北京师范大学教師教育研究中心教育研究方法讲座系列 (2)

北京师范大学教師教育研究中心教育研究方法讲座系列 (2)

教育政策研究Policy Studies in Education

TSANG, Wing [email protected]

www.fed.cuhk.edu.hk/~wktsang/

Approach

Area

Thick & deep meanings embedded in ”texts” (e.g. hermeneutics, narrative analysis, …)

Thick & deep meanings embedded in context (e.g. ethnography, discourse analysis, …)

Similarities & differences in social/ed.phenomena of different contexts (e.g. comparative & historical studies, …)

Probabilistic regularities in social phenomena (e.g. social/ed. experiments, social surveys, …

Universal regularities in social/ed. phenomena

Curriculum & instruction

School administration

Education policy

Economics of education

Sociology of education

.

.

.

.

Psychology of education

A Roadmap of Education Research

1. 教育政策研究的发展：学科、领域与视域的综述2. 教育政策研究的知识论基础：理论视域的探讨3. 教育政策研究的历史 - 比较基础：国家理论的综述4. 教育政策研究的规范基础：政策價值争议的综述5. 教育政策研究的制度基础：政策制度主义的综述6. 教育政策制订过程的研究7. 教育政策实施过程的研究 ( 一 )

8. 教育政策实施过程的研究 ( 二 )

9. 教育政策评估过程的研究10. 教育政策與教師： Object, Subject or Agent

讲题大纲：

第一讲教育政策研究的发展：

学科、领域与视域的综述Discipline, Field, & Perspectives

北京师范大学教育研究方法讲座系列 (2)

教育政策研究

(A)Definition of the Discipline

andDefinition of the Field

1. Definitions of the discipline: Policy Studiesa. Definition of the subject of inquiry

b. Definition of the issue of inquiry① Study for policy

② Study of policy

c. Definition of the method of inquiry

2. Definition of the field: Policy studies in educationa. Study for education policy

b. Study of education policy

Policy Studies in Education: An Overview

Policy Studies: Definitions of a Discipline

1. Definitions of the subject inquiry

a. Definition of policy① The Oxford English Dictionary: "A course of action or

principle adopted or proposed by a government, party, individual, etc.; any course of action adopted as advantageous or expedient."

② “Policy is defined as a ‘standing decision’ characterized by behavioral consistency and repetitiveness on the part of both who make it and those who abide by it.” (Eulau & Prewitt, 1973, p. 465)

③ “Routinization (in complex social life) is achieved through the formulation and implementation of policies. Policies are statements that prescribe courses of action in organizations. They govern the internal functioning of the organizations, their external relations, and the way they attain their goals.” (Midgley, 2000, p. 3)

Policy Studies: Definitions of a Discipline

1. Definitions of the subject inquiry

a. Definition of policy④ Policy is “a projected program of goals, values, and

practices.” (Lasswell & Kaplan, 1970, p. 71)

⑤ "To have a policy is to have rational reasons or argurments which contain both a claim to an understanding of a problem and a solution. It put forward what is and what ought to be done. A policy offers a kind of theory upon which a claim for legitimacy is made." (Parson, 1995, p. 15)

Policy Studies: Definition of a Discipline

1. Definitions of the subject inquiryb. Definition of public policy

① “Public policy is whatever governments choose to do or not to do.” (Dye, 1998, p. 2)

② William Jenkins conceptualizes public policy as “ a set of interrelated decisions taken by a political actor or group of actors concerning the selection of goals and the means of achieving them within a specific situation where those decisions should, in principle, be within the power of those actors to achieve.” (Quoted in Howlett & Ramesh, 1995, p. 5)

③ David Easton defines public policy as “the authoritative allocation of values for the whole society.” (Easton, 1953, p. 129)



④ Giandomenico Majone “As politicians know too well but social scientists too often forget, public policy is made of language. Whether in written or oral form, argument is central in all stages of the policy process.” (Majone, 1989, p.1)

⑤ “The practice of public policy making largely a matter of persuasion. So is the discipline of studying public policy making aptly described as itself being a ‘persuasion’. It is a mood more than a science, a loosely organized body of percepts and positions rather than a tightly integrated body of systemic knowledge, more art and craft and genuine ‘science’.” (Goodin, Rein and Moran, 2006, p. 5)



⑥ “Public policy is a discursive construct rather than a self-defining phenomenon.” (Fischer, 2003, p. 69) ”

“We define policy as a political agreement on a course of action (or inaction) designed to resolve or mitigate problems on the political agenda. This agreement…is an intellectual constructs rather than a self-defining phenomenon. Discursively constructed, there can be no inherently unique decision, institutions, or actors constituting public policy that are to be identified, uncovered, and explained. Public policy, as such, is an analytical category with a substantive content cannot be simply researched; more fundamentally, it has to be interpreted.” (p.60)


1. Definitions of the subject inquiryc. Definition of social policy

① “Social policy …refers to the actual policies and programs of governments that affect people’s welfare.” (Midley, 2000, p.4)

② “Social policy may be defined as policy activities which influence welfare. Whilst non-state bodies may be described as having policies, a generic expression like ‘social policy’ is primarily used to define the role of the state in relation to the welfare of its citizens.” (Hill, 1997, p. 1)


2. Definition of issues of inquirya. Harold Lasswell characterizes that “As a working

definition, we say that the policy science are concerned with knowledge of and in the decision processes of the public and civic order.” (1971, p.1, original emphasis)


2. Definition of issues of inquiryb. Study for policy:

① William Dunn indicates that “policy analysis is a problem solving discipline. …Policy analysis addresses five types of questions:• What is the nature of the problem for which solution is sought?

• Which of two or more courses of action should be chosen to solve the problem?

• What are the outcomes of choosing that course of action?

• Does achieving the outcomes contribute to solving the problem?

• What future outcomes can be expected if other courses of action are chosen?” (p. 3)


2. Definition of issues of inquiryb. Study for policy

② Policy Studies generates knowledge for problem-solving

- Problem recognition - Agenda-setting

- Proposal of solution - Policy formation

- Choice of solution - Decision-making

- Putting solution into - Policy implementation effect

- Monitoring results - Policy evaluation


2. Definition of issues of inquiryc. Study of policy

① Thomas Dye defines the study of public policy as “the description and explanation of the causes and consequences of government activities, This focus involves• a description of the content of public policy;

• an analysis of the impact of social, economic, and political forces on the content of the public policy;

• an inquiry into the effect of various institutional arrangements and political processes on public policy; and

• an evaluation of the consequences of public policies on society, both expected and unexpected.” (p.5)


2. Definition of issues of inquiryc. Study of policy

② Policy Studies generates knowledge of policy- Study of the policy contents or substances

- Study of the policy process

- Institutional or systemic study of policy

- Study of the policy frame and policy discourse

- Critical study of ideological implications of policy


3. Definitions of methods of inquirya. The Analytic-technical method

① Policy science movement

② Political system method

b. The interpretive-political method① Study of meanings and values invested in policy

② Study of text, textuality and intertextuality of policy documents

③ Study of policy argument

④ Study of policy frame

c. The discursive critical method① Study of policy discourse

② Study of dominant ideology at work in policy

Policy Studies in Education: Definition of a Field

1. Definition of education policy: Whatever a government choose to do or not to do in education.”

2. Definition of issues of inquirya. Study for education policy

① Status-quo study and definition of the education problems

② Causality study for policy solution of the education policy

③ Rational study for choice of solutions

④ Study of policy implementation

⑤ Policy evaluation study

Policy Studies in Education: Definition of a Field

2. Definition of issues of inquiry ……

b.Study of education policy① Study of the substance of the education policy

② Study of the process of the education policy

③ Institutional or systemic studies of the education policy

④ Study the formation of the policy frame and discourse in education

⑤ Critical study of ideological implications of the education policy

(II)The State of the Art:

The Overview of the Disciplineof Policy Studies

Journals on Policy Studies

1. Policy Studies Journal (1971-present), publisher: Policy Studies Organization (US based)

2. Review of Policy Research, (1981-present), publisher: Policy Studies Organization (US based)

3. Politics and Policy, (1973-present), publisher: Policy Studies Organization (US based)

Journals on Policy Studies

4. Journal of Public Policy (1981-present), publisher: Cambridge University Press (UK based)

5. Journal of European Public Policy (1994-

Journals on Education Policy

Educational Evaluation and Policy Analysis, (1979-present) Publisher: AERA (US based)

Journal of Education Policy, (1986-present) Publisher: Taylor & Francis (UK based)

Educational Policy, (1987-present) Publisher: Sage (US based)

(2006)

(2006)

(2007)

(1999)(2009)(1999)

Scholarship (Subject, Issue & Method)

Institution(Journal,

Department, and

Association)

+

+

_

_

The State of the Art: The Overview of the Discipline of Policy Studies

Theoretical perspectives in policy studies Analytic-technical perspective Interpretive-political perspective Discursive-critical perspective

(III)

Historical Development of Policy Studies as a Discipline

Pre-historical period, from the Enlightenment to the WWI 1500s to 1910s From the Prince’s advisor to social physicist

The formative period, between the two world wars The rise to prominence in the post WWII period: The

Advent of the policy science From military operation to operation research and management

science From war of intelligence to cybernetics to information

technology From training camp to learning psychology to marketing

research


The challenge of the bounded rationality and the science of muddling through Grand-comprehensive rationality meet with political reality

The rise and fall of the policy science in the 1960s to the 1970s The War on Poverty The Vietnam War The Watergate scandals The Energy Crisis

The post-modernist period from the 1990s to present The linguistic, argumentative and persuasive turns


From the Prince’s advisor to social physicistFrom Niccolo Machiavilli (1469-1527) The Prince (1532) Thomas Hobbes (1588-1679) Leviathan (1651) to August Comte (1798-1857) Treatise of Sociology (1851)


Niccolo Machiavilli (1469-1527) Thomas Hobbes (1588-1679)

August Comte (1798-1857)

From the Prince’s advisor to social physicistFrom Niccolo Machiavilli (1469-1527) The Prince (1532) Thomas Hobbes (1588-1679) Leviathan (1651) to August Comte (1798-1857) Treatise of Sociology (1851)

US Government sponsored the Franklin Institute (1824-) to study the causes of explosions in steamboat boilers in 1832

The rise and fall of the American Social Science Association (ASSA) 1865-1915

Historical Development of Policy Studies


The initiatives around the WWI: Upon President Wilson's request, National Research

Council was established in 1916 to assist the government to fight WWI

Establishment of the Social Science Research Council in 1923 and the Brookings Institute in December, 1927.

Charles Merriam's advocacy in his Presidential address in American Political Science Association in 1925 for researches of applied and multidisciplinary social science on social problems


The Post-WWII and Cold-War initiatives: The success of Operations Research (OR) and

Psychology of War in WWII The Congress initiated the establishment of National

Science Foundation (NSF) in 1950 to serve as instrument to sponsor scientific research informing public policy


Harold Lasswell’s three-perspective formulation of The Policy Orientation (1951) in the book Policy Sciences edited by him and Daniel Lerner Multidisciplinary Perspective Contextual and Problem-Oriented Perspective The Normative Perspective


Developments of policy orientations from the 1950s to the 1960s

Multidisciplinary PerspectiveThe theoretical hegemony of the economic analysis,

system approach, and/or management scienceRobert K. Merton’s call for applied social science

research and theories of middle range (1967)


Developments of policy orientations from the 1950s to the 1960s Contextual and Problem-Oriented Perspective

Demarcation of knowledge in and of policy process, i.e. policy analysis and policy-process analysis

The growth of policy analysis: the heyday positivist-empiricism and instrumental rationalism

• Stuart S. Negal’s conceptualization of policy analysis “Policy analysis can be defined as determining which of various alternative public or governmental policies will most achieve a given set of goals in light of the relations between the policies and the goals.”

• Stokey, E. & Zeckhauser, R. (1978) A Primer for Policy Analysis. New York: W.W. Norton.

• Quade, E.S. (1975) Analysis for Public Decisions. New York: Elsever.



David Easton’s conception of political system (1953)

Robert Dahl & Charles Lindblom’s Pluralist challenge

Charles Lindblom’s science of muddling through (1959/1979)

Simon & March’s conception of bounded rationalism (1958)

Aaron Wildavsky’s (1969) critique on program-planning-budgeting system (PPBS)



• Debate on policy process– Quade's (1975) elements of policy analysis: (1) identification of

objectives, (2) specification of alternatives, (3) recommending policy action, (4) monitoring policy outcomes, and (5) evaluating policy performance

– May and Wildavsky's (1978) reformulation of policy process: (1) agenda setting, (2) issue analysis, (3) initiation, (4) estimation, and (5) termination.


Developments of policy orientations from the 1950s to the 1960s The Normative Perspective

Neglect of normative perspective by the value-free policy analyst & muddling through theorist

Reinstating values in Policy Studies and challenge from political philosophers, John Rawls (1971) and Robert Nozick (1974)


Growth and Development of Policy Science through the 1970s The rise of the welfare state and J.F. Kennedy and L.B.

Johnson Administration’s Great Society Project Robert S. McNarama and the transplantation of

rhetoric Program, Planning, and Budgetary system from the U.S. Department of Defense


Growth and Development of Policy Science through the 1970s The rise of the welfare state and J.F. Kennedy and L.B.

Johnson Administration’s Great Society Project Robert S. McNarama and the transplantation of

rhetoric Program, Planning, and Budgetary system from the U.S. Department of Defense

The expansion of the policy analysis The mean-end causal analysis Public decision analysis Evaluation analysis Implementation analysis


Growth and Development of Policy Science through the 1970s The contextual reality and constraint (deLeon, 1988)

The War on Poverty

The Vietnam War

The Watergate scandals

The Energy Crisis


From Policy Analysis to Policy Inquiry: The 1990s and Beyond The Post-positivist challenge:

Frank Fischer & John Forester (1987) Confronting Values in Policy Analysis

John Forester (1989) Planning in the Face of Power Frank Fischer & John Forester (1993) The Argumentative

Turn in Policy Analysis and Planning. Schon Donald & Martin Rein (1994) Frame Reflection:

Toward the Resolution of Intractable Policy Controversies.

The coining of the concept of Design Rationality


From Policy Analysis to Policy Inquiry: The 1990s and Beyond From instrumental rationalism to critical and

communicative rational approach

From value-free analysis to political philosophy and communicative ethics for policy argument

Argumentative, narrative and discursive (linguistic) turns of Policy Studies

Planning in the face of power and the governmentality approach to Policy Studies

(IV)

Development of Policy Studies in Education as a Field in the Twentieth Century:

The Welfare State Paradigm

James S. Coleman’s odyssey of research in education policy, 1960s to 1980s

The first Coleman Report 1965-66

Policy research on inequality of Educational Opportunity

Design of effective policy ends and intervention measures

The second Coleman Report in 1975 AERA annual conference

Policy research on the phenomenon of the White Flight

Controversy over the unwanting findings

The third Coleman Report in 1980

Policy research on the effectiveness of public and private schools

The argumentative turn of the report

Late James S. Coleman’s Odyssey: The case of US

Late James S. Coleman’s Odyssey

James S. Coleman(1926-1995)

Late James S. Coleman’s odyssey

The U.S. Supreme Court’s decision in Brown v. Board of Education in 1954

Forensic admission of Kenneth Clark’s psychological experiment on dolls

The Civil Rights Act of 1964 & the Section 402 stipulation

“The commission shall conduct a survey and make a

report to the president and the Congress, within two

years of the enactment of this title, concerning the

lack of availability of equal educational opportunities

for individuals by reason of race, color, religion, or

national origin in public educational institutions at all

levels in the United States, its territories and

possessions, and the District of Columbia.”

(Civil Right Act 1964, Section 402)

The U.S. Supreme Court’s decision in Brown v. Board of Education in 1954

Forensic admission of Kennth Clark’s psychological experiment on dolls

The Civil Rights Act of 1964 & the Section 402 stipulation

US Office of Education commissioned a survey on the availability of equal educational opportunity among social group (April 1965)

James S. Coleman's study on Equality of Educational Opportunity (to be completed in July 1966)

Late James S. Coleman’s odyssey

The odyssey of the First Coleman Report: From research report to summaries

Jeanette Hopkins’ summary Alexander Mood’s summary Helen Rowan’s summary

The myth of the Busing Policy: Judge J. Skelly Wright ruled in the case Hobsen v. Hansen, in the District of Columbia (Washington D.C.) that "the school board (should) integrate its facilities …and to provide busing to take children from overcrowded black schools to less crowded, mainly, white ones." (Hunt, 1985, p. 79)

From research finding to policy implementations


The odyssey of the First Coleman Report: From research finding to policy implementations

Nixon’s Message on Education Reform of March 3 1970Delay Impact or “just a simple rationalization for

spending less money.”Busing controversy spread


Invitation to the 1975 AERA annual conference "White Flight": the unwanted consequence of the

desegregation policy The odyssey of the Second Coleman Report:

Among waves of criticism from fellow educational researchers and sociologists, there was the president of ASA Alfred M. Lee's campaign to the ASA's Committee on Professional Ethics to regard Coleman's research effort and advocacy on "Trends in School Segregation" as unethical

Elected as President of ASA 1991-92


1980 Public and Private School Study commissioned by the National Center for the Educational Statistics of the Department of Education: The argumentative turn


“There are two fundamentally different schools of thoughts concerning the role of scientific research. … One school of thought sees policy research as private dialogue between the policy maker and the policy researcher. The policy makers poses the problem and the questions, and the policy researchers acts as adviser to the prince, to answer the questions on the basis of existing scientific knowledge if possible, and if not, to gather the right kind of data and analyze it properly to arrive at a conclusive answer. This conception of a clear, orderly process, with the final stage being implementation of the policy researcher’s results. The scientific answers are conclusive, sources of controversy are stilled by the conclusiveness of the research results, and rational action based on scientific evidence replaces interest group

politics.

“The other school of thought – the one to which we subscribe – see policy research as a largely public activity, one in which there is no ‘policy maker’, and in which the policy researcher’s role is that of the servant of multiple interests. …The contribution of the policy research to the end result is that of raising the level of discourse which leads to policy: facilitating disposal of false issues, narrowing attention and political conflict to the important issues. The research results cannot specify policy to be implemented; they are only one of a number of input which makes that process a more open one, helping to provide a window to the consequences of policy that enables more persons to effectively press for their interests and ideals.”

(Coleman, et al., 1982, p.220-221)

Policy research on New Right Education Reform in the UK

Policy studies as text analysis

Policy studies as discourse analysis

Stephen J. Ball's personal review of “policy sociology”


Education Reform: A Post-Structural Approach “Policy is clearly a matter of the ‘authoritative

allocation of values’; policies are the operational statements of values, ‘statements of prescriptive intent’. But values do not float free of their social context. We need to ask whose values are validated in policy, and whose are not. Thus, ‘The authoritative allocation of values draws our attention to the centrality of power and control in the concept of policy’. Policies project images of an ideal society (education policies project definitions of what counts as education).” (Ball, 1990, p.3)


Education Reform: A Post-Structural Approach In another occasion, Ball specifies his own approach

to policy study that “in current writing on policy issue I actually inhabit two very different conceptualization of policy. …I will call these policy as text and policy as discourse. …The point I am moving to is that policy is not one or the other, but both: they are ‘implicit in each other’.” (1994, p.15)


In his personal review, Ball quoted Grace’s distinction between two approaches of policy research prevailing in post-WWII UK, namely policy science and policy scholarship approaches (Ball, 1997) A policy science approach "attempts to extract a social

phenomenon from its relational context in order to subject it to close analysis. …The concern of a policy science approach is to understand present phenomena in order to formulate a rational and scientific prescription for action and future policy." (Grace, 1995, pp.2-3)


…..policy science and policy scholarship approaches A policy scholarship approach "resists the

tendency of policy science to abstract problem from their relational settings by insisting that the problem can only be understood in the complexity of those relations. In particular, it represents a view that a social-historical approach to research can illuminate the cultural and ideological struggles in which schooling is located." (Grace, 1995, p. 3)


Policy Scholarship Policy Science

a. Design and Scope Policy oriented Practice oriented Multi-focus Single focus Multi-level Single level Temporal Atemporal Global/local National/general Linked focus Detached b. Embedded Context rich Context barren Conceptually 'tick' Conceptually 'thin' c. An ethics of research Social justice Social efficiency Critical Incorporated d. Peopling policy Voiced Silent

(Ball, 1997, P. 264)

(V)Development of Policy Studies in Education

in the 21st Century: Neoliberalism under

Global-Informational Paradigm

The rise of Neo-liberalism

The advent of the Global-Informational Paradigm

The Internal Tension between Grobalization and Glocalization in Education Policy

Stephen J. Ball’s emerging approach to policy text, policy enactment, policy discourse, policy network and policy governance

END

Lecture 1: Development of Policy Studies in Education:

Discipline, Field and Perspective

北京师范大学教師教育研究中心教育研究方法讲座系列 (2)

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Transcript of 北京师范大学教師教育研究中心教育研究方法讲座系列 (2)

北京师范大学 教師 教育研究中心 教育研究方法讲座系列 (2)

Documents

Transcript of 北京师范大学 教師 教育研究中心 教育研究方法讲座系列 (2)

北京师范大学教師教育研究中心教育研究方法讲座系列 (2)

Transcript of 北京师范大学教師教育研究中心教育研究方法讲座系列 (2)