Summary
The Education Sciences Reform Act
Jeffrey J. Kuenzi
Specialist in Education Policy
Adam Stoll
Section Research Manager
February 14, 2014
Congressional Research Service
7-5700
www.crs.gov
R43398
The Education Sciences Reform Act
Summary
The Education Sciences Reform Act (ESRA, Title I of P.L. 107-279) established the Institute of
Education Sciences (IES) as an independent research arm of the Department of Education (ED).
The IES Director, appointed by the President with the advice and consent of the Senate, serves a
six-year term and is advised by a technical panel composed primarily of educational researchers,
the National Board of Educational Sciences (NBES).
The IES consists of four research centers, the National Center for Education Research (NCER),
the National Center for Education Statistics (NCES), the National Center for Education
Evaluation and Regional Assistance (NCEE), and the National Center for Special Education
Research (NCSER). NCER sponsors research leading to the accumulation of knowledge and
understanding of education. NCES collects and analyzes education information and statistics in a
manner that meets the highest methodological standards. NCEE supports evaluation, technical
assistance, development, and dissemination activities. NCSER sponsors research to expand
knowledge and understanding of the needs of infants, toddlers, and children with disabilities.
Along with ESRA, P.L. 107-279 enacted two additional acts
authorizing programs and activities
operating within IES—the Educational Technical Assistance Act (ETAA, Title II of P.L. 107-279
)
) and the National Assessment of Educational Progress Authorization Act (NAEPAA, Title III of
P.L. 107-279). ETAA authorizes
IESthe Secretary of Education to make grants to local entities for the purpose of supporting
varied technical assistance activities and to states for statewide, longitudinal data systems.
NAEPAA authorizes
IES to conductthe Commissioner of Education Statistics to carry out a national assessment, state assessments, and a long-term
trend assessment in reading and mathematics.
Authorities under ESRA
, ETAA, and NAEPAA expired in FY2008; however, funding for
ESRAthese programs and activities
has continued through annual appropriations legislation. The 113th Congress may act on
legislation to reauthorize ESRA.
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The Education Sciences Reform Act
Contents
Introduction...................................................................................................................................... 1
Education Sciences Reform Act ...................................................................................................... 2
Institute of Education Sciences.................................................................................................. 2
National Center for Education Research ............................................................................. 3
National Center for Education Statistics ............................................................................. 4
National Center for Education Evaluation and Regional Assistance .................................. 5
National Center for Special Education Research ................................................................ 7
General Provisions .............................................................................................................. 7
Educational Technical Assistance Act.............................................................................................. 7
National Assessment of Educational Progress Authorization Act ................................................... 8
Contacts
Author Contact Information........................................................................................................... 10
Acknowledgments ......................................................................................................................... 10
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The Education Sciences Reform Act
Introduction
has continued through annual appropriations legislation. The House Committee on Education and the Workforce reported the Strengthening Education through Research Act (H.R. 4366) as amended on April 29, 2014 (H.Rept. 113-424). On May 8, 2014, the House of Representatives agreed on a motion to suspend the rules and pass the bill as amended by voice vote, and the bill was passed by voice vote. The bill, as referred to the Senate Committee on Health, Education, Labor, and Pensions on May 12, 2014, would provide for reauthorization of ESRA, ETAA, and NAEPAA and would amend several provisions related to IES independence, research standards, technical assistance, evaluation, privacy protection, student assessment oversight, and IES accountability.
The Education Sciences Reform Act
Introduction
The federal government has supported efforts to gather educational statistics for nearly 150 years.
Collecting statistics and facts on the condition and progress of education was the core function of
the earliest version of the Office of Education (P.L. 39-73, enacted March 2, 1867). However, a
coordinated national undertaking resembling today
’'s research and statistics effort did not begin to
take shape until the mid-1970s with the creation of the National Institute of Education (NIE)
under the Education Amendments of 1972 (P.L. 92-318) and the National Center for Education
Statistics (NCES) under the Education Amendments of 1974 (P.L. 93-380). In 1985, the NIE was
replaced by the Office of Educational Research and Improvement (OERI) through executive
authority.
11 The present-day federal educational research and statistics effort is carried out by the
Institute of Education Sciences (IES), which replaced OERI in 2002 through provisions adopted
with the passage of the Education Sciences Reform Act (ESRA, Title I of P.L. 107-279
).
).
ESRA established IES as an independent research institute housed within the Department of
Education (ED) headed by a Director, appointed by the President with the advice and consent of
the Senate, to serve a term of six years. ESRA also established a technical panel composed
primarily of researchers, the National Board of Educational Sciences (NBES), to advise the
Director on the policies of the institute and approve research priorities and procedures for
technical and scientific peer review. Additionally, this panel is charged with assessing the
progress of IES and making recommendations for improvement.
ESRA established three
national centersNational Education Centers to conduct the work of IES in three areas: the National
Center for Education Research (NCER), the National Center for Education Statistics (NCES), and
the National Center for Education Evaluation and Regional Assistance (NCEE). Subsequently,
P.L. 108-446, which reauthorized the Individuals with Disabilities Education Act (IDEA),
amended ESRA adding a fourth center to operate within IES, the National Center for Special
Education Research (NCSER).
Along with ESRA, P.L. 107-279 enacted two additional acts
authorizing programs and activities
operating within IES—the Educational Technical Assistance Act (ETAA, Title II of P.L. 107-279
)
) and the National Assessment of Educational Progress Authorization Act (NAEPAA, Title III of
P.L. 107-279
).2).2 ETAA authorizes
IESthe Secretary of Education to make grants to local entities for the purpose of
supporting varied technical assistance activities and to states for statewide, longitudinal data
systems. NAEPAA authorizes
IES to conductthe Commissioner of Education Statistics to carry out a national assessment, state assessments, and a
long-term trend assessment in reading and mathematics in grades 4, 8, and 12.
Overall, while many changes that affect federal educational research and statistics activities were
enacted through ESRA, among the particularly prominent changes were those leading to the
creation of an independent research institute and those specifying
“"scientifically-based
” or
“" or "scientifically-valid
”" standards for research.
3 Under the provisions of ESRA, IES operates as an
1
The Department of Education Organization Act (P.L. 96-88), which created the cabinet-level U.S. Department of
Education, included provisions providing for executive authority to restructure the federal educational research
function; however, this authority was not exercised until several years after it was initially available.
2
ESRA is commonly used to refer to the entirety of P.L. 107-279, although technically ESRA is only Title I of this
legislation. In this report, ESRA is used to refer to Title I.
3
The Government Accountability Office recently conducted a study of ESRA reforms, see U.S. Government
(continued...)
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3 Under the provisions of ESRA, IES operates as an independent institute and is afforded more freedom from ED than OERI had as an office (headed
by an Assistant Secretary) within ED. At the same time, ESRA provides for greater oversight of
the work and work processes of IES by a technical panel (NBES) in comparison to what was
required under provisions in OERI
’'s authorizing legislation. ESRA also notably goes further than
prior authorizing legislation in terms of specifying standards for educational research supported
under the act. Specifically, ESRA defines and requires scientifically based research standards,
scientifically valid research, and scientifically valid educational evaluations.
44 Collectively the
provisions outlining and requiring adherence to these
“"scientifically-based
” or “scientificallyvalid”" or "scientifically-valid" standards have in effect signaled that methodological rigor is a top priority for
IESsupported research.
Authorities under ESRAIES-supported research.
Authorities under ESRA, ETAA, and NAEPAA expired in FY2008; however, funding for
ESRAthese programs and activities
has continued through annual appropriations legislation. The
113th Congress may act on
legislation to reauthorize ESRA. House of Representatives passed the Strengthening Education through Research Act (H.R. 4366) by a voice vote on May 8, 2014. The bill would provide for reauthorization of ESRA, ETAA, and NAEPAA and would amend several provisions related to IES independence, research standards, technical assistance, evaluation, privacy protection, student assessment oversight, and IES accountability.
This report provides a concise description of programs and
authorities established by ESRA
, ETAA, and NAEPAA as amended. It is organized in a manner that aligns with the
legislation, P.L. 107-279
, which enacted these three measures. The report concludes with a discussion of recent legislative action.
Education Sciences Reform Act
Title I of P.L. 107-297 is entitled the Education Sciences Reform Act (ESRA). Organizationally, the act is comprised of six parts which contain the provisions authorizing IES, the NBES, and each of the National Education Centers.
Institute of Education Sciences
Part A, which enacted ESRA along with two other measures, ETAA and
NAEPAA. Should reauthorization proposals advance in the 113th Congress, this report will
describe major changes included in reauthorization proposals.
Education Sciences Reform Act
Institute of Education Sciences
Title I, Part A, of ESRA establishes IES as a research institute within ED intended to provide
“ "national leadership in expanding fundamental knowledge and understanding of education from
early childhood through postsecondary study.
”5"5 The aim of IES is to provide parents, educators,
students, researchers, policy makers, and the general public with information on the condition and
progress of education, on practices that improve academic achievement, and on the effectiveness
of federal education and other education programs. IES is authorized to carry out these aims by
compiling statistics, conducting research and evaluations, and disseminating information.
Under the provisions of ESRA, the IES Director is appointed by the President with the advice and
consent of the Senate. The Director is selected from individuals with expertise in the fields of
research, statistics, or evaluation in education. The Director is authorized to carry out specific
duties, such as proposing research priorities; establishing procedures for technical and peer
review; advising the Secretary on matters related to research and evaluation; and ensuring that
conducted activities are objective, secular, neutral, and non-ideological and are free of partisan
political influence and racial, cultural, or regional bias.6
(...continued)
Accountability Office, Education Research: Further Improvements Needed to Ensure Relevance and Assess
Dissemination Efforts, GAO-14-8, December 2013, http://gao.gov/products/GAO-14-8.
4
The provisions outlining and requiring adherence to “scientifically-based” or “scientifically-valid” standards have
received considerable attention, particularly for the emphasis they place on random assignment and other experimental
designs for studies making claims of causal relationships. See ESRA, §102(18) & (19).
5
ESRA, §111(b)(1). IES replaced the Office of Educational Research and Improvement (OERI).
6
To see a list of the Director’s duties, see ESRA, §114(f).
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political influence and racial, cultural, or regional bias.6
ESRA also authorized the NBES (also known at the Board), which is tasked with advising and
consulting with the Director on the policies of IES. Among other responsibilities, the Board
considers and approves research priorities proposed by the Director; advises and approves
procedures for technical and peer review; advises the Director on the funding of applications for
grants, contracts, and cooperative agreements; provides recommendations to the Director on
individuals to serve as Commissioners of the four IES research centers; and assesses the progress
of and makes recommendations for the improvement of IES.
77 ESRA specifies requirements
related to members of the Board, including the composition of the Board, the qualification of the
Board’ Board's membership, compensation, and travel expenses.
8
8
Under the provisions of ESRA, as amended, IES is composed of four research centers: the
National Center for Education Research (NCER), the National Center for Education Statistics
(NCES), the National Center for Education Evaluation and Regional Assistance (NCEE), and the
National Center for Special Education Research (NCSER).
99 Three of the centers (NCER, NCEE,
and NCSER) are headed by a Commissioner appointed by the Director for a term not to exceed
six years (except that the Commissioner may be reappointed by the Director). The Commissioner
of the fourth center, NCES, is appointed by the President for a term of six years.
1010 Each of the
four research centers has specific duties outlined in ESRA and summarized below.
National Center for Education Research
Title I,
Part B
, of ESRA authorizes NCER
“"to sponsor sustained research that will lead to the
accumulation of knowledge and understanding of education.
”11"11 Specifically, the mission of
NCER is to sponsor research that ensures that all children have access to a high-quality
education; improves student academic achievement; closes the achievement gap between
highperforminghigh-performing and low-performing students; and improves access to, and opportunities for,
postsecondary education. NCER is also charged with supporting the synthesis and integration of
research, promoting quality through the use of accepted practices of scientific inquiry, and
promoting scientifically valid research findings.
The duties of NCER (outlined in ESRA, §133) include, but are not limited to, maintaining
peerreviewpeer-review processes and standards for the conduct and evaluation of all research carried out at the
center; proposing research plans to the Director; implementing a plan to carry out scientifically
valid research; ensuring that research is relevant to education practice and policy; and
synthesizing and disseminating research findings.
In carrying out these duties, the Commissioner of NCER is authorized to support not less than
eight national research and development centers, which must support work on the following
topics:
7
To see a list of the Commissioners’ duties, see ESRA, §116(b).
The Board is to be composed primarily of researchers, see §116(c).
9
NCSER was added by the Individuals with Disabilities Education Act (IDEA; P.L. 108-446) in 2004.
10
Note that the NCES existed as a separate office within ED before the establishment of IES, and the Commissioner
has historically been a presidential appointee. When NCES became a research center of IES, the type of appointment
was not changed.
11
§131(b)(1).
8
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•
adult literacy;
•
topics: adult literacy;
assessment, standards, and accountability research;
•
early childhood development and education;
•
improving low-achieving schools;
•
innovation in education reform;
•
state and local policy;
•
postsecondary education and training;
•
rural education;
•
rural education;
teacher quality; and
•
reading and literacy.
12
12 Research and development centers are to address areas of national need and award competitive
grants to support the centers. Awards are made for a period of not more than five years.
Continuation grants may be made to research and development centers by the Director as long as
no research and development center is supported for more than 10 years without undergoing a
competitive process.
The Commissioner of NCER is responsible for carrying out a research plan that includes both
basic and applied research and research conducted through field initiated research efforts as well
as ongoing research initiatives. Not less than 50% of the funds made available for research in
each fiscal year are to be used to fund long-term research programs of not less than five years.
13
13
National Center for Education Statistics
ESRA Title I,
ESRA Part C
, authorizes NCES
“"to collect and analyze education information and
statistics in a manner that meets the highest methodological standards.
”14"14 The primary duty of
NCES is to collect, acquire, compile, and disseminate statistics on the condition and progress of
education from preschool through adulthood. NCES is to report education information and
statistics in a timely manner; ensure that reports of education information and statistics are
objective, secular, neutral, and non-ideological, free of partisan political influence and bias; and
ensure that reports are relevant and useful to practitioners, researchers, policy makers, and the
public.
Other duties of NCES (specified in ESRA, §153) include the following: publishing reports on the
significance of the statistics collected; determining voluntary standards and guidelines for state
educational agencies (SEAs) in developing statewide longitudinal data systems; and acquiring
and disseminating information on student achievement in the United States compared with other
12
Note that more than one topic can be supported by a research and development center and that the Commissioner is
authorized to use “other means” to support work on these topics, as well.
13
Much of the research supported through NCER receives funding through education research grants programs. For
more information on these programs and the topics addressed through these programs see http://ies.ed.gov/funding/
ncer_progs.asp
14
§151(b)(1).
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nations. The Commissioner of NCES is authorized to carry out these duties by awarding grants,
contracts, or cooperative agreements and by providing technical assistance.
ESRA specifies that certain data must be collected on the following topics:
•
state and local education reform activities;
•
state and local early childhood school readiness activities;
•
student achievement in reading, mathematics, and science;
•
secondary school completions, dropouts, and adult literacy skills;
•
information on teaching practice;
•
instruction, the conditions of the education workplace, and the supply of and
demand for teachers;
•
the incidence, frequency, seriousness, and nature of violence affecting students
and school personnel;
•
the financing and management of education, including data on revenues and
expenditures;
•
the social and economic status of children;
•
the existence and use of educational technology in elementary and secondary
education schools;
•
access to early childhood programs;
•
the availability of before-school and after-school programs;
•
student participation in secondary and postsecondary vocational and technical
education by specific program area; and
•
the existence and use of school libraries.
15
15 Further, these data must be disaggregated by gender; race; ethnicity; socioeconomic status;
limited English proficiency; mobility; disability; urban, rural, and suburban districts; and other
population characteristics,
“"when such disaggregated information will facilitate educational and
policy decision making.
”16
"16
National Center for Education Evaluation and Regional Assistance
ESRA Title I,
ESRA Part D
, authorizes NCEE to support evaluation, technical assistance, development
and dissemination activities. Specifically, the mission of NCEE (outlined in §171(b)) is
15
16
•
to provide technical assistance;
•
to conduct evaluations of federal education programs administered by the
Secretary (and as time and resources allow, other education programs) to
More information on NCES surveys and programs can be found at http://nces.ed.gov/surveys/.
§153(a)(3).
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determine the impact of such programs (especially on student academic
achievement in the core academic areas of reading, mathematics, and science);
•
to support synthesis and wide dissemination of results of evaluation, research,
and products developed; and
•
to encourage the use of scientifically valid education research and evaluation
throughout the United States.
The Commissioner of NCEE is authorized to carry out these duties by awarding grants, contracts,
and cooperative agreements and by providing technical assistance.
17
17
ESRA specifies a number of requirements for evaluations conducted by NCEE.
1818 Among other
requirements, NCEE must establish evaluation methodology, and evaluations at NCEE must
adhere to the highest possible standards of quality for conducting scientifically valid education
evaluation and are subject to peer-review. NCEE is required to evaluate programs under Title I of
the Elementary and Secondary Education Act (ESEA); and review and supplement other federal
education program evaluations, particularly those supported or conducted by ED.
19
19
Technical assistance duties of NCEE are primarily carried out through the Regional Educational
Laboratories (REL) program. The Director of IES is required to enter into contracts with 10 RELs
that serve the needs of children across the United States.
2020 Before entering into a contract, the
Director must design specific objectives and measureable indicators to be used to assess the
performance of the RELs.
RELs are supported to carry out applied research, development, dissemination, and technical
assistance activities to meet the needs of the regions they serve. The central mission of the RELs
involves the provision of training and technical assistance to SEAs, local educational agencies
(LEAs), school boards, and state boards of education on the administration and implementation of
the ESEA; scientifically valid research on teaching methods, assessment tools, and curriculum
frameworks for use in a series of content areas; and the replication and adaptation of promising
educational practices and methods. Additionally, the duties of the RELs include the facilitation of
communication between educational experts, school officials, and teachers, parents, and librarians
to assist schools in developing a plan to meet state education goals; surveying the needs of the
region; developing a plan for serving those needs; carrying out applied research to serve the needs
of the region; and engaging in a series of additional dissemination activities.
2121 The Commissioner
of NCEE must provide for independent evaluations of each of the RELs and provide the results of
such evaluations to the relevant committees of Congress, the NSEB, and the appropriate REL.
17
Among the entities supported through NCEE is the What Works Clearinghouse (WWC), which was designed to
serve as a central source of scientific evidence on what works in education, and the Education Resources Information
Center (ERIC), an online digital library of educational research and information. For information on either, see
http://ies.ed.gov/sites.asp.
18
§173.
19
Prior to the establishment of IES, various offices within ED conducted evaluations. Most notably, the Office of
Planning, Evaluation, and Policy Development conducted many ED evaluations. ED has been transitioning many
evaluation functions to NCEE from other ED offices.
20
The 10 regions are those delineated in §941 of the Educational Research, Development, Dissemination, and
Improvement Act of 1994 (P.L. 103-227).
21
The mission and duties of the RELs are described in ESRA, §174(f).
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National Center for Special Education Research
ESRA Title I, Part E, such evaluations to the relevant committees of Congress, the NSEB, and the appropriate REL.
National Center for Special Education Research
Part E of ESRA authorizes NCSER to sponsor research to expand knowledge and
understanding of the needs of infants, toddlers, and children with disabilities in order to improve
the developmental, educational, and transitional results of such individuals; to sponsor research to
improve services provided under and support the implementation of the Individuals with
Disabilities Education Act (IDEA); and to evaluate the implementation of IDEA.
22
22
The duties of NCSER (specified in §177 of ESRA) include, but are not limited to, the following:
improving services under IDEA; identifying scientifically based practices that support learning
and improve academic achievement; identifying scientifically based services and interventions
that promote participation and progress in general education curriculum and settings; improving
the alignment of state standards and alternate assessments for students with significant cognitive
disabilities; examining the over-identification and under-identification of children with
disabilities and causes thereof; improving personnel preparation; examining the excess cost of
educating students with disabilities; and examining the special needs of limited English proficient
children with disabilities.
The Commissioner of NCSER is authorized to carry out these duties by awarding grants,
contracts, or cooperative agreements to eligible applicants.
2323 Research activities at NCSER are to
be carried out in accordance with the standards for conduct and evaluation of all research and
development activities established by NCER. NCSER is also tasked with synthesizing and
disseminating the findings and results of special education research conducted at the center.
General Provisions
ESRA Title I, Part F,
General Provisions
ESRA Part F contains a number of provisions regarding prohibitions, confidentiality,
availability of data, performance management, authority to publish,
and staffing considerations
(e.g., vacancies, scientific or technical employees, fellowships)
. This part also includes an
authorization of appropriations for Title I of ESRA. For FY2003, Section 194 authorized $400
million to carry out Title I of P.L. 107-279 (not including the RELs), and authorizes appropriations for ESRA. For FY2003, ESRA was authorized at $400 million and such sums as may be
necessary for each of the five succeeding fiscal years.
For the RELs, Section 194The RELs were separately authorized
at $100
million for FY2003 and such sums as may be necessary for each of the five succeeding fiscal
years.
Educational Technical Assistance Act
Title II of P.L. 107-297 is entitled the Educational Technical Assistance Act (ETAA). This act
authorizes the Secretary to award grants to local entities for the purpose of supporting technical
assistance and evaluation and to award grants to states for statewide, longitudinal data systems.
The Secretary is authorized to award not less than 20 grants for comprehensive centers for
22
IDEA Title II (P.L. 108-446) amended ESRA to establish NCSER.
For more information on the research supported through NCSER education research grants programs, see
http://ies.ed.gov/funding/ncser_progs.asp.
23
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technical assistance to local entities across 10 geographic regions.
2424 Each comprehensive center
must work with SEAs, LEAs, and schools in the region where the center is located.
ETAA outlines a number of authorized activities for the comprehensive centers, including but not
limited to, the following: (1) providing training, professional development, and technical
assistance for the implementation of programs under the ESEA; (2) disseminating and providing
information, reports, and publications to improve academic achievement and close achievement
gaps; and (3) developing teacher and school leader in-service and pre-service training models that
reflect best practices in the use of technology.
Each comprehensive center must coordinate activities with its local REL, NCEE, the Office of the
Secretary, the state service agency, and other technical assistance providers. Each comprehensive
center must also establish an advisory
board25board25 and report annually to the Secretary. The Secretary
must conduct ongoing independent evaluations of the comprehensive centers and report to the
appropriate congressional committees and the Director of IES.
ETAA also authorizes the Secretary to make competitive grants to SEAs to design, develop, and
implement statewide longitudinal data systems to use data more efficiently, consistent with the
needs of the ESEA. In awarding grants, the Secretary must ensure that applications are of
adequate technical quality and address the data uses required by the ESEA, as well as any other
reporting requirements related to closing achievement gaps.
For FY2003, Section 209 authorized $80 million to carry out activities in Title II of P.L. 107-279
and such sums as may be necessary for each of the five succeeding fiscal years.
National Assessment of Educational Progress
Authorization Act
Title III of P.L. 107-297 is entitled the National Assessment of Educational Progress
Authorization Act (NAEPAA). This act establishes the National Assessment Governing Board
(known as NAGB or the
“"Assessment Board
”") and charges the Commissioner of Education
Statistics with conducting the National Assessment of Educational Progress (NAEP).
NAEP is a series of assessments that includes a national assessment program, a state assessment
program, a long-term trend study, and a trial urban district assessment program. The national
assessment program is the only national assessment of student achievement in reading and
mathematics and is administered every two years to grades 4 and 8 (assessments in other subjects,
such as writing, civics, and the arts, as well as to students in grade 12 are given less frequently).
States may choose to participate in the state assessment program by facilitating administration of
NAEP to a sample size sufficient for state-level results.
2626 NAEPAA Section 303(d) indicates that
participation in the NAEP assessment is voluntary for
“students, schools, and local educational
agencies.”
24
Note that the geographic regions must coincide with the regions served by the RELs.
The duties and composition of the advisory board are outlined in ESRA, §203(g).
26
ESEA Section 1111(c)(2) requires state participation in the state assessment program beginning with the 2002-2003
school year provided that the Secretary pays all administration costs.
25
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"students, schools, and local educational agencies."
The Assessment Board formulates policy guidelines for NAEP and consists of a broad array of
stakeholders, including governors, state legislators, chief state school officers, members of state
and local boards of education, representatives from local educational agencies (such as
superintendents, teachers, and parents), and testing and measurement experts. The Director of IES
is a non-voting member of the Assessment Board. NAEPAA sets the following duties for the
Assessment Board:
27
•
27select the subject areas to be assessed beyond the required subjects of reading
and mathematics;
•
develop appropriate student achievement levels;
•
develop assessment objectives and test specifications that produce an assessment
that is valid and reliable, and are based on relevant widely accepted professional
standards;
•
develop a process for review of the assessment that includes the active
participation of teachers, curriculum specialists, local school administrators,
parents, and concerned members of the public;
•
design the methodology of the assessment to ensure that assessment items are
valid and reliable, in consultation with appropriate technical experts in
measurement and assessment, content and subject matter, sampling, and other
technical experts who engage in large scale surveys;
•
measure student academic achievement in grades 4, 8, and 12 in the authorized
academic subjects;
•
develop guidelines for reporting and disseminating results;
•
develop standards and procedures for regional and national comparisons;
•
take appropriate actions needed to improve the form, content, use, and reporting
of results; and
•
plan and execute the initial public release of National Assessment of Educational
Progress reports.
For FY2003, $4.6 million was authorized to carry out activities related to the National
Assessment Governing Board, $107.5 million to carry out activities related to the NAEP, and
such sums as may be necessary for each of the five succeeding fiscal years.
27
NAEPAA, §302(e).
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Author Contact Information
Jeffrey J. Kuenzi
Specialist in Education Policy
jkuenzi@crs.loc.gov, 7-8645
Adam Stoll
Section Research Manager
astoll@crs.loc.gov, 7-4375
Acknowledgments
This report has drawn on work done by former CRS analyst Erin Lomax.
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Reauthorization Issues and Legislative Action
On April 2, 2014, Representative Rokita introduced legislation to reauthorize ESRA, ETAA, and NAEPAA. The House Committee on Education and the Workforce reported the Strengthening Education through Research Act (H.R. 4366) as amended on April 29, 2014 (H.Rept. 113-424). On May 8, 2014, the House of Representatives agreed on a motion to suspend the rules and pass the bill as amended by voice vote, and the bill was passed by voice vote. The bill, as referred to the Senate Committee on Health, Education, Labor, and Pensions on May 12, 2014, would provide for reauthorization of ESRA, ETAA, and NAEPAA and would amend several provisions related to IES independence, research standards, technical assistance, evaluation, privacy protection, oversight of student assessment, and IES accountability.
IES Independence and Operations- Provisions in H.R. 4366 would give the Director of IES authority to accept additional responsibilities from the Secretary, replacing provisions authorizing the Secretary to assign additional responsibilities to IES.
- H.R. 4366 would provide the Director of IES the authority to appoint the Commissioner of NCES, replacing provisions authorizing the President to appoint the Commissioner.
- H.R. 4366 would amend provisions that establish NBES to state that it "shall be independent of the Director and the other offices and officers of the Institute."
- H.R. 4366 would amend provisions allowing for the IES Director to be appointed for one six-year term, allowing for the Director to serve for an additional year if a successor has not been appointed, and allowing for a Director to be appointed for a second six-year term.
- H.R. 4366 would require the Secretary to consult with the Director or appropriate designee in both the procurement and performance management processes of all IES contracts, specifying a new set of operational connections pertaining to the involvement of the Director of IES or designees in contracting processes which are administered through ED's contracting office.
Research Standards and Research and Development Activities- H.R. 4366 would amend the definition of "scientifically based research standards," which would be renamed "principles of scientific research." The new definition of these principles that IES-supported research is supposed to adhere to, allows for "strong claims of causal relationships" only with research designs that eliminate plausible competing explanations for results; although it explicitly does not limit such claims to research employing random-assignment experiments.
- H.R. 4366 would adjust the specified topical research priorities for IES, preserving language authorizing research on educational problems and issues relevant to the goals and requirements of major federal educational laws such as ESEA, IDEA, and HEA, and authorizing research focused on improving the quality of early childhood and elementary and secondary education, as well as research focused on access to opportunities for and completion of postsecondary education. Some more narrowly targeted priorities that are specified under current law would no longer be specified.
- H.R. 4366 would eliminate the requirement that there be "not less than 8" national research and development centers supported by the NCER as well as language naming specific topics of research to be supported by these centers.
- H.R. 4366 would explicitly identify the mission of RELs as conducting applied research, development, evaluation, and dissemination activities, and developing the capacity of SEAs and LEAs to carry out such activities. It would also specify processes for ensuring such RELs' work is responsive to the needs of the region served, and eliminate their role in providing other types of training and technical assistance.
Technical Assistance- H.R. 4366 would assign responsibility for some technical assistance solely to the ED-administered Comprehensive Centers (authorized through ETAA), specifying that these centers (and not NCEE or the RELs) are responsible for providing technical assistance to states to help schools in meeting the goals of ESEA and other federal education laws.
- H.R. 4366 would limit the number of Comprehensive Center awards at "not more than 17," replacing a provision calling for "not less than 20" Comprehensive Center awards.
Evaluation- H.R. 4366 would designate IES as the primary entity responsible for conducting research on and evaluations of federal education programs and programs within ED, aiming to ensure rigor and independence of such research and evaluation.
- H.R. 4366 would authorize the Secretary, in consultation with the Director of IES, to reserve not more than 0.5% of appropriated funds for each program under ESEA (other than Part A of Title I) and 0.25% of appropriated funds for Part A of Title I for evaluations of programs authorized under ESEA. Under current law, ESEA Section 1002(e) authorizes such sums as necessary for FY2002 and each of the five succeeding fiscal years for a "National Assessment of Title I" and several other ESEA programs have required evaluations supported by program fund reservations subject to limitation.
- H.R. 4366 authorizes the Secretary to consolidate funds reserved for ESEA evaluation and specifies there is no requirement to evaluate all programs authorized under ESEA.
- H.R. 4366 would require the Director of IES, in consultation with the Secretary, to submit an ESEA evaluation plan to Congress on a biennial basis.
Statistics and NAEP- H.R. 4366 would clarify the Commissioner of Education Statistics' duty to protect the privacy and identity of individuals on whom data is collected.
- H.R. 4366 would amend the role of the National Assessment Governing Board to "oversee and set policies" for the NAEP, rather than "formulate guidelines" as in current law.
Accountability- H.R. 4366 would require the NBES submit to the Director, the Secretary, and Congress a triennial evaluation of all four National Education Centers conducted by an independent entity and tied to a newly authorized performance management system.
- The new performance management system authorized in H.R. 4366 aims to promote continuous improvement of activities and effective use of funds through the required development and use of measurable performance indicators that would be designed to gauge the effectiveness of IES activities and their utility in terms of meeting stakeholders' needs.
- H.R. 4366 would require that renewal of all IES supported grants be contingent on the results of evaluations tied to the performance management system.
- H.R. 4366 would require that the Director report to the public information on all grants, contracts, or cooperative agreements within 120 days of the award.
- H.R. 4366 would codify current regulatory requirements concerning data access by federal agencies and interested parties.
Authorization of Appropriations- H.R. 4366 would authorize appropriations for ESRA, ETAA, and NAEPAA at specific levels for each of FY2015 through FY2020, rather than for the first fiscal year and such sums as necessary for subsequent fiscal years as under current law. The bill would set all authorized amounts for FY2015 at the same level as amounts appropriated for FY2014, with increases in subsequent years as follows: 0.2% for FY2016, 2.2% for FY2017, 2.4% for FY2018, 2.7% for FY2019, and 2.5% for FY2020.
- H.R. 4366 would authorize appropriations for the RELs at 16.13% of funds appropriated for ESRA, rather than at $100,000 for FY2003 and such sums as necessary for the five succeeding years as under current law. In FY2014, the RELs received $54,423,000, or 16.13% of the amount authorized under H.R. 4366 for FY2015.
Acknowledgments
This report has drawn on work done by former CRS analyst Erin Lomax.
Footnotes
| 1.
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The Department of Education Organization Act (P.L. 96-88), which created the cabinet-level U.S. Department of Education, included provisions providing for executive authority to restructure the federal educational research function; however, this authority was not exercised until several years after it was initially available.
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| 2.
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ESRA is commonly used to refer to the entirety of P.L. 107-279, although technically ESRA is only Title I of this legislation. In this report, ESRA is used to refer to Title I.
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| 3.
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The Government Accountability Office recently conducted a study of ESRA reforms, see U.S. Government Accountability Office, Education Research: Further Improvements Needed to Ensure Relevance and Assess Dissemination Efforts, GAO-14-8, December 2013, http://gao.gov/products/GAO-14-8.
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| 4.
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The provisions outlining and requiring adherence to "scientifically-based" or "scientifically-valid" standards have received considerable attention, particularly for the emphasis they place on random assignment and other experimental designs for studies making claims of causal relationships. See ESRA, §102(18) & (19).
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| 5.
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ESRA, §111(b)(1). IES replaced the Office of Educational Research and Improvement (OERI).
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| 6.
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To see a list of the Director's duties, see ESRA, §114(f).
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| 7.
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To see a list of the Commissioners' duties, see ESRA, §116(b).
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| 8.
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The Board is to be composed primarily of researchers, see §116(c).
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| 9.
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NCSER was added by the Individuals with Disabilities Education Act (IDEA; P.L. 108-446) in 2004.
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| 10.
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Note that the NCES existed as a separate office within ED before the establishment of IES, and the Commissioner has historically been a presidential appointee. When NCES became a research center of IES, the type of appointment was not changed.
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| 11.
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§131(b)(1).
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| 12.
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Note that more than one topic can be supported by a research and development center and that the Commissioner is authorized to use "other means" to support work on these topics, as well.
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| 13.
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Much of the research supported through NCER receives funding through education research grants programs. For more information on these programs and the topics addressed through these programs see http://ies.ed.gov/funding/ncer_progs.asp
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| 14.
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§151(b)(1).
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15.
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More information on NCES surveys and programs can be found at http://nces.ed.gov/surveys/.
| 16.
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§153(a)(3).
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| 17.
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Among the entities supported through NCEE is the What Works Clearinghouse (WWC), which was designed to serve as a central source of scientific evidence on what works in education, and the Education Resources Information Center (ERIC), an online digital library of educational research and information. For information on either, see http://ies.ed.gov/sites.asp.
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| 18.
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§173.
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| 19.
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Prior to the establishment of IES, various offices within ED conducted evaluations. Most notably, the Office of Planning, Evaluation, and Policy Development conducted many ED evaluations. ED has been transitioning many evaluation functions to NCEE from other ED offices.
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| 20.
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The 10 regions are those delineated in §941 of the Educational Research, Development, Dissemination, and Improvement Act of 1994 (P.L. 103-227).
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| 21.
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The mission and duties of the RELs are described in ESRA, §174(f).
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| 22.
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IDEA Title II (P.L. 108-446) amended ESRA to establish NCSER.
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| 23.
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For more information on the research supported through NCSER education research grants programs, see http://ies.ed.gov/funding/ncser_progs.asp.
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| 24.
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Note that the geographic regions must coincide with the regions served by the RELs.
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| 25.
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The duties and composition of the advisory board are outlined in ESRA, §203(g).
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| 26.
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ESEA Section 1111(c)(2) requires state participation in the state assessment program beginning with the 2002-2003 school year provided that the Secretary pays all administration costs.
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| 27.
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NAEPAA, §302(e).
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