3
2
1
2:
1: Does not
0: Not
Approaching
meet
Present
Meeting
Expectations
0.00%
Expectations
74.00%
87.00%
4
3: Meets
Expectations
100.00%
100.0 %Criteria
10.0 %TOPIC: Provides a
board research topic
area/title.
10.0 %LITERATURE
REVIEW: Lists primary
points for four sections in
the Literature Review: (a)
Background of the
problem/gap and the need
for the study based on
citations from the
literature; (b) Theoretical
foundations (models and
theories to be foundation
for study); (c) Review of
literature topics with key
theme for each one; (d)
Summary.
Item is Not all
Component is Component is
not
components present and addressed clearly
present are present. adequate.
and
Large gaps are Small gaps are comprehensively.
present in the present that No gaps are
components leave the
present that
that leave the reader with leave the reader
reader with questions.
with questions.
significant
questions.
Item is Not all
Component is Component is
not
components present and addressed clearly
present are present. adequate.
and
Large gaps are Small gaps are comprehensively.
present in the present that No gaps are
components leave the
present that
that leave the reader with leave the reader
reader with questions.
with questions.
significant
questions.
Item is Not all
Component is Component is
10.0 %PROBLEM
components present and addressed clearly
STATEMENT: Describes the not
present are present. adequate.
and
problem to address
Large gaps are Small gaps are comprehensively.
through the study based on
present in the present that No gaps are
defined gaps or needs from
components leave the
present that
the literature.
10.0 %SAMPLE AND
LOCATION: Identifies
sample, needed sample
that leave the
reader with
significant
questions.
Item is Not all
not
components
present are present.
reader with
questions.
leave the reader
with questions.
Component is Component is
present and addressed clearly
adequate.
and
Large gaps are Small gaps are comprehensively.
present in the present that No gaps are
components leave the
present that
that leave the reader with leave the reader
reader with questions.
with questions.
significant
questions.
Item is Not all
Component is Component is
10.0 %RESEARCH
not
components present and addressed clearly
QUESTIONS: Provides
and
research questions to all of present are present. adequate.
Large gaps are Small gaps are comprehensively.
the collect data needed to
present in the present that No gaps are
address the problem
components leave the
present that
statement.
that leave the reader with leave the reader
reader with questions.
with questions.
significant
questions.
Item is Not all
Component is Component is
10.0
components present and addressed clearly
%HYPOTHESIS/VARIABLES not
and
OR PHENOMENA: Provides present are present. adequate.
Large gaps are Small gaps are comprehensively.
hypotheses with variables
present in the present that No gaps are
for each research question
components leave the
present that
(quantitative) or describes
that leave the reader with leave the reader
the phenomena to be
reader with questions.
with questions.
better understood
significant
(qualitative).
questions.
Component is Component is
10.0 %METHODOLOGY AND Item is Not all
not
components present and addressed clearly
DESIGN: Describes the
and
selected methodology and present are present. adequate.
Large gaps are Small gaps are comprehensively.
specific research design to
present in the present that No gaps are
address problem statement
components leave the
present that
and research questions.
that leave the reader with leave the reader
reader with questions.
with questions.
significant
questions.
Item is Not all
Component is Component is
10.0 %PURPOSE
components present and addressed clearly
STATEMENT: Provides one not
present are present. adequate.
and
sentence statement of
Large gaps are Small gaps are comprehensively.
purpose including the
present in the present that No gaps are
problem statement,
components leave the
present that
methodology, design,
that leave the reader with leave the reader
population sample, and
reader with questions.
with questions.
location.
size, and location (study
phenomenon with small
numbers and
variables/groups with large
numbers).
10.0 %DATA COLLECTION:
Describes primary
instruments and sources of
data to answer research
questions.
10.0 %DATA ANALYSIS:
Describes the specific data
analysis approaches to be
used to address research
questions.
100 %Total Weightage
significant
questions.
Item is Not all
Component is Component is
not
components present and addressed clearly
present are present. adequate.
and
Large gaps are Small gaps are comprehensively.
present in the present that No gaps are
components leave the
present that
that leave the reader with leave the reader
reader with questions.
with questions.
significant
questions.
Item is Not all
Component is Component is
not
components present and addressed clearly
present are present. adequate.
and
Large gaps are Small gaps are comprehensively.
present in the present that No gaps are
components leave the
present that
that leave the reader with leave the reader
reader with questions.
with questions.
significant
questions.
The 10 Strategic Points for the Prospectus, Proposal, and Dissertation
Introduction
In the Prospectus, Proposal and Dissertation there are ten key or strategic points that need to be
clear, simple, correct, and aligned to ensure the research is doable, valuable, and credible. These
points, which provide a guide or vision for the research, are present in almost any research. They are
defined within this 10 Strategic Points document.
The 10 Strategic Points
The 10 strategy points emerge from researching literature on a topic, which is based on, or aligned
with, the defined need in the literature as well as the learner’s personal passion, future career purpose,
and degree area. The 10 Strategic Points document includes the following ten key or strategic points that
define the research focus and approach:
1. Topic – Provides a broad research topic area/title.
2. Literature review - Lists primary points for four sections in the Literature Review: (a)
Background of the problem/gap and the need for the study based on citations from the literature;
(b) Theoretical foundations (models and theories to be foundation for study); (c) Review of
literature topics with key theme for each one; (d) Summary.
3. Problem statement - Describes the problem to address through the study based on defined needs
or gaps from the literature.
4. Sample and location – Identifies sample, needed sample size, and location (study phenomena
with small numbers and variables/groups with large numbers).
5. Research questions – Provides research questions to collect data to address the problem
statement.
6. Hypothesis/variables or Phenomena - Provides hypotheses with variables for each research
question (quantitative) or describes the phenomena to be better understood (qualitative).
7. Methodology and design - Describes the selected methodology and specific research design to
address problem statement and research questions.
8. Purpose statement – Provides one sentence statement of purpose including the problem
statement, methodology, design, population sample, and location.
9. Data collection – Describes primary instruments and sources of data to answer research
questions.
10. Data analysis – Describes the specific data analysis approaches to be used to address research
questions.
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The Process for Defining the Ten Strategic Points
The order of the ten strategic points listed above reflects the order in which the learner does the
work. The first five strategic points focus primarily on defining the focus for the research based on a
clearly defined need or gap from the literature as well as the learner’s passion, purpose and specialty
area focus. First, a learner identifies a broad topic area to research for their dissertation based on a
clearly defined need or gap from the literature -- that they are interested in because based on their
personal passion, future career purpose, and degree. Second, the learner completes a review of the
literature to define the need or gap they will address, the theories and models that will provide a
foundation for their research, related topics to demonstrate their expertise in their field, and the key
strategic points behind their proposed research. Third, the learner develops a clear, simple, one sentence
problem statement that defines the problem, or gap, their research will address. Fourth, the learner
identifies some potential target populations they would have access to in order to collect the data for the
study, considering the fact the quantitative study sample sizes need to be much larger than those for
qualitative studies. Fifth, the learner develops a set of research questions, which define the data needed
to address the problem statement.
Based on the above five strategic points, the learner next defines the key aspects of the research
methodology in the following five strategic points. Sixth, the learner either describes the phenomena to
be studied (if it is a qualitative study), or develops a set of hypotheses (matching the research questions)
that defines the variables that will be the focus for the research (if it is a quantitative study). Seventh, the
learner determines if the study will be qualitative, quantitative or mixed research based on (a) the best
approach for the research, (b) the size of the sample they can get permission to access, (c) availability of
data collection tools and sources, and (d) time and resources to conduct the study. In addition, the
learner selects the best design approach considering these same four factors. Eight, the learner develops
a purpose statement by integrating the problem statement, methodology, design, sample, and location.
Ninth, the learner identifies the data they will need to collect to address the research questions or
hypotheses and how they will collect the data (e.g., interviews, focus groups, observations, tested and
validated instruments or surveys, data bases, public media, etc.) Tenth, the learner identifies the
appropriate data analysis steps, based on their design, to be used to answer their research questions and
address their problem statement.
Criteria for Evaluating the Ten Strategic Points: Clear, Simple, Correct and Aligned
When developing research, it is important to define the ten strategic points so they are simple, clear and
correct in order to ensure anyone who reviews them will easily understand them. It is important to
align all of the ten strategic points to ensure it will be possible to conduct and complete the research.
The problem statement must come out of the literature. The research questions must collect the data
needed to answer the problem statement. The methodology and design must be appropriate for the
problem statement and research questions. The data collection and data analysis must provide the
information to answer the research questions (qualitative) or test the hypotheses (quantitative).
Developing the 10 Strategic Points as a two to three-page document can help ensure clarity, simplicity,
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correctness, and alignment of each of these ten key or strategic points in the prospectus, proposal, and
dissertation. Developing these ten strategic points on a two to three pages also provides an easy-to-use
use template to ensure the ten strategic points are always worded the same throughout the prospectus,
proposal, and dissertation.
Value of the 10 Strategic Points Document
The learner can use the 10 Strategic Points document for communicating and aligning key
stakeholders for the dissertation. The learner can also use the document to get agreement between the
learner and the chair on the initial focus and approach for their research. The 10 Strategic Points
document is useful when reviewing the proposed research with the people or organizations where the
learner needs to get permission to conduct their research. The learner needs to obtain this permission to
conduct research, or site permission, before developing their Proposal. The document is useful for
communicating the dissertation focus when attracting a Content Expert as well as for reviewing the
proposal with the dissertation committee and the AQR reviewers. Further, submitting this document
with the prospectus to the methodologist will assist in demonstrating to the methodologist the
methodology, design, data collection, and data analysis align with the problem statement, research
questions, and hypotheses or phenomena.
Examples of the 10 Strategic Points Document
It is important that the ten strategic points are clear, concise, doable, and aligned throughout the
prospectus, proposal, and dissertation. Following are samples for a quantitative study and a qualitative
study. GCU does not recommend using a mixed method study, which requires the completion of a 10
Strategic Points for both the quantitative and qualitative method. A mixed-methods study should not be
proposed unless the learner has lots of extra time and resources to complete it. Additionally the learner
must be able to do both qualitative and quantitative data analysis. A qualitative study with numbers or
descriptive statistics does not mean it is mixed method study. Qualitative data can be displayed using
tables, charts, graphs and descriptive statistics. Following the examples below, there is a table to use to
develop your 10 Strategic Points.
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Example 1: Ten Strategic Points for a Quantitative Correlational Study:
1. Topic – Provides a broad research topic area/title: Relationship of Servant Leadership behaviors
in principals, school culture, and student performance
2. Literature review - Lists primary points for four sections in the Literature Review: a.
Background of the problem/gap; b. Theoretical foundations (models and theories to be
foundation for study); c. Review of literature topics with key theme for each one; d. Summary
a. Background of the problem/gap;
i.
The national call for school accountability is a critical issue that has gained
attention from federal educational lawmakers given the rate at which American
students are falling behind other countries influenced federal lawmakers in the
creation of the NCL Act (Koretz, 2009).
ii.
The school principal of the twenty first century has been asked to do and be
competent in more and more tasks than the previous two centuries of school
principals including improving student performance and the school culture
(Kafka, 2009).
iii.
The characteristics of school culture are complex, and a leader must understand
these complex variables before they create change with the school (MacNeil et al.,
2009).
iv.
Black (2010), who conducted a mixed method study showing relationship of
servant leadership and school climate, suggest additional studies in this arrea.
v.
Pritchard et al. (2005) explored the relationships between district and school
culture and student achievement.
b. Theoretical foundations (models and theories to be foundation for study);
i.
Servant leadership model (Greenleaf, 1977; Patterson 2003)
ii.
School culture models (MacNeil, 2009; Schein, 1985)
iii.
Broad set of studies exploring relationship among these two models and
performance in school. (Halawah, 2005; MacNeil et al.,2009)
c. Review of literature topics with key theme for each one;
i.
National Agenda: Need to improve the performance of students in schools to be
competitive as a nation (Koretz, 2009).
ii.
Changing Role of Principal: The role of the principal in American schools has
changed dramatically from its beginnings of uniformed education (Rousmaniere,
2007).
iii.
Servant Leadership in Principals Leads to More Effective leaders: The study
used the Self-Assessment for Servant Leadership Profile (SALS) to assess
whether or not a leader was a servant leader and the Leadership Practices
Inventory (LPI) to assess principal effectiveness. (Taylor et al., 2007).
iv.
Principal’s Behavior Influence School Culture: The principal’s influence on
school culture has an indirect effect on organizational and cultural factors of a
school (MacNeil et al., 2009).
v.
School Culture Influences Student Performance: A strong relationship exists
between school culture and student performance (McCoach et al., 2004).
vi.
Measuring Servant Leadership Behaviors: About 10 validated/tested
Instruments exist to measure Servant Leadership Behaviors some of which have
been used in schools
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vii.
viii.
ix.
Measuring Culture: Validated/tested instruments to measure culture exist and
have been used in schools.
Measuring Student Performance: State Test Scores are a standardized way to
measure student performance used across all schools in a state.
Methodology: The primary design from the Literature Review used to evaluate
relationship between Servant Leadership and variables such as culture, climate,
and performance has been correlational.
d. Summary.
i.
Gap/problem: There is a need to identify different approaches to improve student
performance
ii.
Prior studies: Prior studies show various relationships between two of the three
variables (servant leadership behaviors, culture and student performance) with
only one exploring all three
iii.
Quantitative study: Instruments and sources of data exist to collect numerical data
on the three variables
iv.
Significance: research will add to the broad area of correlating leadership, culture
and performance; research may identify specific approaches to be use by school
leadership to improve student performance
3. Problem statement - Describes the phenomena to study (qualitative) or variables/groups
(quantitative) to study, in one sentence: It is not known if there is a relationship between the
level of a principal’s servant leadership behaviors and characteristics as perceived by teachers in
principals, the school culture as perceived by teachers, and level of student performance.
4. Sample and location – Identifies sample, needed sample size, and location (study phenomena
with small numbers and variables/groups with large numbers).
a. Location: Alaska
b. Population: All schools in rural Alaska
c. Sample: One district in rural Alaska with approximately 20 principals who each lead a single
school
d. Number of observations for each principal in the sample: There are 5 to 10 teachers in each
school all of whom will be asked to complete the instruments on the principal
5. Research questions – Provides research questions to collect data to answer the problem
statement: R1: Is there a relationship between teacher-perceived principal servant leadership
characteristics and teacher-perceived school culture? R2: Is there a relationship between teacherperceived principal servant leadership characteristics and student achievement? R3: Is there a
relationship between teacher-perceived school culture and student achievement?
6. Hypothesis/variables or Phenomena - Provides hypotheses with variables for each research
question (quantitative) or describes the phenomena to be better understood (qualitative).
a. H1: There is a significant relationship between a principal’s servant leadership characteristics
as perceived by teachers and measured by the SLAI and teacher-perceived secondary school
culture as measured by the SCS.
b. H10: There is not a significant relationship between a principal’s servant leadership
characteristics as perceived by teachers and measured by the SLAI and teacher-perceived
secondary school culture as measured by the SCS.
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c. H2A: There is a significant relationship between the principal’s servant leadership
characteristics as perceived by teachers and as measured by SLAI and student achievement
measured by the SIVS.
d. H2A0: There is not a significant relationship between the principal’s servant leadership
characteristics as perceived by teachers and as measured by SLAI and student achievement
measured by the SIVS.
e. H3A: There is a significant relationship between teacher perceived secondary school culture as
measured by the SCS and student achievement as measured by the SIVS.
f. H3A0: There is a significant relationship between teacher perceived secondary school culture
as measured by the SCS and student achievement as measured by the SIVS.
7. Methodology and design - Describes the selected methodology and specific research design to
address problem statement and research questions: This study will use a Quantitative
Methodology with a Correlation Design
8. Purpose statement – Provides one sentence statement of purpose including the problem
statement, sample, methodology, and design: The purpose of this quantitative correlational
study was to develop an understanding of the relationships between secondary school principals’
teacher-perceived servant leadership, teacher-perceived school culture, and student achievement in
all of the schools in the Lower Kuskokwim School District.
9. Data collection – Describes primary instruments and sources of data to answer research
questions:
a. Independent variable: Level of principal’s servant leadership characteristics /behaviors: Data
will be collected using one of the standard instruments/surveys that measure the Servant
Leadership Style by measuring level of servant leadership characteristics in 6-10 dimensions
currently used for similar studies (Dennis and Bocarnea; 2005)
b. Dependent variable: Level of culture in the school: : Data will be collected using one of the
standard instruments/surveys currently used for similar studies that measure School Culture by
measuring the different dimensions of climate (MacNeil et al., 2009).
c. Dependent Variable: Student performance will be measured by the state/school standardized
test scores (SIVS).
10. Data analysis – Describes the specific data analysis approaches to be used to address
research questions.
a. Descriptive statistics to summarize the sample demographic data and the data on the three
variables
b. A test for univariate outliers to determine if any cases may not statistically be part of the
sample collected.
c. A test the assumptions of normality and homoscedasticity
d. Inferential statistics for testing linear regression for the three hypotheses
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Example 2: Ten Strategic Points for a Quantitative Causal Comparative Study:
1. Topic – Provide a broad research topic area/title: Impact of teacher collaboration within
Mathematics PLCs on Texas state math assessments
2. Literature review - List primary points for four sections in the Literature Review: a.
Background of the problem/gap; b. Theoretical foundations (models and theories to be
foundation for study); c. Review of literature topics with key theme for each one; d. Summary
a. Introduction and Background
i. Gap exists in tactics that contribute to improved performance in mathematics state test
scores especially for low SES Hispanic students (NCES, 2010). .
ii. Opportunity to quantity the relationships between collaboration in teachers and higher
state mathematics test scores (DuFour, 2011).
b. Theoretical Foundation
i. Models of collaboration (Naughton, 2006).
ii. Models of high performing schools (Sanders, 2010; Wilson, 2011),
c. Review of Literature topics with key theme:
i. Trends in Education at the National & State Level: Gaps exist in the performance on state
mathematics tests (NCES, 2010)
ii. Characteristics of the Low SES Student Population: Although performance gaps continue
to be higher for some high minority low SES schools (NCES, 2010), others are high
performing or excelling schools on state test results (Jensen, 2009; Dyson, H. 2008). .
iii. Professional Learning Communities (PLCs): PLCs are being established with
departments to improve collaboration and identify tactics to improve student performance
(DuFour, DuFour, Eaker, & Many, 2006).
iv. Teacher Collaboration: Collaboration has been shown to contribute to school and student
success in qualitative but not quantitative studies (Piccardi, 2005; Erkens, 2008; DuFour,
2011).
v. Teacher Collaboration (independent variable) can be measured using a tested and
validated instrument (dependent variable) (Naughton, 2006); Student Achievement can
be measured using mathematics results on state test scores
vi. Methodology: Quantitative causal comparative design: The study will use a causal
comparative design to compare two groups as has been done in prior studies
d. Synthesis/Summary
i. Background: There is Need to Close the Mathematics Achievement Gap
ii. Gap/Problem: Demonstrate relationship between collaboration in PLC and mathematics
achievement in high minority low SES grade schools
iii. PLCs: The Way to Implement Change is through Collaboration through PLCs
iv. Collaboration: Collaboration is a mean to Impact Student Achievement
v. Final Thoughts
3. Problem statement - Explain the phenomena to study (qualitative) or variables/groups
(quantitative) to study, in one sentence: It is unknown what differences exist, if any, in the levels
of perceived teacher collaboration within PLCs in schools identified as high performing versus those
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reported at low performing schools, which serve both a high percentage of low SES students and
Hispanic students, on state math assessment.
4. Sample and location – Identify sample, needed sample size, and location (study phenomena
with small numbers and variables/groups with large numbers): Need at least 30 grade schools
that are high performing and 30 that are low performing on state mathematics test scores in the state
of Texas. Schools need to have established PLCs for mathematics.
a. Research questions – Provide research questions to collect data to answer the problem
statement: R1: What differences exist, if any, between the levels of perceived teacher
collaboration within PLCs in schools identified by the state of Texas as high performing versus
those perceived at low performing schools that serve both, a high percentage of low SES and
Hispanic students, on state math assessment?
b. Hypothesis/variables or Phenomena - Develop Hypotheses with variables for each research
question (quantitative) or describe the phenomena to be better understood (qualitative)
Compare high performing schools on their state test scores in mathematics (group 1) to low
performing schools (group 2) on their perceived level of collaboration in the mathematics PLCs.
c. HA: There would be a significant difference between the levels of perceived teacher
collaboration within PLCs in schools identified by the state of Texas as high performing versus
those perceived at low performing that serve both, a high percentage of low SES and Hispanic
students, on state math assessment.
d. H0: There would be no significant difference between the levels of perceived teacher
collaboration within PLCs in schools identified by the state of Texas as high performing versus
those perceived at low performing that serve both, a high percentage of low SES and Hispanic
students, on state math assessment.
5. Methodology and design - Describe the selected methodology and specific research design to
address problem statement and research questions: Quantitative methodology with a causal
comparative research design
6. Purpose statement – Provide one sentence statement of purpose including problem statement,
sample, methodology, and design: The purpose of this causal comparative quantitative study is to
examine to what extent the level of teacher collaboration within Mathematics PLCs is a factor that
may influence the mathematics achievement level on the Texas mathematics assessment of
elementary schools identified as 'high performing' or 'low performing', and serving a majority of low
SES and Hispanic students.
7. Data collection – Describe primary instruments and sources of data to answer research
questions: For the independent variable, this study will use the Mathematics Staff Interaction
Questionnaire (MSIQ) developed by Naughton (2006). To measure the dependent variable, the
researcher will use archival data (provided by the district’s Research Review Board office) for each
elementary school in one North Texan school district to differentiate schools based on achievement
level as indicated by the 2011 Texas mathematics assessment.
8. Data analysis – Describe the specific data analysis approaches to be used to address research
questions: A priori analysis will be used to justify the sample size. Descriptive statistics will
describe the sample characteristics and variable results. An independent t-test will test for difference
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between the two groups of 30 schools (high performing versus low performing on mathematics) on
level of collaboration.
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Example 3: Ten Strategic Points for a Qualitative Case Study:
1. Topic – Provides a broad research topic area/title: A Case Study of how a comprehensive global
programme, the International Baccalaureate Middle Years Programme, influences the success of a
single middle school.
2. Literature review - Lists primary points for four sections in the Literature Review: a.
Background of the problem/gap; b. Theoretical foundations (models and theories to be
foundation for study); c. Review of literature topics with key theme for each one; d. Summary.
a. Background of the problem/gap:
i.
Prior studies which show a relationship between achievement in mathematics and
literacy and taking a language identified need to study how taking a foreign language
leads, especially in immersion programs, to higher levels of cognitive development
as reflected in higher scores in mathematics and literacy (Stewart, 2008).
ii.
Dr. Celestine Gail Carr (1994) concluded that further studies on the effects of
foreign language studies on vocabulary, mathematical concepts, and mathematical
computations examining for a correlation between foreign language aptitude and
mathematical aptitude at the middle school level.
iii.
Dr. Carolyn Joyce Taylor-Ward (2003) identified the need for future sties on
relationship between studying elementary school foreign language and academic
achievement on state test scores.
b. Theoretical Foundations (models and theories to be foundation for study);
Lev Vygotsky, a pioneer in developmental psychology researched the development of language
and its relationship to thought (Vygotsky, 1986). Vygotsky studied cognitive development and
its relationship to the role of social interaction with the environment (Vygotsky, 1978). Vygotsky
proposed that language, along with environmental social interaction helps a child to learn to
reason (Vygotsky, 1978). Learning a foreign language is a social activity that involves a
learner’s interaction with the environment and their teacher. Vygotsky’s model supports the
assumption that cognitive development transfers in the Zone of Proximal Development
(Vygotsky, 1978). The International Baccalaureate Middle Years Program provides a medium
for which a More Knowledgeable Other and the Zone of Proximal Development take place.
Learners demonstrate through interaction in organized debates, hands-on experimentation
projects, investigations, and problem solving activities.
c. Review of literature topics with key theme for each one;
i.
Historical Events: Historically, there have been laws enacted, government initiatives,
and global events that have driven the need for support of a global education as well as
improved performance in basic areas such as mathematics and literacy within the United
States of America.
ii. National Security: Today’s global realities make it imperative for the United States to
adapt a global perspective including learning foreign languages as a priority for U.S.
national security and to help the U.S. remain a global leader.
iii. Global Literacy: There are high performing schools that have comprehensive global
learning programs, which have contributed to students’ cognitive development and
resulting improvements of national and state standardized test scores.
iv.
Cognitive Development: Empirical research shows that a relationship exists between
cognitive development, comprehensive global learning, and student success in areas such
as mathematics and literacy.
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v.
3.
4.
5.
6.
7.
8.
9.
Qualitative Case Study Design: Prior studies on this program have been predominately
correlational and focused on determine the impact of the program. However, an in-depth
understanding of how this program may be influencing student performance is missing. A
case study is an ideal approach to understand the causal relationships within complex
phenomena (Yin, 2014).
d. Summary.
i.
United States priority for global literacy to be competitive and secure.
ii. Learning foreign languages leads to improved cognitive development and student
performance.
iii. Gap in terms of additional research needed to examine these findings.
iv.
Case study design is ideal for understanding causal relationships within complex
phenomena.
Problem statement - Describes the phenomena to study (qualitative) or variables/groups
(quantitative) to study, in one sentence: It is not known how the International Baccalaureate
Middle Years Programme influences the success of a single middle school in the state of Georgia.
Sample and location – Identifies sample, needed sample size, and location (study phenomena
with small numbers and variables/groups with large numbers).
a. Location: The state of Georgia of the United States of America.
b. Target Population: A school district with over 25 schools.
c. Sample: A single middle school that uses the International Baccalaureate Middle Years
Programme and has over 500 students.
Research questions – Provides research questions to collect data to answer the problem
statement:
a. R1: What is the nature and structure of the International Baccalaureate Middle Years Programme?
b. R2: How does the International Baccalaureate Middle Years Programme impact school success
including Annual Yearly Progress?
c. R3: What factors of the International Baccalaureate Middle Years Programme contribute to
cognitive development?
d. R4: What factors of the International Baccalaureate Middle Years Programme contribute to global
literacy?
e. R5: How does the leadership of an International Baccalaureate Middle Years Programme
contribute to a schools’ success?
f. R6: How is the International Baccalaureate Middle Years Programme evaluated?
Hypothesis/variables or Phenomena - Provides hypotheses with variables for each research
question (quantitative) or describes the phenomena to be better understood (qualitative).
a. Phenomenon: Understanding the nature and impact of an International Baccalaureate Middle
Years Programme in a single middle school in the state of Georgia on global literacy and
improvement in cognitive development as well as mathematics and literacy performance.
Methodology and design - Describes the selected methodology and specific research design to
address problem statement and research questions: The methodology is qualitative. The design is
a single case study of a single program and how it influences a single middle school.
Purpose: The purpose of the qualitative single case study is to determine how the International
Baccalaureate Middle Years Programme influences the success of a single middle school in the state
of Georgia.
Data collection – Describes primary instruments and sources of data to answer research
questions:
11
03/15/2015
a. The researcher will get an overview of the International Baccalaureate Programme through the
website provided by the International Baccalaureate.
b. The investigator will look at the Georgia Department of Education’s public database to
determine if state standardized test scores of this single middle school show success in
performance and other dimensions of performance that display on the public database.
c. The investigator will interview the founders of and curriculum developers of the International
Baccalaureate to understand focus of program and how it develops global literacy and may lead
to improved cognitive development reflected in mathematics and literacy scores on state tests.
d. The investigator will interview the International Baccalaureate Middle Years Programme schoolbased principal, programme coordinator, and foreign language teachers.
e. Media, curriculum (designer and school based), and evaluation reports about International
Baccalaureate Programme will contribute to the study.
f. The researcher will look at factors of the International Baccalaureate Middle Years Programme
(curriculum, reports, interviews with developers and the school-based principal) that contributes
to cognitive development and global literacy.
10. Data analysis – Describes the specific data analysis approaches to be used to address research
questions.
a. Data will be organized and prepared for analysis.
b. Descriptive statistics will summarize the data.
c. Coding will generate themes to address the research questions.
d. A narrative and visual summary of the case study will be developed across the research
questions.
12
03/15/2015
.
Table to Use to Complete your 10 Strategic Points
Ten Strategic Points
Comments or
Feedback
Broad Topic
Area
Lit Review
Problem
Statement
Research
Questions
Sample
Describe
Phenomena
(qualitative)
or Define
Variables/Hy
potheses
(quantitative)
Methodology
& Design
Purpose
Statement
Data
Collection
Approach
Data Analysis
Approach
13
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DOCUMENT RESUME
ED 437 760
AUTHOR
TITLE
PUB DATE
NOTE
PUB TYPE
EDRS PRICE
DESCRIPTORS
IDENTIFIERS
EC 307 608
Holmes, Julie A.
The Least Restrictive Environment: Is Inclusion Best for All
Special Needs Students?
1999-11-00
13p.; Paper presented at the Annual Meeting of the Mid-South
Educational Research Association (Point Clear, Alabama,
November 17-19, 1999).
Speeches/Meeting Papers (150)
Research (143)
Reports
MF01/PC01 Plus Postage.
Academic Accommodations (Disabilities); Case Studies;
Classroom Techniques; *Disabilities; *Educational Change;
Elementary Education; *Inclusive Schools; *Knowledge Base
for Teaching; Mainstreaming; Pilot Projects; Resistance to
Change; Resource Room Programs; *Teacher Attitudes;
*Teaching Methods
Louisiana
ABSTRACT
This report discusses the outcomes of an intrinsic case
study of the implementation of inclusion in a North Louisiana parish and the
placement of special needs students within this parish. The case study was
undertaken in an attempt to better understand the meaning and effect of the
experience of teaching in an inclusive setting and of the placement decisions
made for special needs students. Data were collected by means of reflective
journals, review of documents, and interviews with teachers and
administrators in the five elementary schools in the parish who participated
in inclusion classrooms during the 1998/1999 school year. Four of the schools
piloted inclusive classes at selected grade levels. One of the schools
contained all sixth grade students and all the special education students
were placed throughout the school. Teachers faced problems with classroom
disruptions, discipline, lack of resources, and lack of knowledge. They used
different strategies to assist students with disabilities including modified
assignments, peer tutoring, individualized instruction from the special
education resource teacher, and use of manipulatives. With the proper
modifications, the inclusion students progressed well in most cases at each
of the five schools. (Contains 14 references.) (CR)
Reproductions supplied by EDRS are the best that can be made
from the original document.
The Least Restrictive Environment:
Is Inclusion Best for All Special Needs Students?
Julie A. Holmes, M.S.
Louisiana Tech University/Lincoln Parish Schools
Paper presented at the Annual Meeting
Of the Mid-South Educational Research Association
U.S. DEPARTMENT OF EDUCATION
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divi'his document has been reproduced as
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TO THE EDUCATIONAL RESOURCES
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document do not necessarily represent
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1
Point Clear, Alabama
November 17-19, 1999
2
BEST COPY AVAILABLE
2
Inclusion Defined
To define the term inclusion is a difficult task. Many interpretations exist and the lack of
a consistent definition is one of the difficulties incurred when writing on the topic of inclusion
(Havey, 1998). The Individuals with Disabilities Education Act (IDEA) of 1975 gave special needs
students the right to a free and appropriate education, which meant placement in the least
restrictive environment where the student could benefit most in a setting most like the regular
classroom (Mastropieri & Scruggs, 1997). Vast differences in the interpretation of this general
definition can be found in the literature. Staub and Peck (1994/1995) define inclusion as "the full
time placement of children with mild, moderate, or severe disabilities in regular classrooms "(p.
36) and this option should be considered for all special needs students, regardless of the severity
of their disabilities. The definition used by the National Association of School Psychologists (as
cited in Havey, 1998) builds upon this general statement. It reads:
Inclusive programs are those in which students, regardless of the severity of their
disability, receive appropriate specialized instruction and related services within an ageappropriate general education classroom in the school they would attend if they did not
have a disability.
The debate over a clear-cut definition of inclusion is not the only problem.
Several factions have formed within education circles, thus making an agreed upon interpretation
of the term even more difficult. Fuchs and Fuchs (1994/1995) identified three groups of
inclusionists. There are full inclusionists who opt for a complete dissolution of special education.
This would mean everything with the "special education" label would be obsolete. This group
feels that special education has become a means to seclude the "unteachables". Full inclusion is
seen by this group as a way to transform the regular classroom into a more humane and
resourceful system. There is also a group of full inclusionists that say the regular classroom
should be the only place where special educators should provide services for special needs (and
non-special needs) students. This means that there would still be special education services, but
only within the general education setting, therefore no pullout programs or self-contained special
education settings. Then there is the group that sees inclusion as the answer to reduce the costs
3
of special education. In the rush to implement inclusion for this reason, Shanker (1994/1995) has
pointed out that inclusion has resulted in a crushing financial blow to the schools because
funding was never appropriated at levels promised by Congress, leaving the burden of cost to
states and local school boards.
Despite the lack of a distinct definition of inclusion and the many different interpretations
of how to reconstruct special education programs by using inclusion, the fact is that inclusion
must be an option because it is the law.
What Exactly is the Least Restrictive Environment?
IDEA provided for an appropriate education for disabled students, but the law and the
regulations designed to put it into effect did not outline how school districts were to determine
the least restrictive environment (Yell, 1995). Lack of guidelines resulted in uncertainty on how to
put the law into practice and caused conflict between parents, regular and special education
teachers, advocacy groups, and administrators over the meaning of the least restrictive
environment mandate.
Several noteworthy court cases have helped to give focus to the definition of the least
restrictive environment mandate (Daniel R.R. v. State Board of Education, 1989: Greer v. Rome
City School District, 1991: Oberti v. Board of Education of Clementon School District, 1993:
Sacramento City Unified School District v. Rachel H., 1994, as cited in Yell, 1995). From these
cases, the following are key considerations to educators in deciding upon the least restrictive
environment:
1.
The decision for placement should be based on the individual needs of the disabled
child (Yell, 1995; Smith & Dowdy, 1998; Havey, 1998). This determination should be the decision
of a team comprised of (a) the child, (b) parents, (c) regular education and special education
teachers, (d) other teachers who may provide services for the child (such as speech therapists),
and (e) school administrators. The placement chosen should be determined only after the child's
Individualized Education Program (IEP) has been written by the team described earlier. Decisions
about educational placement should be made on a case-by-case basis and never as a blanket
4
4
decision for all students (Sewall, Kohler, Smith, & Chapman, 1994). To determine that one
placement strategy is best for all is to imply that all students can function and achieve in the
same manner, which educators know is not the case. Smith and Dowdy described using inclusion
for "blanket decisions" in this way:
Placing all children with disabilities in general classroom settings, without regard to
individual needs, because it reflects best practice, does not support the least restrictive
environment concept nor the goal of providing appropriate educational programs for all
children (p. 317).
2.
Every effort needs to be made to keep a student with a disability in an integrated
setting (Yell, 1995). This may mean making a serious attempt to provide supplemental aides and
services, but yet not to the extent of being extremely costly, modifying the curriculum beyond
recognition, or taking up inordinate amounts of the teacher's time in dealing with the student
with a disability (Havey, 1998).
3.
Special education students must have a complete spectrum of alternative placements
available to the extent needed by the school district (Yell, 1995; Mastropieri & Scruggs, 1997).
This principle helps to comply with making decisions with the best interest of each individual
special needs student by the IEP team. One method or program rarely works well for all. With a
continuum of placements available, each individual will have a better chance of succeeding within
an environment that is best suited for him/her.
4.
The needs of the student's peers should be regarded when making decisions on the
least restrictive environment for the special education child (Yell, 1995; Havey, 1998). Student
peers can gain many benefits from having special needs students in the regular setting. Staub
and Peck (1994/1995) cited such potential benefits as (a) increased comfort and awareness of
human differences, (b) positive growth in social attitudes toward disabled students, (c) improved
self-concept, and (d) development of personal principles. However, if the special needs child is
exhibiting behaviors that interfere with the other students' rights, such as adequate time for help
from the teacher or having a classroom climate that is conducive to learning, and every attempt
5
5
has been made to correct the problem, Staub and Peck state that another placement option
needs to be considered.
5.
When a more restrictive setting is chosen for a special needs student, the individual
must be integrated into regular settings to the greatest extent that is appropriate for the child
(Yell, 1995). The requirements of the law can be met for those students who need placement in
a more restrictive setting by incorporating them into regular classes of non-academic subjects,
lunch, recess, or any combination of these.
6.
The burden of proof in defending placement decisions will be borne by the schools
(Yell, 1995). Whatever placement decisions are made for special needs students, whether they
are for an inclusion setting or those of a more restrictive nature, the school must be able to
provide evidence of why this decision was made. This was often the reason that the schools lost
in the afore mentioned court cases. The evidence was not there, or a serious effort could not be
proven that the schools had exhausted every option available to them in order to make the
current placement work (Yell, 1995: Havey, 1998).
Purpose and Design of the Study
The purpose of this paper is to report the results of an intrinsic case study
of the implementation of inclusion in a North Louisiana parish and the placement of special needs
students within this parish. The author (case) is a practicing elementary school teacher with ten
years of teaching experience and has participated in a full inclusion setting at her school. This
intrinsic, reflexive case study was undertaken in an attempt to better understand the meaning
and effect of the experience of teaching in an inclusion setting and of the placement decisions
made for special needs students. The study was conducted because of the intrinsic interest in the
meaning of the inclusion experience (Stake, 1994).
Data were collected by means of reflective journals, review of documents, and interviews
with other teachers and administrators in the parish who participated in inclusion classrooms. A
peer debriefer was utilized to help ensure credibility, confirmability, and dependability of the data
collected in this qualitative research design (Lincoln & Guba, 1985). A reflective view of the data
6
6
was utilized to determine the major themes regarding inclusion and placement options that
emerged from the data.
The Inclusion Initiative
During the 1998/1999 school year, inclusion classes were implemented in five elementary
schools in a North Louisiana parish to provide another option for the least restrictive environment
for special education students. In the past, these schools had self-contained special education
classes and integrated these students into regular education settings whenever possible. For
example, an individual student would go to regular classrooms for instruction in areas that were
not identified as his/her weakness for part of the school day. Other times the entire selfcontained class would be paired with a regular education class for such activities as art or music.
With the implementation of inclusion classes, each school addressed the situation in
different ways. Four of the elementary schools piloted inclusion classes at selected grade levels.
Each of the grade levels selected had one class chosen as the inclusion class. This was the case,
simply because there were not enough special education teachers to provide services to more
than one class per grade level (Sharon Thomas, acting as Special Education Administrator,
personal communication, October, 1999). One of the elementary schools in this parish contained
all sixth grade students and all the special education students were placed throughout the school.
In the "rush", placement decisions for the students were hurriedly completed. According
to Sharon Thomas, then acting as Special Education Administrator in the parish (personal
communication, October 1999), students were selected for the program by a combination of
different strategies in these elementary schools. Principals and teachers met and discussed those
students receiving special education services and determined those students who appeared to be
good candidates for the inclusion setting. The parents of special education students were
approached and consulted as to whether they felt their child would benefit from being in an
inclusion class. Some parents were given the option of having their child in an inclusion class on
a trial basis to see if this type of environment would work well for their child.
7
7
In my classroom, I had a class of 15 students, with six special education students (all
boys; four black and two white). The full class had seven girls and eight boys with an ethnic
distribution of 13 black students and two white students. The general ability level of the regular
education students was very low. This class' national percentile rank on the Iowa Test of Basic
Skills was 12% for the total reading battery and 34% for the total language battery. The special
education resource teacher assigned to my class met with individuals and small groups of
students for two and one half-hours each morning. The rest of the school day I was alone to
instruct the entire group. This seemed to be a typical setting within the district according to other
teachers and administrators with whom I spoke.
As the school year progressed those teachers in the district who were teaching inclusion
classes were sent to workshops for additional training. We discussed with each other as we
traveled to the workshops how we felt the inclusion setting was working for us and for our
students. We agreed that inclusion was clearly not the best choice for several of our special
education students. One teacher complained of how one of her inclusion students constantly
disrupted her class by disturbing other students. He would call out loudly in class or bother other
students by taking their pencils or books away from them. I had a similar problem. "Matt" would
constantly demand my attention and disturb others by kicking or throwing things. The only way
to get him settled was to have him sit right next to the resource teacher to work on assignments.
When she wasn't there, however, the problems escalated again.
The question was what to do about inclusion students such at "Matt", who were causing
problems for the other students. Alternative behavioral management strategies were employed.
At one workshop, conducted by Linda Tilton (1997), behavior management strategies were
discussed, such as (a) ignoring negative behaviors, (b) giving positive comments, (c) rewards,
(d) getting out frustrations by anger writing or drawing, and (e) use of relaxation tapes. Many of
the teachers found that having a wealth of behavior management options such as these helped
because eventually one strategy could usually be found that worked. Throughout the year the
8
8
inclusion teachers continued to share management strategies that could possibly help each other
in their classrooms.
In my particular case, when the special education resource teacher left for the day, an
aide was sent to sit with "Matt". This worked for awhile, but when the aide could not be there
because of other students who needed her as well, the problems arose again. Finally the time
came for "Matt's" annual Individualized Education Plan (IEP) review. The team, consisting of an
administrator, the special education resource teacher, the parent, the child, and myself met to
discuss "Matt's" progress. We concluded "Matt" needed a more restrictive environment. He would
remain in my room while the special education resource teacher was present and he would go to
a self-contained class for the rest of the school day. In other cases, Sharon Thomas (personal
communication, October, 1999) mentioned that other strategies employed by other teachers
were to send the student with his/her regular classroom work back to the special education
resource teacher in some instances or to call the parents to come and observe and discuss the
situation at hand.
On the other hand, positive comments were made by most of the teachers about the
inclusion setting being an excellent choice for many of the special education students. Many
strategies were being used by these teachers to assist the special education students in the
regular setting, such as (a) modified assignments, (b) peer tutoring, (c) individualized instruction
from the special education resource teacher, and (d) use of manipulatives or having math word
problems read to the students. With the proper modifications, the inclusion students seemed to
be progressing well in most cases at each of the five schools.
The real problem in these cases was lack of knowledge. Both teachers and administrators
were operating under the "stay-put" provision of IDEA, meaning we felt we could not move these
troublesome students to another setting. This is no longer the case. Revisions in 1997 have
changed IDEA, allowing for a change in placement, especially if the inclusion student is causing
the peers in his/her class to compromise their educational rights (Department of Education,
1999). Many regular education inclusion teachers at these six schools did not know the laws
9
9
involved when working with these students and the rights of the others in the class as well. I was
virtually unaware of many of these laws and procedures until I researched the literature for this
paper.
By the year's end much progress had been made. The regular education students in
these settings gained by playing the role of helper and tutor to these special needs students,
which was a situation they had rarely experienced in the past. In several of the inclusion classes,
regular education students were informally paired with the inclusion students to review
vocabulary words or to complete assignments. Other classes used small groups of three students
to accomplish a task together, such as Daily Oral Language sentences in which the students were
to correct errors in sentences written on the board, such as missing capital letters and
punctuation marks. In my class, I dispersed the inclusion students with the regular education
students to do Daily Oral Language sentences and review phonics cards and spelling words from
the Johnny Can Spell program. By May, the groups were helping each other and giving praise to
each other for group successes. The inclusion setting for a majority of the special education
students seemed to work. Their academic gains were as good or better than in the past when
these students were in self-contained classes. One teacher even commented that she felt the
inclusion students exceeded her expectations and even did better than some of her regular
education students.
The Future of Inclusion
In reflection of the past school year, the new special education administrator in this
parish has decided to put inclusion "on hold" for awhile. In direct communication with her, the
author learned that for the 1999/2000 school year, inclusion would not be expanded beyond
what had already been in place the previous year. She has also formed a committee of teachers
from throughout the parish to develop a parish-wide policy concerning the roles and
responsibilities of the regular education teacher in the inclusion classroom, discipline procedures,
and grading policies. At my school (and others in the parish) we have added the dimension of
departmentalization for third through fifth grades. The inclusion students are dispersed through
10
10
out all the regular education classes in all subjects at these grade levels and get the opportunity
to learn with many students of many abilities. Most of these students still go to resource classes
for part of the day to address their exceptionalities according to their IEP's.
It appears, according to the literature reviewed for this paper, that some things in the
implementation of inclusion were handled properly by this parish. These include providing
inclusion to expand the spectrum of placement choices available in these schools and integrating
those students in more restrictive environments into the regular setting whenever possible. Many
of the recommendations of Maloney (1994/1995) were things that were done by the teachers in
this parish: (a) collaborative learning, (b) cooperative teaching, (c) peer tutoring, and (d)
innovative scheduling and planning. Departmentalization of the upper grades is an example that
has helped with the scheduling of the inclusion students this year. Each teacher at each grade
level is teaching his/her particular subject area during four different times during the day. With
four teachers at each grade level that is departmentalized teaching the various subjects four
times throughout the day, the inclusion students can be placed in the regular education classes
they can participate in far more easily than before.
Other areas, however, will need to be addressed in order for inclusion to be successful in
the future. Serious consideration needs to be given to the student's peers in the inclusion class.
These students have just as much of a right to an education as the inclusion students, with just
as much attention from the teacher and free of disruptions. The teachers and administrators
interviewed for this paper thought that flexibility was the most desirable trait necessary for
inclusion to be successful. There would need to be flexibility in areas of funding, parental
requests, and alternative arrangements for disruptive students (Maloney, 1994/1995). Many of
these issues are being discussed in the committee mentioned earlier and recommendations are to
be made to the school board.
As Brandt (1994/1995) states, "It (inclusion) works under the right conditions, but
conditions are often far from right in many schools" (p.3). Brandt also mentions that we, as
educators, are torn between our values and aspirations as teachers and the pressing realities of
11
11
our schools. Parents and educators will need to listen to one another and be accepting of trying
new arrangements. All who are concerned for the child's education seek the right provisions for
the child and sometimes mistakes will be made. However, if patience can be found by all those
involved with finding what is truly best for the special education child and taking into
consideration the regular education peers in these inclusion classes, fewer mistakes will be made
and more beneficial solutions will be found.
At certain times, various teachers interviewed wanted to scrap the whole project of
inclusion. At the beginning of the program, this seemed to be prevalent. Many of us complained
of lack of training and the lack of any definition of the goals of this project, other than to comply
with the law. Others felt intimidated by having another teacher in the room with them (referring
to the special education teacher) and felt as though they were being observed all the time. The
time involved in making modifications was immense. The discipline problems alone that were
mentioned earlier could be enough to want to give up. But this would have been a mistake. The
problem lies with wanting a program to be best for all involved. Inclusion is not the best for all
special education students. But it can be a proper choice for many special education students
with careful consideration, flexibility, and patience from teachers, parents, and administrators.
1.2
12
References
Brandt, R. (1994/1995). What is best? Educational Leadership, 52(4), 3.
Department of Education (1999). IDEA '97 General information. Washington, D.C.: Office of
Special Education and Research. http://www.ed.gov/offices/OSERS/IDEA. Date Retrieved: 9/6/99
Fuchs, D. & Fuchs, L.S.(1994/1995). Sometimes separate is better. Educational Leadership,
52(4), 22-26.
Havey, J.M.(1998). Inclusion, the law, and placement decisions:Implications for school
psychologists. Psychology in the Schools, 35(2), 145-152.
Lincoln, Y.S. & Guba, E.G.(1985). Naturalistic inquiry. Thousand Oaks, CA: Sage.
Maloney, J. (1994/1995) A call for placement options. Educational Leadership, 52(4), 25.
Mastropieri M.A. & Scruggs, T.E.(1997). What's special about special education? A cautious view
towards full inclusion. The Educatonal Forum, 61(3), 206-211.
Sewall, A.M., Kohler, P., Smith, G.S., & Chapman, S.(1994). How are we doing? The American
School Board Journal, 181(10), 30-31.
Shanker, A.(1994/1995). Full inclusion is neither free nor appropriate. Educational Leadership,
52(4), 18-21.
Smith, T.E.C. & Dowdy, C.(1998). Educating young children with disabilities using responsible
inclusion. Childhood Education, 74(5), 317-320.
Stake, R.E.(1994). Case studies In N.K. Denzin & Y.S. Lincoln (eds.) Handbook of Qualitative
research (pp.236-247). Thousand Oaks, CA: Sage.
Staub, D. & Peck, C.A.(1994/1995). What are the outcomes for nondisabled students?
Educational Leadership, 52(4), 36-39.
Tilton, L. (1997). Helping all students succeed: Effective strategies for the heterogeneous
classroom. Shorewood, MN: Covington Press.
Yell, M.L.(1995). Least restrictive environment, inclusion, and students with disabilities:A legal
analysis. The Journal of Special Education, 28(4), 389-404.
1.3
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EFF-088 (Rev. 9/97)
PREVIOUS VERSIONS OF THIS FORM ARE OBSOLETE.
Dressing Your IEPs for the General
Education Climate
Analysis of IEP Goals and Objectives for Students with Multiple Disabilities
M I C H A E L
A N D
F.
G I A N G
C H I G E E
J .
R E C O ,
R U T H
E.
D E N N I S ,
T
1 HIS ARTICLE
STUDENTS
THROUGH
RECEIVE
FROM
NINE
GRADE
STUDENTS'
I E P GOALS
USEFULNESS
MULTIPLE
DISABILITIES A N D
EDUCATION
IN GENERAL
CATEGORICAL CODING
HIGHLIGHT
MAY M O R E
NEEDS
IN GENERAL
OF 4 6
IN KINDERGARTEN
SEVERAL
PROBLEMATIC
ALTERNATIVES
BELIEVE
CATE T H E U N I Q U E
(IEPS)
STATES
A N D OBJECTIVES,
O F IEPS.
AUTHORS
TEACHERS
THE
THROUGH
IDENTIFIED THAT
ACTERISTICS
THE
DIFFERENT
1 2 W H O HAVE
CLASSES.
CHARACTERISTICS O F
PROGRAMS
A L L OR PART O F T H E I R
EDUCATION
WERE
DESCRIBES
EDUCATION
CHAR-
ARE SUGGESTED
ADEQUATELY
O F INDIVIDUAL
EDUCATION
OF THE
THEMES
STUDENTS
CLASSES
THAT
COMMUNITO THEIR
A N D IMPROVE
OF IEPS.
A
JL
JL.T
A
RECENT
MEETING
INSIDE
AN
AIR-
conditioned room, participants wore long pants, long-sleeved
shirts, and sweaters in order to stay warm. Outside, the 95degree mid-day temperature was coupled with high humidity. At noon, the people at the meeting left the comfort of the
air-conditioned room and headed down the street to a
nearby restaurant for lunch. As they strolled a few blocks
down the street, most of the people they passed were wearing
shorts and lightweight, short-sleeved shirts. As the people
from the air-conditioned room continued on their way, they
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W .
E D E L M A N ,
C L O N I N G E R
A B S T R A C T
INDIVIDUALIZED
S U S A N
S P E C I A L
E D U C A T I O N
Volume 15, Number 5, September 1994, Pages
288-296
wilted in the heat with every passing step. Their clothes
didn't match the weather conditions. They were very uncomfortable.
When we spend time in artificial environments, we
often develop ways of coping with the characteristics of the
place we have created. We often find that what worked in the
artificial setting does not work in the realities of the natural
climate. Traditionally we have created artificial environments of students with multiple disabilities in the form of
separate schools and classes. One of the ways we adapted to
these artificial environments was to develop Individualized
Education Programs (IEPs) that seemed to fit those settings. As students with severe disabilities are increasingly
included in general education schools and classes, the old
IEPs may not fit; the educational climate is different. A
recent study by Hunt and Farron-Davis (1992) analyzed
IEPs for students with severe disabilities when they were
placed in special education classrooms and again after these
same students were transitioned to full-time general education classes. Although the IEPs from the general education
classes had higher quality ratings (e.g., functional, ageappropriate), the researchers reported that the curriculum
content of IEPs for general education placements did not
differ significantly from the previous IEPs implemented in
special education settings.
The purpose of the present analysis is to discuss the
characteristics of IEPs for 4 6 students who have transitioned from separate to inclusive educational environments in order to identify themes that affect the fit of IEPs
in a new general education climate and to offer potential
alternatives.
Like many qualitative undertakings, the specific focus
of this investigation emerged from data we were collecting
for a different purpose. We received the IEPs of a group of
students whose educational teams had volunteered to participate in a federally funded research project to study
innovations for educating students with deaf-blindness in
general education settings. We had requested IEPs as a way
of learning about the students who were to be part of our
project. At first, our intention was to read the IEPs that had
been developed for students. In a later phase we planned to
compare the IEPs developed before and after the use of
specific innovative planning approaches. We thought the
original IEPs would be a way for us to become familiar with
the unique needs of the students as reflected in their individualized goals and objectives.
Although teachers have access to additional types of
information about students (e.g., assessment reports, conversations with previous teachers, progress reports), the IEP
is considered a key document in describing a student's
individualized learning outcomes and services based on
documented levels of educational performance. The IEP is
one of the only required documents accompanying all students with disabilities. We approached the task of reviewing
the IEPs as an extended team member might who was
learning about this new student; the IEP was part of the
paperwork what would precede the student and give us an
initial picture of the youngster.
As the IEPs began to arrive, it became increasingly
apparent that these documents were not informing us about
the students, as we had hoped. After reading the IEPs, we
had little sense of what the students' educational needs
were, why their stated goals and objectives were important,
or for that matter, what they really meant. It caused us to
think about teachers who receive new students each year,
preceded by written documents, specifically IEPs. Do these
IEPs help the receiving teacher and other team members
understand the strengths and needs of the new student? Do
these IEPs offer real direction, in terms of curriculum and
instructional planning in general education settings? A
review of the literature on IEPs from 1975 through 1989
by Smith ( 1 9 9 0 ) " . . . reveals a history of IEP inadequacies
and passive compliance" (p. 6). The present study describes common themes from the IEPs we reviewed, discusses the rationale underlying what we believe contributes
to inadequacies for their use in general education settings,
and offers some potential alternatives that may communicate students' needs more effectively.
METHOD
Participants
The IEPs analyzed were written for 46 students with deafblindness who attended general education classes either full
time (n = 31, 67.4%) or part time (n = 15, 32.6%) in nine
different states (AZ, CO, DE, IA, KS, MA, RI, TX, VT).
These 46 students were served by 44 different teams. Students ranged in age from 4 through 21. Twenty-six were
males; 20 were females. With the exception of 2 children, all
of the students had additional disabilities reported, most
frequently severe mental retardation and severe orthopedic
disabilities, most commonly cerebral palsy. Other disabilities reported, but to a lesser extent, included behavioral
challenges, seizure disorders, microcephaly, health impairments, Down syndrome, Marshall-Smith syndrome, Nolfe's
syndrome, and Pierre-Robin syndrome.
. . . the IEP is considered a
key document in describing a
students individualized
learning
outcomes and services based on
documented
levels
accompanying
all students with disabilities.
Students were educated at every general class grade
level, kindergarten through Grade 12. Eight of the 46
students were served in multigraded classrooms, primarily in
elementary schools. Each student was served by a group
ranging in size from 4 to 21 (Af = 10.24, SD = 3.93) that
typically included special educators, parents, related service
providers, and general class teachers. With the exception of
1 child, all the students received related services. Speech/
language was the most common service (n = 36), followed in
descending order by physical therapy (« = 33), occupational
therapy (w = 23), vision support services (including orientation and mobility) (n = 21), hearing support services (n = 14),
and nursing services (n = 10).
Design and Data Collection
The design of this descriptive investigation was document
analysis (Bogdan & Biklen, 1992). During the 1992-93
school year, IEPs were mailed to the research team from
schools across the country as part of the intake documentation for voluntary participation in a federally funded research project exploring specific innovations for educating
children with deaf-blindness and multiple disabilities in
general education settings. Parental permission was obtained to release information and educational documents
(e.g., IEP, progress reports, assessment profiles) to the
research team. At the time of this writing, 20 of the 46
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students had been observed in their general education
classroom placement by at least one member of the research
team.
Data Analysis
Upon receipt of the IEPs, each was read by the first author.
To facilitate data analysis, the annual goals and short-term
objectives from each IEP were dictated to audiotape along
with researcher comments, questions, and observations. The
audiotapes were transcribed and imported into a textsorting program called HyperQual (Padilla, 1991). Each
IEP was analyzed using categorical coding (Bogdan & Biklen,
1992) in an attempt to identify patterns and themes in the
data.
The first 38 IEPs were analyzed together as a block of
data to establish initial themes. The transcripts corresponding to each IEP were coded by hand in the margins of each
transcript. This resulted in the use of 77 initial codes. Each
transcript was then recorded within the HyperQual application. The combination, deletion, and addition of initial codes
culminated in the use of 51 final codes. HyperQual was used
to produce 51 code-specific reports, which were compilations of all entries with a specific code (e.g., handwriting,
computer, broad categories). Analysis of the 51 reports led
to the development of initial themes. The remaining eight
IEPs, which arrived in the mail after this first set had been
analyzed, were treated similarly (i.e., read, taped, transcribed, coded, imported to HyperQual, recorded). These
subsequent IEPs were used to look for occurrences,
nonoccurrences, and contradictions to the identified themes
that would assist in clarification and description.
RESULTS
Analysis of the IEPs led to the identification of three major
themes that raise questions about the effectiveness of these
documents to communicate the unique needs of individual
students and to support the provision of appropriate education in general education classes. These themes are as
follows: (a) IEPs frequently are broad, inconsistent, and
inadequately referenced to the general education context;
(b) IEPs often list goals for staff rather than those for
students, and (c) IEPs are discipline referenced. Each of the
three themes and corollary subthemes are presented in this
section.
Vagueness and Inconsistency
Question: When are IEPs like our most dreaded
stereotypes of politicians running for public
office?
Answers: (1) When they make statements that
on the surface sound good, but upon further
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review are so broad, sweeping, and devoid of any
real direction as to render them virtually meaningless. (2) When they use rhetoric that sounds
good but lacks substance. (3) When they make
promises that are hard to keep. (4) All of the
above. If you chose (4), you are correct!
SWEEPING STATEMENTS. Since individually selected
annual goals reflect the educational needs of students based
on their present level of performance, they are the heart of
the IEP. The IEPs we reviewed shared a striking similarity.
A high proportion of the annual goals were written as a
statement of a broad curricular category rather than as
learning outcomes. Typical annual goal statements included
the following: "Peter will improve communication skills."
"Molly will improve social skills." "Juan will improve self-care
skills." These examples provide little usable information or
direction to a receiving team member because no learning
outcome is stated that is attainable within a year, only the
curriculum area or category. One IEP bypassed individualized annual goals altogether by having a preprinted IEP form
that stated, "Annual Goal: The student will demonstrate
acceptable levels of mastery in each of the objectives/
essential elements for the area indicated below." These types
of goal statements lack individualization because they do
not give the reader any notion about which of the myriad of
communication, social, self-care, or academic skills, for
example, the student needs to learn. This problem was
further exacerbated when two or more curricular categories
were combined in a single goal statement (e.g., "Thomas will
improve reading and math skills").
One might reasonably expect the short-term objectives
corresponding to each annual goal to clarify their meaning;
in some cases this was true, thus calling into question the
purpose of the vaguely stated annual goals. Some of the
short-term objectives read like a series of three or four annual
goals. For example, a goal statement from our data, "Juan
will improve self-care skills" was followed by a series of
three objectives, one each addressing dressing, eating, and
grooming. There was extensive variability in short-term
objectives ranging from their complete absence, to vaguely
stated learning outcomes without performance criteria, to
highly specific objectives that included an observable behavior, crucial conditions under which the behavior would
occur, and explicit criteria.
FUNCTIONAL RHETORIC WITHOUT SUBSTANCE.
The
need for functional and age-appropriate goals and objectives has been documented extensively in the educational
literature of severe disabilities since the 1970s (Brown et al.,
1979; Orelove & Sobsey, 1991; Snell, 1987). Reflecting
current trends in the literature, the majority of IEPs we
reviewed used functional and age-appropriate language to
phrase the goals and objectives. There were only rare references to nonfunctional objectives such as using peg boards
and stringing beads. Most goals included contemporary
words and phrases such as "community," "vocational,"
"domestic," "choice making,"and "social initiation."
We now seem to have more functionally stated IEP
goals than in years past, but do we really have more functional IEPs? There are reasons to question whether this
trend, although certainly a positive step, may have stalled
in a stage of functional rhetoric without substance, resulting
in IEPs that sound better but that inadequately communicate the unique needs of individual students. One type of
functional rhetoric may be exposed by internal inconsistencies between goals and objectives. For example, one
IEP ended each annual goal with the phrase "and transfer
them to everyday living." Although this phrasing apparently
demonstrated the writer's knowledge of the importance of
generalization as an important contemporary issue, further
review revealed short-term objectives that reflected acquisition of skills exclusively, with no references at all to generalization issues. Another example of functional rhetoric was
demonstrated in an IEP that offered an interesting format
whereby annual goal statements were preceded by a "life
outcome" (e.g., obtaining a job, developing friendships) and
a rationale for that outcome. The first life outcome listed
the rationale as "to improve quality of life." The next life
outcome's rationale read, "to improve quality of life." Each
subsequent outcome's rationale read, "to improve quality of
life." While referencing of annual goals to quality of life
outcomes is a positive attribute and the notion of improving
life quality appealing, it did not take long to realize that the
phrase "to improve quality of life" was a cliche.
this data set was 49 pages long; 20- to 30-page IEPs were not
uncommon. Some were handwritten and thus difficult to
read; several were computer generated from predetermined
lists of goals and objectives. This computer-based approach
to IEP writing may have inadvertently encouraged the development of plans that, while legible, attempt to document
every conceivable learning outcome the student may encounter. In keeping with the fashion trends of comedian
Billy Crystal's "Fernando" character, who thinks "it is better
to look good than to feel good," many of the computergenerated IEPs "loook maaaavelous," but there remains a
question about whether they feel good to students, parents,
and teachers. Many IEPs are unnecessarily and unrealistically long and cumbersome and therefore may be less likely
to be useful to teachers. The Kansas State Board of
Education's (1992) study noted, "It became evident that
the IEP was often viewed as a static document, not a
changeable, useful tool" (p. 2 ) . The length of IEPs may be a
factor in their usefulness; implementation of a 30-page IEP
may be a promise that is hard to keep.
IEP Goals
Another frequent characteristic of IEP goals and objectives
was that they were written to reflect behavior change on the
part of others (e.g., teachers, therapists), rather than behavior change on the part of the student. The following is a list
of examples from the data:
Rosa will be repositioned every half hour.
MAKING PROMISES THAT A R E HARD TO K E E P .
Even
more disturbing were possible external inconsistencies with
classroom practice. A study conducted by the Kansas State
Board of Education (1992) concluded, in part, that IEPs
from six school sites, rural and urban, did not reflect what
was actually happening in the classroom. Our observations
in 20 of the students' classes led us to similar conclusions
regarding the external inconsistencies between the IEPs and
classroom practice. Two common variations illustrating these
external inconsistencies were instructional activities for
the student with disabilities that were either not related to
IEP content or were separate from activities engaged in by
classmates without disabilities. In essence, we found the
IEPs, functionally stated or not, were not incorporated into
daily instruction in general education settings. Rather than
the IEP providing a useful road map for curriculum and
instruction within the general education class, the IEP was
filed away; general class teachers frequently were not familiar with the content of the child's IEP. At times, students
seemed to be welcomed and included in class activities, but
it is unknown whether or not the individual needs of the
students were necessarily being addressed in general education activities.
One of the reasons we suspect that IEPs are not used
by teachers is that they are too long. Many of the IEPs
included dozens of goals and objectives. The longest IEP in
Jordy will receive chest PT [physical therapy].
Medication will be administered to Carey during
the school day.
Jaime will continue to wear AFOs [Ankle-Foot
Orthoses] and a body jacket with physical
therapist monitoring.
Hector will attend sixth-grade classes with
nondisabled peers.
Each of these examples, which may be important features of the educational program, are things that will be done
to or for the student. They do not require the student to learn
something or exhibit a behavior change. Conversely, they do
require the teacher, assistant, therapist, or others to learn
and exhibit behavior change. In the examples listed above, it
is the staff who need to (a) remember how to reposition Rosa
regularly and do it skillfully; (b) provide chest PT to Jordy;
(c) give Carey her medicine; (d) properly use and monitor
Jaime's AFOs and body jacket; and (e) ensure that Hector
is scheduled for, and included in, sixth-grade classes. These
examples are not, in our opinion, annual goals or short-term
objectives. Rather, they are accommodations, management
needs/supports, and in some cases may be related services
required for the student to access his or her educational
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program and/or participate in it. In an analysis of IEPs for
students with deaf-blindness, Downing (1988) observed
that the IEPs of students with severe physical disabilities
were more likely to list such passive statements as IEP goals
or objectives.
Discipline-Referenced
IEPs
The third major theme identified was that IEPs were "discipline referenced," that is, the selection of goals and objectives seems to have been based on the values and professional
framework of specific disciplines (e.g., physical therapy,
occupational therapy, speech/language pathology, vision
specialists). In the common use of discipline-referenced
approaches, various group members bring their own professional agendas for the child to the IEP process, based on
their separate evaluation of the student and the notion of
authority for decision making by their discipline about
services potentially provided by their discipline (Giangreco,
in press; Giangreco, Cloninger, & Iverson, 1993; Giangreco,
Edelman, & Dennis, 1991). This practice was transferred to
general education settings from locations where students
with multiple and severe disabilities were typically served,
namely, segregated or isolated educational or clinical settings. For example, it is commonly known that one of the
areas in which occupational therapists are socialized and
trained to value is daily living skills. Given this context, it was
not surprising to find the following annual goal written by an
OT: "Keisha will improve occupational therapy skills." This
was followed by short-term objectives listing a series of daily
living skills (e.g., pull off socks, take off shoes, put on coat,
wash hands). Not only do many of the goals suggest a
discipline-referenced approach to planning, but also, in
some cases, the stated goals assume an isolated approach
to intervention, being prefaced by phrases such as "during
therapeutic intervention."
The IEP itself is often organized in separate sections
for the various disciplines, which are at times written in different handwriting, each containing discipline-referenced
goals and objectives. These conceptually distinct sections
are stapled together and present the illusion of a unified IEP
document. On the contrary, the document is too often
merely a compilation of disjointed parts that not
only lacks coordination among the disciplines, but also has
the potential for the different sections to be working at
cross purposes. A few IEPs were actually two completely
separate IEPs, written for the same student, for the same
school year, by two different agencies (e.g., the local public
school and the school or agency under contract to provide
a related service such as vision support).
In our analysis we have purposely avoided the use of the
popular term "team" to refer to the work done to develop
discipline-referenced IEPs. A foundational characteristic of
teamwork is having common or shared goals (Johnson &
Johnson, 1987). The discipline-referenced IEPs we reviewed
led us to suspect that group members may have pursued
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separate goals based on the values of their own particular discipline or on existing school or agency practices or
policies.
One of the most readily identifiable features of
discipline-referenced IEP goals and objectives is the use of
jargon. The following examples from the data provide a
sampling written by occupational therapists, physical therapists, and speech/language pathologists:
The student will:
. . . improve postural stability and increase
antigravity of head, trunk, and extremities.
. . . increase bilabial lip posturing, lip movement,
and lateralization
. . . demonstrate increased toleration of co-active
b.u.e/hand motions in various tactile media.
. . . improve visual cognitive attention to a task
following brief engagements of vestibular
stimulation.
. . . initiate correction to mid-line when displaced laterally while prone or sitting astride
horse or bolster.
. . . engage in sensory stimulation activities daily
to improve overall sensory awareness skills
for auditory proprioceptive, tactile and
vestibular systems, kinesthectics and
olfactory.
Discipline-referenced approaches to writing goals and
objectives were common in the IEPs we reviewed. This calls
into question the cohesiveness and coordination of educational planning by professionals and ultimately the utility of
the IEP in general education settings.
DISCUSSION
The themes that emerged from this document analysis
should be viewed with the understanding that the IEPs
reviewed were for 46 students identified with deaf-blindness
and multiple disabilities. Further, we did not have access to
the process used for developing the IEPs, only the final
document. Therefore, the presumption of reasons behind
the development and the subsequent implementation of the
IEPs we reviewed (e.g., discipline-referenced approaches)
remain to be verified. Also, the IEPs were reviewed apart
from other educational documents that may have rendered
them more useful to school staff. Although not a primary
source of data for the present study, initial interviews and
classroom observations from another study in progress at
these same research sites raises the question of whether
general education teachers find IEPs particularly communicative or useful (Giangreco, Edelman, Dennis, & Cloninger,
1993).
The IEP characteristics identified through this document analysis are cause for concern to anyone interested in
the education of children with special education needs. Our
analysis suggests in a variety of ways that IEPs (a) frequently
are broad, inconsistent, and inadequately referenced to the
general education context; (b) list goals for staff rather than
those for students; and (c) are discipline referenced. The
remainder of this article will present potential alternatives
and unresolved questions related to appropriately preparing
our IEPs for the general education climate (see Table 1).
Individualized Learning Outcomes
We suggest that annual goals include two major components
rather than listing curriculum areas. First, goals should
include a learning outcome for the student that is (a) an
observable behavior and (b) attainable within a year. The
size of the goals will vary substantially based on the characteristics, needs, and learning patterns/rate of the individual
student. What is attainable in a month for one student may
take a year for another; therefore, what may be an annual
goal statement for one student may be similar to a short-term
objective for another student. Second, the annual goal
should specify the context in which the desired learning
outcome should occur. This means giving a brief statement
describing the settings and/or circumstances in which the
behavior should be displayed. For example, if a learning
outcome for a student is "make purchases," the context
might be "in neighborhood stores where his family shops." If
the learning outcome is "sustaining social interactions," the
context might be "in typical school social or play situations
T A B L E
Problematic
1.
i.
(e.g., recess, playground, lunch, bus stop) with peers who do
not have disabilities." By offering an observable learning
outcome and a context, we can pursue the development of
annual goals that are individually appropriate for a student
and simultaneously offer a contextual focus for instructional
planning.
Family-Centered Priorities Based on
Valued Life Outcomes
Functional language in the construction of goals and
objectives can be misleading if it has not been individually
determined. For example, all of the discipline-referenced
learning outcomes the occupational therapist listed
(e.g., pull off socks, take off shoes, put on coat, wash hands)
may or may not be functional for a specific student, depending on the student's needs and priorities. To ensure that
functionality is more than empty rhetoric, we can develop
annual goals from a family-centered perspective (Giangreco,
Cloninger, & Iverson, 1993). The family is in the best
position to determine what is truly functional for their child.
Annual goals should be referenced to valued life outcomes
shared by the family, such as personal health, having friends,
having creative outlets, being able to have choice and control
that matches one's age, and having access to personally
meaningful places and activities (Giangreco, Cloninger,
Dennis, & Edelman, 1993). Individually selected curricular
content for a student should specify a relevant context and
be designed to enhance the status of the student's valued life
outcomes. The ultimate aim is for the student's life to be
better as a result of participating in the educational experiences articulated in the IEP.
Illustration o f I E P C h a r a c t e r i s t i c s w i t h A l t e r n a t i v e P r a c t i c e s
Potential
characteristics
Sweeping statements: "Jose will improve communication skills."
1.
alternatives
Individualized learning outcomes: "Jose will initiate the use of 15
new signs during first-grade activities."
2.
Functional rhetoric without substance: "Gina will enlarge her
2.
Family-centered priorities based on valued life outcomes: "Gina
will initiate and maintain social interactions with classmates
circle of friends."
during cocurricular activities."
3.
Making promises that are hard to keep: IEPs filed away, lengthy,
3. Useful IEPs: U s e of a one-page Program-at-a-Glance (Table 2)
and not incorporated into general education activities.
to summarize a student's individual education program within
general class activities.
4.
Goals for staff rather than for students: "Mary Ann will have
4. Goals for students are distinguished from supports provided by
hearing aids checked daily by the audiologist" written as an I E P
staff: "A teacher assistant, taught by an audiologist, will check
goal is actually a goal for the staff, not Mary Ann.
Mary Ann's hearing aids daily" is written in the I E P as a support
rather than a goal.
5.
Discipline-referenced: "Darren will improve articulation of
bilabial sounds in speech therapy."
5.
Discipline-free shared goals: "Darren will increase intelligibility
of speech in one-to-one conversation with parents, siblings,
classmates, and teachers."
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Emphasis on Usefulness
T A B ...
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