What do you want the child to learn from the activity? Will you be focusing on one domain? Which domain did you choose and how does your activity represent that domain?

ECE 203 Week 2 Discussion One

****ATTACHED PDF TEXT BOOK MUST BE USED AS ONE OF THE CITATION SOURCES**

Please review assignment, attachments, required resources & lecture below

 

Assignment Details:

Planning and the Domains of Development [WLOs: 1, 2] [CLOs: 3, 4]

Prior to beginning work on this discussion, review the ECE203 Case Studies  (Links to an external site.)and select one that looks interesting to you. To be an effective early childhood educator in the United States today, it is imperative that you are able to adapt curriculum and instruction to meet each and every child’s varied needs across each developmental domain, regardless of the age of the children. This discussion builds on the Week 1 discussion about creating trust with students, and further prepares you to design for each and every child’s success in your classroom, which is a component of the Final Project in Week 5.

For your discussion, you will create a developmentally appropriate activity that enhances one domain of development (cognitive, physical, effective, or language) for one of the children in the case study examples. An example activity for this discussion is located in the Week 2 Instructor Guidance.

To prepare for this discussion,

For your initial post,

  • Design an activity for your selected case study child. Your post should include the following:
    • The name and age of the child as indicated in the case study you chose.
    • A description of the setting the instruction will take place in (e.g., childcare center, classroom).
    • The goal of the activity, including which domain it is geared towards.
    • The materials necessary to support student learning for the activity.
    • The procedure for how the activity will be implemented. This section of your response must be at least one full paragraph and provide a substantial description of the procedure.
    • A description of specifically how your activity aligns with NAEYC’s article The Case of Brain Science and Guided Play: A Developing Story(Links to an external site.) and the importance of play in the early childhood learning environment.

 

Required Resources

Required Text

Jaruszewicz, C. (2019). Curriculum and methods for early childhood educators [Electronic version]. Retrieved from https://content.ashford.edu/

  • Chapter 4: Curriculum and Development
  • Chapter 6: What Are My Responsibilities as a Planner?
  • Chapter 7: Approaches to Learning: Exploratory Play and Creative Arts

Articles

Hassinger-Das, B., Hirsh-Pasek, K., & Golinkoff, R. M. (2017). The case of brain science and guided play: A developing story (Links to an external site.). Retrieved from https://www.naeyc.org/resources/pubs/yc/may2017/case-brain-science-guided-play

  • This resource provides information about play in early childhood and is required for your Planning for Domains of Development discussion this week.
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NAEYC. (2009). Where we stand on professional preparation standards (Links to an external site.). Retrieved from https://www.naeyc.org/sites/default/files/globally-shared/downloads/PDFs/resources/position-statements/2009%20Where%20We%20Stand%20Standards%20rev%204_12.pdf

  • This article summarizes each of the six of NAEYC professional preparation standards. This resource will help you complete the Planning for Domains of Development discussion.
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Recommended Resources

Articles

Almon, J. (2013, September/October). It’s playtime: The value of play in early education, and how to get teachers on board (Links to an external site.). Retrieved from http://www.naesp.org/principal-septemberoctober-2013-early-learning/it-s-playtime

  • This resource provides information about play in early childhood and may assist you in your Planning for Domains of Development discussion this week.
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Clarke, G.-A. (2016, March 20). 20 DAP checklist questions for teachers (Links to an external site.) [Blog post]. Retrieved from http://www.naeyc.org/blogs/20-dap-checklist-questions-teachers

  • This resource provides information on planning developmentally appropriate activities in the classroom or center. This resource may support you as you complete your Developmentally Appropriate Practices Assignment this week.
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Web Page

NAEYC. (n.d.). Articles for families on play (Links to an external site.). Retrieved from https://www.naeyc.org/our-work/families/play

  • This web page provides information about play in early childhood and may assist you in your Planning for Domains of Development discussion this week.
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Week 2 Overview

Discussion 1: Planning for Domains of Development  

As you have read, human development is divided into three broad domains: physical, cognitive and affective domains.  Although we study each as distinct and different, they are far from actually being distinct.  Instead, they “combine in an integrated, holistic fashion to yield the living, growing child” (Berk, 2013, p. 4).  Having a solid base in each of these domains will assist you in helping children grow to reach their potential.  “A cornerstone of quality teaching is having a firm understanding of child growth and development” (Estes & Krogh, 2012, p. 63). As an integrated set, each domain is influenced by and influences the other.  To illustrate an example of this interconnectedness, consider a baby learning to reach, crawl, sit and eventually walk (physical domain).

This new ability contributes “greatly to infants’ understanding of their surroundings” (cognitive domain) (Berk, 2013, p.4 ).  As babies begin to “think and act more competently, adults stimulate them more with games, language, and expressions of delight at their new achievements” (affective domain) (p.4).  As a result, these newly expanded encounters promote all aspects of development (p.4).  As educators and caregivers it is important for us to have this holistic view of child development.  While one domain may occasionally be more dominant than others in a given activity, children always function holistically.  That is why it is important for us to have a solid understanding of each of the domains of development!

There is a series from Help Me Grow on Youtube that you might find useful when looking at individual age ranges of children (such as you will need to do for this discussion).  Each age and stage is represented.  Below is an example of Two Year Old Child Development Stages & Milestones.

For your first discussion this week you are asked to look at case studies.  The purpose of this activity is to help you gain insight into how each of these domains of development might actually look in children, and the importance again of learning each of our students’ individual needs.  Look at each of the Case Studies in depth, and choose the one that interests you most (Trevor, Jenny, Amiee, Abby, and Bradley).

After choosing a case study from above, think about and plan an activity you could use to assist the child with his/her need.  Your activity should be developmentally appropriate and should enhance or support each of the developmental domains (i.e., cognitive, physical, and affective). Remember “researchers and curriculum specialists also emphasize that growth and learning occur as an integrated process across multiple domains (Gestwicki, 2011; Hull, Goldhaber, & Capone, 2002; Levine & Munsch, 2011, as cited in Jaruszewicz, 2019, Section 4.1). This means that you do not need to create three separate activities, per se, but rather one or more activities that address multiple domains simultaneously.  The following illustrates an example of how one might incorporate each domain into an activity (but keep in mind you must create an original activity for your discussion that includes each of the bullet points below):

To Prepare for this Discussion:

For your Initial Post:

Design an activity for your selected case study child.  Your post should include the following:

  • The name and age of the child as indicated in the case study you chose.
  • A description of the setting the instruction will take place in (e.g., childcare center, classroom).
    • Where will you be completing the lesson? What does the setting where you will be teaching look like? Will you be completing the activity on the carpet or at a table? Will other children be present or will you be doing the activity one on one?
  • The goal of the activity, including which domain it is geared towards.
    • What do you want the child to learn from the activity? Will you be focusing on one domain? Which domain did you choose and how does your activity represent that domain?
  • The materials necessary to support student learning for the activity.
    • Is it an art based activity or a writing based activity? Will you need toys to complete your activity or perhaps some gross motor equipment? What materials will you need to accomplish your goal?
  • The procedure for how the activity will be implemented. This section of your response must be at least one full paragraph and provide a substantial description of the procedure.
    • You have explained the setting of your activity, the goal of your activity, and the materials you will need. Now it’s time to put it all together. Takes us through a step by step detailed plan of how you will complete this activity. How will you start the activity? What words will you use? How will you get the child to engage in the activity?
  • A description of specifically how your activity aligns with NAEYC’s article The Case of Brain Science and Guided Play: A Developing Story(Links to an external site.) and the importance of play in the early childhood learning environment.
    • You have just read about the importance of play and the role it has in children’s learning. How does your activity incorporate the importance of play? If it did not align with the article, what could you add to your activity to incorporate play?

Guided Response: Respond to at least two of your peers’ posts. In each response, explain how your peer’s suggested activity specifically upholds any of the 6 NAEYC Standards for Early Childhood Professional Preparation, which are summarized in the Where We Stand on Professional Preparation Standards (Links to an external site.) resource.  Describe all standards your peer upheld and how, and include suggestions on how they might incorporate any that are missing.

  • NAEYC is one of the governing bodies in early childhood education. As you continue in the field of early education, NAEYC standards will become very familiar to you. Use this Guided Response as a tool to help you become more familiar with NAEYC standards.

 

What are the basic and central values of the educational technology professional community?

Ethics in educational technology: towards a framework for ethical decision making in and for the discipline

  1. Michael Spector1

Published online: 5 October 2016

Association for Educational Communications and Technology 2016

Abstract This special issue of ETR&D is devoted to ethics in the broad domain of educational technology. Many ethical issues arise involving the study and use of educational technologies. A well-known issue involves the digital divide and the degree to which the introduction of new technologies is increasing the digital divide and disadvantaging some students while benefitting others. The potential of educational technologies to improve learning and instruction is generally well known. Many of the problems associated with the successful implementation of educational technologies are also generally well known. However the ethical issues involved with educational technology implementation, use and research are not well explored nor widely known. This paper provides a preliminary framework for ethical decision making with regard to educational technologies.

Keywords Educational technology ethics  Ethics framework  Educratic oath  Ethics framework  Value-driven educational practice

Introduction

The definition of educational technology embraced by the Association for Educational Communications and Technology (AECT) is as follows: ‘‘Educational technology is the study and ethical practice of facilitating learning and improving performance by creating, using, and managing appropriate technological processes and resources’’(Januszewski&Molenda,2007, p. 1). This definition, developed and approved by the AECT definitions and terminology committee is striking due to the inclusion of ethics as an essential aspect of educational technology. Given that emphasis by such a prominent international association of scholars and professional practitioners,it is worth exploring the role of ethics in educational technology.This

& J. Michael Spector

mike.spector@unt.edu

1   Learning Technologies, University of North Texas, Denton, TX 76207, USA

article is a step towards creating a framework for the inclusion of ethical decision making in efforts aimed at facilitating, improving and supporting learning, instruction and performance. The discussion is primarily conceptual rather than being research based.

Professional practice, standards and values

As a precursor to the argument and framework to be presented, consider the broad domain of medical practice. There are many professions within that domain, within each of those professions there are specializations. Consider nursing, for example. A general definition of that profession is basically that it involves the practice of promoting health, caring for individuals and preventing illness, not unlike a parallel definition for physicians (see http://www.icn.ch/ who-we-are/icn-definition-of-nursing/). The word ‘ethics’ does not appear in the definition of the profession or discipline. Rather, the International Council of Nurses publishes a separate code of ethics that emphasizes respect for the rights and dignity of individuals(ICN,2012).That code begins with four basic value statements involving the promotion of health, the prevention of illness, restoring health and alleviating suffering. What follows those value statements are a number of elements comprising the code of ethics, which can be considered performance standards for ethical conduct as a professional nurse. One can find other such frameworks that distinguish professional practice, ethical standards and values. As a result, that general organizing framework that separates practice and ethics is adopted herein.

I believe that those who crafted the AECT definition of educational technology did so to emphasize the importance and centrality of ethics in the broad domain of educational technology. I share that general inclination but embedding ethics in what educational technology professional practitioners and scholars do glosses over the important distinction between performance and standards (ethical standards in this case but one could also include quality standards).

To make these distinctions concrete, consider a certified nurse performing a particular job task. The nurse is clearly a practicing professional and has gone through extensive training to become certified. Nonetheless, that nurse may be careless in drawing blood from a patient on an occasion. In such a case, a quality standard is relevant. If carelessness recurs, some kind of action or remediation may be required. On another occasion, a certified nurse may refuse to treat or interact with a patient on account of the patient’s race, religion or other characteristic. That is not a violation of a quality standard. It would be a violation of the nursing code of ethics and a failure to fully embrace the four values that guide nursing practice and ethical standards. While additional training may be appropriate for quality violations, ethical violations often require a different kind of response, including the loss of a job or certification.

One might then ask how far from such a framework is professional practice and scholarship in the domain of educational technology. Responding to that question is the specific task undertaken herein.

Defining ethics and values

The word ‘ethics’ is used by many people in a variety of contexts without an attempt to provide a definition. For that reason, many will separate ethics from morals, which this author believes is wrongheaded. Classically, ethics is a branch of philosophy that dates back thousands of years. Modern philosophers often divide ethics into three categories: (a) metaethics that focuses on the origin and meaning of ethical principles, (b) normative ethics aimed at establishing standards to distinguish and regulate right and wrong conduct, and (c) applied ethics that tends to focus on difficult to resolve cases and issues (see http:// www.iep.utm.edu/ethics/ for an elaboration of these categories).

What seems most appropriate for this discussion is the notion of normative ethics, as that category is typically associated with codes of conducts and distinguishing good or acceptable behavior and practice from unacceptable or harmful behavior and practice. The representative ethical statements presented in the next section clearly fall into the category of normative ethics. Normative ethics represent the specific behaviors and practices that a community, culture, institution, or profession expect all members to follow. In some cases, failure to adhere to an ethical principle is also a violation of the law. For example, delaying treatment of an individual in need of immediate attention may result in that patient’s death. In such a case, the medical practitioner who delayed treatment not only commited a violation of a basic ethical principle (e.g., do no harm), but may also be guilty of involuntary homicide. Regardless of the legal implications, ethical violations should be regarded as serious and reported to the responsible authorities, as a general rule (and perhaps also an instance of a normative ethics statement). The honor code at the United States Air Force Academy states that ‘‘we will not lie, steal, or cheat nor tolerate among us anyone who does’’ (see http://www.academyadmissions.com/the-experience/character/honor-code/). The implication of that code is that not reporting a violation is also a violation.

Codes of conduct and ethical principles can be found for many professional associations and communities of practice. A few are presented below. Such normative ethical statement cover a wide range of behaviors, including such things as taking unfair advantage of others, misrepresenting relationships, overlooking evidence, violating trust and confidentiality, and much more. Such statements are generally representative of the values of an association, community, or profession. That leads to several questions: (a) What are the basic and central values of the educational technology professional community? (b) How were those values established? (c) How are those values to be interpreted?

AECT’s TechTrends; Linking Research and Practice to Improve Learning periodically has a column on professional ethics written by Andrew Yeaman. Those columns provide insight into a number of aspects of normative and applied ethics in educational technology practice (see http://link.springer.com/journal/11528). For example, in a recent issue, Yeaman (2016) presented a scenario about problems in a training department that lead to a decision with regard to whom responsibility should be delegated to improve the situation. The value involved is commitment to the profession, and the ethics involved focus on fixing the situation rather than assigning blame.

One way to conceptualize values is in terms of a hierarchy of responsibilities and obligations. One interpretation of Plato’s early dialogues that recount Socrates’ trial and last day, is that Socrates had such a hierarchy which proceeded from self to family to state to the voice of the oracle. The reason a hierarchy is needed is that values can conflict. One may value one’s own well-being or prosperity, but that would be superseded by the well being of family or community or profession or society if there should arise a conflict. The most difficult cases when there are conflicts at the same level within such a hierarchy. Jonassen (2007) calls such ethical dilemmas the most challenging kind of problems because there is essentially a lose–lose aspect to such dilemmas—whichever choice is made, an ethical principle will be violated.

As an example, consider a professor who is supervising a doctoral student with a severe disability that prevents the student from writing and speaking clearly. The student’s speech is difficult to understand, and the writing often incoherent. Nevertheless, with support from the professor, friends and the medical profession, the student has managed to successfully complete all of the required coursework for the degree. The problem now is completing a dissertation. The student is passionate about completing the degree, and the professor wants to help the student succeed. However, the level of support from the professor to complete a dissertation given the student’s condition appears challenging (as much as 10 h a week based on recent experience). In spite of having spent a great deal of time with the student, there has not been much progress, and the date for the dissertation proposal defense is approaching. Failure to defend the proposal on that date will result in the student being put on probation; a previous extension has already been granted to avoid that outcome. Being on probation means that the student’s financial aid will be discontinued. Another extension could be requested, and that would support the professor’s commitment to the student. However, the professor believes that will only postpone the inevitable, which would violate the principle of being honest with students. What to do? Such decisions are not easy, and intuitions can often be misleading. Passionate and dedicated students can often far surpass one’s expectations.

The framework of ethical decision included herein is encapsulated in the Educratic Oath (see below). While specific categories and contexts are not mentioned, the general notion of doing no harm and respecting individual rights includes (a) not being persuaded by money but being persuaded by evidence, (b) recognizing that not every solution helps every student, (c) being fair to all while providing as much support for individual initiative as possible, (d) considering what is best in the long run for learners, teachers and the institution, (e) recognizing the impact of introducing any change into an educational context. In other words, this is intended to be the basis for a broad ethical decision-making framework.

Professional ethics statements

The international board of standards for training, performance and instruction (ibstpi) periodically conducts large-scale surveys of practice in a number of education professions (e.g., evaluation, instructional design, instructor, online learner, training management) that form the competencies and performance standards for the discipline. With regard to instructional design, there is one competency statement in the foundations area that ibstpi included in spite of lack of strong support from surveys – namely, identifying and responding to ethical, legal, and political implications of design in the workplace (Koszalka et al., 2013). It is worth noting that while AECT and ibspti place strong emphasis on ethical practice, that emphasis is not as evident in other educational technology associations (see, for example, the standards of the International Society for Technology in Education at http://www.iste.org/standards/standards).

The American Psychology Association has a set of principles and code of conduct that begins with five principles or values: (a) beneficence and nonmaleficence, (b) fidelity and responsibility, (c) integrity, (d) justice, and (e) respect for people’s rights and dignity (APA, 2010a). Section of the APA code of conduct pertains to education and training and has been considered in developing the educational technology ethical framework to be presented below. The APA publication manual (APA, 2010b) also has ethical guidelines pertaining to authorship—namely, authorship should include all those who have made a primary or significant contribution to the data collection, concepts, and interpretation of work to be published, including those who do not do the actual writing. Unfortunately, there are far too many violations of that ethical standard pertaining to authorship in the educational technology professional and scholarly community.

The Educratic oath

There is a great deal of commonality among the various ethics statements just reviewed. They bear a remarkable similarity to the Hippocratic Oath (attributed to a Greek physician who lived in the fifth century BCS; see https://www.nlm.nih.gov/hmd/greek/greek_oath. html for the original version and http://guides.library.jhu.edu/c.php?g=202502&p= 1335759 for a modern version). While the first principle of the Hippocratic Oath is often cited as ‘‘do no harm,’’ that statement did not appear in the version attributed to Hippocrates. Nonetheless, that phrase does capture a general of medical practice in ancient Greece that still exists today.

Based on an interpretation of the Hippocratic Oath and the kinds of ethical principles reviewed above, Spector (2005) proposed a similar oath for educators, the Educratic Oath:

(1) do nothing to impair learning and instruction; (2) do what you can to improve learning and instruction; (3) base your actions on evidence that you and others have gathered and analyzed; (4) share the principles of instruction that you have learned with others; and, (5) respect the individual rights of all those with whom you interact. (p. xxxvi).

The Educratic Oath has not been widely embraced, nor has any other such ethical code for educators. As a result, Spector (2015) decided to move from principles, such as those in the Educratic Oath, to a more general concern with values. Figure 1 represents the values that might be associated with a learning environment effort.

One could take each of the values statements in Fig. 1 and develop specific principles that might represent how that value could be articulated. Regardless of agreeing or disagreeing with the values in Fig. 1, that framework is incomplete in many ways. First, it primarily represents an instructional design perspective. Second, it does not take into

Fig. 1 A values hierarchy for learning environments (adapted from Spector, 2015)

account the many activities in which instructional designers engage, nor does it take into account those with whom instructional designers interact nor any of the technologies involved. The next section takes up these shortfalls.

Educational technology practice

Recalling AECT’s definition of educational technology will provide pointers to those involved in educational technology and what they do. Those who facilitate learning and performance are involved (e.g., teachers, tutors, teaching assistants, coaches, etc.). Those who create technology resources and processes are involved (e.g., instructional designers, graphics artists, media specialists, writers, web designers, etc.). Those who manage those resources and processes are involved (e.g., lead instructors, department chairs, deans, technology coordinators, information specialists, etc.). Those who make use of the resources are involved (e.g., students). Those who conduct studies about the design, development, deployment, use and evaluation of the processes and resources are involved (e.g., researchers and evaluators). The educational technology community includes a number of sub-communities, disciplines, and people with different backgrounds, training and interests. Given the complexity of the AECT definition, as elaborated above, there is no such person as a representative educational technologist, just as there is no such person as a representative nurse. There are emergency room nurses, oncology nurses, pediatric nurses, neonatal nurses, and so on. Nurses interact with other nurses, physicians, patients, family members, and others. Educational technology is at least as complex in terms of sub disciplines and specializations as is nursing. The implication is that the ethical principles and kinds of ethical decision making involved are likely to be specific to a particular context.

If one considers the sub-discipline of instructional design and what has been written about instructional design practice, one will not find much with regard to ethics other than AECT’s ethical standards and the one ibstpi competency referred to earlier that also includes adherence to legal standards as well as ethical standards (Koszalka et al., 2013). The importance of values is emphasized in Spector’s (2005, 2015) works and values are mentioned briefly in a few chapters in the Handbook of Research on Educational Communications and Technologies (Spector et al., 2013). However, in major treatments of instructional design practice, there is very little discussion of ethics or values (see, for example, Dijkstra, 2004; Larson & Lockee, 2014; Merrill, 2013; Reigeluth, 1983). In the influential roadmap for education technology (Woolf, 2010), there is no mention of ethics or values. Yet the digital divide remains a reality and is prioritized in the 2016 National Education Technology Plan (see http://tech.ed.gov/files/2015/12/NETP16.pdf). Surely the digital divide involves ethical issues due to the fact that some students (especially those without access to new technologies or with little experience in using advanced learning technologies) are falling further and further behind as new technologies are integrated into teaching and learning. While educational technologists are generally well-intention ed and seek to promote learning and improve instruction, it often happens that the introduction of a new technology will have a negative impact on some students as well as some teachers. Planning to minimize negative impact and properly supporting both students and teachers when introducing a new technology should be a high priority for educational technologist.

As new technologies emerge at an increasing rate, an educational technologist may decide to try something new just because it can be done. The operational outlook should not be ‘‘because we can.’’ The educational technologist’s motto should be ‘‘because we can do better for all involved.’’ Adhering to that creed requires taking an evidence-based approach rather than one based on fads and fancies.

A preliminary educational technology ethics framework

Figure 2 provides a somewhat deeper framework for thinking about ethical issues involving educational technology. This framework is intended to be a starting point for further development and exploration of the usefulness of such a framework for educational technology ethics.

There are three interacting dimensions in this framework: values, principles and people. Two additional dimensions are relevant but not depicted: context (e.g., school, university, workplace, culture, country, regulatory environment, etc.) and technology (e.g., specific technologies and their intended use and purpose). If the simplified framework presented here gets those involved with educational technology to think more seriously about the ethics of practice and research involving educational technology, then this framework is perhaps a step forward.

To encourage the progressive development of this framework, an elaboration of the intersection of these three dimensions is provided: (a) students in the people dimension, (b) evidence in the values dimension, and (c) the ethical principle of being fair and open in assessing and evaluating progress. The intersection of these three dimensions in the framework is one that is commonly encountered and, as a consequence, perhaps useful as a starting point for further elaboration.

Suppose the context is a public high school course that involves history. A major portion of the grade in that course is a student-authored paper analyzing and discussing the causes of World War II. The technologies involved include the internet, media and word processing. Students are required to (a) include links to at least three internet sites that provide different analysis of the causes, (b) include a figure or diagram that represents the resolution of the differences among a variety of perspectives, and (c) submit the final paper as a PDF file to an online learning management system. The instructor has provided

Fig. 2 A preliminary educational technology ethics framework

students with a rubric that indicates how the paper will be graded. The rubric includes requirements such as due date, length, format, required components (e.g., overview, perspectives explored, differences and similarities among those perspectives, etc.), how the quality of each requirement will be determined, and the weight assigned to each of the requirements. Additional notes in the syllabus are provided with regard to plagiarism and other related matters.

The rubric is in the course syllabus and students have been given frequent reminders. Specific drafts of the major components (overview, internet sites found, etc.) have been assigned along the way and feedback on those drafts provided to students. In short, the instructor has created a clear and coherent course plan that includes emphasis on evidence to be used in assessing the final paper.

Student Y has received a failing grade based on making use of another’s work without credit or citation. The student claims it was a simple oversight and is asking the instructor to be given another chance to correct the problem in order to get a passing grade that is required for graduation. What specific ethical issues and principles are involved?

There is the value of making evidence-based decisions, and the evidence of plagiarism in this case is clear. There is the principle of making open and fair assessments. The rubric was well known in advance as was the penalty for plagiarism. Other principles are also involved. The instructor did establish clear and specific goals and expectations. The student failed to recognize the contributions of others. More fundamentally, the instructor has an obligation not to disadvantage others who may want a second chance to improve a grade.

The decision of the instructor to stand by the grade seems to be ethically defensible and perhaps obvious. However, there is a consequence for the student that may be harmful— namely, failure to graduate. Due to the failing grade, the student may be severely punished by a parent or drop out of high school. This instructor happens to know the student’s parents and is aware of some abusive treatment. In addition. The instructor knows with whom the student associates and how well the student has done in other courses. The instructor believes this student could be successful in college and would like to see the student continue education after high school.

Given that knowledge, the instructor now confronts an ethical dilemma—namely, promote benefits and minimize deficits for this student or make fair and open assessments for all students. As Jonassen (2007), ethical dilemmas are challenging. For some, this situation may not seem like a dilemma, but for others it may well be a difficult decision making process. Regardless of how one may perceive this imagined situation, it is clear that the instructor should not decide based on what is easy or convenient for the instructor. What is best for this and other students should be the primary consideration. What might be good for oneself is seldom the primary ethical perspective. Ethical decision making is often other directed rather than being self-directed. There is a self-directed aspect to ethical decision making, however. Basically, that aspect involves reflecting on the kind of person one is becoming on account of the decisions and choices one is making.

Concluding remarks

Some will be inclined to say that this approach to ethics in educational technology is unnecessary or is making something that is quite simple more complex than it needs to be. Ethical decision making in any aspect of life is quite challenging and complex. Ethical decision making should be introduced early and often in the development of a child.

Simply adhering to a law, rule, policy, or guideline involves no ethical decision making. Recognizing the many interacting aspects of a situation is a step toward understanding how different people, values and ethical principles might guide desirable behavior and the responsible conduct of using and studying educational technologies. A suggested earlier in this paper, the attitude that might inform values and ethical principles is the notion that we can do better with regard to supporting learning, improving instruction and understanding how best to make effective use of educational technologies. We can do better.

References

APA. (2010a). Ethical principles of psychologists and code of conduct. Retrieved from file:///C:/Users/jms/ Documents/PDFs/apa-principles.pdf.

APA. (2010b). The publication manual of the American Psychology Association. Washington, DC: American Psychology Association.

Dijkstra, S. (2004). Theoretical foundations of learning and instruction and innovations of instructional design and technology. In N. M. Seel & S. Dijkstra (Eds.), Curriculum, plans and processes of instructional design: International perspectives. Mahwah: Lawrence Erlbaum.

ICN. (2012). The ICN code of ethics for nurses. Retrieved from http://www.icn.ch/images/stories/ documents/about/icncode_english.pdf.

Januszewski, A., & Molenda, M. (Eds.). (2007). Educational technology: A definition with commentary (2nd ed.). New York: Routledge.

Jonassen, D. H. (2007). Toward a taxonomy of meaningful learning. Educational Technology, 47(5), 30–35. Koszalka, T., Russ-Eft, D., & Reiser, R. (2013). Instructional design competencies: The standards (4th ed.). Charlotte: Information Age Publishing.

Larson, M. B., & Lockee, B. B. (2014). Streamlined ID: A practical guide to instructional design. New York: Routledge.

Merrill, M. D. (2013). First principles of instruction: Identifying and designing effective, efficient and engaging instruction. San Francisco: Wiley.

Reigeluth, C. M. (Ed.). (1983). Instructional-design theories and models: An overview of their current status. Hillsdale: Lawrence Erlbaum Associates.

Spector, J. M. (2005). Innovations in instructional technology: An introduction to this volume. In J. M. Spector, C. Ohrazda, A. Van Schaack, & D. A. Wiley (Eds.), Innovations in instructional technology: Essays in honor of M. David Merrill (pp. xxxi-xxxvi). Mahwah: Erlbaum.

Spector, J. M. (2015). Foundations of educational technology: Integrative approaches and interdisciplinary perspectives (2nd ed.). New York: Routledge.

Spector, J. M., Merrill, M. D., Elen, J., & Bishop, M. J. (Eds.). (2013). Handbook of research on educational communications and technology (4th ed.). New York: Springer.

Woolf, B. P. (Ed.). (2010). A roadmap for education technology [National Science Foundation Grant#0637190]. Washington, DC: National Science Foundation.

Yeaman, A. R. J. (2016). Competence and circumstance. TechTrends, 60, 195–196.

  1. Michael Spector is a Professor and Former Chair of Learning Technologies at the University of North Texas. He earned a Ph.D. in Philosophy from The University of Texas at Austin. His research focuses on intelligent support for instructional design, assessing learning in complex domains, and technology integration in education. Dr. Spector served on the International Board of Standards for Training, Performance and Instruction (ibstpi) as Executive Vice President; he is a Past President of the Association for Educational and Communications Technology as well as a Past Chair of the Technology, Instruction, Cognition and Learning Special Interest Group of AERA. He is editor of Educational Technology Research & Development and serves on numerous other editorial boards. He edited the third and fourth editions of the Handbook of Research on Educational Communications and Technology, as well as the Encyclopedia of Educational Technology, and has more than 150 publications to his credit.

 

Educational Technology Research & Development is a copyright of Springer, 2016. All Rights Reserved.

• What influence does a merger of two companies have on the SF of their PCMS system?

PART ONE: To be completed by the student

Module code: DB8003
Student name:  
Student number:  
Cohort:  
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Date Due:
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PART TWO: To be completed by the marker
Feedback – with reference to assessment criteria and suggestions for improvement

 

An excellent assignment. Very well and clearly structured with concise and convincing arguments.

You demonstrate very good understanding of the different paradigms and come to your own conclusion with regards to your own position.

Well and extensively referenced throughout. Am I right in assuming that you have not read all sources in the original? Sometimes, you indicate that you reference an author by way of another one. Please do this consistently throughout. This is good practice.

 

Well done, keep going and all the best for the next assignment and the thesis as a whole.

Grade : S

Performance: A

I have reviewed this paper and agree with the first markers view. A well thought out and constructed assignment.

 

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Date sent out:_______________ Sent to:____________________ Expected return date: __________

 

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MARKING CRITERIA FOR DBA (taught component) ASSIGNMENTS –

This is a guide, not prescriptive nor a mechanical aid to grading. Some aspects, such as research methodology, may not be relevant to all assignments. The grid is a potentially useful starting point for discussion about assignment requirements. Students should ask tutors if there is anything in the grid – or in the attached comments – which they do not understand or is there is additional guidance. Please note – final overall grading is either Satisfactory (S) or Unsatisfactory (UF)

Criteria Grade – S Grade – S Grade – S Grade – S Grade – UF Grade – UF
Performance: A Performance: B Performance: C Performance: D Performance: Redeemable Performance: Fail
Organization

 

Structure

 

Focus

 

Organization of argument

Excellent structure

 

Original/imaginative; high quality selection of material

Very clear focus throughout, clarifying complex issues

Persuasive articulation of argument, displaying academic rigour and scholarly style

Clear structure

 

Well-argued selection of key issues

Very clear focus throughout

Argued fluently throughout

 

Structure adequate but with some limitations

Major issues identified

 

Clear focus throughout

 

Argument cogent and clear throughout

Structure adequate but with limitations

Some major issues identified

Clear focus throughout the majority of the piece

Argument mainly cogent and clear

Limited organization of material, but structure implied

Issues relevant but with minor gaps

Clear but rather limited focus

Reasonable line of argument; occasional inconsistencies/omissions

Poor organization of material obscures the sense of the writing

Some key issues missed

 

Unclear focus, meanders from topic to topic

Tendency to incoherence of argument

Critical appraisal of literature

 


Use of quotation

 

Sources

Scholarly evaluation of the literature

Persuasive and original use of relevant quotation; effective & appropriate use of paraphrase

Impressive and original use of a wide range of relevant and current sources

Substantial and consistent critical appraisal of literature

 

Consistently apposite use of relevant quotation and paraphrase

Shows originality in choice and range of sources; relevance to context consistently considered

Evidence of critical appraisal of literature, though not consistent throughout; some recognition of different perspectives

Effective use of relevant quotation; some suitable use of paraphrase

A variety of sources used effectively to support points; context usually, but not always, taken into account

Evidence of critical appraisal of in relation to part of the literature, limited recognition of different perspectives

Some effective use of quotation; modest use of appropriate paraphrase

A variety of sources used to support points; context sometimes taken into account

Limited criticality; breadth of possible perspectives not explicitly recognized

 

Some relevant use of quotation; inconsistency in quality/use

 

Uses sources in a limited way to support arguments; relies too heavily on single sources

Literature discussed but with insufficient critical engagement

 

Inappropriate choice and/or insufficient use of quotation

 

Very narrow range of sources; barely goes beyond recommended sources; outdated sources

Depth of Understanding

 


Evidence

 

Interpretation and critical analysis

 

Argumentation

 

Impressive and original depth of understanding of topic

 

Highly reflective use of evidence; creation of effective argument in the absence of complete data

Highly critical and reflexive analysis

 

Convincing synthesis of evidence, analysis and understanding, demonstrating informed judgement on complex issues

Thorough and comprehensive understanding of topic

Considered weighing of evidence

 

Thorough and sustained critical analysis

 

Convincing synthesis of evidence, analysis and understanding in argumentation

Thorough but not comprehensive understanding of topic

 

Arguments sustained by reference to relevant evidence

Issues and theories usually, though not  always, considered critically

Credible argument making good use of evidence, analysis and understanding

Clear understanding of topic

 

Arguments usually sustained by reference to relevant evidence

Issues and theories usually considered though not  sometimes not critically

Credible argument making use of evidence, with some analysis

Conversant with topic but minor gaps or errors

 

Some use of evidence; tendency to express unsupported assertions

Limited interpretation; limited critical analysis

 

Reasonably well argued discussion of topic

Conversant with topic but serious gaps or errors

 

General lack of evidence in supporting arguments

 

Insufficient evidence of deep understanding; insufficient critical analysis

Inconsistent argumentation and/or lack of clarity

Presentation

 

Referencing

Presentation of consistently high quality

 

 

Referencing is always correct

Well presented; typos/errors in punctuation etc. are rare

 

Referencing is always correct

Follows required presentational practices; a few typos/errors in punctuation or grammar

Referencing conventions are used, though occasionally incorrectly

Follows required presentational practices; a few typos/errors in punctuation or grammar

Referencing conventions are used, though incompletely

Usually follows required practice but with some issues to be addressed e.g. typos, punctuation

 

Referencing is variable in quality

Has not followed required conventions; poor proof-reading

 

Many errors in referencing

 

Methodology

(criteria only apply where relevant to assessment task)

Critical appraisal of research design

 

 

Methods and procedures

 

 

Synthesis of analysis with literature

 

Assured and critical discussion of methodology and implications

 

 

Critical and reflexive appraisal of overall research design; shows secure understanding of ethical academic enquiry

 

Displays highly critical, reflective understanding and analysis of methods and procedures used

 

Reflective discussion of convergence/divergence of research findings in context of literature

Clear discussion of methodology, showing understanding of implications

 

Clear critical appraisal of overall research design

 

 

Displays critical understanding and analysis of methods and procedures used

 

Consistently relates and discusses convergence and divergence of findings from research literature

Discussion of methodology, showing awareness of implications

 

Critical analysis of overall research design

 

 

Displays clear understanding and analysis of methods and procedures used

 

Usually provides appropriate discussion of convergence and divergence of findings from research literature

Limited discussion of methodology, though showing awareness of implications

 

Some critical analysis of overall research design

 

 

Displays an understanding and some analysis of methods and procedures used

Some appropriate discussion of convergence and divergence of findings from research literature

Some awareness of research methodologies and their implications

 

 

Critique of research design attempted, with some inconsistencies

 

 

Reasons for choice of methods and procedures stated

 

Limited discussion of convergence and divergence of findings from research literature

No clear evidence of understanding research methodologies

 

 

Poor critique of research design

 

 

Methods and procedures explained, but no reason for choice given

 

Insufficient discussion of convergence and divergence of findings from research literature

 

Submitted in partial fulfilment of the requirements for the degree of

Doctorate in Business Administration

Methodological fundamentals:

Strategic fit of product cost management systems from the perspective of realism, constructionism and interventionism – a paradigm simulation

 

(summative)

 

 
Module code: DB8003 (Summative hand in)
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Student number:  
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PART ONE: To be completed by the student

Module code: DB8003 (Summative hand in)
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Student number:  
Cohort:  
Adviser:  
Date Due:
Submission Date:
 
Extension Date:  
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PART TWO: To be completed by the marker
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Table of Contents

 

Abbreviations                                                                                                                                                    2

List of figures                                                                                                                                        2

List of tables                                                                                                                              2

Abstract                                                                                                                                                             3

1 Introduction                                                                                                                           4

  • Allocation of research perspective debate in research process                   4
  • Assignment goal and structure              5

 

  • Brief overview about research philosophies                                      7
    • Historical background               7
    • Framework to describe research paradigms               8

3 Paradigm simulation on strategic fit of product cost management systems                       12

  • Realist perspective   12
    • Description of realism and selection of traditional realism 12
    • Impact on understanding of research problem, design and researcher’s skills   14
    • Contribution to knowledge   16
  • Constructionist perspective   17
    • Description of constructionism and selection of social constructivism 17
    • Impact on understanding of research problem, design and researcher’s skills   18
    • Contribution to knowledge   20
  • Interventionist perspective   21
    • Description of interventionism and selection of action research 21
    • Impact on understanding of research problem, design and researcher’s skills   22
    • Contribution to knowledge   24
  • Conclusion                                                               25
    • Summary reflections on paradigm simulation   25
    • Impact on choice of approach   26

References                                                                                                                                28

Annex                                                                                                                                        37

Declaration of original content                                                                                                39

Abbreviations

 

PCM: Product cost management

PCMS: Product cost management system/s

PCS: Product cost strategy

SF: Strategic Fit

 

List of Figures

Figure 1: Research process as Martini Glass                                                                             5

Figure 2: Structure of assignment                                                                                               6

Figure 3: Development of research perspectives                                                                   7

Figure 4: Framework with simplified stereotype research perspectives                                      10

Figure 5: Framework to describe research paradigm impact                                             11

Figure 6: Selected research perspectives for assignment                                                     12

Figure 7: Conception of a traditional realist research approach                                        13

Figure 8: Traditional realist background of research topic                                                  14

Figure 9: Sketch of a PCM-Strategy-Fit Matrix                                                                        16

Figure 10: Conception of a social constructionist research approach                              18

Figure 11: Conception of an action research approach                                                        22

List of Tables

Table 1: Impact of research approaches on research problem

Abstract

The purpose of this assignment is to present three alternative research perspectives on the strategic fit (SF) of product cost management systems (PCMS). Specifically, it explores the view of a realist, constructionist and interventionist research philosophy.

In order to develop a joint understanding of terms and meanings in the paradigm debate, a brief historical and terminological foundation is conceptualized prior to the paradigm simulation, applying four dimensions of research: ontology, epistemology, axiology and methodology.

For each perspective then, its impact on research problem and research design is outlined as well as the influence on researcher values and required skills to execute each research design. Explicitly, light is shed on the background of the research topic, the general rationale and purpose of the research, the concrete goal of the research project and the research questions / hypotheses as well as on the research process, applied methodology and the stance towards data. The investigation of the contribution to knowledge ends each paradigm simulation.

Reflections of the observed differences conclude the paradigm simulation enclosing the exposure of the impact on the potential choice of approach supporting Feyerabend’s theoretical pluralism for the research area overall and a pragmatists, purpose-related standpoint for the concrete research project.

1  Introduction

1.1 Allocation of research perspective debate in research process

Research implicitly or explicitly follows a certain process in order to reach the research goal. However, within this process the researcher comes along various decision points how to conduct the research (Burke, 2007; Creswell, 2013), which leads to multiple variations of research procedures impacting the research result and quality (Lee & Lings, 2008, p.5). Questions of subjective or objective research philosophies, deductive or inductive approaches, as well as qualitative or quantitative methods are, amongst others, debated (Ahrens, 2008; Baard, 2010; Fleetwood, 2005; Jönsson, 2010; Moses & Knutsen, 2012; Nonaka & Peltokorpi, 2006).

Although reality shows that research is not a linear but an iterative, spiral or even somewhat messy process (Bryman & Bell, 2015, p.15/87; Lee & Lings, 2008, p.8) several authors argue that there are certain indicators for an ideal research practice.

In terms of process sequence Guba and Lincoln (1994, p.105) hold the opinion that issues regarding research methods are less important to issues regarding research philosophies. Holden and Lynch (2004, p.2) propose that research should not be methodologically led but based on a defined philosophical stance considering the purpose of the researcher, which makes the research process a matter of individual, purpose-related, choice.

Scholars such as Aliyu, Bello, Kasim, and Martin (2014, p.86) point out another aspect of the research process, the appropriate matching of different research steps. They claim that epistemological and ontological choices have to match, which supports the statement that it is important to make philosophical backgrounds of research explicit (Wahyuni, 2012, p.69) as it guides the behaviour of the researcher (Jonker & Pennik, 2010; Lee & Lings, 2008, p.4/5).

Synthesising the various inputs from scholars, the process model shown in figure1 can be derived. It combines a process flow as proposed by Saunders, Lewis and Thornhill (2009, p.11) with the logic of a “progressive narrowing of the topic” (Hart, 2014, p.13), visualized by a “Martini Glass” (Braun, n.d., p.1).

Starting point of this assignment is the research topic “Strategic Fit (SF) of Product Cost Management Systems (PCMS)” as formulated in the Literature Review Assignment. Next step is to define the research philosophy with its implications on the research design. This decision should be prepared with this assignment.

  • Assignment goal and structure

In agreement with Connell and Nord (1996, p.408) there is no general right or wrong of research philosophies and choices have to be justified in each single research case (Aliyu et al., 2014, p.87).

Therefore the assignment has the goal to help define and justify the research philosophy for the dissertation on SF of PCMS as part of management science. Sub goals to do so are to understand the different philosophies first (Lee & Lings, 2008, p. 49/50). Second, the developed understanding should help to advocate the selected research perspective and the choices related to its alternatives (Johnson & Clark, 2006). Finally, it should open up the mind and enhance confidence in the selected approach (Holden & Lynch, 2004, p.13) in order to ensure the quality, e.g. relevance and rigour, of the research undertaken (Aldag & Fuller, 1995; Schön, 1995).

The assignment structure follows a four-step logic. First, the foundation for understanding the major philosophical research perspectives is laid in section 2. Afterwards, three research perspectives are critically described with their impact on the understanding of the research problem and research design, the researcher’s values and required skills as well as their contribution to knowledge in section 3. Summary reflections on the paradigm simulation and its impact on the choice of approach end this assignment in section 4.

Should section 3 be differently labelled in this figure?

2  Brief overview about research philosophies

2.1 Historical background

For the purpose of this assignment a short summary about research perspectives and how they emerged (illustrated in figure4) is given prior to the more detailed exploration of three selected research perspectives in order to develop an understanding of the author’s wording.

As Goles and Hirschheim (2000) state, there are “two essential problems in science”            (p.250), the questions of “how do we know what we know” and “how do we acquire knowledge”, which are addressed by different research perspectives.

Whereas in natural science the positivist view is pre-dominant, in social science the situation is not that clear to answer and subject for debate (Fendt, Kaminska-Labbé, & Sachs, 2008). The positivist view claims that there is an objective reality / truth independent from the researcher, which can be measured in order to gain knowledge, whereas non-positivists, especially in social science, argue that knowledge is conditional, relative and therefore subjective (Aliyu et al., 2014, p.81/82). For social science, post-positivists developed alternative views on research philosophies, trying to create more suitable approaches for research (Aliyu et al., 2014, p.83/84).

Seminal works of Kuhn (1962) or Burrell and Morgan (1979) have stimulated a controversy and ongoing debate about competing research paradigms as alternatives to the positivist view, cumulating in what is nowadays called the “paradigm war” (Datta, 1994; Klaes, 2012; Shepherd & Challenger, 2013; Tashakkori & Teddlie, 1998). Tsoukas exemplifies this debate with the discussion between Ansoff (1991) and Mintzberg (1990, 1991) about strategy knowledge, positioning Ansoff as mechanistic and Mintzberg as a contextualist (Tsoukas, 1994, p.761). This example illustrates the meaning of a paradigm in Kuhn’s sense to share basic assumptions about core beliefs and values in research as well as e.g. “unspoken norms, taken-for-granted assumptions, and implicit codes of conduct” (Anderson, 1998, p.32).

Baum and Dobbin (2000, p.390-391) list major benefits of a common ?? paradigm in science referring to authors such as Pfeffer (1993), which can be summarized as to facilitate scientific progress, e.g. in terms of easier communication, evaluation of results or coordination of research activities.

As one trigger for the intensive debate about and diverse advancing of research paradigms was Burrell and Morgan’s claim about the incommensurability of paradigms (Shepherd & Challenger, 2013, p.225), two ways to overcome have been added to the paradigm debate: multi-paradigm perspectives (Gioia & Pitre, 1990) and paradigm interplay (Schultz & Hatch, 1996). Both views claim that a single research perspective might be too narrow to comprehensively cover the complexity of social reality (Feyerabend, 1985; Willmott, 1993). Tashakkori and  Teddlie finally see pragmatism as an attempt to make use of “whatever philosophical … approach … works best for the particular research” (1998, p.5), with the specific, individual research topic as starting point as the opportunity to end the pointless paradigm war (Goles & Hirschheim, 2000).

2.2 Framework to describe research paradigms

Although paradigms have been and still are heavily debated, to date there is no common agreed definition but a widespread, sometimes confusing, use of the term “paradigm” and their characteristics with different meanings (Guba, 1990a, p.17; Mkansi & Acheampong, 2012), rooting back to Kuhn himself, who used the term with more than 21 different meanings (Masterman, 1970). On the opposite, as Hassard (1988, p.248) states, synonyms for the term “paradigm”, such as “perspective”, “school”, “discipline” or “worldview” have randomly been used and applied, reflecting the “individual nature of paradigm-building” (Lincoln, 1990, p.67; Charmaz, 2008). Taking up this practice, within this assignment paradigm, philosophy, approach and perspective are used as synonyms, whereas other terms are avoided for the purpose of simplification.

Resuming the two essential problems in science concerning knowledge and how to gain knowledge as mentioned above, research paradigms can be described using mainly four different “ologies”, which are, with different emphasis, used by scholars: ontology, epistemology, axiology and methodology (Easterby-Smith et al., 2012, p.17ff.; Mouton & Marais, 2003; Neuman, 2014, pp.91-124; Sobh & Perry, 2006).

Ontology is consistently defined as to be concerned about the scientist’s assumptions about “the nature of reality” (Lee & Lings, 2008, p.11; Saunders et al., 2009, p.110; Easterby-Smith et al., 2012, p.17). In doing so, it forms the basis for most debates on research perspectives and is the core of a researcher’s set of beliefs. Saunders et al. (2009, p.110) simplify the ontological debate, being framed between objectivist and subjectivist views. Proponents of the objectivist view claim that the nature of reality is independent of our individual perception, so that an objective reality exists “out there” (as a dictum), whereas advocates of the subjectivist view hold the opinion that reality is (mind-inter-)dependent and created by humans’ perceptions (Holden & Lynch, 2004; Sayer, 2000, p. 2).

Epistemology should derive from an ontological position (Lee & Lings, 2008, p.11) and describes ways how to inquire the nature of the world, being stereotyped with positivism and constructionism (Easterby-Smith et al., 2012, p.21/22). Remenyi, Williams, Money, and Swartz (1998, p.32) explain positivism as aiming for observable and measurable inquiry of the reality leading to law-like generalisations, comparable with outcomes of the natural sciences. The opposing stereotype, constructionism, emphasises “on the ways that people make sense of the world especially through sharing their experiences” (Easterby-Smith et al., 2012, p.23) leading to the appreciation of different interpretations and meanings of individuals.

Axiology should also be aligned with the other “ologies” and addresses “in essence … the ‘aims’ of your research”, “the overriding goal” (Lee & Lings, 2008, p.11/59), what is valued by the researcher and whether or not researcher’s values play an important role in the research (Saunders et al., 2009, p.117). In a nutshell, a researcher either aims for explanation and prediction of the reality, which is value-free, or alternatively for understanding and description of the reality, value-bound, taking a corresponding etic or emic position towards research (Wahyuni, 2012, p.70).

Methodology finally completes the description of different perspectives by most commonly distinguishing quantitative and qualitative approaches (Bryman & Bell, 2015; Lee & Lings, 2008, p.12) describing two ends of a continuum with mixed methods approaches in between but without a “discrete” distinction (Creswell, 2013, p.3). An alternative scheme to classify methodological approaches is to separate nomothetic ways of inquiry and ideographic methods (Holden & Lynch, 2004, p.5), the latter one more matching with qualitative, the first one more resembling the quantitative approach.

Figure4 illustrates in a simplified dichotomous way (Zuber-Skerritt, 2001, p.5) two stereotype research perspectives, indicating that each stereotype combines in a meaningful way the peculiarities of ontology, epistemology, axiology and methodology.

Nevertheless, it has to be underlined that this introductory section on research perspectives aims only to prepare the ground for the in-depth paradigm simulation by defining structure, content and wording. More detailed explanations or debates (e.g. Baert, 2015; Guba, 1990b, Morgan & Smircich, 1980) are left out due to space limitations.

To complete the framework for this assignment, next to the research perspectives and how to describe them in a meaningful way, key dimensions of what they impact in terms of understanding of the research problem and design should be explained prior to the investigation in the next section.

At the same time it can be stated that debates about what aspects to include or not when outlining the impact are less intense compared to the paradigm debate and thus less discussed in this assignment. Comparing e.g. text book structures / frameworks from Easterby-Smith et al. (2012), Saunders et al. (2009) and Hallebone and Priest (2009), it can be concluded that they share similar and overlapping aspects.

Hence, in terms of understanding of the research problem, attention in this assignment is directed mainly to the background of the research topic, the general rationale / purpose of the research, the concrete goal of the research project and the research questions / hypotheses to be developed. Besides this, the impact on research design will be detailed with emphasis on research process, applied methodology, approach towards data and researchers values. Finally, a glimpse into the two major required skills for each approach is taken. These key elements of the assignment are illustrated in figure5.

Importantly it is stated, that the description of these aspects in the paradigm simulation in section 3 does not qualify for three distinct and completely cohered research proposals one after the other. Conversely, the examples within one paradigm are loosely, if at all, connected in order to elucidate the differences between the different paradigms selected.

3  Paradigm simulation on strategic fit of product cost management systems

From the variety of different research perspectives, three have been selected (see Annex: Assessment brief) in order to develop a first glimpse into their implications on the research topic SF of PCMS. These three philosophies are the realist, the constructionist and the interventionist perspective.

For all three, as a first step, a general description of the specific perspective is outlined prior to the selection of one particular sub-perspective. Afterwards their impact on the understanding of the research problem and the research design and the researcher’s skill is explained, followed by a description of their potential contribution to knowledge.

3.1 Realist perspective

3.1.1 Description of realism and selection of traditional realism

Realism in social sciences has “as an approach with its own specificity … developed since the mid-1970s” (Burrows, 1989, p.46) with Bhaskar (1975, 1986) as one of the early proponents and influencing authors. Ackroyd and Fleetwood state that “entities exist independently of us and our investigations of them” (2000, p.6), indicating that it is the objectivist ontological position which distinguishes the realist paradigm from other paradigms.

 

Whereas this ontological position coheres realist scholars, the epistemological stance is “relatively open or permissive” (Sayer, 2000, p.32) although not ignored (Ackroyd & Fleetwood, 2000, p.6). While traditional (classical, naive) realists claim that only observable / measureable phenomena can create knowledge by focussing on causality and law-like generalisations, internal realists hold the opinion, that reality cannot be observed directly and only indirect evidence can be generated (Easterby-Smith et al., 2012, p.19; Wahyuni, 2012, p.70). Consequently, observations and measurements on the empirical domain can be misleading, so that explanations of mechanisms and contexts are included (Saunders et al., 2009, p.119; Wahyuni, 2012, p.70).

 

In terms of axiology realist perspectives are either value-free (traditional, classical, naive realism) or value-laden (critical realism) if the research “is biased by world views, cultural experiences and upbringing” (Saunders et al., 2009, p.119). The latter holding an intermediate position between value-free and value-bound as it corresponds to the ontological position that there is an external, objective reality, however interpreted and therefore biased by researchers. Indeed, critical realism “acknowledges differences between the real world and their particular view of it” (Sobh & Perry, 2006, p.1200), while traditional realists, focussing on causality and law-like predictions, consequently have to adopt a value-free, etic position in order to advocate the independence of reality from the researcher (Wahyuni, 2012, p.70).

Methodology in realism paradigms finally either emphasises quantitative, nomothetic approaches (e.g. for traditional realists to proof the developed law-like generalisations) or, as critical realists do, also make use of qualitative techniques, when focussing on the explanations within a context (Wahyuni, 2012, p.70). Methods such as forecasting research, laboratory experiments, large-scale surveys, simulations or stochastic modelling are core elements in realist’s research (Holden & Lynch, 2008, p.8)

In order to create a certain breadth in this assignment about paradigm simulation the realist perspective is selected which is most opposed to the constructionist or the interventionist view: traditional realism. In taking up the above outlined description of realism, the traditional realist can be characterised as shown in figure7.

3.1.2 Impact on understanding of research problem, design and researcher’s skills

Beginning with the impact on the research problem regarding the topic’s background, the traditional realist’s objectivist ontology implies the independent, actual existence of SF and PCMS as objective mental objects. The corresponding (post-)positivistic epistemological position furthermore entails the opportunity that these constructs are both, observable and measureable and, indeed, contribute to causality, impacting the performance of an organisation.

This causality can be expressed in a reductionist way stating: “If A fits to B, then C,” or more elaborated in a post-positivistic sense, which allows, next to strict causality of positivism or Poppers falsicism also correlations/probabilities (Creswell, 2013, p.7; Lee & Lings, p.31/32): “The better A fits to B the more likely is C”, A being the product cost strategy (PCS), B the product cost management configuration and C the company’s performance (figure8, adapted from Abernethy & Guthrie, 1994, p.53).

The rationale behind this understanding of the research topic is that even though it has been claimed by several authors that PCS influences the PCMS, there is a gap in existing knowledge in linking both and, moreover, create a normative conclusion towards the performance of a company. This normative conclusion, deriving from the traditional realist stance would then be the general purpose of the thesis. Taking up above introduced formula, connecting A, B and C together the characterising, normative and simplified law-like-generalisation: “If you want to achieve C (Performance), than A (PCS) and B (PCMS) have to fit” could be derived.

 

In order to continue the paradigm simulation, concrete goals of a traditional realist perspective accordingly could be, to…

  • …determine different levels of SF between PCS and PCMS
  • …define the correlation between SF of PCS and PCMS and company’s performance
  • …calculate the effect the fit of PCS and PCMS has on the performance of companies.

Subsequently, corresponding research questions and hypotheses could be derived as follows, starting with the research questions:

  • Which PCMS can be identified?
  • What is their SF fit to a defined set of product cost strategies?
  • What is the contribution to business performance of fitting PCMS vs. non fitting systems?

Hypotheses of a traditional realist can be exemplified with the following set:

H1: Product costs vary in their importance as strategic success factor over different cost strategies depending on different external factors

H2: The maturity level of PCM activities in companies varies over time and differs between companies.

H3: Comparing the specific importance of product costs and the corresponding maturity level of companies in PCM, there is no one-to-one correlation, but…

H3a: there are companies, being less mature in PCM than they have to

H3b: there are companies, showing an appropriate match between strategic relevance of costs and their actual PCM maturity level

H3c: there are companies, being more mature in PCM than they have to

H4: The better the maturity level fits to the importance of product costs as success factor, the better the performance of the company.

 

Continuing with the description of the impact of the chosen research perspective concerning the research design, the research process typically follows a hypothetic-deductive two-step-approach with prior theory first to develop a conceptual framework, possibly including generation of hypotheses, which then in step 2 are aimed to be confirmed (Holden & Lynch, 2008, p.8; Sobh & Perry, 2006, p.1201-1202).

With respect to methodology of the traditional realist (see e.g. Easterby-Smith et al., 2012, p.25/72), the verification of the hypotheses will be executed mainly making use of quantitative methods, possible defining dependent and independent variables. In the example given through the conceptual framework above, the independent variable could be the SF, whereas the dependent variable could be the business performance. For both, quantifiable measures have to be defined and a meaningful statistical procedure, e.g. regression analysis, to be developed to examine the relationship between the variables. The relationship normally would be tested in a survey with a defined sample according to adequate size (large) and structure (representative).

This set up already indicates the traditional realist’s stance towards data and his/her own values. As the data, is “out there”, independent from the research, the data can be collected with the appropriate measurements / methods, reducing the research topic to measureable variables. Data about the relationship between SF and business performance can be obtained from an external perspective, taking an etic position of the researcher and, as the relationship is independent from the researcher, the research is also value-free. It is the deterministic nature of the relationship between SF and performance of the classical realist approach why the researcher’s values do not matter, because reality is independent from the researcher.

This determinism is also one major influencing factor for the needed researcher’s skills. In order to set up adequate measurements and proper analysis, researchers must have conceptual expertise to operationalize the research questions, means to reduce the complex reality down to a few measurable entities. Furthermore, after having selected a meaningful analysis method the right conclusions from the collected data have to be drawn, which is also a competence, exclusive versus the two other paradigms due to the highly quantitative nature of the realist’s approach (Bryman & Bell, 2015, pp.157-387).

 

3.1.3 Contribution to knowledge

To discuss the contribution to knowledge of the traditional realist approach as described above, a potential outcome should be summarized first by charting a Strategy-Fit-Matrix which could be derived from the research questions / hypotheses (figure 9, Maxion, 2015).

In this matrix it is assumed for the momentthat the postulated fit between PCS and PCMS could be measured by comparing the importance of product cost as a strategic success factor and the maturity level of PCMS.

The contribution to theory would be twofold. First, to close the research gap of a currently missing PCMS described by different maturity levels, combining two sub aspects: The first sub-aspect as the explicit research on product costs as object of cost management (which has received comparably low attention so far) and the second as a comprehensive view on cost management instead of isolated investigation of single aspects to date. The second main contribution would be to extend the existing concept of SF to the field of product costs, which would, in turn, further advance this concept as part of research on strategic success factors.

 

The contribution to practice would be to develop a normative guide for managers how to configure PCMS in order to enhance business performance, representing three sub cases: define the proper PCMS, avoid excessive effort, as not necessary, or intensify efforts in order to meet the requirements from product costs being a strategic success factor. In doing so and to bring matters to the head of the traditional realist approach, the impact of the SF on the company’s performance could be indicated. Exemplary an ultimate finding of a dissertation according to the traditional realist approach could be: “Companies which show a SF between PCS and PCMS higher than X% achieve Y% higher EBIT, compared to companies with a SF less than X%”.

3.2 Constructionist perspective

3.2.1 Description of constructionism and selection of social constructionism

Constructionism as a research paradigm in social science emerged in the 1960s as a response to the criticism which was postulated against the positivist approach (Gubrium & Holstein, 2008, p.3; Lincoln, 1990). The fundamental difference lies in the subjectivist ontological position as opposed to the objectivist view of positivism or realism (Saunders et al., 2009, p.116; Neuman, 2014, pp.91-124). Moreover, this fundamental distinctive feature of constructionism is so outstanding, prompting Guba to claim, that constructionists “celebrate subjectivity” (1990a, p.17).

Although for constructionism it is difficult to provide a single definition due to the diverse use of similar / related terms such as constructivism or interpretivism, which are often used as synonym (Moses & Knutsen, 2012, p.9; Bryman & Bell, 2015, p.33; Hallebone & Priest, 2015, p.113; Greene, 1990, p.233), different “sub-perspectives”, such as hermeneutics, phenomology, foucauldian, social, discursive, critical constructionism or existentialism (Lee & Lings, 2008, p.60-64; Holstein & Gubrium, 2008) share same basic beliefs with regard to the four “ologies” (Gubrium & Holstein, 2008, p.5).

With respect to the ontological position of constructionism, the subjective character of this research paradigm is the belief that there is no objective, independent reality “out there” but that reality is constructed, interpreted and reconstructed by individuals (Chua, 1986, p. 615) or even, in an extreme position, only a “projection of human imaginations” (Morgan & Smirich, 1980, p.492). Thus there are multiple realities, dependent on the individuals’ interpretations, which are, on top, constantly changing (Saunders et al., 2009, p.119; Van der Meer-Kooistra & Vosselmann, 2012, p.251).

This subjectivist ontological belief of constructionism is then manifested in the epistemological position as the conditional, idiosyncratic nature of knowledge. Knowledge is context-related and ??? cannot be obtained by observing and measuring but by experience and reflection in relation to different contextual factors (Moses & Knutsen, 2012, p.10). Therefore the exploration of differences and differentiation is emphasised and not the aim to unify knowledge in law-like generalisation (Saunders et al., 2009, p.116).

The constructionist’s axiological view consequently is a value-bound position, taking an emic approach towards the research as the reality is not independent of the observer, but in contrast interpreted in interaction with the subjects being observed (Lee & Lings, 2008, p.60; Holden & Lynch, 2004, p.9). Not cause-and-effect to predict the reality but meaning-and-understanding to describe the reality are the researcher’s overarching goals. The central nature of the goal to understand reality in constructivism is condensed in the German term “verstehen” which is even used in the English paradigm debates to elevate the distinct focus of this approach (Lee & Lings, 2008, p.59). In doing so, the assumption is that the researched problem is best understood, if investigated comprehensively from different point of views and not if reduced to a few variables (Holden & Lynch, 2004, p.9).

To end the description of constructivism as research paradigm, the methodological aspect contains mainly qualitative, ideographic approaches but is not limited to those (Lee & Lings, 2008, p.65). Methods such as ethnography, game role / playing, participant-observer techniques or in-depth-interviews are allocated to constructionist approaches, stressing the emic and dialogic position of the researcher (Hallebone & Priest, 2009, p.35/76; Holden & Lynch, 2004, p.8).

Out of the various different constructionist sub-paradigms social constructivism is selected for the paradigm simulation as it is one of the paradigms which is highlighted as an opposing alternative to the dominant realist / functionalist paradigms in management science and organization studies (Samra-Fredericks, 2008, p.129). In taking up the above outlined description, the social constructivist can be characterised as shown in figure 10.

3.2.2 Impact on understanding of research problem, design and researcher’s skills

Applying the same categories as for the traditional realist perspective to illustrate the social constructionist’s impact on the research topic “Strategic Fit of Product Cost Management Systems” the background of the topic derives from the inherent subjective ontological stance. SF, seen from the perspective of social constructionism, is not a given mental object, independent from actors, neither is strategy or PCMS, but virtually a construct, interpreted by those various and multiple individuals which experience the SF.

Consecutively, due to the individuals’ different contexts and interpretations which are, on top, possibly interacting, SF is not seen as a constant but an evolving and multifarious phenomenon even more possibly occupying different meanings. These different interpretations and meanings of the idiosyncratic nature of SF are in focus of the researcher’s interest in terms of understanding and describing.

This background indicates as well the rationale and the purpose behind the topic. In order to understand the nature of SF, the researcher would deep-dive into the topic to gain an as comprehensive view as possible, investigating external and internal context factors of actors which impact or are impacted. Differences in meanings and interpretations would be explored in order to describe characteristics of SF – and not to predict it – as well as to generate theory, not to verify it.

The conceptual framework would considerably change compared to the traditional realist view. Not the causality would be the centre of the framework but the “verstehen” of the construct of SF.

In order to continue the paradigm simulation, concrete goals of a social constructionist perspective hence could be, to…

  • …explore the characteristics of SF of PCMS from the perspective of product management, controlling and engineering
  • …understand the perception of SF of PCMS by management functions and operations
  • …explain the emotional, cognitive and intentional implications of the SF of PCMS on product managers

 

Successively, corresponding research questions could be derived as follows:

  • Are there, and if, which, characteristics of SF of PMCS are perceived by different operational functions in companies?
  • How is the SF of PCMS evaluated by management / operational functions?
  • How does the SF of PCMS affect product manager’s behaviour?

Hypotheses would not be generated prior to the research but might be formulated as a result of the research, which is a matter of the research design, more specifically, the research process. For the social constructivist an inductive research process is in general characterised, as “the social constructionist ontology necessitates gaining data on how individuals construct reality” (Lee & Lings, 2008, p.65). Furthermore, a central iterative phase is characterising for social constructionism, including data generation and analysis, validation and synthesis (Hallebone & Priest, 2009, p.56/58). This iterative stage affects the process as a whole by making it impossible to plan the research process to the end; indeed, some parts of the research process would be open-ended (Easterby-Smith et al., 2012, p.73).

This iterative research process is mirrored in the methods by which the researcher interacts with the actors, typically dialogic methods such as interviews. This underlines the emic position of the researcher, his/her role and own interpretations of what interviewees or focus groups would express. Continuing with the research question examples, one might openly ask product managers about the implications of the SF of PCMS. This might lead to an interpretation of the researcher, to continue with a certain focus in a second row of interviews, e.g. emotional aspects as most answers / comments have been given related to “frustration”, “anger” or “satisfaction” towards working atmosphere.

With respect to data, in doing so, the social constructionist approach towards SF of PCMS would not exclude quantitative methods like in this case simple counting (Lee & Lings, 2008, p.65). Emphasis on the other side would be on the generation of qualitative “rich data”, based on small samples to contribute to the main purpose, the understanding of the construct of SF.

Finally, in the described set up of the social constructionist researcher, her/his values do play an important role. While interpreting the actors interpretation, the researcher brings in own meanings, own understandings which are biased by the researcher’s own contexts, creating an individual understanding from the value-bound position. Intentionally or not, the construct of SF of PCMS might be described from a point of view the researcher is most familiar with (Charmaz, 2008, p. 402).

The researcher’s skills, which are most unique versus those of the other two paradigms, derive from the distinct research focus of the social constructionist, meaning instead of measurement by interacting with others to condense their different interpretations. This suggests that the researcher should have a highly distinctive self-awareness, yet empathetic stance in order to avoid unintentional personal bias while interpreting other people’s interpretation of the world (Saunders et al., 2009, p.116). Secondly, the competence to sensitively recognize and work out what e.g. interviewees really mean, but might not be able to communicate, is critical to the research outcome as well.

3.2.3 Contribution to knowledge

Foundation for the evaluation of the contribution to knowledge is the potential outcome of the social constructionist research. Continuing with the simulation and assuming that answers to the research questions as exemplified above are found, the outcome would be a description of characteristics and perceptions of SF fit of PCMS possibly differentiated between different functions or hierarchical levels in a company. Also a narrative about emotional, cognitive or intentional implications of the (missing) fit on product manager’s behaviour would be a result of the social constructionist’s research.

The contribution to theory could be allocated in those research streams of cost management in which strategy- or personal-related issues are investigated such as motivation, participation, implementation barriers or interdisciplinarity of work organization and management commitment (Shields & Young, 1991; Konle, 2003; McGowan & Klammer, 1997; Krüsi Schädle, 2001; Franz & Kajüter, 2002a/b; Himme, 2008; Kim, Ansari, Bell, & Swenson, 2002; Stoi, Horváth, & Reichmann 1999). The exploration of characteristics and perception of SF in PCM would be novel to that research area and contributing to the understanding how strategic aspects, which are claimed to be an important influencing factor (Kajüter, 2000, p.14), impact individuals minds and possibly behaviour. A theory, e.g. that the SF of PCMS is perceived in a more emotional and a more negative way by product managers compared to the perception of top management might be generated after having understood in more depth the characteristics of SF by different functions.

For management practice the contribution would be to make use of the enhanced understanding of the strategic fit’s implications / characteristics as perceived by different roles, either e.g. different functions, different hierarchical levels or even different stakeholders such as customers or suppliers. If managers are concerned, worried or interested in the SF of their PCMS, they would benefit from an increased understanding of the nature of this fit. However, as social constructionist’s research is partly open-ended, the contribution to practice is so, too.

3.3 Interventionist perspective

3.3.1 Description of interventionism and selection of action research

Interventionism as the third of the selected research paradigms goes back to the influential work of Lewin (1946; 1948, as cited in O’Brien, 1998; Fendt et al., 2008, p.482; Suomala, Lyly-Yrjänäinen, & Lukka 2014, p.305) as one prominent advocate.

 

Emerging in management science during the last years of the 20th century, the research perspective is not only a response to positivism but also to constructionism by those scholars who “felt that the constructivist stance did not go far enough” (Creswell, 2013, p. 9) to develop a meaningful alternative to positivism and to narrow the relevance gap between practice and academic theory (Lukka, 2006, p.36; Westin & Roberts, 2010, p.8). Research approaches within interpretivism are e.g. (participative) action research, (critical) action learning, co-operative inquiry, experiential learning (Easterby-Smith et al., 2012, p.49/50; Heron 1996; Howell, 1994).

 

Although this paradigm is comparably new, still in development and therefore knowledge about the approach still is in its adolescence, a distinguishing feature of interventionist research approaches is the intervention of the researcher itself as an actor in organizational contexts (Argyris, Putnam, & Smith, 1985; Babüroglu & Ravn, 1992; Suomala et al., 2014), which does have implications for the four ologies of research paradigms.

 

The ontological and epistemological position of interventionist research is close to the interpretive stance “where understanding and knowledge is built on close interaction and communication between practitioner and the researcher” … and … “socially constructed by that interaction” (Westin & Roberts, 2010, p.7-8). Nonetheless, in terms of epistemology the intervention itself sheds light on two distinct beliefs. The first one claiming that in order to understand and get in touch with reality the researcher has to make his/herself part of the reality (Hastrup, 2005, p.141), the second that reality can only be understood, when it is changing by investigating “what” changes and “how and why” changes evolve (Creswell, 2013, p. 9; Van de Ven & Poole, 1995; Westin & Roberts, 2010, p.8).

 

With reference to axiology, interventionists have to be effective in the emic (being an insider of the subject under investigation) and etic (to link outcome to theory) way (Suomala et al., 2014, p.305). In Interventionism, the researcher does not only influence the research by creating contact points with social actors in order to investigate their interpretations and interpreting the already interpreted reality through own values. Furthermore, the researcher becomes one with reality, participating and actively impacting other actors / reality. Then again, the researcher has to step back in order to reflect and to develop findings and theories, although they derive from value-laden positions.

From the methodological point of view, due to the diversity of different research designs, neither qualitative nor quantitative approaches seem to dominate. The uniqueness of interventionist’s research contexts and the aim to gain deepest insight and knowledge are arguments to imply the combination / mixed use of qualitative and quantitative methods under the umbrella of longitudinal case studies (Suomala et al., 2014, p.305).

 

In order to indicate the interventionist’s impact on the research topic, an action research approach is sketched next with a simplified description as shown in figure11. However, is has to be stated, that scientific debates about the nature and implications of interventionism is still in its infancy / puberty years (Westin & Roberts, 2010), so there is no claim for a generalised view by this selection of “ological” implications.

3.3.2 Impact on understanding of research problem, design and researcher’s skills

An action researcher’s background of the topic “Strategic Fit of Product Cost management Systems” would consider the fit as being a subjective und unique matter of an organization which needs to be investigated over time. The SF would best be understood, if any aspect, constituting the fit, would change.

The general rationale behind and purpose of the research would be, that if the SF would change for any reason, this would have consequences and implications, which could be investigated by actively participating in the organization. The change could be stimulated actively during the research by initiating the change, e.g. re-define the PCS, or by re-actively investigate the topic after a change has already occurred, e.g. a PCM department was implemented.

Consequently, concrete research goals of an action research could be, to…

  • …transform a company’s PCMS after the change of the company’s product cost strategy
  • …restructure the PCM department in order to better fit to the product cost strategy
  • …align the different PCMS after the merger of two companies to better fit to the joint product cost strategy

Subsequently, corresponding research questions could be derived as follows:

  • How does the strategy change in company X affect their PCMS?
  • What are essential barriers for SF, when restructuring a PCM department?
  • What influence does a merger of two companies have on the SF of their PCMS system?

The interventionist character of action research also has a significant impact on the research design. Zuber-Skerritt (2001) points out the similarities of action research and action learning, shedding light on the research process, which can be divided into a phase model, based on the Lewinian Model of Action Research and Dewey’s Model of Learning (as cited in Kolb, 1984, p.21-23). According to these prominent scholars, four phases might be distinguished, commencing with the active participation and observation of an action, the subsequent reflection and sense-giving of that observation, which is the core of the action research, and ending with a conceptualisation or generalisation as the outcome, being possibly a theory. In order to test the theory, a new cycle of participation/observation would start, leading to a spiral research process to further develop theory.

 

Derived from the focal point in this process, the reflection, reflective tools are under special attention as methods in action research, e.g. portfolios, conversation / dialogue, journal writing, concept mapping, case records, shadowing and reflective interviewing (Bruce, 1999; Gray, 2006; Kottkamp, 1990).

 

The impact on data and researcher’s values is similar to the constructionist paradigm, with a nuance, that the researcher’s value are even more obvious in action research, as the researcher steps out from his/her role as an observer and takes over active roles such as catalyst (Dumay, 2010) or liberator (Sunding & Odenrick, 2010) as Westin and Roberts (2010, p.9) point out.

Condensing the various implications of the action research approach, the impact on the researcher’s skills is different compared to the other approaches, too. One of the critical skills characteristic for action research is the “ability to … conceptualize the particular experience” (Eden & Huxham, 1996, p.79).  More specifically, as the reflective phase has an outstanding importance in action research approaches, compared to other paradigms, the researcher should show highly reflective skills in terms of methodology. In addition, the paradigm’s inherent feature to include “numerous sources of tensions” leads to the necessity to balance different interests, agendas or resistance e.g. trough building trust, which is a social competence the research needs to have (Suomala et al., 2014, p.312/313).

3.3.3 Contribution to knowledge

Taking up the similarity of action research / learning, the outcome of action research is learning while producing theoretically grounded solutions, which is condensed in theory building (Suomala et al., 2014, p.305; Westin & Roberts, 2010). These theories develop incremental in small steps as emergent theories being “a synthesis of what emerges from the data and … the use in practice of the body of theory which informed the intervention” (Eden & Huxham, 1996, p.80).

In the case of SF of PCMS, action research would deliver a contribution to theory as a novel theory based on the generalization of experiences reflected in a particular restructuring/ strategy project on PCM in which the researcher actively participated. The action research would produce highest quality research materials including nuanced data (Suomala et al., 2014, p.311). On top, there is the opportunity to narrow the relevance gap as the researcher takes over a practitioner’s agenda, which is a radical challenge of research paradigms compared to the other two perspectives (Fendt et al., 2008, p.472).

The contribution to practice is not far to seek: due to the nature of the intervention, the change which is implemented, there should be an immediate “improved practice” triggered by the research project (Jönsson, 2010, p.124) which is explicitly designed to impact practical issue as it “puts managerial problems under critical scrutiny in order to resolve them” (Lukka, 2006, p.36).

A final differentiator for action research as an interventionist paradigm lies in its relative novelty as approach in management science, as “knowledge of the interventionist alternative … is still in its adolescence” (Suomala et al., 2014, p.305). An action research dissertation in the field of PCM would for that reason, assuming research design and process are published and debated, contribute to the development and advancement of the paradigm itself, a “meta-contribution to theory”.

4 Conclusion

Having critically outlined the impact of the three selected research approaches on research problem, design, researcher’s values and required skills including differences with respect to particular defined points, now concluding reflections should be summarized and the impact on the choice of approach portrayed. Basis for this summary is table 1 in the annex, p. 38, consolidating the major findings of the paradigm simulation for each approach.

  • Summary reflections on paradigm simulation

Main trigger for the paradigm simulation was the ongoing paradigm debate, primarily discussing whether one or another alternative is (more) scientific compared to the other(s). Anderson, Herriot, and Hodgkinson for example distinguish four different types of science based on their theoretical and methodological rigour and their practical relevance (Anderson, Herriot, & Hodgkinson, 2001; Hodgkinson, Herriot, & Anderson, 2001).

The inclusion of the latter, practical relevance, as a criterion of science can be understood as a reaction to overcome the postulated relevance gap of science, especially in management science (Fendt et al., 2008; Tucker & Parker, 2012, 2014). Since then, a contribution to practice, e.g. new insights or normative guidelines or practical application, are demanded by scientific work (Ghoshal, 2005; Gibbons et al., 1994; Hambrick, 1994, 2005; Huff, 2000; Ittner & Larcker, 2002; Shrivastava, 1987).

Likewise, a contribution to theory is claimed since long for contributing to “good” science deriving from the former criterion, rigour. Whereas there is agreement about the requirement itself, less harmony has to be stated about the opinions what constitutes rigour or a theoretical contribution (Whetten, 1989; Wright, 2015). Emphasis is put mainly on the difference between qualitative and quantitative research approaches being evaluated by different criteria of rigour such as reliability, validity, replicability, generalisability for quantitative and credibility, transferability, dependability, confirmability for qualitative research (Wahyuni, 2012, p.76/77; Lincoln & Guba 1985; Parker, 2012).

Reflecting the differences of the three research philosophies which became obvious in the paradigm simulation focussing on the research problem and the research design, they can be mirrored versus rigour and relevance. Although three completely different approaches have been sketched, with, summarized in the Annex, almost no single equality regarding the described categories, they do have in common three general characteristics.

First and foremost, as the basis for subsequent arguments, for each of the paradigms a research problem incl. concrete goals and research questions can be developed. Secondly, consistent and meaningful research designs built on the research questions were outlined, potentially leading to, thirdly, defined outcomes which contribute to theory according to the paradigms philosophical background and practice, no matter whether immediately for one company or lagged later? for a larger amount of companies.

In conclusion, if all three approaches deliver a certain contribution to knowledge and by contrast no single approach can deliver all the contributions alone, this suggests that a single research perspective might be too narrow to “fully reflect the multifaceted nature of social, organizational, and phenomenological reality” (Goles & Hirschheim,  2000, p.256).

Transferring this logic to the reflection on the researcher’s values and skills this would mean, that a distinct, complete value-free or value-laden position, taking an extreme emic or etic approach alone would not qualify for comprehensive research in management science but only for a partial view on certain aspects. This suggests that multi-paradigm-approaches or paradigm interplay, at least an intermediate position, should be aimed for in order to triangulate results and to further advance knowledge in a particular research area (Aram & Salipante, 2003, p.192; Cox & Hassard, 2005; Holden & Lynch, 2004, p.14).

Consequently, this has also impact on the required researcher’s skills. Although it was shown during the paradigm simulation with two examples each, that each research approach demands distinct research skills, the majority of competencies should be inherent to every researcher, independent of the research approach (Easterby-Smith et al., 2012, p.6; Lee & Lings 2008, p.70). Due to the fact that some research methods can contribute to different research paradigms (Holden & Lynch, 2004, p.8) and that a researcher should be able to justify decisions about selected and discarded methods, basic skills should be acquired prior to the research.

  • Impact on choice of approach

The paradigm simulation clearly showed that the topic of SF of PCMS does have the potential to be worked on in a doctoral thesis acc. to the three described research paradigms. This is in line with the ongoing paradigm shift in Management Accounting Research as well as Strategic Management Research (Baum & Dobbin, 2000, p.391; Suomala et al., 2014, p.304; Wahyuni, 2012, p.72.).

Likewise, it supports Feyerabend’s view that there is no perspective superior to another and one single set of beliefs, rules and procedures is not enough to gain comprehensive knowledge (Feyerabend, 1985; Lee & Lings, 2008, p.32). Moreover, there is a growing recognition that paradigmatic and theoretical pluralism is fruitful (Van der Meer-Kooistra & Vosselman, 2012, p.246-247; Chua, 1986; Hassard & Kelemen, 2002; Hopwood, 2002; Luft & Shields, 2002, Lukka & Mouritsen, 2002; Zimmermann, 2001). Nonetheless, there is much to be said for that this pluralism might be more promising for a research discipline overall than on an individual research project level (Chua, 1986; Chua & Mahama, 2012; Parker, 2012), especially for a novice researcher in a dissertation. The first impact on the choice of approach consequently is that there is a choice!

With respect to researcher’s values and skills it has to be stated that although differences have been worked out, it was also argued, that basic awareness for and competence of values and research skills should be inherent to every researcher independently from the research perspective (Blaxter, Hughes, & Tight, 2010, pp.55-59; Crowther & Lancaster, 2008, p.2). Furthermore, one should avoid being trapped by a decision based on the familiarity with methods or the absence of skills as this contradicts the goal of further development of knowledge, in this case, on a personal level (Lee & Lings, 2008, p.64; Moses & Knutsen, 2012, p.1). The second impact on the choice of approach therefore is the awareness of the own position/values, the required skills which might be developed more extensively compare to others and finally the explicitness of the decision for an approach.

Synthesizing what remains after advocating pluralism in general and moderating values and skills as impacting factors on the research topic, is a pragmatist’s view, holding the opinion, that out of the set of various different potential approaches the one should be selected “(that) works best for the particular research program under study” (Tashakkori & Teddlie, 1998, p.5). This underlines the importance of the researcher’s individual purpose with the need to justify the research approach in each single case in terms of match of purpose and research approach as stated at the beginning of the assignment.  This should be seen as the ultimate impact of the paradigm simulation on the choice of approach, independent from the concrete outcome of the choice itself.

To conclude, the assignment goals a highlighted in section 1.2, understand different and justify / advocate the selected research perspective/s have been achieved by in parallel opening the researcher’s mind and enhancing own confidence. The potential for a high quality research with regard to appropriate quality criteria for that approach has been developed.

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Annex: Assessment brief

Annex: Table 1: Impact of research approaches on research problem

Declaration of original content

I declare that the work in this assessment was carried out in accordance with the regulations of the University of Gloucestershire and is original except where indicated by specific reference in the text. No part of the assessment has been submitted as part of any other academic award.

Any views expressed in this assessment are those of the author and in no way represent those of the University.

Signed: <<Claude Maxion, Pforzheim>>

Date: 14/12/2015

 

Explain why one might choose an inductive argument over a deductive argument.

207
Deduction and Induction: 6
Putting It All Together
Wavebreakmedia Ltd./Thinkstock and GoldenShrimp/iStock/Thinkstock
Learning Objectives
After reading this chapter, you should be able to:
1. Compare and contrast the advantages of deduction and induction.
2. Explain why one might choose an inductive argument over a deductive argument.
3. Analyze an argument for its deductive and inductive components.
4. Explain the use of induction within the hypothetico–deductive method.
5. Compare and contrast falsification and confirmation within scientific inquiry.
6. Describe the combined use of induction and deduction within scientific reasoning.
7. Explain the role of inference to the best explanation in science and in daily life.
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Contrasting Deduction and Induction Section 6.1
Now that you have learned something about deduction and induction, you may be wondering
why we need both. This chapter is devoted to answering that question. We will start by learning
a bit more about the differences between deductive and inductive reasoning and how the
two types of reasoning can work together. After that, we will move on to explore how scientific
reasoning applies to both types of reasoning to achieve spectacular results. Arguments
with both inductive and deductive elements are very common. Recognizing the advantages
and disadvantages of each type can help you build better arguments. We will also investigate
another very useful type of inference, known as inference to the best explanation, and explore
its advantages.
6.1 Contrasting Deduction and Induction
Remember that in logic, the difference between induction and deduction lies in the connection
between the premises and conclusion. Deductive arguments aim for an absolute connection,
one in which it is impossible that the premises could all be true and the conclusion false.
Arguments that achieve this aim are called valid. Inductive arguments aim for a probable
connection, one in which, if all the premises are true, the conclusion is more likely to be true
than it would be otherwise. Arguments that achieve this aim are called strong. (For a discussion
on common misconceptions about the meanings of induction and deduction, see A Closer
Look: Doesn’t Induction Mean Going From Specific to General?). Recall from Chapter 5 that
inductive strength is the counterpart of deductive validity, and cogency is the inductive counterpart
of deductive soundness. One of the purposes of this chapter is to properly understand
the differences and connections between these two major types of reasoning.
There is another important difference
between deductive and inductive reasoning.
As discussed in Chapter 5, if
you add another premise to an inductive
argument, the argument may
become either stronger or weaker. For
example, suppose you are thinking of
buying a new cell phone. After looking
at all your options, you decide that one
model suits your needs better than
the others. New information about the
phone may make you either more convinced
or less convinced that it is the
right one for you—it depends on what
the new information is. With deductive
reasoning, by contrast, adding premises
to a valid argument can never
render it invalid. New information
may show that a deductive argument
Fuse/Thinkstock
New information can have an impact on both
deductive and inductive arguments. It can render
deductive arguments unsound and can strengthen
or weaken inductive arguments, such as arguments
for buying one car over another.
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Contrasting Deduction and Induction Section 6.1
is unsound or that one of its premises is not true after all, but it cannot undermine a valid
connection between the premises and the conclusion. For example, consider the following
argument:
All whales are mammals.
Shamu is a whale.
Therefore, Shamu is a mammal.
This argument is valid, and there is nothing at all we could learn about Shamu that would
change this. We might learn that we were mistaken about whales being mammals or about
Shamu being a whale, but that would lead us to conclude that the argument is unsound, not
invalid. Compare this to an inductive argument about Shamu.
Whales typically live in the ocean.
Shamu is a whale.
Therefore, Shamu lives in the ocean.
Now suppose you learn that Shamu has been trained to do tricks in front of audiences at an
amusement park. This seems to make it less likely that Shamu lives in the ocean. The addition
of this new information has made this strong inductive argument weaker. It is, however, possible
to make it stronger again with the addition of more information. For example, we could
learn that Shamu was part of a captive release program.
An interesting exercise for exploring this concept is to see if you can keep adding premises to
make an inductive argument stronger, then weaker, then stronger again. For example, see if
you can think of a series of premises that make you change your mind back and forth about
the quality of the cell phone discussed earlier.
Determining whether an argument is deductive or inductive is an important step both in
evaluating arguments that you encounter and in developing your own arguments. If an argument
is deductive, there are really only two questions to ask: Is it valid? And, are the premises
true? If you determine that the argument is valid, then only the truth of the premises remains
in question. If it is valid and all of the premises are true, then we know that the argument is
sound and that therefore the conclusion must be true as well.
On the other hand, because inductive arguments can go from strong to weak with the addition
of more information, there are more questions to consider regarding the connection
between the premises and conclusion. In addition to considering the truth of the premises
and the strength of the connection between the premises and conclusion, you must also consider
whether relevant information has been left out of the premises. If so, the argument may
become either stronger or weaker when the relevant information is included.
Later in this chapter we will see that many arguments combine both inductive and deductive
elements. Learning to carefully distinguish between these elements will help you know what
questions to ask when evaluating the argument.
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Section 6.1 Contrasting Deduction and Induction
A Closer Look: Doesn’t Induction Mean Going From Specific
to General?
A common misunderstanding of the meanings of induction and deduction is that deduction goes from the general to the specific, whereas induction goes from the specific to the general. This definition is used by some fields, but not by logic or philosophy. It is true that some deductive arguments go from general premises to specific conclusions, and that some inductive arguments go from the specific premises to general conclusions. However, neither statement is true in general.
First, although some deductive arguments go from general to specific, there are many deductive arguments that do not go from general to specific. Some deductive arguments, for example, go from general to general, like the following:
All S are M.
All M are P.
Therefore, all S are P.
Propositional logic is deductive, but its arguments do not go from general to specific. Instead, arguments are based on the use of connectives (and, or, not, and if . . . then). For example, modus ponens (discussed in Chapter 4) does not go from the general to the specific, but it is deductively valid. When it comes to inductive arguments, some—for example, inductive generalizations—go from specific to general; others do not. Statistical syllogisms, for example, go from general to specific, yet they are inductive.
This common misunderstanding about the definitions of induction and deduction is not surprising given the different goals of the fields in which the terms are used. However, the definitions used by logicians are especially suited for the classification and evaluation of different types of reasoning.
For example, if we defined terms the old way, then the category of deductive reasoning would include arguments from analogy, statistical syllogisms, and some categorical syllogisms. Inductive reasoning, on the other hand, would include only inductive generalizations. In addition, there would be other types of inference that would fit into neither category, like many categorical syllogisms, inferences to the best explanation, appeals to authority, and the whole field of propositional logic.
The use of the old definitions, therefore, would not clear up or simplify the categories of logic at all but would make them more confusing. The current distinction, based on whether the premises are intended to guarantee the truth of the conclusion, does a much better job of simplifying logic’s categories, and it does so based on a very important and relevant distinction.
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Choosing Between Induction and Deduction Section 6.2
Practice Problems 6.1
1. A deductive argument that establishes an absolute connection between the premises
and conclusion is called a __________.
a. strong argument
b. weak argument
c. invalid argument
d. valid argument
2. An inductive argument whose premises give a lot of support for the truth of its conclusion
is said to be __________.
a. strong
b. weak
c. valid
d. invalid
3. Inductive arguments always reason from the specific to the general.
a. true
b. false
4. Deductive arguments always reason from the general to the specific.
a. true
b. false
6.2 Choosing Between Induction and Deduction
You might wonder why one would choose to use inductive reasoning over deductive reasoning.
After all, why would you want to show that a conclusion was only probably true rather
than guaranteed to be true? There are several reasons, which will be discussed in this section.
First, there may not be an available deductive argument based on agreeable premises.
Second, inductive arguments can be more robust than deductive arguments. Third, inductive
arguments can be more persuasive than deductive arguments.
Availability
Sometimes the best evidence available does not lend itself to a deductive argument. Let us
consider a readily accepted fact: Gravity is a force that pulls everything toward the earth.
How would you provide an argument for that claim? You would probably pick something up,
let go of it, and note that it falls toward the earth. For added effect, you might pick up several
things and show that each of them falls. Put in premise–conclusion form, your argument looks
something like the following:
My coffee cup fell when I let go of it.
My wallet fell when I let go of it.
This rock fell when I let go of it.
Therefore, everything will fall when I let go of it.
© 2015 Bridgepoint Education, Inc. All rights reserved. Not for resale or redistribution.
Section 6.2 Choosing Between Induction and Deduction
When we put the argument that way, it should be clear that it is inductive. Even if we grant that the premises are true, it is not guaranteed that everything will fall when you let go of it. Perhaps gravity does not affect very small things or very large things. We could do more experiments, but we cannot check every single thing to make sure that it is affected by gravity. Our belief in gravity is the result of extremely strong inductive reasoning. We therefore have great reasons to believe in gravity, even if our reasoning is not deductive.
All subjects that rely on observation use inductive reasoning: It is at least theoretically possible that future observations may be totally different than past ones. Therefore, our inferences based on observation are at best probable. It turns out that there are very few subjects in which we can proceed entirely by deductive reasoning. These tend to be very abstract and formal subjects, such as mathematics. Although other fields also use deductive reasoning, they do so in combination with inductive reasoning. The result is that most fields rely heavily on inductive reasoning.
Robustness
Inductive arguments have some other advantages over deductive arguments. Deductive arguments can be extremely persuasive, but they are also fragile in a certain sense. When something goes wrong in a deductive argument, if a premise is found to be false or if it is found to be invalid, there is typically not much of an argument left. In contrast, inductive arguments tend to be more robust. The robustness of an inductive argument means that it is less fragile; if there is a problem with a premise, the argument may become weaker, but it can still be quite persuasive. Deductive arguments, by contrast, tend to be completely unconvincing once they are shown not to be sound. Let us work through a couple of examples to see what this means in practice.
Consider the following deductive argument:
All dogs are mammals.
Some dogs are brown.
Therefore, some mammals are brown.
As it stands, the argument is sound. However, if we change a premise so that it is no longer sound, then we end up with an argument that is nearly worthless. For example, if you change the first premise to “Most dogs are mammals,” you end up with an invalid argument. Validity is an all-or-nothing affair; there is no such thing as “sort of valid” or “more valid.” The
Alistair Scott/iStock/ThinkstockDespite knowing that a helium-filled balloon will rise when we let go of it, we still hold our belief in gravity due to strong inductive reasoning and our reliance on observation.
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Section 6.2 Choosing Between Induction and Deduction
argument would simply be invalid and therefore unsound; it would not accomplish its purpose of demonstrating that the conclusion must be true. Similarly, if you were to change the second premise to something false, like “Some dogs are purple,” then the argument would be unsound and therefore would supply no reason to accept the conclusion.
In contrast, inductive arguments may retain much of their strength even when there are problems with them. An inductive argument may list several reasons in support of a conclusion. If one of those reasons is found to be false, the other reasons continue to support the conclusion, though to a lesser degree. If an argument based on statistics shows that a particular conclusion is extremely likely to be true, the result of a problem with the argument may be that the conclusion should be accepted as only fairly likely. The argument may still give good reasons to accept the conclusion.
Fields that rely heavily on statistical arguments often have some threshold that is typically required in order for results to be publishable. In the social sciences, this is typically 90% or 95%. However, studies that do not quite meet the threshold can still be instructive and provide evidence for their conclusions. If we discover a flaw that reduces our confidence in an argument, in many cases the argument may still be strong enough to meet a threshold.
As an example, consider a tweet made by President Barack Obama regarding climate change.
Although the tweet does not spell out the argument fully, it seems to have the following structure:
A study concluded that 97% of scientists agree that climate change is real, man-made, and dangerous.
Therefore, 97% of scientists really do agree that climate change is real, man-made, and dangerous.
Therefore, climate change is real, man-made, and dangerous.
Given the politically charged nature of the discussion of climate change, it is not surprising that the president’s argument and the study it referred to received considerable criticism. (You can read the study at http://iopscience.iop.org/1748–9326/8/2/024024/pdf/1748
–9326_8_2_024024.pdf.) Looking at the effect some of those criticisms have on the argument is a good way to see how inductive arguments can be more robust than deductive ones.
One criticism of Obama’s claim is that the study he referenced did not say anything about whether climate change was dangerous, only about whether it was real and man-made. How does this affect the argument? Strictly speaking, it makes the first premise false. But notice that even so, the argument can still give good evidence that climate change is real and
Twitter/Public Domain
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Section 6.2 Choosing Between Induction and Deduction
man-made. Since climate change, by its nature, has a strong potential to be dangerous, the argument is weakened but still may give strong evidence for its conclusion.
A deeper criticism notes that the study did not find out what all scientists thought; it just looked at those scientists who expressed an opinion in their published work or in response to a voluntary survey. This is a significant criticism, for it may expose a bias in the sampling method (as discussed in Chapters 5, 7, and 8). Even granting the criticism, the argument can retain some strength. The fact that 97% of scientists who expressed an opinion on the issue said that climate change is real and man-made is still some reason to think that it is real and man-made. Of course, some scientists may have chosen not to voice an opposing opinion for reasons that have nothing to do with their beliefs about climate change; they may have simply wanted to keep their views private, for example. Taking all of this into account, we get the following argument:
A study found that 97% of scientists who stated their opinion said that climate change is real and man-made.
Therefore, 97% of scientists agree that climate change is real and man-made.
Climate change, if real, is dangerous.
Therefore, climate change is real, man-made, and dangerous.
This is not nearly as strong as the original argument, but it has not collapsed entirely in the way a purely deductive argument would. There is, of course, much more that could be said about this argument, both in terms of criticizing the study and in terms of responding to those criticisms and bringing in other considerations. The point here is merely to highlight the difference between deductive and inductive arguments, not to settle issues in climate science or public policy.
Persuasiveness
A final point in favor of inductive reasoning is that it can often be more persuasive than deductive reasoning. The persuasiveness of an argument is based on how likely it is to convince someone of the truth of its conclusion. Consider the following classic argument:
All Greeks are mortal.
Socrates was a Greek.
Therefore, Socrates was mortal.
Is this a good argument? From the standpoint of logic, it is a perfect argument: It is deductively valid, and its premises are true, so it is sound (therefore, its conclusion must be true). However, can you persuade anyone with this argument?
Imagine someone wondering whether Socrates was mortal. Could you use this argument to convince him or her that Socrates was mortal? Probably not. The argument is so simple and
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Choosing Between Induction and Deduction Section 6.2
so obviously valid that anyone who accepts the premises likely already accepts the conclusion.
So if someone is wondering about the conclusion, it is unlikely that he or she will be
persuaded by these premises. He or she may, for example, remember that some legendary
Greeks, such as Hercules, were granted immortality and wonder whether Socrates was one
of these. The deductive approach, therefore, is unlikely to win anyone over to the conclusion
here. On the other hand, consider a very similar inductive argument.
Of all the real and mythical Greeks, only a few were considered to be immortal.
Socrates was a Greek.
Therefore, it is extremely unlikely that Socrates was immortal.
Again, the reasoning is very simple. However, in this case, we can imagine someone who had
been wondering about Socrates’s mortality being at least somewhat persuaded that he was
mortal. More will likely need to be said to fully persuade her or him, but this simple argument
may have at least some persuasive power where its deductive version likely does not.
Of course, deductive arguments can be persuasive, but they generally need to be more complicated
or subtle in order to be so. Persuasion requires that a person change his or her mind
to some degree. In a deductive argument, when the connection between premises and conclusion
is too obvious, the argument is unlikely to persuade because the truth of the premises
will be no more obvious than the truth of the conclusion. Therefore, even if the argument
is valid, someone who questions the truth of the conclusion will often be unlikely to accept
the truth of the premises, so she or he may be unpersuaded by the argument. Suppose, for
example, that we wanted to convince someone that the sun will rise tomorrow morning. The
deductive argument may look like this:
The sun will always rise in the morning.
Therefore, the sun will rise tomorrow morning.
One problem with this argument, as with the Socrates argument, is that its premise seems to
assume the truth of the conclusion (and therefore commits the fallacy of begging the question,
as discussed in Chapter 7), making the argument unpersuasive. Additionally, however,
the premise might not even be true. What if, billions of years from now, the earth is swallowed
up into the sun after it expands to become a red giant? At that time, the whole concept of
morning may be out the window. If this is true then the first premise may be technically false.
That means that the argument is unsound and therefore fairly worthless deductively.
The inductive version, however, does not lose much strength at all after we learn of this troubling
information:
The sun has risen in the morning every day for millions of years.
Therefore, the sun will rise again tomorrow morning.
This argument remains extremely strong (and persuasive) regardless of what will happen
billions of years in the future.
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Section 6.3 Combining Induction and Deduction
Practice Problems 6.2
1.
Which form of reasoning is taking place in this example?
The sun has risen every day of my life.
The sun rose today.
Therefore, the sun will rise tomorrow.
a.
inductive
b.
deductive
2.
Inductive arguments __________.
a.
can retain strength even with false premises
b.
collapse when a premise is shown to be false
c.
are equivalent to deductive arguments
d.
strive to be valid
3.
Deductive arguments are often __________.
a.
less persuasive than inductive arguments
b.
more persuasive than inductive arguments
c.
weaker than inductive arguments
d.
less valid than inductive arguments
4.
Inductive arguments are sometimes used because __________.
a.
the available evidence does not allow for a deductive argument
b.
they are more likely to be sound than deductive ones
c.
they are always strong
d.
they never have false premises
6.3 Combining Induction and Deduction
You may have noticed that most of the examples we have explored have been fairly short and simple. Real-life arguments tend to be much longer and more complicated. They also tend to mix inductive and deductive elements. To see how this might work, let us revisit an example from the previous section.
All Greeks are mortal.
Socrates was Greek.
Therefore, Socrates was mortal.
As we noted, this simple argument is valid but unlikely to convince anyone. So suppose now that someone questioned the premises, asking what reasons there are for thinking that all Greeks are mortal or that Socrates was Greek. How might we respond?
We might begin by noting that, although we cannot check each and every Greek to be sure he or she is mortal, there are no documented cases of any Greek, or any other human, living more
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Section 6.3 Combining Induction and Deduction
than 200 years. In contrast, every case that we can document is a case in which the person dies at some point. So, although we cannot absolutely prove that all Greeks are mortal, we have good reason to believe it. We might put our argument in standard form as follows:
We know the mortality of a huge number of Greeks.
In each of these cases, the Greek is mortal.
Therefore, all Greeks are mortal.
This is an inductive argument. Even though it is theoretically possible that the conclusion might still be false, the premises provide a strong reason to accept the conclusion. We can now combine the two arguments into a single, larger argument:
We know the mortality of a huge number of Greeks.
In each of these cases, the Greek is mortal.
Therefore, all Greeks are mortal.
Socrates was Greek.
Therefore, Socrates was mortal.
This argument has two parts. The first argument, leading to the subconclusion that all Greeks are mortal, is inductive. The second argument (whose conclusion is “Socrates was mortal”) is deductive. What about the overall reasoning presented for the conclusion that Socrates was mortal (combining both arguments); is it inductive or deductive?
The crucial issue is whether the premises guarantee the truth of the conclusion. Because the basic premise used to arrive at the conclusion is that all of the Greeks whose mortality we know are mortal, the overall reasoning is inductive. This is how it generally works. As noted earlier, when an argument has both inductive and deductive components, the overall argument is generally inductive. There are occasional exceptions to this general rule, so in particular cases, you still have to check whether the premises guarantee the conclusion. But, almost always, the longer argument will be inductive.
Fran/CartoonstockSometimes a simple deductive argument needs to be combined with a persuasive inductive argument to convince others to accept it.
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Section 6.4 Reasoning About Science: The Hypothetico–Deductive Method
A similar thing happens when we combine inductive arguments of different strength. In general, an argument is only as strong as its weakest part. You can think of each inference in an argument as being like a link in a chain. A chain is only as strong as its weakest link.
6.4 Reasoning About Science: The Hypothetico–
Deductive Method
Science is one of the most successful endeavors of the modern world, and arguments play a central role in it. Science uses both deductive and inductive reasoning extensively. Scientific reasoning is a broad field in itself—and this chapter will only touch on the basics—but discussing scientific reasoning will provide good examples of how to apply what we have learned about inductive and deductive arguments.
At some point, you may have learned or heard of the scientific method, which often refers to how scientists systematically form, test, and modify hypotheses. It turns out that there is not a single method that is universally used by all scientists.
In a sense, science is the ultimate critical thinking experiment. Scientists use a wide variety of reasoning techniques and are constantly examining those techniques to make sure that the conclusions drawn are justified by the premises—that is exactly what a good critical thinker should do in any subject. The next two sections will explore two such methods—the
hypothetico–deductive method and inferences to the best explanation—and discover ways that they can improve our understanding of the types of reasoning used in much of science.
The hypothetico–deductive method consists of four steps:
1.
Formulate a hypothesis.
2.
Deduce a consequence from the hypothesis.
3.
Test whether the consequence occurs.
4.
Reject the hypothesis if the consequence does not occur.
Although these four steps are not sufficient to explain all scientific reasoning, they still remain a core part of much discussion of how science works. You may recognize them as part of the scientific method that you likely learned about in school. Let us take a look at each step
in turn.
Practice Problem 6.31. When an argument contains both inductive and deductive elements, the entire argu-ment is considered deductive.a. trueb. false
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Section 6.4 Reasoning About Science: The Hypothetico–Deductive Method
Step 1: Formulate a Hypothesis
A hypothesis is a conjecture about how some part of the world works. Although the phrase “educated guess” is often used, it can give the impression that a hypothesis is simply guessed without much effort. In reality, scientific hypotheses are formulated on the basis of a background of quite a bit of knowledge and experience; a good scientific hypothesis often comes after years of prior investigation, thought, and research about the issue at hand.
You may have heard the expression “necessity is the mother of invention.” Often, hypotheses are formulated in response to a problem that needs to be solved. Suppose you are unsatisfied with the performance of your car and would like better fuel economy. Rather than buy a new car, you try to figure out how to improve the one you have. You guess that you might be able to improve your car’s fuel economy by using a higher grade of gas. Your guess is not just random; it is based on what you already know or believe about how cars work. Your hypothesis is that higher grade gas will improve your fuel economy.
Of course, science is not really concerned with your car all by itself. Science is concerned with general principles. A scientist would reword your hypothesis in terms of a general rule, something like, “Increasing fuel octane increases fuel economy in automobiles.” The
hypothetico–deductive method can work with either kind of hypothesis, but the general hypothesis is more interesting scientifically.
Step 2: Deduce a Consequence From the Hypothesis
Your hypothesis from step 1 should have predictive value: Things should be different in some noticeable way, depending on whether the hypothesis is true or false. Our hypothesis is that increasing fuel octane improves fuel economy. If this general fact is true, then it is true for your car. So from our general hypothesis we can deduce the consequence that your car will get more miles per gallon if it is running on higher octane fuel.
It is often but not always the case that the prediction is a more specific case of the hypothesis. In such cases it is possible to infer the prediction deductively from the general hypothesis. The argument may go as follows:
Hypothesis: All things of type A have characteristic B.
Consequence (the prediction): Therefore, this specific thing of type A will have characteristic B.
Since the argument is deductively valid, there is a strong connection between the hypothesis and the prediction. However, not all predictions can be deductively inferred. In such cases we can get close to the hypothetico–deductive method by using a strong inductive inference instead. For example, suppose the argument went as follows:
Hypothesis: 95% of things of type A have characteristic B.
Consequence: Therefore, a specific thing of type A will probably have characteristic
B.
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Section 6.4 Reasoning About Science: The Hypothetico–Deductive Method
In such cases the connection between the hypothesis and the prediction is less strong. The stronger the connection that can be established, the better for the reliability of the test. Essentially, you are making an argument for the conditional statement “If H, then C,” where H is your hypothesis and C is a consequence of the hypothesis. The more solid the connection is between H and C, the stronger the overall argument will be.
In this specific case, “If H, then C” translates to “If increasing fuel octane increases fuel economy in all cars, then using higher octane fuel in your car will increase its fuel economy.” The truth of this conditional is deductively certain.
We can now test the truth of the hypothesis by testing the truth of the consequence.
Step 3: Test Whether the Consequence Occurs
Your prediction (the consequence) is that your car will get better fuel economy if you use a higher grade of fuel. How will you test this? You may think this is obvious: Just put better gas in the car and record your fuel economy for a period before and after changing the type of gas you use. However, there are many other factors to consider. How long should the period of time be? Fuel economy varies depending on the kind of driving you do and many other factors. You need to choose a length of time for which you can be reasonably confident the driving conditions are similar on average. You also need to account for the fact that the first tank of better gas you put in will be mixed with some of the lower grade gas that is still in your tank. The more you can address these and other issues, the more certain you can be that your conclusion is correct.
In this step, you are constructing an inductive argument from the outcome of your test as to whether your car actually did get better fuel economy. The arguments in this step are inductive because there is always some possibility that you have not adequately addressed all of the relevant issues. If you do notice better fuel economy, it is always possible that the increase in economy is due to some factor other than the one you are tracking. The possibility may be very small, but it is enough to make this kind of argument inductive rather than deductive.
Step 4: Reject the Hypothesis If the Consequence Does Not Occur
We now compare the results to the prediction and find out if the prediction came true. If your test finds that your car’s fuel economy does not improve when you use higher octane fuel, then you know your prediction was wrong.
Does this mean that your hypothesis, H, was wrong? That depends on the strength of the connection between H and C. If the inference from H to C is deductively certain, then we know for sure that, if H is true, then C must be true also. Therefore, if C is false, it follows logically that H must be false as well.
In our specific case, if your car does not get better fuel economy by switching to higher octane fuel, then we know for sure that it is not true that all cars get better fuel economy by doing so. However, if the inference from H to C is inductive, then the connection between H and C is less than totally certain. So if we find that C is false, we are not absolutely sure that the hypothesis, H, is false.
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Reasoning About Science: The Hypothetico–Deductive Method Section 6.4
For example, suppose that the hypothesis is that cars that use higher octane fuel will have a
higher tendency to get better fuel mileage. In that case if your car does not get higher gas
mileage, then you still cannot infer for certain that the hypothesis is false. To test that
hypothesis adequately, you would have to do a large study with many cars. Such a study
would be much more complicated, but it could provide very strong evidence that the hypothesis
is false.
It is important to note that although
the falsity of the prediction can demonstrate
that the hypothesis is false,
the truth of the prediction does not
prove that the hypothesis is true. If you
find that your car does get better fuel
economy when you switch gas, you
cannot conclude that your hypothesis
is true.
Why? There may be other factors
at play for which you have not adequately
accounted. Suppose that at the
same time you switch fuel grade, you
also get a tune-up and new tires and
start driving a completely different
route to work. Any one of these things
might be the cause of the improved gas
mileage; you cannot conclude that it is
due to the change in fuel (for this reason,
when conducting experiments it
is best to change only one variable at a
time and carefully control the rest). In
other words, in the hypothetico–deductive method, failed tests can show that a hypothesis is
wrong, but tests that succeed do not show that the hypothesis was correct.
This logic is known as falsification; it can be demonstrated clearly by looking at the structure
of the argument. When a test yields a negative result, the hypothetico–deductive method sets
up the following argument:
If H, then C.
Not C.
Therefore, not H.
You may recognize this argument form as modus tollens, or denying the consequent, which
was discussed in the chapter on propositional logic (Chapter 4). This argument form is a
valid, deductive form. Therefore, if both of these premises are true, then we can be certain
that the conclusion is true as well; namely, that our hypothesis, H, is not true. In the specific
case at hand, if your test shows that higher octane fuel does not increase your mileage, then
we can be sure that it is not true that it improves mileage in all vehicles (though it may
improve it in some).
IPGGutenbergUKLtd/iStock/Thinkstock
At best, the fuel economy hypothesis will be a strong
inductive argument because there is a chance
that something other than higher octane gas is
improving fuel economy. The more you can address
relevant issues that may impact your test results,
the stronger your conclusions will be.
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Section 6.4 Reasoning About Science: The Hypothetico–Deductive Method
Contrast this with the argument form that results when your fuel economy yields a
positive result:
If H, then C.
C.
Therefore, H.
This argument is not valid. In fact, you may recognize this argument form as the invalid deductive form called affirming the consequent (see Chapter 4). It is possible that the two premises are true, but the conclusion false. Perhaps, for example, the improvement in fuel economy was caused by a change in tires or different driving conditions instead. So the hypothetico
–deductive method can be used only to reject a hypothesis, not to confirm it. This fact has led many to see the primary role of science to be the falsification of hypotheses. Philosopher Karl Popper is a central source for this view (see A Closer Look: Karl Popper and Falsification in Science).
A Closer Look: Karl Popper and Falsification in Science
Karl Popper, one of the most influential philosophers of science to emerge from the early 20th century, is perhaps best known for rejecting the idea that scientific theories could be proved by simply finding confirming evidence—the prevailing philosophy at the time. Instead, Popper emphasized that claims must be testable and falsifiable in order to be considered scientific.
A claim is testable if we can devise a way of seeing if it is true or not. We can test, for instance, that pure water will freeze at 0°C at sea level; we cannot currently test the claim that the oceans in another galaxy taste like root beer. We have no realistic way to determine the truth or falsity of the second claim.
A claim is said to be falsifiable if we know how one could show it to be false. For instance, “there are no wild kangaroos in Georgia” is a falsifiable claim; if one went to Georgia and found some wild kangaroos, then it would have been shown to be false. But what if someone claimed that there are ghosts in Georgia but that they are imperceptible (unseeable, unfeelable, unhearable, etc.)? Could one ever show that this claim is false? Since such a claim could not conceivably be shown to be false, it is said to be unfalsifiable. While being unfalsifiable might sound like a good thing, according to Popper it is not, because it means that the claim is unscientific.
Following Popper, most scientists today operate with the assumption that any scientific hypothesis must be testable and must be the kind of claim that one could possibly show to be false. So if a claim turns out not to be conceivably falsifiable, the claim is not really scientific—and some philosophers have gone so far as to regard such claims as meaningless (Thornton, 2014).
Keystone/Getty ImagesKarl Popper, a 20th-century philosopher of science, put forth the idea that unfalsifiable claims are unscientific.
(continued)
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Section 6.4 Reasoning About Science: The Hypothetico–Deductive Method
As an example, suppose a friend claims that “everything works out for the best.” Then suppose that you have the worst month of your life, and you go back to your friend and say that the claim is false: Not everything is for the best. Your friend might then reply that in fact it was for the best because you learned from the experience. Such a statement may make you feel better, but it runs afoul of Popper’s rule. Can you imagine any circumstance that your friend would not claim is for the best? Since your friend would probably say that it was for the best no matter what happens, your friend’s claim is unfalsifiable and therefore unscientific.
In logic, claims that are interpreted so that they come out true no matter what happens are called self-sealing propositions. They are understood as being internally protected against any objections. People who state such claims may feel that they are saying something deeply meaningful, but according to Popper’s rule, since the claim could never be falsified no matter what, it does not really tell us anything at all.
Other examples of self-sealing propositions occur within philosophy itself. There is a philosophical theory known as psychological egoism, for example, which teaches that everything everyone does is completely selfish. Most people respond to this claim by coming up with examples of unselfish acts: giving to the needy, spending time helping others, and even dying to save someone’s life. The psychological egoist predictably responds to all such examples by stating that people who do such things really just do them in order to feel better about themselves. It appears that the word selfish is being interpreted so that everything everyone does will automatically be considered selfish by definition. It is therefore a self-sealing claim
(Rachels, 1999). According to Popper’s method, since this claim will always come out true no matter what, it is unfalsifiable and unscientific. Such claims are always true but are actually empty because they tell us nothing about the world. They can even be said to be “too true to be good.”
Popper’s explorations of scientific hypotheses and what it means to confirm or disconfirm such hypotheses have been very influential among both scientists and philosophers of scientists. Scientists do their best to avoid making claims that are not falsifiable.
A Closer Look: Karl Popper and Falsification in Science (continued)
If the hypothetico-deductive method cannot be used to confirm a hypothesis, how can this test give evidence for the truth of the claim? By failing to falsify the claim. Though the hypothetico–deductive method does not ever specifically prove the hypothesis true, if researchers try their hardest to refute a claim but it keeps passing the test (not being refuted), then there can grow a substantial amount of inductive evidence for the truth of the claim. If you repeatedly test many cars and control for other variables, and if every time cars are filled with higher octane gas their fuel economy increases, you may have strong inductive evidence that the hypothesis might be true (in which case you may make an inference to the best explanation, which will be discussed in Section 6.5).
Experiments that would have the highest chance of refuting the claim if it were false thus provide the strongest inductive evidence that it may be true. For example, suppose we want to test the claim that all swans are white. If we only look for swans at places in which they are known to be white, then we are not providing a strong test for the claim. The best thing to do (short of observing every swan in the whole world) is to try as hard as we can to refute the claim, to find a swan that is not white. If our best methods of looking for nonwhite swans still fail to refute the claim, then there is a growing likelihood that perhaps all swans are indeed white.
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Section 6.4 Reasoning About Science: The Hypothetico–Deductive Method
Similarly, if we want to test to see if a certain type of medicine cures a certain type of disease, we test the product by giving the medicine to a wide variety of patients with the disease, including those with the least likelihood of being cured by the medicine. Only by trying as hard as we can to refute the claim can we get the strongest evidence about whether all instances of the disease are treatable with the medicine in question.
Notice that the hypothetico–deductive method involves a combination of inductive and deductive reasoning. Step 1 typically involves inductive reasoning as we formulate a hypothesis against the background of our current beliefs and knowledge. Step 2 typically provides a deductive argument for the premise “If H, then C.” Step 3 provides an inductive argument for whether C is or is not true. Finally, if the prediction is falsified, then the conclusion—that H is false—is derived by a deductive inference (using the deductively valid modus tollens form). If, on the other hand, the best attempts to prove C to be false fail to do so, then there is growing evidence that H might be true.
Therefore, our overall argument has both inductive and deductive elements. It is valuable to know that, although the methodology of science involves research and experimentation that goes well beyond the scope of pure logic, we can use logic to understand and clarify the basic principles of scientific reasoning.
Practice Problems 6.4
1.
A hypothesis is __________.
a.
something that is a mere guess
b.
something that is often arrived at after a lot of research
c.
an unnecessary component of the scientific method
d.
something that is already solved
2.
In a scientific experiment, __________.
a.
the truth of the prediction guarantees that the hypothesis was correct
b.
the truth of the prediction negates the possibility of the hypothesis being correct
c.
the truth of the prediction can have different levels of probability in relation to the hypothesis being correct
d.
the truth of the prediction is of little importance
3.
The argument form that is set up when a test yields negative results is __________.
a.
disjunctive syllogism
b.
modus ponens
c.
hypothetical syllogism
d.
modus tollens
4.
A claim is testable if __________.
a.
we know how one could show it to be false
b.
we know how one could show it to be true
c.
we cannot determine a way to prove it false
d.
we can determine a way to see if it is true or false
(continued)
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Section 6.5 Inference to the Best Explanation
5.
Which of the following claims is not falsifiable?
a.
The moon is made of cheese.
b.
There is an invisible alien in my garage.
c.
Octane ratings in gasoline influence fuel economy.
d.
The Willis Tower is the tallest building in the world.
Practice Problems 6.4 (continued)
6.5 Inference to the Best Explanation
You may feel that if you were very careful about testing your fuel economy, you would be entitled to conclude that the change in fuel grade really did have an effect. Unfortunately, as we have seen, the hypothetico–deductive method does not support this inference. The best you can say is that changing fuel might have an effect; that you have not been able to show that it does not have an effect. The method does, however, lend inductive support to whichever hypothesis withstands the falsification test better than any other. One way of articulating this type of support is with an inference pattern known as inference to the best explanation.
As the name suggests, inference to the best explanation draws a conclusion based on what would best explain one’s observations. It is an extremely important form of inference that we use every day of our lives. This type of inference is often called abductive reasoning, a term pioneered by American logician Charles Sanders Peirce (Douven, 2011).
Suppose that you are in your backyard gazing at the stars. Suddenly, you see some flashing lights hovering above you in the sky. You do not hear any sound, so it does not appear that the lights are coming from a helicopter. What do you think it is? What happens next is abductive reasoning: Your brain searches among all kinds of possibilities to attempt to come up with the most likely explanation.
One possibility is that it is an alien spacecraft coming to get you (one could joke that this is why it is called abductive reasoning). Another possibility is that it is some kind of military vessel or a weather balloon. A more extreme hypothesis is that you are actually dreaming the whole thing.
Notice that what you are inclined to believe depends on your existing beliefs. If you already think that alien spaceships come to Earth all the time, then you may arrive at that conclusion with a high degree of certainty (you may even shout, “Take me with you!”). However, if you are somewhat skeptical of those kinds of theories, then you will try hard to find any other explanation. Therefore, the strength of a particular inference to the best explanation can be measured only in relation to the rest of the things that we already believe.
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Section 6.5 Inference to the Best Explanation
This type of inference does not occur only in unusual circumstances like the one described. In fact, we make inferences to the best explanation all the time. Returning to our fuel economy example from the previous section, suppose that you test a higher octane fuel and notice that your car gets better gas mileage. It is possible that the mileage change is due to the change in fuel. However, as noted there, it is possible that there is another explanation. Perhaps you are not driving in stop-and-go traffic as much. Perhaps you are driving with less weight in the car. The careful use of inference to the best explanation can help us to discern what is the most likely among many possibilities (for more examples, see A Closer Look: Is Abductive Reasoning Everywhere?).
If you look at the range of possible explanations and find one of them is more likely than any of the others, inference to the best explanation allows you to conclude that this explanation is likely to be the correct one. If you are driving the same way, to the same places, and with the same weight in your car as before, it seems fairly likely that it was the change in fuel that caused the improvement in fuel economy (if you have studied Mill’s methods in Chapter 5, you should recognize this as the method of difference). Inference to the best explanation is the engine that powers many inductive techniques.
The great fictional detective Sherlock Holmes, for example, is fond of claiming that he uses deductive reasoning. Chapter 2 suggested that Holmes instead uses inductive reasoning. However, since Holmes comes up with the most reasonable explanation of observed phenomena, like blood on a coat, for example, he is actually doing abductive reasoning. There is some dispute about whether inference to the best explanation is inductive or whether it is an entirely different kind of argument that is neither inductive nor deductive. For our purposes, it is treated as inductive.
Image Asset Management/SuperStockSherlock Holmes often used abductive reasoning, not deductive reasoning, to solve his mysteries.
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Section 6.5 Inference to the Best Explanation
A Closer Look: Is Abductive Reasoning Everywhere?
Some see inference to the best explanation as the most common type of inductive inference. A few of the inferences we have discussed in this book, for example, can potentially be cast as examples of inferences to the best explanation.
For example, appeals to authority (discussed in Chapter 5) can be seen as implicitly using inference to the best explanation (Harman, 1965). If you accept something as true because someone said it was, then you can be described as seeing the truth of the claim as the best explanation for why he or she said it. If we have good reason to think that the person was deluded or lying, then we are less certain of this conclusion because there are other likely explanations of why the person said it.
Furthermore, it is possible to see what we do when we interpret people’s words as a kind of inference to the best explanation of what they probably mean (Hobbs, 2004). If your neighbor says, “You are so funny,” for instance, we might use the context and tone to decide what he means by “funny” and why he is saying it (and whether he is being sarcastic). His comment can be seen as either rude or flattering, depending on what explanation we give for why he said it and what he meant.
Even the classic inductive inference pattern of inductive generalization can possibly be seen as implicitly involving a kind of inference to the best explanation: The best explanation of why our sample population showed that 90% of students have laptops is probably that 90% of all students have laptops. If there is good evidence that our sample was biased, then there would be a good competing explanation of our data.
Finally, much of scientific inference may be seen as trying to provide the best explanation for our observations (McMullin, 1992). Many hypotheses are attempts to explain observed phenomena. Testing them in such cases could then be seen as being done in the service of seeking the best explanation of why certain things are the way they are.
Take a look at the following examples of everyday inferences and see if they seem to involve arriving at the conclusion because it seems to offer the most likely explanation of the truth of the premise:

“John is smiling; he must be happy.”

“My phone says that Julie is calling, so it is probably Julie.”

“I see a brown Labrador across the street; my neighbor’s dog must have gotten out.”

“This movie has great reviews; it must be good.”

“The sky is getting brighter; it must be morning.”

“I see shoes that look like mine by the door; I apparently left my shoes there.”

“She still hasn’t called back yet; she probably doesn’t like me.”

“It smells good; someone is cooking a nice dinner.”

“My congressperson voted against this bill I support; she must have been afraid of offending her wealthy donors.”

“The test showed that the isotopes in the rock surrounding newly excavated bones had decayed X amount; therefore, the animals from which the bones came must have been here about 150 million years ago.”
These examples, and many others, suggest to some that inference to the explanation may be the most common form of reasoning that we use (Douven, 2011). Do you agree? Whether you agree with these expanded views on the role of inference or not, it clearly makes an enormous contribution to how we understand the world around us.
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Section 6.5 Inference to the Best Explanation
Form
Inferences to the best explanation generally involve the following pattern of reasoning:
X has been observed to be true.
Y would provide an explanation of why X is true.
No other explanation for X is as likely as Y.
Therefore, Y is probably true.
One strange thing about inferences to the best explanation is that they are often expressed in the form of a common fallacy, as follows:
If P is the case, then Q would also be true.
Q is true.
Therefore, P is probably true.
This pattern is the logical form of a deductive fallacy known as affirming the consequent
(discussed in Chapter 4). Therefore, we sometimes have to use the principle of charity to determine whether the person is attempting to provide an inference to the best explanation or making a simple deductive error. The principle of charity will be discussed in detail in Chapter 9; however, for our purposes here, you can think of it as giving your opponent and his or her argument the benefit of the doubt.
For example, the ancient Greek philosopher Aristotle reasoned as follows: “The world must be spherical, for the night sky looks different in the northern and southern regions, and that would be the case if the earth were spherical” (as cited in Wolf, 2004). His argument appears to have this structure:
If the earth is spherical, then the night sky would look different in the northern and southern regions.
The night sky does look different in the northern and southern regions.
Therefore, the earth is spherical.
It is not likely that Aristotle, the founding father of formal logic, would have made a mistake as silly as to affirm the consequent. It is far more likely that he was using inference to the best explanation. It is logically possible that there are other explanations for southern stars moving higher in the sky as one moves south, but it seems far more likely that it is due to the shape of the earth. Aristotle was just practicing strong abductive reasoning thousands of years before Columbus sailed the ocean blue (even Columbus would have had to use this type of reasoning, for he would have had to infer why he did not sail off the edge).
In more recent times, astronomers are still using inference to the best explanation to learn about the heavens. Let us consider the case of discovering planets outside our solar system, known as “exoplanets.” There are many methods employed to discover planets orbiting other stars. One of them, the radial velocity method, uses small changes in the frequency of light a
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Section 6.5 Inference to the Best Explanation
star emits. A star with a large planet orbiting it will wobble a little bit as the planet pulls on the star. That wobble will result in a pattern of changes in the frequency of light coming from the star. When astronomers see this pattern, they conclude that there is a planet orbiting the star. We can more fully explicate this reasoning in the following way:
That star’s light changes in a specific pattern.
Something must explain the changes.
A large planet orbiting the star would explain the changes.
No other explanation is as likely as the explanation provided by the large planet.
Therefore, that star probably has a large planet orbiting it.
The basic idea is that if there must be an explanation, and one of the available explanations is better than all the others, then that explanation is the one that is most likely to be true. The key issue here is that the explanation inferred in the conclusion has to be the best explanation available. If another explanation is as good—or better—then the inference is not nearly as strong.
Virtue of Simplicity
Another way to think about inferences to the best explanation is that they choose the simplest explanation from among otherwise equal explanations. In other words, if two theories make the same prediction, the one that gives the simplest explanation is usually the best one. This standard for comparing scientific theories is known as Occam’s razor, because it was originally posited by William of Ockham in the 14th century (Gibbs & Hiroshi, 1997).
A great example of this principle is Galileo’s demonstration that the sun, not the earth, is at the center of the solar system. Galileo’s theory provided the simplest explanation of observations about the planets. His heliocentric model, for example, provides a simpler explanation for the phases of Venus and why some of the planets appear to move backward (retrograde motion) than does the geocentric model. Geocentric astronomers tried to explain both of these with the idea that the planets sometimes make little loops (called epicycles) within their orbits (Gronwall, 2006). While it is certainly conceivable that they do make little loops, it seems to make the theory unnecessarily complex, because it requires a type of motion with no independent explanation of why it occurs, whereas Galileo’s theory does not require such extra assumptions.
Therefore, putting the sun at the center allows one to explain observed phenomena in the most simple manner possible, without making ad hoc assumptions (like epicycles) that today seem absurd. Galileo’s theory was ultimately correct, and he demonstrated it with strong inductive (more specifically, abductive) reasoning. (For another example of Occam’s razor at work, see A Closer Look: Abductive Reasoning and the Matrix.)
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Section 6.5 Inference to the Best Explanation
A Closer Look: Abductive Reasoning and the Matrix
One of the great questions from the history of philosophy is, “How do we know that the world exists outside of us as we perceive it?” We see a tree and we infer that it exists, but do we actually know for sure that it exists? The argument seems to go as follows:
I see a tree.
Therefore, a tree exists.
This inference, however, is invalid; it is possible for the premise to be true and the conclusion false. For example, we could be dreaming. Perhaps we think that the testimony of our other senses will make the argument valid:
I see a tree, I hear a tree, I feel a tree, and I smell a tree.
Therefore, a tree exists.
However, this argument is still invalid; it is possible that we could be dreaming all of those things as well. Some people state that senses like smell do not exist within dreams, but how do we know that is true? Perhaps we only dreamed that someone said that! In any case, even that would not rescue our argument, for there is an even stronger way to make the premise true and the conclusion false: What if your brain is actually in a vat somewhere attached to a computer, and a scientist is directly controlling all of your perceptions? (Or think of the 1999 movie The Matrix, in which humans are living in a simulated reality created by machines.)
One individual who struggled with these types of questions (though there were no computers back then) was a French philosopher named René Descartes. He sought a deductive proof that the world outside of us is real, despite these types of disturbing possibilities (Descartes, 1641/1993). He eventually came up with one of philosophy’s most famous arguments, “I think, therefore, I am” (or, more precisely, “I am thinking, therefore, I exist”), and from there attempted to prove that the world must exist outside of him.
Many philosophers feel that Descartes did a great job of raising difficult questions, but most feel that he failed in his attempt to find deductive proof of the world outside of our minds. Other philosophers, including David Hume, despaired of the possibility of a proof that we know that there is a world outside of us and became skeptics: They decided that absolute knowledge of a world outside of us is impossible (Hume, 1902).
However, perhaps the problem is not the failure of the particular arguments but the type of reasoning employed. Perhaps the solution is not deductive at all but rather abductive. It is not that it is logically impossible that tables and chairs and trees (and even other people) do not really exist; it is just that their actual existence provides the best explanation of our experiences. Consider these competing explanations of our experiences:

We are dreaming this whole thing.

We are hallucinating all of this.
©Warner Bros./Courtesy Everett CollectionIn The Matrix, we learn that our world is simulated by machines, and although we can see X, hear X, and feel X, X does not exist.
(continued)
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Section 6.5 Inference to the Best Explanation

Our brains are in a vat being controlled by a scientist.

Light waves are bouncing off the molecules on the surface of the tree and entering our eyeballs, where they are turned into electrical impulses that travel along neurons into our brains, somehow causing us to have the perception of a tree.
It may seem at first glance that the final option is the most complex and so should be rejected. However, let us take a closer look. The first two options do not offer much of an explanation for the details of our experience. They do not tell us why we are seeing a tree rather than something else or nothing at all. The third option seems to assume that there is a real world somewhere from which these experiences are generated (that is, the lab with the scientist in it). The full explanation of how things work in that world presumably must involve some complex laws of physics as well. There is no obvious reason to think that such an account would require fewer assumptions than an account of the world as we see it. Hence, all things considered, if our goal is to create a full explanation of reality, the final option seems to give the best account of why we are seeing the tree. It explains our observations without needless extra assumptions.
Therefore, if knowledge is assumed only to be deductive, then perhaps we do not know (with absolute deductive certainty) that there is a world outside of us. However, when we consider abductive knowledge, our evidence for the existence of the world as we see it may be rather strong.
A Closer Look: Abductive Reasoning and the Matrix (continued)
How to Assess an Explanation
There are many factors that influence the strength of an inference to the best explanation. However, when testing inferences to the best explanation for strength, these questions are good to keep in mind:

Does it agree well with the rest of human knowledge? Suggesting that your roommate’s car is gone because it floated away, for example, is not a very credible story because it would violate the laws of physics.

Does it provide the simplest explanation of the observed phenomena? According to Occam’s razor, we want to explain why things happen without unnecessary complexity.

Does it explain all relevant observations? We cannot simply ignore contradicting data because it contradicts our theory; we have to be able to explain why we see what we see.

Is it noncircular? Some explanations merely lead us in a circle. Stating that it is raining because water is falling from the sky, for example, does not give us any new information about what causes the water to fall.

Is it testable? Suggesting that invisible elves stole the car does not allow for empirical confirmation. An explanation is stronger if its elements are potentially observable.

Does it help us explain other phenomena as well? The best scientific theories do not just explain one thing but allow us to understand a whole range of related phenomena. This principle is called fecundity. Galileo’s explanation of the orbits of the planets is an example of a fecund theory because it explains several things all at once.
An explanation that has all of these virtues is likely to be better than one that does not.
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Section 6.5 Inference to the Best Explanation
A Limitation
One limitation of inference to the best explanation is that it depends on our coming up with the correct explanation as one of the candidates. If we do not think of the correct explanation when trying to imagine possible explanation, then inference to the best explanation can steer us wrong. This can happen with any inductive argument, of course; inductive arguments always carry some possibility that the conclusion may be false even if the premises are true. However, this limitation is a particular danger with inference to the best explanation because it relies on our being able to imagine the true explanation.
This is one reason that it is essential to always keep an open mind when using this technique. Further information may introduce new explanations or change which explanation is best. Being open to further information is important for all inductive inferences, but especially so for those involving inference to the best explanation.
Practice Problems 6.5
1.
This philosopher coined the term abductive reasoning.
a.
Karl Popper
b.
Charles Sanders Peirce
c.
Aristotle
d.
G. W. F. Hegel
2.
Sherlock Holmes is often said to be engaging in this form of reasoning, even though from a logical perspective he wasn’t.
a.
deductive
b.
inductive
c.
abductive
d.
productive
3.
In a specific city that happens to be a popular tourist destination, the number of residents going to the emergency rooms for asthma attacks increases in the summer. When the winter comes and tourism decreases, the number of asthma attacks goes down. What is the most probable inference to be drawn in this situation?
a.
The locals are allergic to tourists.
b.
Summer is the time that most people generally have asthma attacks.
c.
The increased tourism leads to higher levels of air pollution due to traffic.
d.
The tourists pollute the ocean with trash that then causes the locals to get sick.
4.
A couple goes to dinner and shares an appetizer, entrée, and dessert. Only one of the two gets sick. She drank a glass of wine, and her husband drank a beer. What is the most probable inference to be drawn in this situation?
a.
The wine was the cause of the sickness.
b.
The beer protected the man from the sickness.
c.
The appetizer affected the woman but not the man.
d.
The wine was rotten.
(continued)
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Section 6.5 Inference to the Best Explanation
5.
You are watching a magic performance, and there is a woman who appears to be floating in space. The magician passes a ring over her to give the impression that she is floating. What explanation fits best with Occam’s razor?
a.
The woman is actually floating off the ground.
b.
The magician is a great magician.
c.
There is some sort of unseen physical object holding the woman.
6.
You get a stomachache after eating out at a restaurant. What explanation fits best with Occam’s razor?
a.
You contracted Ebola and are in the beginning phases of symptoms.
b.
Someone poisoned the food that you ate.
c.
Something was wrong with the food you ate.
7.
In order to determine how a disease was spread in humans, researchers placed two groups of people into two rooms. Both rooms were exactly alike, and no people touched each other while in the rooms. However, researchers placed someone who was infected with the disease in one room. They found that those who were in the room with the infected person got sick, whereas those who were not with an infected person remained well. What explanation fits best with Occam’s razor?
a.
The disease is spread through direct physical contact.
b.
The disease is spread by airborne transmission.
c.
The people in the first room were already sick as well.
8.
There is a dent in your car door when you come out of the grocery store. What explanation fits best with Occam’s razor?
a.
Some other patron of the store hit your car with their car.
b.
A child kicked your door when walking into the store.
c.
Bad things tend to happen only to you in these types of situations.
9.
A student submits a paper that has an 80% matching rate when submitted to Turnitin. There are multiple sites that align exactly with the content of the paper. What explanation fits best with Occam’s razor?
a.
The student didn’t know it was wrong to copy things word for word without citing.
b.
The student knowingly took material that he did not write and used it as his own.
c.
Someone else copied the student’s work.
10.
You are a man, and you jokingly take a pregnancy test. The test comes up positive. What explanation fits best with Occam’s razor?
a.
You are pregnant.
b.
The test is correct.
c.
The test is defective.
11.
A bomb goes off in a supermarket in London. A terrorist group takes credit for the bombing. What explanation fits best with Occam’s razor?
a.
The British government is trying to cover up the bombing by blaming a terrorist group.
b.
The terrorist group is the cause of the bombing.
c.
The U.S. government actually bombed the market to get the British to help them fight terrorist groups.
Practice Problems 6.5 (continued)
(continued)
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Section 6.5 Inference to the Best Explanation
12.
You have friends and extended family over for Thanksgiving dinner. There are kids running through the house. You check the turkey and find that it is overcooked because the temperature on the oven is too high. What explanation fits best with Occam’s razor?
a.
The oven increased the temperature on its own.
b.
Someone turned up the heat to sabotage your turkey.
c.
You bumped the knob when you were putting something into the oven.
13.
Researchers recently mapped the genome of a human skeleton that was 45,000 years old. They found long fragments of Neanderthal DNA integrated into this human genome. What explanation fits best with Occam’s razor?
a.
Humans and Neanderthals interbred at some point prior to the life of this human.
b.
The scientists used a faulty method in establishing the genetic sequence.
c.
This was actually a Neanderthal skeleton.
14.
There is a recent downturn in employment and the economy. A politically far-leaning radio host claims that the downturn in the economy is the direct result of the president’s actions. What explanation fits best with Occam’s razor?
a.
The downturn in employment is due to many factors, and more research is in order.
b.
The downturn in employment is due to the president’s actions.
c.
The downturn in employment is really no one’s fault.
15.
In order for an explanation to be adequate, one should remember that __________.
a.
it should agree with other human knowledge
b.
it should include the highest level of complexity
c.
it should assume the thing it is trying to prove
d.
there are outlying situations that contradict the explanation
16.
The fecundity of an explanation refers to its __________.
a.
breadth of explanatory power
b.
inability to provide an understanding of a phenomenon
c.
lack of connection to what is being examined
d.
ability to bear children
17.
Why might one choose to use an inductive argument rather than a deductive argument?
a.
One possible explanation must be the correct one.
b.
The argument relates to something that is probabilistic rather than absolute.
c.
An inductive argument makes the argument valid.
d.
One should always use inductive arguments when possible.
18.
This is the method by which one can make a valid argument invalid.
a.
adding false supporting premises
b.
demonstrating that the argument is valid
c.
adding true supporting premises
d.
valid arguments cannot be made invalid
(continued)
Practice Problems 6.5 (continued)
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Section 6.5 Inference to the Best Explanation
19.
This form of inductive argument moves from the general to the specific.
a.
generalizations
b.
statistical syllogisms
c.
hypothetical syllogism
d.
modus tollens
Questions 20–24 relate to the following passage:
If I had gone to the theater, then I would have seen the new film about aliens. I didn’t go to the theater though, so I didn’t see the movie. I think that films about aliens and supernatural events are able to teach people a lot about what the future might hold in the realm of technology. Things like cell phones and space travel were only dreams in old movies, and now they actually exist. Science fiction can also demonstrate new futures in which people are more accepting of those that are different from them. The different species of characters in these films all working together and interacting with one another in harmony displays the unity of different people without explicitly making race or ethnicity an issue, thereby bringing people into these forms of thought without turning those away who do not want to explicitly confront these issues.
20.
How many arguments are in this passage?
a.
0
b.
1
c.
2
d.
3
21.
How many deductive arguments are in this passage?
a.
0
b.
1
c.
2
d.
3
22.
How many inductive arguments are in this passage?
a.
0
b.
1
c.
2
d.
3
23.
Which of the following are conclusions in the passage? Select all that apply.
a.
If I had gone to the theater, then I would have seen the new film about aliens.
b.
I didn’t go to the theater.
c.
Films about aliens and supernatural events are able to teach people a lot about what the future might hold in the realm of technology.
d.
The different species of characters in these films all working together and interacting with one another in harmony displays the unity of different people without explicitly making race or ethnicity an issue.
24.
Which change to the deductive argument would make it valid? Select all that apply.
a.
Changing the first sentence to “If I would have gone to the theater, I would not have seen the new film about aliens.”
b.
Changing the second sentence to “I didn’t see the new film about aliens.”
c.
Changing the conclusion to “Alien movies are at the theater.”
d.
Changing the second sentence to “I didn’t see the movie, so I didn’t go to the theater.”
Practice Problems 6.5 (continued)
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Summary and Resources
Summary and Resources
Chapter Summary
Although induction and deduction are treated differently in the field of logic, they are frequently
combined in arguments. Arguments with both deductive and inductive components
are generally considered to be inductive as a whole, but the important thing is to recognize
when deduction and induction are being used within the argument. Arguments that combine
inductive and deductive elements can take advantage of the strengths of each. They can
retain the robustness and persuasiveness of inductive arguments while using the stronger
connections of deductive arguments where these are available.
Science is one discipline in which we can see inductive and deductive arguments play out in
this fashion. The hypothetico–deductive method is one of the central logical tools of science.
It uses a deductive form to draw a conclusion from inductively supported premises. The
hypothetico–deductive method excels at disconfirming or falsifying hypotheses but cannot
be used to confirm hypotheses directly.
Inference to the best explanation, however, does provide evidence supporting the truth of a
hypothesis if it provides the best explanation of our observations and withstands our best
attempts at refutation. A key limitation of this method is that it depends on our being able to
come up with the correct explanation as a possibility in the first place. Nevertheless, it is a
powerful form of inference that is used all the time, not only in science but in our daily lives.
Critical Thinking Questions
1. You have probably encountered numerous conspiracy theories on the Internet and
in popular media. One such theory is that 9/11 was actually plotted and orchestrated
by the U.S. government. What is the relationship between conspiracy theories
and inference to the best possible explanation? In this example, do you think that
this is a better explanation than the most popular one? Why or why not?
2. What are some methods you can use to determine whether or not information
represents the best possible explanation of events? How can you evaluate sources of
information to determine whether or not they should be trusted?
3. Descartes claimed that it might be the case that humans are totally deceived about
all aspects of their existence. He went so far as to claim that God could be evil and
could be making it so that human perception is completely wrong about everything.
However, he also claimed that there is one thing that cannot be doubted: So long as
he is thinking, it is impossible for him to doubt that it is he who is thinking. Hence, so
long as he thinks, he exists. Do you think that this argument establishes the inherent
existence of the thinking being? Why or why not?
4. Have you ever been persuaded by an argument that ended up leading you to a false
conclusion? If so, what happened, and what could you have done differently to prevent
yourself from believing a false conclusion?
5. How can you incorporate elements of the hypothetico–deductive method into your
own problem solving? Are there methods here that can be used to analyze situations
in your personal and professional life? What can we learn about the search for truth
from the methods that scientists use to enhance knowledge?
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Summary and Resources
abductive reasoning See inference to the
best explanation.
falsifiable Describes a claim that is conceivably
possible to prove false. That does not
mean that it is false; only that prior to testing,
it is possible that it could have been.
falsification The effort to disprove a claim
(typically by finding a counterexample to it).
hypothesis A conjecture about how some
part of the world works.
hypothetico–deductive method The
method of creating a hypothesis and
then attempting to falsify it through
experimentation.
inference to the best explanation The
process of inferring something to be true
because it is the most likely explanation of
some observations. Also known as abductive
reasoning.
Occam’s razor The principle that, when
seeking an explanation for some phenomena,
the simpler the explanation the better.
self-sealing propositions Claims that cannot
be proved false because they are interpreted
in a way that protects them against
any possible counterexample.
Web Resources

Watch Ashford professor Justin Harrison lecture on the difference between inductive and
deductive arguments.

Shmoop offers an animated video on the difference between induction and deduction.
http://www.ac4d.com/2012/06/03/abductive-reasoning-in-airport-security-and-profiling
Design expert Jon Kolko applies abductive reasoning to airport security in this blog post.
Key Terms
Answers to Practice Problems
Practice Problems 6.1
1. d
2. a
3. b
4. b
Practice Problems 6.2
1. a
2. a
3. a
4. a
Practice Problem 6.3
1. b
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Summary and Resources
Practice Problems 6.4
1. b
2. c
3. d
4. d
5. b
Practice Problems 6.5
1. b
2. a
3. c
4. a
5. c
6. c
7. b
8. a
9. b
10. c
11. b
12. c
13. a
14. a
15. a
16. a
17. b
18. d
19. b
20. d
21. b
22. c
23. c
24. d
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What is behind these high rates of truancy and chronic absenteeism among school students?

Bullying, Peer Social Support, and Absenteeism Relationship: A Correlational Study

Concordia University-Portland

2019

Abstract

 Previous studies into the field of truancy and absenteeism in secondary schools have categorized significant truancy causes and absenteeism into four groups. Also, most of the previous studies have a longstanding view that the problematic issue of truancy exists only in one single domain which is the schools.  Scholars who have studied the effect of absenteeism and truancy in secondary school have not taken into account the existing assertions that have become a topic of discussion in various forums. These forums suggest the ways through which the simplistic thinking can be used to place severe constraints that can be used to understand the various complex ways through which a child can develop the truant behaviors that they may exhibit later in life. According to Ingul and Nordahl (2013), the simplistic thinking through which students develop the missing behaviors are always vital to understanding the primary cause of truant behaviors and solutions. Viewing the problem of school truancy must be completed as a multi-dimensional issue with a multitude of factors coming into play. The various factors that correlate to truancy as per the existing literature are known to be numerous and diverse, making truancy to be a broad topic with various causes and effects. Truancy is also believed to exist in the context of interaction which includes the interaction between the various students through which they acquire some of these characteristics. Some of the interaction effects also include the support accorded to the students from the peers, the experience the students acquire from the school environment and the settings of the community in general. The purpose of this correlational study is to determine whether a relationship exists between bullying and absenteeism in school students of age 18 and above within rural settings. Also, the study attempts to establish the relationship between peer social support and absenteeism among students of age 18 and above within rural settings.

Table of Contents

Abstract                                                                                                                                   2

Chapter One:                                                                                                                           5

Introduction                                                                                                                5

Background, Context, History, and Conceptual Framework of the Problem                        9

Problem Statement                                                                                                      12

Purpose of Proposed Study                                                                                        12

Research Questions                                                                                                     13

Hypothesis                                                                                                                  13

Rationale, Relevance, and Significance of the Proposed Study                                13

Definition of Terms                                                                                                    15

Assumptions, Delimitations, and Limitations                                                             15

Summary                                                                                                                     17

Chapter Two:  Literature Review                                                                                           17

Introduction                                                                                                                17

Conceptual Framework                                                                                               19

Behaviorism Theory                                                                                                    25

Cognitive Information Processing                                                                              26

Review of Research Literature and Methodological Literature                                 29

Review of the Methodological Findings                                                                    37

Synthesis of the Research Findings                                                                            40

Critique of the Previous Research                                                                              42

Summary                                                                                                                     46

Chapter Three:  Methodology                                                                                                 47

Introduction                                                                                                                47

Purpose of the Proposed Study                                                                                  49

Research Questions                                                                                                     50

Research Design                                                                                                         50

Target Population, Sampling Method and Related Procedures                                  52

Instrumentation                                                                                                           53

Data Collection                                                                                                           56

Operationalization of Variables                                                                                  57

Data Analysis Procedures                                                                                           59

Limitations and Delimitations of the Research Design                                              60

Limitations                                                                                                                  60

Delimitations                                                                                                               61

Validity                                                                                                                       61

Expected Findings                                                                                                      62

Ethical Issues in the Proposed Study                                                                         63

Summary                                                                                                                     63

References                                                                                                                              65                                                                                                                           Chapter One: IntroductionIntroduction

Each day, hundreds of thousands of American learners are out of school without permissible excuses, and this habit has risen to among the top ten major problems experienced by schools across the nation (DeSocio, VanCura, & Nelson, 2007). Absenteeism has been increasing. Demir and Karabeyogular (2016) in their study noted that administrative records from secondary education indicate that there is a rapid increase compared to other levels of education. For instance, in 2008-2009, the Department of Education noticed that the ratio of students who were absent for more than 20 days to all registered secondary school students was 1.1 percent. However, in 2009-2010, that ratio had risen to 4 percent (Demir & Karabeyoglu, 2016). On the contrary, the vocational and technical secondary education attendance rate rose from 1.45 percent to 4.1percent between 2008 and 2010, clearly indicating that absenteeism is a problem that is notorious to the secondary education but not to higher institutions of education (Demir & Karabeyoglu, 2016). Truancy is not only an American educational problem, but it is also a global menace. One and a half percent, 1.8 percent, 2.0 percent and 2.4 percent of the overall student population of England, Wales, Scotland, and Ulster respectively are out of class without permission, and in Scotland, five students miss school every day (Rivers, 2010).

Ironically, student attendance is one of the significant variables contributing to higher student achievement. Studies into the relationship between school attendance and academic achievement point out a strong relationship between course attendance and standardized test scores or graduate grades (Gottrified, 2009; Nichols, 2003; Roby, 2004; Sheldon, 2007). Some researchers have suggested that the levels of attendance are direct indicator as well as determinants of academic success (Sheldon, 2007). Also, research has discovered that besides low attendance being a predictor of academic success, it also predicts high-risk factors for future education (Nichols, 2003). Fundamentally, truancy and absenteeism interrupt the learning process because the educational system is established from the assumption that students will attend school, and that success solely depends on full participation in entire classes (Rivers, 2010).

Furthermore, truancy and absenteeism carry direct and indirect costs to the individuals, families, communities, and schools. Truancy or absenteeism in school, as identified above, negatively affect student learning experience whose result is a mediocre academic achievement. The adverse effect on learning is then passed on to other learners since the teachers are sometimes forced to use the additional time to compensate for those who missed the classes. Eventually, other students lose learning time, this is a major problem in interconnected courses such as mathematics (Rivers, 2010). When learners fall behind in their learning, they are likely to lose interest which increases their chances of failing (Rivers, 2010).

Additionally, absent students set a terrible example to the rest and encourage the habit of truancy and absenteeism (Rivers, 2010). Absenteeism doubles as an indicator of low academic performance as well as diminished social and life success. Absenteeism acts as a barrier to the establishment of a solid foundation concerning a sense of responsibility and discipline. The result will show-up in discipline habits and work problems in future which may ultimately translate into an inability to work, low income or total unemployment due to failure to secure a job (Rivers, 2010). Such individuals will not raise income to sustain their families and make no positive impact on the communities.

Moreover, students who experience increased truancy and absenteeism are inclined to face psychological problems such as behavioral disorders and depression (Reid, 2003). They may also get involved in criminal violence in and out of school. Absenteeism also encourages teenage pregnancy as well as drug and substance abuse (Gottfried, 2009). In a nutshell, truancy and absenteeism are considered reliable predictors of academic failure and further consequences which include risk behaviors that will eventually impact on not only the individual but also schools, families and entire communities.

What is behind these high rates of truancy and chronic absenteeism among school students? According to Zhang, Katsiyannis, Barrett, and Wilson (2007), causes of truancy fall under four categories; family factors, school, economic influences, and student variables. This research will focus on student variables and determine relationships between student bullying, peer support, and missed school days. Student variables that potentially play a role in truancy include mental and physical health problems, self-perception, substance abuse, and detachment from school. Bullying and a lack of peer support can lead to many different student issues in school. Victims of bullying tend to be insecure which provides an excuse to miss school (Reid, 1999). According to DeSocio et al. (2007), mental and physical health issues such as depression, stress disorder and anxiety among the learners contribute to absenteeism. Kowalski, Limber, and Agatston (2012) suggested that students who are victims are relieved when the school day ends, so they have absolution from the bully. Students that held low self-perceptions were most likely to be absent from school than their counterparts who held high-self-esteem. For instance, students that felt they would not graduate from high school concluded that they would not join college and hence needed not to attend school all the time (Henry, 2007). DeSocio et al. (2007) established that 30% of truants attributed their absences to detachment or disengagement from school. Learners exhibiting school disengagement are not committed to the school, hold low aspirations for their future and are overall poor achievers (Henry, 2007).

In large schools, students may feel alienated and isolated in the school setting and choose to escape such feelings by opting to stay out of such environment (Wilkins, 2008). Such students are uncomfortable with the school environment and feel devalued, unaccepted or unwanted as a result of a lack of connection to trustworthy persons within the school. In large classrooms, teachers easily fail to meet students’ diverse needs, leading to a poor student-teacher relationship. Cumulatively, these factors lead to a school climate and attitude whereby each fends for himself or herself. Henry (2007) attributed 23% of truants as a result of learners feeling unsafe in their school environment. Logically, if a student feels unsafe, uncomfortable, and insecure in a school environment, he or she will choose not to attend.

Truancy and absenteeism among secondary school students may be as a result of the four categories; family factors, school factors, economic factors, and student variables (Zhang et al. 2007) that causes truancy identified in their research. However, since the simplistic approach places severe constraints that can be used to understand the complex issues related to truancy as well as the need to view truancy as a multi-dimensional issue with a magnitude of factors, this study seeks to identify the relationship between bullying, peer support, and missed days of school. The basic data gained from this study will provide valuable information about student’s absences from school.

Bullying is a challenge with which various learning institutions are struggling to overcome. Craig and Pepler (2007) proposed that bullying at schools takes place when people are repeatedly exposed over time to negative physical and verbal activities on part of one or more learners. The relationships of bullying involve imbalance of power and strength. It involves repeated aggressive activities committed by people who have power advantages over their victims (Craig & Pepler, 2007). Application of exact definitions to bullying may be hard since bullying has transformed and continues to change in line with societal transformations. For instance, as technologies develop, new opportunities for possible bullying also develop. The idea that a behavior of a person, as described by Social Learning Theory (Clark, 2013), is learned by emulating and observing the behaviors of others are significant to this research since it can assist school districts to better comprehend why bullying may be occurring in their learning institutions, especially secondary schools and the way to deal with it.

Ingul and Nordahl (2013) noted that because experiences of social interactions can shape behavior, both the victims and the bullies are in a position of learning pro-social behaviors which are suitable for schools in case those pro-social behaviors are modeled or observed as well as openly supported and taught by educators. Today, teachers are more aware of the direct bullying effects on peer social relationships due to the augmented attention provided to victimization impacts on other in settings of the public schools. Nevertheless, educators still note: they are not ready to operate with learners who bully, having limited comprehension or knowledge of the related bullying and aggression effects on other school variables like attendance and academic achievement for both perpetrators’ and victims’ together with other victimized learners in proximity to the bullies.

Background, Context, History and Conceptual Framework of the Problem

The plethora of the literature that is available shows that the causes of truancy and absenteeism can be grouped as school sourced, teachers’ sourced, parents’ sourced, students’ sourced, and psychology sourced (Zhang et al., 2007). School-related truancy and absenteeism causes are those related to existing relationships between the teachers and the students and affect their behaviors. They also include the school factors such as school climate, attitudes, class size, school disciplinary policy on truancy, and ability to meet the diverse needs of the learners (Wilkins, 2008). In large-size schools, students often feel isolated, and to escape they choose not to attend school (Dahl, 2016). Often, these students tend to feel uncomfortable, unvalued, unwanted, insecure, and unaccepted. The students often lack connection to individuals within the school whom they can trust and turn to, in case they have a problem (Dahl, 2016). Unsafe school environment prompts learners to skip school (Henry & Yelkpieri, 2017). Where the school policy on truancy allows teachers to impose severe punishment on the truant students, the situation may even worsen further (Tobin, 2009).

Balfanz and Bynes (2012) stated that parents also play a role in encouraging school truancy in their children. Depending on the nature of the family in which a given child hails, there exist many factors which may dictate the behavior of the child. Factors such as parenting styles, the divorce, and the breakdown of parents always largely contribute to the behaviors of the children (Balfanz & Bynes, 2012). Also, parents who fail to supervise their children after school contributes to higher truancy levels (Henry & Yelkpieri, 2017). Similarly, household incomes have a bearing on truancy levels. For example, children from low-income families tend to exhibit higher truancy than their counterparts (Zhang et al., 2007).

Truancy may also arise from the student factors. Student psychology is a crucial determinant in truancy. According to Chen, Culhane, Metraux, Park, & Venable (2016), the psychological moods of the students are always the primary determinant of their decision to go to school. Enomoto (2007) mentioned that when the students feel ignored by their teachers, they lose the morale of going to school. The motivation of these students is crucial for their self-esteem which dictates their school attendance. Also, students with mental health problems such as stress disorder, depression, anxiety, and substance abuse are likely to skip school more often. Henry and Yelkpieri (2017) established that students who abused substances, such as alcohol, were more likely to skip school than their counterparts. Students are likely to become truant if they smoke cigarettes and marijuana at least once a month (Henry & Yelkpieri, 2017). Student’s self-perception also determines truancy, since those who hold lower perceptions opt to skip school more regularly than those who hold higher self-perceptions and their future (Henry & Yelkpieri, 2017).

According to Barger (2018) and Kennedy, Russom and Kevorkian (2012) today, school attendance is one of the most perplexing problems experienced in public schools across the globe. Teachers often compromise the effective discharge of their professional responsibilities by several challenges which are independent of the attendance of the students in these schools. Barger (2018) continues by saying these challenges are often differing viewpoints of what is and what is not bullying between the student and teacher. Thus, as a remedy, schools have stipulated to teach students the difference between bullying, positive advice, and helpful criticism while continuing to encourage good attendance (Barger, 2018). The effects of absenteeism are always far-reaching with significant consequences that may result in negative implications in various levels within society. Henry and Yelkpieri (2017) stated that truancy could be vital in predicting poor academic performance, maladjustment, school dropout, teenage pregnancy, delinquency, and substance abuse.

The long-term effects of truancy include marital instability, violence, job instability, incarceration, and adult criminality (Teasley, 2004). Truancy is also known to exert a negative effect on the community because of its correlation with crime, delinquency, as well as other adverse outcomes (Teasley, 2004). Truancy and absenteeism also lead to school dropouts and delinquency issues such as theft, burglary, and vandalism. Ekstrand (2015) consistently found a relationship between high rates of delinquency and truancy as well as the dropout rates. The youths that have dropped out of school and indulge in criminal activities finally end up behind bars in the United States (Dahl, 2016). They will add to the escalating number of inmates who have continued to siphon much of the public resources (Holtes, Bannink, Zwanenburg, As, Raat, & Broeren, 2015).

Predictor Variables

–          Bullying

 

 

–          Peer Social Support

Relationship:

-As bullying occurs, missed days of school increase.

-As bullying does not occur, missed days of school decrease.

-Peer Social Support is lacking, missed days of school increase.

-Peer Social Support is present, missed days of school decrease.

Criterion Variable

 

–          School absences

 

 

Figure 1. Conceptual Framework

Problem Statement

In identifying the problem of absenteeism in a County in a rural Virginia school division one must investigate some of the causes of why students miss school.  The county school division is making a focused effort to maximize student attendance and lower yearly absences (Rockingham County Public Schools Student Handbook, 2018). It is the goal of the researcher to determine if two predictor variables (bullying and peer social support) have a relationship with the criterion variable (school absences).

 

Purpose of the Proposed Study

The purpose of this quantitative correlational study is to determine whether a relationship exists between bullying and absenteeism in school students of age 18 and above within rural settings. Also, the study attempts to establish the relationship between peer social support and absenteeism among students of age 18 and above within rural settings.

The proposed study intends to use the findings and conclusions as a foundation to potentially build on another study to investigate how the two variables lead to absenteeism. The examination of each of these issues will be necessary to discern which variable plays a significant role in truancy and absenteeism among the 18-year-old secondary school students to cause a higher rate of truancy. Examining the factors will allow the researcher and the beneficiaries of the study findings to identify peculiar characteristics contributing to the significant difference in truancy and absenteeism among verified participants.

Research Questions

  1. Is there any relationship between peer social support and school absences?
  2. Is there any relationship between being bullied and school absences?

Hypotheses

H01: There is no significant relationship between peer social support and school absences.

HA1: There is a significant relationship between peer social support and school absences.

H02: There is no significant relationship between being bullied and school absences.

HA2: There is a significant relationship between being bullied and school absences.

 Rationale, Relevance, and Significance of the Proposed Study

The primary purpose of this study is to identify a possible relationship between students bullied and school absences. Also, there is possible relationship between peer social support and school absences. The objective of the research will potentially enable educational experts as well as the schools’ administration to find ways of reducing the ever-increasing rate of school absenteeism. The success or performance of the students in secondary schools has been most affected by the high level of absenteeism in different institutions (Reid, 1999). This research will act as the foundation for the future solution aimed at increasing attendance through the eradication or minimizing student absenteeism which is one of the major performance problems in secondary schools (Nichols, 2003). School absenteeism greatly affects many students and, as a result, it has been the central issue of concern to the parents, teachers, and administrators. It also has accompanying costs such as depression, unemployment, and illiteracy to the student, other students, the school and the entire community (Reid, 1999).

Furthermore, there is lack of enough studies capable of providing a solution to the school attendance problem hence the need to conduct this research. Previous studies by Sahin, Arseven, and Kilic (2016) and Fan and Wolters (2014) have examined the issue of truancy and absenteeism in general or among the entire secondary school population. With this quantitative research, the actual data will be applied to enable the educators to understand specifically two causes of attendance problems and after that find appropriate measures on how to address the problem. Of essence is to focus on the 18-year-old attendance issues and from there understand the pertinent issues such as school environment in determining truancy and attendance. An 18-year-old is typically a senior in high school and has encountered many different experiences throughout their school career.

The proposed research will be practical in that there will be no use of secondary data or qualitative studies to answer the research questions. For the proposed research, applying systematic and theoretical analysis as the methodology is essential. The raw data from the real world set up will be analysed casting no doubt on the applicability of its findings. Logically, the best solutions to a problem are those founded on the real facts in the actual setting. Therefore, by ascertaining the relationships between bullying, peer social support, and missed school days’ help identify two possible causes for truancy.

Definition of Terms

Absenteeism. Literature provides slightly varying definitions for absenteeism. Some scholars (Altinkurt, 2008; Kearney, 2008) consider absenteeism as the absence of schooling by using a verified excuse or using an unverifiable excuse. Some consider absenteeism as a general term used when referring to a general absence from school or work without any valid reason (Akbasli, Sahin, & Yilmaz, 2017). For the proposed study, the researcher defines absenteeism as the student’s absence from school because of a particular reason. The proposed study considers absenteeism as a phenomenon that result from some causes which are either related to the school, the parent or the student. Therefore, for a student to miss school there must be an underlying reason which the study wants to uncover through inquiry.

Truancy. Akbasli, et al. (2017) defined truancy as a situation whereby a learner deliberately stays away from school without permission. It is synonymous with “skipping off”, “dodging”, “going missing”, and “mitching” (Akbasli et al., 2017). The proposed study similarly defined truancy and often uses “skipping of school” to mean the same thing. Additionally, Akbasli et al. (2017) defined truancy as any intentional, unauthorized, unjustified, as well as the illegal absence of an individual from compulsory education. The absence resulting from truancy is often due to a free will of the students and is not inclusive of the legitimate absence that may arise due to an excused absence.

Assumptions, Delimitations, and Limitations

Assumptions: Researchers have any number of items in their study that they recognize as authentic (“Stating the Obvious,” n.d.). These authentic items are known as assumptions. Within the proposed study there includes some assumptions. The first assumption is that 18-year-old students have encountered experiences that lead them to miss days of school. Depending on the student, such experiences may affect the way they feel about the school, safe or unsafe. When it feels unsafe, the researcher assumes the days missed will likely be high. Every school day missed is accounted for is another assumption. In other words, every student that is absent from school has a reason either valid or invalid, but which accounts for why he or she chose to skip school. The last assumption is that schools implement general programs to deal with absenteeism without considering the main cause of the issue which may vary from one student to another. As a result, students may be punished or face a court hearing which does not address the needs and do not account for an individual’s absenteeism.

Limitations: Every study has its failings that the researcher does not have authority over (“Stating the Obvious,” n.d.). These failings are known as limitations. The proposed study survey questions have been written to aid in the collection of data on the amount of bullying and the amount of peer social support that a student experiences in high school. This means that much of the data is collected from students and their self-report concerning bullying, peer social support, and school attendance. However, the researcher will provide a definition of each variable in an attempt to limit the subjectivity of the respondent’s answers. Also, finding enough students to participate in the study may be challenging because some of them may decline to participate.

Delimitations: When developing and organizing studies researchers must define the perimeters of the study. Examples of the perimeters are the objective, variable, and research questions. The three examples are in the control of the researcher and is known as delimitations (“Stating the Obvious,” n.d.). With this study several delimitations are associated. First, information is only obtained from three of the four high schools located in the rural area of Virginia.  Secondly, the research delimited the two surveys to students that are 18 years of age and older that continue to be enrolled in school. Lastly, delimitations were not applied to other characteristics that may include special needs students, students that are on free and reduced lunch, socioeconomic status, gender or diversity of the students.

Summary

Once the proposed study is completed the researcher seeks to establish a relationship between 18-year-old students that have experienced some bullying and school absences. Additionally, the researcher seeks to establish a relationship between peer social support and school absences. Identifying and examining the main variables of bullying, peer social support, and school absences identified in the literature as possible causes for students to miss school frequently.

The researcher organized the proposed study into five chapters. The first chapter will introduce the reader of the dissertation to the research problem, research question, relevance, rationale and significance of the study. It also defines essential terms used in the study to help the reader understand what they mean in the context of the research. A literature review documents the existing literature on bullying and absenteeism in the second chapter. It enlightens the reader on what is already known about the research problems. The third chapter will focus on the proposed study’s methodologies. It shall explain the methods used by the researcher to answer the research questions. It shall also explain the approaches used to analyse and present the study findings. The fourth chapter will consist of results and discussion. In this chapter, the researcher provides the results and analysis, and then follows up by a discussion of the results. Finally, the dissertation will end with chapter five by providing conclusions and recommendations.

 

 

Chapter Two: Literature Review

Introduction

According to Mishna (2012), bullying is a form of hostility which can either be indirect or direct. Bullying occurs in an influential environment by parties engaging in verbal, mental, and physical activity. Bullying leads to absenteeism among school students. Absenteeism entails regularly staying away from school without a valid reason. Pupils who engage in truancy fail to attend classes due to fear of avoiding harassment.

Bullying is rampant among teens in the United States. A quarter of students experience bullying according to research on harassment in 2013 from the Centers for Disease Control and Prevention (CDC). 15.5% of students miss school due to harassment, while 4.1% are absent due to rational reasons (Adolesc, 2015). Furthermore, electronic bullying leads to absenteeism, according to Grinshteyn and Tony Yang (2017). Most students are absent from school because of fear. Students with chronic conditions are absent from school since they are victims of regular bullying, according to Grinshteyn and Tony Yang (2017). Interventions assists in reducing bullying rates. Integrating community efforts and school management contributes to influencing avoidance of harassment in schools. Unfortunately, several approaches which have been put in place to curb bullying in high school have been futile.

Factors that contribute to bullying in high school include cultural conditions, peer groups, family, and individual features (Mishna, 2012). Bullying is a repetitive act which is hazardous. Prejudice is a form of bullying which takes place when one is not a member of a specific gender and has different ideology concerning a particular group (Mishna, 2012). High school students torment their colleagues because they are not in the same social status, gender, and racial disparity. Moreover, high school students are victims of harassment because of having low self-esteem, lack of confidence, and absence of support from teachers.

Bullying leads to students being absent from school because they feel insecure. Research by Grinshteyn and Tony Yang (2017) shows how electronic bullying makes students engage in absenteeism more often than those who are not victims of harassment. Victims of bullying engage in binge drinking because of depression (Grinshteyn & Yang, 2017). Harassment makes students feel hopeless daily due to fear. Students who are absent due to bullying achieve poor performance. Absent students fail to attend classes with essential subjects and teachings.

Furthermore, harassment results in high levels of unhappiness, anxiety, insecurity, depression, low self-esteem, mental and physical symptoms (Gruber & Fineran, 2007). Victims of annoyance have difficulty in making friends, isolation, and weak interactions with their classmates. Victims of a bully do not build strong relations with other parties — students who encounter bullying experience high levels of despair. Harassment facilitates the development of anxiety and depression among students. Records show that 20% of school victims had a clinical range on normal anxiety and depression measure in research by Espelage and Holt (2001).

Truancy refers to any intentional, unlawful, and inexcusable absence of an individual from compulsory education (Jones, 2019). [JD1]Absence resulting from absenteeism is often not legitimate since it happens at free will. Legal procedures that emanate from absenteeism does not relate to absence due to valid reasons. Schools across the globe employ policies and measures which intervene on truancy among their students. Truancy leads to the inability to graduate and receive class credits among school students. Truant students have to make for nonattendance through fines and summer schooling.

Institutions, districts, and governments have put in place various strategies for recognizing truancy. Mechanisms collectively identify consecutive illegal absence from school as a standard definition. In a report by Baker, Sigmon, and Nugent (2001), most students practice truancy in the United States, leading to schools ranking it in their top ten challenges. Many students fail to attend classes without a valid excuse from the relevant authority. Eventually, truancy significantly contributes to undermining the educational system of the United States. Menace of truancy and absenteeism intensifies from schools to other environments. Nonetheless, absenteeism not only affects students in the United States but also affects school students in the UK countries such as Scotland, England, Ulster and Wales (Grant, 2007, Shute & Cooper, 2015, Truancy rates worst in the UK: Education, 2008).

According to Reid (2006), school attendance critical variables simplifies measuring of achievement levels among students. Students who display long-lasting absenteeism tend to practice truancy hence suggesting the need for implementation of corrective measures. Intervention which curbs truancy needs proper approach. Truancy and absenteeism have devastating impacts if no response is applicable, therefore requiring urgent supervision from specialists. Absenteeism affects the progress of students through adverse physical, social, and psychological effects. Nonattendance expresses the student’s negative emotional state about school. Moreover, absenteeism represents many different motives that the teachers, as well as parents, need to take into account (Reid, 2006).

The accomplishment of school students in their coursework depends on their daily appearance in classes as well as lesson attendance. According to Breda (2014), factors which are logical such as financial constraints, sickness, high school fees, and weather conditions attribute to absenteeism. Factors contributing to truancy in school students include social status, age, mistreatment, lacking peer social support, the arrogance of teachers, and poor school administration (Mervilde, 1981). These factors need regulation for proper tackling of truancy and absenteeism among students.

Conceptual Framework

There are various groups of absenteeism classes, which includes, school sourced, teachers’ sourced, parents’ sourced, students’ sourced, and psychology sourced (Zhang et al., 2007). School sourced absenteeism emanates from existing relationships between teachers and students, which affects their behaviors. Negative thoughts among students originate from their existing human behaviors. Students incorporate harmful intentions concerning activities within the school, incompetence of staff, and harsh supervision of a school, resulting in agitation. Students whose practices entails school sourced absenteeism eventually lose curiosity regarding school attendance, according to Williams (2002). Some school students engage in truancy due to climate settings, the extent of school, the magnitude of classes, arrogances, punishment policy at school, and pleasure. Dahl (2016), alludes that students who attend large schools may seldom experience a lack of inclusion in the affairs of their school. Unfortunately, most students avoid a feeling of non-inclusion by not attending classes. Students experiencing isolation tend to feel uncomfortable, unrecognized, unwelcome, and doubtful. In most cases of separation, students lack someone whom they can confide in to find a solution to their grievances.

Students have instructional and social needs while in large classrooms. Relationship between teachers and students is always weak since instructors cannot continually address problems of every student. According to Strand and Granlund (2013) students encounter cold school climate where each survives on their own because of feeble association with teachers. Students feel insecure in whom to confide in with their problems. Henry and Yelkpieri (2017) identify in their study that 23% of the truant students who choose to avoid attending classes is due to feeling insecure. According to Tobin (2009), administering severe punishment for truant learners in such cases can only intensify the absentee behavior. Corrective measures which impacts on the functioning of students control truancy rates rather than an intensive penalty.

Williams (1999) identifies teacher sourced absenteeism, which often comes about as an outcome of teachers’ high anticipations for their students ensuing into truancy. High expectations from teachers attribute to absenteeism in students. Students tend to attend school in cases where they encounter a positive attitude from instructors (Wadesango & Machingambi, 2011). Optimistic attitude and behaviors of teachers while inside and outside of institutions affects the personality of students. Dictatorial, high expectations, and absence of communication from tutors transpire into teacher sourced absenteeism. Teachers need to establish positive interactions with students to promote lower rates of truancy.

Parents also promote school truancy in their kids. The nature of the family of a child and many other factors influences their conduct. Childcare styles, separation of parents, and failure marriages generally contribute to behaviors of kids (Balfanz & Bynes, 2012). Pressure from family often steers truancy in students. Students depend on the support of their family to continue with education. Parents’ training, household earnings, and parental supervision affect domestic homes. Henry and Yelkpieri (2017) identify a close connection between these household factors and truant behaviors among kids. Lower education levels of fathers lead to high cases of truancy in children. Likewise, in cases where the mother is a high school dropout, truancy rates also increase. Therefore, parents ought to be careful when attending to their children. Failure of establishing a healthy and positive relationship between parents and children promotes the development of parent caused truancy.

Henry and Yelkpieri (2017) indicate that children whose parents never direct them after school are probably engaging in truancy. In their study, 29.9% of the children became truant because of lack of supervision after school for periods lasting four hours. Moreover, approximately 11.3% of the children became truant because of lack of oversight thoroughly after school. Parent supervision contributes to declining of truancy cases — children who operate under supervision practice behaviors which are desirable in their households. A comparable study by Zhang et al. (2007) links truancy in kids to levels of earnings of their homes. Kids who originate from a humble background engage in truancy and eventually end up in the juvenile justice system. Kids hailing from a prosperous household do not take part in truancy behaviors regularly.

Students engage in truancy by being absent from class without giving any justification. Students fail to attend classes because of uninteresting lessons, dislike of an instructor, fear of harassment, and lower expectations. Thus, student-initiated truancy is a result of a lack of enthusiasm for education. Psychology causes truancy among students. According to Chen et al. (2016), the psychological attitudes of students are determinants of their conclusion to go to school. Enomoto (2007) identifies that ignoring the needs of students declines their determination of attending classes. Motivating students is vital for their confidence, which facilitates their class turnout. Students who receive motivation from teachers tend to attend classes frequently. Apart from psychological problems, truancy causes physical and mental fitness problems. Behaviors of students depend on their mental state. Eventually, truants engage in abuse of drugs and substances hence dropping from school. DeSocio et al. (2007) display various psychological and physical issues that prompt school absenteeism in students. Researchers establish a relationship between family and students’ mental health condition. Boyce (2002) states psychological health conditions such as post-traumatic stress disorder, hopelessness, anxiety, and drug abuse is a pointer of a developing complication. Henry and Yelkpieri (2017), implicates those who are likely to skip classes are drug abusers such as alcoholics. Truancy leads to devastating repercussions which need measures for regulation. Employing strategic interventions reduces cases of absenteeism among students.

Additionally, Henry and Yelkpieri (2017) state that students who smoke cigarette and marijuana at least once a month are likely to practice truancy. The opinion of students about themselves is essential. Interviews concerning the probability of truant students graduating from high school and attending College shows the relationship between perception and behavior. Lower understanding enhances skipping school while high knowledge lowers truancy. Students who do not comprehend affairs at schools tend to be absent in some classes. Active students participate in diverse issues of school hence minimizing their urge for engaging in truancy. 44.5% and 30% are truancy levels of students who gave answers like “probably won’t” graduate from high school and “definitely won’t” attend college respectively (Henry & Yelkpieri, 2017). Students who lack interest develop a negative attitude which favors the formation of truancy. In summary, Henry and Yelkpieri (2017) state that most students who commit high truancy levels drop out of school. Moreover, truants lack commitment and at all times, turn out to hold low ambitions and eventually become poor go-getters. Truancy leads to high levels of school dropping if not kept under supervision.

Chronic absenteeism results in a student dropping out of school. Chen et al. (2016) denote how truancy cases resulting in dropout rates are rampant in contemporary society. Chen et al. (2016) note that truancy rates are more significant in places with diverse racial disparity with low-income earners and have many high schools. Moreover, such areas encounter high rates of truancy, leading to high dropout rates. Mickelson (2018) states some regions experience more students dropping out of school than those advancing to college.

Furthermore, areas with high rates of truancy experience high crime rates leading to more imprisonment of population. Ekstrand (2015) states a relationship among high rates of law-breaking, truancy, and dropout rates. Truancy facilitates negative behaviors which relate to criminal activities and substance abuse. Drug abuse and mob activities are forms of crime in the study. Truant students later involve themselves in illegal activities such as hijacking, robbery, and sabotage leading to confinement in juveniles. Ninety-four percent of wrongdoers in minors in Rhode Island are truants from school (Ekstrand, 2015). A study by Dahl (2016) reveals that one of the ten male dropouts or one of the four black male dropouts ends up behind bars in the United States. Confinement results from truant students engaging in illegal activities that attract law enforcement.

The study by Holtes et al. (2015) reveals that the United States houses a higher fraction of its citizens than any other country across the world. The United States spends an average of roughly $20,000 per year on each convict. Additionally, the state spends about $9,391 per learner. Research shows how it is expensive to deal with repercussions of truancy like confinement. A study by Ekstrand (2015) of South Carolina’s high school shows how dropout cases are rampant. Dropout students contribute to more senior criminal activities. Research suggests that on graduating, students contribute to the economy immensely tallying to about $8 billion over their lifespan. Students who graduate end up participating in productive activities hence generate income. Educating students is beneficial to the state than detaining them since incarceration leads to more cost, which the nation incurs in the form of billions of dollars regarding lost earnings and foregone taxes. There exists a connection between truancy, dropping out, and imprisonment, which relates to the level of education (Ekstrand, 2015). High truancy rates lead to high illiteracy levels within prisons systems of the United States. People in prison lack information regarding social norms since they were absent in classes — students who drop out lack sufficient knowledge concerning essential aspects of life skills. A study by Ekstrand (2015) shows that 75% of Americans who go to jail are ignorant. Prisoners lack requisite knowledge for the application of particular skill and expertise. Most prisoners are students who drop out of school and eventually end up breaking the law — educating people results in a decline in crime rates.

Behaviorism Theory

Behaviorism theory focuses on a logical approach in comprehending behaviors of individuals. An assumption on which behaviorism theory relies is that people exhibit diverse personality in response to certain stimuli in their surroundings (Murtonen, Gruber, & Lehtinen, 2017). Moreover, behaviorism theory suggests that an individual’s state of punishment, reinforcement, and environments results in different behavior patterns. Research demonstrates how Inheritance determines actions which individuals display. Environmental factors play a vital role in modifying the manners of people. Integration of surroundings and prevalent conditions of parties greatly influences their personality.

The behaviorist theory considers various elements of methodology, philosophy, and psychological approaches. Pioneers advocate that psychological factors influence behavioral theory in the late 19th century. Mental condition and other psychological traits play an important role in enhancing behavior forms. Depth psychology and different sorts of consciousness experience troubles in coming up with testable predictions (Stoyanov, 2017). Creators of behaviorist theory include individuals like Edward Thorndike of the 19th century. Edward emphasizes strengthening peoples’ behavior using reinforcement (“John B. Watson,” 2016).

John B. Watson develops methodological behaviorism in the 20th century hence adding more information behaviorist theory. Methodological behaviorism by Watson enforces measurable conducts and events, therefore, declining prevailing introspective (“John B. Watson,” 2016). Factors affecting change in behaviors are quantifiable and are useful during the implementation of intervention strategies. In late 1930, B. F. Skinner entails thoughts and feelings as aspects influencing individual behavior hence leading to radical behaviorism. Emotional state and opinions of people change the conduct of people in a particular environment. Watson and Pavlov concentrate on stimulus responses in standard conditioning. Skinner focuses on nature controls as well as its consequences on past experiences which attributes to prevalent conditioning. Various aspects impacts on behaviors which individuals display in response to particular stimuli. Actions originate from the incorporation of dynamic forces inhabiting a specific atmosphere.

Experiments by Skinner on inventing radical behaviorism have been successful. Skinner perceives behaviorism theory by revealing that new phenomena cultivate after new methods (Day, 2016). Researchers classify radical behaviorism depending on past events and sensitivity towards stimuli (Murtonen, Gruber, & Lehtinen, 2017). Skinner uses rats and pigeons to display responses which are significant in the operating environment (Day, 2016). Behaviorism theory comprises of radical behaviorism which groups into applied behavior analysis, which facilitates analysis of truancy behavior among high school students. Practicable behavior analysis shares ideas with radical behaviorism and human-based psychology. Implementing applied behavior analysis in hampering drug abuse reduces truancy rates among high school students. Furthermore, applied behavior is essential in nurturing positive personalities at schools, thus preventing the development of abnormal actions among students (Stoyanov, 2017). Implementing applied behavior investigation facilitates the development of intervention strategies which hampers harmful activities like truancy among students.

Cognitive information processing

Also known as information processing, cognitive theory encompasses several theoretical perspectives that focus on order and execution of intellectual events. Cognitive theory majors on how individuals interact with surroundings, acquire knowledge, and store information for future reference (Lachman, Lachman, & Butterfield, 2015). Cognitive events require parties to use experience which they have been acquiring during normal conditions. The cognitive theory views learners as active seekers of knowledge and processing of data.

Moreover, the approach depends on the ability to remember information as a significant factor. The memory of students and community at large is the primary aspect attributing to cognitive information processing. Information processing theory emulates computer metaphors such as inputs and outputs and their response — cognitive theory majors on principal factors contributing to truancy in high school. Information processing theory studies the memory system as well as other processes such as attention, chunking, rehearsal, encoding, and retrieval that stores knowledge for transfer.

Sensory memory of cognitive information processing is responsible for holding information relating to hearing and vision senses. Short-term memory refers to short working memory for processing data for response and storage. Short-term memory contains little information for a shorter period. On the other hand, long-term memory stores data permanently. Long-term memory retains data for an indefinite duration of time (Siemens, 2014).

Information processing theory suggests processing of data in a chain of information flow. There is altering of information as it flows from one stage to the next. Nonetheless, processing of information does not generally flow in a single direction. For instance, expression in a sentence by an individual depends on existing and prior knowledge. Supervisory monitors processes and keeps track of information read by an individual. Prioritization of processing information occurs unconsciously and consciously. Instructions build on already existing knowledge of learners on a given topic hence proves to be irrelevant. Prior experience enables students to make viable decisions in current affairs. Truant students miss a lot since their flow of information is incomplete. Absenteeism underpins the ability of students to compare first-hand knowledge since they lose a lot when engaging in non-attendance of classes. Truancy in high school results to discriminatory where learners select and process particular information while ignoring others simultaneously. Truant students lack interest in specific sectors but pay attention to useless knowledge hence promoting discerning actions. Selective attention depends on aspects such as awareness, similarities in competing tasks, the complexity of events, and the ability of functions to control the devotion of students (Siemens, 2014). Truant students incorporate selective attention when making judgment fostering their involvement in illegal absence.

Truant students fail to recognize the importance of going to school. Students who engage in truancy make wrong decisions concerning the attendance of classes. Thus, they fail to prioritize schoolwork leading to truancy and absenteeism. Truant students experience hardships in acquiring and applying the knowledge that they learn in classrooms leading to rapid loss of information. Rehearsal is vital in storing information while encoding enables individuals to develop ideas and concepts. Truant students fail to prepare adequately for knowledge acquisition.

Moreover, the lack of knowledge among students engaging in absenteeism facilitates deficiency of creativity. Forms of encoding available include imagery, mnemonics, concept trees, hierarchies, outlines, groupings, and organizations. Students may also have problems with retrieving information from their long-term memories. Retrieval of data from the long-term memory requires recalling, recognition, and retrieval cues. Truancy among students favors high levels of illiteracy.

This dissertation will make use of the two theories, cognitive information processing and behaviorism in explaining the causes of absenteeism among high school students. Behaviorism theory focuses on comprehending truancy behavior among students while cognitive information processing theory focuses on psychological aspects that cause absenteeism. The two arguments apply throughout the paper to establish and create a comprehension of truancy behavior among high school students.

Review of Research Literature and Methodological Literature

The United States has been enacting mandatory school attendance laws which force students to avoid absenteeism over the past years. Enactment of compulsory attendance laws for schools takes place between 1852 and 1918. Moreover, free primary education from elementary school to secondary school occurs in this period; hence, historical (Atwood & Croll, 2015). Aspiration for universal education, immigrant socialization, and quality labor forces Government to adopt laws for the provision of free primary education (Breda, 2014). Government schools across the country lead other institutions with the sole purpose of educating children and imposing existing child labor laws. Government schools protect children in preparation for independence after graduating. These schools impart knowledge in generations resulting in higher standards of living of students during adult life. Vital knowledge which students acquire subsidizes in the delivery of efficient services. Students practice what they train in school by attaining positive impacts on society. Eventually, in 1918, every state within the United States embraces compulsory school attendance laws. Mandatory school attendance laws compel parents and guardians to admit a school-aged child to school and monitor their attendance (Yang & Ham, 2017). Parents have to ensure that their students don’t miss classes according to involuntary class attendance policies. Support from parents lowers truancy rates since students encounter supervision of their academic accomplishments and class inclusion. Laws focusing on mandatory school attendance deteriorates levels of truancy. Formulating rules and policies regarding class attendance force students to participate in school affairs actively.

The compulsory school attendance laws dictate that any child absent from school without giving a valid reason is engaging in truancy (Breda, 2014; Dahl, 2016). Mandatory school attendance laws define truancy as an unlawful absence of students from school without the consent of their parents or guardians. Unfortunately, some states don’t embrace compulsory school attendance laws. Students in countries that don’t have involuntary school attendance involve in activities resulting from their absenteeism in schools. Private schools, homeschoolers, schools for people with special needs, pregnant students, and those who attend schools, yet they are jobless have to endure compulsory school attendance laws (Breda, 2014). Some factors are inevitable since they impact in reasonable absenteeism of students. According to Yang and Hall (2017), sickness, loss of an immediate family member and emergency in families are legitimate explanations for absenteeism disregarding the location of schools in the United States of America. Additionally, uncontrollable situations, expulsion, health conditions of students and parents, and safety provide a valid motive for truancy. Unavoidable circumstances among students lead to truancy and absenteeism.

Schools accept exceptional circumstances such as the temporary assignment of duties, vacations, and other special events that lead to valid causes of absenteeism. Certain conditions force students to be absent from school. The difference in the interpretation of existing laws in states causes disparities in attendance laws across the United (Sahin, Arsven, &Kilic, 2016). Distinctions in formulating rules enhance the development of different measures for assessing class attendance. For instance, most districts within the United States determine absenteeism without permission per period basis, while others consider the entire day (Wilson, Rivers, & Schultz, 2016). Differing interpretation among schools makes it difficult to make comparisons of truancy rates across the country to establish the real causes of this vice. Data from the supervision of attendance is not compatible due to different assessment procedures that schools utilize hampering interventions requiring correlation.

Various states within the country adopt a general definition of truancy, thus providing them with a specific and deliberate approach in identifying truant youths (Cox, 2017). Lack of a standard truancy rate computation in schools contributes to states employing homogenize interpretations. Thus, according to Sahin, Arseven, and Kilic (2016), mild effects of truancy in government schools of the United States is due to the lack of a standard definition and intervention. Joint intervention policy assists in tackling rampant cases of absenteeism in Government schools. However, Breda (2014), denotes how a combined effort of parents, teachers, school management, and students steer in reducing truancy rates. Collective determination of community is significant in prohibiting truancy.

Teasley (2004) states how truancy levels decline through merging efforts of individuals giving rise to strategies and interventions. According to Zhang et al. (2007), the implementation of the Check and Connect program in government institutions results in successful interference of strategies such as behavioral, instructional, and community-based interventions. However, Henry and Yelkpieri (2017), identify family and instructional intervention strategies most convenient for combating truant behaviors. Households and guidelines which students encounter play an essential role in their actions. In the study by DeSocio et al. (2007), there was an introduction of a mentor intervention program to prohibit truancy. Mentors offer pieces of advice to students hence influencing their behavior in response to certain stimuli and surroundings. Reid (2006), indicates five intervention recommendations, namely School-Based Scheme (SBS). According to Reid (2006), SBS pilot applications were successful in schools in the United Kingdom. Reid (2006) concludes how schools and districts implement ABS due to its efficiency in hampering immoral behaviors. According to Nordahl (2013), truancy behaviors in schools deteriorate due to the integration of intervention strategies. The tremendous success in reduction of truancy among students emanates from the comprehensive effort of the community in establishing suitable prevention procedures.

Lehr, Sinclair, & Christenson (2004) indicates the use of direct instruction or instructional approach in various states leads to proper training in students. Lessons on direct instruction encourage practice technique in students. Students present in classes obtain critical knowledge through written scripts, rehearsal, and brief lessons which they eventually initiate applications. According to Zhang et al. (2007), instructional experiences impact tremendously in classes like math and reading where students can receive immediate feedback on committing an offense. Students who don’t comprehend essential aspects engage in asking instructors questions. Reinforcing mode of teaching influences the confidence of instructors in administering lessons on moral behavior to students hence leading to reduction of inappropriate conducts (Zhang et al., 2007). Teachers who provide support to students influence their behavior patterns since students feel contentment.

The use of instructional interventions encourages some of the regularly absent students through praise to attend school. However, this strategy alone cannot eradicate truancy in high schools. Instructional interventions provide physical support hence influencing the psychology of students. Moreover, it’s the best mode through which government and institutions tackle absenteeism. Students heed advice from people providing instructions enabling drop-in truancy levels. Interventions verified on a behavioral basis include Functional Behavior Assessment (FBA) and Positive Behavior Support (PBS). The Positive Behavior Support (PBS) incorporates various experimentally-proven practices with a lot of support from students who exhibit challenging behaviors. PBS provides support on a personal and worldwide basis (Zhang, 2007).

On the other hand, Functional Behavior Assessment is a more individual-based intervention in comparison to Positive Behavior Support. Functional Behavior Assessment involves the method of gathering information on the function of behaviors of students. Data enhances the proficiency of student’s self-management and manners support. Substantive Behavior Assessment process entails self-evaluation, self-monitoring, and positive reinforcement. Moreover, it teaches students to be accountable for their social behaviors and academic accomplishments. Functional Behavior Assessment and Positive Behavior Support strategists are vital in the provision of a paper trail of attendance of students. Employing Functional Behavior Assessment and Positive Behavior Support Strategies ensures students attend classes regularly since information on the significance of school attendance is readily available. Students deviate from truancy when they assess positive consequences that relate to frequent class attendance.

Community-based interventions such as the Truancy Reduction Demonstration Program (TRDP) and Abolish Chronic Truancy Now (ACT Now) are the best and most prevalent interventions in combating truancy. Furthermore, funds and strength of community facilitate community-based interventions. Families of truant students receive incentives from resources kitty propelling them to attend classes. Other community-based interventions include intensive family interventions, mentoring, case management, expanding police force, and use of welfare restriction in economic sanction (Henry & Yelkpieri, 2017). Zhang et al. (2007) delude that presenting incentives to students in the form of awards and maintaining follow up through communication increases class attendance. Communities play an essential role in ensuring most students don’t miss classes.

Lack of involvement from people like law enforcement, parents, social services, family, and juvenile courts leads to failure of community-based intervention. Thus, resulting in increasing truancy rates due to unavailability of intervention actions meant to hinder immoral behaviors. A valuable community invests in youths and tackles truancy menace. Check and Connect intervention strategy prevents dropping out of students and assists in many states of the United States to inspire learners to engage in academics until they graduate (Zhang et al., 2007). Students under Check and Connect focus in accomplishing good academic grades rather than dropping out. In the Check and Connect model, individuals monitor levels of student’s commitments daily. Students facilitate inclusion of various risk factors such as skipping classes, tardiness, absenteeism, detention, grades, suspension, and accrued credits.

Individuals promote an association of the respective student with their school and their participation in learning atmospheres. Check and Connect relies on follow up nature and students engagement in suitable events. Connect aspect entails intervening on risks affecting specific task given to students. Students who face certain risks connected with various preventive strategies which hinder an increase in truancy rates. Students provide regular feedback on their progress at school through information sharing and observing intervention. Individuals discuss with students concerning the benefits of attending classes in Check and Connect. Characters incorporate problem-solving strategies which analyze potential risks that students encounter at school — implementing problem-solving strategies like FBA gears strong relationships in adults and students hence reducing chronic absenteeism among students. Students who connect with adults tend to receive positive perspectives about going to school leading to waning in drop-out levels. Positive relationship influences students to make commitments to themselves and people who are significant to them. The connection between students and their parents dramatically impacts on students’ notion of attending classes.

Family set up, and household issues affect truancy rates in students (Henry &Yelkpieri, 2017). Thus, the intervention of family is essential when establishing causes of truancy. However, according to a study by DeSocio et al. (2007), inadequate information in family-based interventions and truancy levels comparisons exists. Therefore, DeSocio et al. initiate a mentoring program that aims at improving school attendance and consequently, the academic performance of students. DeSocio et al. operate on the assumption that students who don’t attend classes experience despair and separation hence gain from personal mentors who provide attention. Mentors impact personal care virtue in students, thus prompting students to halt from engaging in unfavorable behavior patterns. Her findings indicate that fostering adult mentors attributes to the positive relationship between students and schools due to the elimination of hopelessness and anxiety. Students engage in establishing strong relationships with adults whom they confide in with their feelings and situations (DeSocio et al., 2007). Adults guide students further impacting on the sense of belonging in the community among students. Students who establish positive relationships with adults usually attend classes due to the availability of support and guidance.

Reid (2006) identifies the School-Based Scheme (SBS) program, which combats truancy in schools in the United Kingdom. SBS has a long term strategic plan that overcomes truancy through the elimination of essential attendance troubles that students encounter. SBS composes of five distinct stages in which students engage. The first stage is where the students attend at least 92% of their classes. Students don’t require any support in this stage. The second stage entails sending an initial warning letter to guardians and parents indicating the importance of regular school attendance.

Moreover, parents’ responsibilities and consequences of guardians failing to fulfill their obligations are in the second stage. The third stage comprises of students with an average of 75 – 84% attendance. This stage requires parents to attend a panel consisting of key staff members of the school, such as principal, social worker, and performance director. The main agenda of this meeting focuses on the importance of consistent class attendance. This meeting formulates plans facilitating regular participation of students.

The fourth stage comprises of students with attendance report ranging between 65-74 percent. In this stage, students and their governors appear in the governor’s attendance panel. Governor’s attendance panel consists of governor of the school, principal, social worker, teacher, and performance director (Holtes et al., 2015). Primary agenda of this meeting focuses on discussing the importance of regular attendance and developing a strategy to help students attend school frequently. Parents and guardians receive a warning and notification regarding regular class attendance of their children. The fifth stage of the process comprises of students who have an attendance register of less than 65 percent. This stage requires students and their legal guardians to attend a Local Education Authorities Panel. The Local Education Authorities Panel is similar to the District’s board of Education in the United States (Holtes et al., 2015). Board members of the meeting oversee the likely causes leading to the nonattendance of students. The meeting adjourns with a final warning to students and their guardians.

Furthermore, students’ class attendance should be 100% for two months under the monitor. Dropping of students’ performance leads to disclosure of their information to relevant authorities such as Child Protective Services (CPS) for further disciplinary measures. Unfavorable performance from students implies the presence of immoral behavior that facilitates intervention. Reid (2006) examines schools in which the program was successful and notes an increase in class attendance of about 10% during its first year of implementation. Moreover, performance and attendance increases in schools which implement the program concerning schools that don’t apply the plan. Students who undergo strict supervision opt to accomplish higher grades due to high-class attendance. Disciplinary measures enforce high standards of conduct leading to students engaging in self-control hence undermining truancy and absenteeism. School-Based Scheme instills higher supervision standards that force students to participate in activities that uphold proper values and norms in society. Moreover, students who enroll in School-Based Scheme have a positive affiliation with excellent academic grades.

Review of the methodological findings

The existing literature explores various methodological approaches that define multiple causes of the truancy in high school students. The research suggests multiple applications and consequences of programs and interventions during the studies. Most of the literature review identifies parents’ participation, community cooperation, and school administration as critical aspects influencing truancy among students. Moreover, the use of incentives and supporting students to overcome psychological problems affects truancy among scholars. Attwood and Croll (2015) suggest an ongoing evaluation as relevant in each element of the control strategy. For intervention on absenteeism to be successful, assessment of each prevention strategy is critical.

Nonetheless, most of the studies that implement truancy reduction programs fail to provide details on challenges, evaluation, and outcomes. Truancy programs evaluation focuses on aggregate information, which, in the broader perspective, lacks meaningful comparison groups. Aggregate data relies on the short-term benefits of truancy programs like reduction in absenteeism, which provides inadequate information for assessing changes that may exist in the attendance record of an individual (Blackmon & Cain, 2015). Several factors affect class attendance. However, information determining the success of intervention programs is insufficient. Therefore, changes in class attendance need collection and valuation of diverse aspects to establish factors contributing to truancy.

Research by Henry and Yelkpieri (2017) shows truancy programs relies on also short-term benefits in a meta-analysis of intervention programs that the United States uses to address school dropping, which hinders completion of high school. However, the standards of research do not relate to meta-analysis. Thus, the conclusion of the study focuses on prevention of dropouts that result from truancy. The Office of Juvenile Justice Delinquency Preventions formulates laws that significantly impact a reduction of school absenteeism. The Office of Juvenile Justice Delinquency Preventions funds programs that combat truancy in high schools. Evaluation of truancy programs provides valuable lessons like delivering student support services in preventing absenteeism, widespread mentorship intervention, and community awareness (Henry & Yelkpieri, 2017). Various stakeholders have different roles in developing strategies meant to hamper truancy. Involving law enforcers such Office of Juvenile Justice Delinquency Preventions assists in formulating laws that hinder more cases of absenteeism.

Most communities embrace truancy intervention programs hence incorporating with individual members and their families. The government supports truancy programs by providing adequate resources for identifying, locating, and transitioning the truant youths in communities. Appropriate authorities use tactics like the involvement of the police, negotiation, and suspension of missing children. Nonetheless, Attwood and Croll (2015) report that some strategies have not been successful in resolving truancy in high schools. Most communities lack relevant intervention and assessment services for truant youths in spite of indication of existing psychological problems. Community-based programs require identifying and addressing issues that children and families encounter before ultimately introducing the truancy intervention programs. Government and communities involvement in establishing intervention programs enables parties to handle truancy menace. Furthermore, parties working on reducing truancy in the community need to integrate their efforts to acquire first-hand information that deliberates on forming many solutions.

On the other hand, school-based programs reduce absenteeism and truancy through enforcing of teacher-student interactions. Positive relationships between teachers and students lead to higher lesson attendance and excellent performance among students due to one on one interaction. Students solve their problems quickly with help from instructors. School-based programs introduce school-based health care eliminating sickness excuses from becoming a primary reason for truancy in most schools. Students who fall sick get urgent treatment while in school or outside school premises if need be. Combination of school-based and the community-based programs provides a concrete intervention that assists in the reduction of truancy rates immensely. However, such programs only target truant students disregarding students who attend school frequently. Students who attend school regularly do not qualify for school-based and community-based intervention programs since their personality is conducive according to guidelines. As a result, missing students improve their performance while regular attendees’ performance remains constant. Integration of school-based and community-based programs involves the referral of parents to a mental health agency for students whose performance does not improve. However, parents resist psychological health agency recommendation since it is against their rights. Parents decline the offer to visit mental health facilities because it undermines their personality. Failure of community and school-based programs facilitates legal action hence favoring the use of law enforcement based agendas. Results from implantation of court-found and law enforcement based plans show how truancy leads to criminal activities among students later in life. Employing legal action against truant students assists in fostering behaviors which diverge from criminal events.

Synthesis of the research findings

Truancy hampers students from accomplishing their life goals according to the literature review. Literature review establishes a direct connection between school attendance of students and their achievements later in life. Absenteeism translates to no learning. Thus, no knowledge acquisition for truant students resulting in poor performance. Missing students lack the requisite knowledge and skills for accomplishing goals through the qualification of various job opportunities. Studies reveal that most of the absent students who miss more than 50% of their classes always fail in government tests and hardly manage to get good grades. Students who are sometimes lacking in qualities do not afford to achieve high academic grades. The literature review identifies numerous factors contributing to truancy among high school students such as bad influences, lack of interest in school, poor relations, bullying, student’s matters, and family factors. Furthermore, factors that cause truancy classifies into student caused truancy, school caused truancy, family caused truancy and psychological truancy.

Students make friends with others from different backgrounds while at school. Sometimes friendship often extends terrible influences on their colleagues depending on their upbringing, making it a significant cause of truancy. Interactions among students facilitate the formation of divergent views resulting in students emulating what they believe is suitable among their peers. Truant behavior can be a successful factor in relationships that upholds particular beliefs. Students who become missing as a result of lousy guidance often view truanting as a new act that can raise their status among peers. For quick acceptance in a given social group, students practice truancy. Sense of belonging many impacts on student behavior patterns. Thus, truancy prevention requires the implementation of programs and interventions. Most schools often opt for punishment such as the temporary or permanent exclusion of the student from school. However, Chen et al. (2016) mention that it is administering punishment on students further worsens truant behavior. Ekstrand (2015) suggests that establishing behavioral patterns ensures permanent abolition of a specific practice among students. Employing policies and activities that encourage upholding moral standards among students hampers truancy from intensifying. Involving students in sports helps in curbing absenteeism, especially in lousy scenarios. According to Parrish (2015), participating in sports such as soccer is useful since it makes students star on pitch. Students participating in sports encounter contentment when making judgment thus dropping on truant cases. Team games where students regularly participate in encourages students to attend school regularly. Through motivation available in teams, students gauge the confidence of attending school games hence improving in-class attendance.

Review in literature identifies a lack of interest in school as a cause of truancy. Most students don’t attend classes regularly since they are aware of what they want to engage in after completion of school. Students lose attachment to school affairs since they experience boredom resulting in truancy. Thus, they often prefer hanging out with their friends. Dahl (2016) suggests the introduction of lesson plans in schools which emphasizes the importance of acquiring skills and utilizing them beyond classrooms. Truancy results from poor relations at school. Truant students often evade going to school due to their unfortunate associations with their fellow students and teachers.

On the contrary, some teachers have the best interest of students at heart. However, students see teachers as arrogant and bullying. Positive relationships impacts on an optimistic attitude of students leading to moral upright among students who tend to engage in regular class attendance.

Mestry (2015) suggests that re-timetabling of students assists in solving a split relationship between students and teachers when students don’t work with the teacher under consideration. Peaceful pact ensues between students and instructors when learners undergo re-timetabling. School administration sets up a team meant to handle cases of bullying hence promoting safety among learners. Management upholds the protection of students by administering punishment on bullies. School management and community appoint personal mentors to enable students to share their problems hence avoiding truancy. Parents and guardians of the students uphold their responsibility in ensuring that children attend school frequently. Henry and Yelkpieri (2017) suggest that parents should not condone some reasons like unofficial holidays that makes students truant. Enforcing parent’s evening in which school emphasizes on the importance of regular class attendance and implications of being absent resolves parents caused truancy. Parents’ involvement in school affairs of their children stimulates suitable prevention intervention against absenteeism.

Critique of the previous research

The existing studies on truancy groups the behavior into four major categories. These categories include student-specific variables, family-specific settings, school-specific factors, and community influenced variables (Jaafar et al., 2013; Monahan et al., 2014). These studies introduce various interventions and programs which addresses truancy conducts among students. However, these interventions and programs focus in particular areas. Most of the literature reviews that truancy menace exists only in schools. The literature does not consider current allegations that have become a topic of argument in various forums. Forums suggest using simplistic thoughts and severe limitations to comprehend how truant behaviors develop in children and exhibit later in life. According to Ingul and Nordahl (2013), simplistic thinking through which children develop truant behaviors provides a solution to truant behaviors in schools and the juvenile justice system. Many factors attribute to school truancy (Breda, 2015; Maynard, 2016; Yang & Ham, 2017). The various factors that correlate to absenteeism have diverse causes and repercussions according to the literature review. Truancy traits among students are transferable through interactions. Interaction leads to the accordance of support from family, acquisition of experience, and creates a community atmosphere.

Previous research identifies four similar categories of truancy, including family, school, student, and community-level factors. Each of these factors is common since they have a variety of connection between aspects. The elements also reveal a mixture of characters which facilitates their success in explaining the incidences of truancy in high schools. Research by Ekstrand (2015) specifies that truancy initiates with both short and long-term challenges for the students who are prone to avoiding schools. These challenges not only affect students but also extends to their families, school, and the societies from which these students hail.

Nonetheless, Chen et al. (2016) suggest that students portray truant behaviors emanating from more profound problems, thus require the intervention of community members. Chen et al. (2016) identify that intervention by educators who embrace missing students assists family, school, and community in creating one on one relationship with students. Furthermore, a response by instructors makes students to disclose their difficulties. According to Dahl (2016), embracing truant students is essential in comprehending the level of implications brought about by truant traits.

The consequences of embracing the truant students also lead to various impacts on each truancy category. Chen et al. (2016) argue that in the first category of individual-specific outcomes, consequences group into short and long-term. Havik, Bru, and Ertesvag (2015) mention that most of the students who display truant behaviors lack ambition in life and expect much for their future. Thus, short and long-term consequences may not have any adverse effects on them. For students who might not have lost hope in their future, the most visible and immediate impact of truancy will always be on their education. Students accomplish poor performance due to lower class attendance, thus missing a lot of information (McNulty, 2016). Failures in education negatively affect occupation. Truancy persists in students leading to employment-related complications like high unemployment rates, less stable patterns in career, lower status in their professions, and weak earnings in their adult lives. Blackmon and Cain (2015) argue that truant students change due to their lazy nature hence employ the simplest and the best solutions to their problems. Missing people do their best to retain their job while giving their best during the times when they are available.

Mazerolle et al. (2017), argues that chronically truant students may always experience a variety of future relational difficulties, which may include those that form during the early stages of childcare. Missing students tend to produce a higher number of dependents leading to first marriages and consequently, a series of problems leading to marital breakdowns. Mijinyawa, Bakar, and Muhammad (2015) highlight poor health as an adverse adult outcome of chronic truancy. Chronically truant students suffer from poor psychological health during their adult stages of life due to some student caused the effects of truancy such as drug abuse. Gentle-Genitty et al. (2015) mention that chronic absenteeism leads to rehabilitation. There exists a variety of actions against the students who become truant due to substance abuse. Most of the substance abuse cases are a result of the peer pressure in their quest to be popular in school. Students also turn to drugs to relieve themselves of the painful feelings that emanate from family structures and bullying in school surroundings. Truant students are known to be poor performers in school. They turn to drug abuse and study aid drugs such as Ritalin to help them boost their performances and grades as a remedy (Virtanen et al., 2014). Moreover, students who use drugs tend to be deviant and anti-social. The personality of students who abuse substances usually has immediate results of behaviors that associate with truancy and leads to adult criminal activities.

Blackmon and Cain (2015) argue that truancy has direct impacts on educational institutions leading to loss of returns. The authors argue that school loses revenue due to a reduction in school funding from daily attendance rates of students. However, there exist laws which schools exploit to ensure every student attends classes (Solakoglu & Orak, 2016). Existing literature provides various programs and interventions which schools explore to ensure every student is present regularly. Loss of revenues in educational institutions is disastrous since it reduces the capacity of the institution to meet the educational requirements of students through service provision. Furthermore, it affects each student within the institution, regardless of his or her attendance record. Therefore, truancy results in devastating effects if no preventive intervention is made in advance.

Summary

This chapter reviews the existing literature on high school truancy. It introduces truancy and defines it as an intentional, unauthorized, unjustified, as well as the unauthorized absence of an individual from compulsory education. It also identifies the adverse physical, social, as well as the psychological effects of truancy on the students, which in turn affects their development. In this chapter, truancy emanates from school, teachers, student, and community, including parents. Existing relationships between teachers and students affect students’ behaviors hence causing School sourced absenteeism. The teacher sourced absenteeism comes about as a result of the critical nature of the teachers who always have high expectations for their students resulting in absenteeism. Students can also instate their truancy by being absent from class without giving any excuse. Parent sourced truancy has various causes such as parenting styles, a divorce of parents, and the breakdown of parents, which contributes to the behaviors of children. Absenteeism among students attributes from climate within the school, size of the school, size of classes, attitudes, discipline policy within a school, and the ability of the school to meet the diverse needs of every student. According to Henry and Yelkpieri (2017), the background of the student and other family-related issues that students often encounter are significant illustrations of truancy.

Critical elements vital for effective programming and control of truancy among students include involvement of parents, use of incentives, support, collaboration within the community, and active participation of the school administration. Various programs and interventions can be put in place by government, community, and schools to ensure students have regular attendance. This chapter reviews case studies, including the implementation of truancy programs and analyses results. Literature review reveals that most communities embrace truancy prevention programs and interventions and make them sanctions to youths and their families.

Chapter 3: Methodology

Introduction

School administrators in secondary schools are worried about students who are chronically absent from school. Many wonder what keeps students away from school while trying to understand what they can do to get students in school consistently (Liu & Loeb, 2016).  Most work on the assumption that things such as low socioeconomic status, parent non-interest in education, and suffering from parental abuse are reasons to miss school (Jacob & Lovett, 2017).  However, the need to be absent may come from another source within the walls of the school in the form of bullying or lacking social support (Kelly, n.d.).

Bullying is a problem that is hard to discover and to verify unless someone else is witnessing, it is also difficult to correctly measure its extent in schools according to (Smith, 2014).  Not only is there difficulty in determining if bullying occurs, but as an administrator, it is problematic because of trying to discipline the individual (Rigby, 2011).  Additionally, according to Smith (2014) administrators may think they understand what effects bullying has on students, even they may not be sure. Bullied students may also experience other effects such as lacking social friendships (Tariq & Tayyab, 2011).

Students who lack social support in school may feel isolated or are loners, are not interested in attending school to escape the isolation (Dahl, 2016). Administrators tend to assume when students struggle to have friends, they are less likely to want to attend school. While this study will not argue that bullying or a lack of social support causes students to miss school more frequently, its purpose is to measure whether a relationship occurs.

In this research paper, there will be the use of a correlational design, data collection techniques, and analysis processes to answer the research questions. In every study, there are essential tools that are needed to facilitate the outcome of accurate information. This research methodology covers different sections including the formulation of the research questions, identification of the research design, identification of research population and the description of the research instrumentation (Creswell, 2014). Additionally, there will be an incorporation of procedures involved in the data collection processes. In every quantitative research, the process of data analysis is important as it enables the researcher to answer the research questions by carrying out tests of a hypothesis (Sedgwick, 2014). Data analysis will be discussed based on the types of data collected. Some tests that will be undertaken include Pearson correlational assumptions and the normality assumptions. Chapter three, therefore, outlines the data collection processes and analysis with the aim of answering the research questions.

Test for Assumption for a Pearson Correlation

The most popular way of defining random events is normal distribution. The processes fit normal distribution because the two graphs are bell-shape single peaks (their means). They are symmetrical that implies that the occurrence probabilities of the two values equidistant from the means, but on their different sides are the same. Most of the values are between -1 and +1 from the mean, it is one standard deviation. In almost all of the processes there are virtually no observations farther than three standard deviations from the mean and there are no farther than two standard deviations from the mean. The assumptions behind Pearson Correlation Coefficient are forgotten given its simplicity. The Coefficient of Pearson may not be appropriate and therefore it is significant to make sure that the assumptions hold. The requirements and assumptions for computing Correlation Coefficient of Pearson are normality, linearity, and continuous variables. Normality implies that the sets of data should correlate to the estimate of the normal distribution. Most data points tend to drift close to the mean in such normally distributed data. Linearity simply implies that data the relationships between variables are linear. This can be again explored by plotting the scatter diagram. If the data fulfills the assumption of linearity, then the data points a straight-line relationships but not a curve.

Purpose of the Proposed Study

The purpose of this investigative study is to determine whether a relationship exists between bullying and absenteeism in school students of age 18 and above within rural settings. Also, the study attempts to establish the relationship between peer social support and absenteeism among students of age 18 and above within rural settings.

One of many responsibilities of a high school administrator, that encumbers several hours weekly is student attendance. Likewise, time is spent on disciplining aggressive behaviors (bullying) from students directed at other students. It is the desire of the researcher to determine if there is a relationship between the bullying and students missing school. Furthermore, generally speaking, students that are victims of bullying have common characteristics, one being a loner with limited peer social support. With the knowledge that students may lack peer social support, the researcher intends to determine if there is a relationship between the amount of peer social support and student absences.

Research Questions

For this study, the researcher strived to establish relationships between the predictor variables (amount of bullying and amount of peer social support) and the criterion variable (school absences). The research questions are aligned with the behaviorism theory through evidence that the exhibiting of students’ behaviors result from flexes from the responses of certain stimuli in their environment (Murtonen, Gruber, & Lehtinen, 2017).

The following research questions and hypotheses guided the correlational study are:

  1. To what extent is there a relationship between peer social support and school absences?
  2. To what extent is there a relationship between being bullied and school absences?

Hypotheses

H01: There is no significant relationship between peer social support and school absences.

HA1: There is a significant relationship between peer social support and school absences.

H02: There is no significant relationship between being bullied and school absences.

HA2: There is a significant relationship between being bullied and school absences.

Research Design

The study is quantitative and specifically takes on correlational research design to be utilized as a data collection strategy (Creswell, 2014). The study aims to establish the relationship between bullying and school absences as well as peer social support and school absences. Correlational research is a non-experimental technique in which researchers measure two variables (predictor and criterion), understands them and then assesses the statistical relationship that exists among the variables. The researcher is not concerned with the cause and effect of the variables, so the correlational design is an obvious choice. Every school in the rural setting has its climate, culture, and demographic makeup which makes it possible that in addition to bullying and peer social relations, other variables could influence student’s attendance. However, the researcher does not make attempts to account for extraneous factors since it is a correlational study. The advantage of a correlational design is that it measures two variables and evaluates the statistical connection (i.e., the correlation) between them mostly with minimal effort or none at all in the control of extraneous variables (Crawford, 2014).

On the other hand, the researcher decided against using the causal – comparative research design because causal –- comparative design compares two or more groups (Groves, n.d.).  Additionally, as Groves (n.d.) stated, this type of research design usually works with a situation that previously materialized. Causal –- comparative is also known as “ex post facto”, which is translated as “after the fact”. Lastly, while the correlational study tries to determine a relationship, the causal-comparative design tries to determine cause and effect. In this instance, the researcher is not interested in cause and effect (Groves, n.d.,).

For analysis, the study looks forward to statistical analysis since it needs to produce statistics that can indicate the relationships and significance of predictor and criterion variables. There is one part of data analysis to be included in the study which aims to comprehend the relationships between the variables in the study. The researcher will examine correlations among three variables: bullying, school absences, and peer social support. Data shall be collected using questionnaires that include questions depending on the two research questions which are: to what extent is there a relationship between the amount of peer social support and school absences and, to what extent is there a relationship between the amount of bulling and school absences. Selection of samples for the study population will be through a sampling of three rural high schools and purposive selection of participants to reach only those students that fall under the categories required. It is important to note that the researcher and each school reside within The Commonwealth of Virginia, that the researcher works in one of the high schools in the County and each participant will have an equal chance of being part of the sampled schools. The study needs respondents that are secondary school students who are 18 years and over and are still in school.

Target Population, Sampling Method and Related Procedures

The participants for this study will be students (aged 18 years and above) drawn from three of four different rural secondary high schools, all from a Virginia school district. Presently, there are 338 students that fit the characteristics of participation. To facilitate smooth data collection, the participants in the study will have the right to refuse to take part without any consequence if they wish. After identifying the study population, the next thing is selecting a sample of participants. A sample implies a small group from the entire population that is studied (Van Voorhis & Morgan, 2007) and is selected through a specific technique (Muthén, & Muthén, 2002). Notably, eligible participants for this study are those students that are 18 years and above, still schooling and in a rural setting. All who meet these requirements and attend one of the three county schools shall be considered for inclusion in the sample.

One week before the survey, the researcher will be in constant communication with school administrators of the three schools as the date for survey draws nearer. The school administrators will act as the researcher’s contact persons in the respective schools. This will be intended to ensure any changes in terms of time, schedule, venue, and shortlisted participants are shared between the researcher and the school administrators.

The study is a survey and needs statistical analysis. The total number of students aged 18 years and above from three secondary schools located in the Shenandoah Valley of Virginia is 338 at present. Based on that knowledge, the researcher wanted to find out how many participants are required to get results that represent the target population. By use of a sample calculator (https://www.qualtrics.com) with 80% level of confidence and a margin error of 5%, the ideal sample size will be 84 students (participants). In fact, in research, it is advisable to have a sample size that is ideal to reach reliable conclusions and recommendations that are easily generalizable (Welman, Kruger, & Mitchel, 2005). Thus, this sample is suitable for the correlational study and can aid in reaching concrete results and conclusions.

 

Instrumentation

The study will use the Olweus Bullying Questionnaire (OBQ) a self-report instrument which is a standardized, legalized, multiple-choice survey structured to assess some issues related to bullying challenges in schools. The questionnaire which is comprised of 42 questions (many of them being sub-questions) is usually used with students of varied grades (Olweus, n.d) including secondary schools, meaning it is ideal for the current study. Students usually fill in the OBQ anonymously; this means the identity of participants of the current study will remain anonymous. The OBQ which is accessible on https://www.qualtrics.com has a number of unique characteristics that will enable the researcher to collect relevant data as much as possible. These characteristics include:

  • A full definition of bullying so participants have a better understanding of how they should answer the questions.
  • A majority of the questions mention a particular period or reference time, such as “the past couple of months (after the summer/winter holiday vacation)”. This technique is believed to be an ideal duration of time for participants to recall their past experiences.
  • The response options are designed to be as specific as possible by making use of terms like “2 or 3 times a month” and “about once a week”. Response terms are meant to discourage subjective phrases like “often” and “fairly often”, which are likely to be understood differently by participating students.
  • Other than being asked two broad questions (Questions 4 and 24 in the OBQ) on being a victim of bullying and being a bully, the OBQ will also ask participants corresponding questions (Questions 5-12a) on specific types of bullying (about being bullied) and also on bullying others (Questions 25 to 32a in the OBQ).
  • The OBQ will ask straightforward questions on students’ demographics (gender, sex, ethnicity, and the school the participant attends).

The study will also use another essential instrument known as Child and Adolescent Social Support Scale (CASSS) which is a “60-item self-report rating scale that measures perceived social support for children in grades 3 through 12” (Menon & Demaray, 2013, p.50), an ideal instrument to rate the current study’s participants. CASSS assess four kinds of identified support (appraisal, emotional, informational, and instrumental) which corresponds to five different sources: parents, classmates, teachers, and close friends (Malecki, Denaray, Elliott, & Nolten, 2000).

In creating CASSS, participants will be asked to read a provided statement and input their response on a scale on whether they feel that they get that support. The development of the CASSS will allow the researcher to have a complete insight of the participants’ social support and allow the researcher to desist from looking at social support as a general term for a comprehensive and complex concept.

Gaining permission from the author of the Olweus Bullying Questionnaire the researcher sent an email describing the research and the desire to use the OBQ in search of the intended relationship.  Additionally, the researcher contacted the authors of the Child and Adolescent Social Support Scale (CASSS) by email. Once again the researchers described the research study and how the CASSS will be used to provide statistical information to help with the relationship questions. Permission to administer these questionnaires to high school students shall be sought from school administrators and students (Manson, 2002). A letter describing the intent of the research and the process of how the research is conducted is provided to each student that fits the participant criteria. Each participant has the opportunity to deny or accept the terms in which to participate. Furthermore, the researcher will need to submit a request to the Assistant Superintendent for Rockingham County for permission to enlist the students in the study. The Assistant Superintendent has requested the completed IRB application to assess whether to approve or deny permission. At the conclusion of this research, a brief description of the results will be forwarded to reviewers. The second instrument (Child and Adolescent Social Support Scale) will be utilized in this project to identify the influence of peer social support on the level of school attendance among the secondary school students of ages 18 and above. The questions in this survey relate to how these students feel regarding the treatment they receive from their peers. Items shall be recorded with scales and entered into SPSS to find correlations between the datasets attained from the collected data.

The two instruments (OBQ and CASSS) have been used previously in different studies and produced reliable findings. For example, Kyriakides, Kaloyirou and Lindsay (2006) reported that OBQ “has satisfactory psychometric properties; namely, construct validity and reliability” (p.781) while on their part, Cullum and Mayo (2015) reported that “the Child and Adolescent Social Support Scale (CASSS) for Healthy Behaviors, demonstrates adequate initial reliability and validity” (p.198). According to Mathers, Fox, and Hunn (2007), questionnaire surveys are the best tools for collecting quantitative data in research. Thus, selecting to use OBQ and CASSS survey instruments is because they are capable of producing the best quantitative data for this study.

Data Collection

On the day of the survey, two sets of surveys (OBQ and CASSS) will be administered to collect demographic data such as average days missed per month, gender, ethnicity, and age. After providing the informed consent to the participants, these two instruments will have cover pages that have an information letter on the purpose of the study and a statement that informs the respondents that by filling in and returning the survey, they have given their informed consent. As mentioned earlier, the OBQ is designed in a way that makes the questions to be as simple and straightforward as possible for the respondents. The instrument is also designed to provide relevant, reliable, and valid data. The OBQ will be administered to selected schools during school hours in the presence of one representative from each of the three participating schools. The administration of the OBQ will be done in groups of ten students. The OBQ will be administered to the students. Separate scales will be created consisting of (i) The items of the OBQ related to the amount of bullying on victims and (ii) those related to the magnitude to which students express bullying characters. Both scales will have analyzed for reliability and validity. They will also be analyzed separately for boys and girls to examine their invariance.

All selected students will be provided a separate room from the other non-participating students to avoid any potential interference to complete the questionnaires. The entire exercise for each school will take 30 to 50 minutes. The researcher, with school representative’s help, will note any strange happenings during the administration of the survey and if any issue is identified, it will be documented and be emailed to the researcher. It is normal for non-response bias (assuming some of the participants will not respond or fail to turn up) to occur in studies similar to the current one. To avoid non-response bias, the researcher will extend the survey collection period to two days so that the students can choose any of the two days to respond based on their lessons schedule. All students attending the three Virginia high schools are provided a Chromebook to use during their school years. Two links, one for each survey is provided on respondents Chromebook for them to complete the surveys. After completion of the survey exercise, the completed answers are collected through Survey Monkey.

The instrument items for measuring the level of absenteeism among the students (victims) that have been bullied include response items of school days missed or attended in the entire term. The responses will be arranged regarding the number of days they have been absent from school this year. If days are missed because a student believes they will be bullied or if they come to school because they are not getting bullied will provide answers to the research questions.

Operationalization of Variables

Demographics: For the entire study, age will be a significant factor such that all participants must be of age 18 or above. Those that do not make it to the age limit are excluded from the study (Dillman, Smyth, & Christian, 2014). In addition, school students and the schools selected will be from a rural setting

Peer social support levels: In the current context, social support will be defined as the student’s beliefs that he or she is cared for, appreciated, and respected by those belonging to his or her social setup, that boosts personal wellbeing, helps him or her inadequately managing stressors, and could protect him or her from unfavorable incidents. With that understanding, the Child and Adolescent Social Support Scale (CASSS) items will include statements detailing supportive behaviors like “My friend(s) appreciate me”. Respondents will be asked to read every single statement and specify their response by ranking the item regarding frequency and importance. For example, frequency scores will be rated based on a 4-point Likert scale whereby 1 = Never and 4 = Always. Importance scores will be rated based on a 3-point Likert scale whereby 1 = Not Important and 3 = Very Important. As mentioned earlier, each of the five subscales on the Child and Adolescent Social Support Scale will correspond to one of the social support sources (parent, classmates, a close friend, teacher, and school).

Each subscale will have 12 items that will assess the four types of social support (appraisal, emotional, informational, and instrumental). To find the frequency scores for every single subscale, the researcher will add the frequency ratings for each one of the 12 items under that subscale. By adding up, all five frequency subscale scores will give the researcher the Total Frequency score. Likewise, importance ratings for every single subscale is obtained by adding up the importance scores for the 12 items under every subscale. The added subscale importance ratings will be added to obtain the Total Importance score.

Data Analysis Procedures

The study will utilize correlational analyses for examining the relationships that exist among variables, and to apply various predictors (peer social support and bullying) for the outcome (attendance). SPSS for windows will be used for statistical analysis of the data in this study (Sedgwick, 2014). Before conducting the correlation analyses, data will be assessed against the assumptions of the Pearson correlation tests to see if they conform to them. In the first place, boxplots for every variable shall be formulated to understand the data and detect outliers which will be examined and dealt with appropriately. Second, normality tests for each variable shall be conducted as well as evaluation of kurtosis and skewness (Tabachnick & Fidell, 2013).

In the case of multivariate comparisons, scatterplots shall be generated for pairwise variable combinations. Every scatterplot will be examined for outliers and to confirm if the relationship between the two variables is showing linearity and the variance across the measures. After computation of the correlation matrix, bivariate correlations will be checked for the likelihood of forming multicollinearity issues during the regressions (Tabachnick & Fidell, 2013).

A correlational analysis will be done in that Pearson product correlation tests are calculated to assess the direction and strength of relationships existing between all variables. Correlation matrix will be developed to display the different correlation coefficients for every variable in the study. This information will be recorded in tables for purposes of the audience of this study.

Limitations and Delimitations of the Research Design

Limitations: Similar to a majority of studies, this study design has its limitations. The study is a quantitative study and thus requires an extensive sample (Creswell, 2014). However, regardless of the benefits of extensive studies, the large sample size is likely to magnify the bias linked to error emanating from sampling or study design (Kaplan, Chambers & Glasgow, 2014); therefore, this study will include 84 respondents. Other limitations on sample size are due to constraints of time and resources to engage a more extended sample. Larger samples mean more time for administering instruments and increased sums of questionnaires for distribution. Since the instruments used in this study entail self-reporting (questionnaires), a few cases of data cleaning may arise particularly in cases where one or two participants choose only to answer four or five survey questions, then such participant(s) will not positively contribute much and therefore may need to be excluded from the data set.

This study will use purposive sampling that creates a limitation of possible bias. For each survey, sampling techniques that are favorable are required to eliminate tendencies of bias. Šimundić (2013) provided that choosing a sample requires researchers to apply a method which may lead to bias-free participant samples since this can influence the findings of a project. The purposive sampling techniques are most of the time a breeding ground for research bias since it might encourage predetermination of results and conclusions. Conversely, this limitation will be eliminated by requesting the school administrators of the respective schools to select the respondents randomly as long as they meet the minimum age requirement while ensuring gender and ethnicity balance to avoid tendencies of researcher biases.

Delimitations: The delimitations of this design rotate around the topic as well as research questions. The topic of this study takes a context that has been of great concern in the U.S rural schools. This research project brings on something of such significance, and this becomes one boost for the study to run smoothly. The schools selected are those that have faced this challenge and need to find workable solutions for the matter. Therefore, truancy is a critical issue in a rural setting especially among older students, selection of schools that fall under this category and face the challenge was the best thing to do.

More so, the decision to conduct a quantitative survey with questionnaires as tools will help in extracting statistical data relevant for finding correlations among the variables (Dillman et al., 2014). The research questions could not have a better response than using questionnaire survey methods to get descriptive statistics of students who have experienced bullying and less social support for peers. Since the research questions are projected towards finding relationships between bullying, peer social support and school absences; victims will become the central focus. This decision is taken in a bid to help this vulnerable portion of students to have a productive and favorable learning environment.

Validity: Through previous studies, the validity of both OBQ according to Kyriakides et al. (2006) and CASSS according to Cullum and Mayo (2015) has been confirmed. This implies that the instruments will be administered with the knowledge that they meet acceptable standards and have the ability to collect the required data. As Manson (2002) mentioned, using instruments that have been tested improves the quality of data collected and ensures significantly reliable results and conclusions.

The validity of instruments consists of how correctly the evidence acquired represents the research variables. Reliability refers to the level to which instruments of the study generates consistent data or results after repetitive tests to create its reliability. The instrument validity was developed by supervisor of study reviewing the research. The questionnaire was pre-tried on a pilot scale via chosen participants outside the area of research to ensure reliability. The pre-testing objectives enabled for alteration of different questions to clear up, rephrase, and clarify any limitations in questionnaire before delivering them to the real respondents. The methods of quantitative studies rely on the components of reliability, validity, and objectivity in ensuring the research data trustworthiness. The credibility was created via members checking, repetitive observations, prolonged involvement and participation, debriefing of peer, and triangulation. Transferability was developed via a detailed research explanation. The process of audit enabled the researcher to establish confirmability and dependability.

Expected Findings

The study expectations are to find a substantial relationship between bullying and absenteeism and social support and absenteeism among secondary school students that are 18 and above. The researcher expects to effectively respond to the questions related to whether (1) to what extent is there a relationship between the amount of peer social support and the number of school absences? Also, (2) to what extent is there a relationship between amount of bullying and the number of school absences?

The researcher strongly believes there is a significant relationship between peer social support and the number of school absences by students, an observation verified through some studies (Rothon, Head, Klineberg, & Stansfeld, 2011; Stamm, 2007, September; Wallace, 2017). It is from this belief that the researcher expects results that point to peer social support as a factor that could help reduce chronic truancy among K-12 secondary school students.

Additionally, the researcher believes there is a significant relationship between some amount of bullying and the number of school absences by the victims above the age of 18 in a rural setting. Previous studies (Dunne, Bosumtwi-Sam, Sabates, & Owusu, 2010; Gaukler, 2015; Grinshteyn & Tony Yang, 2017) have produced findings indicating there is indeed a relationship between being bullied in school and absenteeism.

Ethical Issues in the Proposed Study

The researcher will receive an introductory letter from the university department of attachment, and this will be used to get to the field. The researcher will then obtain approvals from both the school administrations and school district before the actual data collection process. Formal applications will be sent to the schools requesting for permission to use their school and students as part of the study. Manson (2002) recommended that researchers get a consent form educational authority to take on a study project in a specified area of operation. This will enable the research to be conducted in an acceptable manner to both the researcher and the population.

In conclusion, chapter three is to act as a blueprint of how the correlational survey will be conducted. It provides a procedural structure of how data will be collected or generated and analyzed in this study. This chapter gives shape to the sample selection, data collection and generation, and data analysis as will be used in the chapters that follow to aid the arrival at firm conclusions and recommendations of the study.

 

 

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Does the average rate of babies that have had 6+ visits in their first 15 months of life differ between plan types?

SCENARIO

You are an Informatics Manager for a health plan that needs to submit their HEDIS data to NCQA next month. The health plan’s former informatics manager did not provide the CIO with a report of the HEDIS scores from the prior year. She is interested in the percent of well-child visits in the first 15 months of life (#8940) for babies covered by your plan and all cause readmission rates (#9190). However, as with any public report, the CIO asks you for an analysis of these data before it is submitted to the NCQA.

INSTRUCTIONS

Please read about the 2 HEDIS measures (Measure 8940 and Measure 9190) we will be exploring in this final project. The links to the NCQA explanations are in the module.

For this final project, each student will create a (1) three slide PowerPoint presentation and an (2) Executive Brief.

Please select a health plan that begins with the first letter of your last name. If your last name begins with F, I, X, Y, or Z then please choose a health plan that begins with the first letter of your first name. For example, I would choose between Geisinger Health Plan, one of the Group Health Cooperatives, or Gundersen Lutheran Health Plan.

 

Elements to analyze and report on:

  1. You have HEDIS data on 223 plans including yours for the well-child visit measure. You’d like to see the breakdown of how plans are doing overall. You decide to depict this through a vertical bar chart (proc gchart, vbar) depicting the percent (x axis) and frequency (y axis) of the plans for the 6+ visit rate only (variable = six_plus_visit_rate).

How does your plan compare in terms of this measure?

  1. You also want to see if the average 6+ visit rate is different across plan types, if it varies depending on if a plan is an HMO or PPO (variable =ReportingProduct). You decide to depict this through a horizontal bar chart (proc gchart, hbar). The meanrate of the variable six_plus_visit_rate will be across the x axis. This is very similar to your Q3 for PL1, because you’ll have to show the average rate across categories. 

Does the average rate of babies that have had 6+ visits in their first 15 months of life differ between plan types?

  1. You have HEDIS data on the 225 plans including yours for the all-cause readmissions measure. You’d like to see an overall breakdown of readmissions rates for the total population for all plans. You decide to depict this through a pie chart (proc gchart, pie).

How does your plan compare in terms of this measure?

  1. You’d like to create a table depicting the mean (using the proc means statement) readmission rates for females, males, and total for all the plans. You want the variable name, the sample size (N), the Mean, the Standard Deviation, and the Minimum and Maximum values. The variables you’ll use are (var = Readm_F_Total, Readm_M_Total, Readm_Total_Total).  (first check out the module for help with the syntax).

How does your plan compare in terms of this measure?

https://www.ncqa.org/hedis/measures/child-and-adolescent-well-care-visits/

https://www.ncqa.org/hedis/measures/plan-all-cause-readmissions/

Deliverables:

Create a powerpoint that has the above elements (must be copied from SAS output)

Use template and findings to write a one-page Executive Summary.

 

How much visi bility to give to the corporate name , group name and the company name itself?

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which would be prejudicial to the honour or reputation of the author.
Course of Study:
(AM710) Brands & Consumers
Title:
The New Strategic Brand Management; Advanced Insights and Strategic Thinking.
(Brand Architecture)
Name of Author:
Kapferer, Jean-Noël.
Name of Publisher:
Kogan Page

brand has only one need: to grow, while maintaining
its reputation and profits . Capitalizing
on the success of its founding product or service, it
does so by means of successive extensions, n arrow
to begin with (product line, range ) or broader in
scope (entry into new product categories ) .
When this extension of the perimeter of the
brand’s offer occurs, strategic questions arise: they
concern the brand architecture. The answers to these
will have a considerable effect on the value creation
and the construction of brand capital. This is not
a problem of aesthetics, b ut of efficiency.
The key questions of brand
architecture
There are five types of q uestion:
• What to call new products? Should they be
given a descriptive name or a brand name ?
When Lafarge invented a revolutionary,
fluid and therefore extremely smooth
concrete, should it have called it s imply
fluid cement, or Agilia ? In the latter case,
how should the l ink be made between this
so-called daughter brand, Agilia, and the
so-called parent brand, Lafarge ? Should
one say Lafarge Agilia or Agilia by Lafarge?
Does the same rule apply for all daughter
brands ? How s hould it be expressed on the
packaging of cement sacks, on the prod ucts
themselves, on d istributors’ shelves, or on
the stands at trade shows ?
• How many brand levels to adopt ? Should
there be only one brand name within the
company ? This is the choice for most Asian
groups. This means naming the prod ucts in
a descriptive manner in order to ha ve one
singl e brand. Th us, we ta lk about Samsun g
televisions, Samsung mo bile phones and
Samsung digital cameras. In the same way,
there are Bra un coffee machines, Bra u n
razors, Braun e l ectric tooth b rushes and
Braun hairdryers. Conversely, fo r decades
Philips razors have been known by the name
Philishave, and we talk of the Apple iMac
and now the iPod .
• How much visi bility to give to the corporate
name , group name and the company name
itself? Should everything be brought together
under this one name, as Siemens and Axa
have done, or should the name be given
a role as a guarantee of da ughter brands,
as 3 M and D anone have done ? On all 3M
products (such as Scotch and Post-It) we
find a visible 3 M signature. Conversely, you
have to turn the Evian water bott l e round
to find the Danone Corp logo on the label
at the back. As for Procter & Gambl e’s
products and brands ( Ariel, Tide, Dash,
Always and so on), it takes a sharp eye to
spot the name of the local subsidiary in the
small print. Pharmaceutical la boratories
answer these q uestions in different ways,
depending on whether they operate in
the prescri bed products sector, or in
over-the-counter ( OTC) medication,
or even manufacture generic medicines
( Moss, 2 0 0 7 ) .
Within groups, should the brand be
situated at the corporate level (Accor), or at
the divisional or business unit level, as with
the Accor Casino or Accor Hotels brands,
a longside the well-known product b rands
Part 3 Creating and Sustaining Brand Equity
( Formule 1 , Motel 6, Red Roof, Etap,
Mercure, Novotel, Sofitel, S uite Hotels
and so o n ) ?
• More generally, should there be a different
name for the company and the commercial
brand? Thus, France Telecom is still the
name of the institution, and Orange is now
the only commercial brand.
• Should the same architecture apply around
the world ? For example, in the country of
origin, in Europe, in the United States and
in Asia ?
These are necessary, even crucial questions, which
need to be answered in order to make the continu ally
renewed product offer easy to read, while at the
same time b uilding the brand’s reputation through
this offer.
The term ‘branding strategy’ is used for decisions
on:
• the n umber of brand levels to be
implemented ( one, two or even three ? ) ;
• the role of the corporate in the product value
communication: should it be a bsent, strongly
present, or hardly present ?
• the relative weight of these brands, and the
graphic arrangement of their coexistence on
all the documents, packaging, and products,
but also i ndustrial sites, offices, and b usiness
cards of salespersons and managers;
• the degree of globalization of the
architecture.
There are a few typical responses to these questions:
these models are called branding strategies.
They are discussed i n detail below. First of all it
is necessary to return to the key questions of
brand architecture. Brand architecture is therefore
a strategy: it may be ideal, or may lead to losses
of efficiency, even to paralysis. In any case, what is
expected is a coherent and well-founded response,
even if it must change as competitive conditions
evolve, rendering the previous choice of architecture
null and void, or inefficient and too expensive. In
fact, groups never cease to change their brand architecture,
as the examples below illustrate.
In 1 9 90, l ‘Oreal Paris, which had previously
limited itself to endorsing its brand ranges worldwide
( Elnett, Elseve, Studio Line, etc) by discreetly
signing them, overturned this state of a ffairs,
henceforth giving l’Oreal Paris a key role, under
which all these so-called star brands had to fall
into line, thereby displaying a community of values
and communications style.
In the B2B sector, Henri Lachmann undertook
the reverse change when he took over from D idier
Pineau Valenciennes as managing director of the
Schneider Electric Group. The latter was responsible
for taking Schneider from a fragile status as ironmongers
to that of a global high-tech company
specializing in industrial electrical equipment, thanks
to the acquisition of companies famous throughout
the world (such as Merlin Gerin, Telemecanique,
Yorkshire Switchgear, the Italian company Modicon
and the American Square D ) . Pineau Valenciennes’
goal was to achieve a unique corporate brand as
quickly as possible, which would also play the part
of a commercial brand: as its competitors Siemens,
ABB, GE and Legrand and Hager do, Schneider
Electric became the keystone of the whole offer.
This involved the progressive disappearance of the
specialized companies such as Telemecanique and
Merlin Gerin, relegated to the rank of daughter
brands, then to names of ranges. Taking over management
of the company, Lachmann had a different
vision. It was necessary to do the opposite, revitalizing
the daughter brands to worldwide recognition,
since they were the capital of the emerging
company Schneider Electric. Today the process has
ended with one brand only: Schneider Electric.
In 2005, all products manufactured anywhere
i n the world by Unilever, a leading group in massmarket
products, had to carry the U logo in a highly
visible and identifiable way. Until then the company
had been hidden, or at least not i dentified on product
packaging, except for the legally required
mention of the legal name of the local s ubsidiary
( such as ‘Lever Industan Ltd’ in Indi a ) . This emergence
of the corporate brand is a fundamental
tendency, b ut Unilever’s competitor, Procter &
Gamble, still hides its identity on its packaging. It
is true that the company has had to cope with
a particularly persistent and unpleasant rumour
( Kapferer, 1 9 8 7 ) .
In 2006, Veolia, the world leader in environmental
services ( water and waste treatment, energy,
delegated p ublic transport) decided to remove its
three branch brands, through which it had communicated
since their creation: Connex for transport,
D alkia for energy and O nyx for waste treatment,
substituting them with the u nifying name Veolia: so
the brands became Veolia Transport, Veolia Energy
and so on.
Clearly brand architecture i s not a technical or
tactical problem, but a strategic one. The choice o f
one leads to a commitment that lasts several years,
and it may become a source of cost cutting or of
expensive inefficiencies.
Type of brands
Let us look at a roll of a dhesive tape. At the top
and in large letters we find the name of the general
public commercial brand name Scotch. Down and
to the left we find 3M, or the company’s corporate
brand. Finally, under Scotch, comes the name of
the product itself: Removable Magic™ Tape.
As we can see, there are three brand levels here,
and a descriptor ( or designator ) :
• the company’s corporate brand 3M;
• the commercial brand Scotch, which acts as
an umbrella brand for all the mass or general
public products;
• the brand of the product line Magic™ Tape;
• the designator specifying what kind of Magic
Tape it is : ‘remova ble’ .
3 M is familiar with this three-level strategy.
The strategy of Nokia appears much simpler:
here there is only one brand level. Everything i s
Nokia, followed by a serial number or code name
that serves only to identify a reference, a code name
that will be null and void in six months, given the
speed at which the ranges in the field of telephony
are rotated. Moreover, it is common to say, ‘I’m
going to buy “a Nokia”‘, without giving any other
name. Then people specify which model they want
to the salesperson by recalling the particular
characteristics desired ( ‘the one with this and that
function and a very flat design’ and so on) .
As for Apple, the company has opted for two
brand levels, Apple itself and iPod or iMac, named
after the famous Macintosh. Apple’s star products
have all had their own name (sub-brand ) , except of
course for the early ones that made the company’s
reputation. They were called Apples ( 1 , then 2 then
3 ) and then a variant name. At l’Oreal also, the
policy is not to mention the group name but to build
the brands on star products ( also called franchises)
Chapter 13 Brand Architecture
with the ir own names. For e amp le Gamier (the
other global general pu blic brand o f the l’Ore31
gro up) has built its reputation on the Fructi ran ge,
or the Recital line. Rena ul t has built its reputation
on brands that all have a name ( Twingo, Clio,
Laguna, Scen ic, Latitude ) .
What expla ins the choice o f arch itecture wit h
one, two o r even th ree brand level ? It i s princi pally
the market, its level of segmentation and the option
of whether or not to lean on the corpo rate brand
for support.
Products with very ra pid rota tion make it impossible
to use anything other than a sin gle brand
name (Nokia, Sam sung, Sony Ericsson , Sage and
so on). It takes time to install a particular product
brand .
In big industry, work i s done by proj ect: the
name summarizes the company’s competence, stature
and power, the professionalism of its men and
women, the underlying culture. Th i s is why big
industrial companies like to capital ize all the i r
shares on a s ingle name. Nevertheless, ta king public
works for example, as invitations to tender are
done through trade bodies, the groups have a twolevel
brand policy. Vinci suggests the power of a
leading group, Via is the reputed global brand i n
road construction.
In the mass market, where products are largely
s imilar, i t is necessary to help create percepti bJe
differentiations. Brand names con tri bute to th is.
Pepito by L u was aimed at c h ildren from 6 to 1 0
years, then Prince by L u took them on to the age of
15. The first name a lso makes it possi ble to confer
an intangible personality on the product, an added
value in comparison to the distributor’s copy.
Which role for which brands?
In the a bove example of the removab le Scotch
Magic™ Tape from the 3 M company, it is easy to
understand how each level plays a specific role.
The manner i n which the consumer talks about
the product ind icates which of these levels plays the
leading role, that of seller (the motivator) , the one
i n which the perceived value resides. The consumer
rarely says ‘I want a 3M.’ On the other hand, the
manager of a clinic or hospita l, hospital attendants
and doctors will find it easier to emphasize 3M.
In their eyes, all the pro fessionalism o f a com pany
that, through its innovati ons, has been able to create
Part 3· Creating and Sustaining Brand Equity
products so useful to s urgeons at the most critical
moments of surgery resides at this level.
When you b uy a KitKat C hunky from Nestle,
you are buying first and foremost ‘a KitKat’ in its
larger version ( here called Chunky to increase the
perception of volume and size ) , under the o bvious
a uspices of the ‘better living brand’ Nestle. If you
turn over the product, you will see the corporate
brand Nestle itself (with its characteristic nest),
which acts as a supreme guarantee, morally responsible
for all the products made by its factories
around the world, a kind of manufacturer’s brand.
Let us note that this manufacturing brand Nestle is
also present on the back of the regional European
commercial processed meats brand Herta .
Through these examples may be distinguished
the roles of:
• Motivator, the anchor point for value and
driver of choice. From a certain point of
view, this is the true brand: the one that
most symbolizes the differentiation and
creates the desire.
• Source of value for products. The
commercial brand Nestle applied as the aegis
a bove all products indicates that these carry
its values of taste, health and family.
• The producer’s moral endorsement and
responsibility, where the company supplies
a telephone number that c ustomers can call
to report any deviation that they consider
unacceptable, anywhere in the world. This is
a manifestation of the demands of corporate
social responsibility ( CS R ) . Yesterday we
said, ‘Big is beautiful’; today we say, ‘Big i s
responsible.’
• The designator of the specificity of the
reference in question – when we say KitKat
Chunky, to specify which one we wish to
buy.
• An identifier of the origin: this is the role of
the manufacturer’s brand.
The accumulation of levels damages clarity, and
appropriation by the client. It should therefore be
combated, and only the indispensable levels should
be kept. The debate on the presence or a bsence
of the corporate brand on mass-market products
cannot be decided only by questioning consumers.
Of course, if they were asked whether they see any
reason to keep the name 3 M on the packaging, the
maj ority would say no: they don’t know 3 M . Since
the logo evokes nothing for them, they regard it as
useless. However, the strategy cannot be based on
this point of view alone. The legitimate ambition of
enhancing the group’s value on the stock exchange
implies an awareness that cannot b e built up
through colossal advertising budgets, the money for
which must necessarily be taken from the brands’
operating budgets. It is therefore better to profit
from the millions of stealth contacts offered by the
products and the communication they make.
For this same reason, the Accor symbol appeared
in the lobbies of all the group’s hotels, regardless
of brand. This made it clear that all of these
hotels, previously presented as independent or even
competitors, were in fact members of the same
family. There was a loss in differentiation and probably
in emotion, but Accor rapidly gained from
it recognition as the leader in hotels and services
in Europe.
The first alternative: branded
house or house of brands?
The brand architecture i s the coherent response
given to the three questions examined a bove:
• How many brand levels should be used? One
single level, or two ? In other words, should
brands be created to designate the activities
or the professions or the products
themselves ?
• What linkage exists between these brand
level s ? This goes back to the question of
the respective roles of the brands : where
is the value located, who endorses whom,
and so on?
• What visibility should the corporate brand
have ? And what role ?
The answers to these questions are not independent.
In reality they form six types of overall response,
with precise impacts that go far beyond the descriptive
( what name or symbol i s in large font, or in
small, at the top or the bottom) and concern the
offer itself. They affect its content, its values: that
is, the degree of variety that a brand can offer under
its name. These overall responses or branding architecture
types number six in total . From this point
on we shall distinguish the following architectures:
Chapter ‘3 Brand Architecture
F I G U R E 1 3. 1 Positioning alternative branding strategies
BRAND FUNCTION:
INDICATOR OF ORIGIN
SOURCE EFFEC T
REASSURANCE
• Corporate
masterbrand
• Corporate
source brand
Corporate
• endorsing brand
• Maker’s mark
• Generic brand
• the product-brand strategy and its variants,
the line and range brands;
• the flexible umbrella strategy;
• the master brand strategy;
• the maker’s mark strategy;
• the endorsing brand strategy;
• the source brand strategy.
These strategies are responses to the market. They
ma y be structured along two axes (see Figure 1 3 . 1 ) ,
according to whether the value sought by the brand
relates more to power and stature on the one hand,
or personalization, differentiation and identity on
the other.
At one extreme, the strategy known as the
corporate master brand is characterized by a single
and unique brand level, often the corporate name,
• Umbrella brand
• Source brand
• Endorsing brand
• Range brand
• Line brand
• Product brand
BRAND FUNCTION:
PRODUCT DIFFERENTIATION
PERSONALIZATION
and that of the company itself. The who l e of the
company that adopts it must then fa l l into line with
the brand’s val ues, and be the carrier o f these
values. Either something is IBM, or it is not. Brands
i n the ind ustrial and public worlds and the services
sectors ( banks, insurance, consultancies and so on)
typically follow this strategy. Here, reputation is
linked to reassuring size and power.
At the other extreme we find the product-brand
strategy. In this strategy, the compa ny is not i den tified
at a l l . This is the case with brands o f LV MH
and Procter & Gamble, which does not strongly
identify itself on each of its brands (A riel, Ti de,
Pampers, Always, Dash, Swiffer and the rest ) . This
makes it possible to function in the same market,
for examp l e washing powders , with a po rtfo l i o
of apparently competing brands. The car manufacturer
PSA also functions via a product-brand
Part 3 Creating and Sustaining Brand Equity
strategy: you can buy either a Peugeot or a Citroen,
but not a PSA.
Architectures with two or more brand levels
represent a compromise between the power requirements
that push for a single dominant name
( masterbrand) and the personalization requirements
that p ush for segmented daughter brands, each
ha ving a clearly differentiated identity. In fact,
generalized a utomo bile brands attempt to capitalize
on their name (Volkswagen, Toyota ) b ut boost
the attractiveness of the models themselves by
means of a name that acts as a brand ( Golf, Passat,
Yaris, Prius ) .
It is also possible to classify these architectures
according to the degree of constraint that they impose
downstream, at the b usiness, product and market
levels. In this respect, the Americans distinguish
between two basic alternatives: ‘house of brands’
or ‘branded house’ (that is, a basket of different
brands or activities brought together under a single
aegis) (see Table 1 3 . 1 ) . These alternatives lead back
in fact to the degree of constraint and coherence
imposed on the products and markets. We will see
that behind these basic alternatives can be found
architectures that in practice are very different.
The first option ( ho use of brands) relates to a
situation of extreme freedom of management for
the brands, s ubsidiaries, activities and divisions.
This is typical of Japanese groups. For example,
there is no coordination between the Mits ub ishi
Motors division and the Mitsu bishi Electric division.
TA B L E 13.1
‘branded house’
,
Prod uct 􀀸bra!:1d
Line brand
Ral”lge brand
Maker’s mark
Endorsing brand
‘House of brands’ or
Flexible umbrella brand Masterbrand
!! • , 1I ‘
It may be the same name, and the same company in
legal terms, but each division, like a silo, acts as it
sees fit. It carries out its own advertising, with its
own arguments, its brand values and so on. The
important things are commercial s uccess, and the
growth in recognition of the Mitsubishi name.
As we can see, ‘house of brands’ does not relate
solely to the product-brand architecture, as D avid
Aaker ( 1 9 95 ) and Kevin Lane Keller (2007) write,
b ut also applies to umbrella-type strategies ( a single
brand for the whole company) where in fact the
decisions made downstream, i n contact with the
market, are very free, and seek only to reach
the obj ectives linked to that specific market, without
coherence as a whole at the image level. Michelin
has acted in this way for decades. Michelin’s Truck
D ivision did not coordinate with Michelin Private
Vehicles or with Michelin Aviation. There was no
desire to create variations on a common, specific
and normative brand platform in each of these
markets.
The ‘branded house’ expresses the desire to give
coherence to the whole under the a uspices of a
brand with central values that find embodiment
at the market and product level. This path brings
together the master brand and a lso dominant
( so urce ) brand strategies, giving a strongly normative
structure to the d aughter brands on the second
level. This strategy is pursued by Nivea for example,
l ‘ Oreal Paris and Kinder. This second level must
express the values of the parent brand. In this way
the necessary coherence can be instilled, as dealt
with in Chapter 1 1 . The ‘ branded house’ is a family
with a high degree of internal unity.
This is why we can structure the strategies
according to a matrix that classifies them. They
are classified b y the n umber of brand levels ( one
or two ) and according to the degree of freedom
allowed downstream, at market level, for decisions
on product and service positioning. These will be
examined here in turn.
Branding strategy and corporate
valuation
Branding strategy should not be seen as a formal
design problem b ut rather a matter of deciding on
the value flows to be created between the different
p arts and products of a company. As such it affects
the value of the company.
Chapter 13 Brand Architecture
F I G U R E 1 3 . 2 The six main brand architectures
High degree of freedom
(house of brands)
High degree of coherence
(branded house)
Product brands Umbrella brand Masterbrand
Brand or corporate Brand or corporate
One
branding
level
Product Product Product Product Product Product
(Hidden corporate)
P&G Mitsubishi, Samsung Nivea/Sony
Maker’s mark Endorsing brand Source brand
corporate Brand A
Two
branding
levels
Brand A
Ferrero
The business angels and investment funds have
got it right. For example, in the cosmetics sector,
there is more to be gained from the resale of a
‘branded house’ than a b asket of mixed brands,
however well known, grouped together within a
‘ho use of brands’. For example, Gamier has
become a ‘ branded house’, a house with a ho use
spirit and house values that in return influence
the positioning of the brands under Gamier. In
fact, Gamier is itself a brand with a specific
identity. SCAD, on the other hand, is a ‘house of
brands’ that groups together brands as diverse as
D op, Vivelle, D essange and J L David. S CAD is
merely a commercial and marketing organizational
structure.
In the cosmetics sector, a ‘house of brands’ is
valued at six times the profits, while a ‘ branded
house’ enj oys an overval uation that brings the PIE
(Price-Earnings ) ratio to 7 or 8 . Similarly, as soon
as a company is quoted on a stock exchange, all
internal separatist tendencies – such as sub-brand
logos protected j ealously from the corporate brand
Corp
Brand B Brand or corporate
Sub-brand Sub-brand Sub-brand
A B c
Corp
3M !’Oreal Paris
– must cease. What had previously been of little
consequence becomes un acceptable.
Research by Rao, Agarwall and D a lhoff (2 0 0 6 )
has examined how manifest branding stra tegies
were related to the stock value of the corporation.
The statistical results show that a one-brand strategy
(branded house) is linked to a higher sto c k
market value, fo llowed by the mixed strategy. These
results are not surprising, but they are mis l eading
and likely to lead to wrong decisions.
Looking at the stars of Wall Street today, one
finds the start-ups of the inte rnet world (Google,
Amazon and eBay) or of hig h tec hnology (Cisco,
Microsoft, Apple and D e l l ), or services (IB M, etc ) .
These are recent companies focused on one singl e
market, if not one activity. In itse l f eBay is a product
brand name that has become a l isted company. The
same holds true for Ama zon, ete. This means that it
is normal that young companies, still focused on
one need if not one service or product, in the fastestgrowing
part of the modern economy de liver high
ROI and stock valuation multiples. Their branding
Part 3 Creating and Sustaining Brand Equity
strategy is only the correlate of the above-mentioned
parameters and in no way a cause of the profits.
Also, how useful is this type of result for say P&G,
Lever or LVMH? These groups thrive by mastering
a know-how (marketing here, luxury management
there) and managing a portfolio of independent
brands, each the leader in its own segment. Should
P&G then a bandon its branding strategy and use a
single brand, j ust as the Korean or Japanese groups
do ? But then it would not b e able to dominate
markets with multiple entries ( Ariel, D ash, etc in the
laundry detergent market, for instance) . Should it
be called the Gillette Group or the Tide Group
instead of P&G now that this corporate name
has become the symbol of excellence in marketing
FMCG goods ?
Brand architecture and corporate
internal organization
The brand architecture also has a strong influence
on the functioning of the company. There is no masterbrand
or source brand without a brand master, a
guardian of the temple, someone who will ensure
the necessary coherence, not only at the level of the
logo or of the formal identity, across all countries
and divisions. That would be to view this person as
more than a guardian of policies – on character, on
typographies, or on respect for graphic charts –
( what is often referred to as a logo cop ) .
In reality, the more a company moves towards
the ‘branded house’ type of architecture, the more
it becomes necessary to install coordination and
power structures. Hence at Schneider Electric, and
also at the core of the Seb group, there exists a
brand committee, made up not of communicators
b ut of the managers of the b usiness units and the
divisions themselves. The profile of the participants
in this brand committee is moreover symptomatic
of how seriously or otherwise the company takes
the notion of branding.
Japanese companies have recently become aware
that their typical silo organization, although it
certainly h a d advantages, was damaging to the
emotional quality of the brand and its coherence.
Each division pushes a functional characteristic of
its product, and nobody takes responsibility for
the brand values themselves. This is why, in 1 999,
Toshiba decided to name a ‘Mr Brand’ in the person
of the previous worldwide director of research and
development for the Toshiba group. It should also
be noted that Korean groups such as Samsung, and
in particular LG, did not take so long: they were
quick to name brand guardians, with transverse and
global authority.
If we examine the architectures in detail, the
apparently banal fact of moving from two brand
levels to one is in reality a message on the company’s
methods of organization and the distribution
of power. In its beginnings, Veolia followed a
house of brands strategy. Veolia was born from the
splitting up of Vivendi Universal’s public utilities
division, b ut the value was located at the level of
its business activities . In this way Connex brought
together all the private trains, buses and subways
throughout the world, Onyx was the global brand
for waste management and D alkia the brand for the
energy branch . This marked a group where power
coordinates, but the markets dominate.
Removing these division brands sends a strong
message of integration, externally to clients and
prospective clients , b ut also internally. The client
may legitimately expect to see the organizational
and IT silos disappear, and genuinely networked
managers appear. When this is not the case, there is
a gulf between the brand and the organization.
The main types of brand
architecture
Let us now examine the individual characters of
the principal brand architectures. We shall begin
with those architectures that a llow great freedom
in terms of products and communication: the link
between the company values and those of the
divisions, activities and product is lax. They are
brought together under the term ‘house of brands’.
Then we examine strategies that are more restrictive
downstream, since the latter should reflect
central values, of which the brand is the concrete
expression (see Figure 1 3 . 2 ) .
The product-brand strategy
It is widely known that a brand is at the same
time a symbol, a word, an o bject and a concept: a
symbol, since it has numerous facets and it incorporates
figurative symbols such as logos, emblems,
F I G U R E 1 3.3
The product- brand strategy
Brqnd A
Product A
Positioning A
Company X
Brand B Brand N
Product B … etc… Product N
Positioning B Positioning N
colours, forms, packaging and design; a word,
because it is the brand name w hich serves as
support for oral o[ written information on the
product; an obj ect, because the brand distinguishes
each of the products from the other products or
services; and finally, a concept in the sense that
the brand, like any other symbol, imparts its own
significance – in other words, its meaning.
The product-brand strategy involves the assignment
of a particular name to one, and only one,
product ( o[ product line) as well as one exclusive
positioning. The result of such a strategy i s that
each new product receives its own brand name
t h at belongs only to it. Companies then h ave a
brand portfolio that corresponds to their product
portfolio as illustrated in Figure 13.3.
This brand strategy can be found in the h otel
industry w here the Acco[ Group has developed
multiple brands for precise and exclusive positions:
eg Sofitel, Novotel, Suit’ Hote l , Ibis, Formule 1
and Motel 6 . The company Procte[ & Gamble
h a s made this strategy the symbol of its brand
management philosophy. The company is represented
in the European detergent market by the brands
A[iel, Vizir, Dash and in the soaps market by Cama y,
Zest, ete. Each of these products h a s a precise,
well-defined positioning and occupies a particular
segment of the market: Camay is a seductive soap,
Zest a soap for energy. Ariel positions itself as the
best detergent in the market and D a s h as the best
value for money in the intermediate price range. Both
h ave developed a product line including powder,
liquid and tablets.
Chapter ‘3 Brand Architecture
I n novative com panies in th food <;ecto r creat
new spec i a l i ty products which a re the n di stingui
shed through individual na mes and therefore
these companies have a la rge brand product po rtfo
l io . The cheese com pany Bong rain ma rket more
than 1 0 brands, such a St Moret, Capri e des Dieux
and C haumes . The m i neral water ma rket is composed
of only p rod uct brand : one asks for Vinel,
Evian or Contrex, knowing very we l l that there wi l l
be no a m bigu ity and one w i l l get the product asked
for. Here, the brand, the name of a prod uct, becomes
a strict indication of i dentity.
I n an extreme case, the p roduct is so pecific that
th ere is no equiva l ent, and the product is not only a
product, but an entire product category o f wh ich
it is the sole representati ve. This p h enomenon has
been described by some th rough the neo logism
‘branduct’ ( Swi ners, 1979), an abbreviation of brand
product. These prod ucts a re so u n i q ue, so spec ific
that they h ave no other name than thei r brand
name. We see t h i s in ‘ Post- it’, B a i l ey’s I rish Cream,
Malibu liqueur, Mars, Bounty, Nuts, ete .
How i s the strict rel a tion s h i p between one name,
one product and one positioning main tained over a
period of time ? First, the only way to ach ieve brand
extension is by renew ing the p roduct. To keep the
product at its height and original positi oni ng, the
Ariel formul a h a s often been improved since it
was la unched in 1969. Arie l receives the best
technological and chemic a l inputs from Procter
& Gamble ( l ike its competitor, Sk ip, from Leve r)
(Kapferer and Thoenig, 1989) . Often, to e m p h asize
an important improvement to the product, the
company adds a number after the brand name
( D a s h 1, Dash 2, D a s h 3). To keep up with changing
consumer h a bits, the brand name is appl ied
to various formats ( for example, in packagi ng:
packets, drums, in powder or l i q u i d form ) .
What, then, are the ad vantages of the prod uct
brand strategy for compan ies ? For firms focu sing on
one market, it is an offensive strategy designed to
occupy the w hole market. By indulging in the practice
of m u l tiple brand entries in the same ma rket
( Procter & Gambl e h a s four dete rgent brand s ) , the
company occupies many segments with d i ffe rent
needs and expectations and th erefore has a greater
consol id ated s h a re of the market: it becom es category
leader. However, this remains inconspicuous,
for the corporate name is kept discreet if not h idden.
Some com p anies do wish to remain at the back
and focus the lights exc l usively on their brands. The
Part 3 Creating and Sustaining Brand Equity
cases of Procter & Gamble, Unilever, Masterfoods
and Bestfoods are we l l known, that of ITW is less
so. ITW stands for Ill inois Toolwork. It is a billionUS-
dollar corporation, very acquisitive: it owns
more than 500 companies throughout the world. Its
brands aim at the construction professional: they
are called Paslode, D uo-Fast for wood products,
Spit and Buidex for steel and concrete. The goal
is to provide very speci alized tools to specialized
workers : a policy of niche brands, addressing segmented
needs, craftspeople and channels is a direct
consequence of this goal. People working with
wood want to be reinforced and differentiated from
people working with other materials. ITW does not
wish to hurt this desire, and AS resisted all temptations
to grow the ITW brand itself, for instance
as an endorser. ITW’s success rests precisely on the
exact contrary.
When the segments are closely related, choosing
one name per product helps customers to perceive
better the differences between the various brands.
This may also be necessary when the products resemble
each other externally. Thus, one sees that
although all detergents are composed of the same
basic ingredients, the proportion of these may vary
according to the factor that is being optimized: stain
removal properties, care for synthetic materials,
colourfast control or suita bility for hand washing.
The association of a specific name for a type of
need underlines the physical difference between the
products .
The product brand strategy is one that is adapted
to the needs of innovative companies who want to
pre-empt a positioning . In fact, the first brand to
appear in a new segment, if it proves to be effective,
has the advantage of the first player in the market.
It becomes the nominal reference for the thus innovative
product and maybe even the absolute
reference. The brand name patents the innovation.
This is particularly important in markets where the
success is likely to induce copying. In the pharmaceutical
world where copies are a certainty, every
new product is registered under two names: one for
the product, the formula, and another for the brand.
Even if they have the same formula, future copies
appear different because the originality of the brand
name ( Zantac, Tagamet) provides an a ura of exclusivity
and of legal protection. On the other hand,
where the law cannot provide protection, forgeries
and copies attempt to exploit the potential of the
brand name by imitating it as closely as possible.
That is why large mass retailers often use product
brands or, to be more precise, counter-product
brands. Thus, Fortini copies Martini, Whip copies
Skip, etc. Scared of having their other brands
cast out of favour manufacturers have, until now,
hesitated to legally challenge the distributors for
forgery or illegal imitation. ( See also page 2 1 5 . )
Product brand policies allow firms to take risks
in new markets. At a time when the future of
the liquid detergent was still uncertain, Procter &
Gamble preferred to launch a product brand: Vizir.
Launching it under the name Ariel liquid would
have threatened Ariel’s brand image asset and
launching it under the name Dash would have incurred
the risk of associating a potentially powerful
concept with a weak brand and thereby overshadowing
it. Coca-Cola did just the same when it
first launched Tab to test the diet market.
Product brand policy implies that the name of the
company behind it remains unknown to the public
and is therefore different from the brand names.
This practice a llows the firm considerable freedom
to move whenever and wherever it wishes, especially
into new markets. Procter & Gamble moved
from the creation of the soap, Ivory, in 1 8 8 2 , to the
culinary aid, Crisco, in 1 9 1 1 , Chipso in 1 926 and
the machine detergent, Dreft, in 1 93 3 , Tide in 1 946,
Joy, the dishwashing agent in 1 95 0 and then Dash
in 1 9 5 5 , the toothpaste, Crest, in 1 95 5 , the peanutbutter,
Jif, in 1 9 56, Pampers in 1 96 1 , the coffee,
Folgers, in 1 963, the antiseptic mouthwash, Scope, as
well as household paper rolls, Bounce, in 1 965,
Pringle chips in 1 968, sanitary napkins, Rely, in 1 974,
Always (Whisper) and Sunny D elight later on.
Since each brand is independent of the others,
the failure of one of them has no risk of negative
spill over on the others, or on the company name (in
cases where the company name remains relatively
unknown to the public and different from that of
any of the brands ) .
Finally, the distribution parameter also favours
this strategy heavily: the shelf space accorded by a
retailer to a company depends on the number of
( strong) brands that it has. When a brand covers
many products, the retailer stocks certain products
and not others. In the case of product brands, there
is only one product per brand, or one product line
per brand.
The drawbacks arising from product brands are
essentially economic. Thus multi-brand strategy is
not for the faint-hearted.

In fact, a new product la unch is often a new
brand launch. Considering today’s media costs, this
involves considerable investments in advertising
and promotions. Furthermore, retailers, unwilling
to take risks with new products whose future is
uncertain, stock them only when reassured by heavy
listing fees.
Multiplication of product brands in a market
due to the increasingly narrow segmentation weighs
heavily on the chances of a rapid return on investment.
The volumes required to j ustify such investment
(in R&D, equipment, and sales and marketing
expenses ) make the product brand strategy an ideal
one for growing markets where a small market
share could nevertheless mean high volumes. When
the market is saturated, this possibil ity disappears .
On the other hand, in a stable market it is sometimes
more advantageous to nurture an existing
brand with the innovation in question rather than
attempt to give it product brand status by launching
it under its own name.
The role of fire curtains between product brands
is certainly important in times of crises, b ut in other
times it prevents the brand from benefiting from the
positive spillover effect created by other products
under the same name. The success of brand A will
not help other products because their names, B, C ,
D, etc are different and d o not bear any relation
to A . As we can see, in this strategy, the firm gives
the brand a completely distinct and excl usive
function and almost no hints a bo ut its origin . New
products do not benefit from the renown of one of
the already existing brands nor from the economies
that one could derive from it. On the other hand,
this advantage has no role among distributors who
are well aware of the company name behind the
brand and its reputation for success or failure.
The line brand strategy
D eglaude Laboratories launched a product brand,
Foltene: a single product associated with a single
benefit, the regrowth of hair. A strong TV advertising
campaign made the market explode and Foltene
became the leader with a single product and a 55
per cent market share. They should have remained
thus, but consumer logic prevailed. Bald people
were not looking for a single product. They wanted
a n all-encompassing service, a total care routine.
They wrote asking that shampooing b e combined
Chapter 13 Brand Architecture
with the Foltene treatment. I n 1982 Deglaude
la unched a mild sha mpoo (w hich wa later u bdivided
according to hair type) follo\ ed by a
daily-use lotion. All this wa by way o f re pon e to
customer demands.
Christian Dior la unched Capture, an anti -ageing
liposome complex for the skin. Fo l l owing its s ucce ,
a first spin-off was soon lau nched: ‘Capture, eye
shaper’, followed by l i p shapers and then othe r
products for the body. The Ca pture l i ne was born.
Thus, to take up Botton and Cega rra’s defi nit ion
( 1990 ) , the line responds to the concer n o f o ffe ring
one coherent response under a s i ngle name by
proposing many complementa ry products . Th is
goes from variations of the offe r, as in the case o f
Capture or with the fragrances o f an a fter have , to
the inclusion o f various prod ucts within one specific
effect, as in the case of Foltene. This is also the case
with Studio Line hair products from l’O real, which
offers structuring gel, lacquer, a spray, etc . Ca 19on
( a Benckiser brand) markets a di shwasher powder
together with a rinsing agent and limesca le inhibi tor.
That these products are completely diffe rent fo r the
producer makes no difference to the consu mer, who
perceives them as related.
It should be clear that the line involves the
exploitation of a successful concept by extending
it but by staying very close to the i n itia l product
( eg Capture liposomes or the Fo ltene princip l e ) .
In other cases, the line is launched as a com plete
ensemble, with many complementary prod ucts
linked by a single central concept ( for Stud i o i t was
allowing you ngsters to do their own hair and give
themselves a ‘look ‘ ) . The eventual extension of the
line will involve only the marginal costs linked to
retailers’ discounts a nd to the packaging. It does
not need advertising. It should be com pared to
the marginal number of consumers that could be
won. As one can see, the line brand strategy o ffers
multiple advantages:
• it reinforces the selling power of the brand
and creates a strong b rand im age;
• it facilitates distribution fo r each line
• extenslOn;
• it reduces launch costs.
The disadvantages of the line strategy lie in the
tendency to forget that a line has limits. One should
only include product innovations th at are very
closely linked to the existing ones. On the other
Part 3 Creating and Sustaining Brand Equity
hand, the inclusion of a powerful innovation could
slow its development. Thus, even though Capture
was the result of seven years’ research in collaboration
with the Pasteur Institute, received three
patents and brought with it a revolutionary antiageing
principle, D ior decided to attach it to a
currently existing anti-ageing line. This did not
prevent the success of Capture, but unnecessarily
delayed it initially.
The range brand strategy
Campbell’s Soup, Knorr, Birds Eye and Igloo all
propose more than 1 0 0 frozen food products. But
not all range brands are this extensive. The Tylenol
range now covers a number of different products.
Range brands bestow a single brand name and promote
through a single promise a range of products
belonging to the same area of competence. In range
brand architecture, products guard their common
name (fish a la proven<;:ale, mushroom pizza, pancakes
with ham and cheese in the case of Birds Eye) .
In the Clarins cosmetic range, products are named
‘purifying plant mask’, extracts of ‘fresh cells’,
multi-tensor toning solution, day or night soothing
cream, etc.
Range brand structure is found in the food sector
( Green Giant, Camp bell, Heinz, Whiskas and so
on), equipment ( Moulinex, Seb, Rowenta, Samsonite)
or in industry ( Steeicase, Faco m ) . These brands combine
all their products through a unique principle,
a brand concept, as is shown in Figure 1 3 .4. The
advantages and disadvantages of the structure are
as follows:
• It avoids the random spread of external
communications by focusing on a single
name – the brand name – and thereby
F I G U R E 13.4 Range brand formation
Bra n d
Bra n d c o n ce pt
P R O D UCTS A B C D . . . . . . . . . . . N
creating brand capital for itself which
can even be shared by other products.
Furthermore, in such a structure the brand
communicates in a generic manner by
developing its unique brand concept. Thus,
the range brand of pet food, Fido, covers
many products but in its advertisement
it only has a taster dog who marks his
approval on a product with a paw print.
This commercial transfers the brand
focalization and its pre-eminence to the
animal. Another approach consists of
communicating the brand concept by
concentrating only on certain of the most
representative products through which the
brand can best express its meaning and
convey consumer benefit. This can then
be shared by other products of the range
which are not directly mentioned.
• The brand can easily distribute new products
that are consistent with its mission and fall
within the same category. Furthermore, the
cost of such new launches is very low.
Among the problems that are most frequently encountered
is one of brand opacity as it expands.
The brand name Findus covers scores of savoury
frozen products. It is a good brand – high quality,
modern, a specialist in frozen products and a generalist
as well because it makes all kinds of dishes.
For years, product names were the names of the
recipes. But these names are banal. Any brand can
claim that it has the same recipe. To enrich the brand
and to express its personality on one hand, and on
the other hand to help the consumer choose from
the mass of products that are o n offer, an intermediate
level of categorization must b e created between
the brand name and each actual product name.
This is the role of specific lines such as:
• ‘Lean cuisine’ that regrouped 1 8 dishes all
recognizable by their white packaging;
• ‘Traditional’ covering nine dishes with
maroon o uters;
• ‘Seafoods’ comprising nine kinds of dishes
and assorted products ( previously simply
called hake cutlets, whiting fillets, etc) in
blue packaging.
Such names for a line throw light on the products
and also help to structure the range in the same way
as retailers organize their shelves. The criteria for
r
I
segmentation and for the creation of families of
products depend on the brand . Thus, should we
make the d istinctions according to the content
(poultry, beef, pork, etc, as in a butcher’s shop) or
according to consumer benefits (light, traditional,
exotic, family orientated . . . ) ?
The line structures the offer, by putting together
products which are undoubtedly heterogeneous,
b ut all of which have the same function. Thus, in
the Clarins cosmetic range brand, the offer is also
made more clear and structured by way of lines.
To assist the consumer in deciphering the scientific
terms used o n the products, the bra n d proposes
lines as one would a prescription. For example:
• the ‘soothing line’ for sensitive skins
includes a mild day cream and a mild n ight
cream as well as a restructuring fluid i n
capsules;
• the ‘slimming and firmness’ line regroups
a n exfoliating scrub, a slimming bath, a
‘bio-superactivated’ reducing cream and
an ‘anti-water’ oil.
The Clarins offer ceases to be a long list of
creams, serums, lotions, balms and gels and now
Chapter 13 Brand Architecture
fo rms structured and coherent groups as een in
F i gure 1 3 . 5 .
The maker’s mark strategy
For many yea rs the B e l logo h as been syste matically
marked on the packaging of c heeses prod uced by
th i s company: La ugh ing Cow, K i r i , M i n i Babybe l ,
Leerdamm er, Boursin a n d other brands. But wha t
does Bel mea n ? Not h i ng else was done to e x pl a i n
the brand . It was the maker ‘s mark, the make r’s eal,
a proto- brand in the sense that it d i d not see k to
build itself a territory of mea n i ng, of emotion. The Be l
company added i ts seal to authenticate the product
and guarantee its provena nce. The fu nction of th is
maker’s seal was to create a recognition sign identify i
n g the industrial group that made it. Consumers
are not worried about this, but this sign is aimed
essentia lly at distributors and depa rtment heads. I t
is also important i nternally, fo r all the international
cheese-making companies acquired, who see in the
application of this seal to th eir prod ucts, the sign of
their full integration into the Bel family.
I n formal terms, in relation to the p revious a rch i tecture
where the corporate brand i s com plete ly
F I G U R E 13 . 5 Range brand structured in lines
P R O D U CTS
Crea m s S o l u t i o n s F l u i d s G e l s Baths etc . . .
Sooth i ng l i ne
S l i m m i ng a n d
fi rm n ess l i ne
L i n e Y
Part 3 Creating and Sustaining Brand Equity
a bsent, this strategy is characterized by a discreet
corporate logo, giving pre-eminence to the commercial
brand. In a certain way, the presence of 3M
on all its mass-market products must be a mystery
in the eyes of its consumers, if they notice it at all.
From this point of view, the architecture is close to
that of the ‘maker’s mark ‘ . In the United States,
where 3 M is better known, the application of the
3 M logo plays more of an endorsing role.
Endorsing brand strategy
Everyone recognizes famous car brands such as
Pontiac, Buick and Chevrolet in the United States or
Ope I in Europe . Next to their logos and to the signs
of the dealers of these brands we always see the two
letters : GM. It is obviously General Motors, the
endorsing brand. Again, what is the link between
the cleaner Pledge, Wizard Air Freshener and Toilet
Duck ? They are all Johnson products. The endorsing
brand gives its approval to a wide diversity of products
grouped under product brands, line brands or
range brands. Johnson is the guarantor of their high
quality and security. This having been said, each product
is then free to manifest its originality: that is what
gives rise to the different names seen in the range.
Figure 1 3 . 6 symbolizes endorsing brand strategy.
As one can see, the endorsing brand is placed
lower down because it acts as a base guarantor.
Furthermore what the consumers buy is Pontiac or
F I G U R E 13.6
Pro m is e A
P r o d u ct o r
r a n g e A
B ra n d A
E n dors i n g brand strategy
Pro m is e B
Pro d u ct o r
r a n g e B
B r a n d B
Opel: they drive choice. General Motors and Johnson
are supports and assume a secondary position.
The brand endorsement can be indicated in a
graphic manner by placing the emblem of the
endorser next to the brand name or (when signed
above, it acts as maker’s mark ) by simply signing
the endorser’s name.
The advantage of the endorsing brand is the
greater freedom of movement that it allows. Unlike
the source brand, the endorsing brand profits less
from its products. Each p articular product name
evokes a forceful image and has a power of recall
for the consumer. There is little image transfer to
the endorser.
The endorsing brand strategy is one of the least
expensive ways of giving substance to a company
name and allowing it to achieve a minimal brand
status. Thus, we can see the name Bayer on packets
of garden products and Monsanto on Round Up .
The high quality of these brands is guaranteed by
the names of these major organizations. On the
other hand, through their presence in everyday life
these companies become more familiar and close
to the people. Since the scientific and technical guarantees
are assured by the endorsing brand, product
brands can devote more time to expressing other
facets of their personality.
Therefore, as one can see, there is a division
of roles at each stage of the branding hierarchy.
The endorsing brand becomes responsible for the
Pro m is e C
Pro d u ct o r
r a n g e C
B r a n d C
Pro m i s e N
Pro d u ct o r
r a n g e N
B ra n d N
E n d o rs i n g b ra n d
guarantee that is essential for all brands and, today,
these guarantees not only cover areas such as
qual ity and scientific expertise, but also civic responsibi
lity, ethics and environmental concerns. The
other brand functions are ass umed by the specifically
named brands: distinction, personalization and
even pleasure ( Kapferer and Laurent, 1992 ) .
Umbrella brand strategies
Under the term ‘ umbrella bran d’, we find in fact
two modes of implementation in companies, the
first relatively liberal towards products and subsidiaries,
the other exercising real control. We shall
examine both in turn : the first is in rea lity a house
of brands, the other a branded house.
T h e f l e x i b l e u m b re l l a b ra n d
The umbrella brand strategy is characterized by a
single brand level: the products are not given a
daughter brand. They may possibly be given code
names, but only with the aim of identifying them
in catalogues or price l ists. Philips televisions are
known as ‘televisions’ ( whereas Sony’s is known as
a ‘Tr initron ‘ ) , Philips razors are known as ‘ razors’,
and so on.
Unlike the prod uct brand, where a brand relates
to a single product and vice versa, the case of Philips
underlines that here the umbrella brand covers
several product categories, both figuratively and
i n reality. This is the principal a dvantage of this
strategy, moreover: offering a common umbrella,
a common name, to a highly diversified range.
It is important i n these a nalyses to distinguish
between two types of umbrella brand, according to
the degree of freedom accorded to the products,
divisions or branches. This flexible umbrella strategy
is currently typical of Japanese, Korean and Chinese
brands. Mitsubishi sells cars, electrical products,
lifts and nuclear plants under its name, but a lso food
products under the Three D iamonds brand ( the
Mitsubishi symbol is made up of three diamonds).
Toshiba is only known in Europe for its laptop
computers, but you only have to visit the Tokyo
department stores to see Toshiba sewing machines
and frying pans. There, Toshiba is rather like Phi lips
i n Europe.
In fact, the umbrella brand is typical of Asian
organizations, where sales subsidiaries of Japanese,
Korean or Chinese companies have a high degree of
Chapter 13 Brand Architecture
freedo m . What is req u ired of them i to esta b l i h
the mselves in the country, not to make a ve , a n d
to conquer the market . H i storica l ly, the pen etra tion
of the United States and Europe by J a pa n e e
equipment p roducts ( radio, hi-fi, telev ision, p h otography,
reprographics, teleph one , IT, ga m e and s o
on) was carried out via the exportation of products
made in Japan. The distribution su bsidia r i e were
tasked only with selli ng the m ; they were man aged
by local people, since the J a panese d i d not like
working a broad. Moreover, the e m p h a s i s p l aced
locally on sales was convenient for su bsid ia ries
essentially made u p of in-cou ntry ma nagers. Besides
the sales obj ectives, and respect for corporate eth i cs,
there were few constraints on the managers. There
was a point on the brand map, if not the gra p h i c
map, but no value platforms. The J a panese gl obal
success was achieved on the basis of the advan tages
and the low prices of the products themselve ,
carried by qual ity commerc i a l o rganizations, u n der
the um brella of a b rand whose dispers i on a Iso contributed
to build ing its recogn ition. The u m b re l l a
brand was a name, not a vision find ing embod iment
in services and prod ucts . This name was gene ra l l y
the corporate name, that of the industrial gro u p .
This i s why the subsidiaries had a h igh degree
of freedom: their marketing comm unications were
carried out by country. Within the same cou ntry,
over several years, the advertising campaigns of
Toshiba hi-fi, Toshiba lo-fi, Toshiba telev isions,
not to mention microcomputing, were not at all
coordinated. Each had its own brand slogan and
emphasized different values, and even worked with
a different advertising agency.
It is known that brand strategies have o rganizational
implications. The supple, flexi ble umbrel l a
architecture gives the subsidiaries a great deal of
F I G U R E 13 . 7
Pro d u cts o r
. services
S p e c i f i c
co m m u n icati o n s
by p r o d u ct
• o r s e rvice
A
A
U mbrell a brand strategy
B r a n d
B c . . . . . . N
B c N
Part 3 Creating and Sustaining Brand Equity
autonomy, which can motivate them and make it
easier to recruit bosses with entrepreneurial profiles,
which is very useful during the phase of conquering
market shares. The international unity is through
products, imported from Japan.
Another advantage: since the name is more a
corporate name than a brand, there is no hesitation
in placing it on products that are highly disparate
from a Western point of view: sewing machines,
saucepans and microcomputers . This is rather like
the now-dead Thomson brand. In Asia, however,
the more powerful a group, the more it is respected.
From this point of view, manufacturing everything
helps to increase power.
On the communications level, the emphasis is
placed on the specific qualities and advantages of
the products . Therefore there is little intangible
added val ue, which would be very useful once the
conquest phase is over. When the markets mature
and the products become equivalent, it is then
necessary to turn to other levers of attraction and
attachment. O n the other hand, it does b uild the
country brand.
The disadvantages of this approach make themselves
felt later in the brand’s life . It is devoid
of emotional content: it is not a source of aspiration,
of tacit agreement, of affective attachment.
Admittedly, it is perceived as a source of quality
products, b ut it is also seen as cold and distant.
As the global director of the Toshiba brand ( a post
newly created precisely to remedy this state of
affairs ) told us one evening, the brand could be
compared to a highly technically skilled work
colleague, whom you might ask for help, but whom
you would not invite home for dinner.
In the West, the notion of a brand was forged on
the notion of speciality. Procter & Gamble founded
a school of thought that was taught for years in
business schools the world over, where a brand
does only one thing; a single product rigorously
produced and varying according to its formats or
forms (washing powder, washing liquid, tablets or
pearls ) . We now know that this vision is restrictive.
O f course a brand can only have one value system
and make one central promise, but these may be
applied to different products. The global success of
Bic testifies to this, as does that of Nivea, l’OreaJ
Paris, Virgin and Amazon, not to mention distributor
brands such as the Carrefour brand, which by
its construction covers m ultiple product categories.
The problem with the flexible umbrella brand is
that the value system is not perceived; and it is
through these values that the tacit agreement and
the affective relationship are developed, beyond
the satisfaction linked with the product or the excellence
of the service. There is therefore a double
rupture: no value link expressed between the corporate
and the products, or b etween the products/
categories themselves.
By signing its products without explaining why,
the brand is diluted. Like an elastic band, it stretches
and breaks. In the chapter on brand extension we
saw that the brand may indeed bring together
intrinsically different products, on condition that
it gives them a common meaning. This is the case
with l uxury brands, b ut also Virgin, for example,
or Apple. We know that the brand functions as
a concept, and therefore has power to integrate
obj ects that are different at first glance. Signing
products from the ballpoint pen to the razor, to
cigarette lighters, and to kayak canoes, with the
name Bic is to say that there is Bic in each of them.
Therefore, the common name presents a group of
common values embodied i n these different categories.
The flexible umbrella structure offers none of
this, other than generic propositions such as ‘making
q uality products ‘ . To achieve this, it is necessary
to move to the encompassing umbrella, or masterbrand,
strategy.
T h e a l i g n i n g u m b re l l a b ra n d
( m a s t e r b ra n d )
This is the second version of the umbrella brand.
At first glance, in formal terms, nothing distinguishes
it from the previous version: the company
still accepts only a single brand for the whole, and
consequently imposes descriptive n ames for the
products and services or divisions and branches .
Here we find s ub-brands.
In practice, however, a gulf separates these
two o utworkings of the umbrella brand. Here the
parent brand dominates: it provides not j ust a
name, but a frame of reference behind which everything
should align, in order eventually to become
the embodiment of it, the l iving spokesperson.
Here the brand is the surrounding framework. This
is the c learest example of what we call a ‘ branded
house’ .
The master brand prototype is Nivea. A Nivea
product or communication can b e recognized at
a glance. Nivea is active i n a large n umber of
categories: moisturizing creams, sunscreens, deodorants,
shampoos, beauty products and make-up.
Everywhere, in each of its categories, it faces specialist
brands. It counters these with prod ucts e m bodying
its two central values, ‘ l ove and care ‘ . This
embodiment begins with the composition of the
products themselves, their harmlessness, their softness,
and extends to the manner in which they are
communicated. Everything is codified in a centra lized
manner. The master brand is strong because it
brings together a broad offering of prod ucts under
h ighly differentiating common values . At Nivea, the
categories are each sold under a variant of the name
Nivea and a descriptor of the fu nction or target. In
this way, we have Nivea Body, Nivea Sun, Nivea
Hands, Nivea Visage and so on.
Other examples of this strategy are found in B2B,
where there are strong brands such as Legrand and
Hager for low-voltage electrical appliances.
The encompassing umbrella architecture is also
known as master brand. The name ‘masterbrand’
implies a guardian of the temple: a person, j udge or
a uthority capable of policing, not dissident logos
but proj ects, i nnovations and even advertisements
that do not ful ly embody the brand’s central values,
since these are what dil utes its promise. The brand
is only as strong as its weakest link.
The brand power conferred by this architecture,
when properly implemented, is remarka ble. It offers
economies of scale l i nked to the variety of prod ucts
and markets that the brand can cover while creating
a brand i dentity ( that is, a group of values that
are h ighly differentiating and relevant in each of
its markets ) .
Korean companies, which 2 0 years ago were
content to imitate Japanese groups, even to their
practice of the flexible umbrella brand, have acquired
a strong global image by changing their brand
architecture. LG has a clear brand platform that is
imposed on all divisions and countries. The same is
true for Samsung today.
In Europe, since 2004, Philips has been attempting
to b ecome a master brand, a strong surrounding
framework. The new managing d irector has
i nstalled a new ‘One brand’ motto for all the divisions
of this global group. It is d ifficult to imagine
the c ultural revolution created in this company by
such an apparently simple declaration. Let us consider
how it will differ from the situation before
2004, as I learnt i n the Netherlands on a consult-
• ancy trIp:
Chapter 1 3 Brand Architecture
• Philips is active i n many counr rie under
anoth er brand name. Thus Philip razors
are sold under orelco i n the U n ited State s .
This is why Phili ps i s u n k n own in the U n ited
States. It i s th erefore neces a ry to replace the
best- kn own razor brand in the U n i ted State
with an un known name.
• Philips does admittedly act u n der it n a m e
alone in televisions and medical equ i p m e n r
and light bulbs, but e verywhere i n the wor ld
it goes by the name P h i l ishave fo r razo r s .
Therefore, Phil ish ave m ust be a bolished.
• Moreover, the di vision of sma l l house h o l d
app liances functi ons with fi rst-name b rand s
in order to differentiate its p rod ucts from
the competition and m a ke them ta rs.
It would therefore be necessa ry to cease
this practice: and this division i s the most
profitable in the group.
However, one cannot b u ild a mega-brand by ba l k
an ising it. It needs a platform (central val ues,
core identity ) , and support at the highest levels o f
ma n agement. The products, di visions and b r a n c hes
must reposition themselves in order to presenr the
central values of the brand at home and abroad.
Hence a study was carried out to define the platform
of the Ph ilips brand and consider its consequences
both at the leve l of the n ew pro d u cts and
services to be created, and at the commun icati ons
level.
Source brand strategy
This is identical to the u m brel l a brand strategy
except for one key point – the prod ucts have their
own brand name. They are no longer called by one
generic name such as eau de toilette or ea u de
parfum, but each has own name, eg Jazz, Poison ,
O p i um , Nina, Loulou, ete. This two-tier brand
structure, known as dou ble- branding, is s h own i n
Figure 13 . 8 .
Since this strategy is often confu sed with the
endorsing brand strategy, it is important to spec i fy
the differences at the beginning. When Nestl e put
its name on the chocolate Crunch and Gala k , on
the bars Yes , Nuts and KitKat and on escafe,
Nesquik, etc, the corporate brand is endorsing the
quality of the mercha ndise and acts as a ma ker’s
mark. The Nestle name dispels the incertitude that
Part 3 Creating and Sustaining Brand Equity
F I G U R E 13. 8 Source brand strategy
Perso n a l bra n d
n a m e s
S pecific
co m m u n i c a t i o n
Pro d u cts
B r a n d A
Pro m i se A
Prod u cts A
o r l i n e A
certain products can create. Nestle takes a back
seat position. The product itself is the driver of the
consumers’ choice; it is the hero to the extent that
few customers of Crunch attribute it to Nestle. On
the contrary, when we see the Yves Saint Laurent
name on a perfume such as Jazz, this name is more
than a simple endorsement. Here, it is the brand
name which holds sway and which accords Jazz the
seal of approval and the distinction which it would
not otherwise enj oy. Yves Saint Laurent is the driver
of p urchase, not Jazz. Jazz is another key to the
door of the Yves S aint Laurent c ultural universe.
The problem with many brands is that they have
converted from source brands to endorsing brands.
Within the source brand concept, the family spirit
dominates even if the offspring all have their own
individual names. With the endorsing brand, however,
the products are autonomous and have only
the endorsing brand in common. Today, where do
Nestle, Kellogg’s or Kraft stand ? What about D u
Pont or Bayer, Glaxo or Merck ?
The benefit from the source brand strategy lies in
its a bility to provide a two-tiered sense of difference
and depth. It is difficult to personalize a n offer or a
proposition to a client without any personalized
vocabulary. The parent brand offers its significance
and identity, modified and enriched by the daughter
brand in order to attract a specific customer segment.
Ranges having ‘ Christian names’ allow a brand which
needs to maintain its own brand image to win over
newer consumer categories and new territory.
S o u rce b ra n d
B r a n d B
Pro m i s e B
Pro d u cts B
o r l i ne B
B r a n d C
Pro m i s e C
Pro d u cts C
o r l i n e C
The limits of the source brand lie i n the necessity
to respect the core, the spirit and the identity of the
parent brand. This defines the strict boundaries not
to b e infringed as far as brand extension and also
product communication are concerned . Only the
names that are related to the parent brand’s field of
activity should be associated with it. All product
a ids should share the same spirit. If greater freedom
is sought, then the endorsing brand strategy is more
suitable.
Gamier for example wanted to become a source
brand and abandon its previous e ndorsing brand
strategy. This is a delicate process for it means moving
from patchwork to u nity.
Becoming a source brand: from
patchwork to alignment
Companies need to improve their efficiency on a
regular basis. One way of doing this is to p ut an end
to the n atural dispersion of brands and identities,
and reorganize supply u nder proper parent brands
that fulfil more than a n endorsing function. These
parent brands would be a source of strong, differentiated
and unique values shared by all products and
sub-brands, which also have their own particular
personality based on their target group, product
territory and specific function. What the present
work refers to as a ‘source brand’ partly corresponds
to what some people h ave called a ‘ branded house’
. I
(as opposed to a ‘patchwork’ or ‘house of brands’ ) .
It should be remembered that, unli ke the umbrella
brand, the source brand is a strategy with two layers
of branding.
So how does a company convert a ‘patchwork’
into a real ‘house ‘ ? The first thing it has to do is
define the identity of the brand for the future . The
real identity of a brand lies within the brand itself,
while its future l ies in its ability to adapt to the
markets. It is therefore by ana lysing the roots and
origins of the brand, its early products and performance
that it is possible to isolate its core, its key
values, the source of its influence and legitimacy.
But this ana lysis must then be considered carefully
within the context of the development of tomorrow’s
markets and consumers.
Gamier provides a good illustration of this
process. Until 2002, this intern ationally renowned
brand was known as Laboratoires Gamier. Its
task was to become the other international brand
of the mass-market network, alongside I ‘ Oreal
Paris, which was positioned as a more glamorous,
more expensive product within the same shelf
ranges. It was a question of finding values that
were positive, aspirational, internally and externally
motivating, and had popular appeal since the
brand had been allotted a more accessible market
• • pOSItIOn.
Historically speaking, the origins of Laboratoires
Gamier date from 1 9 04, when M . Gamier first
invented a herbal hair tonic. This original product
a lready had some of the key attributes of the brand
– naturalness and beauty care. Some time later, after
the Second World War, a h ugely successful shampoo
called Moelle Gamier not only revital ized the ‘genes’
of the brand but also bo osted business. Relaunched
in 1 9 8 6, the brand was extended by its sub- brands
– Synergie ( cosmetics), Ambre Sola ire ( s un care ),
Graphic ( hair care ) , Ultra D oux ( skin care ) and
Lumia ( hair colour ) .
The brand achieved international renown a nd
established a strong position o n several European
markets. However, its sub-brands declined in popul
arity and remained regional. All except one, that
is, which had already been extremely successful
outside Europe and appealed to the younger generation
in countries throughout the world – Fructis,
the first strengthening shampoo with active fruit
concentrates. Fructis was a direct descendant of the
Gamier l ine but with a more modern image. The
real reinvention came with Fructis Style, a range of
Chapter 13 Brand Architecture
revol utionary styli ng product conta i n i ng fru i t wa.
and characterized by a complete range of trong,
tactile sensations – the colou rs, consi tency a n d
aroma of fruit. With Fructis, a new generation o f
sensual products was born .
But to conquer the world ma rket the brand
needed a new iden tity that, wh i l e respecti n g its
o rigins, would nevertheless make it an aspi rati onal
brand for modern young people worldwide. Fru ctis
and especially Fructis Style would be the new prototype
for the b rand, while th e i r casual and i ro n i c
tone would provide the basis for its reinventi o n .
What were the consequences for Garn i e r ? I n
order to be attractive and acce sible to young
people in cou ntries thro ugho ut the world, the brand
had to change its name from Labo rato i res Ga rn i er
and simply become known as Garn i e r. It was n o
longer a scientific or a French brand, it was accessible
and internati onal. Furthe rmore its b rand contract,
its values, were now written i n English.
How does Gamier define its aims ? ‘Garnier
believes in bea uty thro ugh nature. Scientifica 1 1 y
developed and enri ched with se lected n atura l ingredients,
our products help you look hea lthy and
feel good every day.’ Th is contract is o utl in ed i n
six core values :
• Natural high tech ( which disti ngu ishes i t
from Yves Rocher, which is not high tech,
and I ‘ Oreal Paris which does not foc us o n
the natural element ) .
• Healthy bea uty: Gamier is a healthy brand,
which does not use top models, but
unknown models who look and feel good
( like the girl next doo r ) .
• Total experience: Gamier is not selling j u st
a product but a complete experience that
appeals to all five senses .
• Universa l : it is multi-ethnic, multiracial,
multigeneration.
• Accessible, as evidenced by price and
distribution.
• Positive irreverence: this is a distinctive
personality trait, fo und in all Gamier
advertisements.
How was this n ew ident ity proj ected across all
Gamier’s daughter brands ?
• The first stage was one of identificati on.
Apart from modifying the name, a new logo
Part 3 Creating and Sustaining Brand Equity
was created in green, orange and red, the
colours of fruit but also traffic lights.
• The next stage involved bringing the subbrands
portfolio into line with the source
brand. Since Gamier is a source brand,
the sub-brands must reflect its core values .
So the Neutralia sub- brand (shower gel )
was abandoned because its clinical purity no
longer corresponded to the Gamier ‘house’
image, while the Ultra Doux brand was
extended to replace Neutralia. Similarly, the
Synergie sub-brand (cosmetics) became Skin
Natural which was much more in line with
Garnier’s values.
• The third stage consisted of developing
business by organizing an attack on growth
markets, that is, deciding which sub-brands
would target which countries and which
segments. What would be the consequences
in terms of range and adaptation to multiple
niching (universality value) ?
• The fourth stage involved defining how the
advertising was to be handled. What
distinguishes a Gamier advertisement? They
all begin with a light-hearted statement of
the problem, followed by the presentation
of the solution, and involve a wide range of
different people, all looking and feeling good
and reflecting the cultural and racial diversity
of the country in question. The slogan says
‘Take care of yourself’ .
• In the fifth stage, the promotional principles
were established – an accessi ble brand that
offers a full experience – and Gamier
developed massive sampling and street
marketing initiatives involving direct contact
with cons umers in all countries.
It is significant that the website is called
GamierBeautyBar.com . Vi sually, it is presented like
a real ‘house’ where you can visit each room and
discover and/or personally experiment with one of
the Gamier sub-brands. The ‘branded house’ has
constructed a ‘virtual house’ in which all the brands
in the family are brought together with a view to
offering an intense product experience. Gamier’s
(male and fe male) customers enter via the Gamier
Hall from where they can go to the Beauty Lounge,
Style Room, To nic Area or Game Zone and try out
their future looks, carry out personalized diagnostic
tests or simply experiment and develop their customer
loyalty.
From this it can be seen that the source brand is
a structure that restructures all its parts. Many
groups use this type of brand architecture to give
greater impact to their diverse product ranges by
making them converge on a common image. For
example, all Danone products and brands now
focus on health, the core value of the source brand,
in the knowledge that there are seven types of
health, and therefore seven different ways of presenting
it. Danone has also changed its status from
an ‘endorsing brand’ to a ‘source brand’.
Mixed approaches within groups
The six branding strategies presented here are
models, typical cases of branding. In reality, companies
adopt mixed configurations where the same
brand can be, according to the pro duct, range,
umbrella, parent or endorsing brand. For example,
l’Oreal is a range brand of lipsticks. It is a source
brand for Studio, Elseve or Plenitude. The hybrid
character of the usage of the brand l’Oreal and the
strategies adopted reflect its willingness to adapt
to the decision-making processes of consumers in
different sub-markets (hair care products, perfumes
or cosmetics) or according to the distribution channels
(ie self-service or specialist stores ). In certain
cases, l’Oreal guarantees reliability and technical
capacity. In others, it wants to achieve recognition
(ie in cosmetics) and therefore needs to place itself
to the forefront. And finally, in still other cases,
l’Oreal has to be invis ible – either to avoid being
associated with a low-price segment or to avoid
hurting one of its prestige products. Nevertheless,
many hybrid situations result out of the series of
small decisions that are taken as and when a new
product is launched. Due to the lack of an overall
plan for a brand’s relationship with its products, a
number of non-coherent branding decisions often
exist side by side.
3M provides an interesting example of the accumulation
of separate branding policies, with as many
as five denominational stages (quintuple branding).
This is shown in Figure 13.9. 3M is a company
fo cused on high-tech research into industrial and
domestic applications of adhesives. This covers a
vast area which includes glues, obviously, but also
films, cassettes, medical plasters, transparencies and
Chapter 1 3 Brand Architecture
F I G U R E 1 3.9 A case of brand proliferation and di l ution of identity
Med ical Vi deo
a d h es ives
Ove r h e a d
p rojecto rs,
c a m e ra s Post-it cassettes
E xtra ,
M a g i c y z w
3 M m e d i c a l d iv i s i o n
( n a m e of b r a n c h ,
n o t a b ra n d )
3 M
overhead proj ector products, etc. The 3 M name is
synonymous with seriousness, power and heavy
R&D. But this also leaves an image of coldness.
Thus, to h umanize the contact with the general
buyer, the umbrella brand Scotch was created. Video
cassettes, glue sticks and sellotape are all branded
Scotch directly. But for the scouring pads, on the
other hand, a line brand called Scotch-Brite was
created. To counter the challenge of a rival product
from Spontex ( who simply call them scouring pads)
Scotch replaced the generic name by a particular
name, the ‘Raccoon’ ( j ust like the Vol kswagen
Beetle ) . This differentiated its product and explained
its advantages i n a unique manner and gave it a
closer and more friendly image.
The ‘ Raccoon’ itself has been expanded i nto
many versions – green, blue, red – depending on its
shape and use. For its general consumer products,
such as sponges and glues, 3 M was used as an
endorsing brand with a signature i n small print.
Curiously enough, 3 M is scarcely i n evidence on
Scotch cassettes. Is this to d istinguish better from
the video cassettes marked clearly and exclusively
3 M and targeted at professional use? In fact, while
3 M provides a guarantee of good performance and
Scotch ( m a sterbra n d )
‘ R a c c o o n ‘
( n i c k n a m e )
Scotc h – B r ite
a n endorsing brand for genera l consumer p rod ucts,
it serves as an umbrella brand for professio n a l
products: all the power and significance of the
3M name is reflected in prod ucts such as came ras,
overhead proj ectors and dental cement (com ing
from the 3M health division ) . Post-it, the famous
‘adhesive notes that serve as a memory tool o r
a message carrier ‘ , is also signed 3 M . In order to
patent this invention in a better way and to defi n e it
in a better manner than the long descr i ption used
a bove, that it be given a proper name was to be
expected .
Th us, depending on the level of profession a l enduse
that a product has, or the need for an up-to-date
image of exce l lence and perfo rmance, it is ei ther
signed 3 M in a prominent manner or even perhaps
exclusively. If not, 3 M is present through the brand
Scotch. Perhaps this is why the sellotape, Scotch
Magic, used the name 3 M only as a recall too l . On
the other hand, aerosol glue for comm un ication
professionals bears the Scotch name in small print
and 3 M in large letters. There are also differentiated
product advertisements for the ‘Raccoon’, genera l use
sellotape, Scotch cassettes and Post-it. Beyond
the endorsing brand, there are no common codes
Part 3 Creating and Sustaining Brand Equity
of expression which appear independent in form
and intent.
C hoosing the appropriate
branding strategy
Which is the best branding strategy? Procter &
Gamble are firm s upporters of product brands;
are they right and l’ Oreal, their more flexible competitor,
wrong ?
Each type of brand strategy has its own advantages
and disadvantages, as has been described.
However, a simple list of the pros and cons does not
provide a procedure for making a choice in a given
company in a given market. The choice of brand
policy is not a stylistic exercise, but more a strategic
decision aimed at promoting individual products
and ranges as well as capitalizing the brand in the
long term. It should be considered in the light of
three factors: the product or service, consumer behaviour,
and the fi rm’s competitive position. Brand
policy is a reflection of the strategy chosen by a
particular company in a specific context.
What parameters should be taken into account
when choosing a branding strategy ?
1 Tying in with corporate strategy. Branding
strategy is the symbol of corporate strategy.
For example, in 2 0 0 3 , Schneider Electric,
one of the leaders in the field of electrical
distrib ution and industrial control,
decided to revitalize its Merlin Gerin and
Telemecanique brands, which were well
known to research departments and electrical
integrators and installers throughout the
world. In so doing, Schneider ended a n
initiative launched some 1 0 years previously
with a different aim in mind, namely to
replace individual brands with a single,
group brand. The company’s new director,
who had come from Steelcase, outlined the
strategic positioning of Schneider Electric
against GE, ABB and Siemens. Compared
with these general electrical and electronic
giants, Schneider Electric is not a small
general electrical company but rather likes
to see itself as a m ulti-specialist company.
In fact, because it sells intermediate products,
its customers are looking for a specialist
company. On the other hand, when
compared with its many single-specialist
competitors, Schneider Electric is more of a
general electrical company. So if it wants to
position itself as a m ulti-specialist company,
the specialities must be offered by specialist
brands, united by a group brand, a single
entity, which facilitates customer relations.
This is why it was decided not to follow
the single-brand path, but to bring the range
of 5 0 product brands together under three
integrated international brands – Merlin
Gerin, Telemecanique and the US company
Square D, in 1 3 0 countries. There is
therefore a Schneider Electric front office
and a Schneider Electric sales force
organized by type of c ustomer, and these
customers are able to purchase products
under different product brands.
Another consequence is that distributors
will once again become the official
distributors of Merlin Gerin or
Telemecanique without there being any
obligation, as in the past, to a utomatically
reference both brands.
Similarly, Groupe SEB, world leader in
small household appliances, decided to form
itself into a multi-brand group, with fou r
international brands – Moulinex, Tefal,
Krups and Rowenta. Why not fol low the
tempting single-brand path, like Philips ?
Precisely because of Philips. The strategy
lies in the art of being different. The single
brand is a n advantage if you are already
a single brand like Philips, one of the few
international brands whose reputation is
based on the fact that it is distributed
throughout the world – even, via its light
bulbs, in the depths of the Amazon basin.
It is basically too late to try to emulate
Philips. In today’s fragmented markets,
with their aggressive distribution networks
and consumer segments, it is far better to
exploit the targeted reputation (in terms
of product and values ) of the brands that
people have bought precisely because they
were brands.
2 Tying in with the business model. In this
• • • • • respect It IS mterestmg to compare compames
within the same sector, since their brand
policy is often a reflection of their busi ness
model, the driving force of their competitive
edge and their profita bility. This can be
ill ustrated by comparing three gia nts of the
European cheese ind ustry – Bel, Bongrain
and Lacta lis. Bel develops range brands
around a central innovative product, thereby
giving rise to an entire range of products
with The Laughing Cow, Kiri or Mini
Babybel signature. Bongrain develops
product brands – Chaumes, Vie ux Pane,
Caprices des Dieux, Haut Segur – while
Lactalis uses a single brand ( President) as
a n umbrella for all its c heeses and butter,
and even milk in R ussia and Spain. So why
the different brand policies ?
In fact, the b usiness models of these
companies are not the same, hence the
different brand strategies. Bel likes to see
itself as the inventor of modernity, antitraditionalism,
accessibil ity and everyday
values. It does not deal in those speciality
cheeses bought as a weekend treat. As the
inventor of modern ity, it must therefore
create brands, with their own particular
shapes and characteristics, that can
subsequently be offered i n a variety of forms
to capitalize on the investment i n promotion.
Bongrain decided to develop processed AOC
(appellations d’origine contr6lees) cheeses to
make them more accessible in terms of taste,
price, preservability and usage. Vieux Pane
is a processed version of the AOC cheese
category called ‘Pont l ‘ Eveq ue’ b ut, as such,
does not have the right to use the name of
the appellation. Bongrain therefore has to
give each of the specialities it creates a new
name – hence the product-brand policy.
The disadvantage of this is that it has to
promote e ach new brand, meanwhile
supporting through advertising many
small volume brands .
The business model of Lactalis is to
segment generic categories in order to bring
them up to date and into line with everyday
life and the modern lifestyle. This model
gives rise to an umbrella-brand policy under
a single brand ( President ) , there are
descriptive names for each of the varieties,
each of the various forms, with low-fat
butter remaining a qual ity b utter,
Chapter 1 3 Brand Architecture
Emmenta l a real Emmenral, and Brie
a real Brie .
3 C ultural parameters . The United State ha
developed the culture of the p roduct brand
– a brand that produ ces a si ngle product.
Ivory, the fo under brand of P rocter &
Gamble, is and c onti nues to remai n a oap,
which explains the company’s reluctance to
extend the brand and even the ideologica I
o pposition of such authors as Tro u t and
Ries who have berated it in the i r work for
the past 20 years. But the US domestic
market favoured th is p rod uct- brand pol i cy.
On the other hand, it also explains why
Eu rope and Japan have been the m a i n
exponents of the u m b rella-brand policy.
Nivea and Nestle a re j ust two of the many
European exam ples. In Japan, apart fro m
the size of the domestic market, the concept
of the company has also co unted for a lot in
the sense that, the more products and secto rs
a company covers, the greater its reputation.
It would simply not occur to the di rector of
a Japanese company not to use the corporate
name to promote all kinds of brand
extensions . Ya maha is a typi cal example,
putting its name to such widely di ve rse
products as motorcycl es and p i anos.
4 Integrating the rhythm of innovations. How
do you develop product brands in a secto r
that updates its offer on an annual basis ? In
this instance, a single-brand policy cove ring
the entire range is preferable, as in the case
of Nokia, Sony-Ericsson, Alcatel, Samsung
and even Whirlpool and GE.
5 Added value. This is the lever on which
a product is based. This point is il lustrated
in Figure 1 3 . 1 , giving the relative pos itioning
of these different strategies. When the added
value in a particular m arket is lin ked to
reassurance, reputation and scale, a singlebrand
umbrella strategy is recommended
(in the world of ind ustry, this is often the
corpo rate brand ) , although a sourcebranding
strategy with two levels – a real
‘ branded house’ like Gamier or l’ Oreal Paris
– can work equally well. However, the more
segmented the market, with top-q uali ty,
personalized products, the more one has to
favour either a portfolio of l’Ore a l product
Part 3 Creating and Sustaining Brand Equity
brands or an endorsing brand strategy that
sanctions the sub- brands (the logic of
Danone or Nestle in dairy products ) .
6 The question of resources. In the a bsence of
sufficient funding, a company should
concentrate its efforts on a single brand,
especially if it is international . The need to
achieve a visibility threshold comes before all
other considerations. However, in case of
co-branding, it is impossible to do so: this is
why Phi lips and Douwe Egberts ( a leading
coffee company ) created a separate name
( Senseo ) to designate their j oint innovation
i n coffee machines.
7 The brand vision. This affects the choice of
architecture. In the cosmetic market there
are thousands of products and many
scientific terms, and innovations are
essential. This is what leads to a n opacity in
the market. Brands serve as milestones and
a question that is frequently asked is which
naming strategy should be used ? There is
no single answer to s uch a general question:
it depends a lot on the brand’s conception
of itself.
Lancome prefers a mono-product policy with only
a small range derived from the leading product
( Progress for the face, eye-liner, a nti-wrinkle cream,
etc ) . Thus, recently the brand chose to launch
mono-products for body care, each with its own
brand instead of a line under one name. There was
Cadence for the body (moisturizer) , Exfoliance
(scrub) and Sculptural (slimmer ) . Lancome is not
an endorsing brand. It wants to be a source brand
and therefore the creator of a precise vision, that
of French elegance. The brand wants to serve as
a vehicle to express:
• the product’s technological level and its
performance;
• luxury as perceived i n a French manner, that
is to say natural sophistication; Lancome
makes laboratories appear charming.
Lancome expresses itself through its products and
the services that surround them (the dialogue and
the advice of salespeople ) . They want a brand policy
that is coherent and easily understandable o n two
levels : the consumer and the seller. But, consumers
actually respond b adly to brand policy in this sector:
they do not usually memorize brand names and
may simply ask for the ‘moisturizing cream from
Lancome’ when they enter the shop. The sales
assistant then explains that there are two : Hydrix
and Transhydrix. The two names help the assistant
explain the existence of m ultiple products. Through
these different product names, the customer u nderstands
the different products and the assistant can
subsequently promote each one by stressing their
individual functions, use and specific characteristics.
Thus, at Lancome, they try to give each product
a different name to reflect a function ( Nutrix nurtures
the skin, Hydrix moisturizes it and Forte-Vital
makes it firmer) or the main ingredient if it is something
new or revolutionary ( eg Niosome contains
niosomes, Oligo-Majors has oligo elements ) . This
naming policy makes the sales pitch clearer because
it explains the differences between the products and
other closely positioned products and therefore
avoids the confusion that could have occurred
had they been i n the same line and under a single
common name.
This would appear to close the argument clearly
between product brands and line brands in favour
of the former as far as cosmetics are concerned.
But, at C larins, as a general rule, there are no monoproducts
and their 70 products are all grouped
into lines. Since Clarins is not Lancome, it does not
have the same image, the same identity or the same
conception of itself. It proj ects itself as a Beauty
Institute and the profession of beautician is very
important to them. This concept implies the use
of many products belonging to the same line, j ust
as in a prescription. A mono-product cannot do
everything and from this arises the preference for
product lines that act in synergy. Clarins wants to
create stable lines that can last for years and are in
conformity with its identity, personality and brand
culture. Finally, it prefers obj ective product promises
rather than a plethora of slogans for mono-products
that all play o n one factor, presently ‘victory over
ageing’ . From this arises the names for their products,
which are always i n the b eauty sector. The
names are always descriptive of the product’s actions
and do not play upon dreams and fantasies as
did Christian Dior when h e launched ‘ Capture ‘ .
At Clarins, names are constituted o f two o r three
words, for example, ‘ Multi-Repair Restructuring
Lotion’ .
In the past, the creation of any new product was
usually also accompanied by the creation of a new
F I G U R E 13 . 10 3 M branding options review
3 M b ra n d i n g o pti o n s rev i e w
Q U E ST I O N 1 Q U E ST I O N 2 Q U E ST I O N 3
Does t h e p r o d u ct I s t h e re C o u l d t h e p r o d u ct
m eet o n e of a u s a b l e j u stify a new
fou r c r i te r i a ? p r i m a ry b r a n d ? p r i m a ry b ra n d ?
N O
N O
Y E S
N O
N O
YES YES
Y E S
name. In christening the new product, the product
manager gave it life . Without a name, the product
had no real existence. Once branded, it had a l ife.
In 1 9 8 1 , at 3M, 244 new brands were created and
registered . In 1 9 9 1 , only four new brands were
created. The same thing happened at Nestle : in
1 9 9 1 , the company created 1 0 1 new products but
only five new brands . The age of brand multiplication
is over. What has led to this change in practice?
The realization that brands are the true capital of
the company has led to this revolution. By capitalizing
on fewer brands, companies had to sustain
their equity by n urturing them through constant innovations
and line or range extensions. Therefore,
the question ‘what name do we choose ? ‘ becomes
‘which new product should we put u nder which already
existing brand ? ‘
Companies with decentralized management are
particularly susceptible to brand proliferation. Thus,
3M, i n spite of its h igh rank in the Fortune 500
companies and its 60,000 products, remained relatively
unknown. One part of the explanation for
this was the excessive number of trademarks with
which it was b urdened : over 1 ,5 0 0 . In order to solve
this problem, 3 M decided to take the cat by the tail
and created a branding committee at the highest
Chapter 1 3 B rand Architecture
Q U E ST I O N 4
Co u l d it j u stify
a new
seco n d a ry bra n d ?
N O
Y E S
D E C I S I O N
3 M bra n d
+ g e n e ri c prod u ct n a m e
E x i st i n g pri m a ry bra n d
G e n e r i c prod u ct n a m e 3 M l o g o
3 M b ra n d
+ g e n e ric prod u ct n a m e
N e w p r i m a ry b r a n d
G e n e r i c p r o d u ct n a m e 3 M l o g o
E x i st i n g pri m a ry bra n d
G e n e r i c p r o d u ct n a m e 3M l o g o
E x i s t i n g p r i m a ry b ra n d
N e w seco n d a ry bra n d
G e n e r i c prod u ct n a m e 3 M l o g o
level (Corporate Branding Policy Comm ittee ) whose
mission was to establish a precise doctrine rega rding
brand policy. Its approval was necessary before
the creation of any new brand. To make 3M become
a real corporate brand, it was dec ided that from
then on 3M would be used to sign or guara ntee all
products ( except the cosmetic line ) . The second
decision was the banning of the use of more than
two names on one product ( as was the case with
Scotch Magic ) in order to abolish brand pileups, as
is s h own in Figure 1 3 . 9 . In order to facilitate the
integration of the new brand policy that capitalized
on a few mega- brands (also called prim ary or power
brands ) , 3 M distri bute to all its subsid iaries a guide
explaining the policy to be followed in case of
branding when faced with a new product. The
creation of this guide led to a drastic fa l l in the
requests for new brand creati on: be it parent brands
( li ke Scotch) or da ughter brand ( l ike Magic ) .
The decision tree shown in Figure 1 3 . 1 0 puts
each i nnovation through four questions which serve
as filters to limit the creation of a new brand to
certain very specific ci rcumstances (l ike Post- it ) . The
first filter question asks if the innovation satisfie
one of the following four criteria: Is it a top priority
innovatio n ? Does it create a new kind of price/
Part 3 Creating and Sustaining Brand Equity
quality relationship ? Does it create a new product
category that did not exist until then ? Is it the
outcome of an acquisition ? The second filter question
asks whether the brand could not be used to
nurture an already existing parent brand in 3M’s
primary brands portfolio. The third fi lter question
seeks to discover whether the new product can
provide the occasion for the creation of a new
parent brand. The last filter question evaluates the
capacity of the new product to j ustify the creation
of a new secondary brand ( da ughter brand) . From
the decision tree emerge six exhaustive branding
possibilities that are based on measurable market
parameters. They go from the extremely simple
( slides for overhead proj ectors from 3 M ) to multiple
level branding ( Scotch Magic, the sellotape from
3 M ) . As expected, the creation of a new brand
( primary or secondary) became the exception rather
than the rule. A n umber of restrictive conditions
had to be fulfilled first: mainly, that the innovation
creates new primary demand and that none of the
existing primary brands are suited.
New trends in branding
• strategies
Companies do evolve in their branding strategies.
An analysis of their international behaviour reveals
significant trends.
Why the rise of branded houses?
An interesting classification of branding architectures
is that of ‘ branded house’ versus ‘house of
brands ‘ . As its name indicates, the ‘house of brands’
refers to a company which operates through wellknown
brands b ut itself remains discreet if not
hidden: this is the case of the ITW ( Illinois Tool
Works) operating with s uch brands as Paslode or
Spit, and well known in professional circles. Procter
& Gamble and Georgia Pacific also operate that
way.
The branded house is the inverse case: the company
itself is the one and single brand, acting as
a banner and a federating force. For Aaker and
Joachimstahler ( 2 0 0 0 ) , the models of such architecture
are GE ( GE Capital, GE Medical and so on)
and Virgin. In fact, it is over-restrictive to assimilate
the branded house to this type of case. The branded
house is a strategy by which the corporation is the
source of reputation and the federating force . This
can be achieved by two branding architectures:
the corporate umbrella brand ( Sony, Philips, GE
and Virgin are examples ) , and the corporate source
brand, where there exist sub-brands or branded
s ubsidiaries, but the leader is the parent company.
This is typically the policy followed by HSBC, which
puts its name or logotype before that of all s u bsidiaries,
as long as these subsidiaries keep their name.
Two brand architectures correspond to the socalled
‘house of brands’: naturally what is called the
product brand approach, and also the endorsing
brand approach. When 3 M p uts its name at the
bottom of all its products, is it really driving customers’
perception of value ? No. Although present,
visibly it remains discreet: this is the sign of a ‘ ho use
of brands ‘ . The brands of the portfolio act very
independently.
Paradoxically some corporate umbrellas are also
very close to being quasi houses of brands . This
may look as a contradiction with what has j ust
been said. In fact, the whole issue is that of power
and organization. Take Toshiba for instance. This
conglomerate is organized in b usiness u nits: computers,
hi-fi, television, cookware ( in Japan) and so
on. Not only are the business u nit directors totally
i ndependent, the country managers are also very
independent. Their role is to sell the products
coming from Japan. As a consequence, there is n o
desire at a l l to coordinate the communications
between b usiness u nits, and for a given b usiness
unit between countries. The result is that although
they wear the same name, Toshiba hi-fi p roducts do
not have the same image as Toshiba computers,
Toshiba television sets and so on. The Toshiba
corporation up until now never thought of itself
as a brand that needed to be managed globally as
such. It is only recently that a VP was named with
that obj ective, with worldwide responsibilities and
a uthority. His or her first task will be to establish
the Toshiba brand platform and to enforce it
throughout a l l communications of any product in
the world. Philips is itself now acting under the
‘one Philips’ internal motto .
Why d o so many organizations move towards
this brande d house architecture to recreate identity
where there is diversity, fragmentation, if not a
p atchwork ? In modern developed markets, unlike
the emerging ones, it is no longer sufficient to b e
known. One must also cons istently evoke a set of
values and stimulate emotional resonance. This
supposes some discipline and less a utonomy. Salesoriented
organizations, such as those of Korean and
Japanese compan ies, assign high sales objectives
to their country managers. In exchange they have a
lot of freedom. This is why their communication
is generally managed at the local level. Creating
a branded house will meet resistance because one
source of a utonomy, and not least, advertising
freedom, will be affected. However, a branded house
does not automatically mean a global campa ign: the
spirit of the brand may emerge through different
and even local ized communications.
Loyalty needs more transverse
brands
There is another reason for changing brand strategy
– when the emphasis shifts from product logic
to customer logic, from a desire to conquer new
markets to developing customer loyalty. Accor
Hotels, the European leader i n the hotel industry, is
a good example of a company that was able to react
and modify certa in fundamental principles of its
brand policy. Accor owes its success to the creative
brilliance of its two founders who invented the
product brand i n the hotel sector. Novotel, their
first hotel chain, was based on the concept of total
standardization – whichever hotel they stayed in,
busi nessmen and women felt at home, down to
the very layout and decoration of the rooms. Then
they covered the d ifferent market segments with
other product brands: Formule 1, Etap Hotels, I bis,
Mercure, Novotel, Sofitel and S uit’Hotel i n Europe,
and Motel 6 in the United States.
According to the original logic, Accor – the
n ame of the holding company – was limited to that
single function and was therefore invisi ble. Then, in
view of the requirements of stock exchange valuation,
it was decided to make the corporate brand
more visible. It began to appear in small print on
the hotel brochures, before being incorporated as
the trade name – Accor Hotels – in the actual logo
of each product brand.
The growth of the group’s market share recently
led to another reassessment: the decision to move
from individual loyalty programmes for each brand
to a corporate loyalty programme (Accor Hotels
Favourite Guest ) .
Chapter 1 3 Brand Architecture
It was th is same need to d ve lop l oya l ty that
led l’Oreal Paris to break with it h i toric brand
strategy. The decision was made in r e pon to
Nivea, whose simple strategy maximi zed b rand
loyalty within an increasingly broad po rtfo l i o o f
su b- brands that were in di rect com petition \ ith
the brands in the l’Oreal gro u p . L’ O real rea l i zed
the li mitations of a fl ags h i p-brand strategy in whi h
l’O rea l Paris merely endorsed a la rge nu mbe r of
independent sub- brands – El seve, Elnet, P l enitude
and so on. Apa rt from the fact that the p u b l icity
b udget was fragme nted , there was no e ffective
capitalization. The group the refo re switc h ed from
a ‘ h o use of b rands’ l ogic (w ith l’Orea] Paris a
the endorsing b rand ) to a ‘ b randed h o use’ l ogic, a
source b rand with a basic un ity and a very distinctive
form. Th i s is when the so-called ‘ d ream tea m ‘
appeared on the international scene – a collection
of internationally renowned top models and sta rs,
each p romoting a sub- b rand fro m the l ‘ O reaJ
Paris house, using the same creative p l atfo r m and
pub licity signatu re ( ‘ because I am worth it’ ) . At the
same time, the l’Oreal Paris brand name beca me
larger, more visible, and more prominent for such
sub-brands as Elseve, on the packaging and in -store
merchandizing. Finally, the denom in ative logic was
applied to brand extension categories that were not
yet sufficiently attri buted to the b rand (due to its
historic associ ations with hair products ) . P l e nitude,
the brand then in competition with Ni vea, was
a bandoned in favour of Dermo Expertise, P u re
Zone and Solar Expertise, whose more descriptive
names immed iately suggest competence in the a rea
concerned.
By doing this, l ‘ O real Paris was also aimi ng to
develop real c ustomer l oyalty across the diffe rent
sections of the b rand and thereby make u p the time
lost to Nivea i n th is respect.
Industry discovers the importance
a/ branding
When branding policy is considered, the industrial
sector does not immediately spring to mind. Paradoxically,
since promotion in this sector is not done
through costly publicity but through catalogues, the
sales force and trade exhibitions, companies do
not hesitate to registe r trademarks. Air Liqu ide, for
example, has registered a total of 8 8 0 trademark
(effectively, brand names ) .
Part 3 Creating and Su staining Brand Equity
As well as representing a considerable cost, these
trademarks also create confusion and opacity further
down the line, at sales team and at catalogue
level. The problem is that they are specialist names
which it is hoped will be passed on by word of
mouth and recommendation: ‘I want some X.’ But
this is quite clearly impossible as there are far too
many, which is why the industrial sector is beginning
to incorporate the concept of the endorsing or
source brand, and even the mega -brand, which creates
an umbrella for a series of specialist products.
Inter n ationalizing the
architecture of the brand
Should companies globalize their branding architectures
? Should they just duplicate them when entering
new countries and continents ? It is a fact that
most branding architectures have been created
slowly, th rough time in the domestic market. They
benefited from low media costs, and a lower competition.
This is why we so often find ‘product brand’
architectures. They resulted from the acquisition
of a company by its main competitor: to avoid
losing market share, the acquirer decided to keep
the brands apart. Can the same portfolio architecture
be applied when entering Russia or the United
States ?
In Russia, as in many former communist countries,
there is a unique opportunity to rapidly take
a dominant position by investing fast and heavily
as long as We stern competitors are not there, and
media costs remain low. This is what Frito Lay
did. This means capitalizing on one brand, used as
source brand or endorsement, and rapidly pushing
new products into new segments.
In the United States, the challenge is the media
and distribution costs. The consequence is the obligation
to nest products under an umbrella brand
which remains to be created. As a result we see what
can be called a ‘vertical crunch’ of brand architectures.
There are in fact two types of ‘vertical crunch’.
The first is a bottom-up crunch, when a mere
descriptor becomes a driver (the way consumers
name what they buy). For instance in Europe, the
whole shampoo line of l’Oreal Paris is sold under
the brand Elseve: its many products have names
such as Color Vive and Energance. In the United
States, Elseve has not been launched. Instead of
three levels, there are only two levels (l’Oreal Paris
and a wide range made of names like Vita Vive,
Nutri Vi ve, Hydra Vive, Curl Vive, Color Vive and
Body Vive ).
The other is a top-down crunch, when a mere
endorsing brand becomes the driver. For instance in
Europe the fa mous biscuit speciality Pim’s is called
Pim’s by Lu. In the United States, it is Lu Pim’s.
Companies also exploit local equities to carry
international brands. For instance, all Unilever’s
global ice cream concepts (Magnum, Solero and so
on) are endorsed by a local house brand, acting as
reassurance by its long-established proximity and
familiarity in the country.
Some classic dys functions
Brand architecture, like any plan, is one thing.
Implementation is another. In practice, we find fo ur
classic branding dysfunctions.
The case of the parent brand
swal lowed up by a daughter brand
Sometimes, in fact, one of the daughter brands
can prove remarkably successful, attracting to itself
all the advertising investment. The result is that the
parent brand has been taken over by the image
created by this exclusive communication. It can no
longer play its role as parent brand and create new
daughter brands. This is the price of success: not
only does the star product hide the others, but it
drags the parent brand with it. For years the Nina
Ricci brand was associated with a single perfume,
its global success L’ air du temps. This created a
fundamental problem for licences : a luxury brand
makes its profits through these. However, Nina
Ricci no longer had its own identity, and potential
licensees did not want to be licensees of L’ air du
temps, but of the parent brand. It was necessary to
reconstitute the identity of the latter.
Vo lkswagen was swallowed up in image (and
sales ) by the Golf, a car which has known glory but
which sym bolizes the 1980s!
Com pany- prod uct disconnect ion
Essilor is the worldwide number one company in
corrective optical lenses. When a consumer goes to an
optician in the United Kingdom with a prescription,
this optician sends the prescription to Essilor UK,
which manufactures the lenses d uring the night in
its very a utomatized and modern factory in Portugal
and has them sent back by Fedex to the optician the
next day. What a gigantic service provided to the
opticians: this is a B2B winning-business model.
One exception is Varilux, the worldwide name
for Essilor’s brand of progressive multi-focal le nses .
It has been quite well advertised at the end-user
level, so that people ask for Varilux lenses. What is
changing is the distribution: h uge multiple chains of
dispensing opticians are developing, such as Grand
Optical and Afflelou . Their innovation is to be ab le
to produce directly in the store a large n umber of
lens prescriptions, in o ne hour only. As a result
Essilor is threatened. As a company it is not known
by the end users. It is only known and respected by
opticians: but some of them are grouping together
and starting to limit Essilor’s role to the difficult
prescriptions that cannot immediately be made in
the shop.
In the B2B sector Sage is a n illustration of this
problem. It is a giant i n terms of market sector
( number three in the world in management software
) and a dwarf i n terms of image, whereas
everyone recognizes SAP, Microsoft, Oracle and
Cegid. It is true that the company has a decentralized
structure: communications are paid for by
market, therefore by the products sold in each.
This has two consequences: tomorrow’s promising
products are not communicated enough, and the
communication places emphasis on the products,
and not enough on the Sage brand. This may place
a brake on organic growth. The Sage brand is well
known to accountants ( wh o buy its best-selling
accounts software ) but not people from other
corporate functions, where tomorrow’s growth segments
are located.
B a l k a n i z at i o n o f t h e b ra n d
If segmented, differentiated brands are created
u nder its aegis, the parent brand is impoverished
and becomes simply an endorsing brand. Diluted,
it no longer imposes a framework, an individual
vision, its identity or its values. It is a known name,
with a story, but one that is now overtaken by the
stories written in the media by its a utonomous
daughter brands.
For example, the segmentation of Dim products
with daughter brands ended at one point by tu rning
Chapter 1 3 Brand Architecture
them in to sta r . Dim became a name on the packaging
of tights and stocking minor in com pari on
to that of the da ughter brands (Macadam, Dim’up,
Diam’s and so on ). Moreover, the coh rence of J
great brand was nowhere to be found . H o ver
it is the parent brand, Dim, \ hose job it i to
survive. In order to do so, it m u t remain intrin ically
attractive, a source of desire. It doe 0 , admitted
ly, through its daughter brands, who en u re
its relevance today in growing market segments.
Neverth eless, the daughter brands must be dissolved
when th ey lose their releva nce, and new ones m u t
be created. It is therefore necessary to en ure the
pre-eminence of the parent brand. To do this, it i
necessary to :
• redefine the identity of the parent brand;
• redefine a true sou rce brand strategy, ensuring
the pre-eminence of the parent brand ;
• align the da ughter brands within the
framework defined by the parent brand .
The parent brand, after all, is the surro un di ng
framework. It is worth looking at th is process in
detai l, since it should be im plemented reg u l arly in
order to correct the effect of centrifugal forces.
What name for new
products?
A company grows through its new products :
they make it possible to gain a differen tial in
products and services over the competiti on. They
also make it possible to focus advertising on
news that will interest the m arket. Finally, they
provide the sprin gboard for a revitalization o f
strategic image features of the brand. For every
launch of a particular innovati on, the same q u estion
arises from the parents of the project: what
shall we call it ?
The question of naming new products is im portant:
it is not at all a euphonic problem (d oes the
name sound nice ? ) , but a fundamental one. In reali ty,
the first questi on should be: do we need to call it
anything ?
Why, in fact, did 3M give the name ‘Post-It’ to
something it could have ca lled ‘remova ble Scotch
notes ‘ ? Scotch is 3M’s well-known brand and the
name indicates ‘adhesive products ‘ . Isn’t Post-It an
Part 3 Creating and Sustaining Brand Equity
innovative variant of Scotch tape ? Now a brand –
in this case, Scotch – is only s upported when it is
nourished through innovation. Let us take another,
B2B, example: an innovation by Lafarge. It is a
revolutionary, ultra-fast, fine cement that makes it
possible to o btain an extremely smooth surface.
Should a new name be found for it, with the
potential for turning it into a Lafarge product or
range brand later, or should it simply be called
‘the new Lafarge ultra-smooth cement’, opting for a
descriptive name, as it would be i n a master-brand
or umbrella strategy? The name therefore poses
the underlying question of the brand strategy (the
number of levels and the l inks between them,
between the corporate and the products ) .
When should you create
a sub-brand?
When a new product arrives, there is too great a
tendency to opt for the creation of a specific brand.
This is understandable; the inventor reacts like any
parents who, proud of their child, seek to give it
a first name. However, a first name is a n identity,
and a lasting commitment of a marketing budget i n
order to forge this i dentity and achieve recogn ition
for the daughter brand. Moreover, i n practice, by
focusing on the so-called daughter brand, there is
a tendency to let the parent brand take a step back,
into the background, something that is q u ickly
translated into the periodic monitoring studies of
brand equity. The parent brand declines i n spontaneous
recognition and in image.
The reaction then is to change the status of the
daughter brand, to turn it into a simple product. For
example, the prepaid card from Bouygues Telecom
was initially treated as a relatively a utonomous
daughter brand: Nomad! It later became the
Bouygues Telecom Nomad card.
When, then, should one create a sub-brand ?
• Chapter l i on brand coherence presented
the four figures of the relationship between
product and brand: variant, similarity,
transformation and contradiction. The closer
one is to the variant, the more natural it
becomes to give the product a purely
descriptive name, or even to invent the
descriptive name i n question. Was a
walkman a brand, or did it quickly become
the generic word to describe this new piece
of equipment created by Sony ? People talk
of the ‘new Philips television’. Conversely,
the further we move from the strict
reproduction of the central values of the
brand through the new product, the more
a daughter brand is j ustified.
• A first name is necessary i n order to create
a category: iPhone ! It could have been called
the Apple smartphone. B ut there was a need
i n the mass communication to strongly signal
the technological, sociological and cultural
breakaway. Therefore, capitalizing on the
pioneer’s advantage, the category is
structured around the pioneer, here iPhone.
The new entrants position themselves i n
relation to the iPhone.
F I G U R E 13.11 W h ich brand arch itectu re is s u itable for brand innovat i on?
Focus o n
t h e bra n d

O n e b r a n d
Quick
cement
M a sterbra n d
u m b re l l a
Agilia
Quick Quick
cement cement
Lafarge
‘.. ,
S o u rce E nd o rs i ng
b ra n d b ra n d
lafarge
Agilia
Quick
cement
,
“.
M a ke r ‘s
m a rk
Focus o n
i n n ovati o n
)0
Quick
cement
H o u s e
of b ra n ds
• A first name is necessa ry, albeit supported by
a long-term investment in comm unication,
when the protection of the innovation must
be improved. When Candia, the milk brand,
i nvented milk with a guaranteed vitamin
content, it could have been called ‘milk with
guaranteed vitamin content’ or ‘vitam i n
milk’. After all, people say semi-skimmed
milk or flavoured milk. However, it is
necessary to account for the competitors’
reaction . Carrefour, noting the success of
the major brand’s innovation, would not
be slow in launching its copy under its own
d istributor’s brand: Carrefour milk with
guaranteed vitamin content. By launching
its milk with guaranteed vitamin content
u nder the name Viva, underpinned by
long-term advertising campaigns, the
Candia brand was able to create a halo
of exclusivity, of differentiation. Viva not
only created the segment: it is its referent.
The consumers buy Viva with all its
evocations of active good health. It is
more than a product; it is a true
( da ughter) brand.
• A first name is necessary i n order to correct
the negative induced effects of an innovation.
The sausage company Aoste ( now acquired
by Sara Lee) i nnovated by inventing the first
industrial sausage: e ach of them had exactly
the same weight and the same length. This
was a complete break from the age-old
practice of sa usage-making, all slightly
d ifferent i n appearance, weight and length,
but one that responded to the major
expectation of large-scale distribution:
economy of cost. In fact, there was no longer
a need to weigh each product, hence there
were savings i n time, personnel and money.
However, it was necessary to give it a name
that would correct, even remove, the
immediate evocations o n seeing the product
( it’s an industrialized product, standardized
to the maximum ) . It was launched under
the name ‘ Shepherd’s Stick’ by Justin Bridou,
i n order to create a rural, rustic imaginary
background for this industrial product.
The ‘Shepherd’s Stick’ became the leader
of the segment i t had created.
• With services, a first name is often necessary
i n order to give flesh to an innovation. In
Chapter 1 3 Brand Architecture
2004, Gaz de F rance, a di tri bution
co mpa ny, wanted to provide a mod u l a r
gl obal offer to it 1 0 m i llion su bscri ber .
It was a persona lized diagno i , a proposal
according to the desi red comfo rt level. To ld
in these terms, reader m ight a k them elve
how th is proposal was in any way
revolutiona ry. A fter all, i n’t all that p a rt o f
the minimum cl ient foc us ? The fact is that
ordinary words make inn ovat ive propo als
sound banal. This is why Ga z de Fran ce
named the i r proposal ‘ D olce Vita’ and based
all its advertising com mu ni cation on t h i s
name, which became a da ughter brand, with
an emotional dimension. I n Great B rita in,
British Gas created a daughter b rand in
services : Goldfish .
• When the parent brand does not (yet) h a ve
the image suita ble for the targeted m a rk et,
a relay or an intermed iary is req u i red. Th i s
is the goal of the fi rst-name brand. Venus by
Gil lette made it possi ble for this very macho
brand to target women. Peugeot motorcycles
and scooters have used many first names:
young people seeking emanci pation need a
badge. Buying ‘ a Peugeot’ 1 5 years ago did
not fulfil this function sufficie ntly, even if
the product itself was remarkable; hence
first names such as Booster.
The maternal identity of Nestle did not
legitimate its presence in coffees . Nestle is
historical ly, and fi rst of all in everyone’s
lives, baby milk. It was not possible to
launch a ‘ Nestle coffee’. Nescafe made it
possible to say both ‘instant, powdered’,
giving reassurance through the confidence
l inked with the name, wh i le d istancing the
maternal i mage, and to say ‘ coffee’. The
word cafe brought Nestle an element that
it had previously lacked . Conversely, the
identity of Phili ps was already technologi ca I :
it was enough to endorse the razor.
Choosing to call the razors ‘Philishave’
rather than Philips razors brought nothing
new: the activity descriptor ‘s ha ve’ d i d not
bring any added value and contri buted to
d istancing the salience of Phili ps. In fact,
Braun simply calls its razors – Braun
razors.
Taking into account the tendency to think up a
first name too quick ly, several warnings should
Part 3 Creating and Sustaining Brand Equity
be heeded before launching into the choice of a
daughter brand:
• No first names without a maj or, long-term
advertising investment. Otherwise, the
product will appear on shelves or in
catalogues, with a mysterious name, and
the customer will be unable to grasp what
the new product has to offer. All too often
there is a time lag between the decisions on
the name, taken very early, and the fixing
of the b udget, which may change at the
last moment.
• The second question concerns the future:
will this daughter brand be able to provide
an umbrella for other products ? Will it be
possible to put other future products under
Agilia by Lafarge, for example, that will be
coherent with this name ? This criterion is
essential and too rarely used: if it is not
respected, the company plunges ahead into
an economic impasse . In fact, it is difficult
to support a single product in advertising
and communication. Only the arrival of
a genuine range, and other new products,
will make it possible to acquire the critical
mass that generates a sufficient size of
marketing communications b udget.
• Is the parent brand sufficiently well known
to move on to the stage of having daughter
brands ? It is the parent brand that gives
meaning to the daughter brand. How were
the first Apple products known, for over 1 0
years ? Apple 1 , 2 and 3 . Only later, in the
place of the Apple 4, to clearly show the
discontinuity, was the name Macintosh used .
What did the low-cost telephone operator
Free call its convergence offer ? Free Box !
Orange called its unique landline/mobile
offer Orange Unix ! The first D anone
products were all called D anone or a variant
thereof ( Danette, D anessa, D anino, Dan’up
and so o n ) .
In the industria l domain, Veolia
Environment removed all its daughter
brands, since the problem for Veolia is that
it is an unknown group: it therefore has
an urgent need to make itself known
worldwide. Therefore, its global daughter
branch brands, Connex, D alkia and Onyx,
were de-christened and renamed Veolia
Transport, Veolia Energy and Veolia
Waste.
• Before creating a daughter brand, would it
not be better to launch the innovation under
an existing daughter brand ? For every
daughter brand has to ward off its own
o bsolescence through innovation.
Systematically placing innovations under
new first-name brands handicaps the older
ones. We will see below how 3 M created a
m ulti-criteria grid to manage this real risk.
A case in point: naming in the
automobile industry
The car fascinates us. Innumerable reviews and
magazines are dedicated to it. This sector only lives
through innovation, giving us the desire to change
cars. Different constructors have different policies
regarding their new models. Renault gives them all
proper names ( Latitude, Laguna, Twingo, Clio and
so on) . Peugeot follows its three-digit logic with a
zero in the middle (which forced the first Porsche
known as 9 0 1 to become the 9 1 1 in order to avoid
legal proceedings ) . Citroen opted at one point for
proper brands ( Citroen Xsara, Saxo, Xantia ) before
returning to the initials C l , C2, C 3 , C4 and so on.
With BMW you buy a series number: series 1 , 3 , 5
or the top-of-the-range 7. What is the logic to these
choices ?
The first structuring factor of the decision concerns
the maker’s strategy: a generalist or a specialist?
Generalists target all segments o f the market, all
consumers. Since they promote the car for everyone,
their image is consequently not as strong as the
specialists. As a result, their image is less in a position
to dynamize new models, to bring them a strong
emotional a dded value. These are reassuring brands,
brands with guarantee and proximity through their
network, not desire. The reverse is true for the
specialists, who have segmented their market to a
high degree and made their choice. The name alone
of the specialist is the stuff of dreams: BMW, Saab,
Volvo, Morgan, Mini and so on. According to their
means, buyers take away a little or a lot of the
dream: the 1 or 3 series, or later on the 5 or 7 series.
As with Mercedes, one always buys ‘class’, A, B, C,
M, E, S and so on.
There is no dreaming with generalists: it is
therefore necessary to boost the model itself with
imaginary added value, with emotion. Hence the
need for a highly evocative individual name. Remember
the Golf Gti ! From whom ? Volkswagen.
In order to compete with Mercedes, Volkswagen
concentrates on the Phaeton, since Volkswagen
, I ‘ , means peop e s car .
Other parameters, however, come into play. Why,
in fact, does Peugeot opt for num bers rather than
model names, when it is a genera list ? Before we
answer this, let us recall that a n umber can play the
part of a brand, like Chanel No 5 , or 007, or number
2 3 , the number of the football star D avid Beckham
at Manchester United . Each of these numbers has
an emotional potential . Likewise 205 or 9 1 1 in cars,
through their association with a c ult model, the
first of which marked an era, the second of which
marked severa l generations of men.
Peugeot’s approach is explained by the specific
positioning of the brand: it wants to be ‘the most
specialist of the generalists ‘ . This is why the brand,
although generalist, accentuates its differentiating
traits and the radical design that makes it palpable.
As for Citroen’s policy shift, it can be explained
as a result of the costs incurred by a daughter brand
Chapter 13 Brand Architecture
pol icy. If a model la ts six year , it i the refo r
necessary to invest over thi time period to gi v e it
recognition and an image before turni ng the e i nt o
profits and losses . Moreover, itroen’ objective i
to strengthen its im age. The empha is placed on
first-name brands, in addition to being slow and
costly, does not re bound strongly onto the pare n t
brand . Hence the decis ion to group the portfo l i o o f
models around Citroen, a s i ngle brand. We then buy
a variation on the theme according to segment: 1 ,
C2, C3 and so on.
• • •
B 2 B mixes organ i zation ,
subsid iary and brand
B2B creates specific problems for brand arc h i tecture
decisions. B2B is about compan ies. Brand arc h i tecture
models are easy to figure out and to im plement
when they concern obj ects or services (sh am poos,
yogh urts , computers, cars or hotels ) . Comp l e xity
and even confusion arise in B2B because three
issues are interacting and mixed together:
F I G U R E 13.1 2 How adding a des i gnator to a name affects perceived value
(psycho l og i cal price) of a prest i ge or non- prestige brand
D o l l a rs
C a n a d i a n
SOURC E Myung Su Jo, 2007
( 57,800)
HYU N DAI
( 2 1 ,900)
B R A N D
O N LY
JAG UAR XL500
, 5 0 0 )
HYU N DAI X L500
(29,300)
BRAN D
+ M O D I F I E R
o JAG UAR
( 64, 1 00 )
X L500 HYU N DAI
( 3 8 , 1 0 0 )
H EA D E R
+ B R A N D
Part 3 Creating and Sustaining Brand Equity
• the legal structure of the group;
• the organizational structure of the group;
• the brand architecture.
Decisions a bout the legal structure follow one’s
specific goals: tax optimization, preservation of
ownership rights, power balance between shareholders,
reduction of trade union power, control
of social unrest risks, a bility to have m ultiple
compensation systems, motivation of staff at the
decentralized level, and so on.
Decisions about the organization ( whether to
create a group or j ust a holding company, the number
of divisions, branches and b usiness units, the reporting
structure, etc ) aim to make the company as
efficient as possible for the sake of the client.
The problem is that, within companies, most
managers, even at the top, do not see how brand
decisions are different. The legal and organizational
perspectives tend to divide the whole into entities
within a network of power and responsibility relationships,
or ownership relationships . The brand
perspective aims at influencing the markets by
capitalizing on as few symbols of q uality and fame
as possible. The brand is by definition a symbol; it
stands for something, for both inside and outside
a udiences.
An organizational perspective, for instance,
would ask abo ut the creation of a group, especially
in companies that have grown by mergers and
acquisitions. The relationship between people at
group level and those within subsidiaries will have
to be made clear. The brand perspective would ask
if this group aims at becoming the primary purchase
criterion of the market. If the answer is no, it can
remain discreet and be called Group X or Y. If the
answer is yes, one should a bandon the word ‘group ‘ .
Group is a n organizational concept: this needs not
concern the market. The market trusts L’Oreal, not
Group L’Oreal.
The same holds true for divisions or branches.
Samsung Electronics is not a brand. The brand is
Samsung. Samsung Electronics is j ust the name of
the organization in c harge of developing the b usiness
of Samsung worldwide profitably, and driving
the Samsung global brand equity up. A visit to
the GE website is quite enlightening. GE is a conglomerate:
it acts in a number of sectors ( eg finance,
energy and electronics ) . However, there is only one
brand, GE, and one symbol. GE Capital is the name
of a branch. It may itself have a legal name referring
to the company enacting part of this activity in a
given country. Sometimes branches may be brands.
For instance, for many years S uez Group, a public
utility group, did not want to act visibly and
become both a corporate brand and a commercial
brand. S uez Group acts through master brands
worldwide, such as Sita for its waste management
activity. This brand and logo are visible on the
lorries picking up rubbish every day in major cities
of the world . Sita entered Germany through an
acquisition: Eric Bohm. On the letterhead one finds
the logo and symbol for Sita, and far below, in very
different type and quite separately, so that no confusion
is possible, the legal name of the operating
company: Eric Bohm GmbH.
People like to have their own brand, which is
quite natural . When a new activity is created, with a
manager at the top, the question of the brand soon
arises because of the urgent need to make business
cards. For instance, Veolia Transport decided to
create a new cargo activity in Europe. The people
involved would often think that the brand was
Veolia Transport Cargo or, worse, Veolia Cargo.
One should not confuse organizational identity and
the brand. An activity is j ust one of the many arms
of a single b ody whose flag is the brand. There can
be only one flag.
Only when a company decides that a division
should go p ublic (trade on the stock exchange) can
there b e an exception. For instance, EDF is the
number one electricity group in Europe and the
world leader in nuclear energy. It sells civil nuclear
plants and electrical diffusion networks to many
countries in the world. EDF is a p u blic company. It
decided to create a subsidiary called EDF Energies
Nouvelles, explicitly designed to develop this knowhow
and sell services linked to wind and solar
energy to other countries. To separate both activities
and allow a clear recognition on the stock exchange,
the logo of EDF Energies Nouvelles is within a green
capsule, unlike the logo of EDF itself.
As a rule it is useful to think of B2B brands as
a flag. A single country cannot h ave two flags.
Federal countries, however, have states, eg Germany
has Uinder. If they have their own flag, there is a
clear s ubsidiarity. The two cannot be at the same
level.
A final difficulty comes from the fact that, in
mergers and acquisitions, groups buy personal companies
whose name is that of a person, the creator
of the comp any, still managing it some decades l ater.
Changing the name o f that company is a sensitive
issue: it is not j ust any name!
Our advice is simple: the merger and acq uisition
period is the best time to negotiate a change o f name
and to enact it fast. If that i s not poss i ble, one should
at least impose the adoption o f the group sym bol.
When the creator resigns or retires, then move to
the group name immediately.
Corporate branding
Since 1 9 90, there has been a basic tendency for
corporate brands to be as visible as possible on the
products themselves. For example, Pharmaceutical
Laboratories now regard themselves as a brand
in their own right and take much greater care to
ensure that their brand name is clearly visible on
the packaging of brands of medication. The back
o f all Nestle products bears the Nestle corporate
brand name and the customer service phone num ber.
It is the same for D anone, which has taken great
care to create a logo for its D anone corporate brand,
as distinct from the Danone commercial brand
used for chilled products, and water and biscuits in
Asia.
This tendency is part o f a basic trend – the
demand for responsibility and transparency. The
company presents itself as the ultimate endorsement
and no longer hides behind its brands. This also has
the e ffect o f increasing its visibility, and therefore
its attractiveness to students, executives and the
employment market in general . In Asi a , television
ads for Procter & Gamble and Unilever brands bear
in the last seconds the signature o f the companies
themselves. This is not the case in the United States
or in Eu rope, although – influenced by this Asian
experience – Unilever is looking for some kind of
higher pu blic visibility to boost its corporate brand
profile. In Asia, however, these two companies do
not enjoy any reputation and this m ust therefore be
established.
Finally, once a company is quoted on a stock exchange,
it must try to influence the share price s ince,
over and a bove the financial results pu blished on a
regular basis, market predictions are i nfluenced by
the company’s name and reputation. So anything that
makes people dream a little adds to its goodwill.
Companies regularly change their name and take
the name o f their flagship commercial brand. For
Chapter 1 3 Brand Architecture
example, the company fo rmerly known a B
changed its name to Danone Corp ( i t nearly beca me
Evian Corp), wh ile the Vo l k svvagen group and
l’Oreal group have both ta k e n th e i r name from the i r
flagsh ip brands. Mars, on the other hand, cha nged
i ts name and became k n own a Masterfood s, as
other co mpan ies are called Bestfood ( U nil ever) or
General Food s . So what are the reaso ns for these
two di ametrically opposed atti tud e s ?
Capitalizing on a flagsh i p brand by app ly i n g
its n ame to the group makes it poss i b l e ro ta ke
advantage of the halo effect, even i f th is involve
two clearly distinct so urces, s i nce the i m age of the
one influences the perception of the other. For
example, the press regu larly refers ro Vo lk swagen
as Europe’s number one brand when it was not
the brand but the m u lt i – brand group that earned
the title thro ugh the c u m u l ative sales of each of
its brands.
The [
,
Oreal group does not advertise a great dea l .
However, its brands use heavy advertising, along
with research and development, as one of the i r m a i n
weapons. By shari n g the name o f its g l a m o ur
( ‘ I ‘ O real Paris ‘ ) brand, the l ‘ O real group benefit
from the impact o f an international i m age that
i n spires confidence in shareholders and defi nes
what they do.
It was for entirely opposite reasons that Mars
took the less transparent name of Masterfoods.
Apparently, it was difficult ro sell brands of pet food
such as Pedigree and Wh i skas under the Mars
corporate or group name, parti cularly s i nce Ma rs
conj ures up the i mage o f a single product, a legen dary
chocolate bar, which has g rowth lim its i n an
extremely segmented ma rket. There was also a risk
o f a negative halo e ffect on financial prediction .
LVMH, the initials o f Louis Vuitton Moet H ennessy,
uses both strategies. On the one hand, the expe rts
are fam iliar w ith the significance o f the acronym ,
which refers to internati onally renowned luxury
brands. On the other, by retaining the acronym, the
group demonstrates its intention to remain disc reet
by placing the emphasis at brand level rather than
corporate level, and leaving the brands to develop
through the ir own creativi ty, pub lic ity and the
qua lity o f their distri buti on. From th is, it can be
seen th at the position o f the corporate brand i n
relation to its subsidia ries is in fact a reflection o f
the group’s internal organizati on.
This essential part of group strategy is developed
below.
Part 3 Creating and Sustaining Brand Equity
Group and subsidiary relationships
In the industrial sector where external growth is the
norm, the question of the status of corporate brands
that have been acquired crops up again. Should they
be left independent? Should they disappear ? Should
they be endorsed with a simple visual symbol of
the parent company ? Or j oined to the name of the
parent company? If they behave as mere holding
companies such firms should not be surprised by
their low public recognition. For instance, although
it was founded in 1 9 69 and was one of the largest
chemical companies in the world, Akzo remained
largely unknown. No wonder: all the companies
acquired had kept their own company names and
brand names (Warner Lambert, Stauffer, Montedison,
Diamond S alt, etc ) . Akzo thus acquired a
poor image in terms of technology because of its
lack of visibility. It had become the biggest unknown
company in the world.
General Electric has defined four brand policies
and specifies the conditions for their application.
These policies range from:
• The so-called monolithic approach where GE
behaves like an umbrella brand and replaces
the corporate brand which has been bought
( either immediately or after a transitional
period of double branding) . The brands GE
Silicons, GE Motors and GE Aircraft Engines
have all emerged from this process.
• The endorsement approach where GE signs
its name beside the name of the product or
the company that has been acquired.
• The financial approach where GE behaves
like a holding company and is only discreetly
mentioned (X, member of the GE group ) .
• The autonomous approach where the
acquired company or product makes no
reference to GE.
To decide upon a policy, GE uses six selection
. . cntena :
1 D oes GE control the company?
2 Does GE have long-term commitments in
this company ?
3 Does the product category have an image
value ? D ynamic or not ?
4 Is there a strong demand for GE quality in
this industry ?
5 Is the corporate brand which has been
bought strong ?
6 What could be the resultant impact on GE?
Group governance and branding
strategy
At regular intervals, the major industrial groups
ask themselves whether their branding strategy is
as effective as it could be. There are three formal
types of strategy that can be implemented within
industrial groups. Although the terms ‘subsidiaries’ ,
‘holding companies’ and ‘ companies’ tend to be
used in this context, structurally speaking they represent
the typical figures of branding strategy – source
brand ( A ) , endorsing brand ( B ) and umbrella brand
( C ) . But beyond these terms, the impact on level-one
subsidiaries ( sub-brands ) is self-evidently not the
same. A bove all, each branding architecture has
organizational repercussions, with each playing a
different role for the group in relation to its subsidiaries
and subsubsidiaries:
• The strategy in which the group is a source
brand can be likened to the role of an
orchestra conductor or band leader.
• The strategy in which the group is an
umbrella brand makes it a unifier.
• The strategy in which the group is an
endorsing brand makes it a coordinator.
It is o bviously not up to the branding decisions
to determine the management style of a p articular
group – that would be a reversal of roles – but it
should explain management choices and the criteria
on which these choices are based.
Corporate brands and
product brands
For years, companies have hidden behind their
brands. Through prudence and fear of being affected
in case of brand failure, company names have been
separate from those of the brands . Thus Procter &
Gamble remain unknown to the p ublic while their
brands are the stars ( Ariel, Pampers ) . In fact, it is
this that allowed the company to keep its turnover
stable when the rumour of it being linked to a sect
raged through the United States. The brands,
autonomous from the company itse lf, suffered no
setback. Neverthe l ess, such instances are rare and
the tendency i s more towards transparency due to
communication o bligations. Also, the public wants
to know, in l a rger numbers than before, who are the
actors behind the brands. ] ournalists want to disclose
who i s the ‘ brand behind the brand ‘ . Th is also
expla ins why so many companies have taken on the
names of their most famous brands (eg Alcate l Alsthom,
Danone ) . They get more visi b ility and
acknowledgement. This helps the stock exchange
i nvestor a lso, i n cases where he i s not an expert or
very well-informed, to understand better what he is
buying. It may a lso create a benefici a l confusion for
the brand itself. After i t bought Audi, Seat and
Skoda, Volkswagen Group is now co-leader i n Europe
on a cumulative basis. However, many people m istakenly
speak of Volkswagen as a brand be ing the
number one i n Europe.
The trend towards greater visi b i l i ty of corporate
names also has other causes. D istri bution i s
one of them. D istributors, multiple retai lers and
hypermarket chains are not very i nterested i n
brands. Thei r fundamental relationship i s with
corporations, not with brands. It i s a business to
business relationship. The name of the powerful
corporation i s therefore a potent reminder of that
relationship.
Only corporate names can endow brands with
stature, an extra d imension c a lling for respect. Would
Audi have succeeded i n its remarka b l e recovery
had i t not been known that Audi belonged to the
Volkswagen Group? The same holds true for Seat
and Skoda. Nissan’s status will change because i t is
now part of the Renault group. As long as car makes
are only brands and not part of a larger and more
dynamic corporation, they arouse perceived r isk
among consumers and do not guarantee a l ong-term
presence.
Many companies sell i n i ndustrial and commerc
i a l markets at the same time. Here, there is
the problem of having to choose between the use
of product brands or the use of the corporate
reputation to support the products. This depends
on the quality of the company’s endorsement and
the degree of visibility that i t wants to acquire .
In practice, the respective weight to be attri b uted
to the product brand and the corporate brand
depends on a case-by-case analysis of the returns
brought by each of them on the many targets
Chapter 1 3 Brand Architecture
concerned. Ta ble 1 3 . 2 pre ents the outli ne o f uch
an analysis.
At leI three kind o f b rand pol icy >,; e re u sed het:
Fi gure 1 3 . 13 } :
• The first po l icy is the cla sic u m b re l l a brand
wh ere the produ cts keep their ge neric names
and are signed w i th the corporate namc.
Most often this concern ra w material
and undi ffe rentiated p rod u cts w h e re the
co mpany guarantees a certain q u a l i ty a n d
the differentiation i s essenti a l l y commerc i a l
( ie speci a l conditio ns offered to the c l icnt on
a case-by-case bas i s ) . An example w o u l d be
leI pol yurethanes.
• The second policy is tha t of the endorsi ng
brand. The company puts its name beside
the product brand and this confe rs a status
of high technol ogy and re l i a b i lity to the
product. Thus, Dulux pain ts are
accom panied by the IeI logo.
• The th ird pol icy makes exc lu sive use of
the product brand . Tactel is one of the
most widely sold fibres but it never
mentioned leI. The product was sold to
the textil e industry and to the fa s h ion world,
and i t was feared that the me ntion of the
lel name m ight alter the positive i mages
linked to Tacte l . S i m i l a rly the insecticide,
Karate, which is sold throughout the world,
a lso did not make any menti on of l eI .
Does th i s have anything to d o with not
wanting to step on ecological toes and
avo i d the poss i b i li ty of blame rega rding
the harmful effects of pesticides on ground
water? Thi s s ituation is not only changing
through time, but it a l so c hanges according
to the company. Decis, the world leader
in pesticides, made a reference to its
corporation, Roussel Uclaf (Agrevo
division), on its packaging. Simi larly, to
benefit from its innovations, Du Pont de
Nemours, former owner of the brand, used
to mention clea rly ‘ Lycra by D u Pont’ on
a l l its communicati ons for Lycra, the
fa bric that has revol utionized women’s
linger i e .
Product i nnovations generally provide an ideal
occasion to ask fundamenta l questions a bout the
branding policy.
Part 3 Creating and Sustaining Brand Equity
TA B L E 13.2 S hared roles of the corporate and product brand
C ustomers
Trade associations
Employees “.
S u ppli ers
Press
I ss ues groups
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Academia
Government com mission
Stockholders
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+ + +
+ +
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+
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F I G U R E 13.13 Corporate and product branding at I C I
‘ I C I F i b res’ bra n d
Textu rize r Weaver a nd
fa b r i c m a ke r
G a rm e nt
m a ke r
R eta i l
+
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‘Tactel ‘ b ra n d
C o n s u m e r

Discuss how you intend to construct the items, cognizant of the basic principles of item pool construction, the necessity of SMEs, the unidimensionality or multidimensional of the construct, etc.

Instructions
For this task, complete the readings for this assignment, and then write a paper in which you complete the following:

Write an introduction that examines the construct, its conceptual definition/s, and related concepts.
Review the literature and the existing tools that measure the construct.
Provide justification for your original scale.
Discuss how you intend to construct the items, cognizant of the basic principles of item pool construction, the necessity of SMEs, the unidimensionality or multidimensional of the construct, etc.
Write at least 20 sample items that represent the construct you are planning to measure. You may construct negatively-worded items, but indicate these in a chart or table. If the construct you choose has two or more dimensions under it, write sample items indicating which items fall under which dimension. (See for example, the Life Position Scale that contained four dimensions I’m OK etc. at first, but after factor analysis the dimensions reduced to two—I and You.)
Argue for a specific method of running an item analysis procedure.
Argue for at least two specific methods of establishing your scale’s validity (Choose at least one method for construct validity, and another method for criterion-related validity. In criterion validation, it is not enough to simply write that you are planning to employ the method. Be sure to specify the variable(s) you will correlate your scale with.

Self esteem is the construct that you would develop a scale in this task. I would want you to do a research on this construct. There are many scales already available measuring self esteem. How will your scale be different from the existing ones? Also what are the new directions in self esteem research? Also think about the reliability methods that you can use for the test you will construct in this task.
Scale Construction Proposal
Your proposal is similar to a research proposal that expresses intent to perform a scientific investigation. However, unlike a research proposal that first establishes the existence of a gap in the knowledge and proceeds to argue for a relationship between or among variables, the scale construction proposal is just a scaled-down manuscript that discusses your intention to construct a psychological scale.
Nevertheless, it should contain an introduction that discusses the construct of interest and a review of the existing tools created to measure it. It should also be ideal to explain why you intend to construct an original scale that measures your chosen construct or why the existing tools do not satisfy the purpose of your dissertation. What follows this should include specific methods that you will employ to construct the items, to weed out bad items and retain good ones, to establish item reliability and consistency, and a proposal to establish the scale’s validity. In establishing validity, you must be specific in the methods that you will employ and the variables that you will correlate with your chosen construct. Also, be specific in the variables that you expect to correlate highly with your construct and those that should yield weak correlations with it (as what you will expect in a Multi-trait, Multi-method matrix, page 287 in Kline).

Your assignment should demonstrate thoughtful consideration of the ideas and concepts presented in the course by providing new thoughts and insights relating directly to this topic. Your response should reflect scholarly writing and current APA standards.

Compare and contrast the articles by examining the main claims (most important pieces of evidence) and determine which article makes the strongest argument on a common theme and why.

Follow instructions including the attached instructions.

You will write a 4+ full page analysis essay that exams the arguments, main claims and themes of the following articles: “The Allegory of the Cave” and “New Superstitions for Old.” The essay should be entirely your opinion and should accomplish one of the following:

Compare and contrast the articles by examining the main claims (most important pieces of evidence) and determine which article makes the strongest argument on a common theme and why. This must be a thorough look at the main claims/evidence. Each body paragraph should contain at least one main claim or piece of evidence from each article for analysis.
Construct your own argument on the shared theme of these articles. Your essay should put your own twist on the importance of abandoning old traditions or leaving your own personal (or community) cave in order to grow as a human being. Your argument should be supported by what you believe to be the strongest, most illuminating claims (pieces of evidence) from each article.
Your essay should follow the paragraph-by-paragraph guidelines provided below. How well you accomplish the tasks below will determine your grade.

What does a ‘personal encounter’ mean? Write about a face-to-face contact between the student and a police officer.

The paper will be about a personal encounter of the student (or someone known by the student) with a law enforcement officer; e.g., a traffic stop which either did or did not result in a ticket. Students will:

• Express critical thinking about the human dimensions of their encounter.

• Analyze police operational styles.

• Demonstrate an applied understanding of the literature on police personality.
(a) What does a ‘personal encounter’ mean? It means that the student will write about a face-to-face contact between the student and a police officer. There must have been words and police business exchanged between the student and the officer for it to qualify as an ‘encounter’. A traffic stop is just one example, but the student is free to use any experience with a police officer that goes beyond mere greetings such as “How’s it going today, officer?” Other examples include, but are not limited to:

• Being a suspect/witness in a crime and/or asked questions and/or interrogated by police.

• Being a victim of a crime and/or asked questions by the police (unless the experience is too personal)

• Any situation where the student had to go to police headquarters (to fill out forms for example)

• Any time a student heard an officer give a guest lecture or speech (other than DARE)

• Asking directions from an officer while on a trip.

• Talking to a police recruiter or officer about employment possibilities.

(b) What if I have never had a police encounter? The assignment allows the student to use someone known to the student who has had a police encounter. It is unlikely, however, that the student has never had any kind of contact, and it is preferred that the student use their own contact. What the student cannot do is go out and arrange a first-time police contact or interview any officer just for the purposes of the assignment. If the student comes from a police family, do not write any of your family members (too close to the subject matter).
(c) When should this encounter have occurred? I prefer the students’ earliest memory, but if you talk about when you were an infant and you your mother told you to “Look at the poleeze man!” you’re probably going back too far. On the other hand, if you choose a recent encounter involving a matter that has yet to be settled in court, you’re probably too close to the situation to write an objective paper. Choose an encounter between your earliest memory and most recent memory, or your most memorable experience.

(d) What does ‘write down my facts and feelings’ mean? The paper will be 5-6 pages long and divided into the following sections, which you should use to plan the organization of the paper. Use section headings.

• Facts and feelings

• Human dimensions of the encounter

• Police operational style

• Police personality