DOCUMENT RESUME

ED 468 551 PS 030 656

TITLE Set for Success: Building a Strong Foundation for SchoolReadiness Based on the Social-Emotional Development of YoungChildren. The Kauffman Early Education Exchange (1st, KansasCity, Missouri, November 12, 2001).

INSTITUTION Ewing Marion Kauffman Foundation, Kansas City, MO.ISBN ISBN-1-891616-22-6; ISBN-1-891616-23-4PUB DATE 2002-00-00NOTE 141p.; The Kauffman Early Education Exchange, Volume 1,

Number 1, Summer 2002. Executive Summary is attached.AVAILABLE FROM Kauffman Early Education Exchange, The Ewing Marion Kauffman

Foundation Fulfillment Center, P.O. Box 12444, North KansasCity, MO 64116. Tel: 816-932-1000; Fax: 816-932-1440. Forfull text: http://www.emkf.org/pages/12.cfm.

PUB TYPE Collected Works - Proceedings (021)EDRS PRICE EDRS Price MF01/PC06 Plus Postage.DESCRIPTORS Child Development; Consultants; Cultural Influences;

*Educational Practices; Emergent Literacy; *EmotionalDevelopment; Ethnicity; Family Relationship; InterpersonalCompetence; Mental Health; Moral Development; Poverty;*Preschool Children; Preschool Education; ProgramDescriptions; *Public Policy; *School Readiness; *SocialDevelopment

IDENTIFIERS Consultant Role; Program Characteristics

ABSTRACT

This report compiles 6 of the 12 papers commissioned for thefirst Kauffman Early Education Exchange Conference in November 2001 thatpresent the latest findings on the importance of social and emotional aspectsof school readiness. The papers also provide evidence of programs that helpto prepare young children for early school success. An introductory chapter,"Set for Success: Building a Strong Foundation for School Readiness Based onthe Social-Emotional Development of Young Children" (Lisa G. Klein), arguesthat strong social-emotional development underlies all later growth anddevelopment; this introduction also summarizes the six commissioned papers,and delineates recommendations for practitioners and policymakers. Threepapers address the research base connecting social-emotional development withschool readiness: (1) "The Roots of School Readiness in Social and EmotionalDevelopment" (Ross A. Thompson); (2) "The Connections between Social-Emotional Development and Early Literacy" (Linda M. Espinosa); and (3)"Culture and Ethnicity in Social, Emotional and Academic Development" (OscarA. Barbarin). Three additional papers focus on implications of researchfindings regarding the links between social-emotional development and schoolreadiness for either practice or educational policy: (1) "Promoting Socialand Emotional Development in Young Children: The Role of Mental HealthConsultants in Early Childhood Settings" (Paul J. Donahue); (2) "PromotingSocial-Emotional Development in Young Children: Promising Approaches at theNational, State and Community Levels" (Roxane Kaufmann and Deborah F. Perry);and (3) "Promoting Social and Emotional Readiness for School: Toward a PolicyAgenda" (Jane Knitzer). The accompanying executive summary presents the keyfindings and recommendations outlined in the six papers commissioned by theKauffman Foundation. (Each paper, except the first, contains references.) (KB)

Reproductions supplied by EDRS are the best that can be madefrom the original document.

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Set for Success: Building a StrongFoundation for School ReadinessBased on the Social-Emotional

Development of Young Children

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wSET FOR SUCCESS:

,;,BUILDING A STRONG FOUNDATION FOR SCHOOL READINESS BASEDON THE SOCIAL-EMOTIONAL DEVELOPMENT OF YOUNG CHILDREN

0511

THE KAUFFMAN EARLY EDUCATION EXCHANGEVolume 1, Number 1Summer 2002

Published byThe Ewing Marion Kauffman Foundationwww.emkf.org

ABOUT THE KAUFFMAN EARLY EDUCATION EXCHANGE

The Ewing Marion Kauffman Foundation created the Kauffman Early Education Exchangeconference series as a forum to discuss how research, practice and policy can best prepare young

children and families for later school success. The Kauffman Foundation hosts one conferencea year on a selected topic related to early childhood development, family support and earlyeducation. These national conferences exchange information and scientific knowledge anddiscuss the implications for policy and practice toward the goal of enabling all children toenter school prepared to succeed. The conferences include presentations from leading expertsand researchers who are invited to present papers written for the Exchange. The papersexplore various perspectives of the issue selected for each conference. This publication is thepost-conference report that features all of the papers presented at the inaugural conference.These publications are distributed to policymakers, practitioners, researchers and othersengaged in advancing effective policies and programs for young children.

The inaugural Kauffman Early Education Exchange conference was held on November 12,2001. The topic focused on the social and emotional development of young children as anessential building block to prepare for school success. The Kauffman Foundation expressesits appreciation to two individuals who helped to plan and organize this first conference:Joan Lombardi, Ph.D., Child and Family Policy Specialist, Washington, DC, who servedas a planning consultant and facilitator during the conference; and Jane Knitzer, Ph.D.,Deputy Director of the National Center for Children in Poverty at Columbia University,New York, NY, who served as a content expert and planning consultant.

The Ewing Marion Kauffman Foundation, 4801 Rockhill Road, Kansas City, MO 634110, publishes the KauffmanEarly Education Exchange report and executive summary (ISBN #1-891616-22-6) The Kauffman Early EducationExchange report is distributed free of charge through a controlled circulation. Opinions expressed by the writers inthis report are their own and are not to be considered those of the Kauffman Foundation. Authorization to photocopyarticles for personal use is granted by the Kauffman Foundation. Reprinting is encouraged, with the following attribution:From the Kauffman Early Education Exchange, a publication of the Ewing Marion Kauffman Foundation, 2002.To be added to the mailing list for future reports, write to Kauffman Early Education Exchange, The Ewing MarionKauffman Foundation Fulfillment Center, P.O. Box 12444, North Kansas City, MO 64116. This report and executivesummary are available on the Kauffman Foundation's Web site at www.emkflorg/pages/12.cfm. Photographs thatappear in this report were acquired independently of the articles and do not have a direct relationship to materialdiscussed in each article.

The first Kauffman Early Education conference was held on November 12, 2001.Presentations included remarks from the following individuals:

FACILITATOR:

Joan Lombardi, Child and Family Policy Specialist and Director of The Children's Project, Washington, DC

PRESENTERS: The presenters who wrote papers for this first Kauffman EarlyEducation Exchange conference were:

Ross Thompson, Ph.D., University of Nebraska, Lincoln, NE

Linda Espinosa, Ph.D., University of Missouri-Columbia, Columbia, MO

Oscar Barbarin, Ph.D., University of North Carolina, Chapel Hill, NC

Paul Donahue, Ph.D., Center for Prevention Psychiatry, Scarsdale , NY

Roxane Kaufmann, M.A., Georgetown University Child Development Center, Washington, DC

Deborah Perry, Ph.D., Georgetown University, Child Development Center, Washington, DC.,

Jane Knitzer, Ed. D., National Center for Children in Poverty Columbia University, New York, NY

PANELISTS: A conference panel discussion about effective early educationpractices that promote social-emotional development included remarks from:

Dwayne Crompton, Executive Director, KCMC Child Development Corporation, Kansas City MO

Deborah Hoskins, Community Resources Manager, KCMC Child Development Corporation,Kansas City, MO

Brenda Loscher-Hudson, Education Consultant, KCMC Child Development Corporation;Kansas City MO

DISCUSSANTS: Four experts in the field served as discussants at the conference:

Marilou Hyson, Ph.D., Associate Executive Director of Professional Development, NationalAssociation for the Education of Young Children, Washington, DC

linnmy Mann, Ph.D., Director, Early Head Start National Resource Center, Zero to Three NationalCenter, Washington, DC

Sandra Adams, Ph. D., Center for Prevention and Early Intervention, Florida State University,Tallahassee, FL

Jack Shonkoff M.D., Dean, The Heller School for Social Policy and Management,Brandeis University Waltham, MA

PLANNING TEAM: The Kauffman Early Education Exchange is plannedand administered by the Kauffman Foundation Early Education Team:

Sylvia Robinson, Vice President, Early Education

Lisa Klein, Senior Program Officer, Early Education

Adriana Pecina, Senior Program Officer, Early Education

Joy Culver Torchia, Communications Manager

Laura Loyacono, Public Affairs Manager

Bonnie Johnson, Training and Development Consultant

Tricia Helbner, Senior Research Associate

Design by: Ampersand, Inc., advertising 4lesign, Kansas City MO

T A B L E OF C 0 N T EN T S

INTRODUCTION

Set for Success: Building a Strong Foundationfor School Readiness Based on the Social-EmotionalDevelopment of Young Children

THE VIEW FROM RESEARCH

The Roots of School Readiness in Social

and Emotional Development 8

The Connection Between Social-EmotionalDevelopment and Early Literacy 30

Culture and Ethnicity in Social, Emotionaland Academic Development 45

THE VIEW FROM THE FIELD

Promoting Social and Emotional Developmentin Young Children: The Role of Mental Health

Consultants in Early Childhood Settings 64

Promoting Social and Emotional Developmentin Young Children: Promising Approaches atthe National, State and Community Levels 80

IMPLICATIONS FOR POLICY AND PRACTICE

Promoting Social and Emotional Readiness for School:Toward a Policy Agenda 100

60 2002. The Ewing Marion Kauffman Foundation / 4801 Rockhill Road, Kansas City, MO 64110-2046 / All rights reserved.

0e

IN T R O D U C T ION

Lisa G. Klein, Ph.D.

Semior Program Officer,

Early Education

Ewing Marion Kauffman

Foundation

phone: 816-932-1000

Iklein@emktorg

SET FOR SUCCESS:BUILDING A STRONG FOUNDATION FOR

SCHOOL READINESS BASED ON THESOCIAL-EMOTIONAL DEVELOPMENT

OF YOUNG CHILDRENLISA G. KLEIN, PH.D.

State reports of the percentage ofchildren that are not prepared to enterschool ready to succeed range from 20%to 49%. In response, multiple federal,state, and local initiatives are aimed at

promoting school readiness andacademic success beginning with ouryoungest children and their families.In 1994, Congress enacted the EducateAmerica Act, with the first goal being:All children shall enter school ready tolearn." The 107th Congress introducedthe Foundations for Learning Act, aimedat reducing the risk of early schoolfailure. On April 2, 2002, President Bush

announced a new early childhoodinitiative called: "Good Start, GrowSmart:' a plan to strengthen earlylearning in young children.

Research evidence from the NationalAcademy of Sciences and others hasdemonstrated that children enteringschool with well-developed cognitiveand social skills are most likely tosucceed and least likely to need costly

intervention services later through eitherspecial education or juvenile justice. Thescience of early childhood has repeatedlyprovided evidence that strong social-emotional development underlies alllater growth and development. Youngchildren who develop strong earlyrelationships with parents, family,caregivers and teachers learn how to payattention, cooperate and get along withothers. As a result, they are confident intheir ability to explore and learn fromthe world around them.

Stated simply, positive relationships areessential to a child's ability to grow uphealthy and achieve later social,emotional and academic success.

There are, however, several challenges

to translating the science into effectiveprograms and policies that promoteschool readiness and success: societalbeliefs about childrearing, economicdeficits in the states, and the tragic eventsof September 11. Overall strategies for

achieving the goal of preparing childrento succeed include:

a 01

02

Creating a common understandingof what good social-emotionaldevelopment is and how it underlieslater academic success;

Building broad-based public andpolitical will to make the healthygrowth and comprehensivedevelopment of young childrena priority;

Committing public and privateinvestment in the types of programsand policies that are proven to resultin greater success for young childrenand families;

Building expertise for parents,families, providers and teachersin order to promote strong social-emotional development in all youngchildren, particularly those at-riskfor serious problems and delays; and

Assuring good outcomes by assessingprogress and tracking indicators ofsocial-emotional development andits relation to later school readinessand academic success.

THE KAUFFMAN EARLYEDUCATION EXCHANGE

The Ewing Marion KauffmanFoundation sponsored the first in aseries of Exchanges in Early Educationin November 2001. The purpose of theseries is to determine how research,practice, and policy can best prepareyoung children and families for laterschool success. The focus of theinaugural Exchange highlighted the linkbetween social-emotional developmentand later cognitive development. Twelveleading experts in the field of early

childhood development madepresentations. This document containsthe full commissioned papers from sixof the 12 invited speakers.

THE RESEARCH BASE

The Exchange began with a series ofpapers that presented the latest scientificresearch and compelling evidence aboutwhat is necessary to prepare youngchildren for school success.

THE ROOTS OF SOCIAL-EMOTIONAL

DEVELOPMENT

Ross Thompson, Ph.D.

The National Academy of Sciences study"From Neurons to Neighborhoods:The Science of Early ChildhoodDevelopment',' reported on threequalities that children need to be readyfor school: intellectual skills, motivation

to learn and strong socioemotionalcapacity. It is the last area that is

described in greater detail. Schoolsuccess requires young children be ableto: understand their own feelings and theviewpoint and feelings of others,cooperate with both peers and adults,resolve conflict successfully and control

their own behavior. Evidence shows thatyoung children who have establishedpositive relationships with parents,caregivers and teachers are secure andconfident in exploring new situationsand mastering learning challenges.

a

INTRODUCTIONSet for Success: Building a Strong' Foundation for School Readiness Based on the Social-Emotional Development of Young Children

THE CONNECTIONS BETWEEN

SOCIAL EMOTIONAL DEVELOPMENT

AND EARLY LITERACY

Linda Espinosa, Ph.D. andRebecca McCathren, Ph.D.

During the first year of life, jointattention occurs between mother orcaregiver and child when the infantand adult are interacting and establishthe earliest stage of pre-languagecommunication. For preschoolers, play isthe best way young children develop pre-literacy language and communication.As they grow, the adults who care forthem and their attitudes, beliefs andlevel of literacy influence children'sexposure and interest in reading. Theliterature provides compelling evidencethat nurturing relationships andresponsive social environments set thestage for language and literacy aschildren grow and mature.

CULTURE AND ETHNICITY IN

SOCIAL, EMOTIONAL, AND ACADEMIC

DEVELOPMENT

Oscar Barbarin, Ph.D.

Stressors facing many poor childrenof color that limit their ability tosuccessfully cope include: early

deprivation or trauma, family instabilityor conflict, involvement in the childwelfare system, and neighborhooddanger and limited resources. Evidencealso shows that many childrenexperiencing problems in social-emotional functioning are alsoexperiencing delay in the acquisition ofearly academic skills. Early identification

of mental health problems in ethnicminority children coupled with effectivereferral and service delivery has long-term implications for prevoingacademic failure.

IMPLICATIONS FOR PRACTICE

The second series of papers focus on theimplications for programs and strategiesfor practice to promote positive earlyrelationships and to intervene whenyoung children are at risk or experienceemotional and behavioral problems.

PROMISING SOCIAL EMOTIONAL

DEVELOPMENT IN YOUNG CHILDREN:

THE ROLE OF MENTAL HEALTH

CONSULTANTS IN EARLY

CHILDHOOD SETTINGS

Paul Donahue, Ph.D.

With more than 60% of children underage six in some form of child care, it is

clear that early childhood educators playa major role in shaping young children'ssocial, emotional and cognitivedevelopment. Science reveals that our

youngest children experience anywherefrom mild to severe mental healthproblems. Early childhood programshave become logical places to establishpartnerships between mental healthprofessionals, teachers, families and

children. A collaborative model ofmental health consultation in preschoolsettings provides both prevention andintervention to families in safe, trustedand easily accessible environments.

Mental health consultation providespreventative services to help familiessupport their child's full development.In addition, intervention servicessupport at-risk children and familiesand those already experiencing problemssuch as depression or behavior problemsbefore they lead to academic delay.

1.0: 03

04

PROMOTING SOCIAL-EMOTIONAL

DEVELOPMENT IN YOUNG CHILDREN:

PROMISING APPROACHES AT

THE NATIONAL, STATE AND

COMMUNITY LEVELS

Roxane Kaufmann, Ph.D. andDeborah Perry, Ph.D.

Head Start and Early Head Start arenational early childhood programs thatinclude prevention strategies for buildingstrong social-emotional development inyoung children and helping familiescope with increasing stress. StartingEarly Starting Smart (SESS), an initiativebetween the Casey Family Foundationand the Substance Abuse and MentalHealth Services Administration(SAMHSA), is a demonstration effort innine states that integrates behavioralhealth services into accessible, non-threatening setting where familiesusually take their children like early

education settings and pediatric healthcare facilities. Vermont, the only state tobuild a statewide system of mental healthservices and supports, has integratedthese services into the early child-servingsystem to promote the well-beingof young children. The city ofSan Francisco has pooled more than$2 million to provide mental healthconsultation services to more than 50child care centers and more than 100family child care homes. These representa few of the examples of programs thatpromote both the social-emotional andcognitive development of young children.

IMPLICATIONS FOR POLICY

The final paper outlines a policy agendafor enhancing school readiness built on

the recognition that success is determinedby social, emotional and cognitive

competencies in young children.

PROMOTING SOCIAL-EMOTIONAL

READINESS FOR SCHOOL: TOWARD

A POLICY AGENDA

Jane Knitzer, Ph.D.

Despite the extensive knowledge abouthow early relationships set the stage forlater academic achievement, it can bechallenging to find easy language toexplain the importance of social-emotional development and mentalhealth of young children to the generalpublic and policymakers. In addition,very few policies provide direction orresources for linking social-emotionaldevelopment with later cognitivedevelopment. Given the currenteconomic environment at the federaland state levels, most of the policies that

do exist are under-funded and do notprovide resources necessary toimplement the practices that science hasshown lead to both positive social-emotional development and later schoolsuccess. However, there is an

opportunity to build on the federalagenda on school readiness. TheFoundations for Learning Actintroduced by Congress is intended toprevent school failure and provides forsome social-emotional services foryoung children and families. Thecharacteristics of policies that promotethe well-being of children socially,emotionally and cognitively include:

INTRODUCTIONSet for Success: Building a Strong Foundation for School Realness Based on the Social-Emotional Development of Young Children

enhancing the well-being of all children,

particularly those at highest risk;

helping parents become more effectivenurturers of their children;

expanding the competencies of othercaregivers and teachers to manage andprevent social and behavioralproblems; and

ensuring that more seriously troubledchildren and families receive

appropriate services.

RECOMMENDATIONS

The time is right to build on theknowledge base and current initiativestargeting school readiness and successfor young children and families. In orderto accomplish these goals, the following

recommendations are made:

Social-emotional development andacademic achievement are notseparate priorities, rather they mustbe understood as representing thecontinuum of development that isneeded for children to grow uphealthy and succeed in school.

The knowledge base linking social,emotional and cognitivedevelopment exists but needs to bemore broadly disseminated toparents, teachers, caregivers andpolicymakers in order for publicinvestment to be made in programsand practices proven to help youngchildren succeed in school.

Programs need to provide trainingand education to promote social-emotional development and theimportance of strong relationshipsbetween young children and theirfamilies, their teachers and theircaregivers i f young children are tosucceed without the need for costlyinterventions in special education orjuvenile justice.

Mental health services offered tochildren and families in familiar,trusted, non-threateningcommunity-based settings such aschild care, schools, communitycenters can be a preventionopportunity to help promote strongsocial-emotional and cognitivedevelopment as well as anintervention service to thosechildren and families at risk fordeveloping delays or seriousproblems that will deter laterachievement and success.

Policies that enhance the social,emotional and cognitive well-beingof infants, toddlers, preschoolers andtheir families must be a priority andreceive appropriate publicinvestment in order to achieve thegoal of children entering schoolready to learn and succeed.

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THE VIEW FROM RESEARCH

The Roots of School Readiness in Social

and Emotional Development

ROSS A. THOMPSON, PH.D.

Carl A. Happold, Distinguished Professor of Psychology

University of Nebraska, Lincoln, NE 8

The Connection Between Social-Emotional

Development and Early Literacy

LINDA ESPINOSA, PH.D.

Associate Professor of Education

University of Missouri-Columbia, Columbia, MO 30

Culture and Ethnicity in Social, Emotional

and Academic Development

OSCAR A. BARBARIN, PH.D.

L. Richardson and Emily Preyer Bicentennial Distinguished Professor for Strengthening Families

University of North Carolina, Chapel Hill, NC 45

1407

Ross A. Thompson, Ph.D.

Carl A. Happold,

Distinguished Professor

of Psychology

Department of Psychology

University of Nebraska

238 Burnett Hall

Lincoln, NE 68588-0308

phone: 402-472-3187

rthompsonl @unl.edu

08

THE VIEW

THE KAUFFMANEARLYEDUCATIONEXCHANGE

FROM RESEARCHTHE ROOTS OF SCHOOL READINESS IN SOCIAL

AND EMOTIONAL DEVELOPMENTROSS A. THOMPSON, PH.D.

WHAT ARE THE QUALITIESTHAT YOUNG CHILDREN NEEDTO BE READY FOR SCHOOL?

The first are INTELLECTUAL skills.

When preschoolers have learned howprinted letters relate to sounds andwords, can use simple number concepts,and can express themselves clearly with

language, it provides a foundation forlearning in the primary grades.

A second feature of school readiness areMOTIVATIONAL qualities. Young

children should arrive at school excitedabout learning, curious and confidentin their ability to succeed, andconvinced that school is important tothem and their future. These qualitiesprovide children with the receptivity tolearning opportunities that is essentialto school success.

A third quality of school readiness isSOCIOEMOTIONAL. Learning is not an

isolated activity but occurs amongpeers with the guidance of an adultteacher. School success requires that

children are capable of understandingother peoples' feelings and viewpoints,cooperating with adults and peers,exercising emotional and behavioralself-control, and resolvingdisagreements constructively. These

qualities ensure that children canparticipate in learning alongside others.

When these three qualities of schoolreadiness intellectual, motivationaland socioemotional are consideredtogether, they portray a child who isprepared to learn (National EducationalGoals Panel, 1997). Yet many children

arrive at school intellectually unpreparedfor new learning, and many more arrivesocially and emotionally unprepared forthe classroom. This is a special concernfor children from stressful,socioeconomically disadvantagedcircumstances who are at risk ofemotional and social difficulty, and whoare thus in greater danger of problemswhen they reach kindergarten (Brooks-Gunn, Duncan, & Aber, 1997; Dodge,Petit, & Bates, 1994).

WHEN THESE THREE QUALITIES of school

readiness intellectual, motivational andsocioemotional are considered together,they portray a child who is prepared to learn

15

THE VIEW FROM RESEARCHThe Roots of School Readiness in Social and Emoti;n41 Development

School readiness derives from manyinfluences in the home, child care,community and elsewhere. Althoughthe home is the primary setting where

school readiness develops in youngchildren, child care experiences are

also important (especially for childrenwho spend considerable time in thesesettings). The community also isinfluential for the resources and supportit provides children and their families.The intellectual preparation of youngchildren for school is central, of course,but is also the easiest for kindergarten

teachers to remedy because they areaccustomed to working with childrenwith varying cognitive capabilities andskills. By contrast, kindergarten teachersreport that they are most concerned withchildren who lack the motivational andsocioemotional qualities of schoolreadiness, because it is more difficult

to assist children who are not interestedin learning, lack confidence in theirsuccess, or incapable of cooperationand self-control (Lewit & Baker, 1995;

Rimm-Kaufman, Pianta, & Cox, 2000).In the words of one teacher, the problemis that"the kids are sad, mad and bad,it's not that they can't add."

Kindergarten teachers understand that itis difficult to educate young minds whenchildren have not developed the social,emotional and self-regulatory capacitiesthat are required in the classroom. It isnot simply that it is easier to teach young

children who are cooperative, sociableand listen carefully. Rather, children's

successful transition. to kindergartenand their subsequent academic successhinge critically on the relationships thatchildren develop with their teachers andpeers, their capacities to cooperate andresolve conflict successfully in the

classroom, and their successfulparticipation in group learning activities(Ladd, Birch, & Buhs, 1999; Ladd, Buhs,

& Troop, in press; Ladd & Price, 1987).

In one study, conflict in the relationshipsbetween kindergarten teachers andchildren predicted children's academicperformance and behavior problemsthrough eighth grade (Hamre & Pianta,in press). Because young children's

social and scholastic lives are linked

in kindergarten, early social andemotional development is an importantdeterminant of school readiness. Thisis consistent with the science of early

childhood development, which showsclearly that intellectual, socioemotional

and physical development areintertwined and complementary featuresof the young child's growth (NationalResearch Council, 2001).

THE KIDS ARE sad, mad and bad, it's notthat they can't add.

This paper summarizes the foundations ofearly social and emotional development

with respect to school readiness. The

discussion begins with children's

relationships with their parents, childcare

providers, and other adults who matter tothem. Developmental scientists havefound that child-adult relationships

provide a psychological foundation for

many of the socioemotional qualities that

underlie school readiness, and the

discussion will explain how. Next, some of

the central accomplishments of earlysocial and emotional development are

profiled: understanding other people, self-

understanding, emotional growth, self-

control, conscience development and theemergence of peer relationships.

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The preschool years are a pivotal period

for each of these accomplishments, and

the relevance of each achievement to the

qualities that constitute school readiness

is also described. Finally, studies of the

origins of school readiness are surveyed.

These underscore the importance of therelationships that children share withparents, caregivers and with the teachers

and peers who are part of their earliestschool experiences. They also show how

school readiness is not just a quality of

the individual child, but of the child in

interaction with particular people in

a specific academic context. These

conclusions are summarized with respectto how best to ensure school readiness in

young children.

BECAUSE YOUNG CHILDREN'S social and

scholastic lives are linked in kindergarten,early social and emotional development isan important determinant of school readiness.

RELATIONSHIPS

Relationships have been described asthe "active ingredients" of healthypsychological development in the early

years (National Research Council andInstitute of Medicine, 2000). Why is

this so? Simply put, relationships arethe prism through which young childrenlearn about the world, including theworld of people and of the self. A baby'sexcited exploration of new places is

predicated on the companionship ofa trusted adult who provides a "securebase" for the child's discoveries. A toddlerwho looks up expectantly toward aparent when encountering an

17

unexpected event depends on the adult'semotions for guidance about how torespond. A preschooler shows a drawing

to a caregiver, and the adult's responseelicits the child's feelings of pride (or

shame) in the achievement, and themotivation to achieve more. A 5- or

6-year-old is excited about going tokindergarten because of the parent'spleasure and pride in their doing so.Young children depend on theirrelationships with adults to tutorthem about themselves and the worldthey inhabit.

RELATIONSHIPS ARE THE PRISM through

which young children learn about the world,including the world of people and of the self.

Relationships make people matter. The

people who matter to a young child are

those who know the child well, andwhom the child knows well and can trust.

This is the result of relationships. But

relationships make people matter in

another way also. Relationships cause

young children to care about people

by establishing the human connectionbetween self and others. As a consequence

of relationships, children seek to

understand the feelings of others, people's

thoughts and expectations, and theimportance of cooperation and sharing.The human connection afforded by closerelationships causes young children to

develop psychological understanding,absorb the values of the culture and strive

to become competent in ways that others

are. Through relationships, youngchildren also learn about who they are,

especially as it is revealed in the ways they

are seen by people who matter to them.

THE VIEW FROM RESEARCHThe Roots of School Readiness in Social and Emotional DelOpment

This is why the quality of early

relationships are a far more significant

influence on early learning than areeducational toys, preschool curricula or

Mozart CDs. Relationships guide howyoung children learn about the world,people and themselves.

Relationships are important, but aswith adults, they vary in their quality.

Developmental scientists commonly viewthe quality of early relationships in terms

of the security or insecurity they afford

the child (Cassidy & Shaver, 1999; Colin,

1996; Thompson, 1998, 1999). Although

virtually all infants and young childrendevelop deep emotional attachmentsto those who care for them within andoutside the home, they differ in theconfidence or security they experience

in these relationships. Secure attachments

arise from the warmth and sensitivity ofan adult's care, and insecure attachments

derive from care that is less reliable,

consistent or supportive of the child. As aresult, the extent to which young children

rely on their caregivers, especially in

challenging or threatening circumstances,is based on the support they have received

from these adults in the past. Attachmentsdevelop during the first year and have a

continuing influence on psychologicaldevelopment throughout childhoodand indeed, throughout life. Young

children develop emotional attachmentsto their mothers and fathers, of course, aswell as to other adults who regularly care

for them including child care providers

(Berlin & Cassidy, 1999; Howes, 1999)

although attachments to parentsremain preeminent.

18

Secure or insecure attachments have

consequences for many aspects of earlydevelopment, whether those attachmentsare with parents or other caregivers. Evenin infancy, securely attached children canbe easily distinguished from insecurely

attached children because of theirmore confident exploration of newsituations and their more competentmastery of learning challenges (Arend,Gove, & Sroufe, 1979; Matas, Arend,

& Sroufe, 1978). At later ages, securely

attached young children have been foundto have a more balanced self-concept(Cassidy, 1988; Verschueren, Marcoen,

& Schoefs, 1996), more advanced

memory in certain domains (Belsky,Spritz, & Crnic, 1996; Kirsh & Cassidy,

1997), more sophisticated emotionalunderstanding (Laible & Thompson,1998), a more positive understandingof friendship (Cassidy, Kirsh, Scolton,& Parke, 1996; Kerns, 1996), and more

advanced conscience development(Kochanska, 1997; Laible & Thompson,2000). Attachment theorists believe thatthese outcomes arise because of howa secure (or insecure) attachmentinfluences a young child's developing

understanding of emotion, morality,friendship and other psychologicalfacets of human interaction. Caregivers

influence children in many ways besides

11

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the security they inspire, such as in the

opportunities they provide for newlearning and acquiring new skills. But the

research on early attachments not onlyunderscores how early relationships areindeed the "active ingredients" of healthy

psychological growth, but shows how the

security or insecurity inspired by theserelationships has far-reaching effects

on young children's socioemotional,intellectual and personal development.

UNDERSTANDING OTHER PEOPLE

One of the most importantachievements of early childhood is agrowing understanding of the inner,psychological world of people. Contraryto the traditional portrayal ofpreschoolers as egocentric and self-preoccupied, young children have a verynon-egocentric interest in how the needsand desires, beliefs and thoughts ofothers compare with their own. It isreasonable that they should be sointerested, because understanding otherpeople relies on an appreciation of howinvisible psychological states (desires,

feelings, thoughts, expectations)underlie behavior. But because internalthoughts and beliefs are invisible, thisunderstanding is difficult to acquire.Infants show a dawning appreciation ofinternal states when they seek to redirecta caregiver's attention through piercingshrieks or grunts, and toddlers exhibita more advanced understanding when

YOUNG CHILDREN have a very non-egocentric interest in how the needs anddesires, beliefs and thoughts of otherscompare with their own.

they consult a caregiver's facial

expressions for cues about how torespond in an uncertain or unfamiliarsituation (such as when encounteringan unfamiliar person) (Feinman, 1992).At the same age, very young children

also use their inferences about an adult'sintentions when learning words(Baldwin & Moses, 1994), and theirearliest words often make reference to

desires, perceptions, emotions, needsand other internal states in themselvesor others (Bartsch & Wellman, 1995).

The most significant advances inpsychological understanding occurbetween the ages of 3 and 4 (Bartsch& Wellman, 1995; Flavell & Miller, 1998).

By age 3, building on the achievementsdescribed above, young children havebegun to grasp that behavior can beunderstood in terms of people's desires,intentions, needs and feelings. Duringthe next year or so, this understandingexpands significantly to include anawareness that people are also guidedby thoughts, ideas and beliefs that may

or may not be accurate. For the first

time, young children realize that people'smental states may not always be anaccurate depiction of reality. People

can be mistaken, fooled or ignorant.

19

THE MOST SIGNIFICANT ADVANCES in

psychological understanding occurbetween the ages of 3 and 4.

THE VIEW FROM RESEARCHThe Roots of School Readiness in Social and Emotion'ai Tieveloptnent

This transforms how children interactwith people in several ways. First,

it enables children to have a far richerappreciation of what is going on in theminds of other people and also theirown minds. This enables young childrento better understand and cooperate;it also permits greater deception andmanipulation, as children graduallyappreciate that the contents of theirown minds need not always be disclosed,and the contents of others' minds can bedeliberately altered. Second, it enhancesyoung children's awareness thatdisagreements and conflict may arisebecause people's goals, beliefs andunderstanding are discordant. Notsurprisingly, therefore, young children

also become more adept at resolvingconflict between themselves and otherpeople through compromise, turn-taking, persuasion and even humor.Third, the young child's relationshipswith others, especially adults, also

change because children can understandand balance others' goals and viewpointswith their own, and this enables the kindof shared understanding from whichnew learning can arise. Taken together,the growth of young children's capacitiesto understand other people makesthem more competent social partners,ready for the social opportunities andchallenges of a classroom that is sharedwith an adult teacher and many peers.

20

SELF-UNDERSTANDING

Early childhood is also when youngchildren begin to define who they are:their likes and dislikes, their

characteristics and their competencies.This, too, is a challenging

accomplishment because psychologicalattributes of the self are invisible, and

require the child to begin to perceive theself as an object of analysis. In infancy

and toddlerhood, the prerequisites forself-understanding are established asinfants enjoy the experience of"makingthings happen" on their own, andtoddlers become capable of physical self-recognition. Moreover, as young childrengradually develop an awareness thatother people have mental and emotionalstates that differ from the child's own,they realize that they, too, have subjective

experiences that can also be shared with(or withheld from) others (Cicchetti& Beeghly, 1990; Kopp & Brownell, 1991).

Self-understanding advances significantly

in the second and third years, and this is

evident in the charming and frustrating

characteristics of this age: young children

who insist on "doing it myself" and

refusing assistance, an increase in verbalself.- reference (e.g.,"I want,""mine,"

"Me big!"), and the emergence of self-

referential emotions like pride, shame,

guilt and embarrassment that reflect

the emotional dimensions of perceivedcompetence or incompetence (Bullock

& Lutkenhaus, 1990; Stipek, Gralinsky,

& Kopp, 1990). These features of emergent

self-understanding share in common thesocial arena in which young children

assess, improve and demonstrate their

competencies, and underscore how

13

14

significant are the evaluations of caregivers

(explicit and implied) in the young child's

emerging self-understanding and self-

esteem (Stipek, Recchia, & McClintic,

1992). Consistent with classic theories

of the "looking-glass self' young children

evaluate themselves through the reflected

evaluations of people who matter to them,

whether of a grandparent who applaudsthe child's made-up song or a busy parent

who does not notice the shoes that have

been painstakingly tied for the first time.

SELF-UNDERSTANDING advances

significantly in the second and third years.

After age 3, another milestone in self-

understanding is the emergence ofautobiographical memory (Howe &

Courage, 1993; Welch-Ross, 1995). Prior

to this time, young children can rememberevents from the past, but now children

begin to remember events because of their

personal significance, and they retain

stories from their past that they can share

with others. This sharing is important

because, as young children talk about

recent events, their caregivers add their

own embellishments and details that help

to consolidate the child's personal

memory and to underscore its significance(Miller, Potts, Fung, Hoogstra, & Mintz,

1990; Nelson, 1993). In doing so, of

course, caregivers also portray the child in

dispositional and evaluative ways (e.g., as

naughty or clever) that may not have been

part of the child's initial recollection but

is likely to become incorporated into the

child's own representation of the event.

In this manner, therefore, the self-

understanding that arises from

autobiographical memory incorporatesthe parent's own beliefs about the child's

characteristics, capabilities and attributes

(Thompson, 1998).

YOUNG CHILDREN EVALUATE themselves

through the reflected evaluations of peoplewho matter to them.

It is unsurprising, therefore, that by theclose of the preschool years, youngchildren can describe their ownpersonalities, and they do so inways that resemble their mother'sperceptions of them (Eder, 1990;Eder & Mangelsdorf, 1997). Althoughpreschoolers are natural optimists withregard to their abilities believing thatthey are capable of success at tasks atwhich they have just failed, simply bytrying again and trying harder (Stipek,1992) this sunny self-regard can beeasily undermined by social evaluationsthat are denigrating or dismissive.From early childhood arises, therefore,the rudiments of self-concept whichmotivate excitement about learningand growing competency, and are afoundation for a young child's self-

awareness as competent or incompetent,bright or slow, and prone to successor failure.

21

YOUNG CHILDREN can describe their ownpersonalities.

THE VIEW FROM RESEARCHThe Roots of School Readiness in Social and Etno'OoVal Development

EMOTIONAL GROWTH

Emotions color the experience of everyyoung child, whether the emotionsconsist of exuberant delight, frustratedfury or anguished distress. There aresignificant advances in emotionaldevelopment from infancy tokindergarten that offer a window intothe psychological growth of the child(Saarni, Mumme, & Campos, 1998;Thompson, 1999b). Newborns'emotions are evoked by their physicalcondition: whether they are hungry,cold or hot, or too tired. By contrast,preschoolers' emotions are tied to theirpsychological condition: how theyinterpret their experiences, what theythink others are doing or thinkingand their expectations of future events.In early infancy, emotions can be all-consuming and are not easily managedby the child or, for that matter, byparents. But by the end of the preschoolyears, young children are capable ofanticipating and talking about theiremotions and those of others, and canbegin to enlist psychological strategiesto manage their feelings. A baby'semotional repertoire is basic, rangingfrom cooing to crying, and shapedby temperamental individuality. Bykindergarten, children have becomecapable of self referential emotions likepride, shame, guilt and embarrassment,can feel empathy for other people, andexperience more subtly nuanced blendsof feelings (such as the combinationof anger and fear) that are tied to theirdeveloping personalities. Childrenbeginning school are emotionally moresophisticated people than they were onlya few years earlier.

BUT YOUNG CHILDREN require the

assistance of adults in understanding andinterpreting their feelings.

The emotions a child feels and observesin others are visible and apparent, bycontrast with underlying thoughts andbeliefs. But young children require theassistance of adults in understandingand interpreting their feelings. Parentsguide children's understanding of thecauses and consequences of emotions,coach children concerning theemotional behavior that is appropriatein social situations, and provoke thefeelings of pride, guilt and shame thatunderlie self-concept (Brown, Donelan-McCall, & Dunn, 1996; Miller & Sperry,1987; Stipek, 1995). Thus youngchildren's understanding of emotion andits effects depends on what they learnfrom their conversations with parentsabout the feelings they experience inthemselves and observe in others. Thebroader emotional climate of the homealso guides early emotional growth(Gottman, Katz, & Hooven, 1997). Thequality of the home emotional climateis a special concern when young childrengrow up in homes rent by maritalconflict (Cummings & Davies, 1994),the parent's affective disorder likedepression (Zahn-Waxler & Kochanska,1990), parental substance abuseproblems, or parent-child relationshipsare abusive or coercive (Patterson,DeBaryshe, & Ramsey, 1989). In thesecircumstances, healthy early emotionalgrowth is impaired by overwhelmingemotional demands and inadequatesupport from parents and othercaregivers in coping.

22 15

16

This is important because recent studiesshow how significantly young childrenare capable of deep sadness and griefoverwhelming anger and otheremotions that researchers previouslybelieved that young children wereincapable of experiencing.Developmental scientists now recognizethat the origins of depression andaffective disturbances, enduring conductand behavioral problems, andheightened anxiety are often found inemotional disturbances in the early years(Cassidy, 1995; Shaw, Keenan, &Vondra,

1994; Zahn-Waxler & Kochanska, 1990).These early risks for emotion-relatedpsychopathology are heightened infamily environments that are abusive,troubled or coercive for young children.Because of their reliance on theemotional support of their caregiversfor understanding and managing theirfeelings, troubled parent-childrelationships make young childrenparticularly vulnerable to emotion-linked disorders. These problems canalso prove to be significant challengesfor school readiness when childrenreach kindergarten.

THESE EARLY RISKS for emotion-related

psychopathology are heightened in familyenvironments that are abusive, troubled orcoercive for young children.

SELF-CONTROL

Early childhood is when young childrenbegin to manage their impulses, desiresand emotions. This developmentalprocess is inaugurated in earlychildhood by emerging brain capacitiesin the prefrontal cortex (Diamond& Taylor, 1996; Gerstadt, Hong, &

Diamond, 1994). How these capacitiesdevelop depends also on the socialcontext. Although preschoolers have farto go in achieving successful self-control,they are becoming more capable ofregulating their behaviors, managingtheir emotions and focusing theirattention by the time they reach school.

Both parents and children are ready forthis to occur. For young children, self-control is a reflection of being"big" andcompetent, and during the preschoolyears children acquire many of thepsychological capacities for self-control,

including the ability to remember andapply standards of conduct, and to be

THE VIEW FROM RESEARCHThe Roots of School Readiness in Social and EmottpncTi :l Development

self-monitoring and self-correcting(Kopp, 1982). Parents, too, are ready for

young children to exercise self-controlwith respect to safety, consideration forothers and self-care, and parentsgradually increase their expectations foryoung children's self-control while usingparenting strategies that rely on thechild's cooperation (Belsky, Woodworth,& Crnic, 1996). The juxtapositionof child and family interest in thedevelopment of self-control does notmean that all goes smoothly, however.

At the same time that they are becomingmore self-managing, young children arealso seeking greater autonomy, whichmeans that they are increasingly likely torefuse parents before they comply, and to

negotiate, compromise, delay, ignore andexhibit other forms of self-assertionconsistent with parents' portrayal of the"Terrible Twos" (Kuczynski & Kochanska,

1990; Kuczynski, Kochanska, Radke-

Yarrow, & Girius-Brown, 1987). All of

this makes the second and third years oflife especially significant for the growthof self-control and of consciencedevelopment. When all goes well, parents

can sensitively balance a child's need

for autonomy and cooperation in apsychologically constructively manner,but too often young children's refusalsyield parental coercion and punitiveness.

EARLY CHILDHOOD is when young childrenbegin to manage their impulses, desiresand emotions.

A YOUNG CHILD'S capacities for emotionregulation rely on the support of caregivers

The growth of emotion regulation isan especially salient feature of the growthof self-control in the preschool yearsbecause of its importance to socialcompetence, self-confidence andmaintaining feelings of well-being.

Although managing emotions is a life-long challenge, young children developa variety of strategies for doing so, suchas by seeking the comfort of a caregiver,shifting attention away from distressingevents (or toward pleasurable ones),self-soothing, changing goals, verbalizedself-reassurance and related behavior(Thompson, 1990, 1994). A youngchild's capacities for emotion regulationrely on the support of caregivers whoprovide soothing when it is needed,suggest alternative goals when initial

goals are frustrated, and providereassurance that things will get better.Parents and other caregivers also coachchildren in strategies for managing their .

emotions appropriate to the situation,whether it involves comforting adistressed friend, learning to take turnsor expressing anger with words ratherthan by hitting. More broadly, thesecurity and trust that has developedbetween young children and theircaregivers provides children with theconfidence that their feelings aremanageable and not overwhelming,frightening or confusing. However,

when family life is troubled, children mayexperience emotions as overwhelmingbecause of the emotional demands offamily dysfunction, together with thelimited support that parents can providein managing these feelings.

2417

18

GETTING ALONG WITH OTHERS:EARLY CONSCIENCE

Learning how to get along with othersintegrates and builds on thedevelopmental accomplishmentsdescribed above. This is why it is such

a challenging task for young children.Learning how to get along with othersrequires sophisticated skills of socialunderstanding. It requires the self-

awareness of appreciating how one'sgoals interact with those of others.It requires skills of emotional

understanding and emotion regulation,together with capacities for self-management in accord with behavioralstandards. Conscience requires thatyoung children become capable ofunderstanding, as well as complyingwith, others' expectations for them.It is little wonder, therefore, thatyoung children's capacities forcooperation, conflict management,and moral compliance are so easilyexceeded by the challenges ofeveryday life.

Yet young children make remarkablestrides in conscience development,especially late in the preschool years.Contrary to the traditional view thatyoung children are self-concerned andrespond best to the enforcement ofbehavioral standards through firmdiscipline, children are highly motivated

to cooperate because of theirrelationships with caregivers (Kochanska& Thompson, 1997). Their emotionalattachments to people who matter causeyoung children to care about theexpectations of others and, on mostoccasions, seek to comply. Within the

context of a warm relationship, the

behavioral standards of trusted adults,their explanations for these expectations,and their rewards for complianceprovide a foundation for consciencedevelopment (Belsky et al., 1996; Dunn,Brown, & Maguire, 1995). The young

child's capacity to empathize with thefeelings of others provides anotheremotional resource for consciencedevelopment (Zahn-Waxier & Radke-Yarrow, 1990). By contrast, when

punitive coercion substitutes forrelational incentives, young childrenare often compliant but do not as readilyattain the concern for the others thatis the true heart of moral awareness.

CHILDREN ARE highly motivated to cooperatebecause of their relationships with caregivers

PEER RELATIONSHIPS

Relationships with peers provide themost stringent tests of a young child'sability to get along with others. Conflictas well as cooperation occurs duringpeer encounters, peaking between theages of 2 and 3 because young children

lack the social understanding necessaryto easily resolve disagreements at these

ages (Hay & Ross, 1982). As children

mature, they become more adept atplaying with peers in more complexways, in larger groups and in resolving

conflict (Garvey, 1990). Experiencehelps. Children play more cooperativelywith familiar than unfamiliar peers, andchildren with extensive experience inchild care tend to be more cooperativeand positive with peers than those

THE VIEW FROM RESEARCHThe Roots of School Readiness in Social and Emotional Development

without such experience, when the childcare is of good quality (Howes, 1990;Phillips, McCartney, & Scarr, 1987).

Caregivers are important to thedevelopment of peer social skills.Parents who actively encourage social

competence, provide warmth andsupport to their offspring and providemany opportunities for young childrento play with others have children whoget along better with other children(Goodnow, Knight, & Cashmore, 1985;Rubin, Mills, & Rose-Krasnor, 1989).

Likewise, when young children are

securely attached to their child careproviders in stable relationships,children are more socially competent.with adults and with peers (Howes,Matheson, & Hamilton, 1994; Howes,Phillips, & Whitebook, 1992; Peisner-Feinberg, Burchinal, Clifford, Culkin,Howes, Kagan, Yazajian, Byler, Rustici,

& Zelazo, 2000). Child care qualityis important: secure relationships withcare providers have significant benefitsfor early social development in centersof good quality.

THE QUALITY OF children's peer

relationships in preschool is a significantdeterminant of their adjustment tokindergarten

Thus children arrive at school with socialskills, derived from a history of peerinteractions, child care experience andthe contributions of parents that stronglyinfluence their capacities to functionwell in a classroom with other children.Indeed, the quality of children's peerrelationships in preschool is a significantdeterminant of their adjustment to

26

kindergarten, because the positive ornegative social skills that children haveacquired in early childhood shape therelationships they develop with adultsand peers in the kindergarten classroom(Ladd & Price, 1987).

RELATIONSHIPS ANDEARLY LEARNING

In this overview of early social andemotional development, the intersectionof a young child's readiness to grow andan adult's nurturant support is apparentin every aspect of social and emotionaldevelopment. It is also clear with respectto early learning. Young children are

human sponges for new knowledge,and adults do so much to saturate themwith opportunities for learning andunderstanding. Here again, relationshipsare central.

YOUNG CHILDREN ARE human sponges fornew knowledge, and adults do so much tosaturate them with opportunities for learningand understanding. Here again, relationshipsare central.

In everyday circumstances, sensitive

adults at home and in child care do somuch to stimulate early learning. Theystructure shared activity whetherworking on a jigsaw puzzle, readinga storybook, or preparing a recipetogether to enable a young childto develop new skills with supportiveassistance. They arrange the dailyschedule to provide predictable routinesthat provide a scaffold for memory. Theyconverse with young children almostfrom the time that children can makeany meaningful verbal contribution to

19

20

"conversation" in ways that help them

to understand the events they observeand experience. In doing so, theyprovide a window into the invisiblepsychological experience of people,including the child's own thoughts,feelings, impulses, motives and goals.

Most important, by remaining attentiveand responsive to the child's changinginterests, sensitive adults capitalize on

what has captivated a young child'sattention at the moment and use it as anopportunity to instill new understanding.All of this is influential because of thewarm, positive relationship that makesthese learning incentives salient andmeaningful to young children. It isbecause of their relationships withadults who value learning that childrenalso value learning and becomingcompetent individuals. In a sense, thisis why shared activity with a trustedcaregiver is so much more influentialin early intellectual growth than is aninstructional video, computer programor educational toy. People provideindividually tailored interaction fromwhich young children can benefit,and the child's relationship with theperson instills their shared activity

with greater meaning.

IT IS BECAUSE OF THEIR RELATIONSHIPS

with adults who value learning thatchildren also value learning and becomingcompetent individuals

This has been found to be true of achild's experience at home, and alsoof young children's experiences withcaregivers in child care centers. High-quality care in early childhood isassociated with enhanced intellectualgrowth that can persist into the schoolyears (NICHD Early Child CareResearch Network, 2000; Piesner-Feinberg et al., 2000). As with mothercare, child care providers who aremore sensitively responsive and whooffer greater verbal and intellectualstimulation enhance the cognitivedevelopment of the children in theircare (Lamb, 1998). In a sense, the.same qualities of caregiving that instilltrust, confidence and competencein young children at home have thesame outcomes in the relationshipsthat children share with their childcare providers.

27

THE VIEW FROM RESEARCHThe Roots of School Readiness in Social and Emotional Development

SOCIAL AND EMOTIONALFOUNDATIONS OF SCHOOLREADINESS

At least two conclusions arise from theresearch on early social and emotionaldevelopment summarized above. First,the preschool years are a period ofconsiderable growth in the psychologicalfoundations of school readiness. Besidesthe core cognitive capabilities thatdevelop in early childhood, advancesin the child's understanding of otherpeople, self-understanding, emotionalgrowth, self-control, conscience andpeer relationships provide an essentialbedrock of skills necessary for learningin the classroom. Young children with

positive early experiences are well-

prepared to be attentive, cooperative,motivated to succeed and capable ofworking with others.

Second, supportive relationships arethe common core ingredient of positiveearly social and emotional development.More specifically, the science of early

childhood development shows that:

The quality of relationships withparents are significant and primary.Owing to the deep emotionalattachments of young children, thesecurity (or insecurity) of theserelationships influence how children

see themselves and other people.

Parents guide the earliest forms of self-

understanding and self-concept thatmake children confident in exploringand learning by how they respondto the child's achievements andmisbehavior. Parents influence the

development of capacities for self-

management, emotion regulation

28

and cooperating with others throughinstruction, support and example.Parents shape the growth of social skillsthrough opportunities for the child tointeract with other people (includingpeers) and gentle coaching in social

competence. Parents provide learningopportunities through everydayexperiences that they sensitively exploit

to promote new understanding.Warm, nurturant, sensitive parentingis a cornerstone of healthy social andemotional development because of howparent-child relationships tutor a youngchild about the world they inhabit.

The quality of child care, and thecaregiver-child relationship, aresignificant influences on social andemotional development. Althoughstudied less extensively than experiences

at home, it is clear that experience in

child care has far-reaching consequences

for early development. As parents do at

home, child care providers also influence

the growth of self-concept, social skills

and capacities for emotion regulation,

and child care may be an especially

important context for learning how toget along with peers as well as adults.

The quality of the relationships between

caregivers and children are crucial to

the benefits of child care, just as they are

crucial to the impact of experiences at

home. Moreover, the broader quality of

the child care setting is also an important

influence on social and emotional

development because of how child care

quality indexes the opportunities

provided for new learning, support forconstructive peer play and manageable,

predictable routines and emotionaldemands on children.

21

22

Young children have a strong intrinsicdrive toward healthy development,but it can be undermined by troubledrelationships with the people whomatter to them. These risks havebeen noted in the preceding review,and include punitive, denigratingparenting; family environmentscharacterized by marital conflict,violence, and/or adult affectivedisorders; child care settings of poorquality or relational instability (thehigh turnover of caregivers in childcare often results in insecure attachmentrelationships with children, see Howes,1999); home or child care environmentswith overwhelming, unpredictableemotional demands for children;and the many stresses associated withpoverty. Unfortunately, for the youngchildren most at risk of social andemotional dysfunction, their lifeexperience is characterized by morethan one of these threats.

These conclusions reflect the findingsof research on early social and emotionaldevelopment. But when we turn toresearch that specifically examines thefoundations of school readiness, itsconclusions are very consistent:

First, the quality of the mother-childrelationship in early childhood isan important influence on how wellchildren will function in kindergarten(Estrada, Arsenio, Hess, & Holloway,

1987; Peisner-Feinberg et al., 2000;

Pianta, Nimetz, & Bennett, 1997). Whenyoung children enjoy warm, supportiverelationships with their mothers, theysubsequently exhibit greater academiccompetence in kindergarten and earlyprimary grades, and they are more

competent in the classroom that is,

they are more socially skilled, show fewer

problems with conduct or frustrationand have better work habits. In animportant longitudinal study, Estradaand colleagues (1987) found that ameasure of the emotional quality of the

mother-child relationship at age 4 wasassociated with the child's cognitive

competence at that age, and waspredictive of school readiness measuresat ages 5 and 6, IQ at age 6, and school

achievement at age 12. These findings are

consistent with a large body of research

showing how the parent-childrelationship influences intellectual

growth (Bradley, Caldwell, & Rock,

1993; Gottfried & Gottfried, 1984),and emphasizes the relevance of thisrelationship to school readiness. There

are many reasons why a positive mother-child relationship would enhancechildren's school readiness, based on

the research reviewed above. A positive,

secure relationship provides immediatesupport for the child's social and

cognitive competence, as well as inspiringself-confidence, capacities for self-

management and interest in learning.

Second, the quality of child careinfluences how well children willfunction in school (Lamb, 1998;NICHD Early Child Care ResearchNetwork, 2000; National Research

Council, 2001; Peisner-Feinberg et al.,

2000). In another longitudinal study,Peisner-Feinberg and colleagues (2000)found that the quality of child careclassroom practices predicted languageand math skills through second grade.Classroom practices also predicted thequality of children's peer relationships

THE VIEW FROM RESEARCHThe Roots of School Readiness in Social and Ernotionid development

and behavior problems several years

later. In this study,"classroom practices"included assessments of whetherprocedures were developmentallyappropriate for young children, the useof a child-centered teaching method,and the teacher's sensitivity andresponsiveness to the children. Thusthe overall classroom environmentinfluenced cognitive and socialcompetence in school up to secondgrade. These conclusions have been

confirmed by other studies of earlychildhood education (NationalResearch Council, 2001).

Moreover, the relationship betweenchild care providers and youngchildren also influences children'sschool functioning (Lamb, 1998;Peisner-Feinberg et al., 2000; Pianta etal., 1997). Just as at home, the warmthand sensitivity of the child care providerenhances children's social competence(and reduces proneness to behaviorproblems) in kindergarten and the earlyprimary grades. But research has shownthat the closeness of their relationshipalso predicts children's subsequentclassroom thinking, attention skillsand concept development. In short,cognitive and social competence isenhanced when children are in childcare settings with secure, positiverelationships with caregivers.

In the context of warm, securerelationships with their caregivers,children's intellectual growth is also

enhanced. In the conversations theyshare, the structure that adults provide,and the sensitivity to children'sdevelopmental readiness to learn, theserelationships provide an avenue for newlearning of all kinds, as well as children's

, 3

curiosity and motivation to learn. Thusit is perhaps unsurprising that in caresettings with caregivers who are bettereducated and trained, young childrenbecome more intellectually and sociallycompetent (Lamb, 1998; NationalResearch Council, 2001).

Third, the quality of child care may beespecially influential for children whoare otherwise at risk of academic orsocial problems in school (Caughey,DiPietro, & Strobino, 1994; National

Research Council, 2001; Peisner-Feinberg

et al., 2000). Children from socio-economically disadvantaged settings

benefit more significantly from high-

quality child care than do children frommiddle-income families. This may derive

from how a supportive relationship witha child care provider and developmentallyappropriate classroom practices can

buffer some of the stresses associated

with economically challenging livingconditions. The quality of care is

important. Poor quality care does notdifferentially benefit at-risk children

nor, for that matter, any children.

THE QUALITY OF children's peer relationshipsin kindergarten are also associated withschool adjustment

Fourth, the relationship between thechild and a teacher in kindergartenis an important contributor to schooladaptation (Birch & Ladd, 1997; Pianta& Steinberg, 1992). Consistent with theimportance of relationships throughoutearly childhood, children who enjoywarm, positive relationships with theirkindergarten teachers are more excitedabout learning, more positive about

23

24

coming to school, more self-confidentand achieve more in the classroom thando children who experience moretroubled or conflictual relationshipswith their teachers. Thus the importanceof relationships to socioemotional andcognitive functioning, established fromearly childhood, extends also to theearly primary school years. Moreover,other relationships are also important.For example, the quality of children'speer relationships in kindergarten arealso associated with school adjustment:children who experience greater peeracceptance and friendship tend to feelmore positively about coming to schooland perform better in the classroom(Ladd, Kochenderfer, & Coleman,1996, 1997).

FACILITATING SCHOOLREADINESS IN YOUNG CHILDREN

In the broadest sense, these researchconclusions have both positive andnegative implications for understandingthe conditions that influence schoolreadiness.

On one hand, they highlight thecircumstances that undermine a youngchild's social and emotional readiness

for new learning. School readiness is

hindered when children live in families

rent by domestic conflict or violence,

parental mental health or substance abuseproblems, or other conditions that makethe home environment stressful anddifficult for young children. School

readiness is undermined when youngchildren are in child care settings that are

stressful or unstimulating, with teacherswho are unknowledgeable or uninterested

in the importance of fostering growing

minds and personalities, or with staff

turnover so high that it is difficult for

children to develop reliable relationships

with their caregivers. School readiness is

hindered when young children and theirfamilies live in communities that aredrained of human resources, wherechildren may be exposed to neurotoxins(such as in lead-based paint) that hinder

brain development, and where parentscan find few health-care, recreationalor other resources for enhancing thepositive development of offspring. School

readiness is particularly undermined incircumstances where many of these riskfactors to healthy early psychologcial

development co-occur, such as in poverty.

More positively, this research also

highlights the opportunities that existto facilitate school readiness in youngchildren, including:

Strengthening family experiences,especially opportunities to developmore secure and nurturant parent-childrelationships. Young children thrive

when provided with unhurried, focusedtime with the adults who matter tothem, and when those adults can besensitively responsive to them. Thecore foundations of school readinessare created in these experiences.

Improving child care quality,especially by (a) strengthening the

training and responsiveness of child care

providers through their awareness of

their crucial role in early social and

emotional growth, (b) reducing the

turnover of child care providers through

increased professionalism and

compensation, (c) making classroom

practices more developmentally

THE VIEW FROM RESEARCHThe Roots of School Readiness in Social and Emotional Lie'velopment

appropriate and child-centered (although

not necessarily more curricular), and

(d) fostering a language-rich environment

that facilitates intellectual growth and

social interaction.

Focusing on the transition tokindergarten as an importantopportunity to instill and maintainenthusiasm for learning throughthe development of supportiverelationships with teachers, andpositive peer relationships.

Attending especially to the needs ofvulnerable children who come fromat-risk backgrounds, and are especiallylikely to encounter multiple threats toschool readiness in their families, childcare environments and communities.

These present significant avenues toenhancing early school readiness.

CONCLUSION

School readiness is not just an attributeof individual children, but derives froman interaction of the child with theschool. Beginning school presents somany challenges to young children,from learning directed by a teacherand the challenges of social comparisonto mastering a new peer group andclassroom expectations. Educators,developmental scientists and parentshave long recognized that some primaryclassrooms are more "school ready"than others. This is because some

classrooms and teachers are better ableto accommodate the developmentalneeds and individual characteristicsof children who arrive at school withwidely varying capabilities, expectationsand self-concepts.

32

There are several implications ofrecognizing that school readiness is notan individual attribute, but an interactiveconcept. First, it may be difficult to assessa particular child's "school readiness"

except when that child is immersed inthe challenges of the primary gradeclassroom. Prior assessments of school

readiness outside of the context of schoolmay be poorly predictive of how childrenwill fare when they reach the classroom

door because their coping will besignificantly affected by the school itself.

Second, kindergarten and primary gradeteachers should become more aware ofthe developmental needs that youngchildren retain from the preschool yearsand which underlie their initial successin school. By regarding early classroom

experience in developmental (ratherthan academic) frameworks, educatorscan foster the personal qualities thatcontribute best to young children's long-term academic success.

25

26

Third, and perhaps most importantly,understanding school readiness as aninteraction of the child with the schoolunderscores the importance ofrelationships to learning. Becauseyoung children's scholastic and social

lives are linked in the early primary grades,

it matters a great deal how children feel

about themselves and the teachers andpeers with whom they share the schoolday. Moreover, relationships that children

experience in the preschool years are alsoimportant, sometimes because of theircontinuing influence on children afterthey begin school, and sometimes becauseof the social and emotional resources theyhave provided in early childhood. In each

case, the curiosity, self-confidence,excitement about learning, capacities forcooperation and skills in self-management

instilled in early childhood provide youngchildren with some of their best resources

for school success.

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-3 629

Linda Espinosa, Ph.D.

Associate Professor

of Education

University of

Missouri-Columbia

311 D., Townsend Hall

Columbia, MO 65211

phone: 573-882-2659

espinosa @missouri.edu

30

THE VIEW

THE KAUFFMANEARLYEDUCATIONEXCHANGE

FROM RESEARCHTHE CONNECTIONS BETWEEN

SOCIAL-EMOTIONAL DEVELOPMENTAND EARLY LITERACY

LINDA M. ESPINOSA, PH.D.

CURRENTLY MUCH NATIONAL ATTENTION

is focused on the need to betterunderstand the prerequisites of earlyliteracy development to improve thereading achievement of our students,particularly our struggling readers.Most educators agree that reading ability"serves as the major avenue tolearning about other people, abouthistory and social studies, thelanguage arts, science, mathematics,and the other content subjects thatmust be mastered in school. Whenchildren do not learn to read, theirgeneral knowledge, their spelling andwriting abilities, and their vocabularydevelopment suffer in kind. Withinthis context, reading skill serves asthe major foundational skill for allschool-based learning, and without it,the chances for academic andoccupational success are limitedindeed" (Lyon, 1999).

At a recent White House Conference onEarly Reading, increased federal researchfunding focused on early literacy, andincreasing the funding level for early

literacy in the new federal Elementaryand Secondary Education Act from $300

million in 2001 to nearly $1 billion in2002. This underscored the heightenedawareness that functional literacy isessential for participation in theAmerican dream.

IT IS CRITICAL THAT CHILDREN who

experience difficulty learning to read orwho may be at risk for reading problemsreceive the support needed as soon aspossible.

As literacy is becoming more and more

necessary for basic survival, illiteracy rates

are on the rise in the United States (Chard,

Simmons & Kameenui, 1995; Snow,

Burns, & Griffin, 1998). An estimated one

in three children experiences significant

difficulty in reading. Reading problems

usually begin in the very early stages of

reading acquisition and once they begin,

they are rarely overcome ( Juel, 1988,1991;

Snow et al., 1998). These problems often

negatively impact children's achievement

in school and ability to fully participate

in literacy activities as adults (Daneman,

1991; Juel, 1991; Stanovich, 1991,

1993/1994). Therefore, it is critical that

37THE VIEW FROM RESEARCHThe Connections Between Social-Emotional Development and Early Literacy

children who experience difficulty

learning to read or who may be at risk

for reading problems receive the support

needed as soon as possible (Snow et al.,

1998). Early assistance is particularly

important for children who will eventually

be identified as having a learning disability.

Three major reports from the NationalAcademy of Sciences, National ResearchCouncil: Eager to Learn: Educating ourPreschoolers; From Neurons to

Neighborhoods; and Preventing ReadingDifficulties in Young Children havesynthesized and integrated the latestscientific knowledge about how youngchildren learn best. Taken together thesereports provide a compelling picture ofthe relationships between earlyexperiences and future learning andachievement. One common theme is theimportance of nurturing relationshipsand responsive social environments tocognitive and academic development.

"The socioemotional context of earlyliteracy experiences relates directly tochildren's motivation to learn to readlater on" (Snow, Burns, & Griffin, 1998,

p. 138).

"Children grow and thrive in thecontext of dependable relationshipsthat provide love and nurturance,security and responsive interaction,and encouragement for exploration"(Shonkoff & Phillips, 2000, p.7).

"Neither loving children nor teachingthem is, in and of itself, sufficient foroptimal development; thinking andfeeling work in tandem" (Bowman,Donovan, & Burns, 2001, p.2).

38

It is widely acknowledged that literacy

development is closely related to earlier

language development (Dickinson &Tabors, 2001). However, what is less

widely discussed in relation to literacy arethe early ties between social-emotionaldevelopment in infancy and thedevelopment of language and symbolicplay during the second year of life. Thereis strong evidence that social-emotionaldevelopment in the first year of life is the

foundation of language developmentand that social-emotional well-beingcontinues to affect both language andliteracy as the child matures.

THE SOCIOEMOTIONAL CONTEXT of early

literacy experiences relates directly tochildren's motivation to learn to read later on.

The purpose of this paper is to discussthe connection between early literacyand social-emotional development. Firstwe will discuss early social-emotionaldevelopment and its relationship tolanguage development. Next we discussthe relationship between language andliteracy. Third, the connections betweenplay, language and literacy are presented.

We then discuss the early care andeducation contexts that foster earlylanguage and literacy and concludewith implications for practice.

31

32

SOCIAL-EMOTIONALDEVELOPMENT

The development of early language andeventually literacy occurs in the contextof close relationships with others. Theseearliest relationships with parentsand other primary caregivers providethe foundation for developing thecharacteristics of trust, autonomy andinitiative. Erik Erikson first identifiedthese psycho-social stages of thepreschool years and illustrated howessential healthy ego and emotionalsecurity are to all forms of learning.Children who have secure and trustingrelationships with their primary caregivers

display more exploratory behavior, havemore positive relationships with theirpeers and adjust successfully to theformal demands of schooling (Howes& Smith, 1995; Birch & Ladd, 1997).

The National Education Goals Panelconcluded,"A solid base of emotionalsecurity and social competence enableschildren to participate fully in learningexperiences and form good relationshipswith teachers and peers" (1999). Theroots of positive psycho-socialdevelopment are developed and canbe identified in the first year of life as

infants interact with their caregivers.

A SOLID BASE OF EMOTIONAL security and

social competence enables children toparticipate fully in learning experiencesand form good relationships with teachersand peers.

Most infants are born with the innateability and drive to interact andrespond socially with parents andcaregivers. Studies have demonstratedthat experience drives a substantialamount of brain development duringthe first years of life. These earlyinteractions shape the brain in waysthat make social development a priority(Mundy & Stella, 2000). Toward theend of the first year of life this socialrelatedness is demonstrated throughchild-initiated joint attention. Jointattention is one of the early pragmaticfunctions and thought to be an importantpredictor of language development(Wetherby, Prizant, & Schuler, 2000).Joint attention is used to direct another'sattention for the purpose of sharingan experience. When engaging in jointattention, the infant wants the adultto notice what she is noticing andacknowledge the experience. (Forexample, Jessie hears a loud noiseoutside the window, she looks at herfather to see if he heard it, then looksin the direction of the noise. Shecontinues to coordinate her gazebetween the sound and her father,maybe adding vocalizations or gestures,until he responds.)

Joint attention in the prelinguisticperiod of development has been foundto predict later language for childrenwith Down syndrome (Mundy, Kasari,Sigman & Ruskin, 1995), children withdevelopmental delay (McCathren, Yoder,& Warren, 1999) and children withautism (Mundy, Sigman, & Kasari,

1990). Children's abilities to initiate jointattention is thought to be a demonstration

39

THE VIEW FROM RESEARCHThe Connections Between Social-Emotional Development and Early Literacy

of early positive social-emotional

development (Mundy & Willoughby,1998) and may demonstrate the child'sability to orient to the social worldaround them (Dawson, Meltzoff,Oster ling, Rinaldi, & Brown, 1998).

CHILDREN'S ABILITIES TO INITIATE joint

attention is thought to be a demonstrationof early positive social/emotionaldevelopment and may demonstrate thechild's ability to orient to the social worldaround them.

There are a number of reasons whyamount of joint attention may berelated to later expressive vocabulary.High rates of joint attention maydemonstrate early social competence(Mundy & Willoughby, 1998). Theseyoung children may know how toinvolve others in their communicationand have the capacity and willingnessto initiate and participate in socialrelationships. Mundy and Willoughbyview joint attention as demonstratingthe child's ability to initiate positivefeelings with another about somethingof interest in the environment. Thus,the use of joint attention may representa child's desire to communicate andas such may set the social-emotionalfoundation for communicatingwith language.

40

The social-pragmatic theory oflanguage acquisition proposes thatlanguage develops as infants try tomake meaning of the social world inwhich they live (Carpenter & Tomasello,2000). According to Nelson (1985),children learn to talk in order to makemeaning of their experiences withothers. In addition, early languagedevelops and becomes more sophisticatedas infants and young children attemptto communicate their understandingsof the world (Bloom, 1993).

THUS, THE USE OF JOINT ATTENTION may

represent a child's desire to communicateand as such may set the social-emotionalfoundation for communicatingwith language.

33

34

The importance of the ability to initiatejoint attention as a key component ofsocial relatedness is highlighted whenlooking at children with autism. One ofthe defining characteristics of childrenwith autism is the lack of joint attention(Mundy & Stella, 2000; Wetherby,Prizant, & Schuler, 2000). This lack ofjoint attention is thought to be a coredeficit with wide-ranging implicationsfor the ability to relate socially and tointerpret the social behavior of othersthroughout the life span. Often peoplewith autism never learn to speak.However, even when language is present,it is often idiosyncratic and is not usedto share experience (Wetherby et al.,2000). For children with autism whobecome verbal and even literate, therecontinues to be great difficulty readingsocial cues and emotions, understandingnon-literal language and interpretingthe intentions and actions of another.Thus, early social-emotional developmentaffects both the desire and the abilityto communicate, use language andeventually develop literacy skills.

Additional research also concluded thatsensitive, responsive care is critical to

the development of social-emotionalcompetence (Thompson, this volume).Taken together, these two lines ofresearch strongly suggest that early careproviders need to be skilled in theirability to recognize infants' attemptsto initiate joint attention and respondappropriately. In other words, babies andyoung children need adults who care forthem to be "in tune" with their moods,desires and need to communicate.

LANGUAGE-LITERACYCONNECTIONS

Because reading is a language-basedskill (Kamhi & Catts, 1999), childrenexperiencing difficulties in readingoften also experience difficulty in threeareas of language development:receptive and expressive vocabulary,narrative skills and phonologicalprocessing. The development of a largevocabulary is thought to contributeto learning to read because it helpschildren attach meaning to the printedwords (Adams, 1990). Research hasshown that children's reading ability inthe primary grades has been positivelycorrelated with early vocabularydevelopment (Eisenson, 1990; Hart &Risley, 1995; Walker, Greenwood, Hart,

& Carta, 1994). However, manychildren, particularly children livingin poverty, arrive at school with poorlydeveloped vocabularies (Hart & Risley,1995; Rush, 1999), making it moredifficult to learn to read.

THE DEVELOPMENT OF A LARGE vocabulary

is thought to contribute to learning to readbecause it helps children attach meaning tothe printed words. Research has shown thatchildren's reading ability in the primarygrades has been positively correlated withearly vocabulary development.

THE VIEW FROM RESEARCHThe Connections Between Social-Emotional Development and Early Literacy

In addition to strong receptive andexpressive vocabularies, the developmentof narrative skills positively contributes

to learning to read (Snow et al., 1998).Families expose their children tonarratives in a variety of ways. Manylow-income families have a rich historyof storytelling and use elaboratenarratives as part of their daily lives(Heath, 1983; Vernon-Feagans,

Hammer, Miccio, & Manlove, 2001).Children's understanding of narrativesalso is developed during mealtimes

when family members talk about theday's events (Snow & Tabors, 1993).

These day-to-day encounters withnarratives help children understand thestructure of stories making them easierto understand. However, the developmentof good narrative skills can be difficultfor children with delays or disabilities in

language development.

IN ADDITION TO STRONG RECEPTIVE and

expressive vocabularies, the development ofnarrative skills positively contributes tolearning to read.

A third area of oral language thatstrongly impacts reading is phonological

processing. Phonological processing isthe use of the sound system of languageto process written and oral information(Jorm & Share, 1983; Rush, 1999;

Wagner & Torgesen, 1987). Phonological

processing skills are highly correlatedwith later reading ability and are thoughtto contribute to most reading difficulties(Torgesen, Wagner, & Rashotte, 1994).

42

One phonological processing skill,phonemic awareness, is demonstratedin young children by rhyming andidentifying initial sounds in spokenwords. Through research, educators havelearned that phonemic awareness is astrong predictor of future reading ability,it can be taught, and that learning suchskills positively impacts children's futurereading ability (Gelzheiser & Clark,

1991; Shankweiler, Crain, Brady, &

Macaruso, 1992; Torgesen et al. 1994).

IT ALSO IS EVIDENT THAT EARLY language

development grows out of a close, emotionallysupportive relationship in which childrenwant to convey their thoughts, ideas,observations and feelings to important others.

It is clear that children do begin "literacylearning with language and thatenhancing their language developmentby providing them with rich andengaging language environments duringthe first five years of life is the best way to

ensure their success as readers" (Tabors,Snow, & Dickinson, 2001, p. 334 ).It also is evident that early languagedevelopment grows out of a close,emotionally supportive relationshipin which children want to convey theirthoughts, ideas, observations andfeelings to important others.

35

36

PLAY, LANGUAGE AND LITERACY

One way to increase the development oforal language is through using play as the

context for language learning. Althoughmost preschoolers engage in elaboratepretend play, this skill has its beginnings

much earlier in development. By the

end of the first year of life mentalrepresentation is demonstrated throughsymbolic play (McCune, 1995). Insymbolic play, an object or person standsfor another object or person (e.g., doll

for a baby, child for the daddy). From acognitive perspective there are three types

of play that develop in young children

(Piaget, 1962). The first, exploratory play,

is the banging, shaking, mouthing, orsimple manipulation of objects. The next

type, combinatorial play, is demonstratedby the infant relating objects to each other

(e.g., building a tower, putting a person in

a car, or pounding pegs with a hammer).The final, most sophisticated type of play

is symbolic or representational play.

ONE WAY TO INCREASE the development of

oral language is through using play as thecontext for language learning.

There is an established empirical base(Casby & Ruder, 1983; McCune, 1995;

Mundy, Sigman, Kasari, & Yirmiya,

1988) for linking symbolic play skillswith language development. Both rateand level of symbolic play have been

found to be significantly correlated withlanguage development for children withDown syndrome and for typicallydeveloping children (Casby and Ruder,1983). For typically developing children,

43

a relationship between play and theonset of first words has been established.McCune (1995) found significantconcurrent correlations between theonset of pretend play and first words.

The development of play skills also is

important because play with objects is

often the context for early prelinguistic

and verbal communication. Object play

is a common context for communicationinterventions with young children (Yoder,

Warren, & Hull, 1995). Children who donot demonstrate an interest or skill in playwith objects may be harder to engage in

the types of interactions that are facilitative

of communication development. Playsettings that provide choice, control andappropriate levels of challenge appear

to facilitate the development of self-

regulated, intentional learning (Badrova& Leong, 1998).

It is no surprise that play also has a role in

children's development of motivations towant to learn to read, especially when one

considers how play encourages young

children to reflect on situations throughdramatizations of their own invention(Galda, 1984; Smilansky, 1968; Wolf and

Heather, 1992). Adults intervene in

children's play by providing field trips as

a source of knowledge, as well as relevant

props (e.g., grocery store or library props)

to stimulate fantasy, and by becoming

involved in the play themselves (e.g.,

suggesting new activities, vocabulary and

rules) (Neuman, and Roskos 1992).

THE DEVELOPMENT OF PLAY skills also is

important because play with objects is oftenthe context for early prelinguistic and verbalcommunication.

THE VIEW FROM RESEARCHThe Connections Between Social-Emotional Development and Early Literacy

If play sessions are going to provide amedium for incorporation of aspectsof literacy, those sessions need to be atleast 20 to 30 minutes in order to allowchildren enough time to create theelaborate scripts that lead to theintentional use of literacy in dramaticplay (Christie, Johnsen & Peckover,1988). Consider an example of youngchildren establishing and enacting"doctor's office" play. First they need

ample time to establish everyone's roles.

Perhaps they had recently read a bookabout Sam who has an earachesomeone needs to be Sam, anotherperson his Dad who takes him to thedoctor, another child the doctor, etc.During this planning time and thedramatic play sequence, the childrendecide what items are needed for the playand establish objects to represent thoseitems, for example a paper tube from a

paper towel roll might be used to lookthrough to see Sam's earache. A blockand a stick might be used as a pretendnote pad and pen, etc. Then the all-important playing out of the story withall its detail. All this takes time and, ifneeded, helpful guidance and supportfrom a teacher.

Children need book readings and relatedexperiences to develop their backgroundknowledge for the play setting. To support

children's writing during play, they needready access to appropriate materials,such as paper, markers, pencils andstamp pads (Morrow & Rand, 1991;Neuman & Roskos, 1992; Schrader, 1985;

Vukelich, 1994). Even so, the teacher's

participation and guidance are pivotalin helping children incorporate literacymaterials into their play (Badrova and

44

Leong, 1998). For example, one study

compared children who played in aprint-rich center with or withoutliteracy-related guidance from theirteacher (Vukelich, 1994). When latertested on their recognition of printthat had been displayed in the playenvironment, those who had receivedteacher guidance were better able torecognize the words, and could do soeven when the words were presented in

a list without the graphics and contextof the play setting.

CHILDREN NEED BOOK READINGS and

related experiences to develop theirbackground knowledge for the play setting.The teacher's participation and guidanceare pivotal in helping children incorporateliteracy materials into their play.

Play sessions also provide a rich contextfor the development of narratives, whichwas discussed earlier. Additionally,

effective "play" enhances self-regulatory

behavior of young children (Badrova& Leong, 1998). Poor self-regulatorybehavior (e.g., activity level, attention,

adaptability) is identified as a barrier tochildren's receptiveness to instruction inthe early grades. Torgesen's work cited in

The National Reading Panel (NICHD,2000) report provides an example ofsuch a barrier to phonics instruction.He found that kindergarten childrenwith poor self-regulatory behavior weremost resistant to instruction.

37

38

SUPPORTIVE EARLY LITERACYCONTEXTS

Children's exposure to and interest in

literacy experiences are influenced by the

adults who care for them. Caregivers'

literacy attitudes, beliefs and ability levels

affect the literacy opportunities theyprovide for children in their care and therichness of their literacy interactions with

children (DeBaryshe, 1995; Baker,

Serpell, & Sonnenschein, 1995; Spiegel,

1994). The feelings children develop

during early literacy experiences, such as

shared book reading, directly influencetheir motivation to learn to readindependently. Enthusiasm about literacyactivities is suggested by many researchers

as a route to development of the child's

active engagement in literacy tasks (Snow

& Tabors, 1996; Baker et al., 1995).

THE FEELINGS CHILDREN DEVELOP during

early literacy experiences, such as sharedbook reading, directly influence theirmotivation to learn to read independently.

Activities such as family storybookreading promote positive feelings aboutbooks and literacy (Taylor & Strickland,1986). The relationship between parents'behavior and their children's perceivedinterest in literacy works in a reciprocalmanner. Parents who believe theirchildren are interested in reading aremore likely to provide abundant print-related experiences than parents whodo not perceive such interest. Parents'interpretations of children's interest inprint, however, are partly a function oftheir expectations of young children's

capabilities in general. For example, oneparent may judge a child to be interestedonly if the child asks to have a story read;

another parent may judge a child to beinterested if he or she expresses pleasurewhen the parent offers to read a story.In the United States, young children areread to fairly often by their parents.

Some 40 to 50% of all families reportreading to their kindergartners on a dailybasis, and this is the case across all ethnicand socioeconomic groups (EarlyChildhood Longitudinal Study, 1999).

ACTIVITIES SUCH AS FAMILY storybook

reading promote positive feelings about booksand literacy

Children who learn from their parentsthat literacy is a source of enjoymentmay be more motivated to persist intheir efforts to learn to read despitedifficulties they may encounter duringthe early school years. Parents of pre-

reading children tend either to emphasizeliteracy as an activity engaged in forpurposes of entertainment or as a set ofskills to be acquired. Children of those

45THE VIEW FROM RESEARCHThe Connections Between Social-Emotional Dever6prtient and Early Literacy

parents who emphasized early literacyas a source of enjoyment tend to have agreater orientation toward print alongwith greater competence in aspects ofnarrative and phonological awarenessthan do children of parents whoapproach early literacy as a set of skills

(Sonnenschein, Baker, Serpell, Scher,& Fernandez-Fein, 1996). Such anenjoyment orientation is more typical ofmiddle-income parents, whereas lower-income parents are more likely to view

literacy as a set of skills to be acquired(Lancy & Bergin, 1992). Baker et al.

(1995) note that "Parents' descriptions oftheir children's early efforts to engage inliteracy activities often reflectedamusement but also suggest awareness ofthe value of such behaviors" (p.265).

CHILDREN WHO LEARN FROM their parents

that literacy is a source of enjoyment maybe more motivated to persist in theirefforts to learn to read despite difficultiesthey may encounter during the early schoolyears.

In addition to the family, child careprograms also provide early literacyexperiences that can support youngchildren's interest in learning to read.Literacy activities often are not at theforefront of planned activities in childcare settings. Neuman (1996) studiedthe literacy environment in U.S. childcare programs. Traditional 'caretaking'goals, such as keeping children safe, fedand clean, was often the main focus. Yetmany of the children being served werein special need of early languagestimulation and literacy learning.

Neuman introduced an intervention thatprovided caregivers with access to booksand training on techniques for (a) bookselection for children of different ages,(b) reading aloud, and (c) extendingthe impact of books. Assessments of thistraining indicated that literacy interactionincreased in the intervention classrooms;literacy interactions averaged five perhour before the intervention and increased

to 10 per hour after the intervention.

Before the training, classrooms had few

book centers for children; after theintervention, 93 percent of the classroomshad such centers. Children with caregiverswho received the training performed

significantly better on concepts of print(Clay, 1979), narrative competence

(Purcell-Gates and Dahl, 1991), conceptsof writing (Purcell-Gates, 1996), and

letter names (Clay, 1979) than did children

in the comparison group. At follow-up inkindergarten, the children were examinedon concepts of print, receptive vocabulary(Dunn and Dunn, 1985), concepts ofwriting, letter names and two phonemicawareness measures based on children's

rhyming and alliteration capacity

(Maclean, Bryant & Bradley, 1987).

Of these measures, children in theintervention group performed significantly

better on letter names, phonemic awareness

and concepts of writing.

46

IN ADDITION TO THE FAMILY, child care

programs also provide early literacyexperiences that can support young children'sinterest in learning to read.

39

40

In summary, we know that in order foryoung children to become fluent readers,they need opportunities to develop orallanguage skills and phonologicalawareness, the motivation to learnto read, as well as the specific skillsassociated with decoding andcomprehending print (Burns, Griffin,& Snow, 1999). Important elementsof their learning environments includepositive, supportive, reciprocalrelationships in addition to specificliteracy-related activities and materials.

VULNERABLE CHILDREN ANDEARLY LITERACY

Young children living in distressedurban communities are at great riskfor school failure, antisocial behaviorand disrupted development (Gorman-Smith, Tolan, & Henry, 1999). Manyrecent reports have documented theincreasing number of children growingup in seriously compromisedcircumstances that are associated withlow achievement, inattentiveness,psychiatric symptoms and behaviorproblems, grade retention and depressedcognitive development (Duncan &Brooks-Gunn, 1997; Erikson & Pianta,1989; Young, 1994). There is a body ofevidence suggesting that the quality andnature of the teacher-child relationshipsignificantly influences the child'sadjustment to kindergarten and eventualacademic performance (Birch & Ladd,1997; Bretherton, 1985; Pianta, 1994;Pianta & Steinberg, 1992).

THERE IS A BODY OF EVIDENCE suggestingthat the quality and nature of the teacher-child relationship significantly influencesthe child's adjustment to kindergarten andeventual academic performance

Birch and Ladd (1997) studied theassociation between three dimensionsof the teacher-child relationship(closeness, dependency and conflict)and kindergarten children's adjustmentto school. They report"...the perceptionsthat teachers have of the quality of theirrelationships with their students areassociated with children's performanceon academic tasks, children's feelings of

loneliness and school avoidance desiresand teachers' reports of various schooladjustment outcome indices" (pp.77-78). A close, non-dependent, non-conflictual relationship as perceivedby the teacher was related to children'sacademic performance as well as theirattitudes toward school and engagementwith school.

47

THESE CHILDREN ARE perceived as havingchronic behavior problems with low academicpotential, which sets up a self-fulfillingprophesy of reduced opportunities to learnand depressed achievement.

THE VIEW FROM RESEARCHThe Connections Between Social-Emotional Development and Early Literacy

A recent study in one Midwestern urbanschool district found that young childrenin urban low-income communities whodisplay challenging classroom behaviorsthat do not conform to teacherexpectations are at great risk for beingunderestimated in their academic potential

and never establishing a warm, positiverelationship with teachers (Espinosa &Laffey, submitted). These children are

perceived as having chronic behaviorproblems with low academic potential,which sets up a self-fulfilling prophesy

of reduced opportunities to learn anddepressed achievement. With frequentnegative and restrictive feedback from the

teacher and other adults in the school

setting, they are also at-risk for developing

a negative self-image as a learner. Howes

and Smith (1995) found similar results ina study of children in child care. Thosechildren who were perceived by the teacher

to be difficult received more controlling,restrictive commands from the caregiverand were allowed fewer opportunities toinitiate their own activities and exploittheir learning environment.

IMPLICATIONS FOR PRACTICE

It has been repeatedly shown that high-quality preschool programs can positively

influence the intellectual, academic andsocial development of poor children bothimmediately and long-term (Barnett,2000). Virtually all experts in early

education and related fields agree that

intensive, high-quality interventions foryoung children in poverty can have

substantial impacts on their future schooland life success. This line of research has

also demonstrated that, in order to beeffective, early childhood programs must

provide the elements of high quality.Unfortunately, this is not the case for the

majority of American preschoolprograms. A recent national studyrevealed that only 25% of observed child

care settings met the criteria ofdevelopmentally appropriate care (Cost,

Quality and Outcomes Study, 1999).

IT HAS BEEN REPEATEDLY shown that high-

quality preschool programs can positivelyinfluence the intellectual, academic andsocial development of poor children bothimmediately and long-term.

When designing early care andeducational programs for childrenfrom economically disadvantagedbackgrounds, (or any young childconsidered vulnerable, i.e., childrenwho are English language learners,children with disabilities or childrenwho lack emotional security andsocial competence)it is critical thatthe following elements be considered.

Positive, supporting relationshipsare critical. It has been repeatedlydemonstrated that young, vulnerablechildren can thrive academically andsocially when they have the supportof a caring adult. It is imperative that

all early care and education providersunderstand the critical importanceof social and emotional developmentto all academic achievement.

4 41

42

IT IS IMPERATIVE THAT all early care andeducation providers understand the criticalimportance of social and emotionaldevelopment to all academic achievement.

Strong emphasis on oral languagedevelopment. Teachers need tointeract and converse with childrenboth in small groups and individuallythroughout the day. They need tomodel standard English and provideopportunities for children to expresssymbolic concepts through speech.Extended vocabularies, sense of story,background knowledge and phonemicawareness are all fostered through

opportunities to play with peers, playwith language and play with materials.

A curriculum that includes school-related skills and knowledge. Youngchildren need the opportunity tolearn the alphabetic code, phonemicawareness, story narrative, an expandedvocabulary, number sense and otherbasic academic content.

Small class sizes. Each child needsto have frequent individual interactionswith peers and caring adults andlearning experiences that are tailoredto his/her unique talents, interestsand abilities.

Teachers who engage in collaborativeplanning, assessment and reflection.In the best programs, teachers andother staff meet frequently to discussthe program and the development ofindividual children.

4

All teachers are well qualified. Tothe extent possible, early childhoodteachers should have a college degreewith specialized preparation in earlychildhood education or a related field.

Establish a collaborative andrespectful relationship with parentsand/or other family members. Whenparents and teachers work togetherthe young vulnerable child has agreater chance to be developmentallysupported in the home and accuratelyunderstood in the classroom.

THE VIEW FROM RESEARCHThe Connections Between Social-Emotional Development and Early Literacy

REFERENCES

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Bloom, L. (1993). Developments in cognition. Thetransition from infancy to language: Acquiring the powerof expression. New York: Cambridge Press.

Chard, D.J., Simmons, D.C., & Kameenui, E.J. (1995).

Understanding the role of word recognition in the reading

process: Synthesis of research on beginning reading.

(National Center to Improve the Tools of Educators

Rep. No. 15) University of Oregon.

Carpenter, M., & Tomasello, M. (2000). Joint attention,

cultural learning, and language acquisition. In S. F.

Warren & J. Reichle (Series Eds.) & A. M. Wetherby & B.

M. Prizant (Eds.) Communication and languageintervention series: Vol. 9. Autism spectrum disorders: A

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Baltimore: Brookes.

Casby, M. W. & McCormack, S. M. (1985). Symbolicplay and early language development in hearing-

impaired children. Journal of Communication Disorders,18, 67-78.

Casby, M. W & Ruder, K. F. (1983). Symbolic play and

early language development in normal and mentally

retarded children. Journal of Speech and Hearing

Research, 26, 404-411.

Daneman, M. (1991). Individual differences in readingskills. In R. Barr, M.L. Kamil, P.13. Mosenthal, & P.D.

Person (Eds.), Handbook of reading research (Vol. 2, pp.

512-538). New York: Longman.

Dawson, G., Meltzoff, A., Osterli lig, J., Rinaldi, J., &

Brown,E. (1998). Children with autism fail to orient to

natually occurring social stimuli. Journal of Autism and

Developmental Disorders, 28, 479-485.

Gelzheiser, L.M. & Clark, D.I3. (1991). Early reading and

instruction. In B.Y.L. Wong (Ed.), Learning aboutlearning disabilities (pp. 262-283). San Diego, CA:

Academic Press.

Hart, B., & Risley, T. R. (1995). Meaningful differences

in the everyday experience of young American children.

Baltimore: Brookes.

Heath, S. (1983). Ways with words. Cambridge:

Cambridge University Press.

Jorm, A., & Share, D. (1983). Phonological recoding and

reading acquisition. Applied Psycholinguistics, 4, 103-147.

Juel, C. (1988). Learning to read and write: a

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fourth grades. Journal of Educational Psychology 80,

437-447.

Joel, C. (1991). Beginning reading. In R. Barr, M.

Kam ill, P. Mosenthal, and D. Pearson (eds.), Handbookof reading research (pp. 759-788). White Plains, NY:

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Kamhi, A. G., & Catts, H. W (1999). Language andreading: Convergence and divergence. In H. W. Catts &

A. G. Kamhi (Eds.), Language and reading disabilities

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McCathren, R. B., Yoder, P. J., & Warren, S. F. (1999).

Prelinguistic pragmatic functions as predictors of later

expressive vocabulary. Journal of Early Intervention, 22

(3), 205-216.

McCune, L. (1995). A normative study of

representational play at the transition to language.

Developmental Psychology 31(2), 198-206.

Mundy, R, & Stella, J. (2000). Joint attention, social

orientating, and nonverbal communication in autism. InS. F. Warren & J. Reichle (Series Eds.) & A. M. Wetherby

& B. M. Prizant (Eds.) Communication and languageintervention series: Vol. 9. Autism spectrum disorders: Atransactional developmental approach. (pp. 55 - 77).

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Mundy, P., Kasari, C., Sigman, M., & Ruskin, E. (1995).

Nonverbal communication and early language

acquisition in children with Down syndrome and innormally developing children. Journal of Speech and

Hearing Research, 38, 157-167.

Mundy, R, Sigman, NI., & Kasari, C. (1990). A

longitudinal study of joint attention and languagedevelopment in autistic children.Journal of Autism andDevelopmental Disorders, 20(1), 115-128.

Mundy, P., Sigman, itl., Kasari, C., & Yirmiya, N. (1988).

Nonverbal communication skills in Down syndrome

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Mundy, R, & Willoughby, J. (1998). Nonverbalcommunication, joint attention and early social-emotional development. In S. F. Warren & J. Reichle

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(Eds.) Transitions in prelinguistic communication, (pp.

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Piaget, J. (1962). Play, dreams, and imitation in

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Rush, K. L. (1999). Caregiver-child interactions andearly literacy development of preschool children from

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REFERENCES (CONTINUED...)

Shankweiler, D., Crain, S., Brady, S., & Macaruso, P.

(1992). Identifying the causes of reading disability) In

P.13. Gough, L.C. Ehri, & R. 'Freiman (Eds.), ReadingAcquisition (pp. 275-305). Hillsdale, NJ: Erlbaum.

Snow, C. E., Burns, M. S., & Griffin, P. (1998). Preventingreading difficulties in young children. Washington, D.C.:National Academy Press.

Snow, C. E., & Tabors, P. O. (1993). Language skills that

relate to literacy development. In B. Spodek and 0. N.

Sarracho (Eds.) Language and literacy in EarlyChildhood Education (pp. 1-20). New York: Teachers

College Press.

Stanovich, K.E. (1991). Word recognition: Changing

perspectives. In R. Barr, M. L. Kamil, P. Mosenthal,

and D. Pearson (Eds.), Handbook of Reading Research(pp. 418-452). White Plains, NY: Longman.

Stanovich, K.E. (1993/1994). Romance and reality.The Reading leacher, 47, 280-290.

Sulzby, E., & Teale, W (1991). Emergent literacy In

R. Barr, M. L. Kamil, P. B. Mosenthal, & P. D. Pearson

(Eds.). Handbook of Reading Research: Volume II (pp.

727-757). New York: Longman.

Torgesen, J.K., Wagner, R.K., & Rashotte, C.A. (1994).

Longitudinal studies of phonological processing andreading. Journal of Learning Disabilities, 27, 276-286.

Vernon-Feagans, L., Hammer, C. S., Miccio, A., &

Manlove, E. (2001). Early language and literacy skills in

low-income African American and Hispanic children.In S. B. Neuman & D. K. Dickinson (Eds.) Handbookof early literacy research (pp. 192-210). New York:Guilford Press.

Wagner, R.K., & Torgesen, J.K. (1987). The nature

of phonological processing and its causal role in the

acquisition of reading skills. Psychological Bulletin, 101,

192-212.

\Valker, D., Greenwood, C., Hart, B., & Carta, J. (1994).

Prediction of school outcomes based on language

production and socioeconomic factors. ChildDevelopment, 65, 606-621.

Wetherby, A. M., Prizant, B. NC, & Schuler, A. L. (2000).

Understanding the nature of communication and

language impairments. In S. F. Warren & J. Reichle

(Series Eds.) & A. M. Wetherby & B. M. Prizant (Eds.)Communication and language intervention series:Vol. 9. Autism spectrum disorders: A transactionaldevelopmental approach (pp. 109 141). Baltimore:

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Yoder, P. J., Warren, S. F., & Hull, L. (1995). Predicting

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51THE VIEW FROM RESEARCHThe Connections Between Social-Emotional DevO,oitvent and Early Literacy

THE KAUFFMANEARLYEDUCATIONEXCHANGE

Oscar A. Barbarin, Ph.D.

L. Richardson and Emily

Preyer Bicentennial

Distinguished Professor for

Strengthening Families

School of Social Work and

Frank Porter Graham Child

Development Center

University of North Carolina

Chapel Hill, NC 27599-3550

phone: 919-962:6405

barbarin@unc.edu

T H E V IEW F R 0 M R ESE AR CHCULTURE AND ETHNICITY IN SOCIAL,

EMOTIONAL AND ACADEMIC DEVELOPMENTOSCAR A. BARBARIN, PH.D.

Academic competence and socio-emotional adjustment are built upon acommon foundation of early psychosocial

development. Likewise, both are moldedby the cultural and ethnic contexts fromwhich they originate. This is nowheremore evident than among children ofcolor in the United States who occupysocial niches, defined by socioeconomicstatus (SES), gender and ethnicity, whichply them with a risk-inducing formulaof above-average environmental strainsand below-average material resources.For many children, this formula resultsin a compromising of social development

and academic achievement. Earlyintervention, access to high-qualitypre-kindergarten programs, improvedteacher preparation and sustained effortsto build collaborative relations betweenfamilies and schools can help correct theimbalance of strains and resources togive children of color a fighting chanceto develop to their full potential.

Academic performance and socialadjustment are founded upon evolvingcompetencies in the self-regulationof attention, behavior, language andemotions (ABLE). The evolution ofthese competencies, however, are directedand shaped by experiences that arestrongly related to cultural imperatives,

ethnicity and socioeconomic status. Notsurprisingly, palpable differences have

been observed in academic and socio-

emotional outcomes that are clearly linked

to income disparities and, at the sametime, fall along the fault lines of ethnicity.

To understand these patterns more fully,we must invoke multi-level explanations

that cut across individual differences,

family functioning, school organizationand quality of community life.

This paper describes the status of children

of color with respect to academic andsocial functioning and summarizes whatis known about processes that constrainand facilitate that development. It arguesthat children of color occupy specific

cultural niches in American society thatexpose them to a host of social, familialand community strains while providinglimited resources to help them respond.These strains challenge their abilityto cope and to develop normally,

compromising for some academicand socioemotional functioning.This inauspicious combination can bedeleterious for social development andschool success of many, though not all,of these children. The purpose of thispaper is to advance the argument thatearly and sustained intervention related

52 45

46

to child, family and school can helpcorrect the imbalance of strains andresources to improve the prospects ofchildren of color whose academic andsocio-emotional functioning mightotherwise be compromised.

EARLY AND SUSTAINED intervention related tochild, family and school can help correct theimbalance of strains and resources to improvethe prospects of children of color whoseacademic and socioemotional functioningmight otherwise be compromised.

MENTAL HEALTH ANDACADEMIC ACHIEVEMENTOF AMERICAN CHILDREN

For two decades now, cross-nationalassessments of math, science and reading

skills suggest that American K-12

students lag behind many of theircounterparts from both industrializedand developing nations (see National

Assessment of Educational Progress,[NAEPI, 1991; Stevenson and Stigler,1992). Despite great efforts to address the

problems of national underachievement,a disturbing lack of progress toward

improving the academic proficienciesof American students still persists.Recognition of these problems has been

followed by unusual expressions ofresolve to reform schools and improveeducational outcomes for all children.

With surprising unanimity, the emergingnational discourse on educationalimprovement seems to be converging

around several key elements:

setting high academic standards,

conducting annual assessments ofstudent performance and

requiring accountability ofadministrators, teachers and studentsfor the results.

To date, the fruits of much of thereforms undertaken during that periodhave been disappointing. Even withmajor curricular reforms, which focussingularly on improvements in literacy,the average reading scores failed toimprove for most American fourthgraders between 1992 and 2000.

Clearly, the challenge of developing theacademic talents of American childrenis a difficult task. Perhaps it is made more

so by the failure to recognize that highachievement is the product of interwovencognitive and emotional process. Missingfrom the dialogue about how to addressthe malaise in American education is anappreciation of the fundamental tiesamong learning, motivation and socio-emotional functioning.

53

MISSING FROM THE DIALOGUE about how to

address the malaise in American educationis an appreciation of the fundamental tiesamong learning, motivation and socio-emotional functioning.

THE VIEW FROM RESEARCHCulture and Ethnicity in Social, Emotional and Academic Development

Mental health prevalent data suggest that

problems of socioemotional functioningare common among school-age children.For example, estimates of behavioral,

emotional and developmental problemsamong school-aged American childrenrange from 14 to 22% and diagnosable

mental disorders from 8 to 10% (Mash &Barkley, 1996). Similarly the Great Smoky

Mountain Study of Youth (Costello,Angold, Burns, Stangl, Tweed, Erkanli,

& Worthman, 1996; Costello, Angold,Burns, Erkanli, Stangl, & Tweed, 1996)

found that 20.3% of the children metthe criteria for a DSM III-R diagnosisof serious emotional disturbance in ruraland poor children ages nine and older.The most common disorders includeanxiety or phobias, hyperactivity andconduct disorders (Costello, 1989).In addition, as much as one third ofAmerican children evidence sub-clinicalpsychological symptoms, which have adetrimental impact on quality of life andcompromise functioning in domainssuch as school, family life and peerrelations (McDermott & Weiss, 1995).Though often ignored in the call forschool reform, the high prevalence ofbehavioral and emotional difficultiesmakes it impossible to avoid inthe classroom.

AS MUCH AS ONE THIRD of American

children evidence sub-clinical psychologicalsymptoms, which have a detrimentalimpact on quality of life and compromisefunctioning in domains such as school,family life and peer relations.

STATUS OF CHILDREN OF COLOR

On both indicators of academicperformance and socioemotionaladjustment African-American andLatino children do not fare well and,in many cases, much more poorly thanwhites (Lequerica & Hermosa, 1995;Neal, Lilly, & Zakis, 1993). Information

on the academic outcomes of children ofcolor such as standardized tests scoreson reading, math and science, coursefailures, suspensions, retention anddropout rates are a serious cause forconcern. For example, 40% of African-American children failed at least onesubject, and by the time they reachedhigh school at least 20% had beenretained in a grade (Barbarin, Whitten &Bonds, 1994). In a nationallyrepresentative sample of African-American children, 22.4% of adolescentswere suspended at least once, and 23.1%repeated at least one grade (Barbarin &Soler, 1993).

INFORMATION ON THE ACADEMIC outcomes

of children of color such as standardizedtests scores on reading, math and science;course failures; suspensions; retention anddropout rates are a serious cause for concern.

It is no surprise then that in 1995 forexample the high school dropout ratewas 46% for Hispanic children, 26% forAfrican- Americans, and 17% forCaucasians. At the other end of the K-12continuum, Leadbeater and Bishop(1994) found twice as many African-American preschool children ofadolescent mothers scored in the clinical

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range on measures of behavior andemotional functioning than is found inthe normative sample. In the Wood lawn

study of preschool African-Americanchildren growing up in a low-incomehousing project in Chicago, childrenexhibited significant impairment indomains judged essential for academicachievement and social adaptation(Kellam, Branch, Agrawal, & Ensminger,

1975). At least one problem of adaptationwas observed in as many as 68% ofkindergarten children (Kellam, Branch,Agrawal & Ensminger, 1975).

BEHAVIOR PROBLEMS MASKEMOTIONAL DIFFICULTIES

Though children of color exhibit bothbehavior and emotional difficulties,disruptive behaviors such as aggression,impulsivity, attention deficits, restlessness,

substance abuse, delinquency, teenagepregnancy and problems related toacademic achievement have garneredthe greatest attention (Barbarin, 1993).Behavior disorders and delinquencyare identified more frequently amongAfrican-American male adolescentsthan whites. For example, African-American males accounted for 23%of juvenile arrests and 26% of juveniles

in residential facilities much higherthan their representation in the adolescentpopulation (Hoberman, 1992).Additionally, African-American children's

involvement in the child welfare system

was found to be three to 10 times higherthan Caucasian children (Goerge,Wulczyn, & Harden, 1994).

55

Much less attention has been given tothe emotional despondence of childrenof color reflected in data on suicide,particularly among males. Behavioralproblems frequently co-occur withdepression and anxiety (Garber,Quiggle, Panak, & Dodge,1991).Because behavioral problems are literally"in your face',' it may be easy to miss

the underlying emotional turmoil thatundergirds and perhaps drives theacting-out behavior. Symptoms ofinternalizing disorders are particularlyprevalent among young African-American males in elementary andmiddle school and in adolescent females(Barbarin & Soler, 1993). Children fromlow-income communities report moredepressive symptoms on the Children'sDepression Inventory (child report)than groups on whom the test wasnormed (Kellam et al., 1991; Barbarin,1993). Moreover, in a program ofresearch on anxiety disorders, Neal andTurner (1991) report slightly higher ratesof phobic symptoms among African-American children than might beexpected from existing epidemiologicaldata, and they argue that these arelinked to specific conditions in thesocial environment.

BECAUSE BEHAVIORAL PROBLEMS are literally

"in your face," it may be easy to miss theunderlying emotional turmoil thatundergirds and perhaps drives the acting-outbehavior. Symptoms of internalizingdisorders are particularly prevalent amongyoung African-American males in elementaryand middle school and in adolescent females

THE VIEW FROM RESEARCHCulture and Ethnicity in Social, Emotional and A cadeihii. Development

CAN POVERTY ACCOUNTFOR ETHNIC DIFFERENCES?

The poverty rate among African-American children is estimated at 46%.The rates vary among the differentLatino groups with the highest ratesoccurring among Puerto Rican andrecent immigrant groups from CentralAmerica. Poverty is strongly associated

with the emotional and academicoutcomes discussed above. Of all thecommonly identified social risk factors,socio-economic status (SES) is arguablythe most robust and consistent predictorof psychological and academic dysfunction

(Bruce, Takeuchi, & Leaf, 1991; Dutton,

1986). Poor children are at greater risk ofdeveloping mental health problems thanchildren who come from more advantagedbackgrounds (Valez, Johnson, & Cohen,1989; Werner & Smith, 1992).

POOR CHILDREN ARE at greater risk ofdeveloping mental health problems thanchildren who come from more advantagedbackgrounds

Poverty has an especially pronouncedeffect in the domain of externalizingdisorders (Capaldi & Patterson, 1994)though there is evidence that it canincrease the likelihood of internalizingdisorders as well (Last & Perrin, 1993).Though the observed effect sizes ofpoverty are often small, risks associatedwith poverty are hardly trivial or passing.

A combination of economic hardshipand limited access to supportive servicesall combine to disadvantage poorchildren and to place obstacles in the

56

way of their continued academic andemotional development. The sequelae ofthese conditions can be observed acrossthe life span: increased morbidity andmortality, mood disturbances, academicunderachievement, aggression, prematuresexuality and childbearing, substanceabuse, delinquency, underemployment,high rates of divorce and instabilityof family life. Risk factors, protective

factors and emotional regulationrepresent important pieces neededto solve this puzzle.

A COMBINATION OF ECONOMIC hardship

and limited access to supportive services allcombine to disadvantage poor children and toplace obstacles in the way of their continuedacademic and emotional development.

This raises the possibility that differences

observed among ethnic groups are tied tothe differences in poverty. Therefore the

relationship between ethnicity andacademic and socioemotional difficultiesmay be due in part to poverty. However,

Barbarin (2001, in press) has demonstrated

that SES and poverty alone do not fully

49

50

account for ethnic differences in academicachievement. This work shows that the

gap between African-Americans andwhites does not disappear when youcontrol for poverty. In fact, the gap gets

wider the higher up the SES scale you go.

This suggest a more complex explanationthan poverty or SES is needed to account

for ethnic differences.

HIGH-RISK SOCIAL NICHES:GENDER, POVERTY, ETHNICITYAND CULTURE

Children of color occupy social nichesin American society that render themespecially vulnerable to a panoply ofsocial, emotional and academicdifficulties. In addition to ethnicity andpoverty status, children may be morelikely to experience difficulties by virtueof gender. Young boys experiencebehavioral and academic problems athigher rates than girls. National studiesof kindergarten children suggest thatethnic differences in socioemotionaloutcomes may be accounted for largelyby males. Specifically African-Americanand Latino males exhibit moredisruptive behavior and attentiondifficulties than white males but nodifferences are observed among females

(Center for Health Statistics, 1988).

Unlike the role of poverty, the effects ofculture on socioemotional developmentand academic readiness is more nuancedand less understood. This is in partbecause we are still grappling with thedefinition and meaning of culture andethnicity in the dynamic gumbo of a

57

society in which we live. Our bestthinking is that indeed culture and itsassociated practices and beliefs influencethe differential outcomes of children butthe data on this point in an Americansetting are too sparse to be compellingand conclusive.

UNLIKE THE ROLE OF POVERTY, the effects

of culture on socioemotional developmentand academic readiness is more nuancedand less understood.

It is important to distinguish betweenculture and ethnicity. They are not thesame. Ethnicity is based on a process

of psychological identification madeby individuals. Ethnicity is a way ofrepresenting primary social affiliationand personal identification beyond thelevel of the family. Ethnicity exists at the

psychological level within individuals

and families. Though a shared culturecan be the basis for and supportindividual ethnic identification, ethnicityand culture are not co-terminus.

IT IS IMPORTANT TO DISTINGUISH between

CULTURE and ETHNICITY. Ethnicity is a wayof representing primary social affiliation andpersonal identification beyond the level ofthe family.

THE VIEW FROM RESEARCHCulture and Ethnicity in Social, Emotional and Academic Development

Culture refers to a dynamic and shared

system of beliefs, mores, values, attitudes,

practices, roles, artifacts, symbols and

language. It represents a group's collective

wisdom and aspiration that surround

and are reflected in routines of daily

living. Culture guides how a group solves

problems, how they approach mundane

tasks and how they address eschatological

challenges such as the meaning of life

and death. Culture is reflected in the

structure of social relationships withinand outside of the group and define

obligations and rights among a group of

people who possess a common identity.

Cultural demands, values and world

views determine how children's academic

aspirations and social behaviors are

expressed and interpreted.

CULTURAL DEMANDS, values and world

views determine how children's academicaspirations and social behaviors areexpressed and interpreted.

Partially as a consequence of environ-

mental demands and social conditions,

culture may influence socialization

goals and practices that might be

reflected, for example, in beliefs about

how independent children should beand how early in life should independence

be encouraged (Weisz & Sigman, 1993).

Similarly, differences in cultural

conceptualizations of social relations

may shape expectations of how children

should behave or express their emotions.

58

For example, Guerra, Huesmann, Tolan,

Van Acker, and Eron (1995) demonstrated

that specific cultural attitudes and beliefs

underlie the high levels of conduct

problems often observed in ethnic

minority children. They tested the

relationships of aggression to poverty-

related stress, and the world views of

Latino and African-American children.Both stress and beliefs significantly

predicted levels of aggression. Thus,

withdrawn behavior, aggression or

high anxiety in children can be

regrettable but understandable

adaptations to an unpredictable

and threatening environment (Dubrow& Garbarino, 1989). Though based

purely on speculation, cultural views

about children, the timing and content

of their learning and culturally based

socialization goals may influence parent

expectations of their own and the

schools role in the education of their

children. How parents define theirroles will directly influence theirpractices and their expectation ofwhat schools should be doing whichin turn may affect children's outcomes.The interactions and compatibilities

between parents cultural beliefs about

their role and the practices and

expectations of school are likely to

have a profound influence on how well

the two work together to promote

children's learning and development.

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52

Accordingly, gender, SES, ethnicity and

its associated cultural features and may

be used as co-ordinates to demarcateparticular ecological niches in society.

Viewed in this way, the notion of niche

emphasizes the idea that critical socialdemarcators combine and interact tocreate a context of development with

unique properties. The importance ofthese niches is that some social niches

carry with them a set of features,

circumstances and challenges that

predispose their occupants to academicand socioemotional difficulties. Clearly,African-American and Latino children,

particularly the poor and especiallymales, occupy niches that deserve fullerunderstanding and exploration if weare to make a dent in the problems of

academic access in the U.S.

SOME SOCIAL NICHES carry with them a

set of features, circumstances and challengesthat predispose to their occupants to academicand socioemotional difficulties.

C

59

CROSS-CULTURALCOMPARISONS OF AFRICAN-AMERICAN AND SOUTHAFRICAN CHILDREN.

It is possible to learn a great deal from

gazing inward through comparisonsof ethnic groups in the United States.A different and enlightening perspectivecan be obtained by cross national andcross-cultural comparisons. For example,Barbarin (2001) compares the functioning

of African-American and South Africanboys and girls on indicators of socio-emotional function. In addition to thenational comparison, this research madeit possible to assess whether the social

niches demarcated by being black, beingmale or female and poor or not poorproduce the same effects on children'sfunctioning in the United States andSouth Africa.

THE VIEW FROM RESEARCHCulture and Ethnicity in Social, Emotional and Academic Development

The results revealed interesting differences

for behavioral and emotional problemsamong young African-American andSouth African children. African-American

children scored significantly higher thanSouth Africans on the scale scores for

anxiety-depression, immaturity, opposition

and hyperactivity. Compared to SouthAfrican children, African-Americans

are, in general, more troubled and more

susceptible to risk of psychological

dysfunction. African-American children

tend to have greater vulnerability with

respect to internalizing symptoms,suggestive of over-regulation among

African-Americans, and South Africanchildren have greater vulnerability tosocially disruptive behavior, suggestive

of sub-optimal regulation (Hammen &Rudolph, 1996).

Being a black male in the United States

emerges as a particularly difficult niche.African-American boys evidenced apattern of heightened vulnerability forbehavioral and emotional difficulties.For example, of all groups in the study,

African-American boys have the greatestdifficulty with concentration problemsand emotional difficulties. Mostimportantly, whereas poor children inthe United States had more difficultythan the non-poor, poverty made nodifference for South African children.

Even though South African childrengrow up under conditions that are asadverse as if not more than thosefor African-Americans, the social andcultural niches they occupy may affordthem some protections not available toAfrican-American children.

BEING A BLACK MALE in the United States

emerges as a particularly difficult niche.African-American boys evidenced a patternof heightened vulnerability for behavioraland emotional difficulties.

For example, a different consciousnessof self, founded in the perception ofpoverty not as a stigmatizing conditionof the self but as a temporary state ofaffair not attributable to one's own defectsas an individual or ethnic group. Otherexplanations include the psychologicalprotections afforded by majority statusto black South Africans and the stressbuffering resources of support fromextended family networks. This suggestsimportantly, that the niches occupiedby poor children need not have thedebilitating quality it has here.

THIS SUGGESTS IMPORTANTLY, that the

niches occupied by poor children need nothave the debilitating quality it has here.

ARE PSYCHOLOGICALPROBLEMS RELATED TOACADEMIC PERFORMANCEOF CHILDREN OF COLOR?

Problems in the acquisition of socialemotional competence are importantto note in their own right, but theirsignificance increases when we weigh

their role in the acquisition anddevelopment of academic skills. For themany children who experience academicdifficulties, the attainment of socio-emotional and self-regulatory competencesets the stage for and is essential to later

60 53

54

academic achievement. Problems insocioemotional competence not onlydiminish academic achievement but alsocomplicate efforts to remediate problems

in skill acquisition by males. Serious oreven moderate behavioral, attentional oremotional difficulties often are identifiedby teachers as significant impediments toachievement. These problems reduce the

ability of children to marshal theirintellectual resources to learn andultimately weaken academic motivation

and engagement. Such deficits also divert

the energies of teachers from engaging

children in needed instructionalactivity to enforcing classroom orderand discipline.

FOR THE MANY CHILDREN who experience

academic difficulties, the attainmentof socioemotional and self-regulatorycompetence sets the stage for and isessential to later academic achievement.

The Orange County, Fla. school systemdiscovered that middle school studentswith behavioral problems who had beensuspended 30 days or more had readingcomprehension scores below the 25thpercentile. In this way, socioemotional

competence is an essential ingredientof school success because it constitutesa prerequisite condition for effectiveinstruction and learning. Problems ofsocioemotional functioning very oftenoccur along side academic problems.For this reason, school reform effortsthat ignore these issues are myopic andare likely to be limited in success.

SOCIOEMOTIONAL COMPETENCE is an

essential ingredient of school success becauseit constitutes a prerequisite condition foreffective instruction and learning.

Children of color who appeared to beon track and performing acceptably inthe early elementary school years in theacademic arena and who showed nosigns of behavioral difficulties may getinto difficulty in spite of their earlierpromise. By the time they reach the middle

schools years, many experience a noticeable

slowing of academic progress that iscoupled with an increase of disciplineproblems. Males, especially, becomeembroiled in a persistent cycle of mooddisturbances, disruptive behavior,underachievement and low moralethat belies their very promising startin school.

CHILDREN OF COLOR WHO appeared to be ontrack and performing acceptably in the earlyelementary school years in the academicarena and who showed no signs of behavioraldifficulties may get into difficulty in spiteof their earlier promise.

How can we account for this deviationfrom what appeared to be a normaland healthy developmental trajectory?Barbarin (2000) examined data oncross-sectional age cohorts of African-American children, ages 5-17 that showthat depressive symptoms (parentalreports) have a peak incidence for boysat about ages 9-10 (Grades four and five),then drop in older cohorts. This alsocorresponds to the time point when the

61THE VIEW FROM RESEARCHCulture and Ethnicity in Social, Emotional and Academic Development

average performance of African-American

males on standardized reading and mathtests begins to dip below grade level(Ferguson, 2000). For girls, depressive

symptoms are only moderately elevatedup through age 10, but rise and peakamong 15- and 16-year-olds. Femalesin this age group show a similar declinein academic performance compared totheir non-poor peers.

These trends hint at an intriguing temporal

relationship between depressive affect

and academic achievement. It appearsthat after an incidence of depressivesymptoms peaks and drops, academicfunctioning declines. The lack of a strongachievement motivation may in fact spring

from a generalized dysphoria that mayaffect investment in academic tasks.

These hypothesized relationships implyan age-linked decline in academicachievement and intra-individualcovariation between depression andachievement that can be best testedthrough time-series data. Supportingthis assertion, Connell, Spencer and Aber(1994) show that parental involvement,disaffection and academic effort arereciprocally related. Longitudinal data onpoor children demonstrate that importantchanges occur in peer associations andmundane stressors that affect selfperception and academic achievementduring the transition to middle school(Seidman, Allen, Aber, Mitchell, &

Feinman, 1994).

THE LACK OF A STRONG achievement

motivation may in fact spring from ageneralized dysphoria that may affectinvestment in academic tasks.

PROCESSES IMPLICATED IN THEACADEMIC AND EMOTIONALFUNCTIONING

The challenge facing researchers is toidentify processes in high-risk socialniches that enhance or impair functioning.

There is no dearth of evidence regardingthe high rate of debilitating experiencesthe social niches occupied by poor,ethnic minority children. These include:

1) child history of early deprivationand trauma,

2) family instability and conflict,

3) involvement in the child welfare

system, and

4) neighborhood danger andlimited resources.

(Basic Behavioral Science Task Force

on the National Advisory Mental HealthCouncil, 1996).

THE CHALLENGE FACING researchers is to

identify processes in high-risk social nichesthat enhance or impair functioning.

The closest we have come to articulatinghow these eventuate in academic andsocioemotional problems is a stressdiathesis model. First, life among the

poor is filled undeniably with stressorsmundane and serious. The neighborhoodecology that characterizes the socialniches of impoverished children of colorinclude limited outlets for stimulating,cognitively enhancing and recreationalactivities. In many urban schools, poorchildren may face instability of teaching

staff; low teacher morale; ineffective

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56

instructional programs; problems ofdiscipline; weak, distrustful relationsbetween school and families; and limited

caretaker involvement in the child's life at

school. In addition, crime victimizationis associated with emotional disturbancein children, but chronic exposures toviolence such as witnessing violent acts in

the community is not (Fitzpatrick, 1993).

THE MODEL EMPHASIZES that children

growing up in impoverished communitieslive under conditions of extreme familialand community stress that severely testtheir capacity to cope. For children of colorand their families, racism is anothercontinuing and virulent source of distress.

These conditions place demands thatdivert attention, lower the personalcapacity for monitoring/nurturing/control functions of parents, and mayimpair children's development of self-regulation. In promoting this view ofpoverty as a multi-dimensional construct,it is neither accurate nor necessary toresurrect from the past, long-discreditednotions such as a "culture of poverty:'Rather, the model emphasizes thatchildren growing up in impoverishedcommunities live under conditions ofextreme familial and community stressthat severely test their capacity to cope(McLoyd, 1998). For children of colorand their families, racism is anothercontinuing and virulent source of distress.Racial and ethnic discrimination mayfurther account for differences in worldviews and orientations toward life thataffect parents' reports of children's

63

behavioral and emotional difficulties.Some parents may exhibit moreresignation in the face of hardship.Others may engage in self-blame for the

lack of opportunities available to themor for the lack of respect and courtesythey receive from others. Still othersmake externalized attribution or system-blame when confronted with racism orracial slights.

FAMILY ROLE

Family life provides the most importantpotential sources of protection forchildren occupying these risky socialniches. Although family life is shapedby socioeconomic and cultural forces,family strengths such as close supportiverelationships, high expectations and fair,consistent discipline can sometimescompensate for the adverse effects of SESon children's achievement. There is great

hope for children growing up in homescharacterized by warmth, cohesion,enlightened discipline, culture and ethnicidentification, supportive extra-familialrelationships, and community structuressuch as churches, neighborhoodorganizations and schools that effectivelypromote competence in social andcognitive domains .

FAMILY LIFE PROVIDES the most important

potential sources of protection for childrenoccupying these risky social niches.

THE VIEW FROM RESEARCHCulture and Ethnicity in Social, Emotional and Academic Development

Parental optimism and perceptionsof themselves as capable of copingsuccessfully with life's problems are

positively associated with children'ssocial and academic functioning(Slaughter & Epps, 1987). Social supportin the family, neighborhood, schoolsand churches are reported to act asbuffering agents as they reduce emotionalstrain on parents and also help to decrease

the presence of punitive, coercive andinconsistent parenting behaviors(Mc Loyd, 1998). Thus, these socialnetworks have an indirect effect onthe economically disadvantaged child'ssocioemotional development.

PARENTAL OPTIMISM and perceptions ofthemselves as capable of copingsuccessfully with life's problems arepositively associated with children's socialand academic functioning

The common elements identifiedin these approaches as mediatingdevelopmental outcomes includesociocultural resources such as ethnicidentity, religiosity and extended kinnetworks, and individual coping styles.The relations of these factors to oneanother and to developmental outcomesare not clear. It is likely that the interaction

among these personal and environmentalfactors constitutes a process throughwhich children accommodate toadverse circumstances and remainon course toward normal social andemotional development.

FAMILY PRACTICES AND ROLEIN CHILDREN'S SOCIAL ANDACADEMIC DEVELOPMENT

Children's adjustment to school isunquestionably affected by the extent towhich parents create an environment athome that is conducive to and activelypromotes an expanding knowledge oftheir world, skilled use of language,emergent reading, academic motivation,autonomy, persistence and adherence tosocial rules. By acts of omission and

commission, by the power of warminterpersonal ties and responsive controland by articulating values and transmitting

expectations, families most effectivelystimulate, elicit and nurture an achievement

orientation, instill a balance betweenconformity and independence, andnurture curiosity, self-regulation andpro-social behavior.

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CHILDREN'S ADJUSTMENT to school is

unquestionably affected by the extent towhich parents create an environment at homethat is conducive to and actively promotes anexpanding knowledge of their world, skilleduse of language, emergent reading, academicmotivation, autonomy, and persistence andadherence to social rules.

However, these practices may beinfluenced by cultural and socio-economic status. For example, higherlevels of maternal education offer a clearand well-documented advantage toparents by enriching the range and natureof interactions with their children in away that engenders these competencies(Luster and McAdoo, 1996). Differencesamong parents on socialization goalsand practices resulting from ethnicityand culture are asserted but are notwell documented. Gaps still exist in ourknowledge about the specific strategiesparents use, particularly African-American

and Latino parents and the efficacy ofthese strategies either in directly facilitating

children's early achievement in reading,math and social competence or in thesteps they take to communicate andwork with school staff.

WHAT NEEDS TO BE DONE?

Problems in the acquisition of social-emotional competence are importantto note in their own right but may gainin significance when we consider theirpossible role in academic difficulties.Many children who experience delay inthe acquisition of early academic skills

also present problems of socioemotionalfunctioning. The material hardship and

THE VIEW FROM RESEARCHCulture and Ethnicity in Social, Emotional and Academic Development

limited educational resources in low-SESfamilies are thought to be so strained thatrelationships are disrupted and the quality

of parent-child relationships are impaired.

MANY CHILDREN WHO experience delayin the acquisition of early academic skillsalso present problems of socioemotionalfunctioning.

Unfortunately, the capacity of the publicsector to meet the mental health needs ofyoung children has diminished over thepast two decades. Children's utilization ofmental health services has been limitedby decreasing mental health budgets.

DIFFERENTIAL ACCESSTO SERVICE

The mental health status of African-American and Latino children has beenexacerbated by an historical under-representation of these children amongthose served by the public mentalhealth system. Children and familiesof color have been underserved andinappropriately served by public andprivate human service systems withinthe United States (Hernandez, Isaacs,Nesman, & Burns, 1998). Similarly,

Knitzer (1982) found that ethnic minoritychildren with mental health problemsoften were not identified and did notreceive appropriate treatment. The lackof sufficient mental health services hasalso been demonstrated for economicallystrained, urban children of color (Sue &Zane, 1987).

65

When services are not received forpreventable mental health difficultiesearly in life, we are forced to rely onprograms, such as the juvenile justiceand child welfare systems, later in life

when the problems become moredifficult to manage. Even in the childwelfare system African-Americanchildren were also less likely to receive

services than Caucasian children whentheir degree of need was the same. Thisresulted in fewer positive outcomes,

lengthier out-of-home placements andhigher rates of foster care placements

(Courtney, et al, 1996). The effects ofunder-identification and under-serviceof children of color also are felt by theeducational system. However, ethnic

minority children with mental healthproblems are often over-representedin special education classrooms, whichmay eventually lead to school failure

and ultimately school drop out. Thus,the early identification of mental healthproblems for ethnic minority childrenearly in life, coupled with an effective

organization for referral and servicedelivery, has long-term implicationsfor preventing adolescent problem

behaviors and increasing the productivityof future generations.

WHEN SERVICES ARE NOT received for

preventable mental health difficulties earlyin life, we are forced to rely on programs,such as the juvenile justice and childwelfare systems, later in life when theproblems become more difficult to manage.

THE EARLY IDENTIFICATION of mental health

problems for ethnic minority children early inlife, coupled with an effective organizationfor referral and service delivery, has long-term implications for preventing adolescentproblem behaviors and increasing theproductivity of future generations.

The special circumstances and burden ofstrains experienced by children of colorrequires additional resources to make itpossible for more children of color toachieve academic success and socio-emotional adjustment. There are manypromising ideas that emerged in the pastfive years for ways to intervene that willmake a difference in improving theirchances of success. Interventions focusedon improving and enriching the socialand familial environments of children,particularly for young children. Allchildren will prosper in 4-S environments:

safe, stable, supportive and stimulating.

The following are ways to increase

the probability of such environmentsfor children:

Increase access to high-quality earlychildhood programs by full fundingof Head Start and voluntary universalPre-K.

Add courses and group experiences toteacher preparation programs whosegoal is to deepen multi-culturalunderstanding.

Strengthen the relationships amongteachers, children and their familiesthrough programs that bring familiesand community into schools.

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Create hospitable and congenial workconditions for preschool teachersthrough improved pay and in-servicetraining and support.

Conduct research to help specifyand document culturally sensitivepractices with children in earlychildhood programs.

Provide high-quality mental healthservices in primary health clinics,schools and community programs.

Even modest efforts in these areas wouldgo a long way to address the needs ofchildren of color who occupy sociallyrisky niches in society.

ALL CHILDREN WILL prosper in 4-Senvironments: safe, stable, supportiveand stimulating.

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Guerra, N. G., "Iblan, T H., Huesmann, L.R., Van Acker,

R., & Eron, L.D. (1995). Stressful events and individual

beliefs as correlates of economic disadvantage and

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Kellam, S.G., Branch, J. D., Agrawal, K. C., & Ensminger,

M. E. (1975). Mental health and going to school: The

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Developmental Psychology 32(1), 26-39.

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a

1

THE VIEW FROM THE FIELD

Promoting Social and Emotional Development

in Young Children: The Role of Mental Health

Consultants in Early Childhood Settings

PAUL J. DONAHUE, PH.D.

Director, Child Development Associates

Scarsdale, NY 64

Promoting Social and Emotional Development

in Young Children: Promising Approaches at

the National, State and Community Levels

ROXANE KAUFMANN, M.A.

DEBORAH F. PERRY, PH.D.

Georgetown University Child Development Center

Washington, DC 80

63

Paul J. Donahue, Ph.D.

Director

Child Development

Associates

6 Palmer Avenue

Scarsdale, NY 10583

phone: 914-723-2929

pjdon@earthlink.net

64

THE KAUFFMANEARLYEDUCATIONEXCHANGE

THE VIEW FROM THE FIELDPROMOTING SOCIAL AND EMOTIONALDEVELOPMENT IN YOUNG CHILDREN:

THE ROLE OF MENTAL HEALTH CONSULTANTSIN EARLY CHILDHOOD SETTINGS

PAUL J. DONAHUE, PH.D.

INTRODUCTION:THE CHANGING ROLE OF EARLYCHILDHOOD EDUCATION

Early childhood programs fill importanteducational and economic demands inthis country, and are no longer viewed as

playful and optional additions to familylife. With the advances in the study ofbrain development in infants and toddlers

and research on the early acquisition oflearning skills, preschool education hastaken on a new significance. Early

childhood programs also meet the needsof working families needing out-of-homechild care: Most women (nearly 60%)

with children younger than age 6 are in the

labor force and need child care for at leastpart of the work week. Recent changes in

welfare and workfare legislation have also

increased the demands for child care, andmore young children are now spendingextended days in center-based care. It is

now widely accepted that early childhood

educators play a major role in shapingchildren's emotional, social and cognitivedevelopment, and help to lay thefoundation for future academic success.Many early childhood centers have alsobecome cornerstones of their community,offering parenting workshops, recreational

programs and health and education classes.

With their increasing prominence, earlychildhood programs are typically thefirst to feel the impact of family stresses.In many urban and some ruralcommunities, Head Start centers andchild care programs serve large numbersof disadvantaged families. Many of thesechildren are affected by their parents'struggle to provide for their families'basic needs and to maintain adequatehousing and employment, and come totheir centers bringing their worries withthem. Fewer young children now live intwo parent households than at any pointin recent times. Across all socioeconomic

groups, a large percentage of marriages

that have produced children now end indivorce, and 40-50% of children born inthis country in the last decade will residein single-parent homes at some pointin their childhood (Dubow, Roecker& D'imperio 1997). With thesedevelopments, early childhood educationprograms are often implicitly or explicitlyasked to take a more primary role inchild rearing.

71THE VIEW FROM THE FIELDPromoting Social and Emotional Development in Young ChiPardn: The Role of Mental Health Consultants in Early Childhood Settings

The increase in the reported incidence oftrauma in families has raised new concerns

about the psychological developmentand educational needs of young children.Violence, both within the home in theform of domestic violence and childabuse, and in the community, has beenshown to have a profound impact onchildren's emotional adjustment andcognitive development (Aber & Allen,1987; Pynoos & Eth, 1986, Zero toThree, 1994). In families affected by

substance abuse, HIV/AIDS, mentalillness and other debilitating diseases,children have been forced to deal withthe loss or potential loss of parentingfigures, often forcing young childrento take on caretaking responsibilities.Research has shown that children withmany risk factors like those outlinedabove are far more likely to show signs of

emotional maladjustment or behavioralproblems (Rutter & Quintin, 1977).

THE INCREASE IN the reported incidence oftrauma in families has raised new concernsabout the psychological development andeducational needs of young children.

Young children are especially vulnerableto the disruptions caused by traumaticevents, as they do not have well-developed

physical or psychological resources todefend against them. They depend onadults to help them make sense of thetrauma, heighten their resilience andshield them from its ill effects. Whentheir primary caretakers also are affected,they are less available to providereassurance to their young children andto help them re-establish their sense of

safety and security. As a result, theburden of care for these children oftenshifts, at least in part, to caretakers outside

their home. The child care center oftentakes on added significance for childrenimpacted by trauma who craveconsistency and nurturance and arelooking for a safe haven where they canplay and learn and focus on more age-appropriate tasks of development.

CHALLENGES IN THE CLASSROOM

Many of the children who have haddisruptions in their early developmentand attachments present with challengingbehaviors in the classroom. They mayappear to be fearful, disorganized,inattentive and unresponsive to learning(Koplow, 1996). Head Start teachers havereported that their students are displayingmore symptoms of emotional distress,including withdrawal and depression aswell as acting out and aggressive behaviors

(Yoshikawa and Knitzer, 1996). Thistrend mirrors findings from epidemi-ological research suggesting an increasedprevalence of psychiatric disorder inchildren, with onset at younger ages(Cohen, Provet & Jones, 1996). Manyof the disturbances that emerge in olderchildren can be traced to risk factorspresent in infancy and early childhood(Werner, 1989).

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Many early childhood programs arestruggling to adapt to this added respon-sibility. Teachers and other preschool

staff are often overwhelmed by the extentof their children's disturbance or distress,and do not feel they have received adequate

training to respond to their needs(Knitzer, 1996). They fear that openingup discussion of traumatic or stressfulevents might lead to unpredictableemotional reactions in the children thatthey cannot control. Teachers also oftenfeel pressured to maintain a formalacademic curriculum with an emphasison the mastery of cognitive concepts,and do not feel it is appropriate touse classroom time to deal with theirchildren's emotional turmoil(Hyson, 1994).

MANY EARLY CHILDHOOD programs are

struggling to maintain developmentallyappropriate curriculum in the face ofexternal pressure to focus more directly onearly academic tasks.

In addition to coping with an increasein family stresses and childhood trauma,many early childhood programs arestruggling to maintain developmentallyappropriate curriculum in the face ofexternal pressure to focus more directlyon early academic tasks. This trend isseen frequently but not exclusively inmiddle and upper middle class comm-unities where pressure to compete withpeers and stay ahead of age expectanciescan add undue stress to children andtheir families. Preschools that emphasizesocial and emotional development

7 3

more than teaching pre-academicskills (learning letters, colors andnumbers, etc.) often feel at odds withthe parents they serve and, notinfrequently, with local school districtswhose expectations for kindergartenchildren are often at the far end of adevelopmental continuum. As oneteacher described the situation inWestchester County, "kindergarten isnow equivalent to second grade just15 years ago:' As a result, some preschools

feel they must move forward withlearning tasks before many childrenhave the developmental skills to succeed,including the ability to separate andwork independently, to tolerate frustration

and persevere, and to remain attentiveand delay gratification.

A COLLABORATIVE MODEL:MENTAL HEALTH CONSULTATION

Given the changes in early childhoodeducation and mental health, thepreschool has become, in many ways,the ideal setting for integrating the workof professionals in both disciplines.Forging a partnership between mentalhealth professionals and teachers allows

schools to provide a comprehensiveapproach to the emotional and cognitivedevelopment of the children they serve.The preschool is also a logical place for

clinicians to reach out and involve parents

in their children's development, and tosupport them in developing their owncoping strategies. Unlike the clinicor office, the school provides ampleopportunities for more informal andbrief interactions between a mentalhealth consultant and parents.

THE VIEW FROM THE FIELDPromoting Social and Emotional Development in Young Children: The Role of Mental Health Consultants in Early Childhood Settings

In this way, parents and other family

members can come to know the cliniciansat their own pace in a familiar settingoften before any concerns regardingdevelopmental delays or emotionaldistress in the children have been noted.

THE PRESCHOOL IS also a logical place for

clinicians to reach out and involve parentsin their children's development, and tosupport them in developing their owncoping strategies.

Early childhood programs are oftenmainstays in their neighborhoods,respected and trusted by the localpopulation. Joining together with theseprograms gives clinicians the imprimaturto practice without the same stigma orskepticism that might be applied in theless familiar office environment. The

experienced mental health consultantwill also seek to learn more about theethnic and cultural traditions of thefamilies, the program and the localcommunity. The preschool/mental healthpartnership presents the opportunity toprovide interventions that respond to theneeds of all the children in the center, notjust those with identifiable symptoms ofemotional disturbance or those deemedmost at-risk. Clinicians can be availableto consult on issues of any magnitude,as their primary role is to foster thebehavioral, emotional and cognitivedevelopment of all children.

7

'r

THE PRESCHOOL/MENTAL health partnershippresents the opportunity to provideinterventions that respond to the needs ofall the children in the center, not just thosewith identifiable symptoms of emotionaldisturbance or those deemed most at-risk.

This prevention model includes "check-ups" of all the classrooms throughobservations and sitting in on teammeetings, and "wellness" visits with thosechildren who are responding nicely tothe school environment. This approachallows the clinician to not only respondto crises and dire situations but, in someinstances, to anticipate them, and provideearly intervention to children at risk.In addition, the consultant has theopportunity to acknowledge and enhancethe everyday workings of the teachersand staff in the school that create awelcoming environment and foster thesocial and emotional competence of allthe children.

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PRECURSORS TO AN EFFECTIVECOLLABORATION: SKILLS ANDCOMPETENCIES

Developing an effective collaborationbetween mental health providers andpreschools requires a good deal ofenthusiasm, respect and support fromboth parties. The mental health consultant

must be careful to develop a set of sharedassumptions and goals with the school,and not assume a rigid "expert" stanceregarding the ways to enhance thechildren's development. The processof defining goals should result from amutual examination that draws on theexpertise of both teachers and clinicalstaff Consultants must also recognizeand appreciate the opportunitiesavailable in this setting to have an impacton a wide number of children, parentsand educators.

THE MENTAL HEALTH CONSULTANT must be

careful to develop a set of shared assumptionsand goals with the school, and not assume arigid "expert" stance regarding the ways toenhance the children's development.

Although clinicians of diversebackgrounds and experience can function

in this role, the effective consultant must

be flexible and team-oriented, enjoycommunity-based settings, and becomfortable working autonomouslyapart from other clinicians. The consultant

must also be adept at handling multipleroles and responsibilities, including crisisintervention, parent workshops, childobservations and assessments, teacher

training and systems work. Perhapsmost importantly, consultants shouldacknowledge their own limitations assole agents of change, and must seek to

share their knowledge and training withteachers and parents who will have thegreatest impact on the young childrenin their community.

THE PARTNERSHIP IS ENHANCED when

teachers are willing to consider theireducational role in broad terms thatencompass the social and emotionaldevelopment of children.

The partnership is enhanced whenteachers are willing to consider theireducational role in broad terms thatencompass the social and emotionaldevelopment of children. The mentalhealth collaboration will also bestrengthened if teachers are open tonew ideas and disciplines, and arewilling to integrate these in theclassroom. Ideally, they are willing

to undertake new challenges with theconsultant, to focus on children'sfeelings and social skills, to confrontthe sometimes difficult realities of theirchildren's lives, and to reflect on and

discuss their own feelings and reactionselicited in their work with the children.

75THE VIEW FROM THE FIELDPromoting Social and Emotional Development in Young Children: The Role of Mental Health Consultants in Early Childhood Settings

COLLABORATION WITHTEACHERS

The mental health consultant workingwith early childhood teachers will bemore effective if she works to developan open and respectful relationshipwith them, that encourages a free flowof information back and forth. Thedegree of warmth and trust in therelationship will further influence theteacher's acceptance of this "outsider's"presence, and will impact on the children's

willingness to relate to the consultantand share their feelings and concerns.At some point, the consultant mustprove herself to the teacher, by activelyhelping in the classroom, dealing withdifficult children or being available todiscuss personal issues. She should alsorecognize that the teachers are the keyagents of change within the program,and that the work in the classroom willhave the most far-reaching impact onthe children. Gaining an appreciationthat early childhood teachers arealso often firmly embedded in thecommunities they serve, and frequentlyhave long-standing relationships withfamilies that they refer to theconsultant, will also serve her well.

THE MENTAL HEALTH consultant working withearly childhood teachers will be more effectiveif she works to develops an open and respectfulrelationship with them, that encourages a freeflow of information back and forth.

Interventions in the classroom oftenemanate from teachers who look totry out or get approval for their ideasfrom the mental health consultant.A suggestion to use more transitionalobjects with foreign-born Andre, a4-year-old boy with severe separationanxiety, or to provide more "specialtime" to a 3-year-old Anna, whosefather had recently succumbed to along illness, are but two examples ofstrategies proposed and carried outby teachers with the consultingpsychologist's encouragement. Thisteam approach can demystify notionsorpromoting mental health" and assureteachers the consultant is there to supporttheir work and help the children feelmore comfortable. In this process, theteachers often come to realize that theirgoals in the classroom helpingchildren feel secure, teaching them toshare and work cooperatively, workingthrough frustration, helping childrento focus and learn self-control are,

in fact, the "cornerstones" of socialand emotional competence inyoung children.

76

THE TEACHERS OFTEN come to realize thattheir goals in the classroom helpingchildren feel secure, teaching them to shareand work cooperatively, working throughfrustration, helping children to focus andlearn self-control are, in fact, the"cornerstones" of social and emotionalcompetence in young children.

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Classroom management techniquesoften require more intensive and jointplanning, but generally begin with theteacher's request for help with difficult

to manage children:

Andrew, 3 1/2- years old, was awhirling dervish in the classroom.Impulsive and somewhat aggressive,he would frequently run about theroom crashing into other children ortoys, and disturb free play time aswell as story time. Early attempts tocontain his aggression were fairlysuccessful, as Dr. Jones, the consultingpsychologist, and his teacher, Ms.Winn, designed a behavioral planfor school and home that his parentgladly adopted. His impulsivity andhyperactivity continued to wreakhavoc, however, especially duringcircle time. Finally Ms. Winn decidedto have Andrew sit in an adult-sizedcushioned chair by her side at circle,in which no other children were allowedto sit. Andrew readily took to this idea,and though fidgety and often inattentive,he began to sit through most circle times.Few other children complained aboutAndrew's "special chair" as they seemedto recognize that his sitting thereallowed them to enjoy the teacher'sstories. In fact many became protectiveof Andrew's new position, and wouldmildly scold each other if they usurpedhis place.

In this case, the consultant helped todesign a behavior rewards system, butplayed a more critical role in supportingthe teacher's ideas for how to contain andmanage her student. Together they charted

his progress, looking for changes in thefrequency, intensity and duration of thetargeted behaviors. This process is oftencritical with more active or impulsivepreschoolers, as it highlights that attention,

impulse control and inhibition aredevelopmental processes, not fixedentities. Seeing progress toward moreself-control and focus is often the keyto teachers' being more receptive to thesechildren and less likely to want to label

them or, in more severe cases, to ask

that they be medicated or removedfrom their classrooms.

In a well-functioning partnership, eventhe most traumatic events can be jointlyaddressed by teacher and consultant:

Ms Marano, an experienced headteacher, and Ms. Andrews, a consultingsocial worker, had been working closelytogether at St. Joseph's Head Start fortwo years. Though initially quiteanxious when discussing her children'semotional concerns, Ms. Marano hadgained considerable confidence in thisarea, and knew she could call on Ms.Andrews for support as needed. Onone Monday morning, 4-year-oldCharles announced to the class thathis mother had been stabbed over theweekend. Ms. Andrews was immediatelycalled into the classroom, spoke withCharles and his teacher, and led abrief circle time in which she clarifiedwhat had happened, elicited thechildren's concerns regarding theirown and Charles' safety, and offered

77THE VIEW FROM THE FIELDPromoting Social and Emotional Development in Young Children: 71? dole of Mental Health Consultants in Early Childhood Settings

them the opportunity to discussthings further with her or Ms. Maranowhenever they desired. Ms. Maranodid not shy away from this event, andcontinued to report on Charles' andthe other children's progress in teammeetings, and to call Ms. Andrewsback for check-ups with the class overthe next several weeks.

This young boy would have no doubtbenefited in any event from havingan insightful, experienced andpsychologically minded teacher. Yether ability to call upon the consultantto share the burden of processing thistrauma and to follow the mental healthprofessional's lead added a furtherdimension to her classroom repertoire,and allowed her to explore new emotionalterritory without major trepidation.

ENGAGING PARENTS

Corning to know parents in earlychildhood centers is far different thanin traditional mental health settings.As mentioned, there are manyopportunities for informal contact, atdrop-off and pick-up times where parentsoften gather to have coffee or chat withneighbors, in the classroom with parentvolunteers and at parent gatherings orworkshops. The consultants may beexpected to join in local debates andshare some details of their own familyand personal life with staff members andparents. Like in therapy, each consultantneeds to come to his or her own limits ofdisclosure, and to assess how these limitsimpact on the relationship with the center.Yet for many mental health professionals,

this less confined role can be a welcome

78

break from the more formal structureof traditional psychotherapy, and givesthem to the opportunity to supportsocial and emotional development ina more normative context.

IN SOME CASES, THE consultant maymaintain a relationship with a parent andthe intervention may focus on helping thechild indirectly, through parent contact and"checking in" with the teacher.

Often interventions with parents involvebrief targeted interventions aimed atremediating specific fears or anxieties ofchildren in the preschool. In some cases,the consultant may maintain a relationship

with a parent and the intervention mayfocus on helping the child indirectly,through parent contact and "checkingin" with the teacher:

The Rosens, whose daughter Nancyattended preschool in their suburbantown, had watched their home burnto the ground after some faulty wiringignited a massive fire. The consultantat the preschool, Dr. Douglas, hadheard about the fire, but the teacherand school director reported that Nancy,who was a friendly and confident 4-year -old, was doing well, and did notappear to need the consultant's help atschool. The family had found a suitablehouse to rent while their home was beingrebuilt, and they all seemed to be copingwell. About one month after the fire,Mrs. Rosen called the consultant, andrelayed that while Nancy "seemed fine"during the daytime, she was having aterrible time falling asleep, insisted on

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sleeping in her parent's bed, and wokeup many times during the night.Everyone was exhausted, and Mrs.Rosen felt a mixture of sympathy andanger toward her young daughter.

Mrs. Rosen did not want the consultantto see Nancy directly, but was extremelyeager to talk about how to handle thesleep problem at home. They spokeextensively for the next two weeks, andduring these conversations the consultantprimarily provided a listening ear forMrs. Rosen, as well as making someconcrete recommendations. Theseincluded having Mrs. Rosen and Nancy"play about the fire" using dollhousefigures and puppets, using relaxationtechniques at bedtime, and having oneof Nancy's parents sit in her bedroomas she fell asleep. Mrs. Rosen used someof the recommendations and chose notto try others, and she remained inphone contact with the consultant overthe next several weeks. Nancy's sleepdisturbance gradually improved, andshe also was able to talk about theexperience of the fire with more ease.The consultant did not hear from Mrs.Rosen again until later in the spring,when she called to let him know howmuch better things were going at home.

In this example, the parents made useof the consultant in a spontaneous,circumscribed manner, but such briefinterventions often carry meaning thatgoes beyond the immediate situation.Many parents have reported to us asense of reassurance and relief in knowing

that a mental health professional is on-hand "just in case': to answer questions,listen, and provide an informed opinionwhen necessary. Just as teachers test thewaters with the consultant during theentry period, parents also may try outthe consultant to see if this is a personwho can be trusted, is approachable andhelpful. Even when their encounters arebrief, parents' positive experiences witha consultant are likely to encouragethem to support the notion of on-sitemental health services, to feel morecomfortable with mental healthprofessionals in general, and to spreadthe word to other parents.

Even when they have become a familiarpresence, the consultants need to beaware of boundary issues in presentingeducational or treatment recommen-dations to parents, as they may notalways be eager to participate and maybe confused by the on-site presenceof a mental health specialist. Childrenwho display signs of behavioral oremotional problems in early childhoodcenters have usually not been previouslyidentified as needing services.

79THE VIEW FROM THE FIELDPromoting Social and Emotional Development in Young Childrelte Role of Mental Health Consultants in Early Childhood Settings

Parents who enroll their children innursery schools or child care are notnecessarily seeking support or advicewith these issues, as they would, forinstance, if they voluntarily came to amental health provider on their own.Often the need for more parental inputwill arise when a child's functioning is

compromised in the classroom, or whenhis or her behavior is disruptive andimpacts on other children. In theseinstances, the centers typically askparents come in and discuss thesituation. Parents are more likely tocomply with this request and react lessdefensively if they have a previous

relationship with the center, and if thestaff and the consultant assume a non-threatening stance in presenting the areasof concern. If there is a healthy rapport,calling parents in for a discussion can bea relatively simple process, and the

consultant may well be welcomed asanother potential problem-solver:

OFTEN THE NEED FOR MORE parental inputwill arise when a child's functioning iscompromised in the classroom, or when hisor her behavior is disruptive and impactson other children.

When Ms. Boudreau was asked tocome in to the Little Tots Center todiscuss her son's separation difficulty,she was not surprised. Ben, a 3-year-old boy who had recently immigratedwith his family from Europe, wastearful and clingy throughout much ofthe morning, and seemed to be reactingin part to his mother's inconsistencyduring drop off times. She wouldsometimes stay briefly and reassurehim, but at other times would stay forextended periods as he began to cry orshow other signs of distress. In hermeeting with the consultant, he suggestedthat Ben might bring classroom bookshome that she could translate intoFrench, her native language, to helphim feel more comfortable and moreconnected with his peers. The consultingpsychologist advised her to stick to amore consistent pattern in the morning,staying for 10 to 15 minutes to helphim settle and then leaving him in thecare of his teachers. Within two weeks,this combination of a fixed routineand using books as transitionalobjects greatly eased Ben's partingswith his mother, and he began to moreactively join in classroom activities.

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The mother in the example was alreadywell disposed towards the school,acknowledged her son's problems, andwas not threatened or alarmed by thenotion of psychological intervention.The consultant and teacher also hadtime to discuss the issues in advance,and were hopeful that they could worktogether with the child and his mother.At times, children's classroom difficultiesare presented in a less coordinated andtimely manner, to parents who are lessprepared to hear about them. Theconsultant may be asked to intervenewhen there are strains in the relationshipbetween the parents and the preschool.The goal in these cases is often to improve

communication and foster a mutualunderstanding between parents and staffas well as respond to the current problem:

THE CONSULTANT MAY be asked to

intervene when there are strains in therelationship between the parents and thepreschool. The goal in these cases is oftento improve communication and foster amutual understanding between parentsand staff

Ms. Gonzalez worked as an admin-istrator at a public school pre-kindergarten, and her 4-year-old son,Manny, was enrolled in the program.Manny was an active and rambunctiousboy who was prone to accidents athome and in school. Previous incidentsat the school in which he had sustainedminor cuts and bruises had left hisparents angry and suspicious, andthey believed that Manny's teachers

were not providing adequatesupervision and did not particularlycare for him. In classroom visits, theconsultant, Dr. Monroe, did not findthat supervision per se was a problem,but he did observe that the teacherswere not comfortable with Mannyand the three or four other activeboys in the class. They ranged frombeing tentative to sometimes beingharsh and overbearing with them.To help the situation, Dr. Monroehad been encouraging the teachersto have more active outdoor playtime,and had himself been trying toorganize ball games for these boys.During one of these, Manny wastackled by two other boys and receiveda fairly serious gash above his lip.He was brought to the nurse whoadministered first aid, and thencontacted Manny's mother, Ms.Gonzalez, whose office was just downthe hall. Ms. Gonzalez was furiousthat she had not been contacteddirectly by the teachers and by whatshe again perceived to be a lack ofsupervision, as nobody could tell herexactly what had happened.

When informed by the director ofMs. Gonzalez's upset, Dr. Monroestopped in her office at lunch. Heexplained that he had in fact beensupervising Manny, and that theteachers had not been remiss in theirduty. He also talked at length withMs. Gonzalez about Manny's highactivity level, and shared ideas abouthow to help him channel some of hisenergy and organize himself bothat home and in school. He also

81THE VIEW FROM THE FIELDPromoting Social and Emotional Development in Young Children: The Role of Mental Health Consultants in Early Childhood Settings

encouraged Ms. Gonzalez to sit downwith Manny's teachers and raise herconcerns directly with them. Shescheduled a meeting for the followingweek and seemed to feel that theteachers heard her concerns. Theremainder of the school year passedwithout any major incident, and theconsultant observed that the teachersseemed more attentive and comfortablewith Manny.

In the above example, a moment ofcrisis turned into an opportunity forthe parents and staff to take stock oftheir relationship and openly air theirdisagreements. Rather than contributeto a lingering resentment by both parties,it forced open the issues between them,helped along by some coaxing by theconsultant. The fact that he wasinvolved in the incident placed himsquarely in the center of the dispute fora brief time. Though in an awkwardposition, he worked hard to not bedefensive with this mother, nor to shyaway from her anger. Being in thisposition also allowed him to share someof the "blame" with the teachers, and tofurther empathize with their dilemmasin dealing with active preschool boys.

INTERVENTIONS WITH CHILDREN

The mental health consultant enters theclassroom wearing many hats. At times,she observes or intervenes with aparticular child or small group of children.

After becoming a more familiar presencein the classroom, the consultant maywork with the children as a group tosupport their emotional developmentor address specific psychological concerns.

The consultant and teacher can addressthese issues during free play and otherunplanned interactions, as well as inplanned activities such as circle timediscussion, story telling, puppet anddramatic play. Mealtimes present

an excellent opportunity for suchinformal exchanges

Ms. Hardy, a head teacher at a nurseryschool, found that meals were mostefficient when the children wereencouraged to share the preparation,serving and clean-up, keepingconversation to a minimum. Thecenter's director, however, had recentlysuggested that informal conversingduring meals was an excellentopportunity to support languagedevelopment. The consultant,Ms. Saunders, felt that such groupdiscussions could also supportemotional growth. She felt that thegroup focus during meals was anatural time to help children expressthemselves verbally, articulating theirown feelings while respondingappropriately to the expression ofothers. Ms. Saunders therefore offeredto join the class for meals. The eagerand animated young children lost no

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time in volunteering to participatein group discussions. Teachers andthe consultant typically followed thelead of the children with discussionsemerging that ranged from the smells,sight, taste and feel of the food theywere eating, to events that occurredat home, to reflections on classroomactivities. At times, the consultantdid initiate discussion about a topicof some particular relevance to theclassroom, such as feelings about ateacher's unplanned absence or animpending holiday or vacation.Sometimes the children would begintalks about bad dreams or monsters,or trouble with younger siblings athome. Despite Ms. Hardy's initialreticence, she soon found that theselittle chats were not only enjoyable toall, but that they improved theatmosphere in the class withoutcausing breakdown in the carefullycultivated structure of the room.

THE MENTAL HEALTH consultant enters theclassroom wearing many hats.

SoMe teachers express the understandable

concern that the unstructured nature ofmore free-flowing conversation will

contribute to disorder in the classroomand indeed, depending on the content,this can occur. While verbal expression

of more negative feelings can, at times,

lead to a more expressive, less controlled

atmosphere, this short-term consequenceis usually outweighed by the gains in

understanding and support that occurwhen such themes are opened fordiscussion. Children are, in fact, more

likely to become unruly and disruptivewhen their feelings remain unspoken butcontinue to lurk beneath the surface, andare often notably calmed when given theopportunity to express themselves toadults who listens to them. These group

discussions are not meant to be biasedtoward more difficult or painful emotional

content the children are free to expressboth negative and positive thoughts andfeelings. The open sharing of joy,excitement and other warm feelings is

an equally important part of establishingan emotionally supportive environmentin the classroom, especially for children

who live in more difficult or deprivedhome environments.

CHILDREN ARE, IN FACT, more likely to

become unruly and disruptive when theirfeelings remain unspoken but continue to lurkbeneath the surface, and are often notablycalmed when given the opportunity to expressthemselves to adults who listens to them.

In some cases, mental health consultantsalso are available to provide briefassessment and treatment services for thechildren. Some centers are set up to allowthe consultants to provide on-sitetreatment or to work 1:1 with a child inthe classroom. Early childhood teachersoften identify children who could benefitfrom brief, preventive intervention. Themost frequent referrals are for children

with behavior problems or those withsymptoms of depression or anxiety.Parents are always contacted and consulted

prior to any individual meeting with achild, and always need to be part ofplanning any ongoing interventions.

83THE VIEW FROM THE FIELDPromoting Social and Emotional Development in Young Children: The Role of Mental Health Consultants in Early Childhood Settings

Ideally, both parent and child getsupport that strengthens their resilienceand improves their relationship witheach other:

Philip, a 4-year-old was referred forbrief treatment after his teachersbecame more aware of his isolation,and self-deprecating remarks andbehaviors. Philip's mother was depressedand overburdened, and at that time,she was unable to offer much supportto him. She frequently referred to himas "bad" and compared him negativelyto his younger brother, and openlyexpressed a wish to be rid of him. Inthe early phase of treatment, Philipwould repeatedly depict a motherrejecting and killing her son, and thenrunning off with her younger child.

Philip's therapist openly discussedhis mother's difficulties, but alsoemphasized and attempted to engagehis strengths and skills, particularlyhis keen intelligence. She supportedand facilitated Philip's creative useof materials and his dramatic andsymbolic play. She also helped histeachers to likewise identify andsupport his strengths and need fornurturance. They readily acceptedthese suggestions and began to applythem to other children in the classas well, focusing on how each was a"special person."

Work with Philip's mother was initiallydifficult, as her depression had left herdetached from his feelings as well asher own. She did however, support histreatment and the classroom interven-tions, and gradually began to identifywith the positive view of Philip

84:

communicated to her by his therapistand teachers. After leaving his nurseryschool, Philip was granted a scholarshipto a local parochial school. Proud ofhis achievement, Philip's mother wasan enthusiastic participant at his"graduation," and became more activelyinvolved with his schooling thefollowing year.

Some consultants may have opportunitiesto work with children in small groups.Preschool groups can serve a variety ofpurposes: socialization, development ofempathy, and growth of interpersonalskills through play and group discussions.

Groups provide another way to reachyoung children whose development maybe negatively affected by stressful life

events, reflected in maladaptive behaviors

such as withdrawal, aggression or hyper-activity. By observing and working withchildren's issues in the small groupsetting, the therapist can observe andfurther assess social and emotionalproblems identified in the classroom,interpret and address problems in peerrelationships and intervene to improveadjustments to transitions, listening andturn-taking. Often children are identifiedfor a group based on similar experiencesor behavior:

SOME CONSULTANTS MAY have opportunities

to work with children in small groups.Preschool groups can serve a variety ofpurposes: socialization, development ofempathy, and growth of interpersonal skillsthrough play and group discussions.

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In one group of boys attending anurban child care center, the childrenoften played about "fathers." Theconsultant was aware that in realitymany of the boys' fathers were absentfrom their lives. They continuallypretended to be truck drivers,construction workers, and dads goingshopping. They used the telephones tomake "calls" to their fathers and oftenassumed self-consciously "macho"roles, which at times included aggressiveor provocative behaviors. The therapistattempted to bring the feelings andthoughts represented by this play intothe verbal arena, making simplecomments such as, "You boys reallythink a lot about your dads," or "Iwonder if George misses his dad."These play sequences and narrativecomments eventually stimulated amore direct discussion of the children'sfeelings of disappointment and theirlonging to connect to adult male figures.

Sometimes children respond to theconsultant's words, elaborating the play

or making a revelation about their lives.

At other times, words seem to fall on deafears, and the children do not necessarilyrespond to what is said. However, even

when children are not yet able to makeuse of interpretations or even simpleinvitations to talk about their lives, they

benefit from the opportunity to play outtheir feelings and issues in the supportive

group milieu.

CHILDREN AND FAMILIES also benefit from

the combined focus on children's social andemotional development and early interventionefforts aimed at preventing more seriousproblems from developing later on in childhood.

CONCLUSION

r

A strong preschool/mental healthpartnership can lead to decisive changeand can leave programs with moreeffective tools to meet their children'sneeds (Donahue, 1996; Donahue, Falk& Provet, 2000; Goldman et al, 1997).

The shared vision of professionals cangive staff new hope that they can confront

difficult behaviors and emotionallycharged material in the classroom.Children and families also benefit fromthe combined focus on children's socialand emotional development and earlyintervention efforts aimed at preventingmore serious problems from developinglater on in childhood. In addition, aneffective mental health collaboration canenhance a program's resilience, and reduce

the stress of staff as they join together toface the day to day challenges of meetingthe educational and emotional needs ofthe young children they serve.

85THE VIEW FROM THE FIELDPromoting Social and Emotional Development in Young Children :' Role of Mental Health Consultants in Early Childhood Settings

REFERENCES

Aber, J. L. & Allen, J. P. (1987). Effects of maltreatment

on children's socioemotional development: An

attachment theory perspective. DevelopmentalPsychology 23, 406-414.

Cohen, P., Provet, A. & Jones, M. (1996). The prevalence

of emotional and behavioral disorders in childhood andadolescence. In B. Levin & J. Petrila (Eds.). Mentalhealth services: A public health perspective.

Donahue, P., Falk, B., & Provet, A.(2000). Mental HealthConsultation in Early Childhood. Baltimore: Paul H.Brookes Publishing Co.

Donahue, P. J. (1996). The treatment of homeless

children and families: Integrating mental health

services into a Head Start model. In Zelman, A. (Ed.)

Early intervention with high-risk children. Northvale, NJ:Jason Aronson.

Dubow, E. F., Roecker, C. E. & D'Imperio, R. (2001).

Mental health. In R. T. Ammerman & M. Hershon

(Ed.). Handbook of prevention and treatment withchildren and adolescents: Intervention in the real worldcontext. New York: John Wiley.

Goldman, R.K., Botkin, M J., Tokunaga, H. & Kuklinski,M. (1997). Teacher consultation: Impact on teachers'

effectiveness and students' cognitive competence and

achievement. American Journal of Orthopsychiatry, 67,

374-384.

Hyson, M. C. (1994). The emotional developmentof young children: Building an emotion-centeredcurriculum. New York: Teachers College Press.

Knitzer, J. (1996). Meeting the mental health needs

of young children and their families. In Stroul, B. A.(Ed.), Children's Mental Health: Creating systems ofcare in a changing society. Baltimore: Paul H. Brookes

Publishing Co.

Koplow, L. (1996). Unsmiling faces: How preschoolscan heal. New York: Teachers College Press. In Poverty,

(1990). Five million children. New York.

Pynoos, R.S. & Eth, S. (1986). of Child Psychiatry, 25,

306-319. Witness to violence: The child interview.

Journal of the American Academy of Child Psychiatry25,

306-319.

Rutter, M. & Quintin, D. (1977). Psychiatric Disorder:

Ecological factors and concepts in causation. In M.

McGurk, H. (Ed.), Ecological factors in humandevelopment. New York: North Holland.

Tobias, L. T. (1990). Psychological consulting to

management: A clinician's perspective. New York:

Bruner Maze! Inc.

\Verner, E. (1989). High-risk children in young

adulthood: A longitudinal study from birth to 32years. American Journal of Orthopsychiatry 59, 72-81.

Yoshikawa, Y. and Knitzer, J. (1997). Lessons from the

field: Head Start mental health strategies to meetchanging needs. New York: National Center for Childrenin Poverty.

Zero to -rhree. (1994). Caring for infants and toddlersin violent environments: Hurt, healing, and hope.Arlington, VA: Zero to Three/National Center forClinical Infant Programs.

86 79

THE KAUFFMANEARLYEDUCATIONEXCHANGE

Roxane Kaufmann, M.A.

Deborah F. Perry, Ph.D.

Georgetown University Child

Development Center

3307 M Street N.W., Suite 401

Washington, DC 20007

phone: 202-687-5072

rkaufman@georgetown.edu

80

T H E V I E W F R 0 M T H E F I E L D

PROMOTING SOCIAL-EMOTIONALDEVELOPMENT IN YOUNG CHILDREN:

PROMISING APPROACHES AT THE NATIONAL,STATE AND COMMUNITY LEVELS

ROXANE KAUFMANN, M.A.DEBORAH F. PERRY, PH.D.

RATIONALE FOR NATIONAL,STATE AND LOCAL INITIATIVES

Over the last decade, there has beengrowing awareness of the scientificevidence that effective interventionsdelivered to young children and theirfamilies can have long-term positiveoutcomes (National Research Counciland the Institute of Medicine, 2000).Research on early brain developmentbolsters intervention studies that suggestthat small shifts in the developmentaltrajectories of young children can havelasting effects. Increasingly, these studies

have used rigorous scientific designs,such as randomized trials (e.g., the InfantHealth and Development Program) andlongitudinal studies of populations atrisk (e.g., Chicago Parent-Child Center).These results have motivatedpolicymakers and program managersto identify vulnerable groups of youngchildren and seek out effective strategies

that can be delivered to these childrenand their families.

THE RESEARCH IS CLEAR: child care affectschildren's development; but it is the qualityof care, not the amount of hours spent inchild care.

At the same time, more and more youngchildren in this country are spendinglonger days in child care settings. Sixty

percent of women whose children areunder the age of three are participatingin the work force (Phillips & Adams,

2001). Data from the National Instituteof Child Health and Human Development(NICHD) Study of Early Child Carea nationally representative sample of1,200 families provide a snapshot ofwhat the child care implications of theseemployment trends. In their sample,nearly three quarters of all infants underthe age of 1 experienced regular, non-parental care; often their entry into childcare occurred prior to 4 months of age.Women who had experienced periods

of poverty and/or welfare dependenceplaced their infants in care prior to 3-months of age, as compared to women

.87THE VIEW FROM THE FIELDPromoting Social-Emotional Development in Young Children: Promising Approaches at the National, State and Community Levels

with more financial resources whotypically waited longer to begin non-parental care. Infants were in non-parental

care and average of 28 hours per week;and these figures tend to increase aschildren get older (Phillips & Adams,2001). The research is clear: child care

affects children's development; but it isthe quality of care, not the amount ofhours spent in child care. Unfortunately,high-quality infant care is out of theeconomic reach of many of the familieswho need it most those families whoare poor, lacking in maternal educationand exposed to other risk factors forpoor developmental outcomes.

In recognition of many of these trends,the nation's governors embarked on aseries of initiatives that focused on youngchildren and their families (McCart &Steif, 1995; Steubbins, 1998). As governors

grappled with how best to prepare children

who arrive at kindergarten "ready tolearn:' there was a growing realizationthat achieving this goal would requiremore than increased cognitive stimulation

for our youngest citizens. In fact, schoolreadiness appears to be intimately tied tosocial-emotional development. Whenteachers report that between one-quarterand one-third of their preschoolers arenot ready to succeed in school, oftenit is because of a lack of behavioral and

emotional maturity rather than notknowing their numbers and letters(Knitzer, 2000).

AS GOVERNORS GRAPPLED with how best toprepare children who arrive at kindergarten"ready to learn," there was a growingrealization that achieving this goal wouldrequire more than increased cognitivestimulation for our youngest citizens.

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States have also faced challenges as they

have continued to implement earlyintervention programs for young children

with disabilities and those at risk fordeveloping disabilities under theIndividuals with Disabilities EducationAct. As early intervention systems have

developed and matured across thenation, state program managers havebegun to confront the need to go beyondtraditional center-based, therapeuticapproaches (i.e., occupational, speechand/or physical therapy). Especially instates where they are serving childrenat risk for developing delays, the need

to expand services to include social-emotional outcomes and relationship-based services has come to the fore(Indiana Family and Social ServicesAdministration, 2001).

Child care providers are reportingincreasing numbers of youngsters who areat-risk for removal from their care becauseof behavioral and/or social-emotionalchallenges. Kindergarten teachers arereporting high numbers of children enteringschool not ready to succeed.

These national trends converge incommunities across the country. Parentswho are working harder and longerhours are searching for high-qualitychild care environments for their youngchildren. Child care providers arereporting increasing numbers ofyoungsters who are at-risk for removalfrom their care because of behavioraland/or social-emotional challenges.Kindergarten teachers are reportinghigh numbers of children entering

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school not ready to succeed. National,state and local stakeholders are comingtogether to develop promising approaches

to meet these needs and promote positivemental health for young children andtheir families.

SUMMARIES OF PROMISINGAPPROACHES

Given the overwhelming interest in earlychildhood mental health that hasburgeoned over the past five years, it isdifficult to select only a few national,

state and community efforts to includein this paper. That such difficulty exists

at all is a promising indicator of changeand growth in the field. Only a handfulof early childhood mental health initiatives

have a history that extends beyond themid-1990s and these examples providesome important lessons for a field that is

still in its own toddlerhood. At thenational level, Head Start has a long-standing commitment to a comprehensive

view of early childhood developmentthat includes mental health outcomes asan explicit part of their health component.

At the state level, Michigan has had along-standing commitment to infantmental health and relationship-basedinterventions. And in Cleveland, Ohio,the PEP program has been servingpreschool children with significantemotional and behavioral problemsfor nearly 20 years.

For this paper, we have selected some

examples of programs with long historiesand some that are more recent in theirinception to highlight the range of different

approaches that states and localities have

taken to promote early childhood mental

health. National initiatives describedinclude Early Head Start and StartingEarly Starting Smart. State examples

include Vermont's system of care develop-

ment for young children and their families,

Florida's strategic planning and billing

processes and Maryland's initiative to

infuse mental health prevention,promotion and treatment into theirearly childhood systems. Ohio's state-level activities to support early childhoodmental health as well as Cleveland's

successful community-wide,comprehensive program will be described.

And finally, San Francisco's creative use

of TANF and state tobacco funds to fundmental health consultation to child carewill be shared.

NATIONAL INITIATIVES

EARLY HEAD START. Building upon

the success of Head Start in providingcomprehensive child developmentservices to more than 18 million low-income children since 1965, the Federalgovernment added a new program tomeet the needs of America's youngestcitizens. The 1994 reauthorization ofthe Head Start program was motivatedby the growing evidence of theimportance of the first three years of life

and expanded the program to pregnantwomen and families with infants andtoddlers. Today, Early Head Start servesmore than 55,000 children across thecountry through flexible, community-based services including home visits,child development, health (includingmental health), disability and nutritionservices (Fenichel & Mann, 2001).

Head Start Performance Standardsprovide guidance on addressing a

89THE VIEW FROM THE FIELDPromoting Social-Emotional Development in Young Children: Promising Approaches at the National, State and Community Levels

continuum of mental health needsfrom promotion to interventionthrough ongoing communicationbetween families and staff, communitycollaboration for appropriate servicedelivery and the provision of on-sitemental health consultation.

TODAY, EARLY HEAD START serves more

than 55,000 children across the countrythrough flexible, community-based servicesincluding home visits, child development,health (including mental health), disabilityand nutrition services.

Early Head Start's infrastructure, trainingand technical assistance, evaluation and

research acknowledges the primacy ofhealthy, reciprocal, nurturing relationships

between infant and caregiver asfundamental to later success in schooland life. At the program level, however,

it is often difficult to create the kind ofenvironment and community linkagesthat assure success in meeting thebehavioral health needs of infants,toddlers, their families, and the staffwho serve them (Chazen-Cohen, Jerald,and Stark, 2001).

Several programs across the countryhave taken a proactive approachintegrating mental health practices intothe daily routines of staff, children andfamilies, and can serve as models for

other programs to emulate. One suchEarly Head Start grantee, a communitymental health center in Ohio, hascontracted with a local university toprovide intensive training on infantmental health for all staff members

90

home visitors, supervisors andadministrators. Ongoing reflectivesupervision of staff, using a case

conferencing approach, is an integralcomponent of the program. The EHSdirector reports that the staff feels verysupported in their work with infants andfamilies and that staff turnover, a severeproblem in Head Start and child careprograms, has been lessened.

SEVERAL PROGRAMS across the country

have taken a proactive approachintegrating mental health practices intothe daily routines of staff, children andfamilies, and can be serve as models forother programs to emulate.

Recently, the Administration onChildren, Youth and Families (ACYF)

convened a forum on infant mentalhealth that brought together more than140 stakeholders involved with EHS.

Through presentations by anddiscussions with nationally recognizedclinicians, practitioners, parents,researchers, and federal and foundationofficials, consensus was reached on anaction agenda that will guide the nextphases of the work on infant mentalhealth in EHS. There was widespreadacknowledgement that EHS and childcare alone cannot provide the range ofsupports and services needed to meetthe varied needs of infants/toddlers andtheir families. Programs must partnerwith other community agencies as wellas state and local officials to build systems

of care for these families. ACYF recently

funded new technical assistance and

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training initiatives at ZERO TOTHREE and the Center on the Socialand Emotional Foundations for EarlyLearning, at the University of Illinois, to

focus on promoting early mental healthin EHS, Head Start and child care.

PROGRAMS MUST PARTNER with other

community agencies as well as state andlocal officials to build systems of care forthese families.

STARTING EARLY STARTING SMART.

The Substance Abuse and Mental HealthServices Administration (SAMHSA),in partnership with the Casey FamilyFoundation, has funded a rigorousmulti-site research and demonstrationeffort referred to as Starting EarlyStarting Smart (SESS). The emphasis inSESS is on the integration of behavioralhealth services into accessible, non-threatening settings where familiesnaturally take their children. The currentSESS sites serve children and families inearly childhood educational settings andin primary pediatric health care facilities.Primary care sites are located in Boston,MA, Albuquerque, NM, Spokane WA,Miami, FL and Boone County, MO.Early childhood education sites arelocated in San Francisco, CA, Little Rock

AR, Las Vegas. Baltimore MD,

Montgomery County, MD, Chicago, IL,and the Tulalip Tribes, WA.

Children and families are served in therural, urban and suburban neighbor-hoods in which they live throughservices that are integrated, accessible,and culturally competent. The designof the model encourages creativeapproaches that meet the unique needsof the population being served. Forexample, in one community a nativeelder, a storyteller in the tribe, worksweekly with children in the preschool tohelp them deal with their fears, build asense of identity and connect to theirheritage through traditional stories.

91

THE EMPHASIS IN Starting Early StartingSmart is on the integration of behavioralhealth services into accessible, non-threatening settings where familiesnaturally take their children.

THE VIEW FROM THE FIELDPromoting Social-Emotional Development in Young Children: Pruiids:ing Approaches at the National, State and Community Levels

SESS has a strong steering committeemade up of the Principal Investigatorsand Coordinators from each site, familymembers, the Data Coordinating Centerwhich is responsible for the cross-siteresearch, federal partners and CaseyFamily Foundation representatives. Thequality of family participation becameenhanced later in the project when

SAMHSA and Casey contracted withthe Federation for Children's MentalHealth. The role of this committee wasto design the cross-site evaluation,review and select instruments, sharestrategies, solve problems, explain

findings, author articles, make

presentations and guide the organicnature of a field-based, early intervention,

research and demonstration program.

Recognizing that fragmentation of services

and agencies and the lack of culturally,linguistically and developmentallyappropriate services often keep familiesfrom accessing needed services, SESSbroadly focused on the following goals:

increasing access and utilizationof services;

promoting collaboration at thecommunity level to promoteservices integration;

improving parenting skills andfamily well-being; and

strengthening child development.

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THE TYPES OF SERVICES that were created,

adapted, or accessed were tied togetherthrough care coordination of services andsupports that were "wrapped around"families through the development of astrengths-based, family participatory process.

The types of services that were created,adapted, or accessed were tied togetherthrough care coordination of servicesand supports that were "wrapped around"families through the development of astrengths-based, family participatoryprocess (Hanson, Deere, Lee, Lewin, andSeval, 2001). Intervention services include:

child development services, family/parenting services, mental health servicesand substance abuse treatment services.

Unique approaches led to successes ineach of the sites. For example, connecting

families to mental health services hadbeen very difficult in San Francisco's

China Town. So the SESS site hiredand trained cultural brokers who spokethe languages of the families served,understood their beliefs and values, anddeveloped trusting relationships withthem. These trusted brokers acted ascare coordinators, helping families feelcomfortable using needed services. Inanother location, a small group of mothers

with newborn infants came togetherwith their babies to create baby-bookswhile dealing with their guilt and struggles

around substance abuse. The typicalactivity helped the mothers identify andappreciate their infant's unique character-istics while they dealt with the past andlooked hopefully to the future.

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STATE AND LOCAL INITIATIVES

VERMONT. At present, Vermont is the

only state that has built a statewide system

of mental health services and supports,integrated into the early childhood-serving

system. The impetus for their effortscame from a survey that showed 30%of the state's young children lacked theemotional and other skills to succeedin school. At the same time anecdotalreports of children exhibiting increasinglydisturbing behaviors prompted the stateto take action. They used these datato obtain funding for the Children'sUpstream Project (CUPS), from thefederal Children's Mental Health Services

Program, and from SAMHSA. CUPSbuilt on the existing network of stateand regional teams focused on otherearly childhood issues (i.e., qualityimprovement, shared standards acrossearly childhood settings, and Vermont'shome visiting program for all newborninfants). Included in these partnershipsare mental health, substance abuse,domestic violence, and public healthagencies. This initiative stretches both

the early childhood and the mentalhealth "vision" of who needs to cometogether to share responsibility forpromoting the well-being of youngchildren (Knitzer, 2000).

VERMONT IS THE ONLY STATE that has

built a statewide system of mental healthservices and supports, integrated into theearly child-serving system.

At the local level, services are developedto be responsive to the unique needsthat emerge in each community. Whenfamilies' mental health needs exceed theprofessional expertise of a nurse, mentalhealth providers conduct home visits.Mental health consultation is providedas needed to child care, Head Start andpreschool programs. And a growingnumber of play group and parent-to-parent support groups have mental health

facilitators. Several communities havemental health personnel stationed inpediatrician's offices to screen childrenand to provide guidance to families whohave concerns about social and emotionalissues. For young children identified ashaving significant mental health needs,"wrap around" individualized servicesare provided to the family.

For example, a child care provider wasconcerned about the withdrawn behaviorof a 3-year-old in her class and referredthe young mother to CUPS. The child'smental health practitioner met with thefamily and quickly suspected that themother was struggling with severedepression and referred her to a colleaguefor treatment. At first, the mother onlywanted services for her daughter, but over

time, as a result of the trusting relationship

with the child's mental health worker(who became the family's servicecoordinator), she agreed to get help forherself. The mother attributes the tenacity

and support of the service coordinatorwith saving her family.

93THE VIEW FROM THE FIELDPromoting Social-Emotional Development in Young Children: Promising Approaches at the National, State and Community Levels

At the state level CUPS has convened atask force on sustainability and blendedfunding, developed early childhoodmental health competencies for providers,and funded a consortium of colleges anduniversities to provide training on earlychildhood mental health to local providers

and family members. The state is workingwith existing parent support andeducation groups to infuse mental healthissues into their services. Emergency

mental health crisis teams have beentrained to address the needs of familiesand providers of young children.A separate evaluation is tracking theoutcomes of the CUPS initiative.

FLORIDA ENGAGED IN a statewide strategicplanning process to build a system ofmental health services for young childrenand their families.

FLORIDA. With more than one million

children under age 5, Florida struggleswith meeting these children's needs forhealth, safety and emotional well-being.As in many states, there are a dearth ofearly services, inadequate funding and alack of qualified staff. To address these

issues, Florida engaged in a statewidestrategic planning process to build asystem of mental health services for young

children and their families (Florida StateUniversity Center for Prevention andEarly Intervention Policy, 2000). Thestakeholders came to consensus on acontinuum of services that includes:

94

prevention services that promoteresponsive caregiving and strengthenthe child/caregiver relationship(level one);

services that provide developmental,relationship-focused early interventionservices for children at risk of or with

delays, disabilities, chronic healthproblems, exposure to violence andabuse or neglect (level two); and

services that provide specialized mental

health treatment for severe emotionalproblems or parent/baby dyads withspecific needs (level three).

Following the successful planning process,

the Florida legislature funded three pilotprojects to provide infant mental healthservices through different points of entry.In addition to the comprehensive planthat provides a model for other states toemulate, Florida has updated its mentalhealth services coverage. Medicaid guidance

now allows for individual or family therapy,

allowing for relationship-based treatment;

licensed practitioners can enroll as treating

providers and authorize services on arecipient's treatment plan; and a sectionon serving children birth to 5 years wasadded to the State plan. In a precedent-setting move, the new guidancespecifically cites the use of the DiagnosticClassification of Mental Health andDevelopment Disorders of Infancy andEarly Childhood (DC: 0-3) diagnosticcodes (Johnson, 2001).

FOLLOWING THE SUCCESSFUL planning

process, the Florida legislature funded threepilot projects to provide infant mental healthservices through different points of entry.

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ANNE ARUNDEL COUNTY FUNDS two

behavioral interventionists who consultto all child care providers on a first-come-first-serve basis in an effort to keep childrenfrom being expelled from child care.

MARYLAND. Historically, counties in

the state of Maryland have a great deal

of autonomy. During the last decade thestate made a commitment to reformingtheir child-serving systems, and countygovernance structures called LocalManagement Boards were establishedas forums to promote collaboration andcoordination of services for childrenand families. Local Management Boards(LMBs) are the vehicles through whichlocal responses to service needs ofchildren residing in each jurisdiCtion aredeveloped. Currently, there are a numberof LM Bs that have identified earlychildhood mental health as a priorityarea and there are initiatives fundedthrough a combination of county dollars,private funds and state/federal grantawards. For example, Baltimore City

was one of the SESS sites, successfully

integrating an on-site mental healthcollaboration project that is beingsustained by the city's children's mentalhealth agency. Anne Arundel Countyfunds two behavioral interventionistswho consult to all childcare providers ona first-come-first-serve basis in an effortto keep children from being expelledfrom child care. Part C and Section 619special education discretionary dollarshave been used to fund a mental healthconsultant in a public preschool and

95THE VIEW FROM THE FIELD

kindergarten in rural Allegheny County,and mental health consultation is available

through the Infants and Toddlers Program

in Montgomery County.

In an effort to develop a more systematic

approach to ensuring that appropriatemental health services and supports wereavailable to young children and theirfamilies across the state, the Departmentof Mental Health and Mental Hygieneinitiated a statewide planning andimplementation process. Followingthe recommendations developed at astrategic planning retreat in 1999, a statesteering committee was established. Thegroup is co-chaired by the Departmentsof Mental Health and Education withactive participation from a variety ofstakeholders including the Governor'sOffice for Children, Youth and Families,child care and Head Start programs,resource and referral agencies, family

organizations, Departments of HumanResources and Juvenile Justice, Local

Management Boards and practitioners.The mission of the Early ChildhoodMental Health Steering Committee is todevelop strategies to infuse mental healthprevention, promotion and treatmentservices and supports into existingearly childhood programs, settingsand initiatives.

The Steering Committee initiallyidentified five goals:

To understand the current systemof care by assessing current needs,resources, and gaps in mentalhealth services to young childrenand families;

Promoting Social-Emotional Development in Young Children ,Promising Approaches at the National, State and Community Levels

To develop and advocate for anintegrated early childhood mentalhealth system of care, includingspecific elements which will beidentified, defined and developed;

To develop and implement acurriculum/training/certificationprocess for early childhood/familymental health professionals that isearly childhood specific with itsfoundation in child developmentand mental health;

To develop a consumer input andfamily feedback system to inform thesteering committee and the servicedelivery system; and

To design and offer mental healthconsultation to recognize mentalhealth issues to all early childhoodservice settings in Maryland,including consultation to familiesand service providers.

During the first year, subcommitteeswere established to work on the first twogoals (i.e., a Needs Assessment

Subcommittee and a System of CareSubcommittee, respectively). As a result,there is an agreed-to vision of what asystem of care to promote early childhood

mental health would look like inMaryland. This vision informed thework of the Needs AssessmentSubcommittee. A consultant has beenidentified and funding from threepartner agencies has been committed tocomplete a statewide assessment of theneed for and capacity to deliver earlychildhood mental health services andsupports in each county. Recently,subcommittees were also established toexamine the current array of in-service

and pre-service training opportunitiesacross the state to enhance the qualityof provider's skills at all levels. There is

a great deal of interest in this issue in theMaryland legislature and several hearings

have occurred. Legislation is being drafted

that would provide counties with somestate funding to support expansion totheir early childhood mental healthservices and supports.

96

A MODEL DEMONSTRATION project funded by

the Ohio State Department of Mental Healthencourages local collaboratives or programsto apply for competitive awards to providemental health consultation to child care,Head Start and other preschool programsacross the state.

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90

OHIO AND CUYAHOGA COUNTY. Ohio

has a long history of investing in early

childhood education and support, andis one of a few states that is providing

public preschool for all at-risk 4-year-old children. Several state agencies have

collaborated to address the area of earlychildhood mental health, including theGovernor's Office. TANF funds are usedto provide mental wellness programs forinfants and their parents includingprinted information on social-emotionaldevelopment that is sent to all families ofnewborn children. A public awarenesscampaign in partnership with publictelevision provides families with accessto developmental information on cableand public broadcasting. An investmentin training for child care providers assures

higher-quality environments for youngchildren and staff who understand thesocial and emotional development ofyoung children.

A model demonstration project fundedby the Ohio State Department of MentalHealth encourages local collaboratives orprograms to apply for competitive awardsto provide mental health consultation tochild care, Head Start and other preschool

programs across the state. To assure thatmental health clinicians have the skills todeliver consultative services, the state hasinvested in ongoing staff training. Dataare being collected on the effectiveness ofservices, with the goal of expanding themodel statewide. The state also investedin funding local early childhood homevisitation programs that promote mentalhealth and reduce child abuse.

One of the community agencies thatprovide both mental health consultationand home visiting is the Parent Inter-vention Centers of the Positive Education

Program (PEP) located in CuyahogaCounty (where Cleveland is located).PEP is a highly respected, parent-drivenearly intervention program for the mostchallenged and challenging childrenand their families. The goal is to empower

parents to work effectively with theirchildren. Families are paired with a"graduate parent" who is the facilitator

of sessions between parents and theirchildren. Problem behaviors are targeted,an individualized treatment plan iscollaboratively developed, and servicesare provided in ways that help the family

at home and in the community.Sessions are observed and supervised bymental health professionals.

PEP expanded its array of services toinclude Day Care Plus, a collaborativeeffort between the PEP, the CuyahogaMental Health Board and a local childcare resource and referral agency.Day Care Plus provides mental healthconsultation teams (made up of mentalhealth consultants and family advocates)to more than 30 family and center-basedchild care programs in Cleveland. Theexplicit goals are to maintain youngchildren with challenging behaviors intheir existing child care settings, and toincrease the competencies of child carestaff (in order to improve the qualityof the program, reduce staff stress and,ultimately, staff turnover). In additionto center-based consultation, aCommunity Response Team has beenadded to provide crisis interventionand consultation.

97THE VIEW FROM THE FIELDPromoting Social-Emotional Development in Young Childrelr. Eljomising Approaches at the National, State and Community Levels

SAN FRANCISCO. In 1999, the San

Francisco Departments of Public Health,Human Services, and Children, Youth

and Families pooled more than $2 millionto provide mental health consultationservices to more than 50 child care centers

and more than 100 family child carehomes within San Francisco. Funds come

from a combination of Medical, TANFand local funds to Community MentalHealth Services, Department of Health,which manages the initiative. Services

are provided by a variety of granteeagencies with experience serving childrenand families from a wide range of ethnicand racial groups.

IN 1999, THE SAN FRANCISCO Departments

of Public Health, Human Services, andChildren, Youth and Families pooled morethan $2 million to provide mental healthconsultation services to more than 50 childcare centers and more than 100 family childcare homes within San Francisco.

The consultation services are bothindividual/direct (i.e., servicesprovided directly to child or family)or programmatic/indirect (i.e., servicesthat enable staff at the child care centeror home to understand and handle asituation on their own). Direct servicesrange from individual therapy, playgroups, behavioral plans, assessment,parent groups or crisis intervention.Indirect services address communicationissues between staff members or staffand families, leadership issues, racial

and cultural conflicts, and staff andfamily education about mental health.

IMPACT OF PROMISING PRACTICES

While there has been tremendous growthin efforts to promote early childhoodmental health over the last decade, effortsto rigorously assess the impact of theseactivities are less well developed. It should

be noted that, as a field, we face someinherent difficulties in evaluating theimpact of these initiatives. Some of thesebarriers include limited funding available

for evaluations, difficulties in establishingappropriate comparison groups, warinesson the part of community-based providersabout random assignment of high-riskclients, and a lack of well-established

measures for assessing early childhoodmental health (versus behavior problems).

Some of the efforts described above haveattempted to overcome these challengesand document the effectiveness oftheir interventions.

9 8

AS A FIELD, WE FACE SOME inherent

difficulties in evaluating the impact of theseinitiatives. Barriers include limited fundingfor evaluations, difficulties in establishingappropriate comparison groups, wariness ofcommunity-based providers about randomassignment of high-risk clients, and a lackof well-established measures for assessingearly childhood mental health (versusbehavior problems).

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EARLY HEAD START (EHS) has built

into the initiative a rigorous nationalevaluation that is collecting qualitativeand quantitative data. The first waveof data reported on the efforts of 17grantees during their first two yearsof operation. When compared to arandomly assigned control groups,toddlers who had participated in EHSfor at least one year scored higheron cognitive, language and social-emotional measures. Parents whoparticipated also showed improvementsin their knowledge of infant/toddlerdevelopment, positive parentingbehavior and decreases in theirparenting stress and family conflict.These positive findings were also

tied to the quality of the program'simplementation families did betterin those sites that scored high on thecore components of the Head StartProgram Performance Standards(Fenichel & Mann, 2001).

THE STARTING EARLY Starting Smart studyis guided by two research questions:

(1) Will integrating behavioral healthservices into primary/early childhoodcare settings lead to higher rates of entryinto prevention, early intervention ortreatment services?

(2) Will integrating these services leadto sustained improvements in the outcomesof participating children and families?

STARTING EARLY STARTING SMART

(SESS) also included a rigorous cross-site external evaluation as part of itsimplementation. This 12-site study isguided by two research questions:

(1) Will integrating behavioral healthservices into primary/early childhoodcare settings lead to higher rates ofentry into prevention, early intervention

or treatment services?

(2) Will integrating these services leadto sustained improvements in theoutcomes of participating childrenand families?

Service use and outcomes will becompared for those families at interven-

tion sites and control sites. Childdomains such as attachment, behavioralcompetence, social competence andlanguage and cognitive development

are being measured as are parentand caregiver behaviors, skills andfunctioning. Preliminary data from thecross-site study are due to be released in

November 2001 (Hanson, Deere, Lee,Lewin & Seval, 2001).

VERMONT has a three-tiered approach

to evaluating CUPS. At the federal level,

the Center for Mental Health Services(through its contract with MACROInternational) is collecting child and

family data from all its grantees. To

supplement the federal evaluation, the

State Evaluation Team is collecting data

on two vulnerable populations:

(1) children under 6 who areexperiencing severe emotional

disturbance (SED) and requireservices from more than oneagency; and

99THE VIEW FROM THE FIELDPromoting Social-Emotional Development in Young Children: Promising Approaches at the National, State and Community Levels

(2) adolescent parents (under the age of22) who are experiencing SED andare served by more than one agency.

Finally, local grantees are able to collect

site-specific evaluation data with support

from the State Evaluation Team. Specific

evaluation results (as of 12/2000) support

the program's positive impact on youngchildren and families. As a result of the

CUPS project, more than 1,000 childrenand their families received case manage-

ment, home-based services, respitecrisis outreach or other direct services.Of the families who were referred for aCUPS evaluation, 80% had very highlevels of parenting stress (as measured

by the Parenting Stress Index (PSI)).Nearly one-third of parents describedaggressive behavior as their primaryconcern about their child, and one-quarter identified temper tantrums astheir biggest concern. After six-months,significant decreases in parenting stresswere observed in 10 of the 13 sub-scales

of the PSI. Significant decreases inchildren's problem behaviors were alsoevidenced by lower scores on both theexternalizing and internalizing subscales

of the Child Behavior Checklist.

EIGHTY PERCENT OF the families who werereferred for a CUPS evaluation had veryhigh levels of parenting stress (as measuredby the Parenting Stress Index [PSIS).

After six-months, significant decreases inparenting stress were observed in 10 of the13 sub-scales of the PSI. Significantdecreases in children's problem behaviorswere also evidenced by lower scores onboth the externalizing and internalizingsubscales of the Child Behavior Checklist.

g00

POSITIVE EDUCATION PROGRAM

(PEP) and Day Care Plus have designeda research study to examine the effectsof their mental health consultationprogram. Twenty child care centers

were matched on demographicparameters and one member of eachpair was randomly selected to receivethe intervention. Baseline data onchildren, parents and staff were collected

in 1997 and follow-up data werecollected 12 and 20 months later.One of the dimensions that the studyis tracking is the rate of expulsionsfrom child care settings at the controland intervention sites. Parents andstaff will be assessed on their abilityto manage difficult behaviors and linkwith appropriate community resources.Another potential impact of theconsultation reduction in staffburnout, stress, and turnover will

also be compared across sites (Cohen& Kaufmann, 2000).

Impressive evaluation results have

been reported for the second year ofthe project's implementation. DayCare Plus services were accessed onbehalf of 270 children served in 83child care centers. Only 11 childrenwho were at risk for expulsion wereactually removed from their childcare placement; five of those 11 werewithdrawn by their parents. Day CarePlus provided a range of services tosupport the child care providersincluding on-site consultation, acoordinated arts program, and one-on-one aides. Parents were also thedirect beneficiaries through individualmeetings and group training sessions(Positive Education Program, 2001).

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SAN FRANCISCO reported on their

results of a year-and-a-half externalevaluation of their High QualityChild Care Initiative (Tymminski,2001). The primary focus of theevaluation was to determine whethermental health consultation hadsignificantly affected the quality of thechild care delivered in the eight sites,

staff job satisfaction, and/or social-emotional behaviors in young children.Half of the items from the EarlyChildhood Environments Rating Scale(ECERS) were administered at all ofthe sites as a measure of program quality;

items selected focused on characteristics

of relationships between staff andchildren, parents and staff, etc. Thesequality indicators did not change as aresult of the consultation. Job satisfaction

among staff at these centers was high

at baseline and remained high. Theintervention appeared to have positiveeffects on the children served; at baseline,

the children exhibited on average a 20-month lag in social skills as measuredby the Vineland Adaptive BehaviorSkills, but after the intervention, thisgroup had only a nine-month delay.Unfortunately, the evaluation designdid not include data collected from agroup of similar children who had notreceived the intervention against whichthese developmental changes could becompared. Other findings pointed toa greater effect from child-specific(versus program-focused) interventionsand good effectiveness from grouptherapy approaches.

THE INTERVENTION APPEARED to have

positive effects on the children served;at baseline, the children exhibited on averagea 20-month lag in social skills as measuredby the Vineland Adaptive Behavior Skills;but after the intervention, this group hadonly a nine-month delay.

IMPLICATIONS FOR NATIONAL,STATE AND LOCAL POLICYAND PRACTICE

The increase in activities at the national,state and local levels designed to promote

social and emotional development inyoung children appears to be havingsome of the desired effects. In order tobroaden and sustain early childhoodmental health services and supportsacross this country, there are a numberof implications for policymakers andpractitioners who are committed tohelping the next generation prepareto succeed in school.

There is a need to focus on theprimacy of relationships in fosteringearly childhood mental health andacknowledge the inherent complexityof working with young children (andtheir families), especially those athighest risk. Families' cultural norms,beliefs and values intimately affectthese relationships.

X01THE VIEW FROM THE FIELDPromoting Social-Emotional Development in Young Children: Promising Approaches at the National, State and Community Levels

Growing diversity in the U.S. population

requires people involved at all levels

(e.g., program designers, managersand front line staff) to improve theircultural competency. This requiresa commitment to training existingpersonnel as well as recruiting members

of cultural groups to be a part ofthese initiatives.

Strategies to reach populations thatare at highest risk for poor social-emotional development must betailored to meet their unique needs(i.e., young children of mothersinvolved with welfare reform, youngchildren with disabilities and thoseinvolved in the child welfare system).

There is an urgent need to identifyand train a cadre of mental healthprofessionals who understand theunique developmental challenges ofchildren, ages birth to 5, and can serveas consultants to early childhoodprofessionals. There is a concomitantneed to better equip early childhoodprofessionals to meet behavioral andemotional needs of young children intheir care, one component of this israising the overall quality of child careprovided across the country.

IF WE CONTINUE AS A NATION to commit

ourselves to meeting the social andemotional needs of our youngest citizens,those children will be more successful inschool and in life.

F

0

The early childhood service system isa complex mix of programs, agencies,

providers, and initiatives, often poorlyfunded, and without a consistentcoordinating mechanism at the stateand local levels. A first step in developing

an integrated early childhood mentalhealth system is the need for infra-structure development. Key stakeholders

across agencies and programs mustcome together to develop a commonvision, set priorities, understand diverse

mandates and perspectives, and developa strategic implementation plan.

As systems of care develop, there is

a need to address the inherent gapsin funding and billing for mentalhealth consultative services for youngchildren and families and childcare providers.

If we continue as a nation to commitourselves to meeting the social andemotional needs of our youngest citizens,those children will be more successful inschool and in life. Some of these childrenwill avoid costly and more intensiveremedial services at a later age, and they

will be better able to develop friendshipsand ultimately nurture theirown- children.

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REFERENCES

Chazan-Cohen, R., Jerald, J., & Stark, D. (2001) A

commitment to supporting the mental health of ouryoungest children. Zero to Three, Volume 22 (1): 4-12.

Cohen, E. & Kaufmann, R. (2000) Early ChildhoodMental Health Consultation. Washington, DC: Center

for Mental Health Services, Substance Abuse and Mental

Health Services Administration, U.S. Department ofHealth and Human Services.

Fenichel, E. & Mann, T. (2001) Early Head Start for

low-income families with infants and toddlers. TheFuture of Children, Volume 11(1): 135-141.

Florida State University Center for Prevention and

Early Intervention Policy,. (2000) Florida's Strategic Planfor Infant Mental Health. Tallahassee, FL.: Florida

Developmental Disabilities Council.

Indiana Family and Social Services Administration

and Department of Health (2001) Final Report:SPRANS Project. Unpublished manuscript.

Hanson, L., Deere, D., Lee, C., Lewin, A., & Seval, C.

(2001) Key Principles in Providing Integrated Behavioral

Health Services for Young Children and Their Families:The Starting Early Starting Smart Experience.

Washington, DC: Casey Family Programs and the U.S.

Department of Health and Human Services, Substance

Abuse and Mental Health Services Administration.

Johnson, K. (Forthcoming). Creative fiscal strategiesto enhance emotional health in young children: Casestudies of community and state initiatives. New York, NY:

National Center for Children in Poverty, ColumbiaUniversity and Georgetown University ChildDevelopment Center.

Knitzer, J. (2000) Using Mental Health Strategies toMove the Early Childhood Agenda and Promote SchoolReadiness. New York: Carnegie Corporation of NewYork and the National Center for Children in Poverty.

McCart, L. & Steif, E. (1995) Governors' Campaign forChildren: An Action Agenda for States. Washington, DC:National Governors' Association.

National Research Council and Institute of Medicine

(2000) From Neurons to Neighborhoods. Ed. J.

Shonkoff & D. Phillips. Washington, DC: NationalAcademy Press.

Phillips, D. & Adams (2001) Child care and our youngestchildren. Future of Children, Volume 11(1): 35-51.

Positive Education Program (2001) Day Care PlusAnnual Report: July 2000 through June 2001.Unpublished manuscript.

Steubbins, H. (1998) Improving Services for Children

in Working Families. Washington, DC: National

Governors' Association

Tyminski, R. (2001) A Final Report of an Evaluationof Mental Health Consultation in Child Care Centers:San Francisco's High Quality Child Care Initiative(1999-2001). Unpublished manuscript.

Vermont Agency for Human Services. (1998)An Invitation to Promote Children's Upstream Services

(CUPS). Unpublished manuscript.

103THE VIEW FROM THE FIELDPromoting Social-Emotional Development in Young Children: Promising Approaches at the National, State and Community Levels

104

y

IMPLICATIONS FOR POLICY AND PRACTICE

Promoting Social and Emotional

Readiness for School:

Toward a Policy Agenda

JANE KNITZER, ED.D.

National Center for Children in Poverty

Columbia University, New York, NY 100

105 99

Jane Knitzer, Ed.D.

Deputy Director

National Center for

Children in Poverty

Joseph L. Mailman

School of Public Health

Columbia University

154 Haven Avenue

New York, NY 10032

phone: 212-304-7124

jk340@columbia.edu

100

THE KAUFFMANEARLYEDUCATIONEXCHANGE

IMPLICATIONS FOR POLICY AND PRACTICEPROMOTING SOCIAL AND EMOTIONAL

READINESS FOR SCHOOL:TOWARD A POLICY AGENDA

JANE KNITZER ED.D.

Babies who cannot explore their worldsin safety or trust the adults who care forthem, toddlers who cannot learn to putwords to emotions, preschoolers whofall apart when an adult says no, or whorepeatedly fight with and bully otherchildren are all children who are notdeveloping age-appropriate social,emotional and behavioral skills. Somechildren outgrow problems like these.But for many others, such behaviors are

red flags. If the problems are persistentand the infants, toddlers and youngchildren do not get help, they may notdevelop the skills needed to succeedin the early school years.

Until recently, how to help these youngchildren has not been a focus of muchpolicy attention. But this is changing fortwo reasons. The first is the explosionof knowledge about how a child's earlyrelationships set the stage, not just for

later emotional development, but alsocognitive development and academicachievement (Shonkoff & Phillips, 2000;

Thompson, this volume). This knowledge

provides a powerful rationale for preven-tive and early intervention.

The second reason is that the field issearching for help. Home visitors, childcare providers, Head Start and EarlyHead Start teachers and family supportworkers all report concern about thechildren they serve and great frustrationat not knowing how to help many ofthese children and sometimes theirfamilies (Yoshikawa & Knitzer, 1997).

UNTIL RECENTLY, HOW TO help these young

children has not been-a focus of muchpolicy attention.

In response, a group of pioneering statesand communities are crafting strategiesto respond to both the science and theneed (Kaufmann and Perry, this volume).This paper explores the lessons fromthese initiatives for developing a broaderpolicy agenda to promote healthy socialand emotional development and schoolreadiness in young children. It highlightsthe emerging consensus about core policy

components as well as policy challenges

and opportunities.

106IMPLICATIONS FOR POLICY AND PRACcTlCiPromoting Social and Emotional Readiness for Toward a Policy Agenda

FRAMING THE POLICY CHALLENGE

From a broad policy perspective, the firstline of defense in promoting emotionalhealth and school readiness in youngchildren is ensuring that their familiesare economically secure and able to access

basic supports (including food, healthcare, housing, and transportation) forthemselves and their children. Equallyimportant is access to high-quality earlycare and learning experiences. But forsome children, this will not be enough.There also is a need for policy and practice

strategies that are designed explicitly toaddress the emotional, behavioral andsocial developmental challenges facingso many young children. Increasingly,such efforts are referred to as "infant" or

"early childhood" mental health, althoughsome prefer simply to speak of strategiesto promote healthy social and emotionaldevelopment or to prevent early schoolfailure. (In this paper, the term earlychildhood mental health is used.) Farmore important than the term, howeverare guiding goals and principles. Herea consensus seems to be emerging goalsand objectives, services and servicedelivery mechanisms (Knitzer, 2001,Hanson et al, 2001).

FROM A BROAD POLICY perspective, the

first line of defense in promoting emotionalhealth and school readiness in youngchildren is ensuring that their families areeconomically secure and able to accessbasic supports (including food, health care,housing, and transportation) forthemselves and their children. Equallyimportant is access to high-quality earlycare and learning experiences. But forsome children, this will not be enough.

PROMOTING EMOTIONALREADINESS FOR SCHOOL:CORE POLICY COMPONENTS

GOALS AND OBJECTIVES: The overall

aim of early childhood mental healthservices is to improve the social andemotional well-being of young childrenand promote age-appropriate social andemotional skills, particularly those thatwill enhance the likelihood of successin the early school years (Knitzer, 2000).

Because the needs of the young childrenand families are so varied, approaches ofdifferent intensities are required. Preventive

approaches, for example, might offerparents information, mentoring orinformal support. But more typically,some kind of early intervention, eitherfocused on parent-child relationships,or helping other caregivers respond moreappropriately to the child's behaviors

is necessary. A small number of young

children and their families also requiremore specialized treatment to preventfurther damage and reverse early harms.From this, flow four objectives for early

childhood mental health.

THE FIRST OBJECTIVE IS to enhance the

emotional and behavioral well-being ofinfants, toddlers and preschoolers,particularly those whose developmentis compromised by risk factors.

The first objective is to enhance theemotional and behavioral well-beingof infants, toddlers and preschoolers,particularly those whose development iscompromised by risk factors. Embeddedin this objective is a two-fold challenge.The first is to promote the well-being of

107 101

102

all infants, toddlers and preschoolersthrough promotions of emotional healthand preventive strategies. But it also

encompasses more challenging set oftasks, to promote healthy emotionaldevelopment in the rather large groupof young children, particularly low-income children, who are at risk ofdeveloping more serious emotionaland behavioral problems by virtue ofexposure to significant risk factors. Suchrisk factors include poverty, low levels

of maternal education, high levels ofmaternal depression, early experiencesof inconsistent and harsh parenting, andexposure to substance abuse, domesticviolence, child abuse or other trauma(Danziger, 2000; Knitzer, 2000 ).

Research repeatedly finds that the morerisk factors to which young children areexposed, the more likely they are toexperience poor emotional and cognitiveoutcomes (Aber, Jones & Cohen, 1999;DelGudio, Weiss & Fantuzzo; Huffmanet al, 2000). Unless there are concerted

efforts to help these young childrenmanage their impulses and feelings andlearn how to problem-solve in conflictsituations, it is unlikely that they will

succeed when they get to kindergarten.Early school failure, in turn, sets the

stage for later school failure and perhapsinvolvement with high-cost specialeducation, juvenile justice and childwelfare systems.

THE SECOND OBJECTIVE IS to help parentsbe more effective nurturers.

The second objective is to help parents bemore effective nurturers. The early parent-

child relationship is critical to giving young

children a healthy emotional start. Insome instances helping parents be moreeffective nurturers may simply meanproviding them with access to betterinformation about what to expect frombabies, or how to deal with predictabledevelopmental problems. Or it may meanensuring that they get help with thespecific (and sometimes multiple) barriersthat they face. (Parents in this context

means anyone who serves as the primarycaregiver(s) for a child, includinggrandparents, other relatives, foster-care

parents, kinship caregivers, etc, as well asnon-custodial parents, typically fathers.)Especially important is ensuring that theyhave opportunities to learn new ways ofrelating to, communicating with andproviding appropriate stimulation to theirchildren as they grow from infants totoddlers to preschoolers.

THE THIRD OBJECTIVE IS to expand the

competencies of other caregivers, especiallychild care providers and teachers, to preventand address social, emotional andbehavioral problems.

The third objective is to expand thecompetencies of other caregivers,especially child care providers andteachers, to prevent and address social,emotional and behavioral problems.As young children spend more time inchild care and early learning settings,the opportunities to enhance or impedetheir early development multiplies.

108IMPLICATIONS FOR POLICY AND PRACT(CC'E; fj

Promoting Social and Emotional Readiness for Scli'oiil:Toward a Policy Agenda

Therefore, it is crucial that child care

providers, home visitors, family-supportworkers, Early Head Start and Head Startstaff, and child welfare workers have the

skills they need to promote the emotionalwell-being of infants, toddlers, and pre-schoolers. Poor infant toddler care, forexample, increases the likelihood of many

negative encounters between babies,toddlers and their caregivers aroundlanguage, emotional and cognitivedevelopment. Inappropriate responsesfrom teachers in the preschool years mayresult in the escalation of problems ratherthan their reduction (Arnold, McWilliams,

& Arnold, 1999). Perhaps most compelling,

the converse is also true: Research pointsto the protective impact of warm,supportive teachers on young children'ssuccess in transitioning to school(Feinberg-Peisner et al., 1999).

RESEARCH POINTS TO the protective impactof warm, supportive teachers on youngchildren's success in transitioning toschool. The evidence suggests now thatmany child care providers and teachersnow feel they do not know how to helpyoung children whom they believe are"in trouble."

The evidence suggests now that manychild care providers and teachers nowfeel they do not know how to help youngchildren whom they believe are "introuble:' Preschool teachers report thatchildren's disruptive behavior is thesingle greatest challenge that they face(Arnold, McWilliams and Arnold, 1998;Yoshikawa & Knitzer, 1997). In manycommunities, young children are beingkicked out of programs because of their

behaviors. This exposes the children toprofound rejection and puts great strainon parents. Equally troubling are datasuggesting that children with the mostpersistent behavior problems do notimprove in that domain over the courseof the year in Head Start programs(USDH HS, 2001; Zil, 1999). Takentogether, the implications are clear.There is an urgent need to developsupport systems (along with better pay)for teachers and child care providersso that they can better help youngchildren learn new ways of regulatingtheir feelings and impulses, of relatingto other children and of interactingwith adults more appropriately.

THE FOURTH OBJECTIVE IS to ensure that

the more seriously troubled young childrenget appropriate help.

The fourth objective is to ensure that themore seriously troubled young childrenget appropriate help. Infants, toddlersand preschoolers experiencing atypicalemotional development need, alongwith their families, ready access to moreintensive, specialized treatment, buildingon emerging clinical knowledge.Prevalence data suggest that about 4% to7% of young children have conduct-typedisorders (Cambell, 1997, Kupersmidt,Bryant and Willoughby, 2000). Using

a broader set of psychiatric criteria, onestudy, involving 3,800 preschoolers,reported 21% of the children showedsigns of psychiatric disorder, 9% of them

severe (Lavigne et al.1996). At the sametime, the actual identification of childrenas seriously emotionally disturbed (SED)

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104

young children is much lower, under 1%of Head Start children a year are identified

(Lopez et al, 2000), although evidencealso shows that a substantial number ofyoung children with serious emotionaland behavioral problems are identifiedas having speech and language disorders( Sinclair et al, 1993).

CORE SERVICES. Beyond establishing

goals, policymakers face the challenge

of developing services appropriate to thetask promoting healthy emotionaldevelopment in all young children,including high-risk young childrenand in young children in need of moreintensive treatment. Lessons from early

efforts and from research provide someinsights about what services can increasehealthy social and emotional responsesin young children and reduce harmfuland destructive ones.

BEYOND ESTABLISHING goals, policymakers

face the challenge of developing servicesappropriate to the task promotinghealthy emotional development in allyoung children, including high-risk youngchildren and in young children in needof more intensive treatment.

Some of the services focus primarilyon the children. Examples of theseinclude individualized classroom-basedinterventions, as well as universal programs

to promote social skills and emotionalproblem-solving in all young children.Another cluster of services focus onparents. They aim to transform parenting

practices so that parents and youngchildren relate in new, more positiveand pleasurable ways with each other.Examples include intensive parent skillstraining (Webster-Stratton, 1998);sometimes offered to groups ofparents,for example, through Head Start,sometimes to individual parents, (withmentor parents as trainers), family-to-family support, targeted interventions topromote language and communicationskills in families with young children

(Hancock, Kaiser & Delaney, submitted)and infant mental health therapies(Zeneah, 2000). Some of theseapproaches may be embedded intofamily support strategies, for example,in Head Start programs.

1 1 0

A THIRD, AND VERY IMPORTANT set of

services are those targeted to non-primarycaregivers, such as child care providers,teachers and home visitors.

IMPLICATIONS FOR POLICY AND PRAktl,tEPromoting Social and Emotional Readiness for. School: Toward a Policy Agenda

A third, and very important set of services

are those targeted to non-primarycaregivers, such as child care providers,

teachers and home visitors. The generalterm used for these types of servicesis early childhood mental healthconsultation, which involves the

development of a sustained relationshipbetween an early childhood mentalhealth consultant and early childhoodprograms (Cohen & Kaufmann, 2000,Donahue, Falk & Provet, 2000, Yoshikawa

& Knitzer, 1997, Casey Family Programs

& DH HS, 20001, & Knitzer, 2000a).

Typically, these involve center-based

child care, Head Start, and sometimespre-kindergarten. Increasingly, there are

also efforts to make consultation available

to family child care providers, particularlywhen young children are at risk of beingexpelled for behavioral reasons. (Lessfrequent are consultants for home-visitors,

although here, too, the need is great.)

Early childhood mental health consultants

enter into the culture of the program andare able to meet a variety of needs, some-times working with the staff, sometimeswith specific children, and sometimeswith families. They are in a key position

to help focus deliberate attention onstrategies to help children get ready for

school, preparing them for transitionsand helping them learn needed skills andbehaviors. (For an overview of research

on early childhood mental healthstrategies, see Donahue; Kaufmannand Perry, this volume.)

EARLY CHILDHOOD mental healthconsultants enter into the culture of theprogram and are able to meet a varietyof needs, sometimes working with the staff,sometimes with specific children, andsometimes with families.

Researchers also are beginning to design

and test out more systematic interventions,

some combining strategies targeted to

parents and caregivers (Webster-Stratton,2001), others combining efforts toenhance behavioral skills and schoolreadiness cognitive skills, particularlylinked to reading (Arnold et al, 1999,Kupersmidt, personnel communication).Finally, early childhood mental health

services also encompass more specialized

treatment services. Examples include:intensive community-based strategiessuch as therapeutic child care, playgroups, family-to-family support groups,crisis and respite services, and wrap-around services for the children andfamilies. They also include referralstrategies to adult treatment services forproblems such as depression, substance

abuse or domestic violence.

111

RESEARCHERS ALSO ARE beginning to design

and test out more systematic interventions,some combining strategies targeted toparents and caregivers others combiningefforts to enhance behavioral skills andschool readiness cognitive skills, particularlylinked to reading.

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106

CHARACTERISTICS OF EFFECTIVE

SERVICES. Regardless of their focus of

level of intensity services to promoteemotional health and school readinessall share several characteristics (Knitzer,2001). They are:

grounded in developmentalknowledge. Early childhood mentalhealth systems of support need to bedeeply grounded in developmentalknowledge of what is typical andatypical for infants, toddlers andpreschoolers. Additionally, thetheoretical-knowledge base shouldinclude understandings of familydevelopmental processes and adultlearning strategies, since many ofthe interventions focus on helpingthe adults in closest contact with thechildren be more effective nurturers.

relationship-based. At the core ofhealthy emotional development areresponsive, sensitive child caregiverinteractions that occur over time andacross contexts. That means systemsof support must be designed to fosterhealthy relationships among parentsand children, children and caregiversand caregivers and parents.

family supportive. Except when thereare issues of safety, in general, the best

way to help young children is to help

their primary caregivers ability to meetthe children's emotional and otherneeds. This requires a respectful

partnership with families, even themost troubled families, as well as awillingness to address the concreterealities that families face (e.g. a

difficult transition to work, parentalill health or housing problems).

consistent with the culture of earlychildhood programs. Effective earlychildhood mental health servicesbring a strengths-based mental healthperspective that can be integrated intothe daily experiences of the children, the

families and the staff. The aim is to enrich

the experiences so that the children

can benefit. It should not be seen assomething separate and apart. This is,in effect, consistent with the best school-

based mental health strategies that build

on and are respectful of the schoolculture while trying to meet not just theneeds of the children but of the teachersand the administrators.

delivered in settings trusted by thefamilies. Effective services are delivered

in settings that are most comfortableto, and most trusted by, children andfamilies, including their own homes,center- or family-based child care,Head Start, Early Head Start orpreschool programs, pediatric officesor well-baby clinics. Early childhoodmental health services must alsoreach into other settings where youngchildren are found, such as sheltersfor homeless families and batteredwomen and their children (Dicker,Gordon & Knitzer, 2001).

112

CAREGIVERS AND MENTAL health professionals

must be sensitive to different culturaltraditions, able to address and resolve cross-ethnic and racial conflicts about corechild-rearing tasks, sleeping, eating anddiscipline, comfortable in working withchildren, families and staff who are raciallyand ethnically diverse.

IMPLICATIONS FOR POLICY AND PRAC:/TLICPromoting Social and Emotional Readiness for School: Toward a Policy Agenda

responsive to the community andcultural context. This is anenormously complex challenge.It means that caregivers and mentalhealth professionals must be sensitive

to different cultural traditions, able toaddress and resolve cross-ethnic andracial conflicts about core child-rearingtasks, sleeping, eating and discipline,

comfortable in working with children,families and staff who are racially and

ethnically diverse.

CHARACTERISTICS OF EFFECTIVE

SERVICE DELIVERY SYSTEMS.

Consistent with the idea that earlychildhood mental health reflects acombined public health/mental healthmodel, emerging services deliverysystems also share several organizational

similarities. They:

"build on" existing early childhoodprograms. Over the last several years,there has been a significant, if uneven,

growth in investments in child develop-

ment and family support programsacross the states. Thirty-one states nowfund programs, including six that

supplement Early Head Start. Someof these infant-toddler programs areuniversal (e.g. home visiting programs

for first time parents), but many othersare targeted to high-risk families. Forty-

three states are investing in programs

for preschool-aged children (Cauthen,Knitzer & Ripple, 2000). Together, this

network of programs provides thefoundation for investments in earlychildhood mental health. The emerginginfant-toddler programs, for example,can and should "help parents be more

effective nurturers" by becoming the

focal point for parent-centered earlychildhood mental health services.

The preschool programs can andshould become the focal points for

strategies to "help non-primarycaregivers" better meet the social,

emotional and behavioral needs ofyoung children.

involve new kinds of partnershipsand outreach to a broad group ofstakeholders. Virtually all the emerging

early childhood mental health initiativesinvolve new kinds of partnerships. In

one community initiative for example,

the partners included an early inter-vention agency, a community mental

health board and a local child care

resource and referral agency; in others,

an interagency, citywide early childhood

council, a mayor's office and a mental

health agency. At the state level,

partnerships have been even broader;in Vermont, for example, they include

families, state mental health and early

childhood programs (including thechild care subsidy program and theHead Start collaboration office) as well

as health, child welfare, substance abuse

and domestic violence agencies. Schools

could and should also be key players

in emerging partnerships to promotesocial and emotional skills in young

children before they enter school toenhance their school readiness.

include attention to outcomemeasures, especially those relatedto school readiness. Building an earlychildhood mental health system ofsupport requires an investment ofresources, typically public, but privateas well. It is important to developmechanisms to assess the impact ofthat investment, particularly in termsof school readiness and early learning.

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School personnel and communities needto know, for example, if investments in

early childhood mental health strategiespay off in reduced rates of retention in

kindergarten, first and second grade, orin reduced use of special education, orin improved reading scores by the fourthgrade. To this end, many communitiesare developing frameworks and indicators

to be able to provide an aggregate pictureof how well their young children do across

multiple dimensions of school readiness,including social and emotional skills.

POLICY CHALLENGES

As policymakers recognize the deepconnections between social and emotional

development, reading and other academic

outcomes, it is important to be aware offive predictable policy challenges.

THERE IS A NEED TO HELP the broader

public to recognize that young children,even infants and toddlers, do faceemotional, social and behavioralchallenges, that these can interfere withacademic learning, and that there arestrategies that can help even before thechildren get to school.

FINDING THE RIGHT LANGUAGE.

Talking about early childhood mentalhealth to families, to policymakers andto the general public can be problematic.The term mental health is associatedwith adults, with stigma and with beingcrazy, certainly not with infants, toddlers

and preschoolers. Hence its use is off-putting, or simply incomprehensible to

many. In response, many emerginginitiatives simply do not use the term,except as necessary for funding. Butvirtually all face the challenge of describing

the need and helping the broader publicto recognize that young children, eveninfants and toddlers, do face emotional,social and behavioral challenges, thatthese can interfere with academic learning,

and that there are strategies that can helpeven before the children get to school.

FINDING THE RESOURCES to build early

childhood mental health systems ischallenging. One problem is that there isno dedicated funding stream for earlychildhood mental health services.

FINDING THE FUNDS. Finding the

resources to build early childhood mentalhealth systems is challenging. One problem

is that there is no dedicated funding stream

for early childhood mental health services,

particularly for the vast majority of young

children who do not have, and should nothave a diagnosis but who, by virtue ofmultiple risk factors, are likely to develop

problems. (Mental health dollars aretypically targeted only to childrenwith serious emotional and behavioraldisabilities and in practice, most oftenonly to older children.) This means thatcommunities and states must be creativein identifying and combining sourcesof support to serve the broad populationof young children in need who do notand should not have a diagnosis, but whoare experiencing challenging behaviorsand problems.

114IMPLICATIONS FOR POLICY AND PRACTICEPromoting Social and Emotional Readiness fO:riScrvol: Toward a Policy Agenda

Second, in some communities, it is alsodifficult to pay for consultation servicesto child care providers, teachers andothers who care for young children,despite the fact that they are critical to

systematic efforts to helping these youngchildren. States and communities thatare tackling these fiscal challenges aredoing so in three ways: they are usingstate dollars selectively, including

state mental health dollars; they areseeking funds through foundationsand other local resources; and, mostimportantly, they are using federaldollars from a variety of differentprograms creatively and in combination(Johnson, forthcoming).

THIS MEANS THAT communities and statesmust be creative in identifying andcombining sources of support to serve thebroad population of young children inneed who do not and should not havea diagnosis, but who are experiencingchallenging behaviors and problems.

The array of federal programs that mightpotentially be used is broad (Wishman,Kates & Kaufmann, 2001). Each carrieswith it special challenges, but also

opportunities, as communities across thecountry are demonstrating. For example,to fund early childhood mental healthconsultation, states and communitieshave used the quality improvement fundsof the Child Care and Development Fund.That program requires states to use 4%of the funds for quality improvementstrategies, one of which is enhancing

the ability of caregivers to respond to thesocial and emotional needs of youngchildren. Similarly, they have used the

Temporary Assistance to Needy Families

(TANF) program to fund early childhoodmental health consultation. Suchconsultation is intended to prevent thedisruption of stable child care (becauseof a child's behavior) that would make itharder for a parent to continue to work.Title I of the Elementary and SecondarySchool Act, and Medicaid are alsopotential sources of support, the laterparticularly for child and parent andchild-focused services.

THE ARRAY OF FEDERAL programs that mightpotentially be used is broad. Each carrieswith it special challenges, but alsoopportunities, as communities acrossthe country are demonstrating.

Federal programs that fund servicesfor children with special needs also area potential source of funding. For example,

Part C of the federal Individuals withDisabilities Education Act (IDEA),which is intended to help infants andtoddlers with developmental delays (andin some states, those at risk of delays),provides a point of entry to addressemotional and relationship issues in

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110

these infants and toddlers. Child welfaredollars could be used to support cross-training of early childhood and mentalhealth professionals who serve abusedand neglected children either in childcare or in more specialized settings.Federal mental health throughComprehensive Mental Health ServicesProgram for Children and Families alsoprovides a potential source of fundingprimarily for the most seriously troubledyoung children, as program fundsare now used for only children withidentified serious emotional andbehavioral disorders.

BUILDING THE EXPERTISE. Those who

provide services and supports to preventproblems and restore emotional healthto young children and their families needa broad range of skills knowledge about

child development, clinical sensitivityand expertise, understanding of familydynamics, and skill in working withchildren and families from economically,racially and ethnically varied cultures.There are simply not enough people withthese skills to address the need. Virtually

all the emerging initiatives uniformlyreport that recruiting and hiring is amajor challenge (Knitzer, 2001).

THOSE WHO PROVIDE services and

supports to prevent problems and restoreemotional health to young children andtheir families need a broad range of skills.

ENSURING A STRONG FAMILY VOICE.

Ensuring a strong family voice has beenkey to improving mental health servicesfor older children; it is also key to building

services for younger children that reallymeet family needs. But ensuring a strongfamily voice at the planning and policylevel as well as at the individual service

level requires a commitment frompolicymakers to reach out to familiesand family organizations and to fundthe parent liaison roles and leadershipdevelopment that can make familyinvolvement real.

INCREASING THE ABILITY TO TRACK

OUTCOMES, EFFICACY AND COST.

As social and emotional developmentbecomes more integrated into the largerearly childhood and school readinessagenda, it also is vital that efforts to

develop outcome indicators and bench-mark estimates of success be refined.Some work on this is beginning, withstates taking a number of variedapproaches. Vermont, for example, is

relying on reports from kindergartenteachers and health professionals. Otherstates, such as North Carolina, are linkedto indicators developed for broader statemandated assessments. To deepen boththe local and state picture, it is importantthat indicators of social and emotionaldevelopment be included in schoolreadiness assessments.

11

AS SOCIAL AND EMOTIONAL development

becomes more integrated into the larger earlychildhood and school readiness agenda, italso is vital that efforts to develop outcomeindicators and benchmark estimates ofsuccess be refined.

IMPLICATIONS FOR POLICY AND PRACTICEPromoting Social and Emotional Readiness .14'§Dritol: Toward a Policy Agenda

POLICY OPPORTUNITIES

In addition to the opportunities to useexisting federal dollars creatively in theservice of promoting social and emotionalskills in young children and addressing

problems highlighted above, there areother ways in which the federal policyframework is providing, or might provide,

support for the needed infrastructureand service development. Two arehighlighted here.

BUILDING ON THE FEDERAL SCHOOL

READINESS AGENDA. In 1994,

Congress enacted the Educate AmericaAct (Pi. 103-277) that included as thefirst goal "all children shall enter schoolready to learn?' This goal provides apotentially powerful organizing frame-work through which to mobilizepartnerships and activities to addresssocial, emotional and behavioralchallenges in young children that willprevent them from succeeding in school.In fact, the realization that young children

were not emotionally ready for schoolwas a critical motivating factor in thedevelopment of the Vermont'scomprehensive statewide early childhoodmental health system and is increasinglya factor in other emerging initiatives(Kaufmann & Perry, this volume).

At the same time, there is a very important

nuance. Many policymakers andcommunity leaders focus school readiness

strategies on 3- and 4-year-olds. Butresearch shows powerfully that whathappens in the infant/toddler years setsthe foundation for the kinds of skillspreschoolers need to make a successfultransition to school (Institute of Medicine,

2000). As Thompson notes (this volume),

school readiness is both a"developmental

process and an outcome?' This under-scores the importance of using the schoolreadiness framework to invest not justin strategies for preschoolers, but alsofor infants and toddlers, particularly themore vulnerable children . The schoolreadiness framework is also powerful foranother reason. It provides a way tocenter attention on strategies to preventearly school failure. In so doing, it shifts

the focus from "mental health': whichcarries with it overtones of a medical

model and stigma, to a much more"user- friendly" framework that istransparent to all the need forsuccess in school. Thus it opens upthe possibility of new dialogue aboutintegrating social and emotionalstrategies with cognitive strategies.

AS THOMPSON NOTES, school readiness

is both a "developmental process and anoutcome." This underscores the importanceof using the school readiness framework toinvest not just in strategies for preschoolers,but also for infants and toddlers,particularly the more vulnerable children.

FOUNDATION FOR LEARNING ACT.

During the 107th Congress, legislationwas introduced in Congress that explicitlycalls for services for young children, their

families and their other caregivers toreduce the risk of early school failure.Known as the Foundations for LearningAct, the intent is to support three typesof services explicitly intended to preventearly school failure by virtue of social

and emotional issues:

117 111

IU

a) screening and service plan development;

b) child and family support services; and

c) consultation and specialized trainingservices around social and emotionalissues to providers of early childhoodservices.

The legislation builds directly on thelarge and compelling body of knowledgeabout the relationship between riskfactors and poor outcomes. It conditionseligibility not on diagnoses, but onexposure to two or more risk factorsknown to be linked to poor schooloutcomes. These include low-birthweight, and low income, but also riskfactors linked explicitly known tonegatively affect emotional development,such as parental substance abuse anddepression; abuse, maltreatment orneglect; early behavioral and peerrelationship problems; and removalfrom, or at risk of removal from, childcare for behavioral reasons.

The legislation is conceptually importantbecause it focuses squarely on earlyintervention in normative settings inwhich young children are found, itbuilds on the large body of scienceabout the negative impact of multiplerisk factors, and, in calling for services"to prevent early school failure,' it alsobypasses the major current policydilemma, how to pay early childhoodmental health services without givingyoung children a diagnosis. As such, itprovides a model that states can use indeveloping their own legislative frame-works to ensure that young childrenenter school ready to succeed.

TOWARD THE FUTURE

Building a school readiness agenda thataddresses the needs of children whoseemotional development is compromisedis clearly a compelling need that hasramifications for academic success in

the early school years. Prevalence data,

research on the long-term consequencesof exposure to multiple risk factorsin early childhood, the concerns ofpractitioners and the imperatives imposedby national school readiness goals all

point in the same direction. Drawingon the lessons from emerging stateand community practice and policyinitiatives, below are eight recommenda-

tions that provide a framework for futurelocal, state and federal policy action.

BUILDING A SCHOOL readiness agenda thataddresses the needs of children whose

emotional development is compromisedis clearly a compelling need that hasramifications for academic success inthe early school years.

Address emotional readiness in thecontext of normative development forinfants, toddlers and preschoolers.The network of child care, Head Start,early Head Start and home visitingearly childhood services for infants,toddlers and preschoolers that existsin every state and community providesa powerful point of entry to infuseintentional strategies to promotesocial, emotional and behavioralcompetence in young children,particularly those whose early

118

IMPLICATIONS FOR POLICY AND PRACTICEPromoting Social and Emotional Readiness,,krtSihool: Toward a Policy Agenda

A

experiences do not provide themwith the needed ingredients for age-appropriate development.

Build broad state and communitypartnerships to develop earlychildhood mental health servicesand systems. Key stakeholders includefamilies, the early childhood and themental health communities. Butpartnerships should also reach outto others who have a vested interestin seeing that young children succeed,for example school officials, law enforce-

ment officials (who are increasinglyinterested in early intervention), andthe business community, which needsan emotionally competent, literatework force.

Develop strategies to fund an arrayof services and supports to helpyoung children, especially the morevulnerable, achieve success in thetransition to school. These servicesand supports should encompassassessment strategies, services targetedto help parents (including all primarycaregivers) to help parents and children

together and to help children., andservices targeted to other, non-familycaregivers. They should be available in

the context of normative settings (suchas family homes, health clinics, center

and family-based child care, Head Start,Early Head Start and preschools) andin settings serving children and familiesalready identified as in trouble (such ashomeless shelters, child welfare agencies

and the courts). Special attention shouldbe paid to getting infants and toddlersoff to an emotionally healthy start.

To the extent possible, interventionsshould build on the existingknowledge base.

Maximize the impact of existingfederal programs and dollars andsupplement these with state, localand private resources. Many federalprograms can be used as importantentry points for developing a rangeof child-focused, family-focused andprovider-focused services and inter-ventions to young children at risk ofearly school failure by virtue of socialand emotional problems. Communitiesand states may find the Child Careand Development Fund qualityimprovement set aside, TANF, Part C,Medicaid and SCH I P funds especiallyhelpful in stimulating new initiatives.

SPECIAL ATTENTION SHOULD be paid to

getting infants and toddlers off to anemotionally healthy start. To the extentpossible, interventions should build onthe existing knowledge base.

Develop strategies to increase thesupply of appropriately trainedspecialists. Clinical training typicallydoes not include any specialized focuson young children and families, eitherthrough psychology, social work orpsychiatry. Nor can child developmentprofessionals find ways to enhancetheir own skills in dealing with the levelof behavioral disruption reflected inprograms serving young children.Policy incentives to promote bothin-service and pre-service trainingare critical at both the local andcommunity levels.

11 I a113

114

Develop social and emotionaloutcome indicators and benchmarks.The scientific base for emphasizingboth social and emotional, as well ascognitive competencies to achievethe goal of school readiness is clear(although surprisingly controversial insome political contexts). The challenge

is to develop explicit indicators thatcan be used to assess community andstate progress toward meeting theoverarching goals: ensuring that allyoung children, including those facingsocial, emotional and behavioralchallenges in the early years, enter

school ready to learn.

Develop a research agenda to fill inthe gaps in the knowledge base about"what works" and to translate theresearch into useable information forthe practitioner and policy community.From a scientific perspective, weknow far more about the causes andconsequences of poor emotionaldevelopment in young children thanwe do about how to interrupt thosecauses and consequences. Some dataon the efficacy of interventions isbeginning to emerge, but it needs to

be expanded.

..111111=11..-_

of,

Make the existing federal frameworkmore responsive to social andemotional issues in young childrenand provide new resources to supportand evaluate services to preventearly school failure by virtue ofsocial and emotional issues. Onegoal should be to strengthen existinglegislation to ensure explicit attentionpromoting the emotional well-beingof vulnerable young children acrossthe many federal programs that alreadyexist. For example, as Early Head Startexpands, it might be possible to provide

enriched funding to ensure the programis robust enough to meet the needs ofthe most vulnerable families. Similarly,providing incentives to existing federally

funded children's mental healthprograms to better address the needsof young children would be helpful.At the same time, there is a needto continue to promote and enactlegislation like the Foundations forLearning Act.

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IMPLICATIONS FOR POLICY AND PRACTICEPromoting Social and Emotional Readiness for School: Toward a Policy Agenda

CONCLUSION

Paying attention to the healthy emotionaldevelopment of young children and howit can promote school readiness can nolonger be put off. Developmental research

compels new attention to social, emotional

and behavioral challenges facing youngchildren, even as promising interventionstrategies are being generated bypractitioners and researchers.

Together, these provide a foundation forsound policy action that can result inimproved emotional health and schoolreadiness even in the most vulnerableyoung children.

ONE GOAL SHOULD BE to strengthen

existing legislation to ensure explicitattention promoting the emotionalwell-being of vulnerable young childrenacross the many federal programs thatalready exist.

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122IMPLICATIONS FOR POLICY AND PRACTICEPromoting Social and Emotional Readiness for School: Toward a Policy Agenda

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EXECUTIVE SUMMARY

SET FOR SUCCESS:BUILDING A STRONG FOUNDATION FOR SCHOOL READINESS BASED

ON THE SOCIAL-EMOTIONAL DEVELOPMENT OF YOUNG CHILDREN

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Set for Success:Building a Strong Foundation for School Readiness Basedon the Social-Emotional Development of Young Children

Executive Summary

ABOUT THE KAUFFMAN EARLY EDUCATION EXCHANGE

The Ewing Marion Kauffman Foundation convened the first annual conference in the

Kauffman Early Education Exchange series in November 2001. These national conferences

are designed to exchange information and scientific knowledge and to discuss the implications

for policy and practice toward the goal of enabling all children to enter school prepared to

succeed. The Kauffman Foundation hosts one conference a year on a selected topic related

to early childhood development, family support and early education. These conferences

include presentations from leading experts, researchers and policymakers who are invited to

write papers for the Exchange. Each paper explores a different aspect of the selected issue.

The focus of the inaugural Kauffman Early Education Exchange held November 12, 2001

emphasized the link between social-emotional development and later cognitive development.

There were 12 presenters and more than 150 guests invited to participate in the initial

Exchange. This executive summary presents the key findings and recommendations

outlined in the six papers commissioned by the Foundation. The full report contains the

six commissioned papers presented during the Exchange. The list of presenters is detailed

on the following page.

The Ewing Marion Kauffman Foundation, 4801 Rockhill Road, Kansas City, MO 64110-2046, publishes the KauffmanEarly Education Exchange report and executive summary (ISBN # 1-891616-23-4). The Kauffman Early EducationExchange report is distributed free of charge through a controlled circulation. Opinions expressed by the writers inthis report are their own and are not to be considered those of the Kauffman Foundation. Authorization to photocopyarticles for personal use is granted by the Kauffman Foundation. Reprinting is encouraged, with the following attribution:From the Kauffman Early Education Exchange, a publication of the Ewing Marion Kauffman Foundation, 2002.

To be added to the mailing list for future reports, write to Kauffman Early Education Exchange, Ewing Marion KauffmanFoundation Fulfillment Center, P.O. Box 12444, North Kansas City, MO 64116. The full report and executive summaryare available on the Kauffman Foundation's Web site at http://www.emkforg/pages/12.cfm. Photographs that appearin this report were acquired independently of the articles and do not have a direct relationship to material discussedin each article.

155

The first Kauffman Early Education conference was held November 12, 2001.Presentations included remarks from the following individuals:

FACILITATOR:

Joan Lombardi, Child and Family Policy Specialist and Director of The Children's Project, Washington, DC

PRESENTERS: The presenters who wrote papers for this first Kauffman EarlyEducation Exchange conference were:

Ross Thompson, Ph.D., University of Nebraska, Lincoln, NE

Linda Espinosa, Ph.D., University of Missouri-Columbia, Columbia, MO

Oscar Barbarin, Ph.D., University of North Carolina, Chapel Hill, NC

Paul Donahue, Ph.D., Center for Prevention Psychiatry, Scarsdale, NY

Roxane Kaufmann, M.A., Georgetown University Child Development Center, Washington, DC

Deborah Perry, Ph.D., Georgetown University, Child Development Center, Washington, DC

Jane Knitzer, Ed. D., National Center for Children in Poverty, Columbia University, New York, NY

PANELISTS: A conference panel discussion about effective early educationpractices that promote social-emotional development included remarks from:

Dwayne Crompton, Executive Director, KCMC Child Development Corporation, Kansas City, MO

Deborah Hoskins, Community Resources Manager; KCMC Child Development Corporation,Kansas City, MO

Brenda Loscher-Hudson, Education Consultant, KCMC Child Development Corporation,Kansas City, MO

DISCUSSANTS: Four experts in the field served as discussants at the conference:

Marilou Hyson, Ph.D., Associate Executive Director of Professional Development, NationalAssociation for the Education of Young Children, Washington, DC

Tammy Mann, Ph.D., Director, Early Head Start National Resource Center, Zero to Three NationalCenter, Washington, DC

Sandra Adams, Ph.D., Center for Prevention and Early Intervention, Florida State University,Tallahassee, FL

Jack Shonkoff M.D., Dean, The Heller School for Social Policy and Management,Brandeis University, Waltham, MA

PLANNING TEAM: The Kauffman Early Education Exchange is plannedand administered by the Kauffman Foundation Early Education Team:

Sylvia Robinson, Vice President, Early Education

Lisa Klein, Senior Program Officer, Early Education

Adriana Pecina, Senior Program Officer, Early Education

Joy Culver Torchia, Communications Manager

Laura Loyacono, Public Affairs Manager

Bonnie Johnson, 'bylining and Development Consultant

Tricia Hellmer, Senior Research Associate

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Design by: Ampersand, Inc., advertising & design, Kansas City, MO

T ABLE OF CON T EN TS

INTRODUCTION

Set for Success: Building a Strong Foundationfor School Readiness Based on the Social-EmotionalDevelopment of Young Children

THE VIEW FROM RESEARCH

The Roots of School Readiness in Social

and Emotional Development 3

The Connection Between Social-EmotionalDevelopment and Early Literacy 5

Culture and Ethnicity in Social, Emotionaland Academic Development 6

THE VIEW FROM THE FIELD

Promoting Social and Emotional Developmentin Young Children: The Role of Mental Health

Consultants in Early Childhood Settings 8

Promoting Social and Emotional Developmentin Young Children: Promising Approaches atthe National, State and Community Levels 9

IMPLICATIONS FOR POLICY AND PRACTICE

Promoting Social and Emotional Readiness for School:Toward a Policy Agenda 11

CONCLUSION AND RECOMMENDATIONS 12

1270 2002. The Ewing Marion Kauffman Foundation / 4801 Rockhill Road, Kansas City, MO 64110-2046 / All rights reserved.

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IN T R O D U C T IONSET FOR SUCCESS:

BUILDING A STRONG FOUNDATION FORSCHOOL READINESS BASED ON THESOCIAL-EMOTIONAL DEVELOPMENT

OF YOUNG CHILDREN

For decades, the question of how tomake sure children are successful asstudents in school and as individuals intheir communities has been a priorityfor parents and educators. In recentyears, that question also has becomeincreasingly important to electedofficials; policymakers at the local, state

and federal levels; colleges of education;professional researchers in psychology;practitioners in early childhoodeducation and children's advocates.

Research into school success shows adirect link to the preparation (or lackthereof) that young children receivefrom the time they are born until theyenter kindergarten. Young children whodo not have opportunities to engagein stimulating cognitive activities andnurturing social-emotional relationshipsare already behind their peers whenthey enter kindergarten.

State reports of the percentage ofchildren that are not prepared to enterschool ready to succeed range from 20%to 49%. In response, multiple federal,state and local initiatives are aimed atpromoting school readiness andacademic success beginning with ouryoungest children and their families. In1994, Congress enacted the EducateAmerica Act, with the first goal being:"All children shall enter school ready tolearn:" The 107th Congress introducedthe Foundations for Learning Act, aimedat reducing the risk of early schoolfailure. On April 2, 2002, President Bushannounced a new early childhoodinitiative called: "Good Start, GrowSmart': a plan to strengthen earlylearning in young children.

Research evidence from the NationalAcademy of Sciences and others hasdemonstrated that children enteringschool with well-developed cognitiveand social-emotional skills are mostlikely to succeed and least likely to needcostly intervention services later through

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either special education or juvenilejustice. The science of early childhoodhas repeatedly provided evidence thatstrong social-emotional developmentunderlies all later growth anddevelopment. Young children whodevelop strong early relationships withparents, family, caregivers and teacherslearn how to pay attention, cooperateand get along with others. As a result,

they are confident in their ability to explore

and learn from the world around them.

Stated simply, positive relationshipsare essential to a child's ability to growup healthy and achieve later social,emotional and academic success.

Presenters at the inaugural KauffmanEarly Education Exchange outlinedseveral theoretical and practical lessonsfrom the beneficial marriage of psychology

developmental, educational andclinical and of the teaching profession.

They include:

How children feel is as important ashow they think in ensuring learning.

Learning depends on stable, secureand enduring relationships with bothadults and peers.

Emotional and motivational readinessis not just good for, but critical to,learning.

It is easier to teach cooperation than todeal with a disruptive student.

There are, however, several challenges to

translating the science into effective

programs and policies that promoteschool readiness and success includingsocietal beliefs about childrearing,economic deficits in the states, and the

tragic events of September 11. Overall

strategies for achieving the goal ofpreparing children to succeed include:

Creating a common understandingof what good social-emotionaldevelopment is and how it underlieslater academic success;

Building broad-based public andpolitical will to make the healthygrowth and comprehensivedevelopment of young childrena priority;

Committing public and privateinvestment in the types of programsand policies that are proven to resultin greater success for young childrenand families;

Building expertise for parents, families,

providers and teachers in order topromote strong social-emotionaldevelopment in all young children,particularly those at-risk for seriousproblems and delays;

Providing effective interventions for

young children who experience social-emotional problems that interfere withtheir development and learning; and

Assuring good outcomes by assessingprogress and tracking indicators ofsocial-emotional development and itsrelation to later school readiness andacademic success.

The Kauffman Early EducationExchange presented three perspectiveson the topic of social-emotionaldevelopment:

The View From Research

The View From the Field

Implications for Policy and Practice

130EXECUTIVE SUMMARYSet for Success: Building a Strong Foundation for School Readiness Based on the Social-Emotional Development of Young Children

Ross A. Thompson, Ph.D.

Carl A. Happold

Distinguished Professor

of Psychology

Department of Psychology

University of Nebraska

238 Burnett Hall

Lincoln, NE 68588-0308

phone: 402-472-3187

rthompsonl @unl.edu

T HE VIEW FROM R ESEARCHThe Kauffman Early Education Exchange conference began with a series of papers that

presented the latest scientific research and compelling evidence about what is necessary to

prepare young children for school success. The first three papers present findings from the

fields of developmental, educational and clinical psychology.

THE ROOTS OF SCHOOLREADINESS IN SOCIAL ANDEMOTIONAL DEVELOPMENT

ROSS THOMPSON, PH.D.

The National Academy of Sciences study"From Neurons to Neighborhoods: TheScience of Early Childhood Development;'

reported on three qualities that childrenneed to be ready for school: intellectualskills, motivation to learn and strongsocioemotional capacity. Schoolsuccess requires young children be ableto: understand their own feelings and theviewpoint and feelings of others,cooperate with both peers and adults,resolve conflict successfully and control

their own behavior. Evidence shows thatyoung children who have establishedpositive relationships with parents,caregivers and teachers are secure and

confident in exploring new situationsand mastering learning challenges.

Kindergarten teachers report the mostconcern with the children who lack thesocioemotional qualities of schoolreadiness. They say it is more difficult to

assist children who are not interested inlearning, lack confidence in their success,

or are incapable of cooperation and self-control. The intellectual preparation foryoung children is easiest for kindergarten

teachers to remedy because they areaccustomed to working with childrenwith varying degrees of cognitive

capabilities and skills. As one teacherstated the problem, "the kids are sad,mad and bad, it's not that they can't add."

Developmental scientists have found thatchild-adult relationships provide apsychological foundation for many ofthe socioemotional qualities thatunderlie school readiness. Twoconclusions arise from this research.First, the preschool years are a period ofconsiderable growth in the psychologicalfoundations of school readiness.

1 1

AS ONE TEACHER stated the problem, "thekids are sad, mad and bad, it's not that theycan't add."

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Advances in the child's understanding ofother people, self-understanding,emotional growth, self-control andconscience and peer relationshipsprovide an essential bedrock of skillsnecessary for learning in the classroom.Second, supportive relationships are thecommon core ingredient of positiveearly social and emotional development.The science of early childhooddevelopment shows that:

The quality of relationships withparents is significant and primary;

The quality of child care and thecaregiver-child relationship aresignificant influences on social andemotional development; and

Young children have a strong, intrinsicdrive toward healthy development, butit can be undermined by troubledrelationships with the people whomatter to them.

The research clearly shows the positiveand negative implications forunderstanding the conditions thatinfluence school readiness. Schoolreadiness is hindered when:

Children live in families affected bydomestic violence, parental mentalhealth or substance abuse problemsor other conditions that make thehome environment stressful foryoung children;

Children are in child care settings thatare stressful or unstimulating, withteachers who are unknowledgeableor uninterested in the importance offostering growing minds and

personalities, or with staff turnoverso high that it is difficult for childrento develop stable relationships withtheir caregivers; and

Children live in circumstances wheremany of these risk factors to healthyearly psychological development co-occur, such as in poverty.

On the positive side, the research alsohighlights opportunities to facilitateschool readiness in young children.These strategies include:

Strengthening family experience,especially through opportunities todevelop more secure and nurturingparent-child relationships;

Improving child care quality in threeways by strengthening the trainingand awareness of child care providersabout their crucial role in promotingsocial and emotional development;by reducing turnover of child careproviders through increasedprofessionalism and compensation;and by making classroom practicesmore developmentally appropriate andchild-centered;

Focusing on the transition tokindergarten as an importantopportunity to instill and maintainenthusiasm for learning; and

Attending especially to the needs ofvulnerable children who come fromat-risk backgrounds.

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EXECUTIVE SUMMARYSet for Success: Building a Strong Foundation for School Readiness Based on the Social-Emotional Development of Young Children

Linda Espinosa, Ph.D.

Associate Professor

of Education

University of

Missouri-Columbia

311 D., Townsend Hall

Columbia, MO 65211

phone: 573-882-2659

espinosa@missouri.edu

THE CONNECTIONS BETWEENSOCIAL-EMOTIONAL DEVELOPMENTAND EARLY LITERACY

LINDA ESPINOSA, PH.D.

Research on the topic of literacy widelyacknowledges that literacy developmentis closely related to earlier languagedevelopment. What is less widely

discussed in relation to literacy are the

early ties between social-emotionaldevelopment in infancy and thedevelopment of language and symbolicplay during the second year of life. Thereis strong evidence that social-emotionaldevelopment in the first year of life is thefoundation of language developmentand that social-emotional well-beingcontinues to affect both language andliteracy as a child matures.

The development of early language andeventually literacy occurs in the contextof close relationships with others. Theseearliest relationships with parents and

other primary caregivers provide thefoundation for developing thecharacteristics of trust, autonomyand initiative.

THE DEVELOPMENT OF EARLY language

and eventually literacy occurs in thecontext of close relationships with others.

During the first year of life, jointattention occurs between mother orcaregiver and child when the infant andadult are interacting and establish theearliest stage of pre-languagecommunication. For preschoolers, play isthe best way young children develop pre-

literacy language and communication.As they grow, the adults who care forthem and their attitudes, beliefs and levelof literacy influence children's exposure

and interest in reading. The literatureprovides compelling evidence thatnurturing relationships and responsivesocial environments set the stage for

language and literacy as children grow

and mature.

Because reading is a language-basedskill, children experiencing difficulties in

reading often also experience difficultyin three areas of language development:receptive and expressive vocabulary,narrative skills and phonologicalprocessing. Research has shown thatchildren's reading abilities in the primarygrades has been positively correlated

with early vocabulary development.However, many children living inpoverty arrive at school with poorlydeveloped vocabularies.

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It has repeatedly been shown that high-quality preschool programs can positivelyinfluence the intellectual, academic andsocial development of poor children,both immediately and long-term.Virtually all experts in early educationand related fields agree that intensive,

high-quality interventions for youngchildren, particularly those in poverty,can have substantial impacts on theirfuture school and life success. Whendesigning early care and educationprograms it is critical to consider thefollowing elements:

Develop positive and supportiverelationships with young children topromote their emotional development;

Place a strong emphasis on orallanguage development;

Include in curriculum school-relatedskills and knowledge;

Establish small class sizes to provide

frequent interactions with peersand adults;

Engage teachers in collaborative

planning, assessment and reflection;

Ensure teachers are educated inearly childhood development, well-trained and well-qualified to teachyoung children; and

Establish a collaborative and respectfulrelationship with parents and/or otherfamily members.

CULTURE AND ETHNICITY INSOCIAL, EMOTIONAL, ANDACADEMIC DEVELOPMENT

OSCAR BARBARIN, PH.D.

Academic competence and socio-emotional adjustment are built upona common foundation of earlypsychological development. Likewise,both are molded by cultural and ethniccontexts. This is nowhere more evidentthan among children of color in theUnited States who occupy social niches,defined by socio-economic status,gender and ethnicity, which ply themwith a risk-inducing formula of above-average environmental strains andbelow-average material resources. For

many children this formula results in acompromising of social developmentand academic achievement.

Stressors facing many poor children ofcolor that limit their ability to successfully

cope include: early deprivation or trauma,family instability or conflict, involvementin the child welfare system, and neighbor-

hood danger and limited resources. Evidence

also shows that many children experiencing

problems in social-emotional functioningare also experiencing delays in acquiringearly academic skills. Early identificationof mental health problems in ethnic minority

children coupled with effective referral and

service delivery has long-term implications

for preventing academic failure.

134

Oscar A. Barbarin, Ph.D.

L. Richardson and Emily

Preyer Bicentennial

Distinguished Professor for

Strengthening Families

School of Social Work and

Frank Porter Graham Child

Development Center

University of North Carolina

Chapel Hill, NC 27599-3550

phone: 919-962-6405

barbarin@unc.edu

EXECUTIVE SUMMARYSet for Success: Building a Strong Foundation for School Readiness-jived on the Social-Emotional Development of Young Children

Social-emotional competence is an

essential ingredient of school success

because it constitutes a prerequisite

condition for effective instruction andlearning. For the many children who

experience academic difficulties, attainingsocial-emotional and self-regulatory

competence sets the stage for and is

essential to later academic achievement.

Problems in social-emotional competencenot only diminish academic achievementbut also complicate efforts to remediate

problems in acquiring skills.

FOR THE MANY CHILDREN who experience

academic difficulties, attaining social-emotionaland self-regulatory competence sets the stage for

and is essential to later academic achievement.

Problems in social-emotional competence not

only diminish academic achievement but also

complicate efforts to remediate problems in

acquiring skills.

135

r.

There are many promising strategiesthat have emerged in the past five yearsfor ways to intervene that will make adifference in improving academicsuccess among children of color.Interventions focused on improving andenriching the social and familialenvironments of children, particularlyamong young children are criticallyimportant. All children will prosper inenvironments that are safe, stable,supportive and stimulating. There are a

number of strategies that can helpcorrect the imbalance of strains andresources to give children of color afighting chance to develop to their full

potential. These include:

Early intervention;

Access to high-quality pre-kindergarten programs;

Improved teacher preparation; and

Sustained efforts to build collaborativerelations between families and schools.

07

Paul J. Donahue, Ph.D.

Director

Child Development

Associates

6 Palmer Avenue

Scarsdale, NY 10583

phone: 914-723-2929

pjdon@earthlink.net

08

THE V IEW FROM THE FIELDThe second series of papers focus on identifying and using effective practices thatpromotepositive early relationships that intervene when young children are vulnerable or experienceemotional and behavioral problems.

PROMISING SOCIAL- EMOTIONALDEVELOPMENT IN YOUNGCHILDREN: THE ROLE OF MENTALHEALTH CONSULTANTS IN EARLYCHILDHOOD SETTINGS

PAUL DONAHUE, PH.D.

With the advances in the study of braindevelopment in infants and toddlers andresearch on the early acquisition oflearning skills, preschool education hastaken on a new significance. Consideringthat more than 60% of children underage 6 are in some form of child care, itis clear that early childhood educatorsplay a major role in shaping youngchildren's social, emotional and cognitivedevelopment and help lay the groundworkfor future academic success.

Science reveals that our youngest

children can experience anywhere frommild to severe mental health problems.Young children are especially vulnerableto the disruptions caused by traumaticevents, as they do not have well-

developed physical or psychological

resources to defend against them. Whenchildren experience traumas, earlychildhood programs are typically thefirst to feel the impact of family stresses.

Many of the children who have haddisruptions in their early developmentand attachments present with challengingbehaviors in the classroom. They mayappear fearful, disorganized, inattentiveand unresponsive to learning.

The child care center and/or preschoolhas become, in many ways, the ideal

setting for integrating the work ofprofessionals in both disciplines. Early

childhood programs are logical places toestablish partnerships between mentalhealth professionals, teachers, familiesand children. A collaborative model ofmental health consultation in preschoolsettings provides both prevention andintervention to families in safe, trustedand easily accessible environments.

Mental health consultation providespreventative services to help familiessupport their child's full development.

136

EXECUTIVE SUMMARYSet for Success: Building a Strong Foundation for School Readiness Based on the Social-Emotional Development of Young Children

THE CHILD CARE CENTER and/or preschool

has become, in many ways, the idealsetting for integrating the work ofprofessionals in both disciplines.

In addition, intervention servicessupport at-risk children and families andthose already experiencing problemssuch as depression or behavior problemsbefore they lead to academic delay.

A strong preschool/mental healthpartnership can lead to decisive change

and can provide families and programswith more effective tools to meet their

children's needs. Children and families

benefit from the combined focus on

children's social and emotional

development and early intervention efforts

aimed at preventing more serious

problems from developing later in

childhood.

PROMOTING SOCIAL-EMOTIONALDEVELOPMENT IN YOUNGCHILDREN: PROMISINGAPPROACHES AT THE NATIONAL,STATE AND COMMUNITY LEVELS

ROXANE KAUFMANN, M.A.

AND DEBORAH PERRY, PH.D.

Over the last decade, there has been agrowing awareness of the scientific

evidence that effective interventionsdelivered to young children and theirfamilies can have long-term positiveoutcomes. Research on early braindevelopment bolsters interventionstudies indicating that small shifts in thedevelopmental trajectories of youngchildren can have lasting effects. Theseresults have motivated policymakers andprogram managers to identify vulnerablegroups of young children and seek outeffective strategies that can be delivered

to these children and families.

In recognition of these trends, the nation'sgovernors embarked on a series ofinitiatives that focused on young children

and their families. As governors grappledwith how to best prepare young childrenwho arrive at kindergarten "ready tolearn': there was a growing realization that

achieving this goal would require morethan increased cognitive stimulation forour youngest children. In fact, school

readiness appears to be intimately tied to

social and emotional development.

137

Roxane Kaufmann, M.A.

Deborah F. Perry, Ph.D.

Georgetown University Child

Development Center

3307 M Street NM., Suite 401

Washington, DC 20007

phone: 202-687-5072

rkaufman@georgetown.edu

09

10

Head Start and Early Head Start arenational early childhood programs thatinclude prevention strategies for buildingstrong social-emotional development inyoung children and helping families copewith increasing stress. Starting EarlyStarting Smart (SESS), an initiativebetween the Casey Family Foundationand the Substance Abuse and MentalHealth Services Administration(SAMHSA), is a demonstration effortin nine states that integrates behavioralhealth services into accessible, non-threatening settings where families usuallytake their children like early educationsettings and pediatric health care facilities.

Vermont, the only state to build a statewide

system of mental health services andsupports, has integrated these servicesinto the early child-serving system topromote the well-being of young children.

The city of San Francisco has pooledmore than $2 million to provide mentalhealth consultation services to morethan 50 child care centers and morethan 100 family child care homes.These represent a few of the examples of

programs that promote both the social-emotional and cognitive developmentof young children.

EXECUTIVE SUMMARY

If we continue as a nation to commitourselves to meeting the social andemotional needs of young children,those children will be more successful inschool and in life. Some of these children

will avoid costly and more intensiveremedial services at a later age, and theywill be better able to mature intoproductive adults and ultimately nurturetheir own children.

138

IF WE CONTINUE AS A NATION to commit

ourselves to meeting the social andemotional needs of young children, thosechildren will be more successful in schooland in life.

Set for Success: Building a Strong Foundation for School Readiness Based on the Social-Emotional Development of Young Children

Jane Knitzer, Ed.D.

Deputy Director

National Center for

Children in Poverty

Joseph L. Mailman

School of Public Health

Columbia University

154 Haven Avenue

New York, NY 10032

phone: 212-304-7124

jk340@columbia.edu

IMPLICATIONS FOR POLICY AND PRACTICE

The final paper outlines a policy agenda for enhancing school readiness built on the

recognition that success is determined by social, emotional and cognitive competencies

in young children.

PROMOTING SOCIAL-EMOTIONALREADINESS FOR SCHOOL: TOWARDA POLICY AGENDA

JANE KNITZER, ED.D.

Despite the extensive knowledge abouthow early relationships set the stage forlater academic achievement, it can be

challenging to find easy language to

explain the importance of social-emotional development and mental health

of young children to the general publicand policymakers. In addition, very fewpolicies provide direction or resources for

linking social-emotional developmentwith later cognitive development.

From a broad policy perspective, the firstline of defense in promoting emotionalhealth and school readiness in youngchildren is ensuring that their familiesare economically secure and able to

access basic supports (including food,health care, housing and transportation)for themselves and their children.Equally important is access to high-quality early care and learningexperiences. But for some children, this

will not be enough.

139

FROM A BROAD POLICY PERSPECTIVE, the first

line of defense in promoting emotional health andschool readiness in young children is ensuring

that their families are economically secure andable to access basic supports (including food,

health care, housing and transportation) forthemselves and their children.

Given the current economic environmentat the federal and state levels, most of the

policies that do exist are under-fundedand do not provide resources necessaryto implement the practices that sciencehas shown lead to both positive social-emotional development and later schoolsuccess. However, there is an opportunity

to build on the federal agenda on schoolreadiness. The Foundations for LearningAct introduced by Congress is intendedto prevent school failure and provides forsome social-emotional services for youngchildren and families. The characteristicsof policies that promote the well-being ofchildren socially, emotionally and

cognitively include:

Enhancing the well-being of all children,

particularly those at highest risk;

Helping parents become more effective

nurturers of their children;

11

12

Expanding the competencies of othercaregivers and teachers to manage andprevent social and behavioralproblems; and

Ensuring that more seriously troubledchildren and families receiveappropriate services.

CONCLUSION ANDRECOMMENDATIONS

School readiness and success are both a"developmental process and an outcome:'This understanding underscores theimportance of using the school readinessframework to invest not just in strategiesfor preschoolers, but also consider theneeds of infants and toddlers, particularlythe most vulnerable. The time is rightto build on the knowledge base andcurrent initiatives targeting schoolreadiness and success for youngchildren and families. In order toaccomplish these goals, the followingrecommendations are made:

Social-emotional development andacademic achievement are not separatepriorities, rather they must be under-stood as representing the continuumof development that is needed forchildren to grow up healthy andsucceed in school.

The knowledge base linking social,

emotional and cognitive developmentexists but needs to be more broadlydisseminated to parents, teachers,caregivers and policymakers in orderfor public investment to be made inprograms and practices proven to helpyoung children succeed in school.

Programs need to provide training andeducation to promote social-emotionaldevelopment and the importance ofstrong relationships between youngchildren and their families, their

teachers and their caregivers if youngchildren are to succeed without theneed for costly interventions in specialeducation or juvenile justice.

Mental health services offered to

children and families in familiar,trusted, non-threatening community-based settings such as child care,

schools, community centers can be aprevention opportunity to helppromote strong social-emotional andcognitive development as well as anintervention service to those childrenand families at risk for developing

delays or serious problems that willdeter later achievement and success.

Policies that enhance the social,emotional and cognitive well-being ofinfants, toddlers, preschoolers and theirfamilies must be a priority and receive

appropriate public investment in orderto achieve the goal of children entering

school ready to learn and succeed.

A balanced approach to school readinesssuggests that it is not a matter of choosingbetween promoting social-emotionaldevelopment or literacy and academicachievement. Rather, helping childrenand families be successful at kindergartenentry and throughout school requiresthat programs and policies address thesocial, emotional and cognitive abilities

of all children (particularly those most atrisk, given certain economic, cultural orethnic conditions).

140EXECUTIVE SUMMARYSet for Success: Building a Strong Foundation for School Readiness Based on the Social-Emotional Development of Young Children

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Kauffman Foundation Fulfillment Center

P.O. Box 12444, North Kansas City, MO 64116

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The full report and executive summary are available on the Kauffman Foundation's

Web site at http://www.emkforg/pages/12.cfin.

THE KAUFFMANEARLYEDUCATIONEXCHANGEA conference series

sponsored by the Ewing

Marion Kauffman Foundation

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