The implementation of standards based teacher evaluation in vietnamese secondary schools a case study in dong thap

This study explores the perceptions of teachers, school principals, and other administrators about the new teacher professional standards, the accompanying standards-based teacher evalua

VIETNAMESE SECONDARY SCHOOLS: A CASE STUDY IN DONG THAP

A DISSERTATION SUBMITTED TO THE GRADUATE DIVISION OF THE UNIVERSITY OF HAWAI‘I AT MĀNOA IN PARTIAL FULFILLMENT OF THE

REQUIREMENTS FOR THE DEGREE OF

DOCTOR OF PHILOSOPHY

IN EDUCATION

MAY 2013

By Huy Q Pham

Committee Members:

Stacey B Roberts, Chairperson

Ronald H Heck David P Ericson Thomas W Christ Bruce E Barnes

Keywords: Standards-based evaluation, teacher effectiveness, social capital

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ACKNOWLEDGEMENTS

I would like to express my sincerest gratitude to my adviser, Dr Stacey B

Roberts, for her guidance, support, expertise, and encouragement during my time at University of Hawai‘i at Mānoa and working on my dissertation I highly appreciate her valuable advice and constant support for my work I would like to acknowledge Dr Ronald H Heck for his expertise and guidance on the dissertation structure; special thanks to Dr David P Ericson, Dr Thomas W Christ, and Dr Bruce E Barnes for their valuable contributions and supports

I would like to thank the Dong Thap Department of Education and Training, Dong Thap People’s Committee, East West Center (EWC), Department of Educational Administration at University of Hawai‘i at Mānoa (UHM), UHM International Student Services, and Spark Matsunaga Institute for Peace and Conflict Resolution at UHM, and UHM Graduate Student Organization for supporting my doctoral program at University

of Hawai‘i at Mānoa

I am also deeply grateful to UHM Educational Administration Department

professors, other professors at University of Hawai‘i at Mānoa, friends, and many other unnamed people for your supporting me through the doctoral program

I would like to express my special thanks my daughter–Anh Pham, my son—Minh Pham, and wife—Ha Nguyen for supporting me and cheering me up during my hardest time of completing this big project I would like to say many thanks to my

parents for their eternal patience and supports to me in completing the degree program

ABSTRACT Teacher quality has become a critical area of concern in Vietnamese education Recently, new professional standards for teachers in secondary schools have been

developed, piloted, and implemented This study explores the perceptions of teachers, school principals, and other administrators about the new teacher professional standards, the accompanying standards-based teacher evaluation system, and opportunities for improving teacher professionalism that might lead to increases in student learning

This case study utilized qualitative and quantitative data collected in Dong Thap,

a Southern province in Vietnam Quantitative data were from surveying 285 participants including 218 teachers, 54 principals, and 13 other administrators Analysis of variance (ANOVA) was utilized to determine if there were differences in perceptions among the three role groups on several key policy components Follow-up qualitative data were collected from (1) a focus group with nine principals, (2) semi-structured interviews with

29 teachers and five principals, and (3) notes from fieldwork and open-ended questions of survey Data transcripts were assigned in ATLAS.ti for coding and analyzing by

describing and grouping into themes to answer research questions

Findings suggested teachers, school principals, and administrators support efforts

to upgrade teacher professional standards and standards-based teacher evaluation In general, administrators and principals hold more positive views toward both the process

of implementing standards (i.e., the fairness of the standards-based evaluation process, its likely impact on teaching) and the types of evaluation (i.e., personnel, inspection, merit, standards-based) affected by the new policy Regarding social aspects of the new policy (i.e., social trust, available channels of communication, teachers norms and commitment

to new procedures), there were also differing perceptions associated with role groups In general, regarding social trust, means for all three role groups were relatively low;

however, principals and other administrators held more favorable views regarding social trust than teachers The same pattern was true for perceptions about channels of

communication In contrast, regarding norms, expectations, and sanctions, teachers held significantly more positive views than either other administrators or principals This suggests teachers perceive they are committed to fulfilling the requirements of the policy, especially regarding increased meetings Lower means on norms from administrators suggest some skepticism from administrators regarding teachers’ willingness and

commitment to comply with the new teacher evaluation policy

Implications suggest some differences in view regarding the new standards-based evaluation policy, the current types of evaluation covered by the policy, as well as the nature of social relationships within schools that might support changes in practice

regarding evaluation practices and increased teacher professionalism that leads to

improved student outcomes Building on the initial findings of this study would be worthwhile in terms of further understanding (a) norms and social trust among teachers, (b) the interconnectedness of the implementation of the teacher professional standards policy in the context of other standards-based policies for school effectivenss, and (c) increasing linkages between the school and community with respect to school goals and results

TABLE OF CONTENTS

ACKNOWLEDGEMENTS ii

ABSTRACT iii

TABLE OF CONTENTS v

LIST OF TABLES x

LIST OF FIGURES xi

CHAPTER 1 1

OVERVIEW OF THE RESEARCH PROBLEM 1

Introduction 1

Demographics and Educational Data in Dong Thap 2

Purpose of the Study 6

Rationale for the Approach to the Study 7

Significance of the Study 8

Research Questions 9

Organization of the Dissertation 9

CHAPTER 2 11

LITERATURE REVIEW 11

Teacher Quality and Effectiveness 12

Quality 12

Effectiveness 15

Summary 17

Standards Movement and Standards-Based Teacher Evaluation 17

Standards Movement 17

Standards-Based Teacher Evaluation 19

Teachers’ Professional Development 22

Social Capital 23

Social Trust 24

Channels of Communication 24

Norms, Expectations, and Sanctions 25

The Role of Social Capital in Policy Implementation 26

Summary 27

Literature Review Summary 28

CHAPTER 3 29

EDUCATIONAL POLICY AND TEACHER EVALUATION IN VIETNAM 29

Legal changes in education 29

Trends in Education 30

Requirements for On-Going Teacher Professional Development 31

Teacher Evaluation in Secondary Schools in Vietnam 32

Standards-Based Evaluation 35

Standards-based Evaluation in Vietnamese Secondary Schools 37

Summary 37

CHAPTER 4 39

METHOD 39

Case Study Design 39

Setting 40

Participants 42

Procedures 44

Data Collection and Analysis 45

Qualitative Data 45

Qualitative Data Analysis 49

Quantitative Data 49

Survey Instrument 50

Quantitative Data Analysis 51

Data Merging Procedures 52

Researcher Role 53

Limitations 55

CHAPTER 5 57

RESULTS 57

Survey Results 57

Perceptions about Standards-Based Evaluation 57

Current Types of Evaluation 60

Social Capital 64

Qualitative Data 67

Teacher Effectiveness 69

Expectations about Teachers’ Responsibility for Effectiveness 71

Teacher Morale 72

Factors Supporting Teacher Effectiveness 74

Professional Standards and Standards-Based Evaluation 76

Social Capital 86

Summary of Findings 94

CHAPTER 6 99

DISCUSSION, IMPLICATIONS, AND CONCLUSIONS 99

Summary of study and purpose 99

Discussion 100

Professional Teacher Standards 101

Current Types of Evaluation in Schools 102

Social Capital 103

Perceptions toward the Standards-Based Evaluation 104

Perceptions toward Social Capital 106

Summary 107

Implications for Practice 108

Instant Supports to Meet the Standards 108

Timeline for Meeting the Standards 109

Actions for Teacher Effectiveness to Meet Standards 109

Consistency of Goals Regarding Each Types of Evaluation 110

Supportive School Environment 110

A Professional Learning Community 111

Resolving Disagreements for Change 112

Implications for Further Study 112

Impact of Professional Standards on Teacher Effectiveness 113

Professional Standards and Standards-Based Era in Schools 113

Social Capital and Social changes, Development, and Promotion 114

Conclusions 115

APPENDICES 117

Appendix A Teacher interview protocol 117

Appendix B Principal interview protocol 119

Appendix C Agenda and ground rules for the focus group 121

Appendix D The survey questionnaire 123

Appendix E Answer sheet (multiple choices) (English and Vietnamese languages) 129 Appendix F Answer sheet (question 55) (English and Vietnamese languages) 130

Appendix G Professional standards of secondary Vietnamese teachers 131

Appendix H Letter of Consent - Interview 141

Appendix I Letter of Consent - Focus group 145

Appendix J Letter of Consent - Survey 149

Appendix K Terminologies and definitions 153

Appendix L Permission to adapt the survey questions from Milanowski and Heneman (2001) 158

REFERENCES 159

LIST OF TABLES CHAPTER 4

Table 4 1 Background information of participants (N = 285) 42

CHAPTER 5 Table 5 1 Descriptive statistics on perceptions toward standards-based evaluation 58

Table 5 2 Fair process and position 59

Table 5 3 Impact on teaching and position 59

Table 5 4 Descriptive statistics on perceptions toward types of evaluation 60

Table 5 5 Personnel evaluation and position 61

Table 5 6 Inspection evaluation and position 62

Table 5 7 Merit evaluation and position 63

Table 5 8 Standards-based evaluation and position 64

Table 5 9 Descriptive statistics on perceptions toward social capital 65

Table 5.10 Social trust and position 65

Table 5 11 Channels of communication and position 66

Table 5 12 Norms and position 66

Table 5 13 Demographic information of participants in qualitative portion of study 68

LIST OF FIGURES CHAPTER 1

Figure 1.1 Student academic achievements and graduation rates at lower secondary education from 2005 to 2010 (DTDOET, 2009, & 2010b) 4 Figure 1.2 The fluctuation in student academic achievement and graduation rates at upper secondary education from 2005 to 2010 (DTDOET, 2009, & 2010b) 5

CHAPTER 5

Figure 5 1 Different trends of perceptions among teachers, principals, and

administrators toward social trust, channel of communication, and norms 67

CHAPTER 1 OVERVIEW OF THE RESEARCH PROBLEM Introduction

Teacher quality has become an area of concern in education in Vietnam Like nations in Europe and Asia, which realized early in their industrialization the importance

of ‘the knowledge and skills base needed for development’ (Kennedy, 2005, p 34), the Vietnamese government (VNG) focused on the importance of rigorous school

curriculum On December 9th, 2000, the National Assembly of Vietnam (VNNA) (2000) passed Resolution No 40/2000/QH10, which focused on changing secondary schools’ curriculum The curriculum reform aimed to promote educational quality for youth, to serve the needs of human resources for the period of industrialization and modernization,

to suit the Vietnamese customs and tradition, and to meet the educational achievement of the Asian region, as well as globally Ultimately, Resolution No 40 required teachers to

be qualified to implement the reform curriculum

In addition, the Communist Party of Vietnam (VNCP) (2004) passed Directive No 40/TW, which urged increased teacher and administrator quality At the same time, a several documents were mandated in order to “push” teachers to devote their energies to professional development and to commit themselves to education More recently, the Ministry of Education and Training (MOET) introduced professional standards for

elementary teachers in 2007, kindergarten teachers in 2008, and secondary teachers in

2009 In addition, Vietnam’s membership in the World Trade Organization (WTO) in

2007 prompted educational policy makers to develop educational standards in accord with global integration These standards also aimed to develop the human resources

thought necessary for the level of socio-economic development The country hopes to attain the higher educational standards by 2020 and become a modernized and

industrialized nation (VNCP, 2011)

The remainder of this chapter describes critical facts about education in Dong Thap, including schools, teachers, and student academic achievement Then, it states the purpose of this study, addresses the theory of social capital, and posits research questions

It presents the significance of the study and summary of procedures It ends with

organization of the dissertation

Demographics and Educational Data in Dong Thap

Dong Thap is located on the banks of the Mekong River in the south of Vietnam

It is approximately 333,688 square kilometers or 1,267 square miles in area The

population is 1.667 million people and with a population density of 494 people per square kilometer Its monthly average income per state employee is 2,740,000 Vietnam Dong (General Statistics Office of Vietnam) (VNGSO, 2009) or in U.S $137 From the school year of 2004-2005 to the school 2006-2007, Dong Thap was one of the provinces in which the MOET chose to pilot a new national curriculum for upper secondary education This new curriculum was applied nationwide in the school year of 2007-2008

Schools and teachers According to Dong Thap Department of Education and

Training (DTDOET) (2011), for school year 2010-2011 there were 321 primary schools,

184 secondary schools) Within the secondary schools, there were approximately 14,000 teachers At lower secondary education, about 99.8% teachers hold three year bachelor’s degrees or above About 92.2% of upper-secondary school teachers completed their four year bachelor’s degree or above More importantly, 330 of the 2,314 upper secondary

teachers (about 14.3%) either have obtained, or are pursuing, a master’s degree The ratios of teachers per classroom in Vietnam at both lower and upper secondary education have increased recently The ratios of teachers per classroom are 2.17 and 2.41 at lower and upper secondary education, respectively (DTDOET, 2011) showing that the number

of teachers nearly meets the quota It could be assumed that most teachers are qualified for their teaching careers because of the high percentage of teachers holding either three

or four year bachelor’s degrees or pursuing higher degrees

Student academic achievement Figure 1.1 presents information about academic

achievement and graduation rates during the years 2005-06 to 2009-10 in Dong Thap The data suggests relatively stable achievement results in recent years with roughly 15%

in the excellent achievement category, 33% in the good category, and 36-37% in the average category Closer inspection of this category, however, suggests some decline over time (i.e., from about 41% to 28.5% in 2009-10) The below average category has remained generally low at about 10-11% In addition, the graduation percentages of both lower and upper education from 2005-06 to 2009-10 were high The percentages of students who passed their final examination remained at around 97% (lower secondary) and 80% (upper secondary education)

Academic achievement and graduation rates from SY2005-06 to SY2009-10

in lower secondary education

Figure 1.1 Student academic achievements and graduation rates at lower secondary

education from 2005 to 2010 (DTDOET, 2010b)

Because of different percentages of student academic achievement and graduation between lower and upper secondary education, however, this latter area was targeted for examination and improvement For example, in contrast to lower secondary education situation, where the percentages of below average students were about 10-11%, Figure 1.2 suggests much higher percentages of below average students at the upper secondary level (with an average of approximately 21%) Moreover, within this category, low achieving students increased from 13% in 2005-06 to 27% by 2009-10 Unlike the

relatively high percentages of students who graduated in lower secondary education, the percentages who graduated from their upper secondary education rose and fell

dramatically between school year 2005-06 and 2009-10 More specifically, Figure 1.2 suggests the graduation rate fell considerably from 91.8% (in 2005-06) to 63.55% in 2008-09, while the nationwide graduation rate for that latter year was 83.82% (not tabled)

(VNMOET, 2009a) Among 63 provinces of Vietnam, Dong Thap ranked the 60th For school year 2009-10, the average graduation rate of the whole country was 92.57% (not tabled) (VNMOET, 2010a), while the rate of Dong Thap rebounded somewhat to 84.52% (see Figure 1.2)

Academic achievement and graduation rates from SY2005-06 to SY2009-10

in upper secondary education

Figure 1.2 The fluctuation in student academic achievement and graduation rates at

upper secondary education from 2005 to 2010 (DTDOET, 2010b)

This achievement and graduation rate crisis left upper level administrators, school principals, and teachers with major questions such as the following: What are the reasons for the instability of the graduation rates and the increase of students in the group of

below average achievement? What should the DOET of Dong Thap do to improve the situation? Is there a relationship between these indicators and teacher effectiveness?

As the standards-based teacher evaluation was recently implemented in secondary schools in Dong Thap, these educational attainment questions were seen as critical areas

to incorporate into the evaluation process In order to introduce the new professional standards of secondary teachers and its standards-based evaluation to schools, 192

principals, vice-principals, and teachers of lower and upper secondary schools attended the initial training on the new professionalism teacher standards during August, 2010 (DTDOET, 2010a) The purpose of this training was to assist trainees to understand and apply the standards in order to evaluate teachers as decided by the Ministry of Education and Training It was followed up with training offered by Dong Thap Department of Education and Training at schools for all teachers and department heads to understand and exercise the standards

Purpose of the Study

The purpose of this study is to examine the implementation of standards-based teacher evaluation in Dong Thap province as viewed by the educational personnel in the province The implementation of the new standards-based evaluation occured within the context of critical concerns in terms of student academics This study explores potential implications of policy implementation from practitioners in order describe their

experiences about implementation as well as they views about whether the new

procedures are likely to change instruction and outcomes within the province’s secondary schools It is hoped that examining personnel’s perceptions about implementation will inform future decisions in policy and practice

The study aimed to:

1 Describe perceptions of teachers and principals about teacher effectiveness;

2 Describe the perceptions of teachers, school principals, and administrators about standards-based teacher evaluation;

3 Describe perceptions of teachers, school principals, and administrators about the nature of social relationships in schools (e.g., trust, communication, norms and

values)

4 Describe perceptions of teachers, school principals, and administrators about new standards-based evaluation and current types of evaluation

Rationale for the Approach to the Study

Implementation of change requires personnel to change behavior and, ultimately, this may require reshaping organizational norms and values It is assumed that the

implementation of new standards for teacher evaluation and professionalism will affect social relationships in schools These include social trust, communication, and work norms and values The sum of these types of social relationships between teachers and administrators, and between students and teaches, have been referred to as social capital (Colletta & Cullen, 2002)

As Colletta and Cullen (2002) argue, social capital, by definition, refers to

“systems that lead to or result from social and economic organization, such as

worldviews, trust, reciprocity, informational and economic exchange, and informal and formal groups and associations” (p 280) They suggest social capital consists of three major components including social trust; channels of communication; and norms and expectations This provides one convenient way to organize participants’ perceptions

about the new teacher evaluation policy in the context of the capacity of the school and community to support increased teacher professionalism Social trust is an essential factor for fairness in the evaluation process for open and honest communication for accurate and objective results Channels of communication addresses the communication flow within the school (e.g., whether communication is more open between teachers and principals or is more directive in nature) The third component, norms and values,

addresses how teachers and principals perceive the nature of work within the school (i.e., what is valued, what are existing operating norms, how the policy is perceived to alter

teacher norms)

Significance of the Study

This research study investigated the implementation of the standards-based

teacher evaluation in secondary schools in Vietnam It is the first study of the new

teacher evaluation process By identifying to what extent teachers, principals, and

provincial level administrators are involved in the implementation of the new teacher evaluation process, the study provides the first empirical evidence of the policy’s

implementation Its results should be informative regarding issues of concern in the policy’s implementation which may aide policymakers and educators in subsequent iterations and refinement of the evaluation process

This study took place from at the end of Spring 2011 through Summer 2011 Quantitative data were collected from surveys of 285 teachers, principals, vice principals, and provincial level administrators Different surveys were used for teachers and

administrators; however, both surveys included similar questions designed to measure 13 constructs related to the major research questions The surveys were pre-tested with 101

teachers in November 2010 at four secondary schools, including a lower secondary (grades 6 to 9) and three upper secondary (grade 10 to 12) schools Quantitative data were analyzed descriptively and using Analysis of Variance (ANOVA) Face-to-face interviews were also conducted with 34 participants, and one focus group meeting was held with nine principals Qualitative data were coded and categorized into themes using ATLAS.ti and were analyzed using the constant comparative method

Research Questions

The study addresses four main research questions:

1 How do teachers and school principals perceive teacher effectiveness?

2 What are the perceptions of teachers, school principals, and administrators about standards-based teacher evaluation?

3 What are the perceptions of teachers, school principals, and administrators about social relationships in their schools?

4 Are there differences in perceptions of teachers, school principals, and

administrators about new standards-based evaluation, current types of evaluation, and the policy’s potential impact on social relationships within schools?

Organization of the Dissertation

The remainder of the dissertation is organized as follows Chapter 2 provides a review of literature on teacher effectiveness, global movement towards standards-based instruction, teachers’ professional development, the lens of social capital, and summary

of the literature review Chapter 3 outlines an overview on education in Vietnam,

including changes in legal documents of education, trends in education, requirements for teacher learning, teacher evaluation in secondary schools in Vietnam, and standards-

based evaluation in Vietnamese secondary schools Chapter 4 includes sections of an overview of methodology; setting, participants, and procedure; data collection and

analysis; data merging procedures; researcher role; limitations; and methodology

summary Chapter 5 presents the results of the analyses to answer the research questions, including summary of study, qualitative data, quantitative data, and summary of findings for the research questions Chapter 6 presents a discussion of the findings, implications drawn from the study for future studies, and conclusions

CHAPTER 2 LITERATURE REVIEW

This chapter begins with section on teacher effectiveness section that provides an overview of studies on both teacher quality and teacher effectiveness Then, it reviews the global standards in education movement, standards-based instruction, and standards-based teacher evaluation It also reviews teachers’ professional development The lens

of social capital section discusses social trust; channels of communication; and norms, expectations, and sanctions The chapter ends with the role of social capital in

implementation

In schools, student achievement is linked to many factors Teachers are identified

as one of most important factors in influencing the student achievement the extent and nature of their influence remains a source of debate among researchers Heck (2007) identified factors that affected student achievement including “school structures (e.g., size), climate (e.g., expectations for achievement, safety, support), academic organization (e.g., grouping strategies, curriculum and learning activities, assessment strategies), and teachers (e.g., expertise, instructional strategies, relationships with students,

effectiveness)” (p 401) When reviewing student achievement, teacher quality and teacher effectiveness are commonly recognized terms Teacher quality and teacher effectiveness are often used interchangeably For example, Chester and Zelman (2009) used the terms of teacher quality and teacher effectiveness while introducing the

approach of the state of Ohio’s on assessment of teacher quality which emphasized

teachers’ abilities to affect student learning and achievement This section reviews

studies on factors related to teacher (e.g., teacher quality and teacher effectiveness) on student academic achievement

Teacher Quality and Effectiveness Quality

Teacher quality studies examine several areas, including organizational properties, preparation programs, subject area and pedagogical knowledge, and student achievement

In a study on the relationship between teacher quality as an organizational property of schools and students’ achievement and growth rates in reading and math, Heck (2007) indicated that teacher quality matters and impacts student achievement differences

between schools In terms of social class and race/ethnicity differences, teacher quality mediates within-school inequities

Investigating the relationship between teacher quality as an organizational

property of schools and students’ achievement and growth rates, Heck (2007) defined teacher quality as “the percentage of teachers who meet state licensing, content, and performance standards indicated” (p 400) He indicated, “the percentage of fully

qualified teachers was defined as the mean percentage of full-time teachers in the school who were not either (a) provincially certified (i.e., met some but not all requirements for

a state license) or (b) teaching on emergency credentials” (p 413)

Teacher quality is also considered a function of teacher preparation programs Wilson (2009) states, "the reality is that prospective teachers are assessed for their quality

at multiple decision points along the way They are often required to complete some kind

of preparation program accredited by state or national entities" (pp 9-10) In addition, teacher preparation programs were related to state approval and success of teachers in

their standardized licensure tests In a study about the teacher’s role in explaining

differences in school achievement and growth rates, Heck (2007) stated that fully

qualified teachers “must graduate from a state-approved teacher program or alternative licensure program, meet a set of 10 state performance standards outlined for initial

license and renewal, and pass PRAXIS tests in reading, math, and writing (or be National Board certified)” (Heck, 2007, p 413)

Research has also focused on teacher subject matter knowledge and pedagogical content knowledge In addition to meeting proficiency in knowledge on subject area and pedagogy, teachers were expected to be highly qualified to perform in their classrooms

In reference to measuring quality teacher in practice, Ball and Hill (2009) stated, “Of course we want high-quality teachers, but we want even more for teachers to deliver high-quality instruction to their students” (p 81) Ball and Hill (2009) emphasized, “It can mean knowing enough about a subject to teach it, being culturally responsive, being pedagogically skillful, producing gains in student achievement–in other words, it

represents a wide range of different kinds of knowledge and skills” (p 84) As a result, Ball and Hill (2009) suggest that defining teacher quality depends largely on the purposes

of the evaluators

The knowledge base about teaching has been studied to understand the

relationship to improving student learning When studying challenges for teacher

education to improve teacher quality, Ball and Forzani (2009) indicated, “improvements

in student learning depend on substantial, large-scale changes in how we prepare and support teachers” (p 497) In terms of teacher quality, the authors emphasized that the insufficient knowledge base about teaching practice and the lack of a broad and deep

understanding about instructional practices were challenges to developing teacher quality (Ball & Forzani, 2009) In studying teacher preparation that promoted high quality in beginning teachers, Hollins (2011) emphasized the integration of knowledge of theory, pedagogy, and curriculum

Student learning has also been examined in relation to teacher quality Chester and Zelman (2009) studied the approach of the state of Ohio’s assessment on teacher quality stating, “central to our definition of teacher quality and effectiveness is the

teacher's ability to improve student learning The closest approximation to assessing this quality is direct measurement of student achievement” (p 144) They also discussed the relationship among credentials, teacher knowledge, and teacher practice on assessment and reported, “Teacher credentials are relatively easy for a state to measure at scale, but they are among the most distant approximations on which to draw inferences about either the intellectual quality of classrooms or the quality of student learning” while they found,

“teacher knowledge—whether teachers have content expertise in the subjects they teach

as well as pedagogical understandings” (Chester & Zelman, 2009, pp 138-139)

Studies of teacher quality also include teacher experience and education level were studied in the relation to student achievement Research about teachers’

professional qualifications indicates that there is “a small positive relationship between the quality of their preparation and credentials and their students’ achievement (Darling-Hammond, 2000; Goldhaber & Brewer, 1997, 2000; Heck, 2007; Monk, 1994; Strauss and Sawyer, 1986) (as cited in Heck, 2009) In particularly, student achievement is related to teacher qualifications Heck (2009) indicated the teacher quality was related to differences in student achievement in math and reading and the increase of teacher

quality was associated with increases in students’ yearly growth rates Teacher quality was one of the most important determinants in student achievement gains (Rivkin et al., 2005; Sanders & Horn, 1994) (as cited in Ingle, 2009)

In summary, teacher quality has been studied from different viewpoints It was considered organizational property determining students' achievement and growth rates Additionally, teacher quality was examined via the preparation programs in which

teachers completed and their standardized test scores Studies on teacher quality also included subject areas and pedagogical knowledge Teacher quality was studies in the relationship with student achievement

Effectiveness

Teacher effectiveness is recognized within a context of classroom factors and resources that teachers use for their teaching In distinguishing the three concepts of school effectiveness, teacher effectiveness, and educational effectiveness, Campbell, Kyriakides, Muijs, and Robinson (2004) stated, “Teacher effectiveness is the impact that classroom factors, such as teaching methods, teacher expectations, classroom

organization, and use of classroom resources, have on students’ performance” (p 4) Similarly, Seidel and Shavelson’s study (2007) concluded, “differences in preparation, instructional strategies, learning activities, and social contexts are embedded in the

concept of teaching effectiveness” (as cited in Heck, 2009)

Teacher effectiveness is also identified in instructional contexts and learning activity engagements In discussing teacher effectiveness, Seidel (2007) noted eight components that increase student learning The four components of instructional context and learning activity engagement are (a) knowledge domain, which “differentiates

teaching and learning in different content areas (e.g., mathematics, reading, science)” (b) time for learning, which “takes into account the amount of time provided for teaching as

a limiting frame for students to engage in learning activities”, (c) organization for

learning, which “refers to the extent to which teachers provide an orderly and functional classroom setting (classroom management)”, and (d) social context, which “focuses on the degree to which teachers establish a social learning climate within classrooms" (p 461) The other four central components are (a) “goal setting/orientation, (b) “execution

of learning activities”, (c) “evaluation”, and (d) “regulation on monitoring” (Seidel, 2007,

However, evaluating teacher effectiveness is very challenging Studies point out challenges in defining and measuring teacher effectiveness In reviewing literature on teacher effectiveness and student achievement, as cited in Heck (2009), Darling-

Hammond (2000), Goldhaber (2002), McCaffrey et al (2003), and Seidel and Shavelson (2007) indicated that defining and measuring teacher quality were very challenging due

to their detailed elements

In suggesting further studies on teacher effectiveness, Heck (2009) recommended

“the accurate and valid measurement” in order to differentiate effectiveness among

teachers toward students’ progress

In summary, teacher effectiveness was considered a critical factor in improving student achievement, recognized among school factors, teacher ability, classroom factors and resources, instructional context and learning activity engagement, and specific

methods of teacher evaluation

Summary

This section reviewed studies on teacher quality and teacher effectiveness

Teacher quality was considered organizational property determining students'

achievement and growth rates, via the preparation programs, from knowledge on subject area and pedagogy, and in the relationship with student achievement Teacher

effectiveness—aiming to improve student achievement—was reviewed among school factors, teacher ability, classroom factors and resources, instructional contexts and

learning activity engagements, and specific methods of teacher evaluation

Standards Movement and Standards-Based Teacher Evaluation

Standards Movement

The standards movement in the United States began in the 1980s It followed the

release of the report A National at Risk, in which the National Commission on Excellence

in Education (1983) made the statement, “the educational foundations of our society are presently being eroded by a rising tide of mediocrity that threatens our very future as a Nation and a people” (p 5) Representatives of conservative political factions began a

campaign of rhetoric saying that if a foreign power had imposed the current system of public education on the United States, it would have been akin to an act of war

Soon after A National at Risk was released, the U.S Secretary of Education,

William Bennett1, began an annual evaluation of the nations’ public schools that

compared student achievement scores on the National Assessment of Student Progress (NAEP) examination state by state Each state was given a letter grade based on overall test results issues in what Bennett called the “National Report Card.” This drew much attention—generally critical—from the media and various policy sources who felt the overall quality of education was poor and quickly worsening This gave rise to a call for better content standards related to education

Professional organizations, such as the National Council of Teachers of

Mathematics, began developing content standards with their subject area, and by the mid

to the late 1990s the movement had spread across the spectrum of content areas

Standards were expected to improve the effectiveness of American education (Marzano

& Kendall, 1996) Zemelman, Daniels, and Hyde (2005) suggested that there was a tendency to establish curricula in which each subject had its set of standards and what was to be taught Standards-based instruction was initially embraced in generally

favorable ways, with criticisms coming primarily from scholars in critical theory

Professional organizations were commissioned to develop standards for their academic fields These professional organizations looked for teachers, school reformers, and politicians alike to develop standards Zemelman, Daniels, and Hyde (2005)

indicated that because of funding from the U.S Department of Education, many

professional organizations were commissioned to develop similar standards for their own fields

During the period between 1989 to 1996, there were numerous projects

undertaken across the United States to develop standards The projects aimed to improve all subject areas, such as natural sciences, social sciences, English language arts,

geography, and physical education However, this widespread focus on the initiation of standards did not emerge as a ‘magic bullet’ to improve education Based upon the assumption that each subject had its own body of knowledge regarding what and how to teach, there was an expectation that a set of standards could be developed that was

concise and thus would result in improved student achievement As Marzano and

Kendall (1996) indicated, policymakers and educators expected that standards would provide clear and concise guidelines to improve education Once produced, however, the standards drafts and final documents were far from concise In addition, there was growing criticism of the standards suggesting that they were too narrowly constructed to cover material included in standardized assessment tests As Monchinski (2008)

indicated, "State standards are aligned with tests and tests with standards Standardized tests in the field of education were introduced to uncover and address deficits but quickly became means of punishing some while privileging others" (p 53)

Standards-Based Teacher Evaluation

The standards movement eventually spread to the larger arena and eventually reached teacher evaluation According to Heneman III, Milanowski, Kimball, and Odden (2006), NCLB Act raised the demand of improving teacher quality and student

achievement Efforts began to assess teacher quality through teacher performance

measures A set of standards to describe teacher performance was designed aiming to improve teacher quality Heneman III, et al., (2006) indicated that Danielson’s

Framework for Teaching was a popular competency model of teacher performance The first edition of a framework for teaching was introduced in 1996; then, for the

applicability to educator, there were some additions and enhancements in the second edition The framework comprised of a set of research based components She believed that the framework was used by effective teachers Eventually educational leaders and policy makers adapted this framework as an evaluative model In addition, the

framework provides four major teaching domains and its “describes those aspects of a teacher's practice that have been demonstrated, through both empirical and theoretical studies, to promote student learning” (Danielson, 2009)

There have recently been studies of standards-based teacher evaluation, including designing a set of teacher standards, advantages and disadvantages of standards-based evaluation, and the issue of evidence and subjectivity toward standards-based teacher evaluation

In terms of designing a set of standards, they need to be valid, clear, and credible

so that evaluation is fair and credible According to Ingvarson (2001), “Standards aim to define teachers’ work and what is to be assessed,” and “fair assessment of teacher

performance relies upon valid and clear standards” (p 165) Milanowski and Heneman (2001), concur, suggesting that in order to develop standards-based evaluation, [we must]

“first define the domains of teaching practice and establish professional standards as the foundation of measures of teacher performance within a teacher evaluation system” (p 194) However, research indicates many challenges associated with developing excellent

standards and methods to assess teachers’ performance and improve teacher quality As Ingvarson (2001) noted, "Developing professionally credible standards and reliable methods for assessing teacher performance is not easy" (p 163)

Research has also begun to reveal advantages and disadvantages of based teacher evaluation systems to teachers, students, and the system itself Thompson, Colorado was a school district that was an early adopter of standards based teacher

standards-evaluation After assessing their system, Tucker and Stronge (2005) concluded, “as with any teacher evaluation system, distinct advantages and disadvantages are embedded in Thompson’s standards-based approach” (p 53) However, the standards-based teacher evaluation system brought both advantages (to teacher professional development and student achievement) and disadvantages (to the evaluation system) Tucker and Stronge (2005) indicated that its advantage of a “tighter connection among instruction, student learning, and teacher professional growth” existed together with its disadvantage of “the technical aspects of assessment plus the time and skills” (pp 49-50) The Thompson School District model requires a high level of professional accountability for its educators and is heavily reliant on a supportive and trusting environment that truly focuses on improvement for everyone in the system Striking the right balance of accountability and support within schools is probably the greatest challenge that school leaders face (Tucker

and detailed rating scales which provide guidance to evaluators in making judgments, potentially lowering subjectivity by establishing a common criterion reference for

evaluating teacher performance.” Standards-based teacher evaluation systems very much rely on evaluators Ingvarson (2001) points out that subjectivity does not lie in standards alone, but also in those assessing teacher performance “There is a little evidence of research into fundamental issues such as the reliability of the methods used to assess or score teacher performance or the comparability of assessments from head teachers to head teachers” (Ingvarson, 2001, p 169) Similarly, studying reactions of teachers to a standards-based teacher evaluation system, Heneman III and Milanowski (2004)

indicated that although teachers agreed that the set of standards was “a representation of good teaching”, they admitted “lack of clear guidelines”

In terms of evidence, it was necessary to have diverse information sources for evaluation Kimball and Milanowski (2009), indicated that it was necessary to obtain

“more varied sources of evidence about teachers’ practice than traditional evaluation approached and for more extensive training of evaluators, who are typically school

principals” (p 36) It was worth distinguishing between providing varied sources and being overloaded Varied sources facilitated evaluators with valid evaluation while standards-based evaluation causes more work to evaluators Heneman III and

Milanowski (2004) showed that the standards-base teacher evaluation forced principal and assistant principal with a heavy workload

Teachers’ Professional Development

Teachers’ professional development, particularly through participation in

professional communities has been seen as one of the avenue to address the question of

education quality Schlechty (2009) stated, “A learning community is referred to as a group of people who personally interact, face to face or electronically, and are bound together by the pursuit of common questions, problems, or issues” (p.114) Teachers play a very important role in establishing professional learning communities There needs to be a culture with accompanying processes present in a school to facilitate this

As Schlechty (2009) said “clear norms and procedures to ensure that their interactions go forward in a way that honors the ideas of mutualism, collegiality, trust, and friendship, while showing a bias for hard-nosed analysis and concrete action" (p.114)

Activities that provide support for teachers from principals and department

chairpersons are keys for promoting teacher performance and improving student

academic achievement Printy (2008) studied the influence of high school leaders,

including principals and department heads, on teachers’ professional beliefs and

instructional skills and suggested that both principals and department chairpersons were instrumental in shaping opportunities for teachers to learn

Social Capital

Social capital provides a lens for examining relationships in organizations

Putman (1993) identified forms of social capital, stating, “Social capital refers to features

of social organization, such as trust, norms, and networks, that can improve the efficiency

of society by facilitating coordinated actions” (p 167) Putnam (1993) also states,

“Spontaneous cooperation is facilitated by social capital” (p 167) According to

Bourdieu (1986), social capital, “made up of social obligations (connections)” (p 243), is the “the aggregate of the actual or potential resources which are linked to possession of a durable network of more or less institutionalized relationships of mutual acquaintance

and recognition” (p 248) Bourdieu (1986) emphasized the role of the network of

relationships in social relationship “The network of relationships is the product of

investment strategies, individual or collective, consciously or unconsciously aimed at establishing or reproducing social relationships that are directly usable in the short or

long term” (Bourdieu, 1986, pp 49-50)

Social Trust

Standards-based teacher evaluation aims to compare teacher performance with their professional standards, and, ideally, produces results that are accurate and objective Underlying this are assumptions that both the process and results must be fair, and

evaluators must not be biased Teachers and evaluators should be open and honest while communicating A high degree of trust and open communication are key in bringing this about When discussing social trust in reducing conflict, Smylie and Evans (2006) state,

“In high trust organizations, the logic goes, there will be less conflict and fewer issues will be contested” (p 190) Additionally, the organization needs social norms that

promote trust Social norms that create a context for trust facilitate communication in an organization Smylie and Evans (2006) stated, “trust can serve as a context of

predictability, stability, and assurance that can support open communication and critique, examination of taken-for-granted assumptions, and risk-taking when individuals and the

group are confronted with the need to change” (p 190)

Channels of Communication

Social trust is considered to be a basic tenet for open communication while

channels of communication, a second component, assists the communication flow Smylie and Evans (2006) claim, “channels of communication can facilitate the flow of

information among individuals and promote access to new information, both of which can influence individual and collective behavior” (p 190)

Communication channels play an important role in an organization For example,

“channels of communication can influence behavior by introducing new information for making specific decisions and taking particular actions Such information can be

educative, fostering the development of knowledge and skills that may make individuals

and groups more productive” (Smylie & Evans, 2006, p 190)

Norms, Expectations, and Sanctions

The third component of social capital, norms, expectations, and sanctions, is considered to be a motivational aspect of communication in terms of speed, quantity, and quality In conjunction with sanctions, norms and expectations are very important in groups, organizations, or society Smylie and Evans (2006) suggest “Norms and

expectations can be enforced by internal or external sanctions, both positive and negative, including the distribution of social support, ostracism, designation of honor and status, conferral of rewards, and expression of approval and disapproval” (pp 190-191) Norms, expectations, and sanctions help facilitate the direction of groups, organizations, or

society As Smylie and Evans (2006) emphasize, “By providing direction and control, norms, expectations, and sanctions can reduce deviant behavior in a group At the same time, they can constrain innovative thought and action” (pp 190-191)

In terms of teacher professionalism, participants’ perceptions about the new

evaluation are highlighted through the policy in the context of the capacity of the school and community in which norms, expectations, and sanctions are considered to support

them

The Role of Social Capital in Policy Implementation

Successful implementation of a new policy is based on many different factors Acceptance and comprehension of the policy of standards-based evaluation by

stakeholders is one factor that plays a role However, how much social capital exists in a school is a decisive factor When examining literature on the relationship of components

of social capital or similar concepts to implementation, Smylie and Evans (2006)

concluded, “where these components or concepts are strong, implementation is more likely to be successful Where they are weak, implementation is less likely to be

successful This basic finding is evident in research on the implementation of a variety of educational reform initiatives” (pp 190-191) As Smylie and Evans also confirm, “while strong social relations can be an asset to implementation, it can also be an impediment” (p 205)

There are many sources of social capital Initial bases of social resources come from human factors in an organization or a school They include “shared values and expectations, communication, cooperation and joint accountability, and trust” (Smylie & Evans, 2006, p 206) It is very important for both teachers and evaluators to understand norms, privacy, and even unwritten regulations Otherwise, communications can be subverted due to rights of privacy and autonomy Smylie and Evans (2006) discuss various encounters from partners in school, “they often encountered social dynamics in schools that confounded their efforts (per the examples) Some confronted strong norms

of privacy and autonomy that made it difficult to engage teachers in collaborative school improvement activity” (p 203) Once confounding or annoying situations occur,

resistance is revealed Smylie and Evans (2006) explain that in many instances, “partners

met overt resistance from teachers and principals In some schools, beliefs and norms were shared and oppositional to partners’ initiatives In others, they were disparate and provided little solid ground for partners’ efforts to gain traction” (p 203)

However, Smylie and Evans (2006) restate, “Partners learned that it was often quite difficult to develop trust without effective means of communication to be effective they had to become an accepted, trustworthy member of the school community” (p 203) Smylie and Evans (2006) also show the ways to build trust, “Having a physical presence made communication more effective It also created a foundation for building trusting relationships” (p 204)

Summary

The lens of social capital was utilized to study the attitudes of participants toward the standards-based teacher evaluation at Vietnamese secondary schools Social capital was referred to “features of social organization” (Putman, 1993), forms of “social

obligations (connections)” (Bourdieu, 1986), and “the network of relationships”

(Bourdieu, 1986) Social capital included (1) social trust, (2) channels of communication, and (3) norms, expectations, and sanctions Social trust was considered to be a basic initiation for open communication while channels of communication assisted the

communication flow The component of norms, expectations, and sanctions was a

motivational aspect of communication in terms of speed, quantity, and quality Social capital components play an important role as a decisive factor in successful

implementation of a new policy

Literature Review Summary

The literature review suggests that teacher quality and effectiveness, which can include teachers’ preparation, knowledge of subject area and pedagogy, as well as the relationship between classroom teaching and student achievement, has been shown in numerous studies to contribute to students' achievement and growth rates Evaluating teachers in terms of their teacher effectiveness, however, has proven to be more difficult

to implement due to the diversity of student composition and its known effects on

achievement, differences in resources needed to support the education of targeted

subgroups of students, as well as difficulties identified in implementing school policies to evaluate teaching behavior within the organizational context of schools

Eventually, together with the standards movement in subject areas starting 1980s

to address the demand of improving teacher quality and student achievement, teacher performance standards were introduced in schools Accordingly, standards-based teacher evaluation—which was defined as a set of standards to evaluate teachers—was put into effect However, there has been important debate regarding designing standards, using standards-based teacher evaluation, and issues about using the standards Furthermore, teachers’ professional development was considered as solutions to address teacher quality Teachers brought about professional learning communities, which benefited both teacher professional growth and student academic achievement Studying these issues within the context of the proposed study should be useful in addressing issues that may arise during policy implementation regarding teaching effectiveness, use of standards-based

evaluation, as well as the nature of social relationships within schools