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Improving Schooling for Language-Minority Children A Research Agenda Diane August and Kenji Hakuta, Editors Committee on Developing a Research Agenda on the Education of Limited-English-Proficient and Bilingual Students Board on Children, Youth, and Families Commission on Behavioral and Social Sciences and Education National Research Council Institute of Medicine NATIONAL ACADEMY PRESS Washington, D.C. 1997
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Page ii NATIONAL ACADEMY PRESS • 2101 Constitution Avenue, NW • Washington, DC 20418 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. Support for this project was provided by the U.S. Department of Education, as well as the Spencer Foundation, the Carnegie Corporation of New York, the Pew Charitable Trusts, The John D. and Catherine T. MacArthur Foundation, and the Andrew Mellon Foundation through a grant to Stanford University. The views expressed in this report do not necessarily reflect those of the sponsors. Library of Congress Cataloging-in-Publication Data National Research Council (U.S.). Committee on Developing a Research Agenda on the Education of Limited-English-Proficient and Bilingual Students. Improving schooling for language-minority children: a research agenda/Diane August and Kenji Hakuta, editors; Committee on Developing a Research Agenda on the Education of Limited-English-Proficient and Bilingual Students, Board on Children, Youth, and Families, Commission on Behavioral and Social Sciences and Education, National Research Council, Institute of Medicine. p. cm. Includes bibliographical references and index. 1. Linguistic minoritiesEducationUnited States. 2. Education, BilingualUnited States. 3. English languageStudy and teaching United StatesBilingual method. 4. Linguistic minorities EducationUnited StatesEvaluation. I. August, Diane. II. Hakuta, Kenji. III. Title. LC3731.N36 1997 370.117'5dc21 97-2284 CIP Additional copies of this report are available from: National Academy Press 2101 Constitution Avenue, N.W. Washington, D.C. 20005 Call 800-624-6242 or 202-334-3313 (in the Washington metropolitan area). http://www.nap.edu Copyright 1997 by the National Academy of Sciences. All rights reserved. Printed in the United States of America. First Printing, April 1997 Second Printing, May 1998
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Page iii COMMITTEE ON DEVELOPING A RESEARCH AGENDA ON THE EDUCATION OF LIMITED-ENGLISH-PROFICIENT AND BILINGUAL STUDENTS KENJI HAKUTA (Chair), School of Education, Stanford University JAMES A. BANKS, Center for Multicultural Education, University of Washington, Seattle DONNA CHRISTIAN, Center for Applied Linguistics, Washington, D.C. RICHARD P. DURÁN, Graduate School of Education, University of California, Santa Barbara CARL F. KAESTLE, School of Education, University of Chicago DAVID KENNY, Department of Psychology, University of Connecticut GAEA LEINHARDT, Learning Research and Development Center and Department of Education, University of Pittsburgh ALBA ORTIZ, College of Education, University of Texas, Austin LUCINDA PEASE-ALVAREZ, School of Education, University of California, Santa Cruz CATHERINE SNOW, Graduate School of Education, Harvard University DEBORAH STIPEK, Department of Education, University of California, Los Angeles DIANE AUGUST, Study Director CAROLE SPALDING, Senior Project Assistant
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Page iv BOARD ON CHILDREN, YOUTH, AND FAMILIES SHELDON H. WHITE (Chair), Department of Psychology, Harvard University JACK P. SHONKOFF (Vice Chair), Heller Graduate School, Brandeis University DAVID V.B. BRITT, Children's Television Workshop, New York City LARRY BUMPASS, Center for Demography and Ecology, University of Wisconsin FERNANDO A. GUERRA, San Antonio Metropolitan Health District, Texas BERNARD GUYER, Department of Maternal and Child Health, Johns Hopkins University ALETHA C. HUSTON, Department of Human Ecology, University of Texas, Austin RENEE JENKINS, Department of Pediatrics and Child Health, Howard University Hospital SARA MCLANAHAN, Office of Population Research, Princeton University ROBERT MICHAEL, Harris Graduate School of Public Policy Studies, University of Chicago PAUL NEW ACHECK, Institute of Health Policy Studies and Department of Pediatrics, University of California, San Francisco MARTHA PHILLIPS, The Concord Coalition, Washington, D.C. JULIUS B. RICHMOND, Department of Social Medicine, Harvard University Medical School TIMOTHY M. SANDOS, TCI Central, Inc., Denver, Colorado DEBORAH STIPEK, Graduate School of Education, University of California, Los Angeles DIANA TAYLOR, Women's Health Program, Department of Family Health Care Nursing, University of California, San Francisco GAIL WILENSKY, Project Hope, Bethesda, Maryland EVAN CHARNEY (Liaison), Council, Institute of Medicine RUTH T. GROSS (Liaison), Board on Health Promotion and Disease Prevention, Institute of Medicine ELEANOR E. MACCOBY (Liaison), Commission on Behavioral and Social Sciences and Education DEBORAH A. PHILLIPS, Executive Director ANNE BRIDGMAN, Program Officer for Communications DRUSILLA BARNES, Administrative Associate STACEY RELKIN, Project Assistant
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Page v Contents PREFACE ix EXECUTIVE SUMMARY 1 Overview 1 Review of Substantive Areas 3 Review of the Infrastructure that Supports the Research 4 Research Priorities: Substantive Areas 5 Research Priorities: Research Infrastructure 7 Conclusion 11 References 11 1 OVERVIEW 13 Purpose of this Report 14 Charge to the Committee 15 Terminology 15 Scope of the Report 16 Background 17 Organization of This Report 25 References 26 2 BILINGUALISM AND SECOND-LANGUAGE LEARNING 29 State of Knowledge 29 Research Needs 43 References 46
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Page vi 3 COGNITIVE ASPECTS OF SCHOOL LEARNING: LITERACY DEVELOPMENT AND CONTENT LEARNING 53 State of Knowledge 53 Research Needs 71 References 76 4 THE SOCIAL CONTEXT OF SCHOOL LEARNING 85 State of Knowledge 85 Research Needs 101 References 103 5 STUDENT ASSESSMENT 113 State of Knowledge 113 Research Needs 128 Annex: Legislative Context for Standards and Assessment 132 References 134 6 PROGRAM EVALUATION 139 State of Knowledge 139 Research Needs 157 References 159 7 STUDIES OF SCHOOL AND CLASSROOM EFFECTIVENESS 163 State of Knowledge 163 Research Needs 189 Annex: Table 7-1, Studies of School and Classroom Effectiveness 197 References 244 8 PREPARATION AND DEVELOPMENT OF TEACHERS SERVING ENGLISH-LANGUAGE LEARNERS 251 State of Knowledge 251 Research Needs 266 References 270 9 ESTIMATING POPULATION PARAMETERS 275 State of Knowledge 275 Research and Infrastructure Needs 294 Annex 1: National Surveys and Data Collection Efforts 299 Annex 2: Variables of Interest for Monitoring English-Language Learner Progress 302 References 305
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Page vii 10 ISSUES RELATED TO THE RESEARCH INFRASTRUCTURE 307 Issues about Process 308 Cross-Cutting Issues 319 Infrastructure Needs 326 References 340 11 PRIORITIES FOR RESEARCH 343 Research Priorities 345 Implementation of the Priorities 355 Conclusion 359 References 360 APPENDICES A THE INFRASTRUCTURE FOR RESEARCH ON ENGLISH-LANGUAGE LEARNERS AND BILINGUAL EDUCATION Diane August and Carl Kaestle 363 B FEDERAL AND STATE INTERVIEWS 413 C FUNDED RESEARCH ACTIVITIES 433 D COMMITTEE SOURCES 467 BIOGRAPHICAL SKETCHES OF COMMITTEE MEMBERS AND STAFF 471 INDEX 477 OTHER REPORTS FROM THE BOARD ON CHLDREN, YOUTH, AND FAMILIES 487
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Page viii The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is interim president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and interim vice chairman, respectively, of the National Research Council.
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Page ix Preface This report is the culmination of a process that began in September 1994 at a planning meeting to determine whether there was a sufficient knowledge base to inform the development of a research agenda on the education of English-language learners. Nine experts in language development, cognitive development, bilingual education, immigrant education, minority child development, education evaluation, and student demographics discussed existing research that has informed the education of English-language learners and bilingual students and identified knowledge gaps and promising directions for a possible study. In response to the suggestions resulting from this meeting, a committee was established under the Board on Children, Youth, and Families of the Commission on Behavioral and Social Sciences and Education (CBASSE) of the National Research Council (NRC) and the Institute for Medicine (IOM). Funding was provided by several offices within the U.S. Department of Education, the Office of Bilingual Education and Minority Languages Affairs, the Office of the Under Secretary, and the Office of Educational Research and Improvement. Funding was also provided by the Spencer Foundation, the Carnegie Corporation of New York, the Pew Charitable Trusts, The John D. and Catherine T. MacArthur Foundation, and the Andrew Mellon Foundation (through a grant to Stanford University). Although this is the first NRC study on developing a research agenda on the education of English-language learners and bilingual students, it builds on three earlier NRC studies related to this topic. Assessing Evaluation Studies: The Case of Bilingual Education Strategies (National Academy Press, 1992) recommended improving evaluation studies in
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Page x bilingual education, calling for a three-step process entailing exploratory or qualitative studies to identify important program features; the development of competing theories, leading to sharply distinct proposals for programs; and the creation and assessment of these programs in tightly controlled comparative studies. Cultural Diversity and Early Education: Summary of a Workshop (National Academy Press, 1994) considered the scope and the quality of research evidence on prekindergarten education of diverse populations of children. The report stresses an urgent need for more research on this population, as well as better coordination among agencies who fund this research. Some of the areas identified for future research include bilingual language instruction, effective educational practices, nonminority children as beneficiaries of cultural diversity, and the community context of multicultural education. Research and Education Reform: Roles for the Office of Educational Research and Improvement (National Academy Press, 1992) addressed the question of how federally sponsored education research might better contribute to improving education in the nation and makes recommendations for legislation to reauthorize the Office of Educational Research and Improvement. It identifies a variety of obstacles, including the politicization of the research agenda; inadequate funding; lack of funding for investigator-initiated research; and various internal problems, such as a weak advisory council and frequent turnover in top administrative positions. Many of the report's recommendations were incorporated in the Educational Research and Improvement Act of 1994. The charge to this committee, based in large part on the findings from the planning meeting, was to review what is known about the linguistic, cognitive, and social processes involved in the education of English-language learners; identify issues that are worthy of more focused attention; examine the strengths and weaknesses of various research traditions in the field; and make recommendations regarding research priorities, the research infrastructure, human resource issues as they concern the supply and diversity of scientists and educational personnel who work in this area, and the use of scientific evidence to inform and improve policy and practice related to the education of English-language learners. The committee began the task by dividing the research terrain into five categories: language, literacy, learning, and social processes; assessment and evaluation; school- and program-based studies of effective instruction; teacher education and professional development; and national education statistics. Over the course of four meetings, a number of subgroup meetings, and numerous conference calls, the substantive issues in each of these areas were outlined and discussed, and the relevant literature was reviewed. Review materials prepared by committee members and staff, as well as background papers prepared by others, guided the initial discussions and in some cases were incorporated into draft chapters and reports. In cases in which the committee felt ill-equipped to conduct a full-scale review, outside papers were commissioned (see below).
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Page xi Infrastructure issues were addressed through a primary data collection effort, since published information in this area is not available. Study director Diane August, in consultation with committee member Carl Kaestle, gathered funding information from federal agencies and interviewed staff at these agencies, as well as staff in professional associations and directors of centers that conduct research on English-language learners. The results of their effort are presented in Appendix A. At the beginning of the project the committee invited sponsors to share their goals for the project. We are grateful to Gilbert N. Garcia, from the Office of Educational Research and Improvement, and Eugene Garcia, formerly director of the Office of Bilingual Education and Minority Languages Affairs, for their thoughtful comments. We also thank Robert Siegler, Delia Pompa, and David Ramirez for participating on the committee at the beginning of the project. The committee held one workshop and one open meeting. The workshop was designed to elicit advice from experts in educational research on language minority students and bolster the committee's knowledge base in certain areas, including social processes, effective schools and classrooms, and population estimates. The workshop participants prepared commissioned papers, which were discussed at the workshop. At the open meeting, advocates and representatives of professional organizations with a stake in bilingual education expressed their opinions and priorities. Several graduate students assisted with the project. They include Jennifer Merriman, who contributed to the section on subject matter learning in Chapter 3, and Joshua Rubin, who analyzed 1994 annual reports for foundations that fund substantial amounts of research for Appendix A and C. The committee is grateful to these presenters, consultants, readers, workshop participants, and technical reviewers for their contributions to our efforts; see Appendix D. A few consultants deserve special recognition for their substantial contributions to various chapters: Claude Goldenberg for his work on effective schools and classrooms (Chapter 7), Miriam Gonzalez for her work on teacher education (Chapter 8), and Anne Hafner for her contribution on estimating population parameters (Chapter 9), and Lana Muraskin for her analysis of research supported through state departments of education in states with at least 6 percent English-language learner populations. The committee wishes to acknowledge the support and assistance of officials from the federal and state agencies (see Appendix B) who graciously allowed us to interview them and provided us with background materials for our study of the infrastructure of research. Very special thanks are due to John Chapman from the U.S. Department of Education Budget Service for the many hours he spent helping us put together a table on Title VII funding for research over the last ten years. The committee also benefited from the support of the staff of the Board on Children, Youth, and Families: Deborah Phillips's commitment to culturally diverse students made this project possible; Rosemary Chalk provided ongoing
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Page xii advice and encouragement; and Niani Sutardjo helped prepare the bibliography. Communications director Anne Bridgman was particularly helpful in the final stages of preparing the report and planning its dissemination. Special thanks are due to Carole Spalding, the project assistant, who provided the panel with excellent support in organizing the panel meetings, preparing agenda materials, and guiding the report from the first drafts to the published volume. We also thank editor Rona Briere, whose efforts contributed significantly to the presentation of the panel's views. Most of all, thanks and acknowledgment of extraordinary effort are due to the members of the committee and our study director. In addition to participating in meetings and numerous conference calls and reading and reviewing hundreds of pages of studies and background materials, several members and staff took responsibility for the initial drafts of the chapters of this report. I thank Catherine Snow and Gaea Leinhardt for their work on Chapter 3; Lucinda Pease Alvarez, James Banks, and Catherine Snow for their work on Chapter 4; Richard Duran for his work on Chapter 5; David Kenny for his work on Chapter 6; Diane August and Donna Christian for their work on Chapter 7; and Alba Ortiz for her work on Chapter 8. Our work also benefited from the participation of Deborah Stipek, who served as a liaison between the committee and the Board on Children, Youth, and Families. Her expertise in education also contributed significantly to this report. Kenji Hakuta, Chair Committee on Developing a Research Agenda on the Education of Limited-English- Proficient and Bilingual Students Improving Schooling for Language-Minority Children