Journal of Research and Practice

NJRP Editorial Board
Editors-In-Chief
Virginia Gonzalez, Ph.D. & Josefina Villamil Tinajero, Ph.D.
Associate Professor, Coordinator Professor, Acting Dean
TESL Program Bilingual Education
Division of Teacher Education College of Education
College of Education University of Texas at El Paso
University of Cincinnati

Associate Editors
Evangeline Harris Stefanakis, Ed.D.
Program Associate
Programs in Professional education
Graduate School of Education
Harvard University
Applied Education/Action Research
Associate Editor

Liliana Minaya-Rowe, Ph.D.
Professor
University of Connecticut
Position Papers and Reflections
Associate Editor
Rafael Lara-Alecio, Ph.D.
Associate Professor
Bilingual Educational Programs
Department of Educational Psychology
College of Education
Texas A&M University

Martha M. Galloway, Ed.D.
Clinical Assistant Professor
Bilingual Educational Programs
Department of Educational Psychology
College of Education
Texas A&M University
Beverly Irby, Ph.D.
Associate Professor
Educational Leadership & Counseling
Sam Houston State University

Technical Assistance Associate Editors

NJRP Sections

The NABE Journal of Research & Practice (NJRP) has 3 sections for fulfilling its
goals.
The First is a Research Section, edited by Dr. Virginia Gonzalez (University of
Cincinnati) and Dr. Josefina Villamil Tinajero (University of Texas at El Paso).

The Second is an Applied Education/Action Research Section, Dr. Evangeline
Harris Stefanakis (Harvard University) assists as co-editor of this section.

The Third is a Position Papers and Reflections Section, Dr. Liliana Minaya-
Rowe (University of Connecticut) assists as co-editor of this section.
In addition, Dr. Beverly Irby (Sam Houston State University), Dr. Rafael Lara-
Alecio (Texas A&M University),and Dr. Martha Galloway (Texas A&M University)
offer support as Technical Assistant Co-Editors.

NJRP Expert Reviewers

Current Expert Reviewers are:
Dr. Theresa Austin, University of Massachusetts at Amherst
Dr. Kathryn Au, University of Hawaii
Dr. Gulbahar Beckett, University of Cincinnati
Dr. Jaime Castellano, School District of Palm Beach County (FL)
Dr. Virginia Collier, George Mason University
Dr. Robert DeVillar, The University of Texas at El Paso
Dr. Belinda Bustos Flores, University of Texas at San Antonio
Dr. Kathryn Lindholm, San Jose State University
Dr. Carlos Ovando, Indiana university
Dr. Yolanda Padron, University of Houston
Dr. Walter Secada, University of Winsconsin-Madison
Dr. Gisela Ernst-Slavit, The University of Washington, Vancouver
Dr. Patrick Smith, Universidad de las Americas Puebla
Dr. Evangeline Stefanakis, Harvard University
Dr. Samuel Stringfield, John Hopkins University
Dr. Lois Yamauchi, University of Hawaii
Dr. Thomas Yawkey, Pennsylvania State University

If you have an interest in participating as an Expert Reviewer please contact
Dr. Gonzalez at virginia.gonzalez@uc.edu.

NJRP Editorial Assistants

Carla Amaro, Graduate Student, TESL Program, Division of Teacher Education, College
of Education, University of Cincinnati

Martha Galloway, Clinical Assistant Professor, Bilingual Education Programs,
Department of Educational psychology, College of Education, Texas A&M University

NABE Journal of Research & Practice (NJRP)
Winter 2003 Volume 1 Number 1
CONTENTS

Editorial

Virginia Gonzlez & Josefina V. Tinajero...iii

Featured Articles

First Research Section

Five Standards and Student Achievement
R. William Doherty, R. Soleste Hilberg, America Pinal, & Roland G.
Tharp..1

Training Teachers of English Language Learners through Instructional Conversations: A
Metalogue
Abie L. Quiones-Benitez25

Personal and Professional Success in a Bilingual Teacher Training Project
Karen A. Carrier & James A Cohen.50

Dual Language Abilities of Bilingual Four-Year Olds: Initial Findings from the Early
Childhood Study of Language and Literacy Development of Spanish-speaking Children
Patton O. Tabors, Mariela M. Pez, & Lisa M. Lpez.70
Preventing Reading Failure for English Language Learners: Interventions for Struggling
First-Grade L2 Students
Iliana Alans, Judith Munter, & Josefina Villamil Tinajero.92

Second Applied Education/Action Research Section

Helping Middle and High School Age English Language Learners Achieve Academic
Success
Yvonne Freeman, David Freeman, & Sandra Mercuri110

The Relationship to Achievement on the California High School Exit Exam for Language
Minority Students
Paul A. Garca & Malati Gopal123

Third Position Papers and Reflections Section

Educating for Bilingualism in Mexican Transnational Communities
Patrick H. Smith & Natalia Martnez-Len......................................................138

Daring To Be: Identity, Healing, and Mentoring in Minority Scholars
Virginia Gonzlez & Carmen Mercado149

About the Authors........................................................................................................184

iii
Editors Introduction

It is with great joy that we launch the first volume of the NABE Journal of
Research & Practice (NJRP). Producing the first volume of the NJRP represents the
collaboration of a great team of colleagues working together to fulfill NABEs mission
and the mission of NABEs Research & Evaluation SIG, and to continue advancing the
area of bilingual education. This great team of colleagues is represented by the Associate
Editors, the Expert Reviewers, the support of colleagues in the NABE Board, and the
former Editor of the NABE Conference Journal, Dr. Lilliam Malave.
This First Volume represents also the effort of a great team of authors who
present their work in this inaugural first volume of the NJRP. As our mission attests
below, some of these authors are seasoned researchers and practitioners, and other
authors represent the new generation of scholars and professionals. All the authors
presented their work at NABE 02 National/International Conference and bring to this first
Volume of the NJRP valuable information and knowledge that advances our field of
bilingual education.
In this First Volume we present the mission of the NJRP, its goals, and a
description of the Editorial Board. We close by providing an overview of the articles
included in the First Volume of the NJRP.

Mission of the NJRP

Our mission is to use the NJRP as an outlet for disseminating high-quality
scholarly work of established as well as emerging investigators, who come from the
academic and applied educational professional arenas. Thus, our mission is twofold: (1)
to advance the field as well as inform practice by disseminating widely state-of-the-art
work presented by researchers and practitioners at every International/National
Conference of the NABE, and (2) to mentor the new generation of scholars and
professional leaders who can advance our research and practice in bilingual education.

Hence, it is our vision to use the NJRP to provide leadership and mentoring, and
as a publication outlet for disseminating information on bilingual education via the web.

Goals

1. To lead the bilingual research area with cutting-edge and state-of-the-art studies
presented at the NABE Conference each year, which generate new knowledge and
advance the field of bilingual education research. Currently, just the Research &
Evaluation SIG full-day and half Institute held at NABE Conference annually
brings more than thirty research-based presentations that would qualify as
submissions for the proposed journal.

2. To have established scholars publish their work as a means of providing direction
to the field of bilingual education (i.e., to incorporate major invited pieces
resulting from national research centers or regional research laboratory efforts).
In the First Section on Research emphasis and priority will be given to
theoretical and applied research studies that represent innovative conceptual and
philosophical perspectives, and that also implement innovative methodologies
(i.e., research designs, instruments, and data analysis procedures) to solve
traditional as well as contemporary theoretical and applied problems in bilingual
education.

3. To incorporate case study, position papers, or action research that come from
practitioners in the field of bilingual education. The Second Section on Applied
Education/Action Research encourages practitioners to publish studies
implementing research methodologies in their own classrooms or school districts
(e.g., teacher-based research, evaluation studies conducted on the implementation
of bilingual education federal and state grants).

4. To develop a special section for reflections of experiences of bilingual
researchers, practitioners, and public school and higher education students. The
Third Section on Position Papers and Reflections encourages the discussion of
non-traditional topics (e.g., the status of ethnic minority scholars in academia,
advocacy and mentoring needed for language-minority students and their
families). The purpose of these reflection pieces is to give an insightful self-
account of the experiences of ethnic-minority students scholars, and educators for
readers to learn vicariously from them as role models and advocates.

5. To use the NJRP for mentoring junior scholars (graduate students and assistant
professors) within the academic setting to develop professionally with the
assistance of established scholars. The NJRP is committed to promote the
publication of guidelines for developing high quality dissertation research
proposals and completed studies, and also some guidelines for university-based
efforts to mentor doctoral students in bilingual education (especially the ones with
a minority background) through a successful program completion.

6. To develop special sections of interest (with the possible help of guest editors
who represent these fields) for the academic, policy, and professional arenas that
can shape and help establish new areas (e.g., gifted and special bilingual
education, early childhood bilingual education, action research in the bilingual
classroom) as well as advance more established areas (e.g., teacher preparation in
bilingual education).

7. To establish an on-line outlet that publishes an annual archival record of NABE
conference presentations in order to offer bilingual educators a faster way to
access state-of-the-art products in the field. The NJRP offers a web-site that is
linked to the University of Cincinnati, Texas A&M University, and the NABE
iv

web page. We are working on negotiations with a publisher to create a paper
version of the NJRP.

Editorial Board

A carefully selected group of scholars with proven research and publication
records is been actively recruited to serve as an Expert Reviewers, to conduct a critical
and constructive peer review process. Many of these scholars already have extensive
experience as editors of journals, or members of editorial boards of other prestigious
journals, or editors of research volumes.

These scholars represent NABE membership and interests across several
constituencies: (1) the most important state and private universities in the US (Canada
and at the international level) that have bilingual programs; (2) regional research
laboratories and national research centers; (3) public education institutions such as state
education agencies and public school districts; (4) diverse geographic regions in the US,
and (3) diverse areas of interest and expertise in the field of bilingual education in terms
of content areas as well as in research methodologies.

In addition, Expert Reviewers are asked to make a time commitment for
complying with strict manuscript review deadlines. We also plan to invite ad hoc
reviewers when we are experiencing either an overflow of manuscripts, need to meet
strict deadlines, or need reviewers with very specific interests and areas of expertise.

Overview of Articles in the First Volume of the NJRP

The First Research Section is opened by our featured article written by R.
William Doherty, R. Soleste Hilberg, America Pinal, and Roland G. Tharp. This articles
is entitled Five Standards and Student Achievement. This same topic of standards and
student achievement is also investigated by Abie L. Quinones-Benitez in her article
entitledTraining Teachers of English Language Learners through Instructional
Conversations: A Metalogue. This research was based on Dr. Quinones-Benitezs
dissertation work, which won her a Dissertation Award from the Bilingual Education
Research Special Interest Group (SIG) of the American Educational Research
Association (AERA) in 2002. The third article is authored by Karen A. Carrier and
James A Cohen, and is entitled Personal and Professional Success in a Bilingual Teacher
Training Project. This article continues with the discussion of teachers training and
professional development issues in relation to academic achievement in bilingual
students.

The fourth and fifth articles in the First research Section deal with language
development in bilingual young children. The fourth article is entitled Dual Language
Abilities of Bilingual Four-Year Olds: Initial Findings from the Early Childhood Study
of Language and Literacy Development of Spanish-speaking Children and is authored
by Patton O. Tabors, Mariela M. Pez, and Lisa M. Lpez. The fifth article entitled
Preventing Reading Failure for English Language Learners: Interventions for Struggling
v

vi
First-Grade L2 Students is co-authored by Iliana Alans, Judith Munter, and Josefina
Villamil Tinajero. They both do justice to alternative views on language development and
assessment in young English language learners.

The Second Section on Applied Education/Action Research presents two
articles featuring the topic of academic achievement in English language learners. The
first one co-authored by Yvonne Freeman, David Freeman, and Sandra Mercuri, entitled
Helping Middle and High School Age English Language Learners Achieve Academic
Success. The second article presented by Paul A. Garcia and Malati Gopal,is entitled
The Relationship to Achievement on the California High School Exit Exam for
Language Minority Students. These two articles bring a qualitative and a statistical
analysis of the same problem of academic achievement, showing how practitioners can
contribute to alternative views of supporting English language learners success.

The Third Position Papers and Reflections Section brings two articles centering
on identity issues in language-minority individuals. The first one deals with young
English language learners and their families, presented by Patrick H. Smith and Natalia
Martnez-Len, which is entitled Educating for Bilingualism in Mexican Transnational
Communities. The second article is co-authored by Virginia Gonzalez and Carmen
Mercado, and is entitled Daring To Be: Identity, Healing, and Mentoring in Minority
Scholars. Together these two articles present a complementary vision of how ethnic
minority individuals go through an important process of identity development, which is
associated with their personal experiences of being bicultural and bilingual.

Thus, all nine articles bring a multidimensional vision to bilingual education,
from the complementary perspectives of basic, applied, and practical research. Together
they help advance our knowledge base in the area of bilingual education.

Happy readings!

Virginia Gonzlez and Josefina V. Tinajero
Co-editors
January 2003


R. William Doherty, R. Soleste Hilberg, America Pinal, and Roland G. Tharp
University of California, Santa Cruz

Abstract

Two studies examine the influence of the Standards for
Effective Pedagogy on student achievement gains. Participants
were 15 teachers and 266 students (grades 3 to 5) in a public
elementary school serving predominantly low-income Latino
English Language Learners (ELLs). Study 1 found that higher
use of the standards by teachers reliably predicted student
achievement gains on SAT-9 tests of comprehension, reading,
spelling, and vocabulary. Further analysis found teachers' use of
the standards reliably predicted gains in English language
achievement when English was the language of instruction.
Study 2 found that achievement gains in comprehension,
reading, spelling, and vocabulary were greatest for students
whose teachers had transformed both their pedagogy and the
organization of instructional activities as specified by the
Standards for Effective Pedagogy model. These teachers used
the standards extensively, both directly at the teacher center and
indirectly through multiple, simultaneous, diversified learning
activities. Implications for teaching practice and research are
discussed.


Tharp and his colleagues (Tharp, Estrada, Dalton, & Yamauchi, 2000) have
identified five teaching standards, the Standards for Effective Pedagogy, that are critical
for improving learning outcomes for all students, and especially those at risk of academic
failure due to cultural, linguistic, or economic factors. The first standard is to facilitate
learning through joint productive activity in which teachers and students work together
on a common product or goal and have opportunities to converse about their work. The
second standard is to develop language and literacy across the curriculum; that is,
develop competence in the language and literacy of instruction and in the academic
disciplines through extended reading, writing, and speaking activities. The third standard
is to contextualize instruction in the experiences and skills of students' homes and
communities. The fourth standard is teaching complex thinking through challenging
activities requiring the application of content knowledge to achieve an academic goal,
with clear standards and systematic feedback on performance. The fifth standard is to
teach dialogically using planned, goal-directed instructional conversations between a
teacher and a small group of students. This study reports on the relationship between
Winter 2003 NABE Journal of Research and Practice 1
teachers' use of these standards and students' language arts achievement gains in a school
serving predominantly low-income Latino English Language Learners (ELLs).
Grounded in a sociocultural perspective of teaching and learning, the Standards
for Effective Pedagogy (Five Standards) are the essential elements of the theory of
teaching and learning first proposed by Tharp and Gallimore (1988) and later more fully
elaborated by Tharp et al. (2000) in Teaching Transformed: Achieving Excellence,
Fairness, Inclusion and Harmony (see also Tharp, 1994, 1997; Tharp, Dalton, &
Yamauchi, 1994), but some clarifications are necessary here. First, these pedagogy
standards are not intended to reflect the full spectrum of complex tasks that comprise
teaching; rather, they represent guiding principles for instructional activities that promote
active, effective student learning and that must be adapted to varying contexts and
diverse student needs. Second, these standards do not stand in opposition to small-group
direct instruction. Tharp and Gallimore used the terms direct and effective
interchangeably in their report on reading comprehension in the Kamehameha Early
Education Program (Tharp, 1982). Third, we do not propose these standards should be
used to the exclusion of other strategies: In fact, our data suggests that teachers who use
the standards at higher rates are more likely, not less, to use a variety of other effective
teaching strategies (Doherty & Pinal, 2002). Finally, the terms transformed and
untransformed are used here for the dual purposes of (a) denoting the pedagogy and
classroom organization proposed by Tharp et al., and (b) differentiating teachers' use of
these theoretically essential elements of effective teaching and learning. Transformed
pedagogy denotes instruction based on the Five Standards; transformed organization
denotes the use of multiple, simultaneous, diversified activity settings. No connotations
outside this theoretical framework are intended.
The Five Standards are the result of three decades of research across cultural,
linguistic, and economic contexts. This line of research began with the Kamehameha
Elementary Education Program (KEEP), a program for at-risk K-3 Native Hawaiian
students that operated from 1970 through 1988 with fidelity to its original self-
description. Numerous publications have described that program (e.g., Au et al., 1986;
Au & Jordan, 1981; Calkins et al., 1989; Tharp, 1982; Tharp et al., 1984). After
reorganizing KEEP classrooms into peer-oriented small-group activity settings, students
in the program evidenced significant improvement in reading achievement (Tharp, 1982)
and higher rates of industriousness (Antill & Tharp, 1974), on-task behavior, and peer-
directed cooperative behavior toward school-related goals (Tharp & Gallimore, 1988).
Through many years of upscaling into fifteen multicultural public schools in Hawaii,
evaluation results remained above non-KEEP programs academic achievement and these
effects continued until the program was formally terminated in 1997 after expansion
pressures and reduction of resources eroded fidelity to the initial model (Calkins et al.,
1989; Gallimore, Tharp, Sloat, Klein, & Troy, 1982; Klein, 1988; Klein & Calkins, 1988;
Tharp, 1982; Yap, Estes, & Nickel, 1988).
The KEEP model was extended into Rough Rock Elementary School (Navajo) in
Arizona in 1984 (Jordan, 1995; Vogt, Jordan, & Tharp, 1992), and a program
"naturalized" in the Navajo locale took root (Begay et al., 1995; Dick, Estell, & McCarty,
1994; Sells, 1994). Its operations are fully congruent with the pedagogy and organization
proposed by Tharp et al. (2000), and literacy in both English and Navajo are significantly
higher than in comparison groups.
NJRP, 1:1 Winter 2003 2

Key elements of the KEEP model and the Five Standards have also been extended
to the schooling of American Indian groups from Alaska (Barnhardt, 1982; Blum, 1998,
n.d.; Demmert, 1994, 2001; Lipka, 1986, 1990, 1994; Preston, 1991; Scollon, 1981;
Swisher & Deyhle, 1987) to the American Southwest (Hilberg, Tharp, & DeGeest, 2000;
Hilberg, Doherty, Epaloose, & Tharp, 2001; Jordan, 1995; Jordan, Tharp, & Vogt, 1985;
Yamauchi & Tharp, 1995), and low income populations such as Latinos (Padron &
Waxman, 1999; Waxman, Huang, Anderson, & Weinstein, 1997; Waxman & Huang,
1997; Waxman, Huang, & Padron, 1995) and Appalachians (McIntyre, Kyle, Hovda, &
Stone, 1999; McIntyre, Rosebery, & Gonzalez, 2001; McIntyre & Stone, 1998).

The Standards for Effective Pedagogy and Student Outcomes

There is growing support for the theory of teaching and learning proposed by
Tharp and his colleagues (2000). Consistent findings from correlational, quasi-
experimental, and true experimental designs have documented a systematic relationship
between use of the Five Standards and a broad range of affective, behavioral, and
cognitive indicators of improved student performance.
In classrooms of largely Latino ELL students in which the Five Standards were
used moderately or only slightly, students spent more time on-task, perceived greater
cohesion in the classroom, and perceived themselves as better readers having less
difficulty with their work than students in classrooms where the standards were not used
at all (Padron & Waxman, 1999). Estrada (2000) found that teachers' use of the standards
in literacy instruction was related to higher reading and language scores on the SABE for
first graders, and SAT-9 language scores for fourth graders. Doherty and Pinal (2002)
found that teachers' use of joint productive activity (JPA) during language arts instruction
reliably predicted students' self-reported use of effective cognitive reading strategies,
which in turn predicted achievement gains on standardized tests of comprehension. This
study also found a direct relationship between teachers' use of JPA and student gains.
In a quasi-experimental design randomly assigning groups of eighth-grade
American Indian students to either Transformed (Five Standards) or Traditional (Whole
Class) mathematics instruction, Hilberg, Tharp and DeGeest (2000) found that students
in the Transformed classes reported improved attitudes toward mathematics. They also
evidenced more conceptual learning on tests at the end of the math unit and higher
retention of unit content two weeks later.
In a series of true experimental designs, Saunders and Goldenberg (in press)
found that students with varying levels of English proficiency taught using instructional
conversation (IC) demonstrated greater understanding of story theme than students taught
using direct instruction, although both groups demonstrated equivalent levels of literal
comprehension. Students taught using both IC and contextualization showed significantly
better reading comprehension and thematic understanding than students taught using
either IC or contextualization separately (Saunders & Goldenberg, 1999).

3 Doherty et al / Five Standards and Student Achievement
Theoretical Bases for Effectiveness

The Five Standards are based on sociocultural tenets (Tharp & Gallimore, 1988)
that learning occurs best when (a) teachers and students work together on a common task
or goal and have opportunities to converse during collaboration, (b) instructional
activities are meaningfully connected to students' prior experience and knowledge; and
(c) instruction occurs within the learner's zone of proximal development (ZPD), defined
by Vygotsky (1978) as " . . . the difference between the actual developmental level as
determined by independent problem solving and the level of potential development as
determined through problem solving under adult guidance or in collaboration with more
capable peers." From this perspective, teaching is assisting student performance with the
goal of increasing that which students can do unassisted by the teacher; learning
represents improved performance, or movement through the ZPD toward increased
competence and autonomy (Tharp et al., 2000; Tharp & Gallimore, 1988).
The effectiveness of the Five Standards in teaching and learning can also be
explained by decades of research in cognitive science. Wittrock (1978) favored a focus
on how teaching style influences learners' attention, motivation, and understanding,
which in turn influence student performance, rather than on how teaching style directly
influences student performance. Central to this discussion is how teachers' use of the Five
Standards promotes student elaboration -- the process of forming associations between
new information and prior knowledge (Dansereau, 1988; Wittrock, 1978, 1986).
One line of research in cognitive psychology has established that context
influences both the encoding and retrieval of information from long-term memory
(Baddeley, 1990). Context facilitates encoding by organizing new information in a
meaningful manner (Dodd & White, 1980; Schvaneveldt & McDonald, 1981), and
features of the context encoded with the new information serve as cues that facilitate
recall by priming associated memory structures (Baddeley, 1990; Dansereau, 1988;
Howes, 1990). Memory performance will be greatest when there is a good match
between the context in which information is encoded and the context in which it is
retrieved (Tulving, 1983; Tulving & Thompson, 1971). A second line of research has
shown that new information encoded using elaborative strategies is better retained and
retrieved than when encoding involves rehearsal (Howes, 1990). Although learning can
result simply by maintaining new material in short-term memory (Kolors & Brison,
1984), elaboration is more effective than rehearsal because it directly transfers new
information from short-term to long-term memory. A single elaboration may result in
learning; a single rehearsal is unlikely to do so. A third line of research has shown that
the extent and type of processing used to encode new information influences memory
performance. Processing that focuses on conceptual features such as its meaning,
personal and social relevance, or relationship to prior knowledge and experience
facilitates encoding, storage, and recall of new information and produces more durable
memory (Craik & Lockhart, 1972; Lockhart & Craik, 1990).
Integrating these three lines of research, learning may be defined as associating
new information with prior knowledge (Baddeley, 1990; Lockhart & Craik, 1990). For
learning to occur, relevant prior knowledge in long-term memory must be activated and
the new information must undergo some form of processing. Processing that involves
elaborative strategies focusing on conceptual characteristics of the new material improves

learning. Also, the richer the associations made between the new and the known, the
more likely the new material will be retained and recalled (Baddeley, 1990; Lockhart &
Craik, 1990). As Howes (1990) states, an extended body of elaborated, meaningful
material is more easily encoded and retrieved than an extended body of unrelated
elements.
A cognitive elaboration perspective of teaching and learning may serve to bridge
the divisions between cognitive and sociocultural theorists. For example, Wittrock (1978)
viewed learning from instruction as a generative process in which learners play an active,
constructive role in forming associations between the new information and prior
knowledge. From this point of view, effective instruction facilitates the learners' ability to
construct meaning from experience, and the teachers' role is "to design different
treatments for different students in different situations to actively induce mental
elaborations that relate previous learning and schemata to stimuli" (p. 1). Tharp and
Gallimore (1988) define teaching as assisting the performance of learners. Learning,
then, is a collaborative process in which both teacher and learner play an active,
constructive role. The teacher's role is to (a) design challenging learning activities that
generate associations between the new information and students' prior knowledge from
home, school, and community, and (b) to use the Five Standards to promote, guide, and
sustain students' cognitive elaborations. For example, joint productive activities require
sufficient elaboration of the new material to complete the task or achieve the goal of the
learning activity. Contextualization makes new information more meaningful and, by
activating students' prior knowledge, facilitates the forming of associations between the
new and the known. Instructional conversations give the teacher a great deal of control
over the extent and type of processing students use.
A highly abstracted Five Standards instructional model consists of a teacher and a
small group of students having an instructional conversation while collaborating on a
cognitively challenging activity contextualized in students' personal, social, or cultural
knowledge and experience. Other students engage in multiple, diverse activities
occurring simultaneously. The overarching goals of instruction are to foster complex
thinking by all students, and language and literacy development in the language of
instruction as well as in the content domains. The latter is especially important for
diverse students and English Language Learners.
A more concrete example of this model can be drawn using instructional units
developed in an American Indian school using the Five Standards to guide their reform
efforts. An eighth-grade teacher team developed a thematic unit on current issues
affecting the community. Tribal leaders were invited to speak to students at an assembly,
after which teachers created subject area units related to the issues presented. In
mathematics, students collaborated in small groups to generate and administer surveys on
students' attitudes about school. The data from the surveys served as the basis for a unit
on fractions, decimals, and percents. The survey results were later presented in multiple
representations, such as pie charts, graphs, and frequency distributions, and used in
student presentations and letters to the tribal council. This unit encouraged students to
investigate the world around them, organize their thoughts and actions, and use
mathematical concepts to communicate their ideas and knowledge. Mathematical
principles that may have seemed of little practical value became tools for communicating
personal concerns and influencing their world. In science, students focused on the issue
of local water quality. Collaborating in small groups with the teacher, they sampled local
water sources, including water from fountains in the school and bottled water. By
examining the water samples for their chemical content and pollutants, the periodic table,
once simply a poster on their science classroom wall, became a lens for looking at their
school, homes, community, and the world in an academically engaging and challenging
way.
Contextualizing instruction by situating new information in meaningful contexts
activates students' prior knowledge, making it more available for association with new
information. This is, of course, in stark contrast to presenting new material in an
atomistic, decontextualized, drill-like manner in which facts are presented in isolation.
Contextualizing new information in students' everyday lives not only makes it more
relevant and meaningful during encoding, linking schooled and everyday concepts makes
the schooled concepts more readily retrieved in and pertinent to students' daily lives
(Tharp & Gallimore, 1988).
Effective joint productive activities generate associations between the new and
the known and provide a rich context for conceptual processing. For example, new
information must be sufficiently elaborated to accomplish the task or achieve the goal of
the learning activity. When both goals and feedback are present in an activity, self-
evaluative mechanisms may generate elaborations such as planning (goal-setting and the
allocation of resources prior to learning), information management strategies (organizing
or summarizing), comprehension monitoring (assessment of one's learning or use of
strategies), and evaluation (analyzing learning and strategies after the learning episode)
to modify performance to greater accordance with the goals (Bandura & Cervone, 1983;
Bandura & Schunk, 1981; Schraw & Sperling-Dennison, 1994). Joint productive
activities also provide opportunities for the teacher to model his/her language, thinking,
and problem-solving strategies. Modeling is widely acknowledged as one of the most
powerful forms of teaching (Bandura, 1977, 1986), and its role in assisting the
performance of learners has been discussed from a cognitive-behavioral perspective by
Tharp and Gallimore (Gallimore & Tharp, 1995; Tharp & Gallimore, 1988). The
articulation of problem-solving strategies by a more experienced person increases
learners' performance on subsequent attempts compared to non-modeled trial-and-error
learning (Goncii & Rogoff, 1998). By observing others, one forms rules of behavior that
subsequently serve as a guide for action and, because people can learn through modeling
before they perform any behavior themselves, they are spared the costs of faulty effort
(Bandura, 1986). Modeling requisite skills increases students' understanding of verbal
and conceptual explanations, thus increasing the potential for learning (Yamauchi &
Tharp, 1995). This may be especially useful for assisting English Language Learners who
may not fully understand what is being said in the classroom.
Instructional conversations during joint productive activity can prime students'
prior knowledge, making it more accessible for associations with new information, and
thereby assisting the integration of new material into long-term memory. Instructional
conversations are academic, goal-directed discussions between a teacher and a small
group of students. The teacher's role is to facilitate the active construction of students'
mental and verbal elaborations, listen attentively, and assess and assist student
understanding (Wittrock, 1978). By questioning students on their views, judgments, and
rationales, as well as their experience, attitudes, values, and beliefs in relation to

academic concepts, the teacher is able to activate a broad range of cognitive and affective
content in long-term memory. The IC allows the teacher to extend students' cognitive and
verbal elaborations, assist them in their association-making efforts, and regulate the type
of processing (i.e., conceptual) students apply to the new information.
If teachers' use of the Five Standards influences student cognition, which in turn
influences student learning, then a direct relationship between use of the standards and
student performance would be expected. There is some research evidence of this
relationship. Doherty and Pinal (2002) found that teachers' use of the Five Standards
during language arts instruction for primarily Latino ELL students reliably predicted
students' self-reported use of effective comprehension strategies, and students' self-
reported use of effective comprehension strategies reliably predicted their achievement
gains on standardized comprehension tests (SAT-9). Teachers' use of the standards also
predicted gains in students' comprehension achievement directly. This study examined
the relationship between teachers' use of the standards and student achievement across a
broader range of learning measures. Our specific hypothesis was that higher
implementation of the standards during language arts instruction, as indicated by ratings
of teachers' use of the Five Standards, would predict greater achievement gains on end-
of-year standardized tests of comprehension, language, reading, spelling, and vocabulary.

Method

Participants
Participants were 15 teachers (2 men, 13 women) and 266 students (137 boys, 129
girls) in a public elementary school in Central California. Situated in a rural area, the
school serves a community of predominantly low-income Hispanic families: 90% of
students in the school are Hispanic, 78% receive free or reduced-price lunch, 68% are
limited English proficient, and 38% are from migrant families. The school ranked in the
second decile statewide on standardized test scores the previous year. Seven teachers in
the sample taught third grade, and eight taught combined fourth- and fifth-grade classes.
Teachers' years of experience ranged from 1 to 26 (M = 6.01, SD = 5.42). Of the
students, 82 were in third grade (31%), 101 were in fourth grade (38%), and 83 were in
fifth grade (31%).

Measures
The standards performance continuum (SPC).
The SPC (Doherty, Hilberg, Epaloose, & Tharp, 2002) is a five-point rubric
measuring teachers' performance of the Five Standards. Levels of standards performance
are: Not Observed the standard is not present; Emerging elements of the standard are
implemented; Developing the standard is partially implemented; Enacting the
standard is fully implemented; and Integrating at least three standards are implemented
simultaneously in a single instructional activity (all Enacting level ratings in the same
activity then become Integrating). In addition to individual subscale scores (range = 0
4), each teacher receives a SPC Total score, found by summing across subscales. Inter-
coder agreement for SPC Total scores in this study was .91 (Kendall's W).

English language proficiency (ELP).
All students in the school district are rated as either English-speaking, Fully
English Proficient, or Limited English Proficient. Due to a highly transient student
population, 43% of students' ELP data were unavailable. Of the 151 students with ELP
data 19% were English-speaking, 11% Fully English Proficient, and 70% Limited
English Proficient. To serve the needs of students with varying levels of English
proficiency, the school provides three modes of instruction: English Only (EO),
Structured English Instruction (SEI), and Bilingual (BIL; 28%, 18%, and 54%,
respectively). With 43% of ELP data missing, and a Spearman's rank-order correlation
coefficient of .80 (150; p < .001) between ELP and mode of instruction, mode of
instruction was used as the most reasonable indicator of students' English proficiency.

Procedures
SPC data were gathered through live observations over the course of one semester by a
pair of trained observers. Two 45-minute observations of language arts instruction were
made of each teacher. Observations were separated by approximately seven weeks.

Results

Study 1

The outcome measures in this study were six indicators of student achievement
estimated by year-end SAT-9 subtest scores: Comprehension, Language, Reading,
Spelling, Vocabulary, and Overall NCE, found by averaging across all subtests. To
control for the tendency of scores to regress to the mean on repeated measures of parallel
tests (Soar, 1978), estimated gain scores (EGS) were computed for each SAT-9 subtest.
The EGS were found by subtracting students' predicted scores, based on their prior year's
test performance, from observed scores on each subtest. The independent variables were
teachers' years of K-12 teaching experience (Teacher Experience), students' grade level
(Grade) and language proficiency (Mode), and teachers' SPC Total scores averaged
across the two observations. Preliminary analyses found teachers' SPC Total scores
ranged from 4.00 to 16.50 with a mean of 10.11 and standard deviation of 2.55.
Nonparametric tests (Kruskal-Wallis) found differences in SPC Total scores in third-
grade classes (M = 9.09, SD = 2.42) and combined fourth- and fifth-grade classes (M =
10.59, SD = 2.46) did not differ significantly,
2
(2) = 1.71 (p = .43); SPC Total scores
did differ significantly between modes of instruction,
2
(2) = 57.14 (p < .001). Teachers
in SEI classrooms had the highest SPC Total scores, followed by those in EO and
Bilingual classes (Ms = 10.91, 10.08, and 9.81; SDs = .37, 1.43, and 3.33, respectively).
SPC Total scores were negatively correlated with teachers' years of experience, r (14) = -
.66 (p = .02). SPC subscale inter-correlations ranged from .15 to .82 (see Table 1).

Table 1
Inter-correlations of SAT-9 Subtests
Variable Comprehension Language Reading Spelling Vocabular Overall
NCE
Comprehension 1.00
Language .25* 1.00
Reading .69* .33* 1.00
Spelling .29* .29* .28* 1.00
Vocabulary .15* .32* .63* .25* 1.00
Overall NCE .65* .66* .82* .63* .69* 1.00
Note. * = p < .05.

SPC Total scores are ordinal data and not likely to be normally distributed
(Harwell & Gatti, 2001). Inspection of the scatterplot found that indeed SPC Total scores
were positively skewed. A square root transformation was used to make the distribution
more normal (Tabachnick & Fidell, 1989).
To estimate the contribution of SPC Total scores to the prediction of student
achievement, --above that afforded by factors such as grade level, language ability, or
teacher experience -- hierarchical regression analyses were run on each of the dependent
variables. In the first step, Teacher Experience was entered in the model. In the second
step, Grade and Mode were entered. Transformed SPC Total scores were entered in the
final step. Table 2 presents the standardized regression coefficient () and t-test of its
significance for each variable at the step entered, and the multiple correlation coefficient
(R), R2, degrees of freedom, and F statistic for each model tested.

Table 2
Hierarchical Analysis of SAT-9 Subtests
Variable
t
R R
2
df F
Comprehension
Teacher Experience -.006 -.10* .01 .00 1, 264 *.010
Grade -.030 -.44* -- -- -- --
Mode -.134 -2.17* .14 .02 3, 262 1.660
SPC Total .223 2.45* .20 .04 4, 261 2.77*
Language
Grade -.214 -3.12* -- -- -- --
Mode -.070 -1.14* .21 .04 3, 262 3.93*
SPC Total .050 .56* .21 .04 4, 261 3.02*
Reading
Grade .054 .77* -- -- -- --
Mode -.099 -1.60* .12 .02 3, 262 1.340
SPC Total .258 2.85* .21 .05 4, 261 3.06*
Spelling
Teacher Experience .069 1.13* .07 .01 1, 264 1.280
Grade -.008 -.11* -- -- -- --
Mode -.151 -2.47* .17 .03 3, 262 2.470
SPC Total .290 3.24* .26 .07 4, 261 4.54*
Vocabulary
Grade .126 1.81* -- -- -- --
Mode -.045 -.73* .12 .01 3, 262 1.250
SPC Total .177 1.94* .17 .03 4, 261 1.890
Overall NCE
Grade -.025 -.36* -- -- -- --
Mode -.143 -2.32* .15 .02 3, 262 1.870
SPC Total .286 3.17* .24 .06 4, 261 3.97*
Instruction in English
Language
Teacher Experience .121 1.34* .12 .02 1, 120 1.800
Grade -.249 -2.53* .26 .07 2, 119 4.15*
SPC Total .208 2.29* .32 .11 3, 118 4.62*
Vocabulary
Teacher Experience .114 1.25* .11 .01 1, 120 1.57*
Grade -.012 -.12* .11 .01 2, 119 *.79*
SPC Total .243 2.61* .26 .07 3, 118 2.82*
Instruction in Spanish
Language
Teacher Experience -.069 -.82* .07 .01 1, 141 .68
Grade -.171 -1.75* .16 .03 2, 140 1.870
SPC Total -.136 -.87* .18 .03 3, 139 1.500
Vocabulary
Teacher Experience -.019 -.22* .02 .00 1, 141 .05
Grade .285 2.97* .24 .06 2, 140 4.43*
SPC Total .045 .29* .24 .06 3, 139 2.96*
Note. * = p < .05.


Overall NCE
After step 1, with Teacher Experience in the equation, R
2
= .00, F
inc
(1, 264) =
.03, p = .87. After step 2, with Grade and Mode added to the equation, R
2
= .02, F
inc
= (3,
262) = 1.87, p = .14. After step 3, with transformed SPC Total scores added to the
equation, R
2
= .06, F
inc
(4, 261) = 3.97, p = .004. The addition of transformed SPC Total
scores resulted in a significant increase in R
2
of .04 (p = .002) above the variance
accounted for by Grade and Mode.
The effects of our independent variables on students' Overall NCE gain scores
typified the pattern of effects on the Comprehension, Reading, Spelling, and Vocabulary
gain scores. As shown in Table 2, Teacher Experience was not a reliable predictor of
achievement gains on any test. Grade and Mode combined only accounted for a
significant portion of variance on the Language gain scores. Even on Vocabulary gain
scores, on which the final model was not significant, the t-test for transformed SPC Total
scores was significant (p = .05).
We then repeated the preceding analyses using the untransformed SPC Total
scores. The only result that differed significantly was for the Vocabulary subtest:
although the standardized coefficient did not change, the p-value increased from .05 to
.10.
The null and marginal effects of transformed SPC Total scores on the Language
and Vocabulary subtests, respectively, were other than predicted and attenuate the
contention that teachers' use of the standards fosters English language development by
English Language Learners. It is possible that (a) the theory proposed by Tharp et al.
(2000) is not valid, or that (b) the SPC does not validly predict student achievement.
Another possibility is that the language of instruction is an intervening variable: the
language of instruction differentially affects student performance on tests of English
language and vocabulary achievement. To test the latter possibility, we removed Mode of
Instruction from the model and collapsed this three-level categorical variable (English
Only, Structured English Instruction, and Bilingual) into a dichotomous variable:
Instruction in English vs. Instruction in Spanish. Although some instruction occurred in
English in the latter category, both teacher and student talk were primarily in Spanish.
We then ran hierarchical regression models containing Teacher Experience, Grade, and
the transformed SPC Total scores on the Language and Vocabulary subtests separately
for Instruction in English and Instruction in Spanish. The results of these analyses
(presented in the lower portion of Table 2) show that, for students instructed in English,
SPC Total scores reliably predicted their achievement gains in both Language and
Vocabulary. The proportion of variance accounted for by SPC Total scores, above that
accounted for by Teacher Experience and Grade, in both tests was significant: an
additional 4% for Language and 5% for Vocabulary. Conversely, for students taught
primarily in Spanish, teachers' use of the standards was unrelated to their performance on
tests that measure English language and vocabulary achievement.

Study 2

This study examined the influence on student learning of both the pedagogy and
organization proposed by Tharp et al. (2000). The transformed organizational model
consists of multiple, simultaneous, diversified activity settings organized around inter-
related learning tasks. Tharp et al. define activity settings as the organizational structures
in which children engage, and the language and problem solving that accompany them"
(p. 46). A constant feature in this model is the teacher center, "Center One," to which
small, homogeneous groups of students regularly rotate, enabling the teacher to more
responsively assess and assist students language and literacy development, contextualize
new information, and establish and maintain appropriately challenging instruction.
Students not with the teacher are engaged in meaningful learning activities in
heterogeneous groupings. This organization is held as a necessary condition for
supporting the full implementation of the proposed pedagogy. For example, neither joint
productive activity nor instructional conversation --the features fundamental to this
model -- can be fully implemented in a whole-class setting.
Multiple, diversified learning activities based on the Five Standards that generate
connections between new information and students' prior knowledge should provide
multiple, differentiated modes of elaborating new information and, consequently,
improve learning (Wittrock, 1978). Conceptualizing pedagogy and organization as two
dimensions ranging from "untransformed" to "transformed" might be useful for capturing
differential effects on student learning associated with variations in pedagogy and
organization. This approach produced the following 2 x 2 taxonomy of transformed
teaching:

Untransformed Organization/Untransformed Pedagogy (UO/UP)
At this level, teachers employ whole-class organization and use of the standards is
limited.
Untransformed Organization/Transformed Pedagogy (UO/TP)
Teachers employ whole-class organization and use the standards as extensively as
this organization allows.
Transformed Organization/Untransformed Pedagogy (TO/UP)
Teachers use simultaneous, multiple, diversified activity settings, but use of the
standards is limited.
Transformed Organization/Transformed Pedagogy (TO/TP)
Teachers use simultaneous, multiple, diversified activity settings and use of the
standards is extensive.

The hypotheses tested in this study were: (1) the proposed taxonomy could be
mathematically derived from quantitative data on pedagogy and organization, and (2)
student achievement gains would be greater for students whose teachers had transformed
both their pedagogy and organization than for students whose teachers had not similarly
transformed their teaching.


Method

Procedure and Measures
The data for Studies 1 and 2 were gathered concurrently from the same sample by
two trained observers. While one observer used the SPC to assess implementation of the
standards following the procedures reported in Study 1, the second observer used the
SPC MAP, a modified version of the SPC, to separately assess (a) teachers' direct use of
the standards at Center One, and (b) teachers' indirect use of the standards at each
activity setting observed.
Prior to scoring with the SPC MAP, a quick assessment must be made of each
activity setting in terms of its generativity (i.e., the degree to which the activity promotes
conceptual processing). For example, activities that generate extended reading, writing,
or discourse related to academic topics are ranked higher than activity settings relying on
rehearsal (e.g., worksheets) or that generate perceptual processing of information (e.g.,
listening to recorded books), and activities that are recreational or social (e.g., games,
puzzles, or free play). Although useful in promoting socioemotional, language, and
cognitive development, these activity settings are ranked lowest. Unplanned, non-
academic, transitory activity settings spontaneously formed by students are neither
ranked nor scored. When the initial ranking is completed, scoring begins with Center One
and proceeds through the activity settings in descending rank order. This scoring
procedure is used to produce a data set denoting activity settings of decreasing
generativity for subsequent statistical analysis to identify groups of teachers similar in
their pedagogy and organization. After initial ratings are made, all activity settings are
monitored for the remainder of the observation period, and scores are modified as
necessary.

Results

To test our first hypothesis that taxonomy of transformed teaching could be
generated representing the four variations of pedagogy and organization, the scores for
each of the five standards at each activity setting were summed to form new variables.
With one teacher using nine activity settings in one observation, nine variables were
created (AS1 through AS9) to form a rectangular matrix for cluster analysis. If a teacher
had only one activity setting during the observation, AS2 through AS9 were all zero; if a
teacher had two activity settings, AS3 through AS9 were zero, and so forth. The rank
data were then converted to distances, and a four-cluster solution was specified in
hierarchical cluster analysis using Ward's method (metric = squared Euclidean distance).
Table 3 presents the means for all activity settings for each cluster of teachers. Although
the number of activity settings and their corresponding means were less than ideal, the
solution provided a reasonable approximation of the proposed taxonomy.

Table 3
Activity Setting (AS) Means for Four- and Three-cluster Solutions
AS1 AS2 AS3 AS4 AS5
Teacher
Group
M SD M SD M SD M SD M SD
Four Clusters
UO/UP
1
6.40 0.89 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00
UO/TP
2
10.40 2.17 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00
TO/UP
3
7.00 3.26 5.18 1.78 3.18 1.83 2.54 2.66 1.27 1.85
TO/TP
4
11.00 3.08 8.80 1.79 7.60 2.30 1.80 1.48 0.80 1.79
Three Clusters
UO/TP 9.07 2.66 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00
TO/UP 6.22 3.07 4.66 1.50 3.89 1.05 3.11 2.62 1.56 1.94
TO/TP 10.63 2.45 8.38 1.51 6.00 4.17 2.00 2.45 1.63 3.29

Note.
1
Untransformed Organization/Untransformed Pedagogy;
2
Untransformed
Organization/Transformed Pedagogy;
3
Transformed Organization/Untransformed Pedagogy;
2
Transformed Organization/Transformed Pedagogy.

To test our second hypothesis, cluster membership was converted into a four-level
categorical variable (Teacher Group) representing the categories of the taxonomy.
Teacher Group was then entered as the independent variable into a multivariate analysis
of covariance (MANCOVA) with Teacher Experience as the covariate. The five SAT-9
subtest gain scores constructed in Study 1 were the dependent variables. Because Overall
NCE was a linear combination of the five subtest scores, it was not entered into the
multivariate model, but was tested in subsequent univariate analyses of covariance
(ANCOVA), controlling for Teacher Experience. Fisher's F ratios for all multivariate
tests are based on Wilks' lambda, and effect sizes are reported as eta squared (
2
).
Simple contrasts were specified a priori in all tests, with the TO/TP condition as the
reference group in mean comparisons with the other conditions. An alpha level of .05
was used for all statistical tests.
This model produced a significant multivariate effect for Teacher Group, F(15,
709) = 2.17, p = .006 (
2
= .04), but Teacher Experience had no reliable effect. As shown
in the upper portion of Table 4, students in the TO/TP condition showed the greatest
gains on all subtests and Overall NCE. Significant univariate effects for Teacher Group
were found for Comprehension, F(3, 261) = 4.15, p = .007 (
2
= .05); Reading, F(3, 261)
= 5.94, p = .001 (
2
= .06); Spelling, F(3, 261) = 3.63, p = .01 (
2
= .04); Vocabulary,
F(3, 261) = 3.31, p = .02 (
2
= .04); and Overall NCE, F(3, 261) = 6.53, p < .000 (
2
=
.07). The univariate effect for Language was not significant, F(3, 261) = 1.93, p = .12 (
2
= .02). The a priori simple contrasts indicated achievement gains in the TO/TP condition
were greater than in all other conditions on all tests except Vocabulary, for which the
comparison with UO/UP was not significant (p = .58).

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Figure 1.
Achievement gains by students of teachers in the Untransformed
Organization/Transformed Pedagogy (UO/TP), Transformed
Organization/Untransformed Pedagogy (TO/TP), and Transformed
Organization/Transformed Pedagogy (TO/TP) groups.

Although these effects provide evidence that students' achievement gains were
greatest when both pedagogy and organization were transformed, a closer inspection of
the data revealed that the TO/TP condition contained only students in the English Only
mode of instruction. Thus, this solution permitted no interpretation of the influence of
the proposed instructional model on students with limited English proficiency. To
address this limitation, SPC MAP data were hierarchically clustered with a three-cluster
solution specified. As shown in the lower portion of Table 3, a reasonable approximation
of the three highest levels of the proposed taxonomy emerged. With the Untransformed
Organization/Untransformed Pedagogy group now absorbed into the three new clusters,
all activity setting means decreased. Two teachers from the Bilingual classes, however,
entered the TO/TP cluster.
To make a direct comparison of gains between students with higher and lower
English proficiency, a 2 x 3 MANCOVA model was constructed using the two-level
Mode of Instruction variable (Instruction in English vs. Instruction in Spanish) and
Teacher Group as independent variables, with Teacher Experience as the covariate.
Comprehension, Language, Reading, Spelling, and Vocabulary gains scores were the
dependent variables. Overall NCE gain scores were analyzed separately in a 2 x 3
ANCOVA. This model found a significant multivariate effect for Teacher Group, F(5,
256) = 2.11, p = .02 (
2
= .04). The effects for Teacher Experience, Mode of Instruction,
and the interaction term were not reliable. While scores in the TO/TP condition were
highest in all comparisons (see Figure 1 and the lower portion of Table 4), the only

significant univariate effects for Teacher Group were for Comprehension, F(2, 260) =
5.68, p = .004 (
2
= .04); Reading, F(2, 260) = 5.28, p = .006 (
2
= .04); and Overall
NCE, F(2. 260) = 4.44, p = .01 (
2
= .03). The effect for Spelling was marginal, F(2, 260)
= 2.20, p = .11 (
2
= .02). Although differences in gains were greatest between the TO/TP
and TO/UP conditions for Reading and Overall NCE, simple contrasts found only the
differences in gains between the TO/TP and UO/TP conditions significant on all three
comparisons. This effect was likely due to the smaller standard error resulting from
having only two teachers in the UO/TP group. As shown in Table 5, the main effect of
Teacher Group and the non-significant interaction term indicated that, regardless of
English proficiency, students in the TO/TP condition showed greater gains in
comprehension and reading, and less declines overall than students whose teachers had
not transformed both their pedagogy and organization.

Table 5
Teacher Group Means and Standard Deviations for Achievement Gains in English-
Only and Bilingual Classes
Variable Comprehension Reading Overall NCE
High ELP
1
Low ELP
2
High ELP Low ELP High ELP Low ELP
Teacher
Group
M SE M SE M SE M SE M SE M SE
UO/TP
2
-0.45 1.03 -2.56 1.15 -0.39 1.32 -1.01 1.47 -.51 0.81 -1.10 0.91
TO/UP
3
-- -- -.64 1.75 -- -- -1.12 2.24 -- -- -1.79 1.38
TO/TP
4
4.30 1.50 1.26 1.35 3.72 1.93 .87 1.74 4.45 1.19 -.13 1.07

Note.
1
English Language Proficiency.
2
Untransformed Organization/Transformed Pedagogy.
3
Transformed Organization/Untransformed Pedagogy.
4
Transformed Organization/Transformed Pedagogy.
Only main effects for Teacher Group were significant. See Table 4 for mean comparisons.

Discussion

The two studies reported here examined the relationships between pedagogy,
classroom organization, and achievement gains of predominantly low-income Latino
students with varying levels of English proficiency. Study 1 examined the influence of
teachers' use of the Standards for Effective Pedagogy during language arts instruction on
gains in student achievement. Study 2 examined the relationship between the pedagogy
and classroom organization proposed by Tharp et al. (2000) and student achievement
gains. After determining a meaningful four-level taxonomy of transformed teaching, the
achievement gains of students whose teachers had transformed both their pedagogy and
organization were compared with students whose teachers had not similarly transformed
their teaching.
The findings of Study 1 indicate a consistent, positive, and significant relationship
between teachers' use of the Five Standards and students' performance on year-end
standardized tests (SAT-9). After accounting for the effects of teachers' years of
experience and students' grade level and English proficiency, higher SPC Total scores
predicted greater achievement gains than would be predicted by students' SAT-9 scores
from the previous year. This relationship was found for overall achievement gains as well
for the comprehension, reading, spelling, and vocabulary SAT-9 subtests. There was no
effect on the language subtest, and the relationship was only marginally significant for
vocabulary. Further analysis found that teachers' use of the standards when English was
the language of instruction reliably predicted English language and vocabulary
achievement, whereas, as might be predicted, in classes where instruction was in Spanish,
teachers' use of the standards was unrelated to student gains in English language and
vocabulary.
The results of Study 1 may have important implications for improving the
educational outcomes of all students, and especially for ELL students. Emphasizing the
use of the Five Standards can help teachers design instructional activities that are
meaningfully connected to students' everyday lives and that foster complex thinking.
Instruction that generates extended writing and academic discourse is critical if students
are to master the language of instruction and the content areas. Finally, the teacher's use
of instructional conversations during joint productive activity provides rich opportunities
to assess and assist student performance at that point where assistance is most needed.
These findings should not be construed as support for providing instruction only
in English for all English Language Learners. With no outcome measures of Spanish
language and vocabulary achievement for this sample, the relationship between teachers'
use of the standards and students' Spanish vocabulary and language development when
Spanish is the language of instruction remains a question for further study.
Study 2 found that teachers' use of the Five Standards and their use of multiple,
simultaneous, diversified activity settings had a significant effect on their students'
achievement gains. Students whose teachers had transformed both their pedagogy and
classroom organization had significantly greater overall achievement gains, as well as
greater gains in comprehension, reading, spelling, and vocabulary than students whose
teachers had not similarly transformed their teaching. No meaningful differences in
student achievement gains were found between the three conditions in which either, or
neither, pedagogy or organization was transformed. Further analysis using a three-cluster
solution for grouping teachers found instruction using the transformed pedagogy and
organization more effective for all students, regardless of their English proficiency. For
example, students in Bilingual classes whose teachers had transformed their teaching
showed greater overall achievement gains, and greater gains in comprehension and
reading in particular, than students whose teachers had not transformed their teaching.
Study 2 may also have important implications for practice. Using the Five
Standards to transform a classroom produces fundamental changes that spread the
benefits of the standards throughout the classroom. Rows of students working in quiet
isolation becomes a classroom in which small groups of students are engaged in
meaningful activities accompanied by mutual assistance and rich discourse. As
important, this organization allows the teacher to engage a small group of students in
cognitively complex joint productive activity and to converse about the task as they
work. As Gallimore and Tharp (1995) wrote, the language that accompanies joint
productive activity is the major vehicle for the development of the higher cognitive
processes necessary for reading comprehension. The proximity of the teacher also
provides substantially more opportunities for assisting students' language use, inarguably
critical for the language development of ELL students.

At first glance, the findings of Studies 1 and 2 may appear contradictory. Study 1
found teachers' use of the Five Standards predicted achievement gains. Study 2 found
that, for all practical purposes, transformed pedagogy alone was not more effective than
untransformed pedagogy. The simple explanation in this study is that the four teachers in
the three-cluster solution who used the standards more effectively, both directly and
indirectly, contributed substantially to the predictive validity of SPC scores. A more
complex explanation rests in how the SPC and the SPC MAP differ: the SPC assesses
pedagogy and organization combined and indicates how intensively the standards are
used; the SPC MAP assesses pedagogy and organization uniquely, and indicates how
intensively and extensively the standards are used. The findings here suggest that
transforming pedagogy is necessary for improving the achievement of ELL students, but
it alone is not sufficient. Both pedagogy and organization must be transformed to
maximize the effectiveness of the Standards for Effective Pedagogy.
Any implications for practice based on these two studies can only be offered
tentatively. These were correlational studies of the relationship between teachers' use of
the standards, classroom organization, and student achievement gains. Although student
performance from the prior year was used to control for individual differences
contributing to gains, this changes neither the design of the study nor the inferences that
can be made based on the findings. If cognitivist assertions that new information must be
sufficiently processed to be learned are sound, then the findings suggest that teaching
transformed as proposed may be an effective instructional model for promoting the
elaboration of instructional content which, in turn, may improve learning. These findings
do not offer a simple solution to a complex problem. In fact, the complexity of the
solution offered by Tharp et al. (2000) matches the complexity of the problem. In order
for these standards to be used effectively, teachers will have to re-envision their teaching
practices. The classroom environment necessary to reform education is fundamentally
different from what most teachers experienced as students, and for teachers to be
successful in taking on new roles and changing practices that have withstood decades of
reform efforts, they will need a new articulation of the role of the teacher and clear
standards for transforming their teaching. Likewise, principals and district administrators
must re-envision their roles to that of assisting teachers in their efforts to improve their
practice (Tharp et al., 2000; Tharp & Gallimore, 1988).
Such a transformation of American classrooms may not be feasible. Many argue
that the creation of a pedagogical system that reliably creates the setting events that in
turn produce language and cognitive development is impractical. In this view, the
ponderous bureaucracies, institutional inertias, and limitations on the competence of
schools make such a vision impossible to realize. The evidence available suggests
otherwise. In a long-term demonstration of scalability, the Kamehameha Early Education
Program (KEEP) operated a statewide system of such classrooms in public schools
throughout the Hawaiian Islands for more than 20 years (Calkins et al., 1989; Jordan et
al., 1985; Klein, 1988; Yap et al., 1988).
This paper has offered primarily a cognitive explanation for the influence of the
Five Standards on student learning. The focus on the links between teaching, extended
cognitive and verbal elaborations, and learning represents a fundamental congruence
between cognitive perspectives on learning and sociocultural theories of crucial
processes in effective pedagogy. For example, Hart & Risley (1995; 1999) have recently
demonstrated conclusively that sheer quantity of elaborated verbal exchanges between
caregiver and young children from birth to three years predicts school success and
measured IQ on entry into school and extending into the elementary school years. From
this perspective, the Standards for Effective Pedagogy constitute an effective
instructional design to provide the classroom settings that maximize elaborated verbal
exchanges during shared meaningful activities with more knowledgeable participants.
Thus, both cognitive and sociocultural theories provide compatible explanations
of the findings of this study, and predictive hypotheses for future work. Our laboratories
are currently planning true-experimental designs to replicate the findings in this study
and further test the efficacy of the Standards for Effective Pedagogy model, as well as
preparing for scaling up to a variety of linguistic and cultural communities.

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Endnote

This work was supported under the Education Research and Development Program,
PR/Award No. R306A60001, the Center for Research on Education, Diversity &
Excellence (CREDE), as administered by the Office of Educational Research and
Improvement (OERI), National Institute on the Education of At-Risk Students
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policies of OERI, NIEARS, or the USDOE.

Training Teachers of English Language Learners through
Instructional Conversations: A Metalogue

Abie L. Quiones-Benitez
University of Connecticut

Abstract

Although the Instructional Conversation (IC) has been successfully
utilized to teach English language learners (ELLs) and at-risk students,
the literature fails to locate studies of the IC as a professional
development tool for middle school mainstream and bilingual teachers.
The study examined the IC as a socioculturally based professional
development tool and how it encouraged knowledge construction as it
was assisted through dynamic participation among mainstream and
bilingual teachers of ELLs across grade level. The study found that the
IC could be instrumental in training teachers to comprehend theoretical
constructs, use new pedagogical and instructional strategies, and to
promote reflection on practice for teachers. The data also revealed that
the IC could be an effective pedagogical tool in the middle school and
that bilingual and mainstream teachers of ELLs have similar training,
professional development, and policy needs.

Professional development today
also means providing occasions for teachers
to reflect critically on their practice
and to fashion new knowledge and beliefs
about content, pedagogy, and learners
(Darling-Hammond & McLaughlin, 1995, p. 597).

Introduction
The tremendous growth of ELLs in the nations schools has increased the need for
teacher development in understanding linguistic processes (National Center for
Educational Statistics, 1997; Waggoner, 1999). A comparison of school enrollment in
the nation shows that from 1989 to 2000 general school enrollment grew by 13.6%. In
contrast, when growth in school enrollment is analyzed only for ELLs the rate of growth
is 104.3 % (Office of Bilingual Education and Minority Languages Affairs, 2000). More
than ever before ELLs sit in the nation's regular classroom (Ladson-Billings, 1999). This
increase creates a wider gap between teacher training and the skills needed to teach
across the nation (Riley, 2000). This constant increase of ELLs and culturally diverse
students ought to change how educators view the school environment. And most of all,

their own professional development, they must acquire new skills and change their
pedagogical approach now and in the years to come (Tharp, 1999).
ELLs possibilities to succeed academically depend upon teachers' knowledge of
effective pedagogy. This includes how ELLs learn academics and develop proficiency in
English as a second language, and how they engender positive changes in their learning
and self-efficacy (Cummins & Wong Fillmore, 2000; Krashen, 2000; Echevarria, Short
&Vogt, 1999). Current research states that in most classrooms lecture and teacher-
centered instruction are still the norm (Gottlieb, 1999; Valdes, 1999). For ELLs this
method does not provide many opportunities for second language development, which
requires a great deal of teacher-student and student-student interaction (Faltis, 1999;
Merino, 1999). Although, research-based instructional practices can improve student
learning, this can only happen if teachers acquire, produce, test, and implement new
knowledge (Ball & Cohen, 1999; Lampert & Ball, 1999; Shulman, 1999). Hence,
mainstream and bilingual program teachers must be afforded the opportunities for
knowledge construction assisted through dynamic participation across grade level
(Echevarria & McDonough, 1993; Tharp & Gallimore, 1991).
Consequently, the challenges facing professional development in education go
beyond time and space constraints. New requirements on educators, a more diverse and
demanding student body, and a commitment to educate all children, must be met with
authentic activities that enhance learning (Darling-Hammond, Berry, Haselkorn, &
Fideler, 1999; Kennedy, 1999). In addition, professional development efforts need to
take into account that teachers are adult learners who are self-directing, bring prior
learning, display distinctive learning styles, and pass through different developmental
stages (Corcoran, 1995; Lockwood & Secada, 1999).
Current studies suggest a need to focus training for teachers of ELLs on how
second language learning takes place, where it can take place, and hence a change in the
ways learning, and teaching are perceived (Datnow, Hubbard, & Mehan, 1998). To
transfer research into practice, teachers need to be exposed to professional development
opportunities that promote reflection. Furthermore, they should foster collaboration with
a focus on problem setting and problem solving (Joyce & Showers, 1995). Collaboration
incorporates formative feedback which is used to modify and improve on ideas and
practices in transition (Romero, 1990). As such, it gives the teacher opportunity to
converse with colleagues in order to clarify rather than judge. Sharing and providing
feedback empowers the receiver and fosters introspective and creative problem solving
(Milk, Mercado, & Sapiens, 1992).
Therefore, the purpose of this study was to use qualitative methods such as
observations, interviews, focus groups, and document analysis to examine how teachers
perceive the IC as a tool for professional development. In addition, the intent was to
investigate the perception of teachers of the IC as a pedagogical strategy in the
classroom. This study takes into consideration the specific professional development
needs of middle school mainstream and bilingual teachers in regards to effective teaching
practices with ELLs. Finally, conclusions were reached on the IC as an effective practice
in implementing professional development programs for teachers.

27 Quiones / Training teachers through instructional conversations

Statement of the Problem

The ELL student population is increasing and the need to provide them with
quality and appropriate schooling becomes an imperative (National Center for
Educational Statistics, 1998). Despite efforts to improve the quality of the teaching force
to meet ELLs academic and linguistic needs, the problem of professional development
persists (Riley, 2000). Although a number of professional development programs have
been suggested as a means to train teachers to teach ELLs more effectively, many
teachers continue to rely heavily on a transmission model of knowledge in their
classroom (Tharp, 1994). Furthermore, most classroom teachers receive no special
advanced training in the areas of second language teaching methodology, cross-cultural
issues, and approaches to teach academic content to ELLs (Ballenger, 1999).
Teaching ELLs requires sophisticated instructional strategies for drawing
connections between students' experiences and ambitious curriculum ideas (Darling-
Hammond & McLaughlin, 1999). According to Tharp (1999), the most important aspect
of professional development for teachers of ELLs is learning how to use the second
language in instructional settings so that students learn content while developing
receptive and production functions in that language. The IC is a social interactive tool
that promotes both planned teaching and interactive responsive conversation. A gap in
the literature exists with respect to IC as a tool for the professional development of
teachers of ELLs (Rueda, 1998). Therefore, the IC was examined in this study as a tool
in the professional development of both mainstream and bilingual middle school teachers.

Background

Professional Development
Contemporary professional development practices in the teaching of ELLs are
described as shallow, fragmented, and lacking continuity. Joyce and Showers (1995)
emphasized the importance of reflection and discussion in professional development
practices. Moving away from the one-shot training session and the presenter-centered
format. Indeed training that focuses on the process by which teachers acquire knowledge,
skills, and attitudes necessary to be effective in the ELL classroom (Villegas, 1991). Any
effort designed to promote growth for teachers should be interactive, job-embedded and
context-sensitive in order to be most effective (Ferguson, 2000).
Professional development is a challenging dilemma, needing resolution if school
reform efforts are to succeed (Scribner, 1999). August and Pease-Alvarez (1996) suggest
that for school improvement to succeed stakeholders (e.g., teachers, administrators) need
to play a key role in the improvement of instructional practice. In addition, teachers are
more productive when they are close to students and their work (Temple Adger & Clair,
1999).


Learning
Research has demonstrated that students learn best when new ideas are connected
to previous knowledge and experience and when they are actively engaged in applying
and testing their knowledge on real world problems (Darling-Hammond, 1998).
Researchers on learning processes in social contexts, like schooling or professional
development, explain how interaction impacts cognition. According to Shotter (1997),
the learning process involves self and others in an exchange of ideas to deepen individual
understanding. Vygotsky (1986) contends that learning is a sociocultural practice and
that language gives and receives meaning from social activity. In other words, thought
develops from undergoing changes produced by interactions. Hence, thoughts exist
through words, their understanding, and meaning. Dialogue allows for individuals to
negotiate and share meaning and make connections in a dynamic interaction that
promotes growth.

Didactic Interaction
Vygotsky's theory assumes that cognitive development arises as a result of social
interactions between individuals (Lightbown & Spada, 1999). Furthermore, he considers
learning a dynamic social process in which dialogue between novices and experts leads to
the development of higher cognitive levels (Goldenberg, 1991). These interactions
promote the Zone of Proximal Development (ZPD). The ZPD is the distance between the
actual developmental level as determined by individual problem solving and the level of
potential development as determined through problem solving in collaboration with more
capable peers (Brisk, 1998). The ZPD is the level of performance at which a learner is
capable when there is support from interaction with a more advanced individual.
Teaching at the ZPD requires activities that include the use of speech and visual
representations such as modeling, contingency management, and feedback.

Intersubjectivity
Tharp and Gallimore (1991) used Vygotsky's theoretical framework to pose that
dialogue and dialogic thinking are critical forms of assisted learning. Accordingly, they
propose the IC as a medium for weaving ideas continually and rousing the mind to life
(Tharp & Gallimore, 1988). Moreover, the IC has been proposed as one of five standards
for effective pedagogy in multicultural settings (Tharp, 1998). The Center for Research
on Education, Diversity, and Excellence (CREDE) has synthesized the work of many
researchers working to improve education for students placed at risk of failure due to
poverty, limited English proficiency, and race, among other factors (Tharp, 1999).
According to Rueda (1998), the five standards can also be applied to professional
development. He contends, however, that "adults and children learn differently. Adults
may be more aware of their learning so that they monitor and self-regulate their own
learning better (p.1). Nevertheless, he asserts that the principles that describe effective
teaching and learning for students in classrooms should not differ from those for adults in
general and teachers in particular (ibid.).
The conversational aspects of the IC provide the hook that facilitates the
connection of formal schooled knowledge to practice knowledge, providing opportunities
for responsive assistance in the ongoing interaction among participants (Rueda, 1998).

Thus, the IC engages participants in a balanced interaction with an instructional intent
(Dalton, 1998; Dalton & Sison, 1995; Echevarria & McDonough, 1993).
The contention of this study is that professional development efforts that utilize
the IC can effectively facilitate the learning of instructional strategies to teach ELLs
(Tharp, Estrada, Stoll Dalton, & Yamauchi, 2000). Thus, this study examined the IC as a
tool for professional development with both mainstream and bilingual middle school
teachers.

The Model

Socioconstructivism contends that learning occurs when meaning is created from
the interactions present in the reality of the learner. When building a metalogue for
teaching the phenomenon of context is deeply related to the phenomenon of meaning.
This study proposed to utilize the IC as the context of the interaction. In addition, IC was
the topic that generated the interaction. Thus, the IC was the phenomenon of context and
meaning. Articulating a particular method disappeared, so that the method became the
phenomenon under study, as it is in metalogues, and therefore it became part of the
abstractions needed to construct meaning.
This study's pedagogical metalogue is based on the Constructivist premise that
social experiences are part of constructing meaning for learning. Moreover, the
professional development approach utilized in this study supports the
Socioconstructivistic premise that learning must be structured around "big ideas" and not
around fragmented smaller parts. Using the IC for professional development that
promoted the utilization of the IC in the classroom generated a series of lenses. Firstly,
one level of analysis one looked at the interactions among individuals; and secondly,
another level of analysis looked at the interactions of new concepts with prior concepts.
The findings evidenced that intersubjectivity, or thought processes generated by the
interactions among the participants, promoted individual active learning.
Thus, the IC metalogue examined in this study includes acquiring new knowledge
on learning, pedagogy, and content through study, collaboration, demonstration, and
practice. This ambitious goal can be achieved because ICs promote interaction, didactic
dialogue, and dialogic learning which breakdown isolation among educational
practitioners enhancing participants' professional development. In accordance with what
Rogoff suggests, this model for professional development allows for learners to take part
in learning on multiple planes but all are intertwined and necessary for learning to
happen. Rogoff (1990) proposed that interaction and conversation could serve as
apprenticeship for cognitive development. In addition, Rogoff (1995) suggested that
sociocultural activity could be analyzed on three planes: participatory appropriation,
guided participation, and apprenticeship that are part of a whole; sort of as the organs of
the body that have individual functions yet one can't function without the other in the
context of the whole organism.
The following model illustrates how ICs could impact professional development.
This is a visual representation of the model that resulted from the interactions among the
participants in this study. The circles represent motion in multiple directions, which

allows for an exchange of ideas and promotes learning. The triangle represents the
effectiveness that acquiring new knowledge could bring about for educational
practitioners.

Figure 1
Visual Representation of the Model

Figure 1. Professional development using ICs for teachers of ELLs.

Study Collaboration
Demonstration Practice
Demonstration Practice
Breakdown
Isolation
Interaction
Learning

Pedagogy Content

Didactic Dialogic
Dialogue Learning

New
Knowledge
Note. The components inside the square contribute to new knowledge and are necessary for effective
instructional practice. Teachers need to constantly build their knowledge about learning, pedagogy, and
content. As per the new professional development paradigm in education, the components inside the inner
circle have been identified as critical components to integrate new concepts or strategies into practice. The
components of the outer circle are the elements of IC and its impact on new practice for teachers of ELLs.


Method

The purpose of this study was to examine the IC as a highly interactive
professional development and instructional tool. This study was conducted using
ethnographic techniques such as: document analysis, participant observation, semi-
structured interviews, focus groups, and ranking and pile sorting. The rationale for
selection of techniques was based on the need to capture the insider's or emic point of
view (Lincoln & Guba, 2000). The basic premise of this approach is that it is possible to
identify and describe a specific stock of knowledge in the participant's mind that is shared
with other participants and that guide their behaviors in the specific context under
consideration (Denzin & Lincoln, 2000). Participants performance in this study was
defined as their ability to identify the elements of the IC and to implement them in their
classroom. The training topic and the medium for training were the IC. The researcher
and the participants engaged in a series of professional development activities using the
IC. Finally, to ensure trustworthiness a team of two peer-reviewers lead the rating of the
videotape of each training and classroom IC session.

Research Questions
1. What are the characteristics of the IC as a professional development tool for middle
school teachers of ELLs?
a) How do teachers perceive the IC as a tool for their own professional
development?
b) How do they perceive the IC scale as a tool for self-evaluation?
c) What IC training objectives can teachers define for themselves?
2. What are the characteristics of the Instructional Conversation as a pedagogical and
instructional tool for middle school students?
a) How do teachers use the IC in the classroom?
3. What guidelines for professional development and instruction can be profiled using
the IC?
4. What theoretical model emerges that represents the findings of the study?

Instrument
The IC rating scale developed by Rueda, Goldenberg, and Gallimore (1992) was
used in this study to determine the elements of the IC present in the planning and delivery
of each training session and classroom lesson. This rating scale has been designed for
teachers, researchers, and other educators to estimate the extent to which a given lesson
approximates an IC. It is based on the neo-Vygotskian teaching approach, which poses
that it is necessary to provide an interface between emergent scholarly concepts and
every-day concepts (Tharp & Gallimore, 1988). The reliability of the total score is .98.
The scale appears to reflect changes in lessons as they become more like IC.

Participants
The participants of this study were nine teachers purposively selected from a pool
of 80 teachers servicing 890 students enrolled at Clearview Middle School in southern

New England. The teachers were both bilingual and mainstream, and both
administratively assigned and self-selected. All mainstream and bilingual classes include
ELLs. The levels of professional development of the teachers in terms of years of service
and credentials ranged from bachelors degree newly certified to sixth year degree
experienced personnel. However all teachers were identified by the district and the state
as in need of skills to teach ELLs.

Procedures
Participant anonymity and confidentiality was ensured through the assignment of
pseudonyms by which each teacher was identified and referred to throughout the study.
Before beginning the study the researcher: (1) sent a letter to the citys Board of
Education asking for permission to conduct the research. After the Boards authorization,
the researcher: (1) sent the principal of the school an explanatory letter about the study,
(2) sent participants/teachers an explanatory letter about the study together with a consent
form of participation and a self addressed stamped envelope, (3) sent an authorization
letter to the parents of the students participating. The consent form allowed for the
signatures of each participant and the school principal. The authorization letter allowed
for the signature of the parents of the students participating. The researcher met with the
principal and the participants with the purpose of: (1) clarifying any concerns, (2) answer
any questions about the study, (3) checking on the status of the consent form, and (4)
scheduling an interview. Teacher and student participation started once this process was
completed.
Nine teachers were trained in the IC strategy for teaching. The training topic and
the medium for training will be IC. The researcher and the participants engaged in ICs
developed by the researcher to present theoretical background on the IC as an
instructional tool. The role of the researcher was that of participant observer. In order to
maintain considerable distance, the researcher acted in such manner that participants
engaged in their tasks as usual, and the researcher remained detached from the learning
culture (Erlandson, Harris, Skipper, & Allen, 1993). To accomplish this role, the
researcher acted as a staff developer for effective teaching practices in the school. The
participants in the study received training to introduce them to the IC and to train them to
use it in their classroom based on the professional development sequence proposed by
Joyce and Showers (1988). They proposed four conditions that must be part of any staff
development effort: study theoretical basis, demonstrations, practice, and observe
implementation with another educator. The first six sessions of training were conducted
with the following topics: (1) activity settings (socio-cultural learning in the classroom),
(2) assisted learning and scaffolding (theoretical background for IC), (3) discourse and
learning (the instructional conversations), (4) the elements of the Instructional
Conversation (the IC rating scale), (5) and (6) two sessions for practice of the IC with
feedback from training peers and the researcher. The training sessions were held during
school twice a week for four weeks. Each training session lasted approximately two
hours. As part of the training session there were 15 minutes of reflection. In the final
two sessions, each participant implemented a fifteen-minute IC on the topic of their
choice using their peers in the training cadre as learners. After completing these six
sessions, all participants developed and implemented the IC in their classroom, the
researcher provided support in the planing and delivery of the classroom IC and

videotaped each classroom lesson, and a team of peer reviewers rated each lesson. The
rating session consisted of viewing the videotape and rating the elements of IC present in
the lesson. Upon the completion of the training and classrooms IC, all participants were
engaged in a focus group.

Data Collection
The process of collecting data included videotaping and transcription of IC
training sessions. In addition, interviews were utilized to account for the participants
voice about the training process (Spradley, 1979). After each training session four
participants were randomly selected for semi-structured interviews. All interviews were
audio taped, and later transcribed. The researcher introduced a specific request for
information by means of free listing to elicit the participants construction of the domain
under study. The participants were asked to list the helpful and unhelpful training
experiences with the IC, they were also asked to rank each experience from the most
helpful to the least helpful. In order to assess similarities a pile sorting activity based on
the categories or groupings was the outcome of this process (Weller & Kimball Romney,
1988). A team of two peer-reviewers was asked to lead the rating of the videotape of
each training session after all sessions are completed. After all rating sessions were
completed a focus group was conducted to account for the participants point of view of
the training and its impact on the implementation of the IC in the classroom. The focus
group was audio taped and later transcribed. The researcher introduced an open-ended
question to promote inter-subjectivity among the participants and the researcher.

Data Analysis
A conceptual framework for this study was developed in three strands: research
provided by Tharp and Gallimore (1988) on ICs as didactic conversations; a conceptual
framework for professional development using the consensus building model explained
by Hawley and Valli (1999); and, the dialogic learning from the work of Bakhtin
(Moraes, 1996) and Vygotsky (1962). All three strands of the conceptual framework
were utilized in the analysis of the data. The researcher videotaped the training on IC and
the subsequent teacher demonstration sessions. A team of two other researchers rated the
teacher training sessions on IC that used ICs as a learning strategy. They also analyzed
the demonstration sessions. Both types of sessions were transcribed and analyzed on the
bases of the elements of IC present.
The data of this study were analyzed and discussed in terms of the elements of the
IC as training and teaching tool. The literature identifies ten elements of the IC: a
challenging but non-threatening atmosphere, responsiveness to student contributions,
promotion of discussion, connected discourse, general participation, including self-
selected turns, thematic focus, activation and use of background knowledge and relevant
schemata, direct teaching, promotion of more complex language and expression,
promotion of bases for statements or positions (Echevarria & McDonough, 1993). In
order to facilitate data analysis, an observational tool constructed to indicate elements of
IC present in didactic conversations was utilized (Rueda, Goldenberg, & Gallimore,

1992). The resulting IC training session data were used to determine the characteristics
of the IC in the planing and delivery of professional development efforts. The IC rating
scale data provided an estimate of the extent to which the session approximated an IC.
The data of this study was analyzed using the IC scale by focusing on the elements
present and the participants' report of their perceptions of these elements. The data
resulting from the interviews and focus group interview provided insights about how
participants engaged in IC and their perceptions of this interactive approach. The
constructs that were found in this study could help make a contribution to the broader
knowledge base on professional development and IC.
Research question 1 and 2 were answered by analyzing the data collected in the
interviews, students' essays and the IC rating scale. The researcher conducted the IC
analysis by identifying and describing each of the IC elements present in the training
sessions and in the classroom. The IC rating scale provided results indicating how
evident was the presence of the characteristics of IC in the training sessions and in the
classroom and the extent to which each session approximated an IC. The data in this
study were analyzed both, using the IC rating scale and the participants' report of their
perceptions of these elements. The interviews provided an indication of the participants'
(teachers') perspective on IC as a professional development tool and as a pedagogical
tool.
Research question 3 was answered by observing the videotapes to identify the
components of IC training for teachers of ELLs. The resulting IC training session data
were used to determine the characteristics of the IC in the planing and delivery of
professional development efforts. The emerging characteristics of the IC resulting from
the participants and trainer (researcher) interactions during the IC training session were
transcribed with the purpose of identifying the IC curriculum and structure of the
sessions. The videotapes provided the researcher with a data bank that helped to answer
the research question.
Research question 4 was answered by analyzing the data obtained in the
interviews and focus group. The data resulting from the interviews and focus group
interview provided insights about how participants engage in IC and their perceptions of
this interactive approach. The data gathered was coded, standardized, and tabulated. The
transcribed and coded data provided the foundation for analyzing emerging patterns of
the interactions between participants and the trainer (researcher).
A constant comparative method was used to reduce and group the data into
categories to answer all research questions. The data of this study were analyzed by
identifying and comparing emerging categories from all data sources and by organizing
the data in shared emerging themes (Erlandson, Harris, Skipper, & Allen, 1993). This
allowed the researcher to describe the categories of thought characteristic of this setting
(Lincoln & Guba, 2000).


Results

Three training sessions were offered to the teachers. Due to the participants
conflicting schedules before and after school, the sessions were offered during the school
day. Coverage was provided by the administration while teachers were pulled out of the
classroom. Each session lasted about two and half-hours including both, the training and
the focus group discussion on how the session was perceived by the participants. The
researcher provided the training and the topic for training was the IC. The researcher
used IC as a training methodology. Two ICs with theoretical thematic focus were part of
the first session of training (activity settings and the zone of proximal development). In
session two, after viewing the videotape of the first training session, two ICs with a
thematic focus on the ten features of the ICs previously mentioned, were explored.
Finally, several ICs enacted by the participants with their peers were part of the third
session. Furthermore, the researcher observed enacted ICs by the teachers in their
respective classrooms and randomly assigned participants for interviewing, and pile
sorting. An interview protocol was developed and utilized by the researcher for each
individual interview. In the pile sort task the participants classify items in categories
according to their own criteria (Weller & Kimball Romney, 1988). For the pile sorting
activity, words were selected from a free listing of words that describe professional
development.
This training session thematic focus was on activity settings and it took place in a
large community room in the public library adjacent to the school. This was the first
session, the room was very big, and the participants could not hear each other very well.
In the beginning, teachers seemed overwhelmed with the activity. The new concepts
required shifts in their understanding of prior learned vocabulary now used in a different
context. In addition, their role as active learners required a shift of their expectations for
professional development and their role as participants.
The following excerpt depicts the interaction of the researcher (R) and Valdi (V),
one of the participants. This particular portion of the first training IC illustrates how
participants were hesitant to engage in discussion and the need for the participant to raise
issues of constraints when exposed to new pedagogy.

V: An activity setting is if I walk in the gym, there should be physical education going
on in general.
R: In general, right.
V: But then, I see throwing hoops, bouncing the ball. Then that's basketball. If I walk into
a room with microscopes, I assume that the set activity taking place is science.
R: In general.
V: But I'm not sure as to what I'm reading. I read this twice as we were talking. As a
journalistic device? I mean a setting for me is a place, I have to turn this around. A
setting for an activity. (Others are agreeing but do not contribute to the discussion; the
trainer reiterates and clarifies the importance of the journalistic device {who, what,
where, and why} in enacting activity settings).
V: Then I want to add how and how many children you are teaching. I don't know about
others but I have 28 kids and it's hard to teach that many children.


Participants seemed reluctant to participate at first. But as the researcher elicited
background knowledge by making allusions to their home experiences with their own
children, they started to engage in conversation. Yet, the interaction was mostly with the
researcher asking all of the questions. These teachers were familiar and seem
comfortable with teacher-centered instructional approaches. Therefore, they were
attuned to professional development that used that approach. Perhaps it was too soon in
their work with the researcher for them to break out of the old paradigm and into the new
consensus building model.
The second training session focuses on the importance of finding teachable
moments with each individual student and how theory and the practice convey these
differences. The Vygotskian concept of the zone of proximal development (ZPD) was
explored and discussed by the group. In addition, the group discussion allowed for
clarification of the implications of the ZPD in instruction.
Each participant was given time to read a summary of how Vygotsky explained
the zone of proximal development. In addition, a visual graphic was shared with the
group prior to the discussion. Figure 2 is a representation of the graphic.

______________________________________________________________________
Figure 2. The ZPD (a visual scaffold).

Learner's Learner's
Ability - solo ability w assistance
______________________________________________________________________
Note. As the learner continues to develop the ZPD moves forward, it is in constant movement.
Therefore, the teacher needs to plan always ahead of the levels present.

This subsequent portion is a representation of the conversation between the
researcher and Guppy (G) during the second IC. Following the excerpt, in figure 3, an
illustration of G's conceptual understanding of the ZPD is depicted. This portion was
selected to demonstrate how the IC could help promote learners' hypotheses about new
knowledge and practice.


R: So, how do you see that in the classroom? Can you explain?

G: (Referring to the visual on Figure 1). This is what we can do independently. Right?They
can reach up to here and then with the assistance of someone else, or with the leading, or by
Socratic methods,They can achieve this more. This is how I see it in the classroom. (Figure 2
has a representation of Guppy's visual).
R: This is good. It kind of make sense (body language was reassuring)
G: So individually a child can achieve up to a certain point, because of the developmental
stage that the child is in, or because of the limited previous knowledge that they have So
they can only achieve to this point. Now, by using Socratic methods or strategies to work in
groups that benefit that child, whatever, he can achieve that extra. It's like a power boost; you
know what I mean? They get that extra more that they usually could not achieve on their own.
R:Exactly.
G: It says here that we have to teach for both of them. You cannot see what he/she can do by
him/her self (referring to the learner). But they are not always going to have someone to help
them. But at the same time you can stretch their limits. The higher the standard that you set,
hopefully, the higher they reach up.

___________________________________________________________________
Figure 3. A graphic representation of Guppy's classroom ZPD sketch.

Figure 3. In the item depicted the up arrow callout represents the students and the black square
portion represents their ZPD.

Note. According to G's conceptual hypothesis of the ZPD. Each child has a different level and the teacher
must be aware, so that one teacher may have to respond to 27 different levels and developmental potentials.


In this segment the researcher introduced a text and a visual to prompt discussion,
creating a ZPD that enabled participants to converse about a highly complex concept that
was new to them. The dialogue generated a challenging but not threatening environment
that promoted the participants' reflection on the new concept and gave them bases to
formulate hypotheses. Moreover, the discussion elicited one of the participants to create
a visual representation of the ZPDs in the classroom.
In addition, direct teaching was limited to the needs of the participants and the
researcher relied on the background knowledge of the participants to grasp this concept.
Although this was a highly complex psychological construct, the researcher relied on the
participants' knowledge of developmental psychology, learning processes, and
pedagogical techniques. It was helpful that the researcher had a background in
psychology so that prompts and questions could be inserted to keep the explication of the
background knowledge on track.
The purpose of this training session was to facilitate the participants
understanding of the IC. First, the participants were provided with a detailed description
of the ten features of ICs. A sample of the information presented to the participants is
provided in Table1.
________________________________________________________________________
Table 1. Detailed Description of the Features of the IC (Rueda, Goldenberg, &
Gallimore, 1992).

Conversational Elements
1. A challenging but non-threatening atmosphere (ZPD). The teacher creates a
challenging atmosphere that is balanced by a positive affective climate where students
feel comfortable. The teacher is more a collaborator than evaluator challenging students
and allowing them to negotiate and construct the meaning of the text.
2. Responsivity to student contributions. While maintaining an initial plan, focus, and
coherence of the discussion, the teacher is also responsive to students' statements and the
opportunities they provide. Students' contributions are acknowledged and utilized as
opportunities to add to the weave of co-construction of text.
3. Promotion of discussion. The majority of the discussion should focus on questions
and answers that are not conclusive, and therefore promote deeper thinking. The IC
requires a teacher to pose some factual question to establish a basic understanding of a
text.
4. Connected discourse. The discussion is characterized by multiple, interactive,
connected turns; building upon succeeding and extended previous utterances. Important
to an Instructional Conversation is the web of interactive conversation that is developed
by the contributions of both the teacher and students.
5. General participation, including self-selected turns. The teacher does not determine
who and when individuals should speak, thus the conversation takes a much more natural
character. Each student is encouraged to participate in the IC through the use of various
teacher driven methods, but at the same time the students are allowed to speak at will.
Instructional Elements
6. Thematic focus. The teacher selects a theme or idea which serves as a starting point
for the discussion. The teacher has a plan on how the theme will unfold, including how
to "chunk" the text to enhance exploration of the text.
7. Activation and use of background knowledge and revenant schemata. The teacher
"hooks into" or provides students with pertinent background knowledge important in

understanding a text. Background knowledge is then woven into the discussion that
follows.
8. Direct teaching. Direct teaching is employed to clarify a specific skill or concept
essential for the flow of discussion to continue. The teacher must know when to move a
discussion forward by directly teaching a concept that may be necessary for students to
continue the discussion.
9. Promotion of more complex language and expression. The teacher elicits more
extended student contributions by using a variety of techniques, such as restatements,
pausing, or questioning to elicit student participation.
10. Promotion of bases for statements, hypothesis, and conclusions. The teacher
promotes the students use of text, pictures, and reasoning to support an opinion or
argument. Teacher probes for the bases of students' statements without overwhelming
students.
________________________________________________________________________

Following the discussion of the reading material, the participants viewed a video
of ICs of the previous training sessions in order to identify the features of the IC present
in those sessions. Utilizing the description of each of the ten features of the IC the
participants identified those present in the previously enacted ICs.
The process of the session was explained and the purpose of using the video of
the ICs generated by their interactions was discussed. In addition, the participants
received a glossary that explained some of the terminology utilized in the study, a
diagram of the features of the IC.
There were indications that although the atmosphere continued to be challenging,
the scaffolding (written and visual materials) created a non-threatening atmosphere.
General participation continued to be a concern, yet, all but one of the participants, in one
way or another made contributions to the discussion. The following excerpt was chosen
to demonstrate the increase involvement of the participants. The letters preceding the
statements identify the participants in the sessions were the researcher (R), Kristen (K),
Lauren (La), Lucy (Lu), and Queen M. (QM).
R: What does responsivity to student talk means to you?
QM: Whatever contribution they give Whatever they say. Their background.
R: You are making those connections with the people who are engaged in the conversation.
Lu: You take what they know and you work it in to what you are trying to do that day and enhance
which they may have said (referring to student' background knowledge).
R: It's kind of related to connected discourse.
La: It's valuing their responses.
R: Yes, it's important that the responses are taken into consideration.
K: So what you do I mean the trick here is when somebody is responding way off, you don't
want to tell them that they are wrong. BecausebecauseYou don't want them not to speak
again. One thing you could do. You record what they say. Like when they are predicting about
a story And then after readingThen go back and That way nobody is alienated. So we
analyze, so you have to be careful there too What students say Some are sensitive.
R: You may shut them down. I read an article on Socratic teaching that said: "that if you don't
choose your words carefully you may, shut them down."
K: But this is almost like eliminating To eliminate total control, which is the fear of teachers.
You really have to have excellent control Because you have to be able to get that class to
where you want it to go. When you're discussing, everybody should feel comfortable and not
have fear to contribute to the discussion. And you can't criticize. (Silence, as if looking for

more.) You can disagree, but not use words like stupid, things like that. So everyone feels
that what they have to say is worthwhile.

The thematic focus of the final researcher facilitated IC was on how to evaluate an
IC. In this training session the participants were willing to take risks and they were more
familiar with the IC format of the training sessions. In addition, at this point in the
training, the participants' background knowledge had been enhanced by the previous
sessions on theoretical background. Both peer reviewers agreed that all of the features of
IC were present. Accordingly, the researcher was able to reduce the interventions while
the participants were exchanging ideas among each other and with the researcher. The
conversation features were clearly present. Questions posed by the researcher as well as
the responsivity to participants talk promoted discussion. The participants' contributions
were frequent.
This session was designed to prepare the participants for the practice session. The
researcher and the participants reviewed the IC rating scale and how it would be utilized
in evaluating the enactment of ICs in the classroom. In the beginning the participants
were reluctant to consider the concept of practicing the strategy with their peers before
they practice with their students. As the discussion progressed the cadre supported each
other in the process of preparing for practice by giving each other ideas and selecting
partners who would help them in the planning.
Evaluation may be a risky subject to discuss in urban education. Many
evaluations tend to demean the efforts of teachers and offer little or no support. The fact
that they had evaluated the researcher and that the scale served as a rubric for preparation
ameliorated any concern the participants had about being evaluated. The next portion of
the fourth training IC was selected to demonstrate how the participants in this session,
Lauren (La), Lucy (Lu), Queen M. (QM), were able to interact among each other without
the researcher (R) as the target for response.

R: It may take you twenty minutes but if what you want is ten Then shoot for that.
QM: Well then if that is what you want do it in ten minutes.
Lu: You could do your story.
La: That's what I'm going to do. But I'm not going to do the whole story just the beginning part of
the story: building background knowledge, vocabulary
QM: Lauren, remember when we went to that workshop. The before, during, and after reading. I
could do one of those three.
La: Yes!

Clearly the rapport developed to the point that this cadre was now sharing
opinions and consulting with each other about the essentials of classroom enactment. In
this cadre both bilingual and mainstream teachers shared a common goal: to teach ELLs
academic content necessary for them to succeed. No longer were the barriers of grade
level, different programs, years of service obstacles to collaborating for effective
enactment.


The Practice
After the completion of the training ICs facilitated by the researcher, the
participants planned and enacted their own ICs. The practice ICs were devised by each
participant and the rest of the cadre and the researcher posed as students. With the help of
two peer reviewers and for the purpose of this study, the researcher selected two of the
practice ICs for analysis. Lauren, a veteran teacher and in the mainstream fifth grade;
and Dancing T, a teacher with less than ten years experience and in the bilingual program
sixth grade. Both, participants were able to engage the group. Yet, Lauren the more
experienced teacher was able to maneuver expertly as to approximate the activity more to
an IC enactment.

The Interviews
The interviews revealed that teachers' perceptions of the IC as a tool for training
and for instruction are twofold. Their perceptions include positive and negative themes.
Next, Table 1 shows the emerging themes found by the researcher while analyzing the
data collected in the interviews. The themes were organized in two columns: positive
and negative statements according to the context explored in this study and in relation to
the participants perceptions of the pedagogical strategy under study.
________________________________________________________________________
Table 2. Emerging themes of teachers perceptions of the IC
Positive Negative
Small groups It's not for everyone
It's a two way (give and take) It took longer
It clarified for the new comers Hard
Not leave them behind Learn to work together
Kids more open It's going to take a lot of experimenting with it
More engaged Not sure it will help
I learn more from my peers Not enough
________________________________________________________________________

It appears that participants had mix feelings about this new strategy. On one
hand, they saw the benefits of small grouping and interactions in that context, but on the
other hand, they wonder if it would be effective with all students. It is not unusual for
teachers to voice this type of concerns due to the constant influx of new ideas and
strategies in education (Loucks-Horsley, Hewson, Love, & Stiles, 1998). Guskey and
Huberman (1995) stressed the need for teachers to understand general pedagogical
knowledge, subject-matter knowledge, and pedagogical content knowledge in order to
integrate new strategies into their own practice. This strategy required that the
participants expanded their knowledge about pedagogical practice end learning theory.
Furthermore, the interviews revealed that teachers agreed in that the IC due to its dialogic
and didactic elements could address learning. Thus, the participants' professional
development was impacted at the same time that they were involved in staff development
through a deepen understanding of their practice.


The Focus Group
The focus group sessions revealed, just as the interviews did, that teachers'
perception of training is twofold. First, teachers verbalized their frustration for their lack
of control over the atmosphere in their classroom, lack of participation in curriculum
development, and lack of participation in decision making about assessment and
instruction. Second, teachers had serious concerns about the demands placed on them by
the district's goals and their students' levels of performance. Yet, other themes were
relevant and may impact how ICs can contribute in teacher development. Participants
reported that staff development efforts currently available were not always related to
professional development, were not always relevant to their needs as staff members, did
not take into consideration the demographics of inner city New England, and were not
relevant to students needs. Finally, they all agreed that professional development efforts
were more readily available today than in the past and were more effective, yet, they
considered the efforts still insufficient.
In terms of the IC as a training tool they all agreed that they understood better due
to their own input. In addition, they reported that the interactions with their peers helped
them understand the concepts and the possibilities for implementation in the classroom.

Classroom Observations
All of the teachers observed demonstrated an understanding of the strategy, some
greater than others. One of the teachers requested further demonstration with their
students in the classroom. The researcher conducted an IC lesson with the students in the
classroom and the teacher observed and participated. The next day the teacher conducted
the ICs demonstrating clear understanding of the strategy. For the purpose of this study,
the researcher, with the help of two peer reviewers, selected two of the classroom ICs to
analyze. Both teachers were veteran fifth grade teachers who taught ELLs, one in the
mainstream and one in the bilingual program.
Finally, both the teachers chosen for discussion were able to demonstrate
pedagogical maneuvering. In other words, they knew how to take advantage of
opportunities for teaching existent in the dialogues with the students. In addition, these
participants were able to assert their understanding of the IC as an effective pedagogical
strategy.

Emerging themes: Pile Sorting and Interviews
A pile sorting activity was designed to answer this question. The Clear View
Middle School teachers in this study were given a free listing activity. About twenty
teachers contributed words that created a list of vocabulary related to professional
development. Three teachers were given piles of words and were instructed to make
piles of related words, assigning a category to each pile. In addition, an analysis of
emerging themes present in the teachers interviewed is included in this section.
The emerging themes presented in pile sorting and the interviews revealed that
teachers want to be viewed as professionals who are valued by others. In addition, it is
important for teachers to keep up to date and be creative. In general, teachers would like

to emerge from within and be empowered as capable professionals to create and be able
to help students.
Classroom management was an important issue for teachers including being
creative and innovative. It is evident that teachers value good planning, organization,
management, time, and technology. Furthermore, implementation and collegiality are
seen as important components for classroom management as well as behavior.
Staff development was described as important, necessary, and useful. On the
other hand, efforts for staff development could be unproductive. Yet, good staff
development could be enlightening and applicable. It could enhance professional growth.
In addition, it could promote gathering of new ideas, new practices, techniques, and
clarification.
Teachers verbalized negative aspects in education especially those related to
policies and politics. An emerging theme that was critical for ELLs was the lack of
training for ESL support and the evident omission of the students' first language.
Mandated staff development, instruction, and assessment was seen as worthless,
impractical, insulting, and inconvenient. It was reported that one-shot staff development
was still the practice and not the exception. In general, test-driven initiatives were
viewed as insufficient.

Main Findings and Conclusions

Given that the IC was used for the first time as a staff development tool, the
following findings and conclusions are tentative until replicative studies indicate
otherwise. The IC (1) seems to provide a methodology for professional development that
connects theory with practice, (2) can be used by a trainer in professional development
settings may serve to demonstrate how effective the strategy (IC) itself is for learning
new information or techniques, (3) can be a medium for reflection about current practices
and its improvement, and (4) could be the context for apprenticeship in that it promotes
new concepts to become part of the repertoire of classroom strategies used by
practitioners.

Educational Implications

The findings of this study are consistent with aspects of dialogic learning, social
constructivism, social cognitive theory, and inquiry-based professional development. As
a tool for professional development, ICs:
1. can provide the type of interaction that can help break barriers that promote isolation
among teachers and among different programs;
2. indicate that inquiry-based professional development that encourages more teacher
contribution enhances teacher implementation of a new strategy;

3. when used as a metalogue, seem to provide metacognitive opportunities that allow
participants to achieve a deeper understanding of a new approach;
4. to be effective professional development, should consider providing opportunities for
teachers to utilize their prior knowledge in learning new concepts;
5. indicate the need to introduce relevant literature as a scaffold that supports the
discussion in learning concepts for enhancing practice; and
6. can be effective in promoting teacher development in inner city schools by providing
a tremendous opportunity for interaction and collegiality.

Significance of the Study and Further Research

The findings of this research provided additional insight into the relative
importance of ICs in teacher development efforts. The study examined the emic point of
view of professional development for teachers utilizing ICs as a medium for training on
IC. The data gathered from this study would help to provide a knowledge based from
which professional development programs for teachers of ELLs in general can be
reconceptualized (Gonzalez & Darling-Hammond, 1997). More practically, it will be
potentially useful as a foundation for the design and development of instructional
methodologies and programs aimed at improving the communicative and academic
competence of ELL students (Ovando & Collier, 1998). Moreover, the constructs found
in this study would help make a contribution to the broader knowledge base on
professional development and teaching via the IC. Therefore, the results of this study
would: (a) add to the existing knowledge base about professional development and
teaching ELLs, (b) improve professional development practices with middle school
teachers; and (c) provide useful information for planning and organizing professional
development programs.
In order to examine the effects of ICs in teacher development for new practice and
new knowledge, it would be beneficial to compare approaches to professional
development with and without IC. It is suggested to consider training provided to two
groups of teachers; one with ICs and one with a presenter-centered approach. Interviews
and focus group data can provide information on the perception of the two groups. In
addition, observation can provide information about how each group implements the
strategy and if there is any difference. It would also be beneficial to conduct such a study
using both qualitative and quantitative data. Replication of the study may include using a
pre-and-post design in order to counteract the observational design.
In addition, further research is required of the effects of teacher training with IC
in the academic and linguistic development of ELLs in the middle school classroom.
One aspect to consider is the effect of ICs on ELLs' affective domain. Can this strategy
promote motivation, improve attitudes, lower anxiety? Another aspect that may be
explored is the role of IC in the school such as teachers practicing ICs in school reform.
Finally, it may be beneficial to examine the ICs as a pedagogical tool and its impact on
learning.
In sum, the results of this study seem to support the use of ICs as a means for
professional development for teachers of ELLs in the middle school. To further the

confidence in the model for staff development suggested by the results, more research is
suggested.

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Personal and Professional Success in a Bilingual
Teacher Training Project

Karen A. Carrier
Northern Illinois University

James A Cohen
Arizona State University

Abstract

This paper describes the factors that helped students succeed in a
minority bilingual teacher training project. Using a qualitative research
design, focus group interviews were conducted and the data analyzed
for recurring themes. Results showed that structural factors such as
centralized advising, caring staff and cohorts, and ancillary factors such
as an increase in self-esteem helped students succeed. A theoretical
framework can be constructed from the findings of this and similar
studies that will help in the design, evaluation, and research of minority
teacher training projects. Replication of this research model is
recommended in future investigations of teacher training projects.

This paper reports on the results from focus group interviews of female Hispanic
students perspectives about the factors that contributed to their retention and success in
Project ESCALERA, a bilingual teacher training project. In 1997, Project ESCALERA
was awarded a Title III (former Title VII) grant to recruit and train bilingual teachers and
teacher aides from the adult and largely Hispanic immigrant population in Elgin, Illinois.
As a combined effort of two community colleges and two state universities, spearheaded
by Elgin Community College, Project ESCALERA was extremely successful in meeting
its goals. During the five years of the project, 36 students (or scholars
1
as they were
called by everyone in the project) obtained bachelors or masters degrees in education,
45 obtained full standard teacher certifications, 37 completed course work leading to the
Illinois state approval for teaching in a bilingual or ESL program, and 26 obtained Illinois
teacher-aide certification and/or an associates degree. By the end of this five-year
project, 213 of the students had met 181 separate educational goals.
A number of reviews throughout the five years of the grant identified different
factors that contributed to the success of this bilingual teacher training project, from the
administrators and reviewers points of view. However, it was important to identify the
factors that led to successful goal achievement or continuation in the project from the
perspective of the students, because, ultimately, it is the students who determine the
success or failure of a teacher training project by the decisions they make to remain or
leave the project. Knowing what these factors are will assist project designers, grant
directors, and grant agencies in designing, funding, and conducting teacher training
projects that will successfully produce the minority bilingual teachers who are so urgently
needed in our nations schools.
In this article, we first review the relevant literature on minority teacher training
programs in general and then bilingual teacher education programs in particular, and the
factors that have led to success or insights in these programs. We then discuss the
research method and the results of the study, comparing the factors that students in
Project ESCALERA credit with their personal and professional success to factors that
have been reported in other minority teacher training projects. Finally, we offer
implications for current and future teacher training programs, implications for a
theoretical framework, and suggestions for future research.

Literature Review

In 1990-91, Garcia and Baptiste asked the question that many other educators and
administrators continue to ask: What is the magnitude of the shortage of minority
teachers? At that time, they noted that "College enrollment of minorities has declined
steadily in the last ten years, but for those in teacher education, the trend is even worse"
(p. 14). In 1994, Diaz-Rico and Smith pointed out that the need for bilingual teachers
(who are often minorities) was also a concern. They noted that "the nation needs
between 100,000 and 200,000 bilingual teachers, depending on the estimate of students
with limited English proficiency and the desired student-teacher ratio" (p. 1).
Unfortunately, the pool of Hispanic high school students who could fill an important
niche in bilingual teacher education programs is diminished by the high dropout rate
(currently 44.2%) of Hispanic
2
students (NCES, 2002). These statistics point to the
importance of determining what factors strengthen minority bilingual teacher training
projects in ways that provide the students with every opportunity to complete their
educational program successfully.
A number of minority teacher training programs have been created in an attempt
to rectify not only the shortage but the imbalance in the demographics of the available
teacher candidate pool. Researchers have highlighted a number of factors that have
consistently appeared across programs that have been successful in producing minority
teachers (e.g., Becket, 1998; Gonzalez, 1997; Yopp, Yopp, & Taylor, 1992). They have
suggested that these factors are likely to increase the pool of minority teachers and are
positive predictors of successful teacher training experiences for the minority students
within these programs. For example, Diaz-Rico and Smith (1994) commented on the
successful Minority Teacher Recruitment Project in Jefferson County, Kentucky in which
the local school district and local university cooperated in the project design. The
universitys role was to (a) assist minority students in planning their course of study, (b)
offer courses at times that are convenient for students with family obligations and
daytime job responsibilities, (c) provide financial aid, (d) encourage supportive faculty
participation in career fairs, and (e) collaborate with students on projects and research.
Another example of a successful minority teacher training project is Lamar Universitys
partnership with the Beaumont (Texas) Independent School District on a recruitment

strategy for training minority teachers. This project included three phases: (a) early
identification of teacher candidates in high school, (b) a teacher education induction to
create connections and networks of support for the students, and (c) an evaluation of the
project (Cooper & McCabe, 1988). Cooper and McCabe point out that the teacher
education induction program was necessary to reduce the potential for social isolation
and lack of a peer group which many minority students experience at college and which
can eventually cause them to abandon their goals.
As informative as these studies are, we still need to hear the voices and
experiences of the students in these programs and the reasons why they remain in or
leave these programs. Knowing what factors students identify with their positive
educational experience can help project and program directors design and conduct
minority teacher education programs that successfully produce trained teachers for our
nations schools.
Gonzalez (1997) added a significant body of knowledge to what we know about
students experiences in minority teacher training projects with his large study of six
minority teacher training projects in three different regions of the US. In his interviews
with students across these programs, he found that students echoed common themes
across these programs about what helped them remain and be successful. These factors
included (a) programs that offered services beyond the typical tutoring or financial aid
(e.g., tutorials to develop learning skills and time management); (b) mentors who cared
about minority students well-being and success; (c) a caring and nurturing environment
that helped students stay focused on their goals, in spite of setbacks, academic challenges,
and other personal problems; (d) a cohort design in which students are admitted in groups
so that they can help each other through the program; (e) the setting of educational goals,
followed by regular faculty/student meetings to monitor students progress toward the
goals; (f) volunteer work as part of the program for those students who were receiving
financial aid; (g) the same high academic standards for minority students as were
expected of majority students; and (h) project staff as mediators between students and
institutional bureaucracy (e.g., financial aid, admissions, transcripts, etc.).
Gonzalez (1997) found what he called high levels of student satisfaction with
the teacher training projects in these schools. In particular, students were very satisfied at
those schools that integrated their services to cover individual as well as group needs. He
reported that reducing rigid rules and bureaucracy helped them through the administrative
system at the institutions. Other recent research has also corroborated his findings (e.g.,
Alston, Jackson, & Pressman, 1989; Middleton, Mason, Stilwell, & Parker, 1993).
Yopp et al. (1992) also investigated a minority teacher training project in terms of
the students perspectives. They surveyed students in the California State University
(CSU) Teacher Diversity Program, a minority teacher training project that includes
California State University at Fullerton, community colleges, and school districts in the
area. The majority of the students in this program were female (95%), Hispanic (70%),
bilingual in Spanish and English (81%), and between 20 and 55 years old. Yopp and
colleagues conducted a written survey of approximately 13 of the 66 instructional aides
in the program, "to determine the success or failure of certain activities to retain
candidates in a program which is designed to bring them closer to achieving teaching
credentials" (p. 30). The factors that students considered as helpful in keeping them in
53 Carrier , Cohen / Success in a Bilingual Teacher Training Project
the program were (a) ongoing career and academic advising, (b) peer support group
meetings, (c) financial support, (d) informational and motivational pamphlets that
communicated the successes of various students in the program, and (e) special events
and guest speakers. Yopp and colleagues noted that the factors that students in this
minority teacher training project identified as helpful in their pursuit of a teaching degree
have been suggested by other teacher education reform research to be important in the
recruitment and retention of minority individuals (e.g., Alston, 1988; Goodlad, 1991;
Pascarella, 1980; Tinto, 1987). Goodlad, for example, identified cohort groups who
move through a teacher program together with a team of faculty as an important
condition to improve teacher education programs (1991).
Mullen (1997) added important information to our knowledge of what minority
students in teacher training programs view as significant factors contributing to their
success. From her study of Hispanic pre-service teachers, she concluded that students
wanted support from their institution on advising and counseling. Of special interest was
the students desire for help in developing leadership roles. The students noted that
stereotypes of Hispanics as low achievers and lazy, stupid, and unmotivated were
damaging to their identity as developing professionals (p. 11).
Despite the successes of these minority teacher training projects across the nation,
they still represent a very small reduction in the shortage of available and qualified
minority teachers. Becket points out that the teacher population continues to be mainly
White and female (1998). One might add that it also remains largely unprepared to assist
English language learners (ELLs), given the fact that only 3% of teachers have a degree
in teaching English as a second language or bilingual education (NCES, 1997). The
serious nature of the shortage of qualified bilingual teachers is clear when one considers
that 41.2% of all public school teachers report teaching students who are ELLs, but only
12.5% report having received 8 or more hours of training on how to teach children who
are in the process of learning English as a second language as well as academic content
delivered in English (Gruber, Wiley, Broughman, Strizek, & Burian-Fitzgerald, 2002).
Garcia and Baptiste (1990-91) note that it also takes more than aggressive
recruiting of minority students to ameliorate the severe shortage of minority teachers
across the nation. More effort must be made to retain and guide the students to
graduation after they arrive on campus, and to make college campuses less alienating for
minorities. Consideration of what minority students say about their teacher training
programs can help create a more positive climate that nurtures minority students and
assist them toward the completion of their degree programs. Gonzalez (1997), in his six-
program study asked "From the perspective of the students themselves, what are the most
promising practices used by colleges of teacher education to attract and retain students of
color? (p. 57). Educating more minority teachers to work with ELLs means that many
of the teacher trainees will be bilingual and bicultural themselves, another factor to
consider in program design. Mullen, in her interviews of Hispanic pre-service teachers
(1997), concluded that input needs to be elicited from minority teacher candidates and
considered in future designs of teacher training programs. Accordingly, we interviewed
minority students in the Project ESCALERA bilingual teacher training project about their
experiences. The general research question that guided our study asked what factors

make a minority bilingual teacher training project successful from the students point of
view.

Method

In order to gather data about students perspectives of a teacher training project,
we used a qualitative research design, conducting six focus group interviews with
students about their experiences in the Project ESCALERA bilingual teacher training
project. The focus group interviews were tape-recorded and transcribed, and subsequently
analyzed for patterns of recurring phrases and themes that students related to their
experiences in the project.
Interviewing students about their impressions of an educational program has
precedents in other research studies of teacher training projects (Gonzales, 1997, Yopp et
al., 1992). Gonzalez pointed out in his study of six minority teacher training programs
that "by giving students a candid voice in identifying the qualities that are important to
them, promising program elements were discerned concerning the direction minority
teacher training should take" (1997, p. 57). Focus group interviews are particularly
useful because the researcher is able to structure the interview around specific and well-
defined goals by the use of guiding questions (Bogdan & Biklen, 2003). In particular,
focus groups provide an opportunity to collect data from group interaction. Bogdan and
Biklen point out that Group participants can stimulate each other to articulate their
views or even to realize what their own views are (p. 101). From this perspective,
students in teacher training projects can be valid and important sources of data about the
elements of the project that have affected the way in which they are proceeding toward
their educational goal.
There were two research questions that motivated our study. The first general
question was:
1. What are the factors that make a teacher training project successful from
the students' point of view?
Under this general question, there were five related questions that focused on the
design elements of Project ESCALERA. They were also influenced by the findings of
previous studies on teacher training projects (Diaz-Rico & Smith, 1994; Gonzalez, 1997;
Yopp et al., 1992). They were:
1a. How does course scheduling affect students success?
1b. Does financial assistance affect students decisions to enter and remain in
teacher training projects?
1c. Does program advising and personal counseling affect students success?
1d. Do special workshops and conferences affect students success?
1e. Do volunteer requirements affect students retention and success in the
project?
The second research question, suggested by anecdotal data gathered by ESCALERAs
Project Director over the length of the project, was:
2. In what ways does participation in a teacher training project affect
students personal lives?

Participants
The participants in this study were a volunteer sample of students in Project
ESCALERA who were either working toward their degree objectives or who had
graduated. All students received a letter from the Projector Director (who was also a
researcher in the study), inviting them to volunteer to participate in a focus group during
which they would be asked to share their experiences in the project. Students who
volunteered were then assigned to one of six focus groups, based on their status in the
project. These six groups were composed of students who (a) were in the associates
degree program, (b) had completed the associates degree program, (c) were in the
bachelors degree with teacher certification program, (c) had completed the bachelors
degree with teacher certification program, (e) were in the masters degree with teacher
certification program, and (f) had completed the masters degree and teacher certification
program.
Based on the recommendations of Krueger (1998) regarding the optimum number
of focus groups and the number of participants within a focus group, we had initially
intended to have six participants in each of the six focus groups for a total of 36
participants. However, of the 36 students and former students who volunteered, only 23
actually attended their scheduled focus group interview. All the volunteer participants
were female. The age range of the total population of participants was from 24 to 59
years of age, with an average age of 38.3. Twenty-two of the 23 participants identified
Spanish as their native language. The final number and composition of the participants in
each focus group is listed below in Table 1.

Table 1
Demographics of Focus Group Participants
Focus
Group
Number
One Two Three Four Five Six
Educational
Goal
Associates
Degree
Bachelors
Degree
Masters
Degree
with
Bilingual
Approval
Earned
Associates
Degree
Earned
Bachelors
Degree
Earned
Masters
Degree
with
Bilingual
Approval
Number of
Participants

6

3

5

3

4

2
Gender Female Female Female Female Female Female
Age Range 30-59 24-50 30-47 30-38 37-52 42
Ethnicity Hispanic Hispanic 4
Hispanic,
1 Filipino
Hispanic Hispanic Hispanic


Procedure
The six focus group interviews were held within a 1 year span in 1 hour sessions
at a time. A time convenient to the participants was chosen so that it would not interfere
with the participants work or class schedule. In all cases, the participants had sufficient
time to make comments on all the guiding questions. The authors of this paper, in their
roles of Project ESCALERA Director and partner in Project ESCALERA, met with the
participants in a conference room adjacent to the Projects main office at the community
college. We started by reading aloud the six guiding questions that we would be asking
the participants during the interview session, to alleviate their nervousness about the
process. We encouraged the participants to be forthcoming and honest in their comments,
indicating that this was an opportunity for them to improve Project ESCALERA and
other teacher training projects that were to follow it, and to help other students in the
program. The participants were assured that they would not be subject to any retaliation
or punishment if they gave negative or critical opinions about Project ESCALERA or its
staff and/or instructors, especially since Project ESCALERA was ending its fifth and
final year three months after the date these focus group interviews started. In addition,
we assured participants that their identities would be kept confidential and group findings
would be reported anonymously. We asked each participant not to discuss the contents of
the focus group discussion with others until the data collection was completed.
At the beginning of each session, we began by first asking the guiding question
and then inviting each participant to make a comment. However, after the first question
cycle, the participants invariably settled into a routine and each automatically took a turn
responding to the guiding question as the general conversation proceeded. At times, one
or more of the participants added comments to what the other participants had said about
a particular topic. On a few occasions, the Project Director added a comment, sometimes
noting that he remembered an incident that a participant had mentioned, or
acknowledging one of their statements. During most of the sessions, his interaction
consisted of non verbal encouragements for the participants to continue with their
comments. The professor took notes and also gave non verbal encouragements consistent
with attentive listening. The same format was followed for each of the six focus group
interviews.

Instruments
The eight guiding questions listed below in Table 2 served as the data collection
instruments. These questions were based, in part, on questions used in a prior written
survey distributed to Project ESCALERA students two years prior to the focus groups
and on anecdotal evidence collected by the Project Director over the period of the project.
They were also based on the factors identified by previous studies of minority teacher
training projects (e.g., Becket, 1998; Gonzalez, 1997; Mullen, 1997; Yopp et al., 1992) as
helpful to students in meeting their educational goals. Guiding Questions 1 and 2 were
related to our general Research Question 1, including 1a through 1e. Guiding Question 3
was related to our Research Question 2. Guiding Questions 4 through 8 were general
questions for the purpose of stimulating reflection and conversation in the group setting.

Table 2
Focus Group Guiding Questions
Order Question
1. How likely is it that you would have gone back to school to meet your career goals
without the Project ESCALERA scholarship?
2. What are your opinions about the project; i.e., what was successful or not successful
about it?
Prompts: Courses
Financial assistance
Program advising/counseling
Workshops/conferences
Volunteer aspect
3. What impact has Project ESCALERA had on your life?
4. What impact has Project ESCALERA had on your ability to teach?
5. What has been the most difficult challenge for you during your participation in Project
ESCALERA? How did you address that challenge?
6. If you could change one thing about Project ESCALERA, what would that be? What
would you change/leave the same?
7. If you had it to do all over again, would you change any of your actions?
8. What advice would you give to the Project STEP scholars?

Data Analysis
Approaching the data from a symbolic interactionist perspective, each of the
authors independently read through the transcripts of the six focus group interviews,
looking for patterns in terms of similar words, phrases, or concepts. These became our
preliminary coding categories or themes. When our independent analyses were
completed, we met to discuss and compare the categories. On our initial discussion, we
reached an interrater reliability of 95%. We then compared the categories that we had
developed, looking at representative quotes, and were able to resolve points of
disagreement. Because the same themes were arising consistently from all six of the
focus group interviews, we combined the data and discussed them together as one group,
based on the major themes that arose during our analysis.
Analysis of our coding categories revealed that the data fell into two distinctly
different groups. One group of categories represented information about the way in which
the projects design and administration affected the students. The other group of
categories included information about the way in which students personal experiences
influenced them during their time in the project. We labeled these two major categories
as the Structural Factors Category and the Ancillary Factors Category. We then assigned
the other categories as subcategories in one or the other major category. Table 3 below
shows the final structure of coding categories used in our analysis.


Table 3
Major Categories and Subcategories Developed for Data Analysis
Major Category Structural Factors Ancillary Factors
Subcategory Centralized Location Self-Esteem
Subcategory Convenient Class Location Role Model
Subcategory Institutional Paperwork Influence on Others
Subcategory Caring Support Staff
Subcategory Cohorts
Subcategory Informational meetings
Subcategory Mini-Conferences
Subcategory Financial Assistance

Validity
The validity of the data was strengthened by the consistency of the same themes
arising across all six focus groups. In addition, we also considered two other points in
triangulating the data. One point arose from the relationship of the themes from the focus
group interviews to themes that arose from a previous survey of 58 Project ESCALERA
students, conducted two years prior to the focus groups. Very similar themes emerged
from the previous survey data, such as (a) the value of cohorts for peer support, (b) the
development of self confidence among the students, (c) the value of the counseling and
advising received, (d) the importance of workshops and mini-conferences, and (e) the
accessibility and personal care and support from the Project Director and Staff Assistant.
A final point of triangulation arose from a comparison of the themes from our focus
group study to themes discovered by research into other minority teacher training projects
(e.g., Diaz-Rico & Smith, 1994; Gonzalez, 1997; Mullen, 1997; Yopp et al., 1992), which
showed similarity in such themes as the value of cohort groups, counseling and advising,
and personal care and support from Project staff.
The construct we were examining in this study was how students perceived their
meaning of success. We wanted to know, from the students point of view, what they
believed were the factors that led them to success in the project. We, as the researchers,
initially defined success as remaining in or graduating from Project ESCALERA, and
looked to the structure of the project for the factors that helped the students achieve their
individual success. The students, however, defined success in a broader scope. They
included the structural factors in their definition of success, but they also added their own
personal views of what success meant to them, which we categorized as ancillary factors.
Thus, we believe that our research method was appropriate because it allowed for an
expanded definition of success based on the participants views.
With regard to possible bias in the study, there was unavoidable self-selection
bias because our participants were a volunteer sample. Thus, it was possible that only
those students who had positive comments volunteered and, therefore, our findings were
biased by hearing only positive comments about the project. However, since the purpose
of the research was to look for the factors that contributed to success in the program from
the perspective of students, one would expect more positive than negative comments to
be offered. We attempted to minimize the bias by explaining to the participants that we
wanted to hear both positive and negative comments and that they would be helping
students in future projects by doing so, and some participants did make such comments.
Another element of possible bias arose from our different personal knowledge of
the participants. The Project Director had been the project advisor and counselor for all
the focus group participants and knew them on a personal basis. The faculty researcher,
however, met the participants for the first time at their focus group interview, with the
exception of one participant with whom she had an informal advising relationship. We
believed, however, that our disparate relationships with the participants led to a balance
in our analysis, because we were more cognizant of when the Project Director tended to
speak for the participants because of his close relationship with them or when the
faculty researcher tended to focus solely on their oral comments without consideration of
how the participants experiences were reflected in their comments and interactions
within the focus group.
With respect to reliability, Miles and Huberman (1994) pointed out that the
researcher is likely to change the behavior of others by his or her presence. The issue of
reliability, they maintained, is whether the process of data collection and interpretation,
are consistent over time and across researchers and methods. While there is no doubt that
the participants were influenced by our presence as researchers and also each others
presence, we believe that the consistency of the comments across the six focus group
interviews lends a measure of reliability to the information they provided.
In addition, our analysis showed that the factors the participants judged as useful
in recruiting, retaining; and graduating them from the project bore a close relationship to
the factors identified as helpful in other minority teacher training projects, thereby
supporting both external construct and content validity for our findings. Finally, it should
be noted that the data represent the experience of the participants over the five years of
Project ESCALERA. Consequently, we were able to examine not only the factors in the
process but also to see whether they had led to successful goal achievement for the
students, and to an increase in the number of minority bilingual teachers and teacher
aides in the surrounding community schools.

Results and Discussion

The results of the focus group interview analysis with respect to the research
questions of this study will be combined with a discussion of how they compare to the
results of other minority teacher training programs. We wish to give the reader an
understanding of both the structural bases to have in place when creating or improving a
program and the effects that a successful teacher training program can have on a
community and the participating individuals. We will also now refer to the participants
as scholars, to reflect how they were referred to by all Project personnel and also how
they referred to themselves throughout the length of Project ESCALERA.
We discovered a number of factors in common across all six groups which the
scholars identified as contributing to their success in achieving their goals and motivating
them. We divided these factors into structural factors (those which pertained to the
design of the program) and ancillary factors (those which pertained to the personal

experiences of the scholars both within and outside the program). We believe that it is
important to recognize and discuss these ancillary factors as well because they affected
not only the scholars but also their families, their communities, and the children they
were either teaching or would be teaching in the near future. Professional success for
these scholars was intimately connected with their personal success. We will discuss
these two sets of factors separately.

Findings: Structural Factors
Our first research question asked about the factors that make a teacher training
project successful from the students point of view. The structural factors that the Project
ESCALERA scholars identified as were important to their success in the program were
(a) a centralized location for information and advising, (b) convenient class locations, (c)
help with managing institutional paperwork, (d) a personal and caring supportive staff,
(e) cohorts for study and peer support, (f) informational meetings, (g) mini-conferences,
and (h) financial assistance. Each will be elaborated on below, with representative quotes
from the focus group sessions.
A centralized location for information and advising.
In support of the need for advisement for Hispanic teacher trainees, Diaz-Rico
and Smith (1994) cited Monsivais' study of 156 Hispanic teachers in which 58% reported
that inadequate and insufficient counseling from the university faculty was a barrier to
successfully completing a teacher education program. Yopp and colleagues (1992) also
noted that students in their survey repeatedly expressed the need for advising and feared
that they would make mistakes in selecting their courses without adequate help. They add
that, to ensure the success of minority students, the services of academic counselors at
the community college and the university are critical" (Yopp et al., 1992, p. 36).
The availability and quality of information and advising was also important to the
ESCALERA scholars. They reported that the ESCALERA Project Office served their
need for a centralization location for information about the project, their courses, and
other academic information. They noted that they were always able to call either the
director or the staff assistant and get their questions answered. One of the scholars
commented, We were going up and down, east and west, trying to find the classes that
we need and who can offer it And Project ESCALERA gave us a time[and], give us
the place to take it, it was a great facilitator (fg33). Another added, [To go to] one
location and get the answers that I needed was a marvelous thing. Usually youre
running around in circles and everyone sends youfrom one person to another (fg5).
This aspect of the project was particularly important for a significant number of the
scholars applying to the local universities because generally counseling is available only
for students already enrolled in their programs, not prospective students.
Convenient class locations.
One of the major elements of the project design was to enable scholars to take
classes in convenient locations close to their homes and schools. As Michael-Bandele
(1993) noted, we need to consider a restructuring of teacher education programs for
minority students so that classes are offered at times that people with daytime
responsibilities can attend. In Project ESCALERA, all of the courses were located in
schools within the four school districts that were being served by the project. This
element was important to the scholars also since most were employed in full- or part-time
jobs during the day, many in the local school districts. As one scholar reported, The
positive thingiswe can take classes all very close to our homes and so we dont have
to travel (fg3). Another noted, Classes were available in a reasonable distance from my
house and work (fg6).
Help with managing the institutional paperwork. It was very clear from the start
of the project that some of the scholars were going to need help to successfully navigate
the educational system in the US. Some scholars did not have university transcripts from
their respective countries; and others had difficulty obtaining verification of their high
school diplomas. The interface between the scholars and the state universities was often
strained due to the institutions lack of understanding about educational systems outside
the US that do not routinely provide the documents that US educational institutions deem
necessary for admittance. Scholars educated outside the US often become overwhelmed
trying to understand and obtain all the documents required for admittance. One scholar
commented on the help that the Project Office provided: Its crazy for us to understand
the system here. Since I started [at ESCALERA], I know where Im going to so I know
for sure how to plan ahead of time anditsgreat for me (fg3). Another scholar
pointed out the effect that not knowing the educational system has on first generation
students: Im the first generation. Many of our students dont go on because they just
dont understand the system. Theres nobody there to help them. Just not knowing how
the system works keeps some of our kids out of it (fg6).
The Project Office played a critical role in these instances, contacting people in
various offices at the university (some of whom were Project ESCALERA Advisory
Board members) and soliciting their help in getting the student through the paperwork
requirements. The scholars characterized the Project Office as a bridge between me and
the colleges (fg5).
Personal and caring supportive staff.
Diaz-Rico and Smith (1994) noted the importance of a personal relationship
between the students and the educational institution. When students have a contact
person they can approach to assist with advising and other issues, their anxiety level is
lowered and their efforts can be focused on their studies instead of on deciphering
institutional rules and regulations. Gonzalez (1997) also found that "the presence of a
caring and nurturing environment appears to be an important contributing force in
keeping students focused on their mission. They claimed it inured them to some degree
against unpleasant encounters, academic challenges, personal disappointments, and other
problems" (p. 58). Indeed, lack of support or poor support is cited as one of the main
reasons that minority students fail to remain in teacher education programs (Gordon,
1994).
For the scholars in Project ESCALERA, the availability of caring and concerned
staff who would listen to their problems was also an important factor in keeping them
motivated to continue with their classes. As one scholar pointed out, Every time we
need it, you [the Project Director] and Sandra [the Project secretary] will be there for us.
Every problem that we have, you [are] always there for us even at home or on your

cellular phone (fg3). Others added, Students need support in a different way, to keep
from being overwhelmed, to stay focused on the moment instead of the big,
overwhelming picture (fg2) and To be positive and encouraging is important. One of
the things that I see as very positive is that you try to encourage us every time that you
can (fg3).
Having someone who would just listen to their problems was a very important
factor for the students. One scholar commented about a critical moment for her: My
most challenging moment was when my father passed away. Then I really messed up, but
luckily teachers and Project ESCALERA helped me through it and kept me focused so I
could continue (fg2). The Project Office was clearly a place that the scholars found to be
comfortable and welcoming. Having one centralized location with people willing to listen
and care was very important to the students. In addition, the Project Office met the needs
of many of the scholars who were both older and first-generation college attendees. As
Gonzalez noted in the results of his six program survey, students want services that
address their personal as well as their academic needs (1997). He also added that "such
programs appear to be especially well suited to the needs of older students and first-
generation college attendees whose families have little or no prior experience with
college life" (1997, p. 56). This situation was the case with many of the ESCALERA
scholars.
Garcia and Baptiste (1990-91) commented that minority students often face an
unwelcoming climate on college campuses. Aware of this issue, there was a conscious
attempt by ESCALERA staff to provide a helpful and nurturing and caring climate for the
scholars. The Project Director spoke Spanish, as did his staff assistant, who was
Hispanic. Also, the main campus location of Project ESCALERA had a high percentage
of Hispanic students and staff.
Cohorts for study and peer support.
Cooper and McCabe noted that "it is most important for the students to have an
identified peer group" (1999, p. 46) and Michael-Bandele (1993) added that students
need a social support system that nurtures and motivates them. Yopp and colleagues
(1992) also found that peer support groups became more valuable to students as they
progressed in the program. ESCALERA scholars echoed these findings as they
commented about their own cohort group membership. They generally characterized the
cohorts as one of the elements that will really help [them] to continue [on] and get their
goal (fg6). They had strong personal feelings about their particular cohort group. As
one scholar explained, Its like a family. You really want to learn because everybody is
helping each other. Its hard sometimes becauseEnglish is my second language. But
there were other people there that are in my same situation and everybody helped (fg2).
Another agreed, adding, We help each other and we encourage each other also to
succeed and that is something that I like very much. Its a good environment and it
encourages us to continue studying (fg3).
Informational meetings.
One of the means by which information about financial aid, course offerings, and
other project-related news was disseminated to the scholars was through regular
informational meetings. The Project Director also used this opportunity to share some of
the stories of scholars who had overcome difficulties during their course of studies, and
to encourage the scholars to persevere. The scholars comments verified that these
meetings provided them with helpful advice and motivated them to continue their efforts.
One scholar stated, One of the things I see very positive[is] telling us what is
happening in the program or what things we need to do,what classes are going to be
the next ones (fg3) and another remarked, We always came [away] with
somefeedback, some information, [and] more excited about it [the project] (fg2).
Mini-conferences.
During the fourth and fifth year of the project, mini-conferences were held for the
scholars. The mini-conferences offered the scholars the opportunity to learn about new
material and new ideas from regional and national experts in the bilingual education field.
The purpose of the mini-conferences was also to motivate the scholars and impress upon
them their importance as professionals in the bilingual teaching field. Both mini-
conferences were highly attended. One scholar observed that, A lot of information has
been given not only at the time or level that were studying, but to further our education
and to continue on as professionals (fg5).
Financial assistance.
Kennedy (1991) noted that simply offering financial aid will not solve the
problem of underrepresentation of minorities in the teaching profession, but without it
there will not be any chance to correct the imbalance. Garcia and Baptiste pointed out
that "students from low socioeconomic status depend greatly (if not entirely) on financial
aid to pursue degrees in higher education (1990-91, p. 17). This was evidenced in the
study by Yopp and colleagues (1992) and also in our study. ESCALERA scholars
commented about the importance of financial aid in their decision to return to school. As
one scholar noted, Im a single mom and my parents live with me. Without the money, I
couldnt make it (fg3). Another added, I was thinking of spending the money for my
kids rather than going back to school until I hear[d] about ESCALERA[which] made it
so I was able to take classes (fg3). For some, financial assistance was the key to
accomplishing a lifelong goal: Ive always wanted to be a bilingual elementary teacher.
When financially I couldnt afford to have it, it was too upsetting that I couldnt
accomplish my goal (fg2).

Findings: Ancillary Factors
Our second research question concerned the ways in which a teacher training
project affects students personal lives. In the analysis of the data, we discovered that the
ESCALERA scholars also credited a number of non-structural factors with not only
helping them to achieve professional success, but helping them achieve personal success
as well. For these scholars, their personal success and confidence in their abilities
seemed to be linked together in these ancillary factors which were (a) an increase in self-
esteem; (b) being a positive role model for students, family, and friends; and (c) the
opportunity to have more influence on family, school, and community.


Increase in self esteem.
One of the significant motivators that the scholars mentioned was the increase in
self esteem that they experienced as a result of being in Project ESCALERA. By
returning to school, they had earned the respect and admiration of family and friends,
which increased their motivation to reach their goals. One scholar explained, My family
and I...were very proud of what I achieved (fg6) and another mentioned, [You are]
more secure and confident in yourselfyou can achieve whatever you want (fg6). The
prestige of the project also enhanced the prestige of its students. As one scholar said,
You know the program got a good reputation to the point that you know they say, Oh.
ESCALERA, you know its a trustworthy program. Its got prestige (fg5).
This increase in self esteem may be due to their view of teaching as a high
prestige profession. In his survey of minority students in six teacher training programs,
Gonzalez (1997) found that "in contrast to the generalized view of teaching as a low
prestige profession, many of the students in these programs expressed a different attitude.
Often, and with considerable conviction, the minority students said they regarded
teaching as an honorable profession (Gonzalez, 1997, p. 62).
Being a positive role model for students, family, and friends.
An important ancillary factor that the scholars mentioned was the effect that they
had on young Hispanic students struggling with whether to remain in or return to school.
Some scholars mentioned being role models to their young students: For girls,
especiallyworking with Latinas, young girls, the role model that we provide for our
students is very, very powerful (fg6) and Now that I am a teacher, every time I enter
the classroom, I have the opportunity to share part of me with my students as to how
beautiful education is and the opportunity they have to acquire it. I think especially for
the bilingual children. Sometimes they have that sense maybe it isnt for them (fg5).
Students also mentioned the effect on their family members: Its also an incentive for
my family, mainly for my nephews and nieces. They see that their older aunt is still in
school so that theres not an end to studying. My younger sister also is continuing
studying because she sees me and its an incentive not only for myself but for my whole
family (fg5) and Since I went back to school, my younger [son], he quit his job, he
went back to school (fg6).
The desire to provide guidance and to serve as role models for Hispanic students
was also found by Mullen (1997) in her study of Hispanic preservice teachers. She noted
that these students were involved in apprenticeship forms of guidance (p. 13) as a way
to support and strengthen their communities.
Being part of a bilingual teacher training project also gave the ESCALERA
scholars the ability to help high school students understand the US educational system.
One of the scholars commented on mentoring students to stay in school and prepare for
attending college: [Im] mentoring my nephews and niecestelling them look, you
guys can do this. But you need to be savvy about this kind of stuff because thats how
the successful kids get through four and five years of college (fg6).

The opportunity to have more influence on family, school, and community.
One of the most important aspects of Project ESCALERA was to train and retain
bilingual teachers who would, hopefully, remain in the area and teach in one of the four
local school districts. There were, however, no requirements that the graduates of the
project do so. Nevertheless, most scholars indicated that they intended to remain in their
community and return to teaching the students in the area schools. Many of them
discussed their responsibility to their family and community as a result of being in the
teacher training project. One scholar commented, How can I disregard this opportunity?
Everything is given to me andthey are giving me the opportunity to achieve my dream
since I was a teenager (fg2). Another spoke about how being in the project had affected
her view of herself: It has helped my teaching [by] enhancing the way I feel about my
own language, my own culture, my own capabilities as a person, as a woman. I see
myself as an example. Ive been maintaining my language and my culture through
education and I always tell them that its the best thing that they can do. Learn to become
a whole person. When you lose part of your language, you lost part of your personality
(fg5). Similarly, Gonzalez (1997) found that many of the students in the six programs he
surveyed spoke of the responsibility associated with the teacher's role within minority
families and communities (p. 62).
The scholars also spoke of their role as advocates for the educational rights of
Hispanic children and parents. One scholar spoke eloquently about how being in the
project had prepared her to help in her community when she commented, It showed me
the rights for my students, what they can ask for, what they should have that they dont
have. So, it made me aware of a lot of things and I really sometimes get really upset
because I say these kids or these parents can fight more for their childrens rights. And
they dont fight because nobody tell them that they have those rights to fight for. We as a
Hispanic or Mexican we are very passive parents and we say hes the teacher, he knows
the best, but sometimes they dont say all the rights that they have.We as teachers
should do more for these kids, especially in special education (fg2). Scholars also
mentioned the need to instill a sense of self-identity and cultural pride in Hispanic
children. As one scholar explained, During Thanksgiving, our [Hispanic] kids were the
Indians, of course. [My kids asked] why do we have to be the Indians sitting on the
floor? It was such an emotional thing for them that they were very dejected. I said why
are you walking like that, you come from Mayans, and Aztec Kings. Youre somebody
important. Think of what your culture is (fg5).
Michael-Bandele (1993) noted that well-prepared minority teachers "provide
students with a positive example of the teacher profession and encourage them, based on
their own positive learning experiences, to consider pursuing the profession" (p. 15).
Similarly the ESCALERA scholars indicated that the pursuit of a teaching degree not
only allowed them to enter the teaching profession, but also to be taken more seriously in
their community and to have a larger impact on their community. In essence, the degree
gave them the voice that they had been previously denied. As one scholar noted, Ive
been involved in the community almost all my life and I have been able to learn a lot that
Ive been able to share with the community. But because I didnt have the degree before,
they viewed me as a person without the [knowledge]. Now, with the degree, is a totally

different thing. I can tell them the same thing I told them before the degree, but because
of the degree, it makes a difference (fg5).

Implications and Conclusion

The research questions that guided this study asked what factors make a minority
bilingual teacher training project successful from the students point of view, and how it
affected their personal lives. Through the voices of the ESCALERA scholars, structural
factors in a teacher training project that had a positive effect on helping minority
bilingual students remain in and successfully complete their educational programs were
identified. This study also revealed ancillary factors that developed outside the structure
of the project, but were equally important to the scholars and motivated them to continue
pursuing their goals. Our findings support Gonzalez suggestions that "a new type of
project design is emerging for recruiting and retaining minority students in the teaching
professionbased on a more holistic view of minority students...which recognizes the
personal as well as the academic dimensions...[and] the importance of a supportive and
nurturing environment" (1997, p. 63).
We can draw important educational implications from this study about both the
future design of minority and bilingual teacher training projects and the recruitment of
students to those projects. When students have a centralized location for information and
advising, convenient class locations, a personal and caring supportive staff, and cohorts
for study and peer support, they are able to achieve academically. Projects that provide
help with managing institutional paperwork, informational meetings and conferences, and
financial assistance allow students to manage their lives as students, employees, and
caregivers more successfully.
Another equally important implication comes from the fact that the majority of
Project ESCALERA scholars were non-traditional; that is, they were returning to school
or experiencing their first opportunity to pursue a college education and career. They
exhibited a willingness to sacrifice and reprioritize their lives for their studies and they
also had a strong sense of responsibility for working in their communities. Similarly,
Birrell, Allred, and Butler (1999) noted that nontraditional students often make great
emotional, personal, and financial sacrifices to pursue their educational goals and are
very committed to their learning and to their goals. Therefore, focusing recruitment
efforts on older, non-traditional, and female Hispanic students, like those in Project
ESCALERA, may produce a significant number of new minority bilingual teachers who
have the cultural and linguistic background to provide Hispanic students with the high
quality education to which they are entitled. The benefit to the community brought about
by the ancillary factors such as those we found in our study should not be overlooked. In
addition to producing qualified teachers and teacher aides, ancillary factors can influence
students to become influential role models and powerful advocates for the Hispanic
community.
The findings of this study contribute to a theoretical foundation for understanding
the design and the functioning of minority and bilingual teacher training projects, as well
as their evaluation. Combined with the findings of other similar studies, a theoretical
framework should be designed to help researchers understand and derive meaning from
the interactions of students in minority and bilingual teacher training projects.
Because of the increasing linguistic and cultural diversity of our nations schools,
the need to identify, recruit, and retain bilingual teachers, especially minority bilingual
teachers, will continue. Ongoing research into the factors that promote the successful
recruiting and retention of these teachers is needed. This study represents a successful
model that should be replicated in future investigations of teacher training projects.
Other methodologies such as surveys, individual interviews, and participant observations
of students from entering to exiting these projects can provide richer and more
longitudinal data to validate and extend the findings of the studies that have been done
thus far. Also, we cannot assume that lack of success is due to the absence of the factors
that have accompanied success for some students. Therefore, research is also needed on
factors that prevent students from remaining and/or succeeding in minority and bilingual
teacher training projects.
Research into the factors that help minority and bilingual students create personal
and professional success for themselves has far-reaching implications. As Birrell and
colleagues so aptly pointed out, "By attending more thoughtfully to the development of
the whole person during teacher education, we may contribute more fully to the depth
and value of ordinary living in the mind, heart, and soul of the people we teach, and if we
take seriously the influence that teachers have on their students as role models, then we
contribute more fully to the development of the whole student as well, in particular,
Hispanic students (1999, p. 42).

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Endnotes

1 Students in Project ESCALERA were referred to as scholars by administrators,
instructors, Board members, and the students themselves. The decision to refer to
the students as scholars was indicative of the high expectations for them. This
was manifested in various ways throughout the duration of the project; for
example, in the mini-conferences held exclusively for the scholars that drew
important speakers such as James Crawford, and in the volunteer hours required
of the scholars, in which they could share the expertise they were developing.
2 While we recognize the fact that not all Hispanic students are bilingual, it is still
this population of students who are the largest pool of candidates for bilingual
teacher training programs.
3 Coding of the focus group participants quotes refers to the number of the focus
group. For example, fg3 refers to the transcript of Focus Group 3.

Dual Language Abilities of Bilingual Four-Year Olds: Initial
Findings from the Early Childhood Study of Language and
Literacy Development of Spanish-speaking Children

Patton O. Tabors
Mariela M. Pez
Lisa M. Lpez
Harvard Graduate School of Education

Abstract

This article describes language and early literacy skills in Spanish and English
for a sample of 344 bilingual children in Massachusetts and Maryland (ECS)
and a comparative group of 152 monolingual Spanish-speaking children in
Puerto Rico (PRC). The children in the study were assessed as 4 year-olds
entering pre-kindergarten programs. There were no performance differences
across languages or between samples on a phonological awareness task. The
ECS sample scored, on average, two standard deviations below the monolingual
population mean in oral language subtests of the Woodcock Language
Proficiency Battery in both languages. On average, the PRC sample scored
significantly better than the ECS sample in Spanish oral language skills. Dual
language analyses demonstrate a negative correlation across languages for
vocabulary, but positive correlations across languages for all other oral language
and early literacy tasks. Future analyses are outlined.

During the past several decades, many immigrant families, most of whom do not use
English as their home language, have arrived and settled in the United States. Consequently, in
the decade between 1990 and 2000, the number of school-aged children in the US who were
English language learners doubled; these children now make up close to 10% of this population.
Although as many as 329 different languages may be spoken in the homes of these children (U.S.
English, Inc., 2002), the largest proportion - 77% - speak Spanish at home (Office of English
Language Acquisition, Language Enhancement, and Academic Achievement for Limited English
Proficient Students, 2002).
As well as having an impact on public elementary and secondary education, this pattern
of increasing numbers of children who are English language learners has also had an impact on
pre-kindergarten (pre-K) education. For example, in 2000-2001, 26% of Head Start children
nationwide were considered dominant in a language other than English. Of these children, 83%
speak Spanish at home (Administration for Children and Families, 2001). Given the trend of
recent immigration and the tendency of immigrants to under-report the use of non-English
languages at home (Surez-Orozco & Pez, 2002), these numbers may even under-represent the
actual totals. Successfully educating these children, beginning in pre-K, is now a major
challenge throughout the United States.

The Early Childhood Study of Language and Literacy Development of Spanish-speaking
Children (ECS) was developed to answer some basic questions about this population of young
English language learners. The purpose of the study is twofold: (a) to collect data longitudinally
from pre-K to second grade for a group of young children from homes where Spanish is spoken,
and (b) to identify factors related to their development of language and literacy skills in their two
languages. In this article we will be reporting the initial findings of this study on the dual
language abilities of the children as 4-year-olds.
The pre-K period is a critical time for young children as they begin to make the transition
from home to school. One of the most important aspects of this time period is the development
of language skills that will be needed as the foundation for the literacy skills that they will be
expected to acquire in the schooling context (Snow & Tabors, 1993). However, we assume that
this developmental sequence of language to literacy skills may be different if a child is exposed
to a second language during this time period. Given that children need to have considerable
control over a variety of aspects of language, including phonology, vocabulary, syntax,
discourse, and pragmatics, prior to starting the beginning-to-read process (Snow, Burns, &
Griffin, 1998), it is clear that second language learners are faced with a difficult task if they are
asked to develop these language skills in a new language in a short amount of time, or must
begin the beginning-to-read process without having developed these language skills in their new
language.
Further, when children begin to acquire a second language in a situation where that
language is the societal language, as is the case for Spanish-speaking children learning English in
the US, there is a very real threat that they will, at the same time, suspend development in or
even begin to lose use of, their first language (Wong Fillmore, 1991). Although other
researchers have not found this to be true for children in a bilingual preschool setting (Rodrguez,
Daz, Duran & Espinosa, 1995), there is no mandate that preschool children be provided with
bilingual settings and most pre-K programs for second language learners are predominantly
English-language environments. Unless an English-language pre-K program makes a particular
effort to let parents and children know that their home language is considered an important
element in development, the conclusion reached by parents and children may well be that their
home language is undervalued, irrelevant, or an impediment to learning English, and therefore an
impediment to school success (see Tabors, Aceves, Bartolom, Pez, & Wolf, 2000).
Knowing what the pre-K experience is and how it is related to young children's language
and literacy skills in Spanish and English, however, is only the first step in the process of
investigating bilingual children's literacy development. As they enter kindergarten and as they
continue into first and second grade, the children in this study will continue to experience a
variety of circumstances, including being provided with literacy instruction in English, in
Spanish, or in both languages (simultaneously or serially) depending upon the school program.
One of the mainstays of bilingual education has always been that children should be taught to
read in the language that they know best (Collier & Thomas, 1989), because literacy skills in one
language are assumed to transfer to second language literacy as soon as oral control has been
established over the second language. This, in fact, may be true, but we still do not have a deep
enough understanding about what skills are transferable, under what programmatic
circumstances, with children of what age, and with what level of language proficiency.
Finally, we need to know, specifically, what precursor factors are related to children's
literacy skills in English and Spanish by the time they reach second grade. There is, of course, a

constellation of factors to be considered, including background variables such as child's non-
verbal IQ, parents' level of education and income, and number of years in the US; variables
related to language input from the home environment; and school language of instruction and
literacy program type variables. By collecting data across the time period from pre-K to second
grade on children with differing levels of language and early literacy skills in Spanish and
English, attending different types of programs, we will be in a position to begin to unravel some
of these complexities.
The Early Childhood Study, therefore, has been designed to answer the following three
interrelated research questions: (a) What are the language and early literacy skills in Spanish and
English of young Spanish-speaking children as they enter and as they leave pre-kindergarten?;
(b) How do these childrens language and early literacy skills in Spanish and English change
over time from pre-K to second grade?; and (c) What precursor factors, from their home and
school contexts, predict Spanish-speaking childrens Spanish and English literacy abilities in
second grade?
In this article, we report on the findings from the initial data collection period in the fall
of 2001. The research questions for this article are:
1. What are the language and early literacy skills in Spanish and English of young
children from Spanish-speaking homes as they enter a pre-kindergarten program as 4-
year-olds?
2. How do these language and early literacy skills compare to similar, monolingual
Spanish-speaking children?

Method

Participants
Child participants for the Early Childhood Study were recruited by contacting parents in
Head Start and public pre-K programs in three communities in Massachusetts (Boston,
Framingham, and Lawrence
1
), one community in Maryland (Montgomery County
2
), and two
communities in Puerto Rico (Loiza and Trujillo Alto
3
). All of the children were 4 years old and
were age-qualified to attend kindergarten the following year. Additionally, the children in the
sample in Massachusetts and Maryland were living in homes where Spanish was at least one of
the languages spoken. The Massachusetts and Maryland participants became the Early
Childhood Study (ECS) sample and the Puerto Rico participants became the Puerto Rican
Comparative (PRC) sample.
Early Childhood Study (ECS) Sample
A total of 350 children and their families were successfully recruited for the ECS sample.
In the fall of 2001, 6 of these children refused to be involved in the data collection (although they
have been maintained in the sample for later data collection), thus the ECS sample being
reported on in this article consists of 344 children. Eighty-four percent of the children in the
sample were born in the United States and 5% were born in the US territory of Puerto Rico. The
remainder were born in different countries in Latin America.
4

73 Tabors et al /Dual Language Abilities of Bilingual Four-Years Old

Although most of the children in the sample were born in the US, their parents come
from 22 countries and the US territory of Puerto Rico. Table 1 presents a list of the top four
places of birth for the mothers and fathers of the participating children. Note that 24% of the
sample did not have a father or male figure present in the home.

Table 1
Percent Distribution of Country of Origin for Mothers and Fathers of Participating Children
(n=321)
Mothers Fathers
Dominican Republic 26.9% 16.2%
El Salvador 21.7% 18.5%
Puerto Rico 12.8% 8.4%
United States 10.2% 7.0%

The ECS sample is also diverse in terms of language use at home, years of education, and
family income. Of the participating families, 69.8% report that they use only Spanish at home,
while the remainder report that they use both Spanish and English at home. Levels of parental
education range from 0 to 22 years. Nineteen percent of the mothers had completed eight years
or less of education, 29.2% have completed 12 years of education, and 29.3% have some higher
education. Twenty-five percent of the fathers have completed eight years or less of education,
17.5% have completed 12 years, and 26.6% have some higher education. The average years of
formal education for mothers (M=10.96, SD= 3.72) and for fathers (M=10.69, SD= 3.75) is
similar. In terms of family annual income, 77% of the families in the sample report making less
than $30,000 with 21% reporting they make less than $10,000.
Puerto Rican Comparative (PRC) Sample
The Puerto Rican comparative sample consists of 152 Spanish-speaking 4-year-old
children living in Puerto Rico. The sample was selected to be similar in age, gender, and socio-
economic background to the ECS sample. Inclusion of the PRC sample enables us to determine
expectable Spanish performance levels for the ECS sample. In future analyses, the use of this
comparative group will allow us to disentangle the effects that different instructional practices
might have on the language and literacy development of the children in the ECS sample, since
the children in Puerto Rico will experience a Spanish-only instructional language environment.
Almost all the children in the PRC sample were born in Puerto Rico (96.6%). This is
also true for the parents of participating children. Ninety-two percent of the mothers and 94% of
the fathers were born in Puerto Rico; the remaining parents were born in the United States.
Thirty-three percent of the sample does not have a father or male figure in the home. The
majority of the families report using only Spanish in their home (87.4%). Mothers years of
education range from 4 to 17, while fathers education range from 0 to 16 years. Eleven percent
of the mothers have completed eight years or less of education, 31.1% have completed 12 years
of education, and 42.9% have some higher education. Ten percent of the fathers have completed
eight years or less of education, 28.6% have completed 12 years, and 25.6% have some higher
education. The average years of formal education for mothers (M=12.11, SD= 2.46) is slightly
higher than that for fathers (M=11.37, SD= 2.44). Ninety-nine percent of the families report an

income of less than $30,000. Fifty-eight percent of the families report an income of less than
$10,000.

Instruments
The language and literacy battery being used for this study is based on previous work on
the language and literacy skills of young children (Snow, Tabors, Nicholson & Kurland, 1995),
while taking into consideration three further criteria: (a) the need to have tasks in both Spanish
and English, (b) the need to have as many instruments as possible that are of high reliability and
validity, and (c) the need to have tasks that are appropriate for the age range (ages 4 to 7) under
consideration.
The complete battery has been designed to provide data about a group of constructs that
have been shown to be related to childrens later literacy achievement (Dickinson & Tabors,
2001). Table 2 displays the constructs and the instruments that are being used to collect the data
for these constructs.

Table 2
Constructs and Instruments
Constructs Instruments
a

Phonological awareness Phonological Awareness Task
Vocabulary WLPB-R Picture Vocabulary
Letter and word recognition WLPB-R Letter-Word Identification
Writing and spelling WLPB-R Dictation
General language ability WLPB-R Memory for Sentences
Discourse skill Narrative Production Task
b
Concepts about print,
listening comprehension,
story retelling, decoding
Book Task
c
Note. WLPB-R is the Woodcock Language Proficiency Battery-Revised
a
Each instrument has a Spanish and an English version.
b
This task requires transcription and coding; not available for the present analysis.
c
This task was piloted in 2001-2002; not included in the present analysis.

The data being reported on in this article are from the Phonological Awareness Task and
the four subtests of the Woodcock Language Proficiency Battery-Revised (Woodcock, 1991a).
The Phonological Awareness Task
The Phonological Awareness Task was developed by the research team specifically for
this study as we were unable to find any equivalent test that was available in Spanish and English
that was appropriate across the needed age range.
5
There are five subtests: rhyme recognition,
rhyme production, initial phoneme recognition, sentence segmenting, and syllable segmenting.

There are two versions of the test, one in Spanish and one in English. These two versions tap the
same skills, but have been constructed separately to demonstrate the childrens phonological
abilities in each of their languages.
6

The rhyme recognition subtest consists of two practice items followed by six test items.
Children are shown a target picture (such as a picture of a cat) and choice pictures (such as
pictures of a hat and a ball) and provided with the names of each of the pictures. They are then
asked to point to the picture whose name rhymes with the name of the target picture. For test
items 1 through 3, the child chooses the correct picture from two pictures, and for test items 4
through 6, the child chooses the correct picture from four pictures. The rhyme production subtest
consists of two practice items and four test items. Children are asked to produce a rhyme for a
word spoken by the assessor, such as day or fly. If the child completes one of the two
practice items correctly, the four subtest items are administered. Credit is given if the word the
child provides is a rhyme, regardless of whether it is a real word or not.
The initial phoneme recognition subtest is similar in format to the rhyme recognition
subtest, differing only in that the child is asked to match pictures of words that have names with
the same initial sound. Again for the first three items the child chooses the correct picture from
two pictures. For the second three items the child chooses the correct picture from four pictures.
The sentence-segmenting subtest consists of two practice items and five test items. The
child is provided with a set of colorful tiles to use in this task. The assessor reads a sentence
from two to five words in length, and the child is asked to move one tile for each word in the
sentence. The syllable-segmenting subtest is similar in format to the sentence-segmenting task,
differing only in that the assessor says a word and the child is asked to move one tile for each
syllable in that word.
For each subtest, the child needs to pass at least one of two practice items in order for the
subtest to be administered. Additionally, rhyme production is not administered if the child does
not correctly answer at least four out of the six rhyme recognition items, and syllable segmenting
is not administered if the child does not correctly answer at least three of the five sentence
segmenting items.
The Woodcock Language Proficiency Battery - Revised (WLPB-R)
The Woodcock Language Proficiency Battery - Revised is a standardized assessment
consisting of a set of subtests used to measure different aspects of language and literacy skills.
There are two versions of these tests, one in Spanish and one in English.
The English Form of the subtests was normed on a randomly selected population of 6,359
English-speaking subjects in the United States. The sample was stratified and weighted so that
the population is representative of the distribution and characteristics of the US population.
Consequently, the norms for these assessments were developed from monolingual English-
speaking children.
The Woodcock Language Proficiency Battery-Revised - Spanish Form (Woodcock &
Muoz-Sandoval, 1995) is parallel in content and structure to the English Form. The Spanish
Form of the subtests was normed on 3,911 native Spanish-speaking subjects from both inside
and outside the United States. Of these subjects, 116 were tested in Costa Rica, 1,512 in Mexico,
196 in Peru, 634 in Puerto Rico, 128 in Spain, and 1,325 in the United States. Although some of
the subjects used to provide norming data for these assessments lived in the US, these children

were, by design, monolingual Spanish speakers (Woodcock & Muoz, 1995b). Consequently,
the norms for these assessments were essentially developed from monolingual Spanish-speaking
children.
The reliability and validity characteristics of both forms of the WLPB-R meet basic
technical requirements (see Woodcock, 1991b, p. 124). Standard scores for all of the WLPB-R
subtests are normed on a mean of 100 and a standard deviation of 15.
The four subtests being used in this study from the WLPB-R include Picture Vocabulary
(Vocabulario Sobre Dibujos), Letter-Word Identification (Identificacin de Letras y Palabras),
Dictation (Dictado), and Memory for Sentences (Memoria para Frases). In the Picture
Vocabulary subtest children are asked to select pictures to match words and to say a word when
shown a picture. Although a childs receptive vocabulary skills are measured at the beginning of
this test, this is primarily an expressive vocabulary task. The Letter-Word Identification subtest
first measures symbolic learning through the use of rebuses, followed by identification of letters
and then word decoding. The first items in the Dictation subtest measure childrens prewriting
skills, followed by items measuring their knowledge of letter forms, spelling, punctuation,
capitalization, and word usage. In Memory for Sentences children are asked to repeat words,
phrases, then whole sentences. This subtest requires the use of both short-term memory and
ability to extract meaning from the sentences in order to aid recall.
The Use of Parallel Instruments in Spanish and English
The decision to use parallel instruments in Spanish and English for this study was
premised on the need to document young childrens dual language abilities (see Oller & Pearson,
2002, pp. 8-12). Given that bilingual children are often tested in only one language most often
in English we felt that being able to show young bilingual childrens skills in each of their
languages, and then to show how their abilities in each language are related, would contribute to
our understanding of the process of dual language and dual literacy acquisition over time.
For the researcher-developed measures, like the Phonological Awareness Task, this
meant that two versions of the test were developed which tapped the same constructs in the two
languages. As no norms have yet been developed for this measure it is being used descriptively
and to document individual childrens growth over time. For the Woodcock Language
Proficiency Battery, however, there are norms based on monolingual childrens abilities in each
of the subtests. Consequently, when we use the standardized scores as comparisons for the
bilingual children in the sample, we are comparing them to monolingual children of the same
age.
We are aware that there are pitfalls involved with this approach when the instruments
being used have been normed and validated on a monolingual population (Valds & Figueroa,
1996). Clearly the greatest concern is that the use of any test that has been constructed for and
normed on a monolingual population means that bilingual children are being compared to
children who have had different linguistic experiences from their own. However, as we are not
aware of any assessments that are both appropriate for this age range and are normed on a
bilingual population7, our decision was to use instruments that were developed for this age
range, and to take into account in our interpretation of the results of these tests that we are
comparing bilingual with monolingual children when we use standardized scores.


Procedures
Assessment sessions were conducted one-on-one at the school sites and lasted
approximately 45 minutes. During the assessment session, children were allowed to discontinue
the testing situation at any time
8
. To make children in the ECS sample as comfortable as possible
with the testing situation, they were assessed in their stronger language first and then in the other
language. Their stronger language was determined by asking parents on the consent forms what
language they thought their children knew best. Sixty-three percent of the children were first
tested in Spanish. The children who were tested first in Spanish were tested in English an
average of 12 days later. The children who were tested first in English were tested in Spanish an
average of 15 days later.
For the ECS sample, there were two teams of assessors, one for each language. The
assessors received extensive training on administering the assessment battery. Prior to assessing
a child, the assessor spent some time in the classroom getting to know the child. Assessors
spoke only in the language of the assessment during both the warm-up session in the classroom
and the assessment session. These procedures - having separate language teams and using only
the language of the assessment - were used to minimize code-switching during testing sessions.
Procedures for the PRC sample were similar, although the children were assessed only
once, in Spanish.

Data Analysis
Descriptive and Inferential Analysis.
As a first step, measures of central tendency and measures of variance were calculated for
the scores on the subtests of the Phonological Awareness Task and the standardized scores for
each of the subtests of the WLPB-R
9
. These analyses were done for both languages for the ECS
sample and in Spanish for the PRC sample.
Second, two sets of comparisons were made using the Phonological Awareness Task total
score and the standardized scores of the WLPB-R subtests. Paired-samples t tests were
conducted within the ECS sample to compare individual performance across languages. As a
result of this analysis, the value of Cohens d was calculated, in order to determine the effect
sizes of these comparisons, using the means and standard deviations for the standardized scores
of the WLPB-R subtests in each language.
Independent-samples t tests were also conducted to explore the differences in
performance in Spanish between the ECS sample and the PRC sample on the Phonological
Awareness Task total score and the standardized scores of the WLPB-R subtests. In order to
determine effect sizes of these comparisons, the value of Cohens d was calculated using the t
test value and the degrees of freedom generated by the independent-samples t tests.
Additionally, Levenes test of homogeneity was used in testing for possible violations of
homogeneity of variance.
Dual Language Analysis.
In order to demonstrate the ECS sample childrens dual language abilities, bivariate
displays were developed by plotting each childs score in English against the score in Spanish for
the Phonological Awareness Task total score and the standardized scores on the four subtests of

the WLPB-R. These displays allow for the depiction of individual childrens performance in
both languages simultaneously. Bivariate correlations were also computed to determine the
strength of the relationship between individual childrens performances in English and Spanish
on the Phonological Awareness Task total score and the standardized scores on each individual
subtest of the WLPB-R.

Results

Descriptive and Inferential Results
Phonological Awareness Task.
The descriptive results for the Phonological Awareness Task are presented in Table 3.
Three sets of results are presented for each subtest and for the total score: (a) the results for the
ECS sample in English, (b) the results for the ECS sample in Spanish, and (c) the results for the
PRC sample in Spanish. For the ECS sample, a total of 332 children took the Phonological
Awareness Task in English and 337 children took the task in Spanish. For the PRC sample, a
total of 152 children took the test. The reported n for each subtest represents the number of
children who were administered the subtest, based on the criteria mentioned previously. As can
be seen in the table, there were considerable numbers of children who did not pass the practice
items for the subtests or who did not reach criterion to take the rhyme production or syllable
segmenting subtests.


Table 3
Means and Standard Deviations for Phonological Awareness Task

Rhyme
Recognition
Rhyme
Production
Initial
Phoneme
Sentence
Segmenting
Syllable
Segmenting
Total
ECS
English
n 194 15 189 213 32 332
range 0-6 0-4 0-6 0-5 0-5 0-25
M 2.77 2.27 2.33 1.85 2.66 4.49
SD 1.64 1.75 1.23 1.09 1.58 4.06
Spanish
n 237 12 198 191 15 337
range 0-6 0-3 0-6 0-4 0-4 0-16
M 2.61 .58 2.32 1.34 2.13 4.07

SD 1.38 1.17 1.50 .94 1.25 3.33
PRC
Spanish
n 100 1 97 72 3 15
range 0-5 0 0-6 0-4 1-2 0-12
M
2
2.42 .00 2.10 1.33 1.67 3.61

SD 1.32 . 1.29 .90 .58 2.84

Note.

A paired-samples t test indicated no cross-language difference on the total scores for the ECS sample. An
independent samples t test indicated no difference on the total scores in Spanish between ECS sample and the PRC
sample. ECS refers to the Early Childhood Study sample; PRC refers to the Puerto Rico Comparative sample.

As we anticipated, this task was quite difficult for the children in the study. The highest
possible total score for this test is 26, and although one child in the ECS sample achieved a total
score of 25 in English, the highest score for the ECS sample in Spanish was 16 and for the PRC
sample the highest score was 12. As this task will be used through second grade, however, these
results indicate that there are opportunities for children to demonstrate growth in phonological
awareness in the future.
The paired-samples t test indicated no cross-language difference on the total scores for
the ECS sample. The independent-samples t test indicated no difference on the total scores in
Spanish between the ECS sample and the PRC sample.
Woodcock Language Proficiency Battery-Revised.
Table 4 presents means, standard deviations, and ranges of the standard scores for each of
the four subtests of the WLPB-R administered to the ECS and the PRC sample. The reported n
for each subtest indicates that a number of children did not complete all of the subtests.


Table 4
Means and Standard Deviations for Woodcock Language Proficiency Battery-Revised
(WLPB-R)

Picture
Vocabulary
Letter-Word
Identification
Dictation Memory for
Sentences
ECS
English
n 336 336 335 330
range 14-114 61-120 18-124 0-138
M 68.47 90.78 88.73 73.54
SD 19.12 9.68 14.26 19.45
Spanish
n 340 338 338 330
range 7-130 63-120 14-121 0-115
M 65.13 88.87 90.38 69.77
SD 16.73 7.43 12.82 17.53
PRC
Spanish
n 152 152 152 151
range 63-117 68-115 15-117 19-131
M 84.04 87.99 86.73 83.87
SD 10.78 6.35 15.88 17.59

Note. A paired-samples t test indicated a significant cross-language difference on Picture Vocabulary (t (331)=2.32,
p <.05), Letter-Word Identification (t (329)=4.12, p <.001), Dictation (t (328)=-2.93, p <.01) and Memory for
Sentences (t (317)=3.20, p <.01) for the ECS sample. The effect sizes, measured with Cohens d, were calculated
using the means and standard deviations of the English and Spanish subtests for Picture Vocabulary (d = 0.19),
Letter-Word Identification (d = 0.22), Dictation (d = 0.12), and Memory for Sentences (d = 0.20).
An independent samples t test indicated a significant difference in Spanish for Picture Vocabulary (t (429)=15.01,
p<.001), Dictation (t (243)=2.70, p <.05), and Memory for Sentences (t (479)= 8.18, p <.001) between the ECS
sample and the PRC sample. The effect sizes, measured with Cohens d, were calculated based on the significance
tests for Picture Vocabulary (d = 1.16), Dictation (d = 0.24), and Memory for Sentences (d = 0.75).
ECS refers to the Early Childhood Study sample; PRC refers to the Puerto Rico Comparative sample.

As indicated in Table 4, the abilities of the ECS and PRC samples on the four subtests of
the WLPB-R are extremely varied. For the ECS sample, the standard deviations for Picture
Vocabulary and Memory for Sentences in both languages exceed the expected value of 15. For
the PRC sample, the standard deviation for Memory for Sentences also exceeds the expected
value of 15.
When the means on the subtests are compared to the means of the monolingual norming
populations on the WLPB-R, the children in the ECS sample are performing, on average, more
than two standard deviations below the population mean on the Picture Vocabulary test in both
English and Spanish. On average, the children in the PRC sample are performing one standard
deviation below the population mean in Spanish. Similar results are found on another oral
language task, Memory for Sentences, in which the children in the ECS sample are performing,
on average, close to two standard deviations below the population mean in both English and

Spanish. The children in the PRC sample are performing, on average, one standard deviation
below the population mean on this task. Less extreme differences are found for the two literacy
tasks, Letter-Word Identification and Dictation, in which the children in the ECS sample (in both
languages) and the PRC sample (in Spanish) are performing, on average, slightly less than one
standard deviation below the population mean.
Results from the paired-samples t tests show significant differences across languages for
the ECS sample. As reported in Table 4, significant mean differences were found for all four of
the subtests of the WLPB-R when children were paired against themselves with regard to
language performance. The children in the ECS sample performed significantly better in English
on the Picture Vocabulary, Letter-Word Identification, and Memory for Sentences subtests, and
significantly better in Spanish on the Dictation subtest. However, calculations of effect sizes
show that these differences would be characterized as small as defined by Cohen (1988).
Results from the independent-samples t test show some significant differences between
the ECS sample and the PRC sample in Spanish. After corrections for violations of assumption
of equal variances for Picture Vocabulary and Dictation, differences were identified in three of
the four subtests on the WLPB-R. The PRC sample performed significantly better on the two
oral language subtests, Picture Vocabulary and Memory for Sentences, and the ECS sample
performed significantly better on Dictation, one of the literacy subtests. Calculations of effect
sizes show large effects for Picture Vocabulary and Memory for Sentences and a small effect for
Dictation, as defined by Cohen (1988).

Dual Language Results
Dual language analysis results are presented in the bivariate displays in Figures 1 through
5. In each of these displays, four distinct groups of children are defined: one group has scores
below the sample mean in both languages; two groups show differential abilities, being above
the sample mean in one language, but below the sample mean in the other; and the final group is
above the sample mean in each language, demonstrating more advanced abilities in both
languages when compared to the overall ECS sample.
Figure 1 portrays each childs total score in English and Spanish for the Phonological
Awareness Task. Because this is a researcher-developed measure, there is no population mean
for this task. There is a slight positive correlation between the English and Spanish scores
(r=.342, p<.001).


Phonological Awareness - Spanish
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Figure 1. Bivariate plot depicting individual childrens total scores in English and Spanish on the Phonological
Awareness Task. The dashed line indicates the sample mean in each language.

As demonstrated by Figure 2, childrens English and Spanish scores in Picture
Vocabulary were negatively correlated with each other (r= -.284, p<.001). Children who scored
higher in English vocabulary tended to score lower in Spanish vocabulary and vice versa. There
is one outlier case of a child who scored above the norming population mean in both languages.


Picture Vocabulary - Spanish
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Figure 2. Bivariate plot depicting individual childrens total scores in English and Spanish on the Picture
Vocabulary subtest of the WLPB-R. The lighter dashed line indicates the sample mean in each language; the darker
dashed line indicates the population mean of 100.

Figure 3 shows the relationship of scores for the Letter-Word Identification subtest.
There is less variability of scores in the two languages on this subtest than on the Picture
Vocabulary subtest. There is a moderately positive correlation between English and Spanish
(r=.512, p<.001). Children have similar symbolic learning and letter identification skills across
languages.


Letter Word Identification - Spanish
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Figure 3. Bivariate plot depicting individual childrens total scores in English and Spanish on the Letter-
Word Identification subtest of the WLPB-R. The lighter dashed line indicates the sample mean in each language;
the darker dashed line indicates the population mean of 100.

Figure 4 shows the scores for the Dictation subtest. Like the Letter-Word Identification
subtest, these scores show less variability than the Picture Vocabulary subtest, but more
variability than the Letter-Word Identification subtest. There is a moderate, positive correlation
between the scores in English and Spanish (r=.500, p<.001).


Dictation - Spanish
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Figure 4. Bivariate plot depicting individual childrens total scores in English and Spanish on the Dictation
subtest of the WLPB-R. The lighter dashed line indicates the sample mean in each language; the darker dashed line
indicates the population mean of 100.

Figure 5 depicts the English and Spanish scores for the subtest of Memory for Sentences.
These scores are similar to the Picture Vocabulary scores in that children are scoring below the
norming population mean and are showing wide variability of skills. There is a slight positive
relationship between languages (r=.252, p<.001), so there is a tendency for children to score
similarly in English and in Spanish.


Memory for Sentences - Spanish
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Figure 5. Bivariate plot depicting individual childrens total scores in English and Spanish on the Memory
for Sentences subtest of the WLPB-R. The lighter dashed line indicates the sample mean in each language; the
darker dashed line indicates the population mean of 100.

Discussion

The primary purpose of this initial data collection period of the Early Childhood Study of
Language and Literacy Development of Spanish-speaking Children was to establish baseline
information about these young childrens language and early literacy skills. We assessed
childrens phonological awareness (as measured by the Phonological Awareness Task),
vocabulary skills (as measured by Picture Vocabulary), symbolic learning and letter
identification skills (as measured by Letter-Word Identification), prewriting skills (as measured

by Dictation), and language recalling skills (as measured by Memory for Sentences). We think
of these skills as falling into two broad categories: (a) oral language abilities, as expressed in
phonological awareness, vocabulary skills, and recalling skills; and (b) early literacy skills, as
expressed in symbolic learning and letter identification, and prewriting skills.
Selecting measures to gauge 4-year-old childrens English and Spanish language and
early literacy skills that would be appropriate into the early grades of elementary school was not
an easy task. In fact, we had to develop some of the measures to investigate specific skills that
we were interested in assessing, such as phonological awareness. Our results from the
Phonological Awareness Task and the subtests of the WLPB-R show that we have a battery of
tests with appropriate distributions that will allow us to track the language and early literacy
skills of the children through second grade.
This data collection period was also successful in that we were able to recruit a diverse
sample in terms of language skills and family background. We have a group of 4-year-old
children in the ECS sample who are demonstrating varying skills in the assessment battery in
both English and Spanish, and a group of 4-year-old children in the PRC sample who are
showing varying skills across the assessment battery in Spanish. This diversity of language and
literacy skills will make the future investigation of growth for this sample very interesting.

Childrens Language and Early Literacy Skills in Spanish and English as They Enter Pre-K
Programs
As mentioned in the results section, one comparison that can be made with this baseline
data is the comparison between the ECS sample means of the standardized scores on the subtests
of the WLPB-R with the population means on these subtests, keeping in mind that these
standardized scores are based on norms from monolingual populations.
Results from the WLPB-R subtests show that children in the ECS sample performed
better in the early literacy tasks than in the oral language tasks in both English and Spanish.
Given that these children are young English-language learners, it is not surprising that they
scored, on average, considerably below the norm in the oral language subtests in English when
compared to English monolingual children. However, they also scored, on average, considerably
below the norm in the oral language subtests in Spanish (see Cobo-Lewis, Pearson, Eilers, &
Umbel, 2002, for a similar finding). These results may well point to the vulnerability of young
bilingual children to language loss in the context of acquiring a societal language as their second
language. Continuing assessment in both languages will make it possible to follow individual
childrens trajectories in terms of gains and losses, and contextual data from home and school
will help us pinpoint the influences that are at work in the language and literacy development of
these children.

Comparisons between the Early Childhood Study Sample and the Puerto Rican Comparative
Sample
Results showing significant differences between the Early Childhood Study sample
performance in Spanish and the performance of the Puerto Rico Comparative sample are also
important. Children in the ECS sample performed better in the Dictation tests than children in
the PRC sample. This shows, perhaps, that children in the ECS sample have had more
experience with the type of tasks that involve prewriting skills such as holding and using a

pencil. On the other hand, the PRC sample scored significantly higher than the ECS sample in
the two oral language skills testsPicture Vocabulary and Memory for Sentences. Whereas the
PRC sample scored, on average, nearly one standard deviation below the population mean on
these two subtests, the ECS sample scored, on average, more than two standard deviations below
the population mean.
This comparison is important because it means that something other than family
background and low socio-economic status may be at play in these childrens language learning
process. Perhaps, the PRC sample has an advantage over the ECS sample on oral language skills
because these children are learning only one language Spanish - in the context of a Spanish-
speaking community. It might be that because the children in the ECS sample have to divide
their abilities across two languages, their performances on these two oral language tasks in
Spanish are impacted by their bilingualism.
Future research with these groups will allow us to examine what happens to these
differences in Spanish skills over time. Do children in the ECS sample catch up with the Spanish
skills of the children in Puerto Rico? Or do the differences between these two samples widen as
growth in language and early literacy development progresses in Spanish only for the PRC
sample, and in English and, perhaps Spanish, for the ECS sample? In addition, we will be able to
investigate how different factors in the home and classroom contribute to these differences over
time. For example, how does the type of instructional environment (i.e. English-only instruction,
bilingual instruction, or two-way English-Spanish instruction) impact these differences?

Dual Language Abilities: Relationships between English and Spanish Language and Early
Literacy Skills in the Early Childhood Study Sample
Results from the correlation analysis show that there is a significant relationship between
the ECS sample childrens language and early literacy skills in English and their language and
early literacy skills in Spanish. Specifically, childrens phonological awareness, vocabulary
skills, symbolic learning and letter identification skills, prewriting, and language recalling skills
are significantly related in English and Spanish. With the exception of vocabulary skills, all of
these relationships are positive, indicating that there is a tendency for children to perform
similarly across languages.
The finding that there is a positive correlation between the Spanish and the English
versions of the Phonological Awareness Task reinforces the theory that the foundation for
phonological awareness involves conceptual knowledge about rhymes and phonemes. Spanish is
similar to English in terms of linguistic levels with words being divided into syllables, onsets,
rimes, and phonemes. Although previous research indicates differences between Spanish and
English with regard to writing, phonological awareness is similar for both languages (Borzone de
Manrique & Signorini, 1998; Jimenez Gonzalez & Haro Garcia, 1995; Lopez, 1999). Given that
English and Spanish are both languages that use the alphabetic principle, and that at this early
stage children are being asked to manipulate similar concepts, this positive correlation means
that, on average, these children are already applying their conceptual knowledge across their two
languages (Durgunoglu, Nagy, & Hancin-Bhatt,1993).
Findings that the ECS sample children performed similarly across languages in the
Letter-Word Identification and the Dictation subtests are also not surprising, given that the initial
items on these tasks are not really language specific, but are tapping into more general abilities,

such as symbolic learning and representations, and prewriting skills, such as holding a pencil,
writing a straight line or a circle, and tracing letters.
The negative correlation between English vocabulary and Spanish vocabulary is,
however, an important finding in this study. Children who had larger English vocabularies
tended to have smaller Spanish vocabularies and vice versa as indexed by their English and
Spanish performances in the Picture Vocabulary Test of the WLPB-R. This inverse relationship
between English and Spanish vocabulary has been found in current research dealing with the
topic of depth and breadth of vocabulary in these two languages (Ordez, Carlo, Snow &
McLaughlin, 2002). It points to the importance of following these children through their
language and early literacy learning process to find out if they are likely to lose Spanish
knowledge as they learn more English, i.e. if they are in a subtractive bilingualism situation. Or
alternatively, depending on the support at home and/or school for dual language development,
some of these children might engage in an additive bilingual process in which skills in both
languages continue to grow.

Conclusion

This research has provided a baseline description of the language skills that a group of
Spanish-speaking 4-year old children brings to the beginning of their educational experience.
Clearly, these children are entering pre-K programs with a diversity of skills in their two
languages and these skill levels will have an impact on what the children learn in the pre-K
classroom and what they continue to learn at home.
Our findings regarding the low levels of vocabulary demonstrated by the children in the
ECS sample are important given the well-documented link between vocabulary size and early
reading ability (Snow, Burns, & Griffin, 1998). These findings suggest that this group of young
bilingual children may well be at risk for early literacy development due to their low levels of
vocabulary in both languages.
Future analyses on these data will examine changes in these childrens dual language and
early literacy skills after spending a year in a pre-K classroom. These analyses will take into
account the language or languages used in the classroom and at home, as well as the richness of
the language and literacy environment in these contexts. Future research on this sample will
track how their dual language and early literacy skills develop over time from pre-K to second
grade and how their growth trajectories vary systematically as a function of selected contextual
variables, such as characteristics of the individual children, language background, and language
experiences at home and at school.

Author Note

Patton O. Tabors, Harvard Graduate School of Education; Mariela M. Pez, Harvard
Graduate School of Education; Lisa M. Lpez, National Science Foundation, Minority Post-
Doctoral Fellow, Harvard Graduate School of Education.

This study is a sub-project of a program project titled Acquiring Literacy in English
directed by the Center for Applied Linguistics, Washington, DC. The program project is funded
by the National Institute for Child Health and Human Development and the Office for
Educational Research and Improvement, US Department of Education (Grant No. P01
HD39530).
The research reported in this article was presented at the conference of the National
Association for Bilingual Education, Philadelphia, PA, March 23, 2002.
Correspondence concerning this article should be addressed to Patton O. Tabors, 307
Larsen Hall, Harvard Graduate School of Education, 14 Appian Way, Cambridge,
Massachusetts, 02138. E-mail: patton_tabors@harvard.edu.

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Endnotes

1
Cooperating partners in Boston for the pre-K year were ABCD Boston Head Start and the
East Boston Early Education Center, a Boston Public School. Cooperating partners in
Framingham were SMOC Head Start and BLOCKS, a Framingham Public School. The
cooperating partner in Lawrence was the Greater Lawrence Head Start.
2
Cooperating partners in Montgomery County for the pre-K year were Head Start of
Montgomery County and the Extended Elementary Education Program of the Montgomery
County Public Schools.
3
The cooperating partner in Puerto Rico for the pre-K year was the Council for Preschool
Children of Puerto Rico, Inc. Head Start.
4
All family demographic information is derived from the parent interview which was
administered by telephone or in person. Most of the interviews were done with the mothers of
the participating children and lasted 15 to 20 minutes. The information from these interviews
was available for 321 of the 344 families in the ECS sample and 119 of the PRC sample.
5
This test is based on previous work by Lisa M. Lpez, when she was at the University of
Miami, David K. Dickinson, when he was at the Education Development Center, Andrea Rolla
San Francisco, at the Harvard Graduate School of Education, and Adele Miccio, at Pennsylvania
State University.
6
Rasch analyses indicate a reliability of .68 on the English version of the test and a
reliability of .59 for the Spanish version. Rank order correlations indicate that each subtest
contributes positively to the total score for both versions of the test, therefore all subtests have
been retained in the measures.
7
In fact, the only language proficiency assessment that has been validated with Spanish-
English bilingual children of differing abilities is the Bilingual Verbal Ability Tests (Muoz-
Sandoval, Cummins, Alvarado, and Ruef, 1998). This test is, however, not appropriate for
children younger than five years old.
8
In the ECS sample, 8 children who were assessed in Spanish refused to be assessed in
English, while 4 children who were assessed in English refused the assessment battery in
Spanish. Some children refused to complete individual subtests within the battery.
9
Raw scores for each of the subtests were converted into standard scores using the
Woodcock Compuscore and Program Profiles software program.

Preventing Reading Failure for English Language Learners:
Interventions for Struggling First-Grade L2 Students

Iliana Alans
University of Texas at Brownsville

Judith Munter and Josefina Villamil Tinajero
University of Texas at El Paso

Abstract

Student outcomes following the first year of implementation of an early
reading intervention project designed to improve L1 literacy in first
grade English language learners (ELLs) are described. Two schools in
south Texas are the sites for this study. The interventions were delivered
in Spanish (L1) through on-going supplemental reading instruction for
ELLs at-risk of reading failure. Results indicated a steady improvement
in reading levels as measured by the Tejas Lee, running records,
interviews and classroom observations. Preliminary findings support the
practice of providing ELLs with interventions that use an intensive,
systematic, culturally responsive approach to reading instruction.

Introduction

Recently the failure of schools to facilitate literacy development for growing
numbers of children has led to national concern (Haycock, 2001). Poor reading skills
across all levels lead to lower overall academic achievement, and the first grade seems to
be a critical developmental period for ensuring optimum literacy learning (Chall, 2000).
Multiple factors contribute to persistent low reading achievement outcomes, including a
lack of qualified teachers, socioeconomic factors, and non-native proficiency in English
(Snow, Burns, & Griffin, 1998). Students who experience early reading difficulty often
continue to experience failure in later grades as well as later in life. Numerous research
studies (e.g., Simmons, 2000; Tinajero & Hurley, 2001; Zelasko & Antunez, 2000)
indicate that young children who acquire early literacy skills have the tools to
exponentially grow in their knowledge and skills while those who do not develop early
skills fall further and further behind.
Intervention has increasingly replaced remediation as an effective approach to
help students struggling in the process of learning to read (Askew, Fountas, Lyons,
Pinnell, & Schmitt, 1998; Berninger, Abbott, Vermeulen, Ogier, Brooksher, Zook, &
Lemos, 2002; Bradshaw, 2001). Reading intervention programs are designed to hinder or
alter the action of reading failure by preventing it from occurring or stopping it early on if
it has already started. Students who participate in intervention programs either attain the
goal of reading or, alternatively, the program is discontinued and other options are
considered (Hiebert & Taylor, 1994). Convergent research findings indicate that English
monolingual students who struggle with reading benefit from intensive reading
instruction (OConnor, 2000; Torgesen, 2000), using early intervention programs such as
Reading Recovery (Clay, 1985), Right Start (Hiebert, Colt, Catto, & Gury, 1992), and
Early Intervention in Reading (Taylor, Frye, Short, & Shearer, 1992). These programs
have many elements in common (Pikulski, 1994) such as: (1) structured and fast paced
format, (2) strong effective program of regular classroom reading instruction, (3) reading
for meaning as an overriding consideration, (4) low pupil-to-teacher ratio, (5) fluency as
a major goal, and (6) writing as a means to teach and extend word identification skills.
These components are consistent with what research recommends for closing the gap for
struggling readers (Allington & Walmsley, 1995).
Less is known however, about the effects of supplemental reading instruction for
English language learners (ELLs) and about the instructional components that are most
critical for the development of reading skills for second-language learners in general. Of
particular interest to our study were intervention strategies for ELLs showing early signs
of reading failure. While it is clear that early intervention is essential to improving
achievement outcomes there is no consensus in the research literature on how to select
the most effective procedures for teaching reading to ELL students at risk of reading
difficulties as early as the first grade (Gersten & Baker, 2000).

Purpose of the Study

The purpose of this paper is to report the effectiveness of focused early
intervention for first-grade ELLs with reading difficulties and to identify the key
components supporting the learners gains in performance outcomes. The following
descriptions represent two distinct efforts in schools along the Texas-Mexico border. The
first (School A) utilizes university-based tutors and the second (School B) taps into
classroom teacher expertise. Critical to this project was the design of effective
implementation strategies for the intervention that would lead to improvements in
achievement levels for students in at-risk situations, incorporating sound pedagogical
strategies for teaching struggling readers with special attention to the ELL student.

Theoretical Framework

Critical Features of Literacy Development
A careful review of the literature (e.g., Begoray, 2001; Burns, Griffin, Snow,
1999; Homan, King & Hogarty, 2001) on successful intervention for struggling readers
points to several important elements (i.e., phonemic awareness, vocabulary development,
the use of decoding and word analysis strategies, listening/reading comprehension, and
reading/writing fluency) that are crucial for early literacy instruction. In the case of
ELLs, additional factors to be considered include contextual factors, such as the school
personnels use of native language, family involvement, understanding and valuing of
cultural diversity.
95 Alans et al /

Emphasis on Essential Reading Skills.
First, letter-sound relationships and word identification strategies should be taught
explicitly. In early literacy the three key features are phonological awareness, alphabetic
principle, and fluency with connected text (Ehri, 1998; Snow, Burns, & Griffin, 1998).
An important element of phonological awareness is phonemic awareness (i.e., the ability
to manipulate the individual sounds, or phonemes, in spoken words). This understanding
facilitates acquisition of the alphabetic principle and involves learning the letter-sound
correspondences as well as spelling patterns and applying this knowledge in reading text.
Lastly, fluency with connected text represents a level of expertise beyond the alphabetic
code. In this study, ELL students were given opportunities to read repeated text while
reviewing decoding strategies in context.
Listening and Reading Comprehension.
Reading comprehension is influenced by a broad range of factors, such as
vocabulary knowledge, appreciation for text structure, thinking and reasoning skills,
ability to apply reading comprehension strategies and word reading ability. When
children do not acquire good word reading skills early in elementary school, they are
denied ready access to the rich knowledge resources available in print. This may be
particularly unfortunate for children who are speakers of other languages and are in the
process of developing general verbal knowledge and ability in L2 (Torgesen, 2000).
Therefore, one of the goals for this research project was to build on students prior
knowledge and word recognition skills.
Vocabulary Development.
Language and literacy skills in the primary grades are directly related to later
academic success (Cunningham & Stanovich, 1997). Childrens reading comprehension
levels are affected by the types of opportunities available to them for building an
extensive lexicon, which, in turn, is dependent on exposure to a language-rich
environment. As such, learners with extensive vocabularies are likely to achieve reading
success (Anderson & Freebody, 1981). During the intervention sessions in this study,
students had opportunities to practice language and literacy skills in context and enhance
L1 verbal ability through group dialogue.
Emphasis on writing skills.
Emergent readers and writers are just beginning to grasp the concept that oral
language can be written down and others can then read and derive meaning from the
written word. As children engage in shared reading activities and as they develop writing
skills, they begin to discover relationships between the sounds of the language and the
symbols that represent those sounds. In this study, opportunities were provided for
students to analyze new words by saying them slowly and predicting the sequence of
sounds. The intervention presented explicit models that provided high-quality instruction
and strategies enabling children to achieve high standards in their writing. Through
independent writing, students had numerous opportunities to apply newly learned
techniques and strategies.

Use of Native Language and Culture for Instruction.
Teaching children to read and write first in their mother tongue has long been a
cornerstone of effective bilingual instruction programs (Faltis & Hudelson, 1998; Lapp,
Fisher, Flood & Cabello, 2001). There is a high correlation between learning to read in
the native language and subsequent reading achievement in L2 (August & Hakuta, 1997;
Greene, 1998; Thomas & Collier, 1997). Research indicates that literacy strategies
learned in one language transfer to reading and writing situations in a second language
without having to be relearned. In this study, tutors encouraged students to develop the
language and culture they brought from home and build on their prior experiences,
challenging the perception in the broader society that these attributes should be viewed as
deficits or hindrances to learners academic progress.
Synthesis of Constructs.
Ongoing and thorough review of the literature set the foundation for this study,
guiding its direction and development. The researchers paid close attention to the
centrality of the roles to be played by the critical factors outlined in the preceding
sections: reading skills; listening and reading comprehension; vocabulary development;
writing skills, and the use of native language and culture. Each of these has been woven
carefully into the intervention as it was designed, implemented and evaluated.

Overview of the Study

The study is conducted in the tradition of action research, an approach that is
arguably one of the most powerful approaches to scholarly writing on school
improvement today (McLaughlin, Watts, & Beard, 2000). Action research is a vehicle
for deepening the knowledge base on education/social issues by linking the words and
work of participants (e.g., teachers, students, parents) to the extant theoretical
understandings of the research literature. From this perspective, both basic and applied
research are viewed as useful tools for developing a balanced inquiry and analysis
process that blends the knowledge of teachers as reflective practitioners with the basic
knowledge of scholarly works and academic experts.
In this study, veteran teacher-researchers with more than two decades of personal
and professional experience as bilingual teachers and learners, program administrators,
parents and mentors, actualize the Deweyan (1916) notion of democratic participation in
classrooms and schools (Campbell, 1998, p. 194). Researchers who adopt this
participatory, active view of knowledge generation draw on an epistemology of
insiderness that sees life and work as intertwined (Delgado-Gaitan, 1993). In order to
develop analytical schemes grounded in empirical data, the researchers used a research
design that combines quantitative methods (i.e., t-test, chi-square) and qualitative
methods (i.e., journals, questionnaires, interviews, running records) collected
systematically over a period of 12 months.
As patterns began to emerge in the data collection process, they became the
themes of the research and the bases of the analytical framework. This grounded theory
process (Bogdan & Biklen, 1998), like a funnel, allowed the teacher-researchers to
97 Alans et al /
observe many possible themes early on in the study, with a gradual focus on a particular
set of themes as the patterns began to emerge.

Research Questions
At the initial stages in the design of the research project, the following
preliminary research questions were addressed:
1. What are the effects of supplemental reading instruction for first-grade
Spanish-speaking readers in bilingual programs?
2. What are the instructional components critical for developing reading skills in
ELLs?
The interventions used in both studies were based on the researchers ongoing
review of the research-based evidence that identifies critical elements of reading
instruction for monolingual English speakers at-risk of reading failure (Allington &
Walmsley, 1995; National Reading Panel, 2000; Snow et al., 1998) in combination with
reflective analysis on the experiential context of the schools and classrooms in question.
While specific interventions that benefit ELLs have yet to be more fully investigated, this
study explores the notion that elements known to prevent reading difficulties among
monolingual (L1) students have much in common with the cognitive development of
ELLs. As the data was analyzed over time, the researchers inquiry focused increasingly
on the role of systematic intervention, applied in a culturally responsive context, for
children from non English-speaking homes and communities.
Preliminary research findings drawn from the two schools in this study indicate
that the instructional components most critical for the development of reading skills for
monolingual children lead to effective development of literacy for language minority
children as well, while critical attention to the role of native language, context and culture
must not be dismissed in the case of children who are second-language learners.

Method

Research Design
This study uses an eclectic combination of scientifically based research methods
to provide a fuller understanding of the range and complexity of issues faced by the
teacher of L2 children in reading classrooms today. Although qualitative research has
gained currency in the field of educational research, many school districts and research
reports are still bound to quantitative measures in describing and assessing the work they
do. This study attempts to combine methods by using t-tests and statistical measures in
one school site, while viewing the ethnographic methods used in the second school as
equally valid scientific research, grounded in the processes of professional inquiry and
reflection. The synthesis of the procedures, conducted in two distinct sites with distinct
approaches to the research process puts a human face on the numbers, providing the
reader with a deeper knowledge of the problem under study

Participants
Tutors.
Participants for School A included 5 pre-service teachers in their junior year of
college enrolled in an instructional methods course that served as tutors for 25 first-grade
Spanish-speaking students on one elementary campus. Participation in the project was
voluntary. In January 2002, 2 tutors dropped from the project due to other course work
and matriculation. The remaining 3 tutors worked with 13 of the original 25 first-grade
students. All three were female, of Mexican American descent and bilingual speakers
with varying levels of English proficiency. All were in the first year of their teacher
preparation program enrolled in an instructional planning and curriculum development
course.
In School B, a fully certified bilingual classroom teacher with over 20 years of
experience participated as teacher/tutor. This teacher had extensive preparation in the use
of the Reading Recovery Program.
Students.
Two tutors dropped from School A in January 2002, consequently 13 of the
original 25 students received the year-long intervention. All 13 students identified
themselves as Mexican American and indicated Spanish as their native language. The 13
students included 10 males and three females. Their classroom teachers identified all 13
as considerably below level readers through scores on the first-grade assessment, Tejas
Lee (assessment described in Student Data Sources section). The 13 students who
participated in School B were all native language Spanish speakers, identified by their
teacher as at risk of reading failure.
The neighborhood schools are Title I campuses where all students qualify for free
and reduced lunch. In these border community schools, the student ethnic distribution is
more than 80% Mexican American and over 50% of the student population is designated
as limited English proficient by state standards.

Measures
Formative evaluation data was gathered throughout the year to evaluate and refine
the project efforts. Information was gathered regarding student progress, tutor
participation and teacher reflections. Standardized test scores, running records, and
informal classroom observations were collected to monitor student progress.
Students early reading skills were assessed using a variety of evaluation
procedures, such as Reading Recovery instruments (i.e., pre- and post-testing,
observations, and survey instruments). Students early reading skills were assessed using
the Tejas Lee, the Spanish version of the Texas Primary Reading Inventory. The Tejas
Lee (see Appendix A) is an informal, individually administered assessment that provides
teachers with an additional tool for determining how well students are progressing as
readers in Spanish. The Tejas Lee consists of a diagnostic screening and an inventory.
The reading inventory section includes tasks that ask children to demonstrate their
understanding of book and print awareness, phonemic awareness, graphophonemic
99 Alans et al /
knowledge, oral reading ability, and comprehension development (TEA, 1998). The
screen is used as a second grade benchmark for the states high stakes assessment given
in third grade and is a predictor of reading difficulties. The Tejas Lee was used as pre-
and post measures for the study. The pre-testing occurred within the first four weeks of
school and the post testing took place during the last three weeks of May 2002. Students
were also administered the Tejas Lee during December for mid-year benchmarks. The
classroom teacher conducted assessments that included pre- and post-tests using the Tejas
Lee Inventory, interviews, weekly logs, running records and classroom observations.

Procedures
Based on the common elements of successful early intervention programs for
monolingual children (Gaskins, 1999; Gullatt & Lofton, 1998; Zelasko & Antunez, 2000)
the intervention model was designed to consist of structured, fast-paced lessons delivered
in addition to the classroom instruction as a small-group tutoring program with 3-4
students (see Appendices B and C for lesson plan guides). The intervention was done as
a pullout in addition to classroom instruction. The intervention was conducted in
classrooms or occasionally in the library. The interventions took place during the 2001-
2002 academic year.
Intervention for School A consisted of 66 sessions three times a week
implemented over 23 weeks due to campus and university holidays. A one-three teacher-
student ratio was utilized based on research that investigated the effect of group size
during supplemental reading instruction (Vaughn, Linan-Thompson, Bryant,
Kouzekanani, & Dickson, 2001) indicating minimal difference between a one-to-one and
one-to-three ratio. In both studies each session was approximately 20 minutes in length
and conducted in the students primary language, Spanish.
Procedures in School B consisted of a one-to-one teacher-student ratio, intensive
tutoring implemented over a period of 15 weeks. School B classroom teachers used
Descrubriendo la Lectura (Escamilla & Andrade, 1992) as a framework for developing
procedures and principles of the intervention. Some of the important principles of this
program included teaching for independent strategic processing within the zone of
proximal development, providing frequent and intensive opportunities to read, exposure
to frequent, regular spelling-sound relationships, and using reading to obtain meaning
from print (Clay, 1993; Sensenbaugh, 1995). Follow-up procedures were implemented
after 4 months.
A systematic, structured intervention plan was developed around the critical
features of reading for both school sites (see Appendices B and C). Much of the time was
spent on explicit skill instruction coordinated with opportunities to practice skills in
context. Students were provided with many opportunities to practice skills, with
assistance from the tutor as well as independently. Project participants kept a record of
the number of days taught and results of on-going assessments. Tutors in School A
consulted with their University Supervisor on a weekly basis for support, feedback, and
guidance. Classroom teachers consulted and received regular visits from project directors
to receive ongoing supervision and feedback.
Results

Student Outcomes
Data from School A were analyzed using raw scores on the Tejas Lee subtests.
Scores were analyzed using a compared means paired t-test. Presented in Table 1 are the
paired t-test results for the Tejas Lee (pre-and-post-test scores). Subtests for the Tejas Lee
included Reconocimiento de Palabras (Word recognition, see Table 2), Comprensin de
Oraciones (Sentence Comprehension), Conocimiento de Sonidos, Difcil Y Fcil (Sound
Recognition, Difficult and Easy), and Conocimiento de Fonolgico (Phoneme
Awareness, see Table 3) which includes Unin de Silabas, Unin de Sonidos y Omision
de Sonidos (Blending of Syllables and Sounds and Omitting Sounds).

Table 1
Paired t-test Results for Tejas Lee Subtests Mean Percent Correct
PreTest Post Test

Subtest Name M SD M SD t(12)
Reconocimiento
de Palabras 28 .32 91 .10 7.3***
Comprensin
de Oraciones 11 .29 85 .25 7.7***
Conocimiento
de Sonidos
Difcil 50 .33 90 .17 4.7***
Fcil 74 .27 99 .03 3.2*
Conocimiento
de Fonolgico
Unin de
Silabas 63 .44 100 .00 2.9*
Sonidos 40 .34 100 .00 6.2***
Omisin de
Sonidos 26 .38 94 .10 6.7
****p<.05. ***p<.001.

101 Alans et al /
Table 2
Tejas Lee Results: Word Recognition and Sentence Comprehension
(Reconocimiento de Palabras y Comprensin de Oraciones)

Name Word Recognition Sentence Comprehension
Pre Post Pre Post
Child A 11/15 15/15 0/6 6/6
Child B 3/15 15/15 3/6 6/6
Child C 0/15 11/15 0/6 2/6
Child D 2/15 15/15 0/6 6/6
Child E 0/15 13/15 0/6 4/6
Child F 0/15 15/15 0/6 6/6
Child G 0/15 14/15 0/6 2/6
Child H 0/15 15/15 0/6 6/6
Child I 6/15 13/15 0/6 6/6
Child J 11/15 15/15 0/6 6/6
Child K 9/15 12/15 0/6 5/6
Child L 12/15 15/15 6/6 6/6
Child M 1/15 11/15 0/6 6/6

Table 3
Tejas Lee Results: Phonological Awareness
(Conocimiento de Fonolgico)
Student
Union of Syllables Union of Sounds Omission of Sounds
Pre Post Pre Post Pre Post
Child A 0/4 4/4 3/4 4/4 0/4 4/4
Chlild B 4/4 4/4 3/4 4/4 2/4 4/4
Child C 0/4 4/4 0/4 4/4 0/4 4/4
Child D 4/4 4/4 2/4 4/4 2/4 4/4
Child E 0/4 4/4 0/4 4/4 0/4 4/4
Child F 1/4 4/4 3/4 4/4 0/4 3/4
Child G 4/4 4/4 1/4 4/4 0/4 3/4
Child H 2/4 4/4 2/4 4/4 0/4 4/4
Child I 4/4 4/4 0/4 4/4 4/4 4/4
Child J 2/4 4/4 2/4 4/4 0/4 4/4
Child K 4/4 4/4 4/4 4/4 4/4 4/4
Child L 4/4 4/4 1/4 4/4 2/4 4/4
Child M 4/4 4/4 0/4 4/4 0/4 3/4

Pre-tests were administered in September with post-tests administered in May.
Students showed varying levels of achievement for each area, with all 13 students
exhibiting gains on pre-post test comparison at the minimum statistical significance level
of .05. Based on student results it was concluded the tutoring model should be tested
more carefully to see if similar gains would be obtained in a more controlled situation.
The results from School B, reported through running records, weekly logs,
interviews and observation field notes indicated similar gains in student performance (see
Tables 4 and 5). However, the greater reliance on qualitative methodology at this school
site created sets of data that provide information about the impacts of the intervention on
other central stakeholders in the reading intervention process, including teachers, tutors,
and program policy makers (i.e., administrators and supervisors). The combined results
are summarized in the section that follows.

Table 4
Tejas Lee Results: Sound Recognition
(Reconocimiento de Sonidos)
Name Difficult Easy
Pre Post Pre Post
Child A 0/13 13/13 8/14 14/14
Child B 12/13 13/13 14/14 14/14
Child C 0/15 5/13 3/14 14/14
Child D 7/13 13/13 12/14 14/14
Child E 12/13 12/13 12/14 14/14
Child F 13/13 13/13 14/14 14/14
Child G 1/13 11/13 4/14 14/14
Child H 5/13 12/13 8/14 14/14
Child I 10/13 13/13 14/14 14/14
Child J 7/13 13/13 14/14 14/14
Child K 7/13 9/13 14/14 14/14
Child L 7/13 13/13 10/14 14/14
Child M 5/13 12/13 8/14 12/14

103 Alans et al /

Table 5
Reading Recovery Results: Observation Survey in Spanish
(Examen de Observacin en Espaol)

Child A
(pre-test)
Child A (post-
test)
Child B
(pre-test)
Child B
(post-test)
Letter ID 60 61 59 61
Word Test 18 25 9 20
Concepts 20 20 16 25
Vocabulary 24 27
Dictation 37 39 21 39
Total Level ------------- 3 -------- 1

Discussion

The purpose of the study was to document the implementation of early reading
intervention for ELL students and to examine the student outcomes following 23 weeks
of implementation. The classroom teachers, tutors and university supervisor throughout
this study made reflective observations through weekly journal writing. Four merit
discussion at this time: teacher-student relationships, vocabulary development, student
motivation, and training.

Teacher-Student Relationships
The interactions that took place between students and tutors were central to
student success. Authentic trust and communication between teachers and students
frequently can transcend the economic and social disadvantages that afflict communities
and schools alike in inner city and rural areas (Cummins, 2000). These interactions are
fundamental to the academic success of culturally diverse students. Through the
intervention sessions students sense of self was affirmed. The affirmation of identity
established respect and trust between tutors and students that was crucial for the
development of students reading skills. The positive development of students identities
as readers played out in the interactions between instructors and students. Consequently
they were more likely to participate actively in instruction and apply themselves to
academic effort.

Vocabulary Development
Tutors created a vocabulary-rich environment by sharing authentic literature and
developing literacy both in context and through content areas. Vocabulary words were
taught and extended through oral language activities prior to reading them. Students were
encouraged to used varied words in sessions that included a large selection of vocabulary.
Interestingly, what mattered was not just the variety of words that the tutors used, but
also the variety of words that the children used as they spoke with the tutors and listened
to others (Dickinson & Tabors, 2002). During book reading, conversations encouraged
students to think about each story and how it connected to their experiences.

Student Motivation
Tutors at both schools indicated student motivation remained high throughout the
study based on student reactions, contributions, comments, and progress. Instructors were
concerned at the beginning of the study with the low levels of reading achievement for
each student. Both teachers and tutors were concerned that the interventions not become
boring for the students with the repetition of the lessons. The repetition and fast pace of
the lessons appeared to keep the students on task and excited. The instructors felt that the
students were reading successfully for the first time and progressing in reading
development. This also resulted in many positive notes and responses from parents and
classroom teachers.

Training
A final observation made by instructors indicated that ongoing reflection,
feedback and training were essential in helping them learn to follow the lesson model,
create interesting learning situations, and use assessment to inform practice. The
structured lessons were part of the training process. It was observed that as tutors taught
the lessons, they improved as instructional leaders and needed guidance from supervisors
less and less. Finally, on-going coaching was important in helping tutors make the
strategies their own and in reinforcing tutors responsibility for their students.
Tutors also need to be trained to have a basic understanding of the reading
process. The tutors in this project were in the process of developing that understanding.
Their university reading courses taken in concurrence with this project focused on a basic
understanding of concepts of print, decoding, sight-word learning, and common problems
that new and inexperienced readers share. This information was essential for tutors to
understand in order to be effective.

Implications for Practice
Both pre-service teachers (i.e., university students) and classroom teachers as
reading tutors can provide children with a valued mentor and friend. To have an
intervention result in true gains however, structure, training, supervision and planning are
needed. Schools and teacher preparation programs must make a strong commitment to
ensure that tutors are given the training and assistance they need.
School-based preventive efforts should be developed to maintain growth in
critical reading skills. Culturally responsive materials and instructional techniques should
be developed that are well integrated with ongoing classroom instruction. Adequate
development of these skills in first grade does not guarantee that children will continue to
maintain growth in second grade without extra help; however, if we allow children to fail
at any point during early schooling experience we are moving to a remedial rather than
a preventive model of intervention.

105 Alans et al /
The results of this study demonstrate that it is possible to facilitate the literacy
development of struggling L1 first graders in a relatively short amount of time. The
intervention however, must meet the following criteria:
a. Intervention is frequent and of sufficient duration to make a difference;
b. Pupil-to-teacher ratio is kept small (1-4);
c. Texts are carefully selected and sequenced to ensure student success;
d. Word learning activities are used to help children become familiar with
print;
e. Writing is used to teach and extend word identification skills;
f. Assessment is meaningful, practical, and ongoing;
g. Pupils build confidence and see themselves as readers.
h. Culturally responsive principles of instruction must be embedded in the
model.
i. Use of the mother tongue (L1) must be incorporated into the reading
intervention in the case of ELLs.
Training and coaching are essential components in helping tutors learn to adjust to
the model utilized in the project. The general principles of good reading instruction
(Weiler, 1998) should be used in intervention programs with focus on culture and
language as assets to enrich ELLs participation in all levels of literacy learning. Teachers
and tutors with appropriate cultural and linguistic funds of knowledge (Grisham, 2000;
Gutierrez, 2002) develop an increased sense of responsibility for teaching students in at-
risk situations. It is important to keep in mind that although the students who participated
in this study have made gains in their reading ability, their classroom peers have also
continued to make academic gains. Further research should be conducted to collect
longitudinal data and further substantiate these initial results.

Limitations

This study has several limitations. First, it does not control for all student
background variables (i.e., home intellectual climate and motivation) that are likely to
have an influence on student achievement. Second, there were no comparable control
groups to compare students who received and did not receive the intervention. Third,
teacher effect was not taken into account when measuring intervention effectiveness.
Fourth, the short-term nature of the study was an additional limitation, taken into
consideration when the data were elaborated and analyzed. However, changes in attitude
and self-esteem, are ultimately measured by the achievements of an individual over a
lifetime; as is quite common in the literature that studies such as this one use short-term
predictors of long-term changes. Although the results cannot be generalized, the findings
obtained from this preliminary study serve as a basis for further investigation and provide
the reader with a deeper understanding of the dynamics of the problem facing the
teachers of non English-speaking children in reading classrooms today.

Suggestions for Further Research

The results of this preliminary study invite further reflection and inquiry on the
many unanswered questions about successful reading intervention strategies for ELL
students. The students from this study should be followed for the next several years to
determine whether the gains made were maintained and transferred to other areas. Studies
should be conducted to determine which elements of the project plan are most important.
In addition to continuing to refine our knowledge about specific instructional techniques
and elements we must examine the intensity and duration of intervention required to
eliminate reading failure. Finally, further attention must be given to the potential for
studies that incorporate multiple research methods to illuminate our understanding of the
problem of overall school improvement to benefit all children.

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Appendix A

The Tejas Lee Reading Inventory

The Tejas Lee consists of a diagnostic screening and an inventory. The reading
inventory section includes tasks that ask children to demonstrate their understanding of
book and print awareness, phonemic awareness, graphophonemic knowledge, oral
reading ability, and comprehension development (TEA, 1998). The screen is used as a
second grade benchmark for the states high stakes assessment given in third grade and is
a predictor of reading difficulties. The Tejas Lee was used to develop pre- and post
measures for the study. The pre-testing occurred within the first four weeks of school and
the post testing took place during the last three weeks of May 2002. Students were also
administered the Tejas Lee during December for mid-year benchmarks. The classroom
teacher also conducted ongoing informal assessments.


Appendix B

Lesson Plan Guide Used by University Tutors in School A

Shared Reading
(2 minutes)
Song, listen to a story
read by the teacher
Building relationships
Phonological
Awareness (10
minutes)
Review initial sounds
Blend, segment,
phonemes
Students have opportunities to
both blend and segment. All
Activities are oral
-Syllables
-Onset/rime
Identifying
Create new patterns
Count syllables/use children's
names
Provide non-examples
-Rhymes Creating/Identifying Opportunities to practice
Word Study (3
mintues)
Alphabetic Principle
Make a word/ word
building
Opportunities to practice
Writing (3 minutes) Write
letters/words/sentences
Dictation
Closing Activity
(2 minutes)
Talk about something
that was learned
Summarize/praise
I. Alans University of Texas at Brownsville October 2001

Each lesson should follow a predictable sequence that uses what works to help struggling
readers develop independent reading strategies. Each component of the lesson has a
specific purpose and procedure, which will be described here.
Shared Reading (2 minutes): the first two minutes should be used to acquaint your
students to the activities and to allow students to share personal experiences related to the
text you will be reading.
Phonemic Awareness Activities (10 minutes): PA activities include playing with the
language, identifying rhymes, counting syllables, and working with onset/rime.
Word Study/Alphabetic Principle(3 minutes): Hands-on, manipulative, every-pupil
response activity designed to help children learn how letters go together to make words
and how small changes make different words (Cunningham).
Writing (3 minutes): Writing helps children move along in their reading development. As
they write and are coached by the tutor, they develop the PA and letter-sound patterns
essential to continued progress in reading. You will also use sound boxes to develop PA.
Closing Activity (2 minutes). Review key sounds/words from lesson. Have children
summarize their learning. Praise students for their approximations and successes.

111 Alans et al /
Appendix C

Parts of a Lesson/Timing Guide Used by Reading Recovery
School B Classroom Teachers

Minutes Activity Examples
2 minutes

Fluent writing/Reading Flash cards, frequency words,
dry erase.
10 minutes

Familiar Reading Re-reading of at least 2 familiar
books
10 minutes

Running Record (once each
week)
Use results to plan instruction
and regroup students
3 minutes

Letter Work/Making and
Breaking
Letter names, letter sounds,
formation, beginning sounds,
embedded
7 minutes

Writing a story Compose a message that carries
meaning
2 minutes Cut-up story/Sentence Construct sentences.
3 minutes Orientation to new book Use title, illustrations, etc
3 minutes New book attempted Encourage children to use
reading strategies
2 minutes Closing Ask students what they have
learned today, praise good
behavior, etc.

Helping Middle and High School Age English Language
Learners Achieve Academic Success

Yvonne Freeman and David Freeman
University of Texas Pan American

Sandra Mercuri
Fresno Pacific University

Abstract

Middle and high school-age English language learners present a
challenge for teachers. Some arrive with adequate formal schooling.
Others have limited formal or interrupted schooling. A third group
consists of long-term English learners who may have conversational
proficiency in two languages but lack the academic language required
for school success. The authors provide brief case studies of students
representing each of these groups and then present four research-based
keys for working successfully with struggling older English learners.
They conclude by describing how one teacher implements the four keys
with her English learners.

The number of English language learners in schools in the United States has
increased dramatically. According to the National Center for Bilingual Education
(NCBE), over the last ten years, while the general school population in the United States
has increased by only 24%, the number of English language learners (ELL) has increased
by 105% ("The growing numbers of limited English proficient students," 2000). In a
review of the research on concerns about English learners, Garca ( 2000) found that
policy makers and school administrators at state and local levels have three main
concerns. These are: (1) a growing number of students come to school unprepared, (2) a
steady increase in foreign born children and youth enrolling in schools at every grade
level, and (3) large numbers of native and non-native students with limited English
proficiency.
These changes in school demographics have had an impact on teachers across the
country. As we have worked with pre-service and in-service teachers, questions such as
the following often arise: Why do some older students who have only been here a few
months learn to read and write English so well while others, who have been here since
kindergarten, still struggle? How can I help my English learners to read and write in
English when they cannot read or write in their first language at all? What strategies
and texts should I be using with bilingual students? Who can expect me to get my
bilingual students to read at grade level when they are all at so many different levels of

English proficiency? New and experienced teachers alike may feel overwhelmed as they
attempt to meet the needs of all their students, including their English learners.
There are several potential reasons why English learners struggle in schools.
Many of them live in households and neighborhoods with high and sustained poverty,
attend schools with other poor children, and are members of families that are likely to
move from one school or district to another at least once during the school year.
Secondly, in many schools, all English learners are given the same curriculum despite the
differences among them. In relation to this latter reason, Garca ( 2000) points out,
There is no typical LEP child(p3). A third reason, as Valds (2001) has shown is that
frequently older students are trapped in a cycle of ESL classes in which they do low level
tasks that do not help them develop academic English or content area concepts As
teachers plan instruction for their middle and high school-age English learners, it is
important that they consider some basic differences among these students and provide
instruction that will challenge all their students without overwhelming them.
In this article we first present brief case studies of students who represent three
distinct types of older English learners identified by Olsen and Jaramillo (1999). The first
group consists of students who are recent arrivals who have had adequate formal
schooling in their native country and have developed literacy in their first language. The
second group are those recent arrivals who have had limited formal schooling and who
have not developed literacy in their primary language. The third group is made up of
students who have been schooled in the United States for at least seven years but have not
developed adequate literacy skills or academic concepts in either their first language or in
English.
All three types of older English learners face a considerable challenge. They need
to learn academic English and subject area content to succeed academically. We present
four research-based keys teachers can use to plan the kind of instruction that will enable
their middle and high school-age English language learners to succeed. Next, we describe
a thematic unit one teacher developed to put the four keys into action in her classroom.
We conclude by considering the implications for best practices for older bilingual
students

Types of English Learners

Students with Adequate Formal Schooling: Stephanie
Stephanies parents came to the United States from Argentina five years ago when
she was in the second grade. Both parents are educated professionals. Her mother is
bilingual and her father speaks German in addition to English and Spanish. Her father
owned a successful travel agency in Argentina, and her mother owned and operated a
ballet school. The family, concerned about the growing economic uncertainty in
Argentina, came to the United States supported by Rotary, an organization that promotes
international understanding. As soon as they arrived, Stephanies parents sought advice
from professionals in this country, and they carefully selected schools and extra
curricular activities that would help their daughter succeed socially and academically.
Now, five years later, Stephanie is in junior high school doing well in college preparatory
NJRP, 1:1 Winter 2003

114

coursework. Proof of Stephanies successful social adaptation to mainstream school
culture is that her parents main concern is that she is too much like a typical U.S.
adolescent!
Stephanie represents the first of the three types of English learners described by
Olsen and Jaramillo ( 1999). She is a new arrival with adequate formal schooling. She
came to this country within the last five years with a strong educational background and
literacy in her first language. Her parents are upper middle class and well-educated.
Stephanie had already developed academic language and content knowledge in Spanish
that transferred to her academic studies in English. When she first arrived, she lacked
conversational skills in English, but her school experiences and extra curricular activities
soon made her the most proficient user of conversational English in her household.
Students like Stephanie do well in transitional or maintenance bilingual programs
and can also succeed in ESL (English as a Second Language) programs. Such students
are usually integrated into the mainstream after one or two years although it still may take
several years for them to score at national norms on standardized test. Teachers often ask
why all their English learners dont succeed as quickly as these students. The answer lies
in looking at the differences between Stephanies background and the backgrounds of
two other types of older bilingual students.

Students with Limited Formal Schooling: Blia
Blia represents the second group of English language learners identified by Olsen
and Jaramillo (1999): recent arrivals with limited or interrupted formal schooling. These
students come to school in this country with limited academic knowledge and limited
English proficiency. Such students struggle with reading and writing in their first
languages or do not read or write their native languages at all. In addition, because of
their limited experiences in school, they lack basic concepts in the different subject areas.
For example, they are often at least two years below grade level in math, a subject that is
not heavily language dependent.
Blia is a Hmong student from Laos. Because of the Vietnam War, she did not
receive any schooling in Laos. The family escaped to Thailand where she attended school
at a refugee camp. Classes at the camp were informal. Teachers did not have adequate
preparation, supplies, or a well-designed curriculum. Blia learned some survival English
and a few academic concepts.
Blia came to the U.S. in 1994, right before the closure of the camp. Her parents
are not literature and went through culture shock as they tried to adjust to life in the U.S.
They had no marketable skills and very limited English. They lived in a large apartment
complex with other Hmong refugees, depending on welfare subsidies for their daily
needs.
Blia attended a newcomer school in a large district in California for one year and
then, at age fifteen, enrolled in the 10th grade at the regular high school. Not surprisingly,
she struggled academically in high school. Her aunt, a Hmong teacher in the district,
helped her pass her high school writing proficiency test. Without her tutoring, Blia
probably wouldnt have graduated. As Doua, her aunt, explained, I realized Blia had not
115 Freeman et al /

acquired enough English and it was her last year; she would either graduate or not, so I
decided to give her extra help. Well, she did eventually pass. She did have to repeat
summer school. She is at the local community college now.
Recent arrivals with limited formal schooling, like Blia, are faced with the
complex task of developing conversational English, becoming literate in English, and
gaining the academic knowledge and skills they need to compete academically with
native English speakers. Because they do not have the academic background to draw
upon in their native languages, they often struggle with course work and do not score
well on standardized tests. Many also lack an understanding of how schools are organized
and how students are expected to act in schools. Fortunately for Blia, her aunt is well-
educated and served as a mentor. Without Douas support it is unlikely that Blia could
have completed high school. She still faces great difficulties in the community college
because she has not had adequate time to develop the academic English proficiency
required for college classes.

Long Term English Learners: Mireya
Mireya is typical of the third type of bilingual student identified by Olsen and
Jaramillo (1999), the long-term English learner. All her schooling has been in the United
States. She did not experience a bilingual program that allowed her to develop first
language literacy and academic content knowledge while she was learning English. As a
result, she never developed literacy in Spanish, and although she has conversational
language proficiency in both Spanish and English, she has not developed academic
proficiency in either language.
Fifteen year-old Mireya was born in San Bernardino, California, on a sidewalk
next to her home to a single mother. Most of her schooling has been in a small, rural
town. Mireya grew up in the section of town known for crime and poverty. Her older
brothers and sisters are all known members of a local gang. Mireyas mother died when
she was in fifth grade, and as the youngest in the family, Mireya felt abandoned by her
father and her older siblings. Until recently, in fact, Mireya was a known troublemaker,
but at the beginning of her eighth grade year she wrote to her teacher that she was going
to change her ways.
Mireyas academic performance up to the year she entered the eighth grade was
dismal. Her records showed frequent Fs in different subjects. Mireya explained to her
teacher that early in her schooling classmates made fun of her for her accent and her
struggles to learn English. She responded by striking back and out and making no effort
in school. She now speaks both Spanish and English, but she has not developed grade
level academic proficiency in either language.
Long-term English learners like Mireya have attended U.S. schools for seven or
more years. Indeed, many are high school students who began kindergarten in the U.S.
Often, their parents have limited schooling, and the families live in poverty. Usually,
these students have been in and out of various ESL and bilingual classes without ever
having received any kind of consistent support program. They also have often missed
school during extended periods at different times. These students are below grade level in

116

reading and writing and usually math as well. Often, they get passing grades, Cs and
even sometimes Bs when they do the required work. Because teachers may be passing
them simply because they turn in the work, their grades give many of these students a
false perception of their academic achievement. However, when they take standardized
tests, their scores are low.

Differences Among Middle and High School-Age English
Language Learners and Recommendations
for Instruction

Students like Stephanie, the newly-arrived English learners with adequate formal
schooling, are the most likely to succeed academically. They generally come from middle
class backgrounds, and their parents are often well-educated. Such students have already
developed academic language proficiency and academic content knowledge in their first
language. They still need effective bilingual or ESL programs that will allow them to
continue to develop subject matter knowledge and skills as they acquire English. They
need knowledgeable teachers who can make the English instruction comprehensible.
They also need support as they go through culture shock and the adjustments involved in
living in a new culture and speaking a new language.
Recent immigrants with limited formal schooling, like Blia,, face a much greater
challenge. Often, their parents have only minimal education and the families live in
poverty. These students need to learn both academic English and subject matter content.
In many cases, no bilingual program is available for these older learners to provide first
language support while they learn English. They are quickly placed in mainstream classes
even though they may not understand much of the language of instruction.
Long-term English learners like Mireya understand conversational English, but
they havent developed the academic English needed for school success. These students
also often come from low-income homes, and their parents generally have limited
education. Many long-term English learners have experienced a great deal of school
failure, and often they develop negative attitudes toward school.
For students with limited formal schooling and for long-term English learners, it
is crucial that teachers implement a research-based curriculum that will challenge them
without overwhelming them. In the following sections, we summarize the research on
effective practice for older bilingual learners.

Four Keys for Academic Success

Key #1: Engage Students in Challenging, Theme-Based Curriculum to Develop
Academic Concepts
Garca ( 1999) conducted research on attributes of effective teachers. One of his
findings was that the teachers focused on meaningful instruction and organized
curriculum around themes. He noted, Students became experts in thematic domains
while also acquiring the requisite academic skills (p. 311). Garca reported on a special
117 Freeman et al /

program for high school students that featured student-generated themes. As one teacher
commented:
Having student-generated themes formalized student input for curriculum
[because] they create the theme, [and] we [teachers] let them imagine what
they want to study. They write the curriculum at the start of the six-week
unit. From assignment to assessment, they are more involved (p. 362)
This program, highlighted by Garca (1999), was successful in part because teachers
organized curriculum around themes that students helped choose.
Similarly, Freeman and Freeman (2001) described how an interdisciplinary team
of teachers at a middle school worked together to develop a unified curriculum. Student
schedules were organized so that each group of students worked with a team of four
teachers. The language arts, social studies, science, and mathematics teachers planned
thematic units together. For example, during the theme study, One World/One Family the
language arts teacher had students read The Acorn People (Jones, 1976), a powerful book
that tells the true story of the authors work as a counselor at a summer camp for severely
handicapped children.
The middle school students read this book, discussed it, and completed writing
and art projects. Through these activities, they came to realize that despite differences
among people, everyone belongs to One World and One Family. The other teachers in the
team focused on this same topic with activities in social studies, science, and math. Older
English learners benefit from this kind of unified curriculum developed around a topic
that is meaningful and relevant to them.

Key #2: Draw On Students Background:- Their Experiences, Cultures, and Languages
Moran, Tinajero, Stobbe, and Tinajero (1993) point out that limited formal
schooling and long-term English learners do well when they are accepted, respected,
made to feel that they belong, and given opportunities to be in charge of their own
learning(p. 117). In addition, they need teachers who build personal relationships with
them and their families. Grace, Mireyas eighth grade Language Arts teacher begins the
school year asking students to write to her, telling her about themselves and telling her
what they want from her as a teacher. Students respond to Graces sincere attempts to get
to know them and their needs. They write asking for help because they know they are
struggling readers and writers. Mireya wrote, The important thing for me is pass 8
th

grade. I will tell you the true I never like reading or write. But I want to be better on those
two things. I hope you could help me.
Grace does help her students. She and her students begin the year by reading
books, short stories, and poems to get at the question, Who are we? Where have we
come from and Who are the people who have influenced us? Grace selects culturally
relevant texts for readings including Living Up the Street (Soto, 1992), which contains
excerpts from the lives of Hispanics in the central valley of California where her students
live. Her class also reads about young migrant workers in The Circuit (F. Jimnez, 1997)
and about the experiences of other Hispanics in The House on Mango Street (Cisneros,
1984). In their written responses, the students connect the readings to themselves
personally by writing poetry, and doing projects about their lives.

118

Jimnez (2001) found that the struggling Latino/a students he worked with thrived
when their specific background and national origin were recognized and when the
challenge they faced at becoming competent bilinguals was acknowledged. In the school
that Jimnez studied, the Spanish-speaking students were not all lumped together and
treated alike. Students from El Salvador or Guatemala as well as those from Mexico were
validated for their specific national origin, and students who served as language brokers
for their monolingual Spanish-speaking relatives were given recognition. At the same
time, those who were not proficient in their native Spanish were not criticized. All the
students were encouraged to connect their reading and writing in English to their own
cultural backgrounds and to value the literacy of their communities, including oral
literary traditions. In these ways, educators at the school showed respect for the students
cultures, languages, and backgrounds.
Shifini (1997) studied older struggling immigrant students, including those with
limited formal schooling. He makes specific suggestions for improving their literacy.
These involve helping students feel part of the classroom community, drawing on
students background knowledge, and encouraging skill development through successful
engagements with texts. A key is to build on what students bring to the classroom their
language, culture, and previous experience to help them develop the knowledge and
skills they need to succeed academically.

Key #3: Organize Collaborative Activities and Scaffold Instruction to Build Students
Academic English Proficiency
Gersten and Jimnez (1994) observed successful teachers during reading
instruction. They looked particularly at ways teachers supported intermediate students
who lacked first-language literacy and experienced difficulties in reading in English. The
researchers concluded that effective instruction for language-minority students was
challenging, encouraged involvement, provided opportunities for success, and included
scaffolding and a variety of graphic organizers to draw on background knowledge and
give students access to content. In addition, they found that effective teachers give
frequent feedback, make the content comprehensible, encourage collaborative
interactions, and show respect for cultural diversity.
While it is important to provide challenging curriculum for older English learners,
it is equally important to support them as they study. Teachers can use a variety of
techniques to make the input comprehensible, including visuals, gestures, and graphic
organizers. In addition, research by Kagan (1986) has shown the benefits of cooperative
learning for language minority students.

Key #4: - Create Confident Students Who Value School and Value Themselves as
Learners
Many older English learners enter schools in the United States with little
confidence. They know that they are behind the other students in both their English
proficiency and their knowledge of academic content areas. However, when teachers
follow the first three keys (engaging students in challenging, theme-based curriculum,
drawing on their backgrounds, and organizing collaborative activities to scaffold
instruction), they create classroom communities in which students build confidence in
119 Freeman et al /

themselves as learners and in which they begin to see the value in school. As students
experience academic success, their attitudes begin to change, and they engage more fully
in the curriculum. In the final section, we describe how one teacher puts the four keys
into action in her fourth, fifth, sixth grade newcomer class.

Sandras Theme Study: Putting all Four Keys into Action
The physical environment of Sandras 4
th
, 5
th
, 6
th
grade classroom promotes
literacy and learning. Every portion of the small classroom and three adjoining alcoves is
filled with professional and student made posters, class produced big books, student art
work, song and poetry charts, a computer, a listening center, a board game an activity
corner, a math section, and a science corner. Everywhere there are books in Spanish and
English, including many literature and content books in card racks and in large
accessible, open boxes. The classroom belongs to the students, and they all know where
materials and books are kept. Because the class is a community the students know that
they all have the responsibility of taking care of what is there.
Students in Sandras classroom understand how the classroom is set up, and what
routines to expect as they engage in learning. Since her students have had little previous
schooling and suffer from various degrees of culture shock, Sandra has found that having
classroom routines helps them adjust to school and concentrate on learning to read, write,
and problem solve. Her students must not only develop literacy in their first language but
also prepare themselves to survive academically in English. Therefore, the daily routine
includes many opportunities for students to develop literacy in their first and second
languages while learning language through academic content.
The class frequently works in heterogeneous groups so students with different
talents can share their knowledge and help others. Sandra also includes many
opportunities for them to use different modalities as they learn. For example, the
indigenous Mixteco and Trique students from southern Mexico, who have had little
schooling, shine when illustrating class publications. When students work in centers, they
are paired up so that a stronger student can help a classmate who needs more support.
Whenever possible Sandra encourages students to take responsibility for leading
activities. She provides ample time daily for students to read and write. She reads to and
with students several times during the day and encourages them to analyze texts and think
critically. She also ensures that there is ample time for students to choose books and
engage in free voluntary reading.
Sandras students are almost all children of migrant farm workers from Mexico
including the indigenous students from southern Mexico. Sandra builds on what they
bring to school by developing a theme study each year around agriculture. This theme
draws on students' prior knowledge and personal experiences. It is meaningful for them
since it directly relates to their lives. Through teaching this theme, Sandra can present
concepts the students may have missed due to their limited prior schooling.
Last year Sandras From the Field to the Table theme study was part of a broader
unit that lasted twelve weeks and included the study of seeds, plants, nutrition and health.
Each topic flowed into the next giving the students the opportunity to develop vocabulary
in the target language while developing key concepts. Sandra began with the topic of

120

seeds, and this naturally moved into plants, and because plants are the main source of the
daily diet, she introduced the topic of food and nutrition. She brought the cycle to
completion by helping her students see that good nutrition depends on the plants and
crops their families provide for everyone.
Sandra involved parents from the beginning. She started the theme study by
sending a note home asking parents to share with their children traditional recipes that
they usually eat. The idea of this activity was to later prepare some of those recipes in the
classroom, analyzing the nutritional value of their ingredients and discussing how those
products travel from the field to the table. Sandra commented, It is incredible the
response that I got and the quality of information that the parents and students brought to
the activity. The students were proud of their knowledge and that of their parents. This
activity let me learn from my students and their parents.
A key book for her theme was The Tortilla Factory (Paulsen, 1995a, 1995b), a
book available in English and Spanish. Sandra read the book in Spanish to her class and
was soon interrupted by her indigenous Triqui and Mixteco students. When she read how
the earth was worked to plant the corn and then dried to make flour, these usually shy
students excitedly told her how they had done that in their villages and began to explain
in detail how they helped grind the dry corn, make the flour, and how they knew how to
make tortillas. Sandra is from Argentina and knew little about tortillas, but her students
told her that they wanted to teach her. They wanted to show her how to make tortillas.
The students were eager to take on the role of teacher, sharing their knowledge. The class
discussed the ingredients they needed for their tortilla project. They investigated where
the ingredients came from. They researched the different varieties of tortillas and the
kinds of foods eaten with tortillas. The Mixteco and Triqui students, who were usually
ashamed of their culture and language backgrounds, organized to bring all the needed
items to class for a cooking demonstration. The students who were not involved in the
demonstration were assigned to take notes during the whole process.
Sandra and the students gathered the materials and the utensils needed for the
demonstration. They arranged the room so the students taking notes would have a clear
view of what was happening at each table. Sandra labeled each utensil to build
vocabulary. Sandra remembered well the day of the demonstration. Since students from
indigenous groups of southern Mexico have corn as the main element of their daily food,
there is a tradition within the families that every female member needs to have the tools
necessary to pick, to grind and to cook the corn. The students brought different utensils
given to them by relatives as gifts. They were all hand made. The petate, a basket that
women hang back from their shoulders or heads is used to collect the corn as it is picked;
the metate , a stone used to grind the kernels with water to make corn flour; the
molcajete, a stone bowl in which the ingredients are mashed to make sauce; and the
comal , a circular metal grill on which the tortillas are cooked.
Once all the utensils and ingredients were placed on the tables, the students went
straight to work. At the first table, they explained how the corn is gathered and how the
people in their community arrange and keep it for later use. One of the students in this
group showed the class different techniques for removing the kernels from the cob. After
the corn was removed from the cob, one girl soaked the grains and ground them in the
121 Freeman et al /

metate by hand. This process is done each week by their mothers at home or by the
students themselves.
After this step was completed, students moved to the next table where another
group of students was preparing green chili sauce and red chili sauce to eat later on with
the homemade tortillas being prepared by their classmates. The students put the chilies
and tomatoes over the comal to cook the skin so they could be peeled more easily. Once
the chilis and tomatoes were ready, they put then into the molcajete and mashed them
together. They added salt, water and a little bit of fresh garlic. They tasted the sauce and
when it was done, the students moved to the next station.
At the third table, a student who cooks for her family daily when she gets home
from school, was in charge of making the dough for the tortillas. She showed mastery in
preparing it, and she directed her helpers, showing them how to prepare each tortilla by
hand or by using a pressing machine. In a short period of time everybody at this table was
working together to get the tortillas ready to be cooked. The collaborative work they did
showed also the community created in the classroom. The students observing and taking
notes were respectful of others working, and they were attentive to the whole process.
Everybody was an active participant, and the cooks shined at being the experts in front of
their peers and the teacher.
When the tortillas were ready, the students at the fourth table started cooking the
tortillas and flipping them over by hand as their mothers do every day. The students even
taught their teacher how to turn the tortillas over by hand. As soon as the tortillas were
ready students started to prepare tacos. They used different ingredients Sandra had
brought including cheese, lettuce, tomatoes, and refried beans. Then everybody ate
tortillas.
During the following days, students worked at writing science books about
making tortillas. Since students in the class have brothers and sisters in other classes at
the school, the word about the tortilla presentation spread through the school. Teachers in
the lower grades who were making a recipe book and had invited parents to do a
presentation decided to ask Sandras students to do the same presentation to second
graders. When Sandra told the students about the invitation, they were proud of
themselves and they were eager to share with the little ones what they knew. The second
grade teachers who invited them were amazed to see their self- confidence, their self-
esteem, and the ability that the students showed at their presentation.
Throughout this theme study, Sandras students continued to read and write as
they learned important concepts related to health and nutrition. In the process, they began
to build the academic vocabulary and the literacy they lacked due to their limited
previous schooling.


122

Discussion

Sandras newcomer class has many students who would be classified as recent
immigrants with limited formal schooling following the typology developed by Olsen
and Jaramillo (1999). Like the case study student, Blia, these students arrive at middle or
high school in the United States with little schooling background. Most of them have not
developed literacy in their primary language. They lack many basic academic concepts
expected of students their age. They may be unfamiliar with school routines. Such
students face the challenge of developing both conversational and academic English
along with subject matter concepts.
Few older students receive the benefits of placement into a bilingual program
where they can receive primary language instruction while learning English. Teachers
like Sandra can at least preview and review concepts in the first language of most of her
students, and this helps her make the instruction more comprehensible. Sandra also has
the same students for up to three years. Recent immigrants with limited formal schooling
need time, a stable classroom environment, and appropriate curriculum is they are to
make the gains they must make to succeed academically.
Sandra also has long-term English learners in her class. These students, like the
case study student, Mireya, have attended school in the United States for several years.
However, they have not received effective bilingual education. They were either placed
in English only classes or in early transition bilingual classes. As a result, they did not
develop primary language literacy, and while they were developing conversational
English they fell behind in academic subject matter knowledge.
Sandra knows that for long-term English learners to succeed, academic English
proficiency is the key. She challenges these students with demanding curriculum. She
provides many reading and writing experiences. Sandras approach has enabled some
long-term English learners to succeed, but they do need time to catch up with their
mainstream peers. Even those that do well in Sandras class, often struggle with the
standardized tests that are being given with greater frequency to all students in all
schools.
A few of Sandras students come with adequate formal schooling. These students
have grade-level literacy in their primary language and knowledge of academic subject
areas. In some cases, their parents are also literate. Like the case study student, Stephanie,
these recent arrivals succeed in Sandras class relatively quickly. They often become
class leaders, and Sandra has them direct class activities. Recent arrivals with adequate
formal schooling still face challenges. They must learn to understand English instruction,
and they need to be able to read fairly complex texts in English. Teachers need to
challenge them and still provide the support they need to succeed academically.
All three types of students; the recent arrivals with limited formal schooling, the
long-term English learners, and the recent arrivals with adequate schooling, benefit from
a curriculum that incorporates the four research-based keys identified in this article.
Teachers like Sandra provide effective instruction for her older English learners. She
organizes her year around a series of related themes. Through these theme studies,
students begin to develop key academic concepts. Sandra chooses themes that allow her
123 Freeman et al /

to build on her students background knowledge, their language and culture. She includes
challenging activities in her curriculum, but she provides many kinds of support. She
plans collaborative activities and scaffolds instruction to help her students develop
academic English proficiency. Sandras goal is to help her students build both confidence
and competence so that they can come to value school and value themselves as learners.

Conclusion

The increasing number of English language learners in schools present a
challenge to teachers. Many of these students are in middle school or high school.
However in these upper grades, there are few effective bilingual programs for older
students whose English is limited. In some cases, teachers are not adequately prepared to
teach these students.
The first step in providing effective instruction for older English language
learners is to recognize differences among them. Some, like Stephanie, come with
adequate primary language schooling. Since they have academic proficiency in their
primary language and subject matter knowledge, they can transfer this knowledge into
English. Students like Stephanie often succeed in a short time. They move into
mainstream classes and achieve good grades. Others, however, like Blia and Mireya,
struggle. Both recent arrivals with limited formal schooling and long-term English
learners lack the academic English language and the subject matter knowledge needed for
academic success.
A review of the research on effective instruction for middle and high school-age
English language learners points to certain key practices that promote academic
achievement. These practices include organizing curriculum around relevant themes,
building on students background knowledge and experiences, and planning collaborative
activities that scaffold instruction and build academic English proficiency. When teachers
incorporate these practices, their students become more confident. They begin to value
school and value themselves as learners. When teachers follow the four keys identified in
this article, they provide the most effective instruction for their bilingual students and
help them achieve academic success.

References

Cisneros, S. (1984). The House on Mango Street. New York: Vintage Contemporaries.
Freeman, D. E., & Freeman, Y. S. (2001). Between worlds: Access to second language
acquisition, (2nd ed.). Portsmouth, NH: Heinemann.
Garca, E. (1999). Student cultural diversity: Understanding and meeting the challenge
(second ed.). Boston: Houghton Mifflin.
Garca, G. (2000). Lessons from research: What is the length of time it takes limited
English proficient students to acquire English and succeed in an all-English
classroom? Washington, DC: National Clearinghouse for Bilingual Education.

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Gersten, R., & Jimnez, R. T. (1994). A Delicate balance: Enhancing literature
instruction for students of English as a second language. The Reading Teacher,
47(6), 438-449.
The growing numbers of limited English proficient students. (2000). (Vol. 2000).
Washington, DC: National Clearinghouse for Bilingual Education.
Jimnez, F. (1997). The circuit: Stories from the life of a migrant child. Albuquerque,
N.M.: University of New Mexico Press.
Jimnez, R. (2001). "It's a difference that changes us": An alternative view of the
language and literacy learning needs of Latina/o students. The Reading Teacher,
54(8), 736-742.
Jones, R. (1976). The acorn people. New York: Bantam.
Kagan, S. (1986). Cooperative learning and sociocultural factors in schooling. In Beyond
language: Social and cultural factors in schooling language minority students (pp.
231-298). Los Angeles: Evaluation, Dissemination and Assessment Center.
Moran, C., Tinajero, J. V., Stobbe, J., & Tinajero, I. (1993). Strategies for working with
overage students. In A. F. Ada (Ed.), The power of two languages. New York:
MacMillan/McGraw Hill.
Olsen, L., & Jaramillo, A. (1999). Turning the tides of exclusion: A guide for educators
and advocates for immigrant students. Oakland: California Tomorrow.
Paulsen, G. (1995a). La tortillera (B. d. A. Andjar, Trans.). Orlando, Florida: Harcourt
Brace & Company.
Paulsen, G. (1995b). The tortilla factory. New York: Harcourt Brace and Company.
Schifini, A. (1997). Reading instruction for the pre-literate and struggling older student.
Scholastic Literacy Research Paper, 3(13).
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Valdes, G. (2001). Learning and not learning English: Latino students in American
schools. New York: Teachers College Press.

The Relationship to Achievement on the California High School
Exit Exam for Language Minority Students

Paul A. Garcia
Malati Gopal
Fresno Unified School District

Abstract

This report examines first year results of the California High School Exit
Exam (CAHSEE) required for students to earn a high school diploma.
Results suggest this high stakes test failed to meet legislative objectives
to increase achievement and close the achievement gap. Instead,
language-minority students with passing scores achieved significantly
below white students on CAHSEE and on a grade level standards-based
assessment. Critical theory and the concepts of the hidden curriculum
and cultural capital aided interpretation of results. CAHSEE results and
legislative requirements reinforced educational inequities by assigning
students to remedial instruction and special classes based on test scores
found as inadequate measures of meaningful levels of achievement.
CAHSEE regulations disadvantaged English Learners and supported the
argument that there is a mismatch between high-stakes tests and second-
language acquisition theory.

The increase in high-stakes testing has been a central feature in the current reform
in public education to raise achievement levels, improve school accountability, and close
the achievement gap between language-minority and language-majority students (Linn,
2000). However, there is concern that the increase in high-stakes tests may narrow the
curriculum (Kohn, 1999) and be inappropriate for English Learners at low levels of
English language proficiency (National Clearinghouse for Bilingual Education, 1997;
August and Hakuta, 1997). In addition, high-stakes tests are innocuous educational
practices that often result in such detrimental effects as the assignment of many language-
minority students to school tracking, overrepresentation in vocational classes and special
education programs, and increased dropout rates (Cuenca, 1991). Yet estimates are that
by 2008, 80% of states with larger percentages of Hispanic and African American
students compared to the nation, will have implemented high school exit exams (Amerein
& Berliner, 2002).
Research on high-stakes tests has not provided convincing evidence that improved
student learning has occurred. For example, McNeil and Valenzuela (2001) found
compelling evidence the Texas Assessment of Academic Skills widened the achievement
gap between poor and privileged children, and that teachers of non-Anglo children

devoted class time to practice test materials and emphasized instruction aimed at tested
skills. More recently, Amerein and Berliner (2002) challenge the validity of high-stakes
tests when no corresponding achievement gains were found on other tests in 18 states that
instituted high-stakes tests. Examination of results on te Scholastic Achievement Test,
American College Test, National Assessment of Educational Progress, and Advanced
Placement tests indicated transfer of achievement levels did not increase in states with
high-stakes tests.

Purpose of the Study

The purpose of this study is to examine the extent a high-stakes test contributed to
existing inequalities among language-minority students. The relationship of the
California High School Exit Exam (CAHSEE) achievement levels to results on separate
tests were examined to shed light on the potential of CAHSEE to close the achievement
gap between language-minority and language-majority students, to determine the extent
CAHSEE test scores are meaningful measures of achievement, and to increase
understanding of how policy issues governing high-stakes tests affect language-minority
students.
CAHSEE test scores were examined to determine if differences in achievement
occurred between ethnic, racial, and language-minority students. Little or no differences
in test scores among students who passed sections of the test suggest improvements
toward closing the achievement gap. The relationship between CAHSEE achievement
levels and student performance on the California Standards Test (CST) is also examined
to determine the extent CAHSEE test scores correspond to achievement levels on other
state tests. Finally, CAHSEE and CST test scores were compared between students with
different levels of English language proficiency and primary languages. Results from the
California English Language Development Test were used as objective measure of
English language proficiency. Differences in achievement between language groups
would warrant close attention to the diverse educational experiences of English Learners.
This study contributes to an increased understanding of how one high-stakes test,
the California High School Exit Exam, has not met state legislative objectives, and
instead, resulted in the unnecessary assignment of students to harmful educational
experiences. Results of this study support the argument that inferences about results of
high-stakes tests are uncertain and challenge the validity of such tests (Amerein &
Berliner, 2002). After two years of implementation, CAHSEE has not demonstrated to be
an effective instrument to increase student achievement, improve educational reform, or
close the achievement gap between language-minority and language-majority students.
Instead, this high-stakes test has led to misguided educational practices that have masked
a fundamental civil right, the opportunity to learn. Evidence is provided that CAHSEE
narrowed the curriculum and reduced access to grade level curriculum and instruction for
large numbers of language-minority students. The potential implications of CAHSEE
upon high school graduation for different groups of students warranted this study.
CAHSEE was established by California Senate Bill 2X in 1999. The bill requires
all high school students beginning with the class of 2004 to pass CAHSEE to earn a high
127 Garca, Gopal / CAHSEE Achievement Levels Among Minority Students
school diploma. The purpose of the exam is to improve student achievement by ensuring
high school graduates can demonstrate competency in content standards for reading,
writing, and mathematics. In the United States, 28 states require tests for graduation
(Rivera & Stansfield, 2000). CAHSEE was given for the first time in the spring of 2001.
The test was optional for ninth grade students, however, all tenth grade students were
required to take the test in 2002. An estimated 81% or about 400,000 ninth grade students
took the test in California.
Under Senate Bill 2X, English Learners may be deferred from having to pass the
CAHSEE for up to 24 months and until they have received six months of instruction in
reading, writing, and comprehension in English. After the minimum time period, English
Learners must meet CAHSEE requirements regardless of English language proficiency
level. However, research on second-language acquisition theory found it takes 4 to 7
years for English Learners to gain academic language skills in English (Cummins, 1989).
In addition, the diverse language, cultural, immigration, and historical experiences among
English Learners suggests CAHSEE test score will vary by language group.
Conceptual models to explain the educational experiences and academic
achievement levels of language-minority students have been inadequate in focus and
narrow in scope. Research based on deficit models or cultural explanations have ignored
school-related factors outside the context of families and communities that contribute to
harmful educational experiences for many language-minority children. On the other hand,
critical theory provides a deeper understanding of how education promotes, reinforces,
and reproduces social inequalities (Apple, 1990).
Educational critical theorists (Apple, 1990; Bourdieu & Passeron, 1977; Jackson,
1968) argue that social facts are perceived and organized in ways that hide particular
interests. For example, reproductionists claim some school mechanisms reinforce and
legitimize the unequal distribution of knowledge, educational outcomes, and learning
opportunities. A critical analysis of the educational arrangements that result from high-
stakes tests can illuminate how groups of students are provided limited learning
opportunities that perpetuate inequalities. Results of this study suggest CAHSEE test
scores did not increase achievement, but served to sort and select students into unequal
learning opportunities.
Two concepts from educational critical theory will help explain results in this
study, the hidden curriculum and cultural capital. Jackson (1968) described the hidden
curriculum as the tacit school teaching of social and economic norms, values, and
expectations. Through critical analysis of school practices the hidden curriculum of
schools can be revealed (Giroux, 1983). Giroux (1983) argued against the mere
description of the hidden curriculum in school settings, and favors a critical analysis of
how the hidden curriculum operates as a vehicle of social control.
Bourdieu and Passeron (1977) refered to cultural capital as certain kinds of prior
knowledge, abilities, and language skills considered to be unequally distributed
throughout society and related to social class divisions. Schools use cultural capital as an
effective filtering device to define the position of students of different social classes.


Method

Data Analysis Design
Extant test and student demographic data were examined from a large urban
school district in central California. Test scores were collected from the first year
administration of CAHSEE. Statistical analysis of quantitative data were applied to
answer the research questions in this study:
1. What were the differences in achievement between ethnic, racial, and
language-minority students on CAHSEE?
2. What is the relationship between students with different primary languages
and levels of English language proficiency on CAHSEE achievement levels?
3. What is the relationship of CAHSEE achievement levels to student
performance on a grade level standards-based assessment, and an English
language proficiency test?

Participants
The school district in this study has approximately 80,000 students. The school
district has a very ethnically diverse student population with the fourth largest population
of English Learners in California (about 25,000 students). Approximately 5,100 (80%)
ninth grade students in the school district completed the exam. The ninth grade students
eligible to take CAHSEE were largely Hispanic (49%), white (20%), Asian (18%), and
African American (12%). About 63% of the students were economically disadvantaged
as indicated by the qualification for free or reduced lunch.
In this report, English language proficiency levels of English Language Learners
(ELL) were defined by school district benchmark profiles. Comparison of English
language proficiency levels with results from a state required English language
proficiency test (California English Language Development Test), yielded close and
corresponding levels of English language proficiency. Large percentages of students were
identified at early levels of English Language Development (ELD) on both assessments.
Most of the English Learners had higher levels of English language proficiency
(Intermediate or Advanced, 81%). The primary languages of ELL students were
determined by parent surveys conducted at enrollment. About 45% of the students
indicated a primary language other than English (Spanish, 57%; Hmong, 28%; Khmer,
6%; Lao, 5%; other, 4%).

Measures
CAHSEE is based on content standards that coincide with grades 7 through 10 for
English language arts and grades 6 through 9 for mathematics. The test includes multiple-
choice items and a writing sample. The test was administered in a group setting and was
un-timed. The two content areas of the test were administered on separate days. Two
statewide field tests were conducted to determine the highest technical quality for test
questions and scores.
The California Standards Test (CST) is a state required grade level test on content
standards in English language arts (ELA) and mathematics. All students in grades 2
through 11 are required to take the test. The purpose of the CST is to increase access to
grade level instruction for all students and to represent one component of the states
school accountability system. Schools that fail to meet annual growth targets in academic
achievement are subject to state sanctions. High schools are required to have 90% of all
students complete the test.
The California English Language Development Test (CELDT) is a standards-
based assessment on state English language development standards. The test is based on
the Language Assessment Scales (De Avila & Duncan, 1983), an English language
assessment. Standards in English language development are pathways to English
language arts standards. English language development and English language arts
standards are closely aligned at higher levels of English proficiency (Early advanced and
Advanced). The CELDT includes sub-test scores for listening/speaking, reading, and
writing. All English Learners are required to take the CELDT annually.

Procedures
Test results were collected for all students completing any portion of CAHSEE.
Student records were matched with test results from the California Standards Test in
English Language Arts, and if appropriate, the CELDT. Test data was coded to identify
students with passing CAHSEE scores in either English Language Arts or Mathematics.
Student demographic data was also collected to identify English Learners, level of
English language proficiency, and students primary language. English Learners were
grouped into high or low levels of English proficiency skills based on district
benchmarks.

Data Analysis Design
Quantitative data analysis was conducted to determine achievement differences
on CAHSEE and the California Standards Test between ethnic, racial, and language-
minority students. Significant differences in test scores between students with passing
CAHSEE scores suggest a persistent achievement gap. To corroborate the disparity in
achievement between students with passing scores, test results were compared with the
grade level California Standards Test in English Language Arts. The relationship
between English Language Proficiency and results on CAHSEE was also examined to
determine language group differences. Scaled scores were derived from CAHSEE and
CELDT results and raw scores were examined from the California Standards Test in
English Language Arts. One-way ANOVA and post hoc statistical procedures were
performed to determine significance differences in test scores between student
populations.

Results

Results are divided into three sections: (1) Descriptive statistics on CAHSEE
achievement differences between ethnic, racial, and language-minority students; (2)
Comparison of test results between ethnic, racial, and language-minority students on a
state required standards-based assessment (CST); and (3) Examination of the relationship
between CAHSEE achievement levels and results on an English language proficiency test
for English Learners (CELDT).

As indicated in Table 1, a larger percentage of white than Hispanic, African
American, or Asian students passed both sections of CAHSEE. Of the largest language
groups, more Hmong and Lao students passed the English language arts section and more
Vietnamese, Lao, and Khmer students passed the mathematics section. Students with
higher levels of English language proficiency (Early advanced and Advanced) were more
likely to pass both sections of CAHSEE. All students were more likely to pass the
English language arts than the mathematics section.

Table 1
Percent of Students Passing CAHSEE

Demographics N English
Language Arts
N Mathematics N Both
Gender
Male 2355 50% 2229 38% 2352 30%
Female 2086 64% 2078 30% 2174 28%
Ethnicity
White 1073 75% 1068 55% 1118 49%
Hispanic 2279 45% 2266 22% 2459 17%
African American 547 49% 529 20% 583 16%
Asian 1092 49% 1092 33% 1113 27%
Native American 27 59% 26 39% 28 36%
Filipino 28 79% 26 50% 28 46%
Pacific Islander 14 50% 15 40% 16 25%
Home language
English 2841 31%
Spanish 340 35% 339 9% 1308 14%
Hmong 193 50% 190 23% 703 23%
Khmer 42 43% 41 27% 163 27%
Lao 41 56% 41 27% 134 32%
Vietnamese 8 25% 7 29% 36 42%
Other 31 45% 34 18% 155 39%
English Language
Proficiency

English only 3077 61% 3029 37% 3271 32%
FEP-R* 476 89% 472 61% 483 56%
English Learners 1323 26% 1342 11% 1351 6%
Beginning 44 7% 47 4% 52 0%
Early Intermediate 109 0 118 2% 118 0%
Intermediate 493 11% 503 8% 504 2%
Early Advanced 576 39% 574 15% 580 10%
Advanced 101 54% 100 17% 97 14%
* Fluent English Proficient-Redesignated

CAHSEE Achievement differences between ethnic, racial, and language-minority
students.
Ethnic and racial group membership.
While the relatively low CAHSEE passing rates for ethnic and racial minority
students underscore the existing achievement gap, closer examination indicated the
achievement gap persisted even among students with passing scores. CAHSEE passing
scores did not eliminate wide achievement differences between white and ethnic/racial
minority students A one-way ANOVA comparing passing test scores between white and
ethnic/racial minority groups yielded statistically significant differences in English
language arts [F(6,2289) = 47.78; p < .001] and mathematics [F(6,1411) = 14.08; p <
.001]. A Tukey post hoc multiple comparison test indicated white students had
significantly higher test scores than Hispanic, African American, and Asian students in
English language arts and mathematics (p < .05).
ELL students were removed from the analysis to examine the extent achievement
differences between ethnic and racial minority students were related to English language
proficiency skills. ELL test scores may mask achievement levels related more to
language than ethnicity. When ELL students were removed from the analysis, significant
differences continued to exist between white and ethnic/racial minority students on
CAHSEE English language arts. However, in mathematics, significant differences were
found between white and Hispanic and African American students (p < .05), but not for
Asian students. Post hoc comparisons indicated Asian students scored significantly
higher than Hispanic and African American students in English language arts, and
significantly higher than African American students in mathematics. Among Asian
students, increased English language proficiency skills seemed to be a contributing factor
toward achievement on CAHSEE.
Language group membership.
This section examines CAHSEE results with close attention to the English
language proficiency level and language group membership of students. Disaggregation
of test scores for language groups provides increased understanding of divergent
achievement levels among ELL students (California Department of Education, 2000).
Test score data for ELL students are typically aggregated without regard to level
of English language proficiency, language group membership, country of origin, or
instructional program placement. Examination of ELL achievement levels when
disaggregated can provide increased understanding and accurate determination of the
achievement gap with non-English Learners, (English only students). For example, the
educational experiences of students may vary in schools and school districts due to the
differential availability of primary language curricular materials, bilingual teachers, or
community resources.
Test scores were grouped for ELL students with higher levels of English language
proficiency and former ELL students. Typically, ELL students who reach fluent English
proficiency are redefined in research studies and not reported with ELL achievement
levels (Hakuta, 1999). Consequently, a population of high performing ELL students is
unnecessarily removed from the analysis. A one-way ANOVA comparing CAHSEE
passing test scores between English only and major language groups yielded statistically

significant differences in English language arts [F(6,2662) = 31.848; p < .001] and
mathematics [F(6,1566) = 11.85; p < .001]. Post hoc comparisons indicated English only
students scored significantly higher than Spanish, Khmer, and Hmong language students
in English language arts, and significantly higher than Spanish and Hmong language
students in mathematics. No significant differences were found between non-English
language groups.

Comparison of test results between ethnic, racial, and language-minority students on the
California Standards Test.

Elements of the hidden curriculum can also be found in the limited access
language-minority students had to grade level curricular content, irrespective of
CAHSEE achievement levels. As outlined in the legislation, the purpose of Senate Bill
2X is to develop a high school exit examination in accordance with the statewide
academically rigorous content standards adopted by the state board of education.
However, examination of passing CAHSEE scores suggests achievement levels
were not related to mastery of grade level content. Therefore, passing scores do not
guarantee students will be prepared for post high school educational opportunities.
This section examines the relationship between CAHSEE achievement and
performance on the CST.
Ethnic and racial group differences.
A one-way ANOVA that compared CST test scores for students passing
CAHSEE yielded statistically significant differences between white and ethnic/racial
minority students on CST in English language arts [F(6,2170) = 35.61; p < .001] and
mathematics [F(6,1211) = 9.04; p < .001]. Post hoc comparisons indicated white students
scored significantly higher than Hispanic, African American, and Asian students in
English language arts. In addition, Asian students scored significantly higher than
Hispanic (p < .004) and African American students (p < .001).
In CST mathematics, significant differences were found between white and
Hispanic and African American students. Asian students also scored significantly higher
than Hispanic (p < .002) and African America (p < .04) students.
Language group differences.
Examination of language group achievement differences on CST included only
English Learners with higher levels of English language proficiency skills. This
prevented low levels of English language proficiency as a major contributing factor to
poor achievement among English Learners (Association of Educational Researchers
Association, 2000). A one-way ANOVA comparing English only students to all language
groups with passing CAHSEE scores yielded statistically significant differences on CST
in English language arts [F(6,2525) = 29.18; p < .001] and mathematics [F(6,1339) =
7.94; p < .001]. On CST English language arts, English only students scored significantly
higher than Spanish, Lao (p < .002), Khmer, and Hmong language students. In
mathematics, English only students scored significantly higher than Spanish language
students.

The Relationship between CAHSEE achievement levels and results on the California
English Language Development Test.
This section examines the relationship of CAHSEE achievement levels to English
language proficiency skills as indicated on the California English Language Development
Test (CELDT). High-stakes tests perpetuate inequalities when they marginalize or extend
opportunities to some students over others. As others have argued, the status and
opportunities of students is elevated when they possess valued cultural capital. As a form
of cultural capital, English language proficiency is an effective filtering device in the
reproduction of power. Students with proficient English language skills were privileged
when taking CAHSEE, while non-English language skills were devalued and invalidated.
While ELL students are deferred from passing CAHSEE until 24 months of
enrollment in public schools have been obtained, there is a mismatch between CAHSEE
requirements and second-language acquisition theory. Under CAHSEE requirements,
English Learners are expected in three years to gain content knowledge and academic
skills in English language arts and mathematics while learning English. Yet others have
found the time period for English Learners to become English proficient to last from four
to seven years (Cummins, 1989).
English learners at Advanced levels of CELDT were more likely to pass
CAHSEE. For example, 57% of students at Advanced proficiency level passed CAHSEE
in English Language Arts compared to 39% of students at Early advanced proficiency
level (See Table 2). A larger percentage of students at Advanced (17%) than Early
Advanced (15%) level of English language proficiency passed CAHSEE mathematics
(See Table 3). Results indicate that students who score at proficient levels on English
Language Development standards do not necessarily have academic skills to pass
CAHSEE.

Table 2
Percent of Early Advanced and Advanced Students Passing CAHSEE English
Language Arts by Primary Language

Percent Passing
Primary Language Early Advanced Advanced
Spanish 32.6% 50.0%
Hmong 46.0% 73.7%
Khmer 38.9% 71.4%
Lao 51.4% 71.4%
Vietnamese 25.0%
Other Non-English 43.5% 50.0%
Total 39% 57%

Table 3
Percent of Early Advanced and Advanced Students Passing CAHSEE Mathematics
by Primary Language

Percent Passing
Primary Language Early Advanced Advanced
Spanish 8.4% 12.1%
Hmong 23.7% 15.8%
Khmer 22.9% 42.9%
Lao 26.5% 25.0%
Vietnamese 28.6%
Other Non-English 11.5% 25.0%
Total 15% 17%

Discussion

The concepts of the hidden curriculum and cultural capital help illustrate how
CAHSEE failed to improve achievement levels for all students and exacerbated
educational inequalities for students who failed the test. This discussion will focus on
how CAHSEE test scores have been mistakenly attributed to reflect achievement levels
that differentiate students qualified to earn a high school diploma; masked a fundamental
educational barrier to academic achievement, the opportunity to learn; and led to
regulated instruction for students who failed the test.

Wide Achievement differences between ethnic, racial, and language-minority students.
Analysis of passing test scores suggests CAHSEE did not close the achievement
gap between language-minority and language-majority students. While emphasis has
been on the disproportionately low CAHSEE passing rates among language-minority
students, little attention has focused on the meaning of CAHSEE passing scores.
CAHSEE passing test scores were not meaningful and masked the critical issue of the
opportunity to learn. Wide differences in achievement between ethnic/racial and language
minority students may cause many students who passed the test to be ill prepared to
succeed in institutions of higher learning.
Moreover, findings in this study suggest achievement levels among language-
minority students were related to the large numbers of English Learners who constitute
some minority groups more than others. Therefore, caution should be exercised when
conclusions are made about academic deficiencies of students when English language
proficiency is an important factor. The failure of a high-stakes test to increase
achievement brings into question the purpose and unintentional effects of a critical
element of school reform. Corroborating evidence that CAHSEE test scores were not
meaningful indicators of achievement is discussed below.

The relationship to achievement between CAHSEE and the California Standards Test.
CASHSEE regulations require the test to have curricular and instructional validity
and measure the high standards adopted by the California State Board of Education.
Senate Bill 2X reads in part that the state shall develop a high school exit examination
in accordance with the statewide academically rigorous content standards adopted by
the state board of education (Senate Bill 2X, 1999). Yet students who passed CAHSEE
had wide variability in performance on the grade level California Standards Test,
rendering CAHSEE achievement levels as unreliable indicators of increased
achievement.
The emphasis on CAHSEE test scores has effectively shifted attention away from
equal access issues for language-minority students. The control and regulation of
curricular access to grade level content for language-minority students is evidenced by
the relatively small percentage of ELL students who completed grade level mathematics
in 2002. For example, 2002 statewide test results indicated 29% of all eighth grade
students completed the appropriate grade level algebra test compared to 3% of ELL
students. Among eleventh grade students expected to complete algebra II, 14% of all
students took the appropriate grade level test compared to 1% of ELL students.
The concept of the hidden curriculum is a useful device to explain how the cause
of poor performance on CAHSEE was attributed to the academic deficiencies of students.
Students who failed CAHSEE suffer severe consequences such as remedial instruction,
required summer school, and enrollment in special classes. Legislative regulations require
academic interventions for students who fail CAHSEE.
The governing board of each district shall offer summer school instructional programs
for pupilswho do not demonstrate sufficient progress toward passing the exit
examination (Senate Bill 2X, 1999).
An insidious effect of this high-stakes test is narrowing of the curriculum through
the assignment of students to remedial curricular programs and interventions that impact
learning opportunities. School districts were asked to restructure academic offerings
reducing the electives available to any pupil who has not demonstrated the skills
necessary to succeed on the exit exam, so that the pupil can be provided supplemental
instruction during the regularly scheduled academic year (Senate Bill 2X, 1999).

Comparison of CAHSEE and CST Test scores for students with different levels of
English language proficiency.
The concept of cultural capital best describes how preferred language skills
advantaged native English speakers and penalized ELL students. While CAHSEE
legislative requirements defer ELL students from passing the test for up to 24 months, in
practice, many students require four to seven years of instruction to acquire the level of
English language skills necessary to compete with native English speakers (Cummins,
1989). Results in this study supported the argument that a mismatch exits between the
requirements of high-stakes tests and second-language acquisition theory. Even English
Learners at higher levels of English language skills were unable to pass CAHSEE. The
problem is exacerbated when English Learners are denied access to core content areas

while instructional time is spent on learning English. This sequential model prevents
many English Learners from equal access to grade level curriculum before their four
years of high school education is exhausted.
Research on correlates to academic achievement among English Learner
populations has often focused attention on such student background variables as gender,
ethnic/racial minority group membership, socioeconomic status, and immigrant
experience (Rumberger, 1991). Studies often over simplify the relationship of student
background variables to achievement because ELL students are treated as homogeneous
student populations with common educational, socio-cultural, and historical experiences.
Yet ELL students represent populations from diverse language groups, with unique
immigrant experiences, and various levels of English language proficiency. Others have
found language-minority groups to experience diverse educational experiences (Ogbu,
1988), opportunities (Salazar, 1997), and expectations (Matute-Bianchi, 1986).
The 24-month CAHSEE regulation applied to all ELL students, suggests
qualifying criteria for CAHSEE testing reflected what Bourdieu and Passeron (1977)
refer to as cultural capital. Bourdieu and Passeron argue that schools use cultural capital
as an effective filtering device in the reproduction of power. In this study, disparate
CAHSEE test scores suggested that English language proficiency as a form of cultural
capital operated as an exclusionary device, and increased understanding about how high-
stakes test contributed to the reproduction of educational inequalities.
One aim of CAHSEE is to provide all students with equal access to a quality
curriculum without assigning advantages based on language skills. However, the
research data indicated ELL students lacked appropriate and sufficient access to grade
level curricular programs. Instead, CAHSEE test scores exacerbated the exclusionary
role of cultural capital through the assignment of students to regulated curricular
programs. The implication is that CAHSEE is a hegemonic instrument that sorts and
selects students into educational paths based on test scores that are capricious and
meaningless.

Conclusion and Implications

Research evidence in this study on the failure of CAHSEE to close the
achievement gap between language-minority and language-majority students and reflect
corresponding achievement levels on a grade level test, have important educational,
instructional, and research implications. These are discussed below.

Educational Implications
Increased dropout rates have been found in states that have instituted high school
exit exams (Thurlow et.al., 1997). However, the rates may underestimate the number of
students who drop out of school. Anecdotal evidence suggests students who fail exit
exams are redirected to other educational institutions such as adult school, community
colleges or vocational schools. Because language-minority students enter U.S. schools at
an older age than their native born peers, there is a decreased opportunity to pass
CAHSEE before students turn 18 and are no longer required to attend public schools.
The apparent low level of achievement skills necessary to pass CAHSEE may not
be sufficient preparation for students to be successful in institutions of higher learning.
Others have found the increased number of students required to take remedial courses in
state universities. Further research is needed to determine the extent high school exit
exams affect the number of students requiring college remediation classes.

Instructional Implications
High school exit exams may lead to a two-tiered curricular system, one for
students who pass and another one for students who fail the tests. Previous approaches to
increase achievement levels of high school graduates have focused on remedial
instruction and coursework. Remedial programs are typically designed to teach basic
academic and test taking skills. Targeting resources toward students who failed exit
exams may be ill advised since even students with passing scores may warrant increased
academic preparation.
Instructional effects of exit exams may exacerbate achievement differences
between language-minority and language-majority students. For example, recent research
suggests English Learners do not have equal access to rigorous curricular content
standards (Oakes, Gamoran, & Page, 1992). Many ELL students take English language
development classes in high school that leave little or no room in their schedule for the
completion of all requirements for graduation. In some cases, students are not given some
academic courses until certain levels of English language proficiency skills are attained.
Further research is needed to determine the extent the achievement gap between students
who passed or failed CAHSEE is attributed to differential opportunities to learn rather
than deficit academic skills.
Currently, CAHSEE only focuses on content standards in English language arts
and mathematics. However, achievement gaps in science and social studies may become
apparent when other content areas are added to the test. The potential implication is that
factors that contribute to student achievement may be related more to access to content
standards more than poor academic skills. The academic focus may be better suited by
increased access to college preparatory classes rather than increased remediation.

Research Implications
The apparent mismatch in achievement levels between CAHSEE and a state
required standards based assessment suggests the current assessment system is disjointed
and incoherent. Results in this study suggest achievement levels required for passing
CAHSEE may impede the creation of a coherent state assessment system with viable
instruments to increase student achievement and improve school accountability. Students
may graduate without grade level academic skills as indicated on other state tests.
In addition, there are no consistent testing requirements for ELL students on high school
exit exams (Rivera & Vincent, 1996). The recent federal No Child Left Behind Act
legislation provides ELL students with up to three years in the U.S. schools before state

testing is required. However, many states test ELL students based on such criteria as
years in the U.S., English language proficiency, or years of enrollment in public schools.
The critical research question of when is it appropriate to test ELL students on
high-stakes tests (National Clearinghouse for Bilingual Education, 1997) is difficult to
address when test results cannot be compared due to non-aligned state tests, and criteria
for testing students varies by states. Instead, the testing of English Learners is often based
on political decisions rather than sound educational practices. Future research should
focus on theories and models that improve our understanding of political pressures,
processes, and interest groups that define issues surrounding high-stakes tests.

We would like to acknowledge the valuable comments made by anonymous reviewers in
previous drafts of this paper.

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Educating for Bilingualism in Mexican
Transnational Communities

Natalia Martnez-Len
Patrick H. Smith
Universidad de las Amricas, Puebla

Abstract

This position paper describes the educational situation facing retornado
families and children, Mexican transnational immigrants moving
between the New York City region and Puebla, Mexico. Following an
overview of issues in transnational migration and education, we describe
factors underlying the current lack of adequate first language and second
language instruction for the Spanish-English bilinguals returning to live
in Mexico. We offer suggestions for how Mexican educators can better
serve transnational bilingual students through instruction, taking into
account the views of parents and the need for teacher education which
contemplates the specific linguistic, cultural, and academic needs of
returning immigrant children.

Transnational Migration and Bilingualism

According to Wei and Sherman (2001, p. 378) "indigenous children of immigrant
parents are emerging as the largest new bilingual population across the world."
Significantly, a great deal of work on language development and language use in
immigrant populations is based on the assumption that immigrants settle permanently in
their adopted country. Thus, researchers, policy makers, and educators have focused
primarily on the processes by which immigrants assimilate linguistically, culturally and
ideologically to the receiving community. In many places, however, immigrants maintain
their language and cultural identities and practices with the expectation of returning to
their communities of origin. A significantly different form of migration,
transnationalism is characterized by the dense networks of social relations that
transcend national boundaries (Binford, 2000, p. 1; c.f. Guerra, 1998) created when
individuals and families move physically, emotionally and economically back and forth
across borders and between cultures.
In this position paper we are concerned with the linguistic and educational effects
of transnationalism, the two-way movement of families and children between countries.
Specifically, we argue that Mexican schools and host communities are poorly organized
to deal with, and perhaps augment, the bilingualism that is often the by-product of
international migration.

Transnationalism Between New York and Puebla, Mexico

Our stance here derives in part from our experiences as researchers and teacher
trainers in the central Mexican state of Puebla, one of the states with the highest levels of
migration to the US
1
out of a population of slightly more than five million residents, it is
thought that perhaps one million peoplenearly one in fivespend some part of each
year in the US (Martnez, 2002). Of three principal expulsion zones in the state, the
region just south of the capital city of Puebla, (including the communities of Atlixco,
Izcar de Matamoros, Cholula, and Calpan) provides a compelling context because of the
rapid increase in international migration over the past decade. In addition, and in contrast
to migratory flows from indigenous-speaking regions to the north and south, the central
region has abundant water and natural resources, as well as well established systems of
electricity and irrigation (Corts, 2001). These communities are also interesting
linguistically because many residents have undergone language shift (from Nahuatl to
Spanish) in recent generations, a process that has been hastened through participation in
state-sponsored schools (Cifuentes, 1998).
Migration from Puebla to the New York City/New Jersey area began in the 1970s,
and has accelerated considerably since the early 1990s (Binford, 2000; Smith, 1994).
Today, approximately 50% of the Mexicans living in New York City--perhaps as many
as 200,000 people--are from Atlixco and other communities in the State of Puebla
(Consulado General de Mexico en Nueva York, 2000). Employed primarily in low-
paying service jobs, many dream of saving enough money in the US to open a small
business that will permit them to leave the impoverished agricultural sector upon their
return to Mexico (Gendreau & Gimnez, 2000). Although the migrant population
continues to be dominated by unmarried males, a growing number of poblano women
and families with children live in the greater New York area. Return rates, typically
higher for families (Corts, 2001), have understandably increased since the events of
September 11, 2001 and subsequent economic downturn in the US. Indeed, in the weeks
following the attacks, officials in the national Secretariat of Education prepared for the
return of as many as 400,000 transnationals, including many students who had spent at
least some of their growing up and school years living in the US (Reyes, C., 2001,
October 5).
2

Transnationals as Spanish/English Bilinguals

Known locally as retornados [returnees], some of these children had never lived
outside the US. Indeed, those who have lived a significant portion of their daily lives in
English return to Mexico with differing degrees of competence and schooling in English.
Importantly, because only a minority of Latino children in New York City schools
receive content instruction in Spanish (MacSwan, 2000), transnational children who
return to Mexican schools may fare poorly because of limited academic proficiency in
Spanish.
Unlike their counterparts in US schools, transnational students in Mexico are not
highly concentrated in particular schools. Rather, they attend a number of urban and rural
schools scattered across the region. Indeed, in nearly every classroom we have visited, at
least one student has lived in the US, and many more have parents and other close
relatives with that experience.
Among Mexico's elite, bilingualism is closely associated with academic and
economic success. This is seldom the case for the country's folk bilinguals (Romaine,
1999), particularly those who speak an indigenous language in addition to Spanish.
Transnationals constitute an interesting group because they tend to be poor (like folk
bilinguals) and to speak English (like elite bilinguals) rather than (or in addition to) an
indigenous language.
Transnational families share a strong belief in English-Spanish bilingualism, often
perceived as a tool for escaping the need to migrate to the US a mother whose two young
children were born in New York City reported, Por eso me doy cuenta que para mi hija
sea mejor estudiar, porque ellas (mis dos sobrinas) son bilinges. Me doy cuenta que ella
tiene ms oportunidad por ser bilinge.3 [Thats how I realized that for my daughter it
would be better to study, because my two nieces are bilingual. I can see that she will have
more opportunities by being bilingual.] Thus, families of retornado students employ
various strategies in order to help their children develop and retain bilingualism. Some
parents send children home to Mexico in order to help them maintain proficiency in
Spanish (Malkin, 2000). An English teacher confirmed this pattern, commenting, Los
padres vienen con los nios, (dicen) 'es que naci en Estados Unidos, ha estado all cinco
aos pero ya nos venimos para ac y queremos que no pierda el ingls.'[The parents
come in with their kids, (saying) He/she was born in the United States, he/she was there
for five years, but now were back here and we want to make sure that he/she doesn't
forget English.].
However, unlike Spanish proficiency, which may be quickly regained or
developed through participation in numerous, overlapping domains once in Mexico, there
are fewer viable options for the continued development and maintenance of English.
Because public English instruction does not begin until the secondary level (equivalent to
grade 7 in the US system), and due to a perceived lack of quality of English instruction in
public schools (described in the following section), middle-class Mexican families often
send their children to one of the growing number of language institutes. However, the
cost of private instruction, ranging from a few dollars per class to more than one thousand
dollars per month, is typically far beyond the budget of most transnationals.

143 Martnez, Smith / Bilingualism in Mexican Transnational Communities
Support for Transnational Bilingualism in Mexican Schools

In the following section we describe the considerable challenges Mexican schools
face in meeting the language needs of the growing retornado population.

Barriers to Appropriate Bilingual Instruction for Retornados
As in the US, few schools in Mexico provide instruction that is linguistically and
culturally appropriate instruction for their transnational students. In this section we
discuss what we see as the three major factors contributing to this problem: (a) the
shortage of linguistically qualified teachers trained to recognize and meet the special
needs of transnational bilinguals; (b) limited access to or the non-existence of materials
relevant to these learners; and (c) perhaps most difficult to remediate, prescriptivist and
pejorative attitudes towards the language varieties spoken by retornado students and their
families.
In terms of English language proficiency, relatively few Mexican teachers have
been trained to meet the special needs of transnational learners. Despite the fact that the
national curriculum mandates English instruction at the secundaria [middle school] level,
few teachers have developed high levels of proficiency in that language (Domnguez
Betancourt, 1995). Vega Gonzlez (2002) describes the case of in-service teachers whose
aural comprehension in English made it difficult for them to effectively use the audio
cassettes featured in the national curriculums communicative approach to English
language instruction. Indeed, teachers-in training often choose to specialize in English
instruction in order to improve their own English for future job prospects in other fields,
rather than from a desire to become practicing teachers (Smith, 2001a).
The lack of English proficiency on the part of teachers has particular
consequences for retornado students. Students whose initial literacy has been developed
primarily or partially through English seldom receive reading support from teachers
trained to recognize developmental issues due to cross-linguistic influence from English.
In terms of emerging writing, Spanish monolingual teachers are less apt to understand
English proficient students tendency to represent the consonants of the language rather
than the vowels (Goodman, 2002). At the secondary level, students with highly
developed English are typically given an examination which exempts them from further
instruction. In some cases, English proficient students are regarded as a threat by their
less proficient teachers, who simply tell students not to attend class during the period of
English instruction. Perhaps most disturbing is the effect on childrens perceptions of
their own potential to achieve advanced levels of bilingualism. The words of a six-year-
old girl two months after her return to Mexico, illustrate this point: Voy a tener que ir a
los Estados Unidos para recordar mis coloresya no me acuerdo. [Ill have to go back
to the United States to remember my colorsI cant remember them anymore]. Thus, as
early as first grade, children are capable of equating a language with a country, and are
capable of expressing beliefs about the possibility of maintaining bilingualism while
living in Mexico.
A second factor is limited access to materials that are culturally and linguistically
appropriate for transnational bilinguals. Books are generally more expensive in Mexico
than in the United States and Europe, and English-language books are particularly
expensive and difficult to find in the smaller towns and rural areas where many
retornados live. Even in larger cities one rarely finds bookstores or libraries with
bilingual childrens books. In terms of Spanish language reading materials, the
considerable effort and investment by the national government to provide millions of
copies of free primary readers (libros gratuitos) at each grade level has resulted in texts
that are directed almost exclusively to the experiences and interests of monolingual,
urban learners (Hamel, 1999). Only recently, through the Libros del Rincn and other
programs, has the government begun to commission books by Mexican authors dealing
with issues of immigration (see Anza Costabile, 2000). Thus, educators who wish to
address such themes in their classes face limited options in terms of appropriate
materials.
A third barrier to appropriate instruction for transnational students is rooted in
widely-shared prescriptivist notions of language. Elsewhere, we have considered the
effects on oral and written language use of layered colonialism, in which participants in
Mexican schools must negotiate an overlapping series of language ideologies constructed
during the Spanish colonial period, French imperial rule, orthographic conventions
dictated by the Real Academia Espaola [Spanish Royal Academy], and, more recently,
the growing economic and cultural hegemony of the United States (Jimnez, Smith &
Martnez Len, 2002). Like their non-migrant peers, transnational students receive
instruction which allows them great freedom to say what they want, while their written
language is tightly controlled and closely monitored to ensure adherence to conventional
forms. This emphasis on form is hardly new, as illustrated by the following statement
announcing the creation of a Mexican Academia de la Lengua in 1835: "La decadencia
que ha llegado entre nosotros la lengua castellana...por falta de principios en la mayor
parte de los que la hablan y escriben..." [The poor state to which our Spanish has
fallendue to the lack of principles by most of those who speak it and write it]
(Cifuentes, 1998, p. 292). Compare the above statement with the comments of a local
secondary school teacher:

Tengo como proyecto promover y colaborar en el
conocimiento y uso correcto del espaol a travs de la
lectura y escritura en la regin, en donde puede advertirse
un empobrecimiento de nuestro idioma en la expresin oral
y sobre todo en la escritura, donde la ortografa queda
marginada.
My goal is to promote and contribute to knowledge and
proper use of Spanish in this area, where there is an
obvious impoverishment of our written and spoken
language, especially in spelling.

It is not surprising, then, that transnational parents report being told by teachers
that their children do not speak correct or even real Spanish. Like their non-immigrant
peers, transnational bilinguals face strongly prescriptivist language attitudes, particularly
with regard to written language (Kalmar, 2001).
This focus on form over content is also apparent in educators views on the
varieties of English used by transnational students. A powerful example comes from the
director of an English institute, who reported Viene mucha gente a pedir siempre, gente
que viene de Estados Unidos. Es que yo estuve seis aos en Estados Unidos y yo ya lo
hablo. [Lots of people come to ask about working here, people who have lived in the
United States. I was in the US for six years and I can speak English.] Despite the fact
that their oral proficiency in English is often more advanced than that of English teachers,
such speakers are typically not regarded as worthy language resources or models for
schools. The director explained:

La idea del ingls americano que tenemos es que como hay
una congregacin de razas y de gente de todo el mundo, lo
han deformado. Entonces lo que ha pasado con el
americano es de que cada quien lo habla como quiere no?
Los negros tienen una entonacin, su vocabulario, los
chinos su entonacin, su vocabulario, a parte, los
mexicanos incluso! Entonces, no hay un ingls real, un
ingls puro, pues.
The idea we have of American English is that its been
deformed by the mix of cultures and people from all over
the world. So whats happened with American English is
that everyone just speaks it however they like, you know?
The African Americans have their own intonation, their
own vocabulary, the Chinese have theirs, even the
Mexicans! So theres no real English, no pure English.

In this school, then, as in other private schools and institutes in the region, British
English is taught in the belief that it is the purest form of English, one with which a
speaker will always be well received. Despite the growing demand for linguistically
qualified teachers of English in the region, such prescriptive attitudes make it unlikely
that transnational bilinguals will be sought out as English teachers.
Thus, educational systems in Mexico, like many counterparts in the US, tend to
view transnational learners in fixed ways that have little to do with children's lived
experiences or actual bilingual proficiency. By recognizing only those experiences
immediately consonant with nationally determined priorities, these official perspectives
lack the sophistication needed to understand the rich experiences of transnationals. In the
following section we turn to recommendations we believe can help Mexican educators
meet the specific linguistic, cultural, and academic needs of retornados.

Towards Appropriate Pedagogies for Transnational Bilingual Learners
Given the barriers we have described to the promotion of transnational
bilingualism in Mexican schools, what can educators do to move towards more
appropriate pedagogies for transnational bilingual learners? We offer suggestions in
three areas: (a) use of learners and families Spanish and English funds of linguistic
knowledge to improve instruction for all learners; (b) consideration of the perspectives of
the families and community members regarding education and language instruction; and
(c) the need for increased sociolinguistic awareness on the part of educators and
educational policy makers.
How can educators in Mexico prepare themselves to work with transnational
bilinguals? First, we believe that the English and Spanish language funds of knowledge
held by retornados should be utilized as resources to improve instruction for all learners.
Earlier, we gave the example of a school director who would not hire retornado
bilinguals to teach in her English language school. However, there is evidence that some
public schools are beginning to do just that. Having lived in the US on and off for most of
his teens and early twenties, Jos now teaches English to children and young adults in
both private and public schools. In the private school, where British English is considered
the prestige variety, Jos is careful to accommodate linguistically. In contrast, in the
public school attended by the children of retornados, Joss attractiveness as a teacher
lies precisely in his linguistic transnationalism, his ability to teach using the English of
the community. While schools should certainly insist on language teachers with the most
advanced proficiency possible, the ability to successfully use more than one variety or
register of English should be seen as an asset rather than as a handicap. Teachers with
this knowledge can assist students to become more aware of the differences through use
of basic contrastive analysis techniques.
Similarly, retornados who have acquired elements of other varieties of Spanish
through their life and school experiences in New York should be recognized and
cultivated as linguistic resources, rather than made to feel that they do not speak the
correct variety of Spanish. The notion of funds of linguistic knowledge provides a
model for teachers can develop bilingual curriculum based on the language variety
spoken in minority language households (Smith, 2001b). Some simple but concrete ways
to do this with transnational bilinguals would be to have students write and conduct
surveys involving classmates who have had contact with other varieties of Spanish, and
to compile a glossary of regionally specific terms and expressions. Oral history
interviews with transnationals, in English and in Spanish, could be transcribed and
transformed into locally appropriate, inexpensive texts for first language (L1) and second
language (L2) learning for all students.
Second, to create more appropriate forms of instruction for transnational bilingual
learners, schools need to attend more closely to family and student perspectives.
Retornados hold strong views about their experiences in US and Mexican schools.
Although some studies have found that Mexican and Mexican-origin students believe that
Mexican schools are superior to US schools in terms of attention from and preparation by
teachers (Valenzuela, 1999) and formation of group identity (Levinson, 2001),
transnational bilinguals in Puebla express their preference for aspects of US schools. For
example, Victoria, the mother of a six-year girl, contrasted her daughter's kindergarten
classroom in New York City with her first-grade classroom in Atlixco.

Yo creo que all haba ms apoyo, porque all son dos
maestras por grupo por lo regular siempre. Entonces hay ms
ayuda para ellos y es gratis tambin. Aqu no. No, no me gusta.
Est muy mal, vaya, no se, tal vez la maestra o tal vez es la
escuela a lo mejor... Por ejemplo, (aqu) hay una maestra, como
que yo creo que all les tenan ms control. Son como treinta
(alumnos en la escuela de Atlixco) y all eran menos y dos
maestras.No, aqu hay demasiados (nios).
I think there was more support there, because each group always
had two teachers. So theres more help for the children and its
free too. Not here. No, no I dont like it. Its really bad, I mean, I
dont know if its because of the teachers or maybe the school
For example (here) theres only one teacher, but there I think
they had more control. Here, there are like thirty (students in the
school in Atlixco) and there were fewer with two teachers No,
here there are too many (students).

The importance that Victoria places on small class size is shared by Jos, who
moved to Connecticut at the age of thirteen. Recalling his surprise at how few students
there were in his junior high classroom in the US, Jos reported
Los grupos all son ms pequeos y ac son grandes. Aqu
estbamos hasta 40 alumnos y all, pues, ramos como 20 ms
o menos. Llegu y dije, !Ay, qu poquitos son! Y ellos luego
decan, no, pues ya arriba de 20 sentan que eran muchos, pero
s, eso s, en serio.
The classes there are smaller and here they are large. Here we
were as many as 40 students and there, well, there were about
20. When I got there I said, Wow, there are so few students!
And they said no, here they think that more 20 students is too
many. They really said that.

However, as Jos observed, the favorable material conditions (low student-to-
teacher ration, quantity and quality of books, and appearance of classrooms) in many US
classrooms do not necessarily lead to better instruction.

Pues, en la enseanza no vi mucha diferencia. Es casi igual
all que ac. Pasa lo mismo, como en todas las escuelas, el
maestro est dando su clase y algunos (estudiantes) ni lo
escuchan. Estn volteando, haciendo cosas. Igual que
aqu, unos ponen atencin y otros no. A veces los maestros
tenan dificultad para controlar a veces al grupo porque
estn pltica y pltica. Entonces, es igual que ac.

Well, I didnt see much difference in the teaching. Its
basically the same there as here. Like in all schools, the
teacher is giving his/her class and some (students) arent
even listening. Theyre moving, messing around.The
same as here, some pay attention and some dont.
Sometimes the teachers had problems controlling the class
because the students wont stop talking. So, its the same
there as here.

Thus, as Valero (2002) suggests, conditions for successful pedagogy with
transnational learners are not limited to appropriate materials or linguistically qualified
teachers, but must include attention to the attitudes, emotions, and beliefs held by such
learners and their families. Currently, however, few institutional practices encourage
teachers to identify the range of individual needs and experiences of their students. As a
result, the particular needs of transnational learners go unnoticed. By listening to what
Mexican students and parents have to say about schools in the US and Mexico, educators
can more easily meet the expectations transnationals bring to the education of their
children.
Third, in the areas of educational policy and teacher education there is a need for
increased knowledge of bilingualism, language acquisition and second language teaching
methods. The need for greater sociolinguistic awareness on the part of educators who
work with retornados is especially pressing. Binational teacher exchange programs are a
step in the right direction, as are recent efforts by the Mexican government to send
teachers from Puebla and other regions of high out-migration to spend time observing
and assisting in US classrooms. Unfortunately, based on the assumption that migration is
a one-way street, the focus of such programs tends to be limited to meeting the needs of
Mexican students in US schools. We would like to see the scope of these programs
extended to address the knowledge base of teachers returning to Mexico. Specifically,
programs like the Programa Binacional, in which Puebla and other states send public
school teachers to US communities to assist Mexican-born children in US schools
(Martnez, 2002), could be changed to give teachers academic or professional
development credits for demonstrating increased awareness of the cultural and linguistic
resources acquired by retornados in US schools. We envision such teachers as two-way
cultural workers (Freire, 1998) capable of engaging their colleagues on both sides of
the border in a dialogue about how best to work with transnational bilinguals.

Implications for Further Research
In terms of future research, we foresee an important role for research that
documents the school and language experiences of transnational bilinguals on both sides
of the border. Due to the complex logistics of maintaining contact over extended periods
of time with participants who are, by definition, highly mobile, (see Guerra, 1998;
Levinson, 2001 for examples), case studies of single families and even single students
seem a likely means of beginning to build a knowledge base. Ideally, the voices of
transnationals themselves will be central in future research, as we have tried to make
them here.
Finally, because Mexican schools are not unique in facing the uncertainties and
challenges posed by the task of educating transnational bilinguals, we believe that the
experiences and insights of researchers and educators working in other contexts of
transnational migration--linguistic and cultural borders such as those between Belize and
Mexico, Germany and Turkey, and Spain, South Africa and the Maghreb--can prove
useful. Siguns (2000, p. 15) observation about the accommodation of North African
children in Spanish schools is fitting here: Nos estamos acercando a sociedades
pluriculturales. Y no sabemos cul es el sistema educativo adecuado para estas
sociedades." [We are approaching pluricultural societies. And yet we are not sure which
educational system is most appropriate for these societies]. Similarly, although we are far
from a state of precise knowledge of the best practices for transnational bilinguals in
Mexico, we are hopeful that the ideas presented here may contribute to a linguistically
and culturally appropriate pedagogy for this new type of bilingual learner.

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Valenzuela, A. (1999). Subtractive schooling: US-Mexican youth and the politics of
caring. Albany: State University of New York Press.
Valero, J. R. (2002). Inmigracin y escuela: La escolarizacin en Espaa de los hijos de
inmigrantes africanos. Universidad de Alicante, Alicante.
Vega Gonzlez, A. (2002). Prctica reflexiva y actitudes de profesores de ingls como
lengua extranjera en formacin inicial hacia la superacin profesional en Mxico.
Unpublished Masters thesis, Universidad de las Amricas, Puebla. Cholula,
Mexico.
Wei, L. & Lee, S. (2001). L1 development in an L2 environment: the use of Cantonese
classifiers and quantifiers by young British born Chinese in Tyneside. International
Journal of Bilingual Education and Bilingualism, 4, (6), 359-382.

Notes

1 Some of the data in this paper were reported at the 30
th
Annual Conference of the
National Association for Bilingual Education, Philadelphia, March 22, 2002.
2 In the months since the September 11 attacks, the flow of return migration to
Puebla appears to have been on a smaller scale than originally feared by
government officials.
3 In all cases, we have preserved the interviewees exact words in Spanish.

Daring To Be: Identity, Healing, and
Mentoring in Minority Scholars

Virginia Gonzlez
University of Cincinnati

Carmen Mercado
Hunter College of CUNY, New York

Abstract

It is our objective in this article to engage in moral reasoning by discussing the
effect of our ethnic and language minority background on our personal and
professional identities at the individual and collective levels. In the first section
of this article the multiple layers of internal factors (e.g., gender and ethnicity),
and of external ethnosociocultural factors (e.g., living in a cultural environment,
using academic language, institutional barriers, stereotypes, ethnoracial and
gender discrimination, and oppression) that are influencing the formation of our
personal and collective identity as minority scholars will be discussed. The
similarities and differences between female minority and majority scholars, and
men minority scholars will be also explored. The critical discussion presented in
this article is guided by questions such as Where do we belong?; How do other
colleagues, relatives, and the public perceive us?; What is the influence of these
perceptions on our personal and professional identities?; and What
responsibilities do we need and want to accept ?
In the second section of this article, some solutions to the marginalization that
minority scholars are suffering within institutions and professional associations
are presented. In the third section, some possible solutions for beginning the
process of healing our personal and collective identities, in light of suggestions
coming from the mental health area of therapy for minority professional women,
are also explored. Mentoring is presented in the fourth section of this article as a
healing process for junior minority female faculty and students. For closure, a
discussion of our vision for the future in light of conclusions derived from this
article is included.


Identity
Who am I
Someone who is free
Someone who laughs and
cries and is willing to be just me
Identity
Knowing who I am
And liking who I see
Helping and caring for others
Not only thinking of me
Identity
Never to let another shake
my confidence in all I can be
knowing who I am
Is enough for me
(Sandra Monge-Caldern, 1990)
A poem by Caldern (1990) helps to illustrate the difficult process of the search for
identity. Multiple factors affect the self-concept of men, and especially, women of color. The
goal of this article is to explore the personal and professional identities of minority scholars
through experiences encountered by ethnic minority women and men. This text will not only be
used as the objective representation of the identities of minority scholars that are traditionally
constructed. But, this text will be used as a legitimate space to narrate our subjective
experiences as minority scholars. The tensions of belonging to different worlds represented in
the commonly used dichotomies of objectivity versus subjectivity, and an advocate versus a
distant observer, will be explored. That is, in order to initiate a healing process, the
reconstruction of the new subjective identities of minority scholars as moral advocates reflecting
their experiences in different worlds is needed. Moreover, by acknowledging that the objective
text is not the only way to communicate, it will be initiated a validation process for minority
scholars that will help them to affirm their voices and accept the challenge of daring to be. It is
our intention to be proactive, and to value and strengthen our personal identities as minority
scholars by connecting to others in order to develop a collective identity. It is also our intention
to make the identities of minority scholars heard, and to make a presence so that minority
scholars can resist marginalization and become part of the new multicultural mainstream. In
addition, it is considered important to engage in a discussion of the dangers of stigmatization,
categorization, divisionism, and compartamentalization for minority scholars and minority
individuals in general. Moreover, it is also important to discuss the danger of assuming that
there are no differences between minority and majority individuals. In fact, it is important to
emphasize that the personal and professional identities of minority scholars will be different than
the identities of majority scholars because of the influence of external factors, such as a bilingual
and bicultural environments. That is, it is also our intention to dispel the myth that if differences
exist between minority and majority individuals it is due to internal factors such as race and
genetics, when in fact differences are the result of external factors.
Thus, it is our intention in this article to express the existence of an intrinsic motivation to
affirm the identities of minority scholars and to initiate a process of healing. It is important for
us to use writing as an emotional and affective process for healing through self-affirmation.
Writing is also used in this article as a tool for fulfilling our social responsibility and moral

commitment for assuming advocacy roles for colleagues who are minority scholars and for
minority individuals in our community. In addition, writing is used as a metacognitive tool for
making explicit our otherwise implicit beliefs and thoughts. Writing also provides for us a
means of communication of the need for interaction among minority scholars. Thus, it is our
objective in this paper to engage in moral reasoning because we believe that as minority scholars
we have denied much our personal and collective identities.
In the first section of this article, the multiple layers of internal and external
ethnosociocultural factors influencing the formation of our personal and collective identities as
minority scholars are explored. The effect of internal factors, such as gender and ethnicity, on the
personal identities of minority scholars is discussed by exploring the similarities and differences
between female minority and majority scholars, and men minority scholars. The effect of
external factors, such as living in a cultural environment and using academic language on the
personal and collective identities of minority scholars, are also discussed. Other external factors
that are discussed in relation to the collective identities of minority scholars and their career
development will include institutional barriers, stereotypes, ethnoracial and gender
discrimination, and oppression. Throughout the discussion several questions are included, such
as Where do we belong?; How do other colleagues, relatives, and the public perceive us?; What
is the influence of these perceptions on our personal and professional identities?; and What
responsibilities do we need and want to accept ?
In the second section of this article, some solutions to the marginalization that minority
scholars are suffering within institutions and professional associations are discussed. In the third
section of this article some possible solutions for beginning the process of de-marginalization
and healing of the personal and collective identities of minority scholars are explored. Some of
these suggestions come from the mental health area of therapy for minority professional women.
In the fourth section, mentoring is explored as a healing process for junior minority female
faculty and students. Finally, closure is given by discussing our vision for the future in light of
conclusions derived from this article.

Our Multiple Identities as Minority Scholars
Personal Identities of Minority Scholars
Why are minority scholars singled out? It is important to learn to respect individual
differences and emphasize that each individual, minority or majority, has a unique array of
internal and external factors interacting that act as additive layers influencing their personal
identities. It is our belief, as pointed out by several authors, that in addition to cultural diversity,
minority scholars also share human diverse characteristics with majority scholars. For instance,
Banks and McGee Banks (1989) pointed out the danger of stereotyping minority groups due to
overgeneralizing their ethnic characteristics.
Jenkins (1994) stated that we need to appreciate human diversity as broader than cultural
diversity as the former acknowledges the unique characteristics of every individual. He
proposed a change from "objective" reasoning to moral reasoning in which we engage in
authentic spiritual discourse and discuss "matters of the heart" related to our personal identities
as minority scholars. "Objective" reasoning refers to the scientific model assumptions that if we
use standard procedures for conducting research, then validity and reliability of our findings will
be established and subjectivity would be controlled. However, the scientific model may work for
155 Gonzlez, Mercado / Identity In Minority Scholars

hard sciences that have as an object of study processes that are independent from the subjectivity
of the human being. But, for social sciences (i.e., psychology) that have as an object of study the
same subjective processes that are used for creating knowledge (i.e., the human mind) the
"objectivity assumption" cannot be applied to research endeavors. That is, a metaprocess is
created in which the social scientist uses his or her own subjectivity to select schools of thought,
to state hypothesis, to select methodologies, to interpret findings, and to demonstrate ideologies
for serving a practical purpose (Jenkins, 1994; Scheurich & Young, 1997). Another example of
this subjective metaprocess of conducting research in the social sciences is that results are based
on behaviors that are hypothesized as expressions of constructs created socially. Therefore, it is
a fallacy to assume that research results lead to "objective" knowledge just because a data-driven
process of applying the scientific method has been used. In fact, researchers are the social agents
in charge who add subjectivity to this metaprocess of studying their own subjective human
minds.
Professional dimensions of personal identities in scholars.
The professional identities of scholars encompass also personal dimensions because
being a scholar is a career and not an occupation. Becoming a university professor does not only
mean to assume some professional responsibilities as in a "normal" occupation in the mainstream
society. "Normal" occupations only require the individual to do his or her duties within an 8-
hour a day schedule, and then to continue with his or her own personal life. However, becoming
university professors means to start a career in which their professional goals are intertwined
with their personal goals. The personal identities of scholars also define their professional
identities. That is, their "whole" personalities will be expressed in the multiple elements of their
professional identities such as their values, ethical principles, ideologies, attitudes, beliefs,
cultural traditions, ethnic and social groups of identification, etc. At the same time, professional
identities of scholars include some expectations within the college culture that will influence
their personal identities. Within the college culture, scholars have the responsibility to develop
new knowledge, to become an intellectual leader in order to initiate novices as scholars, and to
communicate this newly acquired knowledge through instructional activities and publications or
professional presentations. However, society gives scholars the freedom to choose the method to
develop new knowledge. As suggested by Jenkins (1994) and Scheurich and Young (1997),
scholars can choose to engage in moral discourse motivated by spiritual and moral philosophical
imperatives that relate to their subjective personal and collective identities as minority or
majority individuals. Scholars can also choose to engage in the traditional scientific model for
the creation of new "objective" knowledge, resulting in denial of how their personal identities
influence their scholarly activities. However, it is our argument that because of the lack of
boundaries between the personal and professional identities of scholars, they need to write
narratives of a subjective nature (such as this article) besides their scholarly work that is
supposed to be "objective." As discussed above, scholarly research is an experiential subjective
process that reflects human diversity (Jenkins, 1994; Scheurich & Young, 1997).
Social groups and personal identities of minority scholars.
Minority scholars also belong to social groups that influence their personal identities.
According to Banks and McGee Banks (1989) culture encompasses behaviors, and symbolic and
ideational products as well as tangible products that are interpreted dynamically by the members
of social groups, who assign meanings to these cultural products. Thus, individuals are members
of social groups due to their gender, ethnicity, socioeconomic status, age, etc.; and they are not
members of cultures. One kind of a social group are ethnic groups formed by individuals who

share a unique identity formed by cultural products such as religion, language, nationality,
political and social ideologies, values, and distinctive traditions and customs (Banks & McGee
Banks, 1989; Trueba, 1999; Zou & Trueba, 1998). Values are an important part of the identities
of members of ethnic groups because they refer to ideals, ethical and aesthetic standards, criteria
for evaluating common goals, and knowledge (Banks & McGee Banks, 1989). For example, a
social group of scholars who share a feminist pedagogy ideology defend that women prefer first-
hand and personalized knowledge based on observations, rather than abstract and "out-of-
context" scientific knowledge that is male constructed and dominated (Banks & McGee Banks,
1989 Trueba, 1999; Zou & Trueba, 1998). That is, women scholars or students would prefer to
engage in moral reasoning which encompass also their personal identities and subjective beings.
In contrast, men scholars or students would prefer to engage in the construction of "objective"
knowledge that follows the traditional methodological procedures of the scientific model.
In relation to how personal identity is influenced by membership in ethnic groups,
Vasquez (1994) stated that identity is a complex concept that "involves the way one views
oneself in regard to qualities, characteristics, and values" (p. 120). In addition, identity is also
related to our understanding of how we relate to others in our sociocultural environment. Thus,
the social status that our ethnic group has in society will also influence our identity. For
instance, the dominant status and minority status of languages influences our attitudes for
learning and using specific verbal codes. Moreover, Vasquez (1994) argued that the media
portrays negative stereotypic views of women of color who are discriminated and oppressed due
to their multiple identities stemming from gender and ethnicity dimensions. Finally, several
authors (e.g., Boice, 1992; Gonzalez, 1994, 1995; Vasquez, 1994; Trueba, 1999; Zou & Trueba,
1998) have suggested that due to their different identity perceived as "deviant" by mainstream
individuals, minority women, including junior faculty, often feel lonely and alienated.
Strengthening personal identities of minority scholars by thinking critically.
Several authors have referred to the need of minority scholars to become critical thinkers
in order to strengthen their personal identities. According to Brookfield (1987), becoming a
critical thinker involves: (1) questioning the validity of any claims for universal truth, (2)
realizing the presence of connections between personal experiences and social issues and
changes, (3) reflecting honestly about values and beliefs underlying our behaviors, (4)
recognizing and exploring different interpretations of the world held by others who are
influenced by diverse sociocultural contexts, and (5) becoming risk-takers to accept the
challenge of change. Mezinow (1981, cited in Brookfield, 1987) argued that the realization of
the existence of external causes for problems lived as subjective experiences, is a major stage in
the process of liberation attained when becoming a critical thinker. Moreover, Brookfield (1987)
stated, "When problems are seen as partly the result of broader social factors rather than as
wholly the consequence of individual inadequacies, some possibility exists for taking action" (p.
61). He referred particularly to the powerful role of collective action for infusing social change
in shared experiences in personal histories of minority group members. Hart (1985, cited in
Brookfield, 1987) suggested that recognizing commonalties among lived experiences can also be
liberating and become a powerful tool for validating shared idiosyncratic feelings when living in
difficult sociocultural environments.
By thinking critically minority scholars can understand that personal histories become
social products, realization leading to a "liberating experience" (Mills, 1954, cited in Brookfield,
1987, p. 58). Mills (1954, cited in Brookfield, 1987) recognized the need for social change to
occur for dispelling the myth of internal factors causing the ethnoracial and gender

discrimination and oppression that minority scholars face within academe. Thus, by linking
external with internal factors, solutions can be produced by networking and collaborating among
minority scholars for strengthening their personal identities. Thus, as pointed out by Gonzalez
(1994, 1995), a major liberating realization strengthening the personal identities of minority
scholars is to connect barriers that they encounter in their personal experiences within academe
with sociohistorical factors. Some strategies that minority scholars can use to help them place
their personal experiences in the context of the sociopolitical academic milieu can be found in
Gonzalez (1994, 1995). It is difficult for minority scholars to face challenging sociohistorical
problems while protecting their psychological well being by using strategies that include (1) to
assume that most problems affecting minority scholars are sociohistorical, (2) to acknowledge
the importance of finding mentors, (3) to stop replying to stereotypic views and to use energy
and time more productively, (4) to respond selectively to collegial and student feedback, (5) to
proactively establish collaborative and networking activities, and (6) to clearly state career
development objectives (Gonzalez, 1994, 1995). Minority scholars need to become aware that
the problems that they have to face in academia are the result of sociohistorical external, rather
than of internal factors. When this realization takes place, minority scholars feel liberated by
recognizing that It is not only me!
Collective Identities of Minority Scholars.
Our collective identities as minority scholars include our membership in ethnic groups
because we mediate, interpret, and express differently values, ideologies, and symbols of the
macroculture (Banks & McGee Banks, 1989; Trueba, 1999; Zou & Trueba, 1998). Minority
scholars may experience conflicts and dilemmas as we belong to different worlds representing
multiple disciplines that make different demands on us. That is, our collective identities
encompass institutional as well as professional community dimensions. For instance, major
national professional associations such as the American Educational Research Association
(AERA), the American Psychological Association (APA), and the National Association for
Bilingual Education (NABE) provide for majority and minority scholars outlets for publication
and dissemination of scholarly work that can strengthen our collective identities. Moreover,
when interactional contexts are created as minority and majority scholars engage in professional
activities, an intersubjective identity emerges that can be negatively influenced by factors such as
status, prejudices, and values. For instance, Pope-Davis and Ottavi (1992) found that identity
and attitudes of faculty were predictive of racism, and that men faculty members had higher
levels of discomfort with interpersonal interactions with African-American individuals. They
suggested that there is a need to reduce racial tensions by stimulating White faculty to explore
their identity, and by increasing cross-cultural communication and interaction. Thus, instructors
and mentors need to create pedagogical experiences so that minority and majority students can
develop critical thinking processes, and can mutually respect and reconstruct their collective
identities. It is also important to create interactional contexts of mutual respect for minority and
majority scholars so that we get to know our collective identities across professional
communities that defend diverse ideologies and cultural attitudes.
Commonalties and individual differences among women of color.
Women of color share commonalties in the important role given to family, group, and
community for self-definition. Vasquez (1994) highlighted the important role of family in the
identity of Latinas as the extended kinship system is used as a network for seeking support for
stressful situations. Among Latinos, three dimensions of familism have been identified,
including (1) family obligations to provide material and emotional support to relatives, (2)

perceived support from family as a reliable source of help, and (3) family as referents for a
behavioral and attitudinal model of identity (Sabogal, Marin, Otero-Sabogal, Marin, & Perez-
Stable, 1987, cited in Vasquez, 1994). Therefore, as suggested by Vasquez (1994), mainstream
values of independence, individuality, and competition can even be a source of identity conflict
for Latinas that may result in transculturation. According to Comas-Daz (1987, cited in
Vasquez, 1994), acculturation differs from transculturation, as the latter refers to the resolution
of conflict of cultural values by the emergence of a new culture.
Moreover, in relation to gender roles of Latinas within the family cultural system,
Vasquez (1994) stated, "...Latinas internalize the expectation to nurture, care for, and maintain
the family unity and connections" (p. 124). At the same time, as pointed out by Comas-Daz and
Greene (1994), every woman has a unique interaction of internal and external factors affecting
her identity with particular needs, strengths, and limitations. For example, some individual
differences among women of color refer to internal factors such as phenotypic characteristics
reflected in skin color and racial features, and psychological factors reflected in adjustment to
changes and coping style. In contrast, other individuals refer to external factors such as degree
of acculturation and transculturation to the mainstream society, and socioeconomic class.
Moreover, Comas-Daz and Greene (1994) pointed out that definitions of identities of
women of color are dynamic as they are affected by external sociohistorical changing factors.
For example, Amaro, Russo, and Johnson (1987, cited in Vasquez, 1994) found that income and
discrimination were the most important factors affecting the psychological well-being of highly
educated and high-income professional Latinas. According to Vasquez (1994), employment and
attitudes toward work are important factors affecting mental health. Thus, for the case of
minority female scholars, their occupation can contribute to a positive or a negative sense of
identity, given that their work situation can be highly-stressful due to oppression and ethnoracial
and gender discrimination. For instance, the presence of a glass ceiling or a subtle barrier for
career advancement is an expression of discrimination that can cause distress and lower
satisfaction in the personal lives of minority women (Amaro et al., 1977, cited in Vasquez,
1994).
Another important factor in the identity of women of color, that brings similarities and
differences among them, is which identity factor (i.e., gender or ethnicity) they choose to affiliate
with in academia. Sometimes, tensions are created because of the decision made by minority
women to belong to the "women's faculty group," and not to align themselves with the "minority
faculty group," or vice versa. When minority women faculty decide to align themselves on only
one dimension, they may ignore the wealth of experiences and values developed from the total
picture, and may create tension with the non chosen group. However, when minority scholars
decide to align themselves with both identity groups, women and minority faculty, some tensions
can also arise due to different goals and ideologies defended by both groups. In occasion where
no choice is made, problems can also arise, as feelings of alienation and isolation can be present.
When minority women faculty decide not to make a choice, both doors of women and minority
faculty groups, may be closed for the scholar. Thus, whatever the choice of group of affiliation,
and whether or not a choice is made, the result may be problematic and dissatisfying. In fact, the
only way to go around this problem of double affiliation for minority women faculty is to
affiliate with a group that represents their double identity: "the women minority faculty group."
These kinds of groups are not yet popular within the college culture. Finally, as a word of
caution, affiliation with academic groups that represent identity factors that are too specific may
also bring isolation and compartamentalization.

Women of color and White professional women.
Multiple layers of factors can influence collective identities of female minority scholars
such as their ethnicity, culture, degree of acculturation, history of immigration and generation,
citizenship, language status, social class, age, family size, socioeconomic level, education,
employment, and religion (Comas-Daz & Greene, 1994). Thus, these authors proposed that
White women are culturally and emotionally different than women of color, as both groups have
been exposed to diverse sociocultural experiences and belong to different ethnoracial groups that
are affecting uniquely their identities and their level of fear of success. As suggested by Person
(1982), women may feel anxious and guilty about their competence for success as they may
"...Equate success or the wish for it with loss of femininity and attractiveness, loss of significant
relationships, and loss of health and overall functioning" (cited in Comas-Daz & Greene, 1994,
p. 350). They explained differences in lived experiences of minority and majority women as the
effect of racial phenotypical characteristics that impinge on the differences in their social status
and acceptability. However, in spite of their ethnoracial differences, professional minority and
majority women also share common experiences of sexism, oppression, and subordination as
they live within a patriarchal system. In addition, professional minority and majority women
also share similar concerns such as career advancement and avoiding the glass ceiling, equal pay
for equal work, and maternal leave (Comas-Daz & Greene, 1994). However, minority and
majority women experience tension and conflict when trying to form coalitions due to their
multiple identities stemming from gender, race, and class (Comas-Daz & Greene, 1994).
Women and men of color.
Comas-Daz and Greene (1994) pointed out that women of color experience oppression
and sexism within their minority groups. In addition, they pointed out, women and men of color
share experiences of oppression and ethnoracial discrimination from the dominant group and
they tend to create bonding relationships for survival. Moreover, Comas-Daz and Greene
(1994) argued that females have a relatively easier access than male minority individuals to the
mainstream career ladder, because they are perceived as non-assertive and submissive; and thus
non-threatening for the status quo of the system. Furthermore, because minorities value
education as a means to survival and progress within the mainstream society, the number of
professional minority women has increased (Comas-Daz & Greene, 1994; Turner & Myers,
2000).
In relation to the commonalties present in the experiences of female and male minority
faculty, Aguirre (1987) conducted a survey study of Chicano faculty at higher education
institutions in the Southwest region of the United States. Aguirre (1987) reported that female
minority faculty were concentrated in junior ranks, whereas male minority faculty were
concentrated in senior ranks, indicating the double jeopardy of being female and minority.
Aguirre's study (1987) indicated that Chicano faculty participated in minority-oriented peripheral
"affirmative action" service activities because they internalize organizational logic into personal
expectations. As pointed out by Arce (1978, cited; in Aguirre, 1987), Chicano faculty is excluded
from making institutional mainstream decisions and are channeled into token positions for
dealing with minority issues. Thus, the participation of Chicano faculty mostly on minority
activities disempowers them from creating change for established social ideologies.
Tokenism and career advancement of women of color.
As pointed out by Comas-Daz & Greene, 1994), due to the presence of only few women
of color in most professional settings, we may become a double token or role model symbol due
to our double gender and minority status. Kanter (1977) suggested that tokenism leads to

powerlessness which in turn decreases the number of women of color in professional settings
(cited in Comas-Daz & Greene, 1994). As stated by Comas-Daz and Greene (1994), "... A
token position is designed to give affirmative action credibility to an institution" (p. 353), and
also for "... proving that by hiring a woman of color they have progressive attitudes and are
above prejudice" (p. 354). Comas-Daz and Greene (1994) also pointed out that even though
racial discrimination suffered by women of color may be not direct, they are also perceived as
attaining professional positions not because of their qualifications and merit but because of their
gender and minority status. Moreover, Comas-Daz and Greene (1994) argued that women of
color perceived as tokens need to have extraordinary achievements in order to be noticed,
because mainstream members of the professional settings will try to alienate the token in order to
preserve their commonalty. Due to the need to be overachievers for being noticed within
professional settings, women of color may suffer from the superwoman syndrome that also
causes stress as they tend to ignore their limitations (Comas-Daz & Greene, 1994). Especially
this superwoman syndrome is present when personal and professional roles may conflict such as
being a mother, a wife, and a scholar.
Thus, women of color who are given the role of tokens within professional settings may
suffer from high visibility and loss of their individuality, freedom, and privacy; and they may
also suffer from invisibility as they tend to be ignored in meetings and their contributions are
overlooked (Comas-Daz & Greene, 1994; Turner & Myers, 2000). The perception of women of
color as a token can also lead to a denial of their capabilities, such as attributing success to
external factors and failure to internal causes. Moreover, as pointed out by Kanter (1977), out-
performing majority group members can also lead to peer resentment and retaliation (cited in
Comas-Daz & Greene, 1994). Successful professional women of color may also suffer from a
conflict in their dual identities as professional and minority persons, because they need to
function within their mainstream and minority cultural systems. Some minority women who
become successful within the mainstream university system can introduce some sociopolitical
changes. However, lost of energy needs to be wasted by this successful minority women, who
dare to create change, due to the backlash movement created against them by colleagues who
defend the status quo of the system. Personal emotional responses create stress and waste of
psychological energy in minority women, which can negatively impact their professional
identities. Thus, women of color need to be creative in how they integrate their personal and
professional identities (Comas-Daz & Greene, 1994; Turner & Myers, 2000). Some proactive
strategies for dealing with daring to introduce change when in positions of power within the
academic setting would be for minority women (1) to create a collegial support group by using
networking; (2) to realize that sociohistorical external factors, and not their own personal
characteristics, are affecting the reactions of faculty supporting the maintenance of the status
quo; (3) to resist tokenism by emphasizing their professional qualifications and other personality
internal factors as causes of positive change introduced in the academic milieu, and (4) to engage
in mentor and protg roles with minority and majority individuals so that resistance is not
directed only toward the minority woman introducing change.
In relation to the double jeopardy of being female and minority for career advancement,
Williams (1989) pointed out that African-American women need to endure the double barrier of
sexism and racism created for them at mainstream institutions by demonstrating a high level of
professionalism and hard work. Williams (1989) urged to create opportunities for minority
women to pursue administrative careers within universities, given the need to create structural
changes for developing a nurturing environment for the academic success of junior minority
faculty and students. Relatedly, Wyche and Graves (1992) examined the degree to which the

interaction of gender, ethnicity, and race influences the advancement within academic
psychology. They concluded that minority women are "... less likely to be represented among
the faculty of 4-year colleges, among the ranks of tenured faculty, on editorial boards, and in
other positions of power within the field of psychology" (p. 434). Wyche and Graves (1989)
called for the need to conduct more research on the barriers stemming from economic and social-
psychological processes such as performance selection, hiring, and recruitment practices; and
appraisal and promotion tracking systems within universities. For instance, some of these
barriers include stereotyping minority women for undermining their achievement, especially
when they study ethnic issues (Wyche & Graves, 1992). In addition, Young, Chamley, and
Withers (1990) reported that minorities were more likely to be in non-academic and part-time
positions, and therefore were underrepresented within academic psychology programs.
It is true that the equal representation of minorities among faculty members may help to
dispel myths of tokenism and prejudices such as ethnoracial discrimination and oppression.
However, it is also true that the barriers within institutions also need to disappear for assuring
their realistic professional success and attainment of power. Thus, the presence of women of
color in professional settings attest for their endurance, resilience, strength in the face of
adversity, self-reliance, and tenacity (Comas-Daz & Greene, 1994; Turner & Myers, 2000).
McCombs (1989) pointed out that African-American women are committed to remain in higher
education because they can become leaders for adding their perspective to mainstream theories
and social ideologies that have created sociohistorical problems for them. Moreover, McCombs
(1989) suggested that minority women can study insightfully the social, political, and
psychological contexts in which their personal and collective identities have developed.
According to McCombs (1989), universities have a powerful function in society as they produce
theories that provide the basis for social ideologies. For instance, lower scores on intelligence
scales for minority individuals in comparison to majority counterparts have been explained by
mainstream models, such as the medical one, as the results of internal neurological problems.
However, mainstream models do not take into consideration external factors affecting only
minorities. For instance, ethnoracial discrimination and oppression result in undervaluing
minority individuals' cultural and linguistic diversity.
Furthermore, as pointed out by McCombs (1989), the traditional university collective
identity reflects White male-oriented ideologies, which minority women cannot assume.
McCombs (1989) argued that minority women bring into the university their unique
developmental experiences that form their personal history, as well as their social history with
their unique ethnocultural inheritance. However, in order to promote change in the development
of theories and to impact social ideologies, minority women need to have strong and intact
personal and collective identities (McCombs, 1989). Within the university environment minority
women experience tokenism and isolation, making difficult their commitment for introducing
change as their personal and collective identities are threatened. McCombs (1989) identified
collaborative work and the existence of professional networks across disciplines and universities
as a process of strong affirmation of minority women's scholarship. This process of self
affirmation of personal and collective identities of minority women will come from their own
ethnic communities within the university system, and not from the mainstream university system
(McCombs, 1989). Thus, it is important for minority women to identify within their own ethnic
and cultural heritage community within the university system, and not to assume the university
mainstream identity.


Minority scholars and students as commodities.
It is our argument that part of the problem of marginalization is related to the fact that
some minority scholars use external problems as excuses for not fighting internal barriers (e.g.,
hopelessness, self-absorption, and an opportunistic attitude). It is indeed a challenge to accept
the ethical and moral responsibility that comes with being a minority scholar who identifies with
ethnic research, challenge that not every minority scholar is prepared to face. Thus, the most
dangerous situation for minority scholars to create is to make ourselves commodities by adopting
mainstream value systems and acting in a "politically correct" manner. That is, it is
dangerous for a minority scholar to assume and identify with the political ideologies of the
mainstream academic system.
Moreover, it is also our argument that research topics, subjects used for research studies,
and students can also become a commodity. Some individuals allow themselves to be used as a
commodity, especially minority and female faculty are influenced by collective identities as they
help the mainstream academic environment to meet legal and legislative issues reflected in
quotas. In some situations, minority faculty may be hired or given tenure just because they
represent legal and legislative requirements that institutions need to meet. This problem is
related to tokenism that is part of the marginalization process because some minority scholars
may not feel valued for what they are, but they feel valued for what they represent. Moreover,
within the traditional "ivory tower research" model, patterns of enslaving students or subjects as
commodities for research activities can be identified. This is a dangerous situation within
mentorship relationships that may lead to cloning.
Collective identity of minority scholars and terminology use.
Identity is related to language use as the terminology that we select reflects how
constructs are conceptualized within different disciplines. The content level of terminology use
within different schools of thought has been widely discussed (see e.g., Alexander, Schallert, &
Hare, 1991), and it is assumed that this more obvious and surface level is the only one. This
content level serves referential as well as ideological purposes because terminology is
deliberately chosen to represent the connection between language and identity in academia.
Scholars gain entry or maintain membership in a community by appropriating their specialized
language that gives them a voice. Being a scholar means acting and speaking in certain ways,
but belonging to a group goes beyond that acting and speaking and it has to do with identity.
Scholars may use or misuse certain terminology for preserving their identity or for disguising
permanent or transitory lack of knowledge, self-doubt, and honesty.
Moreover, the use of terminology and jargon is also associated with the pedagogical
identities of minority scholars. When teaching, minority scholars communicate ideas and their
research findings by using forms of verbal and non-verbal representation for stimulating students
to critically construct concepts. The myth of using only logic scientific discourse and rhetoric,
convoluted, and abstract jargon for instructional activities needs to be broken. Academic
terminology and jargon can build barriers for students, colleagues that belong to different
professional communities, and the general public. Mitchell (1992) pointed out that educators
and professionals in general have difficulty in communicating with the public due to the use of
jargon that the non-initiated cannot understand leading to barriers for educating society about
academic issues of public interest. In response to the use of this professional jargon, the public
develops negative attitudes, misconceptions, and myths in relation to education. Thus, language
can be used as a "shield" for protecting our collective identities as professionals. At the same
time, language can also be used as a barrier that marginalizes some scholars and students from

gaining entry into a community. Moreover, the use of specialized language can prevent scholars
from communicating with the general public.
In addition, besides the most surface level of language use related to our collective
identities as professionals, language is also a reflection of culture that influences our personal
identities. For instance, Latinos feel that speaking in Spanish is a form of validating themselves
and of preserving their personal identities. It is a common practice among Latino scholars to use
Spanish as a social language for conveying affective and personal meanings, and as a form of
creating an intersubjective space that validates their personal identities as minority scholars. It is
interesting how Latino scholars switch to English whenever academic topics are being discussed,
as if a different intersubjective space would need to be created for validating their professional
identities. It may be that English is used among Latino scholars for conveying academic
contents for achieving efficacy and clarity in communication due to different connotations of
terminology in Spanish and English, or due to lack of experience with academic language in
Spanish. One of the real problems that exist in Spanish is that because academic terminology
has been coined in English, Latino scholars feel that these terms do not have an equivalent
translation in Spanish leaving us with the need to create new terms, attempt literal translations, or
use code switching or code mixing. Thus, Latino scholars feel that they can capture more
appropriately some academic concepts in English than in Spanish. Moreover, another reason for
Latino scholars to use English within academic contexts is that this code is the lingua franca for
communicating with the international scholarly community. Finally, when communicating
among majority and minority scholars within the United States and with the international
scholarly community, accents can be used as barriers for fulfilling mainstream discrimination.

Healing
Affirmative action policies and federal legislation has facilitated hiring professional
women by forbidding discrimination on the basis of sex, race, color, religion, or national origin
(Romero & Garza, 1986, cited in Comas-Daz & Greene, 1994). However, minority female
scholars need to go through a healing process because of the presence of their multiple personal
and collective identities creating conflicts and dilemmas. According to McCombs (1989),
affirmative action is a temporary measure that can ensure fair and equitable treatment for
African-American women in higher education, and it represents liberal values and ideology.
However, as the imbalance and preferential consideration of Whites and males for positions is
still present regardless of affirmative action policies, McCombs (1989) proposed that a
permanent solution to discriminatory hiring practices in higher education is to institutionalize
these mechanisms. But, in spite of the possible institutionalization of federal policy and
legislation, women of color are still subject to oppression and ethnoracial and gender
discrimination. In addition, federal policy and legislation may not always support affirmative
action, as we are facing possible changes during the middle of the 1990s. Moreover, McCombs
(1989) pointed out the presence of a contradiction between liberal values traditionally endorsed
by universities and the lack of commitment from university administrators to design, implement,
and enforce policies that assure greater diversity in personnel. McCombs (1989) described the
university environment as "hostile at worst and indifferent at best" for minority women (p. 131).
Liberal values such as pluralism and diversity cannot be observed in the tenure system,
committee structures, and salary scales; which continue to undervalue minority women
(McCombs, 1989). For instance, African-American women are primarily junior faculty and

because of their status they never compose committee mainstream structures. In addition, the
service activities delivered to minority students, mostly by minority faculty, are not rewarded.
The first step for solving a problem is to acknowledge its existence so that minority
scholars can be proactive and not reactive. Coping strategies have been suggested for facing
challenges and problems, (as proposed by Dr. Raymond Padilla, 1993), but the term "coping"
denotes a reactive attitude. Instead, minority scholars need to develop a proactive attitude
towards the reconstruction of their personal and professional identities at the individual and
collective levels. That is, minority scholars need to dare to be by discovering their new identities
and by envisioning their new multicultural mainstream.
In relation to the need to de-marginalize minority scholars, they can experience pressure
to conform to the macroculture leading to feelings of alienation and loneliness, and also to
identity confusion as they may reject themselves in their intention to acculturalize (Vasquez,
1994). As stated by Vasquez (1994), "Recurrent racist events may lead to depression, anxiety,
and postraumatic stress disorder." (p. 122). Vasquez (1994) suggested that feminist and cross-
cultural therapies emphasize and validate strengths of the client, and focus on the examination of
external factors "...as causative in the client's problem" (p. 128). Vasquez (1994) reported that
minority women, such as Latinas, "...enter therapy with a significant lack of confidence, resulting
from the lack of societal validation of her worth, and a clear message that she is responsible for
her problems" (p. 135). Then, the clinician needs to communicate to the client a caring and
sensitive attitude, to treat her with respect and admiration, and to develop a vision for
empowering the client in valuing her unique characteristics forming her minority identity.
Empowerment is defined by Surrey (1987, cited in Vasquez, 1994) as "...the motivation,
freedom, and capacity to act purposefully, with mobilization of the energy, resources, strengths
or power of each person through a mutual relational process" (p. 130). Individuals can be
empowered by being stimulated to effectively express and become aware of their feelings,
reactions, and needs (Vasquez, 1994). In addition, Vasquez (1994) also suggested that group
interactions in psychotherapy can also empower minority women by increasing their knowledge,
self-worth, salience, and desire for more connection. Applying these recommendations for the
context of improving the mental health of minority female scholars, they may be empowered for
changing proactively our professional situations by engaging in networking relations and finding
a support system through mentorship relationships inside and outside their institutions (including
national level professional associations such as APA and AERA).
Given that being the target of racism, ageism, oppression, and ethnoracial and gender
discriminatory events is particularly stressful for female minority students and junior minority
faculty. These same feminist and cross-cultural therapeutic philosophies can be adapted for
mentoring relationships within academia. If junior minority scholars believe in the attributions
of mainstream individuals pointing to internal factors as the causes of aversive events, they will
learn to believe that they are helpless leading to possible damage to their self-concept and
identity, and even to depression. Then, self-attributions of expressions of racism, sexism, and
oppression can influence negatively the self-esteem of minority female scholars. According to
Comas-Daz and Greene (1994), conflicted self-esteem is a symptom of depression and is also a
reaction to oppressive and stressful events such as racist and sexist discrimination within
professional settings. If prolonged, these symptoms can result in attributing the causes of
problems to internal factors. A depressed individual becomes more rigid and less motivated to
adapt successfully, especially when surrounded by a stressful environment. Moreover, isolation
and withdrawal can create even more maladaptive coping styles. Depressed individuals feel
hopeless, helpless, powerless, meaningless, confused, anxious, resented, guilty, and unworthy.

These symptoms of depression can lead to self-accusation and self-depreciation that affects
dramatically the identity, self-concept, and self-esteem of minority individuals. Stress and
anxiety may be also symptoms developed by minority women in response to discrimination and
oppression, which may lead them to continue their fast pace aggravating their stress (Comas-
Daz & Greene, 1994).
Thus, in the long run if frustrating events are recurrent, the mental health of minority
women can be affected. Being the victim of racial and gender inequalities develops in minority
women feelings of anger and rage. These negative feelings may lead to dysfunctional behaviors
such as to fighting back openly racism and being considered potentially aggressive or violent
(Almeida, 1993, cited in Comas-Daz & Greene, 1994). In opposition, the same dysfunctional
behaviors may be perceived in White women as the expression of assertiveness (Almeida, 1993,
cited in Comas-Daz & Greene, 1994). Anger felt by women of color in response to racism can
also be expressed in a non-self-destructive manner by validating and facilitating "... management
of that anger as a source of strength in oppressive contexts" (Comas-Daz & Greene, 1994, p.
366). In order to cope with depressive symptoms, minority women can learn stress management
techniques such as committing to take time off for themselves and learning to delegate authority
(Comas-Daz & Greene, 1994). It will be also helpful for minority women to develop skills such
as assertiveness and conflict management, and strategies such as positive self-talk and seeking
support (Vasquez, 1994). Thus, through learning strategies, minority women can be empowered
for developing a more positive sense of identity, mental health, and well-being.
Then, minority women need to receive messages of appreciation of their unique
characteristics, so that a strong self-esteem and self-concept can be formed to sustain a secure
minority identity. Junior minority women faculty is at-high-risk for being oppressed and
victimized by historical and political variables affecting the societal barriers that they encounter
in academia. Mainstream colleagues may perceive minority faculty as if they have an inferior
status due to their gender, ethnicity, and age. Then, mentors with a supportive and caring
attitude are very important for young female minority scholars who need to reaffirm their
identity. Mentors can serve as buffers for avoiding confrontation with racism, sexism,
oppression, and discrimination. Female minority scholars should make use of external support
systems through networking with colleagues in order to learn that they share similar experiences
of oppression, racism, sexism, and victimization. Sharing lived experiences will provide
minority female scholars with the insightful understanding that causes of problems are external
factors such as sociohistorical and ideological forces (see Gonzalez, 1995 for a further discussion
of this topic). Having a support system will also assist minority female scholars to enhance their
adaptive mechanisms and will provide accommodations (i. e., changes in behaviors and in
conceptualizations of problematic events as the result of external, and not of internal factors).
Comas-Daz and Greene (1994) suggested that treatment for depressed professional
women of color needs to have as a goal to reinforce and restore their sense of competence, self-
reliance, and balance functioning. Taking into consideration these recommendations for the case
of mentoring minority female scholars, mentors need to empower them by supporting their
conflicted self-esteem and identity. Minority female scholars need to develop strategies for
seeking appropriate support systems (as suggested by Vasquez, 1994), and for maintaining an
emotional and spiritual balance (as suggested by Witz, 1991, cited in Comas-Daz & Greene,
1994). Moreover, Comas-Daz and Greene (1994) proposed that women of color also need to
develop strategies for dealing appropriately with discrimination, for avoiding the discouragement
of the glass ceiling, and for developing more realistic self-expectations in their personal and
professional lives. Thus, learning stress management techniques and developing skills and

strategies can be empowering for women of color leading to a more positive sense of identity,
mental health, and well-being.
De-marginalization as a healing process.
As part of the healing process for our individual and collective identities, minority
scholars need to undergo a de-marginalization process. As proposed by Banks and McGee
Banks (1989), ethnic minorities do not need more marginalization, but they need integration with
the macroculture and also across microcultures. Nieto (1993) proposed that minority scholars
should initiate a de-marginalization movement in which we assume responsibility for expanding
the present limits of educational reform. Minority scholars should not limit the educational
reform movement to multiculturalism in the schools and in teacher education. Instead, minority
scholars should use the educational reform movement for defining what kind of integration and
mainstream they want to create. Minority scholars need to make the effort to familiarize their
mainstream colleagues and students with their different symbolic expressions of culture (e.g.,
values, attitudes, ideologies, religion, language, distinctive traditions and customs, etc.).
Stereotypes of women of color arise because mainstream individuals ignore their cultural
backgrounds primarily due to lack of contact. Every individual is exposed to biases, prejudices,
values, attitudes, and ideologies when he or she is socialized within personal and professional
contexts. Familiarization and contact become central for minority scholars to proactively avoid
ethnoracial discrimination and oppression. Minority scholars need to develop in mainstream
colleagues respect for diversity and to reduce feeling threatened cultural differences between
majority and minority individuals. As Vasquez (1994) has pointed out, clinicians need to be
aware of their clients' cultural backgrounds and world views, so that they do not project their
own ethnocentric visions on the client. Minority scholars need to apply this same principle to
their communication with mainstream scholars. That is, minority scholars need to have a
proactive attitude for familiarizing majority scholars with their cultural differences. In this
process of familiarization, de-marginalization will occur.
Furthermore, minority faculty has a need to engage in ethnic research which is
multidisciplinary and multiethnic in nature. This inherent multidisciplinary characteristic of
ethnic research creates tensions for minority scholars as they may not have access to the
resources that will make it possible. In addition, because of the multidisciplinary nature of
ethnic research, minority scholars have created a unique data analysis framework that allows
them to discover the complexity and richness of cultural worlds. Resources are essential for
minority scholars to buy time to write, engage in rich data analysis, collaborate and contextualize
their work in relation to contributions of colleagues, to initiate others acting as mentors, and at
the same time to be mentored by senior researchers.
Most importantly, minority scholars need to find the resources to be productive so that
they can increase the likelihood to be mentored within the professional community. Minority
scholars can create opportunities for themselves if they are productive, but at the same time they
need the resources in order to be productive. Then, the essential element for minority scholars to
be productive becomes to engage in rich interaction through mentoring activities. The drive to
be productive is the product of the interaction of internal factors (i.e., motivation and
perseverance) with external factors (i.e., the presence of advocates and of external resources).
As discussed above, mentors for minority junior female faculty members and students can be
from a majority or a minority background, and can be females or males. However, in order to
establish successful collaborative efforts in multidisciplinary research, majority and minority
scholars need to interact as "personas." That is, minority and majority scholars need to interact

as individuals with personal and professional identities, who also have collective identities and
belong to specific communities.
Part of the marginalization, as pointed out by Nieto (1994), is related to the fact that most
minority scholars conduct ethnic research and communicate their findings mostly to their
minority colleagues. In addition, Comas-Daz and Greene (1994) pointed out that women of
color may develop the self-imposed role of challenging discrimination and oppression. One way
in which this commitment to challenge discrimination and oppression may be expressed within
academic settings is by becoming an ethnic researcher. It is not a new observation that minority
scholars are "preaching to the converted" at national and regional professional meetings. It can
clearly be observed in annual events of major professional associations that minority and
majority scholars tend to belong to divisions and special interest groups identified with ethnic or
mainstream research topics. Even the structure at professional associations leads towards
marginalization for scholars interested in ethnic research topics, who are primarily minority
individuals. If this situation continues, it will be very difficult for minority scholars to have the
opportunity to communicate and be proactive to de-marginalize themselves. We wonder, Why
issues of human diversity such as culture and ethnicity are not considered mainstream topics?,
and Why other factors affecting individual differences such as intelligence and language
development are considered mainstream topics? We agree with Jenkins (1994) in acknowledging
that human diversity is embedded within all research endeavors that every scholar, minority or
majority, engages in. Thus, it is considered than an important part of the de-marginalization
process of minority scholars will be to acknowledge ethnocultural factors as part of the
individual differences that are studied within mainstream topics.
Moreover, there are two major myths perpetuated by majority and minority scholars.
Firstly, majority scholars perpetuate the "myth" that ethnic researchers need to publish in first
class mainstream journals, but content analyses studies of major journals have pointed out the
underrepresentation of ethnic research studies. For instance, Rogers Wiese (1992) found that
only 5-to-9% of research papers published between 1975-1990 in three major school psychology
journals (i.e., Journal of School Psychology, Psychology in the Schools, and School Psychology
Review) referred to ethnic minorities, especially African-Americans and Mexican-Americans.
Rogers Wiese (1992) pointed out the need for research articles on the assessment of ethnic
minorities due to the overrepresentation of minority students in special education across the
nation, and to the need "to identify features of the culturally skilled school psychologist" (p.
271). Graham (1992) also analyzed six leading APA journals published during 1970-1989 for
articles on African-Americans, showing a small percentage only. Padilla (1992) explained this
underrepresentation in APA as well as in other major association journals (e.g., AERA) not as
scarcity of research studies on African-Americans (or other minority groups), but as the result of
editorial policies in leading journals that serve as gatekeepers for ethnic research that does not
conform to the mainstream paradigm.
Secondly, there are several "myths" in relation to the perception of the reasons for the
underrepresentation of minority scholars in boards of journals, book publishers, task forces,
policy making, and professional communities. For instance, a survey conducted by APA that
was reported by Young et al. (1990) can illustrate the underrepresentation of minority women in
editorial boards. In this survey it was estimated that about 20% of consultants and reviewers of
APA journals were minority women. These myths for the underrepresentation of minorities on
editorial boards can be illustrated by the following comments that every minority scholar has
heard such as "We cannot publish because minority scholars do not write," and "We have tried
to invite minority scholars to be part of the editorial boards, but there are none qualified." That

is, the power of minority scholars, especially females, within academia is limited by social-
psychological factors. Some of these factors include biased perceptions and prejudices held by
mainstream colleagues that result in "myths" that are perpetuated to the detriment of minority
scholars.
As a result of these "myths," minority scholars are being given well intention but
misguided advice that can be captured in the following comment "You need to publish in first
class journals so that you form part of the scholar community." As if the only way of entry into
these communities would be to publish in these first class journals, or as if your identity as a
scholar would be contingent upon the acceptance of your work as a "first class contribution." If
you cannot gain entry then you are either not a scholar who belongs in the mainstream
community or you have contributed to your own marginalization as a minority scholar. In order
to dispel these "myths" and proactively initiate the de-marginalization process of minority
scholars, Padilla (1994) suggested that there is need to create a minority knowledge base,
associations, and journals that represent the new research paradigm that we ethnic researchers
have created. Minority scholars differ from mainstream research paradigms in a number of
ways: (1) they depart from different philosophical paradigms, (2) they aim for different research
objectives and applications (e.g., understanding empathically minority groups and avoiding
cross-cultural comparisons); and (3) they have different motivations, interests, and personal and
collective identities. Minority scholars need to examine their own beliefs and redefine their
identities by discussing issues such as What does it mean to publish in prestigious mainstream
journals?; Why are minority scholars insisting in this "first class" publications ?; and Do
minority scholars know what are the consequences of publishing or not in "first class" research
journals? Thus, in this section these "myths" have been examined using critical inquiry, in order
to think about a futuristic vision for minority scholars who engage in ethnic research.
Healing Junior Female Minority Scholars Through Mentoring
Functions of mentors.
Mentors have three major functions including (1) to validate the identity of younger
ethnic researchers such as junior faculty and students, (2) to be a cultural mediator, and (3) to
initiate the protg in certain principles and the implicit culture existing in academia acting as a
God father or a God mother ("padrino" or "madrina" in Spanish). The relationship between the
mentor and the protg is of a long-term, long-lasting nature, in which mutual respect and
benefits need to exist between kindred spirits in order to establish a friendship. Moreover,
mentoring has also being linked with recruitment and retention, but not with an attitude that
reflects our collective identity for "reaching out." We have so many needs, and it is not just that
we need to bring in more people, but to redefine our collective identity and to plan more
carefully how mentorship relationships can positively contribute to the mental well being of both
the protg and the mentor. Furthermore, mentorship relationships can also be established as a
result of instructional activities because the personal and collective identities of the instructor
and the students interact within a sociohistorical context provided by the curriculum. That is, the
classroom environment provides a context in which occurs the construction and reconstruction of
personal identities of minority scholars. Thus, within a mentorship relationship there is blurring
between boundaries of personal and professional identities.
Establishing mentoring relationships.
For junior minority faculty and students it is important to establish mentorship
relationships for a variety of reasons. For instance, Brinson and Kottler (1993) recommended
strongly mentoring as a way to empower minority faculty to develop their careers. According to

Brinson and Kottler (1993), mentoring involves a personal and professional relationship for
assisting the protg during stressful situations, and for assuming the role of a model, an
advocate, and an advisor for research activities. Mentoring is also important for adapting to the
political environment and culture within the departmental and university settings. That is, a
mentor can positively strengthen the personal and collective identities of the protg by valuing
her unique personal and ethnic/cultural characteristics as an enrichment to the diversity of the
university environment. However, there are only few senior female minority faculty who are in
a secure position within the university setting who can mentor their junior counterparts.
According to Brinson and Kottler (1993), collegial support is crucial for junior faculty to attain
success in their career development. Thus, they proposed the development of mentoring
relationships between majority senior and minority junior faculty members.
Selection of mentors.
When selecting mentors, junior minority faculty and students, need to take into
consideration the personal and professional identities of their mentors. Younger ethnic
researchers need support for assuring entrance and access to their professional communities (an
idea that would be portrayed in Spanish by the phrase "abrir camino"). We connect to others
whom we know will understand what we know and that is why their feedback is important to us.
That is, encounters are lived experiences that lead to relationships for mutual benefit. It has been
our experience that in order for a mentoring relationship to succeed, both the mentor and the
protg need to share values, ideologies, philosophies, and respect for their cultural/ethnic and
racial heritage. We have been able to establish successful mentoring relationships with either
majority female or minority male faculty members. These successful mentoring relationships
could happen because there was a commonalty between the personal and collective identities of
mentors and protgs. These commonalties are present because mentors and protgs share
either their gender or minority status. We believe that when there are differences in the personal
and collective identities of mentors and protgs, it is more difficult, but not impossible, to
establish a successful mentorship relationship. In the absence of similar identity factors, the
presence of sensitivity and openness will help mentor and protg to learn and respect their
different cultural world views and experiences. However, this learning process will take
developmental time and energy. As suggested by Brinson and Kottler (1993), both, mentor and
protg will need to overcome misunderstandings, misconceptions, myths, and prejudices
commonly held and used against minority faculty, in order to communicate intimately and
respectfully for their mentoring relationship to succeed.
Strategies for establishing successful mentoring relationships.
Brinson and Kottler (1993) recommended some strategies to junior minority faculty for
establishing successful mentoring relationships, including: (1) developing a proactive attitude
for recruiting a mentor, (2) selecting a mentor based on compatibility of ideologies and expertise
in common academic interests, (3) teaching the mentor about the cultural/racial/ethnic heritage
of the protg, and (4) finding support by developing networking systems with other minority
senior and junior faculty across institutions. In addition, Brinson and Kottler (1993) also
recommended some strategies to senior majority faculty interested in acting as mentors of
minority junior faculty, including: (1) endorsing publicly the importance of establishing
successful mentorship relationships, (2) offering their assistance for ameliorating feelings of
loneliness and isolation among minority junior faculty, (3) being sensitive to cultural differences,
(4) starting a dialogue with minority junior faculty about cross-cultural mentoring, and (5)
demonstrating interest in minority issues by participating in community activities.

Influence of the mentor on the protg.
The mentor plays a very important role in the self-definition and self-affirmation of the
personal and professional identities of the protg. Mentors are considered guides, role models,
and ultimately advocates who create a relationship for nurturing potentials and leading to
positive growth. Mentoring can also be considered as a form of counseling because a personal
connection needs to be created for accepting the protg as a member of the professional
community. Moreover, mentoring also includes valuing the individual as a human being who
has idiosyncratic characteristics and unique contributions to make. Thus, mentoring
relationships contribute positively to the growth of personal and professional identities of. The
mentoring process can also contribute positively to the mental well being of the mentors as they
can reconstruct their personal and professional identities.
Barriers preventing the establishment of mentoring relationships.
One of the most common reactions that minority scholars have when facing negative
experiences in academia is to develop a "thick skin" or a "shield." We consider this a reaction
for self-preservation and a barrier for involving ourselves in mentoring relationships. The lack of
mentoring relationships and mentoring dispositions among female and male minority faculty,
may lead to isolation and feelings of loneliness and self-doubt. This strong defensive
individualistic attitude is not particular of minority faculty, but is also common among majority
faculty. The opposite attitude of reaching out across institutions by establishing mentoring
relationships is needed especially among minority faculty. Developing mechanisms to escape
their contextual realities and to transcend their institutional boundaries is especially needed
among minority faculty. In this way, minority faculty can create opportunities for establishing
mentoring relationships such as meeting other ethnic researchers in annual organizational
meetings or communicating "electronically" through e-mail.

Developing a collective identity for engaging in collaborative research and mentoring
activities.
Minority scholars seem to have a strong collective identity for social activities, but not
for collaborative research and mentoring relationships. Some of the factors affecting this lack of
collaboration among minority scholars may be ethnic issues, and differences of collaboration
patterns of female and male scholars. It seems that male scholars do not need to collaborate in
the same way than females, and that different kinds of mentoring relationships are established
between female and male scholars. Moreover, in some situations what seems to be collaborative
activities can just be individual performances. Thus, minority faculty do not tend to be group
oriented when they are faced with moral responsibilities such as mentoring and doing ethnic
research.
Conclusions: A Vision for the Future
A futuristic vision includes creating a more positive identity for minority scholars that
stimulates them to develop: (1) intrinsic motivation, (2) an adequate self-concept and self-
esteem, and (3) self-imposed life objectives as individuals and as a professional community. It is
through lived experiences and communication processes that healing for minority scholars will
begin. Therefore, minority faculty need to define their personal and collective identities, assume
a proactive attitude for gaining acceptance and respect, and de-marginalize themselves. Thus,
we propose that minority scholars need to dare to be, they need to take the risk to reconstruct
their multiple personal and collective identities encompassing gender and ethnoracial issues.

Several identity dilemmas and conflicts that exist for minority scholars doing ethnic
research have been discussed above. It is our argument that minority scholars have a problem
with their collective identities because they are not cultivating their social and moral
responsibilities. Minority scholars are yet too busy protecting their battered personal identities
from further harm. This difficulty for developing their personal and collective identities is
especially experienced by junior female minority faculty and students because of the presence of
sociohistorical discriminatory and oppressive factors within the academic milieu. Then, minority
scholars need to develop a strategic plan for mentoring minority students and junior faculty for
increasing their presence in academia. That is, minority scholars need to realize the powerful
impact of the systematic development of focused and purposeful mentoring programs for
initiating students and junior faculty interested in ethnic research into the academic world.
It is our argument that the most important way of contributing to our professional
community is to integrate the traditional areas of research, teaching, and service with mentoring
relationships by using critical pedagogy and engaging in collaborative endeavors. That is
minority scholars need to redefine themselves and to overcome boundaries by reconstructing
their identities and de- their presence in professional communities and in academia. In this way,
minority scholars can reach higher "stages" in the development of their collective identities by
transcending their "adolescent identity crisis," and by searching for their reconstructed identities.

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About the Authors

Iliana Alans

Dr. Alans is an Assistant Professor in the Department of Curriculum and Instruction at
The University of Texas at Brownsville. Her research interests include early childhood
biliteracy, two-way bilingual programs, and oral language development. She is the Co-
Principle Investigator for the Bilingual Education: Training for All Teachers Grant; a
1.5 million dollar grant designed to work with teachers in bilingual and ESL settings.
She has a Ph.D. in multilingual studies from the University of Texas at Austin.

Karen A. Carrier

Karen Carrier is Assistant Professor in the Department of Literacy Education at
Northern Illinois University and Coordinator of Project QUILL, a Title III teacher
training project.. She works with teachers serving English language learners and other
diverse populations. Her research interests include second language listening strategies
and minority teacher training.

James A Cohen

James Cohen is currently a Ph.D. student in Language and Literacy at Arizona State
University. His interests include teacher education, second language acquisition, and
educational language policy. He has taught in a variety of cultural and international
contexts and is presently the Coordinator for the 4th International Symposium on
Bilingualism.

R. William Doherty

Dr. R. William Doherty is an Assistant Researcher at the Center for Research
on Education, Diversity, & Excellence at the University of California, Santa
Cruz. His areas of expertise include the relationship between pedagogy and
student achievement, experimental design in school-based research, and program
evaluation.

Yvonne Freeman & David Freeman

Dr. Yvonne Freeman is a professor of bilingual education and Dr. David Freeman is a
professor of reading at University of Texas-Pan American. Both are interested in
literacy education for English language learners. Their newest books are Closing the
Achievement Gap: How to Reach Limited Formal Schooling and Long-Term English
About the Authors
175
Learners , Between Worlds: Access to Second Language Acquisition, and Teaching
Reading in Multicultural Classrooms, all published by Heinemann. They are also
authors of Rigby's new ESL program, On Our Way to English.

Paul A. Garca

Dr. Garcia is an administrative analyst in the Office of Research, Evaluation and
Assessment for the Fresno Unified School District. His research interests include the
effects of high stakes tests on language minority students and factors that contribute to
school tracking.

Virginia Gonzlez

Dr. Gonzalez is an Associate Professor at the Division of Teacher Education, Teaching
English as a Second Language (TESL)/Literacy Programs, College of Education,
University of Cincinnati. Her major area of expertise is the development of innovative
models and educational applications for the assessment and instruction of ESL children
and adults.

Malati Gopal

Malati I. Gopal is an Administrative Analyst with the Office of Research, Evaluation
and Assessment at Fresno Unified School District and a core faculty with Alliant
International University, Department of Educational Leadership teaching
Research Methods. Her major area of expertise/interest are program evaluation models
and systemic/sustainable educational reform processes.

R. Soleste Hilberg

R. Soleste Hilberg is an Education Research Specialist at the Center for Research on
Education, Diversity & Excellence (CREDE) at the University of California, Santa
Cruz, where she earned an MA in education research in 1998. She was the project
manager for a five-year Native American education project and worked with the
University of California All Campus Collaborative on Outreach, Research and
Dissemination (UC ACCORD) Mathematics Research Group. In her recent work, she
co-developed the Standards Performance Continuum, a rubric for assessing teachers'
use of the Standards for Effective Pedagogy, produced and directed a teaching
professional development video, Studies in Native American Education - Improving
Education for Zuni Children, and co-edited a book on classroom observation measures,
Observational Research in U.S. Classrooms: New Approaches for Understanding
Cultural and Linguistic Diversity. She has taught mathematics to diverse students in
grades seven through twelve in California and Hawaii and has written extensively on
the topic of diversity education.
Winter 2003 NABE Journal of Research and Practice
176

Lisa M. Lpez

Dr. Lpez is a National Science Foundation Postdoctoral Fellow at the Harvard
University Graduate School of Education. Her primary research interests focus on the
development of language, literacy, and phonological skills of English language
learners. Additional interests include home, family, and cultural factors influencing
these children's academic achievement.

Natalia Martnez-Len

Dr. Martnez-Len, Associate Professor of Applied Linguistics and French at the
Universidad de las Amricas-Puebla in Cholula, Mexico. Her research focuses on
literacy practices in the Mexican context, connected with the U.S. and how the
transnational migration of central Mexicans to the New York/New Jersey area affects
their bilingualism.

Sandra Mercuri

Sandra Mercuri has taught a grade 4-6 multiage class of limited formal schooling
students and now teaches bilingual education classes and coordinates a Title VII dual
immersion grant at Fresno Pacific University. Sandra's classroom is featured in the
Freeman's latest book: Closing the Achievement Gap: How to Reach Limited Formal
Schooling and Long-Term English Learners.

Judith Munter

Judith Munter is an Assistant Professor at the University of Texas at El Paso where she
teaches courses on Multicultural Education and Action Research. She holds a Ph.D. in
Educational Foundations and Policy Studies from Florida State University, a Master's
Degree in TESOL, and a Bachelor's Degree in Elementary Education. She worked as a
classroom teacher in Latin America for 12 years, designing instruction at all levels in
both formal and nonformal educational programs.

Mariela M. Pez

Dr. Pez is Research Associate in the Human Development and Psychology
Department at the Harvard Graduate School of Education. Her primary research
interests are English language learners and early childhood education with emphasis on
variations in language and early-literacy skills related to home environments,
immigration histories, and ethnic background.

About the Authors
177
America Pinal

Amrica Pinal is an Education Researcher working in the Language Testing Division at
the Center for Applied Linguistics (CAL) in Washington D.C. Prior to joining CAL
Ms. Pinal worked at the Center for Research on Education Diversity and Excellence,
(CREDE), a National Research center at the University of California Santa Cruz.

Abie L. Quiones-Benitez

Dr. Quinones-Benitez is a coordinator and curriculum-staff developer for a
comprehensive school reform project in an inner city New England elementary
school. She has a Ph. D. with a major area of study in Curriculum and Instruction from
the University of Connecticut. Her major area of expertise is the
development of innovative models and educational applications for the development of
in-service teachers teaching English language learners in both bilingual and
mainstream programs.

Patrick H. Smith

Dr. Smith is Associate Professor of Applied Linguistics at the Universidad de las
Amricas-Puebla in Cholula, Mexico. His research examines the
bilingualism/biliteracy of transnational migrants and connections between language
minority communities and schooling in Mexico and the U.S.

Patton O. Tabors

Patton O. Tabors, Ed.D., has been a Research Associate at the Harvard Graduate
School of Education since 1987 where she has been involved in research related to
language and literacy acquisition of both young English-speaking and second-
language-learning children. She has published both scholarly and practitioner-
accessible articles based on her research.

Josefina V. Tinajero

Dr. Tinajero specializes in staff development and school-university partnership
programs, and has consulted with school districts in the U.S. to design ESL, bilingual,
literacy, and bi-literacy programs. She has served on state and national advisory
committees for standards development, including the English as a New Language
Advisory Panel of the National Board of Professional Teaching Standards and the
Texas Reading Academies. She is currently professor of Bilingual Education and
Interim Dean of the College of Education at the University of Texas at El Paso, and
was President of the National Association for Bilingual Education, 1997-2000.

Winter 2003 NABE Journal of Research and Practice
178
About the Authors
179

Roland G. Tharp

Roland G. Tharp is Director of the Center for Research on Education, Diversity &
Excellence (CREDE), Professor of Education and Psychology at the University of
California, Santa Cruz, author of the books Rousing Minds to Life and Teaching
Transformed, and over 100 publications on education and diversity.

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