Spencer Annual Report 97

THE SPENCER Annual Report for the year ended FOUNDATION March 31, 1997 ❧ Lyle M. Spencer liked to describe himself as “a businessman looking in over the rim of education;” and he left notes indicating that he had established the Foundation in the hope that, since most of the Spencer money had been earned in educational publishing, much of that money might be “returned eventually to investigating ways in which education can be improved, around the world. Broadly conceived, wherever learning occurs.” The Spencer Foundation Annual Report was prepared by the officers and staff of the Foundation with Ines M. Milne as Editor and Patrick M. Sheahan as Managing Editor. It was produced by Wicklander Printing Corporation, Chicago, Illinois. The display type and text is Palatino by Adobe. ©1997 The Spencer Foundation, Chicago, IL. All rights reserved. THE SPENCER FOUNDATION 900 NORTH MICHIGAN AVENUE, SUITE 2800, CHICAGO, IL 60611-1542 TELEPHONE: 312/337-7000 FACSIMILE: 312/337-0282 http://www.spencer.org THE TABLE OF CONTENTS

SPENCER 03 Directors, Advisors, and Staff 04 Lyle M. Spencer FOUNDATION 05 The President’s Comments 08 Report of the Vice President Annual 10 Application and Review Information The Foundation’s Programs Report Research Programs 16 Major Research Grants for the year ended March 31, 17 Small Research Grants 21 The John D. and Catherine T. MacArthur 1997 Foundation/Spencer Foundation Professional Development Research and Documentation Grants 21 Practitioner Research Communication and Mentoring Grants

Fellowship Programs 22 Spencer Dissertation Fellows 23 National Academy of Education/ Spencer Postdoctoral Fellows 24 Spencer Fellows at the Center for Advanced Study in the Behavioral Sciences 25 Spencer Senior Scholar Grants 25 Research Training Grants 26 American Educational Research Association/Spencer Doctoral Research and Travel Fellows 27 Spencer Mentor Awards

28 Other Grants 29 Grants in Progress 33 Grantee Publications Received 34 Report of the Treasurer 35 Independent Auditors’ Report 36 Financial Statements 900 NORTH MICHIGAN AVENUE SUITE 2800 CHICAGO,ILLINOIS 60611-1542 TELEPHONE: 312/337-7000 FACSIMILE: 312/337-0282 http://www.spencer.org

NOTE: The current members of the Foundation's Board of Directors, review committees and staff, as well as updates of the information in this Annual Report, can be found at the Spencer Foundation Web Site, http://www.spencer.org. Additionally, this site permits downloading of the Foundation's 25th Anniversary Annual Report (1996) and the current year’s Annual Report. 1997 ANNUAL REPORT

DIRECTORS, ADVISORS, and STAFF

BOARD OF DIRECTORS Courtney B. Cazden PROGRAM ADVISORY COMMITTEE Mary Patterson McPherson Senior Advisor on Research on Practice Chair Courtney B. Cazden Cynthia M. Bentel Michael Fultz Lee S. Shulman Program Assistant Patricia J. Gumport Vice Chair Stephen W. Raudenbush Elizabeth Carrick Frank L. Bixby Brian J. Reiser Program Assistant to the Patricia Albjerg Graham Vice President Leslie Santee Siskin Magdalene Lampert Robert A. LeVine Josephine Craven DISSERTATION Systems Administrator FELLOWSHIP SELECTION Alejandro Portes COMMITTEE George A. Ranney, Jr. Doris E. Fischer Susan Florio-Ruane John S. Reed Administrative and Program Jennifer L. Hochschild 1 Assistant Albert Shanker Carol D. Lee 2 David S. Tatel Kathryn A. Gray James L. Leloudis 3 William Julius Wilson Program Assistant Robert Margo Julie K. Jessen Geoffrey Saxe STAFF Program Assistant Enrique Trueba Patricia Albjerg Graham Angela Valenzuela Craig M. Joseph President Research Associate/Systems PROFESSIONAL 4 Planner John H. Barcroft DEVELOPMENT Vice President and Treasurer RESEARCH AND Judith Klippenstein DOCUMENTATION 5 Administrative Assistant to the ADVISORY COMMITTEE John B. Williams, III President Sarah Gonzales Vice President and Senior Program Officer R. David Matthews Paul Goren Staff Assistant Paul Hill Ines M. Milne 6 Jacqueline Jordan Irvine Secretary and Treasurer Carrie A. McGill Program Assistant Janice E. Jackson Rebecca Barr Susan Moore Johnson Senior Program Officer Mary Jo Miller Harry Judge Program Assistant Catherine A. Lacey Susan Lytle Senior Program Officer Mary Ellen Natonski Harold Richman Assistant Secretary to the Peggy Mueller Foundation PRACTITIONER Director, Professional Development Research and Martin A. Robinson RESEARCH Documentation Program Financial Assistant COMMUNICATION AND MENTORING ADVISORY Lisa R. Lattuca Jennifer P. Savarirayan COMMITTEE Associate Program Officer Program Assistant Martha Rutherford, Chair Therese D. Pigott Patrick M. Sheahan Dixie Goswami Associate Program Officer Research/Administrative Diane Waff Associate Mark E. Rigdon Associate Program Officer

1 deceased February 22, 1997 3 term and service as Board Vice 5 as of September 1, 1997 2 term and service as Board Chair Chair expired January, 1997 6 Treasurer as of July 1, 1997 expired January, 1997 4 through August 31, 1997 3 THE SPENCER FOUNDATION

Lyle M. Spencer 1911-1968

❧ In 1938, while a graduate student in sociology at the University of Chicago, Lyle M. Spencer founded Science Research Associates, which eventually became one of the country’s leading publishers of educational tests, guidance programs, and curriculum materials. Lyle Spencer served as president of SRA from its founding until his death in 1968.

❧ Lyle Spencer established the foundation that bears his name in 1962, with the mandate of investigating ways in which education, broadly conceived, might be improved around the world. The Foundation received its major endowment in 1968 following the founder’s death. Since that time, it has authorized grants totaling approximately $182 million. Its assets as of March 31, 1997, were $359 million.

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THE PRESIDENT’S COMMENTS Patricia Albjerg Graham

s we begin our twenty-sixth year at the to allocate funds to their doctoral students as ASpencer Foundation, we find that much of discretion and need determine. Demand for our energies currently are focused upon evaluations of education programs has extending our programs to assist junior increased dramatically over the last decade, but scholars. In no sense have we diminished our imaginative and accurate modes of inquiry for commitment to senior scholars through our understanding them have not, and this gap has Major and Small Research Grants Programs, led us to support a cross-faculty program at which continue at record levels of expenditure Harvard for the preparation of postdoctoral and with extraordinary assistance and guid- scholars in the research and practice of ance from our Program Advisory Committee. evaluation. We continue to support doctoral But we have broadened and deepened our fellowships for students not attending the support for the preparation of a new generation Research Training Grant institutions (adminis- of scholars because we have become concerned tered by the American Educational Research that in the atrophy of other research funds for Association) and fellowships at the Center for education, the beginning scholars will suffer Advanced Study in the Behavioral Sciences, before the senior ones. Unless research skills particularly summer programs for junior are developed and used at the beginning of a scholars. Finally, we ourselves administer fel- career, they are not likely to emerge in the lowships for doctoral students completing their middle or latter stages of one’s professional life. dissertations. From this program, particularly, Thus, an emphasis upon support and we are learning a great deal about the profes- sustenance of beginning scholars seems partic- sional lives of beginning scholars. We continue ularly important to us since the future of to develop ways in which they can deepen and research about education rests on them. extend their professional relations with each Our attention has concentrated on our initial other both during and after the fellowship. program for young scholars, the Postdoctoral These findings are especially helpful to us in Fellowship Program administered by the designing and informing our other programs. National Academy of Education, which has The single most important finding from our now completed ten years of activity. In junior scholar experience is that context makes a addition, this year we have committed $11.2 difference: some settings seem much more con- million over five years to the Research Training ducive to research than others. Another way of Grants Program and have added four universi- expressing the same well known finding is that ties (Berkeley, Michigan State, Pennsylvania, a concentration of intellectually engaged and and Teachers College, Columbia) to the group professionally committed scholars provides a (Harvard, Michigan, Stanford, UCLA, and fruitful environment for nourishing researchers, Wisconsin) we are aiding with fellowships for particularly at the beginning of their careers. For future researchers in their graduate schools of example, the recent study of the recipients of the education. We also select annually several National Academy of Education Postdoctoral university professors (mentors) who excel at Fellowships by Beth Gamse and Dylan Conger supervising doctoral students working on of Abt Associates, which was commissioned by subjects related to education and permit them the Spencer Foundation in 1996, revealed that 54

5 THE SPENCER FOUNDATION

President’s Comments

percent of the Fellows selected by the National enabling or thwarting one as a researcher. Academy of Education Selection Committees Clearly not all doctoral students want research received their doctorates from six universities careers, and for them the ambiance of a potent (Harvard, Stanford, Chicago, Berkeley, research institution may not be as important to Michigan, and Wisconsin). Another eight their education. Just as clearly some individuals universities (Michigan State, UCLA, Yale, who did not attend such institutions Pittsburgh, Princeton, Pennsylvania, Illinois, subsequently become outstanding researchers. Columbia, and Washington) accounted for an Graduate school plays a central role both in additional 18 percent of the Fellows. The gradu- academic preparation and professional social- ate institutions of the Dissertation Fellows, ization. The experience of full-time study with selected by an outside committee, reveal a other full-time graduate students, as well as similar pattern. Fifty percent of the 161 Fellows with faculty, is absolutely critical in creating the chosen between 1993 and 1997 came from seven research culture and informal set of exchanges institutions (Berkeley, Chicago, Stanford, through which most scholars develop their Harvard, Michigan, North Carolina, and sensibilities and skills. A scholarly career is not Indiana). Another four universities (Columbia, likely to evolve from assorted courses, miscel- Wisconsin, UCLA, and Pennsylvania) accounted laneous term papers, the odd comprehensive for an additional 11 percent of the Fellows. examination, and a tortuously conceived and This pattern of concentration of awards at a written thesis, all wedged into a life of a relatively few universities is also discernible full-time or several part-time jobs at a time though not as starkly in the major grants pro- when family related decisions are also emerg- gram. Six institutions (Harvard, Stanford, ing. Rather, scholarly work requires time: time Chicago, Berkeley, Michigan, and Wisconsin) to think, time to read, time to observe, time to have accounted for about 30 percent of our reflect, time to write. grants over our twenty-six year history. Five At Spencer we worry enormously about the others (UCLA, Johns Hopkins, Illinois, relatively few extremely potent institutional Columbia, and Washington) encompass about preparers of researchers. We recognize the 13 percent of the grants awarded during this advantage of a graduate student who is fortu- period. The concentration has been somewhat nate enough to live in a state with an excellent less evident in recent years than in public university, such as California, Michigan previous ones. The remaining grants go to or Wisconsin and able to attend it on a full-time scholars at an immense variety of institutions, basis. Similarly we regretfully observe the both in the United States and abroad. disadvantage of the individual situated in a set- A complete listing of all our previous awards ting remote from such distinguished scholarly can be found in our Annual Report for our twen- activity. The fellowships administered by the ty-fifth year (1996), which is available both in print American Educational Research Association and on our web site http://www.spencer.org. are designed specifically to reach persons not Our annual reports include a list of all awards enrolled in the most favored institutions. made during the year of the report. For an immense variety of reasons, many The principal conclusion we draw from this extraordinarily gifted individuals, both faculty analysis is the power of graduate school in and students, are affiliated with colleges and

6 1997 ANNUAL REPORT

President’s Comments universities that are not as conducive to sus- among their faculty, create conditions on their tained intellectual inquiry or rigorous research campuses in which research can and often does as they might be. The difficulty for them of flourish. Undoubtedly this explains the concen- overcoming this institutional hurdle is great tration of a relatively small number of research indeed. We hope to learn more from the experi- universities in the institutions receiving the ence especially of the American Educational bulk of Spencer funds. Research Association with its doctoral Nearly all of the recipients of our postdoctoral fellowship program and of our Program fellowships did their graduate work in major Advisory Committee for our Major Grants research universities but many are now teaching Program to aid us as we continue our efforts to in a much greater variety of settings. Hence, we address this issue over the next several years. are particularly eager for the National Academy Too much research preparation, particularly of Education to provide a variety of seminars in education, is done on the cheap with the con- and other activities that will nourish these currence of institutions, which accommodate young scholars in their professional careers. large enrollments (and large faculties) without Contact with active researchers, both junior and adequate support for either. Students can not or senior, seems a powerful means of professional do not commit to full-time study; faculty initially support for getting an independent research believe that frequent publication and outside trajectory established. While innate commitment grants are more important than profound to inquiry is essential for the researcher, some research. Too often in such situations faculty institutional and extra-institutional support and succumb to promising more research products expectation are also helpful. Spencer specializes than can possibly be accomplished well and in the latter. then either submitting partially completed In short, we at Spencer are seeking ways to be work or suffering research paralysis in the helpful both in supporting individual scholars midst of an overly ambitious research agenda. committed to investigating questions related to A measure of intellectual self-confidence is education and in developing communities of necessary for the active scholar to say “no” to the inquiry which encourage rigorous, imaginative, invitation to write a chapter for a forthcoming and resourceful research about educational book, to give a named lecture, to participate in a issues. We believe that scholars at the beginning national panel. Beginning scholars believe they of their professional careers are particularly will never be asked to make such contributions vulnerable to assaults on their time and energies and hence must accept anything that is offered. that interfere with their evolving research. More mature scholars need to learn new habits of Hence, we hope that through the cooperation of declination, and too many do not find reinforce- senior scholars we will be able to foster activities ment for such actions from their universities, that will be helpful to the young and which anticipate prestige accruing to them from invigorating to the more established scholars. their over-extended faculty’s activities. Those universities which make a significant effort to fight these prevalent academic tenden- cies, to prepare graduate students thoroughly, Patricia Albjerg Graham and to support a vigorous intellectual life August 25, 1997

7 THE SPENCER FOUNDATION

REPORT OF THE VICE PRESIDENT John H. Barcroft

n the fiscal year ending March 31, 1997, the award of their doctoral degree and; IFoundation made payments on grants and fel- Scholars in Residence at the Center for lowships totaling $14.9 million. These payments Advanced Study in the Behavioral Sciences. included $6.2 million in the fellowship programs In addition to these ongoing programs, the and $8.7 million in the research and other grant Foundation supports, on a severely limited programs. The Foundation continued its com- basis, the convening of working groups of mitment to educational research by authorizing researchers addressing the concerns of specific 203 new grants and fellowships totaling $24.8 areas of educational research. Such support is million. These payments and authorizations usually at the initiative of the Foundation. were allocated to the following programs: Finally, the Foundation continues to experi- the Major Research Grants Program, respond- ment with ways in which the early stages of ing to research projects longer than one year in doctoral study in the field of education might duration and requiring more than $12,000 in be supported and methods by which research grant support; results might be more broadly disseminated. the Small Research Grants Program, respond- Current projects include the Research Training ing to research projects up to one year in duration Grants Program and the Spencer Mentor and with cost requirements of $12,000 or less; Awards. Because they are intended as experi- the John D. and Catherine T. MacArthur ments, these projects are conducted solely at Foundation/Spencer Foundation joint research the invitation of the Foundation. and documentation program for professional More information on specific programs, as development, which supports research studies well as a description of the Foundation’s review analyzing policies and practices which appear processes, can be found beginning on page 10. to be successful in furthering the professional In all of its activities, the Foundation staff development of adults working in schools; benefits enormously from the advice and guid- the Practitioner Research Communication ance of others. In perhaps the foremost and Mentoring Grants Program, an experimen- instance, our active and engaged Board of tal program to support communications and Directors sets policy and makes final decisions networking among practitioner researchers; on grants. the Spencer Dissertation Fellowship The Program Advisory Committee for the Program, offering approximately 30 fellow- Major Research Grant Program brings expertise ships for completion of the dissertation to grad- from different disciplines to the review of pro- uate students conducting research related to posals and to the identification of appropriate education who have completed all other peer reviewers for individual projects. The requirements for the doctoral degree; Professional Development Research Advisory the National Academy of Education/ Committee performs the same function for Spencer Postdoctoral Fellowship Program, our joint program with the MacArthur offering approximately 30 postdoctoral fellow- Foundation, as does the Practitioner Research ships for scholars within five years of the Communication and Mentoring Advisory

8 1997 ANNUAL REPORT

Committee for our grants in that program. The munication among the fellowship recipients and membership of these committees is listed on between them and established scholars. page 3; and we are deeply grateful for the In this final report, as I relinquish my role as thought and time they devote to strengthening Vice President of the Spencer Foundation to our review process. assume that role at the Carnegie Foundation for We could not operate a field-initiated research the Advancement of Teaching, I must record grant program without the willingness of schol- both my long-standing and my current indebt- ars in the many disciplines and fields we sup- edness to the Board, the President, the staff and port to serve as peer reviewers. In the last fiscal the grantees of the Spencer Foundation. Over a year, 246 scholars served as reviewers. We are period of five years, they have educated me with grateful for their interest in furthering strong unparalleled warmth, charity and intelligence. I projects in educational research. shall miss the association enormously, but I hope In a parallel fashion to the research advisory to apply what I have learned at Spencer in ways committees, the Foundation’s Dissertation useful and beneficial to Carnegie. Fellowship Selection Committee, whose mem- bership is also listed on page 3, did yeoman work in identifying the 1997 recipients of these fellowships from an excellent field of 614 appli- cants. Additionally, the Committee continued to John H. Barcroft provide useful guidance on ways to build com- Vice President

9 THE SPENCER FOUNDATION

APPLICATION AND REVIEW INFORMATION

GENERAL SCOPE OF SUPPORT MAJOR RESEARCH GRANTS he Foundation has as its primary mission, The Foundation's Major Research Grants Tby the intent of its founder, "to investigate Program responds to research projects requir- ways in which education can be improved, ing more than $12,000 in grant support. Spencer around the world." To achieve this goal, the funds widely varied research projects, ranging Foundation is committed to supporting high from medium-sized studies that can be quality investigation of education through its completed in a year by an individual researcher research programs and to strengthening and to more extensive collaborative studies that last renewing the educational research community several years. through fellowship programs and related activ- Funding Priorities. The Foundation does not ities. The Foundation defines education broadly establish funding priorities for subjects of to include all the situations and institutions in research. Funded projects derive from research which education proceeds, across the entire life ideas initiated in the field by scholars. The span. An important expectation of the Foundation Foundation believes that the best scholarly is that the activities it supports, taken together work is done by those who conceive or over the years, will contribute significantly to the recognize an important research idea or prob- enhancement of educational opportunity for all lem, have the professional skill to examine it, people. and the energy and perseverance to bring the The research programs, comprised of Major project to a successful conclusion. Research Grants, Small Research Grants, and Eligibility. Ordinarily, researchers must be Professional Development Research and currently affiliated with a school district or with Documentation Grants support work that shows a college or university, a research facility or a promise of contributing new knowledge, under- cultural institution. Researchers must have an standing, and improvement of educational earned doctorate in an academic discipline or thought and practice. The fellowship professional field and/or experience in the programs support educational researchers at teaching profession. different stages of their professional careers, providing resources to both young and senior Restrictions. The Foundation does not grant researchers to pursue concentrated intellectual funds to maintain organizations or infrastruc- activity. Practitioner Research Communication ture of educational research. Grantees may not and Mentoring Grants seek to increase the receive two research grants simultaneously capacity of teacher researchers to bring new from the Spencer Foundation. Please note that knowledge to bear on the problems of educa- the Foundation does not pay government- tion and its practice. approved overhead rates on research grants; overhead requests on major research grants As a matter of policy, the Foundation is unable may not exceed 15% of the requested direct to support requests for capital funds, operating costs. or ongoing program expenses, direct support for teacher or staff preservice or in-service training, Application Procedure. Since the Foundation and funds for developing tests, curricula, or does not usually accept fully developed propos- programs. als unless it has requested them, applicants seeking research support from the Major Research Grants Program are asked to submit a RESEARCH PROGRAMS brief preliminary proposal. Preliminary propos- he Foundation encourages research that als should be no more than 1500 words in Tpromises to yield new knowledge about length. Within those limits, we request the education, in one or other of its forms, in the following information: United States and abroad. It supports • a brief description of the project and the researchers from a wide range of disciplines new knowledge expected to result from it; and fields.

10 1997 ANNUAL REPORT

Application Information

• a concise summary of the research method- or professional field and/or experience in the ologies, modes of analysis, and/or instru- teaching profession . ments which the project will employ; Restrictions. Grants made under the • a clear identification of the principal inves- program range from $1,000 to an upper limit of tigator(s) and a clear definition of the roles $12,000. Projects may not extend beyond a year the principal investigator(s) and any in duration. Grantees are not permitted to supporting researcher(s) will play; receive two research grants simultaneously from the Spencer Foundation. Please note that • an estimate of the timeframe for the project and the approximate cost, including the the Foundation does not pay government- approximate amount to be sought from the approved indirect cost rates on research grants, Spencer Foundation. and it prefers not to pay indirect costs in the Small Research Grants Program. Researchers Attachments must include: seeking support for their doctoral dissertation • phone number(s) and/or fax number(s) should apply to the Spencer Dissertation where principal investigator(s) may be Fellowship Program. reached; Application Procedure. Unlike the Major • the curriculum vitae of the principal Research Grants Program, a preliminary investigator(s). proposal is not required. Proposals for support Inquiries and preliminary proposals are wel- from the Small Grants Program should be in come at any time and should be addressed to: the form of a statement with attachments. The Vice President, The Spencer Foundation, 900 statement should not exceed 1500 words in North Michigan Avenue, Suite 2800, Chicago, length (approximately five double-spaced Illinois 60611-1542. pages) and provide clear information on the following: • a concrete description of the proposed SMALL RESEARCH GRANTS research project; The Foundation's Small Research Grants • a brief summary of the relevant literature Program supports research projects with grant and of how the research question relates to budgets of $12,000 or less and of one year or existing knowledge; less in duration. It offers a unique opportunity to researchers and teachers in a broad range of • the methodologies and modes of analysis to institutions who are engaged in educational be employed in the project; research. The program is appropriate for mod- • the role of the researcher(s); est-sized research projects, exploratory studies, • the new knowledge about education specific phases of larger investigations, and expected to result from the project; projects which arise in response to unusual opportunities. The Small Research Grants • the potential contribution of that new knowl- Program encourages researchers with diverse edge to the improvement of education. perspectives to develop ideas and approaches The attachments should include: which extend the conventional boundaries of a • a one-paragraph summary of the project, research question, area, or method. The written for the interested informed lay person; program supports individual efforts as well as collaborations. • a detailed budget for the project; Eligibility. Ordinarily, researchers must be • approval of the budget from the appropriate currently affiliated with a school district or financial officer of the institution; with a college or university, a research facility • a full curriculum vitae of the principal or a cultural institution. Researchers must have investigator(s); an earned doctorate in an academic discipline • phone number(s) and/or fax number(s)

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Application Information

where the researcher(s) may be reached. Program, The Spencer Foundation, 900 North Two copies of the proposal and attachments Michigan Avenue, Suite 2800, Chicago, are requested. Illinois 60611-1542. Insofar as feasible, proposals which include all the information requested above will be PRACTITIONER RESEARCH acted upon within approximately three months COMMUNICATION AND of receipt by the Foundation. Proposals are wel- MENTORING GRANTS come at any time and should be addressed to: The Practitioner Research Communication Small Research Grants Program, The Spencer and Mentoring Grants are intended to: Foundation, 900 North Michigan Avenue, Suite 2800, Chicago, Illinois 60611-1542. • establish or strengthen channels for rigor- ous examination and discussion of the characteristics of, and knowledge produced PROFESSIONAL DEVELOPMENT by, well-constructed teacher research and RESEARCH AND • provide teacher researchers with the oppor- DOCUMENTATION PROGRAM tunity to enhance their research skills The Professional Development Research and through consultation with others in the Documentation Program supports studies on teacher research and/or traditional acade- the professional development of adults work- mic communities. ing in elementary and secondary schools. In general, grants range from $2,000 to Sponsored jointly by the John D. and Catherine $15,000 annually. T. MacArthur Foundation and the Spencer Foundation, the Program seeks to support Eligibility. Teacher researchers, groups or research that identifies proven professional networks of teacher researchers, and development strategies, conditions, and/or collaborative partnerships between teacher policies that foster the development of the researchers and university researchers are knowledge and skills required for effective eligible to apply. Applicants must be affiliated teaching. Grants range from $5,000 - $50,000 with a not-for-profit agency through which annually. funds will be distributed. Please note that individuals or groups seeking funding Funding Priorities. Studies are sought that directly for research projects by teachers, will aid educators, policymakers, and school rather than for projects that examine and communities in understanding, establishing and strengthen the character of teacher research, sustaining effective professional development, should apply to the Spencer Small Research particularly of teachers and administrators. Grants Program. Eligibility. Practitioners, researchers and For Information. A brochure with more policy analysts in education, as well as other detailed information on funding priorities, fields, and community-school partners are eligibility, grant deadlines, and application eligible individually or in groups. Applicants procedures is available from the Foundation. must be affiliated with a not-for-profit agency Inquiries should be directed to: Practitioner through which funds will be distributed. Research Communication and Mentoring Studies focused on preservice teacher educa- Program, The Spencer Foundation, 900 North tion programs are not eligible. Michigan Avenue, Suite 2800, Chicago, For Information. A brochure describing Illinois 60611-1542. application procedures for the Professional Development Research and Documentation Program is available from the Foundation. Inquiries should be directed to: Professional Development Research and Documentation

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Application Information

FELLOWSHIP PROGRAMS history, linguistics, literature, philosophy, polit- hrough its Fellowship Programs, the ical science, public health, psychology, religion, TSpencer Foundation supports scholars and sociology, but eligibility is not restricted to engaged in educational research at different these academic areas. Candidates should be stages of their professional lives. However, the interested in pursuing further research in only fellowship program administered directly education once the doctorate is attained. by the Foundation is the Spencer Dissertation Awards and Conditions. Approximately 30 Fellowship Program. This and other Spencer- non-renewable fellowships are awarded each supported fellowship programs are described year. Recipients receive $17,000 to support below. completion of the dissertation, an amount to be expended within two years and in accordance with the work plan provided by the candidate DISSERTATION FELLOWSHIP in the application. In addition, recipients PROGRAM FOR RESEARCH RELATED participate in a series of forums designed to TO EDUCATION develop professional networks and support The Dissertation Fellowship Program seeks cross-disciplinary exchange. Fellows may not to encourage a new generation of scholars from accept employment other than as described (if a wide range of disciplines and professional any) in the application nor may they accept fields to undertake research relevant to the other awards providing duplicate benefits improvement of education. The Foundation without the written permission of the Program believes that insight from many research tradi- Officer. tions can contribute to an understanding of Application Procedure. Fellowship appli- education as a fundamental human endeavor cants must request current application forms and advance our ability to address significant and instructions by mid-October of the year current issues in education. Therefore, the prior to the year in which the fellowship takes Spencer Dissertation Fellowships support effect. Students must submit their completed individuals whose dissertations show potential applications by an early November date desig- for bringing fresh and constructive perspec- nated in each year. Awards are announced in tives to the history, theory, or practice of formal April. or informal education anywhere in the world. Inquiries concerning the Dissertation Eligibility. Applicants must be candidates Fellowship Program should be addressed to: for the doctoral degree at a graduate school in Dissertation Fellowship Program, The the United States. These fellowships are not Spencer Foundation, 900 North Michigan intended to finance data collection or the com- Avenue, Suite 2800, Chicago, Illinois 60611- pletion of doctoral course work, but rather to 1542. support the final analysis of the research topic and the writing of the dissertation. For this reason, all applicants must document that they NATIONAL ACADEMY OF will have completed all pre-dissertation EDUCATION/ SPENCER requirements by June 1 of the year in which the POSTDOCTORAL FELLOWSHIP fellowship is awarded, and must provide a Administered by the National Academy of clear and specific plan for completing the Education, the Spencer Postdoctoral dissertation within a two-year time frame. Fellowships are designed to promote scholar- Funding Priorities. Although the disserta- ship in the United States and abroad on matters tion topic must concern education, graduate relevant to the improvement of education in all study may be in any academic discipline or its forms. Scholars anywhere in the world who professional field. In the past, fellowships have have completed their doctorate within the last been awarded to candidates in anthropology, five years, and who wish to conduct research architecture, art history, economics, education, related to education, may apply.

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Application Information

Inquiries concerning the Postdoctoral training of educational researchers. The Fellowship Program should be addressed to: Foundation awards grants through its Mentor The National Academy of Education, Stanford Program to individual scholars with a strong University, School of Education, CERAS record of mentoring doctoral students prepar- Building, Room 108, Stanford, California 94305- ing for a career in educational research. 3084. THE REVIEW PROCESS AERA/SPENCER RESEARCH Research proposals and fellowship applica- TRAINING FELLOWSHIPS tions submitted to the Spencer Foundation go The American Educational Research Associa- through a rigorous review process. All tion (AERA)/Spencer Doctoral Research Train- proposals are reviewed by Spencer professional ing Fellowship Program provides one-year staff. Another dimension of expertise is added fellowships for graduate students midway to the Foundation's programs by its review through their doctoral programs. Inquiries committees of external scholars, who assist the should be addressed to: AERA/Spencer Doctoral Major Research Grants Program, the Research Fellowship Program, The American Professional Development Research and Educational Research Association, 1230 17th Documentation Program, the Practitioner Street, NW, Washington, DC 20036. Students at Research Communication and Mentoring institutions receiving Spencer Research Training Program, and the Dissertation Fellowship Grants are not eligible for these fellowships. Program. The goal of the external review is not to SUPPORT FOR SCHOLARS AT THE achieve some threshold rating in points from CENTER FOR ADVANCED STUDY IN THE reviewers; rather, it is to bring solid scholarly BEHAVIORAL SCIENCES advice to bear on funding decisions. The Foundation receives many more well-con- Since 1971, the Foundation has contributed ceived and worthwhile projects than it can pos- to the support of Spencer Fellows at the Center sibly assist within its budget. It is therefore fre- for Advanced Study in the Behavioral Sciences quently necessary to forgo opportunities to in Palo Alto, California. Three to five scholars support high quality projects in the research with interests in issues of education, develop- programs or in the fellowship competitions ment, cognition, and the social contexts of even though they are well within the learning are supported annually. Foundation’s area of interest. Inquiries should be addressed to: Director, Center for Advanced Study in the Behavioral Sciences, 202 Junipero Serra Boulevard, Stanford, California 94305. NOTE: The current members of the Foundation's Board of Directors, review committees and staff, as well as updates of the information in this Annual Report, can be found at the Spencer Foundation Web Site, http://www.spencer.org. INVITATIONAL PROGRAMS Additionally, this site permits downloading of the Foundation's 25th Anniversary Annual Report (1996) and In addition to its regular grants and pro- the current year’s Annual Report. grams, the Spencer Foundation conducts three grant programs by invitation only. The Spencer Scholars Program supports established scholars who are identified as being at the peak of their careers by their peers. Through the Research Training Grants Program, the Foundation makes a limited number of grants to schools of education to support the graduate doctoral

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The Foundation’s Programs

❧ The Spencer Foundation supports research and fellowships which give promise of yielding new knowledge leading to the improvement of education. This work is divided into two main categories: Research Programs and Fellowship Programs. Grants authorized under these programs during this year are listed on pages 16 - 28, and ongoing grants appear on pages 29 - 32.

15 THE SPENCER FOUNDATION

MAJOR RESEARCH GRANTS

Richard C. Anderson and Lloyd Bond Michael J. Feuer William E. Nagy To Investigate Sources of Adverse Assessment Strategies for the Federal Learning to Read Chinese: Effects Impact in the National Board for Title I Program of Metalinguistic Knowledge and Professional Teaching Standards Commission on Behavioral and Volume of Reading on the Early Adolescence/English Language Social Sciences and Education Acquisition of Literacy in a Arts Assessment National Academy of Sciences Non-Alphabetic Writing System Center for Educational Research National Research Council Center for the Study of Reading and Evaluation $100,000 over two years University of Illinois at University of North Carolina at Urbana-Champaign Greensboro Michael Fultz $321,450 over three years $469,600 over twenty-two months African-American Teachers in the South, 1890-1960 Kathryn H. Au Ronald S. Burt and Department of Educational Policy The Successful Education of Joseph Jannotta, Jr. Studies Hawaiian Children: A Study of Building Bridges: A Study of University of Wisconsin-Madison Preservice and Mentor Teachers Mentors and the Social Capital of $182,100 over three years College of Education Promising Minorities University of Hawaii Chicago Management Council Frank Furstenberg $192,100 over three years $45,000 over one year Longitudinal Study of Eighth Graders in Philadelphia Schools Barbara R. Beatty Jeanne Brooks-Gunn Department of Sociology Teaching Teachers: A History of Storytimes: Language and Literacy in University of Pennsylvania American Teacher Education the Context of Home Visiting $25,000 over six months Department of Education Programs Wellesley College Center for Young Children and Ann G. Gold and $77,800 over fifteen months Families Bhoju R. Gujar Teachers College, Columbia Environmental Knowledge in Marjorie J. Beeghly and University Rajasthan: Learning and Teaching Edward Z. Tronick $238,900 over three years in Contrasting Contexts Early Development of African- Department of Religion American Children: Factors Robert B. Cairns Syracuse University Predicting Cognitive Competence Intergenerational Turning Points $49,750 over one year and Adjustment for School Success Child Development Unit Center for Developmental Science Esther N. Goody Children’s Hospital, Boston University of North Carolina at Authority and Effective Learning $300,000 over three years Chapel Hill in Northern Ghana $258,750 over three years Department of Social Roger Benjamin, Lorraine M. Anthropology McDonnell, and P. Michael Donna Christian University of Cambridge Timpane Second Publication of Comparative $232,900 over three years The Democratic Purposes of Data from Phase I of the Language Education Education Study Stephen J. Griffin Institute on Education Center for Applied Linguistics Making the Transparent Visible: and Training $28,000 over five months Teachers’ Research on Classroom The RAND Corporation Discourse $124,900 over one year Michael N. Danielson and Technical Educational Research Jennifer L. Hochschild Center (TERC) Mark Berends and Samuel R. With the Best Intentions: New York $249,700 over three years Lucas State and Racial Separation in The Structure and Effects of Tracking Yonkers G. Alfred Hess in the United States: A Temporal Woodrow Wilson School of Strengthening the Links Between Perspective Public and International Affairs Communities and Schools Institute on Education Princeton University School of Education and Social and Training $162,600 over one year Policy The RAND Corporation Northwestern University $472,800 over three years Wolfgang Edelstein $300,000 over three years International Workshop on David Bloome and Susan R. School Transformation Harry Judge Goldman Center for Development and The State, Schools and Religion Using Multiple Texts for Academic Socialization Brasenose College Learning: Social and Cognitive Max Planck Institute for Human University of Oxford Perspectives Development and Education $37,000 over one year Department of Teaching and $23,000 over one year Learning Richard Kahlenberg Research and Writing of a Book Vanderbilt University Examining Inequality of $532,900 over three years Educational Opportunity Center for National Policy $25,000 over six months

16 1997 ANNUAL REPORT

John F. Kain Rebecca S. New and John B. Willett and Minority Suburbanization and the Bruce L. Mallory Judith D. Singer Achievement of Minority Students The Socio-Cultural Construction of Bridging the Gap Between Department of Economics Home-School Relations: The Case of Methodology and Substance: Harvard University Reggio Emilia and Contemporary Advances in Study Design and $214,900 over two years Italy Statistical Analysis for Educational Department of Education Research Mary Kelley, Ellen University of New Hampshire Graduate School of Education Fitzpatrick, and Barbara $296,150 over two years Harvard University Sicherman $397,950 over three years Conference on Women’s Norman Nie Intellectual History Educational and Social Outcomes J. Douglas Willms Department of History Research Analysis School and Community Effects on Dartmouth College Department of Political Science Children’s Educational and Health $13,000 over five months University of Chicago Outcomes $20,000 over one year Atlantic Centre for Policy Helen Ladd and Jens Ludwig Research in Education Supplemental Funding for the Project John U. Ogbu University of New Brunswick “The Impact of the Moving to Cultural Models and Educational $271,350 over four years Opportunity Experiment on the Strategies Educational Opportunities and Department of Anthropology Outcomes of Children” University of California, Berkeley The Spencer Foundation Major Sanford Institute of Public Policy $94,600 over one year Research Grants Program is Duke University administered by the Spencer $15,800 over six months Gary Orfield and Foundation. Inquiries may be Christopher F. Edley, Jr. directed to: Vice President, The Valerie E. Lee Conference on The Future of Spencer Foundation, 900 North High School Size: Effectiveness, Equity, Affirmative Action in Higher Michigan Avenue, Suite 2800, and Meaning to School Members Education Chicago, IL 60611-1542. School of Education Graduate School of Education University of Michigan Harvard University $101,500 over one year $10,000 over six months Mary J. Levitt and Harold A. Richman and Jerome L. Levitt Joan R. Wynn Social Networks and School Furthering Education: The SMALL RESEARCH Adaptation Across the Child to Relationship of Schools and Other Adolescent Transition Institutions GRANTS Department of Psychology Chapin Hall Center for Children Florida International University University of Chicago Karen Alford $293,350 over four years $320,000 over two years How Writing Affects Thinking and How Sharing Writing Affects the Mary Haywood Metz Joanne E. Roberts and Community of the Classroom Real Schools in Disparate Margaret R. Burchinal Audubon Montessori School, Circumstances: How Community A Longitudinal Study of the Role of New Orleans, Louisiana Social Class Shapes Teachers’ Language in School Success for Working Lives and the Opportunities African-American Children Jeffrey J. Arnett They Learn to Offer Their Students Frank Porter Graham Child Mexican-American Perspectives on Department of Educational Policy Development Center the Transition to Adulthood Studies University of North Carolina at Department of Human University of Wisconsin-Madison Chapel Hill Development and Family Studies $40,000 over one year $327,950 over three years University of Missouri-Columbia Pamela A. Moss Melissa Roderick Margarita M. Azmitia and Developing Coherence Between Student Life in High Schools Project Catherine R. Cooper Assessment and Reform: A Role for School of Social Service Are Mexican-Descent Students Hermeneutics in Licensing and Administration Academic Mentors for their Professional Development of Teachers University of Chicago Younger Siblings? School of Education $28,800 over ten months Psychology Department University of Michigan University of California, $459,650 over two years Dorothy Ross Santa Cruz Conference on The History of the Margaret A. M. Murray Social and Behavioral Sciences Since Alexander G. Bearn Factors Contributing to Women’s the Late Nineteenth Century Medical Influence of the Regius Success as Professional The Woodrow Wilson Professors of Physics on Medical Mathematicians: The Doctoral International Center for Scholars Practice in the U.K. Classes of 1940-1959 $30,000 over one year Department of Medicine Department of Mathematics Rockefeller University Virginia Polytechnic Institute and State University $65,100 over fifteen months

17 THE SPENCER FOUNDATION

Small Research Grants

David Bjorklund Scott R. Christian Walter Feinberg Social Construction of Simple A Tripartite Case Study of the An Examination of the Philosophical Arithmetic Strategies in Young Implementation of an Authentic Foundation of Affirmative Action: Children Assessment Educational Implications Department of Psychology Juneau Douglas High School, Department of Educational Policy Florida Atlantic University Juneau, Alaska Studies Write to Change, Inc. University of Illinois at Urbana- Camille L.Z. Blachowicz and Champaign Peter J.L. Fisher Thomas Dixon Cook, Constructing a Framework for Melinda Scott Krei, and John Fitz Analyzing Clinical Reflection: Stephanie Alter Jones A Study of Local Response to Reading Specialists Reflect on College for All: Expectation and National Assessment in England Clinical Instruction Choice in High School Students’ and Wales National College of Education Post-Secondary Planning School of Education National-Louis University Center for Urban Affairs and University of Wales, Cardiff Policy Research Nancy W. Brickhouse Northwestern University Julie A. Foertsch Girls’ Engagement With/In Science CIC Summer Research Opportunity Department of Educational Helen Damon-Moore Programs: The First Ten Years Development Gender and Service through History LEAD Center University of Delaware Women’s Studies University of Wisconsin-Madison Cornell College Michael J. Brien Anastasia J. Gage Work During High School and Verda Delp Schooling and Child Labor in Ghana: Academic Achievement Resource Mapping and Log Writing Family Strategies and Gender Roles Department of Economics Willard Junior High School, Department of Sociology University of Virginia Berkeley, California Pennsylvania State University Berkeley Public Education David C. Brotherton and Luis Foundation Scott David Gest Barrios Reading Skill Development and Homeboys, Homegirls and Schooling: Melissa E. DeRosier Classroom Adaptation from A Comparative Case Study of Gang Teacher Influences on the Negative Kindergarten to Second Grade Members Experience of Education Impact of Peer Rejection on Center for Developmental Science Department of Sociology Children’s Academic and Behavioral University of North Carolina at John Jay College of Criminal Justice Functioning Chapel Hill City University of New York Graham Child Development Center Gerald Grant Susan F. Callahan University of North Carolina at Teaching in America: A Slow The Effects of the Kentucky Portfolio Chapel Hill Revolution Assessment on One High School Cultural Foundations of English Department Ruben Donato Education English Department Mexican-American Education in Syracuse University Northern Illinois University Southern Colorado, 1920-1954 School of Education Wendy Haight Eamonn Callan University of Colorado at Boulder The Role of Parent-Child Pretend The Dilemma of Political Education Play in Facilitating Young Children’s in a Liberal Democracy Eric Durbrow Entry into Pretend Play with Peers Department of Educational Policy Refining Prediction of Caribbean School of Social Work Studies Children’s Academic Performance University of Illinois at Urbana- University of Alberta Institute of Child Development Champaign University of Minnesota Steven H. Chaffee David Torrey Hansen Instructional Factors Affecting Patricia A. Edwards Teaching as a Moral Activity Political Socialization Effects of “El Examining Instructional Dialogues College of Education Diario en la Escuela” in Argentina Used in Parent-Teacher Conferences University of Illinois at Chicago Department of Communication Department of Teacher Education Stanford University Michigan State University Stephen L. Harp Creating Class in Childhood: Maria Charles Terrie L. Epstein Cultural Definitions of Bourgeois and Human Capital Development and Historical Understanding Among Worker in Nineteenth-Century Occupational Sex Segregation in Eighth-Grade African-American and French Nursery Schools Comparative Perspective: The Impact European-American Adolescents Department of History of Educational Structure School of Education University of Akron Department of Sociology University of Michigan University of California, San Diego

18 1997 ANNUAL REPORT

Small Research Grants

Jenifer Helms Michael S. Kimmel Victoria Maria MacDonald Telling the Lives of Women Science Determinants of Success for Women Exploring and Directing the Complex Teachers: Exploring the Relationships in Military Educational Institutions: Historiography of Hispanic American Among Science, Gender, and Science A Historical Perspective on Future Education Teaching Prospects Department of Educational School of Education Department of Sociology Foundations and Policy Studies University of Colorado at Boulder State University of New York at Florida State University Stony Brook Suellen Hoy Nancy K. Mack Teaching Black Girls: Catholic Sisters David A. Kinney Cognitive Restructuring and in Chicago’s South Side High The Making of an Academic Understanding Multiplication and Schools, 1948-1973 Epiphany: Delineating Student Division of Fractions Department of History Transformation at a Successful School of Education University of Notre Dame Alternative School University of Pittsburgh Department of Sociology, Carol S. Huntsinger and Anthropology and Social Work Kathleen Mahoney Paul E. Jose Central Michigan University Modernity and the Education of Achievement, Stress, and American Catholics Psychosocial Adjustment of Chinese- Louise Knight Center for the Study of Religion American and Euro-American The Prospects and Perils of Self- and American Culture Adolescents Education: Jane Addams in the 1880s Washington University Department of Psychology Spertus Institute, Chicago, Illinois Loyola University of Chicago Susan J. Maller Anne M. Knupfer Differential Item Functioning in the Carol S. Huntsinger and “To Become Good, Self-Supporting WISC-III: Item Parameters for Boys Paul E. Jose Women:” Delinquent Girls and their and Girls in National Is Early Formal Mathematics Re-Education in Progressive-Era Standardization Sample Instruction Linked to Lower Chicago College of Education Creativity and Emotional Problems? Department of Educational University of South Florida Department of Psychology Studies Loyola University of Chicago Purdue University William E. Marsden Two Hundred Years of Geography Carol Jenkins Joanne Larson Teaching Intertextuality in Children’s Informing the Debate Over Whole Department of Education Nonfiction Writing Language and Phonics Pedagogies: University of Liverpool School of Education An Ethnographic Study of Situated Boston University Language and Literacy Practices Mary Haywood Metz Warner Graduate School of Teaching in the Other America: The Peter H. Kahn, Jr. and Education and Human Impact of Poor Urban Communities Orlando Lourenco Development on Teachers’ Practice in Two High Air, Water, Fire and Earth: A University of Rochester Schools Developmental Study of Department of Educational Policy Environmental Conceptions and Elizabeth A. Lee, Valerie Studies Values Anderson, and Carl Bereiter University of Wisconsin-Madison Program in Education and Improving Adolescents’ Human Development Understanding of the Reading- Carol Midgley Colby College Writing Process Assessing the Classroom Goal Ontario Institute for Studies in Structure: Using Classroom Gregory J. Kelly Education Observations to Supplement Exploring What Counts as Science: University of Toronto Survey Data An Analysis of the Discourse School of Education Practices in a Physics Classroom Valerie E. Lee University of Michigan Graduate School of Education School Members Reflect on the University of California, Santa Meaning of High School Size Richard Miech Barbara School of Education Educational Attainment and University of Michigan Psychiatric Disorders Alan C. Kerckhoff Department of Sociology Antecedents and Consequences of Xin Ma University of Wisconsin-Madison Types of Postsecondary Vocational Dropping Out of Mathematics: How Education Much Do Students and Schools Johnetta Wade Morrison Department of Sociology Contribute to the Problem? Ethnic Identity Development in Duke University Atlantic Centre for Policy Children of Black and White Research in Education Parentage University of New Brunswick Department of Human Development and Family Studies University of Missouri-Columbia

19 THE SPENCER FOUNDATION

Small Research Grants

Martin John Packer Katherine Schultz and James Aaron Thompson and Systemic School Reform and E. Davis Jeffrey J. Arnett Community Transformation After Desegregation: Students and African-American Adolescents’ Department of Psychology Teachers Talk about “Race” and Perspectives on Education Duquesne University Relations in Post-Desegregated Department of Human Schools Development and Family Studies Pamela Sussman Paternoster Department of Educational University of Missouri-Columbia Cambridge Algebra Project Reform Development Effort University of Delaware Carolyn J. Thompson King Open School, Cambridge, Civil Rights Era Movers and Shakers Massachusetts David Shapiro in Higher Education: African- The Algebra Project, Inc. Determinants and Consequences of American Student Leadership and the Young Women’s Access to Education San Francisco State College Story, Joan Peskin in Kinshasa, Congo 1967-1969 High School Students’ Department of Economics Graduate School of Education Understanding of Poetry as Pennsylvania State University State University of New York at Discourse: An Expert-Novice Study Buffalo Institute of Child Study Dorothy Shipps University of Toronto Big Business and Urban School Alfred Martin Wainwright Reform: Governing the Chicago The Education of South Asians in Marc T. Pizarro Public Schools, 1979-1995 Britain, 1835 to the Present Understanding the Social Consortium for Chicago School Department of History Construction and Evolution of Research University of Akron Chicana/o Identity: Implications for University of Chicago Educationally Empowering Chicana/o Jeffrey N. Wasserstrom Youth Harvey Siegel Literacy Primers as Transmitters of Department of Comparative Multi-Culturalism and the New Political Vocabularies: Chinese American Cultures Possibility of Trans-Cultural and Russian Case Studies Washington State University Educational Ideals Department of History Department of Philosophy Indiana University Vai Ramanathan and University of Miami Dwight S. Atkinson Arlette Ingram Willis Learning English in a Postcolonial Kusim Singh, Susan B. An Enigma in the Heart of the Black Culture: The Struggles of Gujarati Murphy, and Andrew J. Belt: Calhoun Colored School 1892- College Students with English as Stremmel 1943 Medium of Instruction in India Literacy Skill Development in College of Education Department of English Preschool Children: Effects of University of Illinois at Urbana- University of Alabama Interactive Reading and Retelling Champaign College of Education Maureen F. Reddy Virginia Polytechnic Institute and Mark R. Wilson Supporting Science Talk in the State University Implementing “Concept Time Lines:” Elementary School A Tool for Analyzing Interview Data Jacob Hiatt Center for Urban Judith W. Steinbergh Graduate School of Education Education The Use of Metaphor in Poetry about University of California, Berkeley Clark University Family by Second through Fifth Graders Roger A. Wojtkiewicz William J. Reese Brookline Public Schools, Family Disruption, Income Change, Public Schools and the Brookline, Massachusetts and College Entry: Who Gets Hurt Common Good Troubadour, Inc. the Most? School of Education Department of Sociology University of Wisconsin-Madison Edward W. Stevens Louisiana State University Democracy and Diversity: Historical Gloria Rogers and Philosophic Foundations James H. Wyckoff and R. Students’ Problem Solving Abilities College of Education Hamilton Lankford and Procedures Ohio University The Effect of School Choice and Rose-Hulman Institute of Residential Location on the Technology Susan Ellen Stires Educational Environment of K-12 The Benefits of Oral Sharing Time for Students Rosemary C. Salomone Young Children under Certain Department of Public Values in Conflict: A Case Study of Conditions for Learning Administration and Policy Parental Dissent, School Governance, The Center for Teaching and State University of New York at and the Limits of Constitutionalism Learning, Edgecomb, Maine Albany School of Law Saint John’s University Sam Swope Inquiries about the Small Acquisition of Writing Skills from Research Grants Program may be Third through Fifth Grades directed to: Small Research Grants Public School 89, Queens, New Program, The Spencer York Foundation, 900 North Michigan Avenue, Suite 2800, Chicago, IL 60611-1542.

20 1997 ANNUAL REPORT

THE JOHN D. AND CATHERINE T. MACARTHUR FOUNDATION/ SPENCER FOUNDATION PROFESSIONAL DEVELOPMENT RESEARCH AND DOCUMENTATION GRANTS

Sophia Cohen Catherine Lewis, Victor Dennis Palmer Wolf When the Learners’ Thinking Takes Battistich and Daniel Going for Broke: Sustained Center Stage: A Study of Teacher Solomon Professional Development for Mid- and Classroom Change Educational Change and the Role of Career Teacher-Leaders Center for the Development of Teacher Community: Understanding Performance Assessment Teaching the Effects of the Child Development Collaboratives for Education Education Development Center, Project (PACE)/Harvard Graduate School Inc. The Developmental Studies of Education $81,743 over two years Center Harvard University $149,700 over three years $122,011 over three years Merryl Goldberg SUAVE: Examining the Role of Annemarie Palincsar and Coaching as a Professional Shirley Magnusson The John D. and Catherine T. Development Model Three Activity Settings Supporting MacArthur Foundation/Spencer College of Education Communities of Practice Among Foundation Professional California State University, San Teachers Development Research and Marcos School of Education Documentation Program is $150,000 over three years University of Michigan administered by the Spencer $105,078 over two years Foundation. Inquiries may be David Hammer directed to: MacArthur/Spencer Advancing Reforms in Science Vivian Troen, Katherine Professional Development Education: Teachers’ Conceptual Boles and Mieko Kamii Research and Documentation Resources A Study to Analyze the Process, Program, The Spencer Education Development Center, Conditions, and Policy Arrangements Foundation, 900 North Michigan Inc. that Support Teacher Learning in a Avenue, Suite 2800, Chicago, IL $106,537 over two years Successful Professional Development 60611-1542. Site Brookline Public Schools and Boston Public Schools $149,550 over three years

PRACTITIONER RESEARCH COMMUNICATION AND MENTORING GRANTS

Shirley P. Brown and Marion Guerra Brenda Miller Power and Lisa Gelzer Mentoring Teacher Research Ruth Shagoury Hubbard Girls, Guys, and Gaps: Gender Partnerships: Crossing Bridges to Toolbox: Classroom Inquiry Construction and Classroom Extend the Community Strategies and Techniques Practices Worcester Public Schools The University of Maine Philadelphia Writing Project Worcester, MA $14,975 Graduate School of Education $13,520 University of Pennsylvania Emily van Zee $12,000 Nancy Jennings Inquiring into Science Learning Ganado Intermediate School: A Site and Teaching Sarah Warshauer Freedman for Inquiry and School Reform Science Teaching Center Expanding Collaborations: A Ganado Intermediate Schools College of Education Network and Communications Grant Ganado, Arizona University of Maryland at School of Education $15,000 College Park University of California, Berkeley $4,000 $15,000 Christine H. Leland and Jerome Harste Judith L. Green and Carol N. The “Education as Inquiry” Study The Spencer Foundation Dixon Group Practitioner Research Teachers as Ethnographers of Their School of Education Communication and Mentoring Own Practice: Creating Pathways to Indiana University-Purdue Grants Program is administered by Interactions University at Indianapolis the Spencer Foundation. Inquires Santa Barbara Classroom $15,000 may be directed to: Practitioner Discourse Group Research Communication and Graduate School of Education Beatriz Manz Mentoring Grants Program, The University of California, Santa Education in a Maya Village in the Spencer Foundation, 900 North Barbara Rain Forest of Guatemala: Mentoring Michigan Avenue, Suite 2800, $14,950 Rural Teacher Researchers Chicago, IL 60611-1542. Department of Geography and Ethnic Studies University of California, Berkeley $15,000

21 THE SPENCER FOUNDATION

SPENCER DISSERTATION FELLOWS

Thea Abu El-Haj Natasha Gill Rodrigo Madanes Doing Difference Differently: Education and the French How Teachers Plan Frameworks for Promoting Change Enlightenment Notion of Graduate School of Education Graduate School of Education “Perfectibility:” The Educational University of California, Berkeley University of Pennsylvania Philosophy of Jean-Jacques Rousseau and Claude Adrien Helvetius Karen Mapp Sahara Patricia Baquedano- Department of History How Parents Make Meaning of Their Lopez New York University Involvement in School/Family Language and Identity: Language Partnerships Socialization in Religious Education Lorie Hammond Graduate School of Education Classrooms Teaching and Learning with the Iu Harvard University TESL/Applied Linguistics Mien: A Case Study in School- University of California, Los Community Relations Daniel McFarland Angeles Division of Education Student Engagement in the High University of California, Davis School: Exploring the Determinants Eric Baumgartner of Student Resistance to Learning Science by Design: How Teachers Shannon Jackson Department of Sociology Support Scientific Inquiry Through Democratic Transformation and the University of Chicago Design Projects Public Sphere of Education in South School of Education and Social Africa Leslie Morrison Policy Department of Anthropology The Role of Protective Factors in Northwestern University University of Chicago Supporting a Successful Middle School Transition for Poor African- Lorraine Bell David Kaiser American Early Adolescents Schooling Trajectories: Patterns of The Cultures of Calculating: Training School of Education Women’s Education and Work over American Theoretical Physicists in an University of Michigan the Life Course Age of Big Science Department of Sociology Department of History of Science Na’ilah Nasir Duke University Harvard University “All Money Ain’t Good Money:” The Development of Strategy and Jill Bouma Julie Kalnin Arithmetical Understandings in the Children’s Education and Work Roles Teachers Learning: A Collaborative Game of Dominoes in China Research Network in Action Graduate School of Education and Department of Sociology School of Education Information Studies University of North Carolina at University of California, Berkeley University of California, Chapel Hill Los Angeles Chauncy Lennon Bryan Brayboy Home Rule: Race, Education, and the Meredith Phillips Climbing the Ivy: Examining the Politics of Local Control Early Inequalities: The Production of Experiences of Successful Native Department of Anthropology Ethnic Differences in Academic American Indians in Two Ivy League Columbia University Achievement During Childhood Universities Department of Sociology Graduate School of Education David Levine Northwestern University University of Pennsylvania Radical Pedagogy and Transformative Politics in the Southern Civil Rights Brian Platt Lynn Casmier-Paz Movement, 1960 to 1969 School, Community and State The Effects of Literacy in North School of Education Building in Nineteenth-Century American English Language Slave University of Wisconsin-Madison Japan Narratives Department of History Department of English Andrew Lewis University of Illinois at University of Pittsburgh “...of all the people:” Race, Urbana-Champaign Citizenship, and Education in Mary Dillard Virginia Since 1945 Lisa Rosen A Social History of the West African Department of History Multiplying Divisions: The Cultural Examinations Council: 1952-1979 University of Virginia Underpinnings of Debates on Department of History Education University of California, Los Reitumetse Mabokela Department of Anthropology Angeles Black Students on White Campuses: University of California, Responses to Increasing Black San Diego Paul Garrett Enrollments at Two South African Language Socialization and Language Universities Reed Stevens Convergence in St. Lucia, West College of Education Disciplined Perception: Comparing Indies: The Challenge of Education in University of Illinois at the Development of Embodied a Dynamic Creole Environment Urbana-Champaign Mathematical Practices at Work and Department of Anthropology School New York University Graduate School of Education University of California, Berkeley

22 1997 ANNUAL REPORT

NATIONAL ACADEMY OF EDUCATION/ SPENCER POSTDOCTORAL FELLOWS

John Tyler Sheila Aikman David John Frank Estimating the Effect of the GED on The Contradictions of Intercultural Planting and Following Disciplinary the Earnings of Dropouts Using a Education in the Peruvian Amazon Fields: Worldwide Shifts in Series of Natural Experiments Institute of Education University Curricula, 1915-1995 Graduate School of Education University of London Department of Sociology Harvard University Harvard University Barbara Applebaum Karolyn Tyson Raising Awareness of Dominance: Juan C. Guerra Social Influence and the Process of Removing the Obstacles Bridges and Barriers: A Bi-national Schooling: An Examination of the Ontario Institute for Studies in Study of Schooling and the Mexican Creation and Perpetuation of Social Education Immigrant Family Inequality at the Primary Level University of Toronto Department of English Department of Sociology University of Washington University of California, Berkeley Ron A. Astor Children’s, Parents’, and Teachers’ Kathleen D. Hall Ingrid Vargas Reasoning about Poverty and Becoming British Sikhs: The Politics Humanizing Liberalism: A Social Violence in School and Neighborhood of Identity and Difference in England and Intellectual History of Teachers Contexts Graduate School of Education and Public Education in Costa Rica, School of Education and School of University of Pennsylvania 1900-1930 Social Work Department of History University of Michigan Caroline E. Heller Rutgers University Reading and the Reconstruction of Robert J. Bayley Possibility: The Role of Literature in Kathryn Walbert Family Language Use, Bilingual the Post War Lives of Holocaust New South, New Women: Southern Development, and Adaptation to Survivors Women Teachers and Changing Schooling in Two Mexican-Origin College of Education Female Identities, 1865-1890 Communities University of Illinois at Chicago Department of History College of Social and Behavioral University of North Carolina at Sciences Yasmin B. Kafai Chapel Hill University of Texas at San Expanding Communities of Learners Antonio from Schools into Homes: John Warren Collaborative Software Game A Life-Course Perspective on David J. Chard Activities for Mathematical Learning Changes in the Effects of Family Discourse-intensive Mathematics Graduate School of Education and Background, Education, and Ability Classrooms and Students with Information Studies on Occupational Attainment Learning Disabilities University of California, Department of Sociology School of Education Los Angeles University of Wisconsin-Madison Boston University Judy R. Kalman Gary Wilder Susan L. Dauber Literacy in the Struggle to Survive: Subject-Citizens: Negritude, Colonial Parents’ Responses to School Failure: A Study of Literacy Learning and Humanism, and the Imperial Nation- Exit and Voice in Chicago Public Use in a Community Education State in France Between the Wars Schools Project for Underschooled (and Departments of Anthropology National Opinion Research Center Unschooled) Women in Mexico City and History University of Chicago Departamento de Investigaciones University of Chicago Educativas Michael S. David-Fox Centro de Investigacion y The Spencer Dissertation Universities Under Stalinism: From Estudios Avanzado del Instituto Fellowship Program is adminis- Assault to Transformation, 1928-1934 Politècnico Nacional tered by the Spencer Foundation. Department of History Inquiries may be directed to: University of Maryland at College Peter N. Kiang Spencer Dissertation Fellowship Park Analyzing the Development of Asian- Program, The Spencer American Youth Leadership Foundation, 900 North Michigan Gedeon O. Deak Graduate College of Education Avenue, Suite 2800, Chicago, IL How Children Learn Systems of and American Studies Program 60611-1542. Words: Understanding and University of Massachusetts Facilitating the Acquisition of Boston Semantic Relations Peabody College of Education Jens O. Ludwig Vanderbilt University Neighborhoods, Schools, and Urban Education: Evidence from a E. Thomas Ewing Randomized Experiment The Teachers of Stalinism: Schooling Georgetown Public Policy and Soviet Political Culture in the Institute 1930s Georgetown University Department of History DePauw University

23 THE SPENCER FOUNDATION

NAE/Spencer Postdoctoral Fellows

Iona D. Man-Cheong David E. Penner Linda L. Sperry Education, Ideology, and the State in Reasoning about Emergent Fear, Fantasy, and Power in an Late Imperial China: The 1761 Phenomena African-American Community: Metropolitan Examination School of Education Consequences for the Development of Department of History University of Wisconsin-Madison Representational Thought State University of New York at School of Education Stony Brook Elizabeth R. Rose Indiana State University Sororities, Sisterhood, and Feminism: Suzanne B. Mettler An Interpretive History Stanley C. Trent The G.I. Bill of Rights of 1944 and Department of History Tracing the Discourse while Living American Citizenship Vanderbilt University the Process of Special Education Department of Political Science Reform: Sustaining a Collaborative Syracuse University Annette M. Sassi Community in an Urban Elementary Developing Improvisational School Michael A. Mintrom Perception: The Case of Facilitating Curry School of Education Curriculum Decision Making in the “Developing Mathematical Ideas” University of Virginia Charter Schools: Exploring the (DMI) Curriculum Linkage between Educational Center for the Development of Keith Whitescarver Research and Practice Teaching When the South Learned to Read Department of Political Science Education Development Center College of Education Michigan State University Ohio University Priti Shah Katharyne W. Mitchell Expert-Novice Studies of Graph Education, Democracy and Interpretation: Implications for The Spencer Postdoctoral Citizenship in the Late Twentieth Teaching Graphical Literacy Fellowship Program is adminis- Century Department of Psychology tered by the National Academy of Department of Geography University of Memphis Education through a grant made University of Washington in the 1998 fiscal year by the Alexander Sidorkin Spencer Foundation for $4,921,000 Elizabeth B. Moje Monologism and Education over three years. Inquiries may be “Graffiti is a State of Mind and a College of Education directed to: National Academy of Sign of Respect:” The Literacy University of Washington Education, Spencer Fellowship Practices of “Gangsta” Adolescents Program, Stanford University, School of Education School of Education, CERAS - 108, University of Michigan Stanford, CA 94305-3084.

SPENCER FELLOWS AT THE CENTER FOR ADVANCED STUDY IN THE BEHAVIORAL SCIENCES

Michelene Chi Fellowship awards are adminis- Learning Compatible and tered by the Center for Advanced Incompatible Complex Concepts Studies in the Behavioral Sciences Learning Research and through a grant made in the 1994 Development Center fiscal year by the Spencer University of Pittsburgh Foundation of $900,000 over five years for support of Fellows. Kurt VanLehn Inquires may be directed to: Tutoring By Humans and By Director, Center for the Advanced Machines Study in the Behavioral Sciences, Learning Research and 202 Junipero Serra Boulevard, Development Center Stanford, CA 94305. University of Pittsburgh

24 1997 ANNUAL REPORT

SPENCER SENIOR SCHOLARS

Ann L. Brown Paul T. Hill Gary Orfield Psychological Theory and A Long-Term Inquiry into the Hidden Education and Equity in Educational Reform: From the Curricula of K-12 Schools Metropolitan Society: Trends, Causes, Committee of Ten to the Bush Institute for Public Policy and and the New Policy Initiatives Management Graduate School of Education Graduate School of Education University of Washington University of Chicago/Harvard University of California, 1994 University Berkeley/Harvard University 1989 1992 Sara Lawrence-Lightfoot Crossing Boundaries and Forging Alejandro Portes Courtney B. Cazden Relationships: The Art and Science Growing Up American: The Study of Writing Development and of Portraiture the New Second Generation Instruction in the English-Writing Graduate School of Education Department of Sociology World Harvard University Princeton University Graduate School of Education 1995 1997 Harvard University 1991 James G. March Lee S. Shulman Organizational Learning Toward a Pedagogy of Substance Michael Cole Graduate School of Business School of Education Creating and Sustaining New Forms Stanford University Stanford University of Educational Activity in 1995 1990 Community Settings Department of Communication Richard J. Murnane David Bruce Tyack University of California, San Economic Analysis to Improve Purposes, Policies, and Politics in Diego Education American Education 1995 Graduate School of Education School of Education Harvard University Stanford University Carol Gilligan 1996 1996 The Psychology of Women and the Development of Girls Multi-year Senior Scholar Grants Graduate School of Education are awarded to distinguished Harvard University educational researchers at the 1990 invitation of the Foundation.

RESEARCH TRAINING GRANTS

Teachers College, Graduate School of The Research Training Program Columbia University Education and Information supports research training in New York, New York Studies the field of education. In the 1997 University of California, fiscal year The Spencer Foundation Graduate School Los Angeles made grants to nine institutions of Education Los Angeles, California ranging from $900,000 to Harvard University $2 million; the total amount Cambridge, Massachusetts School of Education awarded to all institutions was University of Michigan $11.2 million. College of Education Ann Arbor, Michigan Michigan State University East Lansing, Michigan Graduate School of Education School of Education University of Pennsylvania Stanford University Philadelphia, Pennsylvania Stanford, California School of Education Graduate School of University of Wisconsin- Education Madison University of California, Madison, Wisconsin Berkeley Berkeley, California

25 THE SPENCER FOUNDATION

AMERICAN EDUCATIONAL RESEARCH ASSOCIATION/SPENCER DOCTORAL RESEARCH FELLOWS

M. Christopher Brown, II Denise Kiona Henning Nora Amavisca Reyes Defining Collegiate Desegregation: American Indian Doctoral The Professional Socialization of The Quest for a Legal Standard of Completion: A Contemporary Beginning Bilingual Teachers Compliance After Adams Indian War Department of Curriculum Department of Education Department of Educational and Instruction Policy Studies Management and Development Arizona State University Pennsylvania State University New Mexico State University Lisa Rosen James Coaxum, III Lori Ann Kurth The Micro-Politics of Controversy A Taxonomy for Historically Black Gender and Cultural Aspects of Over Mathematics Education in Colleges and Universities Students’ Science Talk and How California Department of Educational These Factors Influence Students’ Department of Anthropology Leadership Inclusion and Identity in Classroom University of California, Vanderbilt University Discourse San Diego Department of Teacher Education Christine L. Diehl Michigan State University Carol Anne Spreen Promoting Social Reasoning in the Schools as Laboratories for Classroom With “Convince Me” Alice Lesnick Social Transformation: Mapping Department of Education in Written Lives: An Interpretive Study Multicultural Educational Borrowing Mathematics, Science, and of the Ethical Dimensions of in South Africa Technology Students’ Transactions With Teachers College University of California, Berkeley Literature in Two English Classrooms Columbia University Language in Education Division Marissa Echevarria University of Pennsylvania Catherine E. Wycoff Science Content and Process at the Non-School Educational Experiences Junior High Level Michele Moses of Immigrants and African Department of Educational Justice in Education: A Philosophical Americans During the Psychology and Statistics Defense of Race-Conscious Interwar Period State University of New York at Educational Policy Department of Educational Albany School of Education and Policy Studies Department of Philosophy University of Illinois at Simon I. Guteng University of Colorado at Boulder Urbana-Champaign Professional Concerns of Beginning Special Education Teachers Department of Special Education and Rehabilitation University of Arizona

AMERICAN EDUCATIONAL RESEARCH ASSOCIATION/ SPENCER DOCTORAL RESEARCH TRAVEL GRANTEES

Helene Alpert Furani Scott F. Marion The American Educational Young Toddlers’ Mathematical Psychometric Concerns When Research Association/Spencer Thinking and Reasoning Measuring Advanced Knowledge Doctoral Research Fellowship and Department of Teacher Education School of Education Travel Grant Program is adminis- Michigan State University University of Colorado at Boulder tered by the American Educational Research Association Kathleen Hogan (AERA) through a grant of Thinking Aloud Together: A Test of $1,250,000 made in the 1997 fiscal an Intervention to Foster Middle year by the Foundation. Inquiries School Students’ Collaborative may be directed to: Scientific Reasoning AERA/Spencer Doctoral Research Department of Educational Fellowship Program, The Psychology and Statistics American Educational Research State University of New York at Association, 1230 17th Street NW, Albany Washington, DC 20036.

26 1997 ANNUAL REPORT

SPENCER MENTOR NETWORK AWARDS

Charles T. Clotfelter Terry Sanford Institute of Public Policy Duke University Andrea A. diSessa Graduate School of Education University of California, Berkeley Louis M. Gomez School of Education and Social Policy Northwestern University Kris D. Gutierrez Graduate School of Education & Information Studies University of California, Los Angeles Jennifer L. Hochschild Woodrow Wilson School of Public & International Affairs Princeton University Dorothy Ross Department of History Johns Hopkins University Catherine E. Snow Graduate School of Education Harvard University

Members of the Spencer Mentor Network receive, at the invitation of the Foundation, $50,000 over two years to support doctoral students engaged in research on educational issues.

27 THE SPENCER FOUNDATION

OTHER GRANTS

Jesse H. Ausubel Anne C. Kubisch Katherine K. Merseth CyberCampus Design Project Continued support for the Support for the planning of a Alfred P. Sloan Foundation Roundtable on Comprehensive Fellowship Program in Evaluation of $25,000 over one year Community Initiatives for Children Programs for Children and Families Harvard Project on Schooling John S. Ayers The Roundtable on and Children Charter School Support Project Comprehensive Community Harvard University Leadership for Quality Education Initiatives for Children & Families $29,500 over six months $25,000 over three months The Aspen Institute $25,000 over one year Kenneth Rolling and Frank F. Furstenberg, Jr. and Mark A. Smylie Herbert P. Ginsburg Linda Lenz Evaluation of the Chicago Continuing support for the seminar Support for Catalyst: A series on Annenberg Challenge participants at the Center for school reform in Chicago Chicago Annenberg Challenge Advanced Study in the Behavioral Community Renewal Society $320,000 over five years Sciences $15,000 over one year Department of Sociology Carol H. Weiss and University of Pennsylvania Valerie S. Lies Joseph P. Newhouse $25,000 over ten months Conference and dissemination Post-Doctoral Fellowships in activities on Chicago school reform Evaluating Programs for Children Sue Hansen-Smith Donors Forum of Chicago Harvard Project on Schooling and Support for the Fourth International $25,000 over one year Children Conference on Teacher Research Harvard University National-Louis University John Merrow $720,600 over four years $7,500 over one month Radio Forums on Current Issues in Educational Research Frederick E. Hoxie Learning Matters, Inc. Postdoctoral Fellowships in the $241,000 over two years History of Education Newberry Library $185,000 over four years

28 1997 ANNUAL REPORT

GRANTS IN PROGRESS

Karl L. Alexander and Doris Georges Bordage David K. Dickinson R. Entwisle Assessing Medical Students’ Examining and Changing Discourse Disengagement and Dropout: Diagnostic and Semantic Competence Environments in Preschool A Study of the Long-Term Process During Case Presentations: Studies Classrooms that Leads to Early Withdrawal of Reliability, Validity, and Feasibility Family, School, and Community from School Department of Medical Education Division Department of Sociology University of Illinois at Chicago Education Development Center, Inc. Johns Hopkins University $297,150 in 1995 $299,700 in 1996 $410,000 in 1994 Jerome Bruner Anne H. Dyson John P. Allen, Myriam Meaning Making in Context Sociocultural Diversity and Literacy Shechter, and C. Gordan School of Law Development in Urban Primary Wells New York University Schools Extending Learning Through Talk $377,250 in 1995 School of Education Ontario Institute for Studies University of California, Berkeley in Education Anthony S. Bryk $125,000 in 1994 University of Toronto Renewal: The Consortium on Chicago $285,000 in 1995 School Research Mary Ann Dzuback Department of Education Women Social Science Scholars in Joseph P. B. Allen University of Chicago the Academy, 1890-1940 Extra-Curricular Influences on Paths $619,800 in 1995 Department of Education into and out of Academic Difficulties Washington University Among At-Risk Adolescents Alan S. Chartock $132,700 in 1995 Department of Psychology Dissemination of Educational University of Virginia Research Jacquelynne S. Eccles and $238,900 in 1995 WAMC Public Radio Bonnie L. Barber $214,100 in 1995 Passages Through Adolescence: Albert R. Bandura Implications for Educational Impact of Self-Efficacy on Michelene T. H. Chi Outcomes Trajectories of Social and Self-Construction and Co- Institute for Social Research Academic Development Construction of Explanations University of Michigan Department of Psychology During Tutoring $312,500 in 1995 Stanford University Learning Research and $176,440 in 1994 Development Center Marcia Farr University of Pittsburgh Language, Literacy and Gender: Oral Isabel L. Beck and $174,500 in 1995 Traditions and Literacy Practices Margaret G. McKeown among Mexican Immigrant Families Transforming Knowledge into Marilyn Cochran-Smith and Department of English Tangible Resources to Support Susan L. Lytle University of Illinois at Chicago Pedagogical Change Teacher Inquiry and the $265,150 in 1995 Learning Research and Epistemology of Teaching Development Center School of Education Michelle Fine (joint research University of Pittsburgh University of Pennsylvania project with Lois Weis at $296,810 in 1996 $256,700 in 1993 SUNY at Buffalo) Sites of Possibility in Urban America Vern L. Bengtson Philip A. Cusick Graduate School and University Generation X and Their Elders: The Michigan English Language Arts Center Intergenerational Influences on Framework Project: A Longitudinal City University of New York Educational and Occupational Case Study of Reforming the System $274,545 in 1996 Attainment Over Four Generations Department of Educational Ethel Percy Andrus Administration William A. Firestone Gerontology Center Michigan State University District Responses to State University of Southern California $79,300 in 1996 Alternative Assessments $257,900 in 1996 Graduate School of Education Michael David-Fox Rutgers University Carl Bereiter Academia in Upheaval: The Origins $262,500 in 1995 The Development of Teachers and Demise of the Communist Engaged in Collaborative Strategy Academic Regime in Russia and East Robert K. Fullinwider Instruction with Inner-City Central Europe Multicultural Education as Adolescent Delayed Readers Department of History Moral Education Ontario Institute for Studies University of Maryland at Institute for Philosophy and in Education College Park Public Policy University of Toronto $60,000 in 1996 University of Maryland at $321,200 in 1994 College Park $86,500 in 1995 Paul Bloom Syntactic Support in Word Learning Department of Psychology University of Arizona $321,700 in 1993

29 THE SPENCER FOUNDATION

Grants in progress

Karen C. Fuson Usha Claire Goswami Jerry A. Jacobs Supporting Urban Latino Children’s Factors Influencing the Use of Gender and the College Curriculum Constructions of Arithmetical Analogical Reasoning by Young Department of Sociology Understandings by Using Parent Children University of Pennsylvania Tutors in the School Institute of Child Health $169,475 in 1996 School of Education and University College, London Social Policy Medical School Thomas James Northwestern University $111,100 in 1996 Reconstructing State School Systems: $313,000 in 1994 The Case of Kentucky James G. Greeno School of Education Ellen Galinsky Processes of Conceptual Learning New York University The Florida Quality During Conversational Discourse $350,000 in 1993 Improvement Study School of Education Families and Work Institute Stanford University Morton Keller and $289,650 in 1994 $396,900 in 1995 Phyllis Keller Success and Its Discontents: Harvard Karen Gallas, Iris Feldman, Sara Harkness and Charles and Higher Education in America, Linda Goldman, and Anne M. Super 1936-1995 Martin Parental Ethnotheories, Cultural Department of History Teacher-Initiated Professional Practices, and the Transition Brandeis University Development: The Lawrence School to School $228,650 in 1995 Teacher Study Groups School of Family Studies Brookline Public Schools University of Connecticut Amy Kyratzis $94,620 in 1996 $442,650 in 1995 Gender, Peer Groups, and Social Identity in the Preschool James Paul Gee and Sarah Shirley Brice Heath and Department of Education Ann Michaels Milbrey W. McLaughlin University of California, Talk, Text, and Identity: Learning for Anything Everyday: Santa Barbara Understanding Teaching and Learning The Role of Neighborhood-Based $55,200 in 1996 in a Post-Progressive Science Program Organizations for Youth Jacob Hiatt Center for Urban Department of English Ellen Condliffe Lagemann Education Stanford University The Social History of Educational Clark University $441,400 in 1994 Research in the United States from $300,310 in 1996 the 1860s to the 1960s James J. Heckman School of Education Roger L. Geiger The Value of Certifying Skills: New York University Dynamics of Institutional Change in A Case Study of the GED $368,450 in 1987 Higher Education: American Colleges Department of Economics and Universities in the Nineteenth University of Chicago Magdalene Lampert Century $216,900 in 1995 Practices of Teaching and Learning Department of Higher Education Authentic Mathematics for Pennsylvania State University George Hillocks, Jr. Understanding in School $42,750 in 1994 How State Assessments Influence School of Education Curricular Content and Classroom University of Michigan Claudia Goldin Practice: The Case of Writing $345,000 in 1992 The Making of Educated Americans: Department of Education The Rise of the American High University of Chicago Annette P. Lareau School and its Economic $278,200 in 1995 Managing Childhood: Social Class Consequences, 1890-1970 and Race Differences in Parents’ National Bureau of Economic A. Michael Huberman Management of Children’s Research The Conceptual Effects of Organizational Lives Harvard University Disseminating Research-Based Department of Sociology $102,725 in 1996 Knowledge to Educational Temple University Professionals $259,300 in 1992 Susan Goldin-Meadow Graduate School of Education Gesture-Speech Mismatch as an Harvard University Carol D. Lee Educational Tool: Using the Hand $163,600 in 1994 Cultural Modeling in Reading to Read the Mind Comprehension: Implications for Department of Psychology Philip W. Jackson Teacher and Student Cognition University of Chicago Teaching and Learning through the School of Education and Social $219,475 in 1994 Arts: A Post-Deweyan Perspective Policy Department of Education Northwestern University Artin Goncu University of Chicago $136,250 in 1996 Cultural Variations in the Play of $184,500 in 1994 Young Children College of Education University of Illinois at Chicago $185,200 in 1992

30 1997 ANNUAL REPORT

Grants in progress

Howard B. London and Diana C. Mutz Barbara Rogoff Kathleen M. Shaw The Company of Strangers: Social Development in Individual, Group, Cultures of Success: A Study of Context and the Public Sphere and Cultural Activity: Community Colleges with High Department of Political Science Transformations as New Members Transfer Rates University of Wisconsin-Madison Participate in an Innovative School Department of Sociology $79,500 in 1996 Department of Psychology Bridgewater State College University of California, $130,300 in 1996 Anat Ninio Santa Cruz The Acquisition of Dependency $93,100 in 1995 Sally Lubeck Grammar Measuring the Construct of “Social Department of Psychology James E. Rosenbaum Context” in Preschool Programs for Hebrew University of Jerusalem Survey of the Long-Term Effects of Economically Disadvantaged $218,775 in 1996 Residential Mobility on Low-Income Children Black Youth School of Education Jody D. Nyquist, Donald Institute for Policy Research University of Michigan Wulff, Ann Austin, and Jo Northwestern University $137,100 in 1996 Sprague $503,000 in 1996 The Development of Graduate Dan P. McAdams Students as Prospective Teaching Michael Rosenthal Generativity in Black and White Scholars: A Longitudinal Research Biography of Nicholas Murray School of Education and Project Butler, President of Columbia from Social Policy Instructional Development and 1902-1945 Northwestern University Research Department of English and $367,200 in 1995 University of Washington Comparative Literature $254,450 in 1996 Columbia University G. Williamson McDiarmid $93,000 in 1996 Teachers in Charge: A Study of Mary C. O’Connor Kentucky Teachers’ Professional Teacher Discourse in Middle School Robert M. Sellers Development Plans Mathematics Classrooms Institutional and Programmatic National Center for Research on School of Education Factors Associated with College Teacher Learning Boston University Student-Athletes’ Academic Success Michigan State University $212,500 in 1996 and Failure $150,000 in 1996 Department of Psychology Elinor Ochs University of Virginia David McNeill The Collaborative Construction of $265,200 in 1995 Children’s Representation of Scientific Knowledge in a University Motion Events Physics Laboratory Theodore R. Sizer, James P. Department of Psychology Department of TESL & Applied Comer, Howard E. Gardner, University of Chicago Linguistics and Janet Whitla $418,400 in 1996 University of California, Partial Support of the Design and Los Angeles Development Working Party of the James M. McPartland, $274,625 in 1994 ATLAS Project Edward McDill, Douglas Coalition of Essential Schools MacIver, and Will J. Jordan David R. Olson Brown University Student Absenteeism in Middle Belief in Education $1,500,000 in 1994 School and High School: Problem Ontario Institute for Studies Sources and Solutions in Education Susan S. Stodolsky and Center for Social Organization of University of Toronto Pamela Grossman Schools $167,000 in 1995 Subject Matter as a Context for High Johns Hopkins University School Teaching $303,500 in 1995 Lucinda Pease-Alvarez and Department of Education Kenji Hakuta University of Chicago John Modell Language Maintenance and Shift in $213,900 in 1992 Schooling and School Learning in Early Adolescence Children’s Lives: A Comparative Board of Studies in Education Christopher A. Stray Developmental Study Employing University of California, The Shaping of a Discipline: Classics IEA Data Santa Cruz in Cambridge, 1822-1914 Department of History $187,500 in 1995 Department of Classics and Carnegie Mellon University Ancient History $189,300 in 1995 David M. Post, Leif I. Jensen, University of Wales, Swansea David G. Abler, and Dennis $101,100 in 1996 Donald R. Moore P. Hogan Partial Support of the School Family Welfare and Children’s Rosamund Sutherland and Community Standards Project Schooling: A Study of Chile, Peru, Maria Teresa Rojano Designs for Change and Mexico Mexican/British Project on the Role $390,000 in 1996 Department of Administration, of Spreadsheets within School-Based Policy, and Comparative Mathematical Practices Education School of Education Pennsylvania State University University of London $269,350 in 1995 $132,120 in 1994

31 THE SPENCER FOUNDATION

Grants in progress

Patricia M. Thane Beth Warren, Anne S. Allan Wigfield Oral History of Higher Educated Roseberry, and Cynthia Children’s Competence Beliefs, Women in Britain 1920s-1970s Ballenger Achievement Task Values, and School of Social Sciences Understanding Learning in Teacher General Self-Esteem University of Sussex Researcher Communities Department of Human $157,600 in 1995 Technical Educational Research Development Center (TERC) University of Maryland at College Michael Tomasello $240,000 in 1995 Park Joint Attention and the Emergence of $37,000 in 1995 Language Douglas R. Weiner Department of Psychology “Curiosity For Its Own Sake:” Boris Samuel S. Wineburg Emory University Evgen’evich Raikov and the Problem of Historical Sense-Making: $113,800 in 1995 Soviet Science Education in the 1920s An Intergenerational Study Department of History College of Education Thomas R. Trabasso University of Arizona University of Washington Talking Aloud During Reading $52,800 in 1996 $156,800 in 1995 Comprehension Department of Psychology Lois Weis (joint research Kenneth Zeichner and University of Chicago project with Michelle Fine at Cathy Caro-Bruce $429,100 in 1994 CUNY) The Nature and Impact of an Action Sites of Possibility in Urban America Research Program for Teachers and Pamela B. Walters Department of Educational Principals in one Urban School District Private Interests and Public Voices: Organization, Administration, University of Wisconsin- Organizations, Group Mobilization, and Policy Madison/Madison Metropolitan and the Politics of Public Education, State University of New York at School District 1880-1920 Buffalo $79,000 in 1996 Department of Sociology $312,455 in 1996 Indiana University at Bloomington $269,450 in 1995

32 1997 ANNUAL REPORT

GRANTEE PUBLICATIONS RECEIVED

Ascher, Carol; Norm Fruchter; Kerckhoff, Alan; Rich, Wilbur C. and Robert Berne Ken Fogelman; David Crook; Black Mayors and School Politics Hard Lessons: Public Schools and and David Reeder New York and London: Garland Privatization Going Comprehensive in England Publishing Inc., 1996 New York: The Twentieth and Wales: A Study of Uneven Century Fund Press, 1996 Change Rivera-Batiz, Francisco L. and London and Portland, OR: The Carlos E. Santiago Brint, Steven Woburn Press, 1996 Island Paradox: Puerto Rico in the In an Age of Experts: The Changing 1990s Role of Professionals in Politics and Knupfer, Anne Meis New York: Russell Sage Public Life Toward a Tenderer Humanity and a Foundation, 1996 Princeton, NJ: Princeton Nobler Womanhood: African University Press, 1996 American Women’s Clubs in Turn-of- Steinberg, Laurence the-Century Chicago Beyond the Classroom: Why School Bruner, Jerome New York and London: New Reform Has Failed and What Parents The Culture of Education York University Press, 1996 Need To Do Cambridge, MA: Harvard New York: Simon & Schuster, University Press, 1996 Ladd, Helen F. (Ed.) 1996 Holding Schools Accountable: Cairns, Robert B.; Glen H. Performance-Based Reform in Urciuoli, Bonnie Elder, Jr.; and E. Jane Costello Education Exposing Prejudice: Puerto Rican (Eds.) Washington, D.C.: The Brookings Experiences of Language, Race, and Developmental Science Institute, 1996 Class New York: Cambridge University Boulder, CO: Westview Press, Press, 1996 Lavin, David E. and David Inc., 1996 Hyllegard Case, Robbie and Okamoto Changing the Odds Walker, Vanessa Siddle Yukari Binghamton, NY: Vail-Ballou Their Highest Potential: An African The Role of Central Conceptual Press, 1996 American Community in the Structures in the Development of Segregated South Children’s Thought: Monographs of Nie, Norman H.; Jane Junn; Chapel Hill, NC: University of the Society for Research in Child and Kenneth Stehlik-Barry North Carolina Press, 1996 Development Education and Democratic Chicago, IL: University of Citizenship in America Wong, Kenneth E. (Ed.) Chicago Press, 1996 Chicago, IL: University of Advances in Educational Policy: Chicago Press, 1996 Rethinking School Reform in Chicago Csikszentmihalyi, Mihaly Greenwich, CT: JAI Press Inc., Creativity: Flow and the Psychology Olson, David R. and Nancy 1996 of Discovery and Invention Torrance (Eds.) Chicago, IL: Harper Collins The Handbook of Education and Weiler, Hans N.; Heinrich Publishers, 1996 Human Development: New Models Mintrop; and Elisabeth of Learning, Teaching and Schooling Fuhrmann DeJean, Jillian Cambridge, MA: Blackwell Educational Change and Social Talking Books: A Case Study of Publishers Inc., 1996 Transformation: Teachers, Schools Promise and Practice (CD-ROM) and Universities in Eastern Germany Kingston, ON: Queen’s Orfield, Gary; Susan E. London and Washington, D.C.: University, 1996 Eaton; and the Harvard Falmer Press, 1996 Project on School Evans-Andris, Melissa Desegregation An Apple for the Teacher: Computers Dismantling Desegregation: The These books were received at the and Work in Elementary Schools Quiet Reversal of Brown v. Board of Foundation during the 1997 fiscal Thousand Oaks, CA: Corwin Education year and result from work wholly Press, Inc., 1996 New York: The New Press, 1996 or partially supported by the Spencer Foundation. Harkness, Sara and Charles Plank, David N. M. Super (Eds.) Means of Our Salvation: Public Parents’ Cultural Belief Systems Education in Brazil 1930-1955 New York: The Guilford Press, Boulder, CO: Westview Press, 1996 1996 Herbst, Jurgen Portes, Alejandro and Ruben The Once and Future School: Three G. Rumbaut Hundred and Fifty Years of American Immigrant America: A Portrait Secondary Education Berkeley, CA: University of New York: Routledge, 1996 California Press, 1996

33 THE SPENCER FOUNDATION

REPORT OF THE TREASURER

On March 31, 1997, the assets of the Spencer in 1971 and through March 31, 1997 has autho- Foundation totaled $359 million. These assets rized grants and fellowships of $182 million, of are invested primarily in equities actively man- which $21.9 million remains payable in future aged by Cedarpoint Capital Management, New fiscal years. During the 1997 fiscal year, the York; and in S & P 500 and EAFE indexed equi- foundation made payments on grants and fel- ty funds managed by State Street Bank, Boston. lowships totaling $14.9 million, and the Board The Finance and Audit Committee of the Board of Directors anticipates making grants at of Directors, assisted by the Treasurer and approximately the same level through the 1998 Controller, oversees the performance of the fiscal year. The audited financial statements of Foundation's investments, convening regularly the Spencer Foundation begin on page 36. (at meetings to which all Directors are invited) to review investment results, to discuss invest- ment policy, and to set the asset allocation pol- icy. The Northern Trust Company is custodian bank. A complete list of the Foundation's assets John H. Barcroft is available for inspection at the Foundation. Treasurer The Foundation made its first distributions March 31, 1997

34 1997 ANNUAL REPORT

INDEPENDENT AUDITORS’ REPORT

Board of Directors statements. Our procedures included obtaining The Spencer Foundation confirmation of securities owned, as of March Chicago, Illinois 31, 1997 and 1996, by correspondence with the custodians. An audit also includes assessing the accounting principles used and significant We have audited the accompanying statements estimates made by management, as well as of financial position of The Spencer Foundation evaluating the overall financial statement pre- (an Illinois not-for-profit corporation) as of sentation. We believe that our audits provide a March 31, 1997 and 1996, and the related state- reasonable basis for our opinion. ments of activities and cash flows for the years then ended. These financial statements are the In our opinion, such financial statements pre- responsibility of the Foundation’s manage- sent fairly, in all material respects, the financial ment. Our responsibility is to express an opin- position of The Spencer Foundation as of March ion on these financial statements based on our 31, 1997 and 1996, and the changes in its net audits. assets and its cash flows for the years then ended in conformity with generally accepted account- We conducted our audits in accordance with ing principles. generally accepted auditing standards. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes DELOITTE & TOUCHE LLP examining, on a test basis, evidence supporting Chicago, Illinois the amounts and disclosures in the financial May 13, 1997

35 THE SPENCER FOUNDATION

STATEMENTS OF FINANCIAL POSITION MARCH 31, 1997 AND 1996 (Thousands of Dollars)

1997 1996 ASSETS: Investments at quoted market value (Note 3) (cost: 1997-$227,015; 1996-$229,387) $ 356,028 $ 312,318 Cash (including funds held by investment custodians: 1997 - $2,218; 1996 - $432) 2,437 2,462 Other assets: Accrued interest and dividends 153 144 Taxes refundable 114 Other 393 455

Total Assets 359,011 315,493

LIABILITIES: Grants payable 21,879 11,418 Payable to brokers 173 506 Accounts payable and accrued expenses 350 291 Excise taxes payable 38

Total Liabilities 22,440 12,215 UNRESTRICTED NET ASSETS (Note 6) $ 336,571 $ 303,278

See notes to financial statements.

36 1997 ANNUAL REPORT

STATEMENTS OF ACTIVITIES YEARS ENDED MARCH 31, 1997 AND 1996 (Thousands of Dollars)

1997 1996 REVENUE AND GAINS: Dividends $ 6,018 $ 5,374 Interest 483 587 Realized gains 8,627 7,369 Increase in unrealized gains 46,082 56,997 Total revenue and gains 61,210 70,327

GRANTS AND OTHER EXPENSES: Grants authorized (Note 5) 24,775 8,603 Administrative expenses 2,273 1,972 Investment services 600 520 Excise taxes (Note 4) 269 110 Total grants and other expenses 27,917 11,205

INCREASE IN NET ASSETS 33,293 59,122 UNRESTRICTED NET ASSETS - Beginning of year 303,278 244,156 UNRESTRICTED NET ASSETS - End of year $ 336,571 $ 303,278

See notes to financial statements.

37 THE SPENCER FOUNDATION

STATEMENTS OF CASH FLOWS YEARS ENDED MARCH 31, 1997 AND 1996 (Thousands of Dollars)

1997 1996 CASH FLOWS FROM OPERATING ACTIVITIES: Increase in net assets $ 33,293 $ 59,122 Adjustments to reconcile increase in net assets to net cash flows from operating activities: Gain on sale of investments (8,627) (7,369) Unrealized gain on investments (46,082) (56,997) Depreciation 127 70 Changes in assets and liabilities: Accrued interest and dividends (9) (48) Taxes refundable 114 (77) Other 62 1,104 Grants payable 10,461 4,121 Payable to brokers (333) 1,997 Accounts payable and accrued expenses 59 (144) Excise taxes payable 38 283

Net cash flows from operating activities (10,897) 2,062

CASH FLOWS FROM INVESTING ACTIVITIES: Purchases of investments (24,010) (31,829) Proceeds from sales of investments 34,938 31,220 Capital expenditures (56) (246)

Net cash flows from investing activities 10,872 (855)

INCREASE (DECREASE) lN CASH (25) 1,207 CASH - Beginning of year 2,462 1,255 CASH - End of year $ 2,437 $ 2,462

See notes to financial statements.

38 1997 ANNUAL REPORT

NOTES TO FINANCIAL STATEMENTS YEARS ENDED MARCH 31, 1997 AND 1996 (Thousands of Dollars) 1. NATURE OF OPERATIONS The Spencer Foundation (“Foundation”), organized in 1962, is the residuary legatee under the Will of Lyle M. Spencer, deceased. The Foundation was established to support research aimed at the improvement of education. Support is derived primarily from returns on the Foundation’s investments. 2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES Estimates - The preparation of financial statements in conformity with generally accepted accounting prin- ciples requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements, and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. Investments - Investments are carried at fair market value, net of deferred excise tax on net unrealized gains. Grants - Grants are recorded in the accounts when authorized by the Board of Directors and unexpended funds awarded and subsequently returned are recorded when refunded by the grantees. 3. INVESTMENTS Quoted market values are used to value investments other than index funds, which are carried based on fair values provided by the fund managers, and real estate, which is carried at “market value” provided by the real estate fund. Realized gains or losses are determined by comparison of cost, determined on a first-in, first-out basis, to proceeds from sales. Investment transactions are recorded in the accounts on the trade date. The cost of investment securities represents the amount paid for securities purchased, adjusted for accretion of discount or amortization of premium on bonds purchased. Dividends and interest income are recorded on the accrual basis. The cost and fair market value of investments at March 31 were as follows:

1997 1996 Market Market Cost Value Cost Value Index funds $ 137,319 $ 209,509 $ 138,032 $ 182,108 Common stocks 84,768 145,158 85,768 127,127 Real estate funds 4,928 3,994 5,587 4,773

Total $ 227,015 358,661 $ 229,387 314,008 Deferred federal excise tax (2,633) (1,690) Total $ 356,028 $ 312,318

4. TAXES Excise Tax - The Foundation qualifies as a private foundation and, as a result, is subject to a federal excise tax of two percent on net investment income, as defined. If the average payout ratio for the past five years plus one percent of net investment income in the current year, as defined, is less than the current year’s char- itable distributions, federal excise tax is payable at one percent of net investment income, as defined. The Foundation paid federal excise tax of one percent in the years ended March 31, 1997 and 1996. The quoted market value of investments was reduced by $2,633 and $1,690 at March 31, 1997 and 1996, respectively, representing the federal excise taxes which would become payable if the net unrealized gains were realized. The change in such deferred taxes is applied against the change in unrealized gains in the statements of activities.

39 THE SPENCER FOUNDATION

A private foundation which does not distribute an amount equal to a minimum return on assets, as defined in the Internal Revenue Code, is subject to an excise tax of 15 percent on the income not so distributed. Distributions in any year in excess of the amount required may be carried forward to future years and be applied against the required distribution. Income Tax - The Foundation is a not-for-profit organization in the state of Illinois and is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code.

5. GRANT COMMITMENTS The Foundation has authorized but unpaid grants outstanding as of March 31, 1997 payable as follows:

Fiscal Year Ending March 31 1998 $ 7,493 1999 5,344 2000 4,485 2001 2,813 2002 1,744 Total $ 21,879

Payments on authorized but unpaid grants may be accelerated upon mutual agreement between the Foundation and the grantees.

6. UNRESTRICTED NET ASSETS Unrestricted net assets are composed of the following amounts:

1997 1996 Principal $ 82,203 $ 82,203 Cumulative excess of grants and other expenses over revenue (cumulative grants authorized of $182,060 at March 31, 1997) (82,910) (61,494) Cumulative net realized gains on sales of investments 208,265 199,638 Unrealized gains in investment portfolio 129,013 82,931 Total $ 336,571 $ 303,278

7. PROFESSIONAL DEVELOPMENT PROGRAM During the 1996 fiscal year, the Foundation established a joint venture Professional Development Research and Documentation Program (the “Program”) with The John D. and Catherine T. MacArthur Foundation. The program provides grants for research in the area of professional development in schools and will pro- vide a total of $3,000 in grants over a four-year period. Based upon the terms of the agreement, the Foundation administers the program and contributes 25 percent of the total awards and 50 percent of admin- istration costs. MacArthur provides the remaining 75 percent of total awards and 50 percent of administra- tion costs. At March 31, 1997, the cash balance of the Foundation includes $274 of funds advanced from The MacArthur Foundation not yet expended under the Program; the contra amount is included in accounts payable and accrued expenses. 8. RETIREMENT PLAN The Foundation has a contributory annuity retirement plan in conjunction with the Teachers Insurance and Annuity Association of America (“TIAA-CREF”) for which substantially all employees are eligible. Expenses related to the retirement plan approximated $127 and $116 in 1997 and 1996, respectively. The Foundation funds its pension costs on a current basis in accordance with TIAA-CREF requirements.

40