKDYLRUV ,Q

PAGE 154

0( %HUQDO t *3 .QLJKW (GVf (WKQLF LGHQWLW\ )RUPDWLRQ DQG WUDQVPLVVLRQ DPRQJ +LVSDQLFV DQG RWKHU PLQRULWLHV SS f $OEDQ\ 6WDWH 8QLYHUVLW\ RI 1HZ
PAGE 155

0F.HRQ f :KHQ PHHWLQJ fFRPPRQf VWDQGDUGV LV XQFRPPRQO\ GLIILFXOW (GXFDWLRQDO /HDGHUVKLS f 0F1DPDUD ) f 6XUYH\V DQG H[SHULPHQWV LQ HGXFDWLRQ UHVHDUFK /DQFDVWHU 3$ 7HFKQRPLF 3XEOLVKLQJ &RPSDQ\ ,QF 0HMLD f 7KH GHYHORSPHQW RI 0H[LFDQ$PHULFDQ FKLOGUHQ ,Q *3RZHOO
PAGE 156

3DGLOOD $ 0 )DLUFKLOG + + t 9DOGH] & 0 (GVf f %LOLQJXDO HGXFDWLRQ LVVXHV DQG VWUDWHJLHV 1HZEXU\ 3DUN &$ 6DJH 3XEOLFDWLRQV ,QF 3HGHUVHQ 3 f &XOWXUHFHQWHUHG FRXQVHOLQJ LQWHUYHQWLRQV 7KRXVDQG 2DNV &$ 6DJH 3XEOLFDWLRQV 3HGHUVHQ 3 (Gf f +DQGERRN RI FURVVFXOWXUDO FRXQVHOLQJ DQG WKHUDS\ :HVWSRUW &7 *UHHQZRRG 3UHVV 3HGHUVHQ 3 t &DUH\ f 0XOWLFXOWXUDO FRXQVHOLQJ LQ VFKRROV $ SUDFWLFDO KDQGERRN 1HHGKDP +HLJKWV 0$ $OO\Q t %DFRQ ,QF 3HGHUVRQ 3 % f 7KH FRQVWUXFWV RI FRPSOH[LW\ DQG EDODQFH LQ PXOWLFXOWXUDO FRXQVHOLQJ WKHRU\ DQG SUDFWLFH -RXUQDO RI &RXQVHOLQJ DQG 'HYHORSPHQW 3LHUV ( f 3LHUV+DUULV FKLOGUHQfV VHOIFRQFHSW VFDOH 5HYLVHG PDQXDO /RV $QJHOHV &$ :HVWHUQ 3V\FKRORJLFDO 6HUYLFHV 3XEOLVKHUV DQG 'LVWULEXWRUV 3LSHU 7 f $QG WKHQ WKHUH ZHUH WZR &KLOGUHQ DQG VHFRQG ODQJXDJH OHDUQLQJ 0DUNKDP 2QWDULR 3LSSLQ 3XEOLVKLQJ /LPLWHG 5RWKHUDP%RUXV 0 f 0XOWLFXOWXUDO LVVXHV LQ WKH GHOLYHU\ RI JURXS LQWHUYHQWLRQV 6SHFLDO 6HUYLFHV LQ WKH 6FKRROV f 5\DQ : t %HUQDUG 5 + f 'DWD PDQDJHPHQW DQG DQDO\VLV PHWKRGV ,Q 1 'HQ]LQ t < 6 /LQFROQ (GVf 7KH KDQGERRN RI TXDOLWDWLYH UHVHDUFK QG HG SS f 7KRXVDQG 2DNV &$ 6DJH 3XEOLFDWLRQV 6DPZD\ t 0F.HRQ f 0\WKV DQG UHDOLWLHV %HVW SUDFWLFHV IRU ODQJXDJH PLQRULW\ VWXGHQWV 3RUWVPRXWK 1+ 5HHG (OVHYLHU ,QF 6FKPLGW f &RXQVHOLQJ LQ VFKRROV (VVHQWLDO VHUYLFHV DQG FRPSUHKHQVLYH SURJUDPV UG HGf 1HHGKDP +HLJKWV 0$ $OO\Q t %DFRQ ,QF 6KDYHOVRQ 5 f 6WDWLVWLFDO UHDVRQLQJ IRU WKH EHKDYLRUDO VFLHQFHV UG HGf 1HHGKDP +HLJKWV 0$ $OO\Q t %DFRQ ,QF 6LQFODLU ( f %LOLQJXDO HGXFDWLRQ )DFW RU IDQF\" ,Q *3RZHOO
PAGE 157

6WDWV ,QGLDQD f /DID\HWWH ,QGLDQD PHWUR DUHD SURILOH 5HWULHYHG 1RYHPEHU KWWSZZZVWDWVLQGLDQDHGXSURILOHVSUPVDKWPO 6XDUH]2UR]FR & f 7UDQVIRUPDWLRQV ,PPLJUDWLRQ IDPLO\ OLIH DQG DFKLHYHPHQW PRWLYDWLRQ DPRQJ /DWLQR DGROHVFHQWV 6WDQIRUG &$ 6WDQIRUG 8QLYHUVLW\ 3UHVV 6XDUH]2UR]FR & t 6XDUH]2UR]FR 0 f )RUPDWLRQV 6WDQIRUG &$ 6WDQIRUG 8QLYHUVLW\ 3UHVV 6XH : t 6XH f &RXQVHOLQJ WKH FXOWXUDOO\ GLIIHUHQW 7KHRU\ DQG SUDFWLFH UG HGf 1HZ
PAGE 158

:LWWPHU f (IIHFWLYH FRXQVHOLQJ RI FKLOGUHQ RI VHYHUDO $PHULFDQ VXEFXOWXUHV 7KH 6FKRRO &RXQVHORU
PAGE 159

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

PAGE 160

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

PAGE 161

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

PAGE 162

/' e a-:c 81,9(56,7< 2) )/25,'$


LD
1780
20 £2,
~JW¡
UNIVERSITY OF FLORIDA
3 1262 08557 2443



PAGE 1

USING GROUP COUNSELING TO IMPROVE THE SELF-CONCEPTS SCHOOL ATTITUDES AND ACADEMIC SUCCESS OF LIMITED-ENGLISH PROFICIENT (LEP) HISPANIC STUDENTS IN ENGLISH FOR-SPEAKERS-OF-OTHER-LANGAUGES/ENGLISH-AS-A-SECOND LANGUAGE (ESOL/ESL) PROGRAMS By JOSE ARLEY VILLALBA JR. A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT OF THE REQUIREMENT FOR THE DEGREE OF DOCTOR OF PHILOSOPHY UNIVERSITY OF FLORIDA 2002

PAGE 2

ACKNOWLEDGMENTS I would like to sincerely thank Dr. Joe Wittmer for serving as chair of my committee. His encouragement, understanding guidance and genuine interest helped me focus and complete the task at hand. Special thanks also must be extended to Dr. Larry Loesch for his assistance with the research methodology and thorough editing. I also extend thanks to Dr. Silvia Echevarria-Doan for her qualitative know-how, and to Dr. Vivian Correa for giving me a start" in educational research so long ago and supporting me through the dissertation process. I also extend my gratitude to the faculty and staff of the Department of Counseling at Indiana State University, especially Dr. Michelle Boyer Dr. Reece Chaney and Dr. Peggy Hines Also, a pecial thanks to Dr. Christy Coleman for her assistance with data analysis and interpretation. Finally, recognition goes out to Sharon Hopkins, Lauren Shoemaker and Christina Zuber for their help with the final stages of this research. In addition, I am grateful to the Lafayette (Indiana) School Corporation for allowing me to conduct my research within their school system. I thank the four participating schools, their principals, and assistant superintendent Linda Thompson. Gratitude also is extended to the staff at Hidden Oak elementary school for granting me the chance to be a school counselor, especially Dr. Doris Richardson for being a great principal and believing in me, Dawn Flanegan for her guidance, and Donna Melnick for her friendship. I also thank and honor my late mentor, Dr. Marta Konik. 11

PAGE 3

Finally, I offer my heartfelt thanks to my support circle: (a) Rachel, for her love, patience and faith in me; (b) my parents, Jose and Tania, who gave me life and were my first (and best) teachers; (c) my brother, Jessed, for his unique view of the world; (d) my grandmother, Mirna, who taught me the meaning of unconditional positive regard; (e) Susanne, who offered me her knowledge, home and warmth; (f) my entire family, for their continued upport; and (g) my best friends, Dennis and Grant, for making it fun along the way. iii

PAGE 4

TABLE OF CONTENTS ACKNOWLEDGMENTS ......................................................................... ii ABSTRACT ......................................................................................... vi CHAPTERS 1 INTRODUCTION ... .... .. .... .. .. ... .... .... .......... ............ ... ............ .. ... Scope of the Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Statement of the Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Theoretical Ba ses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Need for the Study ............................................................................. 10 Purpose of the Study ........................................................................... 11 Definition of Terms .................... ...... .......... ........... ... ... . ........ .. ..... 12 Organization of the Remainder of the Dissertation ......... ... . ... ................. .... 14 2 REVIEW OF THE LITERATURE . ... . .. ... .... ............ ...... .. ...................... 15 Educational Experiences of Hispanic American/Latino LEP Students ... .. ........... 15 Experiences in English-as-a-Second-Language Classroom Settings ................... 20 Language Acquisition ....................................... ...... .. ..... ........ ... .... .. ... 22 Counseling Hi s panic American/Latino Children in Elementary Schools .............. 27 Solution-Focused Counseling ................................................................ 30 Small Group Counseling Interventions ...................................................... 35 Summary ...... ................................................................................. 38 3 METHODOLOGY . ..... .. ................. ....... .... ...... ...... .......... ............. 40 Population . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Sampling Procedure .... ......... ........... ........ ... .. ........ ..... ....... .. .. ....... 42 Resultant Sample . ..... .... .......... ... . .. . .. .. ...... ... .. . . .. ... ... . ............ ..... 43 Relevant Variables .... .. ................... .. .... ... ... .... ... .. ... .... ....... ... .. . .. 44 Independent Variables . .. ........... .. .. .. .... ... . . ... .. .. .. . .. ......... ........ ..... 44 Dependent Variables .. .... .. .. .......... . .......... ............. .... ....... .. .......... 45 Instruments ..................................................................................... 46 Hypotheses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 Research Design and Data Analyses ........................................................ 51 Masters-level School Coun eling Student Training ........... .... .......... ......... ..... 53 IV

PAGE 5

Description of Treatment ..................................................................... 54 Summary ........................................................................................ 57 4 RESULTS ....................................................................................... 58 Data Analyses .................................................................................. 59 Summary ........................................................................................ 74 5 DISCUSSION .. ........... ..... ..... ... ... ...... ........ .. ..... .. ...... ..... ............ 75 Conclusions .. .......... ...... ..... .. ................. . ........ .. ....... ......... .. ..... ... 76 Discussion .. .. ... ................... .. .. ....... .................... .. ...... . ....... . .. . .. 77 Limitations ...................................................................................... 81 Implications ..................................................................................... 83 Recommendations for Further Study ........ ... ... .......... ... .... ...... ................ 84 Summary ........................................................................................ 86 APPENDIX A CONSENT LETTERS, ASSENT SCRIPTS, LETTERS TO PRINCIPALS .......... 88 B RESEARCH PROCEDURES ANDGROUP FACILITATOR WORKSHOP ........ 96 C INSTRUMENTS ............. .. ........ ......................... .. .... ... .. .. .......... .. .. 106 D GROUP FACILITATOR MANUAL ..................................................... 114 E RESPONSES TO QUALITATIVE QUESTIONNAIRE .............................. 138 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . .. . . .. . . . . . . . . .. .. ... 143 BIOGRAPHICAL SKETCH ..... .. ...... .............................. ... ... .............. .... 152 V

PAGE 6

Abstract of Dissertation Presented to the Graduate School of the University of Florida in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy USING GROUP COUNSELING TO IMPROVE THE SELF-CONCEPTS, SCHOOL ATTITUDES AND ACADEMIC SUCCESS OF LIMITED-ENGLISH-PROFICIENT (LEP) HISPANIC STUDENTS IN ENGLISH FOR-SPEAKERS-OF-OTHER-LANGAUGES/ENGLISH-AS-A-SECOND LANGUAGE(ESOL/ESL)PROGRAMS By Jose Arley Villalba, Jr. August 2002 Chairman: Dr. Joseph Wittmer Major Department: Counselor Education A small group counseling intervention for Hispanic American/Latino, limited English proficiency (LEP) students was assessed for its effects on three dependent variables: self-concept (Piers-Harris Children Self-Concept Scale), attitudes toward school (School Attitude Inventory), and school success (Three-Item Structured Interview Questionnaire). The intervention was provided by two Masters-level, school counseling students to 59 LEP students in Grades 3, 4, and 5 in four public schools. All students were enrolled in English-for-Speakers-of-Other-Languages/English-as-a-Second Language (ESOL/ESL) programs. A pre-post test, control group design was used to measure the effects of the intervention Children in ESOL/ESL programs were randomly assigned to the control or experimental groups. Students in the experimental group participated in a 6-week, Vl

PAGE 7

solution-focused counseling intervention related to experiences within school, being LEP, self-concept, developing effective school success skills, and attitudes toward school. Members of the control group did not participate in the treatment. Analyses of covariance (ANCOV A) showed no significant differences after treatment between children in the experimental and control groups with regard to self concept and attitudes toward school. No significant interactions were found for either self-concept or attitudes toward school by gender, age, or years of participating in ESOL/ESL programs. However, key-words-in-context (KWIC) analysis of the school success questionnaire suggests that a small-group counseling intervention designed for LEP children may increase school success and awareness Overall, children in the experimental group indicated increased awareness of their ESOL/ESL teacher's positive impact on their school success and reported greater degrees of satisfaction with their school success Results suggest that a small group counseling intervention designed specifically for LEP children may increase school success. However, the lack of significant quantitative results indicates the need for longer treatment or perhaps having more experienced school counselors perform the intervention Overall, this study contributed information for school counselors interested in working with LEP Hispanic American/Latino students to improve their social, educational, and personal development. vu

PAGE 8

CHAPTER 1 INTRODUCTION Hispanic Americans/Latinos are found throughout the United States and comprise approximately 12.5% of the U.S. population, numbering more than 31.3 million residents (U.S. Census, 2001). Their numbers are growing at a rate three to five times faster than the general population (Garcia & Marotta, 1997). As a group, Hispanic Americans and Latinos are diverse because subgroups emigrated from different countries, each with their own identities, rituals, customs and traditions. Despite differences within the Hispanic American/Latino population, their common bonds are the Spanish language and a culture uniquely different from the Anglo-American culture (Pedersen, 1990). The 1990 Census shows that 77% of Hispanic Americans/Latinos speak Spanish in their homes (US Bureau of the Census, 1995). However, this does not mean that most Hispanic Americans/Latinos lack English fluency. Rather, it highlights the importance of their native language in everyday communication. Hispanic American/Latino parents in particular are, most likely, speaking English at their jobs. Their children likely are communicating in English at school. However, Spanish remains the language of choice around the dinner table In most states within the U.S., children who have a first language other than English and who also qualify for special services in public schools are eligible for instruction in English as a Second Language (ESL) or English for Speakers of Other Languages (ESOL) programs. These terms are often used interchangeably and fall under the general rubric of bilingual education (Crawford, 1999). Children who learn English as 1

PAGE 9

2 a second language and who display daily problems in reading, writing and communicating in English are considered limited-English proficient (LEP) (Gopaul McNicol & Thomas-Presswood, 1998). This is the most commonly used term to describe bilingual students in U.S. public schools (Padilla, Fairchild & Valdez, 1990). The number of children requiring bilingual education is increasing in the U.S. at an annual rate of 9.6% (Samway & McKeon, 1999). According to Samway and McKeon (1999), 75% of children enrolled in ESOL/ESL classes are native Spanish speakers and two-thirds of them are in Grades kindergarten through six. Children who spend most of their out-of-school time speaking Spanish while interacting in a primarily Anglo culture at school are forced to cope with very different, and often confusing, scenarios. Whether children who are LEP are born in the U.S or are immigrants, chances are that their typical day begins by conversing with Spanish speaking family members, then riding to school on a bus with English-speaking peers. Next, the school bell rings while these children prepare to listen to teachers' instructions for the day's work, in English. The day progresses with English being the primary language heard on the playground, in the lunchroom, and classes. If the Hispanic American/Latino children are in a school with a "pull-out" ESL clas they will spend perhaps an hour of the day with instruction in Spanish, or simply more visual and less oral instruction. The ride back home is on the same bus, with the same peers, and mostly English. Then, again at home, it is back to Spanish with mom and dad, siblings, and friends It is this con tant back-and-forth witching of culture and language that may lead to a stressful, trying, and confusing experience in their young lives as compared to their language-majority counterparts (Cummins, 1994 ).

PAGE 10

3 Scope of the Problem The growing numbers of Hispanic Americans/Latinos in the U S. has lead to recent publications showing some common needs and trends for this unique group. According to Garcia and Marotta ( 1997), 29% of Hispanic Americans/Latinos are living below the poverty line as compared to 14% of the general U.S. population. Their report also indicated that Hispanic Americans/Latinos have high-school dropout rates above the national average, and only 9 % hold college compared to a nationwide average of 21 %. Unemployment is also more prevalent among Hispanic Americans/Latinos than among the general population (August & Hakuta, 1997). Unfortunately, many Hispanic/Latino immigrants experienced tragic and traumatic situations in their lives from the decision to immigrate to the U.S. (with the exception of the Puerto Rican population which are considered U.S citizens ). Zea, Diehl and Porterfield (1997) specifically studied Central American youth and their exposure to war The shock of witnessing mass destruction, death and forced military action in countries such as El Salvador Panama Nicaragua and Guatemala; and the abrupt displacement from family homes to detention centers in the U S. brought about immeasurable anguish and grief for these Hispanic/Latino immigrant youth (McFadden, 1999) Political reasons not withstanding, economic hardships also force many Hispanics/Latinos to leave their native homelands for the U S. Hispanic/Latino immigrants often view the U.S (as did previous immigrants in the 1900s) as the land of opportunity (Suarez-Orozco & Suarez-Orozco, 1995) For example immigrants from Central and South America and the Caribbean cross borders of both land and sea with the hope of improving their economic, political, and family situations. However, as

PAGE 11

evidenced in the poverty levels cited above, a large proportion of these families remain less affluent and more under-educated than their Anglo-American peers Needs of Hispanic American/Latino Children in U.S. Schools 4 Nationwide, LEP enrollment of 104 % between 1989 and 1999, compared to an overall increase in school enrollment of 14% for the same time period (National Clearinghouse for Bilingual Education 2000) According to Cummins (1994 ), linguistically and culturally diverse children are becoming the norm in classrooms across the country. As noted, the U.S public school system contains a large proportion of Hispanic American/Latino tudents in Grades kindergarten through twelve. It i s estimated that the number of Hispanic American/Latino children eligible for elementary school in 2000 was 6,207,000, as compared to 4 825 000 children in 1990 (Baruth & Manning 1992 ). These children are more likely to have very different often confusing, and trying experiences than does the average elementary school student. And yet, regardless of the degree to which U.S. public elementary school educators become more culturally aware s uch awareness will not prevent the number of troubled Hispanic American/Latino children from growing. Their special needs continue to exceed current resources The need for increased multicultural awareness and skills of elementary school teachers administrators, counselors and majority students is apparent. People from different cultures engage in problem solving, communication, acquisition of resources, and relationships in ways often not understood or accepted by the general population The counseling profession has emphasized multicultural awareness for many years, and counselor education programs have long espoused the benefits of multicultural coun eling. That i s, such training has been emphasized taught, and researched in

PAGE 12

5 counselor education departments across the country Counseling researchers (Lee, 1995; Sue & Sue, 1999) have categorized the four major cultural groups in the U.S. as African American, Asian American, Hispanic American/Latino and Native American in hopes of portraying common themes regarding counseling non-White populations. Other counseling researchers have written extensively about school counselors specifically and the kills they need to serve minority children effectively (Gopaul-McNicol & Thomas Presswood, 1998; Lee, 1995; Vargas & Koss-Chioino, 1992). Samway and McKeon ( 1999) described social factors, such as learner attitudes, past experiences, and personality, that influence the learning of LEP students greatly The differences between the culture and language of LEP students in ESOL/ESL programs and that of their language-majority peers thus affect their self-concepts and attitudes toward school. Consequences often manifest themselves as delayed school adjustment, low self-esteem, poor academics, limited expression of feelings, and perceptions of not fitting in, among other problems for these children (Cummins, 1994; McFadden, 1999). Professional school counselors are trained to be aware of cultural differences and are potentially instrumental in assisting culturally diverse clients and their social emotional need (Bernal & Knight, 1997) However, the counseling profession has not adequately addressed what part school counselors play in ESOL/ESL programs or the potential effectiveness of their efforts. In regards to social-emotional needs, school counselors and other educators also should be keenly aware of how the Hispanic American/Latino culture and use of the Spanish language affect the social-emotional aspects of the daily life of Hispanic American/Latino children in chools (Lee, 1995)

PAGE 13

Statement of the Problem Title VII of the Elementary and Secondary Education Act addressed bilingual education, language enhancement, and language acquisition programs under the Improving America's Schools Act of 1965, which was re-authorized in 1994. Public funding for bilingual education programs were first authorized by the Bilingual 6 Education Act of 1968 (Sinclair, 1983) In accordance with such legislation, educators must ensure that LEP students receive fair and beneficial education in order to achieve high academic standards. With respect to colleges and universities, the U.S. Congress (1994) stated, "[I]nstitutions of higher education can assist in preparing teachers, administrators and other school personnel to understand and build upon the educational strengths and needs of language-minority and culturally diverse student enrollment" (SEC. 7102 (a) (7)) Furthermore, it is written in P.L 103-382 that there is a need for multicultural training for all "pupil services personnel" (SEC. 7142. (a)). School counselors fall under the broad title of student services personnel and thus are responsible for assisting bilingual students with their specific academic and personal/social development. Even though Title VII calls for academic enrichment for language-minority students, growing numbers of these children (continue to) experience personal problems and concerns not shared by children in the language-majority. More importantly, they tend to come from low socio-economic families, are more insecure, have negative attitudes toward school and academics, display lower self-esteem, feel less empowered than do English proficient students, and feel less valued (Ada, 1986; Ashworth, 1977; Cummins, 1994; Lee, 1995; Ogbu, 1995; Suarez-Orozco, 1995; Weis, 1988). These stressors obviously have negative effects on the learning and socialization of LEP

PAGE 14

I' 7 students. Furthermore, regardless of the amount or type of extra assistance these students receive in regular classrooms or ESOIJESL programs, their social-emotional concerns are econdary to the academic rigors emphasized in the classroom setting (Lee, 1995). Thus, many of these children rarely are exposed to an adult in their school with whom they can talk about their feelings of insecurity, language barriers, confusion with being bicultural, evolving ethnic identity, or not fitting in with their language-majority peers (Canino & Spurlock, 1994; McFadden, 1999). School guidance counselors have the facilitative skills and multicultural awareness to assist most students they encounter who are experiencing personal or academic difficulties (Myrick, 1997). Therefore, LEP Hispanic American/Latino children should benefit from counseling interventions specifically designed to address their social emotional and academic issues, including those experienced both inside and outside of school settings. There is ample evidence to indicate that LEP high school students benefit positively from counseling provided by high school guidance counselors (Brilliant, 1995; Faltis & Hudelson, 1998; Gilbert, 1989; Keyes, 1989; Martinez, 1986; Martinez & Dukes 1997; Suarez-Orozco, 1995). However, little is known about the effectiveness of LEP elementary school-aged children and the services provided to them by school counselors (Ashworth, 1977; Gopaul-McNicol & Thomas-Presswood, 1998) Therefore, this was the main focus of this study and is discussed in detail in Chapter 2. Theoretical Bases According to Lee ( 1995), Hispanic/Latino culture, history and the use of the Spanish language significantly impacts the psycho-social development of Hispanic American/Latino students. These children's background, coupled with socioeconomic

PAGE 15

factors and experiences with other members of the school environment, have a decided effect on their learning and personality development. The development of personality in children has traditionally been understood to be a biological and sociological occurrence. Theorists such as Erikson and Fromm realized that many social experiences and conditions served as integrative influences in the development of a child's personality alongside physical growth and maturation (Yamamoto, Silva, Ferrari, & Nukariaya, 1997). Erikson ( 1963, 1968) viewed personality development from both personal and social perspectives. Apart from the impact that biological maturation has on a child's personality, Erikson chose to emphasize the importance of the social environment. According to Erikson, parents, family, friends, teachers, mass media, socioeconomic background, culture and language all play a significant part in the evolution of a child's personality. 8 Erikson ( 1963, 1968) based his psycho-social personality theory on eight stages, from birth to late adulthood, whereby a person moves from a current stage to the next by resolving a crisis between opposing psychological constructs. Although Erikson's theory as a whole has been widely documented and applied to counseling, stages three and four are of particular interest for the purposes of this study (Gibson, Mitchell, & Basilie, 1993). Stage three of Erikson's psycho-social theory occurs between age 3 and 6. In this stage children are encouraged to initiate new behaviors, ideas and activities, as physical and language development occurs. Children who are not permitted to become responsible and creative, for example, suffer guilt from trying to explore and become more individual in their thinking and behavior. Stage four is characterized by the struggle to be industrious or inferior, and, in general, occurs between six and 12 years of age. Children

PAGE 16

9 in this stage experience alternatives between doing well in school, making friends, completing their chores, or developing a negative self-image from not performing well in, for example, school or sports. This stage is extremely important to the development of children because it encompasses the elementary school years. Stage four is also the first stage where the school environment becomes as important, if not more important, than the home environment. Erikson (1963, 1968) emphasized the impact of culture in the development of his theory on psycho-social development. A child's ethnic identity develops alongside their personality and self-concept. By age four children gain awareness of their culture and ethnicity, and by age eight they are oriented and can identify as belonging to a certain ethnic group (Canino & Spurlock, 1994). That is, the psycho-social development of a Hispanic American/Latino child is directly influenced by his or her ethnic identity (Ogbu, 1995). This research study was grounded on the construct that the significance of culture, language, and ethnic identity are paramount, as a child's personality and self-concept develops. For example, Mejia (1983) noted that Mexican American children in California elementary schools evaluated themselves as being low achievers, having low self-worth and low self-esteem because they had trouble "fitting into" the school environment. That is, these Mexican American children viewed themselves as significantly different from their peers while simultaneously going through stages three and four of Erikson's psycho social development. In essence, according to Mejia, the Mexican American children's psycho-social development took an unpleasant turn. According to many researchers, a young child's continued low self-concept severely impairs their social development and academic achievement (Crawford, 1999;

PAGE 17

Cummins, 1994; Gibson, Mitchell, & Basilie, 1993). Furthermore, Metcalfe (1981) reported a positive correlation of self-concepts in children and attitudes toward chool. 10 From the perspective reported earlier that LEP children in ESOUESL classe experience low self-concept and poor attitude toward school and learning, it is apparent that additional interventions are needed to assist Hispanic American/Latino children in elementary schools in personal, social and academic development. The reported literature indicates that an LEP student's psycho-social development, most likely, will be stunted by the negative relationship between their culture and language and that of their school environment. Thus thi researcher postulates that a solution-based counseling intervention, based on cognitive-behavioral counseling theory, should be able to be used effectively to assist these children in acquiring more positive self-concepts and more positive attitudes toward school. Need for the Study Can an elementary school counselor effectively help Hispanic American/Latino (in an ESOUESL program) cope with social-emotional problems that are directly attributed to their limited English proficiency? Bilingual education and counseling professionals support counseling interventions as being beneficial for children in ESOUESL programs (Ashworth, 1977; Brilliant, 1995; Faltis & Hudelson, 1998; Lee, 1995). However, because of the growing number of Hispanic-ESL students (particularly in elementary schools) potential benefits of counseling interventions that include topics of concern to these children must be further explored The fact that Spanish-speaking students in ESOL/ESL classes share similar negative experiences in school because of their specific language suggests that it should be po ible to develop effective small-group counseling interventions to assist these

PAGE 18

11 children with their personal-social development and academic prosperity. The benefits of such intervention should include improved self-concepts, more positive attitudes toward school and academic success for these children. More specifically, this research was designed to evaluate a specific small-group counseling intervention and its effects on LEP Hispanic American/Latino children in third, fourth, and, fifth grades who have received at least one year of ESOIJESL education. Purpose of the Study A variety of problems face children of all backgrounds and ethnicity in American schools (Wittmer 2000). Divorce, peer pressure, loss of loved ones, drug abuse and violence are just a few of these tribulations. However the compounding effect that a weak and incomplete cultural identity has on the ability for children to cope with daily stressors is an additional burden for LEP students (Cummins, 1994; Martinez & Dukes, 1997; Ogbu, 1995) Therefore, the purpose of this study was to examine the effectiveness of a small-group counseling intervention, developed specifically for use with Hispanic American/Latino, elementary school-aged children in ESOIJESL programs, toward a more positive self-concept, attitude toward school and academic success The small group intervention was based on solution-focused counseling techniques. It addressed the concerns, issues, and problems commonly encountered by these children in a school setting and the resulting effects on their academic accomplishments, personal/social development and attitudes toward school. The following research questions were addressed using an experimental research design with preand post-test measures to evaluate outcomes. In addition, limited qualitative research methods used a structured questionnaire.

PAGE 19

1. Will there be a change in the self-concept of Hispanic American/Latino, elementary school-aged children in ESOIJESL programs as a result of completing the small group intervention? 12 2 Does self-concept and attitude toward school of LEP Hispanic American/Latino, elementary school-aged children vary as a function of gender, age-level and level for time enrolled in an ESOL/ESL program? 3 Will there be a change in the attitudes toward school of Hispanic American/Latino, elementary school aged children in ESOL/ESL programs as a result of completing the small group interventions? 4. Will there be a change in the school success of Hispanic American/Latino, elementary school aged children in ESOIJESL programs as a result of completing the small group interventions? Definition of Terms Attitudes are a tendency toward a certain action, whereby feelings are held about specific people, places or objects (Baker, 1992). Bilingual Education is a set of differing programs and pedagogical ideology established to educate and serve non-native English speakers. Some of these programs make use of the child s native language in the classroom, while others do not (Faltis & Hudelson, 1998). Culture refers to a population of people sharing commonalties (including ethnographic variables such as religion, ethnicity, language, nationality; and demographic variables of gender, age, place of residence) and status variables (such as economic, social and educational background) (Pedersen, 1990). English for Speakers of Other Languages (ESOL)/ English as a Second Language (ESL) are used interchangeably to indicate educational services offered to non-native English speakers. Some of these services are provided in regular classrooms while others involve participation in separate learning environments composed solely of non-native English speakers for part of the school day

PAGE 20

Ethnic Identity i s a construct or set of self-ideas about personal ethnic group membership and includes knowledge of the personal ethnic group. It is an important element of self-concept one often affected by minority status (Bernal & Knight 1997). 13 Hispanic American/Latino is the term used to designate those individuals who live in the U S. but whose cultural origins are in Cuba, Mexico Puerto Rico and other Latin American countries in the Caribbean basin and Central and South America (Sue & Sue 1999; Pedersen 1985). Separate identity differences are associated with both terms. However no distinction needs to be made for the purposes of this study Limited English Proficient (LEP) refers to students living in homes where a language other than English is used for communication primarily and who have difficulty in understanding, speaking writing or reading the English Language ( Gopaul-McNicol & Thomas-Presswood 1998 ) Self-concept is a relatively broad concept that normally refer s to self-esteem and how one feel s about one 's self (Rotheram-Borus 1993) Regarding children the self concept is a collection of identities (such as ethnic identity gender identity, familial identity, and school identity) that mediates the relationship between socialization and behavior (Knight Bernal Garza, & Cota, 1993) Small-group counseling is a school-counselor-led educational experience in which pupils have the opportunity to collaborate as they engage in interchanges of feelings, behaviors, attitude s, and ideas especially as related to progress in school and personal development (Myrick, 1997) Solution-focused counseling is according to Murphy (1997 ) a counseling method used to encourage s tudents parents and teachers to discover and implement solutions based on their experiences and strengths. It falls under the category of brief therapy and

PAGE 21

has been used by school counselors to promote changes in children in a short period of time. Solution-focused therapy has also been proven to work effectively with minority groups 14 Title VII of the Elementary and Secondary Education Act: The Bilingual Education Act of 1968 was the first U.S federal law to authorize resources to support educational programs, train teachers and teacher aides develop and disseminate instructional materials, and encourage parental involvement. Further re-authorizations of Title VII have ensured the requirement of schools to provide some level of bilingual education in order to receive federal funding (Crawford 1999). Organization of the Remainder of the Dissertation A review of the related literature is provided in Chapter 2 Chapter 3 provides a description of the methodology for this study Results are reported in Chapter 4 and Chapter 5 contains a discussion of the results of the study.

PAGE 22

CHAPTER2 REVIEW OF THE LITERATURE The purpose of this study was to examine the effects of a small group solution focused counseling intervention conducted with limited-English proficient, elementary school-aged Hispanic American/Latino children in the third, fourth, and, fifth grade who have received ESOUESL instruction for at least one year. Specifically, the researcher investigated the changes in three dependent variables as a result of participating in the school counselor-led group counseling experience: 1) students' self-concept 2) students' attitude toward school, and 3) students' academic success. Chapter 2 is a review of related literature and centers on the educational experiences of Hispanic American/Latino LEP children in school settings language acquisition theory counseling Hispanic American/Latino children solution-focused counseling (SFC) and small group counseling as an intervention. How these factors influence the three previously mentioned dependent variables is the focus of this study. Educational Experiences of Hispanic American/Latino LEP Students When considering the classroom and overall school environment of limited English proficient students, it is important to consider the type of bilingual education program in which the child is enrolled. Often the ideology and philosophy of a particular bilingual education program greatly influences both the social-emotional and academic development of a student. That is, the type of program has an effect on the child's entire personal/social and academic development (Faltis & Hudelson 1998). 15

PAGE 23

16 Types of Bilingual Education Programs in Elementary School Bilingual education in elementary schools can be organized into two major forms: "real" bilingual programs where two languages are used in classroom setting and other programs that primarily use English to deliver classroom instruction (Hornberger, 1991). A bilingual education program in which LEP children and their English-speaking peers both learn in Engli h and Spanish is considered to be the most enriching and beneficial method that can be used to teach LEP Hispanic American/Latino students (Samway & McKeon, 1999; Fatis & Hudelson, 1998). Programs such as these have proved academically successful for children in Quebec, Canada, where French and English are used equally in classroom instruction (Cummin 1994). That is, teachers in truly bilingual programs conduct lessons in both languages and the use of both languages is reinforced and encouraged throughout the entire school. In these types of programs, LEP children have the opportunity to learn English while strengthening language kills in their fir t language This approach also permits a strong foundation in the native language to develop. In addition, "real" bilingual programs provide native-English proficient peers with the opportunity to learn an appreciation for a different language and provide the advantages associated with being proficient in two languages. According to Hornberger (1991), bilingual education, where two languages are used simultaneously can be separated into three formats. The early-exit/transitional format involves heavy immersion in a child's native language for the first three years of school. During their first three years approximately 90% of academic instruction occurs in the child s native language. However, by the time a child reaches third grade the native language is used less than 25% of the time in the classroom setting. The primary goal of

PAGE 24

17 early exit programs is to acknowledge the importance of using a child's native language first, while increasing English achievement as quickly a possible. In the second format for delivering "real bilingual education, known as late exit/maintenance, the use of both languages is encouraged throughout the elementary grades. In kindergarten and first grade the native language is used more than 90 % of the time within the classroom setting. After the first two year use of the native language decreases to about 50% usage for core academic subjects, such as math, reading and writing, and continues at this rate until the end of sixth grade (Hornberger, 1991 ). Teachers in these types of bilingual programs encourage students to continue using and developing their first language, even after students attain English mastery. The goal of these programs is to assist LEP children with English mastery while increasing respect for native languages by all students and adults at the school. "Two Way enrichment" is the third type of bilingual program emphasized by Hornberger ( 1991 ) In this format, LEP students share classrooms with native-English speakers. This differs from earlyand late-exit programs where LEP students are taught separately from mainstream students, specifically in kindergarten through third grade (Faltis & Hudelson 1998). In the two-way enrichment program, cla sroom instruction is conducted in both languages for equal amounts of time The emphasis in these types of programs is to assist LEP and native-English proficient children alike to attain full proficiency in two languages by the time they exit the sixth grade. These programs tend to be used in areas where one dominant, non-English language exists, such as French in Montreal, Canada, or Spanish in Miami, Florida (Faltis & Hudelson, 1998). Such programs are considered the epitome of bilingual education because they foster the

PAGE 25

18 positive attributes of a child being proficient in more than one language (Cummins, 1994; Crawford, 1999) Research on each of the three types of "real" bilingual education programs described above indicates academic success, school-wide appreciation of diver ity, and positive social-emotional growth for most LEP children (Crawford, 1999; Hakuta & Garcia, 1989). Regarding Hispanic-American/Latino children, the research (evidence) indicates that Spanish language maintenance improves academic success and levels of self-esteem among the e children (Casanova, 1991 ). Regardless of the research and practice used to support truly bilingual programs, the time, teachers and resources needed to implement these programs nationwide are scarce (Casanova, 1991; Crawford, 1999). For these reasons, non-bilingual settings, such as English for Speakers of Other Languages (ESOL) or English as a Second Language (ESL), are currently the most common methods of academic instruction used to teach LEP students (Faltis & Hudelson, 1998) English-as-a-second-language/ESOL instruction falls in the area of transitional bilingual education in that the primary purpose is to assist LEP students in academically achieving in English as soon as possible. The services offered in ESOL/ESL classrooms range from "pulling out" children who qualify for services and providing specialized services for a portion of the school day, to placing these children in a classroom with a certified ESOL/ESL teacher (or one who has taken a few courses on the subject matter) while receiving little or no ESOL/ESL instruction, or providing an ESOL/ESL certified paraprofessional aide for the purpose of temporary assistance on an as-needed basis (Faltis & Hudelson, 1998).

PAGE 26

19 As reported by several researchers (Crawford, 1999; Faltis & Hudelson, 1998; Malakoff & Hakuta, 1990; Met, 1994 ), the reauthorization of the Bilingual Education Act (Title VII) in 1984 allowed individual school districts to define and implement their own form of bilingual education under the term "special alternative instruction programs." It is under this provision that transitional ESOIJESL programs became the most popular and most used delivery systems for providing bilingual education. Because of the reauthorization of Title VII, the act of placing an LEP child in a classroom where all the students are native English speakers and with an ESOIJESL certified teacher (who does not actually provide specific ESOIJESL instruction), is considered an adequate provision This approach is considered to be a form of bilingual education even though no direct ESOIJESL instruction occurs. This is a common experience of Hispanic American/Latino, LEP children who attend schools where lower numbers of LEP students are enrolled, or in school corporations (districts) with a small Hispanic American/Latino population According to the U.S. General Accounting Office ( 1997), LEP children in elementary schools, where LEP enrollment is minimal, have a much lower chance of receiving appropriate ESOL/ESL instruction. Consequently, 15% of elementary school-aged children eligible for ESOIJESL instruction experience no such accommodations at school (U.S. General Accounting Office, 1997) The most frequently used form of ESOL/ESL education that occurs today is known as a "pull out" program (Crawford, 1999; Met, 1994 ). According to Faltis and Hudelson ( 1998), students in pull out ESOIJESL programs, also known as resource ESOIJESL program receive limited instruction in bilingual education. This separate instruction lasts from 15 minute to an hour and one-half a day, depending on the school and the number of LEP students enrolled and may be provided by a teacher or

PAGE 27

20 paraprofessional teacher's aide. Since most ESOL/ESL programs deal with a variety of languages, the teachers in these settings do not necessarily use the native language of their students. Rather, techniques that have been proven to work with LEP students, such as using more visual cues, math-manipulatives, hands-on activities, and integrating native cultures are the main differences between the mainstream classroom and the ESOIJESL instruction provided to the majority of LEP students (Met, 1994). A student's instruction in an ESOIJESL program tends to last no more than three years. Following the third year, students usually are dismissed from ESOL-/ESL-program eligibility and are mainstreamed full-time into the regular education classroom settings (Crawford, 1999). The debate between which type of instruction LEP children are entitled to, or should receive, is a political, ideological, and pedagogical one. The push for (more or less) first-language instruction of LEP students tends to fall along politically liberal lines (Crawford, 1999). However, educators, parents and politicians alike agree that some type of instruction by appropriately certified teachers is needed where LEP children are concerned. Experiences in English-as-a-Second-Language Classroom Settings Since transitional, non-bilingual, ESOL/ESL settings are the most common form of bilingual education, the experiences documented and research cited in this section pertain to these programs and not to late exit/enrichment programs. This coincides with the research being conducted in this particular study, which focused on LEP children enrolled in non-bilingual, ESOIJESL programs. Most Hispanic American/Latino children enrolled in "pull out" ESOIJESL programs are taught by teachers or paraprofe sional aides who are not fluent in the native, Spanish language spoken by their LEP students (Cazden, 1992). Since most

PAGE 28

21 school districts have adopted non-bilingual ESOL/ESL programs, classroom instruction in these settings tends to focus on the English language. Teachers teach academic content (math, reading, language arts, science, and social studies) in English and often depend on bilingual instructional (paraprofessional) aides to translate the material into student's first language (Faltis & Hudelson, 1998). According to Tabors and Snow ( 1994 ), instruction in the ESOL/ESL setting involves a structured set routine in which activities occur in predictable ways at specified time intervals. Limited-English proficient children enrolled in ESOL/ESL are given extra time to learn and practice oral and written communication in English. They may be paired up with an English-speaking peer, and/or encouraged to use English for interpersonal communication. Young children in ESOL/ESL classrooms are presented with learning a new language as well as facing various social-emotional challenges (Tabors & Snow, 1994). Although the addition of instructional personnel fluent in Spanish may seem to be a positive intervention, most children with experience in these settings continue to recount personal problems related to the school environment. For example, Hispanic American/Latino children in these settings reported isolation from classroom peers, feeling inferior when they are not permitted to use their native language in the classroom, ridicule by other students because they are not fluent in English (do not know English well enough), and feeling as if they do not fit into the overall school environment (Coelho, 1994). As stated in Chapter 1, the socio-economic background, reasons for immigrating to the U.S., amount of years spent learning in the first language and years spent in the an ESOL/ESL program all have an affect on Hispanic American/Latino LEP children in the

PAGE 29

22 schools Given the classroom scenario in which most of these children find themselves (limited resources little use of the native language, frustration with learning English) school authorities may not be directing enough attention to these problems (areas). Figueroa ( 1993) be s t summed up this issue when he wrote that LEP students experience frustration and nonsuccess, not because of problems in the home and family, but because they feel neglected and academically inferior at school. It is unlikely that bilingual education programs in schools will soon begin to emphasize true bilingual settings versus "pull out" programs ( or no ESOL/ESL instruction), such as those in existence prior to the reauthorization of Title VII in 1984 (Crawford, 1999). For this reason it becomes paramount that methods be developed that will empower Hispanic American/Latino, as well as other LEP students in the school setting to compen s ate for negative experiences they encounter in the classroom and throughout the school (Cummins 1986). Using appropriate counseling interventions, including small group methods, i s one way to address the lack of empowerment experienced by Hispanic American/Latino, LEP children in our schools (Gopaul-McNicol & Thomas-Presswood 1998). Although small group counseling interventions will not alleviate all of the negative experiences encountered by LEP students in the ESOL/ESL programs and the overall school environment providing small group interventions may assist these students in constructively coping with their personal/social and academic problems. Language Acquisition Children and adults alike use language in order to cope with personal issues and engage in social participation (Piper 1993) Theorists such as Cummins (1994) and Krashen ( 1982) have developed hypotheses and premises for the development of

PAGE 30

language, both native and second languages, in children and adults. There are several important byproducts of this research. These include considerable information on the self-concept, academic ability and school success, and attitudes toward learning of elementary level school-aged children (Cummins, 1986). 23 Regardless of whether a child is learning to communicate in her/his native language or a second, Krashen ( 1982) hypothesized that initial language acquisition occurs through practice in real life situations. It is in these first and informal situations that children learn and incorporate the basic rules and structure of language. Grammatical rules, vocabulary, and reading comprehension normally occur in the school setting, presented through more formal teaching methods (August & Hakuta, 1997; Crawford, 1999). This study was geared toward elementary school-aged LEP children in ESOIJESL programs who speak Spanish as a first language. Thus, the review of the literature that follows focuses on how these children acquire English as their second language. Also related to this study is how se cond-language acquisition affects a child's academic performance and personal/social development. According to Krashen ( 1982), acquisition of a second language occurs in five stages. In the first, Preproduction, comprehension skills are developed while expressive skills remain minimal It is in this stage that the individual focuses on listening in order to gain meanings of words and their context. The Early Production (second) stage is where verbalization of the new language begins and short, two or three word sentences are being formed while comprehension skills continue to be reinforced. Longer, more complex sentence structure is the hallmark of stage three, Speech Emergence. Although grammatical errors abound, the LEP learner gains more confidence in use of the second

PAGE 31

24 language during this stage of development. Narratives and conversation engagement characterize the fourth stage, Intermediate fluency. However, during this stage processing in the new language remains slower when compared to a child's native tongue. This is due, in part, to the need to translate information from one language to another (Dornic, 1979). The final stage of Krashen s model is known as Advanced Fluency Students of the new language develop better, and relatively fluent, expressive and receptive abilities during this stage. The learner s ability to write in the second language (use of proper grammar spelling and punctuation) also becomes stronger during this stage However, memorization, retrieval of information and information processing for the child rarely ever becomes as fast and accurate as in their first language (Lopez & Gopaul-McNicol, 1997). An individual s success at becoming fluent in writing and speaking in a second language depends on that person s level of development in her/his first language (Crawford 1999, & Cummins 1986, 1994). The number of years a person has spent communicating in their first language (Ll) also is related to the level of fluency attained in the second language (L2 ) Collier (1987) reported that young, LEP children in Grades kindergarten through third grade required more time to reach proficiency in English Collier based this on the fact that these younger children have little or no schooling and have less experience in their first language than do older children. Cummins ( 1986, 1994) described the effects L 1 has on L2 by distinguishing between two types of language proficiency: Basic Interpersonal Communicative Skills (BICS) and Cognitive Academic Language Proficiency (CALP) A child demonstrates a grasp of the social and conversational skills of their native tongue, Ll, by interacting with parents, siblings and friends, thereby having achieved BICS in their first language

PAGE 32

25 However in order to achieve basic conceptual and academic skills in Ll and L2 they need to reach the CALP level. This cognitive and more analytical language usage begins around age seven and is solidified by approximately age ten (when the child is still employing Ll to learn mathematical grammatical and higher-level thinking) (Cummins, 1991) A child who learns academic s kills in their first language by age seven to nine stands a much better chance of attaining CALP in a second language compared to a child who only received native language instruction up to the ages three to five. For this reason, several researchers advocate for teaching LEP students in their native languages alongside the new language, rather than completely eliminating children's first language from school-wide instruction (Cummins, 1994; Krashen 1982). The latter situation would have the effect of restricting L2 fluency to the BICS level (Collier 1987 ). Cummins (1994) acknowledged that a child who develops a strong conceptual base in Ll would most likely develop strong abilities in L2. Furthermore, Cummins (1994) and Collier (1987) stated that it would (usually) take an additional five to seven years after CALP in Ll has been reached for LEP students to write and speak English as well as native speakers. In essence the more time a child has to learn and practice their native language, the better she or he will do at achieving proficiency in the second language. For this reason, middle school and high school-aged children who are learning English as a second language do so more quickly than younger children (August and Hakuta 1997). Furthermore, this explanation also seems to account for the social/emotional and academic problem s experienced by young learners of English as a second language. The acquisition of a new language is an academic and social endeavor. Limited English proficient children acquire English in the schools, while at the same time they are

PAGE 33

26 receiving message s about their native culture and their recently acquired role in society (McKeon 1994 ) Often times these messages, although covert, negatively evaluate a child's first language or country of origin as being "second class or inferior. Researchers have concluded that such messages can affect the outcome of a child education and attitudes toward school (Ogbu & Matute-Bianchi 1986). Children may also experience dissonance between the language spoken in the home and the language used at their school, forcing them to be bilingual and bicultural. This dissonance increases the stress the e young children experience This stress is the result of a child s difficulty in balancing a new language with an old language, and a new culture and society with a native one (Piper 1993). Hence language acquisition and increased proficiency directly affects the social/emotional development and academic success of young children. Marcos (1976 ) found a significant correlation between LEP and native language fluency and the di tortion of emotions Children in ESOUESL programs who were unable to express themselves clearly because of inadequate development of language such as being at a BICS level in L2 while trying to attain the CALP level had a more difficult time with comprehension, as well as expressing and discussing their true emotions. This could lead to unresolved, negative effects such as in problem s with the development of the self-concept (McFadden, 1999). Furthermore, as the self-concept of an LEP student continues to be affected by restricted exposure to the native language while adjusting to a new educational system, the possibility of conduct and anxiety disorders increases ( Malgady, Rogler & Costantino 1990) Research indicate s that such disorders usually lead to lower academic performance, one of the dependent variables in this study for LEP students (Ogbu, 1995)

PAGE 34

27 Counseling Hispanic American/Latino Children in Elementary Schools Elementary school counselors are responsible for ensuring that all children in the school have the opportunity to experience a sense of academic accomplishment and social-emotional satisfaction (Gibson, Mitchell, & Basilie, 1993). The American School Counseling Association's position corresponding to ethic and racial minority children is that school counselors are also responsible for ensuring that minority children receive access to school counseling programs and interventions to facilitate their personal/social and academic development (American School Counseling Association [ASCA], 1999). Through this strongly worded position statement on cross/multicultural counseling, ASCA advocates for a professional school counselor who is aware of the impact a child's ethnicity has on her or his personal, social, and academic development. Over a generation ago, Ashworth (1977) and Wittmer (1971) highlighted the need for school counselors' awareness of students' cultural diversity. Wittmer was clear on the importance of students' native cultures in school counseling when he wrote, "school counselors hold the key to the process of reducing, if not completely eliminating, the social and emotional barriers which prevent many minority group members from becoming secure American citizens (p. 49)." The importance of this concept has continued to expand in the counseling profession as demonstrated by the growing number of books and chapters on the benefits of multicultural counseling, as well as the different counseling needs of diverse populations (Pedersen, 1997; Sue & Sue, 1999; Lee, 1995; Pedersen & Carey, 1993; Gerler, Ciechalski, & Parker, 1990; Schmidt, 1999; Thompson & Rudolph, 2000; Gibson, Mitchell, & Basilie, 1993) The first major work to consolidate the ideas, literature, and research on counseling Hispanic children was written by Baruth and Manning in 1992. A literature

PAGE 35

review of the past 40 years of school counseling literature conducted by this writer yielded Baruth and Manning's journal article as the only comprehensive, major journal publication on the topic. 28 In their article, Baruth and Manning ( 1992) review demographic information, outline major problems affecting Hispanic American/Latino youth, and describe ideas for counseling Hispanic American/Latino youth. Statistics reveal the problem areas of high school dropout rates, poverty, single-parent families, and teenage pregnancy rates among Hispanic Americans/Latinos. More closely related to the research being conducted by this researcher, Baruth and Manning identify problems related to negative cultural identity, poor self-concept, and conflicts between the languages spoken at home and at school. Baruth and Manning (1992) emphasize that effective counseling with Hispanic American/Latino children requires that the professional school counselor understand and recognize how culture affects children. They also note that special attention must be paid to "coping with language problems and developing positive self-concepts and cultural identities (p.117). in both individual and group counseling interventions used with Hispanic American/Latino children. Baruth and Manning ( 1992) outlined a three-step process to becoming a more effective school counselor with Hispanic-American/Latino children. First, the counselor must have a cognitive knowledge and understanding of the Hispanic American/Latino culture and the problems that these children face, while maintaining an appreciation for cultural diversity. Next, the professional school counselor needs the skills, knowledge, and attitudes to intercede in situations of cultural diversity. Finally, an effective school counselor must follow ethical guidelines while acquiring real-world experiences with Hispanic American/Latino children. Baruth and Manning expand on this three-step

PAGE 36

29 process by highlighting the importance of understanding the problems Spanish-speaking children experience in the schools Lee ( 1995) writing on the status of Hispanic American/Latino children and youth in the schools focu s es on the elf-concept of these children. Expanding on the ideas proposed by Baruth and Manning ( 1992) Lee proposes that the effective school counselor must focus on the role s ocio-economic and cultural factors play in the Hispanic-American/Latino child s development of self-concept. Arredondo ( 1996 ) believes counselors working with Hispanic Americans/Latino must be aware of the many social/emotional factors influencing their self-concept and ethnic identity In addition Arredondo also writes that religious affiliation gender roles, feelings of oppression experienced in the country of origin and the collectivistic nature of the Hispanic American/Latino family all play key roles in how a child acts and reacts in the school setting. Arredondo further recommends that counselors understand the Hispanic child s belief system regarding influence in the school environment. Aside from direct work with Hispanic American/Latino children school counselors should also carry out other tasks that indirectly affect the adjustment and well being of these children Schmidt ( 1999) refers to school counselors as "vanguards of [the multicultural] movement (p 315) because of their commitment to assist teachers and colleagues to gain a better understanding of cultural differences School counselors are capable of assisting Hispanic American/Latino children on an individual, one-on one level while simultaneously helping to establish respect for the various Hispanic American/Latino cultures found within their respective schools.

PAGE 37

30 Solution-Focused Counseling Solution-focused counseling (SFC) is one of the more popular forms of counseling methods available to school counselors, and other mental healthcare providers, in the 21 s t century Although it has been in existence since the 1970s, this counseling approach has come into prominence in the past decade This is due in part to the time constraints placed on the counseling professionals by managed care and school administrators (Thompson & Rudolph, 2000). That is, counselors have experienced pressures to limit their interventions and numbers of sessions, thereby contributing to more research and an increase in the use of SFC among counseling professionals. Steve de Shazer (with Insoo Kim Berg) is credited with developing SFC and bringing it to the forefront of the counseling profession (Corey, 2001; Murphy, 1997; Thompson & Rudolph, 2000). Grounded in brief therapy and corresponding to the general category of marriage and family counseling, SFC has grown into its own as a counseling method focusing on finding solutions rather than exploring the problem (de Shazer, 1985) De Shazer believes that too much time and energy is spent by counselors trying to discover the cause of a client's problem by using vague and subjective terminology such as feelings, thoughts and motivations instead of trying to establish concrete, appropriate solutions. He believes the key to helping clients feel better is to assist them in focusing on what they are doing that is positive instead of why they think a problem exists. Furthermore, solution-focused therapy is grounded in the present and future, as opposed to the past (Murphy, 1997). As with Carl Roger's person-centered counseling, SFC acknowledges the basic goodness in people, their capacity for rational thought, and the ability to solve their own problems (Thompson & Rudolph, 2000).

PAGE 38

31 Theoretically, SFC is based on the belief that a strong counselor-client alliance is the best way to find solutions to the client's problem. The strength of this relationship depends on the counselor's: 1) acceptance of the client for who she or he is, 2) acknowledgment that the client needs to develop solutions, and 3) accommodating their goals and beliefs (Murphy, 1997). To achieve the "Three-A" rule, as Murphy has titled it, warmth, empathy and caring are necessary to enable the relationship to flourish. After a strong rapport has been established, the counselor and client work together to identify the client's strengths, implement concise and proactive interventions, such as role-plays and homework assignments, and establish clear and achievable goals (Bruce, 1995). Once rapport has been established in the counselor-client relationship, the client then is encouraged to initiate change while social/emotional progress is supported (Corey, 2001). Solution-focused counseling uses the idea of "exceptions" as a foundation for methods and techniques used in counseling sessions, whereby the client and counselor accentuate the positive (Coe & Zimpher, 1996). Murphy (1994) delineates exceptions in situations in which the problem experienced by the client does not occur, or it occurs to a lesser degree. That is, effective SFC counselors challenge their clients to recount a time when an unwanted problem or negative situation does not occur. From this knowledge base, the client-counselor alliance focuses on what caused the negative occurrence to cease, and how to develop solutions and goals to decrease the likelihood of the problem occurring again. De Shazer ( 1990) acknowledged that for clients who are not capable of forming positive, constructive, behavioral goals, a more straightforward and concrete method is needed. The "miracle question," developed by de Shazer (1990), challenges clients to consider solutions and goals by presenting them with a hypothetical situation that

PAGE 39

32 provides an opportunity to explore how they would react if a presenting problem miraculously disappeared overnight. They are asked questions such as : "What would be different?" or "How would you know the problem disappeared? A client presented with a miracle question has the opportunity to think of what life would be like without the specific problem. After the client reflects on the question the counselor asks what things would need to occur in real life if a miracle were to become a reality, emphasizing the client's role in bringing about the desired changes. This method allows clients to discover their own solution s, with guidance from the counselor. According to Murphy ( 1994 1997) the use of positive exceptions is the driving force behind the miracle question It is during these moments that a client is forced to think about her/his role in creation of constructive solutions. Hopefully the miracle question and the focus on positive exceptions interact to create positive change, no matter how small the size of that change. Lafountain Garner and Eliason ( 1996) write that counselors using SFC methods should be concerned with any amount of change, regardless of how small. These researchers assert that major changes in a client's life, and the ways in which changes account for solutions and improvements are fust based on small changes. From small but significant change they postulate that it is possible for clients to establish long-term goals and to activate workable solutions. Considering that concrete, small, realistic goals and solutions are particularly useful when working with children and adolescents, school counselors can benefit from using SFC when assisting students assigned to their often overwhelming caseloads (Bennington 1993 ; Mosert, Johnson, & Mosert, 1997). Professional school counselors are using the recent surge in research and practice of SFC to justify the increased use of this brief counseling approach in school s ettings

PAGE 40

33 Although few school counselors deal with the stress of third-party payments and health management organizations, they do experience large caseloads and limited time in the school day to effectively addres s the needs of students faculty parents and the school administration. Downing and Harrison (1992), citing the realities of school counseling ," acknowledge that SFC can assist school counselors in becoming more efficient and productive facilitators in spite of the alarming number of duties for which they are responsible As noted elementary school counselors can benefit from SFC in that it helps them provide effective individual and small-group counseling services in spite of large caseloads. Also Lafountain and Garner (1996) acknowledge the usefulness of SFC techniques with young children by highlighting the use of concrete activities such as homework assignments using art to tell stories, and structured thematic units that can be used highlight and identify exceptions to children s problems As stated earlier solutions and goals can be set for the student-client after new ideas and perspectives are outlined through SFC techniques. The idea of the miracle question" is also useful when working with young children as is the case in this study Sklare (1997) wrote that children who identify with the concept of magic tales of fiction and make-believe and storytelling, would approve and relate to the use of a miracle or magic questions Sklare is aware of the unrealistic goals and forecasts that young children may aspire to in answering a miracle question However he calls on the counselor to reframe and guide the child to a more probable and realistic solution. Considering that young children posses fewer life-experiences from which to draw upon than do adults, some crit i cs of SFC claim that children lack the awareness and

PAGE 41

34 skills to make SFC a useful counseling approach in school counseling (Thompson & Rudolph, 2000). However, several researchers believe the strength of the counselor-child relationship, as well as the counselor s ability to follow the lead of the child are responsible for yielding positive results from the use of SFC (Campbell & Elder, 1999; Mosert, Johnson, & Mosert 1997; Sklare, 1997). Murphy (1997) points to genuinely matching the child s language when appropriate as another key to compensating for a child's lack of resourcefulness. This adds a sense of empathy and patience to a SFC-type counseling session where the child feels acknowledged and respected. As a result children feel they are equal partners in the communication process that occurs in the counseling environment. Murphy (1994) acknowledges the empowering affect SFC and its u s e of exceptions can have on children s self-esteem and sustained use of newly discovered solutions over long periods of time. In a separate study by Lafountain and Garner ( 1996), heightened levels of self-esteem were found for children who participated in small groups led by school counselors trained in SFC. Regarding multicultural issues Thompson and Rudolph ( 2000) write that SFC is applicable to Hispanic American/Latino culture members because of the directive and focused nature of the methods, along with the concept of centering on the here-and-now. According to Thompson and Rudolph, Hispanic Americans/Latino children feel more comfortable with counselors that offer directive hands-on interventions instead of cognitive, esoteric affective open-ended counseling sessions While cautioning against generalizations regarding how diverse cultures react to counseling, Thompson and Rudolph indicate that Hispanic Americans/Latinos tend to favor interventions that are concise and those that can be completed in less than ten sessions.

PAGE 42

35 The concrete nature of the interventions emphasis on the counselor-client relationship, overall positive reaction of Hispanic Americans/Latinos to SFC, and unconditional positive regard for children inherent in de Shazer s theory have led to the decision to use SFC in this s tudy. Furthermore studies on the efficacy of SFC with small group interventions demonstrate positive outcomes when working with children experiencing difficulty in the school environment (Clark, 1998; Lafountain & Garner 1996). Small Group Counseling Interventions Small group counseling can be used to assist children in expressing feelings and in coping with various problems (Corey 2000) According to Corey counseling groups in an elementary school setting can be effectively used for developmental, remedial and preventative purposes Counseling groups also provide school counselors with the opportunity to effectively provide services to concurrently meet the needs of many children (Brown 1994 ). Through group work, school counselors can identify and assist young children in their academic and social development. Experiencing this intervention can provide children with the coping mechanisms and strategies needed to effectively handle current and future negative experiences they may encounter. Gibson Mitchell and Basilie ( 1993) consider small group counseling beneficial for children in that it enables them to confront concerns in a social environment where they gain indirect support from the notion that their problem is not exclusive to them This idea of universality developed by Yalom ( 1995), leads to decreased shame, isolation and self-perceptions of being different from others The developmental nature of counseling groups proves very useful when working with children s self-concepts attitudes toward school and improved academic success;

PAGE 43

36 the three dependent variables addressed in this study. Jacobs, Harvill, and Masson (1994) consider a small group intervention to be effective in treating children with negative self concepts. These authors indicate that well organized groups, with structured activities and exercises, can assist students by increasing feelings of self worth. In working with learning disabled students, Amerikaner and Summerlin ( 1982) determined students participating in a social-skills group counseling intervention showed increased self esteem when compared to students who did not take part in the counseling activity. Regarding attitudes, Campbell and Myrick (1990) found increases in children's positive attitude toward schools for those who participated in group counseling. Teachers of low-performing students in this study rated their students as having a better attitude and improved behavior after taking part in structured activities centered on self-concept, motivation, school attitude and behavior. Also, Myrick and Dixon (1985) used the existence of a positive correlation between positive school attitudes and academic success as justification for providing small group counseling interventions focused on improving self-concepts to unmotivated or troubled students. A related study by Kilmann Henry, Scarboro, and Laughlin (1979), found that elementary school-aged underachieving students were more motivated to learn after engaging in a nine-week, small-group counseling experience focusing on self-control and behavior modification. The future of school counseling is directly related to the current focus on accountability of academic success and improved standardized test scores for all students. Schmidt (1999) stresses the importance for school counselors to become active agents in helping children meet the rigors of academic standards. He advocates the use of small group counseling as an effective way to improve academic success for children. Gerler, Kinney, and Anderson ( 1985) conducted research to test the effects of individual and

PAGE 44

37 small-group counseling interventions on students' school performance. Students who participated in the experimental group of this study demonstrated significant improvements in mathematics and language arts grades when compared to students in the control group not receiving the intervention. Gerler, Kinney, and Anderson (1985) concluded that general counseling interventions that positively change a child's self concept and focus on study-skills also accentuate the importance of socio-emotional variables regarding academic achievement. As noted previously, solution-focused counseling is effective when administered through small-group interventions in a school setting. LaFountain, Garner, and Eliason (1996) indicate that school counselors who conduct SFC groups have the opportunity to simultaneously work with four or more students. These researchers believe it is in the best interest of the school counselor to work with a group of students who share the same problems, concerns, or situations, as opposed to working with them on an individual basis. Since SFC counselors concern themselves with finding solutions instead of dwelling on problems, children in SFC groups can work together, with guidance from the school counselor as a small group leader, on establishing goals and solutions (Coe & Zimpher, 1996). In general, solution-focused counseling groups allow children to bring their experiences to a counseling session, share those experiences with peers, engage in open discussion on feasibility of solutions, implement new solutions, and recount to the group the efficacy of newly-acquired coping skills. When working with children from culturally diverse populations, researchers (Fehr, 1999; Pedersen, 1997; Yalom, 1995) caution small-group counselors to become aware of their own biases before beginning a small-group intervention. The success and ability to apply small group counseling techniques to Hispanic American/Latino children

PAGE 45

38 depends more on the counselor's multicultural training, awareness of her/his own culture, and knowledge of her/his clients cultural identity than the students ethnicity (Corey 2000) Overall, minority students from various cultural backgrounds will find small group counseling experiences to be rewarding and beneficial (Lee 1995). Because of the ever-growing numbers of LEP students in U.S schools s chool counselors are faced with providing services to a vastly diverse student population (Keyes 1989). Small-group counseling becomes a viable intervention in light of increasing Hispanic American/Latino LEP caseload s As noted, school counselors often organize and effectively execute small-group counseling activities for children focusing on divorced families, relocating to a new school and grief issues (Schmidt 1999; Thompson & Rudolph, 2000). Therefore, it is also plausible for school counselors to assist elementary school-aged, LEP Hispanic American/Latino children experiencing difficulty in the school setting by providing them with a small-group counseling experience designed to fit their specific needs. Summary Ogbu (1995) emphasized that LEP students experiencing problems with school adjustment and related socio-emotional concerns can benefit from additional assistance from school personnel. School counselors fill this role by facilitating Hispanic American/Latino LEP children s adjustment to the school environment using a variety of interventions (Gopaul-McNicol & Thomas-Presswood, 1998; Lee, 1995). A review of the professional literature in this chapter has provided information on relevant factors and techniques necessary to assist this specific group of elementary school-aged children. The use of a small-group solution-focused counseling intervention grounded in ameliorating a child's concerns and worries through reflective listening, can help a school

PAGE 46

39 counselor establish rapport with children while also furthering their academic and personal/social coping skills (Wittmer, 2000). Cognizant of how language acquisition and negative educational experiences may hinder the socio-emotional development and academic progress of these children this study seeks to determine the effectiveness of SFC small-group counseling interventions as they pertain to Hispanic American/Latino LEP children

PAGE 47

CHAPTER3 METHODOLOGY The purpose of this study was to determine the effectiveness of a structured, small group, solution-focused counseling intervention with Spanish-speaking, LEP elementary school students. The sample for the experimental and control groups was derived from LEP children in Grades three, four, and five who had received public school ESOUESL instruction for at least one year. The researcher-developed counseling intervention, administered by specially trained school counseling graduate students enrolled in their internships, was evaluated for its effectiveness in assisting Spanish-speaking LEP students attain greater academic success, improve their self-concepts, and develop more positive school attitudes Preand post-measures of effectiveness were completed by the participating students A random sample of participating students were asked to respond to a set of qualitative, structured, open-ended questions following the experimental treatment. The sampling and research procedures are described in this chapter. The intervention and counselor training for the study also are described. Population The population of interest for this study was native-Spanish-speaking, LEP students in the third, fourth or fifth grade who had received at least one year of ESOUESL education. Students participating in the study were classified as LEP and enrolled in a public school ESOUESL program in the Lafayette School Corporation (LSC), Lafayette, Indiana. 40

PAGE 48

41 In 2001, the population of Lafayette, a mid-size city, was 56,397 In the academic year 2000-2001, the Indiana Department of Education (2001) reported the Lafayette School Corporation as having 7405 students attending 14 schools. Eleven of the 14 schools are elementary schools. A total of 3706 students were enrolled in Grades K through 6, with 1802 in Grades 3, 4, and 5. In addition, 27.3% of all students were eligible for free lunch and 21.2% of students fell into the "Minority" category African American, Asian American, Hispanic American, Native American, and Other. The 2001 demographics for Lafayette were similar to those statewide with the exception of Hispanic American/Latino residents and LEP students enrolled in ESOL/ESL programs. According to the State of Indiana (Stats Indiana, 2001), Hispanic American/Latinos accounted for 5.6% of the population in Lafayette, compared to 3.5% statewide. Lafayette reported a 307% increase in the number of Hispanic American/Latino residents between 1990 and 2000, the second largest increase in Indiana during the same time period. Most of these Latinos identified themselves as Mexican. Most of the Hispanic American/Latino population in this area is employed in agriculture or automobile manufacturing. With regard to LEP students, 1.36% of the Indiana public school students were enrolled in ESOL/ESL programs statewide in 2001, while 6.49% of Lafayette students were receiving ESOL/ESL instruction. At the time of the study, 15.51 % of all elementary school students enrolled in the LSC indicated Hispanic American/Latino as their ethnicity (Indiana Department of Education, 2001). According to data provided by the LSC, 360 elementary school-aged, LEP, Spanish-speaking students were receiving some sort of ESOUESL instruction during the 2001-2002 academic year. Of the 360 LEP, Spanish-speaking students, 194 elementary school children had received at least one year of ESOL/ESL instruction.

PAGE 49

42 Sampling Procedure Permission to conduct the research with a particular school district/corporation was sought after the University of Florida's Institutional Review Board granted approval for the study. After e tablishing that Lafayette, Indiana had an above average number of Hispanic American/Latino residents, the researcher sought the support and permission to conduct this research project within the Lafayette School Corporation. In 2001, the Lafayette School Corporation had nine elementary schools where ESOIJESL services for elementary school-aged children were provided The Hispanic American/Latino student population in these schools accounted for 10% or more of the entire school enrollment. The details of the research project were presented to all nine principals as well as to the assistant superintendent for elementary education for LSC. School principals were provided with general information about the study, the population of interest for the tudy, a description of the counseling intervention as well as all other logistics pertinent to the study. Of the nine school principal who reviewed the information, four out of nine agreed to involve their schools in this project. Those who did not volunteer to do so indicated the project was too time consuming and/or did not see the benefits of associating their schools with the project. A list, compiled of eligible students in Grades three, four, and five from the four participating schools, totaled 91 The four participating school principal assumed the responsibility of distributing informational materials to all ESOIJESL students and their parents. The materials distributed to children and their families included informed consent forms, as well as a brief description of the study. All information provided to parents was written in both English and Spanish. The 59 students whose parents provided

PAGE 50

consent to participate in the study were randomly assigned to the control group or the treatment group (s) at their chools, respectively Resultant Sample The resultant sample was composed of 59 ESOL/ESL students from four elementary school s whose parents provided consent for participation in the study. The preand post-tests mea s ures a s well as the treatment were completed for all students within the pre-established time frame. Student demographics of the four participating schools are given in Table 3-1 Table 3-1 Total Enrollment and Student Race/Ethnicity by Participating School School Number Enrollment Percent of Students by Race/Ethnicity 43 White Black Latino Asian Native American 1 547 75 % 2.6 % 17 2 % 1.1 % 0 2 % 2 444 59 9 % 7 % 28 2 % 0 7 % 0 2 % 3 366 71 % 6.8 % 19 7 % 0 0 % 0 0 % 4 375 78 1 % 3 7 % 12 8 % 1.6 % 0 3 % The number of participating students per school varied from 6 to 21 Based on related research and expert opinion ( Wittmer 2000) it was determined that no treatment group should have more than five members. For this reason, the sample was divided into a control group of 31 students and an experimental group of 28 students Of the s ix treatment groups one had three participants while the other five consisted of five participants each The demographics of the total sample treatment group and control group are found in Table 3 2. The control group consisted of 19 females and 12 males and the treatment group included 17 females and 11 males Five of the control group members were 8-year-olds

PAGE 51

44 thirteen were 9-year-olds ten were 10-year-olds and three were 11-year-old s The treatment group consisted of nine children who were 8-year-olds eight who were 9-year olds eight who were 10-year-olds and three who were 11-year-olds. Table3-2 Demographic Characteristics of Sample by Sex, Age-level, and Level of Time in ESOIJESL Program Demogra2hics Sex Age-Level Level for Time in ESOIJESL Groupings Male Female 8 9 10 11 3 Years 4 Years 5 years Sample 39 % 61 % 24 % 36 % 30 % 10 % 35 6 % 35 6 % 28 8 % n = 59 Treatment 39 % 61 % 32 % 29% 29 % 10 % 35.8 % 32.1 % 32 1 % n =28 Control 39 % 61 % 16 % 42 % 32 % 10 % 35.5 % 38.7 % 25.8 % n = 31 Relevant Variables Two standardized assessment instruments were administered preand post intervention to participants in both the control and experimental groups The instruments used were the ( a) Piers-Harris Children's Self-Concept Scale (PHCSCS) and the (b ) School Attitude Inventory (SAD. In order to ensure confidentiality of scores all instrument measure s were coded according to gender age-level and level of time in ESOIJESL programs for each participating child. In addition, after the treatment an open-ended, three question interview was conducted with a small, random sample of children from the experimental and control groups. The group consisted of 24 children, roughly 40 % of the original sample. Independent Variables According to Gay (2000), quantitative research studies wherein the researcher manipulates an independent variable are considered to be experimental in nature

PAGE 52

45 Therefore, the independent variable for this study was the solution-focused small-group counseling treatment (Appendix D). The researcher, with the assistance of the counseling interns, randomly assigned students at their respective schools to the treatment or control groups. As noted, 28 children participated in the small group treatment experience while 31 comprised the control group. The masters-level school counseling interns attended a 2-hour workshop conducted by the researcher prior to implementing the treatment (Appendix B) The treatment facilitators were responsible for leading the experimental small groups in their assigned schools, as well as administering the pre and post measures. The control group participants did not receive treatment. However, the researcher and participating school principals undertook measures to provide the small-group counseling intervention to the control group once post-treatment data had been collected from both groups Finally, in order to account for fidelity of treatment, each treatment facilitator completed a weekly checklist to verify duration of the weekly small group interventions, the completion of the structured exercises in each activity, the discussion of homework assignments, and any presenting problems with the intervention. Dependent Variables This study focused on two dependent variables: participating student's self concept and school attitude. The academic success of the participants also was of interest in this study. This variable was addressed by the researcher asking three open-ended questions (Appendix C) to a small, selected sample of experimental and control group participants at the conclusion of the 6-week treatment. The structured interviews helped gauge possible

PAGE 53

46 changes in students perceptions of their academic success following the treatment. Their responses were recorded and appear in Appendix E. Instruments In order to determine the effects of the treatment, the following assessment measures were used: Piers-Harris Children's Self-Concept Scale (PHCSCS), the School Attitude Inventory (SAi) and the three-question structured interview (Appendix C). Both the PHCSCS and the SAi are self-report surveys. Pre-test and post-test of the PHCSCS and SAi were administered by the group facilitators and scored within five days of being administered The structured interview was conducted by the researcher, without previous contact with the respondents or knowledge of treatment/control group affiliation (blind review). Piers-Harris Children s Self-Concept Scale (PHCSCS) The Piers-Harris Children s Self-Concept Scale (PHCSCS) was developed in 1966 by Ellen Piers and Dale Harris to assess how children and adolescents feel about themselves (Epstein, 1985) The PHCSCS is normed-referenced and intended for use with children ages eight through 18. It was originally normed on a sample of 1,183 Pennsylvania children in Grades three through twelve (Piers, 1984) The PHCSCS is a self-report measure composed of 80 items and takes approximately 20-30 minutes to complete. Responses to the items are either "yes" or "no," indicating if the item is true or not (most of the time) for the experience described An adult may administer the PHCSCS individually or to a group of children. Children taking the PHCSCS may read the items themselves or if necessary, the examiner is permitted to read the questionnaire aloud, especially to children in lower grades (four five, and six) and younger (Epstein, 1985). According to Jeske (1985), procedures for

PAGE 54

administering, hand scoring, and interpreting the instrument may be completed in 30 minutes per student. The PHCSCS was designed to measure how children and adolescents perceive themselves within six areas: Behavior (16 items) Intellectual and school status (17 items) Physical attributes and appearance (13 items) Anxiety (14 items) Popularity (12 items) Happiness and satisfaction (10 items) 47 According to Piers ( 1984 ), the six "clusters" that comprise the PHCSCS were chosen based on a meta-analysis of correlations of seven separate samples of students. Along with an overall score the PHCSCS yields scores for the six individual clusters. The participants' overall score, as well as individual cluster scores, were a part of the data analyzed in this study. Teachers and trained paraprofessionals are best suited for administering the PHCSCS, while interpreting the scores should be done by masters-level professionals with advance knowledge of psychological assessments (Piers, 1984). The lowest possible raw score for each cluster is "O while the highest raw score depends on the number of items in the specific cluster. The overall raw score for the PHCSCS is determined by adding the six individual raw scores, with the lowest score being "O" and the highest score being "80 Information for converting raw scores into percentiles stanines and scores are provided on the individual answer sheets. Higher raw scores correspond with higher stanines, percentiles, and T-scores. Tests of reliability for the PHCSCS have been conducted with a variety of children Using the Kuder-Richarsdon Formula 20, reliabilities of .88 .93 for males and

PAGE 55

48 females were cited by Piers (1984) for the overall test scores. Also, alpha coefficients of .90 .91 were reported by Piers for males and females. Thus, internal consistency for the total score on the test is relatively high. Finally, Piers (1984) reports a .72 reliability coefficient for a four-month test-retest time interval based on a study of children in the third grade. Tests of reliability for individual clusters of items are based on the initial standardization sample for the six sub-scales using 485 students from the original 1,183, and an additional 97 children from Pennsylvania outpatient psychiatric clinics Coefficient alpha levels of internal consistency were reported at .73 for Satisfaction, .74 for Popularity, .76 for Physical appearance, .77 for Anxiety, .78 for Intellectual and School Status, and .81 for Behavior (Piers, 1984). A number of empirical studies by Piers ( 1984) were used to determine the content, criterion-related, and construct validity of the PHCSCS. An original factor analysis conducted by Piers (1984) in order to establish content validity narrowed down ten original scales into the current six clusters. A follow-up factor analysis using the six clusters was conducted ten years later and yielded strong support for the original six clusters (Piers, 1984) Other studies cited by Piers (1984) indicate support for most or all of the six clusters of the PHCSCS. Piers also determined levels of intercorrelation among the six clusters of items in order to establish criterion-related validity, yielding correlations ranging from 21 to .59 Finally, construct validity estimates were determined by comparing the PHCSCS to several related instruments, including the Coopersmith Self-Esteem Inventory and Personal Attribute Inventory for Children. Correlations between the PHCSCS and the other measures ranged from .32 to 85 (Piers 1984).

PAGE 56

49 The PHCSCS, considered an excellent research instrument (Epstein 1985) has been used successfully by several researchers to study the self-concepts of bilingual Hispanic-American/Latino children and adolescents (Piers, 1984). These two factors along with strong reliability and validity indicators, demonstrated the rationale for using the PHCSCS in this study. School Attitude Inventory (SAI) The School Attitude Inventory (SAI) (Appendix C) is a self-report, paper-and pencil measure that consists of ten items dealing with one's pleasure excitement, and personal control at school. The items comprise behaviors related to school success and attitude toward school for elementary aged children (Cuthbert, 1987). Student's responses to the SAI are based on a pictorial scale termed the Self-Assessment Manikin (Lang, 1980). The Self-Assessment Manikin was based on factor analytic studies of affective ratings with children (Osgood 1962) The SAI evaluation scale for each item is presented visually through use of three cartoon panels Each panel consists of five pictures. The fust panel reveals a cartoon figure with five variations of a face, from excessive smiling to extreme frowning. This is intended to measure a young child's happiness at school. The second panel shows a cartoon figure with five variations of stress, from being highly anxious or stressed to utter calmness The third panel depicts a cartoon figure with five variations of control, from a small size figure representing total control to a large figure representing extreme lack of control. This is intended to measure the level of a young child s perceived control at school. Students taking the SAI indicate their choices to each of the ten items in relation to the three dimensions (happiness, stress and control) by placing an "X" over the picture that best symbolizes their feelings regarding a specific dimension. Each dimension has a

PAGE 57

50 range from one to five points per question. Thus, total scores on the SAI range from 30 to 150, with total scores per question ranging from three to 15 and total scores per dimension range from 10 to 50. For analysis purposes, each response is converted into numbers, with 5" representing the most pleasure, 5 the most calm and "5" the most control. Cuthbert ( 1987) used the SAI in a study focusing on measuring the effectiveness of an elementary school classroom guidance unit for promoting school success. Consequently, the SAI was developed for children at or above a third-grade reading level. However in cases where children are unable to read and comprehend the items, the SAI can be read aloud to children (Webb, 1999) Cuthbert (1987) conducted test-retest reliability for the SAI and found a coefficient of stability of .76 with 49 third-grade students. Three-Question Interview for Academic Success The researcher randomly selected 24 children (12 from the experimental group and 12 from the control group) to participate in a structured, three open-ended-question interview (p. 112) regarding their perceived academic success. In accordance with proper structured interview techniques, each child was asked the same three pre-established questions in the same order (Fontana & Frey, 2000) The responses of the 24 participants were recorded in writing and analyzed using qualitative research methods. The research methodology used to analyze the questionnaire data is given below and the results are given in Chapter 4 and discussed in Chapter 5. Hypotheses A .05 alpha level of significance was used to determine whether differences found between the means of the experimental and control group were due to chance or to the

PAGE 58

51 treatment provided. According to McNamara (1994), an appropriate level of significance (a= .05 in this case) represents the risk of wrongfully rejecting the null hypothesis and thereby committing a Type I error. The following eight null hypothesis were tested: 1. There is no difference in the self-concept of third, fourth and fifth grade Hispanic American/Latino, LEP children in ESOUESL programs as a result of participation in the experimental small group intervention, as compared to the control group. 2. There is no difference in the attitudes toward school of third fourth and fifth grade Hispanic American/Latino LEP children in ESOUESL programs as a result of participation in the experimental small group intervention, as compared to the control group 3 There is no s elf-concept interaction among treatment and gender. 4. There is no self-concept interaction among treatment and age-level. 5. There is no self-concept interaction among treatment and level for time in ESOUESL program 6 There is no school attitude interaction among treatment and gender. 7. There is no s chool attitude interaction among treatment and age-level. 8. There is no school attitude interaction among treatment and level for time in ESOUESL program. In addition to the hypotheses testing listed above, the researcher determined the effectiveness of the small group counseling intervention on participants school success. The researcher sought to ascertain the relationship between school success and participation in the treatment or control group, by using the qualitative data collected using the structured interview instrument. Research Design and Data Analyses The research design used for this study was a pre-post control group de s ign. Children were randomly assigned to a control or experimental group at their individual

PAGE 59

52 schools. Random assignment of the children to the experimental and control groups enhanced internal validity (Gay, 2000). As noted, there were a total of 59 children, representing four different schools, participating in the study. A total of 3 lchildren were in randomly assigned to the control group while 28 children participated in the experimental group. Table 3-3 details the experimental design for this study. Analysis was performed on the pre-to-post test changes in scores for the two standardized measures used in the study. Analyses of covariance (ANCOV A) was conducted to determine the significance of differences between groups, with the participants' pre-test scores used as the covariate (Shavelson, 1996). Factorial ANCOVA was used to determine relationships and differences among self-concept and school attitudes, and gender, age-level and level for time students had been enrolled in ESOIJESL program also were computed. Qualitative research analyses were applied to respondents' answers to the structured interview administered by the researcher. Data was gathered from key-words in-context (KWIC) lists derived from the ethnographic examination of field notes (Ryan & Bernard, 2000). The qualitative data then was analyzed through the constant comparative method. According to Gilgun, Daly and Handel (1992), this method, derived from grounded theory, can be conducted in order to determine possible similarities and differences between control and experimental groups. This was done by comparing the KWIC lists from the treatment group with the KWIC lists derived from the control group respondents to the 3 questions. The researcher conducted the short, approximately five-minute long interview, with each of the 24 participants (12 control and 12 experimental group participants). The

PAGE 60

53 interviews were conducted in English and each interviewee agreed that she/he understood the questions asked Of the 12 participating control group members, eight were female and four were male Consequently, seven female participants and five male participants comprised the 12 treatment group participants. Overall 15 female students and nine male students were interviewed Table 3.3 Pre-Post Control-Experimental Group Design Outcome measurement times Condition T1 Ci T 2 C 2 T 3 C J T 4 C4 Tn = Cn = R = X = 01 = 0 2 = Pre R 01 0 2 R 01 0 2 R 01 0 2 R 01 0 2 R 01 0 2 R 01 0 2 R 01 0 2 R 01 0 2 Treatment group and school number Control group and school number Random assignment of subjects to groups Group counseling treatment for LEP, ESOUESL students Piers-Harris Children's Self-Concept Scale (PHCSCS) School Attitude Inventory (SAD Masters level School Counseling Student Training Po s t X 01 0 2 01 0 2 X 01 0 2 01 02 X 01 0 2 01 0 2 X 0 1 0 2 01 0 2 The researcher trained the two female Caucasian masters-level school counseling interns in the implementation and use of the small group intervention. The facilitators were 25 and 41 years old. The training consisted of a 2-hour in-service meeting designed to prepare them to implement the small group counseling treatment

PAGE 61

along with specific instructions so as to insure that the treatment would be uniform and consistent across the participating treatment groups and schools 54 The scope of the information presented as a handout packet at the in-service training included a description of the research and its procedures and a standardized schedule for delivering the intervention to the selected students (Appendix B) Particular attention was given to obtaining data for the dependent variables including instructions on how to administer the instruments. Also, controlling and standardizing the experimental conditions as much as possible was discussed in order to limit differences among the experimental groups. The in-service concluded with an opportunity for both interns to ask questions and provide comments. A brief workshop outline follows below. Details of the workshop are provided in Appendix B. Masters-level School Counseling Student Training Workshop Outline Purpose of the Study (5 minutes) Experiences of Hispanic American/Latino, Limited-English Proficient Children (50 minutes) A. Needs of Hispanic American/Latino children and counseling issues B. Educational experiences of Spanish-speaking LEP children C. English-as-a-Second-Language instruction and language acquisition D. Assisting Hispanic American/Latino, LEP students in ESOIJESL programs Research Procedures (50 minutes) A. Overview of research design B. Small-Group Guidance and Solution-Focused Counseling C. Randomization of student participants D Informed notice and consent E Collecting preand post-data Delivery of Counseling Interventions Return of Research Materials (5 minutes) Questions and Comments (10 minutes) Lastly, the researcher provided weekly written notices to each of the group facilitators in an effort to assist them to follow the timeline, suggestions for counseling

PAGE 62

Hispanic American/Latino students, providing the intervention and related home activities, and administering the post-measures. Description of Treatment A solution-focused, small group counseling intervention, developed by the researcher, was used in this study The treatment period for the experimental group spanned 6 weeks and included one 40-minute session per week. The intervention was conducted during the Fall 2001 semester to coincide with the second school grading period The participating LEP students assigned to the experimental group received the small-group treatment. 55 The overall theme of the 6-session, small-group intervention was that of a structured "treasure hunt," including structured take-home assignments. The items that were "discovered and "collected" to use treatment jargon consisted of skills and tools that can be helpful to LEP, Spanish-speaking students, in order to achieve academic success and to develop a positive self-concept and overall more positive school attitude. The solution-focused counseling, 6-session, thematic unit was designed to give children the impression that they are on a quest for "items" to place in their "treasure bags," with the school counselor serving as their "Treasure Hunt" guide again, using treatment jargon. The results of participating in the treatment were a completed treasure map for each experimental group participant that depicts improved academic achievement, social emotional development, and school adjustment. The pre-tests were administered by the masters-level school counseling students to the 59 participants, one week prior to the first small-group counseling session. The experimental groups began meeting the following week. The control group members continued to go about their regular school routines.

PAGE 63

56 The first session of the counseling intervention focused on establishing school counselor-child rapport. The first session also introduced the entire intervention, addressed the reason for the children's participation and explained the treasure hunt theme, confidentiality in the group, duration of each session, number of sessions, and additional questions the children may have had. The remaining five sessions addressed specific stigmas, problems, and concerns encountered in the school environment, as well as other issues facing the Spanish-speaking, LEP students in the school environment. Students in the treatment group were excused from recess and physical education classes in order to take part in the intervention. To adhere to the basic premises of solution-focused counseling, children participating in the experimental small groups were provided with the opportunity to develop and implement solutions to possible concerns and issues. Dealing with discrimination, discussing and acknowledging emotions and experiences related to being ethnically and linguistically different from peers, discussing their experiences with their ESOIJESL teachers, reducing stress caused by non-native language instruction, developing better study skills, strengthening self-concept, coping with a society and school environment different from the one experienced in the home and country of origin, and planning for future goals are among the topics were addressed in the small-group counseling sessions. At the conclusion of each session, children were encouraged to apply what they learned in the small group setting to their school and home environments during the next week. Therefore, homework assignments were completed by participants and became a major aspect of the following small-group session. The intervention culminated at the end of 6 weeks with a wrap-up session to highlight key points and agreed upon solutions.

PAGE 64

57 The post-tests and open-ended question, structured interviews were conducted within a total of seven days of termination of the treatment. Both the experimental and control group members were administered the post-tests measures by the school counseling interns three days following the last small group session with the experimental groups. The researcher conducted the three-question structured interview within seven days of the administering the post-treatment measures. Summary The study occurred during the second grading period of the 2001-2002 public school year between October and December 2001. Prior to beginning the study the researcher met with administrators and nine elementary school principals in the Lafayette (Indiana) School Corporation to secure permission to conduct the research within their school corporation. The researcher conducted in-service training with the two masters level school counseling interns to discuss assessment administration and their facilitating of the small group counseling treatment. The six treatment sessions lasted approximately 40 minutes each and occurred once per week. The researcher conducted interviews with 24 participants using a qualitative, open-ended, three-item questionnaire. The interviews followed the post-test administration of assessment instruments

PAGE 65

CHAPTER4 RESULTS The purpose of this study was to examine the effects of a solution focused, small group counseling intervention with third, fourth, and fifth grade, limited English proficient (LEP), Hispanic American/Latino students' self-concepts and attitudes toward school. The students elected for participation in the study were all participants in an English for Speakers of Other Languages/English as a Second Language (ESOL/ESL) public school program and had been so enrolled for at least one year prior to the beginning of the study. The small group counseling intervention, developed and written by the researcher, was designed to improve the students' self-concepts and attitudes toward school, as well as their overall perceived school success. Two school counseling interns, both enrolled in a graduate-level program in a Counselor Education department, delivered the structured, small group intervention to the students over a 6-week time period. Both interns were in their final semester of internship and were female, and were 25 and 41 years of age. Lastly, both completed the required training for administering the assessments used in the study and for effectively conducting the 6-week long treatment. The school counseling interns also were responsible for administering the preand post-measures. In order to determine the effectiveness of the small group counseling intervention, statistical analyses were conducted on the preand post-test data collected. A two-way ANOV A was performed on the school effects data, an ANCOV A on the main effects and an ANCOV A was performed on the categorical data. 58

PAGE 66

59 Two dependent measures, the Piers-Harris Children Self-Concept Scale (PHCSCS) and the School Attitude Inventory (SAI) were administered to all participants (N = 59). A qualitative structured interview, conducted by the researcher following completion of the small group intervention, was completed with a random sample of participants from the experimental and control groups. The three-question, verbal interview was conducted to determine the perceived overall effectiveness of the intervention on participants' perceived school success. The 28 third through fifth grade students who completed the 6-week treatment program were enrolled in four different public schools in a city in Indiana Random assignment of students to the control and treatment groups was done prior to administering the pre-test measures. This random assignment resulted in 31 students being placed in the control group and 28 in the treatment group. Twenty-four of the 59 participants also were randomly selected to participate in the qualitative, structured interview at the conclusion of the treatment. Data Analyses Eight hypotheses were tested on the two quantitative dependent variables. The level of significance was set at .05 for all statistical tests performed. The means and standard deviations for the preand post-tests are provided in Table 4-1 School Effects The 59 students participating in this study had been assigned to four intact school groups Thus, a two-way ANOV A was conducted on pre-assessment measures for the PHCSCS and SAI to test for the between schools differences and/or school-by-group as well as for between interactions. The data analysis yielded no significant differences between schools for the PHCSCS pre-test (F (1,51) = 2.13, 12 = 11 ) or the SAI pre-test

PAGE 67

60 (F (1,51) = 1.16 .Q = 34). Also, the school-by-group interactions were not found to be significant for the PHCSCS (F (3 51) = 2.37, .Q = .68) or the SAI (F ( 3 51) = .64 .Q = 59). Therefore the data for both the control and treatment groups were collapsed, to establish one treatment group (N = 28) and one control group (N = 31 ). The complete results of this ANOV A are found in Table 4-2 Table 4-1 Means and Standard Deviation of Pre and Post-Test Scores for Control and Treatment Group Students Variable N Mean Std Dev Control Group Students PHCSCS-Pre 31 62 64 13.98 PHCSCS -Post 31 62.29 13.55 SAI-Pre 31 132.94 18 65 SAI-Post 31 134.26 18 89 Treatment Group Students PHCSCS-Pre 28 56 93 11.63 PHCSCS Po s t 28 57.96 13 63 SAI-Pre 28 128 75 16 58 SAI-Po s t 28 131.75 17 63 Table 4-2 Two-way Analysi s of Variance for Between Schools Effect and Between Schools Effect by Treatment Group Effects Source ss SchGrp PHCSCS 1023 09 SchGrp Trt, PHCSCS 241.55 Error 8175 81 Corrected Total 9995 73 SchGrps, SAI 1091.71 SchGrps Trt SAI 606.74 Error 16061.94 Corrected Total 18108.85 Main Effects and Interactions df MS 3 341.03 3 80.59 51 160 31 58 3 363 90 3 202.25 51 314 94 58 F 2 13 50 1.16 64 p 11 .68 .34 59 According to Shavelson ( 1996 ), use of ANCOV A is appropriate if a correlation greater than .60 exists between the covariate and post-test. Correlations of .88 between

PAGE 68

PHCSCS preand post-tests and .67 between SAI preand post-tests were found. Therefore, an ANCOV A with the pre-test measures of the PHCSCS and SAI as covariates, was used to test for main effects. Self-Concept 61 To examine of treatment effects on self-concept, an ANCOV A was conducted on the participants' total scores on the PHCSCS. The PHCSCS measures a child's self concept based on her or his self-report; lower overall scores indicate a lower self-concept while higher overall scores indicate a higher self-concept. Participation in the small group intervention by the experimental group yielded no significant differences between the experimental and control group PHCSCS means. The following null hypothesis (Hol) was not rejected: Ho 1: There is no difference in the self-concept of third, fourth and fifth grade Hispanic American/Latino, LEP children in ESOL/ESL programs as a result of participation in the experimental small group intervention. The participating students' self-concepts were not significantly affected by the small group intervention experience as measured by the PHCSCS. The covariate was significant (F (1,56) = 189 04 Q< 001) However as shown in Table 4-3, although the (adjusted) mean score on the post-test was slightly higher, the resultant difference was not significant. The data for this analysis are shown in Table 4-4. Table 4-3 Adjusted Post-Means of PHCSCS Scores Source Control Group Treatment Group Adjusted Post-Test Means 59.79 60.74

PAGE 69

62 Table 4-4 Analysis of Covariance for Main Effects of Treatment for PHCSCS Source ss df MS F p Pre-Test 8116.81 1 8116.81 189.06 .00 Trt 12.74 1 12.74 .30 .59 Error 2404.54 56 42.94 Corrected Total 10976.68 58 Interaction effects. The treatment by gender interaction also was examined for the PHCSCS to test the following null hypothesis: Ho3: There is no self-concept interaction of treatment by gender. The independent variable of gender did not significantly interact for the PHCSCS (F (1, 54) = .64, Q_ = .43). Therefore, this null hypothesis was not rejected (see Table 4-5). Table 4-5 Factorial Analysis of Covariance for Interaction of Gender and Self-Concept Source ss df MS F p Pre-Test 7442.65 1 7442.65 169.17 .00 Sex*Trt 28.10 1 28.10 .64 .43 Error 2375.71 54 43.10 Corrected Total 10796.68 58 The treatment by age-level interaction also was examined for the PHCSCS to test the following null hypothesis: Ho4: There is no self-concept interaction of treatment by age-level. The independent variable of age-level did not significantly interact for the PHCSCS (F (1,50) = .77, Q = .52). Therefore, the null hypothesis was not rejected (see Table 4-6).

PAGE 70

Table 4-6 Factorial Analysis of Covariance for Interaction of Age-Level and Self-Concept Source ss df MS F p Pre-Test 6530 22 1 6530 24 148.56 00 Age*Trt 101.71 1 33.91 .77 .52 Error 2197.81 50 43.96 Corrected Total 10796.68 58 The treatment by level of time in an ESOIJESL program interaction also was examined for the PHCSCS test the following null hypothesis: Ho5: There is no self-concept interaction of treatment by level of time in ESOIJESL program. The independent variable of level of time in an ESOIJESL program did not significantly interact for the PHCSCS (F (1, 52) = .20, Q = .82) Therefore, null hypothesis five was not rejected (see Table 4-7) 63 The six subscales of the PHCSCS also were used to measure the effect of treatment on the self-concept of the participating students and particularly in regard to gender, age-level, and level of time in an ESOIJESL program. No statistically significant results were revealed by these ANCOV A, for any of the six subscales. The data analyses for main effects of treatment for the PHCSCS subscales are presented in Tables 4-8 and 4-9. Tables 4-10 through 4-15 present data analyses of interactions for gender, age and years in ESOL/ESL programs, and PHCSCS subscales Table 4-7 Factorial Analysis of Covariance for Interaction of Level of Time in ESOL/ESL Program and Self-Concept Source ss df MS F p Pre-Test 5944.58 1 5944.58 133 07 .00 ESL*Trt 17.58 2 8.79 .20 82 Error 2322.97 52 44.67 Corrected Total 10796.68 58

PAGE 71

64 Table 4-8 Analysis of Covariance for Main Effects of Treatment for PHCSCS Subscales Behavior, Intellectual Status and Physical Am2earance Source ss df MS F 12 Pre-Test: Behavior 192.01 1 192.01 32 25 00 Trt 4.16 1 4 16 70 .41 Error 333.45 56 5.95 Corrected Total 568.75 58 Pre-Test: Intellectual 694.89 1 694.89 158 67 00 Trt .40 1 .40 09 .77 Error 245.25 56 4.38 Corrected Total 955 19 58 Pre-Test: Physical Appearance 395 66 1 395.66 70.88 .00 Trt 4.79 1 4.79 .86 36 Error 312.62 56 5.58 Corrected Total 708.88 58 Table 4-9 Analysis of Covariance for Main Effects of Treatment for PHCSCS Subscales Anxiety, Pogularity, and Hagginess Source ss df MS F 12 Pre-Test: Anxiety 341.92 1 341.92 78 87 00 Trt 1.14 1 1.14 26 61 Error 242.78 56 4.33 Corrected Total 608 24 58 Pre Test: Popularity 329 83 1 329.83 71.51 00 Trt 2 13 1 2 13 .46 50 Error 258 31 56 4 61 Corrected Total 590.98 58 Pre-Test: Happines s 116.48 1 116.48 62.86 .00 Trt 1.16 1 1.16 .62 .43 Error 103 77 56 1.86 Corrected Total 220 95 58

PAGE 72

65 Table 4-10 Factorial Analy s i s of Covariance for Interaction of Gender, Age-Level and Level of Time in ESOIJESL Programs, and Self-Concept PHCSCS Behavior Subscale Source ss df MS F p Pre-Test: Behavior 142 17 1 142.17 24 06 .00 Sex Trt 12.46 1 12.46 2.11 .15 Error 319 16 54 5.91 Pre-Test: Behavior 146.67 1 146 67 22.90 00 Age Trt 7 58 3 2 53 .39 .76 Error 320.18 50 6.40 Pre-Test: Behavior 124.06 1 124.06 22.54 .00 ESL Trt 26.70 2 13 35 2.43 10 Error 286.25 52 5 51 Corrected Total 568.75 58 Table 4-11 Factorial Analysi s of Covariance for Interaction of Gender, Age-Level and Lev e l of Time in ESOIJESL Program s and Self-Concept PHCSCS Intellectual Statu s Subscale Source ss df MS F p Pre-Test: Intellectual 659.36 1 659.31 149.95 .00 Sex Trt 7.73 1 7 73 1.76 19 Error 237.44 54 4.40 Pre-Test: Intellectual 626.68 1 626.8 145.66 00 Age Trt 22 63 3 7 54 1.75 17 Error 215.12 50 4 30 Pre-Test: Intellectual 553.51 1 553 51 123 75 .00 ESL Trt 2.86 2 1.43 .32 73 Error 232.58 52 4.47 Corrected Total 955.19 58

PAGE 73

66 Table 4-12 Factorial Analysis of Covariance for Interaction of Gender. Age-Level and Level of Time in ESOIJESL Program s and Self-Concept PHCSCS Physical Appearance Subscale Source ss df MS F p Pre-Test: Phy s ical Appearance 357.35 1 357.35 62 29 00 Sex Trt 1.53 1 1.53 27 61 Error 309.84 54 5.74 Pre-Test: Phy ical Appearance 295.75 1 295.75 54 89 00 Age Trt 8.97 3 2.99 .56 .65 Error 269.42 50 5 39 Pre-Test: Phy s ical Appearance 314 30 1 314 30 53 67 .00 ESL Trt 4 58 2 2.29 39 .68 Error 304 52 52 5 86 Corrected Total 708.88 58 Table 4-13 Factorial Analysis of Covariance for Interaction of Gender, Age-Level and Level of Time in ESOIJESL Program s and Self-Concept PHCSCS Anxiety Subscale Source ss df MS F p Pre-Test: Anxiety 298.06 1 298.06 66.65 .00 Sex Trt 1.28 1 1.28 .2 56 .60 Error 241.48 54 4.47 Pre-Test: Anxiety 323.82 1 323 82 71.80 00 Age Trt 12.01 3 4 00 .89 .45 Error 225.52 50 4 51 Pre-Te t: Anxiety 260 64 1 260.64 57 00 .00 ESL Trt 2.65 2 1.32 2 9 .75 Error 237.77 52 4.57 Corrected Total 608.24 58

PAGE 74

67 Table 4-14 Factorial Analy s i s of Covariance for Interaction of Gender, Age-Level and Level of Time in ESOIJESL Programs, and Self-Concept PHCSCS Popularity Sub s cale Source ss df MS F p Pre-Test: Popularity 328 93 1 328.93 70 09 .00 Sex*Trt 4.72 1 4072 1.01 32 Error 253.41 54 4.70 Pre-Test: Popularity 282.17 1 282.17 61.40 00 Age Trt 12 77 3 4.26 .93 .44 Error 229.79 50 4.60 Pre-Test: Popularity 200 33 1 200 33 46.05 00 ESL Trt 15.09 2 7.55 1.74 19 Error 226.19 52 4.35 Corrected Total 590.98 58 Table 4-15 Factorial Analysis of Covariance for Interaction of Gender, Age-Level and Level of Time in ESOIJESL Programs, and Self-Concept PHCSCS Happiness Subscale Source ss df MS F p Pre-Test: Happine ss 93.94 1 93.94 52.81 .00 Sex Trt 6 50 1 6.50 3 65 061 Error 69.06 54 1.78 Pre-Test: Happine ss 88.22 1 88.22 54.65 00 Age Trt 4.69 3 1.56 97 .42 Error 80 72 50 1.61 Pre-Te s t: Happine ss 98.87 1 98.87 55.23 .00 ESL Trt .145 2 7.23 04 .96 Error 93.09 52 1.79 Correlated Total 220.95 58 Student Attitude Toward School To study the effects of treatment on students attitudes toward school statistical analyses were conducted on School Attitude Inventory (SAI) scores for the experimental group The SAI i s a self-report measure of a child s attitude toward school. Lower overall scores indicate a more negative attitude toward school while higher overall scores indicate a more positive attitude toward s chool. The resulting data were used to t est the second null hypothesi s :

PAGE 75

Ho2: There is no difference in the attitude toward school of third fourth and fifth grade Hispanic American/Latino, LEP children in ESOIJESL programs as a result of participation in the experimental small group intervention. 68 Participation in the small group intervention by the experimental group yielded no significant differences in score means on the SAi when compared to the control group's scores. Therefore, Ho2 was not rejected (see table 4-16). This result indicates that the participating LEP, Hispanic American/Latino students overall attitudes toward school were not significantly affected by the small group intervention (F (1,56) = 53 Q = .47). The covariate analysis was significant (F (1,56) = 44.49, Q < .001) indicating a significant difference between the pre-test group means. Table 4-16 Analysis of Covariance for Main Effects of Treatment for SAi Source ss df MS F Pre-Test 7800.42 1 7800.42 44.49 Trt 92.61 1 92.61 .53 Error 3818.48 56 175.33 Corrected Total 18031.19 58 The treatment by gender interaction was examined for the SAi A factorial ANCOV A was performed to test the following null hypothesis: p 00 .47 Ho6: There is no treatment by gender interaction for attitudes toward school. The independent variable of gender did not significantly interact with treatment for the SAi (F (1, 54) = .98, Q_= .33), as shown in Table 4-17. Therefore, this null hypothesis was not rejected.

PAGE 76

69 Table 4-17 Factorial Analysis of Covariance for Interaction of Gender and Attitude Toward School Source ss df MS F p Pre-Test 7791.46 1 7791.46 45.21 .00 Sex*Trt 168.73 1 168.73 .98 .33 Error 9306.16 54 172.34 Corrected Total 18031.19 58 Another factorial ANCOV A was performed to test the following null hypothesis: Ho7: There is no treatment by age-level interaction for attitudes toward school. The independent variable of age-level did not significantly interact with the treatment for the SAI (F (1,50) = .57, Q = .64). Therefore, the null hypothe is was not rejected (see Table 4-18) Table 4-18 Factorial Analysis of Covariance for Interaction of Age-Level and Attitude Toward School Source ss df MS F p Pre-Test 7320.86 1 7320.86 40.36 00 Age*Trt 312 56 3 104 19 .57 .64 Error 9069.64 50 181.39 Corrected Total 18031.19 58 The treatment by level of time in ESOUESL program interaction was examined for the SAI by factorial ANCOV A to test the following null hypothesis: Ho8: There is no treatment by level of time in ESOUESL program interaction for attitudes toward school. The independent variable level of time in ESOUESL program did not significantly interact with treatment. Therefore, the null hypothesis was not rejected (see Table 4-19).

PAGE 77

Table 4-19 Factorial Analysis of Covariance for Interaction of Level for Time in ESOL/ESL program and Attitude Toward School Source ss df MS F Pre Test 6001.61 1 6001.61 32.94 ESL*Trt 63.76 2 31.88 18 Error 9473 38 52 182.18 Corrected Total 18031.19 58 p .00 84 The data derived from the three subscales of the SAi also were examined in 70 regard to attitudes toward school gender, age-level, and level of time in an ESOL/ESL program. No statistically significant effects were found by the respective ANCOVA. The data analyses for main effects of treatment for the SAi subscales are presented in Table 4-20. Tables 4-21 through 4-23 present data analyses of interactions for gender, age and years in ESOL/ESL programs, and SAi subscales. Table 4-20 Analysis of Covariance for Main Effects of Treatment for SAi Subscales Happiness, Stress and Self-Control Source ss df MS F p Pre-Test: Happiness 272.89 1 272 89 15.18 00 Trt 8.63 1 8.63 .48 .49 Error 1006.57 56 17.98 Corrected Total 2110.92 58 Pre-Test: Stress 674 77 1 674.77 11.58 .00 Trt 10.08 1 10.08 .17 .68 Error 3263.87 56 58.28 Corrected Total 3975.56 58 Pre-Test: Control 881.12 1 881.12 20 09 .00 Trt 16.23 1 16 23 .37 .55 Error 2456.43 56 43 87 Corrected Total 3395 19 58

PAGE 78

71 Table 4-21 Factorial Analysis of Covariance for Interaction of Gender. Age-Level and Level of Time in ESOIJESL Programs. and Attitudes Toward School SAI Happiness Subscale Source ss df MS F p Pre-Test: Happiness 1039.70 1 1039.70 57.20 .00 Sex*Trt 18.93 1 18.93 1.04 .31 Error 981.55 54 18.18 Pre-Test: Happiness 1054.36 1 1054.36 56.12 .00 Age*Trt 58.75 3 19.58 1.04 .38 Error 939.32 50 18.79 Pre-Test: Happiness 917.28 1 917.28 46.98 .00 ESL*Trt 47.20 2 23.60 1.29 .29 Error 954.42 52 18.35 Corrected Total 2110.91 58 Table 4-22 Factorial Analysis of Covariance for Interaction of Gender. Age-Level and Level of Time in ESOIJESL Programs, and Attitudes Toward School SAI Stress Subscale Source ss df MS F p Pre-Test: Stress 603.93 1 603.93 10.22 .00 Sex*Trt 68.19 1 68.19 1.15 .29 Error 3191.79 54 59.11 Pre-Test: Stress 599.93 1 599.93 9.97 00 Age*Trt 174.44 3 58.15 .97 .42 Error 3007.88 50 60.16 Pre-Test: Stress 291.69 1 291.69 4.90 .03 ESL*Trt 157.44 2 78.72 1.32 .28 Error 3093.82 52 59.50 Corrected Total 3975.56 58

PAGE 79

72 Table 4-23 Factorial Analysis of Covariance for Interaction of Gender, Age-Level and Level of Time in ESOUESL Programs, and Attitudes Toward School SAi Self-Control Subscale Source ss df MS F E Pre-Test: Control 953.85 1 953.85 22.11 .00 Sex*Trt 6.99 l 6.99 .00 .97 Error 2330.01 54 43.15 Pre-Test: Control 798.88 1 798.88 18 32 00 Age*Trt 45.20 3 15.07 35 .79 Error 2179.98 50 43.60 Pre-Test: Control 832.94 1 832 94 18.46 .00 ESL*Trt 3.65 2 1.82 .04 96 Error 2346.09 52 45.12 Corrected Total 3395.19 58 Academic Success Qualitative data analysis was applied to the students' replies to the structured interview questionnaire that was given one week after the conclusion of the 6-week treatment period The data from the surveys were separated into two categories for students in the control and experimental groups The three questions asked were as follows : (1) Since the school year started, what or who has helped you with your school work the most? ; (2) Since the school year started, how happy are you at school? ; (3) Since the school year started have you seen your grades and school success change? Key-word-in-context (KWIC) (Ryan & Bernard, 2000) lists were created for both the control and experimental group interviewees in order to determine possible differences between the two groups' responses to the three questions. Overall, 18 of the 24 students responding to the questionnaire indicated improved grades and school success between the start of the school year and the interview. Four of the 12 children in the treatment group pointed to the assistance of their ESOUESL teachers as being very helpful to them. Five children in the experimental group indicated that they were

PAGE 80

73 "very/really happy" at school. No children among the interviewed control group participants mentioned their ESOIJESL teachers nor did any elaborate on the degree of change in positive feelings toward school. "What/Who has helped the most". Ten children in the control group indicated that their teachers had helped them the most. However, two of the control group children indicated that a family member (i.e., mother and cousin) as being most helpful. Responses of children in the experimental group were evenly split among those about teachers (n = 4), parents (n = 4), and ESOL/ESL teachers (n = 4) who were assisting them with learning English. "How happy are you at school". Students in the control group responded to this question in a variety of ways, with eleven children simply indicating they felt "happy," "excited," "fine," and/or "good" about school. One control-group student indicated feeling sad at school. In contrast, seven of the 12 students in the experimental group responded, for example "very/really happy," "happy since day one," "so happy about my good grades," to this question. They elaborated on their responses by stating that homework had become easier and their grades had improved since the beginning of school. "How have you seen your school success/ grades change". Each of the 12 students from the experimental group and the control, 24 in total, indicated that their grades had improved or that they had always received good grades in their schoolwork. Two of the students in the control group indicated having received better grades since the beginning of the school year, specifically in the areas of reading and mathematics; one student in the treatment group indicated improved grades in math, reading and science.

PAGE 81

Summary A summary of the results arranged by dependent variable follows. Self-Concept (Piers-Harris Children Self-Concept Scale) 1. There was no significant difference between treatment and control groups in regard to self-concept. 74 2. There was no significant interaction among gender, age-level and level of years in ESOIJESL programs and self-concept. School Attitude (School Attitude Inventory) 1. There was no significant difference between the treatment and control groups in regard to students' attitudes toward school. 2. There was no significant interaction among gender, age-level and level of years in ESOIJESL programs and attitudes toward school. Academic Success (Structured Interview) 1. Four children in the experimental group indicated their ESOIJESL teacher assisted them with their schoolwork, as compared with no children in the control group indicating the assistance of their ESOIJESL teacher. 2. Seven children in the experimental group provided detailed responses about their feelings, as compared to none in the control group. 3. All children (n = 24) provided similar responses about improved grades since the beginning of the term.

PAGE 82

CHAPTERS DISCUSSION The purpose of this study was to determine the effectiveness of a solution focused, small group counseling intervention on the self-concept, attitude toward school and the perceived school success of limited-English proficient, Hispanic American/Latino children. Fifty-nine Hispanic American/Latino children in the third fourth and fifth grades participated in the study. Each was enrolled in an English-Speakers-of-Other Languages/English as-a-Second-Language (ESOL/ESL) program in four different public elementary schools in Indiana The participants were randomly assigned to control and treatment groups. For the purposes of data analyses, the eight (4 control and 4 experimental) groups were consolidated into one control group (n = 31) and one treatment group (n = 28). Two school counseling interns who were enrolled in a graduate-level school counseling program in a counselor education department administered the 6-week treatment. The main focus of the small group intervention was to assist the children to have better understanding of their self-concepts to develop positive attitudes toward school, and establish strategies for attaining overall school success. Other activities and discussions during the small group experience were intended to teach the children effective ways of communicating their feelings about school, how their attitudes toward school impacted their academic success, what it meant to be limited-English proficient, and how they felt about being bilingual in a public school setting (see Appendix E). 75

PAGE 83

Students participating in the treatment were compared with those in the control group on three dependent variables: (a) self concept, (b) school attitude, and (c) overall school success. The students' self-concepts and attitudes toward school were preand post-measured using the Piers-Harris Children Self-Concept Scale (PHCSCS) and the School Attitude Inventory (SAI), respectively. 76 Examination of the participants' self-perceived school success also was addressed through use of a three-item questionnaire administered to randomly selected participants from both the experimental and control group members. The interviews were conducted at the conclusion of the 6-week treatment period and occurred during the latter part of the fall semester. Of the 59 children who participated in the study, 24 (12 from the control group and 12 from the treatment group) were individually interviewed. Participants' responses to the three questions were transcribed and examined for common themes. A Key-Words-in-Context analysis (KWIC) (Ryan & Bernard, 2000) was used to determine if the treatment conditions affected treatment participants' overall perceived school success as compared to that of the control group participants. Gilgun, Daly and Handel (1992) indicated that KWIC analyses could be effectively used to determine if significant similarities and difference are present in qualitative results from an interview. Conclusions The results of data analyses indicated that the small group treatment had no significant differential effect on the participants' self-concepts. The differences between the preand post PHCSCS scores, using ANCOV A, were not found to be statistically significant. In addition, no significant interactions for treatment by gender, age, or amount of time participants spent in ESOUESL programs were found when the treatment and control group participants' PHCSCS pre-post scores were compared. Therefore it is

PAGE 84

77 concluded that study participants' gender, age and time in ESOIJESL programs whether members of the experimental or control groups, had no influence on their self-concepts. Scores for the six subscales of the PHCSCS also were not significantly affected by treatment. Thu the small group treatment did not ignificantly impact the experimental participants' happiness, intellectual status, anxiety, popularity, physical appearance, or behavior as compared to students in the control group The ANCOV A on student responses on the SAI indicated no statistically significant interactions between treatment and attitude toward school. Therefore the intervention had no significant effect on the experimental group participants' attitudes toward school as compared to their control group peers. There also were no statistically significant interactions for treatment by gender, age, or amount of time spent in ESOIJESL programs in regards to participants attitudes toward school. Therefore, the participants results were not influenced by gender age or how many years they had been enrolled in an ESOL/ESL program Pre and post-measure data analyses concerning happiness, stre s, and self-control subscales of the SAI did not significantly differ as a result of treatment. Children in the treatment group did not report feeling significantly differently than children in the control group in regards to their happiness, stress and self-control at school. The KWIC analysis results from the 24 post-treatment interviews did yield several differences in the responses of the children in the control group versus those who had participated in the 6-week-long treatment. Discussion The children in the treatment groups spent 6 weeks in the counseling groups and were provided with specific opportunities to assist them to learn and practice techniques

PAGE 85

78 intended to improve their self-concept and attitudes toward school. Interestingly other researchers (Arrendondo, 1996 ; McFadden, 1999) have alluded to the importance of age and time spent in ESOUESL classes as being related to having an impact on the participants self-concepts and attitudes toward school. Thus, the lack of significant difference between the control group and the treatment group on these variable s was an unexpected finding. Because both the PHCSCS and SAi have separate subscales, a secondary purpose of this study wa s to determine if there were difference s between the control and treatment group children's scores on the subscales. Again, the children in the treatment group did not significantly differ from children in the control group for any of these subscale s. As shown in Chapter 4, participants had an "above average self-concept mean both preand post-treatment when compared to the PHCSCS normative data. According to Piers (1984) the average score for the PHCSCS rages between the 31 st and 70 th percentile. The mean preand post-test PHCSCS scores for the participants in this s tudy were eight and nine points higher respectively, than the mean score for the normative population This finding places the participants, as a group at approximately the 60 th percentile pre and post treatment on the PHCSCS The difference between the post treatment mean PHCSCS score for the treatment and control group was small and not significant which might be attributable to the fact that both groups' means were relatively high initially Unlike the PHCSCS the SAI is not a norm-referenced test (Cuthbert 1987 ) and normative data do not exist for it. For this sample the mean score on the pre-measures of the SAi was 130 95 and the average post-measure score was 131.75. According to Cuthbert these scores may be classified as positive attitudes" toward school. Again,

PAGE 86

79 there was no significant change in students' attitudes toward school following treatment possibly because the participants' attitudes were favorable initially In searching for explanations for the findings, several questions can be raised. For example, were the instruments and/or the intervention appropriate for LEP, Hispanic American/Latino children? Were the group facilitators, two Caucasian women who did not speak Spanish, appropriate for this study and were they culturally responsive? Did their ethnicity and inability to speak Spanish somehow hinder their ability to translate a particular concept or establish rapport with the children in the experimental group? Finally, was the intervention not lengthy or intensive enough to yield measurable differences between the treatment and control group? Further research is needed to provide answers to these and related questions. The only evidence of treatment effect on the experimental group participants was found in the qualitative data gathered, which was administered by the researcher without prior knowledge of whether the respondents were in the control group or the treatment group. The KWIC analysis of the qualitative questionnaire points in regard to the prevalence of expressive and feeling-focused language in the responses treatment group children revealed some (subjective) effects. These children elaborated and verbalized their feelings more regarding their school success than did control group In point of fact, none of the 12 children interviewed from the control group responded to the qualitative questions by expressing their feelings about school. A focused discussion of the children's feelings about school success was one of the major components of the small group treatment process. Thus, it was not surprising to find they expressed their feelings about school more readily

PAGE 87

80 Examples of how children in the treatment group responded to how happy they felt about school success included, "I am really happy because I'm getting better grades since (sic) last year," and "I'm very happy because I have a good teacher and good friends." Examples of responses from children in the control group include, "I feel fine," or "I feel good," and "I'm kind of happy." These findings coincide with those of Corey (2000) who suggested that the benefits derived from participating in a small group counseling experience include the enhanced ability to be expressive and to better communicate feelings. The small group experience also appears to have contributed to the experimental children being able to express personal awareness of the teacher's role in their overall school success. Several treatment group children highlighted the positive influence that their ESOUESL teachers had on them since the beginning of the school year. For example, one of the boys in the treatment group responded to "who" or "what" has helped with schoolwork the most by saying, "Mrs. ___ has helped me learn English." Another boy answered, "Mrs. ___ knows Spanish and helps me with chool work." Finally, a third grade girl said, "Mrs. my special teacher, has helped me do better in reading and writing." Again, these are important finding in that positive feelings being expressed toward participants' ESOL/ESL teachers likely would translate to positive performance in the classroom. Researchers (Samway & McKean, 1999) have shown that LEP students enrolled in schools where their ESOUESL teachers are perceived as positive role models is a factor that contributes positively to the overall success of those children. These same researchers concluded that when ESOUESL teachers are viewed by their students as being positive and as constant and fundamental

PAGE 88

parts of their learning experiences, the children are much more likely to achieve academically. 81 These findings may be due, in part, to the fact that during the small group counseling process considerable time was spent discussing the meaning of being bilingual and ethnically different. In addition, the group facilitators discussed what it meant to be enrolled in an ESOI.JESL program and what and how the situation affects feelings about school. It is clear that some children in the treatment group internalized certain lessons or topics from the small group intervention, leading them to provide more positive responses to the qualitative questionnaire than those offered by children in the control group. Hispanic American/Latino children being able to express and verbalize their feelings regarding school is an immeasurable, positive ability and one that contributes to their overall school success. Thus, these findings add some credence to the value of using small group counseling as an intervention with ESOI.JESL-enrolled Hispanic American/Latino, elementary school aged children. Limitations In considering the results of this study, several limitations should be taken into account. First, the length of the treatment may have been a limitation. Six approximately 40-minute sessions spread over 6 weeks is common in this type of research and has been considered an effective format for conducting a small group guidance interventions with children (Myrick, 1997; Wittmer, 2000). However, these Hispanic American/Latino, bilingual children may have benefited more from a lengthier intervention, especially as it relates to change in self-concept. Given the language limitation of many of the students participating in this study, having been provided more time to familiarize themselves

PAGE 89

with more of the terminology and procedures used may have yielded more significant, positive effects on their self-concepts and attitudes toward school. 82 The location of the study may limit the generalization of these findings. Indiana's population is 3.5% Hispanic American/Latino, compared with 12.5% for the entire U.S. In addition, many states have a greater population of Hispanic American/Latino residents than does Indiana. For example, California has 32.4%, Florida 16.8%, Illinois 12.3%, New York 16.8%, and Texas 32.0% (U.S. Census, 2001). This situation may have an impact on how children in schools and/or communities with a small population of Hispanic American/Latinos feel about themselves and their school when compared to children in schools and/or communities with larger numbers of Hispanic American/Latino students. Another limitation may have been the group facilitators' lack of work-related experiences. Both facilitators were school counseling graduate students in their final internship experience. Although both had previous experience in public schools (i.e., teaching, practicum, and temporary school counselor status), neither had been previously employed as a full-time school counselor. Also, the children may have been confused by the presence of the "outside-the-school" interns conducting their small groups. In addition, both of the school counseling interns who facilitated the small groups were female Caucasians and their ethnicity and gender may have been a limitation of the study. None of the six small group counseling sessions were designed to focus specifically on particular subscales of either the PHCSCS or the SAI, which may have accounted for the lack of significant interactions or differences for these variables between treatment and control group members.

PAGE 90

83 The particular public schools where the study was conducted also may have been a limitation. Public school settings are prone to various factors that affect children's self concepts, attitudes toward school, and overall school success (Webb, 1999). In addition, it is not known what role the Hispanic American/Latino parents may have played in these findings. A final limitation is the fact that the four school principals volunteered to have their schools participate in the study. Randomization of all possible schools and participants might have resulted in different results. Implications There is a relative paucity of research about counseling Hispanic American/Latino children, whether in small groups or individually. Even narrower in scope is the research about counseling LEP students from native Spanish-speaking homes. This research study therefore has contributed to the professional research even though significant differences were not found between the control and treatment groups on quantitative measures. The value of using small group counseling with young Hispanic American/Latino children remains potentially positive and could be used effectively to help these children to understand their roles as minorities in their school, practice study skills, and develop other skills (Myrick, 1997). As demonstrated in the responses to the questionnaire, Hispanic American/Latino students taking part in a small group counseling activity will at least benefit from increased self-expression and greater awareness of the educators who are instrumental to their attaining school success. A small group guidance intervention specifically designed for LEP, Hispanic American/Latino students in ESOUESL programs also remains an appropriate forum to discuss issues and concerns specific to these children Small group counseling

PAGE 91

84 interventions are proven methods to enrich the academic and psychosocial environments of elementary school children of any race or ethnicity (Gopaul-McNicol & Thomas Presswood, 1998 ; Myrick, 1997; Thompson & Rudolph 2000). The qualitative findings also support the u s e of a solution-focused small group counseling approach as a method to assist these type of children to better understand the part their ESOL/ESL teachers play in them attaining academic success. Finally the group facilitators training workshop developed for use in this study (Appendix B) may be of benefit for practicing school counselors teachers school counseling student s in training, counselor educators, and other educators Mental health practitioners working with LEP Hispanic American/Latino students can apply the I information in the workshop effectively to their specific work settings. With the size of the bilingual Hispanic American/Latino school population increasing, school counselors need to understand the intricacies of how LEP children learn as well as effective strategies for ensuring their positive psychosocial. Recommendations for Further Study A similar study could be conducted with Hispanic American/Latino, LEP children to include an extended intervention time. An increase in the number of small group sessions perhaps two to four additional sessions, might provide the time necessary to discuss the topics and themes more adequately and also allow more time for practice of the school success skills. Potentially, this would add to the efficacy of the intervention. It is also recommended that this study be replicated using experienced practicing school counselors (i.e., employed full-time in the particular elementary school where the LEP Hispanic American/Latino children are enrolled). Having a familiar person as leader of the small group experience seemingly would be important to the children and

PAGE 92

! 85 might yield quantitative results. It is also recommended that the study be replicated using a combination of Hispanic and Caucasian chool counselors, perhaps comparing the effectiveness of each as well as comparing the effectiveness of male and female group facilitators. A similar study should be conducted to compare the differences between conducting the small group counseling intervention in Spanish and English. Even though most LEP children in the U.S. receive some ESOL/ESL education, and are therefore familiar with the English language it would be beneficial to measure their reaction to counseling intervention provided in their native language. /\. Another promising investigation would be to explore the differences in self/ concept, attitudes toward school, and school succe s of Hispanic American/Latino, LEP children enrolled in private schools versus those attending public schools. This study also hould be replicated with Hi panic American/Latino middle school students. Older children would, most likely, have a better gra p of the English language and would thus have more experience and understanding of topics di cussed during the small group meetings. Researchers (Lee, 1995; Schmidt, 1999) report that changes in self-concept may take more time to manifest than six weeks Hence, future researchers also should review the change in self-concept of participants at the conclusion of the treatment period, as well as at the end of the chool year It also would have been interesting to compare the year-end grades and standardized achievement scores of children in the treatment group with children in the control group Finally, it is recommended that the training workshop designed for this study be provided to other school counselors and counselor educators. The information presented

PAGE 93

86 in the workshop has been thoroughly researched and provides a synopsis of literature on working with LEP, Hispanic American/Latino children in ESOl/ESL programs. The facilitators training workshop also highlights effective ways of assisting these LEP, special needs children that would be of benefit to practicing all practicing school counselors. Summary The goals for conducting this research study were to assist the social, emotional and academic development of LEP Hispanic American/Latino children in elementary school via a small group counseling intervention. And, related literature clearly indicated that such treatment would be beneficial for these children. For this reason, a specially designed small group counseling treatment was developed and admini tered. Unfortunately, the quantitative results were insignificant. Although the summative quantitative analysis yielded no significant differences between those children who received the treatment versus those who did not, several differences between groups were witnessed in how children viewed their academic success. Regardless of quantitative findings, however, the fact remains that more, newer research is needed in the area of counseling Hispanic American/Latino children and adolescents. This study provides a beginning to such research and enriches the current coun eling literature. Hopefully this study will also provide the impetus to future researchers to work to discover new and innovative methods to assist Hispanic American/Latino children to better succeed in their school environment.

PAGE 94

APPENDIX A CONSENT LETTERS ASSENT SCRIPTS LETTERS TO PRINCIPALS

PAGE 95

Dear Parent/Guardian Department of Counselor Education PO Box 117046 University of Florida Gain esv ille, FL 3621 I My name is Jose Villalba and I am a doctoral student at the University of Florida conducting research on school counseling with Hispanic American/Latino limited-English (LEP) proficient students under the s upervision of Dr. Joe Wittmer. The purpose of this study is to compare the perceptions of Hispanic American/Latino LEP students enrolled in English as Second Languages (ESL) program in 3 rd 4 th and 5 th grades who take part in a small-group counseling intervention, with LEP students in ESL programs who do not participate in the intervention. The results of the study may better help school counselors understand the types of interventions that can help Hispanic American/Latino LEP students become better adjusted to the school environment and ESL program Each group will be lead by a group facilitator. If you should decide to allow your child to participate in this study, please be advised of the following: Half of the students who participate will be randomly selected to take part in the small group counseling intervention. This will take six weeks, and the group will meet once a week for a 30-40 minute ses ion The group facilitator and your son/daughter's principal will determine the group meeting-time and how to make up missed class work and assignments. The sessions will feature activities and discussions that focus on helping students learn more about their feelings self-concept, attitude towards school and academic success. The other half of the students not receiving the intervention will maintain their regular school routine, helping to determine the effectiveness of the small-group counseling intervention. All participating students, even those not selected to take part in the counseling intervention, will be asked to complete two instruments about their attitude towards school and their self concept if they agree. This will require about 30 minutes of their time prior to the beginning of the intervention and again at the conclusion of the intervention, about 8 weeks later. The group facilitator will read the instruments to students at a time she/he has arranged with the teacher. The students will not have to mark or answer any items they do not want to In addition, the principal researcher for this study will randomly select a few students from each school (40% students from each school) and ask them three open-ended questions as part of an interview to see how they perceive their academic success. Although the children will be asked to write their names on a checklist for matching purposes their identity will be kept confidential to the extent provided by law. We will replace their names with code numbers Results will only be reported in the form of group data and will be available upon request after January 2002 Participation or non-participation in this study will not affect the children's grades or placement in any programs You and your child have the right to withdraw consent at any time without consequence. Please contact your child's school principal, ____________ if you have any questions I am also available to answer any questions you may have regarding the research study My telephone number and that of my supervisor are provided below Concerns or questions about the research participants rights can be directed to the Univer ity of Florida-Instructional Review Board (UFIRB) Office PO Box 112250 University of Florida Gainesville, FL 32611-2250; phone (352) 392-0433 If you are satisfied with the information provided and are willing to have your child participate in this research study, please sign the Parent/Guardian Consent below and return it to your child's school counselor. Sincerely Jose' Villalba Ed. S. Researcher (812) 237-8440 Joe Wittmer, Ph D Professor University of Florida, (352) 392-0731 88

PAGE 96

Department of Counselor Education PO Box 117046 University of Florida Gainesville, FL 32611 Estimado Padre/Guardian 89 Mi nombre es Jose Villalba y soy un estudiante para doctorado en la Universidad de la Florida, dirijiendo un estudio sobre la consejeria escolar con estudiantes Hispano Americanos/Latinos con proficiencia limitada con el Ingles, bajo la supervision de el Dr. Joe Wittmer. El proposito de este estudio es comparar las percepciones de ninos Hispano Americanos/Latinos matriculados en programas para el aprendisaje de Ingles ( llamado ESL en el colegio de su hijo/hija) en el tercero, cuarto o quinto grado que participaran en un grupo pequeno de consejeria, con otros ninos en clases ESL/ESOL que no participaran en el grupo. Los resultados de este estudio seran usados para ayudar a que los consejeros escolares entiendan que tipo de asistencia necesitan estudiantes Hispano Americanos/Latinos para que estos ninos puedan acostumbrarse mejor a el medioambiente escolar y los programas de ESL. Tomen en cuenta que un adulto entrenado en consegeria sera la perosona administrando el estudio en su colegio. Si usted decide permitir la participacion de su hijo/hija en este estudio, por favor tomen en cuenta los detalles que siguen: Delos ninos que participaran en el estudio, la mitad seran escojido para tomar parte en el grupo de consejeria. La experiencia en el grupo tomara sies semanas, y el grupo se va a reunir una vez a la semana por 30-40 minutos El lider de el grupo y el administrador (pricipal) de su hijo/hija determinaran el horario y dia semanal, mas otros detalles Los topicos de discucion seran el auto-estima personal, expresion de sentimientos, actitude escolar y logros academicos, y seran discutidos en forma de actividad y discuciones entre el grupo. La otra mitad de el grupo de estudiantes no sera parte de el grupo inicialmente Ellos mantendran su rutina escolar normal y ayudano a determinar la efectividad de el grupo. A todos los ninos hasta los que no seran parte de el grupo de consejeria, se les pedira que tomen dos cuestionarios sobre sus actitudes con respecto al colegio y su auto-estima, solamente si ellos quieren responder Los questionarios tomaran 30 minutos de su tiempo, y seran adiministrados una semana antes de empesar en grupo, y 8 semanas despues. El lider de el grupo leera los cuestionarios a los estudiantes durante un tiempo determindo por el y la maestra de su hijo/hija Los ninos no tienen que responder las preguantas que no quieran En adicion, yo como investigador principa l voy a escoger a unos estudiantes de cada escuela (40% de estudiantes por escuela) y les voy a hacer tres preguntas de discucion como parte de una entrevista para determinar opiniones sobre logros academicos. Aunque a los ninos se les pedira que escriban sus nombres en una lista con el proposito de determinar quien respondio a cual cuestionario y en que colegio esta, sus identidades seran mantenidas legalmente confidenciales. Resultados de este proyecto eran reportado solamente en forma de el grupo completo y estaran listas despues de Enero 2002. Sus decision de dejar o no dejar que su hijo/hija participe en este estudio no afectara sus calificaciones o participacion en programas Usted y su hijo/hija tiene el derecho de terminar el proyecto cuando quiera sin consecuencia. Par favor comuniquese con el administrador (principal) de su hijo/hija ___________ si tiene cualquier pregunta. Yo tambien estoy disponible a responder cualquier pregunta que usted tenga con respecto a mi estudio. Mi numero de telefono y el de mi supervisor estan e crito abajo. Preguntas sabre los derechos de los participantes pueden ser dirigidas a The University of Florida-Instructional Review Board (UFIRB) Office, PO Box 112250, University of Florida Gainesville FL 32611, telefono (352) 392-0433. Si ustedes estan satisfechos con esta informacion, y desean permitir que su hijo/hija participe en este estudio, por favor firme la forma de permiso en la proxima pagina y devuelvala a el consejor escolar. Muchas Gracias Jose Villalba Ed. S Joe Wittmer, Ph D lnvestigador principal (812) 237-8440 Professor, University of Florida, (352) 392-0731

PAGE 97

90 Please return this form to the school counselor/ Por favor de vuelva esta forma a el conseiero escolar I have read the procedure described in the previous page I voluntarily give consent for my child, ________ to participate in Jose Villalba's (Ed.S.) study, and I have received a copy of this description Yo he leido el proceso descrito en la pagina anterior detalladamente Yo voluntariamente doy permiso para que mi hijo/hija __________ participe en el estudio de Jose Villalba (Ed.S.), y yo he recibido un copia de la descripcion de el proyecto Parent-Guardian/Padre-Guardian Date 2 nd Parent-Guardian/2 nd Padre-Guardian Date

PAGE 98

A ss ent Scr i pt for All Hi s panic American/Latino LEP ESL Student s ( Third Fourth and Fifth Grade s) 91 Th e followin g s t a t e m e nt i s to be read a loud to all student s prior to admini s t e ring the pre and po s t-te s t in s trument s The n a me of each g roup facilitator will go in the blank s p ac e "Hello, My name is __________ I am helping a University of Florida student, Jose Villalba, who is also teacher at Indiana State University, gather information about the way Hispanic American/Latino students your age feel about themselves and school. I would like to ask you to complete two checklist forms with me today, and two again at a later time. I will read them to you. Only myself and Mr. Villalba will see your individual answers. I already received permission from your parents to see you today. If you do choose to take part in the test but feel like you don't want to answer a certain questions, you ma y stop at any time. Would you like to do this?

PAGE 99

Assent Script for Hispanic American/Latino LEP, ESL Students Randomly Selected for Small Group Counseling (Third, Fourth and Fifth Grades) The following statement is to be read aloud to all students selected to participate in the small group counseling intervention. The name of each group facilitator will go in the blank space. "Hello, My name is __________ I am helping a University of Florida 92 student, Jose Villalba, who is also teacher at Indiana State University, try out some ways school counselors can help Hispanic American/Latino students become more comfortable with school. Once each week for the next six weeks, I will be meeting with a group of students for discussions and activities that have to do with being happy and successful at school. You will have the opportunity to take part in these groups if you would like to. I already received permission from your parents to see you today. If you do choose to take part, you may stop at any time. Would you like to be part of the group?

PAGE 100

Assent Script for Hispanic American/Latino LEP, ESL Students Randomly Selected for the Three-Question, Structured Interview (Third, Fourth and Fifth Grades) The following statement is to be read aloud to students selected to participate in the structured interview with the researcher. "Hello, My name is Jose Villalba. I am a University of Florida student, as well as a teacher at Indiana State University. First of all, let me thank you for meeting with me today and helping me by answering the checklist forms with your school counselor. As you already know by now, I am trying to find some ways school counselors can better help Hispanic American/Latino students become more comfortable with school. This last part of my study requires me to ask you three questions about school. I already received permission from your parents to see you today. If you do choose to take part, you may stop at any time. Would you like to answer my three questions? 93 1

PAGE 101

94 Dear Elementary School Principal: My name is Jose Villalba. I am an Assistant Professor at Indiana State University. I am currently working on my dissertation at the University of Florida as part of the requirements for a Ph.D. in Counselor Education. My dissertation topic is on Hispanic American/Latino children in English as a Second Language programs and who are in 3 rd 4t\ and, 5 th grades. Specifically, I am trying to determine if a small group counseling intervention focused on the needs and concerns of these children will improve their school success, attitude towards school and self-concept. Attached, you will find a request for your school's voluntary participation in this study that would allow me to share information and intervention strategies with your school counselor, and at the same time meet the requirements for the completion of my degree. The counselor in your school knows this request is coming. He or she is also aware of a two-hour workshop that would provide current information about working with ESL students, as well as instructions on how to deliver the small group counseling intervention and prevalent research procedures. I will be available to you, your school's counselor and parents throughout the study. I thank you in advance for taking the time to consider this request. I also look forward to working with you and your school. Please call me at (812) 237-8440 if you have any questions. Sincerely, Jose Villalba Assistant Professor Indiana State University

PAGE 102

APPENDIXB RESEARCH PROCEDURES ANDGROUP FACILITATOR WORKSHOP

PAGE 103

Checklist of Proce d ures for ESL Group Counse ling Study Principal Investigator: Jose Villalba (812-237-8440) The purpose of this research study is to determine the effectiveness of a small group, solution-focused counseling intervention with Hispanic American/Latino children in ESL programs The study will involve the following: 1. Workshop participation: 2. Random selection of students for participation in the study : 3. Parent permission letters sent home: 4. Random assignment to treatment and control groups: 5 Pre-test is administered to both groups: 6. Group counseling intervention delivered to treatment group s (start date/finish date): 7. Post-test is administered to both groups: 8. Materials returned : In addition, make sure to return the weekly fidelity checklists 96 Date completed ____ ___

PAGE 104

Facilitator Fidelity Checklist A weekly checklist will need to be filled out and returned to the researcher weekly in order to attain a level of fidelity between both group facilitators. Please fill out the following checklist and return to researcher in the provided self-addressed stamped envelope, no later than three days after the conclusion of a particular session. Please make 6 copies of the following checklist before entering data for Session One. Objectives met: 97 l) ___________________________ 2). ___________________________ 3) ___________________________ Materials used: 1) ___________________________ 2) __________________________ 3) __________________________ Activities conducted (please include additional information if different from provided instructions in Group Facilitator Manual): !) __________________________ 2) __________________________ 3) _________________________ 4) __________________________ Conclusion/ Assigned Homework: Conclusion: ---------------------------Homework: ___________________________ Additional Comments:

PAGE 105

98 Instructions for Randomization Sample Selection 1. On the following pages you will find a list of ESL students. Please add the names, grade, and gender of the other students you have identified as ESL in grades 3 4, and 5, that do not appear on this list. 2. Number the students on the list. The numbering has been started and you should continue by assigning the next number to the next student on the list. 3 Now locate at the Table of Random Numbers page. 4 Without looking at the Table drop your pencil onto the page This will be the number of the fust student selected for the study a. If you drop your pencil on 78 for example, you would continue to move down the list until you come across a number between 00 and 24 and select that student. 5 Once your fust student i selected continue down the list of random numbers until the de s ired number of students has been selected. 6. Record the e names on the Student Information Sheet. 7. Send parent permission letters home with the fust 20 students If you have parents who do not want their child to participate or you cannot get the form returned go with the fir t alternate on the list as soon as possible and continue until you have up to 21 students (11 for the control group and 10 for the treatment groups). Also, if you feel a parent is confused about the project, encourage the parent to call the researcher or ask if the re earcher can contact him of her. 8 Write the names of the students who have parent consent in the middle of the Student Information Sheet for random assignment to treatment or control groups. Instructions for Random Assignment to Control and Treatment Groups 1. Look at your numbered list of names in the middle of the Student Information Sheet. 2 Refer again to your Table of Random Numbers. 3 Drop your pencil on the Ii t. (If your pencil lands on a number like 38 or 52, you will use the last digit, 8 and 2 respectively, and the child numbered 8 or 2 will be the first to be assigned.) 4. The fust student selected will be placed in the treatment group. Write their name on the bottom of the Student Information Sheet. 5. Continue down the Table of Random Numbers list ; the next student selected will be place in the control group. Record their name and continue this proce s until all students have been place in either the treatment or control group. 6. Now you are ready to begin the intervention Place the fust half of the treatment children in one counseling group and the other half in a second group. Remember: All students in treatment and control groups are given the preand post measures.

PAGE 106

99 Student Information Sheet Students randomly selected from the school population: Send an informed notice and consent form home with each tudent on the list on the left. If neces ary, go to the alternated, beginning with number one. 1. 2. 3. 4 5. 6. 7. 8. 9. 10. ---------Alternates: 1. 2 3. 4. 11. ---------12. ---------13 ---------14. ---------15. ---------16. _________ 17. --------18 ---------19 -------20. ---------Participating students with parent permission: Write the name s of these tudent in the blanks below and then assign them to treatment or control groups using as indicated. 00. ---------01. ---------02. ---------03 ---------04 ---------05 ---------06 ---------07 ---------08 ---------09 ---------10. ---------11. ---------12. ---------13. ---------14 ---------15. ---------16. ---------17. ---------18 ---------19 _________ Treatment and Control Group Assignment Continued on Next Page ..

PAGE 107

100 Assigned numbers for Control Group Assigned numbers for Treatment Groups The numbers assigned to each student should appear on all preand post-test instruments. This will permit the researcher to match the pre-test results with the post test results Student names can be put on the instruments along with the number above, for your convenience in identifying students. However, the number must be present. The names will be blocked out with ink to ensure confidentiality

PAGE 108

101 Instructions for Preand Post-Test Data Collection Data will be collected from all students for the pre-test and post-test. The Pier Harris Children Self-Concept Scale and School Attitude Inventory will be administered to all students prior to beginning the small group intervention with the treatment groups. Both pre-tests may be administered at the same time. However please administer the pre test to the control group separate from the treatment group. Administer the post-test to both groups in the s ame fashion as the pre-test upon completion of the mall group counseling treatment. Piers-Harris Children s Self-Concept Scale forms (Read the assent cript to all students before administering the pres-test instruments to affirm their voluntary participation. ) Now say "We are going to do two worksheets today. We are going to do them as a group. There are no right or correct answers for the worksheets that we are going to do. These worksheets are simply about you, how you feel, and what think about school. Also, I want you to take your time in answering the questions. Since there is no time limit, and there are not right or wrong answers, I want these worksheets to be as fun as possible. If you have any questions, please raise your hands and I will answer them. Then say "The first worksheet we will do today has a bunch of "yes" and "no" sentences. I am going to read the sentences aloud. For each sentence, think if what I just read is true for you or false for you. If what the sentence is true for you, then circle the word ''yes." If what I read is false for you, then circle the word "no." We are going to do these together. If you have any questions or do not understand a word or sentence, please raise your hand and I will help you. Are there any questions? Ok then, let's start with the first sentence." (Please give the children a few minutes to rest after they have completed the item on the Pier-Harris then administer the School Attitude Inventory. ) School Attitude Inventory Say "This next worksheet will be used to find out how you boys and girls feel about school. Ju s t like with the last worksheet we will do this one together and there are no right or wrong answers. I am going to give you a worksheet with a lot of pictures. The pictures are arranged in three rows and each row has five pictures with something in common. I will read aloud the question at the top of the pictures After I do that I want you to mark one of the five pictures with an "X to show me how you feel in that about that question The first row has pictures of a cartoon that is really happy or really sad. Think about the question I just asked and how really happy or really sad you would be and put an "X on the one picture that best shows how happy or sad you would be. Thinking about the s ame question go to the next row where there are five pictures of a cartoon that is really calm and really anxious or stressed. Again, put an "X on the picture that best describes how you feel when you think about the question I just asked you. Finally look at the last row with five pictures of how in control or out of control you feel when you think about the question that was asked Put an "X on the one picture that shows your level of control. We will do this for all ten questions in this worksheet. Are there any questions? Since this instrument can be confusing encourage a question or two You may also want to demonstrate how you would answer the first question if it were asked of you. Finally say "Ok, let's begin with the first question."

PAGE 109

102 Two-Hour Group Facilitator Training Workshop I) Explain Purpose of the Study The purpose of this study is to identify and assist elementary school-aged Hispanic American/Latino, limited-English proficient public school students. A small-group counseling intervention based on Solution-focused therapy The dependent variables are the children s self-concept, academic success and attitude towards school. II) Explain and Discuss the Experiences of Hispanic American/Latino, Limited English Proficient Children A. Needs of Hispanic American/Latino children and counseling issues Hispanic American/Latinos perceptions, culture and language influence how they use, navigate and interpret the U S educational system. Their needs can be quite different when compared to children and families in the White majority and other minorities. School counselors can serve these children by using their counseling skills in facilitating these children's issues and concerns within the ESOL setting and throughout the school environment B. Educational experiences of Spanish-speaking, LEP children Both children and parents experience difficulty with the dominance of the new language when it comes to making friends, performing up to their intellectual ability and establishing a strong level of academic/socio-economic comfort in the U.S. These problems often manifest themselves as poor self-concept academic performance and attitude towards school. C. English-as-a-Second-Language instruction and language acquisition Language acquisition of a second language is easier for those children who are first provided with an opportunity to flourish and succeed with their native language. Researchers advocate for the opportunity to allow LEP children to grasp a conceptual and analytical level of their fust language before subjecting them to exclusive and extensive teaching of the second language which in this case is English D. Assisting Hispanic American/Latino, LEP students in ESOL programs Elementary school guidance counselors have the capacity, the ability and the responsibility to assist these children. III) Discuss Research Procedures and School Counselor's Role A,_ Overview of research design This research study is an experimental design. The experimental group will be receiving the small group, counseling intervention while the control group will not receive the treatment. Both groups of children will be administered the preand post measurement instruments for self-concept and attitude towards school.

PAGE 110

103 Independent variables to be taken into account include gender, grade level, years enrolled in an ESOL program and treatment. a Small-Group Counseling and Solution-Focused Counseling: Small-group counseling has been chosen as a delivery model for this intervention because it permits school counselors to simultaneously facilitate several children with similar concerns and needs Solution-focused counseling is a concrete, direct, and outcome based counseling method that has been shown to be effective with children and adolescents. B. Randomization of student participants Random assignment of students in the control group and the experimental group is necessary to ensure that both groups are equivalent at the start of the intervention. A detailed set of instructions as to how to randomly assign participating children to the control group and the experimental group is provided in a separate handout. C. Informed notice and consent School counselors will provide a consent form to parents and get it signed before a child can participate in the study. Each parent is also to receive an informed notice of the research study developed by the researcher, provided in both Spanish and English D. Collecting preand post-data Follow the provided script for administering the Piers-Harris Self Concept Scale for Children and the School Attitude Inventory. Only collect data from children who have parental permission. IV) Delivery of Counseling Interventions A. Organization of the small-group activity There are six 40-minute, weekly sessions in the Treasure Hunt Club counseling intervention. The first session includes an introduction to the six-week experience, as well as, small-group guidelines The final session includes an overall summary of the counseling intervention B. Materials used in small-group activities Every child will have a folder with her or his treasure map activity. C. Facilitative responses for school counselors Focusing on feelings Clarifying summarizing and paraphrasing Questioning V) Return of Research Materials A checklist of procedures for the Treasure Hunt Club will be provided to each counselor. The checklist provides the order in which the research study is to be administered.

PAGE 111

104 VI) Questions and Comments Questions and comments with school counselor participants will be addressed via e-mail and personal phone calls. VII) A Review of the Six Sessions 1) "The Treasure Hunt Club: Going on a Treasure Hunt." To allow student to express their feelings about being limited-English proficient and discuss their experiences at school. To discuss with students reason for being selected to become part of the treatment and describe the small-group counseling intervention. 2) "Packing our bag for the Treasure Hunt." To a sist children in their expression of feelings in a more effective manner and increase familiarization with a variety of different feelings To define and explain the word "solution" and emphasize the importance of developing and implementing selfdeveloped solutions. 3) Getting ourselves ready for the Treasure Hunt Trip." To increase children's awareness of their self-concept. To explore what kinds of experiences can weaken one's self-concept and find ol utions that strengthen/solidify one's self-concept. 4) "Getting to know Treasure Island: Feeling comfortable on the Island. Becoming familiar and comfortable with the school environment. Gaining a better understanding of the ESOL classroom setting. 5) "Treasure Island is a great place to be!" To di s cuss the group's attitude towards school and learning Develop solutions for improving negative attitudes towards school. 6) "The Treasure of Happiness: Schoo l success on Treasure Island." Determine student's obstacles and perceptions of academic succes Di cu s solutions for improving and maintaining academic success.

PAGE 112

APPENDIXC INSTRUMENTS

PAGE 113

School Attitude Inventory I I I I I I I I I I I I I I I I I I I I I I I I I I I I I 106

PAGE 114

1. How I feel when the teacher calls on me. .... DD ~~{] ow 2 How I feel about my schoolwork w D w w 107

PAGE 115

108 3. How I feel about asking questions in class. w ow 4 How I feel about organizing all the work I have to do ow

PAGE 116

109 5. How I feel about talking in front of the class. 6. How I feel when my classmates give suggestions to me. w w w w

PAGE 117

7 How I feel about sticking up for myself W WW WW ~ ro~w 8. How I feel about telling my ideas in class discussions wwwww ~'~,ro~w tjwwow 110

PAGE 118

9. How I feel when teacher corrects me. wwwww II J r. ~nww 10. How I feel about myself at school. WW ~. (~ WWW ~o www 111

PAGE 119

112 Three-Item Structured Interview 1) Since the school year started, what or who has helped you with your schoolwork the most? 2) Since the school year started, how happy are you at school? 3) Since the school year started, how have you seen your grades and school success change?

PAGE 120

APPENDIXD GROUP FACILITATOR MANUAL

PAGE 121

SESSION ONE : Going on a Treasure Hunt Objectives: To allow students to express their feelings about being LEP To provide students with an opportunity to discuss their experiences in the ESOUESL se tting and teacher To discuss reason for being invited to participate in the small group counseling intervention as well as organizational structure of the group. Materials: Dry-erase board (including markers) chalk board (including chalk), or chart paper (including markers). Treasure hunt checklist and map (included in packet) Opening Statement: Say, "Hello boys and girls. Welcome to the Treasure Hunt Club! We will meet as a group one day a week for the next six weeks. The reason you have been selected is because each of you knows something about being in an ESOL/ESL program, and because you and your parents know how to speak Spanish. Activities: Students are to sit in a circle where they can easily view the chalk/dry erase board. They should sit in chairs so as to facilitate structure in the group. This "g o around" activity will include the following questions. Say "First of all, before we can start talking about the Treasure Hunt Club, lets get to know a little bit about the members in the group. We are now going to take turns saying our names, our teacher's name, and share with the group something we like to do for fun. Let's start with you (acknowledge the child to your right) and go all the way around until everyone has had a chance to share. Now, the counselor will lead a short discussion on what it means to be in an ESOUESL program and how the children feel about not being proficient in English. Say, "Thank you to everyone for sharing. Now let's talk a little bit about the ESOL/ESL setting and teacher. Each of you has a very special thing in common and that is that you are all in a class where most of the kids speak a different language, while at the same time learning English. Or, some of you may have a visit from a special teacher during the week. Another thing that all of you in the Treasure Hunt Club have in common is that the special language you all speak is Spanish. Let us now go ahead and share what it's like to be in a classroom where everyone is learning to speak English, or what it's like to get those special visits from teachers who help you learn English. (Allow time for each participant to give a response.) 114

PAGE 122

115 Now ay, "Everyone's response was very helpful in giving me an idea of what your classroom is like. Now I'd like to give you some information you may not know about the ESOL/ESL setting and teacher all over the United States. ESOL/ESL setting and teachers are here to help you learn English. The letters in ESOL/ESL mean "English for speakers of other languages, and English as a second language." If you look on this board, you will see that every letter in the word "ESOL/ESL" is really the first letter in these four words (the counselor points to the letters that correspond with the words as she/he writes them). Now, the first language you learn to speak, in your case it is Spanish, is known as a native language. Many native languages are spoken in ESOL/ESL classes and by teachers throughout the country, but Spanish is the most common one. The native language for most people born in the United States is English. But this is not always the case. Some children, even though they are born here, start speaking in the native language of their parents. It can be Spanish, or Chinese, or Japanese, or other languages. People who speak other native languages may also have a different culture. A culture is when a group of people may wear different clothes, eat different foods, speak a different language, listen to different music, celebrate different holidays, and do other things. Since we know that Spanish is a different language than English, can any of you think of what things in the Spanish culture are different from the culture of people who speak English in the United States? (Permit children to answer question. If needed probe them on how the foods they eat, music they listen and their parent customs may be different from what they witness at school.) Say, "Now that we have talked about some of the differences in cultures, let's share what are some of your favorite things about your language and culture? (At this time the counselor should begin writing these items on the board under the heading "Thi ngs I like about my Culture and Language .") Next say, "As wonderful and special as it may be to able to speak Spanish, there are some children and adults who have a hard time learning how to speak English and also getting used to the culture practiced by people who speak English in the United States. Some girls and boys who are in ESOL/ESL settings and have ESOL/ESL teachers that I read about have a hard time at school. These boys and girls say that hearing and speaking different languages at home and at school can be confusing. Some of them get sad, or mad, or hurt, or angry, or upset because of all the differences. Let's think about it for a moment. What kind of feelings do you feel because the language you speak is different than most of the boys and girls and teachers at this school. You know, those people who are not in your ESOL/ESL setting or with your ESOL/ESL teacher? (Allow time for all children to share and, under the title "Feelings" written on the board, list the different feelings encountered in the school setting, without acknowledging who said what.) After children have shared negative experiences and the counselor has summarized and clarified their responses say, "Thank you for sharing some of

PAGE 123

116 those 'nice' and 'not-so-nice' feelings. How do these things that happen in the ESOL/ESL settings and with the ESOL/ESL teacher, at school and at home make you feel about yourself?" (Allow children to share feelings of self-concept and self-esteem. Be sure to summarize with feelings when appropriate. There is no need to write these things on the board.) Next say, "The last thing I want to ask you is, after talking about some of these feelings about the ESOL/ESL setting, ESOL/ESL teachers and the whole school, how do you feel about coming to school and doing your class work and homework? (Just as before, there is no need to write these things on the board.) Treasure Checklist and Map Activity: Give each student a folder containing a treasure checklist and map. Do not let them open the folder yet. Say, "So now that we have talked about the ESOL/ESL setting and teachers, native languages, speaking Spanish, our homes, and cultures, you may be asking yourself, "Why is this group called the Treasure Hunt Club?" I will tell you. Remember how I told you that I had read about some boys and girls in ESOL/ESL settings who felt sad and upset at school. Well, I want to make sure that the ESOL/ESL settings and the whole school is as happy for you as possible. H some of the things we have already talked about are making school a sad place, I want to help you. So, in order for me to make sure that you are feeling good about yourself and school, I wanted to start this group to see how to help all of you feel better about school and yourselves. The reason I am calling this the Treasure Hunt Club is because I think happiness is a treasure, probably the best treasure of all. So you see, the treasure we are looking for is not really money or candy or toys, it's really being happy about who we are and the school we are in. What do you think about that? (Provide a little bit of time for a response of two.) Now, have them open the folder and say, "Go ahead and open your folders. Inside one pocket you will see the Treasure Map of an island where the treasure is buried. In the other pocket you will find a Treasure Hunt Checklist. We will spend the next few meetings checking off the things on our Treasure Hunt Checklist. Once we have finished checking off everything, then we will try to find the treasure using our Treasure Map during the last few meetings. We will start checking things off the Treasure Hunt Checklist at our next meeting. Does anyone have a question, then, on the Treasure Hunt Club? (After the children have been given a chance to ask questions, conclude theses ion with the following summary.)

PAGE 124

117 Summary/Closing Statement and Home Activity: First Say "There are many great things about being able to speak Spanish while learning English. Being in an ESOL/ESL setting and with an ESOL/ESL teacher is a good way to learn English. But, sometimes, it is hard to learn outside the ESOL/ESL setting because the class work is harder, or because the teacher is speaking and writing in English too fast, or because you might feel different from most of the kids outside of the ESOL/ESL settings. Maybe even you feel bad because the language and culture in your house is very different from what happens in school. There is nothing wrong with feeling sad or lonely or upset because of these things. But we can feel better; we can find a treasure of happiness. I hope that, during the next 5 meetings, we will all be able to feel better about who we are and about our school. Next time, we will talk about doing fun exercises in order to help us feel better about ourselves. Finally say "Before I let you go back to class, I would like to say one last thing. Since we are going to be talking about a Treasure Hunt for the next five weeks, I would like if you could find something in your house about your culture that you think is a treasure. Get some help by talking to you parents or guardians about something they have from the country they were born in, something that makes them feel good about themselves. Then, share what that is with the group next time. You don't have to bring the item or thing with you. You can write or color something about it, if you like, to help you remember what it is or what it is called. That way, we can all share what our treasures at home are all about. See you next time. Bye.

PAGE 125

SESSION TWO: Packing Our Bags for the Trea ure Hunt Objectives: To assist children with the expression of their feelings more effectively and familiarize them with a variety of different feelings. 118 To define the word "solution" and emphasize the importance of developing and implementing self-developed solutions. Materials : Blank sheets of plain, non-ruled paper Markers, or crayons, or colored pencils Treasure hunt checklist and map "Happy-face" and "unhappy-face" cutouts Opening Statement: Say "Welcome back to the Treasure Hunt Club. I hope you are all having a good day today. Remember how we talked about the ESOL/ESL settings and teachers last time, and how we also talked about feelings about school and ourselves? Well, today I'd like to talk a little bit more about feelings, especially those tough feelings like sadness or being upset. We are also going to talk about one of my favorite words, "solutions." A solution is like when we get an answer to a question we have-we solve it or fix it. By the way, does anyone know what is the Spanish word for solution? That's right it is "soluciones [so-lu-CEE-o-nis]." We will talk more about "soluciones [so-lu CEE-o-nis] in a few minutes. And, at the end of today's meeting, we will talk about our home treasures, too. Activities: Start by aying, "Feelings are things we have everyday, in all kinds of places, at different times, and about different people. As we know, some feelings can be of the happy kind (show the happy-face cutout) and some can be of the unhappy kind (show the unhappy-face cutout). Before we can reach that Treasure of Happiness on the Treasure map, we need to talk about what kind of feelings we have. So, let's start by going around the circle and sharing some feelings that we have or have had in the past I'll go first and then you (point to the child on your right and say his or her name) can go after me. If you know more than one feeling, you can share it too. (Allow for the children to share at least one feeling word. Encourage them to say two. You are to show the corresponding "face" card when a child share her or his feelings. Indicate that every time a feeling word is shared, you will hold up both cutouts and ask the group, ''Is that feeling like this face, or this other face?" and wait for the group to answer.) After the "go around," lay out the blank sheets of paper and a container or ba ket containing markers/crayons/coloring pencils. Give one paper to each child, and leave the writing utensils in the middle of where the students are sitting. Make sure each child ha access to the markers/crayons/coloring pencils. Also have one

PAGE 126

or two extra sheets of paper per student in case they want to start over with activity. 119 Say, "Let's take some time now to draw a picture about you. Your picture can be about anything you want. Maybe you want to draw a picture about you and your family, or you at school, or your teacher and you, or maybe about a place you have been. You may even want to draw a picture of the ESOL/ESL settings or teacher, or how it feels to be different and talk different than other people. After everyone is finished drawing their picture, we will share what our pictures mean. We all also try to use as many feeling words as possible when talking about our pictures. (Allow time for all children to draw their pictures.) Now say, "So what does this picture mean to you?" (Children respond. Provide ample time for all children to talk about their painting Be sure to facilitate their responses with feeling-focused responses. Also, try and remember what pictures and discu sion deal with being bilingual, LEP or a member of the ESOIJESL setting and teachers.) Next say, "Remember how I said that sometimes boys and girls in ESOL/ESL settings feel sad or mad or upset about school. Do any of these pictures have these unhappy feelings in them? Let's talk about some of these unhappy feelings. (Responses) Say, "It is perfectly fine for each and everyone of you to feel happy AND unhappy. Since feelings are things that we all have, it is OK to have happy ones and unhappy ones. The thing that we might want to work on is how to make unhappy feelings go away. That is where the word "solutions" is important. Who can tell me what the word "solution" means? (Wait for children to respond.) Sum up the responses by saying, "Thank you for such good answers. A solution is a way to fix a problem. For example, a solution to the math problem 1 + 1 is what? (Wait for an answer.) That's right, the answer is two. That was as example of a problem AND solution. Some problems are more difficult to solve. These problems might be unhappy things that happen to you. Sometimes these unhappy things make us have unhappy feelings. For example, falling down and cutting your knee is a problem because you just got hurt. How do you solve the problem of being hurt and cutting yourself? (Once again, wait for answers Any answer, from getting a bandage to calling an adult to help out is acceptable.) Well, now that we've solved that problem too, let's work on the problem of unhappy feelings. How can we come up with a solution to unhappy feelings? In other words, how can we fix a problem that is making us feel unhappy?

PAGE 127

120 This i the most important part of this session. Since this group is about finding solutions make sure that each child has a chance to come up with them. Use the painting s a s possible problems," and help the children develop and implement solutions in these scenarios Use the rest of the time in the group to practice coming up with solution to unhappy situations that cause unhappy feelings. Now say "I am so proud of all of you for coming up with great solutions to some of those hard problems. It really is important to come up with your own solutions and then use them to solve your problem. You will be able to use solutions to fix problems a lot of times. We will also use solutions in the Treasure Hunt Club as we try to find our Treasure of Happiness! Speaking of the Treasure, please take out the Treasure Hunt Checklist now. If you look on the checklist, the first thing to check off is where it says, 'I Am a Feeling Expert!!!' Go ahead and put a check in the square box. The next line says, 'Now I Know How To Make Solutions.' Since we also learned that today, you can put a check next to that one. See that, now we are on our way to going on our Treasure Hunt. It is important that we finish our checklist before we start looking for our treasure. We have to be prepared. Well, does anyone have any questions about today's meeting?" (Responses) Next say "Well, before we get ready to go let us discuss our home treasures. Who wants to go first in talking about something about their house and culture that they and their parents think is a treasure?" (Allow all the student s to hare something they talked about at home. If they forgot to think of s omething let them know it is okay but that they have to do next week s at home assignment. ). Finally ay "Well I can tell that you all come from very special homes where you share some really nice cultures and treasures. I appreciate all of you who shared with the group your home treasure. And it was so good to hear how proud you and your parents or guardians are about your culture. Thanks again for sharing." Summary/Closing s tatement and home activity: Well, that is all for today. I think you all did a great job at talking about feelings, drawing pictures, and coming up with your own solutions. (If applicable say Some of you even talked about how hard it is to not be able to speak English so well, or a time when someone teased you for being different.') Children and adults can have problems in all kinds of places and for all kinds of reasons. These problems can make us feel unhappy. If that happens, it is good to know we all have the power to use our own solutions to solve them. For next time, I have a little bit of homework. I think it is easy to do. All I want you to do is to draw a picture of yourself and bring it to the group. It can be any kind of drawing you want. I wilJ also draw one. Then, we will talk about our paintings and do another activity. Any questions? (Pause) Well then, see you next time. Bye.

PAGE 128

SESSION THREE: Getting Ourselves Ready for the Treasure Hunt Trip Objectives: To increase children's awareness of their self-concept To explore what kinds of experiences can weaken a self-concept To find solutions on how to strengthen a self-concept Materials: Chalkboard, dry erase board, or chart paper and appropriate writing utensil "Coat of Arms" cardboard cutout (included in packet) Adequate number of markers, crayons, or colored pencils 121 Laminating machine in media center (this part to be done after the session ends) Opening Statement: ''Welcome back. We have some really neat activities today so let's get started right away. As you know, we talked about feelings and solutions last time. Remember how we checked off "Feeling Expert" and "Now I know how to make solutions" on our Treasure Hunt Checklist? Well, today we are going to use feelings to talk about how we feel about ourselves. Then, we will find solutions for fixing times when we don't feel so good about ourselves. Of course, all of this is done to prepare us for out Treasure Hunt ... our Treasure Hunt for Happiness. Activities: The first thing the counselor wants to do today is engage the group in a discussion of self-concept. The group should start by talking about things individuals like about each other. Next, the school counselor will define the word "self-concept." Say, "Let's start today by going around the room and sharing what are some of our favorite things about us. In other words, what do you really like a lot about yourself? (Respon es. Clarify when appropriate. If needed, gently probe for responses). Next say, "I see we were all able to come up with many things that make us feel good about who we are. Now, let's think about places that make us feel good about ourselves. For example, some children are good at baseball. To them, being on the baseball field makes them feel good about themselves. What places make you feel good about being you? (Responses; clarify; probe.) Now say, "I can tell by listening to all of your responses that there are many times and places that help you feel good about you and who you are. Next, the counselor will explore times when children do not feel good about themselves The counselor should pay particular attention to incidents when group members feel negatively towards themselves due to language/culture differences. Say, "Now that we've had a chance to talk about good feelings about ourselves, I'd like to talk about times when you DON'T (stress the word "don't") feel so good about who you are. I would like it if we all shared

PAGE 129

122 something we don't like about ourselves. Since this question is harder than the last one, I will share something that I don't like about myself, too. So I'll go first and then the person to my left can go. What is it about me that I don't like sometimes?" (School counselor shares first. Then: responses; clarify, probe.) Now say, "Thank you so much for being brave and honest. I know that sharing things we don't like about ourselves can be hard to do sometimes. Let's think about those times when you feel bad then. Who can tell me where are the places where they feel bad? (Responses; clarify; probe.) Next say, "So it sounds like these are places and times that make us feel bad about ourselves." The goal in this section is to help children link negative feelings of self-concept to certain places. This point will be crucial to the "Coat of Arms activity at the conclusion of this session. Now say, "In talking about the things that make us feel good and bad about ourselves, I have been trying to teach you about a word that may be new to you. That word is "Self-Concept." Let's repeat it while I write it on the board. (Wait for children to repeat the word a few times.) Great! Now if we look at the word "Self-Concept" on this board, we can see that it is really two words. The first word is what? (Responses. Write the following words in quotes under the corresponding word on the board) That's right, it is "self." And, as you can tell, "self' is another word for "me" or "I" or "my." So, the second word is "concept." An easier word that means the same thing as "concept" is "idea" or "thought." So, if we look at the words under "Self-Concept" on the board we can see that this hard word really means "My thought of me" or "An idea about me." (Underline and circle "An idea about me on the board since it is a simple definition of self concept.) Are there any questions about the word "Self-Concept?" (Responses. Clarify). OK then, let's move on." The school counselor will now help the students come up with solutions to negative self-concepts using the "Coat of Arms" activity. This activity will help children visualize solutions to use in times and places where they are not feeling very positives about themselves. First say, "So what can we do when we are not feeling so good about ourselves? Remember when we talked about some of the times and places that make us feel bad about ourselves. Well, we are going to try and find a

PAGE 130

123 solution to this problem. We are going to spend the rest of our time together today figuring out this problem. Hand out the "Coat of Arms cardboard cutout. Set the colored writing utensils in the center of the group. The "Coat of Arms" can also be referred to as a "shield." It is divided into three numbered sections. Read aloud the following description while you show the group an example of historical coat of arms provided in the Group Leader's manual. Say the following while showing the children the sample coat of arms, "This is called a Coat of Arms, or a shield. A long time ago these shields were used by people to defend themselves against getting hurt. As you can see from these examples, they had very special and colorful pictures drawn on them. These pictures, believe it or not, say very special things about the person using the shield. Sometimes the pictures were used to say what family the person belonged to. Other times, pictures of lions or dragons were used to show how brave and strong was the person using the shield. The neat thing is that each person took the time to make themselves a shield, a shield they used to protect themselves. Are there any questions? (Responses) Now say "The Coat of Arms, or shield, we are about to make is going to be a way for us to protect ourselves from getting our feelings hurt. It will also be used to tell those who look at it, things that we are proud of and like about ourselves. Even though our shields are not very strong, since they're made of paper, the important thing about them is that we made them and that they say wonderful, great things about us. We can use things to remind ourselves how special we are when we feel sad, or upset because something bad happened or someone made us feel bad about ourselves. Instruct the children to start drawing and coloring three separate things that they like about them elves Make sure to stress that these experiences should serve as a reminder or a cue for being proud and happy about themselves in times when they might feel down or sad. Say, "As you can see, everyone has a blank shield in front of them. Each shield has three different parts to it. In the part numbered '1,' write, draw, or color 'My favorite thing about me.' (Somewhere on the board, write the number 1,2 and 3, with the corresponding instruction written next to the number) In the part with a number '2,' write, draw, or color 'The school activity I am best at.' (Stress an academic subject). Finally, in the part with a '3,' write, draw, or color 'My favorite thing about my culture and language.' That's right, think about the coolest, most awesome thing about being able to speak a different language besides English and about having a special culture. Go ahead and color that in the part with

PAGE 131

a '3.' OK, before we start, are there any questions? (Allow for questions) Then let's begin." 124 Be sure to allow plenty of time to for all children to write draw, or color something in each section of the shield. Once that has occurred, have each child share the contents of their shield. Once that has happened conclude the activity with the following statement. Say "Let's go ahead and share what our shields look like and say about us." (Responses. Clarify. Probe) Now say, "As you can see, now you all have a shield that is special. It is special because it says three things that make you happy and proud of who you are. Believe it or not, you can use this shield in times when you are not feeling so happy. Times when your self-concept is not so high. For example, if you are feeling down about yourself, you can look at your shield and remind yourself of all the wonderful things about you. Or, if someone makes fun of you, or if you get a grade that you are not happy about, well then, you can look at your shield and prove that person who said mean things about you was wrong. You can also prove to yourself that there are other school subjects that you are good at. So you see, the shield is really a shield for your self-concept. It protects your self-concept from feeling bad about itself. Sometimes, the shield won't be able to remind you of happy things, or maybe your self-concept, your idea about you, is feeling really bad that day. But, there are times when the shield will help. That is when the shield becomes the solution to a sad or upset or low self-concept. Any questions?" (Wait for questions, and, if necessary repeat the previous statement. This is a leap for them and may take a couple of times being repeated before the children understand it) Finally say, "Now that we have all finished, I will get the shields laminated in the media center. I will give them back to you next time. These shields are for you to keep and use whenever you think you need to. You don't have to have them with you all the time to feel good about yourself. Just think about them and, maybe, your happy feelings about being you will come back. Summary/Closing statement and Home activity: First say, "Now let's take out our Treasure Hunt Checklist and check off 'My Self-Concept Shield.' This means that today we have learned about ourselves and the things that make us feel good and not so good about who we are. Today we also came up with a solution to not feeling so good. That solution is the Coat of Arms, or shield, that we worked on. So, as you can see from our checklist we are almost ready for our Treasure Hunt. Next time we will study the map. Have a great day. And, remember, when you feel unhappy about yourself, try and think about all the great things that make you special."

PAGE 132

125 Finally sa y "For the home activity this week, I'd like for you to ask your parents what is their favorite thing about being from another country. You do not have to do the shield with them. Simply ask them this one question, "Mama o Papa (Senora o Senor), what is your favorite thing about being from your native country?" And, if you want to ask them in Spanish, that is perfectly fine. See if their answers are anything like yours. Thank you again for being here today. We'll meet again next time. Good-bye."

PAGE 133

126 SESSION FOUR: Getting to Know Trea ure Island: Feeling Comfortable on the Island Objectives : To become familiar with the school environment To gain a better understanding of the ESOL/ESL environment and teachers Materials: Map of Treasure Island (included) Note cards detailing the Inhabitants and Place of Intere t" within the school (included) Board and/or chart paper with appropriate writing utensil Opening Statement: "Hello. As you know, this group is supposed to meet 6 times. Today is the fourth time we are meeting. By now we have completed 3 of the group meetings. So only 3 more to go including today's meeting. I'm very excited about today's meeting since it is the first time that we look at the Treasure Island Map as the Treasure Hunt Club gets ready to visit the island and find that Treasure of Happiness. So, let's get out those folders, review the Checklist, and get ready to learn a little bit more about Treasure Island." Activities: Now that the group has checked off most of the item on the checklist, the last item to mark off i 'becoming familiar with the school environment. It is very important that the children understand that the island is really their school, and the inhabitant are really teachers, staff and other students. Say, "Believe it of not, Treasure Island is really our school. All this time we have been preparing for the Treasure Hunt for Happiness, we have really be preparing for helping you get the most out of school and classes. Remember how we talked about solutions to feeling bad about ourselves? And remember how we talked about learning about feelings and what makes us feel happy and sad at school? Well, these things were done so that we could learn how to like ourselves and find happiness in our school. In order to find out what each child knows about the school environment, use the enclosed note cards. This will allow the counselor to gauge the level of comfort each child has in the school and ESOL/ESL settings by observing the positive or negative opinions each child has towards the separate parts of school and members of the school environment. Say, "Let's play a game to see how much each person here knows about the school. In front of me I have a bunch of cards with names on them. One by one I am going to show you a card with a word on it. I would like it very much if you took turns telling me something about the word on the card after I read it out loud. The words I will say and show you are people and places

PAGE 134

127 on Treasure Island, in other words, people and places at school. Tell me what you know about these people, and what you know about that part of school. The more words you know, the better prepared you will be for our Treasure Hunt on Treasure Island. Proceed with the game by s how i ng the group the cards one by one Notice the numbers on the backside of each cue card Show the cards in the following orders, from one to ten. The counselor should add extra information if she or he believes the group would benefit from more information on a particular person or school component. Now say, "You all did very well with the game. Since I can tell that everyone in this group knows something about school and the people at school, let's now share with the group what are some of your favorite things about school? It can be anything you want. Let's start with you. (Point to the person on your right. Wait for responses Clarify and probe if needed. ) Make sure to write down the responses on the board and the name of the person sharing the particular response. Now say, "Now that everyone has shared their favorite things about school, let's talk about why these things are your favorite. (Start with per on on left. Wait for responses). Next, draw the focus of the group to their experience in the ESOl.JESL setting Find out what each particular student likes about the ESOUESL setting. Say "Wow! All of you did a fantastic job at coming up with different things that you like about school and reasons for liking school. Now, who can tell me what they like most about being in the ESOL/ESL setting or with the ESOL/ESL teacher and why? (Responses. Clarify. Probe ) Now that the students have been provided with an opportunity to talk about po itive aspect about school ask them to share other types of feelings they a sociate with school that may not have been covered by the question above. It is important that the counselor recall previous meetings on feelings, elf-concept and solutions to attaining positive self-concept if the children's stories become negative In other words remind them of how to think more positively about themselves. Allow ample time for group discussion. Children should be provided with a chance to vent frustrations about school, and perhaps, being LEP in the school setting and how others react to them because of their LEP status. Say, ''You know, with all this talk about things that you like about school and the ESOL/ESL setting and the ESOL/ESL teachers, what are some other feelings you have about school and the ESOL/ESL setting? (Write Responses on board. Clarify and probe.)

PAGE 135

128 For the last part of this activity connect last session s topic on self-concept with the school environment topic. Help children realize that, just a they were able to feel better about themselves by learning more about themselves with the Coat of Arms exerci e the same can happen when they become more aware of their perceptions towards the school environment. Now say "You know, this talk that we are having reminds me of the talk we had last time when we talked about our self-concept. Remember how we first talked about things we liked about ourselves, then things we didn't like about ourselves, and, finally, how to help us feel better about ourselves. By learning about ourselves, we can help ourselves. The same happens with school. By learning about school and doing activities like this, and by sharing the things you like and don't like, we can find solutions to making school a happier place. Are there any questions? Summary/Clo ing statement and Home activity : First say "Go ahead and take out your Treasure Hunt Checklist and Treasure Hunt Map. Now, go to the last line on the Checklist and check-off the box next to ''I am a School Expert." Great! You are now done with the checklist. Now you can look at the Treasure Hunt Map. Next time we meet, we will be ready for the trip to Treasure Island. Over the last two weeks, you have all done a great job with learning about feelings, yourself, your self concept and school. I can't wait to see how you all do on your Treasure Hunt for Happiness. Have a great day and I'll see you next time. Finally say "Since we will be talking about our feelings toward school and learning next time, I would like it if you shared with you parents or guardian your favorite thing about this school year, so far. I think it's a good idea to share with our families our happy and not so happy feelings about school. So, your home activity is to bring up during dinner, the weekend, or whenever you have a chance, your favorite thing about this school year. Thank you again. Have a super day." SESSION FIVE : Treasure Island is a Great Place to Be!

PAGE 136

Objectives: To review and revisit the group' attitude towards school and learning To improve the group s attitude towards school and learning 129 To develop long-lasting solutions to improving negative attitude towards school Material : Treasure Map of Treasure Island (included) Make-believe scenario cards to be read out-loud to students Crayons markers and/or colored pencils A note pad o that the counselor can write down student' responses Opening Statement: Say, "Welcome back. I hope everyone is having a good day today. Last week, we started talking about our trip to Treasure Island, which we now know is our school. Today we will talk about finding and holding on to a good feeling about school. As a school counselor I meet a lot of girls and boys who feel bad about school, or maybe don't like to learn. I would like to find out a little more about how you feel about school. Towards the end of our time today, I would like you to help me find solutions to feeling bad about school and learning. Together, we will find the best way to find that Treasure of Happiness on Treasure Island. Activity : The purpo e of this activity is to help children associate attitudes with behavior. The end result will be to develop ways to change negative attitudes to positive ones, thereby changing behavior. Say, "Remember how I taught you what self-concept means a few days ago. Well, we are going to learn a new word today. That word is "attitude." An attitude is the way we feel about something. Attitudes can also affect the way we behave. For example, who here likes to go to the toy store? (Responses. Clarify Probe.) Now say, "So if we like going to the toy store, how do we act when we get to the toy store? (Responses. Clarify Probe) Next say "Now how about going to the doctor. How do you feel about going to see the doctor? (Responses. Clarify Probe.) Finally say, "So if most of you feel have a sad attitude about going to see the doctor, how does that make you act? (Responses. Clarify Probe.) Are there any other questions about attitudes and how they make us act?"

PAGE 137

By now, each child should be able to see the connection between attitude and behavior. Now it is time to make a link between attitudes and behavior, and school, the ESOIJESL setting and the Trea ure Hunt Club. 130 Say "OK, so now you all know about attitudes and actions. Let's see how attitudes make us feel and act here at school. I am going to need your help for this next part. On these cards I have short stories about students and their attitudes about things happening at school. I am going to read out loud what the short stories are. I will then ask the group what they think the person's attitudes are in the story, and how they are acting. I have enough stories so that each of you can help me. Let's start with this one. (Read each scenario and pick one student to talk about the feeling and actions of the character in the story. Make sure to elicit as many responses as possible, but only after the child who was selected to work with a particular story has been provided with time to answer first. The order in which the cenarios are shared with the group is not important. ) Next say, "Now I want you to think about those stories where the characters had a sad attitude about school. Let's see who can come up with solutions to help this person make their unhappy attitude happier. What can these make believe people in these stories do to improve their attitude? For this next part the coun elor wiJJ need the enclosed note pad. As the children provide answers to the foJJowing questions, write down a brief synopsis of their responses. This wiJJ be helpful when reviewing their attitudes towards school and the ESOIJESL etting at the conclusion of this activity. Now say, "You all did a fantastic job at helping find out the story character's attitudes and actions. And I thought the solutions you all came up with were super! Did you see how, if a person had a happy attitude they acted in one way, and if they had an unhappy attitude they acted in a different way? (Allow a few seconds for heads to nod.) Great, well now you know how attitudes work at school. Next say, "For this next part, I am going to write down on this notepad some of your answers to help me remember what each of you said. Now let's talk about your feelings and attitude about school. What things about school make you have a happy attitude about school and how do they make you act? Let's start with you. (Indicate the person to your left. Wait until everyone has responded. Clarify and probe if needed.) Say, "And what about the ESOL/ESL setting and ESOL/ESL teachers. What are some of the happy attitudes that you have about being in the ESOUESL setting or working with your ESOL/ESL teacher? What things do you do when you have these happy attitudes about the ESOL/ESL setting or

PAGE 138

131 ESOL/ESL teachers? This time, let's start with you." (Start on your right and repeat above instructions ) Now say, "Having talked about all the happy attitudes you have about school and the ESOL/ESL setting or ESOL/ESL teachers, what are some of the unhappy attitudes you may have about school and the ESOL/ESL settings and teachers? (Responses Clarify. Probe) Finally say, "How do these unhappy attitudes make you act in school and the ESOL/ESL teachers and settings? (Responses. Clarify Probe.) The last part of this session involves the Treasure Map and the colored writing utensils As you can see from the Treasure Map, there is an area specifically designated as "ESOL/ESL Beach at Treasure Island Have the children focus on this part of the map as they talk about their negative attitudes towards the ESOIJESL program. If none exist, then explore how their positive attitudes in the ESOIJESL setting can be applied to the rest of school. Remember to revert back to the notepad in order to help the group remember their negative and positive attitudes. Make sure to place crayons/markers/colored pencils within reach of all group members. Say, "Now we are going to start adding some color and pictures to our Treasure Map. Feel free to use whatever colors you want to draw on the part of the map the says "ESOL/ESL Beach at Treasure Island." (Point to the area on the map. ) Go ahead and start coloring your Treasure Map. As you color in that part of the map, I will ask you for solutions to some of your sad or bad feelings about the ESOL/ESL teachers and settings. In other words, what are some of the things that you can do to make your unhappy attitudes about the ESOL/ESL class, become happy attitudes? Be sure to think about the solutions you all came up with for the characters in the short stories I read a little while ago. (If no negative feelings, then say, "What is it about the ESOL/ESL teacher and setting that helps you have such a happy attitude? ) While the group is engaged in coloring their map, ask each individual child about their negative attitudes and what solutions they can come up with to improving their attitude Clarify and probe each student individually Praise the student for his or her responses and encourage them to use their solution in other aspects of the school environment. Make sure everyone has time to fini h coloring and drawing on the "ESOL/ESL Beach at Treasure Island part of their map. Finally say "Let's stop coloring right now so I can share with you how happy I am with all of you. From each of you I have heard some really great solutions to solving sad or unhappy attitudes with the ESOL/ESL teachers or in the ESOL/ESL settings. You have done a fantastic job and I hope you use these solutions the next time you feel your attitude in the ESOL/ESL setting is becoming unhappy. I also want to congratulate all of you on the wonderful

PAGE 139

132 job each of you has done coloring your ESOL/ESL Beach. As you can see, the wonderful pictures you have drawn have made ALL of Treasure Island look a little bit prettier and nicer looking. Well, just like a happy-looking ESOL/ESL Beach makes all of Treasure Island look nicer, a happy attitude in the ESOL/ESL setting and with ESOL/ESL teachers makes all of school a nicer place to be." Summary/Clo s ing s tatement and Hom e activity : Now s ay "Each and everyone of you have done a super job at learning and talking about attitudes today. I am very proud of all of you and all of your work. As you can see by your Treasure Map of Treasure Island, the Treasure Hunt Club is well on its way to finding that Treasure of Happiness. You can tell by looking at how nice and pretty ESOL/ESL Beach looks. I hope you can also see that, by feeling good about the ESOL/ESL teachers and in the ESOL/ESL settings, we can learn ways to feel better about every part of school. Sometimes, the better we feel about school and teachers and especially ourselves, the better we do on homework and tests. Well girls and boys, we are about fmished with meeting number 5. That means that next week is meeting number 6, our last meeting of the Treasure Hunt Club! We will have a chance to talk about a few more things next time, including what it feels like when a group like this comes to an end. Fin a lly sa y "But before we can talk about the group coming to an end ne x t week, we need to talk about our last home activity. This last home activity also deals with your parents or guardians, and it is one that a lot of boys and girls talk about with their family. I would like it if you could ask your parents the following question: "Mama or Papa (Senora or Senor), how come good grades are important?" I think it would be interesting if you heard from your family why they think good grades are such an important thing. It is also a good way to practice for next week's session when we talk about grades. I hope you have a great day and a great week."

PAGE 140

SESSION SIX: The Treasure of Happiness: School Success on Treasure Island Objectives: To determine student's perception of academic success To find out what obstacles, if any, are interfering with academic success To discover olutions which may improve academic succes To bring closure to the Treasure Hunt Club! Materials: Treasure Map of Treasure Island Chalkboard, dry erase board or chart paper and appropriate writing utensils Pencil s Crayons, markers, and/or colored pencils Opening Statement: 133 Say, "Well Treasure Hunt Club members, today is our last meeting. We sure have talked about a lot of things in the past five meetings. Today we will talk a bit about school grades on report cards. Sometimes these grades make us happy, other times they make us sad. We will see if, together, we can find ways to make our grades better. We will also talk about dealing with those feelings. Finally, we will talk a little about what happens after the group ends. Activity: There is a positive correlation between self-concept and academic success, as well as school attitude and academic success. For that reason today' session will be concerned with attaining academic success. First, the counselor will establish the children's academic performance based on their perceptions. First say, "Who can tell me what 'good grades' mean? In other words, how do you know when you have done well in a class or subject at school?" (Title the top of the board with "Good Grades and how they make us feel." Allow students time to think about grades and respond. Write on board some of the statements shared by children. Make sure to write down who said what for use during discussion Summarize the collection of answers to what good grades look like, after you have written several phrases on the board .) Say, "So do we all agree that good grades look like this, the things written on the board?" (Erase board after end of di cussion.) Now say, "I remember when I was in elementary school I would sometimes get grades I was not happy about. Raise your hand if you have ever gotten a grade on a test, or homework, or your report card that you were not happy about. What happens when you don't get the grades you wanted or thought you were going to get?" (Allow some time for children to raise their hand). Now say, "How did it make you feel to get those grades, the kind you didn't like?" (Responses. Clarify Probe. )

PAGE 141

Next say, "I know that it is hard sometimes to talk about grades that make you feel sad or mad. That is why I thank you for sharing these things with me. Now that you have done that, will you please share with me why you think you got these grades that you were not happy about? I am going to write these things down so we can look at them later." (Allow time for responses and write them down on the board or chart paper.) 134 Finally say, "So these things on the board that I just wrote are the things that keep you from getting good grades. Well, let's talk about them some more then." (Process the obstacles a bit more until you have grasped an idea of themes or commonalties in the group's responses.) Now that children have discussed their perceptions of grades and how negative grades make them feel pose a "miracle question" where they are given a chance to develop coping mechanisms for grades they deem unsatisfactory Now say, "Imagine for a moment that you got A's in every subject on your report card. You managed to get perfect grades in Math, Science, Language Arts, Social Studies, Art, and the rest. How would that make you feel?" (Allow time for respon e. Probe and clarify when necessary.) Next say, "I can tell how excited you all would be if you got perfect grades by your responses. But just how do you think you could get perfect grades like that, all of a sudden. What kinds of things would have to happen for you to get grades like that?" (Response. Clarify Probe. Write down responses on the board for all to see) Next say, "Wow, what a list you have come up with of ways to improve your grades. So, by thinking about what it takes to get a perfect report card, we can get ideas for getting better grades; grades that make us feel happier and better about ourselves." Finally say, ''Who would like to share what their family had to say about the importance of good grades? Let's see if the conversations you had with parents and guardians are like the one we had here. (Allow time for the children to hare their home activity and make sure to link those experiences with today's topic whenever appropriate.) Thank you again for sharing." The next part of this activity mirrors the fifth session where the children colored the Treasure Map of Treasure Island. Similar to what was done last time, the children will color in the map to their liking, making it as original to them as possible. Now say, "For the next part of today's activities, I want you to take out your the Treasure Map in your folder. We are going use the next few minutes to finish coloring in the map. Our job is to make our map look as happy and

PAGE 142

135 pleasant-looking as can be. Since Treasure Island is really supposed to be school, let us use make it look like a really nice place to be. Think about all the wonderful things that you feel when you get good grades, as you color in the rest of Treasure Island. When you are done, we will discuss everyone's drawing." ( Allow ample time to complete the assignment. ) Next say "If you look at your pictures you will see two main things: A colorful 'ESOL Beach' and a colorful Treasure Island map. Please share with the group your reasons for coloring the Treasure Map the way you did, what made you pick the colors you did, and if you think the picture you've colored in is a happy one or a sad one?" (Response. Clarify Probe ) Now say ''By looking at most of your drawings I see many Treasure Maps that make me think you can be happy at school and in the ESOL/ESL setting and with the ESOL/ESL teachers. It sounds and looks like, from some of your stories and drawings, you also agree that happiness is something you can find at school. If you add all the things we've talked about in the last six weeks, including today, and if you think about these beautiful drawings of Treasure Island and the Treasure Island Map, I would have to say you found the happiness of Treasure Island. The last set of s tatement s requires bringing closure to the small-group experience It is important that each child is provided with a chance to share a comment or two about their experience in the group Say "Before we end the group, I was hoping you all would do me a favor. All of you have done a great job over the past few weeks to answer questions, take part in exercises, share your feelings, and learned new things. So, the last thing I would like you to do is share with the group the neatest, most special thing you've learned since being in the group." (Each student should be encouraged to participate and provide a response, since it will be hi s or her la s t chance to do s o within the group experience Feel free to probe and clarify if needed. ) Summary/Closing Statement: To wrap things up finish the activity by tying the meaning of grades what each child does to get good grades the obstacles to getting good grades, and that solution s to negating bad grades rest in their ideas for getting good grades. Say "Well, another meeting of the Treasure Hunt Club has come to an end. All of your Treasure Maps of Treasure Island look magnificent, super and fantastic! Such great colors you all have chosen to make your Islands look so happy. Kind of how you feel when you get those grades that make you feel happy. Today we have learned what grades you like to get and how to keep getting those grades. All of you did a nice job at showing each other how to not let unhappy grades make you feel sad. You learned that you can change

PAGE 143

unhappy grades right now by trying your very hardest at school and in all your classes. End-of-the-Intervention Statement: 136 "I would like to take this time before we end the group to thank you for your cooperation in the group and for being such wonderful students to work with. I really enjoyed hearing you all talk about school, the ESOL/ESL teachers, your feelings, and things you like about you. I also liked having the chance to teach you some things about self-concepts, looking at school as a pleasant place, and good grades. I want you to know that, if you ever have a problem at school and think I can help you in any way, I can try to help. I also hope you enjoyed this experience and that you will continue to use the ideas learned in the Treasure Hunt Club for a long, long time."

PAGE 144

APPENDIXE RESPONSES TO QUALITATIVE QUESTIONNAIRE

PAGE 145

The following are the exact responses to the three-question interview on page 112 of children participating in the qualitative questionnaire. The responses of the 12 children from the control group (C) are listed first. The responses of the 12 children from the experimental group (T) are listed second Field-note data for each respondent is included in brackets. E04 (C) 1. Teachers 2. Fine, happy 3. Good. Science gotten better [Child appeared reserved with answers and indicated a desire to return to class.] Ml 1 (C) 1. Teacher help with math good. Bon report. Friends have helped out too. 2 Happy, happierlike doing work. 3. Pretty good grades, with the some not going up a lot. [Child appeared eager to answer questions and pleased with own answers.] E13 (C) 1. My student teacher helped me a lot on my math, that I did not understand ... he helped me with times a lot. 2. Happy with school. 3. Well my grades were getting F's, but then I got good in everything. Then I got A's. [Child appeared proud of her academic accomplishments and smiled a lot.] G18 (C) 1. Teacher 2. Happy since I started school. 3. A lot. Because my grades are in the 100s, good at everything, do works really good because I study [Child appeared a bit confused with the questions, but wanted to talk about his experiences.] M02 (C) 1 My teacher, Ms __ Math. 2. Fine, feeling good at school. 138

PAGE 146

3. A little bit up; couple (reading, math, social studies). [Child eemed short with his answer and an unwillingness to expand on questions.] G19 (C) 1. My teacher 2. Happy missed school when in California Didn't get to see my friends. 3. Getting better school grades get A's [Child made an unhappy face when she mentioned California; very eager to answer the questions.] M05 (C) 1. Teacher. 2. A lot; to be with everybody else 3. A lot; my grades changed becau e I were listening a lot not shy. Paying more attention to teachers. [Child did appear to be a bit shy by not making eye contact.] El7 (C) 1. Math teacher, good math student. 2. Kinda happy kinda sad. 3. Better grades [Child appeared confused with the question and did not smile throughout the interview.] E19 (C) 1. Teacher. 2. Happy to be at school. 3. Better grades music [Child provided short answers and seemed to be in a hurry.] V04 (C) 1. Cousin. 2. Good. 3. A little bit better grades at a time it's been easier to read. 139 [Child seemed unhappy at first, but became more friendly (especially during third question) ] GOO (C) 1. Mom.

PAGE 147

140 2. I'm happy. 3 My grades have been going up more. [Child seemed very friendly as demonstrated with her handshake and smile, but was not very verbally or non-verbally expressive.] E04 (C) 1 Teachers and friends 2 I'm happy. 3. Pretty much the same grades, some higher. [Child seemed happy to be meeting with me and wanted to answer more questions.] El 1 (E) 1. I got help in the computer lab and Mrs. __ my teacher helped with English and school 2. Happy. 3. Good; sometimes up, sometimes down. [Child asked if I knew his group facilitator and wanted me to know how good he was doing at school.] V02 (E) 1. Mrs. __ same teacher she knows Spanish and uses it in the work we do 2. Very happy. 3 Fine grades gone up. [Child did not seem to want to talk too long but smiled when he mentioned the ESL teacher.] ElO (E) 1 Mrs. __ ( teacher), cause you can usually get it done well 2. Really good because I'm getting better grades since last year 3. Paying more attention and getting better at math and stuff [Child did not seem to want to leave, pausing before answering each question and wondering if there were other questions she wanted me to ask ] GlO (E) 1. Mom. 2. Glad happy first day met teacher. 3 They got higher (grades). [Child seemed very shy and did not appear to be happy with the researcher.]

PAGE 148

141 VOS (E ) 1. Myself I didn t learn English with somebody. I learned it by listening to words and meanings. Reading and writing since kindergarten. Mrs. __ also helped me with Engli s h 2 I am really happy 3. A lot. In third grade I know a lot. Getting A s a lot. I love my grades too. [Child walked in with a s mile on their face and did not stop smiling until they left. When they answered the second question their eyes got really wide and his hands went into the air.] Gl5 (E) 1. My dad 2 Really happy. 3. Grades at first were not good but I'm been getting A s. [Child inflected when they said the word "really by spreading out their arm s as a way of showing the size of their emotions ] MOO (E) 1 Brother and friends and dad and morn have helped with school. 2 Very happy Good grades, lots of friends friends help listen. 3 Schoolwork s a little harder, still happy with grades [Child smiled and boasted a bit when answering the second question] MO6 (E) 1. Friends teacher Mrs. ___ with English 2 Very happygood grades; lots of friends 3 Used to have Bin reading now I have A s because sister helped. [Child smiled when he mentioned his ESL teacher] E16 (E) 1. Mrs. __ the teacher and her helper Mrs. ___ helps people with homework they don t understand. 2. So happy because I got my report card it was all A s!! 3. Getting better at everything. [Child s voice increased in volume as he mentioned how happy he was with his previous report card. Also, child smiled and laughed when talking about the ESL teacher.]

PAGE 149

142 E05 (E) 1 Friends and teachers 2. Happy homework being easy. 3. Kinda going up science, math, & English. [Child did not make eye contact with the researcher and appeared pleased to be going back to the classroom.] E09 (E) 1 Brother with spelling. 2 Really happy. 3. Grades have gone up. [Child smiled when entering the room, but noted that he wanted to get back to class as soon as possible ] G 14 (E) 1. Any teacher 2 A lot. 3 Better grades [Child was polite, but seemed to be in a hurry when answering the questions ]

PAGE 150

REFERENCES Ada, A. F. (1986). Creative education for bilingual teachers. Harvard Educational Review, 56, 386-394. Amerikaner, M. & Summerlin, M. L. ( 1982). Group counseling with learning disabled children: Effects of social skills and relaxation training on self-concept and classroom behavior. Journal of Learning Disabilities, 15 (6), 340-343. American School Counseling Association (1999). Position Statement: The professional school counselor and cross/multicultural counseling. Alexandria, VA: Author. Arredondo P. (1996). Operationalization of the multicultural counseling competencies. Journal of Multicultural Counseling and Development, 28(4), 263-273. Ashworth, M (1977) The English as a second language program and the school counseling service. School Guidance Worker, 32, 29-33. August, D. & Hakuta K. (Eds.) (1997). Improving schooling for language-minority children : A research agenda. Washington, D.C.: National Academy Press. Baker, C. (1992). Attitudes and language. Great Britain: WBC Print, Ltd, Brigend. Baruth, L. & Manning, M. (1992). Understanding and counseling Hispanic American children. Elementary School Guidance and Counseling, 26, 113-122 Bernal, M. E. & Knight, G P. (Eds.). (1997). Ethnic identity. Albany, NY: State University of New York Press Bonnington, S. (1993) Solution-focused brief therapy: Helpful interventions for school counselors. School Counselor, 41, 126-128. Brilliant, J.J. (1995). The effect of the affect: Psychosocial factors in adult ESL student language performance. College ESL, 5 (1), 52-61. Brown, N. (1994) Group counseling for elementary and middle school children. Westport, CT: Praeger Publishers. Bruce, N. (1995). Practicing what we preach: Creating the conditions for student autonomy. Hong Kong Papers in Linguistics and Language Teaching, 18, 73-88. 143

PAGE 151

144 Campbell, C. A. & Myrick, R. D. (1990). Motivational group counseling for low performing students. The Journal for Specialists in Group Work, 15 (1) 43-50 Campbell J. & Elder, J (1999) Crafting the 'tap on the shoulder : A compliment template for solution-focused therapy. American Journal of Family Therapy, 27 (1) 35-47. Canino MD I. A. & Spurlock MD J S. (1994). Culturally diverse children and adolescents : Assessment, diagnosis, and treatment. New York: The Guilford Press. Casanova, U. (1991). Bilingual education: Politics or pedagogy? In 0. Garcia (Ed.) Bilingual education: Focusschrift in honor of Joshua A. Fishman on the occasion of his 65 th birthday (pp. 167-180) Philadelphia, PA: John Benjamin Publishing. Cazden, C. (1992). Language minority education in the United States : Implications of the Ramirez report. Santa Cruz, CA: National Center for Research on Cultural Diversity and Second Language Teaching. Clark A. J (1998 ) Reframing : A therapeutic technique in group counseling Journal for Specialists in Group Work, 23 (1), 66-73. Coe, D. M. & Zimpher, D. G. (1996) Infusing solution oriented theory and techniques into group work Journal for Specialists in Group Work, 21 (1), 49-57. Coelho E (1994). Learning together in the multicultural classroom. Ontario, Canada Collier, V.P. (1987). Age and rate of acquisition of second language for academic purposes. TESOL Quarterly, 21 (4), 617-641. Corey, G (2001). Theory and practice of counseling and psychotherapy (6 th ed.). Belmont CA: Wadsworthffhomson Learning. Corey, G. (2000) Theory and practice of group counseling (5 th ed.). Belmont, CA: Wadsworthffhomson Learning. Crawford, J. (1999). Bilingual education: History, politics, theory, and practice (4 th ed.). Los Angeles, CA : Bilingual Educational Services, Inc. Cummins, J. (1994) Knowledge power, and identity in teaching ESL. In F Genesee (Ed.), Educating second language children Press Syndicate of the University of Cambridge : New York. Cummins, J. (1986). Empowering minority students: Framework for intervention. Harvard Educational Review, 56 (1), 18-36

PAGE 152

Cuthbert, M. I. ( 1987). Developmental guidance for school success skills: A comparison of modeling and coaching. Unpublished doctoral dissertation, University of Florida. De Shazer, S. (1985). Keys to solution in brief therapy (1 st ed.). New York: W.W. Norton. De Shazer, S. (1990) What is it about brief therapy that works? In J. K. Zeig & G. 145 Gilligan (Eds.), Brief therapy: Myths, methods and metaphors. Philadelphia, PA: Brunner/Mazel, Inc. Domic, S. ( 1979). Information processing in bilinguals: Some selected issue Psychological Record, 40, 329-348. Downing, J. & Harrison, T. (1992). Solutions and school counseling. The School Counselor, 39, 327-331. Epstein, H. (1985). Review of Piers-Harris children's self-concept scale. In J.V. Michel, Jr. (Ed.), Ninth Mental measurements yearbook (pp. 1168-1169). Lincoln, NE: University of Nebraska Press. Erikson, E. ( 1968). Identity, youth, and crisis. New York: Norton. Erikson, E. (1963). Childhood and Society. New York: Norton. Faltis, C. J. & Hudelson, S. J. (1998). Bilingual education in elementary and secondary school communities. Needham Heights, MA: Allyn & Bacon, Inc. Fehr, S.S. (1999). Introduction to group therapy. New York: The Haworth Press. Figueroa, J. (1993). Can parental involvement in bilingual education save our language minority children from becoming disempowered and disenfranchised? Illinois Schools Journal, 72, 40-49. Fontana, A. & Frey, J. (2000). The interview: From structured questions to negotiated terms. In N. K. Denzin & Y. S. Lincoln (Eds.), The handbook of qualitative research (2 nd ed., pp. 645-672). Thousand Oaks, CA: Sage Publications. Garcia, J. G. & Marotta, J. (1997). Characterization of the Latino population. In J. G. Garcia & M. C. Zea (Eds.), Psychological interventions and research with Latino population (pp. 1-14). Needlam Heights, MA: Allyn & Bacon, Inc. Gay, L. R. (2000). Educational research: Competencies for analysis and application (6 th ed.). Englewood Cliffs, NJ: Prentice-Hall, Inc.

PAGE 153

Gerler, E. R., Ciechalski, J. C., & Parker, L. D. (Eds.). ( 1990). Elementary school counseling in a changing world. Ann Arbor, MI: ERIC Counseling and Personnel Services Clearinghouse 146 Gerler, E. R., Kinney, J ., & Anderson, R. F. (1985). The effects of counseling on classroom performance. Journal of Humanistic Education and Development, 24 155-165. Gibson, R. L., Mitchell, M. H., & Basilie, S. H. (1993). Counseling in the elementary school. Needham Heights, MA: Allyn & Bacon, Inc. Gilbert, S. ( 1989). Addressing the needs of English-as-a-second-language students. Community, Technical, and Junior College Journal, 60 (1), 22-25. Gilgun, J F., Daly K., & Handel, G. (1992). Qualitative methods in family research. Newbury Park, CA: Sage Publications, Inc Gopaul-McNicol, S. & Thomas-Presswood, T. (1998) Working with linguistically and culturally different children: Innovative clinical and educational approaches. Boston, MA: Allyn & Bacon, Inc. Hakuta, K. & Garcia, E. ( 1989). Bilingualism and education. American Psychologist, 44(2), 374-379. Hornberger, N. (1991). Language planning and internationalism. Planning for Higher Education, 19 (3), 11-20. Indiana Department of Education (2001). Data for one school or one school corporation in Indiana. Retrieved on November 7, 2001, http://mustang.doe.state.in.us/ SEARCH/s3.cfm?city=Lafayette Jacobs, E. E Harvill, R. L., & Masson, R. L. (1994) Group counseling strategies and skills (2 nd ed.). Pacific Grove, CA: Brooks/Cole Publishing Company. Jeske, R. J. (1985). Review of Piers-Harris children's self-concept scale. In J.V. Michel, Jr. (Ed.), Ninth Mental measurements yearbook (pp. 1169-1170). Lincoln, NE: University of Nebraska Press. Keyes, K. (1989). On the scene: The counselor's role in helping students with limited English proficiency. The School Counselor, 37, 144-148. Kilmann, P.R., Henry, S. E ., Scarboro, H. & Laughlin, J.E (1979). The impact of affective education on elementary school underachievers. Psychology in the Schools, 16 (2), 217-223. Knight, G. P., Bernal, M. E., Garza, C. A. & Cota, M. K. (1993). A social cognitive model of the development of ethnic identity and ethnically-based behaviors. In

PAGE 154

147 M.E. Bernal & G.P. Knight (Eds.), Ethnic identity: Formation and transmission among Hispanics and other minorities (pp. 213-234). Albany: State University of New York Press. Krashen, S. D. (1982). Principles and practice in second language acquisition (1 st ed.). Oxford, NY: Pergamon. LaFountain, R. M. & Garner, N. E. (1996). Solution-focused coun eling groups: The results are in. Journal for Specialists in Group Work, 21 (2), 128-143. LaFountain, R. M., Garner, N. E., & Eliason, G. T. (1996). Solution-focused counseling in groups: A key for school counselors. The School Counselor, 43, 256-267. Lang, D. (1980). Stress management and anxiety reduction through EMG biofeedback/relaxation training upon junior high school students. Kansas City, KS. (ERIC Document Reproduction Service No. 217017) Lee, C. (Ed.). (1995). Counseling for diversity: A guide for school counselors and related professionals. Needham Heights MA : Allyn & Bacon, Inc. Lopez, E. & Gopaul-McNicol, S. ( 1997). Cultural factors considered in selected diagnostic criteria and interview schedule. Journal of Abnormal Psychology, 96(3), 270-272. Malakoff, M. & Hakuta, K. ( 1990) History of language minority education in the United States. In A. M. Padilla, H H. Fairchild, & C. M. Valadez (Eds.), Bilingual education issues and strategies (pp. 27-44). Newbury Park, CA: Sage Publications, Inc Malgady, R., Regler, L., & Costantino, G. (1990). Culturally sensitive psychotherapy for Puerto Rican children and adolescents: A program of treatment outcome research Journal of Consulting and Clinical P ychology, 58 ( 6), 704712. Marcos, L. R. (1976). Bilinguals in psychotherapy: Language as an emotional barrier. American Journal of Psychotherapy, 30, 552-559. Martinez, R. (1986). Minority youth dropouts: Personal, social and institutional reasons for leaving schools. Colorado Springs, CO: Center for Community Development and Design (ERIC Document Reproduction Service No. ED280934). Martinez, R. & Dukes, R. ( 1997). The effects of ethnic identity, ethnicity, and gender on adolescent well-being. Journal of Youth and Adolescence, 26 (5), 503-516. McFadden, J. (Ed.) (1999). Transcultural counseling. Alexandria, VA: American Counseling A sociation.

PAGE 155

McKeon, D. (1994). When meeting "common" standards is uncommonly difficult. Educational Leadership, 51 (8) 45-49. McNamara, J F. (1994) Surveys and experiments in education research. Lancaster, PA: Technomic Publishing Company, Inc. Mejia, D. (1983). The development of Mexican-American children In G.J. Powell, J. 148 Yamamoto A Romero & A. Morales (Eds ), The psychosocial development of minority group children (pp. 483-489). New York: Brunner/Maze! Inc Met, M. (1994) Teaching content through a second language. In F. Genesee (Ed. ), Educating s econd language children (pp. 159-182 ). New York: Cambridge University Press. Metcalfe B. (1981 ). Self concept and attitude toward school. British Journal of Educational Psychology, 51, 66-67. Mosert D. Johnson E ., & Mosert M. (1997). The Utility of solution-focu s ed, brief counseling in schools : Potential from an initial study Professional School Coun s eling, l (1) 21-24 Murphy, J. (1997). Solution-focused counseling in middle and high schools Alexandria VA: American Counseling A s sociation Murphy J (1994 ). Working with what works: A solution-focused approach to school behavior problems School Counselor, 42, 59-65. Myrick, R. D. ( 1997) Developmental guidance and counseling: A practical approach (3 rd ed .) Minneapolis MN: Educational Media Corporation Myrick R. D. & Dixon R. W. (1985). Changing student attitudes and behavior through group coun s eling. The School Counselor, 34, 325-330 National Clearinghouse for Bilingual Education (2000) Biliteracy for a global society : An idea book on dual language (EDOBEM No 99-000015) Washington DC : Author. Ogbu J. U (1995 ) Cultural problem s in minority education: Their interpretation s and consequences Part one: Theoretical Background. The Urban Review, 27 (5) 189-205. Ogbu, J. U & Matute-Bianchi, M E. (1986). Beyond language : Social and cultural factors in schooling language minority students Sacramento CA : Bilingual Education Office California State Department of Education. Osgood C. E (1962 ) Studies on the generality of affective meaning system American Psychologist, 17, 10-28.

PAGE 156

Padilla, A. M., Fairchild, H. H., & Valdez, C. M. (Eds.). (1990). Bilingual education issues and strategies. Newbury Park, CA: Sage Publications, Inc. Pedersen, P. (1997). Culture-centered counseling interventions. Thousand Oaks, CA: Sage Publications. Pedersen, P. (Ed.). (1985). Handbook of cross-cultural counseling and therapy. Westport, CT: Greenwood Press. Pedersen, P. & Carey, J. (1993). Multicultural counseling in schools: A practical handbook. Needham Heights, MA: Allyn & Bacon, Inc .. 149 Pederson, P. B. (1990) The constructs of complexity and balance in multicultural counseling theory and practice. Journal of Counseling and Development. 68. 550554. Piers, E. (1984). Piers-Harris children's self-concept scale: Revised manual 1984. Los Angeles, CA: Western Psychological Services Publishers and Distributors. Piper, T. (1993). And then there were two: Children and second language learning. Markham, Ontario: Pippin Publishing Limited. Rotheram-Borus, M. J. ( 1993). Multicultural issues in the delivery of group interventions. Special Services in the Schools. 8 (1 ), 179-188. Ryan, G. W. & Bernard, R.H. (2000) Data management and analysis methods In N. K. Denzin & Y S. Lincoln (Eds.), The handbook of qualitative research (2 nd ed pp. 769-802). Thousand Oaks, CA: Sage Publications. Samway, K. D. & McKean, D. (1999). Myths and realities: Best practices for language minority students. Portsmouth, NH: Reed Elsevier, Inc. Schmidt, J. J. (1999). Counseling in schools: Essential services and comprehensive programs (3 rd ed.). Needham Heights, MA: Allyn & Bacon, Inc. Shavelson, R. J (1996). Statistical reasoning for the behavioral sciences (3 rd ed.). Needham Heights, MA: Allyn & Bacon, Inc. Sinclair, E. (1983). Bilingual education: Fact or fancy? In G.J. Powell, J. Yamamoto, A. Romero, & A. Morales (Eds.), The psychosocial development of minority group children (pp. 483-489). New York, NY: Brunner/Maze}, Inc. Sklare, G. B. (1997). Brief counseling that works: A solution-focused approach for school counselors. Thousand Oaks, CA: Corwin Press, Inc.

PAGE 157

150 Stats Indiana (2001 ). Lafayette, Indiana metro area profile. Retrieved November 7 2001, http://www stats.indiana edu/profiles/prmsa3920 html. Suarez-Orozco, C. ( 1995). Transformations: Imntigration, family life, and achievement motivation among Latino adolescents. Stanford, CA: Stanford University Press. Suarez-Orozco C. & Suarez-Orozco, M ( 1995) Formations. Stanford CA: Stanford University Press Sue, D. W. & Sue D (1999). Counseling the culturally different: Theory and practice (3 rd ed .) New York: John Wiley and Sons Inc. Tabors, P. & Snow C. (1994). English as a second language in preschool programs. In F. Genesee ( Ed .), Educating second language children (pp. 103-126). New York : Cambridge University Press Thompson C. L. & Rudolph, L.B. (2000). Counseling children (5 th ed.). Belmont CA: Wadsworth/Thomson Learning. U.S. Bureau of the Census (1995). American housing survey for the United States in 1993 (DC Publication No C3.215 : Hl50/95). Washington, DC: U.S. Government Printing Office. U.S. Census (2001 ) Profile of general demographic characteristics: 2000 Retrieved March 13 2001, from http://factfinder.census.gov/home/enlc2ss.html. U S Congress (1994 ) Goals America: Educate America act (P.L. 103-227, s ect s. 7102 & 7142 ). Washington, DC: U.S. Government Printing Office U S. General Accounting Office (1997) Limited-English proficiency : A growing and costly educational challenge facing many school districts (Publication No. GAO HEHS-94-38 ) Washington, DC: U.S Government Accounting Office Vargas L.A. & Ko s s-Chioino, J D (Eds.). (1992) Working with culture: sychotherapeutic interventions with ethnic minority children and adolescents. San Francisco CA: Jossey Bass Publishers Webb L. (1999) A group counseling intervention for children with attention-deficit hyperactivity disorder. Unpublished doctoral dissertation, University of Florida Weis L. (Ed .). (1988 ) Class, race, & gender in American education. New York: State University of New York Press. Wittmer, J. (Ed.) (2000) Managing your school counseling program : K-12 development strategies (2 nd ed.) Minneapolis, MN: Educational Media Corporation.

PAGE 158

Wittmer, J. (1971). Effective counseling of children of several American subcultures. The School Counselor, 49-52. Yalom, I. D. (1995). The theory and practice of group psychotherapy (4 th ed.). New York: Basic Books Yamamoto, J ., Silva J ., Ferrari, M., & Nukariaya, K. (1997). Culure and psychopathology. In G. Johnson-Powell & J. Yamamoto (Eds.) Transcultural child development: Psychological assessment and treatment (pp 34-57). New York : John Wales and Sons, Inc 151 Zea, M. Diehl, J ., & Porterfield, S. (1997). Central American youth exposed to war and violence In J. G. Garcia & M Zea (Eds.) Psychological interventions and research with Latino populations (pp 39-55). Needlam Heights, MA: Allyn & Bacon, Inc.

PAGE 159

BIOGRAPHICAL SKETCH Jose Arley Villalba, Jr. was born March 11, 1973, in Miami, Florida the son of Jose Arley Villalba and Tania Caridad Villalba. He received his Bachelor of Science degree in psychology from the University of Florida in 1993 In 1996, he received his Master of Education and Specialist in Education degrees in school guidance and counseling from the University of Florida. Jose began his career as a school guidance counselor in 1996 in Alachua County, Florida, and continued until 1999. He was a Florida Certified School Counselor for five years. In 1999, Jose returned to his graduate studies full-time and began his experience as a college instructor, focusing on interpersonal communication skills and career development. Jose became interested in limited-English proficient children during the second half of 1999. Through a fellowship from the Office of Bilingual Education and Minority Language Affairs, and administered by the late Dr. Clem Hallman at the University of Florida, Jose pursued further studies in the areas of Hispanic American/Latino children in English-as-a-second-language programs. In 2001, Jose accepted a position as assistant professor at Indiana State University, in the Department of Counseling Jose teaches courses in school counseling psychological assessment, and multicultural counseling; and supervises Masters-level graduate students in the school counseling program 152

PAGE 160

153 Jose is an active member in the American Counseling Association, American School Counselor Association, Association of Counselor Education and Supervision, and the Association of Multicultural Counseling and Development. Jose also participates as a presenter at annual conferences, and is currently pursing his research agenda on effective counseling interventions for elementary school-aged children. Jose currently lives in Terre Haute, Indiana. Professionally, Jo e has been interested in improving the academic and social-emotional development of children through school counseling, and counselor education and supervision. Personally, Jose has enjoyed an enriching life with his mother, father, brother and family, as well as friends. In addition, he and his girlfriend, Rachel Lundy, are planning a life together filled with love, excitement and happiness

PAGE 161

I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality as a dissertation for the degree of Doctor of Philosophy. seph ittmer Chair 'nguished Service Professor of Counselor Education I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy ~ e ~. Loesch Pro essor of Counselor Education I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate in scope and quality as a dissertation for the degree of Doctor of Philosophy. Associate Professor of Counselor Education I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and i s fully adequate, in scope and quality as a dissertation for the degree of Doctor of Philosophy. n ..... -iv i an I._C~o rr e a --~~ ~ Professor of Special Education I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate in scope and quality as a dissertation for the degree of Doctor of Philosophy. August 2002 Dean, Graduate School

PAGE 162

LO 1780 200 ~ I \) 7/l UNIVERSITY OF FLORIDA II I II llllll Ill Ill lllll lllll ll llllll llll II lllll lllll llll ll lllll I l 3 1262 08557 2443