CENTER for POLICY STUDIES:
Graduate School of Education and Human Development

Challenges Facing Our Schools: Four Policy Perspectives

DRESS CODES AS A MEANS OF REDUCING VIOLENCE IN PUBLIC SCHOOLS1

Kathleen L. Paliokas

A key policy issue in education today is whether student dress codes, including uniforms, should be used as a means of reducing violence in our public schools (Should Public, 1994). We are currently experiencing a nationwide trend toward adoption of stricter dress codes by public school authorities. The major justifications for these codes are that they will reduce violence by reducing instances in which (1) unsuspecting children wear gang colors or other gang-related attire to school and are threatened or intimidated by opposing gang members as a result (Bishop, 1992; Kukay, 1992); (2) children wearing expensive or fashionable clothes become victims of theft, sometimes by other students (Your Jacket, 1990; Waldmeir, 1994); (3) competition among students regarding clothing turns violent (Russell, 1994); and (4) certain fashion accessories or attire are used as weapons or as a means to conceal weapons (Murphy, 1991; D'Orio, 1994). Other arguments that school officials use to justify dress codes are that they set a more serious tone of respect for the purpose of schools (Majestic, 1991), minimize the distractions of students from their studies due to fashion competition (Deitch, 1995), and lessen the pressure on families to buy expensive popular clothing for their children that they cannot afford (Stover, 1990).

In order to reduce violence in their schools, many school districts have implemented dress codes that prohibit students from wearing a wide range of specific items, including gang-related attire (such as bandannas, nonwhite shoe laces, attire representing professional sports teams, and certain colors), hats, military apparel, combat-style boots, apparel and jewelry that could cause injury, tattoos, and beepers (Murphy, 1991; Kukay, 1992).2 Other school districts have adopted voluntary or mandatory uniform policies that define what students shall wear instead of itemizing attire that they may not wear. This paper will analyze the policy issues surrounding dress codes and uniforms to determine whether a school district should implement a dress code policy as a means of reducing violence in its schools. The paper first examines the major legal challenge to dress code policy under the First and Fourteenth Amendments. Next, the paper outlines and analyzes the necessary steps to successfully formulate and implement a dress code policy. These steps include: identifying the various stakeholders that should be included in the policy process; looking at the overall advantages and disadvantages of dress codes; assessing the range of specific policy alternatives available; and narrowing those choices to one recommended policy alternative.

ARE DRESS CODES UNCONSTITUTIONAL?

Historically, school dress codes have been challenged on one of two grounds: that they violate (1) students' liberty interests to control their personal appearance under the 14th Amendment or (2) students' free expression rights under the First Amendment. Each of these claims is discussed below.

Liberty Claims

The first dress code cases appeared in the late 1960s and early 1970s and involved challenges to hair length restrictions that prohibited male students from wearing their hair long or from having facial hair. In these cases the courts split evenly between upholding and striking down the regulations (Majestic, 1991). The courts that upheld the regulations found that students had no constitutional rights regarding their personal appearance and simply dismissed the cases. The courts that struck down the regulations, on the other hand, recognized a basic liberty interest to control one's personal appearance under the 14th Amendment that deserved some protection. In these early cases, hair regulations were not challenged as infringements of a First Amendment free speech right (Murphy, 1991).

Those courts that strike down dress code regulations under the liberty analysis have found that schools impose unnecessary norms on students. In Bannister v. Paradis, (1970), a federal district court found that school officials' ban against casual clothes simply because they "lead to a relaxed attitude [which] detracts from discipline and a proper educational climate" was insufficient to justify the restriction on the student's right to possess and control his own person (pp. 185, 186). According to the court, school authorities must demonstrate how blue jeans inhibited or tend to inhibit the educational process and may not rely on the assertion of some "nebulous concept of school discipline" (pp. 188- 89).

A more recent court, however, upheld a dress code restriction based on the discipline rationale. In the recent Indiana Court of Appeals case, Hines v. Caston School Corp. (1995), a student challenged a school policy that prohibited male students from wearing pierced earrings. The court assumed for the sake of argument that the student possessed a liberty interest under the 14th Amendment but gave the policy a presumption of constitutionality and placed the burden on the student to show that the policy was not rationally related to a legitimate school interest. The court found that the rule was rationally related to the school's "valid educational function to instill discipline and create a positive education environment by means of a reasonable, consistently applied dress code" that reflected the community's values (Hines, 1995, p. 335).

These two cases demonstrate that even when courts find a liberty interest in personal appearance, they vary in the level of protection they believe it affords students and the amount of deference they will accord school officials.

First Amendment Claims

In the landmark case Tinker v. Des Moines Independent Community School District (1969), the Supreme Court emphatically asserted that public school students are entitled to freedom of expression of their views in the absence of any constitutionally valid reasons to regulate their speech. "It can hardly be argued that either students or teachers shed their constitutional rights to freedom of speech or expression at the schoolhouse gate" (Tinker, p. 506). Because school officials are "state" or government actors, they are constrained by the U.S. Constitution in regulating speech for disciplinary purposes in the public schools. The Supreme Court noted, however, that the free speech rights of students are not absolute. The States and school officials have a "comprehensive authority, consistent with fundamental constitutional safeguards, to prescribe and control conduct in the schools" (Tinker, p. 507). This clash between students' individual rights of free expression and the obligation of public school authorities to provide a safe and supportive learning environment is the crux of the debate over dress code policy.

In Tinker (1969). the Supreme Court devised an analytic framework for balancing these competing interests. First, the Court recognized that some nonverbal communication qualifies as "symbolic speech" deserving of First Amendment protection. The Court then distinguished between dress that communicates a political message and thus qualifies as symbolic speech, and dress that does not communicate a message (Grantham, 1994). In order to regulate dress that communicates a political message, school officials must justify their regulation by showing "facts which might reasonably have led [them] to forecast substantial disruption of or material interference with school activities" (Tinker p. 514). This includes interference "with the requirements of appropriate discipline in the operation of the school" or "with the rights of other students to be secure and to be let alone" (Tinker, p. 509). If the dress does not communicate a protected message but merely expresses the individuality of the student, the Court suggested that a much lower level of judicial scrutiny would apply. In these instances, subsequent courts have applied a rational basis test, which permits regulation of noncommunicative dress if school officials can simply demonstrate a rational relationship between the regulation and some educational purpose (Grantham, 1994).

In Tinker (1969), the Court found that black armbands worn by students to protest the Vietnam War constituted symbolic speech worthy of First Amendment protection. Hence, the Court applied its "substantial and material disruption" test to the facts in the case and found that school officials did not prove that they could reasonably expect the black armbands to cause a substantial disruption in operations of the school; the Court also noted that no disruption had in fact occurred. The Court therefore struck down the school regulation as unconstitutional.

The key issue under the Tinker Court's analytic framework is whether the dress at issue is communicative or not. In order to understand how courts have made this determination, it is necessary to review specific factual situations in which the courts have ruled.

Determining whether dress is communicative. In Tinker (1969), the Supreme Court specifically declined to address the issue of dress that does not communicate a political message (i.e. situations in which officials regulate skirt length, hair style, etc.) In this way, the Court distinguished between communicative and noncommunicative dress and suggested that noncommunicative dress would receive less protection.

Subsequent to Tinker (1969)., the Supreme Court stated that speech is communicative and deserves First Amendment protection when it has "[a]n intent to convey a particularized message ... and the likelihood is great that the message would be understood by those who viewed it" (Spence v. Washington., 1974, pp. 410-11). Determining whether student dress is communicative thus will depend upon the specific circumstances of each case.

Generally, courts have found dress communicative when it involves protest, such as wearing armbands or symbols (like the Confederate flag), or consists of buttons and T-shirts containing messages. In a 1993 case, a California federal district court found that the "wearing of clothing that displays a student's support of a college or university or professional sports team" was speech protected by the First Amendment (Jeglin v. San Jacinto Unified School District, 1993). Another recent case illustrates an instance in which courts have found that dress is not communicative. As part of its anti-gang policy, an Illinois school district prohibited students from wearing gang symbols, including earrings worn by male students (Olesen v. Board of Education, 1987). Darryl Olesen challenged the ban saying his earring was not related to gangs, merely expressed his individuality, and was attractive to young women. The federal district court held that Olesen's "message" of individuality was vague and his First Amendment interest in free expression did not outweigh the school district's interest in curtailing gang activity (Olesen, 1987).

Despite the ruling in Olesen; however, an argument could be made that gang regalia is communicative dress worthy of full First Amendment protection because it communicates the particular message "I am in this gang." Murphy (1991) disagrees, however, noting that while the message conveyed by such attire is particular, it is not "likely that the message would be easily understood" (p. 1333) as required under the Spence test outlined above. Murphy (1991) claims that students would have trouble focusing on the particularized message of gang regalia and would instead tend to "focus on the general threat of violence implicit in the message" (p. 1334). If courts are persuaded by this reasoning, they will most likely find that gang regalia is not symbolic speech deserving of First Amendment protection and simply require school authorities to demonstrate a rational relationship between the dress code and the educational mission of the school (such as maintaining order and discipline).

Once the court has determined if the dress at issue is communicative or not, then it can apply the correct level of scrutiny to the school regulation suppressing it. If the dress is communicative, the standard of review is the Tinker "substantial or material disruption" test. If the dress is noncommunicative, the standard of review is the rational basis test.

Substantial or material disruption standard of review. Once the court has determined that the dress is communicative, it will then apply high scrutiny and demand that school officials demonstrate a reasonable expectation that the dress will substantially disrupt or materially interfere with the educational process. This disruption must be more than a "mere desire to avoid the discomfort and unpleasantness that always accompany an unpopular viewpoint" and "an undifferentiated fear or apprehension of disturbance" (Tinker p. 508-09). Subsequent courts rulings have expanded on the interpretation of material disruption that was enunciated in the Tinker case. A federal appeals court in 1971 held in an armband case that schools need not wait until disruption actually occurs before prohibiting disruptive views but must have more than a mere expectation of disruption in order to justify the restriction of students' constitutional rights (Butts v. Dallas Independent School District 1971). School officials must make "a determination, based on fact, not intuition, that the expected disruption would probably result from the exercise of the constitutional right and that foregoing such exercise would tend to make the expected disruption substantially less probable and less severe" (Butts, p. 731).

Three cases indicate the circumstances in which courts will uphold regulations on communicative dress based on the disruption rationale. In Hill v. Lewis (1971), an armband case in which students protested the Vietnam War, a federal district court found the potential for disruption justified the prohibition on the armbands when the high school involved was located in a city with a substantial military population, the war had already been a source of divisiveness among students, and serious disruption had already occurred (including threats of violence, incidents of disrespect to the flag, and belligerent behavior toward teachers). Similarly, a federal court of appeals in Tennessee upheld school officials' right to prohibit a student from wearing a Confederate flag patch on his jacket when disruptions over the symbol had occurred several times during the previous school year (Melton v. Young, 1972). In a third case, a Cleveland district court upheld school officials' blanket ban on buttons and insignia of all type, irrespective of message, unless they were related to school activity, when the high school had been troubled by racial discord for several years and students wore buttons with messages that led to explosive situations (i.e. White is Right, Say It Loud, Black and Proud ) (Guzick v. Drebus, 1969). The court rejected the plaintiff's argument that the prohibition was overly broad because it included his antiwar button which was nonprovocative. The court determined that if the school allowed students to wear some buttons but not others further disruption of the educational process would result; furthermore, the court stated that the regulation was valid as long as the school applied the rule uniformly and consistently, and it was reasonably related to prevention of disruption (Guzick, 1969).

In a case relevant to today's attempts to regulate gang-related clothing, a 1970 Colorado federal district court upheld a regulation prohibiting the wearing of black berets to school even though plaintiffs claimed it signified their Mexican heritage (Hernandez v. School District No. One, 1970). In this instance, students wearing the berets had previously engaged in disruptive conduct and the beret had taken on symbolism as intimidation to other students. The court held that the interest in maintaining order outweighed the Mexican American students' rights to make a statement about their heritage. If gang regalia is found to be protected speech, a similar argument regarding disruption could be made: that gang-related clothing represents a form of overt intimidation or an attempt to exert influence and control such that it undermines the disciplinary environment and the authority of teachers. "If the school can document real and substantial problems caused by gang-related clothing, the regulation will likely be upheld" (Murphy, 1991).

In a 1993 case related to gang-related clothing, the court held that school officials did not sufficiently document this nexus. In Jeglin v. San Jacinto Unified School District, (1993), school officials attempted to defend a regulation that prohibited students from wearing clothing bearing collegiate or professional sports insignia. The court struck down the regulation as it applied to elementary schools because school officials "offered no proof at all of gang presence at those schools or of any actual or threatened disruption or material interference with school activities" (Murphy, p. 1461). The court upheld the regulation as it applied to high schools because school officials carried their burden of showing a gang presence, even though undefined, and of "activity resulting in intimidation of students and faculty that could lead to disruptions" (Murphy, p. 1412).

All of these cases indicate that dress that communicates a message can be restricted provided that school authorities have some concrete evidence of past disruptive behavior or a legitimately grounded expectation that it will occur.

Rational basis standard of review. If a court determines that the dress at issue is noncommunicative, it will apply a rational basis test to the school regulation and require school officials to demonstrate some reasonable justification for the restriction. Because this standard of review offers more deference to the decisions of school officials, dress regulations are often, though not always, upheld when dress is found noncommunicative. In some instances, the rational basis test is met by showing that the dress will disrupt the educational process. The level of disruption required, however, is not as exacting as that in the communicative dress cases. In Wallace v. Ford, (1972), the court addresses a detailed dress code enacted by a high school in Arkansas. The court upheld prohibitions on skirts more than six inches above the knee, excessively tight skirts or pants, and revealing, immodest, and suggestive attire on the grounds that they tended to cause substantial disruption. The court struck down restrictions on frayed pants or jeans, tie-dyed clothing, and skirts more than 6 inches below the knee because the school authorities failed to demonstrate how the clothing disrupted the educational mission of the school.

Two Exceptions to the Tinker Framework

Since Tinker (1969), the Supreme Court has identified two circumstances when school authorities may regulate communicative student dress by merely showing a rational relationship between the regulation and a legitimate educational purpose: (1) when the speech is vulgar, lewd, obscene or plainly offensive; and (2) when it bears the imprimatur of the school.

In Bethel School District No. 403 v. Fraser (1985), a high school student named Matthew Fraser delivered a speech at a student assembly endorsing his friend for student body vice president. The speech was laced with sexual metaphor3 and school officials suspended Fraser for violating the school disciplinary rules that prohibited obscene language. The Supreme Court upheld the school's action, stating

"the undoubted freedom to advocate unpopular and controversial views in schools and classrooms must be balanced against the society's countervailing interest in teaching students the boundaries of socially appropriate behavior" (Bethel, p. 681). Such offensive communication "undermines the school's basic educational mission by interfering with teaching of appropriate forms of civil discourse and political expression" (Bethel. p. 685).

The Court also recognized the concern of school authorities acting in loco parentis "to protect children -- especially in a captive audience -- from exposure to sexually explicit, indecent, or lewd speech" (Bethel p. 684). The Court found that such utterances were of such slight social value in leading us to the truth that any benefit derived from them was clearly outweighed by the social interest in order and morality (Bethel, p. 675). School authorities could thus prohibit such speech as undermining the school's basic educational mission without a showing of substantial disruption.

Since the mid-1980s many courts have upheld school dress regulations based on Bethel, asserting that the vulgar manner of student speech violated values of decency, rather than relying on substantial or material disruption.4 The current trend is for courts to defer to school officials regarding determinations of what manner of speech is appropriate in the classroom or school assembly (Zirkel, 1994).

In a second post-Tinker ruling, Hazelwood School District v. Kuhlmeier (1988), the Supreme Court held that educators are entitled to exercise greater control over "expressive activities that students, parents, and members of the public might reasonably perceive to bear the imprimatur of the school" (p. 570). While this holding occurred in the context of censoring a student newspaper, it very well may be applicable in instances in which students wear controversial dress while representing the school away from home or during school-sponsored events.

A federal appeals court has summarized the general framework for evaluating regulations of student speech that synthesizes all of the case law outlined above (Chandler v. McMinnville School District. 1992). The court defined three categories of student speech: (1) vulgar, lewd, obscene and plainly offensive speech, (2) school-sponsored speech, and (3) speech that falls into neither category (Chandler, 1992). If the restricted speech falls under category (1), courts should defer to school authorities based on the Bethel ruling. If the speech falls under category (2), courts should again accord school officials great deference if the speech could reasonably be seen to bear the imprimatur of the school. If the speech falls into category (3), courts must apply the Tinker analysis and determine if the speech is communicative or not. If it is, the court will require that school officials demonstrate a likelihood that the speech would cause a substantial or material disruption of school activities or would infringe upon the rights of other students. If the speech is not communicative, the court will apply the rational basis test and require school officials to demonstrate a rational relationship between the regulation and some educational purpose (Chandler, 1992).

Public School Uniforms

Because a mandatory-uniform policy dictates what students shall wear rather than merely decreeing what they may not wear, legal analysis of public school uniform policies will differ from that of dress codes. Clearly, uniform policies are a much more extensive restriction on the free expression rights of students and for this reason some courts may be inclined to scrutinize the policy more carefully than in the case of ordinary dress codes. Dress codes are more legally problematic, however, because they single out specific forms of expression and are thus more amenable to claims that officials are suppressing viewpoints with which they disagree. The main question with regard to uniforms is whether students have a constitutional right, under the First or Fourteenth Amendment, to control or express themselves generally through their personal appearance.

Because the widespread interest and enthusiasm for public school uniforms is a recent phenomenon, the Supreme Court has not yet ruled on the constitutionality of regulations requiring students to wear uniforms in public school. The only known case challenging a uniform policy was heard in Maricopa County, Arizona, in November 1995 (Phoenix Elementary v. Green, 1995). In that case the Arizona state judge upheld a strict mandatory uniform policy that provided no opt-out provision for students. The judge based his ruling on the 1988 Supreme Court case Hazelwood School District v. Kuhlmeier, which stated that public schools generally are not open public forums in the same way that streets or parks are and that therefore school officials may impose reasonable restrictions on free speech. The Arizona judge looked at the policy reasons that school officials had given to justify the uniform policy (many of the same reasons listed in the introductory paragraph to this paper) and found they were "appropriate matters of concern to the School Board and that the policy itself [was] reasonable" (Phoenix Elementary, 1995, p. 6). The judge also justified his ruling by finding that, on balance, the interests of the entire student body, which were served by the uniform policy, outweighed the free speech interests of those few students who opposed the policy.

The only other relevant cases regarding uniforms involve uniform policies for teachers. In one such case, East Hartford Education Ass'n v. Board of Education (1977), the court upheld a uniform policy for teachers that required a male teacher to wear a tie in class. The court found that the school board had a legitimate concern for "promoting respect for authority and traditional values, as well as discipline in the classroom" (p. 859). The burden was on the teacher to demonstrate that the regulation was so irrational as to be arbitrary, which he was unable to do.

The sparse legal precedent we have so far indicates that courts may be willing to defer to the judgment of school officials if they can provide a rational justification for their mandatory uniform policy. If courts were to find a First Amendment right in general appearance, however, schools would be required to make a stronger showing that the policy furthers an important or substantial government interest unrelated to the suppression of free expression and that the policy is not more extensive than necessary to achieve that interest.

The above discussion of the constitutionality of dress codes lays out the basic ground rules for drafting such a policy. After researching the background and legal foundations of a potential policy, the next step is identifying the stakeholders who will be affected by the policy.

PLAYERS

The three key stakeholders that should be actively involved in the drafting and implementation of a dress code policy are school staff (administrators and teachers), parents, and students. Without collaboration, teamwork and mutual support among these three groups, a dress code policy will not succeed. Other significant players that should also be involved in the process include school board members, state and local politicians, community groups, the American Civil Liberties Union, and local law enforcement officers.

Let's review briefly the role of each stakeholder and why it is important that they be involved in the process:

Policymakers must build a consensus to the greatest extent possible that reflects the community's wishes and values, particularly those of parents. Without some level of agreement among the stakeholders, a power struggle or clash of priorities may result (Stover, 1990).

After identifying stakeholders, policymakers should familiarize themselves with all the points of view, pro and con, regarding dress codes. Some of this information will come from research related to previous policy initiatives, but most should come from the stakeholders and local participants who are invested in the current process.

ARGUMENTS FOR AND AGAINST DRESS CODES

Advantages of Dress Codes

Parents and educators like dress codes because they are one of the few concrete means available to combat the increasing level of violence in our public schools (Bishop, 1992). Proponents of dress codes argue that they can reduce violence by:

In addition to the above, uniforms minimize violence by:

Disadvantages of Dress Codes

Opponents of dress codes argue that they:

These arguments demonstrate the balancing that must occur between the state's responsibility to provide a safe and conducive learning environment for public school students and the individual rights of those students to freely express themselves (Lane & Richardson, 1992). In today's climate of increasing violence in the schools, arguably the community's need to ensure the safety and well being of students is strong. Opponents of dress codes would argue, however, that it is these particularly trying times when free speech should be protected all the more intensely.

POLICY ALTERNATIVES

In determining whether to institute a dress code policy, school districts have 5 basic policy alternatives that run on a continuum from less restrictive to more restrictive. The least restrictive option is not to institute a dress code policy at all, while the most restrictive would be to institute a mandatory uniform policy that does not allow students to opt out. Each alternative is discussed in detail below:

Option 1: Do Not Institute a Dress Code

Whether your district needs a dress code will depend on how prevalent violence is in your schools and whether student dress is a factor in that violence. If such a problem already exists or is clearly nascent, then a dress code should be seriously considered. Based on the experiences of other school districts in which violent incidents rose dramatically in a short period of time, it is imperative to plan ahead and develop a policy before crisis management is necessary (Layne & Grossnickle, 1990). Preliminary evidence from districts who have implemented some form of dress codes is that they are effective in reducing gang-related problems, criminal activities, and the number of fights on campus (Bishop, 1992; Davis, 1994). Several of these schools report that after instituting dress codes they saw a decline in absenteeism (Carroll, 1994), the number of weapons and drugs found, and an improvement in academic performance (Kennedy, 1995; Uniforms, 1995). While this data has not been formally documented, the positive results suggest that an investment in the policy development process regarding dress codes is a smart move if violent incidents appear to be on the rise. To do nothing in the face of such a trend may leave districts vulnerable to a lawsuit for not providing a safe and supportive learning environment (Jahn, I990).

Option 2: Institute a General Dress Code

The advantage to instituting a general dress code that outlines broad principles and gives authority to local school staff to formulate and implement a specific policy is that it:

This option would require training sessions (or at least some form of information dissemination) for local school staff regarding the constitutional limits of dress codes, and strategies for successful policy formulation and implementation. A disadvantage of this option is the time and cost involved in training teachers and administrators to recognize potentially disruptive dress, particularly the subtleties of constantly changing gang apparel. The short term cost of an investment in training, however, may pay off in the long term because staff will be better able to deal with dress code problems as they arise.

Option 3: Institute an Itemized Dress Code

This policy option has the advantage of offering simplicity and consistency across the school district. The problem is that its top down approach leaves little flexibility for schools to modify the dress code to their specific local needs. For instance, gang behavior may vary across the district along with types of gang regalia and behavior. An itemized dress code policy therefore should provide some flexibility for local school officials to adapt quickly to perceived needs in their schools and to adjust administrative penalties as necessary. A long lead time would also be heLpFUL so that local schools have time to offer feedback and to build community consensus around the code before it is instituted.

Option 4: Authorize a Voluntary Uniform Policy

Evidence from prior uniform policy initiatives indicate that before any uniform policy can succeed, it must have the enthusiastic support of parents (Stover, 1990). This policy alternative represents an excellent way to test the waters regarding community support for uniforms. Another advantage of this policy alternative is that because it is voluntary, it does not implicate constitutional challenges regarding free speech. Finally, while we have very little documented research about the effectiveness of uniforms in public schools (Long Beach, 1995), preliminary indications are that they have a positive effect on the learning environment (Uniforms, 1995). Three issues must be addressed if the voluntary or mandatory uniform policy options are selected:

Option 5: Authorize a Mandatory Uniform Policy With or Without an Opt-Out Provision

The constitutional validity of requiring uniforms in public schools is all but untested; because a mandatory uniform policy without an opt-out provision completely denies students' liberty in choosing their personal appearance, courts may require that school officials make a strong showing that the policy will alleviate safety problems and violence at the school. This policy option therefore may be risky if the district cannot establish that it has a visible and serious violence problem. Some school districts require schools to poll parents and have a certain percentage approve before instituting a mandatory uniform policy -- for example the Jefferson School District in Louisiana requires two-thirds of parents approve (Bacon-Blood, 1996) while the Sacramento City School District requires 60% approve (Sanchez, 1996). If a school district chooses this option, board members will need to decide a number of issues:

POLICY GUIDELINES

In addition to all of the recommendations included in the policy discussions above, school districts should consider the following guidelines when drafting a dress code policy:

In addition to a dress code policy, school districts should develop a comprehensive and systematic plan for school discipline and safety that will involve prevention as well as control. This plan should include a district-wide campaign that will increase public awareness of violence in the schools, educate teachers and administrators regarding intervention strategies in violent situations, and establish networks among law enforcement officers, counselors, juvenile justice workers, and local school staff to increase the effectiveness of discipline policies (Layne & Grossnickle, 1990; Landen, 1992; Should Public, 1994).

CONCLUSION

The appropriate dress code policy for your school district will depend upon your local circumstances. Preliminary evidence indicates that dress codes and uniforms are successful in reducing violence in our public schools, at least K-8 schools (Long Beach, 1995; Portner, 1996). Trends in constitutional law indicate that courts are willing to defer to school authorities regarding dress policy provided that school officials establish a clear nexus between the dress regulations and furtherance of the educational mission. As long as school officials use common sense and tailor their dress codes to prohibit attire that is reasonably related to ensuring a safe and supportive environment for learning, the regulations are likely to be supported by the courts. In the case of uniforms, the legal situation is less clear. Because uniforms more broadly restrict students' free expression, courts may require more substantial justification that uniforms enhance the learning environment. In drafting a dress code policy for their school districts, school board members must carefully consider a wide range of issues and choose the policy alternative that best meets their needs.


NOTES

1 Portions of this paper were published previously. See Paliokas, K. L., Futrell, M. H., & Rist, R. C. (1996). Trying uniforms on for size. American School Board Journal, 183(5), 32-35.

2 Additional items that have been banned include sweat pants and jogging suits (which are often identified with drug dealing), leather, fur, muscle shirts, Spandex, underwear worn as outerwear, slippers or flip flops, and halter tops (Jennings, 1989).

3 Fraser's speech read:

I know a man who is firm-he's firm in his pants, he's firm in his shirt, his character is firm -- but most ... of all, his belief in you, the students of Bethel, is firm. Jeff Kuhlman is a man who takes his point and pounds it in. If necessary, he'll take an issue and nail it to the wall. He doesn't attack things in spurts -- he drives hard, pushing and pushing until finally -- he succeeds. Jeff is a man who will go to the very end -- even the climax, for each and every one of you. So vote for Jeff for A.S.B. vice-president -- he'll never come between you and the best our high school can be. Bethel, 478 U.S. at 687.

4 In at least two cases, courts upheld school officials' prohibition of T-shirts that promoted positive messages because the manner of expression was vulgar. Broussard v. Sch. Bd. of City of Norfolk, 801 F. Supp. 1526 (E.D. Va. 1992) (upholding a regulation prohibiting a T-shirt that read "Drugs Suck!"); Pyle v. South Hadley Sch. Comm., 824 F. Supp. 7 (D. Mass. 1993) (upholding a regulation prohibiting a T-shirt that read "See Dick Drink. See Dick Drive. See Dick Die. Don't be a Dick.").


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Challenges Facing Our Schools: Four Policy Perspectives

CENTER for POLICY STUDIES:
Graduate School of Education and Human Development

Challenges Facing Our Schools: Four Policy Perspectives

SUSPENSION AND EXPULSION AS DISCIPLINARY TOOLS:
PROBLEMS AND ALTERNATIVES

Amy L. Hall

Banning the use of corporal punishment in public schools has become a common practice across the country; at least twenty-three states have banned corporal punishment over the past few years (Kadel and Follman, 1993). When a "no corporal punishment" policy is implemented, school officials must consider the consequences of such a policy on suspension and expulsion rates (throughout this paper the term "suspension" refers to out-of-school suspension unless otherwise clarified). Many school districts find themselves facing increasing numbers of suspensions and expulsions. For some school districts this has led to a reexamination of their district's discipline policy as it pertains to suspending or expelling students.

Put very simply, this is a policy problem, namely that when a district is confronted with concerns about school discipline, the district needs to reexamine its current discipline policy and decide whether or not it still meets the needs of students, teachers, administrators, and others dedicated to improving the educational outcomes of all students. The first section of this paper discusses the state of many schools today and why there is concern about increased use of suspensions and expulsions. This is followed by a short section outlining the objectives of a discipline policy and who the key stakeholders are in this policy process. The third section of the paper outlines three policy options along with the advantages and disadvantages of adopting each one of them. This section includes this analyst's recommendation of which policy option to choose. The paper concludes with a discussion of policy instruments which might be used to implement a new discipline policy as well as a brief overview of some additional implementation matters that should be considered.

THE STATE OF SCHOOLS

It is important that school districts adopt fair and coherent discipline policies that will enhance the safety and learning opportunities of their students. According to Kadel and Follman (1993) 160,000 students nationwide skip school each day because they fear physical harm. A recent newsletter of The American Federation of Teachers expressed the fear that "if we don't get an immediate handle on school disorder, a generation of students ... will lose their chance for a decent education" (Gursky, 1994, p. 1). It is important to distinguish who is responsible for all of this disorder and what form of misbehavior is involved.

According to Green and Barnes (1993), their study involving eighty-nine middle and secondary school administrators in Indiana revealed that less than 5% of the student body was involved in all of the offenses that warranted "severe consequences." Wager writes, "One child can paralyze learning for a whole class or even an entire school," (Wager, 1992-1993, p. 34) and any act of violence disrupts the normal functioning of a school (Kadel and Follman, 1993). A study of the Cincinnati public schools found that four specific violations account for 87.7% of suspensions. These are unruly conduct, fighting, disorderly conduct, and profanity/obscenity (Evans and Nieman, 1992).

The National School Boards Association (1994) found that of its 720 affiliate districts, 78% used suspension to deal with violence. A survey of 739 public school superintendents revealed that they issued an average of 26 suspensions due to disruptive behavior per thousand pupils in their districts (Westat, 1992). For urban schools, the numbers were 38 suspensions and .8 expulsions per thousand pupils. Large school districts experienced 32 suspensions and .6 expulsions per thousand pupils. There is clearly the perception across the country that more must be done to bring order to our schools.

The Public's Perception of Disorder

The Phi Delta Kappa/Gallup Poll of the Public's Attitudes Toward the Public Schools has been gauging the public's feelings on a number of national education issues for twenty-seven years. This year, as in eighteen of the other years, "lack of discipline" was considered the biggest problem facing public schools. The third biggest problem, related to lack of discipline, was "fighting/violence/gangs" (Elam and Rose, 1995). A poll conducted by the National League of Cities supports these findings. Eighty percent of its respondents stated that violence is a serious problem (National League of Cities, 1994). Doug Price, head of the Small Schools Association, reports that safety is one of the main reasons people want private schools (Strauss, 1995). And parents are not the only ones concerned. Kadel and Follman (1993) report that every day 160,000 students skip classes, fearing physical harm. Albert Shanker, President of the American Federation of Teachers, recently stated in an address that in order for educational improvements to take place "Schools have to be safe and classrooms have to be orderly" (Shanker, 1995, p. 3).

For many districts, the three primary disciplinary tools used with serious or chronic offenders have been corporal punishment, suspensions, and expulsions. As stated above, more and more school districts today find themselves without the corporal punishment option. This has led to increases in suspensions and expulsions. This increase is a cause for concern for many educators and parents. Suspensions and expulsions have come under increased criticism lately for two main reasons. Over the past few years, more and more parents and experts have questioned the effectiveness of suspensions and expulsions, and have voiced concern that these two discipline measures have been used as a means of racial discrimination.

The Effectiveness of Suspension and Expulsion

There is no doubt that suspension or expulsion results in removing a disruptive student from the classroom. There are questions, however, about the effectiveness of these two discipline methods in decreasing school disorder and violence over the long run. Speirs (1994) found that suspension as a disciplinary procedure was not effective in changing students' behaviors and Kadel and Follman (1993) argue that punishments such as suspension and expulsion, that do not address the student's underlying problems, simply move the problem elsewhere. DeRidder (1991) has found that in-school suspension and alternative school approaches, which will be discussed later, are increasingly seen "as more educationally sound than out-of-school suspensions" (p. 46).

The recent literature in this area also expresses concern about the educational and emotional effects on students who are suspended or expelled. DeRidder(1991)reports that "Being suspended or expelled is one of the top three school-related reasons for dropping out" (p. 44). The Arizona Superintendent's Task Force (Arizona, 1990) also found that suspension or expulsion often results in the student feeling "disconnected" from the school and this increases the likelihood that the student will drop out. Even when the student remains in school, he or she is likely to fall behind. A suspended student can miss a great number of days of instruction (Evanac, 1993). Speirs (1994) found that suspension resulted in unexcused absences, which in turn resulted in failing grades and a consequent loss of credits, causing some students not to be promoted. Even the respondents in the Phi Delta Kappan/Gallup Poll expressed a preference for transferring a student to another school over expulsion, even when the student was guilty of committing a violent act against another student or a teacher (Elam and Rose, 1995). A further concern about the use of suspension and expulsion is the assertion that these two forms of discipline are often applied in a racially biased manner.

Racial Bias

DeRidder (1991) writes that "expulsions appear to be linked to racial and social status discrimination" (p. 44). Meier, Stewart, and England (1989) also found a clear relationship between race and discipline, and attribute the difference in the likelihood of blacks being suspended or expelled versus whites being suspended or expelled to discrimination. They found that blacks are disproportionately over represented among suspended students and that "In any given year a black student is between three to eight times more likely to be expelled than a white student" (pp. 85-86). Similarly, Short et al. (1994) reported that blacks were twice as likely to be suspended as whites. In Cincinnati, where the school district is under court order due to past discrimination, a study by Evans and Nieman (1992) found that black students are still expelled in disproportionately greater numbers than white students.

The possibility of racial bias leads to a final comment about school discipline. Legal issues demand that school districts reexamine their existing discipline policies to protect themselves against possible lawsuits. Toby reports that there is an increasing sensitivity to the rights of public school children (1993-1994), and in light of this schools must be sure that due process protections are in place for all students. It should also be noted that additional federal and state regulations apply to the disciplining of disabled students. This paper discusses discipline as applied to non-disabled students and does not necessarily apply to students with disabilities. As school districts begin reexamining their discipline policies, it is important first to clearly understand the objectives of the discipline policy and what key players should be considered in developing and implementing a new policy.

OBJECTIVES OF A DISCIPLINE POLICY

The Arizona Superintendent's Task Force (Arizona, 1994) believes that schools must provide a "controlled, disciplined environment" and that "A clear philosophy must permeate the environment that the students are worthwhile, caring individuals, but strict disciplinary rules must be set and enforced" (p. 13). Short et al. (1994) feel that students should "perceive a sense of belonging, a feeling that they are recognized and rewarded for their efforts" (p. 29). And the bottom line is that the school should provide a safe, healthy environment, free from disorder and violence, in which students, teachers and administrators can perform the tasks they are there for, namely learning, teaching, and ensuring that this takes place. This can only be accomplished through a strong, fair discipline policy that is applied to all students in a consistent manner.

Key Policy Participants

In developing any policy, it is important to recognize who the important players are and involve them in all phases of policy development from defining the problem and generating alternative solutions to suggesting how best to effectively implement the policy and evaluate it.

At a first look, it would seem that there is a small but clear set of stakeholders: the students, teachers, administrators, and parents. Upon closer examination, however, one begins to realize that there are many other people who have a direct interest in the discipline policy of the school district.

Obviously, students, teachers, and administrators have an immediate interest in the discipline policy. After all, they are the ones who directly suffer from disorder and violence in the school. Parents also are strongly affected, since they are the ones who worry about the safety of their children in school, and have concerns when their own children become the subject of a disciplinary action. Much of the literature suggests that there are other actors who should be included (AFT, 1995; Kadel and Follman, 1993; Gursky, 1994).

One group that should not be overlooked is the shopkeepers and local business people. When students are suspended or expelled, they often "end up in the community with no supervision ..." (Arizona, 1994, p. 12). This poses a problem for local businesses who must now guard against these sometimes violent youth. Community agencies should also be involved, since they may be in a position to offer alternative services for troubled students. Civil rights groups should also be made a part of the process. In light of the questions about racial bias in discipline practices and policies, civil rights groups should be invited to take an active role in helping to develop a policy that will be fair to all students. Finally, law enforcement officials should be involved in the policy process. The students who are not dealt with effectively today are likely to become the criminals of tomorrow. Law enforcement officers know that they can deal with these students now, or deal with them later. Their expertise in criminal justice can be a great aid in examining alternative discipline measures. With so many key players interested in the District's discipline policy, the district should share the code as widely as possible, and consider the input of all interested parties, before adopting a new policy (AFT, 1995).

POLICY OPTIONS

While all of the stakeholders should be involved in the development of the final discipline policy, it is helpful to at least begin by considering several options and the ramifications of each. This paper outlines three possible options. The first is to simply ban suspension and expulsion as corporal punishment has been banned in many states. The second option is to maintain a policy that allows suspension and expulsion to be applied as they traditionally are. The third is to redesign a discipline policy to allow for suspension and expulsion in extreme cases, but to encourage, or even, mandate, that schools develop alternative means of dealing with discipline problems.

Banning Suspension and Expulsion

Many state legislatures have simply banned the use of corporal punishment in public schools resulting in increased numbers of suspensions and expulsions. One policy option is to simply ban the use of suspensions and expulsions without developing other disciplinary tools.

The advantage to this option is that it is simply done and will relieve the school district of the concerns about the effectiveness of suspension and expulsion as disciplinary tools and the problems raised by the assertions that their use is racially biased. These are weak advantages when compared to the disadvantages of this option.

"Schools have a right and a responsibility to remove students whose behavior presents a danger to others" (Kadel and Follman, 1993, p. 21). This involves not only a moral responsibility, but a legal one as well. Schools should "Guarantee prompt removal of dangerous and chronically disruptive students from the educational environment" (AFT, 1995). The principal is responsible for maintaining a safe environment in the school. There are times when it is completely appropriate for a student to be removed from a classroom or the school. If there is no suspension or expulsion allowed, principals will have their hands tied in trying to maintain safety in the school. This is simply not a viable alternative.

Maintain Traditional Discipline Policy

The second option available to school boards is to maintain a discipline policy that allows the increased use of suspensions and expulsions. This means that administrators will still be banned from using corporal punishment, but may use both suspensions and expulsions as means of discipline. The primary advantage to this alternative is that it requires no action at all. These are other advantages as well.

Developing a new policy is not a simple task. It is necessary to identify all of the interested parties, hold discussions with them, and work toward some consensus. This takes some power out of the hands of the school board and other administrators. Additionally, in a school district that contains a diverse population, it will be difficult to achieve agreement on a topic as sensitive as discipline. An advantage of maintaining the status quo is that all of this negotiating, and the probability that all parties will not be completely satisfied, can be avoided.

Another advantage is that for a new policy to be effectively implemented, everyone must be made aware of the policy at the least, and some people directly involved with the administration of the policy may require further training and preparation to administer it. Training takes time and money, both of which are in short supply in many districts.

A final advantage to simply maintaining the traditional policy, one that few people would discuss publicly, is that it remains an effective way of getting rid of "undesirable" students. DeRidder (1991) reports that some suspensions "occur when the school or school principal decides that the school will not abide these students any longer" (p. 45). While there are advantages of maintaining the status quo, in this situation they are far outweighed by the disadvantages.

Suspension and expulsion are forms of punitive discipline and as such can have serious implications. First, removing a student from his or her school can potentially estrange the student from the school and cause the student to fall behind due to missed instruction. Second, an expulsion sometimes results in "labeling," with the result that the student is treated differently by teachers. Third, unsupervised youth pose a burden to the community in general since they may be prone to vandalism and violence (Adams, 1992). Additionally, Kadel and Follman (1993) warn that suspension sends a powerful message of rejection to the student that sometimes results in disengagement.

As stated above, students miss valuable instructional time during suspensions or expulsions. Researchers in Cincinnati found that during the first quarter of the 1992-1993 school year, a suspension for a high school student resulted in an average of 4.8 missed days. An expulsion resulted in an average of 46.6 days away from school. At the middle school level, these figures were 4.6 days for suspensions and 37.6 days for expulsions (Evans and Nieman, 1992). It is clear that in today's competitive economy, all students need to possess skills primarily obtained in a classroom. How is a student who is expelled for 46.6 instructional days going to compete? And one must remember that the days missed for suspension are per disciplinary action. If 5% of the students are responsible for most of the misbehaviors that lead to suspensions, many students are probably serving more than one suspension per semester or year.

Finally, one should keep in mind the three disadvantages of suspension and expulsion discussed at the beginning of this paper. First, when schools are being expected to take on more of the responsibility for teaching students proper behavior and compensating for the instruction that students may not be getting at home, it does not make sense to simply ban the student from the school building without confronting the underlying issues that might be causing the behavior. Suspension and expulsion are no longer deemed as effective for bringing about a change in behavior.

Second, the public is very sensitive to racial bias in the schools. Several empirical studies have shown that blacks are disproportionately overrepresented in the numbers of suspensions and expulsions (DeRidder, 1991; Evans and Nieman, 1992; Meier, Stewart, and England, 1989). With more emphasis on equity in education and the opportunity to learn, districts must be diligent in ensuring that they do not support policies that may be applied in a racially biased manner.

Finally, a disadvantage to leaving in place the current discipline policy is the danger that it may result in the district being subject to legal action. As stated above, courts have been increasingly protective of due process for students subject to disciplinary action. Legal suits could also be brought against the district based on the assertions of racial bias in the assignment of suspensions and expulsions. By leaving a traditional suspension/expulsion policy in place, school districts could increasingly become the target of legal action. This leaves'one to question what alternative policy should be recommended.

An Improved Discipline Policy

A third option, and the policy direction that is recommended by this analyst, is to set stricter guidelines for the use of suspensions and expulsions while developing alternative forms of discipline that focus more on changing behavior and encouraging self-discipline.

Most experts do not advocate banning suspension and expulsion altogether. However, they do recommend exercising this option only in extreme circumstances, or as a last resort. Kadel and Follman (1993) feel that "expulsion should be reserved for the most serious offenses and threatening situations" (p. 24). Likewise, Lawrence and Olvey (1994) suggest that "In most cases out-of-school suspension is appropriate only when a student needs to 'cool off' or is a danger to other students" (p. 32). Echoing these sentiments, DeRidder (1991) asserts that "Expulsions or indefinite suspensions should be initiated only for behavior which threatens people's physical safety or disrupts the school's educational function" (p. 47). If suspension and expulsion is reserved only for the most extreme cases, however, some alternative means for handling lesser discipline problems must be devised.

As part of a new discipline strategy, schools should develop alternative methods of discipline, the goal of which should be to "identify and remedy the problems and to help the students develop self-discipline" (Short et al., 1994, p. 33). One method that has received extensive attention in the literature is in-school suspension (ISS). Under this program, the student is removed from the regular classroom and placed in an ISS classroom. In a typical ISS program, students are isolated from regular students and other suspended students, even in the hallways and the cafeteria; they must spend their time working on their regular class assignments, provided by their teachers; students are usually assigned to the alternative setting for three to five days; and, student privileges are restricted (Short et al., 1994). Characteristics of successful ISS classrooms, according to Siskind et al. (1993) include an academic orientation; a monitor certified in social work, counseling, or school psychology; each monitor assigned to a limited number of students; the provision of staff-development and training; efforts to include parents; ability to isolate students; and ability to make ISS assignments as soon after the offense as possible. Kadel and Follman (1993) believe the keys to a successful ISS program include "planning, counseling, consistency, positive reinforcement, rehabilitation, and follow-up" (p. 24).

While some in-school suspension programs are primarily punitive, others are based on a therapeutic or academic model (Short et al., 1994). In a therapeutic setting, the ISS room may be staffed by school counselors or psychologists. It might be designed to teach students conflict resolution or anger management skills. Other settings might be academic in nature. Sometimes a student acts out in class when he or she feels academically inferior to the rest of the class. In this case, intense remedial academic instruction may improve the student's academic skills and behavior at the same time.

Other alternative assignments can include community service or Saturday School (Kadel and Follman, 1993; Lawrence and Olvey, 1994). Community service may be supervised or unsupervised, depending on the severity of the violation and the nature of the student. Saturday Schools, popularized by the movie The Breakfast Club, require the student to spend Saturday at the school. Additional programs being tried by schools are peer-tutoring, time-out rooms, guidance centers, and alternative learning centers (Short et al., 1994). In New York City, for example, under state regulations, all students of compulsory attendance age who are suspended must be assigned to a Borough Outreach Center. This applies even to those students who receive the most severe penalty, a one-calendar year suspension (New York City Public Schools, 1992). Before accepting this third policy alternative, one should examine its advantages and disadvantages.

There are many advantages to adopting a policy that requires schools to develop alternative disciplinary actions. First, DeRidder (1991) warns that "Punishment by suspension ... means that the student's real problems go unidentified and unaddressed ..." (p. 46). An effective alternative discipline approach allows for problem identification and treatment to take place. The Arizona Superintendent's Task Force (1994) found alternatives to suspension to be a key factor in effective prevention strategies and asserts that alternative education programs provide an opportunity to change behavior, rather than simply relocate bad behavior. Kadel and Follman (1993) argue that in-school suspension both "temporarily relieves the teacher of disruption and denies the student participation in extracurricular activities" (p. 22). Developing and implementing alternative disciplinary measures is not without its disadvantages.

A primary disadvantage of this policy option is that changes such as those outlined above demand time and effort. The cost of providing alternative placements is often daunting (AFT, 1995). Kadel and Follman (1993) warn that in-school suspension programs require extra staff time, space for isolated classrooms, and a great deal of planning. Short et al. (1994) caution that district officials must ensure that the new policy is not allowed to become a new tool for discriminating against minorities. This is not necessarily a disadvantage, but does recognize that policies must be well thought out and applied in a fair and consistent manner.

RECOMMENDATION

It is recommended by this policy analyst that school districts adopt a discipline policy that reserves suspensions and expulsions for the most severe offenses or the most chronic misbehavior. Every effort should be made before this point to help students change their behavior and develop self-discipline. Further, schools should be required to work with all interested parties to develop alternative methods of discipline, most of which presumably would take a therapeutic or academic approach to reshaping the behavior of students and enhancing the safety and order of the public schools. The final section of this paper discusses several policy instruments school boards may choose to utilize and makes some suggestions for effectively implementing a new policy.

Policy Instruments

It is often difficult to implement a new program or policy. When a district chooses to implement a new policy, it will no doubt meet with some resistance. Adopting a discipline policy such as the third alternative outlined above will require additional funds, training, staff time, and creative effort on the part of the schools that must develop alternative discipline programs. This section outlines several policy instruments that might be used to ensure effective implementation.

McDonnell and Elmore (1987) discuss four policy instruments that may be used singly or in combination with one another during the implementation phase. The four instruments are mandates, inducements, capacity-building, and system-changing. Mandates refers to rules that govern the action of individuals or an agency. Inducements offer money for actions taken in the desired direction. Capacity-building refers to the transfer of money intended as an investment in materials or resources. Finally, system-changing alters the system of providing goods and services through the transfer of authority. This analyst suggests that in implementing a new discipline policy, school boards should rely primarily on inducements, backed up by mandates and system-changing and capacity-building measures.

It has already been stated that change will not come easily and in the end it is at the individual school level that most disciplinary actions under a new policy will take place. It is necessary from the beginning to give schools an incentive for creating alternative programs. This creation will necessitate additional resources. Schools will probably need to reward teachers for helping to develop new programs, they will need to hold meetings to involve parents and the community, and they will need funds to administer new programs. Inducements can serve several functions in this situation.

First, inducements provide the monetary means of getting the job done. Second, they serve as tangible evidence that this is something the district values and will support, it is not simply an unfunded mandate. Third, if the school board used mandates alone to ensure compliance, they might only get compliance as far as it is mandated. For example, a school might quickly throw together an alternative that would satisfy the mandate, yet still rely on suspensions and expulsions as their primary discipline tools. If there is an incentive, or inducement, the school is more likely to put some real effort into developing alternatives in line with what the school board is expecting.

Inducements alone, however, are not enough to ensure that an effective new policy is implemented. Two mandates should also be used. First, each school should be required to use suspensions and expulsions only in extreme cases. The district might want to set up a review panel and consequences for any school that does not move in the new direction. Each school should also be required to work with the community of interested parties in developing their alternative programs. These programs will reflect on the school board and the district as a whole, so the board should ensure full participation.

Finally, it is recommended that the district take steps to change systems and build capacity. The primary system-changing measure to undertake is to establish a district wide Office of Student Discipline, as suggested by Evans and Nieman (1992). Authority for overseeing compliance with the new discipline policy would be transferred to this office. In order to build capacity, this office should be allotted funds to provide technical assistance to schools developing discipline alternatives. This office could provide one-on-one consultations with school administrators as well as offer training and staff development to teachers and other staff involved in student discipline. Finally, this office should receive funding to engage in research to better understand how to effectively discipline and change behaviors and to evaluate the new programs that are put into place.

Implementation Challenges

This final section provides some recommendations for beginning the implementation phase for developing a new discipline policy. This analyst recommends that the first step for the Board is to simply declare that it would like to explore a new discipline policy and allow comments from interested parties before deciding on which policy alternative to adopt. If the decision is made to implement the third option outlined above, the school board should make sure the policy development process is open to everyone. Stakeholders should be identified at the district level and the local school level and be invited to participate fully in the development process. It is important to remember that students are stakeholders as well and as such should be represented on any planning committees.

Once implementation is under way, schools should be given plenty of support and leeway for creativity in addressing this problem. It is important that the district does not simply tell the schools what programs to develop. The needs and resources of each school are unique and may properly result in different approaches. Finally, it is important that the district immediately begin to think about an evaluation process and set a timetable for reexamining the new policy so that modifications can be made along the way as needed.

SUMMARY

Suspensions and expulsions have come under increased scrutiny. They are seen as noneffective, possibly detrimental to students, and sometimes used discriminatorily. It is time for many school districts to reexamine their discipline policies. It is recommended that the districts consider adopting new discipline policies that allow suspension and expulsion to be used only in extreme circumstances. As a substitute, schools should be offered inducements to develop alternative discipline programs. This development process should allow participation by all stakeholders including students and members of the community. Authority for implementation and evaluation should rest with a newly-designated Office of Student Discipline. This office should be allotted funds to engage in research and evaluation on effective discipline practices. Finally, it is recommended that every district set a timetable for reevaluating any new discipline policy periodically and making adjustments as necessary to ensure a safe and orderly learning environment for students.


REFERENCES

Adams, A.T. (1992). Public high schools: The uses of rehabilitative and punitive forms of discipline: A final report. (ERIC Document Reproduction Service No. 354 633).

American Federation of Teachers (AFT). (1995). Elements of an effective discipline strategy. Lessons for Life Campaign. Washington, D.C.

Arizona State Department of Education. (1990). Classroom discipline: Report of the superintendent's task force on classroom discipline. (ERIC Document Reproduction Service No. 327 983)

Arizona State Department of Education. (1994). School violence. Report of the superintendent's task force. (ERIC Document Reproduction Service No. 381 704)

DeRidder, L.M. (1991). How suspension and expulsion contribute to dropping out. Education Digest, 56, 6, 44-47.

Elam, S.M. & Rose, C.R. (1995, September). The 27th annual Phi Delta Kappa/ Gallup poll of the public's attitudes toward the public schools. Phi Delta Kappan, 41-56.

Evanac, D.M. (1993). Developing and implementing a discipline policy for Hawthorne High School. (ERIC Document Reproduction Service No. 364 984)

Evans, R.W. & Nieman, R.H. (1992). The Bronson settlement review: Year eight 1991-1992. (ERIC Document Reproduction Service No. 359 279)

Green, J. & Barnes, D. (1993). Discipline in secondary schools: How administrators deal with student misconduct. (ERIC Document Reproduction Service No. 357 507)

Gursky, D. (1994). Restoring orderly schools: What stands in the way? Questline, 2, 2. 1-3, 7.

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Challenges Facing Our Schools: Four Policy Perspectives

CENTER for POLICY STUDIES:
Graduate School of Education and Human Development

Challenges Facing Our Schools: Four Policy Perspectives

PRIVATIZATION OF PUBLIC SCHOOLS:
A QUICK FIX OR A REAL SOLUTION TO THE FAILURES OF PUBLIC EDUCATION

Alicia Darensbourg

HISTORICAL BACKGROUND

Within the last thirty years a plethora of reports have emerged that enumerate the deficiencies of elementary and secondary public education in America. In 1982, recognizing the dilemma of the deteriorating public education system, professionals in education convened the Wingspread Conference on Studies of the American High School to formally discuss the problems of public schools (Passow, 1984). A year later, "A Nation at Risk", the hallmark report by the National Commission for Excellence in Education, indicated that students in America's public schools were not performing at the levels necessary to demonstrate proficiency in critical core subject areas. Even more startling was the evidence that by 1990, high school dropout rates in America had reached an average of 12.1 percent for all states including the District of Columbia, further reflecting the downward spiral of public education (Digest of Education Statistics, 1995).

Although many reports helped catalyze widespread education reform at the state and local level in the 1980s, recent studies and statistics demonstrate that many of the practices within the school systems of the 1990s actually promote the deterioration of public education in America. In "Prisoners of Time" the National Education Commission on Time and Learning (1994) reported that American students actually spend less time in school overall and less time learning math and science in comparison with their foreign counterparts. Moreover, statistics also reflect that the current national average for SAT test scores when compared with the mid 1970s are considerably lower and state scores by and large have either steadily declined or leveled off in the 1990s (Digest of Education Statistics, 1995). Hence, evaluations of test results and other achievement indicators have persistently reverberated the view that public education in America is degenerating and schools need to be dramatically and systemically reformed in order to reverse the cycle of failure.

TRANSFORMING PUBLIC SERVICE THROUGH PRIVATIZATION

Throughout the history of the United States there has been a persistent challenge to define the role of government in a market society. Debates have ranged from the extent to which the public sector should regulate a market economy to how a market economy should compete with government over the production of various goods and services. Yet, the notion that the public sector even has a role, whether regulatory or otherwise, suggests a level of government responsibility for the dynamics that occur in society. Outcomes of market activity have generally reflected a manifestation of Darwin's concept of survival of the fittest. However, society does not function in such a way that everyone has equal access to the means of production and, therefore, all persons are not "equally fit in the race to survive." Hence, the precepts of the Constitution have entrusted government at all levels with the duty of insuring that all members of society have access to an assortment of goods and services and, thus, government has engaged in the provision of certain merit goods. Whereas public entities serve the welfare of society, profit and competition intrinsically drive the private sector, such that for-profit institutions may be unable to meet the needs of the general public. Yet, amidst accusations from society of fiscal irresponsibility and political over-bureaucratization, government has been challenged with the task of eliminating its alleged inefficiency by relinquishing the delivery of certain goods and services to private entities. Henig (1994) contends that while there is a strong push to increase the level of government privatization, the reality is that government has been extensively involved in privatization and has contracted out services to private corporations for both small and large scale operations.

Privatization in the Public Sector

For several years, states and localities have contracted out services to private companies for a variety of functions. The results of a 1982 survey by the International City Management Association (ICMA) reflected widespread privatization by local governments which reported contracting out a large percentage of their services, including residential solid-waste collection, commercial solid-waste collection, operation and maintenance of bus systems, vehicle towing, and the operation of day-care facilities (Poole and Fixler, 1987). Comparison of data from single service studies seems to support the contention that contracting out is an effective cost saving tool for many local and state government functions. In the case of Indiana, a study demonstrated that the contractor was able to provide school bus services for the local government at a rate 20% below the district's customary cost (Poole and Fixler, 1987). Furthermore, a 1970 study by the Institute for Local Self Government (ILSG) reported that fire protection services in Scottsdale, Arizona were provided by private companies at a savings of 50% to the local government (Poole and Fixler, 1987).

While some studies unanimously reflect the positive results of privatization, Edward Sclar provides a detailed case analysis of the Denver Transit program which demonstrates that privatization can also have negative consequences. Sclar (1994) notes that when the Denver Regional Transportation District (RTD) privatized 20 percent of its fixed route bus operations, the agency was expected to save 40% in costs. Yet, from 1989 to 1993 there was a rise in the average cost of a contract hour from $41.95 to $56.43, as compared with a modest 1.9 percent average annual operating cost increase for directly supplied public services (Sclar, 1994). Hence although privatization on the surface may appear to be an effective tool for enhancing some state activities, contracting out may or may not be a pragmatic solution to the problems of failing public schools and the challenges of a deteriorating public education system.

Privatization as Adapted to Public Education

While a barrage of reports either corroborate or challenge the financial efficacy of contracting out, Brown and Contreras (1991) expound that there are other critical issues that must be weighed in the decision to privatize public education. A central point that must be examined is an understanding of the purpose of public education. "Education is the only public service in which individual states have a constitutional mandate to provide all children, regardless of where they live, with free quality education and to equalize educational opportunities across all communities" (Brown and Contreras, 1991). This mandate inherently separates education from other forms of public services in both its purpose and process.

Public education was founded on the principle of preparing America's children to serve a common societal goal of self governance. Davis (1983) contends that "the purpose of public, rather than private education, was decreed by the founders of the country to be that of preparing the young to build a common commitment to their new democratic political community." Traditionally, public schools have been distinguished from private schools on a variety of dimensions including philosophical ethos, pedagogical programs and styles, admission and management practices, and financial support structures. Yet, a prominent difference between private and public education is that the former serves the interest of individuals (Davis, 1983). Public education, however, serves the interest of the common good and aims to meet the needs of a growing ethnically and socioeconomically diverse community in a constantly changing economic market. Hence, the process of educating the nation's children, by tailoring school systems according to the population of students who enroll, encompasses complexities and social dynamics at all levels. Brown and Contreras (1991) postulate that "a market place system of schooling (as characterized solely by private schools) is unlikely to address the problems of social class stratification," which equally impinges on education and contributes an array of concerns in the public school environment.

OPENING UP THE SYSTEM:
PRIVATIZATION MODELS IN PUBLIC EDUCATION

In assuming accountability for the ills of public schools, states and localities have experimented with various initiatives to improve education. Professional journals and various research studies are replete with examples of states that have attempted to reform their school systems using different types of choice programs, vouchers, and charter schools. Although the literature frequently refers to these approaches as "Privatization", choice programs, vouchers, and charter schools are each distinctively different from the type of privatization (specifically contracting out) examined in this policy analysis.

School Choice

Choice refers to the right of parents to choose the schools that their children attend without the restriction of geographical boundaries. Whether parents are able to send their children to any school within their residential district (intra-district choice) or elect a school outside their district (interdistrict choice), the school choice models represent greater parental control over the education experience of their children. However, both models of choice maintain the existing system of public governance over schools (Wallace and Anderson, 1994). Although Minneapolis, a pioneer in the adoption of revolutionary and novel education reform initiatives, began using school choice in 1971, other areas did not implement choice plans until several years later. The East Harlem school district in New York adopted its first intra-district school choice program in 1974, but the program was limited to the local level and has not been sanctioned as a statewide policy. While relatively few states (Alabama, Arkansas, Colorado, Iowa, Massachusetts, Michigan, Nebraska, Ohio, Oregon, Utah, and Washington) have been successful in implementing formalized school choice programs since the first model was instituted in Minnesota, many states have introduced legislation to expand open enrollment plans in their districts (Cookson, Jr., 1994).

The legitimacy of school choice within the education reform debate has been based on certain key arguments: (1) choice is the individual right of parents and students as consumers of education and (2) the role of competition in revitalizing poorly performing schools. Supporters of choice have equated the opportunity for parents to choose the schools that their children attend with the rights of individual freedom that are protected by the constitution. In framing choice as a right and not an option, staunch advocates have often proclaimed that the current public educational system, and indeed government itself, impedes the expression of family freedom. Coons and Sugarman (1978) assert that government actually undermines and devalues the family by requiring students to attend schools according to geographic zones without any regard for parental preferences and beliefs. Yet, the very ideas and principles espoused within particular school settings may contradict those of the family. Without choice as a mechanism for self-selecting the school that the child attends, families are forced to accept whatever values and ideologies are promoted by the school, relegating students to become more individual extensions of state and local governments rather than the offspring of the family's social and moral structure (Coons and Sugarman, 1978). On the contrary, Coons and Sugarman (1978) believe that by giving parents greater control over the decision making process, choice has the ability to restore America's faith in education. While local and state governments may never perceive their role in public education as one that is obtrusive to family character or one that destroys society's confidence in government, Coons and Sugarman (1978) contend that public schooling without choice creates a formidable wall between the family and the state.

Another argument for school choice predicates the belief that market forces, rather than government intervention, are a critical tool for revamping and improving education. School choice operates on the premise that a policy of open enrollment, in and of itself, creates competition between schools that will automatically foster better education (Cookson, Jr., 1994). By allowing parents to choose among both public and private institutions for their child's education, choice changes the playing field in which all schools operate, such that public schools would be forced to modify and improve their product (education) in order to retain their customers (students) (Coons and Sugarman, 1978). Yet, competition alone may be inadequate to fulfill the task of reforming schools. As Henig (1994) points out, choice may only be effective if certain other conditions apply, such as the inclusion or exclusion of parochial private schools as choice options, parents being sufficiently knowledgeable and informed about their options to make good choices, the availability of schools based on the informal and formal criteria that are used in screening students, the grade levels for which the choice plans are targeted, and the accessibility of schools beyond one's geographic boundaries that is not limited by transportation problems. Moreover, the option of choice for parents does not preclude the exercise of choice by schools themselves, which, in the very spirit of competition, may elect to admit or deny students for a variety of reasons.

As such, the presence or existence of choice alone may not be a remedy but rather a redistribution of students among existing schools. Hence, this initiative does not address the issue of what happens to poorly performing schools. It would appear that the rhetoric of competition assumes that these schools will automatically disappear, yet when other preferred schools have reached full capacity for enrollment, students will have to find somewhere to go. There is no doubt that the choices they are left with will be the very schools that they were trying to escape. Moreover, the notion that parents will exercise the right to choose another school just because the option exists presupposes an array of psychological attitudes and social behaviors of parents as consumers, many of which may be unfounded. For every reason that a parent may choose to send their child to another school, there are a host of counter reasons related and unrelated to the school itself that may guide their decision, such as preferences for culturally homogeneous learning environments, the distance from home, and the ability of the child to be integrated and accepted by the community where he or she attends school. The assumption that the competition nurtured by choice will have only meritorious benefits needs to be examined in lieu of the competing interests that are equally present in the market place of education.

Charter Schools

In 1991, Minnesota passed the first state law permitting charter schools; since then, charter schools have surfaced in at least 11 states including Arizona, California, Colorado, Georgia, Hawaii and others. In these states, individuals or organizations are allowed to develop their own schools with limited regulatory oversight by state or local entities. The charter is typically presented to some authorizing agent at the local or state level, frequently comprised of school district and/or the state board of education, for approval. Once approved, the state or locality may allow the charter school to operate with minimal oversight and, possibly, completely independent of the local school districts (Wallace and Anderson, 1994). The autonomy of charter schools is considered a critical element for improving public education because removal of government oversight is believed to promote greater creativity and freedom that are barriers to changing the current education system.

While charter schools most closely resemble public schools on the surface, these innovative schools are distinguished by a variation of characteristics that are more prevalent in private institutions (Cookson, 1994). Even though the schools compete for and serve the broader population of students within a given district, the administrators of these schools are allowed to craft their own policies and organizational mission, as well as utilize whatever hiring procedures, teaching strategies and materials they please. States may permit charter schools to operate independently of any overarching government regulations, although the schools themselves may actually receive funding through federal, state, and local funding sources (GAO/HEHS, 1995).

The Charter Schools Act passed by the Minnesota legislature was the forerunner for many of the current models of charter schools that continue to evolve around the nation. Yet, the Minnesota initiative is quite different from the variations of charter schools that exist. Cookson (1994) asserts that when the Charter Schools Act was passed it was intended to help innovate public schools by allowing licensed teachers to create independent and exemplary schools. Although the Minnesota teachers were allowed to manage the daily operations of these schools, their efforts were governed by a contractual agreement between them and the local and state education agencies. Current models of charter schools, protected by exemptions from state and local laws, may allow the use of non-licensed teaching staff (GAO/ HEHS, 1995).

While autonomy is extolled as a chief virtue of charter schools, the independence of these schools from control by state or local government poses a critical threat to the balance and harmony of the public education system. The extent of the school's independence may completely disengage it from the local system, isolating students, faculty, and staff from other schools and removing the common bond that has traditionally linked schools within education systems throughout the country. More importantly, the absence of legal restraint, as it exists in Arizona, California, Massachusetts, Michigan, and Minnesota, where all charter schools are or can be legally independent, raises questions about the accountability of these schools. Whereas local and state officials are responsible to the public and the population that is served for what is taught in the school system, administrators of charter schools are accountable only to themselves, not the taxpayers that may help fund their programs. While regulatory issues may elevate concern over accountability, other privileges of charter schools may raise questions about the quality of education being offered, particularly when teaching staff may instruct and test students without any specific guidance from the state or local educational entity. GAO (1995) asserts that while relatively little has been proven about charter schools to date, evidence of the ability of charter schools to help improve education must be evaluated with respect to how these schools assess and report student performance. The implementation of charter schools, while restructuring public education into a system of fragmented authority, must be carefully examined to insure that the values of creativity are not exchanged for equitable and quality education.

Vouchers

The idea of using vouchers to reform education was first proposed by Milton Friedman in 1962 in his book Capitalism and Freedom. Often touted as the most progressive form of choice, vouchers provide parents with monetary certificates (in amounts equal to the state's per-pupil expenditure for public education) that can be used to pay for the educational costs of private school tuition. Wallace and Anderson (1994) believe that because vouchers represent money that follows the child and not the school, parents have the ability to directly influence state educational finances when they choose to educate their child in a private rather than a public school. Vouchers most closely resemble privatization on two levels: (1) public money can be used to pay for private education; and (2) public and private schools compete for students and the money that has been allocated by the state or locality to fund their education. Although voucher experiments were initiated in Minneapolis in 1971, other states like Indiana and California adopted more diverse models of vouchers. Yet, equity concerns over the use of public money to pay for educating students in private schools gradually transformed pure voucher districts into models more characteristic of choice (Davis, 1983).

Vouchers represent the wholesale and direct replacement of public schools with private schools. Students are given certificates for tuition that not only permit but which also have the effect of encouraging students to leave public schools. Yet, this too ignores the real issue of improving education, because while vouchers may give students and families an array of options, the options that they choose will be private schools, all of which are external to the public school system. Thus, there is no improvement made to problematic and underfunctioning schools in what students learn, how they are taught, or the mechanisms used to assess their skills.

In effect, vouchers may even obviate the need to improve education because students that want to opt out of notoriously bad and low achieving schools will have the financial resources to do so. Moreover, if policy makers ascribe to the notion that private schools are so much better than public schools, maybe the policy directive should focus more on ways to model public schools after private schools, rather than replacing these schools or channelling financial resources out of the public school system. While choice, charter schools, and vouchers each have a tangential connection with the private sector, contracting out, which pervades all dimensions of the education spectrum, including funding, management, staffing, admissions, and curriculum, represents pure privatization.

The Meaning of "Privatization"

Privatization in the form of contracting out services has been adapted to many public sector activities. Through contracting out, government hires, by way of competitive bids, qualified private businesses to perform essential services on its behalf. Actual privatization can take on two forms - divestiture and deregulation. In the case of divestiture, the government completely transfers an asset, agency, or service to private ownership. With deregulation, however, the government may maintain financial responsibility for some aspect of the service, agency, or asset, but shifts the delivery of this good to a private company. Privatization may be whole or partial depending on the amount of government activity that is being transferred. In partial privatization, government opts to contract out a limited number of services versus complete privatization, wherein only public funding of the good or service remains in tact and the private company obtains control over all other aspects of the former government activity.

Essentially, the model of privatization exemplified in contracting out represents a shift in the locus of control over various government functions and services. Kettl (993) believes that the public-private partnerships that emerge in contracting out reflect a new way of doing business that demands government restructure its management style. Kettl (1993) also notes that whereas government may have traditionally operated in a hierarchical management scheme, public-private partnerships replace the innate authority, that is inherent in a hierarchy, with mere contracts. The contracts between public entities and private companies govern the amount of interaction and alter who is responsible for outcomes and the level of accountability between the public and private sector. In this way, public-private partnerships have the potential to fully eradicate government authority over public goods.

Despite many uncertainties about privatization, there have been documented attempts by some states to contract out part, if not all, of the services for public education. The closest model that resembles the current contracting out approach was the performance based contracting that originated in the 1960s in Texarkana, Arkansas. Performance based contracting involved schools entering into agreements with private companies that promised to improve student performance. In the case of Texarkana, Arkansas, the Office of Economic Opportunity hired Dorsett Education to provide reading and mathematics programs to potential dropouts; the company would only be paid if the results of student assessments reflected improvements (Jost, 1994). Although the Texarkana project was expanded to include more than 100 school districts over a two year period, the initial results reflected only marginal improvements in students' reading and math achievement. Consequently, the use of performance contracting ended within a few years.

With the end of performance based contracting and mounting disappointment with the results of other reform efforts, the 1990s have ushered in a wave of ambitious efforts to improve public schools by contracting out services. Initially, contracting out in education was exclusively for supportive activities such as school busing, food services, and specialized course instruction such as driver education (Jost, 1994). Yet, contracting out did not fully emerge as a facet of teaching until the last five years with the launching of the partnership between Education Alternatives Inc (EAI) and the Dade County school system in Miami Beach, Florida.

The South Pointe Elementary School partnership marked the first public-private contract whereby a school system surrendered authority to a private company to provide teaching staff, instruction materials, and their own performance measures to assess students' academic abilities and achievement (Jost, 1994). Yet, an analysis of South Pointe and subsequent privatization projects reflects the ambivalence of educators, administrators, parents, and the public toward the advantages and disadvantages of contracting out.

The Spectrum of Pros and Cons of Privatization and Education

Advocates of privatization have consistently asserted that contracting out public schools will help enhance the current educational system. Proponents contend that there are several benefits of privatization including solving labor problems, sharing risks, raising the quality of schools, providing services that otherwise would not be available, shortening the implementation time, and solving local political problems (Kettl, 1993). Yet, one of the principle reasons for which advocates support privatization is the substantial budgetary savings over what it costs government workers to perform the same service. With respect to education, advocates also assert that "contracting out schools can lead to improvements in the overall quality of instruction and the rigor of the curriculum in both public and private schools" (Hawley, 1995). In comparing public education with private schools, advocates of contracting out staunchly insist that the privatization of schools can increase student achievement and offer a more challenging curriculum (Topolnicki, 1994). More importantly proponents believe that the competition that ensues from privatizing schools will empower parents with greater decision making authority over the education process of their children and the schools that they attend (Hawley, 1995).

Opponents of privatization argue that contracting out schools will further dismantle public education as we know it. Many individuals are concerned that while privatization is heralded as a key mechanism for saving money, the process of changing the school system merely to cut costs will result in a poorer quality of education. Since private companies would have free reign to operate schools as they see fit, they may institute admission practices that could virtually eliminate the presence of various social and ethnic groups from public schools (Hawley, 1995). Moreover, by allowing private companies to manage public schools, one can expect that many disadvantaged groups will have limited access to the better privatized schools and will be relegated to attending the least desirable but remaining public schools (Whitty, 1984). By supplanting licensed teachers with interns who have limited teaching skills, privatization also has significant negative repercussions on the teaching profession and the quality of how students learn various subject matters. Moreover, since public schools must admit any and all students, the level of academic achievement is bound to vary with that of private schools which can be selective about student enrollment (Topolnicki, 1994). Finally, opponents also believe that not only is there no evidence that contracting out can ensure improvements in education, but there is also substantial proof that an education in public schools is comparable to that of private schools (Topolnicki, 1994).

THE EDUCATION COMMUNITY

Privatizing public schools has serious implications for the stakeholders involved in the policy process. Education pervades all aspects of society such that everyone is either directly or indirectly connected to the schooling of America's children. Before engaging in any discussion of a formal policy to privatize public schools, one must clearly identify who would be affected by the policy decision. These individuals and groups are invaluable to the formulation and implementation of an effective school privatization policy.

First and foremost, the issue of public education reform must address the three groups most directly affected by any policy changes -- students, parents, and teachers. Because students represent the population that is being directly served by public schools, they are critical to any policy decision affecting schools. Although they play an inactive role in the decision making process, students must be kept at the forefront of the privatization issue. After all, the real purpose for improving education is to better the quality of schooling that the students receive. Thus, any policy to privatize schools must regard the interest of the students as a top priority, taking into consideration the potential impact that contracting out would have on the education process, the school environment, and the learning levels that are expected of students.

Similarly, parents whose