2

Key Findings

     How People Learn provides a broad overview of research on learners and learning and on teachers and teaching. Three of those findings are highlighted here because they have both a solid research base to support them and strong implications for how we teach. It is not the committee's intention to suggest that these are the only insights from research that can beneficially be incorporated into practice. Indeed, a number of additional findings are discussed in How People Learn.

     1. Students come to the classroom with preconceptions about how the world works. If their initial understanding is not engaged, they may fail to grasp the new concepts and information that are taught, or they may learn them for purposes of a test but revert to their preconceptions outside the classroom.

     Research on early learning suggests that the process of making sense of the world begins at a very young age. Children begin in preschool years to develop sophisticated understandings (whether accurate or not) of the phenomena around them (Wellman, 1990). Those initial understandings can have a powerful effect on the integration of new concepts and information. Sometimes those understandings are accurate, providing a foundation for building new knowledge. But sometimes they are inaccurate (Carey and Gelman, 1991). In science, students often have misconceptions of physical properties that cannot be easily observed. In humanities, their preconceptions often include stereotypes or simplifications, as when history is understood as a struggle between good guys and bad guys (Gardner, 1991). A critical feature of effective teaching is that it elicits from students their preexisting understanding of the subject matter to be taught and provides opportunities to build on--or challenge--the initial understanding. James Minstrell, a high school physics teacher, describes the process as follows (Minstrell, 1989: 130-131):

Students' initial ideas about mechanics are like strands of yarn, some unconnected, some loosely interwoven. The act of instruction can be viewed as helping the students unravel individual strands of belief, label them, and then weave them into a fabric of more complete understanding. Rather than denying the relevancy of a belief, teachers might do better by helping students differentiate their present ideas from and integrate them into conceptual beliefs more like those of scientists.

     The understandings that children bring to the classroom can already be quite powerful in the early grades. For example, some children have been found to hold onto their preconception of a flat earth by imagining a round earth to be shaped like a pancake (Vosniadou and Brewer, 1989). This construction of a new understanding is guided by a model of the earth that helps the child explain how people can stand or walk on its surface. Many young children have trouble giving up the notion that one-eighth is greater than one-fourth, because 8 is more than 4 (Gelman and Gallistel, 1978). If children were blank slates, telling them that the earth is round or that one-fourth is greater than one-eighth would be adequate. But since they already have ideas about the earth and about numbers, those ideas must be directly addressed in order to transform or expand them.

     Drawing out and working with existing understandings is important for learners of all ages. Numerous research experiments demonstrate the persistence of preexisting understandings among older students even after a new model has been taught that contradicts the naïve understanding. For example, in a study of physics students from elite, technologically oriented colleges, Andrea DiSessa (1982) instructed them to play a computerized game that required them to direct a computer-simulated object called a dynaturtle so that it would hit a target and do so with minimum speed at impact. Participants were introduced to the game and given a hands-on trial that allowed them to apply a few taps with a small wooden mallet to a tennis ball on a table before beginning the game. The same game was also played by elementary schoolchildren. DiSessa found that both groups of students failed dismally. Success would have required demonstrating an understanding of Newton's laws of motion. Despite their training, college physics students, like the elementary schoolchildren, aimed the moving dynaturtle directly at the target, failing to take momentum into account. Further investigation of one college student who participated in the study revealed that she knew the relevant physical properties and formulas, yet, in the context of the game, she fell back on her untrained conception of how the physical world works.

     Students at a variety of ages persist in their beliefs that seasons are caused by the earth's distance from the sun rather than by the tilt of the earth (Schneps and Sadler, 1987), or that an object that had been tossed in the air has both the force of gravity and the force of the hand that tossed it acting on it, despite training to the contrary (Clement, 1982). For the scientific understanding to replace the naïve understanding, students must reveal the latter and have the opportunity to see where it falls short.

     2. To develop competence in an area of inquiry, students must: (a) have a deep foundation of factual knowledge, (b) understand facts and ideas in the context of a conceptual framework, and (c) organize knowledge in ways that facilitate retrieval and application.

     This principle emerges from research that compares the performance of experts and novices and from research on learning and transfer. Experts, regardless of the field, always draw on a richly structured information base; they are not just "good thinkers" or "smart people." The ability to plan a task, to notice patterns, to generate reasonable arguments and explanations, and to draw analogies to other problems are all more closely intertwined with factual knowledge than was once believed.

     But knowledge of a large set of disconnected facts is not sufficient. To develop competence in an area of inquiry, students must have opportunities to learn with understanding. Deep understanding of subject matter transforms factual information into usable knowledge. A pronounced difference between experts and novices is that experts' command of concepts shapes their understanding of new information: it allows them to see patterns, relationships, or discrepancies that are not apparent to novices. They do not necessarily have better overall memories than other people. But their conceptual understanding allows them to extract a level of meaning from information that is not apparent to novices, and this helps them select and remember relevant information. Experts are also able to fluently access relevant knowledge because their understanding of subject matter allows them to quickly identify what is relevant. Hence, their attention is not overtaxed by complex events.

     In most areas of study in K-12 education, students will begin as novices; they will have informal ideas about the subject of study, and will vary in the amount of information they have acquired. The enterprise of education can be viewed as moving students in the direction of more formal understanding (or greater expertise). This will require both a deepening of the information base and the development of a conceptual framework for that subject matter.

     Geography can be used to illustrate the manner in which expertise is organized around principles that support understanding. A student can learn to fill in a map by memorizing states, cities, countries, etc., and can complete the task with a high level of accuracy. But if the boundaries are removed, the problem becomes much more difficult. There are no concepts supporting the student's information. An expert who understands that borders often developed because natural phenomena (like mountains or water bodies) separated people, and that large cities often arose in locations that allowed for trade (along rivers, large lakes, and at coastal ports) will easily outperform the novice. The more developed the conceptual understanding of the needs of cities and the resource base that drew people to them, the more meaningful the map becomes. Students can become more expert if the geographical information they are taught is placed in the appropriate conceptual framework.

     A key finding in the learning and transfer literature is that organizing information into a conceptual framework allows for greater "transfer"; that is, it allows the student to apply what was learned in new situations and to learn related information more quickly (see Box 2.1). The student who has learned geographical information for the Americas in a conceptual framework approaches the task of learning the geography of another part of the globe with questions, ideas, and expectations that help guide acquisition of the new information. Understanding the geographical importance of the Mississippi River sets the stage for the student's understanding of the geographical importance of the Nile. And as concepts are reinforced, the student will transfer learning beyond the classroom, observing and inquiring, for example, about the geographic features of a visited city that help explain its location and size (Holyoak, 1984; Novick and Holyoak, 1991).

     3. A "metacognitive" approach to instruction can help students learn to take control of their own learning by defining learning goals and monitoring their progress in achieving them.

     In research with experts who were asked to verbalize their thinking as they worked, it was revealed that they monitored their own understanding carefully, making note of when additional information was required for understanding, whether new information was consistent with what they already knew, and what analogies could be drawn that would advance their understanding. These meta-cognitive monitoring activities are an important component of what is called adaptive expertise (Hatano, 1990).

     Because metacognition often takes the form of an internal conversation, it can easily be assumed that individuals will develop the internal dialogue on their own. Yet many of the strategies we use for thinking reflect cultural norms and methods of inquiry (Hutchins, 1995; Brice-Heath, 1981, 1983; Suina and Smolkin, 1994). Research has demonstrated that children can be taught these strategies, including the ability to predict outcomes, explain to oneself in order to improve understanding, note failures to comprehend, activate background knowledge, plan ahead, and apportion time and memory. Reciprocal teaching, for example, is a technique designed to improve students' reading comprehension by helping them explicate, elaborate, and monitor their understanding as they read (Palincsar and Brown, 1982). The model for using the meta-cognitive strategies is provided initially by the teacher, and students practice and discuss the strategies as they learn to use them. Ultimately, students are able to prompt themselves and monitor their own comprehension without teacher support.

     The teaching of metacognitive activities must be incorporated into the subject matter that students are learning (White and Frederickson, 1998). These strategies are not generic across subjects, and attempts to teach them as generic can lead to failure to transfer. Teaching metacognitive strategies in context has been shown to improve understanding in physics (White and Frederickson, 1998), written composition (Scardamalia et al., 1984), and heuristic methods for mathematical problem solving (Schoenfeld, 1983, 1984, 1991). And metacognitive practices have been shown to increase the degree to which students transfer to new settings and events (Lin and Lehman, in press; Palincsar and Brown, 1982; Scardamalia et al., 1984; Schoenfeld, 1983, 1984, 1991).

     Each of these techniques shares a strategy of teaching and modeling the process of generating alternative approaches (to developing an idea in writing or a strategy for problem solving in mathematics), evaluating their merits in helping to attain a goal, and monitoring progress toward that goal. Class discussions are used to support skill development, with a goal of independence and self-regulation.

     The three core learning principles described above, simple though they seem, have profound implications for the enterprise of teaching and teacher preparation.

     1. Teachers must draw out and work with the preexisting understandings that their students bring with them. This requires that:

• The model of the child as an empty vessel to be filled with knowledge provided by the teacher must be replaced. Instead, the teacher must actively inquire into students' thinking, creating classroom tasks and conditions under which student thinking can be revealed. Students' initial conceptions then provide the foundation on which the more formal understanding of the subject matter is built.

• The roles for assessment must be expanded beyond the traditional concept of testing. The use of frequent formative assessment helps make students' thinking visible to themselves, their peers, and their teacher. This provides feedback that can guide modification and refinement in thinking. Given the goal of learning with understanding, assessments must tap understanding rather than merely the ability to repeat facts or perform isolated skills.

• Schools of education must provide beginning teachers with opportunities to learn: (a) to recognize predictable preconceptions of students that make the mastery of particular subject matter challenging, (b) to draw out preconceptions that are not predictable, and (c) to work with preconceptions so that children build on them, challenge them and, when appropriate, replace them.

     2. Teachers must teach some subject matter in depth, providing many examples in which the same concept is at work and providing a firm foundation of factual knowledge. This requires that:

• Superficial coverage of all topics in a subject area must be replaced with in-depth coverage of fewer topics that allows key concepts in that discipline to be understood. The goal of coverage need not be abandoned entirely, of course. But there must be a sufficient number of cases of in-depth study to allow students to grasp the defining concepts in specific domains within a discipline. Moreover, in-depth study in a domain often requires that ideas be carried beyond a single school year before students can make the transition from informal to formal ideas. This will require active coordination of the curriculum across school years.

• Teachers must come to teaching with the experience of in-depth study of the subject area themselves. Before a teacher can develop powerful pedagogical tools, he or she must be familiar with the progress of inquiry and the terms of discourse in the discipline, as well as understand the relationship between information and the concepts that help organize that information in the discipline. But equally important, the teacher must have a grasp of the growth and development of students' thinking about these concepts. The latter will be essential to developing teaching expertise, but not expertise in the discipline. It may therefore require courses, or course supplements, that are designed specifically for teachers.

• Assessment for purposes of accountability (e.g., statewide assessments) must test deep understanding rather than surface knowledge. Assessment tools are often the standard by which teachers are held accountable. A teacher is put in a bind if she or he is asked to teach for deep conceptual understanding, but in doing so produces students who perform more poorly on standardized tests. Unless new assessment tools are aligned with new approaches to teaching, the latter are unlikely to muster support among the schools and their constituent parents. This goal is as important as it is difficult to achieve. The format of standardized tests can encourage measurement of factual knowledge rather than conceptual understanding, but it also facilitates objective scoring. Measuring depth of understanding can pose challenges for objectivity. Much work needs to be done to minimize the trade-off between assessing depth and assessing objectively.

     3. The teaching of metacognitive skills should be integrated into the curriculum in a variety of subject areas. Because metacognition often takes the form of an internal dialogue, many students may be unaware of its importance unless the processes are explicitly emphasized by teachers. An emphasis on metacognition needs to accompany instruction in each of the disciplines, because the type of monitoring required will vary. In history, for example, the student might be asking himself, "who wrote this document, and how does that affect the interpretation of events," whereas in physics the student might be monitoring her understanding of the underlying physical principle at work.

• Integration of metacognitive instruction with discipline-based learning can enhance student achievement and develop in students the ability to learn independently. It should be consciously incorporated into curricula across disciplines and age levels.

• Developing strong metacognitive strategies and learning to teach those strategies in a classroom environment should be standard features of the curriculum in schools of education.

     Evidence from research indicates that when these three principles are incorporated into teaching, student achievement improves. For example, the Thinker Tools Curriculum for teaching physics in an interactive computer environment focuses on fundamental physical concepts and properties, allowing students to test their preconceptions in model building and experimentation activities. The program includes an "inquiry cycle" that helps students monitor where they are in the inquiry process. The program asks for students' reflective assessments and allows them to review the assessments of their fellow students. In one study, sixth graders in a suburban school who were taught physics using Thinker Tools performed better at solving conceptual physics problems than did eleventh and twelfth grade physics students in the same school system taught by conventional methods. A second study comparing urban students in grades 7 to 9 with suburban students in grades 11 and 12 again showed that the younger students taught by the inquiry-based approach had a superior grasp of the fundamental principles of physics (White and Frederickson, 1997, 1998).

     A benefit of focusing on how people learn is that it helps bring order to a seeming cacophony of choices. Consider the many possible teaching strategies that are debated in education circles and the media. Figure 2.1 depicts them in diagram format: lecture-based teaching, text-based teaching, inquiry-based teaching, technology-enhanced teaching, teaching organized around individuals versus cooperative groups, and so forth. Are some of these teaching techniques better than others? Is lecturing a poor way to teach, as many seem to claim? Is cooperative learning effective? Do attempts to use computers (technology-enhanced teaching) help achievement or hurt it?

     How People Learn suggests that these are the wrong questions. Asking which teaching technique is best is analogous to asking which tool is best--a hammer, a screwdriver, a knife, or pliers. In teaching as in carpentry, the selection of tools depends on the task at hand and the materials one is working with. Books and lectures can be wonderfully efficient modes of transmitting new information for learning, exciting the imagination, and honing students' critical faculties--but one would choose other kinds of activities to elicit from students their preconceptions and level of understanding, or to help them see the power of using meta-cognitive strategies to monitor their learning. Hands-on experiments can be a powerful way to ground emergent knowledge, but they do not alone evoke the underlying conceptual understandings that aid generalization. There is no universal best teaching practice.

     If, instead, the point of departure is a core set of learning principles, then the selection of teaching strategies (mediated, of course, by subject matter, grade level, and desired outcome) can be purposeful. The many possibilities then become a rich set of opportunities from which a teacher constructs an instructional program rather than a chaos of competing alternatives.

     Focusing on how people learn also will help teachers move beyond either-or dichotomies that have plagued the field of education. One such issue is whether schools should emphasize "the basics" or teach thinking and problem-solving skills. How People Learn shows that both are necessary. Students' abilities to acquire organized sets of facts and skills are actually enhanced when they are connected to meaningful problem-solving activities, and when students are helped to understand why, when, and how those facts and skills are relevant. And attempts to teach thinking skills without a strong base of factual knowledge do not promote problem-solving ability or support transfer to new situations.

     How People Learn proposes a framework to help guide the design and evaluation of environments that can optimize learning (Figure 2.2). Drawing heavily on the three principles discussed above, it posits four interrelated attributes of learning environments that need cultivation.

     1. Schools and classrooms must be learner centered. Teachers must pay close attention to the knowledge, skills, and attitudes that learners bring into the classroom. This incorporates the preconceptions regarding subject matter already discussed, but it also includes a broader understanding of the learner. For example:

• Cultural differences can affect students' comfort level in working collaboratively versus individually, and they are reflected in the background knowledge students bring to a new learning situation (Moll et al., 1993).

• Students' theories of what it means to be intelligent can affect their performance. Research shows that students who think that intelligence is a fixed entity are more likely to be performance oriented than learning oriented--they want to look good rather than risk making mistakes while learning. These students are especially likely to bail out when tasks become difficult. In contrast, students who think that intelligence is malleable are more willing to struggle with challenging tasks; they are more comfortable with risk (Dweck, 1989; Dweck and Legget, 1988).

     Teachers in learner-centered classrooms also pay close attention to the individual progress of each student and devise tasks that are appropriate. Learner-centered teachers present students with "just manageable difficulties"--that is, challenging enough to maintain engagement, but not so difficult as to lead to discouragement. They must therefore have an understanding of their students' knowledge, skill levels, and interests (Duckworth, 1987).

     2. To provide a knowledge-centered classroom environment, attention must be given to what is taught (information, subject matter), why it is taught (understanding), and what competence or mastery looks like. As mentioned above, research discussed in How People Learn shows clearly that expertise involves well-organized knowledge that supports understanding, and that learning with understanding is important for the development of expertise because it makes new learning easier (i.e., supports transfer).

     Learning with understanding is often harder to accomplish than simply memorizing, and it takes more time. Many curricula fail to support learning with understanding because they present too many disconnected facts in too short a time--the "mile wide, inch deep" problem. Tests often reinforce memorizing rather than understanding. The knowledge-centered environment provides the necessary depth of study, assessing student understanding rather than factual memory. It incorporates the teaching of meta-cognitive strategies that further facilitate future learning.

     Knowledge-centered environments also look beyond engagement as the primary index of successful teaching (Prawaf et al., 1992). Students' interest or engagement in a task is clearly important. Nevertheless, it does not guarantee that students will acquire the kinds of knowledge that will support new learning. There are important differences between tasks and projects that encourage hands-on doing and those that encourage doing with understanding; the knowledge-centered environment emphasizes the latter (Greeno, 1991).

     3. Formative assessments--ongoing assessments designed to make students' thinking visible to both teachers and students--are essential. They permit the teacher to grasp the students' preconceptions, understand where the students are in the "developmental corridor" from informal to formal thinking, and design instruction accordingly. In the assessment-centered classroom environment, formative assessments help both teachers and students monitor progress.

     An important feature of assessments in these classrooms is that they be learner-friendly: they are not the Friday quiz for which information is memorized the night before, and for which the student is given a grade that ranks him or her with respect to classmates. Rather, these assessments should provide students with opportunities to revise and improve their thinking (Vye et al., 1998b), help students see their own progress over the course of weeks or months, and help teachers identify problems that need to be remedied (problems that may not be visible without the assessments). For example, a high school class studying the principles of democracy might be given a scenario in which a colony of people have just settled on the moon and must establish a government. Proposals from students of the defining features of such a government, as well as discussion of the problems they foresee in its establishment, can reveal to both teachers and students areas in which student thinking is more and less advanced. The exercise is less a test than an indicator of where inquiry and instruction should focus.

     4. Learning is influenced in fundamental ways by the context in which it takes place. A community-centered approach requires the development of norms for the classroom and school, as well as connections to the outside world, that support core learning values.

     The norms established in the classroom have strong effects on students' achievement. In some schools, the norms could be expressed as "don't get caught not knowing something." Others encourage academic risk-taking and opportunities to make mistakes, obtain feedback, and revise. Clearly, if students are to reveal their preconceptions about a subject matter, their questions, and their progress toward understanding, the norms of the school must support their doing so.

     Teachers must attend to designing classroom activities and helping students organize their work in ways that promote the kind of intellectual camaraderie and the attitudes toward learning that build a sense of community. In such a community, students might help one another solve problems by building on each other's knowledge, asking questions to clarify explanations, and suggesting avenues that would move the group toward its goal (Brown and Campione, 1994). Both cooperation in problem solving (Evans, 1989; Newstead and Evans, 1995) and argumentation (Goldman, 1994; Habermas, 1990; Kuhn, 1991; Moshman, 1995a, 1995b; Salmon and Zeitz, 1995; Youniss and Damon, 1992) among students in such an intellectual community enhance cognitive development.

     Teachers must be enabled and encouraged to establish a community of learners among themselves (Lave and Wegner, 1991). These communities can build a sense of comfort with questioning rather than knowing the answer and can develop a model of creating new ideas that build on the contributions of individual members. They can engender a sense of the excitement of learning that is then transferred to the classroom, conferring a sense of ownership of new ideas as they apply to theory and practice.

     Not least, schools need to develop ways to link classroom learning to other aspects of students' lives. Engendering parent support for the core learning principles and parent involvement in the learning process is of utmost importance (Moll, 1990; 1986a, 1986b). Figure 2.3 shows the percentage of time, during a calendar year, that students in a large school district spent in school. If one-third of their time outside school (not counting sleeping) is spent watching television, then students apparently spend more hours per year watching television than attending school. A focus only on the hours that students currently spend in school overlooks the many opportunities for guided learning in other settings.

     The design framework above assumes that the learners are children, but the principles apply to adult learning as well. This point is particularly important because incorporating the principles in How People Learn into educational practice will require a good deal of adult learning. Many approaches to teaching adults consistently violate principles for optimizing learning. Professional development programs for teachers, for example, frequently:

• Are not learner centered. Rather than ask teachers where they need help, they are simply expected to attend prearranged workshops.

• Are not knowledge centered. Teachers may simply be introduced to a new technique (like cooperative learning) without being given the opportunity to understand why, when, where, and how it might be valuable to them. Especially important is the need to integrate the structure of activities with the content of the curriculum that is taught.

• Are not assessment centered. In order for teachers to change their practices, they need opportunities to try things out in their classrooms and then receive feedback. Most professional development opportunities do not provide such feedback. Moreover, they tend to focus on change in teaching practice as the goal, but they neglect to develop in teachers the capacity to judge successful transfer of the technique to the classroom or its effects on student achievement.

• Are not community centered. Many professional development opportunities are conducted in isolation. Opportunities for continued contact and support as teachers incorporate new ideas into their teaching are limited, yet the rapid spread of Internet access provides a ready means of maintaining such contact if appropriately designed tools and services are available.

     The principles of learning and their implications for designing learning environments apply equally to child and adult learning. They provide a lens through which current practice can be viewed with respect to K-12 teaching and with respect to preparation of teachers in the research and development agenda. The principles are relevant as well when we consider other groups, such as policy makers and the public, whose learning is also required for educational practice to change.