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Direct and Alternating Current There are two different ways that electricity is produced, and they are used in most cases for very different purposes. They can also be converted from one form to another.The first and simpler type of electricity is called direct current, abbreviated "DC". This is the type of electricity that is produced by batteries, static, and lightning. A voltage is created, and possibly stored, until a circuit is completed. When it is, the current flows directly, in one direction.

In the circuit, the current flows at a specific, constant voltage (this is oversimplified somewhat but good enough for our needs.) When you use a flashlight, pocket radio, portable CD player or virtually any other type of portable or battery-powered device, you are using direct current. Most DC circuits are relatively low in voltage; for example, your car's battery is approximately 12 V, and that's about as high a DC voltage as most people ever use.

An idealized 12 V DC current. The voltage is considered positive because itspotential ismeasured relative to ground or the zero-potential default state of the earth.(This diagram drawn to the same scale as the AC diagram below.)

An Alternating Current

There are two main typesof current in our world.One is direct current(DC), which is a constantstream of electrons in onedirection. The other isalternating current, whichis a stream of chargesthat reverses direction.

ADVANTAGES OF AC

Flowing Back and Forth

Charges (electrons) must always be flowing to have a current. However, the flow of charges does not always have to be in one direction. In alternating current, the charges move in one direction for a very short time, and then they reverse direction.

This happens over and over again.

Cheaper and StrongerWhy do we use AC power allover the world? It'scheaper and easier to makedevices for AC power. Itis less expensive becauseyou can increase anddecrease the current forAC power very easily. Thepower switches for ACpower are also lessexpensive to manufacture.Probably the biggestadvantage of AC is thatyou can use high voltageswith small currents toreduce losses when youtransmit power.

DEFINITION OF AC

The one type of electricity is called alternating current, or "AC".This is the electricity that you get from your house's wall andthat you use to power most of your electrical appliances.Alternating current is harder to explain than direct current. Theelectricity is not provided as a single, constant voltage, butrather as a sinusoidal (sine) wave that over time starts at zero,increases to a maximum value, then decreases to a minimum value,

and repeats and representation of an alternating current'svoltage over time.

Alternating-electric-currents

Nd- YAG laser has following applications or uses or advantages:

They produce continuous laser at room temperature

They can be used as portable systems since the rods are small.

they have surgical applications.

they are used material processing such as drilling, spot

welding and marking.

They are used as pumping tunable visible light lasers.

They have applications in military such as including range

finders and target designators.

Research applications such as Raman spectroscopy, remote

sensing, mass spectrometry.

The success of laser resurfacing pioneered with CO2 lasers hasled to a rapid proliferation of other ablative resurfacingdevices including erbium lasers, microdermabrasion, and RFablation. The Nd:YAG laser now offers a non-ablative skintreatment for patients who are not candidates for ablativeprocedures, or for those who have been resurfaced in the past.This technology is the result of a five-year cooperativedevelopment effort of New Star Laser, Laser Aesthetics, and theBeckman Laser Institute at the University of California, Irvine.The Nd:YAG was developed to selectively heat a thin layer oftissue below the epidermis. Researchers were met with significantchallenges creating such a system since they found that many ofthe current laser light sources were inappropriate as theypenetrate too deeply into skin. Of further concern, energy atthese wavelengths is selectively absorbed in melanin andhemoglobin making uniform heating of subsurface tissue

impractical. Infrared lasers such as erbium at 2.9 micrometers,holmium at 2.1 micrometers, and CO2 lasers at 10.6 micrometersdeposit all of their energy in the epidermis making them uselessfor selective heating of subsurface tissue.

The Nd:YAG operating at 1320nm was chosen for use in the new laser, with the first systems put into investigational use in early 1995. This wavelength falls in the practical range of 1100nm to 1600nm that penetrates easily through the epidermis and is uniformly absorbed in hydrated tissue. An additional advantage of the 1320nm is the high scattering coefficient causing the light to effectively bounce around and lose its energy before penetrating to deeper layers.

The Nd:YAG delivers up to 38 joules per square centimeter of 1320nm energy within 20 milliseconds. This causes significant heating, up to 70 degrees C, of the upper dermis with very little collateral heating. Optical energy in the 1100nm to 1600nm range can heat the epidermis enough to cause damage, especially when high energy pulses must be used. To alleviate this problem, the Nd:YAG utilizes pulsed cryogen gas to quickly cool the surface of the epidermis during treatment. Prolonged cooling chills too deeply because of thermal conduction, so a short burst of cryogen is used to selectivelycool only the top 50 to 100 microns of skin. Methods of contact cooling, such as chilled plates or gels, will cool toodeeply since they cannot be applied with millisecond precisionand consistent thermal transfer. The Nd:YAG delevers a 20-millisecond burst of atomized cryogen, which vaporizes and cools on the way to the skin. The cryogenic mixture of cold droplets and air chills the skin surface. After a short delay of 10 milliseconds to allow any cryogen to dissipate, a 20-millisecond pulse of 1320nm energy is delivered. The surface of the skin reaches about 45 degrees C with the collagenous layer underneath about 25 degrees warmer. The Nd:YAG uses a non-contact thermometer integrated into the handpiece to monitor the skin temperature and to allow the physician the required control of treatment parameters. This temperature

monitor is an absolute requirement for safe non-ablative treatment.

The Nd:YAG laser provides a unique non-invasive modality for patients who are not candidates for resurfacing because of pigmentation, other contraindications, or personal choice. Thetreatment requires only twenty minutes with at most a topical anesthesia. There is no wound care required, making the treatment economical for the patient and the practice. Some practices sign up patients for a long-term maintenance program.

Historical development of Nd:YAG Lasers

The Nd:YAG laser crystal was developed not long after the discovery of the ruby laser in the 1960s. Of all the solid-state laser crystals, it has stood the test of time best. Its high gain, narrow linewidth, low threshold and physical properties make it a most versatile laser

material for a variety of applications.

ROLES OF ND-YAG LASERThe ubiquitous Nd:YAG laser has played many roles over the years. For the military, it has provided rangefinding and target designation capabilities. When used with nonlinear optics or as a pump source for other lasers, it offers scientific users diversity in pulse width format and lasing wavelength. Other applications include medicine (dermatologyand ophthalmology), materials processing (cutting, trimming,welding and surface cleaning) and commercial instrumentation(ablation, spectroscopy, marking, nondestructive testing andlight shows). Nd:YAG lasers and their harmonic version are used under harsh environmental conditions for remote sensing, gated imaging illumination, bathymetry, ocean and atmospheric studies, and many other real-world applications

that require compact, rugged sources.

In some of these application areas, Nd:YAGs compete against nonphotonic techniques and other lasers, such as CO2 and high-power diode lasers. But the Nd:YAG offers a wider application range, in large part because of its unique properties and because it is one of the few lasers that operates efficiently with either flashlamp or diode pump andin pulsed or continuous-wave (CW) mode.

The crystal

Nd:YAG is a man-made cubic garnet crystal (Nd:Y3Al5O12) grownby the Czochralski method. A high-purity oxide powder compound of aluminum, yttrium and neodymium (the active dopant ion that substitutes into yttrium sites with a dopinglevel of about 1 percent) is first placed in an iridium crucible and melted in a radio frequency furnace at about 1970 °C. A seed crystal is then brought into contact with the liquid surface. When slowly lifted, rotated and cooled slightly, a high-quality, single-crystal boule of neodymium-doped yttrium aluminum garnet (Nd:YAG) emerges at the rate of about 0.5 mm per hour. Typical crystal boules are 60 to 80 mm in diameter by 175 to 225 mm in length. Rods, wafers and slabs in various geometries are extracted from the bouleand then fabricated, polished and coated to customer specifications (Figure 1). Finished products range from diode-pumped laser rods as small as 0.5 mm in diameter by 25mm long to slab geometries as large as 8 × 37 mm in cross section by 235 mm long. More than two-thirds of Czochralski growth station volume in the US is in Nd:YAG, making it the most widely used laser crystal. Other YAG crystals being grown in volume are Er:YAG and CTH:YAG.

ND-YAG LASER PROPERTIES,VALUES AND BENEFITS

 

 

 

 

 

 

 

 

 

 

RN Nd: YAG Property Value Major Benefits1 Lasing wavelength 1064 nm Convertness; silicon detector

response for receivers; visibleharmonic wavelengths available atgreen and blue; NCPM OPO at eye-safewavelength

2 Line width  4.5 Å Ease in phase matching spectrally; good optical pumping efficiency

3 Fluorescence lifetime

230 µs Convenient for flash lamp or diode pumping

4 Stimulated emissioncross section

3 x 10—19

cm2High gain, narrow pulse width, lowsaturation flounce and low insertionloss of laser optics

5 Thermal conductivity 0.14 Tolerable thermal

(300 K) W/cm—K lensing/birefringence loss6

Hardness 8-8.5Mohs

Ease of rod fabrication without breakage; good optical quality and robust material

7 Index of refraction 1.8 Convenient for AR coating with MgF2

Limitations arise because of the high gain (parasitic effects) and safe operating fluence. Active mode-locking schemes allow pulse widths from about a fraction of a nanosecond down to a few picoseconds. Shorter pulse durations require lasing media with higher gain bandwidth such as Ti:sapphire. Non-Q-switched long-pulse lasers also can produce pulse widths of 100 ms or more. This diversity in pulse duration makes it possible to deliver a wide range of peak power density to suit specific applications.

The diode-pumped Nd:YAG laser has opened up a wider range of applications, thanks to its increased source stability, efficiency and lifetime, and reduced power consumption and size. Commercial Nd:YAG lasers with repetition rates higher than 100 kHz are now available. Diode-pumped devices are best suited for low-pulse-energy or CW power applications because the price of diode bars/arrays still is much higherthan that of linear flashlamps.

Frequency-doubled to the green at 532 nm, tripled to the blue at 355 nm and quadrupled to the deep blue at 266 nm are other key Nd:YAG wavelengths. The 532 nm wavelength is ideal for pumping Ti:sapphire or dye lasers (in liquid or plastic matrix form). Noncritically phase-matched KTP optical parametric oscillators (OPOs), when pumped with a Q-switched Nd:YAG at 1064 nm, efficiently generate 1.57-µm radiation, a more eye-safe wavelength for use in less controlled areas. The laser also has lower gain wavelengths near 1.32 and 1.44 µm and 946 nm that can be frequency-doubled, frequency-mixed or Raman-shifted to provide visible and near-IR wavelengths for specialty applications. The diversity in wavelengths when coupled to nonlinear optics and OPOs is unique.

Linewidth

Linewidth is a measure of spectral purity (monochromaticity). For the cubic structure of Nd:YAG, linewidth is about 30 to 50 times narrower than Nd:glass, for example, making Nd:YAG relatively easy to phase matchspectrally with harmonic generators to visible wavelengths. On the downside, the absorption spectral linewidth for pumping is quite narrow,making diode pumping somewhat more demanding than it is with Nd:YLF, forexample.

The fluorescence lifetime is a measure of how quickly the metastable state depopulates after optical pumping. The fluorescence lifetime of Nd:YAG is about 230 µs, nearly ideal. If much shorter, as with Ti:sapphire or dye lasers, the stored energy would radiate away spontaneously unless extracted quickly from the resonator. Thus, flashlamp pumping is less efficient, and high peak lamp current densities are required. If much longer, as in Er:YAG, it is more difficult to extract the stored energy efficiently in a short pulse because the gain is lower.

Figure 3. Laserblast Cleaning System. Courtesy of Quantel SA.

For pulsed operation, a flashlamp current pulse duration of 150 to 200 µs often is used because the stored energy doesn’t radiate away, and sufficient input pump energy can be delivered in that time to produce practical output energy levels with long flashlamp life. The Nd:YAG can be CW or pulse-pumped with lamps or diodes. Diode pumping near 808 nm substantially increases efficiency compared with broadband gray body pump sources using xenon- or krypton-filled flashlamps.

The stimulated emission cross section is a measure of lasing efficiency and gain. For Nd:YAG it is a very favorable 3 × 10–19 cm2. This high gainis well-suited for short Q-switched pulses and low pump threshold energy. If the figure were higher, amplified spontaneous emission and parasitic effects would further limit the practical maximum stored energy density in the rod. The saturation fluence for Nd:YAG of around 500 mJ/cm2 is well-suited for efficient energy extraction from amplifiers at safe fluence levels.

When the stimulated emission cross section is lower, as in Nd:glass, thegain is much less, the insertion loss of optical components in the resonator is higher and the Q-switched pulse width is wider. Nd:glass, with its lower cross section and wider linewidth, is better suited for higher energy-storage density and shorter mode-locked pulse width.

Thermal properties

The combination of thermal expansion coefficient, conductivity and indexof refraction change with temperature (dn/dT) in Nd:YAG provides acceptable thermal lensing and birefringence loss except for large rod diameters and moderate pulse repetition rate. Nd:glass has one-fifteenththe thermal conductivity of Nd:YAG, so it is much more limited in repetition rate and maximum thermal loading limit to fracture. Nd:YLF has thermal lensing and natural birefringence characteristics that are superior to Nd:YAG. Table 2 summarizes the differences between Nd:YAG and laser materials whose fundamental wavelength is similar.

is called the root mean square (RMS) average of the voltage. Insimple terms, the RMS value of an electrical current is thenumber which represents the same energy that a DC current at thatvoltage would produce; it is in essence an average of thealternating current waveform. Whenever you see an AC voltagespecification, they are giving you the RMS number unless they sayotherwise specifically. So for example, in North America, mosthomes have 115 VAC electricity. This is AC electricity equivalentin energy to a 115 V DC circuit. (This is an approximate number,and standard household electricity in North America is alsosometimes called 110VAC or 120VAC; it's the same thing.) Otherparts of the world use different voltages ranging from 100VAC to240VAC, and of course, heavy equipment anywhere can use muchhigher voltages.The other key characteristic of AC is its frequency, measured incycles per second (cps) or, more commonly, Hertz (Hz). This numberdescribes how many times in a second the voltage alternates frompositive to negative and back again, completing one cycle. InNorth America, the standard is 60 Hz, meaning 60 cycles frompositive to negative and back again in one second. In other partsof the world the standard is 50 Hz.

Three cycles of an idealized North American 115 VAC, 60 Hz alternating currentsignal (black curve).Note that each cycle represents 16.67 milliseconds of time, because that is1/60th of a second. Thecurve actually goes from -170 V to +170 V in order to provide the average(RMS) value of 115 V.The RMS equivalent is shown as a green horizontal line. To demonstrate whatRMS means, look atthe blue shaded area, which shows the total energy in the signal for onecycle. The green shading isthe area between the RMS line and the zero line for one cycle, and representsthe energy in an equivalent 115 V DC signal. The definition of the RMS valueis that which makes the green and blue areasequal.(This diagram drawn to the same scale as the DC diagram above.)Why does standard electricity come only in the form of alternating current? There are anumber of reasons, but one of the most important is that a characteristic of AC is that itis relatively easy to change voltages from one level to another using a transformer, whiletransformers do not work for DC. This capability allows the companies that generate anddistribute electricity to do it in a more efficient manner, by transmitting it at highvoltage for long lengths, which reduces energy loss due to the resistance in thetransmission wires. Another reason is that it may be easier to mechanically generatealternating currentelectricitythandirectcurrent. PCs use only direct current, which meansthat the alternating current provided by your utility must be converted to direct currentbefore use. This is the primary function of your power supply.

Friday, December 10, 2010 10:21 AM

An Alternating Current There are two maintypes of current inour world. One is direct current (DC),which is a constantstream of electrons inone direction. Theother is alternatingcurrent, which is astream of charges thatreverses direction.Scientists such as Charles ProteusSteinmetz and NikolaTesla made great advances when AC power was just a science experiment.

Flowing Back and ForthCharges (electrons) must always be flowing to have a current. However, the flow of charges does not always have to be in one direction. In alternating current, the charges move in one direction for a very short time, and then they reverse direction. This happens over and over again.

Scientists describe thecycle of switchingdirections as the frequency. Frequency ismeasured in Hertz (Hz).Currents that cycle moreoften during a specificamount of time are saidto have a higherfrequency. AC powercycles 60 times per second in the US.

Since the web is a global resource, we should also mention that there are different alternating current frequencies across the world. While we all use alternating current, the switching happens different amounts during a specific time period. Most countriesuse AC frequencies at either 50 hertz or 60 hertz.

Cheaper and StrongerWhy do we use AC powerall over the world?It's cheaper andeasier to make devicesfor AC power. It isless expensive becauseyou can increase anddecrease the currentfor AC power veryeasily. The power

switches for AC power are also less expensive to manufacture. Probably the biggest advantage of AC is that you can use high voltages with small currents toreduce losses when you transmit power.

Remember that lost energy increases the more collisions you have, and reducing current decreases the amount of collisions (and reduces heating in the wires). You can send power with DC, but the DC power transmission loses a lot of energy. You would have toput much more effort into sending DC power over the same distance.

Alternating Around YouBIG NOTE: NEVER touch the outlets in your house. You will get electrocuted. There is more to electricity than voltage. It's the current that will kill you.

The easiest place to see AC power in action is in your house. All of the appliances and lights in your house probably run off of AC power. There are also power converters that change DC power into AC power when you need electricity and there are no plugs around (like camping).

Useful Reference MaterialsEncyclopedia.com:http://www.encyclopedia.com/topic/alternating_current.aspxWikipedia:http://en.wikipedia.org/wiki/Alternating_currentEncyclopædia Britannica:

http://www.britannica.com/EBchecked/topic/182915/electricity/71569/Alternating-electric-currents

Nd- YAG laser has following applications or uses or advantages:

They produce continuous laser at room temperature

They can be used as portable systems since the rods are small.

they have surgical applications.

they are used material processing such as drilling, spot

welding and marking.

They are used as pumping tunable visible light lasers.

They have applications in military such as including range

finders and target designators.

Research applications such as Raman spectroscopy, remote

sensing, mass spectrometry.

The success of laser resurfacing pioneered with CO2 lasers has led to a rapid proliferation of other ablative resurfacing devices including erbium lasers, microdermabrasion, and RF ablation. The Nd:YAG laser now offers a non-ablative skin treatment for patients who are not candidates for ablative procedures, or for those who have been resurfaced in the past. This technology is the result of a five-year cooperative development effort of New Star Laser, Laser Aesthetics, and the Beckman Laser Institute at the University of California, Irvine.The Nd:YAG was developed to selectively heat a thin layer of tissue below the epidermis. Researchers were met with significantchallenges creating such a system since they found that many of the current laser light sources were inappropriate as they penetrate too deeply into skin. Of further concern, energy at these wavelengths is selectively absorbed in melanin and hemoglobin making uniform heating of subsurface tissue impractical. Infrared lasers such as erbium at 2.9 micrometers, holmium at 2.1 micrometers, and CO2 lasers at 10.6 micrometers

deposit all of their energy in the epidermis making them useless for selective heating of subsurface tissue.The Nd:YAG operating at 1320nm was chosen for use in the new laser, with the first systems put into investigational use in early 1995. This wavelength falls in the practical range of 1100nm to 1600nm that penetrates easily through the epidermis andis uniformly absorbed in hydrated tissue. An additional advantageof the 1320nm is the high scattering coefficient causing the light to effectively bounce around and lose its energy before penetrating to deeper layers.The Nd:YAG delivers up to 38 joules per square centimeter of 1320nm energy within 20 milliseconds. This causes significant heating, up to 70 degrees C, of the upper dermis with very littlecollateral heating. Optical energy in the 1100nm to 1600nm range can heat the epidermis enough to cause damage, especially when high energy pulses must be used. To alleviate this problem, the Nd:YAG utilizes pulsed cryogen gas to quickly cool the surface ofthe epidermis during treatment. Prolonged cooling chills too deeply because of thermal conduction, so a short burst of cryogenis used to selectively cool only the top 50 to 100 microns of skin. Methods of contact cooling, such as chilled plates or gels,will cool too deeply since they cannot be applied with millisecond precision and consistent thermal transfer. The Nd:YAGdelevers a 20-millisecond burst of atomized cryogen, which vaporizes and cools on the way to the skin. The cryogenic mixtureof cold droplets and air chills the skin surface. After a short delay of 10 milliseconds to allow any cryogen to dissipate, a 20-millisecond pulse of 1320nm energy is delivered. The surface of the skin reaches about 45 degrees C with the collagenous layer underneath about 25 degrees warmer. The Nd:YAG uses a non-contactthermometer integrated into the handpiece to monitor the skin temperature and to allow the physician the required control of treatment parameters. This temperature monitor is an absolute requirement for safe non-ablative treatment.The Nd:YAG laser provides a unique non-invasive modality for patients who are not candidates for resurfacing because of pigmentation, other contraindications, or personal choice. The treatment requires only twenty minutes with at most a topical

anesthesia. There is no wound care required, making the treatmenteconomical for the patient and the practice. Some practices sign up patients for a long-term maintenance program.

Historical development of Nd:YAG LasersThe Nd:YAG laser crystal was developed not long after the discovery of the ruby laser in the 1960s. Of all the solid-state laser crystals, it has stood the test of time best. Its high gain, narrow linewidth, low threshold and physical properties make it a most versatile laser material for a variety of applications.

ROLES OF ND-YAG LASERThe ubiquitous Nd:YAG laser has played many roles over the years. For the military, it has provided rangefinding and target designation capabilities. When used with nonlinear optics or as a pump source for other lasers, it offers scientific users diversity in pulse width formatand lasing wavelength. Other applications include medicine (dermatology and ophthalmology), materials processing (cutting, trimming, welding andsurface cleaning) and commercial instrumentation (ablation, spectroscopy, marking, nondestructive testing and light shows). Nd:YAG lasers and their harmonic version are used under harsh environmental conditions for remote sensing, gated imaging illumination, bathymetry, ocean and atmospheric studies, and many other real-world applications that require compact, rugged sources.

In some of these application areas, Nd:YAGs compete against nonphotonic techniques and other lasers, such as CO2 and high-power diode lasers. But the Nd:YAG offers a wider application range, in large part because of its unique properties and because it is one of the few lasers that operates efficiently with either flashlamp or diode pump and in pulsed or continuous-wave (CW) mode.

The crystal

Nd:YAG is a man-made cubic garnet crystal (Nd:Y3Al5O12) grown by the Czochralski method. A high-purity oxide powder compound of aluminum, yttrium and neodymium (the active dopant ion that substitutes into yttrium sites with a doping level of about 1 percent) is first placed in

an iridium crucible and melted in a radio frequency furnace at about 1970 °C. A seed crystal is then brought into contact with the liquid surface. When slowly lifted, rotated and cooled slightly, a high-quality, single-crystal boule of neodymium-doped yttrium aluminum garnet(Nd:YAG) emerges at the rate of about 0.5 mm per hour.

Figure 1. Boule with rods extracted from it.

Typical crystal boules are 60 to 80 mm in diameter by 175 to 225 mm in length. Rods, wafers and slabs in various geometries are extracted from the boule and then fabricated, polished and coated to customer specifications (Figure 1). Finished products range from diode-pumped laser rods as small as 0.5 mm in diameter by 25 mm long to slab geometries as large as 8 × 37 mm in cross section by 235 mm long. More than two-thirds of Czochralski growth station volume in the US is in Nd:YAG, making it the most widely used laser crystal. Other YAG crystalsbeing grown in volume are Er:YAG and CTH:YAG.

The resonator

The most common Nd:YAG rod geometry is a right circular cylinder, although slabs, wafers and rectangular shapes sometimes are used. The rod end faces usually are polished flat and parallel (or oriented near Brewster’s angle for low transmission loss without optical coatings). Convex radiused rod faces sometimes are used to compensate for thermal lensing. In its simplest form, the resonator comprises the rod with a highly reflective dielectric coating at one end and a partial reflector (outcoupler) at the other. The end faces must be precisely parallel in this case. The more typical configuration uses separate mirrors at each end of the resonator along with other optics and crystals added to polarize, modulate, Q-switch and redirect the beam, select net lens power, convert wavelength and spectrally separate its output or a combination of these effects.

Figure 2. Resonator layout in the Ultra CFR.

The resonator can be stable or unstable. Most scientific lasers use graded-reflectivity mirrors to produce low beam divergence, moderately high energy and therefore high brightness. Many commercial applications do not require a tightly focused spot, and the more conventional multimode stable resonator often is used. The lowest order stable transverse mode, TEM00, has a smooth, Gaussian spatial beam profile in both the near and far field. Most stable resonators are operated multimode; power (or energy if pulsed) is much higher because the lasingdiameter can be larger than if confined to the single TEM00 mode. The application dictates the choice of single- vs. multimode operation.

CW Nd:YAG lasers of more than 5 kW and flashlamp-pumped lasers of more than 20 J have been built. Almost any pulse width from ultrashort to CW is possible. Electro-optically Q-switched, pulse-pumped Nd:YAGs typically produce 5- to 20-ns pulse widths. Lower gain, acousto-optically modulated CW-pumped Nd:YAGs produce 150- to 300-ns pulses. Relatively simple oscillator-amplifier configurations can produce 1 to 2J of Q-switched energy at 1064 nm.

Limitations arise because of the high gain (parasitic effects) and safe operating fluence. Active mode-locking schemes allow pulse widths from about a fraction of a nanosecond down to a few picoseconds. Shorter pulse durations require lasing media with higher gain bandwidth such as Ti:sapphire. Non-Q-switched long-pulse lasers also can produce pulse widths of 100 ms or more. This diversity in pulse duration makes it possible to deliver a wide range of peak power density to suit specific applications.

The diode-pumped Nd:YAG laser has opened up a wider range of applications, thanks to its increased source stability, efficiency and lifetime, and reduced power consumption and size. Commercial Nd:YAG lasers with repetition rates higher than 100 kHz are now available. Diode-pumped devices are best suited for low-pulse-energy or CW power applications because the price of diode bars/arrays still is much higherthan that of linear flashlamps.

Frequency-doubled to the green at 532 nm, tripled to the blue at 355 nm and quadrupled to the deep blue at 266 nm are other key Nd:YAG wavelengths. The 532 nm wavelength is ideal for pumping Ti:sapphire or dye lasers (in liquid or plastic matrix form). Noncritically phase-matched KTP optical parametric oscillators (OPOs), when pumped with a Q-switched Nd:YAG at 1064 nm, efficiently generate 1.57-µm radiation, a more eye-safe wavelength for use in less controlled areas. The laser also has lower gain wavelengths near 1.32 and 1.44 µm and 946 nm that can be frequency-doubled, frequency-mixed or Raman-shifted to provide visible and near-IR wavelengths for specialty applications. The diversity in wavelengths when coupled to nonlinear optics and OPOs is unique.

Linewidth

Linewidth is a measure of spectral purity (monochromaticity). For the cubic structure of Nd:YAG, linewidth is about 30 to 50 times narrower than Nd:glass, for example, making Nd:YAG relatively easy to phase matchspectrally with harmonic generators to visible wavelengths. On the downside, the absorption spectral linewidth for pumping is quite narrow,making diode pumping somewhat more demanding than it is with Nd:YLF, forexample.

The fluorescence lifetime is a measure of how quickly the metastable state depopulates after optical pumping. The fluorescence lifetime of Nd:YAG is about 230 µs, nearly ideal. If much shorter, as with Ti:sapphire or dye lasers, the stored energy would radiate away spontaneously unless extracted quickly from the resonator. Thus, flashlamp pumping is less efficient, and high peak lamp current densities are required. If much longer, as in Er:YAG, it is more difficult to extract the stored energy efficiently in a short pulse because the gain is lower.

Figure 3. Laserblast Cleaning System. Courtesy of Quantel SA.

For pulsed operation, a flashlamp current pulse duration of 150 to 200 µs often is used because the stored energy doesn’t radiate away, and

sufficient input pump energy can be delivered in that time to produce practical output energy levels with long flashlamp life. The Nd:YAG can be CW or pulse-pumped with lamps or diodes. Diode pumping near 808 nm substantially increases efficiency compared with broadband gray body pump sources using xenon- or krypton-filled flashlamps.

The stimulated emission cross section is a measure of lasing efficiency and gain. For Nd:YAG it is a very favorable 3 × 10–19 cm2. This high gainis well-suited for short Q-switched pulses and low pump threshold energy. If the figure were higher, amplified spontaneous emission and parasitic effects would further limit the practical maximum stored energy density in the rod. The saturation fluence for Nd:YAG of around 500 mJ/cm2 is well-suited for efficient energy extraction from amplifiers at safe fluence levels.

When the stimulated emission cross section is lower, as in Nd:glass, thegain is much less, the insertion loss of optical components in the resonator is higher and the Q-switched pulse width is wider. Nd:glass, with its lower cross section and wider linewidth, is better suited for higher energy-storage density and shorter mode-locked pulse width.

Thermal properties

The combination of thermal expansion coefficient, conductivity and indexof refraction change with temperature (dn/dT) in Nd:YAG provides acceptable thermal lensing and birefringence loss except for large rod diameters and moderate pulse repetition rate. Nd:glass has one-fifteenththe thermal conductivity of Nd:YAG, so it is much more limited in repetition rate and maximum thermal loading limit to fracture. Nd:YLF has thermal lensing and natural birefringence characteristics that are superior to Nd:YAG. Table 2 summarizes the differences between Nd:YAG and laser materials whose fundamental wavelength is similar.

TABLE 2.Nd:YAG COMPARED WITH Nd:YLF/Nd:GLASS

 Property            Nd:YAG       

     Nd:YLF           

Q-88 Nd:glass

 Lasing wavelength            1064 nm       

     1053 nm            1054 nm

              

 Linewidth            4 — 5 Å       

     9 — 10 Å            220 Å

              

 Fluorescence lifetime            230 µs       

     480 µs            330 µs

              

 Stimulated emission cross section

3 x 10—19 cm2

          

1.5 x 10—19 cm2

           4x 10—20 cm2

              

 Thermal conductivity           

0.14 W/cm-K

           0.06 W/cm-K       

     0.01 W/cm-K

              

 Hardness           

1215 (Knoop)

           4 — 5 Mohs       

     418 (Knoop)

              

 Index of refraction            1.82       

     1.46            1.55

Nd:YAG has the hardness of mild steel. It is a very robust material thatallows polishing to a high-quality finish and, unlike Nd:YLF, is neitherfragile nor soluble in water. Its index of refraction of 1.8 makes it particularly easy to apply an antireflection coating at 1064 nm with a single layer of MgF2 for low transmission loss. Multilayer coatings are used on Nd:YLF and Nd:glass because their indices of refraction are lower.

It’s easy to understand why Nd:YAG is the workhorse solid-state laser material. It has near-optimum mechanical, optical and lasing media properties for diverse applications. In lasers, it can deliver a very wide range of pulse width, energy per pulse and repetition rate. When used with nonlinear optics, parametric oscillators or other lasing media

as a pump source, wavelengths from deep blue to mid-IR are available. Itcan be efficiently diode or flashlamp pumped and used easily in pulsed or CW mode. No other solid-state laser material can claim all these attributes. Ubiquitous is a fitting description.

Post a comment > COMMENTS The ability to post comments on Photonics.com is one benefit of a FREE

Photonics.com membership.

Please login or register, for FREE, to post comments:

Login Register YAG may have been able to stand the test of time, but for how much longer? In

the past there was not the amount of options as new technology is presenting today. Fiber Laser technology will soon do away with Nd: YAG. There is no start up time, or consumables using a fiber laser, virtually no maintenance. I fail tosee how YAG can continue to prove itself in the future.

7/10/2007 3:53:05 PM - LASERS56

Factors Influencing Cataract Formation After Nd:YAG Laser Peripheral IridotomyJames C. Bobrow, MD*

Author information ► Copyright and License information ►

This article has been cited by other articles in PMC.

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Abstract

Purpose

reply

The benign nature of Nd:YAG laser peripheral iridotomy (LPI) has recently been questioned because of increased cataract formation and other complications. This retrospective study includes 522 consecutive eyes of 275 individuals (group 1) on whom LPI was performed between January 1, 1991, and December 31, 2000, for which at least 5 years of complete follow-up was available.

MethodsPatients were all operated on by a single surgeon using a Zeiss Meditec Nd:YAG laser for all procedures. Total energy delivered, degree of cataract at time of LPI and at last visit, interval to cataract surgery if needed, intraocular pressure (IOP), use of ocular and systemic medications, and associated medical and ocular conditions were recorded. One hundred-fifty eyes of 75 individuals without evidence of glaucoma were used for comparisonof outcomes (group 2).

ResultsGroup 1A consisted of 146 eyes (27.9%) that underwent cataract surgery 5.9 (95% CI, 5.6–6.3) years after LPI. The remaining 376 eyes composed group 1B. Groups 1A and 1B differed significantly in patient age, grade of cataract at time of LPI, and length of follow-up. Groups 1 and 2 differed significantly in patient age and frequency of use of topical medication to control IOP, but not in frequency of cataract surgery.

ConclusionsLPI does not increase the incidence of cataract surgery, and cataract surgery should not be used as primary therapy for angle-closure glaucoma. Patients who have LPI are at greater risk of requiring therapy to control IOP, even if they have a successful procedure.

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INTRODUCTION

The ophthalmologic practice of Robert Drews, MD, has had a long association with the performance of peripheral iridectomy (PI) and laser peripheral iridotomy (LPI). In the era of surgical iridectomy, Drews1 followed the clinical course of 58 eyes of 32 patients for an average of 8.9 years following the procedure. He noted that 59% had cataract preoperatively, 48% progressed, and 26% ultimately needed surgery. He also summarized the results from 14 additional studies.

Bobrow2 then reported on the change in the frequency of PI after the advent of YAG laser procedures. Analyzing data taken from Drews’ patients, he found that the number of cases of acute angleclosure declined precipitously in the 15 years following the acquisition of a Nd:YAG laser, but that the number of procedures climbed exponentially from 58 to 748 because of the new equipmentand its lack of side effects. In addition, the indications for LPI changed from acute attacks and positive provocative tests to anatomically narrow angles with gonioscopic evidence of apposition.

A review of the effect of Nd:YAG laser on cataract formation prompted Lim and associates3 to publish their finding that cataract progressed after LPI and created a second type of blindness. They suggested that in patients with angle closure andincipient cataract, cataract surgery might be the better initial procedure to deepen the chamber angle and to clear the visual axis permanently.

Yip and colleagues4 commented in a subsequent volume that creating a situation in which correction of the second most frequent cause of blindness (ie, glaucoma) with a procedure that is likely to increase the frequency of the leading cause of blindness (ie, cataract) has serious implications, especially given that approximately one-half of glaucoma blindness comes from angle closure, with its highest frequency in East Asia. Theyalso pointed out that the frequency of cataract in the populationused as a control group may not have been comparable to the patients who had laser procedures.

To address these concerns in a primarily Caucasian population, a study was undertaken of patients who had LPI performed by a single surgeon over a 10-year period.

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METHODS

A retrospective analysis was made of a consecutive series of 522 eyes of 275 patients who underwent LPI between January 1, 1991, and December 31, 2000 (group 1). All procedures were performed bya single surgeon using a Zeiss Meditec Nd:YAG OPL-3 laser, the third one to enter the United States after US Food and Drug Administration approval in 1981. All patients had either anatomically narrow angles, positive provocative testing, acute angle-closure glaucoma (AACG), fellow eye of an eye with acute angle closure, or evidence of chronic angle-closure glaucoma (CACG). The patients in group 1 were first evaluated with a slit-lamp biomicroscope using a Zeiss 4-mirror goniolens. The angles were considered capable of closure if the anterior trabeculum wasnot visible in at least 3 of 4 mirrors. Provocative testing consisted of measuring intraocular pressure (IOP) before and 20 minutes after instilling tropicamide 1% ophthalmic drops in Caucasians and tropicamide 1% and phenylephrine 2.5% ophthalmic drops in African Americans, Asian Americans, and Hispanics. After20 minutes, if the IOP increased by more than 6 mm Hg, the test was considered positive after confirmation of angle apposition bygonioscopy. Following the dicta of Chandler and Grant 5 and Becker and Shaffer,6 if one eye had a positive test and the eyes appeared symmetric, LPIs were performed bilaterally. Both eyes were included in the study. AACG was diagnosed when markedly elevated IOP, pain, congestion, fixed pupil, and reduced acuity were noted. The patients included in this study were those whose attacks were treated with pressure-lowering agents, both topically and orally. Prophylactic LPI was performed immediately on the fellow eye and on the eye with the acute attack as soon aspossible. CACG was diagnosed when the angles appeared closed on gonioscopy, the pressure was normal either without or with medication, and prominent iris bombé was present. In situations

in which pressure was uncontrolled, the eyes were excluded from this study because they underwent primary filtering surgery.

During the same period (January 1, 1991, through December 31, 2000), a group of 150 eyes of 75 patients (group 2) was chosen asa comparison group. These patients were taken consecutively from new patients whose first examination in this office occurred starting in January 1991 and who had no evidence of angle-closureglaucoma problems.

Group 1 was then divided into group 1A, consisting of eyes that had subsequent cataract surgery during the follow-up period, and group 1B, consisting of the remainder of eyes that did not have surgery.

Each patient had a complete ophthalmologic examination, and the initial best-corrected visual acuities, IOP, degree of cataract, refractive error, and presence of other systemic or ocular diseases were tabulated. For the laser patients, the diagnosis, method of determining the need for laser surgery, total amount oflaser energy, intraoperative or postoperative complications, medications (ocular and systemic), and additional diagnoses were recorded when available. All patients in both groups then had thesame information taken from the record at their most recent examination.

The degree of cataract was recorded at each examination using an additive scale. The examiner has always routinely evaluated each portion of the lens on a scale of 1 to 4: anterior cortex, nucleus, posterior cortex, and posterior subcapsular. The grades were added and used as a scale from 1 to 16 to indicate the degree of cataract. If a group 1 eye came to cataract surgery, the interval from the time of LPI was calculated. In group 2, thetime to cataract surgery was measured from first visit.

Approval was obtained from the Human Studies Committee of Washington University School of Medicine for the review of the deidentified data, obtained by having the study coordinator extract the information from the record onto an Excel spreadsheet(Microsoft, Redmond, Washington), removing the patients’ names

and record numbers, and replacing them with study numbers. The data were analyzed using Stata 8.0 SE (College Station, Texas). Statistical significance was achieved if P < .05.

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RESULTS

Table 1 displays the demographic characteristics of the eyes thatunderwent LPI (group 1), and Table 2 shows similar data for the comparison group 2. Table 3 demonstrates the comparison of groups1A and 1B.

TABLE 1

DEMOGRAPHIC DATA FOR EYES (n=522) OF PATIENTS WHO HAD PERIPHERAL IRIDOTOMIES (GROUP 1)

TABLE 2

DEMOGRAPHIC DATA FOR COMPARISON GROUP (GROUP 2)

TABLE 3

COMPARISON OF EYES IN GROUP 1A WITH GROUP 1B

The patients in group 1A had significantly greater cataract on presentation. Their refractive error (spherical equivalent) was less hyperopic, indicating that increased nuclear sclerosis had begun to occur. The patients were slightly older than those who did not have surgery, and they were followed up for a longer period of time, presumably because of their secondary procedures.Of importance, they did not receive a higher level of laser energy to penetrate their irides, nor did either group experiencesignificant complications from bleeding, nonpenetration, need forsecondary laser treatment, or postoperative uveitis. They also did not require additional medication to control IOP more frequently than eyes in group 1B. No significant differences werefound in frequency of other systemic or ocular diagnoses or IOPs before or after LPI. The frequency, however, with which eyes weretreated for elevated IOP was significantly different (Table 4).

TABLE 4

FREQUENCY OF USE OF MEDICATIONS TO LOWER IOP IN GROUPS 1 AND 2

In group 1B (Table 3), the male:female distribution and the ratioof Caucasians to non-Caucasians were similar to group 1A, but thepatients were older in group 1A. Table 5 demonstrates that the frequency of cataract surgery did not differ significantly between groups.

TABLE 5

FREQUENCY OF CATARACT SURGERY IN PATIENTS WITHOUT VS WITH PREVIOUS PERIPHERAL IRIDOTOMIES

In the subset of patients who had AACG (n = 22), LPI was performed on all fellow eyes in the immediate period after angle closure had occurred in the first eye. None of the fellow eyes required additional treatment for elevated IOP. Of the AACG eyes,13 required no additional therapy, 9 were treated topically, and 3 had subsequent surgical procedures.

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DISCUSSION

The difficulty inherent in deciding which patients are at risk for developing angle closure has been thoroughly documented. Fromthe advent of laser procedures, first with the ruby, then the argon, and most recently the Nd:YAG laser, the degree of risk hasbeen thought to be low enough that the frequency of the procedurehas increased by a factor of 13 from the era of surgical iridectomy.2 The technique of provocative testing with multiple combinations of drugs has yielded no uniformity acceptable to all, and estimations of chamber angle depth, occlusion, and synechial closure have engendered numerous charts, photographic atlases, and descriptions.7,8 Anterior segment scanning laser equipment may lay some of this controversy to rest.9

It is estimated that by 2010, 60.5 million people will have visual loss from glaucoma; of these, bilateral blindness will occur in 8.4 million, of whom 3.9 million will have angle-closureglaucoma of all types.10 This disease is more frequent in East Asians, amounting to 2.4 % of Chinese citizens over the age of 50.

This study has been conducted in an almost exclusively Caucasian population. The findings, however, have been taken from a subset of the Caucasian population that has anatomic structures similar to those at risk for angle closure, no matter what their racial background.11 Given the limited resources for other remedies (ie,cataract surgery) in the developing world, it may be preferable to perform laser iridotomy on 80% of the affected population and cataract surgery on 20% as the cataracts (that might have developed in any case) mature, rather than remove cataracts as a primary procedure in all cases.

In this study, patients who required LPI differed significantly from the comparison group in their tendency to develop elevated IOP postoperatively. The IOP post-LPI increased significantly, and 37% of patients required additional therapy to control IOP, in contrast to 15% of the comparison group. Nonaka and associates12 have suggested that 13 of 70 eyes treated with LPI for angle closure had residual angle closure, which they chose totreat with cataract surgery. One may need to distinguish these eyes separately and consider primary cataract surgery in this smaller group.

In this study, 39 eyes had CACG, and of these only 5 eyes underwent filtering surgery for intractably elevated IOP after LPI, added to the 3 eyes that underwent filtering surgery after AACG. Indeed, Thomas and colleagues13 indicated that 73% of theireyes with CACG were controlled with LPI alone; 11% were controlled with topical medication, and the remainder required primary trabeculectomy.

Although no attempt is being made to derive an economic analysis from this study, the 13-fold excess of LPIs over the prelaser eramay be justified on the basis that the devastation of angle-closure glaucoma and the consequent loss of vision is so great that the 2008 Medicare-allowable charge of $361.73 per eye for each of 13 patients, or $9404.98, is far less than the economic cost of losing vision totally in one eye for any one person. In the subset of patients with AACG, our results mirror those of Angand associates,14 who noted that the fellow eyes of 80 patients with AACG in one eye needed only LPI to prevent angle closure,

although IOP did increase after laser therapy. They caution that close monitoring of IOP after LPI is essential.

Although the group chosen at random without angle closure (group 2) is not a true “control” population, it does serve as an indication of the relative risk of developing cataract in comparison to the treated group. Although the average age of the patients in group 2 is 9.8 years older than the patients in group1, the degree of cataract at initial presentation is approximately equal in both groups (see Table 3). That the patients without LPIs developed cataracts at about the same interval as those who experienced the “trauma” of laser iridotomysuggests that the excess risk is minimal. The definitive study would occur if one eye in each patient served as the “control” for the treated eye. Given the risk of blindness from untreated angle-closure glaucoma, such a study would be difficult to justify.

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CONCLUSION

The combination of the excess risk of intraocular surgery for cataract and the relatively benign nature of LPI makes the recommendation that cataract surgery be performed as the primary procedure for angle-closure glaucoma seem unnecessary. This report demonstrates that eyes with potential or actual angle closure are better served with primary LPI followed by surgery for cataract when the continuing aging process within the lens necessitates intervention. Advancement of lens opacity sufficientto require surgery occurred with statistically similar frequency,whether or not LPI was needed.

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PEER DISCUSSION

DR. JOHN C. MORRISON

In 2005, Lim and associates reported that prophylactic YAG laser iridotomy in fellow eyes of Asian patients with unilateral acute angle closure glaucoma was associated with a significant rate of cataract progression.1 Noting that these asymptomatic eyes did not develop progressive angle closure or systemic factors to explain this increase in cataracts, they attributed it to releaseof inflammatory mediators by the laser itself. They conclude thatthese findings have implications for the use of prophylactic iridotomy in eyes at risk for angle closure.

This study reminds us that all procedures carry risks. However, findings that might discourage laser iridotomy in patients at risk of developing acute angle closure may lead some to conclude that cataract extraction is preferable to laser iridotomy need careful scrutiny and confirmation.

In the current paper, Dr. Bobrow reports that the frequency of patients undergoing laser iridotomy who later required cataract surgery is not significantly greater than in a control group thatdid not receive laser. He concludes that eyes at risk of acute angle closure are best served by iridotomy, with cataract extraction performed at a later date, if needed.

The difference between the results of the current study and that of Lim is due in part to the use of a control group, which, as pointed out in a subsequent letter to the editor by Yip, et al,2 is lacking in the Lim study. In their letter, this group also reports their own finding that the rate of visual acuity loss dueto cataract after laser iridotomy is equal to that in a group of untreated controls from the same population, supporting the current study.

Another difference between these two studies is that Dr. Bobrow uses the percentage of eyes that require cataract surgery as his endpoint, whereas Lim relied on a statistical increase in cataract density as determined by a grading scale. Cataract surgery risks, while uncommon, can be severe and must be factoredin to the decision of whether or not to do surgery. In this sense, Dr. Bobrow’s assessment provides a real-world view of the

actual impact of laser iridotomy on visually significant cataractdevelopment.

Dr. Bobrow also finds that iridotomy, even when successful, is associated with a greater need for glaucoma therapy. This suggests that these eyes, even those without angle closure attacks, are prone to develop subclinical episodes of angle closure, subtle inflammation and eventual dysfunction of the trabecular meshwork. The Lim study, in which asymptomatic, felloweyes had an average of nearly 2 clock hours of anterior synechiaeeven before laser treatment, supports that such a process is indeed occurring and may itself contribute to cataract development in these patients.

I congratulate Dr. Bobrow on providing an important, real-world assessment of the potential role of laser iridotomy in creating visually significant cataracts.

ACKNOWLEDGMENTSFunding/Support: None

Financial Disclosures: None

REFERENCES1. Lim LS, Husain R, Gazzard G, et al. Cataract progression after prophylactic laser peripheral iridotomy. Potential implications for the prevention of glaucoma blindness. Ophthalmology. 2005;112:1355–1359. [PubMed]

2. Yip JL, Jones E, Foster P, et al. Cataract after laser iridotomy. Letter, Ophthalmology. 2005;113:1467–1468. [PubMed]

DR. ROBERT RITCHNo financial interest. I was very happy to see a negative study because that has been my impression over the last 30 years. Therehas been a lot of discussion about this topic in the past couple of years, and a lot of it on the Internet and in the glaucoma groups. I would like to suggest that any connection between

cataract and iridotomy is not cause and effect, but an upstream phenomenon. In my thesis for the AOS in 1994, we found that 28% of our patients with occludable angles or angle closure had exfoliation syndrome. Exfoliation syndrome is vastly under-diagnosed. Exfoliation syndrome is a direct etiologic cause of both angle closure and cataract, and therefore any cataract afteriridotomy could be in an eye with exfoliation syndrome. Similarly, exfoliation syndrome causes both open-angle and angle-closure glaucoma, and therefore could explain a rise in intraocular pressure even years after an iridotomy in eyes that had previous angle closure, because now they are developing elevated IOP with an open-angle on the basis of exfoliation syndrome. The Lim paper came from Hong Kong, and exfoliation is very rare in Hong Kong; however, 30% of the angle closure in HongKong is lens-induced. It is much more common there and is a different kind of angle closure. It is not just pupillary block, and these eyes are more prone to require cataract extraction after iridotomy because the cataract is more prominently involvedin triggering the angle closure. Thank you.

DR. ALLAN J. FLACHNo conflict of interest. I would like to congratulate Dr. Bobrow on a wonderfully honest paper. During his presentation, he hesitated to call Group 2 a control group, and this is the basis for my question. A control group is the basis for comparison. Is the control group different in any other way from the treatment group? The question is very important to determine if laser peripheral iridectomy does increase cataract formation. I would like to know a more about Group 2. Additionally, since you do notinclude this in the abstract, was Group 2 added as an afterthought? If so, how do you handle that with an IRB approval?

DR. DON MINCKLERI have no relevant conflict of interest. I have a general commentrelated to laser peripheral iridotomy in my region where, in my opinion, LPI is easily the most abused therapeutic intervention in glaucoma. I am not sure everybody feels that way, but we see

patients all the time who have undergone bilateral LPIs who neverhad the need for it. I am also curious, since you looked at a number of patients who had PIs and then underwent cataract surgery, whether any of them had had the occasional symptoms of diplopia or lines or visual blur you noted that sometimes occur after LPIs. Presumably these are associated with placement of thePI at the lid margin that creates a base up prism effect. Do suchpost-laser problems disappear after cataract extraction? I am also curious to learn about your choice of a YAG-only technique. Many of us, including me, have long used a two-laser (Argon or diode then YAG) technique and believe it causes less inflammationand iris bleeding.

DR. JAMES C. BOBROWThank you all for your comments. Let me try and go back over whatmay be a difficult series of questions. Dr. Morrison, I appreciate your comments, and I also appreciate the fact that Dr.Morrison and I were able to correspond before the meeting. He helped me to make my presentation better, and I hope that it madeit easier for all of you to understand. I appreciate that he liked the fact that this study did not support the need for cataract surgery as primary therapy. I must admit that I would have to re-examine my patients to determine if I could present data regarding how many of them had exfoliation syndrome. I suspect that I would, as many ophthalmologists, under-diagnose the condition, because I have only a visual means for finding exfoliation material. We know that there are certainly places where exfoliation material exists that may not be clinical apparent. The fact that the exfoliation syndrome is uncommon in the eastern Asian population may mean that some of the mechanismsare slightly different in different populations, as Dr Ritch suggests. We, of course, have a blunt instrument, so we simply use the Nd:YAG laser to try to improve aqueous humor distributionbetween the anterior and posterior chambers for this type of glaucoma. I do not know if the Caucasian population has a lower chance of developing cataract because the mechanisms of angle closure are slightly different.

Regarding Dr. Flach’s question, I amended the IRB when I decided to add the comparison group, and the revised study was accepted by the Human Studies Committee. This was submitted after the accumulation of data for groups 1A and 1B. As far as my hesitation about it being called a control group, I tried to define a group with a similar degree of cataracts. I believed that selecting this criterion was a reasonable initial decision. After assembling the data for these 75 patients, I determined that they were a slightly older group. Aside from that, their systemic diagnoses, ocular diagnoses, and other conditions were similar.

In respect to Dr. Minckler’s question, perhaps LPI is an overusedprocedure. I believe that many of us err on the side of performing iridotomies for patients when we judge that they are at risk to develop angle closure. We regard this as a simple and safe procedure that can be performed in patients with borderline findings, rather than waiting for them to present with angle closure or secondary complications related to an acutely elevatedintraocular pressure.

Relating to the question of using a one laser versus the two laser technique, I have had access to both lasers in my office and stopped performing argon followed by YAG laser PIs about 20 years ago. I found that I can very easily perform YAG laser iridotomy and not encounter enough bleeding or other problems to require that two-step procedure. Thank you very much

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ACKNOWLEDGMENTSFunding/Support: None.

Financial Disclosures: None.

Conformity With Author Information: Study approval was obtained from the Human Studies Committee of Washington University School of Medicine.

Statistical assistance was provided by Emily A. Bobrow, PhD, MPH.

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REFERENCES1. Drews RC. Peripheral iridectomy: fifteen years later. Trans Am Ophthalmol Soc. 1980;78:70–87. [PMC free article] [PubMed]

2. Bobrow JC. Angle closure glaucoma in the pre- and post-laser era. Paper presented at Twenty-eighth Annual Meeting of Washington University Alumni Association; St Louis, MO: 1995.

3. Lim LS, Husain R, Gazzard G, Seah SK, Aung T. Cataract progression after prophylactic laser peripheral iridotomy: potential implications for the prevention of glaucoma blindness. Ophthalmology. 2005;112:1355–1359. [PubMed]

4. Yip JL, Jones E, Foster P, et al. Cataract after laser iridotomy [letter] Ophthalmology. 2005;113:1467–1468. [PubMed]

5. Chandler PA, Grant WM. Lectures on Glaucoma. Philadephia: Lea & Febiger; 1965. p. 179.

6. Becker B, Shaffer RN. St Louis: CV Mosby; 1961. Diagnosis and Therapy of the Glaucomas; pp. 133–134.

7. Spaeth GL. The normal development of the human anterior chamber angle: a new system of descriptive grading. Trans Ophthalmol Soc U K. 1971;91:709–739. [PubMed]

8. Congdon NG, Spaeth GL, Augsburger J, Klancnik J, Jr, Patel K, Hunter DG. A proposed simple method for measurement in the anterior chamber angle: biometric gonioscopy. Ophthalmology. 1999;106:2161–2167. [PubMed]

9. Nolan WP, See JL, Chew PT, et al. Detection of primary angle closure using anterior segment optical coherence tomography in Asian eyes. Ophthalmology. 2007;114:33–39. [PubMed]

10. Quigley HA, Broman AT. The number of people with glaucoma worldwide in 2010 and 2020. Br J Ophthalmol. 2006;90:262–267. [PMC free article] [PubMed]

11. He M, Foster PJ, Johnson GJ, Khaw PT. Angle-closure glaucoma in East Asian and European people. Different diseases? Eye. 2006;20:3–12.[PubMed]

12. Nonaka A, Kondo T, Kikuchi M, et al. Cataract surgery for residualangle closure after peripheral laser iridotomy. Ophthalmology. 2005;112:974–979. [PubMed]

13. Thomas R, Arun T, Muliyil J, George R. outcome of laser peripheraliridotomy in chronic primary angle closure glaucoma. Ophthalmic Surg Lasers. 1999;30:547–553. [PubMed]

14. Ang LP, Aung T, Chew PT. Acute primary angle closure in an Asian population: long-term outcome of the fellow eye after prophylactic laser peripheral iridotomy. Ophthalmology. 2000;107:2092–2096. [PubMed]

Articles from Transactions of the American Ophthalmological Societyare provided here courtesy of American Ophthalmological Society

Principles and Applications of Laser Laser is the abbreviation of Light Amplification by the Stimulated Emission ofRadiation. It is a device that creates a narrow and low-divergent beam[1] ofcoherent light, while most other light sources emit incoherent light, which has aphase that varies randomly with time and position. Most lasers emit nearly"monochromatic" light with a narrow wavelength spectrum. Fig.1 [1] is the spectrumof a helium neon laser, showing very high spectra purity.

Fig1. Spectrum of a helium neon laser

1. Principle of LasersThe principle of a laser is based on three separate features: a) stimulatedemission within an amplifying medium, b) population inversion of electronics andc) an optical resonator.

1.1 Spontaneous Emission and Stimulated EmissionAccording to the quantum mechanics, an electron within an atom or lattice can haveonly certain values of energy, or energy levels. There are many energy levels thatan electron can occupy, but here we will only consider two. If an electron is inthe excited state with the energy E2 it may spontaneously decay to the groundstate, with energy E1, releasing the difference in energy between the two statesas a photon. [2] (see Fig.2a) This process is called spontaneous emission,producing fluorescent light. The phase and direction of the photon in spontaneousemission are completely random due to Uncertainty Principle. The angular frequencyω and energy of the photon is:

(1)

E 2 −E 1 =ℏω   

where ћ is the reduced plank constant.

Conversely, a photon with a particular frequency satisfying eq(1) would beabsorbed by an electron in the ground state. The electron remains in this excitedstate for a period of time typically less than 10-6 second. Then it returns to thelower state spontaneously by a photon or a phonon. These common processes ofabsorption and spontaneous emission cannot give rise to the amplification oflight. The best that can be achieved is that for every photon absorbed, another isemitted.

(a)

(b)

Fig.2 Diagram of (a) spontaneous Emission; and (b) stimulated Emission

Alternatively, if the excited-state atom is perturbed by the electric field of aphoton with frequency ω, it may release a second photon of the same frequency, inphase with the first photon. The atom will again decay into the ground state. Thisprocess is known as stimulated emission.[3] (see Fig.2b)

The emitted photon is identical to the stimulating photon with the same frequency,polarization, and direction of propagation. And there is a fixed phaserelationship between light radiated from different atoms. The photons, as aresult, are totally coherent. This is the critical property that allows opticalamplification to take place.

All the three processes occur simultaneously within a medium. However, in thermalequilibrium, stimulated emission does not account to a significant extent. The

reason is there are far more electrons in the ground state than in the excitedstates. And the rates of absorption and emission is proportional the number ofelectrons in ground state and excited states, respectively.[2,3] So absorptionprocess dominates.

1.2 Population Inversion of the Gain MediumIf the higher energy state has a greater population than the lower energy state,then the light in the system undergoes a net increase in intensity. And this iscalled population inversion. But this process cannot be achieved by only twostates, because the electrons will eventually reach equilibrium with the de-exciting processes of spontaneous and stimulated emission.[4]

Instead, an indirect way is adopted, with three energy levels (E1<E2<E3) and energypopulation N1, N2 and N3 respectively. (see Fig.3a) Initially, the system is atthermal equilibrium, and the majority of electrons stay in the ground state. Thenexternal energy is provided to excite them to level 3, referred as pumping. Thesource of pumping energy varies with different laser medium, such as electricaldischarge and chemical reaction, etc.

In a medium suitable for laser operation, we require these excited atoms toquickly decay to level 2, transferring the energy to the phonons of the lattice ofthe host material. This wouldn’t generate a photon, and labeled as R, meaningradiationless. Then electrons on level 2 will decay by spontaneous emission tolevel 1, labeled as L, meaning laser. If the life time of L is much longer thanthat of R, the population of the E3 will be essentially zero and a population ofexcited state atoms will accumulate in level 2. When level 2 hosts over half ofthe total electrons, a population inversion be achieved.

(a)

(b)

Fig.3 Electron Transitions within (a) 3-level gain medium; and (b) 4-level gainmedium

Because half of the electrons must be excited, the pump system need to be verystrong. This makes three-level lasers rather inefficient. Most of the presentlasers are 4-level lasers, see Fig.3b.[4] The population of level 2 and 4 are 0 andelectrons just accumulate in level 3. Laser transition takes place between level 3and 2, so the population is easily inverted.

In semiconductor lasers, where there are no discrete energy levels, a pump beamwith energy slightly above the band gap energy can excite electrons into a higher

state in the conduction band, from where they quickly decay to states near thebottom of the conduction band. At the same time, the holes generated in thevalence band move to the top of the valence band.[5] Electrons in the conductionband can then recombine with these holes, emitting photons with an energy near theband gap energy.(see Fig.4)

Fig.4 Diagram of electron transitions of semiconductor gain medium

1.3 Optical ResonatorAlthough with a population inversion we have the ability to amplify a signal viastimulated emission, the overall single-pass gain is quite small, and most of theexcited atoms in the population emit spontaneously and do not contribute to theoverall output[6]. Then the resonator is applied to make a positive feedbackmechanism.

An optical resonator usually has two flat or concave mirrors, one on either end,that reflect lasing photons back and forth so that stimulated emission continuesto build up more and more laser light. Photons produced by spontaneous decay inother directions are off axis so that they won’t be amplified to compete withstimulated emission on axis. The "back" mirror is made as close to 100% reflectiveas possible, while the "front" mirror typically is made only 95 - 99% reflectiveso that the rest of the light is transmitted by this mirror and leaks out to makeup the actual laser beam outside the laser device.[7]

More importantly, there may be many laser transitions contribute in the laser,because of the band in solids or molecule energy levels of organics. Opticalresonator also has a function of wavelength selector. It just make a standing wavecondition for the photons:

(2)

L=nλ/2   

where L is the length of resonator, n is some integer and λ is the wavelength.Only wavelengths satisfying eq(2) will get resonated and amplified.

2 Summary of Principles and Modes ofOperationAs a summary, Fig.5 is the schematic diagram of the working process of lasers.[8]

Fig.5 Schematic Diagram of Laser Operation

The output of a laser may be a continuous constant-amplitude output (known as CWor continuous wave); or pulsed, by using the techniques of Q-switching, model-locking, or gain-switching. In many applications of pulsed lasers, one aims todeposit as much energy as possible at a given place in as short time as possible.Some dye lasers and vibronic solid-state lasers can produce light over a broadrange of wavelengths; this property makes them suitable for generating extremelyshort pulses of light, on the order of a few femtoseconds (10-15 s).[1] The peakpower of pulsed laser can achieve 1012 Watts.

3 Types of Lasers and ApplicationsAccording to the gain material, lasers can be divided into the following types.Several common used lasers are listed in each type.[1]

Gas Lasers:

LaserGain

Medium

OperationWavelength(s) Pump Source Applications and Notes

Helium-neon laser

632.8nm Electrical discharge

Interferometry, holography, spectroscopy, barcode scanning, alignment, optical demonstrations

Argon laser

454.6 nm, 488.0 nm, 514.5 nm

Electrical discharge

Retinal phototherapy (for diabetes), lithography, confocal microscopy, spectroscopy pumping otherlasers

Carbon dioxide laser

10.6 μm, (9.4 μm) Electrical discharge

Material processing (cutting, welding, etc.), surgery

Excimer laser

193 nm (ArF), 248 nm(KrF), 308 nm (XeCl), 353 nm (XeF)

Excimer recombination via electrical

Ultraviolet lithography for semiconductor manufacturing, laser

discharge surgery

Solid State Lasers:

Laser GainMedium

OperationWavelength(s)

PumpSource Applications and Notes

Ruby laser 694.3nm Flash LampHolography, tattoo removal. The first type of visible light laser invented; May 1960.

Nd:YAG laser

1.064 μm, (1.32 μm)

Flash Lamp, Laser Diode

Material processing, laser target designation, surgery, research, pumping other lasers. One of the most common high power lasers.

Erbium doped glass lasers

1.53-1.56 μm Laser diode

um doped fibers are commonly used asoptical amplifiers for telecommunications.

F-center laser

Mid infrared to far infrared

Electricalcurrent Research

Metal-vapor Lasers:

Laser GainMedium

OperationWavelength(s) Pump Source Applications and Notes

Helium-cadmium (HeCd) metal-vapor laser

441.563 nm, 325nm

Electrical discharge in metal vapor mixed with helium buffer gas.

Printing and typesetting applications, fluorescence excitation examination (ie.in U.S. paper currency printing)

Copper vapor laser

510.6 nm, 578.2nm

Electrical discharge

Dermatological uses, high speed photography, pump for

dye lasers

Other types of lasers:

Laser GainMedium Operation Wavelength(s) Pump Source Applications and Notes

Dye lasers Depending on materials, usually a broad spectrum

Other laser, flashlamp

Research, spectroscopy, birthmark removal, isotope separation.

Free electron laser

A broad wavelength range(about 100 nm - several mm)

Relativistic electron beam

Atmospheric research, material science, medical applications

4. History and ExtensionIn 1917 Albert Einstein first raised the concepts of probability coefficients(later to be termed 'Einstein coefficients') for the absorption, spontaneousemission, and stimulated emission of electromagnetic radiation. It was confirmedin 1940s. [1]

In 1953, Charles H. Townes and graduate students James P. Gordon and Herbert J.Zeiger produced the first microwave amplifier, a device operating on similarprinciples to the laser. In 1955 Prokhorov and Basov suggested an optical pumpingof multilevel system as a method for obtaining the population inversion, whichlater became one of the main methods of laser pumping. Townes, Basov, andProkhorov shared the Nobel Prize in Physics in 1964.

The first working laser was made by Theodore H. Maiman in 1960.[9] He used a solid-state flashlamp-pumped synthetic ruby crystal to produce red laser light at 694 nmwavelength. Maiman's laser, however, was only capable of pulsed operation due toits three-level pumping scheme. Later in 1960 the Iranian physicist Ali Javan madethe first gas laser using helium and neon. It was the first continuous-lightlaser. The concept of the semiconductor laser diode was proposed by Basov andJavan. And the first laser diode was demonstrated by Robert N. Hall in 1962.

Numerous types of lasers have been invented since then and applied widely. Todaythey are still being improved to get better features, such as maximum peak outputpower and minimum output pulse duration.

As an interesting extension, femtosecond laser can be used to change the color ofmetals. This is a pretty new discovery by Chunlei Guo and Anatoliy Vorobyev in2007. [10] They permanently change the aluminum, which is normally silver-colored,to gold, grey and black. And they can also turn gold black.(See Fig.6)

Fig.6 From left, aluminum turned a gold color, titanium turned to blue, andplatinum turned gold.

Their trick is to etch the metals' surfaces with pits of different lengths andcreate other tiny shapes using a powerful laser. These tune the surfaces to absorbparticular wavelengths of light, and reflect only the desired color — or almost nolight in the case of black.

References:[1]http://en.wikipedia.org/wiki/Laser[2]http://en.wikipedia.org/wiki/Spontaneous_emission[3]http://en.wikipedia.org/wiki/Stimulated_emission[4]http://en.wikipedia.org/wiki/Population_inversion[5]http://www.rp-photonics.com/semiconductor_lasers.html[6]http://www.mellesgriot.com/pdf/CatalogX/X_36_2-5.pdf[7]http://www1.union.edu/newmanj/lasers/Laser%20Theory/laser_theory.htm[8]http://common.ziffdavisinternet.com/encyclopedia_images/LASER.GIF[9] T.Maiman,, "Stimulated optical radiation in ruby". Nature vol187, 4736(1960):493–494[10] A Vorobyev and C. Guo, "Colorizing metals with femtosecond laser pulses",App.Phys.Lett. vol92, 041914 (2008)

NCBI

Yonsei Med J. 2008 Apr 30; 49(2): 189–199.

Published online 2008 Apr 20. doi:  10.3349/ymj.2008.49.2.189

PMCID: PMC2615329

The Evolution of KTP Laser Vaporization of the ProstatePetros Sountoulides and Peter Tsakiris

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Abstract

The search for a minimally invasive approach to the treatment of Lower Urinary Tract Symptoms (LUTS) suggestive of Benign Prostatic Hyperplasia (BPH) is probably as old as Transurethral Resection of the Prostate (TURP). In an effort to overcome the limitations and morbidities of TURP, and in light of evidence suggesting that medical treatment for BPH has a limited life-span, laser-based treatments have emerged during the last decade.Photoselective Vaporization of the Prostate (PVP) by the "GreenLight" KTP laser is considered one of the most promising options, one that is constantly evolving new technologies in prostate surgery. In this overview of KTP laser usage in BPH treatment, we will briefly discuss the evolution of this modalitysince it was first introduced and focus on the available evidenceregarding safety, efficacy and cost parameters of its application.

Keywords: Lasers, benign prostatic hyperplasia, surgery

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INTRODUCTION

The search for the optimal minimally invasive technique for the treatment of LUTS associated with BPH carries quite a history. Over the past 15 years, efforts have been taken to introduce an ideal minimally invasive treatment option for benign prostatic hyperplasia (BPH). Different treatment modalities employing varied delivery systems to create heat to treat the prostate havenot shown consistent or durable efficacy compared to the reference standard, transurethral resection of the prostate (TURP). Recent advancements in the field of bipolar plasma-kinetic vaporization of the prostate1,2 and the emergence of alternative treatment options for BPH3 have made this goal even more challenging than previously considered.

Some of the laser-based treatment modalities exhibited promising results and were initially welcomed with expectations and enthusiasm by the urological community. Unfortunately, few stood the test of time, and even fewer were able to withstand the comparison to the long-standing reference treatment for BPH, transurethral resection of the prostate (TURP).

Recent advancements in laser technology, together with the increasing demand for a minimally invasive procedure to alleviatelower urinary tract symptoms more safely and efficaciously than TURP, have led to the introduction of photoselective vaporizationof the prostate using the "GreenLight" KTP laser. The purpose of this review is to explain the basic principles of KTP lasers in urology and address the current status of the application of thismodality in the treatment of BPH.

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DISCUSSION

The characteristics of the KTP laser and how they apply to prostate surgery

All lasers are not created equal. Proof of this is the vast difference in the characteristics and the interactions between different laser beams and tissues. By doubling the frequency of pulsed Nd:YAG laser energy with a potassium-titanyl-phosphate-KTPcrystal, a 532-nm wavelength laser is created which has substantially different laser-tissue interaction properties compared with its predecessor, the Nd : YAG. One main difference lies in the fact that the 532-nm wavelength beam of the KTP laserrests within the visible green region of the electromagnetic spectrum (Greenlight-laser), unlike the 1064 nm Nd:YAG light beam, which is within the infrared portion of the electromagneticspectrum.4

The KTP laser beam can be fully transmitted through aqueous irrigants but is highly absorbed by hemoglobin inside prostatic tissue. This selective absorption of the green KTP laser beam by hemoglobin in tissue is the reason KTP laser vaporization prostatectomy was named photoselective vaporization of the prostate (PVP). Absorption leads to instant removal of prostatic tissue by a rapid photothermal vaporization of heated intracellular water.5 Because of the short optical penetration ofthe KTP laser into tissue (0.8 mm), the resulting coagulation zone is limited (1 - 2 mm), which leads to a more focused and efficient vaporization.6

The KTP laser is used to effectively vaporize prostatic adenomatous tissue and create an unobstructed TURP-like cavity. For this reason, the KTP laser fiber is delivered via a relatively small-caliber scope (22 - 23F). PVP is performed in a near-contact mode with a 70 degree side firing fiber. A continuously emitted beam allows rapidly progressive and efficient vaporization of glandular tissue down to the prostatic capsule (where vaporization efficiency of the laser is hampered by the relatively hypovascular fibrous capsule). The effectiveness of vaporization is judged by bubble formation. Normal saline is usually used as an irrigant, although water can also be used, without however enhancing visualization.7

The lack of significant absorption of the irrigation fluid duringPVP has already been proven by using expired breath ethanol

measurements; therefore, there is no safety issue in using sterile water as an irrigant for this procedure.8

Haemostasis is achieved by the inherent superficial coagulative effect of the KTP laser beam, allowing for an almost bloodless procedure. A coagulation zone thickness of only 1 to 2 mm avoids the problems associated with earlier Nd:YAG laser treatments in which much deeper tissue coagulation necrosis (7 mm) led to severe post-operative dysuria and delayed sloughing, resulting inprolonged obstruction.9

The evolution of KTP lasers for the treatmentof BPHMost of the early data available addresses the Nd : YAG laser coagulation. Visual laser ablation of the prostate (VLAP), first introduced by Costello using a 1064 nm Nd : YAG laser, was used to apply the effects of coagulation to prostate tissue.10 The limitation of applying the technique to small prostates, togetherwith a prolonged operative time, dysuric symptoms, and considerable post-operative catheterization time due to massive sloughing of necrotic tissue, did not add to its reputation or durability.11

Early experience: the "hybrid" techniquesKTP lasers were actually introduced in the treatment of BPH in combination with already existing laser modalities. These so-called 'hybrid' techniques were developed with the intention to combine the coagulation and haemostatic effects of the 1064 nm Nd:YAG laser with the excellent excision and vaporization efficacy of the 532 nm wavelength KTP laser. The use of the KTP laser in conjunction with the Nd:YAG laser allows for vaporization of more tissue, thus decreasing the amount of tissueundergoing coagulation necrosis. The KTP laser energy was used toperform a bladder neck incision and, in some cases, to vaporize any median lobe.

The rationale behind these 'hybrid' techniques was that the additional incisions using the KTP laser would decrease some of the aforementioned problems faced when Nd : YAG techniques alone were used; specifically, prolonged catheter drainage and troublesome dysuria. The use of the KTP laser added only 15 minutes to the procedure. In the KTP laser prostatectomy series originally reported, a laser calibrated to 38 W was used, but, inreality, it rarely delivered more than 20 W of power. The vaporization procedure was lengthy, tedious and often erraticallyperformed.4

The first description of KTP laser prostatectomy came from Watsonin 1995,12 who utilized the 30 W KTP laser followed by Nd : YAG laser coagulation. In a series of cases with short-term follow-up, the technique was characterized as safe; however, the rate ofpost-operative retention and the delayed onset of therapeutic effects continued to be an issue.13 Comparison of low (20 W) to high power (40 W) KTP laser added to a standard 60 W Nd : YAG ablation favored the 40 W KTP mainly because of a more rapid improvement in symptoms.14 Kollmorgen et al.,15 in their 2.5 yearsfollow-up of two groups of men undergoing VLAP (40 W Nd : YAG) compared to VLAP with subsequent KTP laser prostatotomies (34 W KTP laser), reported that the 'hybrid' group faired much better in terms of recatheterization rates (33% versus 70.5%). The advantages of the 'hybrid' technique over VLAP seen in early (18 h) catheter removal in the 'hybrid' arm (80% versus 57%) were emphasized in a prospective double-blind randomized trial.16

Hybrid techniques eventually had to be compared to the "gold standard," TURP, and this first took place in a randomized, control trial by Carter et al. The hybrid technique in question involved the initial delivery of 30 W of KTP laser energy. The KTP laser was used to create bladder neck incisions at the 5 or 7o'clock positions, and any median lobe or obstructive bladder neck tissue was vaporized. Additional prostatotomies were performed on any large prolapsing lateral lobes. The prostate wassubsequently treated with Nd : YAG laser coagulation.

Early results demonstrated that expected post-operative complications, such as irritating symptoms and dysuria, were of

similar frequency between the 'hybrid' technique and TURP. Moreover, the median post-operative duration of catheterization was similar in both groups at 2 days.17

Results at 1 year revealed a higher rate of urethral stricture inthe TURP arm (9.9% versus 2.1%). This was mainly attributed to the larger scope diameter employed in the TURP procedure (24 or 26 Ch versus 21 Ch). However, post-operative urosepsis was more common in the laser group, and this probably relates to the volume of necrotic tissue left in situ at the end of the procedure.

IPSS, Qmax, post-void residuals and improvements in LUTS were similar in each arm both at 1 year and at 1.5 years. Importantly,only one patient in each group required re-operation.18 Shingleton et al.19 reported on their three-year results of 100 patients who had undergone either hybrid KTP/Nd : YAG laser prostatectomy or TURP. Both treatments produced equivalent improvements in symptoms and flow rates, although the flow rate improvement in the TURP group was lower than expected from known published series. This might be due to a rather limited resectionwith a change in mean prostatic volume of only 3.3 cm3 from baseline to 36 months. The re-treatment rates were also low with no re-operations in the TURP arm compared with 6% for the laser cohort.

Later advancements in KTP lasersThe 'hybrid technique' enjoyed a brief period of popularity that was eventually hampered by prolonged operative times and limited tissue ablation due to low power KTP energy available in the mid 90s. Pure KTP laser vaporization techniques soon took over, demonstrating a gradual increase in their laser power and vaporization ability over time.

Successful experimental animal studies for the evaluation of pureKTP laser vaporization using a 38 W system and a 60 W system on the canine prostate model9,20 preceded the first pilot clinical study of the 60 W KTP laser vaporization in 10 patients at the Mayo Clinic.21 The procedure was performed using a 22 Ch

continuous flow cystoscope and sterile water as irrigation fluid.Prostate glands of up to 60 mL of volume were treated. Bleeding was successfully controlled by defocusing the laser beam (3 - 4 mm) without needing to switch to Nd:YAG laser for coagulation. Noirrigation was required post-operatively and catheters were removed in less than 24 hours. At 24 hours, an impressive improvement in maximum flow rate to 142% was noted and none of the patients required re-catheterization. Results of a three-month follow-up of three patients from this group showed a mean AUA symptom score reduction of 77%, mean peak flow rate increase of 166% and mean post-void residual volume decrease of 82%.21

Longer follow-up results from the same institution on the outcomeof patients treated with 60 W KTP vaporization of the prostate were published in 2000.22 Patients with BPH having a mean prostate volume of 43 mL were treated, while patients on retention were excluded. No patient required blood transfusion orre-catheterization. Only two patients (4%) were troubled by post-operative delayed gross hematuria (6 - 8 weeks) following strenuous physical activity. Another 7% described mild dysuria, which settled without treatment. In the longer term study, mean improvement in Qmax was 278% and there was a mean fall of 82% in the AUA symptom score at a two-year follow-up of 14 patients. Retrograde ejaculation was limited to just 9% of patients at two years, possibly implying a very limited resection of the bladder neck.

Going one step further, Carter et al., in their series of 22 patients treated with 60 W KTP laser, left six of the patients without a catheter post-operatively, and they all managed to voidfreely.23

Current experiences with the KTP laserDespite the good results and its technical simplicity, the 60 W KTP laser had a size limitation on the prostate glands treated (not exceeding 60 mL of weight) due to the less than ideal speed of vaporization at 60 W. In order to improve the speed of

vaporization, a quasi-continuous-wave KTP/532 laser was developedthat emits an average power of 80 W.

The 80 W KTP laser system (GreenLight® PV, American Medical Systems, Minnetonka, MN, USA) described above uses a 70° side firing laser fiber emitting laser at a 532 nm wavelength, which is delivered through a small (21 - 23 F) continuous-flow cystoscope. Total energy delivery may amount to 200,000 Joules for a prostate of 70 - 80 mL, and the procedure is usually over in an hour or so. PVP can be a catheter-free procedure. However, even in cases where a catheter is left, the duration of post-operative catheterization time is minimal. Most patients can be treated on an outpatient basis and may return home the same evening. Post-operative irrigation is rarely necessary and may beapplied to the occasional patient with bleeding disorders or a very large prostate.

Pre-operative evaluation

The routine pre-operative evaluation of BPH patients suffices forlaser treatment with the KTP laser. Particular attention should be paid to accurate prostate volume measurement by TRUS, particularly in large glands in order to estimate parameters suchas vaporization energy and operative time.24

Because there is no tissue specimen provided by PVP, prostate cancer cannot be diagnosed based on histological examination, thus continued post-operative surveillance by digital rectal examination and PSA are required. In cases of a pre-operative elevated PSA or a suspicious DRE, a TRUS biopsy should be done. Even so, some cases of prostate cancer will still go undiagnosed because of normal pre-operative PSA and DRE. However, there is evidence deriving from a series of prostate cancers incidentally diagnosed by TURP that these cancers will eventually be missed byKTP vaporization were usually managed with active surveillance due to their low stage and moderate Gleason score.25 However, theclinical significance of these cancers in the long-term is uncertain at the present time.

Anesthesia options

A wide range of different options for delivering anesthesia and analgesia to patients undergoing PVP has been described. In a hospital setting, light general anesthesia is usually preferred, since regional anesthesia precludes a catheter-free procedure. Inmost series, either regional or general anesthesia was used depending on the patient's ASA score.26,27

In an outpatient setting, a two-step anesthesia process combininga cocktail of oral analgesics, sedatives and non-steroidal anti-inflammatory agents with bladder instillation of lidocaine has been utilized. Local anesthesia in the form of a periprostatic orpudendal nerve blocks using lidocaine, bupivacaine or ropivacainesolutions28 have also been described, but their efficacy and safety have been questioned by others.24

Outcomes of 80 W KTP laser prostatectomy

Initial results for the 80 W KTP laser came from a small pilot series of 10 patients with a one-year follow-up.29 The authors reported a reduction in prostate volume of 27%, which is somewhatless than the 40 - 50% reduction seen with TURP. Results from uncontrolled clinical trials with a maximum follow-up of one yearfollowed.

In these trials, a total of 759 men (aged 45 - 90 years) with prostate volumes ranging from 15 - 250 mL (mean volume ~ 49.6) were treated. Mean operative time was 53.7 minutes, and the procedures were performed under general or regional anesthesia. Some studies excluded men with urinary retention,26 very large prostates or elevated PSA > 10 ng/dL.30 In one study, patients with prostate cancer were also enrolled.31

Reduction in prostate volume ranged from 37%30 to 53%27,32 and was comparable to that after TURP. Mean catheterization time ranged from 6 to 69 hours, while in one study 44 patients (32%) were left without a catheter at the end of the procedure.30 No significant bleeding was encountered, and no blood transfusion was required whatsoever. The efficacy of the procedure was

mirrored in the excellent Qmax and IPSS improvements. Mean improvement in Qmax was 13.6 mL/sec from baseline, while there was a 14 point fall in mean IPSS.

In addition, results from a multicenter study with a three-year follow-up of 139 men treated with an 80 W KTP laser confirmed theoverall efficacy of the procedure. The significant differences seen in the level of improvement for patients with a baseline total PSA > 6 ng/dL were explained by the vast difference in meanprostate volume between the two subgroups (group 1, 48.3 mL; group 2, 83.1 mL). Still, these results may raise scepticism about the efficacy of PVP in very large prostates.33

Regarding the safety of the procedure, the main complications encountered in these series consisted of urinary retention ranging from 1%34 to 15.4%,31 dysuria ranging from 6.2% to 30% andminor haematuria (up to 18%). The occurrence of retrograde ejaculation ranged between 36% and 55% in previously potent men.

The longest follow-up (five years) results published by Malek et al.35 raised some criticism36,37 because of the high attrition (at five years, only 14 out of the original 94 patients were evaluated) and the fact that only 15 of the patients studied wereactually treated with the "new" 80 W KTP laser. Complications described were transient dysuria (6%), hematuria (3%), bladder neck contracture (2%), and retention (1%). Whatever the significance of these shortcomings, at five years, 79% of treatedpatients had maintained a 100% improvement of their Qmax from baseline, while all patients maintained an improvement of at least 50% in their symptoms (IPSS) from baseline.35

A large series reporting complication rates after PVP comes from Switzerland.38 A total of 406 patients including men in retention, on anticoagulation therapy and of an advanced age weretreated and followed-up for three years. No serious bleeding or TURP-syndrome was observed. Bladder irrigation was required for 9.6% of patients, most of whom were on anticoagulants. Post-operative retention and re-catheterization rate was 9.6% and strongly correlated with age but not with prostate volume at baseline. Also, in 2.2% of the procedures, a transient conversion

to TURP for electrocoagulation of troublesome capsular bleeding was necessary. Late complications included a 6.3% urethral stricture rate, while 21 patients (5.2%) experienced recurrence of LUTS due to insufficient initial vaporization.

a) High-risk patients & patients on anticoagulants

Theoretically, one major advantage of PVP is that a virtually bloodless tissue ablation technique can be applied to high-risk patients relatively safely. Evidence of this comes from a two-center study evaluating a total of 66 men with an ASA score of 3 or greater.39

Safety results were encouraging as there were no blood transfusion requirements and no fluid absorption. There was an 11% need for re- catheterization, while the results on voiding parameters revealed an impressive 222% improvement in Qmax from baseline in one year and a mean reduction in IPSS of about 14 points at one year follow-up.

Similar efficacy results were presented in another study.40 Interestingly, the mean operative time was only 25.6 minutes, which is largely disproportionate to the mean prostate volume at baseline (72.5 mL). However, there are no data on mean prostate volume reduction or re-operation rates.40

A major cohort of patients considered to be at high-risk for bleeding and transfusion are those on anticoagulation therapy. Currently, urologists are faced with an increasing number of patients requiring prostatectomy while on oral anticoagulation therapy. Unfortunately, conventional TURP has failed to provide acceptable safety for these patients, for the transfusion rate has been exceeding 30%.41 The most commonly-used perioperative management in anticoagulated patients is discontinuation of oral anticoagulant therapy several days before TURP and conversion to conventional or low molecular weight heparin (LMWH) as bridging therapy perioperatively. However, perioperative use of LMWH has led to a significant increase in catheterization time and hospital stay while maintaining an unacceptable transfusion rate of 20%.42

The safety of PVP in men with serious comorbidities necessitatingcontinuous anticoagulation was assessed in a series of 116 men oncoumadin, aspirin or clopidogrel. This group of men on oral anticoagulation was compared to a control group of men undergoingPVP without taking anticoagulants.43

Results showed similar efficacy in terms of voiding parameters between the two groups. In the group of patients on anticoagulants, no thromboembolic or bleeding complications were observed and no blood transfusions were required. The only difference was a higher rate of transient 24 hour post-operative irrigation (17% vs 5.4% in the control group) resulting in a longer catheterization time. Post-operative retention rates were slightly higher than previously reported (~ 12% in both groups), while a 40% decline in PSA values at two years was observed in both groups, indicating that an equal amount of tissue was removed.

b) Patients with large prostates

The issue whether very large prostates could be adequately treated with KTP laser within a reasonable time with acceptable reoperation rates was addressed by Sandhu et al.,44 who evaluatedthe safety and efficacy of the 80 W KTP laser in 64 patients withprostate volumes in excess of 60 mL. Twenty-eight percent of patients were in retention pre-operatively, and some of them probably would have been otherwise denied a TURP because of theirhigh ASA score.

Mean prostate volume was 101 mL and mean operative time was 123 minutes. However, two patients required staged procedures becauseof their lengthy prostatic urethra. Ninety-five percent of patients had their catheters removed within 23 hours. Three patients needed recatheterization in the early post-operative period, while the one year re-operation rate was 5%. Regarding efficacy, Qmax improved from 7.9 mL/sec to 18.9 mL/sec in one year, while IPSS declined from 18.4 at baseline to 6.7 post-operatively.

A modified vaporization-incision technique (VIT) in large-volume prostatectomy was evaluated in 20 patients with high-volume prostates, and results were compared with those in 64 prior patients with similar volume prostates who had been treated with standard laser prostatectomy. However, IPSS and flow rates at post-operative months 1 and 3 showed no significant differences between the two techniques .45

c) Patients in retention

Another major issue is the outcome of patients with indwelling catheters due to urinary retention. Historically, this subgroup of patients is plagued with a higher complication rate and, sometimes, a poorer outcome in terms of voiding parameters. A study comparing the outcome of 70 patients with refractory retention and 113 men with BPH but no retention was conducted. Functional outcomes and incidence of perioperative complications were similar in the two groups. In particular, the post-operativeretention rate observed was comparable between patients with and without retention (12.9% vs 10.6%, respectively). Moreover, therewere no statistically significant differences between the two groups with regards to Qmax, IPSS, or PVR.46

A direct comparison between PVP and TURP in the treatment of men presenting with acute urinary retention revealed similar efficacyresults at one year follow-up, although IPSS scores were better for the TURP arm in the short term (three months).47

PVP compared to TURP

Photoselective vaporization of the prostate represents the latestdevelopment in technology for the treatment of BPH, and it emerges as an alternative to TURP. However, since the end of 2005, there was only one non-randomized controlled study published48 to prospectively compare PVP with conventional TURP as the reference treatment for BPH. In this study, PVP was superior to TURP in terms of catheter drainage time and hospital stay, while PVP was somewhat lengthier than TURP. Intraoperative bleeding was a problem in 10.8% of TURP cases but not in PVP. Early (six-month) results revealed similar improvements in

voiding parameters. However, prostate volume reduction was significantly greater in the TURP arm, thus questioning the durability of longer-term PVP results. Nevertheless, the mean follow-up of six months a priori precludes any conclusions on durability.

The first randomized, although incomplete, study of 76 patients treated by either TURP or PVP and then followed-up for at least six weeks showed similar results in terms of voiding parameters (Qmax-IPSS) for the two arms.49 Although data were preliminary and results biased in many ways (men with prostate volumes > 85 mL, on retention or on anticoagulants were excluded and the surgeons were inexperienced in PVP), it was clear that PVP was superior to TURP in terms of earlier catheter removal, hospital stay and early complication rate. Data on re-operation rates and long-term efficacy of the procedures were, unfortunately, not available.

Interim results from the same trial were recently published.50 Improvements in Qmax and symptom scores were equivalent for both treatments, and although the number of patients available for evaluation at one year (n = 59) was still far from optimal for drawing substantiated conclusions, early re-operation rate was infavor of TURP. However, in total, early complications were fewer and less severe in the PVP arm.

A recent prospective non-randomized study comparing PVP (249 patients) with TURP (129 patients) revealed a significant difference in mean operative time between the two procedures (73'for PVP vs 53' for TURP), which was partly due to the larger prostates assigned to the PVP group. Still, there is evidence that the estimated speed of tissue vaporization with the KTP laser is lower than the tissue resection rate with the standard TURP.

In this study, KTP vaporization confirmed its superiority with respect to intraoperative safety and earlier discharge from the hospital, yet although both treatments resulted in similar improvements in IPSSs, the Qmax was higher for TURP in the two-year follow-up and there was also a trend for higher re-operation

rates for PVP in the long-run.51 Therefore, there is an issue regarding the long-term durability of the pronounced short-term improvements in micturition parameters achieved with PVP.

The major advantages and drawbacks of PVP compared to TURP are listed in Table 1.

Table 1

Major Advantages and Disadvantages of PVP Compared to TURP

Learning curve

The learning curve for a procedure plays a crucial role in its overall applicability and cost-effectiveness. Evidence to this isthe significantly shorter learning curve for the KTP laser as opposed to HoLEP, and this is the main reason for the popularity and wider applicability of the former.52 However, there are intrinsic difficulties in accurately quantifying the concept of alearning curve. It relies on subjective estimations of the surgeon and is biased by the level of his or her experience and the quality of training and education that each surgeon has received by their own mentors.

Nevertheless, KTP laser vaporization is considered easier to learn and perform than TURP. Most urologists would feel comfortable performing TURPs after about 50 procedures.50 Rajbabuet al.24 consider a series of 10 - 20 procedures sufficient for gaining competence using the 80 W KTP laser on small prostates, while others50 believe that five cases are enough in order for one to safely tackle small glands (< 40 mL) with reasonable median lobes. Larger prostates can be confidently managed after

about 20 cases. Meanwhile, a short mentorship training period is essential in order to be able to adequately perform PVP.

Cost implementation of PVP treatment

The issue of cost and effectiveness of various treatment options for BPH has been widely, however insufficiently, addressed as a whole. This is a difficult task to accomplish since the general concept of "costs" related to a certain treatment or interventionis quite heterogeneous. One has to take into consideration both the direct (office visits, hospital costs, imaging studies, etc.)and the indirect costs (absence from work, lost earnings) and also incorporate the costs of treatment failures and re-treatments. Other related issues are the prospective nature of such a study with long-term follow-up in order to reach meaningful results, the actual differences that exist in health systems and patients' perspectives and backgrounds throughout theglobe.

There is no doubt that the cost per year for BPH treatment is certainly less for medical treatments than for invasive surgical procedures. The cost of TURP was estimated to be between 3,874 and 8,608 US dollars, while the direct cost of medical therapy ranges from 73 to 974 US dollars per patient per year.53

In the long run, however, surgical treatments like TURP, especially for patients younger than 70 years of age,54 seem preferable as they appear to be more cost-effective due to the increased annual maintenance costs of oral medication. Additionally, the high discontinuation rate (47 - 58%) observed for alpha-blockers in the first three years55 further contributesto the diminished long term cost-effectiveness of medications forBPH. The treatment pathway, starting with medications and ultimately leading to a TURP or an open procedure, actually carries the highest lifetime treatment cost.56 Furthermore, this pathway results in fewer patients being operated on for BPH with advanced age, major co-morbidities and larger prostates at the time of surgery.57 The evolution of PVP will most likely change the landscape in both the surgical and medical treatment of BPH, but this remains to be seen.

Reviewing the very little available literature so far regarding the cost-effectiveness of PVP treatment for BPH, one has to commend the study by Stovsky et al. comparing the costs and clinical outcomes of five interventions for BPH, namely PVP, ILC,TURP, TUNA and TUMT.58

Using the decision-analytic Markov model, the authors came to theconclusion that PVP is, overall, less costly than other procedures. The cost savings stemmed from the lower rates of adverse events and re-treatment of PVP, but these conclusions aresomewhat premature and certainly hampered by the limited number of prospective long-term studies of PVP.

Similar conclusions were reached in two studies coming from the same group in Australia. In these studies, the direct cost of PVPas a day procedure was estimated to be 3368 AU dollars, while thecost of TURP was 4291 AU dollars.49 Overall, PVP was considered 22% less costly compared to TURP, mainly because of the shorter hospital stay and complication rate. However, cost analysis was done by taking a random sample of five cases from each group, andthe short follow-up period and available patients (59 patients at12 months) were inadequate for substantial conclusions.50

It is certainly early to draw conclusions about the cost-effectiveness of PVP in the treatment of BPH since long-term prospective trials assessing various parameters of "cost" and "effect" are lacking. The heavy financial cost of initial capitalinvestment for the laser base and the disposables (fibers) shouldbe balanced against the savings stemming from reduced hospital stay and fewer complications. Keeping all of this in mind, Alivizatos et al. concluded that although preliminary results of cost-analysis studies of PVP are in favor of PVP versus TURP, further evidence is certainly needed to support this.59

High Performance System (HPS)The 80 W KTP laser system has proven to possess sustained efficacy and safety in the treatment of moderate to large prostates. However, the vaporization procedure for very large glands remained tedious and time-consuming due to the limited

rate of power delivered per unit of time. In order to overcome these limitations, the new and improved GreenLight High Performance System (HPS) was recently introduced.

This advanced diode-pumped solid state laser system delivers the same 532 nm wavelength within a power setting of 20 - 120W instead of the 30 - 80 W average power level of its predecessor. This 50% increase in power results in potentially increased vaporization efficacy.

One of the differences between this system and the 80 W KTP laseris that maximum focus with negligible divergence of power is now maintained even within a distance of 3 - 5 mm from the fiber, allowing for vaporization to be consistently efficient despite variable changes in distance between fiber and tissue.60

The fiber is covered with a highly reflective coating in order tolimit the back-scatter effect and the resulting inadvertent ablation of tissue.

The HPS system also incorporates a dual-power mode function usingtwo pedals; one for vaporizing tissue (60 - 120 W) and another for coagulating at lower power settings (20 - 40 W), while power is now delivered in 10 W instead of 5 W increments.

Initial experience with the HPS 120 W is described as "exciting",24 but further results from large trials are necessaryin order to evaluate the advantages and potential shortcomings ofthis system.

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CONCLUSIONS

Recent improvements in laser technology and a better understanding of the interactions of different laser wavelengths and power settings with tissue have led to the development of promising new treatment modalities. The evolution of laser prostatectomy seems to put into doubt the "gold standard" surgical treatment, TURP, for BPH.

The new generation of high-powered KTP lasers is currently gaining popularity at a fast speed because of its ability to create a prostate cavity almost bloodlessly along with the added benefit of a small learning curve and the prospect of a day-case,catheter-free procedure.

On the other hand, the procedure can be lengthy at times, while the laser and installation costs can be difficult to justify since KTP lasers have limited urological applications thus far. Moreover, issues regarding the sustained long-term results and re-operation rates have to be further addressed in future trials.Furthermore, there is lack of evidence regarding direct comparison of the KTP laser vaporization with other laser-based treatments for BPH, such as holmium/thulium resection-enucleation.

Whether or not KTP laser vaporization will stand to compete with TURP and other emerging minimally invasive treatment options for BPH in the long run is a question whose answer depends on the quality of scientific evidence that will be presented in the nearfuture.

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10. Costello AJ, Johnson DE, Bolton DM. Nd:YAG laser ablation of the prostate as a treatment for benign prostatic hypertrophy. Lasers Surg Med. 1992;12:121–124. [PubMed]

11. Hoffman RM, MacDonald R, Slaton JW, Wilt TJ. Laser prostatectomy versus transurethral resection for treating benign prostatic obstruction: a systematic review. J Urol. 2003;169:210–215. [PubMed]

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13. Miki T, Kojima Y, Nonomura N, Matsumiya K, Kokado Y, Yoshioka T, et al. Transurethral visual laser ablation of the prostate for benign prostatic hyperplasia using a KTP/YAG laser. Int J Urol. 1997;4:576–579. [PubMed]

14. Shingleton WB, Terrell F, Renfroe L, Kolski J, Fowler JE., Jr Low-power v high-power KTP laser: improved method of laser ablation of prostate. J Endourol. 1999;13:49–52. [PubMed]

15. Kollmorgen TA, Malek RS, Barrett D. Laser prostatectomy: two and ahalf years' experience with aggressive multifocal therapy. Urology. 1996;48:217–222. [PubMed]

16. Langley SE, Gallegos CR, Moisey CU. A prospective randomized trialevaluating endoscopic Nd:YAG laser prostate ablation with or without potassium titanyl phosphate (KTP) laser bladder neck incision. Br J Urol. 1997;80:880–884. [PubMed]

17. Carter A, Sells H, Speakman M, Ewings P, MacDonegh R, O'Boyle P. Aprospective randomized controlled trial of hybrid laser treatment or transurethral resection of the prostate, with a 1-year follow-up. BJU Int. 1999;83:254–259. [PubMed]

18. Pearcy RM, Carter A, Sells H, O'Boyle P. Hybrid KTP/Nd:YAG laser treatment of the prostate versus TURP: 18 months' follow-up data. BJU Int. 1999;83(Suppl 4):37.

19. Shingleton WB, Farabaugh P, May W. Three-year follow-up of laser prostatectomy versus transurethral resection of the prostate in men with benign prostatic hyperplasia. Urology. 2002;60:305–308. [PubMed]

20. Kuntzman RS, Malek RS, Barrett DM, Bostwick DG. Potassium-titanyl-phosphate laser vaporization of the prostate: a comparative functionaland pathologic study in canines. Urology. 1996;48:575–583. [PubMed]

21. Malek RS, Barrett DM, Kuntzman RS. High-power potassium-titanyl-phosphate (KTP/532) laser vaporization prostatectomy: 24 hours later. Urology. 1998;51:254–256. [PubMed]

22. Malek RS, Kuntzman RS, Barrett DM. High power potassium-titanyl-phosphate laser vaporization prostatectomy. J Urol. 2000;163:1730–1733. [PubMed]

23. Carter A, Sells H, O'Boyle PJ. High-power KTP laser for the treatment of symptomatic benign prostatic enlargement. BJU Int. 1999;83:857–858. [PubMed]

24. Rajbabu K, Muir GH. GreenLight photoselective vaporization of prostate - a technical review. Prostate Cancer Prostatic Dis. 2007;10(Suppl 1):S6–S9.

25. Haley R, Boddy J, Wharton I, Sami T, Ryan P, Devarajan R. A retrospective audit of TURP to assess the potential impact of Green Light Laser surgery on the diagnosis of prostate cancer [abstract] EurUrol Suppl. 2007;6:195.

26. Bachmann A, Ruszat R, Wyler S, Reich O, Seifert HH, Müller A. Photoselective vaporization of the prostate: the basel experience after 108 procedures. Eur Urol. 2005;47:798–804. [PubMed]

27. Sarica K, Alkan E, Lüleci H, Taşci AI. Photoselective vaporizationof the enlarged prostate with KTP laser: long-term results in 240 patients. J Endourol. 2005;19:1199–1202. [PubMed]

28. Kaplan SA. Expanding the role of photoselective vaporization of the prostate. Rev Urol. 2006;8(Suppl 3):S3–S8. [PMC free article] [PubMed]

29. Hai MA, Malek RS. Photoselective vaporization of the prostate: initial experience with a new 80 W KTP laser for the treatment of benign prostatic hyperplasia. J Endourol. 2003;17:93–96. [PubMed]

30. Te AE, Malloy TR, Stein BS, Ulchaker JC, Nseyo UO, Hai MA, et al. Photoselective vaporization of the prostate for the treatment of benign prostatic hyperplasia: 12-month results from the first United States multicenter prospective trial. J Urol. 2004;172:1404–1408. [PubMed]

31. Sulser T, Reich O, Wyler S, Ruszat R, Casella R, Hofstetter A, et al. Photoselective KTP laser vaporization of the prostate: first experiences with 65 procedures. J Endourol. 2004;18:976–981. [PubMed]

32. Dincel C, Samli M, Guler C, Demirbas M, Karalar M. Plasma kinetic vaporization of the prostate: clinical evaluation of a new technique. J Endourol. 2004;18:293–298. [PubMed]

33. Te AE, Malloy TR, Stein BS, Ulchaker JC, Nseyo UO, Hai MA. Impact of prostate-specific antigen level and prostate volume as predictors

of efficacy in photoselective vaporization prostatectomy: analysis andresults of an ongoing prospective multicentre study at 3 years. BJU Int. 2006;97:1229–1233. [PubMed]

34. Volkan T, Ihsan TA, Yilmaz O, Emin O, Selcuk S, Koray K, et al. Short term outcomes of high power (80 W) potassium-titanyl-phosphate laser vaporization of the prostate. Eur Urol. 2005;48:608–613. [PubMed]

35. Malek R, Kuntzman R, Barrett DM. Photoselective potassium-titanyl-phosphate laser vaporization of the benign obstructive prostate: observations on long-term outcomes. J Urol. 2005;174:1344–1348. [PubMed]

36. Bachmann A, Ruszat R. The KTP-(greenlight-) laser-principles and experiences. Minim Invasive Ther Allied Technol. 2007;16:5–10. [PubMed]

37. Reich O, Gratzke C, Stief CG. Techniques and long-term results of surgical procedures for BPH. Eur Urol. 2006;49:970–978. discussion 978. [PubMed]

38. Ruszat R, Wyler S, Forster T, Sulser T, Bachmann A. Complications of photoselective vaporization of the prostate [abstract] Eur Urol Suppl. 2007;6:136. [PubMed]

39. Reich O, Bachmann A, Siebels M, Hofstetter A, Stief CG, Sulser T. High power (80W) potassium-titanyl-phosphate laser vaporization of theprostate in 66 high risk patients. J Urol. 2005;173:158–160. [PubMed]

40. Fu WJ, Hong BF, Wang XX, Yang Y, Cai W, Gao JP. Evaluation of greenlight photoselective vaporization of the prostate for the treatment of high-risk patients with benign prostatic hyperplasia. Asian J Androl. 2006;8:367–371. [PubMed]

41. Parr NJ, Loh CS, Desmond AD. Transurethral resection of the prostate and bladder tumour without withdrawal of warfarin therapy. BrJ Urol. 1989;64:623–625. [PubMed]

42. Dotan ZA, Mor Y, Leibovitch I, Varon D, Golomb J, Duvdevani M, et al. The efficacy and safety of perioperative low molecular weight

heparin substitution in patients on chronic oral anticoagulant therapyundergoing transurethral prostatectomy for bladder outlet obstruction.J Urol. 2002;168:610–613. discussion 614. [PubMed]

43. Ruszat R, Wyler S, Forster T, Reich O, Stief CG, Gasser TC, et al.Safety and effectiveness of photoselective vaporization of the prostate (PVP) in patients on ongoing oral anticoagulation. Eur Urol. 2007;51:1031–1038. discussion 1038-41. [PubMed]

44. Sandhu JS, Ng C, Vanderbrink BA, Egan C, Kaplan SA, Te AE. High-power potassium-titanyl-phosphate photoselective laser vaporization ofprostate for treatment of benign prostatic hyperplasia in men with large prostates. Urology. 2004;64:1155–1159. [PubMed]

45. Sandhu JS, Te AE. Photoselective vaporization of the prostate: thevaporization incision technique for large volume prostates [abstract] J Urol. 2005;173(4 Suppl):366.

46. Ruszat R, Wyler S, Seifert HH, Reich O, Forster T, Sulser T, et al. Photoselective vaporization of the prostate: subgroup analysis of men with refractory urinary retention. Eur Urol. 2006;50:1040–1049. [PubMed]

47. Hirst G, Edwards M, James W, Bose P. Comparison of TURP and photoselective vaporization of the prostate (PVP) in men presenting with painful acute urinary retention [abstract] Eur Urol Suppl. 2007;6:192.

48. Bachmann A, Schürch L, Ruszat R, Wyler SF, Seifert HH, Müller A, et al. Photoselective vaporization (PVP) versus transurethral resection of the prostate (TURP): a prospective bi-centre study of perioperative morbidity and early functional outcome. Eur Urol. 2005;48:965–971. discussion 972. [PubMed]

49. Bouchier-Hayes DM, Anderson P, Van Appledorn S, Bugeja P, CostelloA. KTP laser versus transurethral resection: early results of a randomized trial. J Endourol. 2006;20:580–585. [PubMed]

50. Bouchier-Hayes DM. Photoselective vaporization of the prostate-towards a new standard. Prostate Cancer Prostatic Dis. 2007;10(Suppl 1):S10–S14.

51. Ruszat R, Lehmann K, Wyler S, Forster T, Schurch L, Straumann U, et al. 24 months results of a prospective Bi-Center study of photoselective vaporization of the prostate (PVP) versus transurethralresection of the prostate (TURP) [abstract] Eur Urol Suppl. 2007;6:192.

52. de la Rosette J, Alivizatos G. Lasers for the treatment of bladderoutlet obstruction: are they challenging conventional treatment modalities? Eur Urol. 2006;50:418–420. [PubMed]

53. Taub DA, Wei JT. The economics of benign prostatic hyperplasia andlower urinary tract symptoms in the United States. Curr Urol Rep. 2006;7:272–281. [PubMed]

54. Chirikos TN, Sanford E. Cost consequences of surveillance, medicalmanagement or surgery for benign prostatic hyperplasia. J Urol. 1996;155:1311–1316. [PubMed]

55. de la Rosette J, Kortmann BB, Rossi C, Sonke GS, Floratos DL, Kiemeney LA. Long-term risk of re-treatment of patients using alpha-blockers for lower urinary tract symptoms. J Urol. 2002;167:1734–1739.[PubMed]

56. DiSantostefano RL, Biddle AK, Lavelle JJ. The long-term cost effectiveness of treatments for benign prostatic hyperplasia. Pharmacoeconomics. 2006;24:171–191. [PubMed]

57. Vela-Navarrete R, Gonzalez-Enguita C, Garcia-Cardoso JV, Manzarbeitia F, Sarasa-Corral JL, Granizo JJ. The impact of medical therapy on surgery for benign prostatic hyperplasia: a study comparingchanges in a decade (1992-2002) BJU Int. 2005;96:1045–1048. [PubMed]

58. Stovsky MD, Griffiths RI, Duff SB. A clinical outcomes and cost analysis comparing photoselective vaporization of the prostate to alternative minimally invasive therapies and transurethral prostate resection for the treatment of benign prostatic hyperplasia. J Urol. 2006;176:1500–1506. [PubMed]

59. Alivizatos G, Skolarikos A. Photoselective vaporization of the prostate. Review of cost implementation to BPH treatment. Prostate Cancer Prostatic Dis. 2007;10:S15–S20.

60. Te AE. Current state of the art photoselective vaporization prostatectomy: laser therapy for benign prostatic hyperplasia. Prostate Cancer Prostatic Dis. 2007;10:S2–S5.

The Lowdown on Laser Marking

How laser marking systems work, how they'recontrolled and the effect of materialcharacteristics.

Mar 25, 2008 James Benes | American Machinist

How laser marking systems work, how they'recontrolled and the effect of materialcharacteristics.

Laser marking of tools, work pieces andcomponents offers advantages in manyapplications. The process is flexible, it offersseveral methods of permanently marking surfaces;it is a safe and environmentally friendly; it canbe applied to flat, curved and unusually shapedobjects made from any of a variety of materialsand it can be used with materials that may bedamaged by other marking methods.

Laser marking is a noncontact, thermal processrelying on the heat generated by the laser beamto alter the surface of the workpiece. As its acronym name implies (Light Amplification by Stimulated Emission of Radiation), lasers amplify light by absorbing and emitting energy in the form of a high-intensity beam of laser light.

All lasers consist of a lasing medium that contains atoms that can be stimulated to spontaneously emit light.

The medium may be a gas mixture – CO2 or helium-neon, for example; semiconductor substrate – laser diodes; a liquid – dye lasers; or a solid crystal — such as neodymium: yttrium aluminum garnet (Nd:YAG ), neodymium:yttrium lithium floride (Nd:YLF) or ruby. Lasers also have an energy source to excite – or pump – the atoms of the media. The pump source usually is an electric discharge, light from a hi-intensity light source, or light from another laser.

Solid-state Nd:YAG lasers are used to mark a variety of metallic and nonmetallic materials, and usually are used for beam-steered laser marking.

These systems deflect the laser beam across the surface much like a pencilon paper. Where the pencil deposits lead, the high-intensity laser light alters the workpiece material to create a contrasting image.

System Control To achieve the desired results, beamsteered Nd:TAG marking systems provideoperators with several means of controlling the thermal reaction either manually and/or by computer control.

Increasing or decreasing the electric current to a krypton arc lamp adjusts the output power of the laser. As the current changes, the light output from the lamp and the rate of laser amplification increases or decreases accordingly.

After establishing the overall quantum of light amplification with the lamp current, the operator may adjust the Qswitch pulse rate. The Q-switcheffectively divides the laser output into pulses of light. To best understand the phenomena, visualize the Q-switched laser as an optical capacitor. Much like an electric capacitor, the laser stores energy duringthe nonlasing periods between pulses.

When the laser is pulsed by the Qswitch, the output is a burst of light that contains most of the stored energy.

If the pulse rate is set to a low frequency (1 kHz), the comparatively long duration between pulses produces very high peak power pulses with verynarrow pulse widths (about 100 nanoseconds). If the pulse rate is increased to 10 kHz, the peakpower will be lower due to the shorter charge time between pulses.

The high peak power pulses at low frequencies rapidly increasethe workpiece surface temperature to vaporize materialwith minimal heat conduction into the part.

Components of a Nd:YAG laser system.

At higher pulse rates, the lower peak power produces less, if any, vaporization, but results in significantly more heat conduction.

The greater number of pulses in a given timeframe also increases the heat conducted into the work surface.

The Q-switch pulse rate is probably the most important variable for control of the thermal process. As with the lamp current, the pulse rate can be controlled either manually or by the part program

After the laser output has been configured with the lamp current and pulserate, the operator must establish the beam velocity – the marking speed.

In a perfect world, every application would run at maximum speed for the highest system throughput.

In laser marking however, the beam velocity is another important variable in the thermal process and must be set to achieve the desired process results.

For deep marking, typically greater than 0.002 in., each point on the engraved line will require exposure to several pulses to achieve depth. Beam velocity must be reduced until the desired depth is achieved.

For shallow marking, the speed may be increasedto the system’s maximum velocity or until theseparation between pulses is aestheticallyunacceptable at the selected pulse rate setting.

As a general rule, pulses should overlap at least50 percent to give the appearance of a continuousengraved line.

Material Considerations Nd:YAG lasers are compatible with a wide varietyof materials for laser marking. Some of thematerial characteristics that affect the processinclude reflectivity, absorption characteristics,thermal conductivity, workpiece color and surfacefinish.

The laser light must be absorbed to generateheat. If the target material is highly reflectiveto the laser wavelength, it may require that the power be increased, the pulse rate decreased for higher peak power or the beam velocity reduced.

If the material is too reflective, it may not mark at all.

The Express10EV laser system (below) from Telesis Technologies (www.telesis.com) marksfine characters with high resolution on highly reflective silicon.

Most metallics are absorptive to the Nd:YAG 1.06-mm wavelength and can be readily marked. Gold is highly reflective and requires more power. Some organic materials such as wood and paper are almost 100 percent reflectiveand therefore are unmarkable.

If reflectivity is a problem, it is possible to double the frequency of the laser to operate at the green, 532 nm wavelength. That may produce better results. A marking system using a CO2 laser with a wavelength of 10.6 microns (far-infrared) also may produce acceptable results.

The percent absorption of all materials varies with changes in temperature. Because the laser marking process increases the surface temperature, materials that exhibit a significant increase in absorption may not be markable.

For example, some plastics exhibit such steep absorption-to-temperature curves that it is almost impossible to achieve an aesthetically acceptablemark. The surface temperature and the percentage of absorption begins to increase on initial exposure to the marking beam. Unfortunately, as a greater percentage of the laser output is absorbed, the rate of the temperature rise increases causing the percentage of absorption to increase even further.

The material reactions can runaway in a matter of milliseconds. If the laser power is reduced in an attempt to compensate and regain control of the process, there may be insufficient absorption to achieve the initial temperature increase, and the plastic will not respond to the laser at all. The alternate wavelengths of frequency-doubled Nd:YAG or CO2 may effect a more controllable curve should this problem arise.

High thermal conductivity does not completely inhibit laser marking, but it may make it more difficult to achieve the desired results. Highly conductive materials convey heat away from the point at which the laser isattempting to increase the temperature resulting in a slower temperature rise with the loss of heat to the surrounding area. Laser parameters have to be adjusted to compensate for materials’ attempts to “heat sink” themselves.

Aluminum is a classic example of this characteristic. Compared with steel,aluminum requires more power and/or slower marking speed to achieve equivalent results.

Dark colors absorb more laser light than lighter colors, although the difference usually is marginal and requires minor adjustment to the laser output power, the marking speed or the its pulse rate.

Paints and other coatings usually have little effect on laser marking because lasers quickly vaporize the paint or coating to expose the color of the base material.

The surface finish of a target part is not a crucial factor in the thermalprocess itself but may be important for readability. If a laser does not induce a color change, a rough surface will require deep engraving to achieve a legible image with the surrounding material. A smooth, machined surface yields excellent readability with very shallow engraving.

For all practical purposes, material hardness is not a factor in laser marking. The laser can mark a hardened steel part just as readily as untempered material.

Types of Lasers

Sealed-tube CO2: Lower cost marking by surface discoloration. Suitable forplastics, paints, inks, ceramics and other nonmetallics.

Slab CO2: For deep surface modification of nonmetallics.

Diode-pumped Nd:YAG (DPSS): High quality beam and pulse stability. Narrowline width for small characters with deep material penetration.

Pulsed Nd:YAG:Very high peak pulsed power for deep engraving and wide linewidths.

Frequency-tripled Nd:YAG: Ultraviolet wavelength produces narrowest linewidth for micromarking; optimum wavelength for several specialty

materials.

Frequency-doubled Nd:YAG : Visible green wavelength for narrow line width,small-character marking; best for gold, many synthetics and plastics.

Q-switched Nd:YAG :High peak power, narrow pulse width for deeppenetration marking/engraving. Optimum for most metallics and many

nonmetallics.

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Use of Lasers for the Management of Refractory Cases ofHidradenitis Suppurativa and Pilonidal SinusVivek Jain and Archana Jain

Author information ► Copyright and License information ►

This article has been cited by other articles in PMC.

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Abstract

Background:Hidradinitis suppurativa (HS) and pilonidal sinus (PNS) are chronic inflamatory skin diseases, often refractory to treatment and search for a new treatment is on. We tried deroofing with thehelp of carbon dioxide laser in patients of HS and PNS, however there was recurrence.

Aim:To evaluate a technique combining the use of CO2 laser and long pulse 1064 nm Neodymium-doped Yttrium Aluminium Garnet (Nd:YAG) laser for the treatment of HS and PNS.

Materials and Methods:In 4 patients with HS and 5 patients with PNS, we performed procedure in two steps: first destroying the hair follicles with long pulse Nd yag 1064 laserfollowed by deroofing with carbon di oxide laser. Follow up was done upto 3 years.

Results:All patients with HS were females in the age group of 30-40 years. In PNS, 2 male patients were of age less than 20, two malepatients of age more than 20 and one females of age less than 20.None of the HS or PNS patients showed recurrence.

Conclusion:The deroofing with CO2 laser along with hair follicle removal with long pulse Nd:YAG laser is an effective minimally invasive tissue saving surgical intervention for the treatment of refractory HS and PNS lesions.

KEY WORDS: Hidradenitis suppurativa, PNS-pilonidal sinus, Carbon dioxide laser, Long pulse Nd:YAG Laser

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INTRODUCTION

Hidradenitis suppurativa (HS) is a chronic inflammatory skin disease. It is also known as acne inversa and is usually refractory to treatment. It is now considered as a disease of follicular occlusion rather than an inflammatory or infectious process of the apocrine glands. Clinically, the disease often

presents with tender subcutaneous nodules beginning around puberty. The nodules may spontaneously rupture or coalesce, forming painful, deep dermal abscesses. Eventually, fibrosis and the formation of extensive sinus tract may occur.[1]

A pilonidal cyst, also referred to as a pilonidal abscess, pilonidal sinus (PNS) or sacrococcygeal fistula is a cyst or abscess near or on the natal cleft of the buttocks that often contains hair and skin debris. It involves mainly apocrine gland bearing areas of the body, most commonly axillary, inguinal, and anogenital regions (Pilonidal Sinus). This painful condition adversely affects the quality of life of patients.

We initially treated three patients of PNS and two patients of HSwith carbon dioxide (CO2) laser alone, but the disease recurred. Therefore, we tried a combination of CO2 laser with 1064 nm long pulse Neodymium-doped Yttrium Aluminium Garnet (Nd:YAG) laser. Here, we report the results of a pilot study on deroofing with CO2 laser and use of long pulse Nd:YAG laser to destroy hair follicles in four patients with HS and five patients with PNS with follow up of up to 3 years.

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MATERIALS AND METHODS

In 4 patients with HS and 5 patients with PNS an open trial with CO2 laser and long pulse Nd:YAG (1064) laser was done. All four patients with HS were females in the age range of 30-40 years. One patient had only one axilla involved, two patients had both the axillae involved while remaining 1 patient had both axillae and both sides of groin involved. In PNS, 2 male patients of age less than 20, two male patients of age more than 20 and one females of age less than 20

Informed consent was obtained from all patients. Initially, long pulse Nd:YAG laser1064 (Synchro-Play Systems, Deka, Italy) was used to remove hair on area with parameter of 10 mm spot size, 30ms, 30 J with pre cooling and post cooling. Then deroofing was done after 15 days with CO2 laser (Morexel, Korea) operating at

30 W in continuous ablative mode. Purpose of delaying the deroofing till 15 days after the hair removal by laser was to gettotally hair free area.

For deroofing, skin was disinfected with 0.05 mg/ml of chlorhexidine solution. Local anaesthesia was used in the form of1% lidocaine plus adrenaline (5 μgm/ml). The lesions were then explored with blunt forceps inserted in to the sinus openings [Figures [Figures1a1a and andb].b]. All communicating tracts wereexplored. The roofs of tracts were removed with the help of evaporation by CO2 and floor of lesions were exposed [Figure 1c].All communicating sinus tracts were opened in the same way using forceps as a guide to channels. The slough present at the bottom of all tracts was carefully evaporated and cleaned with the help of CO2 laser and scrapped by simple gauze. Then surgical wound was left open to heal by secondary intention [Figure 1d].

Figure 1

(a) Hidradenitis suppurativa with multiple sinuses, tracts, and cysts;(b) Forceps inserted to explore extent of tract; (c) Multiple tracts after deroofing and hair removal; (d) After complete healing

In two cases of PNS, few hairs were still present which were destroyed by 1064 nm long pulse Nd:YAG laser at the same time anddebris was curetted out. Post–operatively, cleaning was done at alternate days with hydrogen peroxide (H2O2) and normal saline and then Mupirocin ointment was applied and wound covered with gauze pieces for initial 7 days. This dressing was done at the clinic. Subsequently, the patient was trained to wash the wound twice daily with diluted potassium permanganate solution and apply Mupirocin ointment. They were asked to take oral antibiotics and anti inflammatory medicines for the initial 10 days. Complete healing resulted in about 15 days [Figure [Figure2a2a–c].

Figure 2

(a) Draining pilonidal sinus; (b) Hair tuft in tract of pilonidal sinus after deroofing; (c) Healed lesions after 3 years with fine hairgrowth

Subsequently, Long Pulse Nd:YAG was repeated in all patients at 2-3 month gap for four to five times. During this time, no recurrence was observed.

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DISCUSSION

HS has been associated with many disorders. Other disorders of follicular occlusion (acne conglobata, dissecting cellulitis of the scalp, and pilonidal cyst) are well-known associations with HS, and make up the so-called follicular occlusion tetrad.[1–3] The clinical assessment of severity of HS cases is done using theHurley staging system.[4] Stage 1 comprises of abscess formation (single or multiple) without sinus tract and cicatrisation. Stage2 is a moderate disease with one or more widely separated recurrent abscesses with tract formation and scars. Stage 3 is the most severe disease with multiple interconnected tracts and abscesses throughout an entire area.

HS and PNS are difficult to treat. Current treatment options are topical or oral antibiotics, hormonal therapies, radiotherapy, and retinoids in the form of oral isotretinion.[5–7] Surgical interventions include incision with drainage, electrosurgery, andcarbon dioxide laser vaporisation.[8] Sometimes large skin areas are excised, and defects may be sutured, closed with grafts or left open for healing by secondary intention.

The treatment of choice depends on severity, disease course, and preference of patient. In chronic severe conditions, surgery is mandatory. Treating the disease at an early stage is considered

essential, as delay in treatment could lead to a situation where disease activity gets out of control making wide surgical excision necessary.[9]

Various lasers and lights have been tried in isolation for HS andPNS in the past.[10–14] These include Intense pulse light, long pulse Nd:YAG laser and carbon dioxide laser. All these lasers andlights, used alone, were associated with recurrences. Therefore, we decided to combine long-pulse Nd:YAG and carbon dioxide lasers.

The technique described here is not difficult and can be performed in office setting. No general anaesthesia or hospitalisation is needed. Removal of epidermis and dermis containing damaged epidermal appendages is done easily with CO2 laser. Within 4-5 days a patient can resume his/her work.

The conventional treatment of HS and PNS involve use of depilatory creams, but with this recurrence is a common due to recurring hair growth at the site. However with five to six sittings, of hair removal with laser, chances of recurrence are less.[10,11] Out of the other hair removing lasers, long pulse Nd:YAG 1064 was chosen because of its longer wavelength. It is considered as safer for Indian skin type IV and V.

This study is based on a very small number of patients, so further studies with larger sample size are required.

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Footnotes

Source of Support: Nil.

Conflict of Interest: None declared.

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REFERENCES

1. Alikhan A, Lynch PJ, Eisen DB. Hidradenitis suppurativa: A comprehensive review. J Am Acad Dermatol. 2009;60:539–61. quiz 562-3. [PubMed]

2. Chicarilli ZN. Follicular occlusion triad: Hidradenitis suppurativa: Acne conglobata, and dissecting cellulitis of the scalp. Ann Plast Surg. 1987;18:230–7. [PubMed]

3. Scheinfeld NS. A case of dissecting cellulitis and a review of the literature. Dermatol Online J. 2003;9:8. [PubMed]

4. Hurley H. Dermatologic surgery, principles and practice. New York: Marcel Dekker; 1989.

5. Lee Ra, Yoon A, Kist J. Hideradinitis suppurativa: An update. Adv Dermatol. 2007;23:289–306. [PubMed]

6. Joseph MA, Jayaseelan E, Ganapathi B, Stephan J. Hideradinitis suppurativa treated with finesteride. J Dermatolog Treat. 2005;16:75–8. [PubMed]

7. Kraft JN, Searles GE. Hideradinitis suppurativa in 64 female patients: Retrospective study comparing oral antibiotics and antiandrogens therapy. J Cutan Med Surg. 2007;11:125–31. [PubMed]

8. Lapins J, Sartarius K, Emtestam L. Scanner assisted carbon dioxide laser surgery: A retrospective follow up study of patients with hideradinitis suppurativa. J Am Acad Dermatol. 2002;47:280–5. [PubMed]

9. van der Zee HH, Prens EP, Boer J. Deroofing: A tissue-saving surgical technique for the treatment of mild to moderate hidradenitis suppurativa lesions. J Am Acad Dermatol. 2010;63:475–80. [PubMed]

10. Ghnnam WM, Hafez DM. Laser hair removal as adjunct to surgery for pilonidal sinus: Our initial experience. J Cutan Aesthet Surg. 2011;4:192–5. [PMC free article] [PubMed]

11. Ganjoo A. Laser hair reduction for pilonidal sinus-My experience. J Cutan Aesthet Surg. 2011;4:196. [PMC free article] [PubMed]

12. Highton L, Chan WY, Khwaja N, Laitung JK. Treatment of hidradenitis suppurativa with intense pulsed light: A prospective study. Plast Reconstr Surg. 2011;128:459–65. [PubMed]

13. Mahmoud BH, Tierney E, Hexsel CL, Pui J, Ozog DM, Hamzavi IH. Prospective controlled clinical and histopathologic study of hidradenitis suppurativa treated with the long-pulsed neodymium:yttrium-aluminium-garnet laser. J Am Acad Dermatol. 2010;62:637–45. [PubMed]

14. Hazen PG, Hazen BP. Hidradenitis suppurativa: successful treatmentusing carbon dioxide laser excision and marsupialization. Dermatol Surg. 2010;36:208–13. [PubMed]

MANUALS OF FUAD ABBA RAYYA

School-Based Management: Strategies for SuccessJanuary 1993

by Priscilla Wohlstetter and Susan Albers Mohrman

Priscilla Wohlstetter is assistant professor of politics and policy in the School of Education at the University of Southern California where she is directing the School-Based Management Project for the Finance Center of the Consortium for Policy Research in Education. Susan Albers Mohrman is deputy director of the School-Based Management Project and senior research scientist with the Center for Effective Organizations, in the School of Business at the University of Southern California.

School leaders across the nation are exploring ways to better educate students and improve school performance. School-based management (SBM) offers a way to promote improvement by decentralizing control from central district offices to

individual school sites. It attempts to give school constituents--administrators, teachers, parents and other community members--more control over what happens in schools.

Endorsed by many organizations, including the National Governors'Association, SBM is being tried in districts of varied size and wealth. But so far, we have only a small bit of knowledge about how to make SBM work.

Decentralized management has a longer history in the private sector, however. For several decades, organizations have been implementing "high-involvement management," a practice that like SBM decreases centralized control to encourage self-management byemployees.1 Studies of decentralization in the private sector suggest that high-involvement management is most appropriate in organizations where the work (like teaching in schools) is complex; is best done collegially or in teams; involves uncertainty in its day-to-day tasks; and exists in a rapidly changing environment.

Research on the private sector also points out that control over four resources needs to be decentralized throughout the organization in order to maximize performance improvement:

power to make decisions that influence organizational practices, policies and directions;

knowledge that enables employees to understand and contribute to organizational performance including technical knowledge to do the job or provide the service, interpersonal skills, and managerial knowledge and expertise;

information about the performance of the organization, including revenues, expenditures, unit performance, and strategic information on the broader policy and economic environment; and

rewards that are based on the performance of the organization and the contributions of individuals.

This issue of CPRE Finance Briefs offers a new definition of school-based management and describes strategies for decentralizing management to improve the design of SBM plans. Thedesign strategies focus on the four components of control: power,knowledge, information, and rewards.

The brief draws from a national study of school-based management being conducted by Priscilla Wohlstetter and Susan Albers Mohrmanfor the Finance Center of the Consortium for Policy Research in Education (CPRE) and is based on a series of commissioned papers (see sidebar). Researchers are studying public schools, private schools and private companies, that have decentralized in order to identify strategies that can improve the implementation of school-based management and enhance school productivity.

Research on the private sector shows large-scale change, such as decentralization, cannot be simply installed. Rather it unfolds over time through a gradual learning process. Therefore, the transition to SBM is best approached by establishing structures and processes that enable groups of people to discuss new directions, try new approaches, and learn from them. The second part of this finance brief offers strategies for managing the change to school-based management.

New Book Will Focus on School-Based ManagementThis brief is based on the following papers prepared for a study being conducted by the Finance Center of CPRE. The papers will be published in a book tentatively titled Designing High Performance Schools: Strategies for School-Based Management (San Francisco: Jossey-Bass, forthcoming).

Johnson, S.M. & K.C. Boles.

"School-Based Management and Teaches: Strategies for Reform"

Marsh, D.D. & I. Straus.

"The Relationship of Site-Based Management, The Local Change Process and School Transformation: A Review of the Literature"

Mohrman, S.A.

"High Involvement Management: An Overview of Practice in the Private Sector"

Mohrman, S.A.

"Large-Scale Organizational Change Processes: The Transition to High Involvement Management"

Ogawa, R.T.

"School-Based Management: Efforts to Distribute Power, Information, Rewards and Knowledge"

Powel, A.G.

"Site Autonomy and Independent Schools: Sustaining Adult Community"

Wohlstetter, P. & R. Smyer.

"Decentralization Strategies: A Review of the Effective Schools Literature"

School-Based Management: Lessons about what worksIn the education arena, school-based management has been viewed largely as a political reform that transfers power (authority) over budget, personnel and curriculum to individual schools. Little attention has been given to empowering school sites with control over information, professional development (knowledge) or compensation systems (rewards). Furthermore, when SBM programs are analyzed, the general conclusion is that the extent of decision-making responsibility transferred to site teachers and administrators is limited.

Experience from the private sector suggests that to effectively implement school-based management, districts need to design plansthat not only transfer real authority to school sites but also expand the definition of SBM to include control over information,knowledge and rewards. Drawing from successful decentralization approaches in public schools and in the private sector, strategies for decentralizing resources in each of these four areas are discussed below.

Power

The main focus of school-based management has been the decentralization of power. The question is, "Who at the school site is the power given to?" Power is shifted most often from thecentral administration to a council at the school site. Councils

may be composed of administrators, teachers, parents, community members and sometimes students. In this way, SBM empowers groups who typically have not had much power in managing schools.

The idea of using SBM as a vehicle for giving more authority to classroom teachers is common. Indeed, SBM often is seen as synonymous with empowering teachers. Most districts that instituted SBM through collective bargaining--such as Dade County, Florida and Los Angeles, California--provided teachers with majority representation on site councils. In doing so, districts simultaneously decentralized power to the schools and elevated teachers' influence to higher levels in the organization.

It may be, however, that group empowerment is not the most effective means of school management. Studies of effective publicschools agree that a strong central leader, like the principal, is key to successful management. An effective leader can set the school's vision, serve as an instructional leader, coordinate reform efforts and rally support for the school. A few districts--such as Edmonton, Canada and Prince William County, Virginia--have empowered the school principal under SBM. This model also is used by independent elite schools that tend to havehigh student achievement: power belongs to the head.

A second concern in designing SBM is what powers should be given to school sites. SBM programs generally delegate at least some control over budget, personnel and curriculum decisions, however,some SBM programs limit control to only one or two of these areas. Budgetary powers usually are the first to be decentralized.

Some private sector organizations have increased performance by establishing small self-managing production units with full authority over resources, including budget and personnel. Following this model, the most effective SBM programs would be ones where schools are given lump-sum budgets to allocate according to local needs and the authority to hire and fire school staff, including principals and teachers.

The transfer of power in the private sector occurs through various strategies. Each strategy aims to empower the organization's employees, which in education would be mainly teachers and administrators. One strategy is self-contained teams, made up of employees who produce a defined product or deliver a service to a defined set of customers. Within schools, teams might be defined by grade level or academic department. Such teams could be given the authority to make resource trade-offs and to manage the way they perform their jobs.

A second strategy that also breaks big companies into smaller units is the creation of mini-enterprises. Mini-enterprises in schools could be groups of students organized into "houses" or "cadres" and taught by teams of teachers, similar to school designs advocated by Theodore Sizer and Henry Levin. In the private sector, each mini-enterprise typically is empowered to make decisions about resource allocation and is given incentives to optimize performance.

A third approach is to use special purpose, or "parallel" structures. Quality improvement teams, often made up of employeesat varying levels, and union/management committees have been usedto build consensus among employees with different responsibilities on what organizational improvements should be made and how changes should be designed.

Finally, companies in the private sector have used representativetask teams to enable operating units to have input into decisionsthat are best done uniformly throughout the organization for reasons that include economies of scale, demands of the marketplace or legal requirements.

School districts that are implementing school-based management should consider these additional mechanisms for participation andinvolvement. As pointed out, each is suitable for a different purpose. SBM plans should create participative mechanisms that are geared toward improving specific areas such as curriculum, teaching, and day-to-day operations.

Knowledge

In the private sector, three kinds of knowledge and skills are important to decentralized management. First, employees need training to expand their job skills and increase the breadth of their perspective, so that they can contribute in more ways to the organization and more knowledgeably to decisions about improvements. Secondly, individuals need teamwork skills for participating in high-involvement management: problem-solving, decision-making and communication skills. Finally, individuals need organizational knowledge. This includes budgeting and personnel skills, as well as an understanding of the environment and strategies for responding to changes in the environment.

School districts under SBM have given at least some attention to the first two areas. Districts routinely offer training, primarily to school-site councils, on how to organize meetings and how to develop consensus, although perhaps not with sufficient attention to the particular kinds of issues and problems council members will face. In addition, districts pay some attention to expanding teachers' knowledge about the instructional and programmatic changes of the schools, including knowledge about teaching, learning and curriculum. Such efforts, however, are not necessarily considered part of SBM and usually provide much less professional development than is needed.

Districts under SBM have done even less to develop general organizational skills among SBM participants. This is a serious shortcoming, given the focus in many districts on decentralizing functional tasks, such as budgeting and personnel. There also hasbeen an absence of training for district office personnel whose roles likewise change under SBM. Thus, school districts implementing decentralized management need to encourage a wider variety of training experiences that support new operating practices in both the district office and school site.

A common practice in many districts is to have district offices provide training and consulting services to the schools. Implicitin such plans is the belief that central office staff have the knowledge that individuals at the site lack. Sometimes this is true, but often it is not. A few districts have recognized the need to draw upon the knowledge of educators at the school site.

For example, Dade County established the Dade Academy for the Teaching Arts which offers training that is planned and operated exclusively by teachers for teachers. Some districts under SBM, such as Chicago, Illinois, and Edmonton, Canada, allow schools topurchase staff development services from experts outside the district.

Although there is yet very little research about the role of new knowledge in SBM, lessons from the private sector suggest that participants in the process need a complex understanding of both decentralized school governance and instructional reform. However, it does not appear that the only strategy for increasingknowledge lies in moving curriculum and instruction experts from the central office to the schools. Rather, studies indicate that the more promising approaches are joint efforts. These efforts draw upon the knowledge of teachers, administrators and outside experts and feature ongoing staff development in which participants at all levels enrich the system with their acquired knowledge and insight, while drawing on new sources of understanding.

Information

Power can only be decentralized if the individuals to whom poweris entrusted have access to the information necessary to make good decisions. In the private sector, as well as in public education, much information historically has been available only at the top of the organization.

Companies practicing high-involvement management have developed ways to collect and share information about organizational goals,finance and cost structures, environmental issues, the customer and organizational performance. The companies provide trend and "benchmark" data to allow units to compare their performance overtime, and with other organizational units and other organizationsin the field. Further, they find ways to disseminate innovations that are occurring in their organization and in other organizations that are dealing with the same issues.

Public schools implementing decentralized management have not focused much attention on sharing information among participants,

particularly at the school site. Indeed, the major focus in districts under SBM appears to be how information is shared vertically between individual schools and the district office, and whether schools are adhering to regulatory policies. Many districts provide schools with standardized test data.

School districts under SBM, however, are only beginning to provide sites with the information about organizational performance needed to develop school-based plans, for instance. To the extent schools are expected to meet districtwide goals, individuals at the school site need information about their performance relative to those goals. In addition, schools, like companies, must have information about their performance relativeto other schools, whether or not they are competing with others as in a market-based choice plan.

Finally, schools need information about the extent to which they are meeting their clients'--parents and students--needs. All suchinformation, moreover, needs to be available to schools in a timely fashion, so that modifications can be made inroad to improve organizational performance.

A mission statement is one tool that can be used by educators at the school site to help them to define school goals, measure progress toward reaching the goals, and to share information withthe community-at-large. Research in the 1980s on effective schools found many of them have written mission statements defining the school culture and environment. Such information also is prevalent at independent schools whose survival depends on their ability to communicate unique attributes to prospective parents and students. Independent schools also stress business information since sound finances, information about tuition, salaries, enrollments, sources of income and types of expenditures also are crucial to the schools' survival.

Besides the content of information, how information is transmitted to the school community is important. With public schools, informal methods of communication are most prevalent: parent-teacher conferences, collegial sharing among teachers, andad hoc meetings with visible, accessible administrators. By

contrast, independent schools tend to favor more formalized approaches for transmitting information. Explicit written codes of conduct have become the norm.

Procedures dealing with conflict management, faculty compensation, job descriptions, strategic plans, and methods and timetables for meeting goals are typically written down and distributed to the school community. This written information is one way heads of independent schools communicate the school's mission to the community.

Studies in the 1980s of effective public schools suggest that they also transmit formal written information about performance expectations for students and staff, but not to the extent of independent schools.

School districts under SBM need to develop more systematic and varied strategies for sharing information at the school site, as well as with the district office and with other schools serving similar student populations. Portfolio assessments, such as thoseused in Vermont and districts such as Pittsburgh, Pennsylvania, Rochester, New York, and San Diego, California, may be one way tobroaden information systems and provide feedback on school productivity.

Rewards

Translating decentralized reward structures of business to education is probably the greatest challenge to SBM. Skills-basedpay schemes in decentralized private sector organizations reward employees for the knowledge and skills they possess. In education, reward systems tend to use indirect, proxy measures ofknowledge and skills, namely the years of education and experience a teacher has accumulated.2

Decentralized management plans in the private sector often include components that reward employees collectively for performance. A key lesson from the private sector is that decentralized management is most effective when there is consensus on performance measures and units can be held accountable for performance. Employees need to see the

relationship between pay and performance. Such conditions, however, do not often exist in education. Furthermore, it is understood in the private sector that high performance will lead to greater profits, but funding in public education is rarely affected by evidence about performance.

Few districts engaged in SBM have decentralized financial rewards. Teachers continue to be paid on a standardized salary scale and districts continue to allocate funds on a per pupil basis. The issue of performance-based rewards in schools is elusive for many reasons, including the multitude of purposes that various stakeholders have for the schools, the value differences that divide educators and the community, and the resistance of teachers and teacher organizations to the concept.

For example, policymakers often like the idea of rewarding successful schools with more resources, but budget constraints often would oblige them to allocate less to schools that are failing, an untenable approach to school improvement. Competitivemerit pay plans exist in a few places. However, the systems tend to differentiate little among teachers and schools, and tend not to last over time.

Several districts actively involved in SBM continue to develop districtwide career ladders. However, such reforms typically are not skills-based pay schemes but strategies for increasing the pay of teachers who take on more work. For example, both Cincinnati, Ohio and Rochester identify lead teachers who assume special responsibilities and earn extra pay.

Monetary rewards are not the only extrinsic (or external) motivator available. Other possibilities include sabbaticals or opportunities to pursue full-time studies. In addition, prestigious mentor teacher positions could be created to help guide less experienced teachers. Another possibility would be to provide teachers with opportunities to further their education through professional conferences, classes at local colleges and universities, or involvement in teacher networks focused on some aspect of curriculum, teaching and assessment.

It is clear from research about work in schools that an effectivereward system also must include opportunities for achieving intrinsic (internal) rewards. There is substantial evidence that although pay is an important concern, many teachers are motivatedstrongly by intrinsic factors such as achieving success with students or enjoying collaborative work with peers.

Consider, for example, teachers in independent schools who are paid considerably less than their public school counterparts. Theevidence suggests non-monetary factors--an environment conducive to learning, seeing positive results in student performance and control of the classroom--motivate these teachers.

School districts under SBM need to devise new approaches--both extrinsic and intrinsic--to reward participants. Rewards can motivate individuals to use their enhanced resources (power, information and knowledge) to further districtwide and school-based goals. Rewards also can be used to align the goals of people at the district office and school sites who have differentpreferences and value different outcomes.

Managing the Change to SBMThe transition to SBM entails large-scale change in educational organizations. Successful decentralization requires that systems and processes be redesigned so that power, knowledge, and information accrue at the operating levels of the school, and so that rewards are contingent on performance and contribution. New recruitment practices are needed to attract people who will thrive on the challenge of working in a decentralized setting; development practices must be altered and greatly supplemented to ensure that participants have needed competencies.

The transformation eventually involves all organizational components, including strategy, structure, technology, processes,rewards and other human resources systems. All of these components need to fit with the new way of managing and with eachother.

Large-scale change is threatening to the people involved, becauseit entails new roles and responsibilities and because it

challenges traditional assumptions and values. The change processhas to be carefully managed. Several change management strategiesare discussed below.

Vision

Large-scale change such as a transition to SBM is such a disruption of the status quo of an organization that it will not be successful unless a compelling case is made for it. Districts embarking on SBM should be very clear about the need for change and the ultimate purpose of the change process.

In the private sector, need is clearly established by the market place--by the changes that are required to successfully compete and to meet the demands of customers. School districts will have to make a case for the need for change based on gaps in the schools' abilities to meet demands being placed on them and to provide educational services needed by their communities.

Understanding the need for change is the first step in a transition. Having a vision of what the change entails and what it is trying to accomplish is the next. This includes defining high performance in a manner that can be agreed to by the variousstakeholders who become partners in the effort. An explicit focuson educational outcomes frames the change to SBM in a way that replaces issues of who gains and who loses power. Developing a shared vision of the organization links people together and provides goals and criteria for change activities and ongoing decisions. School districts and the schools within them should involve stakeholders at all levels in forming the vision, and then in giving it substance at the local level. Superintendents and principals will play a key role in making this happen.

Change structures and roles

In school-based management, creating and empowering the site council often has been the main change intervention. The council is expected to make decisions to change the nature and effectiveness of the education that goes on in the school. Thus, councils become change agents in schools, and should be educated accordingly.

They will have to know how to design change in the school and howto manage the dynamics of change, including the natural stages oftransition and the resistance that is associated with it.

In addition, as implementation unfolds, the council will likely spawn other change structures to develop and implement new approaches, and the work of various change groups will have to becoordinated and nurtured.

In the private sector, multi-stakeholder steering groups have needed education regarding their own group process, organizational design principles and change management approaches. Although SBM councils often receive training in groupprocess, a more extensive set of skills and knowledge will be required, if the council is to play out its potential to spur meaningful change and improvement in the school.

The role of school management--principals and superintendents--has not received much attention in SBM plans. Private sector experience has found that such roles are pivotal in successful decentralization. The management role changes from directive and control-oriented to a role that involves creating an empowering environment in which teachers can easily try out new approaches. The new role includes facilitating and coaching for high performance, ensuring that proper resources are in place, making certain that the development needs of participants are addressed,and freeing teachers up to make changes so that school sites truly become the focus of continuous improvement.

Superintendents will have to actively model new leadership roles,set expectations and provide feedback to district-level managers and school principals about the change expected in how they perform their roles. Principals, as the heads of organizational units, will have to provide leadership in the organizational transition, and model and reinforce the new behaviors. Increasingly, principals will find themselves exerting leadershipin collective forums, such as councils, where their influence is exercised as a group member rather than hierarchically.

The role of teachers also changes in a fundamental way. Although they have always managed their own classrooms, SBM implies an

extension of their focus to include participating in shaping the school environment, creating the school vision, working with other stakeholders to determine goals and objectives, and taking responsibility for resource allocation and use. Their influence shifts from individual control over their classroom domain to influence exercised in a variety of collective forums, including councils, problem-solving groups, and various kinds of work teams.

Other roles also change extensively. Participation by parents, students and other community stakeholders on school councils implies a basic shift from advocating personal viewpoints to participating in a forum that must take a schoolwide view and address the concerns of many different stakeholders.

This will require considerable team building to develop trust andwillingness to work through differences and develop a consensus.

Even the role of district staff changes from planning and overseeing various aspects of school functioning to becoming responsive service groups whose customers are the operating unitsin the schools. Increasingly these groups will exist to support changes emanating from the schools rather than to initiate changethat will be rolled out to the schools.

In sum, the transition to SBM involves extensive change in roles that must be accompanied by intensive development of new skills and capabilities. It cannot be understood simply as a transfer ofpower. Rather, it is the establishment of new and vital roles formany stakeholders, and it will not succeed unless development is planned and resources are provided.

Resources

In the private sector, the transition to decentralized management has been found to unfold over a minimum of three to five years, during which the capabilities of the organization aregradually enhanced and the systems, processes and structures are brought slowly into alignment with the new decentralized vision. This process requires a tremendous amount of resources: time,

energy and money. It is an investment in the capabilities of the organization.

Among the key resources are time and money for the extensive skills-development process required to support the new way of functioning. Development of individuals' capabilities and team development of the various councils and other collaborative structures require finding expertise to help with the process andtime for it to occur. Schools will have to find ways to free-up participants for such development.

In addition, school districts will have to invest in the development of new site-based information systems, including measurement and feedback systems, financial and budgeting systems, and new reward systems. The development of these systemswill take expert time, but also should be done in a participativeway so that the various stakeholders understand and help shape them. Again, this involves freeing up people to participate.

CPRE Finance Center Working Papers on School-Based Management

The following working papers related to school-based management are available from the CPRE Finance Center with a $10.00 pre-payment for each paper. Please make checks payable to the University of Southern California/CPRE and send your request to: CPRE Finance Center, USC School of Education, Waite Phillips Hall 901, Los Angeles, CA 90089-0031.

Applying Employee Involvement in SchoolsEdward E. Lawler, Susan Albers Mohram, Allan M. Mohrman Jr.December 1991, 14 pp.

Rethinking Site-Based Management Policy and ResearchAllan Odden and Priscilla WohlstetterSeptember 1991, 11 pp.

What Can U.S. Charter Schools Learn from England's Grant-Maintained Schools?Priscilla Wohlstetter and Lesley Anderson

April 1992, 10 pp.

Decentralization Strategies: A Review of the Effective School's LiteraturePriscilla Wohlstetter and Roxanne SmyerSeptember 1992, 29 pp.

High Involvement Management: An Overview of Practice in the Private SectorSusan Albers MohrmanSeptember 1992, 13 pp.

School-Based Management and Teachers: Strategies for ReformSusan Moore Johnson and Katherine C. BolesSeptember 1992, 44 pp.

Decentralizing Dollars Under School-Based Management: Have Policies Changed?Priscilla Wohlstetter and Thomas BuffettThis article is available from Corwin Press, Educational Policy, Vol. 6 No. 1 March 1992, 35-54.

____________________________

Rethinking School FinanceAllan Odden, Editor

This book discusses finance issues related to important topics ofeducation reform such as: paying teachers for productivity, school site management, incentives, choice, coordinated social services for children, and interstate disparities. The book can be ordered for $28.95 from: Jossey-Bass, 350 Sansome Street, San Francisco, CA 94104.

State and Local Policy ImplicationsRedesigning educational systems to improve student learning and schoolperformance requires considerable initiative and effort by individualsat the school sites. For the process to be successful, however, there also needs to be encouragement and support by those at district and state levels. Here are some initiatives that can be undertaken by

states and local school districts based on what we know about successful decentralization in the private sector.

PowerStates could devise a timeline for transferring budget and personnel authority to school sites and require full transfer by some specified date.

Local districts could exercise oversight over outcomes rather than process. Districts also could take the lead in redefining the role of the central office as supportive rather than compliance-oriented, and encourage the development of new structures at the school site to move power closest to those responsible for educating groups of students.

InformationStates could develop a prototype information system of fiscal, student, teacher and outcomes data that includes all the key elements needed toengage in SBM. States also could devote resources to disseminating information about educational innovations to SBM participants throughout the state.

Local districts or consortia of local districts could design the computer systems needed to make information available on-line to each school site about how resources are being utilized, satisfaction indicators, achievement indicators, and other relevant measures, so that schools could track trends and comparethemselves with similar school units.

Knowledge and SkillsStates could set aside, over a five-year time period, a fixed percentageof total education revenues (2-3 percent) for professional developmentthat is more in line with skills development budgets at the most productive private companies.

Local districts could initially use those funds to train council members, district and school leaders, and teachers in their new roles and responsibilities. Over time, the funds could be given to schools for use in ongoing, site-based professional development activities.

RewardsStates could devote resources to developing templates for a pay system that would include skills-based pay, cost reduction gain sharing for schools that are able to increase performance while decreasing costs, and other forms of group-based performance pay, like Kentucky is in the process of doing. A state-mandated accountability system could pegperformance rewards to a structure of goals and legitimate performancemeasures.

Local districts could offer to pilot the new pay system in individualschools for which the district has waived personnel regulations, including union contracts. Individual schools, in turn, would have the flexibility to design specific features of the pay system that would make it operational at their school site.

ConclusionSchool-based management is an organizational approach that expands thelocal school site responsibility and authority for the improvement of school performance. Ideally, it provides local mechanisms for the introduction of new approaches to education that result in enhanced outcomes and that better fill the needs of the local community.

The implementation of SBM represents a fundamental and systemic organizational change to increase the local presence of four key resources: power, information, knowledge and skills, and performance-based rewards. In schools, SBM has been approached largely as a political phenomenon involving the transfer of powerto local councils.

Studies of decentralization in the private sector, however, have indicated that decentralization of power is most likely to lead to performance improvement if accompanied by organizational

changes that enhance the information, knowledge and skills of local participants and that align the reward system with clearly articulated desired outcomes. This policy brief recommends that states and local districts become active in creating the conditions for effective implementation of SBM.

1For a complete discussion of the concept of high involvement management see, The Ultimate Advantage (San Francisco: Jossey-Bass, 1992) and High Involvement Mangement (San Francisco: Jossey-Bass, 1986), both E.E. Lawler.

2For a detailed discussion of alternative skills-based pay systems in education, see Odden, A.R. & S. Conley. "RestructuringTeacher Compensation Systems," in Odden, A.R. (Ed.), Rethinking School Finance: An Agenda for the 1990s (San Francisco: Jossey-Bass, 1992).

New Publications Available from CPRE

Higher Education Finance Issues in the Early 1990sArthur M. HauptmanJanuary 1993 (No. RR-027) $10

Discusses key financing issues facing American higher education including:

the future federal role in postsecondary education; the role of research at higher education institutions; the fate of state financial support of higher education in light

of competing concerns such as K-12 education, health care, and criminal justice systems;

the changing role of colleges and universities in the face shrinking budgets; and

the responsibilities of students and families in the face of rising tuition and other costs.

The paper concludes with recommendations for how federal, state, institutional, and family roles in financing higher education might be changed to better meet the needs of today' social and economic climate.

Funding Schools and Universities: Improving Productivity and EquityAllan Odden and William MassyNovember 1992 (No. RR-026) 44 pp., $10

Drawing on research conducted by the Finance Center of CPRE and other current research, this report discusses trends in educationfunding over a 40-year period (1950-1990). It describes how education dollars are spent; identifies reasons for increases in the cost of education; and offers some observations on the education productivity problem. The report also addresses equity issues at both K-12 and postsecondary levels and suggests ways toimprove educational outcomes, productivity, and equity.

Issues and Strategies in Systemic ReformSusan H. Fuhrman and Diane MassellNovember 1992 (No. RR-025) 30 pp., $10

Since the late 1980s, support has been growing for a "systemic" vision of reform which would pair ambitious, coordinated state policies with professional discretion at the school site. Policymakers at all levels of government, as well as associations, foundations and national agencies support this approach.

This paper highlights issues and strategies which characterize the unfolding of systemic reform in the United States. Drawing from research on state reform efforts conducted over several years by the Consortium for Policy Research in Education, the report addresses questions such as:

What vision drives systemic reform?

How is political support for systemic reform built and maintained?

How can "bottom-up" reforms be incorporated with state-led curriculum guidance?

What are the equity implications of systemic reform strategies? Can systemic reform efforts withstand financial pressures?

Takeover and Deregulation: Working Models of New State and Local Regulatory RelationshipsSusan H. Fuhrman and Richard F. ElmoreApril 1992 (No. RR-024) 37 pp., $10*

Focuses on one aspect of changing relationships in educational governance: the efforts of states to differentiate regulatory treatment among districts and schools. The paper draws from case studies of programs in four states (KY, NJ, SC, WA) that represent varied approaches to regulation of schooling. The paperfocuses mainly on the two extremes of differential treatment takeover and deregulation.

Kentucky's Program for Educationally Deficient School Districts: A Case StudyPatricia Fry, Susan H. Fuhrman, Richard F. ElmoreApril 1992 (No. TC-005) 30 pp., $7*

Discusses Kentucky's original educational deficiency program which set minimum performance and reporting criteria and providedfor state intervention in non-compliant districts. The case focuses on the development, implementation, and political contextof the now defunct program. It draws from state-level interviews and interviews in two districts which experienced takeover.

Schools for the 21st Century Program in Washington State: A Case Study

Patricia Fry, Susan H. Fuhrman, Richard F. ElmoreApril 1992 (No. TC-006) 18 pp., $7*

Discusses Washington State's 1987 reform legislation which established locally designed pilot projects. In order to encourage restructuring and innovation, the legislation makes project schools and districts eligible for waivers of regulation upon request. The study examines the program's development, political support, and implementation drawing on experiences in three project schools as well as state-level developments.

South Carolina's Flexibility through Deregulation Program: A Case StudyPatricia Fry, Susan H. Fuhrman, Richard F. ElmoreApril 1992 (No. TC-007) 24 pp., $7*

Discusses South Carolina's Flexibility through Deregulation program, an element of the state's 1989 reform package. The program deregulates schools that have twice won school performance incentive rewards. The case reviews the development, implementation, and political context of the program and reports findings of a survey of the first group of deregulated schools.

State Takeover of a Local School District in New Jersey: A Case StudyMargaret DolanApril 1992 (No. TC-008) 34 pp., $7*

Chronicles the first year of the first implementation of New Jersey's takeover policy for failing school districts. The study describes the monitoring system that can lead to state takeover and the reasons Jersey City was a takeover target. The paper alsodiscusses the work accomplished in the district during the first year of state control and the external forces that had an impact on the takeover operation.

*The analytical paper and four case studies on state regulation of education are available as a package at a savings of 25 percent. To order the package of five titles listed above for $28.50, please specify School Regulation Package (Order #PK-002).

To obtain copies of CPRE publications,make

your check payable to CPRE and mail to:CPRE

Eagleton Institute of PoliticsRutgers University90 Clifton Avenue

New Brunswick, NJ 08901-1568

The Consortium for Policy Research in EducationCPRE Finance Briefs are published occasionally by the Consortium for Policy Research in Education. The Consortium operates two separate, but interconnected research centers: The Policy Center and The FinanceCenter. CPRE is funded by the U. S. Department of Education's Office of Educational Research.*

Members of CPRE are Rutgers, The State University of New Jersey; University of Southern California; Harvard University; Michigan State University; Stanford University; and University of Wisconsin-Madison.

The CPRE Policy and Finance Centers are part of a nationwide network of 25 university-based research and development centers whose mission is to strengthen the performance of American students by providing useful and sound information. The research agenda for both Centers is built around three goals:

To focus research on policies that foster high levels of learning for all students, regardless of social or economic background.

To conduct research that will lead to more coherence of state and local policies that promote student learning.

To study how policies respond to diversity in the needs of students, schools, postsecondary institutions, and states; and to learn

more about the connections between student outcomes and resource patterns in schools and postsecondary academic departments.

In addition to conducting research as described, CPRE publishes reports and briefs on a variety of issues. The Consortium also sponsors regional policy workshops for state and local policymakers.

For further information on CPRE contact Lynn McFarlane, assistantdirector for communications, at CPRE, Eagleton Institute of Politics, Rutgers University, New Brunswick, NJ 08901-1568; 908/932-1393.

* The Policy Center of CPRE is supported by grant #OERI-R117G1007; the Finance Center of CPRE is supported by grant #OERI-R117G10039. The research reported in this brief is also supported by OERI contract RR91172002.

The views expressed in CPRE publications are those of individual authors and are not necessarily shared by the Consortium, its institutional members, or the U. S. Department of Education.

Consortium for Policy Research in Education (CPRE) Management CommitteeSusan H. FuhrmanDirector, The Policy Center Co-Director, The Finance CenterEagleton Institute of PoliticsRutgers, The State University of New Jersey

Allan R. OddenCo-Director, The Finance Center School of EducationUniversity of Southern California

William H. CluneWisconsin Center for Education ResearchUniversity of Wisconsin-Madison

David K. CohenSchool of EducationMichigan State University

Richard F. ElmoreSchool of EducationHarvard University

Michael W. KirstSchool of EducationStanford University

Mintzberg's Management RolesIdentifying the Roles Managers Play

© iStockphotoAmanda LewisDifferent roles fit together to make a manager.

As a manager, you probably fulfill many different roles every day.

For instance, as well as leading your team, you might find yourself resolving a conflict, negotiating new contracts, representing your department at a board meeting, or approving a request for a new computer system.

Put simply, you're constantly switching roles as tasks, situations, and expectations change. Management expert and professor Henry Mintzberg recognized this, and he argued that

there are ten primary roles or behaviors that can be used to categorize a manager's different functions.

In this article, we'll examine these roles and see how you can use your understanding of them to improve your management skills.

The RolesMintzberg published his Ten Management Roles in his book, "Mintzberg on Management: Inside our Strange World of Organizations," in 1990.

The ten roles are:

1.Figurehead.

2.Leader.

3.Liaison.

4.Monitor.

5.Disseminator.

6.Spokesperson.

7.Entrepreneur.

8.Disturbance Handler.

9.Resource Allocator.

10. Negotiator.

From MINTZBERG ON MANAGEMENT by Henry Mintzberg. Copyright © 1989 by Henry Mintzberg. Reprinted by permission of Free Press, a division of Simon & Schuster,Inc.

The 10 roles are then divided up into three categories, as follows:

Category Roles

InterpersonalFigureheadLeaderLiaison

InformationalMonitorDisseminatorSpokesperson

Decisional

EntrepreneurDisturbance HandlerResource AllocatorNegotiator

Let's look at each of the ten managerial roles in greater detail.

Interpersonal Category

The managerial roles in this category involve providing information and ideas.

1.Figurehead – As a manager, you have social, ceremonial and legal responsibilities. You're expected to be a source of inspiration. People look up to you as a person with authority, and as a figurehead.

2.Leader – This is where you provide leadership for your team, your department or perhaps your entire organization; and it's where you manage the

performance and responsibilities of everyone in the group.

3.Liaison – Managers must communicate with internal andexternal contacts. You need to be able to network effectively on behalf of your organization.

Informational CategoryThe managerial roles in this category involve processing information.

4.Monitor – In this role, you regularly seek out information related to your organization and industry, looking for relevant changes in the environment. You also monitor your team, in terms of both their productivity, and their well-being.

5.Disseminator – This is where you communicate potentially useful information to your colleagues andyour team.

6.Spokesperson – Managers represent and speak for theirorganization. In this role you're responsible for transmitting information about your organization and its goals to the people outside it.

Decisional CategoryThe managerial roles in this category involve using information.

7.Entrepreneur – As a manager, you create and control change within the organization. This means solving problems, generating new ideas, and implementing them.

8.Disturbance Handler – When an organization or team hits an unexpected roadblock, it's the manager who must take charge. You also need to help mediate disputes within it.

9.Resource Allocator – You'll also need to determine where organizational resources are best applied. Thisinvolves allocating funding, as well as assigning staff and other organizational resources.

10. Negotiator – You may be needed to take part in, and direct, important negotiations within your team, department, or organization.

Applying the ModelYou can use Mintzberg's 10 Management Roles model as a frame of reference when you're thinking about developing your own skills and knowledge. (This includes developing yourself in areas that you consciously or unconsciously shy away from.)

First, examine how much time you currently spend on each managerial role. Do you spend most of your day leading? Managing conflict? Disseminating information? This will help you decide which areas to work on first.

Next, get a piece of paper and write out all ten roles. Score yourself from 1-5 on each one, with 1 being "Very skilled" to 5 being "Not skilled at all."

Once you've identified your weak areas, use the following resources to start improving your abilities in each role.

Figurehead

Figureheads represent their teams. If you need to improve or build confidence in this area, start with your image, behavior,

and reputation . Cultivate humility and empathy , learn how to set a good example at work , and think about how to be a good role model .

Leader

This is the role you probably spend most of your time fulfilling.To improve here, start by taking our quiz, How Good Are Your Leadership Skills? This will give you a thorough understanding of your current abilities.

Next, learn how to be an authentic leader , so your team will respect you. Also, focus on improving your emotional intelligence– this is an important skill for being an effective leader.

Liaison

To improve your liaison skills, work on your professional networking techniques. You may also like to take our Bite-SizedTraining course on Networking Skills.

Monitor

To improve here, learn how to gather information effectively and overcome information overload . Also, use effective readingstrategies , so that you can process material quickly and thoroughly, and learn how to keep up-to-date with industry news.

Disseminator

To be a good disseminator you need to know how to share information and outside views effectively, which means that good communication skills are vital.

Learn how to share organizational information with Team Briefings. Next, focus on improving your writing skills . You might

also want to take our communication skills quiz , to find out where else you can improve.

Spokesperson

To be effective in this role, make sure that you know how to represent your organization at a conference . You may also wantto read our articles on delivering great presentations and working with the media (if applicable to your role).

Entrepreneur

To improve here, build on your change management skills, and learn what not to do when implementing change in your organization. You'll also need to work on your problem solving and creativity skills , so that you can come up with new ideas,and implement them successfully.

Disturbance Handler

In this role, you need to excel at conflict resolution and knowhow to handle team conflict . It's also helpful to be able to manage emotion in your team .

Resource Allocator

To improve as a resource allocator, learn how to manage a budget, cut costs , and prioritize , so that you can make the best

use of your resources. You can also use VRIO Analysis to learn how to get the best results from the resources available to you.

Negotiator

Improve your negotiation skills by learning about Win-Win Negotiation and Distributive Bargaining .

You might also want to read our article on role-playing – this technique can help you prepare for difficult negotiations.

Key PointsMintzberg's 10 Management Roles model sets out the essential roles that managers play. These are:

1.Figurehead.

2.Leader.

3.Liaison.

4.Monitor.

5.Disseminator.

6.Spokesperson.

7.Entrepreneur.

8.Disturbance Handler.

9.Resource Allocator.

10. Negotiator.

You can apply Mintzberg's 10 Management Roles model by using it as a frame of reference when you want to develop your management skills. Work on the roles that you fulfill most often as a priority, but remember that you won't necessarily fulfill every role as part of your job.

The Role of School Boards

The local school board is a critical public link to public schools. Whether elected or appointed, school board members servetheir communities in several important ways.

First and foremost school boards look out for students. Education is not a line item on the school board’s agenda—it is the only item. When making decisions about school programs, school boards incorporatetheir community’s view of what students should know and be able to do. School boards are accessible to the public and accountable for the performance of their schools. School boards are the education watchdog for their communities, ensuring that students get the best education for the tax dollars spent.

Below we provide information that builds public understanding about the roles and responsibilities of school boards. It also provides materials and links to information identifying qualitiesof effective school boards that are successful where it counts—the achievement of their students.

What makes an effective school board?

Iowa Lighthouse Project. A multi-year, multi-state research initiative of the Iowa Association of School Boards that identifies the characteristics of effective school boards.

The Key Work of School Boards. A framework developed by the National School Boards Association identifies eight essential keyaction areas that focus and guide schools boards in their effortsto improve student achievement.

Five Characteristics of an Effective School Board. Today, the relevance of school boards is dependent on doing what matters.  This article outlines five characteristics identified by a panel of educators and corroborated by experience.

More reading

School Boards at the Dawn of the 21st Century (PDF). Results froma 2002 national survey of U.S. school board members by Frederick

Hess, School of Education and Department of Government, University of Virginia.

Local School Boards: Reflections of American Democracy.  An essayby NSBA lobbyist and former school board member, Reginald Felton.

MANAGEMENT LEVELS

Photo by: mostafa fawzy

Managers are organizational members who are responsible for the work performance of other organizational members. Managers have

formal authority to use organizational resources and to make decisions. In organizations, there are typically three levels of management: top-level, middle-level, and first-level. These threemain levels of managers form a hierarchy, in which they are ranked in order of importance. In most organizations, the number of managers at each level is such that the hierarchy resembles a pyramid, with many more first-level managers, fewer middle managers, and the fewest managers at the top level. Each of thesemanagement levels is described below in terms of their possible job titles and their primary responsibilities and the paths takento hold these positions. Additionally, there are differences across the management levels as to what types of management taskseach does and the roles that they take in their jobs. Finally, there are a number of changes that are occurring in many organizations that are changing the management hierarchies in them, such as the increasing use of teams, the prevalence of outsourcing, and the flattening of organizational structures.

TOP-LEVEL MANAGERS Top-level managers, or top managers, are also called senior management or executives. These individuals are at the top one ortwo levels in an organization, and hold titles such as: Chief Executive Officer (CEO), Chief Financial Officer (CFO), Chief Operational Officer (COO), Chief Information Officer (CIO), Chairperson of the Board, President, Vice president, Corporate head.

Often, a set of these managers will constitute the top managementteam, which is composed of the CEO, the COO, and other departmentheads. Top-level managers make decisions affecting the entirety of the firm. Top managers do not direct the day-to-day activitiesof the firm; rather, they set goals for the organization and direct the company to achieve them. Top managers are ultimately responsible for the performance of the organization, and often, these managers have very visible jobs.

Top managers in most organizations have a great deal of managerial experience and have moved up through the ranks of management within the company or in another firm. An exception to

this is a top manager who is also an entrepreneur; such an individual may start a small company and manage it until it growsenough to support several levels of management. Many top managerspossess an advanced degree, such as a Masters in Business Administration, but such a degree is not required.

Some CEOs are hired in from other top management positions in other companies. Conversely, they may be promoted from within andgroomed for top management with management development activities, coaching, and mentoring. They may be tagged for promotion through succession planning, which identifies high potential managers.

MIDDLE-LEVEL MANAGERS Middle-level managers, or middle managers, are those in the levels below top managers. Middle managers' job titles include: General manager, Plant manager, Regional manager, and Divisional manager.

Middle-level managers are responsible for carrying out the goals set by top management. They do so by setting goals for their departments and other business units. Middle managers can motivate and assist first-line managers to achieve business objectives. Middle managers may also communicate upward, by offering suggestions and feedback to top managers. Because middlemanagers are more involved in the day-to-day workings of a company, they may provide valuable information to top managers tohelp improve the organization's bottom line.

Jobs in middle management vary widely in terms of responsibility and salary. Depending on the size of the company and the number of middle-level managers in the firm, middle managers may supervise only a small group of employees, or they may manage very large groups, such as an entire business location. Middle managers may be employees who were promoted from first-level manager positions within the organization, or they may have been hired from outside the firm. Some middle managers may have aspirations to hold positions in top management in the future.

FIRST-LEVEL MANAGERS

First-level managers are also called first-line managers or supervisors. These managers have job titles such as: Office manager, Shift supervisor, Department manager, Foreperson, Crew leader, Store manager.

First-line managers are responsible for the daily management of line workers—the employees who actually produce the product or offer the service. There are first-line managers in every work unit in the organization. Although first-level managers typicallydo not set goals for the organization, they have a very strong influence on the company. These are the managers that most employees interact with on a daily basis, and if the managers perform poorly, employees may also perform poorly, may lack motivation, or may leave the company.

In the past, most first-line managers were employees who were promoted from line positions (such as production or clerical jobs). Rarely did these employees have formal education beyond the high school level. However, many first-line managers are now graduates of a trade school, or have a two-year associates or a four-year bachelor's degree from college.

MANAGEMENT LEVELS AND THE FOUR MANAGERIAL FUNCTIONS Managers at different levels of the organization engage in different amounts of time on the four managerial functions of planning, organizing, leading, and controlling.

Planning is choosing appropriate organizational goals and the correct directions to achieve those goals. Organizing involves determining the tasks and the relationships that allow employees to work together to achieve the planned goals. With leading, managers motivate and coordinate employees to work together to achieve organizational goals. When controlling, managers monitor and measure the degree to which the organization has reached its goals.

The degree to which top, middle, and supervisory managers performeach of these functions is presented in Exhibit 1. Note that top managers do considerably more planning, organizing, and

controlling than do managers at any other level. However, they domuch less leading. Most of the leading is done by first-line managers. The amount of planning, organizing, and controlling decreases down the hierarchy of management; leading increases as you move down the hierarchy of management.

Exhibit 1 Time Spent on Management Functions at Different Management Levels

MANAGEMENT ROLES In addition to the broad categories of management functions, managers in different levels of the hierarchy fill different managerial roles. These roles were categorized by researcher Henry Mintzberg, and they can be grouped into three major types: decisional, interpersonal, and informational.

DECISIONAL ROLES. Decisional roles require managers to plan strategy and utilize resources. There are four specific roles that are decisional. Theentrepreneur role requires the manager to assign resources to develop innovative goods and services, or to expand a business. Most of these roles will be held by top-level managers, although middle managers may be given some ability to make such decisions.The disturbance handler corrects unanticipated problems facing the organization from the internal or external environment. Managers at all levels may take this role. For example, first-line managers may correct a problem halting the assembly line or a middle level manager may attempt to address the aftermath of a store robbery. Top managers are more likely to deal with major crises, such as requiring a recall of defective products. The

third decisional role, that of resource allocator, involves determining which work units will get which resources. Top managers are likely to make large, overall budget decisions, while middle mangers may make more specific allocations. In some organizations, supervisory managers are responsible for determineallocation of salary raises to employees. Finally, the negotiator works with others, such as suppliers, distributors, or labor unions, to reach agreements regarding products and services. First-level managers may negotiate with employees on issues of salary increases or overtime hours, or they may work with other supervisory managers when needed resources must be shared. Middlemanagers also negotiate with other managers and are likely to work to secure preferred prices from suppliers and distributors. Top managers negotiate on larger issues, such as labor contracts,or even on mergers and acquisitions of other companies.

INTERPERSONAL ROLES. Interpersonal roles require managers to direct and supervise employees and the organization. The figurehead is typically a top of middle manager. This manager may communicate future organizational goals or ethical guidelines to employees at company meetings. A leader acts as an example for other employees to follow, gives commands and directions to subordinates, makes decisions, and mobilizes employee support. Managers must be leaders at all levels of the organization; often lower-level managers look to top management for this leadership example. In the role of liaison, a manger must coordinate the work of others in different work units, establish alliances between others, and work to share resources. This role is particularly critical for middle managers, who must often compete with other managers for important resources, yet must maintain successful working relationships with them for long time periods.

INFORMATIONAL ROLES. Informational roles are those in which managers obtain and transmit information. These roles have changed dramatically as technology has improved. The monitor evaluates the performance of

others and takes corrective action to improve that performance. Monitors also watch for changes in the environment and within thecompany that may affect individual and organizational performance. Monitoring occurs at all levels of management, although managers at higher levels of the organization are more likely to monitor external threats to the environment than are middle or first-line managers. The role of disseminator requires that managers inform employees of changes that affect them and the organization. They also communicate the company's vision and purpose.

Managers at each level disseminate information to those below them, and much information of this nature trickles from the top down. Finally, a spokesperson communicates with the external environment, from advertising the company's goods and services, to informing the community about the direction of the organization. The spokesperson for major announcements, such as achange in strategic direction, is likely to be a top manager. But, other, more routine information may be provided by a managerat any level of a company. For example, a middle manager may givea press release to a local newspaper, or a supervisor manager maygive a presentation at a community meeting.

MANAGEMENT SKILLS Regardless of organizational level, all managers must have five critical skills: technical skill, interpersonal skill, conceptualskill, diagnostic skill, and political skill.

TECHNICAL SKILL. Technical skill involves understanding and demonstrating proficiency in a particular workplace activity. Technical skills are things such as using a computer word processing program, creating a budget, operating a piece of machinery, or preparing apresentation. The technical skills used will differ in each levelof management. First-level managers may engage in the actual operations of the organization; they need to have an understanding of how production and service occur in the organization in order to direct and evaluate line employees.

Additionally, first-line managers need skill in scheduling workers and preparing budgets. Middle managers use more technicalskills related to planning and organizing, and top managers need to have skill to understand the complex financial workings of theorganization.

INTERPERSONAL SKILL. Interpersonal skill involves human relations, or the manager's ability to interact effectively with organizational members. Communication is a critical part of interpersonal skill, and an inability to communicate effectively can prevent career progression for managers. Managers who have excellent technical skill, but poor interpersonal skill are unlikely to succeed in their jobs. This skill is critical at all levels of management.

CONCEPTUAL SKILL. Conceptual skill is a manager's ability to see the organization as a whole, as a complete entity. It involves understanding how organizational units work together and how the organization fits into its competitive environment. Conceptual skill is crucial fortop managers, whose ability to see "the big picture" can have major repercussions on the success of the business. However, conceptual skill is still necessary for middle and supervisory managers, who must use this skill to envision, for example, how work units and teams are best organized.

DIAGNOSTIC SKILL. Diagnostic skill is used to investigate problems, decide on a remedy, and implement a solution. Diagnostic skill involves otherskills—technical, interpersonal, conceptual, and politic. For instance, to determine the root of a problem, a manager may need to speak with many organizational members or understand a varietyof informational documents. The difference in the use of diagnostic skill across the three levels of management is primarily due to the types of problems that must be addressed at each level. For example, first-level managers may deal primarily

with issues of motivation and discipline, such as determining whya particular employee's performance is flagging and how to improve it. Middle managers are likely to deal with issues related to larger work units, such as a plant or sales office. For instance, a middle-level manager may have to diagnose why sales in a retail location have dipped. Top managers diagnose organization-wide problems, and may address issues such as strategic position, the possibility of outsourcing tasks, or opportunities for overseas expansion of a business.

POLITICAL SKILL. Political skill involves obtaining power and preventing other employees from taking away one's power. Managers use power to achieve organizational objectives, and this skill can often reachgoals with less effort than others who lack political skill. Muchlike the other skills described, political skill cannot stand alone as a manager's skill; in particular, though, using political skill without appropriate levels of other skills can lead to promoting a manager's own career rather than reaching organizational goals. Managers at all levels require political skill; managers must avoid others taking control that they shouldhave in their work positions. Top managers may find that they need higher levels of political skill in order to successfully operate in their environments. Interacting with competitors, suppliers, customers, shareholders, government, and the public may require political skill.

CHANGES IN MANAGEMENT HIERARCHIES There are a number of changes to organizational structures that influence how many managers are at each level of the organizational hierarchy, and what tasks they perform each day.

Exhibit 2: Flat vs. Tall Organizational Hierarchy

FLATTER ORGANIZATIONAL STRUCTURES. Organizational structures can be described by the number of levels of hierarchy; those with many levels are called "tall" organizations. They have numerous levels of middle management, and each manager supervises a small number of employees or other managers. That is, they have a small span of control. Conversely,"flat" organizations have fewer levels of middle management, and each manager has a much wider span of control. Examples of organization charts that show tall and flat organizational structures are presented in Exhibit 2.

Many organizational structures are now more flat than they were in previous decades. This is due to a number of factors. Many organizations want to be more flexible and increasingly responsive to complex environments. By becoming flatter, many organizations also become less centralized. Centralized organizational structures have most of the decisions and responsibility at the top of the organization, while decentralized organizations allow decision-making and authority at lower levels of the organization. Flat organizations that makeuse of decentralization are often more able to efficiently

respond to customer needs and the changing competitive environment.

As organizations move to flatter structures, the ranks of middle-level managers are diminishing. This means that there a fewer opportunities for promotion for first-level managers, but this also means that employees at all levels are likely to have more autonomy in their jobs, as flatter organizations promote decentralization. When organizations move from taller to flatter hierarchies, this may mean that middle managers lose their jobs, and are either laid off from the organization, or are demoted to lower-level management positions. This creates a surplus of laborof middle level managers, who may find themselves with fewer job opportunities at the same level.

INCREASED USE OF TEAMS. A team is a group of individuals with complementary skills who work together to achieve a common goal. That is, each team memberhas different capabilities, yet they collaborate to perform tasks. Many organizations are now using teams more frequently to accomplish work because they may be capable of performing at a level higher than that of individual employees. Additionally, teams tend to be more successful when tasks require speed, innovation, integration of functions, and a complex and rapidly changing environment.

Another type of managerial position in an organization that uses teams is the team leader, who is sometimes called a project manager, a program manager, or task force leader. This person manages the team by acting as a facilitator and catalyst. He or she may also engage in work to help accomplish the team's goals. Some teams do not have leaders, but instead are self-managed. Members of self-managed teams hold each other accountable for theteam's goals and manage one another without the presence of a specific leader.

OUTSOURCING.

Outsourcing occurs when an organization contracts with another company to perform work that it previously performed itself. Outsourcing is intended to reduce costs and promote efficiency. Costs can be reduced through outsourcing, often because the work can be done in other countries, where labor and resources are less expensive than in the United States. Additionally, by havingan out-sourcing company aid in production or service, the contracting company can devote more attention and resources to the company's core competencies. Through outsourcing, many jobs that were previously performed by American workers are now performed overseas. Thus, this has reduced the need for many first-level and middle-level managers, who may not be able to find other similar jobs in another company.

There are three major levels of management: top-level, middle-level, and first-level. Managers at each of these levels have different responsibilities and different functions. Additionally,managers perform different roles within those managerial functions. Finally, many organizational hierarchies are changing,due to changes to organizational structures due to the increasinguse of teams, the flattening of organizations, and outsourcing.

SEE ALSO: Management and Executive Development ; Management Functions ; Organizational Chart ; Organizational Structure ; Outsourcing and Offshoring ; Teams and Teamwork

Marcia J. Simmering

FURTHER READING: DuBrin, Andrew J. Essentials of Management. 6th ed. Peterborough, Ontario: Thomson South-Western, 2003.

Jones, Gareth R., and Jennifer M. George. Contemporary Management. 4th ed. New York, NY: McGraw-Hill Irwin, 2006.

Mintzberg, Henry. "The Manager's Job: Folklore and Fact." Harvard Business Review, July-August 1975, 56–62.

——. The Nature of Managerial Work. New York: Harper & Row, 1973.

Rue, Leslie W., and Lloyd L. Byars. Management: Skills and Applications. 10th ed. New York, NY: McGraw-Hill Irwin, 2003.

Williams, Chuck. Management. Cincinnati, OH: South-Western CollegePublishing, 2000.

Administration: The Role and Duties of a SchoolAdministrator

Today, education has never been more important. The time is now to place leaders into schools districts that are passionate about children and the education they receive. School administrators embrace the extremely important role of ensuring the system is operating effectively and efficiently. Those placed in administration roles, such as aprincipal, dean, or head master; demonstrate a high level of excellent in every realm within education.

Common roles of administrators are to ensure all schools, teachers, counselors, are collaborating towards a common goal while improving standards and opportunities. Together, with proper leadership, school systems can meet goals set forth by school boards and foster students that are highly educated and prepared for their futures.

Administration has exciting leadership opportunities, which often play large roles in forming curriculums, goals, budgets, timelines, state regulations, mandated testing, as well as performance measures to ensure all educators are able to meet personal and professional goals. Together, administrators and faculty will carve a path to success for all.

Successful administrators form distinguished teams to support the goals and aspirations of students. With the assistance of vice principles, goals can be further achieved with greater outcome and acceptance.

Administrators often learn techniques to relate to children of all ages, of all backgrounds. Having the capability to relate to children is not only essential to administrators, but also vital to the overall success of school districts and standardized testing. School districts must regulate per guidelines set forth at local, state and federal levels. Administrators must remain active in continuing education programs, often returning to leadership programs such as a doctoral degree. A master’s degree is generally earned prior to entering an administrators role but this depends greatly on the school district and demand for administrators.

Administrators are leaders who take pride in their strategic planning, tremendous support in every sector, respect for the education system, including faculty,

students, parents, and school board members. Often admin professionals are managing multiple situations at once and unlike teachers, work year round. Duties of an administrator are commonly budgets and proper allocation of funds to produce outstanding scholars to reach their highest potential.

Parents and Community Can Play Key Roles in School Success

Educators are turning to parents and outside partners in formal and grassrootsefforts that boost morale, achievement, and students' sense of securityBy Michele Molnar

With educators and policymakers acutely aware of the role that home and community factors can play in students' safety and perception of safety at school—and its attendant impact on behavior and even academic performance—manyare turning to parents and community members for help and support.

The perception issue is real. Children who were living in poverty and in communities where crime rates were higher and who attended inner city schools were predictably more likely to view their school environments as dangerous, according to Mary Keegan Eamon, a social work professor at the University of Illinois at Urbana-Champaign, and Jun Sung Hong, a doctoral student at the same school, whose research on the subject appeared in the Journal of Child and Family Studies in June 2012.

The researchers found that, in some cases, simple responses to such concerns can prove surprisingly profound. They discovered that 10- to 14-year-old students who talked to their parents about their studies, school activities, and other concerns actually felt safer in school.

In other cases, schools and school districts, aware that behavioral issues canbe pervasive as barriers to learning, use everything from one-to-one help for parents and students to systemic programs in which an entire district gets on board to create or spark grassroots support to make safer schools.

Such is the case at Eastgate Elementary School in Kennewick, Wash., where staff members wanted to increase a sense of safety for students coming from a neighborhood struggling with threats of gang violence, says Stephanie Weyh, an

English-as-a-second-language teacher who worked on the program as a co-chair with Michele Larrabee of Eastgate's Action Team for Partnerships.

The school set a goal that 90 percent of children would feel safe, according to a case study written by Weyh and Larrabee, the school's Title I reading teacher. They co-chaired an outreach effort to families of at-risk 4th and 5thgraders who, with their parents and older siblings, were invited to attend a meeting of the program, known as Gang Resistance Education and Training, or GREAT Families.

"It was hard to get them here at first," says Weyh. "They weren't sure what wewere doing." Presented by police—who may find themselves distrusted in some communities—the GREAT Families effort was conducted over six weeks, in two-hour sessions. Each evening event began with a meal, where families sat with police officers and school personnel before the formal program began. Word began to spread.

In the end, Weyh says, some parents became more comfortable coming to school than they were before, and relations with police officers improved. In school,teachers noticed improvements in student behavior. "While we don't have any super-specific data, we know that—by individual student—we saw incidents decreasing and attendance improving. They had a better attitude about school, and about their lives at home even," says Weyh. The program is being repeated in the 2012-13 school year.

Expanding the Focus

Such an outreach-based approach aims to expand the focus on school climate beyond the confines of the classroom experience.

"If you really want kids to do well in school, you have to think about more than instruction," explains Howard Adelman, who, with Linda Taylor, is co-director of the School Mental Health Project and its federally supported National Center for Mental Health in Schools at the University of California, Los Angeles.

"We advocate for a systemic approach to the learning and behavior problems manifested by students—an approach that avoids blaming students and their families and calls on schools to develop a unified and comprehensive componentto address factors interfering with learning and teaching," he says.

To that end, he and Taylor have partnered with Scholastic Corp., the New York City-based publisher and distributor of children's books and educational technology, to create the Rebuilding for Learning initiative, designed to helpschool leaders create systems of learning support.

The Gainesville, Ga., city school system is in its fourth year of using the Rebuilding for Learning system to identify and implement learning supports. Merrianne Dyer, the superintendent of the 7,500-student district, recognized that 20 percent to 25 percent of her students seemed to have intractable difficulties in improving their learning over time, despite various achievement-oriented initiatives tied to the curriculum. With 54 percent of her students learning English and 78 percent receiving free or reduced-price lunch, poverty and its attendant challenges fueled the problems those young people faced.

Flagging Barriers

To help that 20 percent or so advance, Dyer adopted the comprehensive systems approach developed by Adelman and Taylor. Gainesville school-level administrators and educators first identified barriers to student learning, including such factors as bullying, families who had not had positive experiences with school, bus incidents, and problems with gangs and drugs.

One discovery was that 53 percent of the students deemed at risk of failure inGainesville High School were new to the district. A system of supports was setup to help those students; it included a picnic welcoming them and their families to Gainesville, about 50 miles northeast of Atlanta.

Facing Challenges, Identifying Solutions

In September 2012, the EPE Research Center conducted an online survey examining educators’

attitudes about school climate, discipline, and safety. The survey included two open-ended

questions asking respondents to identify the most significant challenges they face in

addressing student misbehavior and to describe potential solutions that could help them in

their classrooms or at their schools. An analysis of the approximately 850 responses from

teachers and administrators, who were registered users of the Education Week website, reveals

that, across the the two survey items, the need for greater parental support emerges as the

most common theme. Thirty-one percent of respondents cited lack of parental support as a

significant challenge, while 25 percent highlighted the importance of parental involvement

when pointing to solutions.

SOURCE: EPE Research Center, 2013

In addition to support for transitions, Gainesville is working on five other areas: community outreach, home involvement in schooling, student and family assistance, crisis and emergency help and prevention, and classroom-based approaches to enable learning. To increase home involvement, each school now has a bilingual parent-involvement coordinator—most are from the Hispanic community—to bridge communication gaps.

In looking at students' problems individually, the district realized that services were being duplicated, and that the big picture was often missed for families who were directed to different agencies to address issues within the same families, Dyer says.

"Now, we invite all community agencies to attend regular meetings, so they cansee what is happening in each school and everyone can see their role," she says. One organization offers mentoring; another, after-school activities.

The Gainesville district reports that, by working to improve in each of those areas, disciplinary actions at the high school and middle school levels requiring tribunals—formal disciplinary actions that result in alternative placements—dropped 48 percent between the 2008-09 and 2010-11 school years. In

the elementary school, those disciplinary proceedings declined by 75 percent. Over the past three years, referrals throughout the district have decreased 50percent.

Another approach to student achievement and behavioral issues has taken root in what's known as Eagle Academy, which operates boys-only public schools in the Bronx, Brooklyn, and Queens boroughs of New York City and in Newark, N.J.

Mentoring Boys

Eagle Academy was founded in 2004 by educators, parents, community leaders, and corporate partners, led by the New York chapter of One Hundred Black Men Inc., a group of professionals working with the community. The academy works with adult men to mentor young men on their academic performance and behavior,and to work with parents—mostly single mothers—to help guide the young men's education in the all-boys schools.

Today, nearly 1,500 boys in grades 6-12 are learning about academics and life in an environment that aims to focus on their needs and, to some extent, theirfamilies' needs as well.

"Our school in the Bronx has 610 kids. You could come to a meeting on a Saturday, and see 450 parents. It's standing room only," says David Banks, thefounder and chief executive officer of the New York City-based Eagle Academy Foundation.

The meetings are an opportunity to gain parents' support for various school and class-level needs and activities, but they're also a time when parents will see tables set up for health screenings or educational or employment opportunities that could benefit them.

"One of the boys at our school coined the phrase, 'A young man without a mentor is like an explorer without a map.' That's why we've got mentors to serve as role models and big brothers for these young men," Banks says.

Prior to admission, most of Eagle's students "are average to below-average with significant social challenges," he says. But last year, the graduation rate for all Eagle Academy schools was over 87 percent.

The demand for Eagle's educational approach is overwhelming: 4,500 applications were received for the 100 openings Eagle Academy had in the Bronxalone. A lottery decides who will get in.

Support for Girls

Other programs are tailored to girls and their behavior problems. Gabriela Baeza, a project specialist with the San Diego County Office of Education, in California, has focused on helping girls—and their parents—for the past seven years. Baeza, who is called to intercede when a school in the 130,000-student San Diego Unified system is having pervasive behavior issues with girls, says emotional, physical, or sexual abuse is often behind the most egregious cases of acting out.

In addition to running groups for girls only, Baeza conducts sessions for their parents. "We let parents know that raising a daughter now is very different from when you were being brought up. So many things revolve around the media," she says.

Her emphasis for parents is how to help build their daughters' self-esteem, signs to look for that their daughters are in disciplinary trouble, and how toguide them through such issues. She teaches young mothers of girls the importance of being a role model, not a friend or sister figure, to their daughters.

Finding effective ways to communicate with parents is crucial. Baeza remembersa powerful program San Diego ran several years ago called Padres Unidos (Parents United). About 25 immigrant parents were trained to be facilitators, teaching 100 parents in small-group sessions about how best to support their children's education in the United States. Despite the program's success—whichincluded parents' watching out for one another's children to avert truancy andother potential problems—three years' lack of funding and available personnel brought it to an end.

Funding Hurdles

Maintaining funds is a continuing issue for school safety initiatives, according to Wayne Sakamoto, the director for school safety in California's Murrieta Valley Unified district. Budget cuts mean that money previously allocated for counselors, school resource officers, and bullying and gang prevention is now routinely allocated to the general fund for teachers or transportation, he says.

Often, schools must seek private support to keep safety programs intact, says Sakamoto, who speaks nationally on school safety and sees the trend across thecountry.

Sometimes, districts can succeed by combining forces, as the 23,000-student Murrieta Valley did when it received $160,000 for two years from the California Wellness Foundation to work with at-risk youths there and in three other school districts.

Sakamoto conducts many types of prevention workshops for parents. When students get in trouble, he is careful about how he speaks to parents to enlist their help. It requires finesse.

"Sometimes, we don't communicate effectively with parents. Through our words or demeanor, we may put parents on the defensive quickly," he says. That's why, when he gets in touch with parents, Sakamoto assures them that he is calling about "what's going on" with their child, not about discipline. His goal is to get them to agree to address the matter together, using one of the counseling or other wrap-around resources offered.

Creativity Needed

Asking for and finding ways to get support requires creativity. A survey conducted by the Editorial Projects in Education Research Center for Quality Counts 2013 shows that many educators in the highest-poverty schools believe that parents there aren't supportive of teachers. In schools where the proportion of low-income families is 75 percent or higher, only about 7 percent of educators strongly agree that teachers get adequate support from parents. Where low-income students account for 25 percent or less of the population, just over a quarter strongly agree.

Finding effective ways to involve parents is key. Adelman, of the School Mental Health Project, knows parents can successfully be brought into schools to affect safety. He reports that when he and his colleagues began working with the Elizabeth Learning Center in Los Angeles, an initiative was undertaken to help parents by providing citizenship training, adult education,and a day-care co-op run by parents.

"Pretty soon, the district was saying, 'We're no longer going to send you a security officer—the data shows your incidents have dropped off dramatically.'Having so many parents on campus," he says, "had completely changed the climate there."

Coverage of parent-empowerment issues is supported by a grant from the Walton Family Foundation, at www.waltonfamilyfoundation.org.

Vol. 32, Issue 16, Pages 28-31

Effective governance: the roles and responsibilities ofboard membersDon L. Arnwine 1

ROLES OF BOARDS

Boards have 3 primary roles: to establish policies, to make significant and strategic decisions, and to oversee the organization's activity.

Policy makingEffective execution of policy is necessary to fulfill the other 2roles. Policies define focus and differentiate responsibilities among the board, the management, and the medical staff. Well-written policies lead to more efficient board functioning. Instead of having the same matter or very similar matters on the agenda repeatedly, the board can develop a policy that covers theissue and leave implementation of the policy to management. Boards have approximately 24 hours together each year, spread over regular meetings. It is essential to use that time wisely.

At the same time, board-level policies should be reviewed regularly. At Baylor Medical Center at Irving, where I chair the board of trustees, we asked a staff member to review past board minutes and extract all policies. We then refined and consolidated them. The board now reviews policies annually to seeif they are still needed.

Decision makingDecision making involves making choices about the organization's vision, mission, and strategies. Boards make decisions about issues that are strategic and significant, such as whether to enter an affiliation agreement with another organization. As decision makers, boards can also delegate nongovernance types of decisions to others—and would be wise to do so.

OversightOversight is an important function, but boards must remember thatthe organization is theirs to oversee, not to manage. Some boardscross the line and try to involve themselves in management. Nevertheless, in the oversight role, the board is legally responsible for everything that happens within the hospital,

whether in the emergency department, a clinic, or a nursing unit.In the area of quality, for example, the board's oversight role may include setting the tone by stating that the organization is committed to quality; establishing policies related to quality, such as credentialing; ensuring that mechanisms are in place, such as committees, to establish a plan for quality; and monitoring implementation of the plan.

Board committees play an important role in the governance process. It is useful to periodically review the structure and functions of the committees and to ensure that everyone knows what to expect from them.

RESPONSIBILITIES OF BOARDS

Boards have numerous responsibilities: they oversee management, finances, and quality; set strategic direction; build community relationships; establish ethical standards, values, and compliance; and select a CEO and monitor his or her progress. I believe that the 2 most important tasks are selecting the CEO andestablishing the direction of an organization. Although the management team develops the strategic plan, it is the board's responsibility to accept or modify the strategic plan and to set the direction. The board considers elements in the environment—such as growing competition and changing patterns of care—and develops a vision, a mission, strategic thrusts, goals, and tactics that respond to the environment, all the while showing the organization's values.

Financial oversight is a familiar job that boards usually do well. Boards ensure the use of financial controls; ensure that funds are prudently invested, considering cash management, banking, and contracting parameters; and establish policies related to budgets. Their goal is to protect the community's assets. Oversight of the quality area often involves utilization and risk management in addition to continuous quality improvement.

Attention to community relationships is a responsibility unique to not-for-profit institutions. Inasmuch as board members have

contact with the community, they can be sensitive to the expectations and needs of its citizens and bring that knowledge to the board room. The focus is on all those the organization serves: consumers, businesses, elected representatives, payers, and collaborators. Boards are paying more attention to the quality of life in their communities. At Baylor Medical Center atIrving, for example, the board has adopted a community action plan developed by the management team.

The ethical standards of the organization are determined by the behavior of the board. Through its ongoing actions, the board decides what behavior will and will not be tolerated. These actions supersede ethical statements—however important such statements are-in showing an organization's true values. In recent years, compliance issues have risen to board-level responsibility as well, particularly as the media have reported people being sent to jail and organizations and individuals beingfined millions of dollars for breaches in government regulations.Compliance is probably the only new issue that has been added to board responsibilities over the past 10 years.

When reviewing these responsibilities, it is important to note that the board as a whole, and not any individual member, has theauthority. Further, the board exists only when it is in session. The committee is an appendage of the board, and the board can delegate certain tasks to a committee or an individual, but otherwise an individual board member has no prerogative. Thus, itwould be inappropriate for a board member to walk in to a manager's office and ask to review the books or demand certain changes. Such actions, in fact, can cause much disruption. The CEO is the full-time agent of the board and is the only person directly accountable to the board.

THE “WHEEL OF GOVERNANCE”: 3 INGREDIENTS FOR AN EFFECTIVE BOARD

The wheel of effective governance has 3 spokes: behavior, structure, and expectations. If one of these spokes breaks down, the board will have a flat tire, and the faulty governance

process can compromise the organization's ability to move forward.

BehaviorAppropriate board behavior can be defined as functioning in accord with the board's roles and responsibilities. Thus, board members should know the difference between governance and management, see service as a responsibility of citizenship, and find enjoyment in such service. Appropriate behavior also has keycharacteristics, the first of which is respect—for the organization, the management, the clinicians, the employees, and other members of the board. Respect is basic, but it doesn't always exist. I've seen many boards whose members were antagonistic towards large segments of the medical staff, for example. Such behavior is distracting and counterproductive.

Respect leads to 2 additional behavioral characteristics that areneeded: openness in the board discussions and confidentiality. The two go hand in hand. Last year, when I was asked to consult with a CEO and chairman of the board to improve the climate of the board and eliminate the cliques that seemed to be forming, I discovered that the problems had arisen because of breaches in confidentiality. Some board members were speaking casually about board activities among people at their churches or at parties; others felt they couldn't be open because of this breach. The more sensitive the issue under discussion, the more important confidentiality becomes. As one board chairman used to say, “Whatyou hear here or see here or do here, when you leave here let it stay here.”

Conflicts of interest also fall in the category of behavior. Somepeople believe that a potential conflict of interest precludes service on the board. Based on such a view, some hospital boards do not include physicians, claiming that they could have a conflict. I disagree with this view. An attorney friend of mine told me that there's no evil in conflict of interest; the evil lies in the hiding thereof. All boards need to have a policy about conflict of interest. Usually this policy requires all

members to disclose potential conflicts and to abstain from voting on such matters.

Another behavioral element is distinguishing between the important and the unimportant. The board has limited time. If it spends hours and hours on trivial matters, it won't be able to address significant and strategic matters.

Finally, the board needs to work for consensus. In not-for-profitorganizations, members don't “vote their shares,” with one individual being able to carry the day. Instead, boards work by reaching a common understanding of the issues, dealing with the options, choosing one, and unanimously supporting the decision even if an individual initially voted against it. Unity on the final decision is essential; if it does not exist, some people will take advantage of the discord and create problems. Team players are needed, people who join the board because they support the organization's mission and values. Board members do not participate to implement individual agendas but to help the organization effectively meet its responsibility in the community. The “goodwill quotient” is exceedingly important, and these behavioral aspects will contribute significantly to that.

StructureBoards may not pay much attention to structure, thinking that it is covered in the bylaws and requires no further comment. Nevertheless, problems often arise from structure rather than behavior. For example, I've encountered several boards in which the chairman had served for a30 years, and members were discontented and ready for someone new. Many board bylaws do not address tenure. Whether the term limit is 2 or 3 years or something different, it is helpful if everyone knows what to expect. Dissatisfied members know that they will be able to vote for someone else, and volunteers may be more willing to take on the role of chairman if they know it is for a designated period. Other issues may concern the frequency of meetings or the size ofthe board.

I believe strongly in agenda creation and management. Since the board's deliberations are determined by the agenda, that one document relates closely to the board's effectiveness. The agendacan be organized into 3 categories: items for information, items for action, and items for strategic discussion. This agenda organization helps members know what is expected of them and eliminates worry, for example, about having to vote on an item that is just for information. If executive committees and task forces are appropriately established and charged, the board can trust their efforts and avoid recreating what happened at a committee meeting. Committee suggestions and other smaller, non-controversial action items can be grouped into a “consent agenda,” requiring only one motion and one vote. Background information on items in the consent agenda can be provided in theboard book sent out before the meeting. Use of a consent agenda saves time and allows the board to focus on the most significant issues.

Structure also includes the nomination of new members. At Baylor Medical Center at Irving, we keep a matrix that indicates currentmembers' skills in 8 essential areas. If attrition occurs, we look at the matrix and determine which skills are needed most. While the list of desired characteristics of board members developed by the Governance Institute is long (Table (Table11), it isunderstood that every board member will not have all the attributes. The average hospital board—now 12 members-is smaller than it used to be and includes physicians (both internal and external to the community).

ExpectationsThe final spoke consists of expectations or, more specifically, board members' knowledge of what is expected of them and what they can expect from others. One of the best ways to clarify expectations is to have new members sign a letter that outlines those expectations (Table (Table22). Such a document also makes it easier to remove a board member if, for example, his or her attendance has been poor. It also serves to clarify the

requirements of board membership when approaching a potential volunteer.

In return for their service, board members should expect respect,a proper orientation, proper flow of communications, advanced preparation for board discussions, judicious use of their time, educational opportunities, and the opportunity to contribute. In addition, boards should be able to expect “no surprises.” Boards will be comfortable with the CEO if they feel that he or she is being open with them. More than anything else, surprises damage the board's comfort level; members worry that other important matters are not being communicated. Finally, the board member canexpect to participate in a board that is well led, informed, experienced in proper board function, well sized, properly motivated, consistent, a unit, and respectful of management and professionals.

THE EVOLUTION OF GOVERNANCE

The focus of governance has evolved. When hospitals were being built after World War II, roles focused on stewardship, civic duty, and fundraising. Today, the focus is on management oversight, financial management, and community response. The focus of the future is on strategic performance. The board needs to ensure that it has the right expertise around the table to deal with critical issues of the time. Today, for example, boardsmay need expertise in information technology, just as in an earlier era they needed expertise in architecture and construction. Other critical issues to be addressed by boards today include declining reimbursements, physician relationships, consumer and community relationships, and philanthropy.

If boards understand their roles and responsibilities, have a proper structure including well-chosen members, exhibit appropriate behaviors, and know what is expected of them, they can live up to the challenges of the future and keep health care organizations on track for the good of the community.

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The principal perspective: full report

Lean on Me. Principal Skinner from The Simpsons. Blackboard Jungle. Articles and books have been written and movies have been made about principals, with the image of a principal as everything from an ineffective, out-of-touch authoritarian to a hard-charging leader capable of single-handedly turning around a low-performing school. What impact do principals actually have on a school? Can they turn schools around? If so, what do they do to achieve such success?

These are important questions, but until recently there has been very little research done on the principal’s role. Fortunately, that has begun to change due to increased accountability and moredata on the effect of principals. Some researchers now say that principals are second only to teachers in their impact on studentachievement (The Wallace Foundation 2012).

Recent studies have examined the relationship between principals and student outcomes, and attempted to identify what characteristics and qualifications are needed to be an effective principal, whether that’s providing staff with the resources and support they need, hiring and retaining the best talent, setting expectations for instruction, or simply gaining more experience. So what has the research found out? Let’s take a look.

What the research says: an overview

The job of principal has changed dramatically. Principals are now more than ever focusedon student achievement while still retaining their traditional administrative and building manager duties. Because of this, principals typically work 10 hour days and many believe the job is just not “doable” as it is configured now (Usdan, McCloud and Podmostko 2000).  Principals impact their students’ outcomes, particularly at the most challenging schools. When looking at factors within a school it is estimated that principals are second only to teachers in their impact on student achievement (Seashore-Louis, et al. 2010). A highly effective principal can increase his or her students’ scores up to 10 percentile points on standardized tests in just one year

(Waters, Marzano and McNulty 2003). Principals can also affect other student outcomes including reducing student absences and suspensions, and improving graduation rates. Principals in low-achieving or high poverty, minority schools tend to have a greater impact on student outcomes than principals at less challenging schools (Leithwood, et al. 2004, Seashore-Louis, et al. 2010). Unfortunately, principals typically transfer to less challenging schools as they gain experience (Beteille, Kalogrides and Loeb 2011).

Principal turnover adversely impacts schools. Although gains in student achievement temporarily slow whenever there is a new principal, the impact is felt more atthe most challenging schools. In these schools, the new principal is more likely to have less experience and be less effective than a new principal at aless challenging school, often resulting in a longer, more pronounced slowdownof achievement gains. The reason for the staffing difference is that many principals gain their initial experience at challenging schools, then transferto easier-to-manage schools as those positions open up. A study of one large urban district found that principals’ second or third schools typically enrolled 89 percent fewer poor and minority students than their first position(Beteille, Kalogrides and Loeb 2011, Miller 2009).

Effective principals retain and recruit effective teachers. Teacher turnover rates typically increase (regardless of whether teachers leave voluntarily or involuntarily) when there is a change in principals, no matter if the principals are effective or ineffective (Beteille, Kalogrides and Loeb 2011). However, less effective teachers tend to leave under an effective principal, while more effective teachers tend to leave when the school is taken over by an ineffective principal. Furthermore, effective principals are more likely to replace teachers who leave with more effective teachers (Beteille, Kalogrides and Loeb 2011, Branch, Hanushek and Rivkin 2012, Portin, et al. 2003).

Principals become more effective as they gain more experience. Just as teachers become more effective with experience, so do principals, especially in their first three years (Clark, Martorell and Rockoff 2009).  Furthermore, no matter how effective a principal was at his or her previous school, when he or she transfers to a new school it takes approximately five years to fully stabilizeand improve the teaching staff as well as fully implement policies and practices to positively impact the school’s performance (Seashore-Louis, et al. 2010). Effective principals still make significant improvements in their first few years; however, their effectiveness definitely increases over time. Unfortunately, schools that serve the most challenging students are more

likely to be led by less experienced principals than more advantaged schools (Loeb, Kalogrides and Horng 2010). Even so, although both effective and ineffective principals typically transfer to less challenging schools within adistrict, effective principals are more likely to stay at challenging schools longer than their ineffective colleagues (Branch, Hanushek and Rivkin 2012).

Being an instructional leader is a hallmark of effective principals. Effective principals are more likely to provide their teachers with the support and motivation they need to be effective teachers. For example, although both effective and ineffective principals claimed to frequently observe their teachers, effectiveprincipals make more unscheduled observations and provide immediate feedback (The Wallace Foundation 2012). 

This report will examine each of the above points in more detail.

The job of principal has changed dramatically

The role of principal has changed dramatically over the past couple of decades (Levine 2005). It wasn’t too long ago that a principal’s primary tasks were limited to making sure that the buses ran on time, ordering supplies, and addressing personnel issues (Usdan, McCloud and Podmostko 2000). Nowadays, a principal’s main responsibility is student learning (The Wallace Foundation 2012, Usdan, McCloud and Podmostko 2000). Since the administrative and building management duties have not disappeared, the average principal now puts in over 10 hours a day (Usdan, McCloud and Podmostko 2000). 

Today, principals must spend much more time in classrooms than inthe office, and they are asked to focus on curriculum and instruction as well as collecting, analyzing, and using data to improve student achievement (The Wallace Foundation 2012, Usdan, McCloud and Podmostko 2000). On top of that, they are expected torally students, teachers, and the community to help achieve thesegoals (Usdan, McCloud and Podmostko 2000). It is no surprise thatprincipals increasingly say the job is simply not doable (Usdan, McCloud and Podmostko 2000).

In response to these new responsibilities, the Interstate School Leaders Licensure Consortium (ISLLC) created a set of standards

for principals. ISLLC, a consortium of national education leadership organizations including the National Association of Elementary School Principals, the National Association of Secondary School Principals, the Council of Chief State School Officers and several others, created these standards in 1996 and most recently revised them in 2008. Among other things, the standards recommend that principals have knowledge of (Grossman 2011):

principles of effective instruction curriculum design, implementation, evaluation, and refinement principles related to implementing a strategic plan information sources, data collection, and data analysis strategies how to inspire others with the vision that all children can learn at high levels.

This is not an exhaustive list, and ISLLC standards are simply a broad set of guidelines that states can use as a model for developing or updating their own standards. However, they do showthat the duties principals need to perform are much different than those performed by principals in the last century. As the report will show, these new requirements are also essential skills principals need to improve student achievement, especiallywhen leading low-performing schools.

Principals significantly impact students’ outcomes, particularly at the most challenging schools

Principals cannot simply ride into a school on a white horse and turn around a low-performing school by themselves. However, research strongly suggests they are a key ingredient to improvinga school’s performance, especially low-achieving schools and those schools serving traditionally disadvantaged students. As the Wallace Foundation stated, “There are virtually no documentedinstances of troubled schools being turned around without intervention by a powerful leader” (Leithwood, et al. 2004). 

So exactly how much does a principal impact student outcomes, anddoes the type of school make a difference? Furthermore, does the

impact differ depending on the location of the schools, the students in the school, or the type of school they lead?

The Wallace Foundation, which has been examining principal effectiveness over the past decade, has declared that principals are second only to teachers as the most influential in-school factor in student achievement (Leithwood, et al. 2004, Seashore-Louis, et al. 2010). Out of all school-level factors,  teachers are estimated to account for more than a third of the variation in a school’s achievement (Seashore-Louis, et al. 2010). But the Wallace Foundation calculated that principals represent nearly 25percent of the variation in a school’s achievement (Seashore-Louis, et al. 2010). This is because while individual teachers have a tremendous impact on their students’ achievement, it takesmultiple in-school factors coming together to significantly improve student achievement on a large scale (The Wallace Foundation 2012).  Principals are in the unique position to bringthose factors together.

Overall impact on student outcomes

Several researchers show that principals play a significant role in student achievement. One study found that an average school led by a highly effective principal performed 10 percentage points higher than if that school was led by an average principal(Waters, Marzano and McNulty 2003). A more recent study found that, based on value-added scores, having a highly effective principal increased students’ achievement from the 50th percentile to between the 54th and the 58th percentiles in just one year, depending on the type of analysis conducted (Branch, Hanushek and Rivkin 2012). Such impact on student achievement is similar to that of reducing class size by five students (Branch, Hanushek and Rivkin 2012, Rivkin, Hanushek and Kain 2005). (Keep in mind that a principal’s impact differs depending on the level of the school, the demographics of the students in the school, and the initial performance of the students.)

There is some evidence that principals not only impact academic achievement, but other outcomes as well:

When examining principals’ impact on the number of days students miss, researchers found that student absences were lower in schools led by effective principals than when led by less effective principals. Furthermore, the impact was even greater in low-performing and high-poverty schools than in high-performing and low-poverty schools (Branch, Hanushek and Rivkin 2012, Clark, Martorell and Rockoff 2009). Over the long term, principals can impact a school’s graduation rate. Ahigh school led by a highly effective principal would have a graduation ratenearly 3 percentage points higher than a high school led by an average principal (Coelli and Green Forthcoming). But it takes time for even highly effective principals to have such an impact. On average, the effect of principals on their school’s graduation rate starts in their second year at the school. It’s not until a principal is at a school for at least four years that the full impact is evident (Coelli and Green Forthcoming).

There is limited research on the  effect of principals on non-academic outcomes. So the impact of principals on many other outcomes still needs to be explored.

Greater impact on the most challenging schools

Principals have more of an impact on student achievement in the most challenging schools – specifically, high-poverty and high-minority schools as well as low-performing schools -- than principals in less challenging schools. For example, a study by the CALDER Center found that the impact of principals, as measured by the value-added scores based on student test scores, was nearly twice as large in high-poverty schools as in low-poverty schools (Branch, Hanushek and Rivkin 2012).  Furthermore,their 2009 study also found the impact to be greater in large high-poverty schools than in large low-poverty schools, which hasbeen found in other studies as well (Branch, Hanushek and Rivkin 2009, Clark, Martorell and Rockoff 2009, Loeb, Kalogrides and Horng 2010). Similar results were found for high-minority and low-performing schools as well. See a graph illustrating these effects.

 

Greater impact on elementary schools

Principals also have more of an impact at the lower grades. As a matter of fact, principals have the greatest impact in elementaryschools, less over middle schools, and the least over high schools (Leithwood, et al. 2004, Seashore-Louis, et al. 2010). 

Although it is not clear why, it may be due to the fact that middle and high schools typically have more teachers than elementary schools. As a result, principals in these schools are less likely to provide direct supervision and support to their teachers (Seashore-Louis, et al. 2010). As with leaders in other organizations, a principal’s influence is difficult to maintain as the organization expands, and (as a later section will show) providing such support is an important factor in principal’s effectiveness.

Another reason principals may have less impact at the middle and high school levels is that teachers in these schools are usually subject-specific. Consequently, principals are unlikely to have the subject specific knowledge necessary to provide the same instructional support as elementary school principals (Leithwood,et al. 2004, Seashore-Louis, et al. 2010), and instructional

support is key toprincipal effectiveness.While middle and highschool principals shouldbe able to rely on theirdepartment heads toprovide such support,department heads don’tseem to be filling inthat gap (Leithwood, etal. 2004, Seashore-Louis, et al. 2010).Finally, elementaryschool principals mayhave more impact becausethey spend 60 to 80percent of their time inthe classroom, while theaverage high schoolprincipal’s job has notfully transitioned intoa role as the school’sinstructional leader(Grigsby, et al. 2010).However, even thoughelementary schoolprincipals have the mostimpact, as we saw in thefirst section,principals at all levelsstill significantlyaffect schoolperformance.

Principal turnoveradversely impactsschools Just as a principal’spresence can improve student

Turnaround strategies and principals

If a principal truly is one of the key ingredients to turning around a school, how dowe evaluate federal and state turnaround strategies that involve removing or replacing the school’s principal?

The research that exists seems to suggest thatwe evaluate strategies based on two factors: the effectiveness of the principal and the time allowed for a turnaround to occur.

First, a turnaround strategy that replaced an ineffective principal with an effective one could have a significant impact, because we know that effective principals can have a measurable impact on student achievement. Since teachers are an important part of a principal’s strategy, effective teachers wouldbe key to turning around a struggling school as well.

The time given for a turnaround to take place would also be key. The research shows that time affects principals’ effectiveness in two ways. First, a rookie principal makes the mostdramatic increases in his or her own effectiveness in the first one to two years ofbeing a principal. A replacement principal would ideally have at least three years of experience and have a record of success in a previous school.

Second, even an effective principal with experience needs some time to become as effective in a new setting. Looking at value-added data, it seems that a highly effective principal needs at least one to two years to become as effective in a new school.

Finally, research also shows that it takes a highly effective principal about five years tofully impact a school’s performance, particularly in terms of putting in place a staff whose vision is aligned with the principal’s and to have fully implemented policies and practices to improve student achievement. The five years has less to do with scores and more to do with institutionalizing the changes the principal

achievement, a principal’s departure can  have the opposite effect. In a studyof Miami-Dade County Public Schools (MDCPS) researchers found that students attending schools with a new principal made lower achievement gains in math than they had been under the previous principal (Beteille, Kalogrides and Loeb2011). This was true whether the incoming principal had no prior experience orif he or she was a temporary or interim principal (Beteille, Kalogrides and Loeb 2011). Yet, if the new principal at the school had previous experience atanother school, the negative impact was minimized (Beteille, Kalogrides and Loeb 2011). Similar results were found when studying principals in North Carolina as well (Miller 2009).

Tenure lengthResearch shows it takes approximately five years to put a teaching staff in place as well as fully implement policies and practices that will positively impact the school’s performance (Seashore-Louis, et al. 2010). Keep in mind, effective principalsstill make significant improvements in their first years as well (Coelli and Green Forthcoming, Portin, et al. 2003, Seashore-Louis, et al. 2010).

Yet the average length of a principal’s tenure is three to four years for the average school (Seashore-Louis, et al. 2010). In low-performing schools and schools serving disadvantaged students, the average tenure is even shorter. For example, in MDCPS, principals in the lowest performing schools had an averageof 2.5 years of experience at that school -- less than half the average tenure of principals in their highest performing schools (5.1 years) (Loeb, Kalogrides and Horng 2010).

Tenure length variesWhile annual turnover rates for principals range between 15 and 30 percent, similar to turnover rates of managers in other professions, turnover rates at more challenging schools are on the higher end of that spectrum (Beteille, Kalogrides and Loeb 2011, Boyd, et al. 2008, Clark, Martorell and Rockoff 2009). For example, the principal turnover rate in MDCPS  is 22 percent, similar to that found in other large urban districts such as Milwaukee (20 percent), San Francisco (26 percent) and New York City (24 percent). However, within MDCPS the turnover rate rises to 28 percent for the district’s highest-poverty schools,

compared to an 18 percent turnover rate in their lowest-poverty schools (Beteille, Kalogrides and Loeb 2011). Similar results were found examining New York City schools (Clark, Martorell and Rockoff 2009). And when challenging schools lose an effective principal, that principal is likely to be replaced by a less-experienced and less-effective principal (Beteille, Kalogrides and Loeb 2011, Branch, Hanushek and Rivkin 2012). See graphs illustrating these effects.

 

 The good news is that the most effective principals are more likely to remain at a school for at least three years, even at challenging schools, than the least effective principals (Branch,Hanushek and Rivkin 2012). At more challenging high-poverty

schools, 67 percent of the most effective principals return for afourth year (Branch, Hanushek and Rivkin 2012). In contrast, lessthan two-thirds of the least effective  principals return to those schools(Branch, Hanushek andRivkin 2012). Soalthough morechallenging schoolshave greaterprincipal turnover,the most effectiveprincipals havelonger tenures thanineffectiveprincipals (Branch,Hanushek and Rivkin2012, Seashore-Louis,et al. 2010).

Effective vs. ineffectiveprincipalsIn general,ineffectiveprincipals exhibitmore turnover thaneffective principals. While there is little indication that ineffective principals leave the profession at a higher rate thaneffective principals, there are indications that they change jobsmore often. While ineffective principals stay for shorter periodsat challenging schools, they also stay for shorter periods at alltypes of schools. Given the negative impact principal turnover has on student achievement, ineffective principals’ short tenuresare another way they negatively impact schools.

It is noteworthy, then, that principals who leave rarely leave the profession – they simply transfer to a less challenging school (Branch, Hanushek and Rivkin 2012). While in other professions managers often leave after periods of poor performance, the vast majority of principals who leave a school –even ineffective ones -- do so voluntarily and typically transfer

What do we mean by "effective"?

In this paper, an “effective” principal is definedas one whose students make greater than average gains than similar students in other schools. Those gains are calculated using value-added growth models, which compare the change in studentachievement from one year to the next of a large group of students with similar demographic characteristics and prior achievement. Students who attend a school led by a principal with high value-added scores would, on average, make greaterachievement gains than if they attended a school led by a principal with lower value-added scores. In contrast, students attending a school led by anineffective principal would, on average, make fewer gains than if they attended a school led by an average effective principal. (For a fuller explanation of value-added models and scores, see “Measuring student growth.”)

within the district (Beteille, Kalogrides and Loeb 2011, Branch, Hanushek and Rivkin 2012). For instance, nearly 80 percent of  the least effective principals in high-poverty schools in Texas continue to be  principals in the state (Branch, Hanushek and Rivkin 2012). While ineffective principals are leaving more challenging schools, they are simply transferring to less challenging and higher performing schools where their ineffectiveness is masked by their new school’s already-high performance. To put it simply, while students in schools led by ineffective principals may be high achieving, they could be even higher achieving if they were led by an average or highly effective principal instead.

Why turnover happens and what might decrease itThe major reason for principal turnover, especially in high-poverty, high-minority schools, is the desire to lead less challenging schools, which often translates into principals transferring into higher achieving schools that tend to enroll fewer poor and minority students (Beteille, Kalogrides and Loeb 2011, Clark, Martorell and Rockoff 2009, Loeb, Kalogrides and Horng 2010). For example, in Miami-Dade County Public Schools (MDCPS) a principal’s second or third school had 89 percent fewer poor and minority students than their first school, as well as fewer low-achieving students (Beteille, Kalogrides and Loeb 2011). However, for principals whose race is the same as the largest student racial group in the school this is less likely to be the case (Loeb, Kalogrides and Horng 2010). 

When researchers looked more deeply into why principals transfer to less challenging schools it turns out that a principal’s desire had less to do with the student demographics than working conditions (Loeb, Kalogrides and Horng 2010). Schools that serve a large number of low-income and/or minority students tend to have more difficult working conditions such as inferior facilities, fewer instructional resources, and less qualified staff among others. Most principals are not paid extra to work inmore difficult conditions, The only way they can mitigate these conditions is by transferring to a school that is less demanding schools that tend to be lower-poverty schools (Beteille, Kalogrides and Loeb 2011, Loeb, Kalogrides and Horng 2010).  So

principals often use more challenging schools as stepping stones to lead less challenging schools as they gain more experience (Beteille, Kalogrides and Loeb 2011, Clark, Martorell and Rockoff2009, Loeb, Kalogrides and Horng 2010). 

Finally, the five-year mark is important. The probability of principals leaving their current school increases each year for the first five years of tenure within a school and decreases for principals with tenures of at least six years (Branch, Hanushek and Rivkin 2012).

Turnover’s implicationsTaken together, research shows that stable leadership at a schoolhas a positive impact on a school’s performance. Unfortunately, our lowest performing schools serving our most disadvantaged students have the least stable leadership. This has led to many of these schools being led by less experienced, less qualified, and less effective principals (Loeb, Kalogrides and Horng 2010). To make matters worse, once principals serving these schools gainexperience and become more effective, they prefer to transfer to schools that are higher-performing and serve fewer disadvantaged students. Such frequent turnover negatively impacts student achievement as well as teacher turnover. Providing a more stable,effective school leadership for our most disadvantaged and low-performing school would likely have a significant impact on the outcomes of the students attending those schools.

The negative impact of principal turnover also highlights the importance of hiring effective principals for the most challenging schools in the first place. Since principal turnover negatively impacts student achievement for multiple years, hiringan ineffective principal can negatively impact student achievement for several years, even if he or she is replaced by an effective principal.

Such findings have implications for federal and state turnaround policies, which often offer the option of replacing the principal. However, consistently replacing a principal can actually harm a school, since high principal turnover would negatively impact the school’s performance (Beteille, Kalogrides

and Loeb 2011). On the other hand, such a strategy can have a significant impact on the school’s performance if the new principal is highly effective and is given at least five years toimprove the quality of the teaching staff and implement policies and practices focused on high achievement for all students. Simply replacing a principal in a failing school may actually do more harm than good; but replacing an ineffective principal with a highly effective principal while providing incentives for the new principal to remain at the school for more than five years could have a dramatic impact on the school’s achievement and other outcomes.

Effective principals improve teacher quality

Now that we know that principals impact schools, how do they do it? A main way is through increasing the effectiveness of their teachers. They do this by retaining and recruiting effective teachers, and by providing teachers the resources and support they need to maximize their impact on student achievement.

As we will show in this section, teacher turnover rates increase when there is a change in principals, no matter if the principalsare effective or ineffective (Beteille, Kalogrides and Loeb 2011,Miller 2009). However, the less effective teachers are more likely to leave a school when taken over by an effective principal and they tend to be replaced by more effective teachers. In contrast, ineffective principals see more of their effective teachers leave (Beteille, Kalogrides and Loeb 2011, Branch, Hanushek and Rivkin 2012). The next section will go into more detail on how principals can increase their teachers’ effectiveness by providing instructional support.

Keep in mind that isolating a principal’s impact on recruiting and retaining effective teachers is difficult due to a multitude of outside influences. So while these results should be viewed with some caution, they still provide some insight into the impact principals have on the effectiveness of their teaching staff.

Teacher turnover increases with a new principal

Teacher turnover increases whenever there is a new principal, no matter how effective the principal is. Overall, the odds a teacher will leave a school are 17 percent higher when a new principal enters (Beteille, Kalogrides and Loeb 2011). And teacher turnover increases for two years following the departure of the previous principal (Miller 2009).

But simply having a new principal doesn’t provide the full story on why teachers leave a school. The previous experience of the incoming principal affects a new principal’s impact on teacher turnover (Beteille, Kalogrides and Loeb 2011). For example, teacher turnover is greater when the new principal has little or no previous experience as a principal (Beteille, Kalogrides and Loeb 2011). Moreover, teacher turnover is even greater under temporary or interim principals (Beteille, Kalogrides and Loeb 2011).

As principals gain experience in a particular school, teacher turnover decreases. For example, compared to a new principal, theteacher turnover rate is 1 percent point lower in schools where the principal has five or more years of tenure. Effectively, thismeans around 10 percent fewer teachers leave (Clark, Martorell and Rockoff 2009, NCES 2011). And the odds of teacher turnover are reduced 4 percentage points for every extra year a principal remains at a school (Beteille, Kalogrides and Loeb 2011). So, more stable leadership at a school leads to a more stable teaching staff, which can contribute to a more effective teachingstaff.

However, a new principal may come into the school expressly to remove ineffective teachers and replace them with more effective teachers. Some studies have shown that effective principals are more likely to aggressively weed out ineffective teachers as wellas recruit new teachers more carefully (Portin, et al. 2003). More effective principals also lose fewer effective teachers (Branch, Hanushek and Rivkin 2012), probably by creating a more favorable working environment (The Wallace Foundation 2012). So effective principals are more likely to improve their teaching staff by retaining and recruiting effective teachers.

Conversely, the least effective principals lose a greater share of their most effective teachers. In fact, ineffective principalsnot only drive effective teachers out of their school; they drivetheir most effective teachers out of their district (Branch, Hanushek and Rivkin 2012). To make matters worse, the impact is greater at high-poverty schools. In these schools, effective teachers are more likely to leave a school led by an ineffective principal (Beteille, Kalogrides and Loeb 2011). Since high-poverty schools typically have less favorable working conditions,it makes sense for effective teachers to leave a school where theprincipal is not making it any easier. 

Principals impact their teachers’ performance

Effective principals not only recruit and retain effective teachers, they also improve the effectiveness of the teachers they do have (Seashore-Louis, et al. 2010). They do this by improving teachers instructional abilities (Robinson, Lloyd and Rowe 2008, Seashore-Louis, et al. 2010). In general, effective principals are strong instructional leaders who consistently provide constructive feedback to new and veteran teachers alike on how to improve instruction, which will be expanded upon in a later section. However, it takes time for principals to have suchan impact -- which is one reason why principal turnover has an adverse affect on schools.

Even teacher absences are lower under more effective principals (Miller 2009). Furthermore, teacher absences decline as a principal’s effectiveness increases (Miller 2009). A possible explanation is that teacher morale is higher in schools led by effective principals, and happier teachers are less likely to be absent (Miller 2009). As such, students spend more time being taught by an effective teacher rather than a substitute.

Principals become more effective as they gain more experience

Finally, what makes an effective principal? Unlike teachers, where research shows a strong correlation between a combination of certain teacher characteristics and student outcomes (Center

for Public Education 2005), itis less clear which principalcharacteristics are associatedwith higher student outcomes.However, some reliableresearch is starting toemerge.

Two studies by the CALDERCenter provide importantinsights into what principalcharacteristics affect studentachievement. One study, byCoelli and Green, examinedprincipals in New York City,while another study, byBranch, Hanushek, and Rivkin,examined principals in Texas.Other studies by variousorganizations such as theWallace Foundation have alsoexamined the connection between principals and student outcomes. All the studies have come to a fairly similar conclusion: that principals become more effective with experience.

Experience as a principal

Research is quite clear that new principals become more effectiveas they gain experience (Beteille, Kalogrides and Loeb 2011, Branch, Hanushek and Rivkin 2012, Clark, Martorell and Rockoff 2009, Coelli and Green Forthcoming, Seashore-Louis, et al. 2010).Just like teachers, principals make significant improvement in their first couple of years, then make more modest improvements in the following years (Clark, Martorell and Rockoff 2009, Coelliand Green Forthcoming). For example, one study found the difference in the effectiveness of a first year principal and a third year principal to be similar to the difference in the effectiveness of a first year teacher and a second year teacher (Boyd, et al. 2008, Clark, Martorell and Rockoff 2009). Other

The impact of an effective principal

Schools that have highly effective principals:

Perform 5 to 10 percentage pointshigher than if led by an average principal Have fewer student and teacher absences Have effective teachers stay longer Typically replace ineffective teachers with  more effective teachers Have principals who are more likely to stay for at least three years Have principals who have at leastthree years of experience at that school

Effective principals have the most impact in elementary schools and in high-poverty, high-minority schools.

researchers have found the difference to be a bit smaller, but still significant (Branch, Hanushek and Rivkin 2012).

Many qualifications have little effect

What about other characteristics, such as previous experience in other jobs or level of education? Surprisingly, very few have shown a relationship to principal effectiveness. Here are some ofthe characteristics that have been studied:

Years of experience as a teacher or an assistant principal: no. When it comes to principals, almost all have previous experience as a teacher. Many have previous experience as an assistant principal as well. But the amount of time served in these positions does not seem toimpact principals’ effectiveness. A study based in New York City found that the number of years a principal was a teacher or was an assistant principal had no bearing on how effective he or she was as a principal (Clark, Martorell and Rockoff 2009). However, a new principal who had previously been an assistant principal atthe same school was initially more effective than other new principals (Clark, Martorell and Rockoff 2009). The impact was short-lived; other new principals were just as effective after gaining experience (Clark, Martorell and Rockoff 2009).

Education: no. Since most principals in the sample studied have a M.A. degree, it is not possible to examine the impact of having aM.A. degree vs. not having one. However, researchers were able toexamine the impact of a principal’s college. They found that (unlike teachers) the selectivity of a principal’s college, whether undergraduate or graduate,  had no bearing on his or her effectiveness as a principal (Clark, Martorell and Rockoff 2009).

Principal training programs: sometimes. There is no clear consensus on the impact of principal preparation programs. Such programs differ dramatically not only across states but within states as well. So it really isn’t feasible for researchers to evaluate thegeneral impact of principal preparation programs on effectiveness. However, researchers have evaluated specific programs’ impact on the effectiveness of principals trained by them, and have found mixed results. It has shown that some programs consistently turn out effective principals: For example,

graduates from New York City’s Aspiring Principal Program (APP) improve their school’s performance relative to the improvement other principals would have made (Clark, Martorell and Rockoff 2009). Other programs typically do not.

Professional development: sometimes. The impact of principal professional development programs on effectiveness is quite mixed(Boyd, et al. 2008). There are some programs in New York City, such as the Cahn Fellows program, that have been shown to improvethe effectiveness of already effective principals (Clark, Martorell and Rockoff 2009). However, when the Wallace Foundationinterviewed principals across nine states, most gave their districts low marks for providing quality professional development (Seashore-Louis, et al. 2010).

So does anything other than experience consistently make a difference? It turns out that principal effectiveness has less todo with resume qualifications and more to do with actions taken on the job. Fortunately, researchers, particularly at the WallaceFoundation, have been looking at what actions effective principals take that ineffective principals don’t.

Being an instructional leader is a hallmark of effective principals

Principal effect is related most to what they do to specifically support academic learning. While individual actions contribute toa principal’s effectiveness, it is important to keep in mind thatno single action is consistently linked to improved student outcomes (Seashore-Louis, et al. 2010).

Effective principalstypically: Set goals and provide a vision. Thefoundation for being aneffective principal isestablishing a school-widevision and commitment to highstandards and success of allstudents (The WallaceFoundation 2012). This isessential in creating aculture of academic successfor all students within aschool (The Wallace Foundation2012). Doing so means theprincipal spells out high expectations and rigorouslearning goals all studentsare expected to meet (TheWallace Foundation 2012).

Not only is setting goalsimportant, but instilling the belief in teachers that they can reach these goals is, too (Seashore-Louis, et al. 2010). Principals who are able to inspire their teachers in this way have a small but positive impact on student achievement (Seashore-Louis, et al. 2010).

Share leadership. The most effective principals do not do it alone. They share leadership responsibilities with their teachers and other administrators (Seashore-Louis, et al. 2010). This does notmean that principals sacrifice their authority over a school. To the contrary, principals that effectively share leadership still actively monitor and support those tasks to ensure everyone is progressing towards the school’s goals (Seashore-Louis, et al. 2010, The Wallace Foundation 2012). In schools that had high levels of such shared leadership, the principals rarely assigned purely administrative work to teachers or other professionals in the school (Seashore-Louis, et al. 2010). So, shared leadership

Characteristics of an effective principal

Principals who are highly effective aremore likely to:

Have at least more than three years of experience overall Have at least three of experienceat that school Share leadership responsibilities, rather than just delegate paperwork Have a clear sense of instructional goals Give ongoing, informal feedback and support toward those goals Conduct unannounced, informal teacher evaluations or classroom visits and give feedback afterward Have school boards and superintendents who exhibit a clear vision of what constitutes a good school and create a framework that gives principals both autonomy and support to reach those goals

is primarily focused on meeting a school’s goals, not simply spreading out the workload.

Are instructional leaders. Principals that provide teachers with instructional leadership improve student achievement (Seashore-Louis, et al. 2010). As a matter of fact, a principal’s instructional leadership has about three to four times more impact on student achievement than “transformational leadership,”where principals focus on motivation and improving the morale of their teachers (Robinson, Lloyd and Rowe 2008). Principals show instructional leadership by setting a culture within the school that supports continual professional learning and by taking explicit steps to support individual teachers (Seashore-Louis, etal. 2010).

There are several ways teachers say principals provide instructional support:

by emphasizing the value of research-based strategies and applying themeffectively to their own school (Seashore-Louis, et al. 2010). by encouraging teacher collaboration (The Wallace Foundation 2012) by providing more time for teacher planning (The Wallace Foundation 2012)

Principals with these characteristics are rated higher in supporting improved instruction and this in turn improves studentachievement (The Wallace Foundation 2012).  Principals also provide instructional support by monitoring theirteachers’ work. But The Wallace Foundation found a great contrastbetween effective and ineffective principals in how they do this.(The Wallace Foundation 2012). Effective principals provide support by having ongoing and informal interactions with teachersthroughout the year; they don’t simply wait for the annual formalevaluations to provide feedback to their teachers (The Wallace Foundation 2012).  While both sets of principals said they frequently visit classrooms, effective principals made more frequent and spontaneous observations of classroom instruction sothey could provide direct and immediate feedback to help improve their teachers’ performance, no matter if  the teacher was a 

novice or a veteran (Seashore-Louis, et al. 2010). In contrast, ineffective principals still made classroom visits, but they wereusually planned in advance and they rarely provided feedback to teachers afterward (Seashore-Louis, et al. 2010).

The Wallace Foundation found that principals who were highly rated overall by their teachers ranked high in both giving specific instructional guidance and setting an overall tone of research-based instruction (Seashore-Louis, et al. 2010). And it’s interesting to note that principals rated highly in developing this type of instructional climate were more effectivethan principals rated highly in “developing an atmosphere of caring and trust” (The Wallace Foundation 2012).

Support from their districts. The principals interviewed by the Wallace Foundation believed that districts can have the greatest role in improving their effectiveness by providing (Seashore-Louis, et al. 2010):

Strong guidance on curricular and instructional improvements; and Guidelines to help shape and support motivation for change within theirown schools.

In districts that provided such guidance, teachers also rated their principals as more effective instructional leaders (Seashore-Louis, et al. 2010). Furthermore, in high-performing districts, district leaders believed they could develop effectiveprincipals by setting expectations for certain leadership practices (Seashore-Louis, et al. 2010). On the other hand, lower-performing districts believed that principal effectiveness was simply attributable to innate personal traits (Seashore-Louis, et al. 2010).

Other research shows that in districts that are highly supportiveof their principals, districts and school board leaders exhibit aclear vision of what constitutes a good school and create a framework in which the principal has the autonomy to work with teachers on an improvement agenda with support from the district (Bottoms and Schmidt-Davis 2010). On the other hand, if the district does not provide clear goals or set a vision beyond basic ”test prep,” even the most capable principals will likely

be nothing more than caretakers while presiding over schools and teachers that lack direction (Bottoms and Schmidt-Davis 2010).

To set goals and vision, the district must develop a strategic plan that manifests their vision (Bottoms and Schmidt-Davis 2010). By doing so, districts can give principals more autonomy to make decisions within the framework of the strategic plan. At the same time, principals can also be held more accountable for their school’s improvement (Bottoms and Schmidt-Davis 2010). (Formore information on doing so, see The Key Work of School Boards, developed by NSBA.)

While autonomy is important, principals need the support of theirdistrict to be effective (Bottoms and Schmidt-Davis 2010). Hence,district leaders play an important role on the impact their principals have on their schools by supporting them in the following ways (Bottoms and Schmidt-Davis 2010):

Developing tools and processes principals can use to ensure instructionis aligned to the district’s goals and standards. Investing in high quality professional development for principals and teachers. Setting a culture and support for the use of data beyond simple test scores to improve student outcomes. (For more informationon how to do this, visit the Center’s site, Data First, at www.data-first.org.) Regularly identifying promising principal candidates within schools andhelp create a smooth transition when a principal decides to the leave the school.

Conclusion

Research clearly shows that principals are a key ingredient in the performance of their school, especially if that school enrolls a large number of low performing and/or poor and minoritystudents. Unfortunately, challenging schools are more likely to be led by less experienced and less effective principals even though principals have a greater impact on these schools than on less advantaged schools. Although effective principals tend to remain at these challenging schools longer than ineffective principals, most effective principals transfer to less challenging schools within the district -- not because of the

students but because of their desire for better working conditions. Being a principal is hard work but being a principal in a challenging school that lacks much needed resources is even harder so it is no wonder most principals gravitate to less challenging schools, especially since there is typically no difference in pay.

So while the No Child Left Behind Act (NCLB) and other policies of the past decade have mainly focused on teachers to close achievement gaps, research shows that focusing on principals could have a strong impact on turning around low-performing schools and propel student learning. Experienced principals who focus on instructional leadership, give specific, informal feedback to teachers, and share the workload can have a significant, measurable impact on student achievement.

More than a head disciplinarian or a glorified schedule-maker, the principal of today’s school is a leader. While teachers may have the primary influence on student achievement, individual teachers cannot do it alone. An effective principal is needed to maximize teachers’ individual effectiveness as well as the school’s effectiveness as a whole. School boards, educators and policymakers who focus on supporting the principal’s role as instructional leader will be supporting what’s best for students as well.

Questions for School Boards How are principals evaluated for effectiveness? Are evaluations linked to student achievement? Are evaluations linked to the district’s goals and strategic plan? Do all students have equal access to effective or experienced principals? What incentives does your district give principals to lead challenging schools? What kind of professional development does your district provide principals? Has the school board read and discussed the ISLLC standards? How does the district handle ineffective principals?

What is the principal turnover rate in your district? How does it vary by school? What could your district do to decrease the turnover rate to the key period of three to five years? How does your district identify potential principals? How effective are principal preparation programs? Are these preparation programs aligned to the needs of the district?

Published April 2012. Copyright Center for Public Education.This study was written and researched by Jim Hull, Center for Public Education's Senior Policy Analyst.

Advocates for Kids 

Understanding Your School Board

Who is responsible for public

education in Texas?

The commissioner of education, the State

Board of Education (SBOE), and the Texas

Education Agency (TEA) guide and monitor

public education in Texas. SBOE provides leadership and state

level administration as prescribed by law, and the commissioner

and TEA staff implement state education policy. Texas has

delegated much of the responsibility for education to the local

school board. Locally elected school boards are political

subdivisions carrying out a state function. Despite increasingly

prescriptive state and federal laws and SBOE and commissioner’s

rules, local school districts have significant latitude in

governing the schools.

Why are local school boards needed?

The U.S. Supreme Court has said education is perhaps the most

important function of state and local governments. Our system of

local school districts and boards of education epitomizes

representative and participatory government— citizens elected

from their community making decisions about educational programs

based on community needs, values, and expectations. School boards

are entrusted by the public to translate the needs of students

into policies, plans, and goals that will be supported by the

community.

What is the primary function of the board and

its members?

School board members are guardians of the public trust and,

through the policies they make, are ultimately responsible for

the success or failure of local public education. These policies

dictate the standards and philosophy by which schools are run and

the criteria used to judge whether they are being run well. The

board serves as the advocate for educational excellence for the

community’s youth and puts those interests first.

This responsibility often entails difficult choices, self-

sacrifice, and exposure to public criticism. However, it also

brings a great deal of personal satisfaction in sharing with

parents, staff, and students their academic successes. This

crucial responsibility and the closeness of trustees to the

voters make the local school board the purest example of

democracy our society presents.

What are some of the key roles and

responsibilities of a school board?

 

Ensure creation of a vision and goals for the district and

evaluate district success.

Adopt policies that inform district actions.

Hire a superintendent to serve as the chief executive officer of

the district and evaluate the superintendent’s success.

Approve an annual budget consistent with the district vision.

Communicate the district’s vision and success to the community.

How do school boards make decisions?

A school board is a local governmental body that can take action

only by a majority vote at a legally called public meeting. The

individual board member’s major responsibility is to study issues

facing the district, evaluate needs and resources, and, after due

consideration, vote in the best interest of all students at such

a meeting. A trustee who attempts—without board authorization—to

speak for the whole board, direct school staff members, or make

other individual decisions is exceeding his or her authority.

Who is eligible to serve as a school board

member?

There are a number of requirements to be eligible for election, a

local school board candidate must be:

1. A qualified/registered voter.

2. A resident of the district he or she desires to represent for six

months before the filing deadline.

3. A resident of the state for 12 months before the deadline.

Is there special training involved in being a

school trustee?

Trustees are required by Texas law and commissioner of education

rules to participate in three types of continuing education:

1. An orientation to local district policy and to the laws affecting

public education in Texas.

2. An annual team-building activity, taken in conjunction with the

rest of the board and the superintendent.

3. A specified number of hours each year in areas of special need.

Board members determine needs with their board annually by

reviewing the Framework for School Board Development, a document

that outlines the tasks an effective board performs in its

governing capacity. Continuing education courses that address

these needs are available through a variety of sources.

When are school board members elected?

School board elections must be held only on the second Saturday

in May or first Tuesday after the first Monday in November.

Special elections to fill vacancies that may occur between

elections also may be held as appropriate.

 

How are school boards members elected?

School district trustees are elected by popular vote. Whether an

election is by majority or plurality vote is a matter of local

policy. Terms of office vary depending on the legal

characteristics of the district. Generally, trustees serve

staggered terms so that the entire board is not up for election

at the same time.

Can citizens attend school board meetings?

Yes. School boards must meet in compliance with the Texas Open

Meetings Act and make public records available pursuant to the

Texas Public Information Act. Citizens are welcome at all school

board meetings, except in a few legally specified circumstances

permitting closed meetings. Most school boards allow citizen

participation and have policies communicating how and when

citizens contribute their input. Generally, boards set aside a

portion of the regular meeting for public comment and limit each

speaker to five minutes. This is a chance for citizens to give

input while allowing adequate time for other important board

business.

P.O. Box 400, Austin, Texas 78767-0400 • 512-467-0222Copyright 1995- 2015 Texas Association of School Boards, Inc. All Rights Reserved. Privacy Policy. Terms & Conditions of Use. Disclaimer.

School-Based Management: Changing Roles for Principals

As more and more school districts across the United States implement school-based management, principals increasingly are finding themselves in schools that have the power to make decisions about how money should be spent at the school site, what the staff mix should beand what should be taught in classrooms and how. Indeed, at last count, more than one-third of the districts responding to a recent survey reported they currently operated under some form of school-based management and another 15 percent had plans to implement SBM in the near future. Another survey conducted by the Council of Great CitySchools reported that 85 percent of member districts -- including manyof the largest districts in the nation -- had implemented some form ofschool-based management.

School-based management decentralizes control from the central district office to individual schools as a way to give school constituents -- principals, teachers, parents, and community members -- more control over what happens in schools. Often SBM is adopted for the purpose of school improvement. By empowering groups who are closest to the students, school decisions, it is thought, will be better tailored to the particular needs of students, and school performance will improve.

Thus, SBM entails changing roles. District offices no longer are in the business of telling schools what to do; instead they are moving to help schools accomplish what schools, themselves,

decide to do. Roles within schools for principals and teachers, likewise, change under SBM, as decision-making becomes a participative activity shared among various school constituents. Most forms of SBM vest decision-making authority in a council, composed of various stakeholders -- usually teachers, parents andcommunity members -- who are elected by their respective constituencies. Whereas principals are accustomed to being the primary decision-maker at the school site, this is likely to change under SBM, with teachers, parents and community members empowered to make decisions formerly in the principal's exclusivedomain. Principals may find themselves as members of councils that have a majority of teachers or a majority of members who arenot professional educators -- parents and community representatives. Further, the composition of the council and who chairs the council -- the principal may or may not be the chair -- are likely to be decisions that are out of the principal's span of control, structured by either the district or state. Finally, the principal under SBM often has little veto power overcouncil decisions.

This article focuses on the changing role of principals in SBM districts. The findings reported here are based on an in-depth study of 25 elementary and middle schools in 11 school districts in the United States, Canada and Australia.1 The districts we studied had been operating under the SBM umbrella for about four years, although some had been working at it much longer. We also looked at schools that exhibited a range of success in implementing SBM and that had achieved varied levels of success in improving school performance. Some of our schools were characterized as "actively restructuring", meaning that reform efforts had produced changes in curriculum and instructional practices; other schools were identified as "struggling", meaningthey were going through the motions of SBM but little instructional change had occurred. The role of the principal in these two categories of schools differed considerably. The differences offer guidance to help principals develop management strategies to tap the potential of SBM and improve school performance.

Strategies for Improving the Effectiveness of SBM

In studying actively restructuring and struggling schools, we found that the SBM plans most successful in improving performance were thosethat not only empowered people at the school site to make decisions, but also trained people at the school site for their new roles, providedinformation to guide decision-making, and rewarded people for performance.Thus, the most successful principals were effective in moving four resources -- power, knowledge and skills training, information and rewards -- to teachers and community members. Drawing from these successful principals, strategies for decentralizing resources in eachof these four areas are discussed below.

1. PowerEffective principals worked to diffuse power throughout the school organization to solidify and increase commitment to the reform. Thus, in addition to site councils, the schools had vertical and horizontal work groups that involved nearly all teachers in the school and often times community members and parents. Work groups typically were created by principals or the council and tended to be structured formally, with assigned members and regular meeting times. Sometimes the groups had binding authority; other times their powers were to advise the principal or the school-site council.

Many schools structured the work groups as subcommittees of the site council. The subcommittees, focused on areas such as assessment, curriculum and instruction, and staff development, offered forums for teachers and other stakeholders to get together and talk about school-specific issues. Subcommittees worked to develop council ideas into recommendations, or proposednew ideas to the council. Thus, through subcommittees, principalseffectively spread the workload of managing the school beyond thefew who served on the council.

Another, more radical model that occurred in districts that allowed schools to design their own governance systems was to usework groups in place of a council. One elementary school organized all teachers and parent representatives into five work groups -- operations, assessment and measurement, staff development, facilities, and organizational development. The

principal served on the organizational development work group, which had oversight responsibility for the budget, and attended other group's meetings by invitation. This same school had teaching teams at each grade level which were given substantial decision-making power over curriculum and instruction.

In addition to these permanent structures, principals sometimes created ad hoc committees when a specific need arose. For example, many principals created ad hoc interview committees as part of the hiring process, or created ad hoc committees to handle a crisis or to explore grant opportunities or a new thrustfor the school.

2. Knowledge and Skills TrainingPrincipals in actively restructuring SBM schools promoted school-wide staff development to improve the capacity of the whole school. If the school could not afford to train all staff, then a small group were trained with the expectation the teachers would share their new knowledge and skills with the whole faculty. Effective principals alsoencouraged on-site, continuous staff development and not the one-shot,"go and get" variety, which is more fragmented in nature.

Under SBM, three kinds of knowledge and skills are important and effective principals paid attention to all three. First, if stakeholders are to be able to contribute knowledgeably to decisions about school improvements, then they need training to expand their knowledge about the instructional and programmatic changes of schools, including current knowledge about teaching, learning and curriculum. Secondly, people at the school site needteamwork skills for participating in work groups and training in group decision-making and how to reach consensus. If people otherthan the principal are running meetings, then leadership trainingis needed school-wide, so that people have the skills to run meetings effectively. Finally, where teachers and community representatives are expected to assist in developing a budget or hiring staff, they need organizational knowledge which includes budgeting and personnel skills.

The effective principals were creative in obtaining professional development for the school. Looking beyond the district, principals tapped private industry for leadership training and universities to optimize resources. Bringing these resources together was part of a larger staff development strategy in whichthe principal and various stakeholders defined the school's knowledge and training needs and how services would be delivered.

3. InformationThe principal's role in information sharing was to distribute information liberally and frequently. Strategies focused on information sharing within the school, as well as keeping stakeholdersoutside the school informed. Another focus included bringing information -- ideas and research -- into the school from outside sources. Effective principals in SBM schools used a variety of strategies to share information among participants, particularly at the school site.

Principals worked with staff to develop a clear vision for the school and then worked to ensure the vision was communicated school-wide to all constituents. Some of the more successful SBM schools usedprofessional development days to bring faculty together to define the mission and goals for the school. Effective principals continuously reminded school staff of the vision and provided information about school progress.

Principals disseminated information about school/SBM activities and student performance through newsletters to the whole school community.Some principals included local businesses on their mailing lists. Effective principals also routinely distributed student tests scores to staff, so they could be used to plan curriculum and instructional improvements. Many principals provided comparisons with other schools in the district with similar student populations.

Principals shared learning across schools within the same district. Effective principals found that a valuable source of information came from other principals in their district. In some districts, this was aformal process. Districts were divided into regions and principals

from the schools in each region met monthly in small groups to discusshappenings across the schools and within the district. From those meetings, principals returned to schools with advice, ideas from discussions and a sense of how the school was doing relative to other district schools.

Principals communicated to staff about research and innovative practices outside the district, such as instructional successes in different settings with similar types of students. Sometimes principals used time during staff meetings to discuss such issues; other times the presentation was less formal and more individualized -- a note or article in a teacher's mailbox, for instance.

4. RewardsAs staff members took on more responsibility and spent more time managing the school under SBM, the effective principals rewarded people for their efforts. Rewards included reduced course loads for grant writing and funding to attend professional development activities. Effective principals frequently wrote thank you notes and publicly recognized staff at faculty meetings. Some principals rewarded the whole school community rather than individuals, believingsuch an approach -- that avoided distinguishing between winners and losers -- contributed to a sense of community. Another reward for the school was achieved through increased visibility in the community. Effective principals initiated school recognition by taking a more active role in local public relations activities and making teachers more visible in the community. Often times the schools were rewarded by in-kind donations and financial contributions.

A lack of formal reward structures, which has been a long-standing issue in education, could be a impediment to the successof SBM. However, where principals rewarded efforts, a support system was established for teachers. Building on the intrinsic motivation of teachers was a useful mechanism for principals to encourage people to use their capabilities to achieve school goals. Principals achieved this by creating a school atmosphere

that supported teacher involvement in decision-making and curriculum and instructional innovations.

New Roles for PrincipalsEffective principals in the actively restructuring SBM schools we studied were spending considerable amounts of time helping to empower,train, inform and reward their staff. As a consequence, we began to see evidence of emerging new roles for principals.

Designer/Champion of Involvement StructuresPrincipals helped to develop decision-making teams that involved various stakeholders to provide them with opportunities for conversations around school-specific issues. Principals invested the teams with real authority by carving out discrete areas of jurisdiction.

Motivator/Coach to Create a Supportive Environment.Principals worked to communicate trust, encourage risk-taking, communicate information and facilitate participation in SBM.

Facilitator/Manager of ChangePrincipals encouraged staff development as an ongoing, school-wide activity. Principals provided tangible resources (money, equipment and materials) and intangible resources (time, opportunities) to staff to assist in the school improvement process.

Liaison to the Outside WorldPrincipals brought into the school new ideas and research for thinking about teaching and learning. Principals solicited donations of funds and materials, and encouraged grant writing among staff to boost school resources. Principals also ran interference for teachers by filtering out unnecessary distractions which freed up teachers to focus on teaching and learning.

Principals in SBM schools will need to balance a variety of roles. Theprincipal role is evolving from direct instructional leadership to a broader role of orchestrating decision making, often through teams of teachers, and interacting with a wider range of individuals, includingcommunity members and other stakeholders.

NotesThis work is part of the Studies of Education reform program supportedby the U. S. Department of Education, Office of Educational Research and Improvement, Office of Research, under Contract RR 91-172002. The program supports studies and disseminates practical information about implementing and sustaining successful innovations in American education. This research has also received generous support from the Carnegie Corporation of New York and the Consortium for Policy Research in Education (CPRE). The opinions expressed in this article do not necessarily reflect the position or policy of the U. S. Department of Education, the University of Southern California, the Carnegie Corporation or CPRE, and no official endorsement should be inferred.

1. See the following two Finance Briefs authored by Priscilla Wohlstetter and Susan Albers Mohrman for more information: School-Based Management: Promise and Process (1994) and School-Based Management: Strategies for Success (1993). Both of these are available from the Consortium for Policy Research in Education, Rutgers University, New Brunswick, N.J.

-###-

[School-Based Management: Promise and Process] [How Schools Make School-Based Management Work

Parent Involvement

"When schools, families, and community groups work together to support learning, children tend to do better in school, stay in school longer, and like school more." That's the conclusion of a recent report from the SouthwestEducational Development Laboratory. The report, a synthesis of research on parent involvement over the past decade, goes on to find that, regardless of

family income or background, "students with involved parents are more likely to:

Earn higher grades and test scores, and enroll in higher-level programs; Be promoted, pass their classes, and earn credits; Attend school regularly; Have better social skills, show improved behavior.

Administrative Roles and Functions

ADMINISTRATIVE ROLES and RESPONSIBILITIES

2011 – 2012   

ADMINISTRATOR STATEMENT ofPURPOSE

PRIMARY TASKS SHARED TASKS

 Nicole Saginor

Superintendent

And

SchoolImprovement

Grant Director

District Level

 

Purpose: to oversee all functions ofthe St. Johnsbury School District andguide its overall direction, and is accountable directly to the St. Johnsbury School Board

Primary function: Support, provide guidance, and

1)    CEO-Carry out Board policies; advise Board;

2)    Responsible for compliance with laws and rules;

3)    Provide formal reports for Commissioner;

4)    Identify educational goals with staff;

5)    Hire all non-licensed personnel;

6)    Meet with final licensed candidates; make final reference

1)    Budget preparation andpresentation

2)    Public relations

3)    Grant-writing

supervise the administrative team to ensure that essential functions are carried out in compliance with all state and federal laws, regulations,and utilize our most current knowledge ofbest practices for teachingand learningwith concernfor all adults and students in the district

 

checks; nominate all licenses candidates to Board;

7)    Supervise all District administrators, two Principals, and Technology Coordinator;

8)    Budget with all administrators;

9)    Contract negotiations with Board;

10)  Prepare CFP with all administrators;

11)  Truancy.

 

1)    Chair School Improvement Grant team;

2)    SIG application and grant writing

3)    Ensure compliance with state and federal rules;

4)    ViiM – District representative;

5)    Support mentors;

6)    Supervise after-school program.

 

  

ADMINISTRATOR STATEMENT ofPURPOSE

PRIMARY TASKS SHARED TASKS

 Deb Sanders-

Dame

Director ofStudentSupportServices

District Level

Purpose: tooversee allprograms related to all specialservices for students who are theresponsibility of the St. Johnsbury School District, accountabledirectly tothe Superintendent and theSt. Johnsbury School Board

Primary function: provide direction, assistance,and supervisionto all faculty andstaff providing special services tostudents who

1)    Special education compliance: 

2)    IDEA-B grants;

3)    Special education teachers – evaluations/programs/professional development;

4)    Special ed paraeducators;

5)    504 procedures/compliance;

6)    Homeless designation/vouchers;

7)    OT/SLP/PT evaluator;

8)    Out-of-District placements;

9)    Medicaid: billing, generating revenue, and expenditure;

10)  SEER; (Report to State)

11)  High school students;

12)  ESL/ELL Programming;

13)  EEI grant re: 3-year-olds;

14)  Psychologist/Home-School Coord.;

1)    Paraeducator professional development;

2)    Substitutes– emergency placements when short;

3)    Truancy forspecial ed students;

4)    Assignment of office/classroomspaces for special education programs;

5)    Special Ed.Residency;

6)    Summer School.

 

 

qualify, ensuring compliance with all laws and regulationsas well as alignment with current best practices

 

15)  Kindergarten and Pre-K transition classes – summer;

16)  Paper work/reports pertaining to Pre-K.

 

Kathy Ducharme

BusinessManager

District Level

 

Purpose: tooversee allfiscal functions and services ofthe St. Johnsbury School District, accountabledirectly tothe Superintendent and theSt. Johnsbury School Board

Primary Function: responsiblefor maintainingaccurate financial records, provide timely and accurate informationto the

1)    Supervise District Business Office procedures and personnel;

2)    Financial controls;

3)    Financial reports: SEER,grants, Department of Education, Department of Labor, etc.

4)    Financial procedures: forms, flow of responsibility;

5)    Final budget preparation;

6)    Contract preparation andcontrol.

1)    Special ed service plan with Director ofStudent Support Services;

2)    CFP/SIG grants with Superintendent;

3)    Budget preparation withall administrators;

4)    Staff placement, hiring, firing, leaves with all administrators;

5)    Purchase orders and all purchases with all administrators;

 

School District, the State, and Federalentities, ensuring compliance with all laws and regulations

To oversee and supervise the functions of the business office, including but not limited to budget preparation, payroll, accounts payable, and contract costs, and to serve asa member ofthe administrative team toprovide guidance inall fiscal matters.

 

  

ADMINISTRATOR STATEMENT ofPURPOSE

PRIMARY TASKS SHARED TASKS

 BerniceBurroughs

Principal forGeneral

Operations

 Building Level

 

Purpose: to oversee the climate and behavior management systems and general operations of the St. Johnsbury School, responsible directly to the Superintendent and accountable to the St. Johnsbury School Board

Primary function: provide authority, enforcement,accountability, consistency,and follow- through supervision of personneldedicated toall behavioral and climate structure functions tohelp make

1)    Behavior and climate

2)    School closings

3)    Assignment of teacher duties

4)    Student attendance;

5)    Supervision of faculty and staff members: Healthy Schools:guidance, nurses, behavior coach, student support centers, food service, maintenance, athletic director;

6)    Fire drills/evacuations;

7)    Emergency Handbook;

8)    Parent/Student Handbook;

9)    Schedules

10)  Assignment of office/classroom space

11)  Substitutes (hiring);

12)  PIRC (Parent Involvement Committee)

13)  Farm-to-School Grant;

14)  Fresh Fruit and

 

1)    ViiM (PBIS).

 

 

teachers, staff, and students feel safe ona day to daybasis

 

Veggies Program grant;

15)  Budget for general supplies and healthy schools;

16)  Lost and Found.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 Martha Dubuque

Principal forInstructional

Programs

Purpose: to serve as theinstructional leader of the St. Johnsbury

1)    Supervise and evaluate classroom, support, and U/Arts teachers;

2)    Supervise regular

1)    ViiM (Literacy);

2)    Plan professional development for

Building Level

 

School and oversee all academic andinstructional functions,responsible directly to the Superintendent and accountable to the St. Johnsbury School Board

Primary function: To provide leadership, authority, consistency,and supervision for all activities aimed at delivering academic excellence and equity for all teachers andstudents as informed by current bestpractice, and ensure compliance with assurances required by state guidelines

 

education paras;

3)    Supervise work of academic consultants;

4)    Develop academic curriculum;

5)    Align curriculum, instruction, and assessment;

6)    Supervise instructional data analysis;

7)    Plan professional development for teachers (then keep others informed);

8)    Action planning

9)    Oversee day-to-day substitute issues;

10)  Continuum of interventions and EST process;

11)  High quality research-based instructional strategies,first level of access/teaching;

12)  PTO

13)  Instructional budget.

 

paras;

 

RESEARCH ON HISTORY LEARNING IN SECONDARY SCHOOLSThe learning of history is a complex undertaking. Cognitive research done since 1980, much of it in Great Britain and North America, has indicated that it is more difficult to learn and understand history than previously thought. Before the 1980s it was generally assumed that a gradual process of committing historical narratives–constructedaround key events, details, names, and dates (substantive knowledge)–to memory would eventually result in a sturdy understanding of the past. The body of research compiled since 1980, however, demonstrates that learning history, if it is to lead to deeper understanding, involves not only the repeated study of such narratives, but also the acquisition and use of a set of domain-specific cognitive strategies (strategic knowledge). Applying these strategies serves as the means by which the past is learned and understood. Researchers and educatorsfrequently refer to the application of these domain-specific strategies to the process of exploring and interpreting the past as historical thinking. Before examining in more detail the implications of this research for learning history, it is important to understand the nature of the domain that learners are attempting to comprehend.

History as a Subject DomainHistory is a thoroughly interpretive discipline, closer in many ways to the humanities than to the social sciences. To understand the past,learners cannot conduct controlled experiments to recreate it and thenstudy its effects. Nor can they travel back in time to witness events firsthand. And even if time travel were possible, learners would stillbe required to interpret the complex events that they were witnessing.

Access to the past is thus indirect, largely governed by artifacts andresidue left behind by those who lived it. These include diaries,

letters, journals, public records, newspapers, archeological artifacts, pictures, paintings, chroniclers' and historians' interpretations of past events, and the like. Those who make a living inquiring into the past divide the artifacts and historical residue into two types, primary and secondary sources. Primary sources include, among other things, diaries and personal journals compiled bypeople who actually witnessed or participated in an incident about which they report. Secondary sources include history textbooks or historical narratives written by someone not present at an event but who has studied and interpreted the primary sources that remain. Historical sources form a type of evidence chain or trail that must bepainstakingly pieced together into carefully argued interpretations ofpast events. This piecing-together that learners and inquirers do as they make sense of the past's artifacts and residues has been a central subject of cognitive research studies.

Substantive Historical Knowledge and UnderstandingDefining the nature of substantive historical knowledge is rife with debate. Largely, the debate turns on the matter of what constitutes historically significant events and occurrences. For roughly the firsthalf the twentieth century, those who wrote American history, for example, seemed content to concentrate on political, military, and economic achievements in the United States. It was believed that thoseachievements were the most historically significant. During the 1960s,however, a new generation of historical scholars began to redefine significance in terms of what was often called "history from the bottom up." This generation (sometimes referred to as social historians) began inquiring into the influences on the American past of a variety of sociocultural groups that had often been rendered historically invisible by previous generations of scholars. These groups include antebellum slave communities, labor movements and theirleaders, women, immigrants, and small, often marginalized, social

organizations. The social historians maintained that these overlooked groups could be seen as powerful participants in, or resistors of, important changes and developments in American history, thus (at leastin part) accounting for how change occurred as it did. To ignore such groups would be to misunderstand history. The work of social historians, with their proliferating foci and perspectives on events, has made constructing grand political-military-economic historical narratives less easy to accomplish.

This shifting terrain concerning issues of historical significance hasraised difficult questions about what history students should learn. The late twentieth-century increase in the multiculturalization of theUnited States, for example, has only added to this concern by also raising questions about whose history children should learn. Some participants in the debate, such as Arthur Schlesinger Jr., believe that all U.S. children should acquire the same "common cultural" core of substantive historical knowledge. Schlesinger defines this core largely in terms of those political, military, and economic events that made the United States the most powerful nation on earth. Knowledge of these events would be delivered by traditional, upliftingnarratives of American success stories. Current social historians, andthose who champion a more multiculturalist portrait of America, consider such definitions of core substantive historical knowledge misleading at best, and dangerous at worst, because they risk characterizing the contributions of those groups of people thought to be less significant as meaningless.

This debate has continued into the twenty-first century. What, and whose, history students have opportunities to learn about in school vary depending on how school officials define what is historically significant. To the extent that they define it in traditional narrative terms, children's opportunities to learn substantive

historical knowledge are often determined by the content of school history textbooks, which, for publishers, in their efforts to find a palatable middle ground to bolster sales, means opting in the direction of more traditional narrative treatments. To the extent thata more multiculturalized view of substantive knowledge is in play, students are more apt to study history from multiple sources, such as trade books, historical fiction accounts, and primary sources, that explore the lives of those not frequently included in the more voluminous textbook treatments.

Strategic Historical KnowledgeMuch of the cognitive research done since 1980 has centered on the nature of expertise in historical thinking, and on how novices (e.g., grade school students, college undergraduates) differ from experts (e.g., historians). This research indicates that the process of thinking historically that enables deep historical understanding requires certain strategic-knowledge dispositions. These dispositions include the capacity to: (a) read, make sense, and judge the status ofvarious of sources of evidence from the past; (b) corroborate that evidence by carefully comparing and contrasting it; (c) construct context-specific, evidenced-based interpretations; (d) assess an author's perspective or position in an account being studied; and (e) make decisions about what is historically significant. These capacities are exercised while taking into conscious account the way the learner is, by necessity, also imposing his or her own view on theevidence being interpreted.

Learning to think using these cognitive strategies is no small task. First, as historian David Lowenthal has observed, the past is a foreign country, difficult to penetrate from the locus of the present.Reconstructing historical context is troublesome because it often remains virtually impossible for "moderns" to get inside and

understand the experiences of those "ancients." Second, evidence is often sparse, and thus so open to competing interpretations that understanding events by building context-sensitive, well-corroborated interpretations is tenuous at best. Third, any attempt to construct a history of events operates on a necessary connection between a past reality and present interpretations of that reality. This connection is, however, denied because there is no method for bringing that past reality back to life to establish the full accuracy of a contemporary interpretation. There are only chains of people's interpretations of the past, some more recent than others. Learning to use the strategiesof thinking historically that enable an understanding of the past hinges on the cultivation of a number of such counterintuitive cognitive processes.

Development of Historical Thinking and UnderstandingMost of the more recent North American research on learning history has focused on either expert-novice studies, as noted, or on the relationship between how teachers teach history and how students learnto think historically. Views on how the historical thinking and understanding develop have largely been extrapolated from the expert-novice research cited above, and from studies that show how teaching can influence development among novices. Educational researchers in Great Britain–who were initially influenced in the 1970s by Piagetian developmental theories, but later abandoned them for the most part–have done considerably more work in this area. One of the more promising lines of research is called Project Chata. Chata is an acronym for Concepts of History and Teaching Approaches. The goal of Project Chata is to "map changes in students' ideas about history between the ages of seven and fourteen years. The project focused on second-order procedural understandings like evidence or cause" (Lee and Ashby, p. 201).

Preliminary results of the research on the progression of students' ideas about historical evidence and its relationship to the past indicate that naive views of history begin with the understanding thatthe past is simply a given. As students grow more sophisticated in their understanding, this simplistic view is abandoned, though historyremains relatively inaccessible. They follow this with the belief thatthe past is determined by stories people tell about it. As sophistication grows, students note that reports on the past are more or less biased. This idea gives way to noting that the viewpoint or perspective of a reporter or storyteller becomes important. Finally, students develop an understanding that it is in the nature of accountsto differ, because varying reporting criteria are used by storytellersand chroniclers.

Project Chata researchers have also studied students' development of ideas about causal structure and historical explanations. They observethat: (1) students' ideas about explanation vary widely, with some younger children having more sophisticated ideas than older children; (2) students' ideas about causation in history and their rational explanations of causal structures do not necessarily develop in parallel; (3) student's ideas about causal structures and explanationsin history may develop at different intervals, with some ideas occurring in big gains in younger children and others occurring later;and (4) progression in students' ideas about causation and explanationoccurred most markedly in schools where history was an identifiable subject matter.

Some Pedagogical ImplicationsA tentative theory of how to teach learners to think and understand history can be fashioned from the current corpus of research studies. This results in certain propositions. First, learners construct deeperhistorical understandings when they have opportunities to consciously

use their prior knowledge and assumptions about the past (regardless of how limited or naive) to investigate the past in depth. Second, as learners explore the past, attention must be paid not only to the products of historical investigation, but to the investigative processitself. Third, developing historical thinking and understanding necessitates opportunities for learners to work with various forms of evidence, deal with issues of interpretation, ask and address questions about the significance of events and the nature of evidence,wrestle with the issues of historical agency, and cultivate and use thoughtful, context-sensitive imagination to fill in gaps in the evidence chain when they appear.

Applying this theory in the classroom would mean approaching history effectively from the inside out. Teachers would structure learning opportunities by posing compelling historical questions that have occupied the attention of historical inquirers (e.g., Why did so many colonists starve at Jamestown in the winter of 1609–1610? How did antebellum slave communities construct oral cultures and to what effect?). Students would adopt investigative roles, obtaining and scouring evidence (much of it obtained off the Internet from rich archival sources now online); reading, analyzing, and corroborating that evidence; addressing perspective in accounts; dealing with questions of agency and significance; and building their own interpretations of events as they addressed the questions posed.

See also: CIVICS AND CITIZENSHIP EDUCATION; HISTORY, subentry on TEACHING OF; LEARNING, subentry on CAUSAL REASONING; LITERACY, subentry on NARRATIVE COMPREHENSION AND PRODUCTION; TECHNOLOGY IN EDUCATION, subentry on TRENDS.

BIBLIOGRAPHY

ASHBY, ROSALYN, and LEE, PETER. 1987. "Children's Concepts of Empathy and Understanding in History." in The History Curriculum for Teachers, ed. Christopher Portal. London: Falmer Press.

GREENE, STUART. 1993. "The Role of Task in the Development of Academic Thinking Through Reading and Writing in a College History Course." Research in the Teaching of English 27:46–75.

HOLT, THOMAS. 1990. Thinking Historically: Narrative, Imagination, and Understanding. New York: College Entrance Examination Board.

LEE, PETER, and ASHBY, ROSALYN. 2000. "Progression in Historical Understanding Among Students Ages 7–14." In Knowing, Teaching, and Learning History: National and International Perspectives, ed. Peter N. Stearns, Peter Seixas, and Sam Wineburg. New York: New York University Press.

LEINHARDT, GAEA, and YOUNG, KATHLEEN M. 1996. "Two Texts, Three Readers: Distance and Expertise in Reading History." Cognition and Instruction 14:441–486.

LEVINE, LAWRENCE. 1993. The Unpredictable Past: Explorations in American Cultural History. Oxford: Oxford University Press.

LOWENTHAL, DAVID. 1985. The Past Is a Foreign Country. Cambridge, Eng.: Cambridge University Press.

NOVICK, PETER. 1988. That Noble Dream: The "Objectivity Question" and the American Historical Profession. Cambridge, Eng.: Cambridge University Press.

ROUET, JEAN-FRANCOIS; FAVART, MONIK; BRITT, M. ANNE; and PERFETTI, CHARLESA. 1998. "Studying and Using Multiple Documents in History: Effects ofDiscipline Expertise." Cognition and Instruction 15:85–106.

SCHLESINGER, ARTHUR M., JR. 1992. The Disuniting of America: Reflections on a Multicultural Society. New York: W.W. Norton.

SEIXAS, PETER. 1996. "Conceptualizing the Growth of Historical Understanding." In The Handbook of Psychology in Education, ed. David R. Olson and Nancy Torrance. Oxford: Blackwell.

SHEMILT, DENIS. 1984. "Beauty and the Philosopher: Empathy in History and Classroom." In Learning History, ed. Alaric Dickinson, Peter Lee, and Peter J. Rogers. London: Heinemann.

SINATRA, GAIL; BECK, ISABEL L.; and MCKEOWN, MARGARET. 1992. "A Longitudinal Characterization of Young Students Knowledge of Their Country's Government." American Educational-Research Journal 29:633–662.

STAHL, STEVEN; HYND, CYNDY; BRITTON, BRUCE; MCNISH, MARY; and BOSQUET, DAVID. 1996. "What Happens When Students Read Multiple Source Documentsin History?" Reading Research Quarterly 31:430–456.

TAKAKI, RONALD T. 1993. A Different Mirror: A History of Multicultural America. Boston:Little, Brown.

VANSLEDRIGHT, BRUCE A. 2002. In Search of America's Past: Learning to Read History in Elementary School. New York: Teachers College Press.

WILSON, SUZANNE. 1990. "Mastodons, Maps, and Michigan: Exploring Uncharted Territory While Teaching Elementary School Social Studies." Elementary Subjects Center, No. 24. East Lansing: Center for the Learning andTeaching of Elementary Subjects, Michigan State University.

WINEBURG, SAMUEL. 1996. "The Psychology of Teaching and Learning History." In Handbook of Educational Psychology, ed. Robert C. Calfee and David C. Berliner. New York: Macmillan.

WINEBURG, SAMUEL. 2001. Historical Thinking and Other Unnatural Acts: Charting the Future of Teaching the Past. Philadelphia: Temple University Press.

BRUCE A. VANSLEDRIGHT

History has played a dominant role in the broader social studies curriculum in the United States and in other countries for at least the past 100 years. For example, in most school districts in the United States, state, national, or world history is taught in grades four through six, grade eight, and at several points in high school. In England, history forms the backbone of the social studies curriculum from primary through secondary schools. History is also a curriculum staple in continental European countries, among post-Sovietrepublics, in China, and in such places as post-apartheid South Africa.

History in the school curriculum has not been without a number of recurrent debates and controversies. Many of them stem from disputes over the goals and purposes school history should serve (e.g., political socialization and nationalist identity formation versus teaching historical habits of mind). Other issues arise in connection with questions about how, from the vastness of history itself, to define what constitutes historically significant events that should betaught. The proper role of integrating social science disciplines (e.g., geography, economics, political science) in the teaching of history is also a point of debate. Finally, various parties argue overmaintaining a relative balance between transmitting historical knowledge derived from the work of historians and teaching students tolearn to think and investigate the past the way historians do. Taking time to do both often creates time-use dilemmas within an already surfeited school curricula. Choosing between them repeatedly pits those who would use history for sociopolitical ends against those who

see history's importance as a means of teaching critical reasoning anda fuller understanding of the past.

Political Socialization of Historical Thinking and UnderstandingThe interest in securing a firm place for history in the curriculum frequently stems from its sociopolitical uses. This is especially truein the teaching of national histories. As George Orwell reminded readers in his book, 1984, control of the present (and the future) depends in good measure on control over the past. In many countries, aprincipal goal of teaching the nation's history is deeply linked to socializing future citizens, as defined by whomever controls the sociopolitical agenda at the time, conservatives, liberals, revolutionaries, or others. Perhaps no other school subject serves this political socialization purpose more than the study of history.

As political parties change or revolutions occur, new regimes attempt to rewrite history in general, and school history in particular, in order to cast themselves and their new politics and policies in a favorable light. Those disempowered by political change often resist such efforts to recast the past. Various groups use history in an effort to shape (or reshape) the nationalist identities of youth around whatever the prevailing view privileged by those in power is atany given time. In post-Soviet eastern European countries, for example, a major educational agenda has been to rewrite history textbooks and reconfigure the history curriculum since 1990.

Prior to the mid-1970s, little systematic research had been done on how history was taught in schools and what students learned from studying it. Since then, there has been a surge of interest in studying school history teaching and its learning outcomes, particularly among researchers in England and in North America. As a

result, a sizable body of scholarship has emerged. Much of it challenges the practice of using school history to advance sociopolitical ends. In general, the research indicates that the sociopolitical use of history in schools warps students' views of whathistory is as a discipline and a subject matter, tends to turn historyinto a lifeless parade of someone else's facts, and otherwise drives away students' motivation to learn the subject. History education researchers have attempted to divert the teaching of history away froman exercise in socializing students to particular partisan views; instead suggesting the aim of history as an investigation of the past and the social world.

If one of the principal goals for teaching history is to socialize grade-school students to accept certain views of a nation's accomplishments as defined by those in power, thus shaping their nationalist identities, teaching history should take on a transmissionapproach. In other words, it is likely that in history classrooms teachers would lecture or tell stories about the past via lessons drawn from textbooks sanctioned by those in political control. Research bears out this image. For much of the past century, the teaching of history in schools in many places around the world has been dominated by textbook recitations and teacher lectures or storytelling. This has been especially true in the United States.

There have been moments of change is these traditional practices such as during the "New Social Studies" movement in the United States during the 1960s and early 1970s. During this period, historians and social scientists constructed curriculum units that were designed to assist students in learning more about how historical knowledge was constructed in the discipline. Teachers were to guide students in the process of investigating the past via study of primary sources, much the way historians do. However, such efforts to promote pedagogical

and curricular change in history typically have not had lasting effects in the United States, and the traditional lecture-textbook-recitation-recall approach has remained dominant.

In England, the Schools Council History project had more lasting results. Educational and instructional changes there during the 1970s and 1980s in some ways mirrored the efforts of historians working under the auspices of the New Social Studies in the United States. Thegoal was for teachers to learn to teach students the reasoning processof historical investigators. Not only were students to study importantideas in English history, but also to learn how to read primary sources, judge their status relative to other sources, draw inferencesabout the past from them, and construct historical accounts of their own making. Research on the results of approaching history that way were generally favorable, indicating that students typically progressed in their capacity to learn to think historically as modeledby experts in the discipline itself. Data also indicated that studentsdeveloped deeper understandings of English history. The project largely succeeded in changing the way teachers taught history because teacher educators and teachers along with education researchers were all involved in changing pedagogical and curricular practices.

In 1988 the Thatcher government attempted to reverse this trend. Alarmed that children in British schools, in their view, were not receiving adequate instruction in the stories of British national and international successes, the education establishment mandated significant changes in the British national history curriculum. Those changes called for more emphasis on teaching stories drawn, for example, from the days of the British empire. Less stress was to be placed on teaching historical-reasoning processes. The changes broughton by the Schools Council project and by the work of teacher educatorsand researchers however, had been institutionalized in many places.

Reverting back to teaching history in lecture-textbook-recitation fashion became difficult. Many of Great Britain's history programs in schools therefore remain among the few in which history is taught moreas a way of learning to think historically (as a way of knowing) than as a socialization exercise in memorization and recall of a nation's grand accomplishments and celebrations.

This debate continues. Cognitive scientists interested in history education and researchers in general who study how history is taught and to what result stress the importance of teaching history more closely aligned with the way in which history operates as a distinctive discipline. Researchers such as Peter Lee and Rosalyn Ashby point to gains in students' capacity to learn important thinkingprocesses and habits of mind as they learn to understand the past moredeeply. Those who are more interested in the power of using history toforge particular nationalist identities among youth remain skeptical of teaching history as an exercise in educating thinking processes andcritical habits of mind. Generally, they prefer an approach that favors transmission of favored views of the past via lectures and textbook recitations, and a focus on stories that celebrate chosen accomplishments and historical successes.

Historical SignificanceThe debates about the purposes, goals, and uses of school history are exacerbated by the problem of choosing what constitutes historically significant events worth teaching. The very breadth and vastness of the past from which school history lessons must be chosen coupled withthe finiteness of the school day and the press for curricular room by other subjects makes this issue difficult. It would be convenient if those who devise the history curriculum in the schools could turn to the discipline and to historians for help in addressing which events and historical actors of significance to choose. The debate within the

discipline over what constitutes historical significance is perhaps even more intense than in school history. This has been especially true since about 1970 and advent of postmodernism with its deep skepticism about the veracity of Western knowledge-production projectsrooted in the scientific method. The issue of historical significance has been further exacerbated by the multiculturalization of many Western societies, rendering questions about "whose" history to teach as important as "which" history.

The problem of defining historical significance leaves history teachers, curriculum designers, educational policymakers, and politicians without much firm ground upon which to anchor their decisions about which or whose history to teach. The inability to resolve this issue, however, gives history education researchers some support in their efforts to press the importance of teaching history primarily as an exercise in habits of mind.

Time in the CurriculumTeaching history as both knowledge about a nation's history and its place in world history, and as an approach to learning a way of reasoning about the past requires more time than doing one or the other. Debates between advocates for the importance of subjects other than history can have the effect of reducing the time teaching historymight otherwise have in the overall school curriculum. To the extent that politicians exercise greater control of textbooks and history curriculum and assessment approaches (e.g., in states, provinces, or countries where a centralized curriculum dominates), teaching history is often pressed into the service of socialization. History taught as historical reasoning and understanding tends to languish in the context of overabundant time pressures.

Interdisciplinarity

In some countries, educational policymakers and curriculum developers see the teaching of history as an opportunity to integrate the social science disciplines into history syllabi. Issues arise over the right mix and relationships of such disciplines as geography and political science to the teaching of history. Some express concern that such interdisciplinary approaches effectively water down the actual teaching of history, reduce its value for students, and contribute to confusion about how to conduct appropriate assessments of student learning. Others argue that history already draws from the social science disciplines; therefore, calling attention to its interdisciplinarity makes good sense, opening up learning opportunities for students. Much like the controversies over historical significance, this issue of interdisciplinarity has not been resolved. The time factor also plays a role in this debate.

AssessmentsThe aforementioned issues and debates also intersect with questions about how to properly assess what students learn from being taught history. During the last quarter of the twentieth century, many Western countries moved closer to centralizing assessment practices inmany school subjects including history. What consequences these tests hold vary from county to country. In the Unites States, a national test of history learning (the National Assessment of Educational Progress, or NAEP, which also tests other subject learning as well) was developed in the 1980s. It tests students' capacity to both recallelements of American history as well as construct short answer responses to written prompts. As of 2001 this test was voluntary and was considered to hold low stakes for participants. However, the U.S. Congress is engaged in a debate to make the NAEP a required national test, thus making it a high-stakes test with sanctions and resource allocations related to outcomes.

Between the late 1980s and 2001 the history portion of the NAEP was given three times. During the administrations of George Bush and Bill Clinton, the data suggested that students in grades four, eight, and twelve recalled low to moderate levels of historical knowledge about the United States. Some critics, such as Diane Ravitch and Chester Finn Jr., argued that this level of recall meant that students effectively knew very little about their country and thus required even heavier doses of American history to overcome the deficits in their knowledge. Based on the growing number of in-depth studies of teaching and learning history, educational researchers such as Linda Levstik countered with the claim that more history, particularly if taught as lecture and textbook recitation, would do little to solve the problem. Reminiscent of the debates described above, the U.S. researchers called for immersing students in a pattern of historical study characterized by investigating history using strategic knowledgeborrowed from expertise displayed by historians as a means of developing more powerful substantive understandings about the Americanpast.

This debate over the most productive pedagogical approach to teaching history (e.g., more drill in the substantive knowledge of history versus instruction into and exercise of historical thinking practices to foster deeper knowledge about history) continues largely unabated.

See also: ASSESSMENT, subentry on NATIONAL ASSESSMENT OF EDUCATIONAL PROGRESS;CURRICULUM, SCHOOL; ELEMENTARY EDUCATION; GEOGRAPHY, TEACHING OF; SECONDARY EDUCATION; SOCIAL STUDIES EDUCATION.

BIBLIOGRAPHY

AHONEN, SIRKKA. 1995. "Clio Throws Away the Uniform: History Education in Transition in Estonia and Eastern Germany 1989–1990." In International Yearbook of History Education, ed. Alaric Dickinson, Peter Gordon, Peter Lee, and John Slater. London: Woburn.

CARRETERO, MARIO, et al. 1994. "Historical Knowledge: Cognitive and Instructional Implications." In Cognitive and Instructional Processes in History and the Social Sciences, ed. Mario Carretero and James F. Voss. Hillsdale, NJ: Erlbaum.

CUBAN, LARRY. 1991. "History of Teaching in Social Studies." In Handbookof Research on Social Studies Teaching and Learning, ed. James P. Shaver. New York:Macmillan.

CUTHBERTSON, GREG, and GRUNDLINGH, ALBERT. 1995. "Distortions of Discourse: Some Problematical Issues in the Restructuring of History Education in South African Schools." In International Yearbook of History Education, ed. Alaric Dickinson, Peter Gordon, Peter Lee, and John Slater. London: Woburn.

DICKINSON, ALARIC; GORDON, PETER; LEE, PETER; AND SLATER, JOHN, eds. 1995.International Yearbook of History Education. London: Woburn.

DOMINGUEZ, JESUS. 1995. "History Teaching in Spain: The Challenge of a New Curriculum." In International Yearbook of History Education, ed. Alaric Dickinson, Peter Gordon, Peter Lee, and John Slater. London: Woburn.

LEE, PETER. 1995. "History and the National Curriculum in England." In International Yearbook of History Education, ed. Alaric Dickinson, Peter Gordon, Peter Lee, and John Slater. London: Woburn.

LEE, PETER, and ASHBY, ROSALYN. 2000. "Progression in Historical Understanding Among Students Ages 7–14." In Knowing, Teaching, and Learning

History: National and International Perspectives, ed. Peter N. Stearns, Peter Seixas, and Sam Wineburg. New York: New York University Press.

LEVSTIK, LINDA. 2000. "Articulating the Silences: Teachers' and Adolescents' Conceptions of Historical Significance." In Knowing, Teaching, and Learning History: National and International Perspectives, ed. Peter N. Stearns, Peter Seixas, and Sam Wineburg. New York: New York UniversityPress.

LEVSTIK, LINDA, and BARTON, KEITH. 1997. Doing History: Investigating with Children in Elementary and Middle Schools. Mahwah, NJ: Erlbaum.

NOVICK, PETER. 1988. That Noble Dream: The "Objectivity Question" and the American Historical Profession. Cambridge: Cambridge University Press.

RAVITCH, DIANE, and FINN, CHESTER, JR. 1987. What Do Our 17-Year-Olds Know? A Report on the First National Assessment of History and Literature. New York: Harper and Row.

SHEMILT: DENIS. 1980. History 13–16 Evaluation Study. Edinburgh, Eng.: Holmes McDougall.

VANSLEDRIGHT, BRUCE A. 2002. In Search of America's Past: Learning to Read History in Elementary School. New York: Teachers College Press, Columbia University.

WERTSCH, JAMES. 2000. "Is It Possible to Teach Beliefs, as Well as Knowledge, About History?" In Knowing, Teaching, and Learning History: National andInternational Perspectives, ed. Peter N. Stearns, Peter Seixas, and Sam Wineburg. New York: New York University Press.

WINEBURG, SAMUEL. 2001. Historical Thinking and Other Unnatural Acts: Charting the Future of Teaching the Past. Philadelphia: Temple University Press.

BRUCE A. VANSLEDRIGHT

EFFECTS OF INSTRUCTIONAL

RESOURCES ON THE ACADEMIC

PERFORMANCE OF STUDENTS IN

HISTORY IN NIGERIA

BY

Dr. (Mrs.). A. A. Jekayinfa

ABSTRACT

This study was carried out to find out the effects ofinstructional resources on the academic achievement of secondaryschool students in History. For the purpose of the study, datawere collected from five hundred and five (505) form IV historystudents, eleven (11) History teachers and seven (7) principalsin eleven (11) selected secondary schools in Ogbomoso North andCentral Local Government areas of Oyo State.

Teachers and students in the sampled schools wereadministered, an investigator – constructed questionnaire.History Achievement Test was also administered on the students inthe selected schools. Results of the study indicated thatadequate supply of instructional resources have significanteffects on students’ performance in history.

Furthermore, the results revealed that schools with adequateteacher quality and material resources in History showedsuperiority in achievements on the history test than schoolswithout adequate teacher quality and material resources.

INTRODUCTION

Education, according to Coombs (1970) consists of two

components. He classified these two components into inputs and

outputs. According to him, inputs consist of human and material

resources and outputs are the goals and outcomes of the

educational process. Both the inputs and outputs form a

dynamic organic whole and if one wants to investigate and assess

the educational system in order to improve its performance,

effects of one component on the other must be examined.

Instructional resources which are educational inputs are of

vital importance to the teaching of any subject in the school

curriculum. Wales (1975) was of the opinion that the use of

instructional resources would make discovered facts glued firmly

to the memory of students. Savoury (1958) also added that, a

well planned and imaginative use of visual aids in lessons should

do much to banish aparthy, supplement inadequacy of books as well

as arouse students interest by giving them something practical to

see and do, and at the same time helping to train them to think

things out themselves. Savoury (1958) suggested a catalogue of

useful visual aids that are good for teaching history i.e

pictures, post cards, diagrams, maps, filmstrips and models.

He said that selection of materials which are related to the

basic contents of a course or a lesson, helps indepth

understanding of such a lesson by the students in that they make

the lesson attractive to them, thereby arresting their attention

and thus, motivating them to learn. He suggested a catalogue of

aids which could be used to teach history. He advocated the use

of pictures which will help children in grounding their thoughts

and feelings. He said that pictures are used as alternatives to

real objects where it is impossible to show students the real

objects, and they do serve effectively in tan imagined

activities.

It is also very vital to have sufficient and adequate human

resources in terms of teacher quality for the teaching of all

subjects in the school curriculum. Without the teachers as

implementing factors, the goals of education can never be

achieved. In order to achieve a just and egalitarian society as

spelt out in the Nigerian National Policy of Education (1981),

schools should be properly and uniformly equipped to promote

sound and effective teaching. Suitable textbooks, qualified

teachers, libraries which are adequate should also be provided

for schools. Scarcity of these, according to Coombs (1970), will

constraint educational system from responding more fully to new

demands. In order to raise the quality of education, its

efficiency and productivity, better learning materials are

needed. Knezewich (1975) also stressed the importance of having

appropriate personnel plan and adequate physical facilities to

support educational effort.

REVIEW OF LITERATURE

Several people have written on the importance of

instructional resources to teaching, Oluyori (1986) while

stressing the importance of instructional technology commented

that if the recently introduced system (6-3-3-4) in accordance

with the National Policy on Education is to be a success, then

instructional technology has a role to ply. Balo (1971)

commented that “Audio-visual materials, as integral part of

teaching-learning situations help to bring about permanent and

meaningful experience. He said that, they provide first-hand

experience where possible or of vicarious one where only that is

feasible.

In enumerating the factors that could be responsible for

varying intra-and inter-school/academic achievement, Coombs

(1970), listed four important factors including the acute

scarcity of instructional resources which he said constrained

educational systems from responding more fully to new demands’.

He claimed that, in order to do their part in meeting the crisis

in education, educational systems will need real resources that

money can buy, they will need a fuller share of the nations’

manpower, not merely to carry on the present work of education,

but to raise its quality, efficiency and productivity. They will

need buildings, equipments and more learning materials.

On human resources, various educators for example, Ukeje

(1970) and Fafunwa (1969) have written extensively on the prime

importance of teachers to the educational development of any

nation be it simple, complex, developed or developing. From the

writings of these educators, one can infer that whatever

facilities are available, whatever content is taught, whichever

environment the school is situated and whatever kind of pupils

are given to teach, the important and vital role of the teacher

cannot be over-emphasised. Assuming that necessary facilities

are adequately provided for, the environment is condusive to

learning, the curriculum satisfies the needs of the students and

the students themselves have interest in learning, learning

cannot take place without the presence of the teacher.

Teachers represent a large proportion of the input of an

educational system. Coombs (1970) observed that “the problem of

teacher supply is not one of simple numbers. It is first and

foremost a problem of quantity and of getting the right quality.

Fayemi (1991) also observed that “it is a truism that teachers

are the hubs of any educational system” that upon their number,

their quality and devotion depend the success of any educational

system”.

Fafunwa (1979) in his paper “The purpose of teacher education”

commented on the importance of teachers when he said:

“The demand for more and better schools, the need to relate curriculum to the needs of the child and the environment, the crying needs of the child and his other instructional materials, the desirability of training in vocational and technical skills, and indeed the overall problem of preparing the future citizens of Africa who will be fully oriented to their environment cannot

be fully accomplished without the aid of competent teachers” (page 36 – 37).

Fagbamiye (1977) noted that schools with stable, experienced and

qualified teachers usually have better school facilities in terms

of school buildings, books and equipments than those schools

which have difficulty in attracting experienced and qualified

staff. Numerous investigations have also been carried out to

find the effects of instructional resources on students’ academic

achievement. Eminent scholars have also contributed immensely to

report the effect of one variable on the other. Consequently,

there have been many reports from these studies which had served

as useful guides to the present one.

Akintayo (1980) did a survey of the learning and teaching

problems of history in the secondary schools in Ekiti central

local government area of Ondo State. She made use of 100

students and all history teachers in 6 secondary schools.

Questionnaires were distributed to them to respond to. 44% of the

students agreed that one of the factors affecting poor

performance in history is lack of qualified teachers to teach the

subject.

Momoh (1980) carried out a research on the effects of

instructional resources on students’ performances in WASC

examination in Kwara State. He correlated material resources

with academic achievements of students in ten subjects.

Information were collected from the subject teachers in relation

to the resources employed in teaching in five schools. The

achievements of students in WASC examinations for the past five

years were related to the resources available for teaching each

of the subjects. He concluded that material resources have a

significant effect on students’ achievement in each of the

subjects.

In the same manner, Moronlola (1982) carried out a research

in Ilorin local government of Kwara State. She also used

questionnaires to tap information on the material resources

available for the teaching of ten subjects in ten secondary

schools. She collected WASC examination results for the past

five years and related these to students’ achievements in each of

the ten subjects and to the amount of resources available for the

teaching of the subjects. She also reported a significant effect

of material resources on the academic achievements of students in

each of the subjects.

In the same vein, Popoola (1990) investigated the effect of

instructional resources on the academic achievements of students

in Ogun State. Five secondary schools in Abeokuta were used for

his study. Questionnaires were designed to elicit responses on

instructional materials that were available for the teaching and

learning of each of the three school subjects he examined. He

collected WASC examination results for five years and compared

achievements of students in schools with adequate material

resources and achievements of students in schools with inadequate

material resources. He found a significant difference in the

achievements of the two sets of students.

Akolo (1978) conducted a survey of audio-visual materials

for eight Teacher Training Colleges in Kwara State and for twelve

Teachers’ Colleges in Plateau State of Nigeria. His study

considered such elements as equipment and materials owned by each

of the selected teachers colleges, utilization of equipments and

materials owned, and the number of teachers that had some measure

of audio-visual related training. The study revealed that there

was under-utilization of instructional equipments in some areas

and non-utilization in other areas where the research was

conducted.

Purpose of the Study

The purposes of this study were:

1. To find out if there can be differences in the scores, on

the test of history, of students in schools with adequate

supply of qualified history teachers and the scores of

students in schools with inadequate supply of qualified

teachers.

2. To find out if there can be differences in the scores, on

the test of history, of students in schools with adequate

material resources in history and scores of student in

schools with inadequate material resources in history.

Hypotheses Tested

In order to identify the variables and to accomplish the

purpose of this study, the following hypotheses were tested.

1. There is no significant difference in the scores, on the

test of history, of students in schools with adequate

supply of qualified history teachers and the scores of

students in schools with inadequate supply of qualified

teachers.

2. There is no significant difference in the scores, on the

test of history of students in schools with adequate

materials resources and the scores of students in schools

with inadequate material resources.

METHODOLOGY

Sample

The study sample consisted of eleven (11) history teachers,

seven (7) principals and five hundred and five (505) Form IV

history students, drawn from eleven selected secondary schools in

Ogbomoso North and Central local government areas of Oyo State.

Instruments

Two instruments developed by the researcher were used for

the study. One of the instruments was a questionnaire designed

to tap information on instructional resources that were available

in each of the schools for the teaching and learning of history.

The questionnaire was designed for the principals, history

teachers and history students. It is a 23 item questionnaire.

Three (3) of the items were designed to tap information on the

quality of history teachers in each of the schools in terms of

their qualification, teaching experience and work loads. Ten

(10) of the items were designed to tap information on materials

for the teaching of history. The ten (10) items were of the

Likert type with a three point scale ranging from mostly used

(MU) on the one end of the continuum, to absolutely not available

(NA) on the other. The remaining ten (10) items were designed to

tap information on library facilities demanding the respondents

to answer Yes or No.

The students questionnaire comprised of (20) items on

textbooks, visuals and audio-visual aids and library facilities

that were in the teachers/principals questionnaires. The

questionnaire has two sections:

Section A deals with general information which include the name

and type of schools, the sex, nationality and status of the

respondents.

Section B (i) deals with the teacher quality in terms of the

qualification, teaching experience and work loads. Teachers only

were to respond to the section.

Section C (ii) deals with a check list of textbooks that were

recommended and useful for the teaching and learning of history

in secondary schools.

Section D (iii) deals with visuals and audio-visual aids that

might be available for the teaching and learning of history in a

particular school and Section B (iv) deals with library

facilities which the researcher feels are helpful for the

teaching and learning of history. The questionnaire was given to

some history teachers in Ogbomoso and some lecturers at the

departments of history and Curriculum Studies, University of

Ilorin to check. After some of the items were reframed, they all

attested that the questionnaire was good for the purpose it was

meant to serve.

The second instrument was the investigator constructed

History Achievement Test (HAT) which initially contained forty

(40) objective questions of the multiple choice and True or False

types. The test was based on some aspects of West African

History from 1800-1840 A.D. The pilot testing of the instrument

was done in two secondary schools that did not take part in the

research. A sample of fifty-six (56) form IV history students

were used for pilot-testing. In the item analysis that was done

on the test, item – total correlation ranged from .33 to .67. Ten

(10) items whose correlations with the total test scores on the

test were less than .35 were removed from the test. The final

test which contained thirty (30) items were then retested on the

same fifty-six (56) students who did the former test of forty

(40) items. The test-rested correlational analysis yielded a co-

efficient of .68 which was regarded as adequate for the stability

and validation measures.

Procedure

The first instrument (questionnaire) was administered to the

subjects personally by the researcher and their response rate was

high. Out of the 22 questionnaires administered to the history

teachers and principal, 18 were returned and all were found

useable for the study. Out of the 505 history students used for

the study, 55 were given questionnaires to respond to. All the

55 questionnaires administered on History students were returned.

The second instrument – History Achievement Test was

administered on the five hundred and five (505) History students

and it was supervised by the researcher with the help of the

history teachers in each school. Two schools did the test in a

day for a period of one hour (1 hour) in each school.

Statistical analysis was based on percentages, mean scores and t-

test.

Data Analysis Procedure

Teachers’ questionnaires were collected and analysed so as

to obtain data on both teacher quality and material resources

available for the teaching of history. Students’ questionnaires

were not analysed but were used to ascertain the sincerity of the

teachers in filling the questionnaire. The methods used in

scoring the items of the questionnaire was as follows.

Teacher Quality

The analysis of data on teacher quality was based on the

assumption that teachers with the National Certificate on

Education (NCE) are required to teach up to Form III in schools.

Where there are not enough graduate teachers, they can teach the

upper classes of a secondary school.

This assumption is in line with the Ashby recommendation of

1960 in Fafunwa (1976) which recommended the establishment of

N.C.E. programme to produce intermediate teachers in senior

primary school classes and junior secondary school classes, Ashby

recommendation has since been accepted and used by the Federal

and State Governments of Nigeria.

Graduate teachers are expected to teach the upper secondary

school classes i.e. Form IV and V. It is also assumed in this

study that university graduates without teaching qualification

cannot teach effectively and efficiently as university graduates

with teaching qualifications. In this study, an appropriate

higher degree is a higher degree in Education. This include

Ph.D, M.Ed or B.A. Ed of their (equivalent) plus M.A. in History

with PGDE. There are some other categories of teachers who may

be found in the secondary schools teaching history. These other

categories of teachers include Grade II; Assoicateship diploma in

education, Higher School Certificate (H.S.C.) holders. G.C.E.

O/A level certificate holders; H.N.D., O.N.D. certificate

holders.

For the various categories of teachers that might be

available for the teaching of history in each school, a five-

point rating scale was used for analyzing the data in this study

(Table 1).

It was further assumed by the researcher that the teaching

loads of history teachers can have a direct effect on their

teaching efficiency and effectiveness and this can reflect in the

academic achievement of their students in history. It was

assumed that the lesser the teachers’ work loads, the more

efficient and effective they are. The researcher assumes that 18

periods or below is about the moderate number of teaching periods

to make a teacher very effective in his teaching. For this

reason, a four point rating scale was used for the teaching loads

of history teachers. (Table 2).

TABLE 1

RATING FOR TEACHERS QUALIFICATIONS

TEACHER CATEGORY POINTS

Ph.D/M.Ed/M.A (History)

B.Ed/B.A.Ed (History)

N.C.E. (History)

B.Sc./B.A

Others

5

4

3

2

1

Working Together to Strengthen History Teaching in Secondary Schools (1998)By Kathleen Anderson Steeves

ContentsPreface Defining the Issue Teaching Issues within the Historical Profession Issues within Secondary SchoolsSchools of Education and History Education Learning Theory and Teaching History Tying It All Together: Successful Collaborations Barriers to ChangeNew Opportunities Conclusion: Moving Forward Notes

PrefaceOne of the most fundamental collaborations among historians is also the least examined. It is the shared effort of teaching historians in K-12 schools,

community colleges, and four-year colleges and universities to develop in students historical understanding and habits of thinking historically. Traditionally, each segment of the historians' community pursues its own work within its own institutional setting, with little recognition of how students'experiences bridge these gaps. The following essay assesses current issues in colleges and universities as well as in K-12 schooling, with a focus on the preparation of secondary school teachers. It also identifies new trends in thechanging nature of research and practice as they affect the history professionin the classroom. There are many issues that secondary school history teachersand college-university history faculty actually share. History educators can and must do better in engaging students in the pursuit of knowledge. History provides valuable information and perspectives embedded within a powerful analytical model, which can be especially useful in an inconsistent and rapidly changing world.

Defining the IssueLet us assume that every undergraduate who enrolls in and attends your historyclasses will at some point in his or her life teach the content presented in those classes. Graduates could become involved in government, using their historical knowledge to write legislation or present arguments for change; in business, training workers or collaborating with colleagues to write documents; in a service capacity, instructing learners overseas or locally in new technologies or about their own neighborhood structure and history; in themedia, producing or distributing information for a mass audience; in education, teaching young people who will carry the story on to future generations; or as parents, encouraging children to explore and learn.

Of those who take history courses during their K-12 or K-16 educational experience, a very small number will eventually major in history. Yet, the "habits of mind" (the perspectives and modes of thoughtful judgment) that historians believe are especially important to the understanding of history are needed by all students, no matter what their level of educational attainment is. To that much broader audience--the students in the 15,000 school systems across the United States--college and university historians must also address their teaching. A number of those we teach in college will eventually go into classrooms to teach others. In turn, some of those studentswill become the students who will move on to sit before us as the next generation's undergraduates. Consequently, how we as university historians share the content we have read and researched, as well as our excitement and interest in our subject, potentially reaches and influences many. As historians, we can build greater interest and a stronger commitment to the

study and teaching of history in secondary schools by sharing with students inour university classes, not just the end result, but the very process of historical discovery--the real data of the past, not just the conclusions of study.

Teaching Issues within the Historical ProfessionThere are numerous issues and concerns that all teaching historians share.

 1. Students in both secondary schools and colleges are often unaware of the breadth of the field of history and its presentation forms.

They lack an understanding of the field's complexity, often believing that allthe answers have been determined. Since the 1960s, when the subjects of historical study broadened to include the new "social history," the amount of material and areas of study made available for researchers and teachers of history has increased considerably. Data about minorities, women, workers, andchildren are now more often presented in historical scholarship as a central part of the story. Such new materials as probate and census records, account books, corporate memos, and worker records--often analyzed by computer statistical programs--present challenges of choice initially to the researcherand ultimately to the teacher. New forms of historical study also sometimes suggest collaborations between academic disciplines. For example, emphasizing the interrelationships of economics and social class might link economists andhistorians; the study of workers and managers could join history and business departments; and research on women and social policy often puts women's studies and policy research on the same team.1

Another vital shift in content and conceptualization involves the increasing movement to teaching world history in the schools. In this instance current college curriculums may have less to offer future K-12 teachers than is true with social history. To be sure, colleges that train future teachers are increasingly likely to have an introductory world history course that at leastmodels issues that must be faced in dealing with world history in the schools.But conceptualizing world history remains a challenge, all the more so in colleges that offer no world history course at all; and the lack of a follow-up courses, which can go beyond introductory presentation, is an even more common deficiency where teacher preparation is concerned.

 2. In required history survey courses, there is a difficult balance between the need for content and the need for the development of critical thinking, writing, and historical research skills.

The questions raised by these issues are often a focal point for discussions among those who teach survey courses, no matter at what level. Some suggested solutions have encouraged different thinking about teaching and learning, resulting in an examination of an integrated curriculum model. In his book on this subject, Meaning over Memory: Recasting the Teaching of Culture and History, Peter Stearns suggests taking a new look at the content of history, asking students to assess it for its ability to promote understanding in lieu of the traditional emphasis placed on "data points" and coverage.2 Other paths under consideration to highlight skills in historical analysis include the use of literature to illustrate the context of a historical event or time period or the examination of a local topic in a global perspective. History departments that are training teachers need to emphasize transferable habits of mind, fromdocument assessment to evaluation of change and causation, and to provide appropriate basic content. Most of the history-social studies teaching standards now being developed in many states include a growing emphasis on discipline-specific analytical skills. This opportunity may motivate some rethinking of curricular emphases and reading assignments in the history major, so that future teachers gain repeated experience in developing historical habits of mind (that is, developing perspectives and making reasoned historical judgments) and can identify them in their own subsequent teaching efforts.

College history courses also model for future teachers methods of assessing history learning. When rote memorization is heavily tested in college survey courses, it may reappear in the next generation of secondary school teaching. Education courses will contribute to a grasp of generic exercises and testing methods, but history courses provide direct experience in the discipline. Unquestionably, authentic assessment will become an increasingly important component of testing history in schools, and an imaginative and varied array of exercises in college history classrooms can contribute directly to future applications.

3. When undergraduates and high school students enter a history class, they often have little backgroundin history and no background in its methodology.

It is in the survey course that students often begin to develop or solidify their ideas about a college major, and also in the survey course where historydepartments seek talented students to select the history major. Creating interesting programs that students find challenging and rewarding is one way to bring in these students. To do so, some departments and faculty are making

more use of primary sources, technology in presentations and research, textualanalysis, and interdisciplinary courses that link English and history or anthropology and sociology.3 These solutions, which are being tried at the college and university level to address the issue of changing content, parallel the discussions and practice in secondary history education, which will be outlined in the following sections.

4. Secondary school history teachers have many students for whom high school courses will be their last formal exposure to history.

These students, as well as college-bound students, have important reasons to gain historical knowledge and to be able to effectively use its methods of analysis. Research shows that the method and materials of college history classes are translated daily into the K-12 classrooms as the way history should be conveyed. If lecture is the primary method of delivering the ideas, theories, and data of historical inquiry, this, then, becomes the method that college students perceive to be the appropriate one if they themselves begin to teach. Research also indicates that lecture is not the most effective dailymethod for the diverse learners in today's schools. At the very least, the lecture method must be combined with active discussion and with exercises thatinvolve the use of historical materials and historical analysis.

5. The content of history has increasingly taken on a public face.

The content of history has increasingly taken on a public face, as the national debate over standards has moved the content of K-12 and college history curriculums onto the public agenda. Such basic questions as what information is important and how it is presented to provide effective learningare concerns of history faculty at all levels. New questions continue to be raised about who is schooled in the United States and what is required in thatschooling. The focus on what students know about history reinforces the need for more (or certainly not less) history in K-12 classrooms.4 If one implements the recommendations of the Bradley Commission, the National Assessment of Educational Progress (NAEP) Report Card, or National Standards documents, the need for increased history learning becomes paramount.

Often history is perceived to be a story of who we are. Many individuals and groups not directly involved in history research or teaching have taken an interest in what the "story" of America and the world conveys about and to Americans. Following the release of the 1994 National History Standards document, articles in such newspapers as the New York Times, the Los Angeles Times, and the Washington Post expanded the discussion beyond the exclusive realm of historians to a much more public and political forum.5 As conversations on

campuses in recent years have often centered on the "canon" of history, those who know about history from research, teaching, and writing are now more often, and appropriately so, pulled into the public debate. Books that focus on this debate about what students should know and what they do not know in history have been on bestseller lists.6 This public evaluation of what historycourses should teach should attract the attention of all historians, not just the secondary school teachers who must respond to state standards, textbook selection committees, and their students' parents. How effectively we as historians articulate the method and material of history can have repercussions on history's perceived value to an increasingly vocal, aware, and interested public.

In conclusion, college, university, and secondary school history faculties have similar objectives, but they offer varying depth and breadth of knowledge, use multiple techniques, and teach disparate student populations. Because one took a college course in history does not make one a historian; because one attended high school does not make one an effective teacher. In fact, university historians and secondary school history teachers have the potential to create a forceful and productive symbiotic relationship that would benefit all instructors as well as the students they teach. Yet as Seymour B. Sarason and coauthors commented in their 1986 book, The Preparation of Teachers, "You have to know and experience in the most intimate and tangible ways the situations which your actions purport to affect."7

Often direct experience is not possible. Secondary school teachers have littletime to pursue academic research, and university historians have no time to sit in secondary classrooms. Even without direct experience, however, it is possible to increase awareness by understanding and recognizing the issues important to the work of the other.

Issues within Secondary SchoolsWe need to establish connections between historians at secondary and college levels that have lasting value. More information for university historians about secondary school teaching and an increasing recognition by both groups of their similarities could raise the number and, more important for students,the effectiveness of secondary school-university partnerships.

Demographics Affect History in the Schools

The demographic makeup of the nation and its school population has changed. Significantly increasing numbers of minority students and students for whom

English is not their first language have changed the look of classrooms in many areas across the United States. Because of economic reasons, major population shifts have occurred within the United States, whether from urban to suburban or from the northeast to the south, southwest, or west. School funding formulas that rely heavily on local property taxes have created unequal school environments that may vary dramatically from one part of a state to another or one part of a county or city to another.8

For secondary school history teachers, this demographic change has influenced not only the student composition of their classrooms but also the materials, curriculum, and personnel available to them. General recognition of the student population's diversity--whether by gender, language, ethnicity, or class--and its varying impact on student achievement have stimulated the search for inclusive scholarship in history. The increased volume of new materials available from a variety of published sources, as well as through the electronic media, raises the same problem for secondary school teachers asthat identified by faculty in university survey courses: How does one decide what content is essential for effective student learning in history? In secondary schools, however--unlike in university courses, where students purchase their own books--even when decisions are made about content, many schools lack the budget to buy new materials. Equally important, in some casesteachers lack the knowledge to create or implement a new curriculum. Thus, even an awareness of the value to a diverse student body of expanded historical knowledge does not always result in its use.

State and Local Curriculum Goals

Schools have been directed, often by local or state-mandated curriculums, to "take on" many of the problems faced by the society at large. School curriculum specialists have often included such social issues as race relations, teenage violence, patriotism, civil rights, and the family in history or civics classes. The classes thus become "social problems" courses, leaving serious historical study behind to focus on current events and contemporary issues taken from the evening news or weekly news magazines. Eventhen, background information that might have included historical knowledge on any of these topics is woefully lacking.

The History Standards Movement

Following the release of the 1983 report A Nation at Risk, the general public began to become more concerned about what was being learned in schools. Nationwide tests in the late 1980s suggested that U.S. students were far behind their counterparts in almost every other industrialized country in the

world.9 The resulting political movement led to the Educate America Act in 1994, which set national goals for student learning. One goal--which addressedthe need for students to "leave grades 4, 8, [and] 12 having demonstrated competency over challenging subjects including English, mathematics, science, foreign languages, civics and government, economics, arts, history, and geography..."--had a very real impact on K-12 history curriculum and on the teachers who taught it.10

As the process of developing history standards has been unfolding, many of theissues that have emerged within the history profession over the past several decades have resurfaced. The "new" social history applied well to the changingneeds of schools and students, but it also brought to the forefront the debateover what "truth" is and what our young people should know to meet the standards of the National Goals. Multiculturalism raised a debate between particularists and pluralists,11 and between "traditional" and "new" historians.12 To some, including the new research and writing in history textsmeant that other important material had been left out. This debate has been heard across many states as curriculum teams, often using funds from the Educate America Act, have begun to develop state history standards.

Teacher Involvement in Standards

In many cases secondary school teachers could not be real players in the debate because they did not have the knowledge base from which to make decisions about what to teach. A 1990 survey of 257 history teachers found that 13 percent had never taken a college history course, and only 40 percent had a B.A. or M.A. in history.13 Without the information or training base withwhich to decide about what to teach, reliance on the text remains the primary source for course development and delivery, leaving decisions about broader issues of standards to others. In addition, with fewer teachers now available to fill classrooms in urban and rural schools, teachers are more often teaching "out of content." In social studies departments, which often carry the many varied courses required by the shifting needs of schools, teachers may be as far from their field of training as to be teaching peer counseling rather than world history. This is further reinforced by several studies. One study found that "nearly one-fourth (23 percent) of all secondary teachers do not have even a college minor in their main teaching field." A second study indicated that 60 percent of U.S. history teachers are teaching outside their major.14 These statistics, however, also point to the increasing need for university historians to collaborate with the more than 40 percent of history school teachers who are strong in their content and eager to strengthen history education in secondary schools; to assist them not only by

contributing to standards but also by encouraging them as mentors of others who lack current history knowledge.

The Middle School Model Changes Teaching Strategies

In some cases, to accommodate the changing requirements placed on schools by asociety that wants schools to address many of the social problems of violent youth, drop outs, or illiterate graduates, an increasing number of schools have moved to change the basic way they deliver schooling. Following the lead of such educators as Theodore Sizer, Robert Slavin, D. W. Johnson, and Roger T. Johnson, and Edyth Johnson Holubec, schools are restructuring in organization and curriculum.15 Middle schools have been the focus of much of this change, because they provide the transition between the more flexible world of elementary schools and the very structured, subject-centered world ofhigh schools. In the middle school model a group of 80-120 students, grades 6-8 generally, are placed with a team of teachers who are responsible for all oftheir academic subjects. In this model history teachers may work with English or science teachers to create themes around which several subjects may be taught. Themes might be selected based on the content standards in history or geography.

This team of teachers is encouraged to think interdisciplinarily, as classes may be combined into nontraditional 90- or 100-minute time blocks. In the bestcases, this scheduling format has encouraged history teachers to engage in cooperative planning and to use cooperative learning for students. The model also may facilitate placing history in a context, logically integrated with other academic subjects.

Also at the middle school level many experiments have been conducted on authentic learning and assessment. Teaching methods such as inquiry (long a staple of science labs) and concept formation and concept attainment (which focus on hands-on learning strategies) are more readily tried. These methods have also been encouraged by some of the national standards documents, notablyin mathematics and science.16

Because in creating middle schools, the whole school has been restructured (a grade 7-9 "junior high" has become a grade 6-8 school), it has been easier to plan workshops or seminars that address new learning theories in general. But where this structure has fallen short is in the examination of specific content. Because teachers work in teams, each teacher is expected to be responsible for the content of his or her own teaching fields. The professional training they receive has typically focused on how students learn, what keeps students in school, or how students can better work

together, not on what students are learning. Rather, this occurs at the high school level, where the emphasis has been most focused on academic content.

High School History Teaching

Although some high schools incorporate some of the new structure and methods of the middle school model (Sizer's "essential schools" are an example),17 most have found the ideas of cooperative learning and alternative assessments to be too difficult to implement in a system that has as its measure of success high scores on the SATs and college admissions. Many university faculty have been linked with high school teachers in the development of advanced-placement courses and preparation for gifted and talented programs, where it is recognized that the teacher's content knowledge is essential. But in fact, content knowledge is essential for all teachers.

Willingness to think in different ways, to provide students with the newest research in content as well as in methodology, requires additional informationfor teachers who have been teaching for many years or who have been required by the nature of their assignments to teach out of their field of study. Many school systems, some state education departments, and the Department of Education at the federal level recognize the need for in-service training for teachers.18 The National Endowment for the Humanities (NEH) for many years hassupported summer institutes for teachers in content specialties. These efforts, where they have been funded, have provided a valuable service to teachers and students. Additional education for teachers in secondary schools remains a significant concern, however.

While the reduction of NEH funding may limit some classic in-service opportunities, a number of organizations, including the American Historical Association (AHA), are eager to sponsor new collaboratives, grouping history teachers at various levels to discuss issues in survey-course teaching, use ofelectronic media, the implications of new research on history learning, and other areas. A number of effective collaboratives continue to flourish, providing regular opportunities to discuss relevant trends in historical scholarship, jointly shared teaching challenges such as the world history course, and other issues. Several collaboratives flourish in California, including the new "seamless learning" project in Long Beach and the focused South Bay World History project based at Stanford University.19 An active collaborative also joins four- and two-year college teachers and high school teachers in Wisconsin. The opportunity to coordinate history training across levels, particularly where clear feeder patterns exist, and to encourage a mutual updating of knowledge and teaching and assessment techniques should spark additional efforts.

Frequently, it is a systemwide decision or a state mandate that governs staff development content for teachers. Even in a system in which the decisions about what is presented in the classroom are made at the school (usually department) level, suggestions or guidelines are provided from school systems or state organizations. More teacher input into the subject and direction of their own pre-service training would logically lead to more teacher commitmentto new knowledge.

Schools of Education and History EducationWithin schools of education the discussions about the direction of teacher preparation are ongoing. The decisions are often about how to balance methodology with content or about how to provide pre-service teachers with current and relevant knowledge, understanding that the students, schools, and content are in a mode of constant and rapid change. To respond to the concern that content has been sacrificed for method, many education programs are adding a fifth year to the bachelor's degree for those interested in teacher certification. This change has been influenced in some regions by state decisions not to license any candidate for secondary teaching who does not have an undergraduate academic major (that is, not a major in education). In other areas universities are considering dramatically downsizing education schools into departments or programs or moving to graduate degrees only (whichinclude licensure requirements).20

Schools of education are also linked to academic departments through the requirements of their certifying bodies, namely the National Council for Accreditation of Teacher Education (NCATE), to which schools of education may choose to belong, and the National Association of State Directors of Teacher Education and Certification (NASDTEC), which governs requirements for teacher licensure within each state and the District of Columbia. When each body evaluates teacher preparation programs, it considers a set of guidelines that an education school must meet. In the case of NCATE, it works with the National Council for the Social Studies (NCSS) to evaluate programs for the strength of their content base in history. Schools must demonstrate that theirgraduates who desire licensure have a background in both U.S. and world history. Other courses are included because of the broad definition of social studies, but history forms the core. NASDTEC also has rigorous standards for measuring the level at which students meet the academic requirements.

Since 1989 another standards body has been in place. The National Board for Professional Teaching Standards (NBPTS) has begun to offer board certificationfor teachers, using a model similar to that of the medical profession. (It

differs from the licensure required of teachers by each state.) The NBPTS has developed high and rigorous standards that reflect exceptional teaching. This voluntary process is growing in support among the states, some of which offer increased salary and recertification points to teachers for successful completion of the National Board process. The NBPTS's five core principles have also been adapted by NCATE for inclusion in its evaluation of teacher preparation programs. These five principles are as follows:

Teachers are committed to students and their learning. Teachers know the subjects they teach and how to teach the subject to

students. Teachers are responsible for managing and monitoring student learning. Teachers think systematically about their practice and learn from

experience. Teachers are members of learning communities.

Those standards, along with the Interstate New Teacher Assessment and Support Consortium (INTASC) standards, are unifying the guidelines for teacher training institutions.21 The National Board currently offers seven areas for certification. A certification area in history-social studies for early adolescents and young adults is anticipated to be available by fall 1998.22 TheAHA also provides guidelines for teacher preparation that parallel those of the other organizations, and it has granted recognition to some other efforts such as the NBPTS draft in history-social studies.23

History departments might usefully take into account these guideline statements in considering the relevance of their curriculums for teacher training. Right now, with some important exceptions, the task of specifically evaluating teacher preparation is left to other units. Yet schools of education can only do so much without the collaboration of university history departments and school history-social studies departments. It appears that different constituencies hold pieces of the whole picture. A 1995 study by John W. Larner of Indiana University of Pennsylvania of 400 history departments found that in most higher education institutions, the work of training history teachers is done outside history departments. The greatest amount of collaboration (35 percent) occurs in advising education students, while as few as 8 percent shared responsibility for teaching the history-social studies methods course.24 Stronger collaboration in just this one area could create a stronger teacher, a better prepared student, more effective research, and a stronger place in the future for history in academic institutions.

Learning Theory and Teaching HistoryJust as the demographics of the student population in our schools and the range of historical research have changed, so too should our notions about effective learning of content. There are innovative programs and individuals at the secondary and university levels that are endeavoring to integrate the new history with the latest learning theories. From learning theorists such asJohn Dewey and Jean Piaget to historians such as James Banks and Geneva Gay, who write about history teachers in the secondary schools, the idea of involving learners in the process (of "doing history") has been a constant message. The ideas of inquiry learning advocated by Edwin Fenton in the late 1960s and early 1970s have been reinforced by Banks and others in the 1990s.25The writers of the National History Standards have a separate, although integrated, section to explain and justify the idea of thinking historically. An entire issue of Perspectives's Teaching Innovations forum was devoted to thinking historically in the classroom.26 Among the articles were theoretical comments about the value of involving students in their own learning and examples of methods tried with high school, community college, and university students. In 1994 the National Assessment of Educational Progress (NAEP), in its report after the assessment of students in grades 4-12 in historical knowledge, proposed an approach to history teaching using sets of questions based on themes.27

Some programs are under way that illustrate this trend. Research in the area of second language learning and learners suggests a method that combines skills in reading, writing, and analysis with content to accomplish the "outcome goals" (what students know and what they are able to do) of the new standards that are being developed in many states. The large numbers of immigrant children entering our schools in recent decades have called attention to questions about learning that had traditionally been addressed differently with English-speaking students. Because school personnel today generally place newly admitted students in classes based on age rather than English ability, limited English-proficient (LEP) students are often placed insecondary school classes, where they must acquire language ability and contentknowledge in order to pass proficiency tests in history or government. Teaching LEP students to succeed at these involves the use of more hands-on presentation, group learning, and alternative assessment.28 The vocabulary andconcepts so important to second language learners are equally crucial to all history learners; the methods effective with LEP students are also found to work for all history learners.29

In another area, increasing computer use in secondary schools for research andpresentation, once exclusively the purview of advanced placement and gifted and talented classes, has been routinely discovered to intrigue "regular" and special-needs students as well. Again, involving students in their own learning enhances the learning for almost all students. In this area as well, teachers often need training along with the students to become more comfortable with the possibilities for classroom use.

Recent research on history learning also generates opportunity for mutual discussion and experimentation by history teachers at both school and college levels. The research is not yet well-connected to actual teaching practice, but the potential is significant. Researchers have examined, for example, waysin which students handle source materials, with implications for generating more rapid acquisition of relevant analytical skills. Examples in Europe of more active pedagogical contact between historical researchers and history teachers may become more widely known in the United States.30

As a final example, all of the researchers who examine history learning and suggest ways for students to achieve broader and deeper knowledge have similarapproaches: in one way or another, involve the students. It is the "how" of this approachthat often stops secondary school and college and university faculty from proceeding to make the changes they, too, believe benefit their students. Active learning is the key, but this does not have to mean that one should never lecture, never tell students about the knowledge one has gained as a historian. Rather, it means pulling the students into that process so that they learn from and with the teacher. The reviving interest among history teachers in using documents to supplement textbooks is one important response to this challenge, although the practice remains limited. A related technique that has been effective is to provide students with small parts of the story on which they can "put their own stamp." Using artifacts from an era under study has been particularly successful. Students at all levels can answer questions about "real" pieces of history--a document in its author's original hand (available from the National Archives, local historical museums, and so on), or an object such as an early coffee grinder, a mass-produced skillet, ora piece of art from Central Africa. The object introduces the time period or the theme. Students answer questions about the object's use, its maker, or theobject itself. Their answers give the teacher useful information about the students' knowledge of the topic and provide direction for the instruction that follows. By first asking students to hypothesize about the subject they are exploring, the instructor involves them in the process of thinking historically.

Teaching in this way involves some practice on the instructor's part as well as access to teaching artifacts. This is one point at which professional development days in public schools, courses at schools of education, and collaboration with college and university history departments become important. Through these avenues colleges, universities, and secondary schoolscan collaborate effectively.

Tying It All Together: Successful CollaborationsSo, where do we go from here? The complexity of the problem is very real, but the players who have the solutions are also in place. It is a matter of informing those who have the solutions and providing the format for these diverse groups with strong common links to work together, to strengthen the place of history in the schools and in the minds of all graduates. Several examples follow.

School-University Partnerships

Although many believe that partnerships between university and secondary school faculty would improve history teaching and learning, there is often uncertainty about how to implement effective change. Part of this process of change involves an awareness of what is being tried and how well various efforts are working to enhance history's role in the classrooms of our secondary schools, colleges, and universities.

In 1995 the American Council of Learned Societies (ACLS) created the Teaching the Humanities: The Journal of the ACLS Elementary and Secondary Schools Teacher Curriculum Development Project, which noted that under these conditions of rapidly changing knowledge, "the teacher must have a connection with the sources of the production of new knowledge and interpretation...most often they are conveniently gathered in colleges and universities."31 This project supports humanities teaching in public schools through a network of school district-university collaboratives. In addition, the ACLS has offered fellowships to sponsor individual sabbaticals for teachers who wish to update their content knowledge in the humanities.

In another effort,the Ohio Academy created a model for collaboration between secondary school history teachers and university history faculty. The purpose of the academy was to link school teachers with faculty who could be resourcesin areas of course development by providing knowledge in various history

fields. Commitments to their own institutions made frequent contacts difficult, but both parties appreciated the opportunities. In this case the focus was on the teacher's individual needs, not necessarily directed at the larger issues of curriculum or student learning.32

The Philadelphia High School-College Collaborative joined twenty high school teachers and twenty college faculty to explore better ways to teach world history and to prepare new teachers. This NEH-funded collaboration that began in 1993 has designed bimonthly meetings to focus on topics of interest to all partners, from updating content knowledge to textbook analysis to the development of curriculum for Philadelphia schools.33

State History Standards Collaborations

After the 1989 conference of state governors, the 1994 passage of the Goals 2000: Educate America Act, and the identification of core content areas in which students should meet standards, various states became involved in projects to develop strong history standards for public school students.

Among the first and the most highly visible projects in the past decade has been the California History/Social Science Project. Funded in part by NEH and by the state of California, the project has not only published a curriculum framework (The California History-Social Science Framework, 1987), which was adopted by the State of California Board of Education.34 It also has an extensive programof teacher training, which (until funding was curtailed) was mandated to provide training in the content and use of the framework for all social studies teachers in California. The task force that designed the framework included university and school faculties, who worked over a period of time to build the resources to implement the curriculum. Some of these task force members later became active in the development of the National History Standards.

In other states in the last five to seven years funding has been provided by state governments and the U.S. Department of Education to build history-socialstudies curriculums to strengthen the place of history in the schools. Effortsin such states as Connecticut, Florida, Illinois, Massachusetts, Missouri, andWisconsin are in various stages of development, partially supported by funds from the 1994 Educate America Act.35 In Washington, D.C., funding provided by this act financed a core group of K-12 teachers in the summer of 1995 to beginthe process of developing their history and English-language arts standards. The group included university faculty as resources, developed questionnaires, and interviewed community members, school personnel and students before they began their development work. In the fall of 1995 they disseminated a draft of

eight standards that they believe reflect what students should know and be able to do to be competent in history. Theirs is an ongoing process, with the next step being to create the curriculum, develop materials, and field-test them. They have used resources such as the Colorado Model Content Standards, the California Framework, and the NAEP Framework. The group found it importantto include as many of the community "stakeholders" as possible in the process.36 The Washington, D.C., pattern is particularly important because itsinvolvement of college and school history teachers contrasts with the more top-down standards-setting frameworks recently used in some states, with predictably disappointing results.

National Efforts

The National History Day organization provides a platform for historians and teachers to interact with public school students about history. The process ofcreating a project for the annual National History Day provides an opportunityfor students to do the historical inquiry that historians value and wish to instill in students. At all levels (local, state, and national) historians canbe involved with schools and students, grades 6-12 (as resources, judges, or supporters) through the National History Day summer institutes for teachers orat the national competition, held annually in June at the University of Maryland in College Park, Maryland.

Association Collaborations

Outside of standards and curriculum development, there are other efforts underway that involve historians and secondary school teachers in collaborative work to improve learning. The History Teaching Alliance (HTA, now a part of the National History Education Network (NHEN), has created a platform for those involved in collaboration to meet, share ideas, and expand their own options for new programs. NHEN is jointly sponsored by the AHA, NCSS, and OAH,demonstrating by its structure the collaborative efforts it encourages. NHEN can use the examples of its network and others it has supported to begin to construct the argument for change through collaboration. The support structureis in place to build change, but it needs more participants. University faculty are involved along with high school history teachers in the development of questions for the advanced placement exams. Both secondary school teachers and university faculty also participate in the development of the assessment rubric for the exam and are hired as assessors by the Educational Testing Service.

Collaboration across all levels of history teaching offers a number of targetsof mutual interest:

Increased emphasis on history in schools Dissemination of new history knowledge Students well trained in history in high school and college.

Addressing these areas provides opportunities for all historians to contributeand learn.

Barriers to ChangeFor the most part, college and university history departments have not paid much attention to the training of history teachers in recent decades. It is often assumed that this responsibility lies with schools of education, or thataccrediting standards preclude opportunity for input from undergraduate history programs.

Many programs demonstrate the effectiveness of collaboration between secondaryschool and university historians. Research studies suggest methods that enhance history learning for all students. Yet although accepting these as valuable, even essential, for increasing the effectiveness of history teaching, there are a number of specific barriers to explicit consideration ofongoing contact with secondary schools. It is important to recognize these points as well.37

University Reward System

A major barrier to university history faculty involvement in secondary schoolscan be the university reward system, which does not always recognize communitywork, curriculum development, or collaborative teaching with secondary school teachers unless funded by a grant or resulting in an article. In Scholarship Reconsidered: Priorities of the Professoriate, Ernest Boyer provided valuable suggestions for ways to define "scholarship" that include much of what university faculty do, "to recognize the full range of faculty talent and the great diversity of functions higher education must perform."38 Boyer's notion of "scholarship of application" validates the type of collaboration university historians might seek with secondary schools. "New intellectual understandings can arise out ofthe very act of application--whether in medical diagnosis...shaping public policy...or working with the public schools. In activities such as these, theory and practice vitally interact, and one renews the other."39 To change the assessment system at universities is as large a task as the struggle currently under way to change student assessment on advanced placement, SAT, and other exams, but there is an increasing move toward that change. Schools

of business, international relations, and education are beginning; others may follow.

Knowledge about Public Schools

University historians need to work in schools, not just on committees developing advanced placement exams, or with the National History Day organization, but with students who may not be college bound. Historians need to be aware of the secondary school curriculum in their region or city. The material that the university historian emphasizes may be completely foreign tothe teacher in the neighboring high school, which causes two results:

Students entering the university from that high school will have no background from which to understand the college class, and

History graduates entering that school as teachers will have a limited background to teach in that high school.

Two possible solutions present themselves. First, with an awareness of the secondary school curriculum, the university historian has the opportunity to revise his or her focus to include the school's objectives. Second, if the historian notes that the school curriculum is inaccurate, outdated, or insufficient, then he or she may be able to collaborate with teachers when they revise a curriculum, order new texts, or offer to provide a forum or sitefor discussion on possible future change. By having knowledge about the changes happening in many state education departments, historians can offer tocollaborate in planning or revising professional development activities. Although many states have limited moneys to provide for consultants, serving on community or state committees can increase the historians' voices in schooldecisions and therefore strengthen history's place in the schools.

In most states licensing standards for teachers are governed by NASDTEC. Knowledge of state criteria for history teachers, as well as those of the AHA and NCSS, also enhances a historian's opportunity to guide those who leave hisor her classes and enter the secondary schools as teachers. In addition, beingaware of the state's role in developing history requirements for high school graduation places college and university historians in a position to respond to any changes that weaken the role of history in the schools. By virtue of their academic status, collaborations between historians and the schools or state departments of education also strengthen any response or policy position. A number of organizations, such as the Council for Basic Education, the Council of Chief State School Officers, the Council of the Great City Schools, or the U.S. Department of Education, have information on standards often gained from consultation with or conference presentations by historians.

Perceptions about Student Knowledge

Another barrier to changing nontraditional methods is the notion that all students may not be able to think historically; that telling is better for beginning students than doing. Although the recent, and not so recent, scholarship on learning emphasizes the value of involving the learner, there is much in the tradition of university teaching that supports the lecture format. To demonstrate the value of diverse learning formats, it could be veryadvantageous to develop partnerships between history faculty at the secondary and college levels or collaborations between historians and history educators at the same university. Developing courses in history that enhance the learning of those in education and vice versa increases the value to both. TheAHA publication Liberal Learning and the History Major suggests that historians "attempt to ensure that prospective teachers major in history rather than education."40 Although more and more states are insisting on an academic major that is not education for secondary certification, the university could model that approach by pairing students in upper-level history content courses with those students who are applying their history knowledge in secondary history methods courses. This has happened on a small scale with the Department of Teacher Preparation and the Geography and American Studies departments at George Washington University. This approach increases the content knowledge ofcollege students who are planning to teach and at the same time increases the involvement of all history majors and faculty in varied teaching methods.

New OpportunitiesThe barriers to more systematic efforts in teacher training and collaboration in history, undergirded by commitments to separate routines, merit reexamination. Public interest in history is running high, but history teaching at various levels faces some common challenges. Pressure to assess the results of teaching grows at several levels. A tendency to identify educational value with highly practical, possibly computer-based training challenges historians in college and secondary schools alike. There are also new opportunities as the result of changing student interests and the dynamic research findings the discipline has generated.

Technology and History Learning

Technology is affecting the historian's way of doing business, and it is an integral part of the discussion on learning. As mentioned earlier in this essay, in the discussion of the new social history, the increased use of the computer to collect and evaluate data has done much to change the direction

and subjects of historical study. By the same token, the computer has added a dimension to history teaching as well. More and more is available in the education market in the way of electronic media for teacher and student use. Some of these provide access to vast databases; some use data to create programs for student use. These programs sometimes advertise their value by emphasizing how they involve students in history. However, they often provide nothing more than a pre-set list of choices that move students through a prescribed cause-effect process to arrive at a previously decided end point. Some material allows for real student input in classrooms, but much is based on individual responses and one student per computer. Again, evaluation of effective materials could be an area of collaboration. There are a number of very significant issues involved in the use of technology, especially computers, in K-Grad classrooms that involve decisions about validity of approach and value of content.

With the technology comes a significant cost in equipment and training. This barrier further separates resource-rich and resource-poor schools. On all measures, schools in poorer districts are further disadvantaged by the inability to make use of the new technology. In some schools the issue is one of training; in others it is also the issue of access. Again, solutions may lie in partnerships with organizations, both in other schools and outside school walls.

At times, college, university, and secondary school faculties find themselves lagging behind their students in familiarity with the computer technology. Joint seminars or learning opportunities that expand computer knowledge and perhaps at the same time develop teaching ideas for students could be another base for significant school-university collaboration.

Off-Site Study

Although computer access may provide an easier research tool because one can give students the data to examine without leaving the building, it is also possible to create the questions and provide broader data in other ways. Resources outside the classroom are underused at all levels of teaching history. Bringing artifacts into the classroom is one way to encourage inquiryand involvement, but seeing locations of historical import is certainly another way. Every community has something within its boundaries that reflectsa time in our past and in many cases communities support local museums or historical societies. Sites can be visited, speakers can visit the schools, data can be brought in or discovered on class or individual journeys of exploration. From first settlements to the labor movement, women's roles to political protests, each community has something to contribute to the story.

Students can discover those pieces by physically going to the places and by building the story themselves. If there is a partnership with a local college or university, historians and their students can work with secondary students to research, analyze, and write from documentary, photographic, or oral sources. In so doing, students can build a relationship with their own community and its people in ways a text, a lecture, or a computer can not provide.

Classroom Connections

The diversity in America's classrooms is increasing rapidly, as is the historical information available to teachers. There is currently a deficit in the crucial connection between research historians and their work reaching theclassroom and those who primarily teach history. It has not proved easy to translate major new historical findings or reinterpretations into classroom curriculums, and even textbooks. At the same time, the growing diversity of learners is not just found in the secondary schools. This diversity is also mirrored in the university student population. In liberal arts institutions, where all entering students take courses in the social sciences--often in history--it is an ideal opportunity to combine new historical knowledge with new research about learning.41 By exposure to diverse methods at the university level, students in history classes will be learning via a method that those who choose to teach may eventually carry into their own classes.

The methods that were developed for advanced placement students should also beexamined for their relevance to all learners. Too often, school-university collaborative projects include those faculty already involved with secondary schools through advanced placement classes.42 If hands-on history is effectivein involving college-bound and college students, why would it not engage others? If advanced placement students only remember lectured information until the test, the same is most likely true for other students as well. We know from research that students are multidimensional learners.43 Our increasing awareness of varying learning styles in our widely diverse student population (and the successes of students in classes that use varied methods) would seem to dictate the wisdom of expanding these methods to all students.

More of those college-bound students are choosing teaching as their careers.44Therefore, they need the strong content base that historians can provide, and they need to integrate that knowledge with the pedagogy to convey the excitement and value of history to all of their students.

Strengthening the Content Core

Once solidified, standards may provide a focus for this task. Standards have illustrated, perhaps sometimes too contentiously, the debates within the history profession. The good news is that they may also illustrate the generalpublic's concern about history. The efforts on the part of many states to develop their own history standards indicate that they value the knowledge andways of thinking about and analyzing material that students gain by studying history. The basis exists for a strong push for a significant role for historyagain in the curriculums of public secondary schools. Secondary school teachers need the support of university historians to understand the debates, to update their own learning, and to gain confidence in the message they bringto their students. At the same time, if the circle is to be completely effective, university history teachers need to address the learning issues of their students; to add the new knowledge gained by learning theorists, museum educators, and other applied historians that expands the reach of their teaching.

Evaluating the Relationship between History Curriculums and Teacher Training

Many colleges train future history teachers, either in small numbers or in considerable batches. Commitment to a strong history major, and possibly a related minor, constitutes the most important basic contribution to this training. At the same time, some programs might profitably reevaluate elementsof their offerings in light of the teacher training role, to make sure that appropriate range, exposure to analytical skills, guidance in coordinated interdisciplinary work, and imaginative assessment mechanisms are available--along with consideration of relevant opportunities to interact with existing history teachers. Such a reevaluation should be perfectly compatible with the other purposes of a history curriculum.

Some history programs have designed special features related to history training. In 1995 Long Beach State University, for example, took over responsibility from the school of education for supervising student teachers in history and several other disciplines. This move has triggered careful assessment of teacher training components within the history major, as well asongoing contact with established high school programs in the area. One result is a "capstone" course for all candidates, prior to student teaching, in whichmajor aspects of both U.S. and world history are reviewed, along with some geography, economics, and government; the candidates are assessed on their knowledge of basics in these areas, and passage of an examination is required before entering the classroom.

Conclusion: Moving Forward

Common purposes--the shared goal of improving student learning in history in secondary schools and higher education--dictate logical areas for collaboration.

Historians should have the opportunity to observe multidimensional teaching inpublic schools. It is a special thrill to observe the ways in which good teachers involve all students in history. To see the excitement and energy of middle school students working on the construction of a medieval society or developing a colonial-era village could convince university historians of students' ability to think historically.

We need to overcome the notion that college and university historians have nothing to learn from secondary school teachers. The conversation needs to runboth ways, however. Strong secondary school history teachers work with students who will never attend college, but those students still need to have a solid understanding of history. Although it is true that university historians have a deeper content knowledge than most teachers in secondary schools, they may not have the experiences with the variety of methods used bythe secondary teacher. Both parties have valuable knowledge to share. Collaborations on curriculum are valuable. Seminars on content, new technologies, and new historical research are indeed valuable, but so too is an appreciation by university historians of the setting in which secondary school teachers function. Talking to, listening to, and brainstorming with teachers about the best resources or the best approach to a particular topic, presenting information, or working with students on projects are all of particular importance to secondary school teachers and students and ultimatelyto history professors. These connections may be most easily made through university education schools, who already have contacts with secondary schools. Public schools welcome partners who want to be a part of the solution, to work with young people, and to care that these students learn.

There are so many ways to become involved: to strengthen history in our schools by working with secondary teachers and students, by challenging universities to commit to rewarding creative teaching as scholarship, by funding collaborative research to develop new history materials and methods. Schools and students need assistance from those who have the content knowledgeto build stronger courses; universities need the collaboration of excellent teachers to engage those college-bound students in the mysteries and delights of learning history.

Each group (the two- and four-year college and the secondary school) has its own unique issues to resolve independently, but in these areas of common concern--increasing the value and role of history in the classroom--we can

build a much more solid base by working together. Those who write from both camps encourage the relationship; it is up to the two groups to carry it out. The reward will be better-educated students who have an excitement about learning history and a knowledge base to think constructively about themselvesand their place in the world. If they choose to do so, they will also have thetools, not just from classes in pedagogy but from their own learning process, to pass it on to others as teachers.

Kathleen Anderson Steeves is associate professor of history education at the Graduate School of Education and Human Development, George Washington University.

Notes1. The new research that challenges the canon of the traditional story, which has been told without significant change in U.S. history textbooks since the late nineteenth century, has not been added easily. Two analyses of textbooks are particularly important: Francis Fitzgerald, America Revised: History Schoolbooks in the Twentieth Century (Boston: Little, Brown, 1979); and James Loewen, Lies My TeacherTold Me (New York: The New Press, 1995).

2. Peter Stearns, Meaning over Memory: Recasting the Teaching of Culture and History (ChapelHill: University of North Carolina Press, 1993), 9, 50-52.

3. The 1991 American Historical Association Task Force on Liberal Learning andthe History Major reinforced the integrative approach as an essential part of the undergraduate curriculum.

4. Both the National Assessment of Educational Progress (NAEP) and the BradleyCommission on History in Schools advocate increasing the amount of history taught in secondary schools. Review of tabulations of NAEP's 1987 survey can be found in Diane Ravitch and Chester E. Finn Jr., What Do Our 17-Year-Olds Know? (New York: Harper & Row, 1987); Bradley Commission on History in Schools, Building a History Curriculum: Guidelines for Teaching History in Schools (Washington, D.C.: Educational Excellence Network, 1988).

5. The National History Standards were revised in 1996 and can be ordered fromthe National Center for History in the Schools, University of California at Los Angeles, 1100 Glendon Ave., Ste. 927, Box 951588, Los Angeles, CA 90095. Fax 310-794-6740.

6. Two examples are E. D. Hirsch Jr., Cultural Literacy: What Every American Needs to Know (Boston: Houghton Mifflin Company, 1987); or Allan Bloom, The Closing of the American Mind (New York: Simon & Schuster, 1987).

7. Seymour B. Sarason, Kenneth S. Davidson, and Burton Blatt, The Preparation of Teachers (Cambridge, Mass.: Brookline Books, 1986), xix.

8. See Jonathan Kozol's Savage Inequalities: Children in America's Schools (HarperperennialLibrary, 1992) for stark examples of this.

9. National Commission on Excellence in Education, A Nation at Risk: The Imperative for Educational Reform (Washington, D.C.: Government Printing Office, 1983). The full text is available at http://www.ed.gov/pubs/NatAtRisk/title.html. Paul Williams and others, NAEP 1994 U.S. History: First Look (Washington, D.C.: U.S. Department of Education, Office of Education Research and Improvement, 1995); and Alexandra S. Beatty and others, NAEP 1994 U.S. History Report Card: Findings from the National Assessment of Educational Progress (Washington, D.C.: U.S. Department of Education, Office of Education Research and Improvement, 1996).

10. Goals 2000: Educate America Act, 1994 (administered through the U.S. Department of Education). The full text of the act is available at http://www.ed.gov/legislation/GOALS2000/TheAct.

11. Diane Ravitch, "Multiculturalism: E Pluribus Plures," The American Scholar (summer 1990): 337-54.

12. Eric Foner, ed., The New American History, revised and expanded edition (Philadelphia: Temple University Press, 1997). These essays are also availablein individual pamphlet form ($3 for members, $5 for nonmembers) from the American Historical Association.

13. Charlotte Crabtree and David O'Shea, "Teachers' Academic Preparation in History," National Center for History in the Schools Newsletter 1, no. 3 (November 1991): 4,10. Cited in Loewen, Lies My Teacher Told Me, 280.

14. Loewen, Lies My Teacher Told Me, 282-83. Crabtree and O'Shea noted that some ofthose surveyed did have majors in the social sciences. One in twelve history teachers had a B.A. in physical education.

15. Theodore Sizer, Horace's School: Redesigning the American High School (Boston: Houghton Mifflin Company, 1992); and Robert Slavin, "Cooperative Learning and Student Achievement," Educational Leadership 46, no. 2 (October 1988): 31-33, present models and research to support the use of cooperative learning, as do

Roger T. Johnson, D. W. Johnson, and Edythe Johnson Holubec in The New Circles of Learning: Cooperation in the Classroom and School (Alexandria, Va.: American Society forCurriculum Development, 1994).

16. National Research Council, National Science Education Standards (Washington, D.C.: National Academy Press, 1995); and National Council of Teachers of Mathematics, Curriculum and Evaluation Standards for School Mathematics (Reston, Va.: National Council of Teachers of Mathematics, 1989).

17. For further information on the Essential Schools Movement, see Theodore Sizer, Horace's School.

18. A goal added to the National Goals in the Educate America Act addresses teacher training, as does the 1996 report of the National Commission on Teaching and America's Future, What Matters Most: Teaching for America's Future (New York: National Commission on Teaching and America's Future). Copies are available from the National Commission on Teaching and America's Future, P.O. Box 5239, Woodbridge, VA 22194-5239. Both place emphasis on the need to address teacher training, both pre- and in-service, to improve schools in all academic areas.

19. For more on the "seamless education" project, see Bill Weber and others, "Seamless Education in Long Beach: University/College/School Collaboration," Perspectives 35, no. 6 (September 1997): 21.

20. The National Council for Accreditation of Teacher Education (NCATE) has statistics on downsizing in education departments and the shift from undergraduate teacher preparation to graduate schools of education. The National Commission on Teaching also recommends the fifth-year structure for teacher preparation.

21. Discussion of this collaboration can be found in What Matters Most: Teaching for America's Future (New York: National Commission on Teaching and America's Future,1996), 71-75.

22. Information on the history-social science certification is available from the NBPTS at 1-800-22-TEACH.

23. American Historical Association (AHA), Guidelines for the Preparation of Teachers of History (Washington, D.C.: AHA, 1993); AHA Task Force on Liberal Learning and the History Major, Liberal Learning and the History Major (Washington, D.C.: AHA, 1991).

24. John W. Larner, "Departments of History and Secondary Teacher Education," Perspectives 34, no. 4 (April 1996): 38.

25. Examples are provided in Edwin Fenton, Teaching the New Social Studies in Secondary Schools: An Inductive Approach (New York: Holt, Rinehart, and Winston, 1966); James Banks, Teaching Strategies for the Social Studies: Inquiry, Valuing, and Decision-Making (New York: Longman, 1990); and Geneva Gay, "Culturally Diverse Students and the Social Studies," in James P. Shaver, ed., Handbook of Research on Social Studies, Teaching, and Learning (New York: Macmillan Publishing Co., 1991), 144-56.

26. Robert Blackey, Allison Blakely, Peter Frederick, Robert Gutierrez, Don and Nadine Hata, Linda Kaufman, Gordon Mork, Carol Pixton, Eric Rothschild, Peter Stearns, and David Trask, Thinking Historically in the Classroom, "Teaching Innovations Forum," Perspectives 33, no. 7 (October 1995): 1, 4, 23-25, 37.

27. National Assessment Governing Board, U.S. History Framework for the 1994 National Assessment of Educational Progress: NAEP U.S. History Consensus Project (Washington, D.C.: U.S.Department of Education, 1994). For further information, contact the National Assessment Governing Board at 800 North Capitol St., NW, Ste. 825, Washington,DC 20002. Tel. 202-357-6938.

28. Lorraine Valdez Pierce, Effective Schools for National Origin Language Minority Students (Washington, D.C.: Mid-Atlantic Equity Center, 1991).

29. A. U. Chamot and J. M. O'Malley, The CALLA Handbook: How to Implement the Cognitive Academic Language Learning Approach (Reading, Mass.: Addison Wesley, 1994). See also Peter H. Martorella, "Knowledge and Concept Development in Social Studies," in Shaver, ed., Handbook of Research on Social Studies; and Matthew T. Downeyand Linda S. Levstik, "Teaching and Learning History" in Shaver, ed., Handbookof Research on Social Studies.

30. For example, in Europe the International Society of History Didactics provides a forum for such diverse academic constituencies.

31. American Council of Learned Societies, Teaching the Humanities: The Journal of the ACLS Elementary and Secondary Schools Teacher Curriculum Development Project 1, no. 1 (summer1995): iv.

32. Information on the Ohio Academy can be found in the National History Education Network's Membership Directory and Resource Guide. Loretta Sullivan Lobes is executive director. NHEN is currently located at Carnegie Mellon University, Dept. of History, Baker Hall 240, Pittsburgh, PA 15213.

33. Howard Spodek, "World History: A Report on the Philadelphia High School-College Collaborative," Perspectives (April 1995): 16-17.

34. Copies of the History-Social Science Framework for California Public Schools are availablefor $6 each, plus sales tax, for California residents from the Bureau of Publications Sales, California State Department of Education, P.O. Box 271, Sacramento, CA 95802-0271. Tel. 916-445-1260.

35. An American Federation of Teachers (AFT) study has measured the progress of each state in the development of common core curriculum in core academic subjects. As of the date of their report, the AFT judged that only 13 states "have standards that are strong enough to carry the weight of the reforms being built upon them. See AFT, Making Standards Matter (Washington, D.C.: AFT, 1997).

36. Center for Systemic Educational Change, "English Language Arts and HistoryCurriculum Framework," District of Columbia Public Schools, Washington, DC, July 1996.

37. John W. Larner found "no clear patterns of history department involvement in teacher education." See Larner, "Departments of History and Secondary Teacher Education," Perspectives 34, no. 4 (April 1996): 38.

38. Ernest Boyer, Scholarship Reconsidered: Priorities of the Professoriate (Princeton, N.J.:Carnegie Foundation for the Advancement of Teaching, 1990), xii.

39. Boyer, Scholarship Reconsidered, 23

40. AHA, Liberal Learning, 26.

41. Mary Crystal Cage discusses a program in which students majoring in the liberal arts may also learn about teaching. This model recognizes the special skills required for effective teaching. See Cage, "Learning to Teach," Chronicleof Higher Education (Feb. 9, 1996): 19-20.

42. Information on advanced placement classes is available from the Educational Testing Service, Princeton, NJ 08541. E-mail: info@ets.org. ETS publishes a series of pamphlets on assessment.

43. Howard Gardner, Frames of Mind: The Theory of Multiple Intelligences (New York: Basic Books, 1993).

44. The Chronicle of Higher Education tracks information on content majors in colleges and universities.

TABLE 2

RATING FOR TEACHERS’ WORK LOAD

NO OF TEACHING PERIODS PER WEEK POINTS

18 Periods and below

Between 19 and 21 periods

Between 22 and 30 periods

Above 30 periods

4

3

2

1

The researcher further assumes that experience of the teachers

counts much on their teaching effectiveness and also on the

students’ understanding of what is taught. It is assumed that

the more experienced a teacher is in the teaching of a particular

subject, and the higher will his students score on a test. For

this reason, a four-point rating scale was used to quantify the

teaching experience of history teachers in each school (Table 3).

TABLE 3

RATING FOR TEACHING EXPERIENCE

TEACHER CATEGORY POINTS

Over 6 years 4

Between 5 and 3 years

Between 2 and 1 year

Below 1 year

3

2

1

Material Resources

On material resources, a check-list of textbooks recommended

for the teaching and learning of history by both the Oyo State

government and the Conference of Principals in the state was

prepared. The researcher believes that some of the listed

textbooks are good as teachers’ references. So also, visual and

audio-visual materials that are thought necessary for the

effective teaching of history were listed.

The scale ranged from mostly used on one end of the continue

to absolutely not available on the other. It was assumed that

materials that are mostly used contribute most to the teaching

and understanding of history. Those materials that are rarely

used have better effect on understanding of history than those

that are not used at all. It is also assumed that materials that

are available in the schools can be made use of when occasion

calls for it, so, they are then better than those materials that

are not available at all in the school.

Resources that are not available in the schools have no

contribution whatsoever to the teaching and learning of history.

For this reason, 3 points was awarded to materials mostly used; 2

points was awarded to those rarely used; 1 point was awarded to

materials not available. On library resources, respondents were

requested to answer Yes or No. ‘Yes’ was scored 1 point each and

‘No’ was scored zero.

Results

In order to test hypothesis which states that there is no

significant difference in the scores, on the test of history, of

students in schools with adequate supply of qualified history

teachers and the scores of students in schools with inadequate

qualified teachers, data collected were analysed. It was assumed

that schools that scored 60% and above on the question on teacher

quality have adequate supply of qualified teachers in history.

On the other hand, schools that scored less 60% on teachers

quality were assumed to have inadequate supply of qualified

teachers in history. In this regard, the schools used for the

purpose of the study were grouped into two. Group 1 consisted of

six (6) schools that have adequate teacher quality while the four

(4) schools in Group 2 were those that have inadequate teacher

quality for the teaching of History. For the fact that the

number of students that fall under each of the groups were

unequal, the scores of one hundred students were randomly

selected for computation in each group. The results are shown in

Table 4.

TABLE 4: The Difference between the mean scores on History Test

for Group 1, (students with adequate Teacher quality) and Group 2

(students with inadequate Teacher quality) and its t value

Group No. of

Subjects

Mean-

Scores

Differe

nce

t value

1. (With adequate

teacher quality in

History

100 41.57 5.65 3.49**

2. (With

inadequate teacher

quality in

History)

100 35.91

Note ** P < .01

Degree of freedom 198.

The table revealed that there is a significant difference

between the two groups on history achievement scores. The table

provided enough justification for rejecting the hypothesis and

thereby accepting that there is significant difference in the

scores, on the test of history, of students in schools with

adequate teacher quality and the scores of students in schools

with inadequate teacher quality in history.

In order to test hypothesis 2, the same procedure explained

above was used. Schools used for the study were grouped into

two. Schools that fall under group one (1) were those that have

adequate material resources for the teaching and learning of

history by scoring 60% or above on materials resources. Schools

that scored below 60% were categorized under group 2. The

computation of t test showed a statistically significant

difference between the two groups in terms of academic

achievements of their students in history. The results are shown

in Table 5.

TABLE 5: The Differences in the Students’ Academic Achievements

in a test of History between Schools with Adequate Material

Resources and Schools with inadequate Materials Resources

Group No. of

Subjects

Mean-

Scores

Differe

nce

t value

1. (With adequate

material resources

on History

100 44.72 6.92 3.99**

2. (With

inadequate

material resources

on History)

100 37.80

Note ** P .001

Degree of freedom 198.

The calculated t-value was 3.99 and was significant at (p

< .01). The table thus revealed that schools having adequate

material resources obtained a mean score which was significantly

greater than that of the schools without adequate material

resources. In other words, the table revealed that there are

statistical significant differences in the scores, on the test of

history, of students in schools with adequate material resources

and the scores of students in schools with inadequate material

resources on history.

Discussion and Recommendations

The outcome of the analysed data showed that both adequate

supply of teachers and material resources greatly influenced

students’ academic performance in History. These results

confirmed the views of some writers like Walberg (1974). Fafunwa

(1979), Fagbamiye (1977), Fayemi (1991), Moronfola (1982), Momoh

(1980) and Popoola (1981).

On the basis of the findings of this study, it is

recommended that one way to improve the achievements of students

in history is to provide more qualified teachers in the secondary

schools to teach the subject. Another way is to increase the

provision of adequate material resources for the teaching of the

subject.

Bearing in mind the importance of material resources to

teaching and learning, adequate instructional aids should be

provided for the teaching of history in order to increase

students’ performance in the subject. Both teacher quality and

material resources are intimately related. Teachers can be

frustrated without adequate supply of materials needed to teach

their subjects. It is therefore highly essential to provide

adequate and relevant materials for the teaching and learning not

only of history but of all other subjects in the secondary school

curriculum.

History teachers are advised to always attend workshops,

seminars, vocational courses to make them be abreast of the

current development in the subject. There is also the need for

history teachers to be creative and resourceful. Materials that

are very costly to purchase can be improvised. Provision should

be made to establish and equip library in every school. There

should also be provision for the training of the students in the

use of library.

Parents should be encouraged to buy recommended textbooks on

history for their wards to supplement teachers’ notes. The

Federal Ministry of Education and the Nigerian Education Research

Council (NERC) should establish or if it has been established

should make functional, centre for the provision of locally

developed teaching aids and its function should include the

evaluation and recommendations on specific and relevant

instructional materials.

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