BEGINNING READING: INFLUENCES ON POLICY IN THE UNITED STATES AND ENGLAND 1998-2010 A Dissertation Submitted to the College of Education of Aurora University in Partial Fulfillment of the Requirements for the Degree of Doctor of Education by Elizabeth Robins April 2010 Beginning Reading: Influences on Policy in the United States and England 1998-2010 by Elizabeth Robins [email protected] Committee members: Ronald Banaszak, Chair Carla Brown, Member Deborah Brotcke, Member Abstract The study investigated the divergence in beginning reading methods between the United States (US) and England from 1998 to 2010. Researchers, policy makers, and publishers were interviewed to explore their knowledge and perceptions concerning how literacy policy was determined. The first three of twelve findings showed that despite the challenges inherent in the political sphere, both governments were driven by low literacy rates to seek greater involvement in literacy education. The intervention was determined by its structure: a central parliamentary system in England, and a federal system of state rights in the US. Three further research-related findings revealed the uneasy relationship existing between policy makers and researchers. Political expediency, the speed of decision making and ideology i also helped shape literacy policy. Secondly, research is viewed differently in each nation. Peer- reviewed, scientifically-based research supporting systematic phonics prevailed in the US, whereas in England additional and more eclectic sources were also included. Thirdly, research showed that educator training in beginning reading was more pervasive and effective in England than the US. English stakeholders proved more knowledgeable about research in the US, whereas little is known about the synthetic phonics approach currently used in England. Two of the findings considered the differing role of mainstream or niche publishers. Though both are commercially based and politically engaged, the former are more business- oriented, while the latter support their chosen pedagogy. Finally it was found brain research was either supported or rejected, depending on the stakeholders’ personal beliefs concerning beginning reading pedagogy. The future livelihood and well-being of all children depends on reading ability. It is recommended that further research in reading be jointly undertaken by researchers in the US and England. The resulting shared knowledge and data would provide an improved basis for educator training, classroom pedagogy and literacy policy. Educators, researchers and their governments would then be better positioned to achieve their common goal of universal literacy. ii Acknowledgements This dissertation would not have been possible without the encouragement and knowledgeable support of many. I offer special thanks to my chair, Dr. Ronald Banaszak, for his informed and patient support, as he worked alongside me over the years during the twists and turns of my doctoral quest. I am also appreciative for the help provided by my methodologist, Dr. Carla Brown, as I determined that final emphasis, and who painstakingly guided me as I prepared for the critical interviewing stage. In addition, I am indebted to the Professors in Reading, Dr. Roberta Linder and Dr. Deborah Brockte, who, aware of the passion I brought to this task, perceptively commented on the manuscript during its many stages. Your input was timely and valuable. Of course this work could not have been accomplished without the generous contribution of my anonymous interviewees. With many calls upon their limited time, they graciously shared their knowledge and views of the field of beginning reading and its recent history. The breadth and depth of their expertise was evident as they shared information crucial to this study. Thank you. A passionate interest in beginning reading drove me on, but the daily pragmatic and empathetic support that enabled this research to go forward and come to fruition needs to be gratefully acknowledged. Thank you, dear Graham, for being my rock, constant reader and resident technology wizard. Also, throughout the doctoral process, I have been deeply sustained by the kind and interested support of my children, Zoë, Max and Jonna, and my forbearing friends. All have variously listened to me, cheered me on or even read and helpfully commented on parts of the manuscript, as I worked to complete this opus. Thank you, all. iii Table of Contents Chapter One - Introduction Recent Educational Policy in England and the US 1 Problem Statement 2 Balanced Reading and the US 3 Synthetic Phonics and the UK 3 Purpose of the Study 4 Researcher Background 5 Definitions of Terms Used 6 Conclusion 10 Chapter Two –Review of the Literature Historical Perspective 11 Alphabetic Approach 11 The Word Approach 12 The Need for Phonics 15 The Synthetic Phonics Pedagogy 16 The Whole Language Approach 17 The Emergence of Literacy Research 19 Renewal of Government Involvement in Literacy 21 A Need for Reform in the US 21 Balanced Reading 22 A Need for Reform in England 22 The US Response 23 iv The National Reading Panel 23 The English Response 26 The Rose Report 27 Nationwide Adoption of Synthetic Phonics 30 Clackmannanshire Study 32 The Role of Publishers 35 US Publishers 37 Publishers in England 38 Government Policy Decisions 40 Education Policy in the US 41 Reading First 43 Reading Recovery 43 Reading First Issues 45 Using Research to Create Policy 47 Policy Needs 47 Peer Review 48 Policy Usage in England 49 Policy Usage in the US 50 Conclusion 52 Chapter Three - Methodology Research Rationale 53 Researcher Bias 54 Qualitative Research Plan 56 v Interviewees 60 Ethical Issues and Confidentiality 61 Data Collection 63 Data Analysis 64 Data Organization Matrix 66 Study Limitations 66 Study Delimitations 67 Conclusion 68 Chapter Four - Findings Research Design 69 Participants 70 Coding of Interviews 71 Policy Maker Interviews 72 Researcher Interviews 74 Publisher Interviews 75 The Role of Government 76 Literacy Policy in England 77 The National Curriculum 78 The National Literacy Strategy 79 The New Literacy Initiative 84 Influential Rose Report 81 A National Mandate 83 Assessment and Literacy Targets 85 vi Reading Recovery Intervention 86 Literacy Targets 88 Looming Political Change 89 Literacy Policy in the US 89 Historical Underpinnings 90 New Literacy Initiative: Reading First 92 The Demise of Reading First 98 Continuing Literacy Support 101 US and English Researchers and Phonics 105 The Relationship Between Research and Policy 108 In England 108 The National Literacy Strategy 108 The Influence of Lobbying 110 The Rose Report 112 Reactions to the Rose Report 112 The Adoption of Synthetic Phonics 114 In the US 117 The Influence of Whole Language 118 Professional Development Need 120 The National Reading Panel 121 One Policy Maker’s View 121 One Researcher’s View 125 National Reading Panel – The Place of Evidence-Based Research 127 vii The Potential Marginalization of Stakeholders 130 The Links Between Research, Policy and Practitioners 132 Summary of Policy and Research 133 Stakeholders Personally-Held Views 134 Lessons From Brain Research 134 The Role of Publishing Companies 136 Publishing in England 137 Business Opportunities 137 Publishing and Business Imperatives 140 The Effect of Government Control 141 Political Change on the Horizon 144 Publishing in the US 145 Publishing Parameters 146 Publishing as a Commercial Enterprise 147 Researchers and Publishing 149 Niche Publishers 150 Publishers Links with Policy 154 Summary 155 Research Questions Revisited 157 Chapter Five - Discussion Finding One: Governments Seek to Improve Literacy 161 Finding Two: Literacy Policy is Affected by Government Structure 161 Finding Three: Political Restraints Affect Literacy Policy 162 viii 3A. Public Spotlight 163 3B. Confluence of Events 164 3C. Lobbying 165 3D. The Pace of Policy 166 3E. Money as a Motivator 168 Finding Four: Policy and Research, an Uneasy Alliance 169 Finding Five: The Use of Research Differs in England versus the US 170 Finding Six: Educator Knowledge of Research and Pedagogy Differs 172 Finding Seven: Mainstream and Niche Publishers Behave Differently 174 Finding Eight: Publishing Affected by Drives of Commerce 175 Finding Nine – English and US Policy Makers Accord 176 Finding Ten – England is More Aware of American Research than Vice-Versa 178 Finding Eleven: Beliefs and Assumptions Affect How Reading is Taught 178 Finding Twelve: Brain Research, a Young Science 179 Recommendations 180 1: Comparative Study Within the US 181 2: An International Cooperative Study 182 3: A Qualitative Study of the Grassroots Spread of Synthetic Phonics 183 4. Need for Professional Development in the US 183 5. Greater Sharing of Information Between the Two Nations 184 Limitations of the Study 184 Study Delimitations 185 Conclusion 186 ix References 188 Appendices Appendix 1: Informed Consent 204 Appendix 2: Table of Interviewee Views 206 x Chapter One: Introduction What is the best way to teach a young child to read? No two people, it seems, agree on an answer. (Chall, 1967, p. 1) Presciently, Jeanne Chall’s statement also applies to how the two nations of the United States (US) and England currently differ in their approach to teaching reading to their youngest school entrants. In the UK, following a government mandate in September 2007, the schools in England were given strong guidance regarding the use of high quality synthetic phonics programs with their beginner readers. In the