Excellent schools strive to develop a comprehensive and integrative improvement process for students and their families that integrate best practices of positive school culture, climate, and social and emotional learning; character development skills, enhanced academic achievement strategies, and positive parent engagement. Such comprehensive school programs would smoothly blend best aspects of caring school communities; civic, ethical, intellectual, and performance values; student engagement and service learning projects; classroom management through application of restorative practices; innovative strategies to enhance academic achievement; and, equitable application of positive behavioral interventions and support, response to intervention, and multitier system of supports. The result of such schooling would be achievement-oriented, other-oriented students, teachers with high purpose and high morale, and be great places for those who work and learn there and for those who visit.
Character.org’s The 11 Principles of Effective Character shares this vision and provides a self-evaluation structure to assist schools in that process. Ours is not a quick fix, but rather an intentional framework to develop the culture and climate of schools and districts.
A Bit of History and Context
In 1993, a group of educators, business leaders, and researchers came together and decided there needed to be a national organization devoted to fostering character development in schools and in communities. Since then, Character.org has validated and certified character initiatives in schools across the country and internationally through The 11 Principles of Effective Character. These guiding principles have provided voice, visibility, and resources for educators, assisting them to build and sustain stronger schools and communities.
Below are excerpts and interpretations from The 11 Principles of Effective Character Guidebook to help educators understanding of character education and its implementation. This entire overview, unless otherwise noted, comes from The 11 Principles of Effective Character—A Validation Framework: Guidebook available from Character.org.
To be clear, Character.org does not advocate a single character education blueprint for schools, but rather offers a framework for its implementation.
No single script for effective character education exists, but there are some important guiding principles. Based on the practices of effective schools, decades of research and the wisdom of leading thinkers and practitioners in the field,The 11 Principles of Effective Character Education is Character.org’s framework for inspiration, validation, and certification of character initiatives. As broad principles that define excellence in character education, The 11 Principles serve as guideposts that schools and others responsible for youth character development can use to plan, implement, evaluate, and sustain their programs. (p. 1)
Experts and practitioners continue to review and revise The 11 Principles to reflect best practices that support character development initiatives. There are implications for each school’s character journey embedded in these principles. The beauty of The 11 Principle framework is how these principles fit together to create a culture of character in schools or other community groups. They form many connections that weave together to create a beautiful, unique picture. Everyone who touches this process is changed as character permeates and deepens its culture.
The 11 Principles framework is designed to be the roadmap for building a successful character development initiative. The framework is organized by principle and includes key indicators and examples that groups can use to understand, reflect on, and gauge their progress. It is important to note the examples listed in the Guidebook (and here) are not a checklist. The examples are to assist in understanding the key indicators that define each principle. The framework is designed so that groups may find different ways of implementing each principle by discovering what works best for their group, provided their practices maintain fidelity with the key indicators. The key indicators guide the way and serve as confirmation that groups are on the right path.
Implementing The 11 Principles is a process that takes time and requires a willingness to look honestly and thoughtfully at everything a group does through the lens of character. A group can really begin anywhere in following the process; however, it is important to keep in mind that Principles 1 and 11 (P1 and P11) are foundational. That is, somewhere toward the beginning of the character journey, the group will need to develop core values that set the course for the character journey (P1). It is equally important to have baseline data to know where to begin and to determine where a group is on its character journey. Gathering data along the way will help adjust the course when necessary and show growth over time (P11).
The 11 Principles of Character Guidebook includes a self-assessment, so groups can track their growth over time. Groups rate themselves on a 1–4 scale to show their level of implementation as they move toward certification.
What is Character Education?
Character education is the intentional effort to develop in young people core ethical and performance values that are widely affirmed across all cultures. To be effective, character education must include all stakeholders in a school community and must permeate school climate, culture, teaching, and learning.
The term character education encompasses a broad range of prosocial constructs, strategies, and programs including positive school culture, moral education, just communities, caring school communities, socioemotional learning, positive youth development, civic education, and service learning. All of these approaches promote the intellectual, social, emotional, and ethical development of young people and share a commitment to help young people become responsible, caring, and contributing citizens.
Character.org refers to core values throughout the description of The 11 Principles for Effective Character. Core values are “traits or qualities that represent an individual’s or organization’s highest priorities, deeply held beliefs, and core, fundamental driving forces. They are the heart of what you stand for in the world,” states human resources expert, Susan Heathfield. Thomas Lickona adds, “Character is positive values in action” (p. 1).
For Character.org’s definitional purposes, core values should include a balance of the moral/ethical and performance values to help develop positive character. Character.org sees moral and ethical values in the same way. Moral values describe the values in support of our best social interactions such as integrity, justice, fairness, compassion, caring, empathy, humility, respect for others, trustworthiness, and generosity. Performance values define the qualities that lead to our best work such as diligence, perseverance, initiative, self-discipline, goal setting, determination, creativity, and curiosity (p. 1).
Schools and organizations that intentionally cultivate and develop character comprehensively by focusing on both moral and performance values are likely to experience lower rates of student peer cruelty and indiscipline. Furthermore, they very often report a more caring community and substantially higher levels of student and faculty satisfaction (p. 2).
What follows are excerpts from Character.org’s The 11 Principles of Character: Guidebook. Each of these principles are defined through its key indicators of exemplary practice and each gives suggestions for practice. Unless otherwise noted, all page references are to the Guidebook.
The 11 Principles: Definitions, Indicators, and Examples
Principle 1: Core values are defined, implemented, and embedded into school culture (pp. 6-8).
The key indicators of Principle 1 help to define the principle. When talking about core values, Character.org believes there should be a balance of moral and performance values as defined above in The 11 Principles Guidebook excerpt. These values should also be universal in nature. Regardless of religion, culture, or any other thing that might separate a group, people should be comfortable using these values because they are universal. It does not matter whether a group uses another word for core values, such as: traits, expectations, pillars, or virtues, as long as they meet the Character.org definition of core values.
All stakeholders should be involved in creating the core values, or if they have already created them, there should be agreement that these core values will work for the group (P1.1). These values guide every aspect of life (P1.2). Everything that happens in the school community is looked at through the lens of the core values and character. Then, reminders and statements of core values are visible throughout the school (P1.3). The core values are visible everywhere; however, they are not just a poster on a wall. Everyone learns these values with definitions to create a common language. They are values that bring life to the school and are visible in the behavior of the people. The visible reminders help people to be conscious of the core values in everything they are doing to continue living as a person of character.
Some schools create a touchstone. A touchstone is a picture of the values/beliefs of the group. It inspires them to be their best and helps to guide their thoughts and actions. It helps them know how to treat each other and how to approach their work. In picture form, it reminds the community how to live their core values, provides accountability, and brings the core values to life.
Principle 2: The school defines “character” comprehensively to include thinking, feeling, and doing (pp. 9-11).
Dr. Thomas Lickona says,
When we think about the kind of character we want for our children, it’s clear that we want them to be able to judge what is right, care deeply about what is right, and then do what they believe to be right— even in the face of pressure from without and temptation from within. (Lickona, 1991, p. 51)
This principle is about the head (thinking), the heart (feeling), and the hands (doing). We need to help each person understand the core values and how adhering to them impacts everything in their lives (P2.1). Then, students and adults need to experience situations wherein they can utilize their core values, and they need time to reflect on them to better internalize the values (P2.2). Next, the group needs time to practice the core values so they can become a good habit in each person’s life (P2.3).
It is important to realize that “thinking, feeling, and doing” mature in individuals over time and each of these is on its own developmental continuum. An individual may be more mature in their intellectual development than their social, emotional, or behavioral development. As people grow, these developmental continuums become less scattered and more mature. Therefore, as we teach character, model, and practice these principles, we can assist others in their ability to grow and make them good habits in their lives.
This principle takes the core values/touchstones from the poster on the wall into practice. It is important for people to understand what the core values mean and how to live them. Once this common language is in place, providing time for people to reflect upon how they are living the core values helps them to internalize the values and grow. Not only does one need to understand, care about, and reflect upon the core values, but each person needs to practice them. Putting oneself in situations where a person can practice the core value(s) they need to improve helps to continue building capacity and strengthens the living of the core values.
Principle 3: The school uses a comprehensive, intentional, and proactive approach to develop character (pp. 12-15).
If the teaching of character is truly going to be comprehensive, it needs to be intentional and proactive. It is looking at everything through the lens of character which includes social, emotional, and character development (P3.1); teaching and learning (P3.2); before and after school activities and clubs; and the hidden curriculum (those attitudes, values, and practices that make up much of the moral life of a school but often go largely unexamined) (P3.3), and weaving them into every aspect of the school.
Students need to be taught at all grade levels and ages social, emotional, and character development skills that are connected to research-based standards, core competencies, and/or key developmental indicators that align with the core values. These individual skills are important as students learn to solve interpersonal issues; maintain relationships; manage thoughts, feelings, and behavior, communicate with others; and make ethical decisions (P3.1). These skills have implications in people’s lives wherever they go and whatever they are accomplishing.
Character is embedded into all aspects of teaching and learning (P3.2). The 11 Principles Guidebook states,
“Stand-alone” character education programs can be useful first steps or helpful elements of a comprehensive effort but are not an adequate substitute for a holistic approach that integrates character development into every aspect of school life. (p. 12)
Principle 3 is about integrating the teaching of character into everything. The teaching of character is better understood when embedded into current lessons and taught to students in context.
And, teaching character everywhere and in context includes sports, clubs, and all other extracurricular activities (P3.3). People will comment they see a difference as character is lived out in action.
Principle 4: The school creates a caring community (pp. 16-18).
We all flourish in environments where we feel connected, loved, and safe. That is the basis for creating a caring community. Intentionally creating respectful relationships between all members in the school, adult to children (P4.1); children with each other (P4.2); and adults with each other (P4.3), is the heart of this principle. As these relationships evolve through living the core values, the caring community learns what it takes to truly care for each other.
Caring communities take the information from Principles 1–3 and apply them to relationships in school. This is an intentional process. Parents, teachers, and leaders provide opportunities that build capacity in others for empathy, compassion, and relationships. Author Daniel Pink states, “Empathy is about standing in someone else’s shoes, feeling with his or her heart, seeing with his or her eyes.… Empathy makes the world a better place” (Pink, 2009). As children grow in their capacity to demonstrate empathy, their relationship-building skills increase, and their good character begins to influence others.
Principle 4 acknowledges that people are human and make mistakes. Taking steps to prevent cruelty and violence and dealing with it effectively when it occurs defines key indicator 4.4. The goal is to help others learn from their mistakes and grow in their character development (further discussed in Principle 7).
Principle 5: The school provides students with opportunities for moral action (pp. 19-21).
Putting core values into action is at the heart of Principle 5. Learning by doing is one of the best ways to practice living core values. When we serve others, empathy becomes a natural outgrowth. As a result, a school community has expectations for service and service learning (P5.1), both within the school (P5.2) and outside of the school (P5.3). This can be done through community service or service learning. Community service is voluntary work intended to help people in an identified area of need. Service learning is an experiential teaching strategy that intentionally integrates academic learning and relevant community service. In schools, teachers plan and use the components of research and investigation; a meaningful, purposeful project with curriculum integration into classes; student reflection; and sharing or demonstrating knowledge gained to assist driving their character initiative deeper into the school culture. Both of these types of service activate people to take ethical action, and in doing so, create strong community connections, advance an individual’s ethical growth and civic responsibility, and meet real needs in the local community and beyond. It is important to learn to serve others by discovering and understanding their needs and then filling those needs.
Principle 6: The school offers a meaningful and challenging academic curriculum that respects all learners, develops their character, and helps them succeed (pp. 22-24).
Principle 6 is about making people smart as well as good. This principle is not about having a separate character curriculum; it is about meaningful teaching and learning that challenges all students to be successful. In schools, this is done by weaving the teaching of character with content, curriculum, and pedagogy. In doing this, learning becomes more meaningful, and student motivation and learning increase (P6.1).
People need to experience autonomy, a sense of belonging, and competency to find success. By identifying and accommodating for unique differences, we can begin to help others experience success (P6.2). Autonomy can come through giving students voice and choice in planning, studying, and decisionmaking in the classroom, that increases their interest and motivation. Opportunities for learning that are collaborative in nature help foster a sense of belonging. Creating a cooperative environment by focusing on performance values also helps people work together and helps keep the environment safe (free from harm physically and emotionally) for everyone (P6.3). Not only do students need to have autonomy and a sense of belonging, they also need to be competent learners. Once they feel safe and competent, they will take the academic risks they need to learn and grow.
Principle 7: The school fosters students’ self-motivation (pp. 25-28).
Character is often defined as doing the right thing even when no one is looking. It is behaving in a way that respects the rights and need of others, not fearing punishment or needing a reward, but from an internal desire to do the right thing. As people develop and get to know themselves better, they begin to understand what motivates them. Applying this understanding to their lives helps them become more self-motivated. This is a developmental process that can be undermined by extrinsic rewards. Principle 7 emphasizes true heart change and celebration (intrinsic motivation) over compliance and reward (extrinsic motivation) (P7.1). It is working to understand why we need to act according to our core values, nurturing the desire to do so, and learning strategies that help us behave ethically. It is looking at our mistakes and learning from them (P7.2, P7.3).
According to The 11 Principles Guidebook, consequences for infractions should be
relevant (logically related to the rule or offense), respectful (not embarrassing or demeaning), reasonable (not harsh or excessive), restorative (restoring or repairing), and resource-building (empowering students to develop empathy, social skills, and the motivation to do the right thing). Staff routinely deal with behavior issues in positive ways that encourage reflection, offer students opportunities for reparation and moral growth, and respect students as individuals. (p. 25)
Principle 8: All staffshare the responsibility for developing, implementing, and modeling ethical character (pp. 29-31).
The character journey begins with each staff member taking a look in the mirror and assessing their own character growth, modeling it for others, and holding others in the group accountable for living as a person of character (P8.1). Everyone is involved in developing and implementing the character initiative for the school (P8.2, 8.3).
There are times parents, teachers, and leaders make mistakes where others see them. This is a great opportunity to model for students by following Principle 8 and making the situation right. How will they learn if adults are going to invalidate what is said by doing the wrong thing? They need to be led by people of character who model doing the right thing even when no one is looking. This can only be done by adults courageously looking in the mirror and being willing to articulate and make appropriate changes.
Principle 9: The school’s character initiative has shared leadership and long-range supportfor continuous improvement (pp. 32-34).
In a school environment with true shared moral leadership no one person is responsible alone for the character development of the group. When leadership is shared, it builds capacity in others (P9.1).
In schools, it works well when there is a committee of staff that champions the character initiative. They are the keepers of the character vision—responsible for the design, implementation, assessment, and goals for the school. It helps to have representatives of all stakeholders (students, parents, staff, and administration) so the initiative is seen from all perspectives (P9.2).
To have students share in leadership, they need to learn leadership skills. These skills need to be offered to all students (P9.3).
Principle 10: The school engages families and community as partners in the character initiative (pp. 35-37).
It is vital in a successful character initiative to realize the importance of involving families and communities as partners. Families are an integral part in the character initiative, and involving them in leadership roles will drive this initiative deeper into the culture of the school and carry over in to the students’ home life (P10.1). Communicating and working with the adults in children’s lives will build stronger models of character and give them support (P10.2).
Community members, agencies, and business partners form solid partnerships with schools (P10.3), providing opportunities for mentoring, tutoring, service learning, and more. If we truly follow The 11 Principles, reaching out to the broader community to create Communities of Character is a great next step. The African proverb is right—it does take a village to raise a child.
Principle 11: The school assesses its implementation of character education, its culture and climate, and the character growth of students on a regular basis (pp. 38-41).
The school will want to collect some baseline data to compare with progress later on. Organizing the initial data can contribute valuable perspective for a written plan of action, a road map, for the character education journey (P11.2). As the character journey progresses, assessment data provides opportunities for course correction should the journey move off path. Core values may need to be reviewed and discussed annually to make sure they are working. Other core values may be added or values changed to accommodate the current needs.
Summary
Dr. Thomas Lickona, wrote that,
What The 11 Principles provided is a character education “framework” that guided the definition of character, the implementation of character education practices, the training of character educators, and the assessment of character outcomes. At the same time, this broad framework encouraged schools to be creative and design new practices that advance the art of educating for character. (Lickona, 2018, p. 52)
Character.org staff have seen The 11 Principles work 100% of the time when applied to the culture of a school. But it takes time to embed this. You go slow to go fast. Take the time to choose the school’s core values and involve all stakeholders. Weave The 11 Principles together to make a beautiful picture.
Where does this journey begin? A community can start anywhere they would like, remembering that Principles 1 and 11 are foundational. Start the character journey by purchasing and downloading the full 11 Principles Guidebook from the Character.org website. Use the self-assessment to find out where you are on the character journey, and begin wherever seems best according to the data collected. Then, just keep taking the next step, continually evaluating the initiative.
If questions arise about the principles addressed here, please contact the staff at Character.org, who will be happy to assist. For examples of The 11 Principles in action, read through the school descriptions that follow. These are exemplary schools, National Schools or Districts of Character. They are inspiring proof that a positive vision for the future of their students coupled with the dedication and persistence to work collaboratively in adapting The 11 Principles of Character to their unique school environments will result a better world.
