Schoenfeld discusses the main purposes and methods of math ed research

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Schoenfeld discusses the main purposes and methods of math ed research

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of Research in

Mathematics Education

Alan H. Schoenfeld

Bertrand Russell has defined mathematics as the science in which we never know what we are talking about or

whether what we are saying is true. Mathematics has been shown to apply widely in many other scientific fields.

Hence, most other scientists do not know what they are talking about or whether what they are saying is true.

—Joel Cohen, “On the nature of mathematical proofs”

—Henry Pollak

T

he first quotation above is humorous; the purposes and goals of research in mathematics ed-

second serious. Both, however, serve to ucation.

highlight some of the major differences This article begins with an attempt to lay out

between mathematics and mathematics some of the relevant perspectives and to provide

education—differences that must be un- background regarding the nature of inquiry within

derstood if one is to understand the nature of mathematics education. Among the questions

methods and results in mathematics education. explored are the following: Just what is the enter-

The Cohen quotation does point to some seri- prise? That is, what are the purposes of research

ous aspects of mathematics. In describing various in mathematics education? What do theories and

geometries, for example, we start with undefined models look like in education as opposed to those

terms. Then, following the rules of logic, we prove in mathematics and the physical sciences? What

that if certain things are true, other results must kinds of questions can educational research

follow. On the one hand, the terms are undefined; answer? Given such questions, what constitute

i.e., “we never know what we are talking about.” On reasonable answers? What kinds of evidence are

the other hand, the results are definitive. As appropriate to back up educational claims? What

Gertrude Stein might have said, a proof is a proof kinds of methods can generate such evidence?

is a proof. What standards might one have for judging claims,

Other disciplines work in other ways. Pollak’s models, and theories? As will be seen, there are

statement was not meant as a dismissal of math-

significant differences between mathematics and

ematics education, but as a pointer to the fact that

education with regard to all of these questions.

the nature of evidence and argument in mathe-

matics education is quite unlike the nature of Purposes

evidence and argument in mathematics. Indeed, the

Research in mathematics education has two main

kinds of questions one can ask (and expect to be

purposes, one pure and one applied:

able to answer) in educational research are not

• Pure (Basic Science): To understand the

the kinds of questions that mathematicians might

nature of mathematical thinking, teaching, and

expect. Beyond that, mathematicians and educa-

tion researchers tend to have different views of the learning;

• Applied (Engineering): To use such under-

Alan H. Schoenfeld is Elizabeth and Edward Conner standings to improve mathematics instruction.

Professor of Education at the University of California, These are deeply intertwined, with the first at

Berkeley. His e-mail address is alans@socrates. least as important as the second. The reason is sim-

berkeley.edu. ple: without a deep understanding of thinking,

fea-schoenfeld.qxp 5/10/00 9:57 AM Page 642

teaching, and learning, no sustained progress on on how much weight these outcomes are given.

the “applied front” is possible. A useful analogy is Similar issues arise even if one focuses solely

the relationship between medical research and on the mathematics being taught. Suppose one

practice. There is a wide range of medical research. wants to address the question, Do students learn

Some is done urgently, with potential applications as much mathematics in large classes as in small

in the immediate future. Some is done with the goal classes? One must immediately ask, “What counts

of understanding basic physiological mechanisms. as mathematics? How much weight will be placed

Over the long run the two kinds of work live in syn- (say) on problem solving, on modeling, or on the

ergy. This is because basic knowledge is of ability to communicate mathematically?” Judg-

intrinsic interest and because it establishes and ments concerning the effectiveness of one form of

strengthens the foundations upon which applied instruction over another will depend on the an-

work is based. swers to these questions. To put things bluntly, a

These dual purposes must be understood. They researcher has to know what to look for and what

contrast rather strongly with the single purpose of to take as evidence of it before being able to

research in mathematics education, as seen from determine whether it is there.

the perspective of many mathematicians: The fact that one’s judgments reflect one’s

• “Tell me what works in the classroom.” values also applies to questions of the type, Which

Saying this does not imply that mathematicians approach works better (or best)? This may seem

are not interested at some abstract level in basic obvious, but often it is not. Consider calculus

research in mathematics education, but that their reform. Soon after the Tulane “Lean and Lively”

primary expectation is usefulness in rather direct conference, whose proceedings appeared in

and practical terms. Of course, the educational Douglas [5], the National Science Foundation (NSF)

community must provide useful results—indeed, funded a major calculus reform initiative. By the

usefulness motivates the vast majority of educa- mid-1990s NSF program officers were convinced

tional work—but it is a mistake to think that direct that calculus reform was a “good thing” and that

applications (curriculum development, “proof” it should be a model for reform in other content

that instructional treatments work, etc.) are the areas. NSF brought together mathematicians who

primary business of research in mathematics had been involved in reform with researchers in

education. mathematics education and posed the following

question: “Can we obtain evidence that calculus

On Questions reform worked (that is, that reform calculus is

A major issue that needs to be addressed when better than the traditional calculus)?” What they

thinking about what mathematics education can had in mind, basically, was some form of test.

offer is, What kinds of questions can research in They thought it should be easy to construct a test,

mathematics education answer? administer it, and show that reform students did

Simply put, the most typical educational ques- better.

tions asked by mathematicians—“What works?” Those who advocated this approach failed to

and “Which approach is better?”—tend to be understand that what they proposed would in

unanswerable in principle. The reason is that what essence be a comparison of apples and oranges. If

a person will think works will depend on what one gave a traditional test that leaned heavily

that person values. Before one tries to decide on the ability to perform symbolic manipulations,

whether some instructional approach is success- “reform” students would be at a disadvantage

ful, one has to address questions such as: Just because they had not practiced computational skills.

what do you want to achieve? What understand- If one gave a test that was technology-dependent or

ings, for what students, under what conditions, that had a heavy modeling component, traditional

with what constraints? Consider the following students would be at a disadvantage because

examples. technology and modeling had not been a large part

One question asked with some frequency by of their curriculum. Either way, giving a test and

faculty and administrators is, “Are large classes as comparing scores would be unfair. The appropriate

good as small classes?” I hope it is clear that this way to proceed was to look at the curriculum,

question cannot be answered in the abstract. How identifying important topics and specifying what it

satisfied one is with large classes depends on the means to have a conceptual understanding of them.

consequences one thinks are important. How much With this kind of information, individual institu-

does students’ sense of engagement matter? Are tions and departments (and the profession as a

students’ feelings about the course and toward whole, if it wished) could then decide which aspects

the department important? Is there concern about of understanding were most important, which they

the percentage of students who go on to enroll in wanted to assess, and how. As a result of extended

subsequent mathematics courses? The conclu- discussions, the NSF effort evolved from one that

sions that one might draw regarding the utility of focused on documenting the effects of calculus

large classes could vary substantially, depending reform to one that focused on developing a

fea-schoenfeld.qxp 5/10/00 9:57 AM Page 643

framework for looking at the effects of calculus attraction, for example. Models are understood to be

instruction. The result of these efforts was the 1997 approximations, but they are expected to be very

book Student Assessment in Calculus [10]. precise approximations in deterministic form. Thus,

In sum, many of the questions that would seem for example, to model heat flow in a laminar plate,

natural to ask—questions of the type, What works? we specify the initial boundary conditions and the

or Which method works best?—cannot be an- conditions of heat flow, and we then solve the

swered, for good reason. relevant equations. In short, there is no ambiguity

Given this, what kinds of questions can research in the process. Descriptions are explicit, and the

in mathematics education address? I would argue standard of correctness is mathematical proof. A

that some of the fundamental contributions from theory and models derived from it can be used to

research in mathematics education are the make predictions, which in turn are taken as

following: empirical substantiation of the correctness of the

• theoretical perspectives for understanding theory.

thinking, learning, and teaching; Things are far more complex in the biological

• descriptions of aspects of cognition (e.g., think- sciences. Consider the theory of evolution, for

ing mathematically; student understandings example. Biologists are in general agreement with

and misunderstandings of the concepts of regard to its essential correctness, but the evidence

function, limit, etc.); marshaled in favor of evolution is quite unlike the

• existence proofs (evidence of cases in which kind of evidence used in mathematics or physics.

students can learn problem solving, induc- There is no way to prove that evolution is correct in

tion, group theory; evidence of the viability of a mathematical sense; the arguments that support

various kinds of instruction); it consist of (to borrow the title of one of Pólya’s

• descriptions of (positive and negative) conse- books) “patterns of plausible reasoning”, along with

quences of various forms of instruction. the careful consideration of alternative hypotheses.

Michèle Artigue’s recent Notices article [1] In effect, biologists have said the following: “We

describes many of the results of such studies. I have mountains of evidence that are consistent with

will describe some others and comment on the the theory, broadly construed; there is no clear

methods for obtaining them in the section “Methods” evidence that falsifies the proposed theory, and no

below. rival hypotheses meet the same criteria.” While

predictions of future events are not feasible given the

On Theories and Models (and Criteria for time scale of evolutionary events, the theory does

Good Ones) support an alternative form of prediction. Previ-

When mathematicians use the terms “theory” and ously unexamined fossil records must conform to

“models”, they typically have very specific kinds the theory, so that the theory can be used to describe

of things in mind, both regarding the nature of properties that fossils, in particular geological strata,

those entities and the kinds of evidence used to should or should not have. The cumulative record

make claims regarding them. The terms “theory” is taken as substantiation for the theory.

and “models” are sometimes used in different In short, theory and supporting evidence can

ways in the life sciences and social sciences, and differ substantially in the life sciences and in math-

their uses may be more akin to those used in ed- ematics and physics. The same holds for models, or

ucation. In this section I shall briefly walk through at least the degree of precision expected of them:

the examples indicated in Table 1. nobody expects animal populations modeled by

predator-prey equations to conform to those mod-

Subject Mathematics, Biology Education, els in the same way that heat flow in a laminar plate

Reprinted with permission from

Theory of. . . Equations; Evolution Mind Finally, theories and models in the sciences are

Gravity always subject to revision and refinement. As

glorious and wonderful as Newtonian gravitational

Model of. . . Heat Flow Predator-Prey Problem

in a Plate Relations Solving theory was, it was superseded by Einstein’s theory

[11], page 9.

Table 1. Theories and models in mathematics/physics, theory, based on models of electrons that orbited

biology, and education/psychology. around nuclei, allowed for amazing predictions,

such as the existence of as-yet-undiscovered

In mathematics, theories are laid out explicitly, as elements. But physicists no longer talk about

in the theory of equations or the theory of complex electrons in orbit around nuclei; once-solid

variables. Results are obtained analytically: we particles in the theory such as electrons have been

prove that the objects in question have the replaced in the theory by probabilistic electron

properties we claim they have. In classical physics clouds. Theories evolve.

there is a comparable degree of specificity; physicists Research in mathematics education has many of

specify an inverse-square law for gravitational the attributes of the research in the physical and

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life sciences described above. In a “theory of mind”, evidence in favor of this assertion is compelling

for example, certain assumptions are made about but cannot be definitive. Many kinds of experi-

the nature of mental organization—e.g., that there ments have been performed in which people are

are certain kinds of mental structures that function given tasks that call for using more than nine slots

in particular ways. One such assumption is that in working memory, and people have failed at

there are various kinds of memory, among them them (or, after some effort, performed them by

working or “short-term” memory. According to doing what could be regarded as some form of

the theory, thinking gets done using working chunking).

memory: that is, the “objects of thought” that peo- As with evolution, there are mountains of evi-

ple manipulate mentally are temporarily stored in dence that are consistent with this assertion, there

working memory. What makes things interesting is no clear evidence to contradict it, and no rival

(and scientific) is that the theory also places rather hypothesis meets the same criteria. But is it proven?

strong limits on working memory: it has been No, not in the mathematical sense. The relevant

claimed (e.g., in [8]) that people can keep no more standard is, in essence, what a neutral jury would

than about nine “chunks” of information in work- consider to be evidence beyond a reasonable doubt.

ing memory at one time. The same holds for models of, say, problem solv-

To see that this claim might actually be true, one ing or (my current interest) models of teaching

could try to multiply 379 by 658 with eyes closed. (see [12], [13]). I am currently engaged in trying to

Most people will find it difficult if not impossible. construct a theoretical description that explains

(In a recent meeting I gave a group of about sev- how and why teachers do what they do, on the fly,

enty-five mathematicians this task. None of them in the classroom. This work, elaborated at the

succeeded within a few minutes.) The reason is that same level of detail as a theory of memory, is

the number of things a person has to keep track called a “theory of teaching-in-context”. The claim

of—the original numbers and the various subto- is that with the theory and with enough time to

tals that arise in doing the multiplication—exceeds model a particular teacher, one can build a

nine. Now, a person is better able to do the task description of that person’s teaching that charac-

mentally after rehearsing some of the subtotals: terizes his or her classroom behavior with

e.g., a person can calculate 8 × 379 = 3032 and remarkable precision. When one looks at this work,

repeat “3032” mentally until it becomes a chunk one cannot expect to find the kind of precision

and occupies only one space (a “buffer”) in work- found in modeling heat flow in a laminar plate. But

ing memory. That leaves enough working space to (see, e.g., [12]) it is not unreasonable to expect

do other computations. By using this kind of chunk- that such behavior can be modeled with the same

ing, people can transcend the limits of working degree of fidelity to “real-world” behavior as with

memory.1 predator-prey models.

Now consider the truth status of the assertion We pursue the question of standards for judg-

that people’s working memory has no more than ing theories, models, and results in the section

about nine slots. There will never be an absolute after next.

proof of this assertion. First, it is unlikely that the

researchers will find the physical location of work- Methods

ing memory buffers in the brain even if they exist; In this article I cannot provide even a beginning cat-

the buffers are components of models, and they alogue of methods of research in undergraduate

are not necessarily physical objects. Second, the mathematics education. As an indication of the

magnitude of that task, consider the fact that the

1People use “chunking” as a mechanism all the time. A

Handbook of Qualitative Research in Education [6]

trivial example: one can recall 10-digit phone numbers in is nearly 900 pages long! Chapters in that

part by memorizing 3-digit area codes as a unit. More sub- volume include extensive discussions of ethnog-

stantially, the theory asserts that chunking is the primary

raphy (how does one understand the “culture of

mechanism that allows one to read this article. Each of

the words a person reads is a chunk, which was once a the classroom”, for example?), discourse analysis

collection of letters that had to be sounded out. The same (what patterns can be seen in the careful study of

is the case for all sorts of mathematical concepts that a conversations?), the role of culture in shaping

person now “brings to mind” as a unit. Finally, are “light- cognition, and issues of subjectivity and validity.

ning calculators”—the people who do extraordinary And that is qualitative work alone—there is, of

mental computations rapidly—a counterexample to the course, a long-standing quantitative tradition of re-

claim made here? It does not appear to be the case. Those search in the social sciences as well. My goal, rather,

who have been studied turn out to have memorized a huge

is to provide an orientation to the kinds of work

number of intermediary results. For example, many

that are done and to suggest the kinds of findings

people will bring “72” to mind automatically as a chunk

when working on a calculation that includes 9 × 8 ; the (and limitations thereof) that they can produce.

“lightning calculators” may do the same for the products Those who are new to educational research tend

of 2- or 3-digit numbers. This reduces the load on to think in terms of standard experimental stud-

working memory. ies, which involve experimental and control groups

fea-schoenfeld.qxp 5/10/00 9:57 AM Page 645

and the use of statistics to determine whether or just two difficulties, double blind experiments in

not the results are significant. As it turns out, the the medical sense (in which neither the doctors nor

use of statistics in education is a much more com- the patients know who is getting the real treat-

plex issue than one might think. ment and who is getting a placebo treatment) are

For some years from mid-century onward, re- rarely blind, and many experimental variables are

search in the social sciences (in the United States, rarely controllable in any rigorous sense. (That

at least) was dominated by the example of agri- was the point of the example in the previous para-

culture. The basic notion was that if two fields of graph.) As a result, both positive and negative

a particular crop were treated identically except for results can be difficult to interpret. This is not to

one variable, then differences in crop yield could say that such studies are not useful or that large-

be attributed to the difference in that variable. scale statistical work is not valuable—it clearly

Surely, people believed, one could do the same in is—but that it must be done with great care and that

education. If one wanted to prove that a new way results and claims must be interpreted with equal

of teaching X was superior, then one could conduct care. Statistical work of consistent value tends to

an experiment in which two groups of students be that which

studied X—one group taught the standard way, one a) produces general findings about a population.

taught the new way. If students taught the new way For example, Artigue [1] notes that “[m]ore

did better, one had evidence of the superiority of than 40% of students entering French univer-

the instructional method. sities consider that if two numbers A and B are

Put aside for the moment the issues raised in closer than 1/N for every positive N , then they

the previous section about the goals of instruction are not necessarily equal, just infinitely close.”

and the fact that the old and new instruction might b) provides a clear comparison of two or more pop-

not focus on the same things. Imagine that one ulations. For example, the results of the Third

could construct a test fair to both old and new International Mathematics and Science Study

instruction. And suppose that students were ran- document the baseline performance of students

domly assigned to experimental and control in various nations on a range of mathematical

groups, so that standard experimental procedures content.

were followed. Nonetheless, there would still be c) provides substantiation, over time, of findings

serious potential problems. If different teachers that were first uncovered in more small-scale

taught the two groups of students, any differences observational studies.

in outcome might be attributable to differences in What one finds for the most part is that research

teaching. But even with the same teacher, there can methods in undergraduate mathematics education—

be myriad differences. There might be a difference in all of education for that matter—are suggestive of

in energy or commitment: teaching the “same old results and that the combined evidence of many

stuff” is not the same as trying out new ideas. Or studies over time is what lends substantiation to

students in one group might know they are getting findings.

something new and experimental. This alone might I shall expand on this point with one extended

result in significant differences. (There is a large example drawn from my own work. The issue con-

literature showing that if people feel that changes cerns “metacognitive behavior”, or metacognition:

specifically, the effective use of one’s resources

are made in their own best interests, they will

(including time) during problem solving.

work harder and do better—no matter what the

Here is a motivating example. Many years ago,

changes actually are. The effects of these changes

when one standard first-year calculus topic was

fade with time.) Or the students might resent being

techniques of integration, the following exercise

experimented upon.

was the first problem on a test given to a large

Here is a case in point. Some years ago I devel-

lecture class: Z

oped a set of stand-alone instructional materials x

for calculus. Colleagues at another university dx.

x2 − 9

agreed to have their students use them. In all but

two sections the students who were given the The expectation was that the students would make

materials did better than students who were not the obvious substitution u = (x2 − 9) and solve the

given them. However, in two sections there were problem in short order. About half the class did.

essentially no differences in performance. It turns However, about a quarter of the class, noticing that

out that most of the faculty had given the materi- the denominator was factorable, tried to solve the

als a favorable introduction, suggesting to the problem using the technique of partial fractions.

students that they would be helpful. The instruc- Moreover, about 10 percent of the students, notic-

tor of the sections that showed no differences had ing that the denominator was of the form (x2 − a2 ) ,

handed them out saying, “They asked me to give tried to solve the problem using the substitution

these to you. I don’t know if they’re any good.” x = 3 sin θ . All of these methods yield the correct

In short, the classical experimental method can answer, of course, but the second and third are very

be problematic in educational research. To mention time consuming for students. The students who

fea-schoenfeld.qxp 5/10/00 9:57 AM Page 646

used those techniques did poorly on the test, largely suggests the range. If anything, the number and type

because they ran out of time. of methods have increased, as evidenced in the three

Examples such as this led me to develop some volumes of Research in Collegiate Mathematics

instructional materials that focused on the strategic Education. One finds, for example, reports of

choices that one makes while working integration detailed interviews with students, comparisons of

problems. The materials made a difference in student reform and traditional calculus, an examination of

performance. This provided some evidence that calculus “workshops”, and an extended study of one

strategic choices during problem solving are student’s developing understanding of a physical

important. device and graphs related to it. Studies employing

The issue of strategic choices appeared once anthropological observation techniques and other

again when, as part of my research on problem solv- qualitative methods are increasingly common.

ing, I examined videotapes of students trying to How valid are such studies, and how much can

solve problems. Quite often, it seemed, students we depend on the results in them? That issue is

would read a problem statement, choose a solution pursued immediately below.

method quickly, and then doggedly pursue that

approach even when the approach did not seem to Standards for Judging Theories, Models,

be yielding results. To make such observations and Results

rigorous, I developed a “coding scheme” for There is a wide range of results and methods in

analyzing videotapes of problem solving. This mathematics education. A major question then

analytical framework provided a mechanism for is the following: How much faith should one have

identifying times during a problem session when in any particular result? What constitutes solid

decision making could shape the success or failure reason, what constitutes “proof beyond a reason-

of the attempt. The framework was defined in such able doubt”?

a way that other researchers could use it, not only The following list puts forth a set of criteria that

for purposes of examining my tapes, but also for can be used for evaluating models and theories (and

examining their own as well. Using it, researchers more generally any empirical or theoretical work)

could see how students’ decision making helped or in mathematics education:

hindered their attempts at problem solving. • Descriptive power

Such frameworks serve multiple purposes. First, • Explanatory power

having such a scheme allows the characterization • Scope

of videotapes to become relatively objective: if • Predictive power

two trained analysts working on the same tape • Rigor and specificity

independently produce the same coding of it, then • Falsifiability

there is reason to believe in the consistency of the • Replicability

interpretation. Second, having an analytic tool of • Multiple sources of evidence (“triangulation”)

this type allows one to trace the effects of problem- I shall briefly describe each.

solving instruction: “before and after” comparisons Descriptive Power

of videotapes of problem-solving sessions can By descriptive power I mean the capacity of a

reveal whether students have become more efficient theory to capture “what counts” in ways that seem

or effective problem solvers. Third, this kind of tool faithful to the phenomena being described. As

allows for accumulating data across studies. The Gaea Leinhardt [7] has pointed out, the phrase

one-line summary of results in this case: metacog- “consider a spherical cow” might be appropriate

nitive competence is a very productive factor in when physicists are considering the cow in terms

problem solving.2 For extensive detail, see [9]. of its gravitational mass—but not if one is ex-

As indicated above, research results in education ploring some of the cow’s physiological properties!

are not “proven” in the sense that they are proven Theories of mind, problem solving, or teaching

in mathematics. Moreover, it is often difficult to should include relevant and important aspects of

employ straightforward experimental or statistical thinking, problem solving, and teaching respec-

methods of the type used in the physical sciences tively. At a very broad level, fair questions to ask

because of complexities related to what it means are: Is anything missing? Do the elements of the

for educational conditions to be “replicable”. In theory correspond to things that seem reason-

education one finds a wide range of research able? For example, say a problem-solving session,

methods. A look at one of the first volumes on an interview, or a classroom lesson was video-

undergraduate mathematics education, namely [14], taped. Would a person who read the analysis and

saw the videotape reasonably be surprised by

2In the case at hand (metacognitive behavior), a large num-

things that were missing from the analysis?

ber of studies have indicated that effective decision mak-

ing during problem solving does not “come naturally”. Explanatory Power

Such skills can be learned, although intensive instruction By explanatory power I mean providing explana-

is necessary. When students learn such skills, their prob- tions of how and why things work. It is one thing

lem-solving performance improves. to say that people will or will not be able to do

fea-schoenfeld.qxp 5/10/00 9:57 AM Page 647

certain kinds of tasks or even to describe what problems! Thus, engaging in such predictions is an

they do on a blow-by-blow basis; it is quite important methodological tool, even when it is

another thing to explain why. It is one thing, for understood that precise prediction is impossible.]

example, to say that people will have difficulty Rigor and Specificity

multiplying two three-digit numbers in their heads. Constructing a theory or a model involves the

But that does not provide information about how specification of a set of objects and relationships

and why the difficulties occur. The full theoretical among them. This set of abstract objects and

description of working memory, which was men- relationships supposedly corresponds to some set

tioned above, comes with a description of memory of objects and relationships in the “real world”. The

buffers, a detailed explanation of the mechanism relevant questions are:

of chunking, and the careful delineation of how the How well defined are the terms? Would you know

components of memory interact with each other. one if you saw one? In real life? In the model? How

The explanation works at a level of mechanism: it well defined are the relationships among them? And

says in reasonably precise terms what the objects how well do the objects and relations in the model

in the theory are, how they are related, and why correspond to the things they are supposed to

some things will be possible and some not. represent? As noted above, one cannot necessarily

Scope expect the same kinds of correspondences between

By scope I mean the range of phenomena covered parts of the model and real-world objects as in the

by the theory. A theory of equations is not very case of simple physical models. Mental and social

impressive if it deals only with linear equations. constructs such as memory buffers and the “didac-

Likewise, a theory of teaching is not very impres- tical contract” (the idea that teachers and students

sive if it covers only straight lectures! enter a classroom with implicit understandings

Predictive Power regarding the norms for their interactions and that

The role of prediction is obvious: one test of any these understandings shape the ways they act) are

theory is whether it can specify some results in ad- not inspectable or measurable in the ways that heat

vance of their taking place. Again, it is good to keep flow in a laminar plate is. But we can ask for detail,

things like the theory of evolution in mind as a both in what the objects are and in how they fit

model. Predictions in education and psychology are together. Are the relationships and changes among

not often of the type made in physics. them carefully defined, or does “magic happen”

Sometimes it is possible to make precise predic- somewhere along the way? Here is a rough analogy.

tions. For example, Brown and Burton [4] studied For much of the eighteenth century the phlogiston

the kinds of incorrect understandings that students theory of combustion—which posited that in all

develop when learning the standard U.S. algorithm flammable materials there is a colorless, odorless,

for base 10 subtraction. They hypothesized very weightless, tasteless substance called “phlogiston”

specific mental constructions on the part of stu- liberated during combustion—was widely accepted.

dents—the idea being that students did not simply (Lavoisier’s work on combustion ultimately

fail to master the standard algorithm, but rather refuted the theory.) With a little hand waving, the

that students often developed one of a large class of phlogiston theory explained a reasonable range of

incorrect variants of the algorithm and applied it phenomena. One might have continued using it, just

consistently. Brown and Burton developed a simple as theorists might have continued building epicy-

diagnostic test with the property that a student’s cles upon epicycles in a theory of circular orbits.3 The

pattern of incorrect answers suggested the false theory might have continued to produce some use-

algorithm he or she might be using. About half of the ful results, good enough “for all practical purposes”.

time they were then able to predict the incorrect That may be fine for practice, but it is problematic

answer that the student would obtain to a new with regard to theory. Just as in the physical sci-

problem before the student worked the problem! ences, researchers in education have an intellectual

Such fine-grained and consistent predictions obligation to push for greater clarity and specificity

on the basis of something as simple as a diagnos- and to look for limiting cases or counterexamples to

tic test are extremely rare of course. For example, see where the theoretical ideas break down.

no theory of teaching can predict precisely what Here are two quick examples. First, in my research

a teacher will do in various circumstances; human group’s model of the teaching process, we

behavior is just not that predictable. However, a represent aspects of the teacher’s knowledge, goals,

theory of teaching can work in ways analogous to beliefs, and decision making. Skeptics (including us)

the theory of evolution. It can suggest constraints should ask, how clear is the representation? Once

and even suggest likely events. terms are defined in the model (i.e., once we specify

[Making predictions is a very powerful tool in a teacher’s knowledge, goals, and beliefs) is there

theory refinement. When something is claimed to 3This example points to another important criterion, sim-

be impossible and it happens, or when a theory plicity. When a theory requires multiple “fixes” such as

makes repeated claims that something is very epicycles upon epicycles, that is a symptom that something

likely and it does not occur, then the theory has is not right.

fea-schoenfeld.qxp 5/10/00 9:57 AM Page 648

hand waving when we say what the teacher might do was inconclusive: about half of the studies showed

in specific circumstances, or is the model well enough that advance organizers made a difference, about

defined so that others could run it and make half not. A closer look revealed the reason: the very

the same predictions? Second, the “APOS theory” term was ill defined. Various experimenters made

expounded in [2] uses terms such as Action, Process, up their own advance organizers based on what

Object, and Schema. Would you know one if you met they thought they should be—and there was huge

one? Are they well defined in the model? Are the variation. No wonder the findings were inconclu-

ways in which they interact or become transformed sive! (One standard technique for dealing with

well specified? In both cases the bottom line issues issues of well-definedness, and which addresses

are, What are the odds that this too is a phlogiston- issue (2) above, is to have independent researchers

like theory? Are the people employing the theory go through the same body of data and then

constantly testing it in order to find out? Similar compare their results. There are standard norms

questions should be asked about all of the terms in the field for “inter-rater reliability”; these norms

used in educational research, e.g., the “didactical quantify the degree to which independent

contract”, “metacognition”, “concept image”, and analysts are seeing the same things in the data.)

“epistemological obstacles”. Multiple Sources of Evidence (“Triangulation”)

Falsifiability Here we find one of the major differences between

The need for falsifiability—for making nontauto- mathematics and the social sciences. In mathe-

logical claims or predictions whose accuracy can be matics one compelling line of argument (a proof)

tested empirically—should be clear at this point. It is enough: validity is established. In education and

is a concomitant of the discussion in the previous two the social sciences we are generally in the business

subsections. A field makes progress (and guards of looking for compelling evidence. The fact is,

against tautologies) by putting its ideas on the line. evidence can be misleading: what we think is

Replicability general may in fact be an artifact or a function of

The issue of replicability is also intimately tied to circumstances rather than a general phenomenon.

that of rigor and specificity. There are two related Here is one example. Some years ago I made a

sets of issues: (1) Will the same thing happen if the series of videotapes of college students working

circumstances are repeated? (2) Will others, once on the problem, How many cells are there in an

appropriately trained, see the same things in the average-size human adult body? Their behavior

data? In both cases answering these questions was striking. A number of students made wild

depends on having well-defined procedures and guesses about the order of magnitude of the

constructs. dimensions of a cell—from “let’s say a cell is an

The phrasing of (1) is deliberately vague, be- angstrom unit on a side” to “say a cell is a cube

cause it is supposed to cover a wide range of cases. that’s 1/100 of an inch wide.” Then, having

In the case of short-term memory, the claim is that dispatched with cell size in seconds, they spent a

people will run into difficulty if memory tasks very long time on body size, often breaking the

require the use of more than nine short-term body into a collection of cylinders, cones, and

memory buffers. In the case of sociological analy- spheres and computing the volume of each with

ses of the classroom, the claim is that once the some care. This was very odd.

didactical contract is understood, the actions of the Some time later I started videotaping students

students and teacher will be seen to conform to working problems in pairs rather than by them-

that (usually tacit) understanding. In the case of selves. I never again saw the kind of behavior

beliefs, the claim is that students who hold certain described above. It turns out that when they were

beliefs will act in certain ways while doing mathe- working alone, the students felt under tremendous

matics. In the case of epistemological obstacles pressure. They knew that a mathematics professor

or APOS theory, the claims are similarly made that would be looking over their work. Under the

students who have (or have not) made particular circumstances they felt they needed to do some-

mental constructions will (or will not) be able to do thing mathematical, and volume computations

certain things. at least made it look as if they were doing

In all of these cases the usefulness of the find- mathematics! When students worked in pairs, they

ings, the accuracy of the claims, and the ability to started off by saying something like “This sure is a

falsify or replicate depend on the specificity with weird problem.” That was enough to dissipate some

which terms are defined. Consider this case in of the pressure, the result being that there was no

point from the classical education literature. need for them to engage in volume computations

Ausubel’s theory of “advance organizers” in [3] pos- to relieve it. In short, some very consistent behavior

tulates that if students are given an introduction was actually a function of circumstances rather than

to materials they are to read that orients them to being inherent in the problem or the students.

what is to follow, their reading comprehension One way to check for artifactual behavior is to

will improve significantly. After a decade or two vary the circumstances: to ask, do you see the same

and many, many studies, the literature on the topic thing at different times in different places? Another

fea-schoenfeld.qxp 5/10/00 9:57 AM Page 649

is to seek as many sources of information as possi- mathematics education should be healthy skeptics.

ble about the phenomenon in question and to see In particular, because there are no definitive

whether they portray a consistent message. In my answers, one should certainly be wary of anyone

research group’s work on modeling teaching, for who offers them. More generally, the main goal for

example, we draw inferences about the teacher’s the decades to come is to continue building a

behavior from videotapes of the teacher in action— corpus of theory and methods that will allow

but we also conduct interviews with the teacher, research in mathematics education to become an

review his or her lesson plans and class notes, and ever more robust basic and applied field.

discuss our tentative findings with the teacher. In this

way we look for convergence of the data. The more References

independent sources of confirmation there are, the [1] M. ARTIGUE, The teaching and learning of mathe-

more robust a finding is likely to be. matics at the university level: Crucial questions for

contemporary research in education, Notices Amer.

Math. Soc. 46 (1999), 1377–1385.

Conclusion

[2] M. ASIALA, A. BROWN, D. DE VRIES, E. DUBINSKY, D. MATHEWS,

The main point of this article has been that and K. T HOMAS , A framework for research and

research in (undergraduate) mathematics education curriculum development in undergraduate mathe-

is a very different enterprise from research in matics education, Research in Collegiate Mathematics

mathematics and that an understanding of the Education (J. Kaput, A. Schoenfeld, and E. Dubinsky,

differences is essential if one is to appreciate (or eds.), vol. II, Conference Board of the Mathematical

better yet, contribute to) work in the field. Findings Sciences, Washington, DC, pp. 1–32.

[3] D. P. AUSUBEL, Educational Psychology: A Cognitive

are rarely definitive; they are usually suggestive.

View, Holt-Reinhardt-Winston, New York, 1968.

Evidence is not on the order of proof, but is

[4] J. S. BROWN and R. R. BURTON, Diagnostic models

cumulative, moving towards conclusions that can for procedural bugs in basic mathematical skills,

be considered to be beyond a reasonable doubt. A Cognitive Science 2 (1978), 155–192.

scientific approach is possible, but one must take [5] R. G. D OUGLAS (ed.), Toward a Lean and Lively

care not to be scientistic—what counts are not the Calculus, MAA Notes Number 6, Mathematical

trappings of science, such as the experimental Association of America, Washington, DC, 1986.

method, but the use of careful reasoning and [6] M. LECOMPTE, W. MILLROY, and J. PREISSLE, Handbook of

standards of evidence, employing a wide variety of Qualitative Research in Education, Academic Press,

New York, 1992.

methods appropriate for the tasks at hand.

[7] G. LEINHARDT, On the messiness of overlapping goals

It is worth remembering how young mathemat- in real settings, Issues in Education 4 (1998), 125–132.

ics education is as a field. Mathematicians are used [8] G. MILLER, The magic number seven, plus or minus

to measuring mathematical lineage in centuries, if two: Some limits on our capacity for processing

not millennia; in contrast, the lineage of research in information, Psychological Review 63 (1956), 81–97.

mathematics education (especially undergraduate [9] A. H. SCHOENFELD, Mathematical Problem Solving,

mathematics education) is measured in decades. Academic Press, Orlando, FL, 1985.

The journal Educational Studies in Mathematics dates [10] ——— (ed.), Student Assessment in Calculus, MAA

Notes Number 43, Mathematical Association of

to the 1960s. The first issue of Volume 1 of the

America, Washington, DC, 1997.

Journal for Research in Mathematics Education was

[11] ——— , On theory and models: The case of teaching-

published in January 1970. The series of volumes in-context, Proceedings of the XX Annual Meeting of

Research in Collegiate Mathematics Education—the the International Group for Psychology and Mathe-

first set of volumes devoted solely to mathematics matics Education (Sarah B. Berenson, ed.), Psychol-

education at the college level—began to appear in ogy and Mathematics Education, Raleigh, NC, 1998.

1994. It is no accident that the vast majority of [12] ——— , Toward a theory of teaching-in-context, Issues

articles cited by Artigue [1] in her 1999 review of in Education 4 (1998), 1–94.

research findings were written in the 1990s; there was [13] ——— , Models of the teaching process, Journal of

Mathematical Behavior (in press).

little at the undergraduate level before then! There

[14] D. TALL (ed.), Advanced Mathematical Thinking,

has been an extraordinary amount of progress in Kluwer, Dordrecht, 1991.

recent years, but the field is still very young, and

there is a very long way to go.

Because of the nature of the field, it is appro-

priate to adjust one’s stance toward the work and

its utility. Mathematicians approaching this work

should be open to a wide variety of ideas, under-

standing that the methods and perspectives to

which they are accustomed do not apply to

educational research in straightforward ways. They

should not look for definitive answers but for

ideas they can use. At the same time, all consumers

and practitioners of research in (undergraduate)

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