Article
Retention in higher education: theoretical and
practical contributions
Permanência na educação superior: contribuições
teóricas e práticas
La retención en la educación superior: aportes
teóricos y práticos
Ruth Prado[i]
Federal
Institute of Education Science and Technology of Maranhão
São Luís, MA,
Brazil
https://orcid.org/0000-0001-9631-8096
Received: 06/20/2022
Accepted: 08/29/2022
Published: 09/05/2022
Linhas Críticas | Journal edited by the
Faculty of Education of the University of Brasília, Brazil
ISSN: 1516-4896 | e-ISSN: 1981-0431
Volume 28, 2022 (jan-dec).
http://periodicos.unb.br/index.php/linhascriticas
Full reference (APA):
Prado, R. (2022). Retention
in higher education: theoretical and practical contributions. Linhas
Críticas, 28, e43674. https://doi.org/10.26512/lc28202243674
Alternative link:
https://periodicos.unb.br/index.php/linhascriticas/article/view/43674
Creative Commons license
CC BY 4.0.
Abstract: This article aims to contribute to the debate on
retention in higher education from a conceptual discussion that privileges the
two main theoretical models that deal with the subject. Vincent Tinto and Alain
Coulon's models deal with the processes of estrangement from the academic
space, familiarization and subsequent involvement or integration, which are
analyzed from different perspectives to explain, sociologically, how this
process happens. We discuss the limitations and potential of the models mentioned
in order to support reflections and actions that consider the role of those
involved in the process of retention in higher education.
Keywords: Retention.
Higher education. Theoretical models. Sociology of education.
Resumo: O presente artigo tem por objetivo contribuir com o
debate sobre permanência na educação superior a partir de uma discussão
conceitual que privilegia os dois principais modelos teóricos que tratam do
tema. Os modelos de Vincent Tinto e Alain Coulon tratam dos processos de
estranhamento do espaço acadêmico, de familiarização e posterior envolvimento
ou integração, os quais são analisados sob perspectivas diferentes na tentativa
de explicar, sociologicamente, como acontece esse processo. Discutimos sobre as
limitações e potencialidades dos modelos citados de modo a subsidiar reflexões
e ações que levem em consideração o papel dos envolvidos no processo de
permanência na educação superior.
Palavras-chave: Permanência.
Educação superior. Modelos teóricos. Sociologia da educação.
Resumen: Este artículo pretende contribuir al debate sobre la
retención en la educación superior a partir de una discusión conceptual que
privilegia los dos principales modelos teóricos que tratan el tema. Los modelos
de Vincent Tinto y Alain Coulon abordan los procesos de alejamiento del espacio
académico, familiarización y posterior implicación o integración, que se
analizan desde diferentes perspectivas en un intento de explicar
sociológicamente cómo se produce este proceso. Discutimos las limitaciones y
potencialidades de los modelos mencionados para sustentar reflexiones y
acciones que tomen en cuenta el rol de los involucrados en el proceso de
retención en la educación superior.
Palabras
clave: Retención. Enseñanza superior. Modelos teóricos. Sociología de la
educación.
Introduction
The transformations
resulting from the adoption of democratization policies in higher education
have increasingly highlighted the need to discuss and think in a more
consistent way about the retention process in this stage of education.
Expansion and democratization are the two words that describe the changes that
Brazilian higher education has undergone in recent years. With regard to this
context of expansion, Neves et al. (2018) affirm that themes that aim to
understand its effects predominate in studies currently developed in Brazil.
The theoretical perspective of these studies has been directly or indirectly
linked to the relationship between educational inequality and social
stratification. Other themes, however, have been gradually introduced in the Brazilian
context and, among them, the authors listed some that still require further
theoretical deepening, and the themes of access, retention and dropout in
higher education are among them.
The need for further
deepening of this subject had already been pointed out previously, both in
relation to the processes that students go through in order to become competent
members of the university community (Teixeira, 2011; Carneiro & Sampaio,
2011) and regarding to the role of the institution in this process (Heringer,
2013). Thus, addressing this dimension of democratization – the persistence of
students – helps us to think about in ways to deal with issues related to
dropout, retention, increasing completion rates, as well as the university
experience and the interaction between students and institution.
In order to contribute
to the debate on retention in higher education, we propose to present the
theoretical contributions of the international literature. Most of the
explanatory models about retention and dropout in higher education, as we will
see, are thought from or in opposition to the model proposed by Tinto (1975;
1993). The theoretical perspectives of Vincent Tinto and Alain Coulon will have
special emphasis on the discussion about retention in higher education in this
work, since Tinto's model has maintained, over the years, a
“quasi-paradigmatic” status (Braxton et al., 2000, p.569) in the researches
that deal with the subject, and the Coulon's model due to the growing space
that it has gained in the researches developed in recent years in the Brazilian
context (Sampaio, 2011; Heringer et al., 2014; Santos et al., 2017).
Tinto and Coulon bring
in their models the processes of estrangement of the academic space,
familiarization and subsequent involvement or integration, which are analyzed
from different perspectives to explain, sociologically, how this process
develops. We will see that the international literature helps us to think about
the process of persistence from the perspective of the institution and, in this
sense, we use the term retention, which concerns the actions practiced
by a higher education institution with the objective of avoiding the dropout of
students and, in this way, support them to complete their respective courses.
Afterwards we will
present Vincent Tinto's theoretical model, the theoretical discussion that
precedes it, Coulon's model, the limitations and potentialities of the
mentioned models and, in this regard, how they support reflections and actions
that consider the role of those involved in the process of retention in higher
education in Brazil.
Methodology
The reflections proposed in this work are structured from the analysis of
a specific literature that favours the two main theoretical models used to
think about issues related to retention in higher education. The choice of these
two authors over others was due to the fact that when we did the literature review,
we identified that the notions of social and academic integration (Tinto, 1975)
and student affiliation (Coulon, 2008) are recurrently used in the texts that
deal with the theme of retention in higher education. Sometimes the referred
concepts were not properly deepened in the texts and regarding Tinto's propositions
as there are still no texts translated into Portuguese, the difficulties in the
appropriation of his concepts become even greater.
The theoretical effort to bring together in a single text two authors who
thought about retention models in different contexts and considered different
audiences is justified: [1] by the relevance of their theoretical propositions
– already discussed for decades – to think about contemporary contexts of
retention in higher education in Brazil; [2] by the proposal of facilitating
access to the theoretical models of these authors through a synthetic
exposition, highlighting their main limitations and potentialities.
Among Tinto’s texts that we choose (1975; 1982; 1988; 1993; 1999; 2006;
2017) we privilege those that bring greater details about the notions of social
and academic integration, the temporality of the integration process, the
institutional role in this process. Recently the author indicated that the
actions of retention by universities need to consider the students'
perspective. In Coulon (2008; 2017), the author brings the notion of student
affiliation, the temporality inherent to this process and the defense of a
pedagogy of affiliation.
The discussion
preceding Tinto's model
Tinto's (1975) model
of dropout makes an application of Durkheim’s theory of suicide in order to
explain the stages of academic and intellectual integration that may or may not
lead to dropping out of higher education. However, the first researcher who used
Durkheim's theory to think about dropout in higher education was William G.
Spady (1970). In order to try to understand this phenomenon, Spady (1970) considers
some literature reviews (Chart 1) performed in the 1960s and assesses that the
studies developed, until then, lacked theoretical and empirical coherence. The
author refers to the generalizations regarding the relationship between dropout
and family background, ability and academic performance as "comfortable".
He suggests that future work could be more "eclectic" in its
approaches and more explicit in establishing relationships between student
attributes and those of the institutional environment.
Chart 1
Literature review on higher education dropouts in the
United States – 1960s
Author |
Comments |
Knoell (1960; 1966) |
He classified the surveys conducted until then into
4 categories: [1] census studies (record of dropout, transfer and retention
rates both by institution and among them); [2] “autopsy” studies (a survey of
self-reported reasons by students leaving the institution); [3] case studies
(usually, longitudinal studies with students identified at the time of
admission as “potential risk” of dropping out); [4] predictive studies (use a
range of admission variables in order to generate predictive equations for a
variety of measures of academic “success”). |
Marsh (1966) |
He classified the same literature into 3
categories: [1] philosophical and theoretical studies (usually include
recommendations for action, assuming that dropouts must be combated); [2]
descriptive studies (they describe characteristics of dropouts, how they
lived as students and the reasons they gave for dropping out); [3] predictive
studies (similar description presented by Knoell). |
Sexton (1965) |
The variable “motivation" is
considered crucial in explaining dropout. The student's "maturity"
would be a critical aspect as it represents the ability to control the “irrational
anxieties” that hinder motivation and, therefore, the completion of the
course. |
Summerskill (1962) |
He also gave considerable importance to
motivation in his literature review. He pointed, however, to the difficulty
of operationalizing this variable in the analyses undertaken on dropout. The
author also considers that those who drop out are generally less “adaptable”
to the academic environment, “non-conformists”. |
Source: Spady (1970). Data organized by the author.
Spady (1970) points
out that there are two operational definitions of dropout that are accepted:
[1] a dropout is anyone who has left the institution in which he or she was
enrolled; [2] a dropout is anyone who has not received a higher education
degree from any institution. The first definition is limited to the level of
the institution, specifically identifies what happens at the local level and
does not allow us to think about how this phenomenon occurs in the system. The
second definition, on the other hand, requires many data to be collected and
would be more applicable to longitudinal research that "follows" the
individual's journey for a given time in order to identify which institutions someone
may have gone through and whether was able to complete their course at some
point.
In Spady's (1970)
model, in addition to factors concerning to the students' social background
(socioeconomic and previous academic experiences), the author considers other
factors to explaining the dropout phenomenon in higher education such as: the
influence of the student's gender on the definition of educational goals and
interests, the relationship between personal dispositions and the student's
“maturity” to continue the course and the nature of interpersonal relationships
developed in the academic environment.
The interactions that a
student experiences occur in two systems that the author names as academic and
social. There are two important elements in each of these systems that may
influence the decision to continue or not in higher education. In the academic
system are the grades and intellectual development, and in the social system,
the first is a condition called normative congruence and the second is peer
support.
In the academic
system, grades are a practical reference and easier to appreciate regarding the
student's performance. The perception regarding intellectual development,
however, can vary depending on the educational goals of each one, also changing
the meanings attributed, such as those who see higher education as an important
part of their personal development and those who do not see it as something so significant.
As for the social
system, normative congruence has to do with a notion of “success” in which the
student's individual dispositions (attitudes, interest, and personal
characteristics) are compatible with the attributes and influences of the
academic environment. Peer support is the establishment of close relationships
with other people who are also part of this system. These two elements of the university
social system are pointed out by Spady (1970) as the components of social
integration present in Durkheim's suicide theory.
Although departure
from higher education is clearly a less drastic way of rejecting social
interaction, Spady (1970) believes that the social conditions that generate dropout
are similar, that is, lack of close and consistent interaction with others,
maintenance of different values and orientations from peers, and lack of sense
of compatibility with an immediate social system.
Vincent Tinto's theoretical model
Spady's (1970)
contributions were a great influence in the development of the theoretical
model of dropout proposed by Tinto and Cullen (1973). In the early 1970s, the
Office of Planning, Budgeting and Evaluation in the U.S. Office of Education
asked Vincent Tinto and John Cullen to elaborate a report containing a review
and theoretical synthesis of research on dropouts in higher education.
Among the objectives
of the work done by the authors, they should develop a theoretical model on
dropout that would allow to synthetize the research that they were doing and
explain, in longitudinal terms, the dropout process in higher education as well.
Regarding this report, we extracted from it only the discussion of the proposed
theoretical dropout model by the authors.
Tinto and Cullen
(1973) start from the same operational definition presented by Spady (1970) in
which dropout refers [1] to people who leave the institution in which they were
enrolled; [2] only to people who have never received any degree/diploma from
any higher education institution. For the development of their own theoretical
model, the authors choose the first concept – even knowing its limitations –
which considers the institution's perspective and not the student's. The
authors intend to develop a more appropriate definition of dropout. They state
that these conceptions of dropping out have two main limitations: the tendency
to focus on the efficiency of the institution (use of resources) instead of
being more concerned with effectiveness (achieving the desired result) and the
fact that both ignore the student's perspective.
Ignoring the student's
perspective neglects two points: the fact that individuals entering
institutions have a variety of skills, interests, motivations and levels of
commitment to the goal of completing the course and that higher education, of
any nature, may be inadequate to the needs, desires and/or interests of a
certain number of individuals who still go to college. Ignoring the perspective
of the individual in this process implies an idea of inferiority of those who
do not proceed. Another aspect, more comprehensive, involves the discussion
that should be made regarding the notion of higher education as the only space
for high-level training after high school and, therefore, reinforces the trend
of expanding higher education rather than reconsidering this status (Tinto
& Cullen, 1973).
The model presented by
Tinto and Cullen (1973) is based on Durkheim's theory of suicide and the
theoretical perspective that considers the analysis of costs and benefits in
the development of action. The authors are interested in explaining and
understanding how individual, social and institutional characteristics relate
to the process of dropping out of higher education. Regarding suicide theory,
Tinto and Cullen similarly use Durkheim's perspective on social integration, or
better, the lack of it as an important factor in understanding this process of
social disconnection. For Durkheim, the chances of suicide become greater when
there is insufficiency in both moral integration and collective affiliation –
the first regarding the sharing of social values and the last to the
interaction with others.
For the authors,
dropping out from higher education would be the result of both the lack of
“consistent and rewarding” interaction with other peers and the maintenance of
values incompatible with those shared with most of the academic community. From
this understanding, it is assumed that the lack of social integration in the
college would result in low commitment to the institution and consequently, it
would increase the probability of dropping out.
At the institutional
level, it is important to differentiate the social dimension and the academic
dimension in order to understand the possible institutional dropout types – in
which the student decides to leave or when the institution dismiss the student
– and the different types of interactions and social and intellectual demands
that students are exposed to since they can be successful in one dimension and
face difficulties in the other.
The application of
Durkheim's suicide theory to the phenomenon of school dropout does not, by
itself, produce a theory that helps to explain how different individuals adopt
various forms of school leaving behavior. On the contrary, it is a descriptive
model that specifies a longitudinal process of interactions that can produce
different forms of persistence and departure behaviors (Tinto, 1975).
The perspective of
cost-benefit analysis applied to the discussion of dropout in higher education,
adds to the theory of Tinto and Cullen (1973) the influence of “external
events” to the academic environment. From this point of view, the authors
recognize that the decision to withdraw from college may not have a direct
relationship with the interactions that occur in the university. In this
perspective, it is crucial the individual's perception of the
"reality", the way the student interprets it as more or less
beneficial, as more or less compatible with his journey in higher education.
The perception of the individual, however, varies according to his own characteristics
and characteristics of the academic environment that he attends. In the
interaction of the individual with the institution is that he or she evaluates
the possibilities to continue or not.
Thus, the authors
propose a theoretical model of multidimensional dropout that results from the
interaction between individual and institution and it is influenced by the
characteristics of both. This model considers the individual characteristics of
students, their family background and previous educational experiences and how
they influence expectations and motivations regarding the college experience. A
point considered central to a student's decision to drop out of college is the
“commitment to the goal” [of graduating] in which, it is judged, the higher an
individual's level of commitment to the objective of completing college, the lower
the probability to drop out. This commitment to the completion of the course is
integrated with the commitment to the institution (Tinto & Cullen, 1973).
The way in which the
phenomenon of dropout in higher education is dealt with may vary depending on
who is the party interested in the theme. Tinto (1982) points out the three
main interested parties in this process: students, the institution and the
state. The act of dropping out of higher education can, in this sense, be
interpreted in several ways, depending on the profile of the student, who will
be affected and how students and institution will be affected after the event.
This withdrawal,
however, can be interpreted in several ways. The meanings attributed to dropout
by students and institution may diverge and go beyond the notion of “failure”.
The student's goals and intentions when entering higher education must be taken
into consideration. Depending on the objectives, students may have different
patterns of interaction with the institution. The differences also extend to
the departure processes experienced by different groups of students and in the
different areas of knowledge in universities (Tinto, 1982).
The dropout at the
beginning and at the end of the course can also have different characteristics
and motivations. It is necessary to know if it is linked to difficulties in the
process of transition from high school to higher education or to “path problems”
that originated inside or outside the academic space. Tinto (1982) says that
the transition to higher education is difficult for all students, whether they
are considered "typical" – those who can dedicate themselves exclusively
to their studies –, whether they are considered "foreigners" or
"non-typical", that is, those who do not have exclusive dedication to
their studies, who need to work and who are part of disadvantaged social
groups.
Regarding to the
institutional perspective on dropout, in practical terms, it is much simpler to
report institutional withdrawal as abandonment. However, to know how the
institution interprets its “losses”, it is necessary to know its educational objectives,
and which is the student profile “valued” by the institution, that is, to know how
much “interests” the institution to retain certain types of students.
Tinto (1982) claims
that it is not clear whether all departures from higher education require equal
attention or require similar forms of action on the part of the institution.
The difficulty in defining what would be abandonment is to discern which types
of withdrawal – among all that can occur – should be considered abandonment in
the strict sense and which types should be considered the normal result of the
functioning of the institution.
Therefore, the author
indicates how relevant it is for the understanding of the dropout phenomenon to
know the more general institutional values and conceptions, since these inform
the patterns of interaction between students and professors and between these
and their own peers and the rest of the academic community and, more than that,
whether this type of interaction and environment - constructed and shared - is
favorable for retention and for what type of student.
It is also seen that
the selectivity of an institution does not end in the admission process, and it
should be considered that the planning and execution of retention actions take
into account the standards [and values] of selectivity - which vary not only by
institution, but also by area of knowledge.
Thus, it can be said
that the internal selectivity of the institution is spread all over the
academic journey through criteria for granting financial assistance and/or
scholarships for scientific initiation, criteria for participation in leagues
and academic organizations or other extracurricular activities, curricular
organization and academic routines. In other words, it is advantageous to have
time for dedication to studies and/or to invest in relationships or other
activities -, among other possibilities for interaction that can create
academic integration and intellectual development for the student.
Tinto (1988) provides
further details of his theoretical model relying on anthropology, more
specifically the perspective of rites of passage – becoming a member – in
tribal societies proposed by Van Gennep (1960). He intends to highlight what he
calls the temporal dimension of the institutional withdrawal process, which
would unfold in different stages in the initial years of the course. These
stages refer to the three subdivisions that Van Gennep makes of the category
“rites of passage”: separation, transition and incorporation. These three
stages represent the phases through which freshmen go until they become
competent members of the university community and duly committed to the
completion of the course.
The separation phase
implies a dissociation, in several levels, of the communities which the student
maintained some bond before college, typically their high school or place of
residence. Usually, this process requires transformation that may involve the
rejection of the knowledge and norms to which the student was previously
attached. This phase can also be characterized as a disorientation phase. This
process will be more difficult the further the environment and demands of the
college are from the social and intellectual characteristics of their previous
socialization.
The transition phase
is characterized by the passage from the old to the new, from the old
associations with the past to the expected associations with the communities of
the present. It is, in fact, a stage of fragility, because the links with the
past socialization are loose and the links with the current community are not
yet consolidated. Students will react differently to this period of stress in
their trajectory.
Tinto (1988) indicates
that there is an “inevitable fact” at this point in the trajectory, that some
students will not be willing to deal with this stress of transition because
they are not sufficiently committed either to educational objectives or to the
institution they have joined. Others, however, will be so committed that they
will be able to do anything to stay. The author also points out that the
institution should mobilize to help students deal with this stage.
After these two
phases, comes the incorporation stage, in which the student needs to recognize
and adopt the appropriate norms of this new community. Therefore, the student
must establish active contact with other members, whether they are students or
professors, in order to avoid isolation. New patterns of interaction with
members of the academic community are being established and valued. Although
the student will still maintain contact with his "old socialization",
it will occur from the viewpoint of his new group. In this perspective, the
process of institutional withdrawal and institutional persistence are two sides
of the same coin, in that they point to the successful (or not) passage from
one phase to another of the "rite of passage".
Despite making use of
these three typical stages – rites of passage – to illustrate the trajectory of
persistence and retention of students in higher education, it should be noted
that, unlike what happens in traditional (tribal) societies, there are no
formal rituals established at first to mark the transition from one phase to
the other. In the context of higher education, academic orientation can be an
important tool in this process of teaching perceptions and postures that are
often not obvious to students who in most cases usually make their way through
the "institutional labyrinth" in an individualized way, at their own
risk (Tinto, 1988).
The author emphasizes
that institutional actions aimed at students' retention in higher education
should focus on the first year, right at the beginning of their trajectories.
Students will continue to have needs to be met after the first year, however,
this period has shown to be critical in terms of retention.
Tinto (1988) adds this
perspective of rites of passage to his theory in order to increase the
possibilities of analysis. He recognizes, however, that his previous work,
based on Durkheim's theory of suicide, has been much more recurrent in research
in the area. The vision that derives from Durkheim– present in Spady (1970) and
Tinto (1975) – is a mapping of a general theory of dropout that proposes to
explain how institutional forces in their social and intellectual (academic)
dimensions shape the process of incorporation, or in other words, integration
of the individual in academic life. The intention with the addition of Van
Gennep's perspective (1960) is to provide a temporal dimension, describing the
longitudinal stages of the academic integration process.
Tinto (1988) states
that he has no intention of simplifying the complex and fluid process of
institutional withdrawal. For the author, these stages are
"abstractions" used to facilitate the process of analyzing this
phenomenon that ranges according to each [group of] student[s] and area of
knowledge. It may also be the case that some students are not aware of the
transition required to integrate into academic life. Others may experience
these stages in an isolated way or simultaneously. In any case, providing
information about stages or common events to the university experience can be
beneficial to students inserted in this process and is in this sense that the
notion of rites of passage is used.
Another aspect that
deserves to be noted - and is also pointed out by the author - is that this
theory is thought considering a profile of young students, recent high school
graduates. It does not mention adults or transferred students with some prior
experience in higher education. However, he believes that these groups are
susceptible to the same phases, and may only experience them in different ways,
due to their characteristics.
Involvement, both
social and academic, is considered fundamental for retention, however,
according to Tinto (2006), what is still not so clear is how to promote this
integration in different contexts and with different students in order to
promote retention, because the most recurrent strategy to promote integration
of students in the university or to meet eventual training demands are the
"additional courses" that are created according to emerging demands (Tinto,
1999).
Tinto (1999) also
points out that some institutions need to face the retention problem more
seriously, due to the small (structural) changes and lack of mobilization in
conducting institutional actions and policies in this direction. He points to
four institutional conditions that are evidenced to be important to promote
retention: [1] information/guidance; [2] academic support; [3] engagement; and
[4] learning.
Thus, the clearer and
more consistent the information regarding institutional demands, the more likely
that students will persist and graduate. This happens because students need to
understand the "guide to completion" and know how to use these
instructions in order to decide and achieve personal goals. Academic support
should be available to students and integrated into other spaces of interaction
that they have with the institution. As for involvement or "becoming a
member", this point is related to the frequency and quality of
interactions with professors, other students and other members of the academic
community, which has been shown to be an important predictor of persistence.
And the last point concerns learning, because, according to the author,
students who learn are students who stay (Tinto, 1999).
"Active
involvement" is presented as a key in this process, which would be able to
promote learning, especially when this experience takes place through
interaction with peers, which seems to be uncommon for most freshman students,
who usually have their learning experiences - social or academic - in isolation
from others (Tinto, 1999).
There is no doubt that
there are many challenges for the institutions to promote these conditions of
persistence, especially if we consider that many students need to combine
studies and work. For them, the classroom may be the only place where they meet
their professors, their classmates, and get involved with the curriculum.
For this reason, Tinto
(1999; 2006) says that retention actions must not only include but must begin
in the classroom. In this context, the institution and the teaching staff
become fundamental in the execution of these actions, even though, according to
Tinto (2006), there is a challenge of another order, because the professors at
universities and in higher education, in general, are the ones who do not have
specific training to teach their students.
Alain Coulon's theoretical model
Alain Coulon's
research took place in France with the University of Paris 8 students, with
whom he conducted processes of listening, conversations, and observation during
his first months at the institution. In addition, he guided freshman students
enrolled in his course to keep a diary during the first three months of their
college journey.
Coulon (2008, p. 31)
considers that after entering university "learning the student's occupation"
is the most important task, meaning the relationship that new students
establish with the university rules and knowledge. To explain how this occurs,
the author describes the affiliation process, relying on the formulation of Van
Gennep (1960). Coulon (2017) justifies that Van Gennep's work helped him to
think about and classify the large amount of data that he had obtained through
his research with Paris 8 students, their experiences could be interpreted in
the light of rites of passage.
Coulon (2008) says
that the affiliation process starts from the admission at the university, where
the passage from pupil status to university student occurs, since, for the author,
a person who arrives at the university does not automatically acquire the
status of student, this initial stage would be that of a claimant to higher
education. For him there is a clear distinction between "being a
pupil" and being a student. Pupil is the one from basic education, while
the student would be the young person who enters the higher education level.
Entry into university life would in this case be a passage from one state to
another. The competence of being a student is acquired through an initiation
ritual into this new universe.
Learning the student's
occupation, even if it is a temporary status, is an essential task for the
student's persistence at the university. Affiliation, in other words, the
acquisition of a new social status, is a process that occurs in three stages:
(i) the time of estrangement, (ii) the time of learning, and (iii) the time of
affiliation as such.
The first year is the
one for learning the institution, and in this year, Coulon (2008) defends that
the applicants to higher education should join their efforts around one goal:
becoming a professional student. These efforts, however, would only make sense
if there were a project whose future perspectives would justify a significant
use of time and, in addition to this, the institution would provide conditions
that favor retention.
The students would
basically go through three stages that correspond to the three times of the
affiliation process. The first is the stage of separation from the past at
school or the time of estrangement, in which the student still sees the
university as an unfamiliar environment and the process of articulation between
the university and the student's future needs to be started. The second is the
margin stage or the time of learning. In this second moment, the student's
journey is still unstable, because he has no longer a past, but he still has no
future, it is a period of meaning attribution, of learning a (new) perspective
of the future. Finally, we have the admission stage or the time of affiliation.
The duration of this stage varies according to the assimilation of the rules,
and from here the risk of abandonment becomes gradually more distant.
Affiliation is taken
as an autonomy learning process that occurs by the active participation of the
student in a collective task. Although it is not a fully finished process, it
is possible to speak of affiliation when at a given moment, the apprehension of
certain dispositions is sufficient for there to be mutual recognition among the
individuals who are part of the same group or the same institution. In the
journey that the individual creates for himself a habitus as a student,
he experiences a process of progressive familiarization, of elaboration of
strategies until finally he can incorporate routines that are the first signs
of affiliation.
The incorporation of
the student habitus is in this way, a process of individualized and
collective construction, because, on the one hand, the student needs to decide
how much effort to employ in this process, and on the other hand, he or she
needs to know how to follow instructions. In other words, to count on other’s
help in the experience and interpretation of the most fundamental rules.
The hypothesis of
academic success is linked to the measure of the student's affiliation, knowing
how to operate with the proper administrative rules and with the intellectual
work demanded by the University. Regarding the intellectual aspect of the
affiliation process, Coulon highlights three operations considered fundamental for
the realization of this, such as: reading, writing and thinking. In this
perspective, “a competent student, from an intellectual point of view, knows
how to identify the contents of intellectual work and at the same time, the
implicit codes that organize them, hears what is not said and sees what is not
designated"(Coulon, 2008, p. 256).
Becoming
intellectually affiliated is also to establish links between private experience
and university experience, in order to build an inside and outside connection. There
is an ongoing process of intellectual affiliation when the perceptions,
practices and habits previously valued by and in the university environment
stop being external to the student and become incorporated, ceasing to be an
effort and becoming something “natural”.
Coulon (2017, p. 1247)
conceives and proposes a "pedagogy of affiliation" based on two
activities: writing and learning documentary methodology. The daily writing or
the "affiliation diary" is considered an important exercise for the appropriation
of the symbolic dimension of the academic experience, and of the student's
relationship with knowledge. Building the habit of writing would promote
affiliation, insofar the reflections registered in the diary would bring
clarity about the individual trajectories of the students. The documentary
methodology would be a way - a course - for students to learn how to use the
library's resources, as well as improve their reading, memory, and
organizational skills with their studies.
Potentialities and
limitations of Tinto and Coulon models
The theoretical models
of Tinto (1975; 1993) and Coulon (2008) try to explain sociologically how the
process of university integration/affiliation happens. In both models, the
temporal dimension has an important place, since both emphasize that becoming a
member of the university community happens gradually and the person who starts
in higher education needs to know how to make a good use of the time available
to experience this new environment. This temporal dimension is anchored in Van
Gennep's (1960) notion of rites of passage, in which both authors subdivide it
into three stages that go from estrangement, familiarization until reaching an
"optimal point" in which the risk of departure becomes more unlikely.
We see in the
literature that many authors (Astin, 1999; Bean, 1982; Braxton et al., 2000;
Milem & Berger, 1997; Pascarella, 1980; Pascarella & Terenzini, 1979;
Terenzini & Pascarella, 1980; Terenzini, 1982) who propose to discuss about
retention in higher education establish a dialogue - directly or indirectly –
with Tinto's theory. In general, these authors expose models of student
dropout/persistence. In its constructs, the student and institution interaction
(institutional experience) and the academic integration processes gain several
approaches. Several propositions are presented regarding which factors
(institutional or external to the institution), characteristics (of the student
or the institution) or actions (institutional or students) would be more or
less relevant both in explaining dropout and in increasing the probabilities of
student retention.
There are studies that
consider the centrality of the learning process in promoting student
involvement (Astin, 1999), others privilege aspects of the interaction between
student and professor and how this influences decisions to stay or leave higher
education (Terenzini & Pascarella, 1980) and still others try to consider
as many variables as possible (Bean, 1982), taking into account organizational
aspects (referring to the institution), environmental variables (external
factors and social context), attitudinal and outcome variables. Each model
proposes to be as comprehensive as possible and points out the variables that
it considers most relevant in explaining the phenomenon.
The hypothesis of
academic and social integration proposed by Tinto's model - widely cited and
accepted in the academic environment - has been tested, discussed, and opposed
by several authors. In this sense, there are those who seek to identify which
variables would be more or less significant in this integration process and
those who oppose this perspective.
Braxton et al. (2000;
2008), besides the authors previously mentioned, also dialogue with Tinto and
support his integrationist proposition, more specifically, regarding the
importance of the classroom environment and consequently the student-professor
interaction in the retention actions and in the construction of meaningful
processes for students.
There are also criticisms
to the use of the notion of "rites of passage" to think about the
process of students' retention. Tierney (1992) says that there is a conceptual
inadequacy in Tinto's model and that this notion is no longer appropriate,
especially when it comes to underrepresented student profiles in higher
education, who must to a certain extent abandon their culture and appropriate
another dominant culture. The author opposes the idea of integration and
proposes an alternative model in which universities would be multicultural
entities and would promote difference rather than conformity.
In general terms, both
models bring with them a notion of adjustment and conformation of the entering
student to the university environment. The authors try to explain the process but
not properly problematize institutional aspects that do not corroborate the
efforts of certain groups to persist and finish their courses.
Another important
point in both models is the issue of time that must be dedicated to university
experiences. Tinto says that his model was designed for "typical"
students, which means that they don't work and consequently have time to
dedicate to their studies. The students who participated in Coulon's research,
on the other hand, can be considered "atypical". However, in none of
the models, we see the proper problematization of what it means to "have
time" to dedicate to studies and to apprehend new cognitive and behavioral
schemes inherent to university life.
Final considerations
Affiliating or
integrating to the groups that are part of the university environment, more
than a personal and institutional expectation is synonymous of a successful
trajectory. Coulon (2008, p. 261) is categorical in affirming that "the
student who is affiliated” is successful, which means that he or she has understood
the rules, knows how to interpret them, and how to activate them according to everyday
demands. The idea of academic success is widely associated with a learning
process. You learn the institution, you learn the content and specific
knowledge of a field of study, you learn a new way of relating to your peers
and to the academic community and you learn a new perspective on the world,
through new insights.
The retention process
is, in this sense, and in many ways, a learning process. In this context, the
academic support or pedagogical support gains new contours and the university has
a privileged space for action with the students, so they can have an academic
trajectory full of opportunities and effective conditions for learning.
Both the learning process
in higher education and the persistence process are a collective construction
that requires adjustments by both students and the institution in achieving a
common goal, the completion of the course. Pedagogical support as a retention
action, far from being the only answer to the problem, is configured as a
powerful resource in the construction of a university that should not exempt
itself from the responsibility in the teaching and learning process of its
students.
Tinto (2017), more
recently, points out that retention actions cannot put aside the perspective
that students have on the process of persistence. He highlights that it is
necessary to pay attention to some aspects that can influence students'
motivation – especially those historically underrepresented in higher education
– such as the notions of self-efficacy, sense of belonging and perception of
the curriculum's value[2].
This isn't about
ignoring the institutional perspective in the retention process. On the
contrary, it is to add to the institutional perspective the student's view. In
this way, the institution is challenged to adjust its focus taking into
consideration the students it receives. Thus, it is not only up to the student
to assimilate the institution, but also up to the institution to comprehend its
students.
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