Handbook of

Education Policy Research

Educational policy continues to be of major concern. Policy debates about economic growth and national competitiveness, for example, commonly focus on the importance of human capital and a highly educated workforce. Defi ning the theoretical boundaries and methodological approaches of education policy research are the two primary themes of this comprehensive, AERA-sponsored Handbook.

Organized into seven sections, the Handbook focuses on (1) disciplinary foundations of educational policy, (2) methodological perspectives, (3) the policy process, (4) resources, management, and organization, (5) teaching and learning policy, (6) actors and institutions, and (7) education access and differentiation.

Drawing from multiple disciplines, the Handbook’s over one hundred authors address three central questions: What policy issues and questions have oriented current policy research? What research strategies and methods have proven most fruitful? And what issues, questions, and methods will drive future policy research? Topics such as early childhood education, school choice, access to higher education, teacher accountability, and testing and measurement cut across the 62 chapters and 14 commentaries in the volume. The politics surrounding these and other issues are objectively analyzed by authors and commentators.

Each of the seven sections concludes with two commentaries by leading scholars in the fi eld. The fi rst considers the current state of policy design, and the second addresses the current state of policy research.

This book is appropriate for scholars and graduate students working in the fi eld of education policy and for the growing number of academic, government, and think-tank researchers engaged in policy research.

Handbook ofEducation Policy Research

Edited by

Gary Sykes

Barbara Schneider

David N. Plank

with

Timothy G. Ford

First published 2009by Routledge270 Madison Ave, New York, NY 10016

Simultaneously published in the UKby Routledge2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN

Routledge is an imprint of the Taylor & Francis Group, an informa business

All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from AERA.

Trademark Notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identifi cation and explanation without intent to infringe.

Library of Congress Cataloging in Publication DataHandbook of education policy research / edited by Gary Sykes, Barbara Schneider, David N. Plank with Timothy G. Ford.p. cm.Includes bibliographical references and indexes.1. Education and state—Research—Handbooks, manuals, etc. I. Sykes, Gary. II. Schneider, Barbara. III. Plank, David Nathan. IV. Ford, Timothy G. LC71.H363 2009379—dc222008040170

ISBN 10: 0-415-98991-4 (hbk)ISBN 10: 0-415-98992-2 (pbk)ISBN 10: 0-203-88096-X (ebk)

ISBN 13: 978-0-415-98991-6 (hbk)ISBN 13: 978-0-415-98992-3 (pbk)ISBN 13: 978-0-203-88096-8 (ebk)

The American Educational Research Association (AERA) publishes books and journals based on the highest standards of professional review to ensure their quality, accuracy, and objectivity. Findings and conclusions in publications are those of the authors and do not refl ect the position or policies of the Association, its Council, or its offi cers.

© 2009 American Educational Research Association

The AERA Books Editorial BoardChair: Cherry A. McGee BanksMembers: Robert E. Floden, Patrick B. Forsyth, Felice J. Levine, Gary J. Natriello, Robert J. Sternberg, and Carol Camp Yeakey

This edition published in the Taylor & Francis e-Library, 2009.

To purchase your own copy of this or any of Taylor & Francis or Routledge’scollection of thousands of eBooks please go to www.eBookstore.tandf.co.uk.

ISBN 0-203-88096-X Master e-book ISBN

This book is dedicated to:

William L. Boyd

(1935–2008)

Writing about composing Rhapsody in Blue George Gershwin said, “I tried to express our manner of living, the tempo of our modern life with its speed and chaos and vitality.” His words capture the spirit, insight, and dedication of William L. Boyd, a leading researcher of educational policy for over 30 years, who also was an accomplished musician. He served as the fi rst vice president of the American Educational Research Association’s Division of Educational Policy and Politics after the division was established in 1996. We speak for our fi eld in mourning the loss of a great contributor and friend.

vii

Contents

Foreword xiii

Acknowledgments xv

Introduction 1Gary Sykes, Barbara Schneider, and Timothy G. Ford

Section I. Social Science Disciplines and Education Policy ResearchSection Editors: Barbara Schneider and David N. Plank

1 Historians and Educational Policy Research in the United States 17Maris A. Vinovskis

2 Policy Research in Education: The Economic View 27Martin Carnoy

3 The Economic Value of Education and Cognitive Skills 39Eric A. Hanushek

4 A Political Science Perspective on Education Policy Analysis 57Lorraine M. McDonnell

5 Perspectives from the Disciplines: Sociological Contributions to Education Policy Research and Debates 71Douglas Lee Lauen and Karolyn Tyson

6 Current Approaches to Research in Anthropology and Education 83Maressa L. Dixon, Kathryn M. Borman, and Bridget A. Cotner

7 Making Education Research More Policy-Analytic 93David L. Weimer

8 Commentary: Disciplined Education Policy Research 101Michael J. Feuer

9. Commentary: The Disciplinary Foundations of Education Policy Research 106Adam Gamoran

Section II. Conducting Policy Research: Methodological PerspectivesSection Editors: Barbara Schneider and David N. Plank

10 Separate Orbits: The Distinctive Worlds of Educational Research and Policymaking 113Martin Orland

11 The Use of Randomized Trials to Inform Education Policy 129Geoffrey D. Borman

viii Contents

12 Causal Inference in Non-Experimental Educational Policy Research 139David Kaplan

13 Research Synthesis and Education Policy 154Therese D. Pigott

14 Complementary Methods for Policy Research 163Laura M. Desimone

15 Assessment Policy: Making Sense of the Babel 176Joan L. Herman and Eva L. Baker

16 Scale-Up as a Framework for Intervention, Program, and Policy Evaluation Research 191Sarah-Kathryn McDonald

17 Commentary: Conducting Policy Research: Methodological Perspectives 209Spyros Konstantopoulos

18 Commentary: An Applied Perspective on Research, Method, and Policy 212Christopher B. Swanson

Section III. Politics and the Policy ProcessSection Editor: Jane Clark Lindle

19 Education and Domination: Reforming Policy and Practice through Critical Theory 221Carlos Alberto Torres and Richard Van Heertum

20 Race, Ethnicity, and Education 240Roslyn Arlin Mickelson

21 Race(ing), Class(ing), and Gender(ing) Our Work: Critical Race Theory, Critical Race Feminism, Epistemology, and New Directions in Educational Policy Research 258

David O. Stovall

22 Rhetoric and Symbolic Action in the Policy Process 267Lisa Rosen

23 The Role of Law in Educational Policy Formation, Implementation, and Research 286Julie F. Mead

24 Teacher Collective Bargaining: What We Know and What We Need to Know 296Julia E. Koppich and Mary Alice Callahan

25 The Voice of the People in Education Policy 307Rebecca Jacobsen

26 Assessment Policy and Politics of Information 319Jane Clark Lindle

27 What Works in Defi ning “What Works” in Educational Improvement: Lessons from Education Policy Implementation Research, Directions for Future Research 333

Meredith I. Honig

28 Conceptualizing Policy Implementation: Large-Scale Reform in an Era of Complexity 348Amanda Datnow and Vicki Park

29 Public Choice and the Political Economy of American Education 362Martin West

Contents ix

30 Research in the Policy Process 372Marshall S. Smith and Matthew L. Smith

31 Commentary: Politics and the Policy Process 398Jane Hannaway

32 Commentary: Getting “Critically Real”’ About the State of Education Politics and Policy Process Research 402V. Darleen Opfer

Section IV. Policy Implications of Educational Resources, Management, and OrganizationSection Editor: Linda Skrla

33 Notes on Reframing the Role of Organizations in Policy Implementation: Resources for Practice, in Practice 409

James P. Spillane, Louis M. Gomez, and Leigh Mesler

34 What Do We Know About Reducing Class and School Size? 426June Ahn and Dominic J. Brewer

35 Conceptions, Measurement, and Application of Educational Adequacy and Equal Educational Opportunity 438Bruce D. Baker and Preston C. Green, III

36 Whether and How Money Matters in K-12 Education 453Margaret L. Plecki and Tino A. Castañeda

37 School Reconstitution and School Improvement: Theory and Evidence 464Betty Malen and Jennifer King Rice

38 Charter School Policy Issues and Research Questions 478Sandra Vergari

39 Vouchers 491John F. Witte

40 A Market for Knowledge? 502Frederick M. Hess

41 Market Reforms in Education 513Clive R. Belfi eld and Henry M. Levin

42 Commentary: A Call to Studied Action: Lessons from Research on Policies Designed to Improve the Organization and Management of Schooling 528

Steve Cantrell

43 Commentary: Improvement or Reinvention: Two Policy Approaches to School Reform 534Rodney T. Ogawa

Section V. Teaching and Learning PolicySection Editor: Gary Sykes

44 Opportunity to Learn 541William H. Schmidt and Adam Maier

45 The Reading and Math Wars 560Alan H. Schoenfeld and P. David Pearson

46 Language Policy in Education 581Patricia Gándara and M. Cecilia Gómez

x Contents

47 Teacher Quality and Teacher Labor Markets 596Tara Béteille and Susanna Loeb

48 Teacher Preparation and Teacher Learning: A Changing Policy Landscape 613Linda Darling-Hammond, Ruth Chung Wei, with Christy Marie Johnson

49 School Improvement by Design: Lessons from a Study of Comprehensive School Reform Programs 637Brian P. Rowan, Richard J. Correnti, Robert J. Miller, and Eric M. Camburn

50 Measurement and Improvement of Teacher-Child Interactions: Implications for Policy and Accountability Frameworks of Standardized Observation 652

Robert C. Pianta and Bridget K. Hamre

51 Closing Achievement Gaps 661George Farkas

52 New Technology 671Yong Zhao and Jing Lei

53 Education and the Shrinking State 694David N. Plank and Venessa Keesler

54 Commentary: Research on Teaching and Learning 705Barbara R. Foorman

55 Commentary: Informing Teaching and Learning Policy 710Robert E. Floden

Section VI: Actors and Institutions in the Policy ProcessSection Editor: Carolyn Herrington

56 International and Transnational Policy Actors in Education: A Review of the Research 717Karen Mundy with Mona Ghali

57 New Approaches to Understanding Federal Involvement in Education 735Lora Cohen-Vogel and Michael K. McLendon

58 The Expansion of State Policy Research 749Kathryn A. McDermott

59 The District Role in Instructional Improvement 767Gary Sykes, Jennifer O’Day, and Timothy G. Ford

60 Pushing on the Paradigm: Research on Teachers’ Organizations as Policy Actors 785Nina Bascia

61 Local Democracy in Education 793Michael Mintrom

62 The Politics of (Im)Prudent State-Level Homeschooling Policies 805Catherine A. Lugg and Andrea K. Rorrer

63 Student Voice and Student Roles in Education Policy and Policy Reform 819Dana L. Mitra

64 Looking Forward: Toward a New Role in Promoting Educational Equity for Students with Disabilities from Low-Income Backgrounds 831

Thomas Hehir

Contents xi

65 Commentary: Research on Actors and Institutions Involved in Education Policy: Themes, Tensions, and Topics to Explore 842

Martha McCarthy

66 Commentary: Nested Actors and Institutions: The Need for Better Theory, Data, and Methods to Inform Education Policy 848

Mark Berends

Section VII. Educational Access and DifferentiationSection Editor: Barbara Schneider

67 Policy and Place—Learning from Decentralized Reforms 855Bruce Fuller

68 Early Childhood Education 876Lawrence J. Schweinhart and Rachel Fulcher-Dawson

69 Social Stratifi cation and Educational Opportunity 889Nathan D. Jones and Barbara Schneider

70 Shadow Education Systems 901Chong-Jae Lee, Hyun-Jeong Park, and Heesook Lee

71 K-16 Transitions and Higher Education Access 920Frankie Keels Williams

72 Permeability and Transparency in the High School-College Transition 928Jennifer L. Stephan and James E. Rosenbaum

73 Governmental Policy and the Organization of Postsecondary Education 942James C. Hearn and T. Austin Lacy

74. The Invisible Hand of World Education Culture: Thoughts for Policy Makers 958David P. Baker

75 Commentary: Access and Differentiation 969C. Kent McGuire

76 Commentary: Access and Differentiation: Structuring Equality and Inequality in Education Policy 973Jeannie Oakes

Author Index 979

Subject Index 1007

List of Figures 1029

List of Tables 1031

The Editors 1035

The Contributors 1037

The Reviewers 1045

xiii

Foreword

It is signifi cant that the Handbook of Education Policy Research, the fi rst book published in the AERA Handbook Series in Education Research, is being released at this de-fi ning moment in our nation’s history. This is a time when individuals are confronting concerns about economic and social survival and the nation is facing urgent challenges to its position as a leader in the global economy and in world affairs. Education has become the focal point for many of these concerns, and politicians at the local as well as the national level have made education a visible and robust campaign issue. Competing ideas and insights about how to respond to problems confronting our schools are packaged in education policy proposals that are continuously debated and often debunked. Within this atmosphere, it can be diffi -cult to identify the kind of ideas, innovations, and programs that can be used to improve our educational system.

The editors of the Handbook of Education Policy Research have collected in a single volume a wealth of information including statistics, analyses, and studies that highlight the role that research can play in helping school administrators, governmental leaders, higher-education policy makers, and others to better understand the nature of the problems they are confronting and make informed and thoughtful decisions as they seek to address them. The handbook is an essential resource for the research community and those seeking to comprehend and make gains in education policy research. In addition to decision makers who are confronting and working to resolve serious challenges in our education system, graduate students in policy programs, as well as doctoral candidates in related fi elds, will fi nd the discussions on research methods and techniques, which are interspersed throughout the volume, invaluable as they engage in education policy research.

The 62 chapters and 14 commentaries in this handbook include a mix of established and new voices in education policy research. The mix of voices results in chapters that balance critical approaches with chapters that focus on solutions. The chapters fall into seven sections. Each sec-tion addresses important dimensions of education policy ranging from its historical and social science foundations to social stratifi cation and other issues that are implicated in educational access and differentiation. The chapter authors discuss a wide range of topics, including long-standing policy interests such as education access, language

learning, accountability, charter schools, school vouchers, assessment, and, more broadly, No Child Left Behind, as well as topics that highlight important new and emerging interdisciplinary and global policy perspectives in educa-tion policy research. In some cases, complex topics such as the value of educational investments and production are discussed by several chapter authors who examine different elements of the topic. This enables readers to deepen their understanding of the policy issue as well as the impact of its implementation. The commentaries at the end of each section add value to the research discussed in the section by pointing to areas where such research is or should be par-ticularly useful and by identifying unmet policy needs.

The Handbook Series was designed and implemented by the AERA Books Editorial Board. At the time the pro-posal for the Handbook of Education Policy Research was approved, the Board was composed of founding Board members Carl A. Grant, Patrick B. Forsyth, Felice J. Levine, Gary J. Natriello, Ana Maria Villegas, Carol Camp Yeakey, and myself. Carl A. Grant, in his capacity as chair of the Publication Committee, has since transitioned off the Board. Robert J. Sternberg, the current chair of the Publication Committee, now serves on the Books Editorial Board along with Board member Robert E. Floden.

The AERA Handbook Series in Education Research is part of an overall AERA books publication program that aims to “publish works that advance knowledge, expand access to signifi cant research and research analyses and syntheses, and promote knowledge utilization.” The series specifi cally seeks to publish volumes of excellence that are conceptually and substantively distinct. The volumes in the series “offer state-of-the-art knowledge and the foundation to advance research to scholars and students in education research and related social science fi elds.” When the Books Editorial Board issued its call for proposals for handbooks in education research, the editors of the Handbook of Edu-cation Policy Research were among the fi rst to respond. Their proposal was accepted after a substantive review and revision process directed by the Books Editorial Board.

The following criteria outlined in guidelines for prepar-ing handbook proposals were used to review the proposal for the Handbook of Education Policy Research. First and foremost, the Board examined the proposed handbook in terms of whether it would provide an opportunity for readers

xiv Foreword

to take stock of and advance their thinking about current and future directions of education policy research. Second, the Board focused on the extent to which the proposed handbook would draw on the strongest research—including from within and outside the United States. Third, the Board was interested in the ability of the editors of the proposed handbook to bring together a team of authors who could assess the knowledge base of education policy research and do so with respect to the diverse populations served by contemporary educational systems. Finally, the Board reviewed the proposed content of the handbook to get a sense of the book’s scope and the extent to which it would include a “critical analysis of the strengths and limitations of extant studies as well as address the essential tools and elements for research progress.”

At the end of the review process, the Board enthusias-tically approved and moved the Handbook of Education Policy Research into development. Support was given to the editors during the manuscript development process, and when the manuscript was complete, it was reviewed

and approved for publication by the Board. We are very pleased to make this comprehensive and well-conceptual-ized handbook available to readers interested in education policy. It advances both theory and practice in the fi eld of education policy, and, if seriously engaged by policy mak-ers, the Handbook of Education Policy Research will help them better understand, identify, and implement policies that can improve our nation’s education systems and help strengthen the quality of education policy research.

On behalf of the AERA Books Editorial Board, I want to thank editors Gary Sykes, Barbara Schneider, and David Plank for their substantial investment in this research hand-book and for producing a timely volume of signifi cance. Special thanks are also due to Tim Ford, who assisted the lead editors in bringing this handbook to fruition. Finally I wish to thank the many authors, commentators, and review-ers for their important contributions.

Cherry A. McGee BanksChair, AERA Books Editorial Board

University of Washington Bothell

xv

Acknowledgments

A volume of this magnitude could not have come to frui-tion without major resource commitments from a whole host of individuals. First, we need to thank the 99 authors who allowed us to endlessly bother them with revisions and agree to have their work blind reviewed by two outside re-viewers. Second, a special thanks to the 107 reviewers who helped the authors identify the holes, inconsistencies, and maintain objectivity that in such a large volume, is in many ways a feat unto itself. We are especially grateful to several reviewers, Kathryn Anderson-Leavitt, David Baker, Susan Bodilly, Jere Brophy, Dorinda Carter, Margaret Eisenhart, Chandra Muller, Donald Peurach, John Tyler, and Ronald Zimmer, who gave us immediate, extensive, and in many cases, multiple reviews that were extraordinarily helpful not only to the authors but to us as we tried to provide a balance on issues of content, method, and theoretical perspectives. Third, we also owe our deep appreciation to the fourteen commentators who within a tight and short schedule pro-vided clear and insightful syntheses of the material in each section, highlighting additional ideas, policies, and research that all play a signifi cant role in the formulation of educa-tional policy. Fourth, we would like to thank section editors Carolyn Herrington, Jane Clark Lindle, and Linda Skrla for their initial work in selecting authors for chapters and providing initial feedback to authors regarding the scope and organization of their chapters.

Behind the scenes of any manuscript are the real workers who make a book possible. Leigh Ann Halas, who helped with editing and seemingly endless rounds of reference checking, we thank you for all of your hard work. Nathan Jones, Venessa Keesler, and Adam Maier, all graduate stu-dents at Michigan State University, played a critical role not only serving as co-authors on chapters but assisting in the organization and preparation of the volume. But the person who really deserves our immense gratitude is Timothy Ford, a graduate student in educational policy at Michigan State

University, who beyond any other individual made this volume possible. He was the command central, the chief editor, and overall task-master without whose assistance this volume would still be sheets of unorganized papers on three messy desks.

At AERA, we also would like to thank Felice Levine for her encouragement and support and continued prodding to make sure this volume is an authentic series of chapters that underscore the importance and value of educational policy research. A special thanks to Todd Reitzel, Director of Publications at AERA, who kept us to our deadlines, and secured copyright and all other legal documentation required for publication. Additionally, we would like to acknowledge the hard work of the AERA Books Editorial Board, established in 2005 to oversee selection of editors for the AERA/LEA Research Handbook Series and ensure high quality standards for the series volumes, of which this Handbook is a part. We extend our gratitude to this board, made up of chair Cherry McGee Banks and mem-bers Robert Floden, Patrick Forsyth, Felice Levine, Gary Natriello, Robert Sternberg, and Carol Camp Yeakey, for taking the time to review the manuscript to be sure it met the standards of scholarship AERA is continually striving to improve and achieve.

To our publisher Lane Akers, we thank you for assisting a rather unruly set of editors on keeping deadlines and mak-ing sure there would be books for the 2009 AERA annual meeting. To Carole Ames, Dean of the College of Education at Michigan State University, thank you for the resources from the John A. Hannah chair to make this process progress more smoothly than it might have otherwise.

But in the end, the three of us have to take responsibility for what we all hoped and envisioned is a timely and use-ful compilation of high quality scholarship on educational policy research. Thank you all.

Gary SykesBarbara Schneider

David N. Plank

1

Over the past several decades, political leaders and govern-ments around the world have come to assign an increasingly central role to education. Public initiatives to revitalize cit-ies, encourage physical fi tness and healthy lifestyles, and promote democratic and civic participation likewise rely heavily on the education system for the accomplishment of their goals. Policy discussions about economic growth and national competitiveness, for example, commonly focus on the importance of “human capital” and a highly-educated workforce. Policy debates about the sources of poverty and inequality quickly turn to the need to expand and improve the educational opportunities for all children, especially those facing initial and sustaining economic and social disadvantages.

“Education” is no longer just about what happens in classrooms and schools, but increasingly about rules and regulations promulgated in state capitals and the federal government designed to improve student academic perfor-mance and social development as well as the management and operation of the schools they attend. As “policy” has assumed an increasingly pivotal role in the educational sys-tem, a growing number of scholars have turned their atten-tion to the process through which rules and regulations are adopted, and the consequences they have on teaching and learning. Education policy research has in turn expanded its reach and its relationship to these developments.

Today, policy research traverses the full spectrum of issues in education, from governance and fi nance to cur-riculum, pedagogy, and assessment, and across all levels of the educational system, from the federal government to the classroom. Virtually all aspects of the educational enterprise are now the objects of “policy,” and appropriate subjects for policy research. New methodological tools also have been developed and are being deployed on many policy issues, while conceptual approaches with origins in multiple dis-ciplines frame policy questions. Defi ning the boundaries of the fi eld and identifying a parsimonious set of organizing principles to bring order to the vast diversity of topics is a

IntroductionGARY SYKES, BARBARA SCHNEIDER, AND TIMOTHY G. FORD

Michigan State University

central challenge, but the importance of education policy research today merits the effort.

This handbook joins a set of companion volumes, all of which have contributed to recent efforts at synthesizing the fi eld of educational policy. These include the Handbook of Research in Education Finance and Policy (Ladd & Fiske, 2008), The State of Education Policy Research (Fuhrman, Cohen, & Mosher, 2007), and the International Hand-book of Educational Policy (Bascia, Cumming, Datnow, Leithwood, & Livingstone, 2005), among others. This volume offers a broad survey of topics on educational policy ranging from global to local perspectives (although the bulk of the chapters center on the United States given the extent of research found there); diverse and competing theoretical disciplinary frameworks and the multiple methodologies that underpin them; and the development and implementa-tion of educational policy in other countries.

The volume is organized into seven sections, some more tightly bounded by theme than others. These include: the disciplinary foundations of education policy research (Sec-tion I); methodological issues in education policy research (Section II); a wide-ranging set of chapters on politics and the policy process (Section III); policy implications of resources, management, and organization (Section IV); teaching and learning policy (Section V); actors and insti-tutions in the policy process (Section VI); and issues of access and differentiation in education and policy systems (Section VII). The remainder of this introduction provides an abstract of each chapter and overviews of the parts under which they are organized.

One important contribution to this volume is the chapters by commentators that follow each of the seven sections. These commentaries are written by a range of scholars who represent not only those who have had experience on the ground as practicing school leaders, but also as directors of major federal research and development offi ces. Ad-ditionally, some of the commentators work on reporting educational policy initiatives for the broader public, while

2 Gary Sykes, Barbara Schneider, and Timothy G. Ford

others are chronicling the impact of state policies on class-room practices and teacher qualifi cations and credentialing processes. Some serve as leaders in bi-partisan academies that provide assessments, challenges, and future directions for specifi c policy initiatives. All of these commentators have established records of high-quality scholarship in investigating the impact of educational policy on students, their teachers, families and the communities in which they live. Together, they critique, emphasize, and recommend where the fi eld of educational policy needs to focus if it is to be useful to the educational enterprise.

Section I: Social Science Disciplines and Education Policy Research

Education policy research can trace its roots in part to the so-cial science disciplines. Section I addresses how knowledge from history, economics, political science, sociology, an-thropology, and public policy (considered here as a distinct fi eld of study) has formed a foundation for policy research in education. In the opening chapter, Vinovskis reviews the ebb and fl ow of the role of history in informing policy debates over the past decades, concentrating on federal education policy in particular. The chapter underscores the value that historical studies can have in identifying the risks and unintended consequences of former policies that future policies may well avoid. Vinovskis encourages historians to reclaim their discipline, and shore up on approaches and methods being eclipsed by other social scientists for describing and interpreting the contributions of history in education policy research.

Next, two economists explore the burgeoning fi eld of economics of education which is having a major infl uence on many federal, state, and local education policies. Car-noy begins by explaining how the fi eld of economics has infl uenced debates on school improvement along several dimensions. Economists argue that education has economic value on both an individual and societal level by increasing productivity, hence wages, and economic growth. Carnoy emphasizes however, that the evidence for this argument has been diffi cult to achieve and the results controversial. He underscores how education may infl uence economic productivity not simply through the addition of skills to the workforce but also through the pace and progress of technological innovation and change. Economists have also contributed methodologically to measuring the impact of school inputs on student outcomes. Carnoy provides a series of examples of how economists have used sophisticated statistical techniques to develop models (controlling for selection bias) that estimate causal effects using large-scale observational data.

Hanushek examines more specifi cally the issue of eco-nomic returns to education both in the United States and other countries. Like Carnoy, he argues that the U. S. may be reaching the limits of the economic benefi ts of more schooling such that greater attention is now warranted to the quality of schooling and to what students are learning

in school. While simple measures of school quality have been elusive, economic research has demonstrated the im-portance of teacher quality (despite its uncertain relationship to teacher qualifi cations of various types). He concludes that school quality may help explain the puzzle of why low school-completion rates exist when the individual returns to education are high. These chapters should be read in con-junction with that of Plecki and Castañeda, which explores the question, does money matter.

Turning to political science, McDonnell draws on this disciplinary framework to explore the interaction of three conceptual “building blocks”—interests, ideas, and institu-tions. She examines how each has been incorporated into theories to explain cycles of policy stability and change. In moving beyond short-term snapshots of single policies, political scientists have looked to the interplay between interests and ideas, the institutions that insulate existing policies from change, and policy entrepreneurs who act strategically to advance new agendas.

More recently, political scientists have used the same concepts to consider how policies can alter patterns of citizen participation and distributional consequences. She concludes her chapter with a rationale for why political science can be a useful framework for informing education policy research.

The contributions of sociology to education policy are examined by Lauen and Tyson. They highlight processes of social stratifi cation in society; the social organization of schooling; the effects of families, schools, and neighbor-hoods on student cognitive and social development; and the importance of modeling social context as a multi-level phenomenon. The chapter discusses how sociological stud-ies have made major contributions to policy discourse and practice, with the Coleman Report standing as one of the most infl uential in debates over equality of opportunity in education. They argue for using qualitative sociological methods, in the tradition of the Chicago School, for ex-ploring questions such as, what’s happening? and why or how is it happening? that can help interpret and understand results from experimental and quasi experimental studies and evaluations.

Dixon, Borman, and Cotner introduce the reader to an anthropological approach to education. While they indicate that ethnographic studies “on the ground” are a useful ac-companiment to experimental studies, they also note that the concept of “culture” as a distinct and bounded sphere has become blurred in the post-modern, global world prompt-ing anthropologists to rethink this fundamental concept in their discipline. Drawing on a variety of studies, they show how anthropological work has helped to understand how policies are affecting children’s lives, particularly No Child Left Behind and new instructional and curricular designs. The chapter concludes by noting that this discipline tends to adopt a critical perspective on policy, especially with regard to issues of equity and social justice for marginal-ized students, and to advocate for activist and participatory research that aims to uncover power relations and the lived

Introduction 3

experiences of “the other,” as representing the full social spectrum of humanity suspended in webs of meaning (to use Geertz’s phrase).

In the fi nal chapter of Section I, Weimer distinguishes three domains that play complementary but different roles in the relationship between research and policy. Disciplinary research, that other authors in this section have described, employs methods, models, and concepts in the social sci-ences that inform our understanding of phenomena that may—or may not—be subject to policy intervention. Policy research aims to produce sound assessments of some policy problem or impact. Finally, the main topic of his chapter, policy analysis examines the impact of policy alternatives in relation to a policy problem. This analysis, he proposes, treats trade-offs entailed in policy alternatives around such issues as costs, problem identifi cation, response to vari-ability and uncertainty, and discovery of “Type III” errors, described as fi nding the correct response to the wrong question. Weimer succinctly brings this section to a close by describing general approaches to policy analysis that occur closer to actual and specifi c policies which have, in turn, been infl uenced by ideas, concepts, and fi ndings from the social sciences. The methods of analysis he advocates then serve as a bridge to Section II.

Section II: Conducting Policy Research, Methodological Perspectives

Section II of the handbook turns to issues associated with the conduct of policy research and of its relationship to policymaking. Orland begins with a discussion of the pros-pects that “scientifi cally base research,” randomized clinical trials (RCTs) in particular, may exert greater infl uence on policy making. While he advocates for research of this kind, his chapter also points out some of the main diffi culties in linking research to policymaking. Some of these issues reside in the nature of the policy process (timing, politics, preferences), others in the nature of research (preferences for new discoveries vs. replication), and still others in the relationship between research and policy (e.g., funding, communication issues). In any event, he characterizes the relationship as fi lled with disjunctions, concluding that the current emphasis on scientifi cally based research in federal R & D policy in education is a promising and worthwhile development, but one whose ultimate success in fostering stronger research/policy linkages is far from assured. He urges caution in overstating the likely positive impacts of such reforms in addressing current pressing policy needs, as well as a greater near-term emphasis on R & D policies sup-porting research translation and tailored knowledge use.

Borman continues and deepens Orland’s arguments by supplying a careful discussion of the issues associated with conducting randomized fi eld trials in education. His chapter systematically considers the range of challenges to the con-duct of RCTs, then proposes methods for dealing with them. Ethical issues, such as the withholding of treatments from students, are addressed along with others. Ultimately, he

argues, if education is to follow medicine in developing an “evidence based fi eld,” then the methods used to supply both internal and external validity for educational “treatments” of various kinds will require a similar level and kind of rigor that has come to characterize the fi eld of medical research. The “gold standard” in this perspective is the experiment, as appropriately combined with methods that include an appropriate qualitative accompaniment.

Kaplan advocates a somewhat different approach in con-trasting what he terms the “structural” and “experimental” traditions for dealing with problems of causality. While experimental designs have the advantage of testing well-specifi ed counterfactuals, there exists a non-experimental, observational approach to causality that has taken shape in the fi eld of econometrics, known variously as path analysis or structural equation modeling (SEM). His chapter pro-vides an introduction to this alternative to experiments, cautioning that both approaches to causal inference rest on some “heroic assumptions.” Following a careful exposition of the philosophical literature on causality originating in the work of the British Enlightenment empiricist David Hume, he makes the case for the value and practice of SEM as an underutilized method for drawing causal inferences in educational policy research. His essential point, though, is that policy analysts require a thorough conceptual under-standing of theories of causality (and of their intellectual history) in order to make wise use of both experimental and non-experimental approaches. With this argument he rejects the claim that experiments alone constitute the “gold standard” for policy research.

Next, Pigott takes up a different but equally important is-sue in policy research, the conduct and uses of research syn-theses or meta-analyses to inform education policymaking (see also Smith and Smith, chapter 30). Often policy makers seek an accurate and up-to-date summation of knowledge on a particular issue as one basis for policy development, and they turn to analysts with requests for such syntheses. She fi rst proposes how research syntheses can contribute to policy development, what quality standards should be applied to meta-analyses, and how such work might be made more valuable to the policy process. While research syntheses can map fi elds of study and explore the bound-aries of inference (around such matters as types of study method, varying contexts, and differences by participant), she argues in favor of expanding the kinds of questions addressed in meta-analyses together with procedures for producing more timely reviews that enter cycles of policy development and research.

Desimone further expands conceptions of how policy research might infl uence policy development through a con-sideration of the uses of mixed methods that move beyond formal means for ensuring causal inference or summarizing effects across studies. She argues that selection of methods depends on the questions asked. Whereas experimental and quasi-experimental methods seek confi rmation around well-specifi ed questions, other methods pursue aims that seek to generate hypotheses rather than test them. She also

4 Gary Sykes, Barbara Schneider, and Timothy G. Ford

argues that the selection of methods should not be inher-ently ideological (for example as aligned with supporting vs. challenging the status quo in policy). In the second half of her chapter, she reprises a framework (see Green, Cara-celli, & Graham, 1989) for the productive mix of methods based on fi ve purposes: triangulation (different methods around same question); complementarity (different methods for different components of a study); development (using methods sequentially to refi ne knowledge); initiation (dif-ferent methods to uncover contradictory or non convergent knowledge); and expansion (multiple methods to expand the scope or breadth of a study). She concludes with three “best practices” recommendations—using an integrative framework, applying an iterative approach, and grounding mixed methods in theory.

In the next chapter, Herman and Baker take up a par-ticularly important topic at the intersection of research and policy—the nature of assessment policy. Assessments depend on standards of rigor established in the psycho-metric fi eld, yet they also originate from policy decisions, in turn informing policy and political processes. Hence, assessment policy involves a complex mix of the technical and the political (see also Lindle). The complexity of as-sessment policy resides in part in the multiple purposes for assessments (which the chapter reviews) together with the multiple criteria for evaluating assessment policy (another topic in the chapter). After reviewing the research evidence on the effects of assessment, the authors demonstrate that most state assessment systems fail to meet quality criteria. Future U.S. developments, they argue, would do well to emulate assessment models already implemented in coun-tries such as England and New Zealand. Incremental ap-proaches toward such models appear the best bet for future assessment policy in the United States, dependent upon the necessary political will.

The fi nal chapter in Section II takes up a wide range of issues for conducting policy and program evaluation research. While a conventional view might regard program evaluation as a simple matter—design and execute a study of a program—McDonald frames evaluation research in the context of scaling up programs and practices found to be effective. Scale-up as a contemporary policy concern points to evaluation research as an extended, multi-stage process in the “discovery to implementation” cycle: fi rst, proof of concept, then establishing effi cacy, demonstrat-ing effectiveness, scaling up and testing again; and fi nally, post-marketing research. The chapter explores issues at each stage in this process while arguing that such a com-plete cycle is required if education policy is to benefi t from evaluation research.

Section III: Politics and the Policy Process

A wide range of issues related to the theme of politics and the policy process constitute the third section of the Handbook. The fi rst four chapters pose theoretical alter-natives for interpreting education policies including those

implemented on behalf of racially and ethnically diverse students, families, and the communities in which they live, and the discourse by which these initiatives are symbolized and framed in policy documents. The next two chapters look at the political institutions of the law and of collective bargaining as infl uences on the policy process, followed by four chapters on public involvement in educational politics and policy, and the tensions involved in the process of policy implementation. The fi nal chapters explore the challenges to the political process in education offered by public choice theory, and what its prospects may be for infl uencing edu-cational policy.

Torres and Van Heertum discuss how the philosophical and historical roots of critical theory have been applied to education policy. Included in their discussion are a series of constructs and ideas that defi ne this fi eld and key researchers who have contributed to it. Critiquing both critical theory and positivism, they argue that education research should be committed to tying together theory and practice, com-municating positionality, emphasizing results over methods, and linking them to relevant policies. Finally, using teacher unions and NCLB as examples, they demonstrate the value of critical theory in questioning the bases of these frame-works and the importance of striving for moral and ethical imperatives to guide policy research and formulation.

Mickelson paints a sociological and historical portrait of the racial and ethnic diversity among American students. She uses the common (and contested) racial and ethnic cat-egories Asians, Blacks, Latinos/as, Native Americans and Alaskan Natives, Whites, Bi- and Multiracial, and Immi-grant youth as she examines various school processes. She discusses a range of theories that help to explain the racially correlated nature of educational outcomes. Many of these theories focus on the structured inequality in educational opportunities that intersect with socioeconomic, political, and cultural differences among families, communities, and social networks. While acknowledging there has been some narrowing in achievement gaps among groups (see also Farkas), she concludes by noting how resilient these gaps are, and how, “the institutional basis of racial stratifi cation in education remains the single most urgent challenge facing educational policy makers, students, and their parents.”

Stovall documents how critical race theory (CRT) and critical race feminism (CRF) supply alternative but comple-mentary models for interpreting both the intent and charac-ter of policies associated with the plight of urban schools. In societies where overt and subtle forms of discrimination by race, gender, and other social characteristics are endemic, education is called on to perform emancipatory or libera-tory functions, and to tackle both the manifest and latent causes of educational inequalities. To illustrate such an analysis, the chapter considers the case of housing reform in Chicago and its relation to education. Reforms in the name of improved housing served a variety of corporate and class interests while dispossessing poor and working class people of color in schools and their respective neighbor-hoods. The case illustrates the importance of taking a wide

Introduction 5

angle view of reforms from critical perspectives linked to race, gender, and class.

Rosen presents us with yet another theoretical perspec-tive, symbolic action, as an analytic tool for understanding educational policy, its origins and expressions. Within this framework, she argues that policy serves two functions: the expressive, to communicate articles of faith; and the consti-tutive, to construct policy realities. Pursuing the expressive function, she then illustrates how policy and policymak-ing serve as myths, rituals, and spectacles. Pursuing the constitutive function, she shows how public problems are defi ned, how the rhetoric of policy exerts infl uence, and how “frames” shape policy development. Along with the fi rst three chapters, Rosen’s exposition has value in chal-lenging offi cial policy discourses and in noticing policy’s cultural underpinnings in relation to instrumental purposes and consequences. She wants not to dismiss instrumental perspectives but rather to include symbolic perspectives in the appraisal of policy and policy making.

Two specifi c kinds of policy—the law and collective bargaining—are analyzed by Mead and Koppich and Cal-lahan, respectively. Mead begins by distinguishing law from policy, noting that while law tends to answer the questions, may we? and must we? policy seeks to answer the question, should we? Law creates boundary conditions while policies attempt to determine what is to be done. Legal scholarship has challenged many of the premises and bases for policy frameworks and decisions. To illustrate the relationship between law and policy, she presents four examples that contrast legal with legislative decisions at federal and state levels. These cases help illustrate the interplay between law and policy, where constitutional principles set boundaries; legislation captures relatively changeable values of time and locale; and litigation interprets legislation and seeks to uphold constitutional precedent. As she describes, future critical arenas for such contestation will be the reauthori-zation of NCLB and the aftermath of the Supreme Court decision disallowing voluntary integration programs that use race as one consideration for student assignment.

Koppich and Callahan review the hotly disputed and understudied issue of collective bargaining agreements, which regulate aspects of schooling and teaching and shape the educational environment. Two perspectives on collec-tive bargaining frame the debate, one that is critical (see chapter by West), the other cautiously positive. The authors review the history of collective bargaining in education, and then describe contemporary efforts to introduce pro-fessional unionism and reform bargaining as an alternative to traditional, industrial bargaining, highlighting vanguard experiments in some districts. Their main point is that policy research has not kept up with these developments. Thus, the saliency of reform bargaining and its potential effects on student outcomes remains largely unknown. Clearly, more studies are needed to guide the future of collective bargaining in education.

Jacobsen, in the next chapter, argues that poll formula-tion can be understood as a form of discourse that captures

public voice regarding satisfaction (or dissatisfaction) with public education. When the public’s voicing of dissatisfac-tion is ignored, increased exit from the public system is a rational alternative. Jacobsen reviews how opinion polling about the goals and purposes of American education has evolved over the years, underscoring that polling surveys are highly sensitive to the questions asked, the formats they are presented in, and other factors. She notes that by using key concepts and words, polls suggest that the public wants public schools to pursue a relatively broad range of goals. The public places some emphasis on core academic outcomes, but also expects public education to develop students’ skills in other goals such as citizenship, critical thinking, and work ethic. To gain greater specifi city with regard to the desires of the public, an important and under-studied fi eld in politics and education, contemporary work on polling has asked respondents to indicate relative weights or trade-offs among major goals. Future work, she advocates, must provide fi ner breakdowns by state and subpopulations together with attention to new policies and political actors.

Political discourse on assessments, specifi cally perfor-mance standards and accountability policy, is the focus of the next chapter by Lindle. Her political discourse analysis of Education Week and Lexis Nexis reveals that political and professional elites are quoted most frequently, with only 10% of attention going to assessment experts/educational researchers. Although heard less frequently, experts fulfi ll an important role by supplying two kinds of checks on elite opinions: They challenge and critique elite views and help explain the complexities of assessment policy to the public. Given the politicized role that experts’ opinions have, she questions their future role in an environment that is likely to continue to be assessment and accountability driven.

The next pair of chapters turns from the politics of public discourse to the mobilization and implementation of policy to address public concerns. Honig’s chapter on policy implementation argues that the basic evaluation question, What works? should be replaced by the question, What works for whom, where, when, and why? She frames implementation as a highly contingent and locally situated process involving the interaction of policy, people, and places. She next uses these three categories to supply an historical review of implementation research, advocating for better use of theory to guide future work. As illustra-tion, she selects three promising theories and demonstrates how each helps to illuminate policy implementation issues. Her choices—complexity theory, organizational learning theory, and critical race theory (see chapters by Stovall and by Torres and Van Heertum)—demonstrate the wide range of lenses that might be employed usefully to study implementation.

Datnow and Park closely examine three large-scale re-forms and the theories and rationale behind their implemen-tation. They offer three major perspectives to understanding policy implementation—technical/rational conceptions, mutual adaptation, and sensemaking/co-construction—and

6 Gary Sykes, Barbara Schneider, and Timothy G. Ford

how they are embodied in Comprehensive School Reform, NCLB, and data-driven decision making at the district level. Several assumptions about the change of direction, the policy process, spheres of infl uence, and the role of context and values are compared and contrasted from these three perspectives. The authors suggest that, when assessing the effectiveness of large-scale education reforms, policy makers and researchers need to be more analytically sophis-ticated and theoretically multifaceted when constructing complex reform efforts that can be sustainable (see also McDonald’s chapter 9 for discussion of large-scale reforms and their sustainability).

To conclude this section, chapters by West and by Smith and Smith each provide overviews of the relationship between research and policy. West offers a brief introduc-tion to public choice theory as a lens for understanding the productivity puzzle: Why have the costs of education risen while educational outcomes have remained fl at (see Hanushek, Carnoy, Plecki and Castañeda, and Hess on this point)? Many theorists in this tradition rely on “principal-agent” models to understand behavior in public bureau-cracies, and while such models have been challenged for underestimating altruism and mission-oriented behavior, they provide a basic framework for understanding the powerful role of self-interested behavior—individually and collectively—in public service organizations. West suggests that low productivity attributed in part to the weaknesses of market forces in the education sector, unionization of employees, and incentives for excessive bureaucratization within public education. He notes that such diagnoses have helped spur calls for the increased use of self-interested incentives through test-based accountability and school choice to improve student outcomes (see also chapters by Vergari, Witte, Hess, and Belfi eld and Levin). However, he recognizes the diffi culties of allowing for a systematic evaluation of such initiatives.

In their chapter, Smith and Smith address questions concerning how research might better inform policy and program development. In a wide-ranging treatment, their chapter mines past efforts to link research and policy via examination of a set of topics that includes the pros and cons of large foundation support; the conditions under which research has infl uenced policies; why many reforms have failed; what we know about more successful efforts; dimensions for policies that are more likely to succeed; the importance of theory in policy-oriented research; and recommendations for policy researchers and policymakers. Viewed in contrast to the chapters that concentrate on the politics of the policy process, this synthesis makes a persua-sive argument for how research might play a more powerful and consequential role in the policy process.

Section IV: Policy Implications of Educational Resources, Management, and Organization

Section IV examines some of the extensive policy levers that are used in designing and implementing major changes

in educational systems. Many of these reforms are associ-ated with different types of educational resources and with alterations in the organizational and managerial landscape of schools, districts, and state systems. While some poli-cies have been incremental and targeted, others have had large-scale, transformative goals. The fi rst chapters in this section discuss proposed and enacted reforms in resource allocations, with later chapters taking up system changes in organization and management.

The chapter by Spillane, Gomez, and Mesler could be considered a companion to the chapters by Honig and Datnow and Park, but here the emphasis is on organizations and organizational change as a context for understanding outcomes of policy implementation. In the authors’ refram-ing of the role of organizations, they consider the public or idealized characterization of resources—defi ned as its ostensive property—and what people do with resources in particular places and times—as its performative property—and how both of these enable and constrain practice and policy implementation. Their analysis considers four dif-ferent resources that exhibit these two properties: human capital, social capital, organizational routines, and technol-ogy. These resources are situated within contexts or “fi elds of interaction.” The theoretical framework described here provides several suggestions for future work including the study of work practice within and between organizations; attention to the broader institutional system within which practice is nested; and moving beyond the study of natural variations in organizations. The authors recommend that the design and implementation of planned change be con-ducted using a wide range of research approaches including randomized trials and/or experiments.

In their chapter, Ahn and Brewer describe a particular structural aspect of school organization that has attracted considerable attention from policy makers: class and school size. In part one of the chapter, they review the arguments and theories that have been put forward supporting the ben-efi ts of small classes and schools. In part two, they examine the evidence on each reform. While some evidence, based mostly on the Tennessee STAR experiment, reveals causal effects for small classes on student achievement, there is very little evidence based on well-designed experiments or quasi-experiments to support the claimed benefi ts of small schools. Ahn and Brewer also address issues concerning the policy tradeoffs related to class size reduction (e.g., more building space, hiring of more qualifi ed teachers), and question the cost effectiveness of class and school reduc-tions relative to other reforms. In sum, while this policy intervention in school organization appears attractive to many analysts and advocates, the research base for such reforms remains thin.

Issues of equity and adequacy of fi nancial resources are the focus of the chapter by Baker and Green. Beginning with the historical roots of the language used in school fi nance cases, the authors argue why conventional defi nitions for framing school fi nance solutions lead to oversimplifi ed, inadequate programs that fail to meet student needs,

Introduction 7

especially those in low income households. Questioning the role of state fi nance legislative and legal actions, using examples from three states, they raise concerns with when, whether, and how state courts should be involved in defi n-ing educational adequacy and the diffi culty of legislatures to meet the fi nancial obligations imposed by court actions. Resource disparities continue to be the norm in state school fi nance with states struggling to strike a balance between equity and adequacy; judicial and legislative roles; and politics versus empirical evidence as the basis for school fi nance reform.

Plecki and Castañeda complement Baker and Green by exploring what is known about the value of educational investments. In common with the chapters by Carnoy, Hanushek, and West, they also look at the educational production function literature, reiterating (as Hess also indicates) that while expenditures have been rising, student educational outcomes have not improved. Their chapter notes the measurement and methodological challenges in some of the economic models, primarily educational pro-duction functions, that have contributed to controversies in determining whether money matters, and if so in relation to what particular kinds of investments. Six investments appear to be candidates for policy pay-off, although each has pros and cons. They include improving teacher quality, lowering pupil-teacher ratios (see the chapter by Ahn and Brewer), expanding early-childhood programs (see the chapter by Schweinhart and Fulcher-Dawson), improving high school, decentralizing spending authority, and providing incentives to improve performance. The chapter closes with thoughts on future studies, including a more cautious note on the use of various models, including randomized trials, for estimat-ing the value of educational investments.

While fi scal resources serve as one source of and target for policy, organizational and management features of educational systems also have been implicated as the next set of chapters indicates. Reconstituting public schools, introducing charter schools, voucher plans, other elements of market-based approaches all seek either retail improve-ments in low performing schools or wholesale transfor-mations in school systems. The next fi ve chapters explore these policy options. First, Malen and King Rice examine theory and evidence on school reconstitution, defi ned as the “blanket replacement of personnel in schools.” This policy prescription bears attention today as one potential remedy under the NCLB sanctions, and the evidence to date is not promising. Theory specifi es positive effects via some combination of sanctions and capacity-building, but the critical issues concern whether the new capacity is well aligned with what low performing schools need, and how contextual factors affect the coherence of the intervention. Evidence from studies of reconstitution policies in Chicago, San Francisco, Baltimore, Portland, and other locales has turned up only a few favorable outcomes. Instead, such a policy more often increases stress, demoralization, and in-stability, actually weakens staff quality, and focuses schools on short-term fi xes rather than long term improvements.

Better designed policies and studies might improve this track record, but the authors urge caution in future recourse to this policy remedy.

Vergari provides an update on the many research ques-tions provoked by the rise of charter schools in the United States and of their counterparts elsewhere around the world. Her chapter examines the growth of charter schools in the U.S. and their impact on a wide range of issues including equity, the exercise of parental choice, student mobility and attrition, educational innovation, local school fi nance and accountability. Fifteen years into the experiment with charter schools in the U.S., she argues that many questions remain unanswered and require greater attention by policy researchers, even as the pace of charter school growth has leveled off.

The concluding three chapters in this section consider the prospects of market-based reforms in education, es-pecially as those stimulated by school choice policies associated with voucher plans, tuition tax credits, and the like. Witte’s chapter takes stock of voucher plans in a cross-national, comparative context, assessing the evidence pertaining to effects it has on segregation by class and race, student achievement, and quality of other non-voucher schools. Reviewing arguments pro and con for vouchers, he identifi es fi ve design features of voucher plans and then describes how these features operate in nine countries around the world, including the United States. To take but one contrast, the Netherlands has the oldest system of educational choice (dating from 1917) that features public subsidies for Protestant and Catholic schools alike. Due to small class differences, there has been substantial equality across schooling options, but the recent infl ux of Muslim immigrants may be altering this accommodation. Chile, in contrast, launched its national voucher plan in 1980, but their system features very large between school differences associated with social stratifi cation. Witte ultimately argues that voucher systems alone are unlikely to work wholesale changes on educational systems even as the idea retains power and infl uence.

Hess provides a provocative and straightforward argu-ment concerning the potential power of a competitive marketplace of schools for transforming education. He parses arguments for school choice differently than Witte by distinguishing competitive effects for improving existing schools (termed “public sector response”) from effects asso-ciated with new entrants into the education market (termed “displacement”). While competition is already a feature in certain segments of education (e.g., higher education and supplemental services under NCLB), he notes that the bulk of K–12 education in the United States has been insulated from substantial competition by an array of forces that blunt, distort, and weaken its potential productive effects (see also West’s chapter for concurring arguments). Moreover, com-petition’s rough edges, its tendency toward what Austrian economist Joseph Schumpeter called “creative destruction,” have caused even ardent reformers to pull back from the full implications of competition. There may, he suggests, not

8 Gary Sykes, Barbara Schneider, and Timothy G. Ford

be a coalition powerful enough to overcome the political opposition to market reforms other than those that operate on the margins. But he argues in favor of the raw potential for this transformative change.

Belfi eld and Levin supply a broader context in which to consider both Witte’s and Hess’ analysis of public school choice policies. Building on Levin’s prior work, they note that any form of school choice will require trade-offs among four values—freedom to choose; productive effi ciency, equity, and social cohesion. In any choice plan, more of one value is likely to mean less of some other value. For example, if families are allowed full freedom to choose schools for their children, this might improve productive effi ciency but at the expense of the state’s interest in equity and social cohesion. Their chapter then provides a review of empirical studies around each of these values. They conclude from the evidence that competition and choice are likely to greatly improve freedom to choose; to exert small improvements in student achievement but certainly not revo-lutionary change; to increase inequalities unless choices are restricted, e.g., to the poor; and it is not clear what effects these might have on social cohesion. Taken together, these analyses seem to indicate that choice policies involve a set of clear preferences around core values, none of which may be dismissed; that they produce relatively modest effects on many important outcomes; that they may be one means of improving equity (under plans targeted to the poor); and that a fully competitive market system is unlikely to replace—or even strongly supplement—government provision of K–12 schools in the United States.

Section V: Teaching and Learning Policy

The chapters in Section V move the focus of policy research and intervention closer to the core of education and to the immediate infl uences on teachers and teaching, on learners and learning. The chapters examine critical policy ques-tions related to curriculum, the education of special student populations, teacher preparation and the labor market, in-structional designs as policy reform, interactions between students and teachers in classrooms, factors underlying the persistent achievement gaps among student groups, and the challenges and promises associated with the new teaching and learning technologies.

In the first chapter, Schmidt and Maier review the literature on “opportunity to learn” (OTL), a critically im-portant policy variable, that they argue has been narrowly defi ned as students’ exposure to curriculum content. The authors provide OTL’s rich history in educational research, and how it has been conceptualized and operationalized in three large-scale and infl uential studies of education: The Third International Mathematics and Science Study (TIMSS); the Study of Instructional Improvement (SII); and the instructional measurement studies fl owing out of the Institute for Research on Teaching (IRT). The chapter then describes strategies for measuring OTL, which serves both as an outcome in some studies and as a mediating vari-

able in other studies, and the similarities and differences in results from these studies (see Rowan et al.’s chapter for further exposition on SII). Evidence from the U.S. indicates great variability in math OTL within schools as well as between schools. The authors suggest that this is partially the consequence of a slow-moving and poorly sequenced curriculum weak in academic rigor and content coverage out of step with many other countries. The authors’ critical point, though, is that OTL is a central variable in education policy research and development that must be considered in studies that examine effects of other variables (e.g., teacher quality) on achievement, that, if not considered, will bias estimates of the effect of instruction and content coverage on mathematics, science, and other subjects.

Schoenfeld and Pearson describe the history of tensions and controversies that have swirled around the teaching of reading and mathematics. Both school subjects have been party to theoretical and empirical disputes, changes in practices, and political interventions strongly driven by ideological positions that can be traced to beliefs about the goals of education. The chapter reviews many similarities and some of the differences in the narrative account of some of the most acrimonious scientifi c and political debates that engulfed curricular approaches, instructional techniques, and assessment strategies for measuring student perfor-mance in reading and mathematics. The authors’ views of the events surrounding these controversies should be read alongside Orland’s account and that of Smith and Smith to round out an understanding of how scientifi c and political forces have interacted over the years and the consequences they have had on educational research and practice.

If the curriculum constitutes one important factor for understanding the relationships among teaching and learn-ing, policy, politics, and research, then students constitute another. The next chapter considers particular populations of students—English Language Learners. Gándara and Gómez review the contentious and troubled history of language policy in the U.S., noting how politicized this issue has been and how seldom research has been used to adjudicate the controversies. One way of underscoring the importance of language policy is to note that the U.S, linguistic minority population has grown dramatically; it currently constitutes 20% of all school-age children. They note how language policy differs among nations, based on their ideology, ranging from monolingual (e.g., France, the U.S.) to mul-tilingual (e.g., India, South Africa). Then, they examine the key policy issues and questions at stake, and the research methods used to study such questions. They conclude by suggesting that a richer research agenda for language stud-ies could be achieved by viewing it through a lens that sees language as a personal and societal resource that could be used for improving the preparation of teachers.

Teachers serve as the focus of the next two chapters. First, Béteille and Loeb summarize what is known about the nature of teacher labor markets. The chapter describes the teacher workforce which is large (over 8% of working col-lege graduates) and diverse. It then summarizes the research

Introduction 9

linking teacher characteristics to student outcomes. While most studies reveal only weak associations between most measured characteristics of teachers, such as whether or not they have an advanced degree, and student outcomes, they consistently fi nd that new teachers are less effective than more experienced teachers. Yet, new teachers are over repre-sented in schools with students most at risk. This difference in teacher characteristics is systematic of the broader pat-tern that teachers are unequally distributed across schools and districts. Inner city schools and those serving minority students have lower proportions of experienced teachers and teachers with higher qualifi cations, and they have higher teacher attrition rates. The chapter then reviews factors that attract and retain teachers in particular locales, including wages, job characteristics, location, entrance requirements, and local hiring practices. The chapter concludes with a review of policy options developed at state and local levels that hold some promise in addressing staffi ng problems in poor minority schools and districts.

Darling-Hammond, Wei, and Johnson next examine issues associated with teacher preparation, selection, and learning opportunities. The chapter focuses on what quali-fi cations and training matter most for producing effective teachers. The topics they cover include teacher prepara-tion, certifi cation, licensure, mentoring and induction, and professional support. They also review policies and their effects for reducing restrictions to entry, opening up alternative routes, terminating ineffective teachers. Some of these policies are generally under the umbrella of market mechanisms to address problems of supply, demand, and quality (see Hess for exposition of this view). While an ac-cumulating body of evidence provides empirical support for many aspects of teacher preparation, many questions remain to be answered. They suggest more studies that can help inform policies particularly related to mentoring, teacher retention and classroom practices that can be associated with learning results.

The next two chapters narrow the focus of teaching and learning in schools to classrooms. First, Rowan and colleagues report results from a large, quasi-experimental study conducted between 1999 and 2004 that examined the implementation of three prominent whole-school reforms—the Accelerated Schools Project (ASP); America’s Choice (AC); and Success for All (SFA). Beginning in the 1990s, one signifi cant approach to school reform was predicated on the idea that external agents might develop designs for new schools that then might be implemented in many schools with external assistance supplied by the designers. The Study of Instructional Improvement (SII) followed the course of three of these designs in multiple schools around the country. This chapter supplies a summary of results from this study, concentrating on features of the designs themselves; effects on instructional practice; and effects on student achievement. The study fi nds (1) that the designs were different one from another, and, not surprisingly, achievement results vary by model; (2) that instructional interventions require fi ne-grained information and careful

measurement strategies; (3) that it is important to specify the “logic model” or theory of action when studying com-plex interventions (see also Smith and Smith on this point); and (4) that the designs are fragile in practice such that attention to implementation is critical. Of particular note, is that student mobility in schools with high proportions of poor and minority students proved to be a crucial factor in undermining the effectiveness of otherwise successful designs and implementation strategies.

Pianta and Hamre second the importance of concentrat-ing on and carefully measuring instruction as an aspect of policy development. Operating out of a tradition of research on classroom behavior, the authors argue that attention to in-struction is critical because of the emphasis on performance in NCLB; the renewed attention to school readiness (see also Farkas, and Schweinhart and Fulcher-Dawson); and increasing emphasis on teacher quality, which calls for di-rect measures of teachers’ performance and student-teacher interactions. They present a framework for studying class-rooms that introduces three dimensions—the emotional, organizational, and instructional—each carefully theorized. Studies reveal that considerable time in many classrooms is not devoted to instruction; that variability in instruction among classrooms is high and inequitable; and that consis-tency of high-quality instruction varies from year to year. An intervention program based on their framework reveals modest but positive relationship to student outcomes, lead-ing them to conclude with recommendations for research and education policy. Together with Darling-Hammond, Wei, and Johnson, they argue for direct measures of teaching performance as an important complement to conventional teacher licensure policies.

Inequalities in learning that both Rowan and colleagues, and Pianta and Hamre uncover are documented in detail in the Farkas chapter. The term “achievement gap” has now entered the educational lexicon, but its particular charac-teristics are important to note. Farkas carefully examines the evidence for the racial achievement gap over the life course, beginning with differences at the outset of formal schooling. An important fi nding whose etiology is not well understood, is that the achievement gap between Blacks and Whites widens as children move through the grade levels, resulting in signifi cant differences in cognitive achievement, school completion rates, post-secondary attendance, and employment outcomes. Still, between 1980 and 2002, gaps have narrowed somewhat, although Farkas notes that the problem is akin to catching a moving train: African Ameri-can and Hispanic students must increase more rapidly than Whites in order to “catch up” with rising White achieve-ment. However, when parent education is held constant, achievement gaps have narrowed substantially, indicating that family structure and parental education are strongly implicated in student achievement. Quality instruction in the early grades and parent education may all be parts of a successful strategy to narrow the gaps, but so too must be larger efforts to ameliorate the effects of family and neigh-borhood poverty. Farkas concludes by advocating for better

10 Gary Sykes, Barbara Schneider, and Timothy G. Ford

and more universal pre-school education to promote greater equality “at the starting gate,” since early defi cits continue to play a role as determinants of future achievement.

If equity is one watchword in education policy, then another is “innovation” with technology often touted as the wave of the future. In their chapter Zhao and Lei examine the history of technology in the schools and fi nd that enthu-siasm typically has outrun results. In its latest incarnation, the new information technologies appear to offer promise for a great leap forward, yet to date evidence on effective-ness is mixed, costs of maintaining and replacing comput-ers are high, and unintended consequences have emerged around such problems as addiction to computer games; online bullying and harassment; access to sexually explicit and/or violent material; plagiarism and others. At the same time, the authors note the great symbolic value or appeal of technology as opposed to its actual impact and the problems with vague goals and poor implementation (often featuring blame visited on teachers). For several reasons they argue that the productivity gains from technology in the world of business are not likely to appear in education, but note as well that technology use outside of schools is likely to have major impact on schooling in a variety of ways. They suggest that we need to reconsider the role of technology in education, particularly in relation to human teachers. They conclude with recommendations for policy and research on this beguiling but challenging topic that is coming to have global infl uence through and in the new virtual world.

Next, Plank and Keesler discuss one tendency that has emerged among many nation-states that has been character-ized as the “shrinking state.” The term refers to pressures to reduce state involvement in and funding of education in the face of rising expenditures coupled with political dissatisfaction with the inability of educational systems to improve the literacy and numeracy of many of its students (see also West’s exposition of public choice theory). After reviewing the history of and rationale for educational expansion over the last century, the authors note some of the counter-pressures today to reduce the state’s role in educational systems that provide schooling options from early childhood through adult education. Along with Mundy and Ghali (see Section VI), they document the growing infl uence of trans-national organizations, then consider how public dissatisfaction with education may lead to state failure, which, in turn, may provoke policies that replace public provisions of education with market arrangements, shifting costs to a variety of private providers especially around pre-school and higher education. Families, local school districts, and neighborhood communities are all bearing the costs of unsuccessful schooling systems and many groups are calling for administrative decentralization that challenges the state’s role (see the chapter by Fuller). This dissatisfaction with public systems is reinforced by religious and ethnic groups who are demanding various forms of private education through school choice policies partially subsidized by the state. Whether these develop-ments presage a new trend is open to question, as some

counter-movements have developed in the face of problems with “failed states” around the globe.

Section VI: Actors and Institutions in the Policy Process

It is widely recognized that power and infl uence are dis-tributed across all levels of educational systems. This has meant that the policy process consists of a complex confi gu-ration of institutions and actors that frequently interact—sometimes in confl ict and at other times reinforcing the actions of each other. Section VI presents a broad array of organizations and actors to answer the classic political question: Who governs? The chapters depict a wide range of pluralistic and elitist views for understanding and predicting policy stability and change.

“Globalization” has become the lexicon of many of today’s policy analysts, fueled in part by massive eco-nomic and technological developments throughout the world. Mundy and Ghali examine the rise of international and trans-national organizations from post-World War II to the present. Beginning with the formation of the United Nations and UNESCO, they argue that these or-ganizations failed to exert much infl uence in the immedi-ate post-war period, stalemated in part by the Cold War. International interests took on a greater role in the 1960s with the Organization for Economic Cooperation and Development (OECD), and went on to gather momentum with subsequent organizations such as the World Bank, UNICEF, and the International Monetary Fund (IMF). These “second cycle” organizations were able to muster more attention and infl uence because of their investments in strategies directed at increasing human capital. In the 1970s and 1980s, globalization became the watchword as developments began to “deterritorialize” policy together with efforts to “shrink the state” (see Plank and Kessler’s chapter) by privatizing education. By the 1990s, another round of organizations arose (e.g., the European Union, the World Trade Organization, various regional cooperatives), including international nongovernmental organizations (INGOs), with concerns such as “education for all,” equity, and poverty. Some of these initiatives took on an instru-mentalist approach advocating cross-nation-state testing such as the Program for International Student Assessment (PISA)—to identify which countries were able to raise and improve the educational productivity of their students (see also Baker’s chapter). Turning from history to theory, the authors then review macro sociological theories of world systems, concluding with the promise of International Relations for demonstrating how international institutions can matter in formulating educational policy.

The next chapter also uses a political science perspective to examine the expansion of federal and state education pol-icy in the U.S. Cohen-Vogel and McLendon organize their chapter on the federal role in education around recent theo-ries in political science to explain policy infl uence, stability, and change (see also McDonnell). Some theorists have

Introduction 11

stressed the intractability of the American political system, whereas a second group has underscored the openness and adaptability of the system, while the third has produced an integrated or synthetic account of policy development that encompass both policy stability and change. The authors maintain that synthetic theories help to illuminate aspects of federal education policy while raising new questions for study. They advocate longitudinal research that takes a wide angle perspective, while noting new databases that can assist with inquiries of this type.

McDermott next reviews empirical studies of state education policy in the United States and some of the meth-odological issues associated with them. She describes the growing infl uence of states beginning with school fi nance (see also Baker and Green’s chapter), then, examines the waves of reform in the 1980s to the present,, with a special emphasis on state studies that analyze the effects of state assessment and accountability systems on student perfor-mance and low performing schools. She discusses how policy ideas at the state level are appropriated at the federal level (e.g., NCLB), and at other times, infl uence fl ows from the federal to the state level (e.g., IDEA). States then me-diate various kinds of infl uence that arise from the federal level or local level of the educational system. McDermott concludes with suggestions for future research for studying the state’s role in education policy.

School districts in the United States, originating as agents of local control, are somewhat unique relative to the world pattern of centralized, ministerial systems. Today, school districts are often required to exert infl uence over instruction, a trend that Sykes, O’Day, and Ford analyze in their chapter. After setting the stage by reviewing arguments for the importance of districts as both policy initiators and enactors, the chapter describes the contemporary challenges facing districts; includes a brief history of this distinctive institution; a précis of the research on districts; and then an agenda for future policy studies. The chapter’s main point focuses on the importance of conceiving districts as learning organizations in conjunction with their role in operating and monitoring systems of accountability.

One of the organizations directly involved in educational policy making, are those organizations that represent teach-ers. Bascia describes how these organizations that include teacher unions on one hand, and various subject matter professional organizations on the other have altered the wages and working conditions of teachers. She notes that the standard policy paradigm, which attends to formal governmental processes, tends to overlook the informal ways that teacher organizations affect classroom practice. Organized teachers occupy an anomalous and contested position in education due to jurisdictional disputes with administrators, constraints of labor laws, and cross purposes represented by their organizations. Still, teacher organiza-tions offer opportunities for teacher leadership through which they can exercise informal infl uence on education policies. Bascia suggests that research on teacher organiza-tions can help to discern how policy ideas are formed and

the networks through which policies are disseminated and institutionalized over time.

Mintrom’s chapter examines the role of local, democratic institutions in education, orienting his approach around Gutmann’s (1987) theory of democratic education. Local school boards, superintendents, and interest groups serve as agents of local democracy in pursuit of goals tradition-ally associated with citizenship and participation in civic life. At the same time, criticisms of these institutions have arisen, particularly in large urban districts where school bureaucracies often appear to insulate educators from families and local communities. The future of these insti-tutions face four dilemmas including: the tensions among democratic controls and the promotion of learning for all, local versus national priorities, efforts to hold accountable the private and personal work of teachers, and the imperative to improve schools while holding them accountable. Three strategies of reform have emerged including: incremental adjustments to current institutions; large-scale institutional reforms; and alternative forms of institutions. Mintrom closes by advocating more theory-driven, empirical studies of the relationship between institutional designs and the behaviors of institutional actors with a focus on improving local democracy in education.

Lugg and Rorrer’s chapter details the rise of home-schooling in the United States, where estimates place the number of home-schooled children at over one million (2.2% of all students), with dramatic increases over the past 20 years. State policy related to home-schooling runs the gamut from permissive to relatively regulated on a variety of dimensions including teacher qualifi cations, instructional time, testing requirements, and others. A strong interest group with historical roots in liberalist Protestantism has been a vigorous proponent of home-schooling. In particular, Protestant Right legal organizations have drawn on selective Supreme Court decisions involving religion and education in bolstering their arguments in support of home-schooling. However, at present, there are no Supreme Court decisions on home-schooling. Furthermore, while state courts have established parental rights to educate children at home, questions remain unsettled around whether the rights of children are adequately safeguarded, and whether the public interest is well-served with increasing numbers of families withdrawing from institutions of public schooling. The authors conclude by raising concerns about what we do not know about home-schooling especially given the diversity of regulatory and implementation policies across the states, and whether such policies are serving the best interests of children.

The fi nal two chapters in this section focus specifi cally on students. In her chapter, Mitra reviews the concept of student voice. Employing a developmental perspective, she conceptualizes how students can partner with adults to support their agency, sense of belonging, and competence. While the threat exists for partnerships to result in co-optive and inauthentic relationships, most of the research from the United Kingdom, Australia, Canada, and the United States

12 Gary Sykes, Barbara Schneider, and Timothy G. Ford

provide positive exemplars. Mitra examines three forms of student voice—as data sources around reform efforts; as collaborators in communities of learning; and as co-leaders of change efforts—and concludes with a discussion of conditions that facilitate student voice in the policy and educative process.

The next student chapter by Hehir presents a contrasting view of the ways in which students, in this instance, students with special needs have sometimes been unfairly treated in the educational process. He argues that over its 30-year his-tory the Individuals with Disabilities Education Act (IDEA) for the most part, has promoted signifi cant improvements in the education of children with special needs around such outcomes as dropping out, attending postsecondary education, and gaining employment. He underscores that while these results have been positive, they vary by social class so that special needs students from lower income families who attend large urban districts are less likely to achieve such positive outcomes. This disparity in services has largely been attributed to the inequitable distribution of resources. In poor urban districts serving concentrations of poor families, the lack of specially trained personnel and other instructional materials has meant that special needs students are isolated in resource rooms even though such practices violate least restrictive environment provisions of the law. When parents and other advocates use the law to force changes, the results appear to be positive, leading Hehir to advocate the law and policies as effective tools in promoting improved education for special needs students.

Section VII: Educational Access and Differentiation

The fi nal section of the handbook looks across the educa-tional enterprise from early childhood to higher education to examine how education systems provide access and opportunity to some populations of students and not oth-ers. Key social categories such as class, race, and gender are implicated as well as social, institutional, and political processes. While the chapters tend to reveal interesting dif-ferences from a national perspective, several of the authors (e.g., Jones and Schneider and Baker) suggest that such patterns of differentiation regarding access and opportunity exist throughout the world.

Decentralizing control and resources down to parents or local educators offers one policy strategy for equalizing access to a more colorful spectrum of schools. Fuller asks what has been learned empirically over the past genera-tion, as faith in the de-centering of power and dollars has grown among reformers on the political Right and Left. He reviews evidence and methodological advances in studying charter schools, vouchers, small schools, and early educa-tion. Fuller also traces the ideals and intellectual currents that have energized decentralized reforms, going back to the 1950s, including theories of rational choice, institu-tional pluralism, communitarian localism, and culturally situated notions of learning. The chapter argues that policy researchers have focused largely on the summative ques-

tion, does the reform work, rather than examining the social mechanisms or economic incentives that explain success or failure. Certain forms of decentralization, including high-quality charter schools and preschools, have shown notable effect sizes, while other forms have shown disappointing results to date.

A convincing body of research now demonstrates the importance of early childhood education. Learning tra-jectories are powerfully determined by developments in the pre-school years, giving rise to calls for better early childhood education. Schweinhart and Fulcher-Dawson review the evidence on early childhood education, including studies of programs that have demonstrated the long-term cost-effectiveness of quality education, returning anywhere from $4 to $16 for every dollar spent on such efforts. How-ever, access to such programs is very uneven across states and localities. While federal (e.g., Headstart, Evenstart) and state programs now are available in all 50 states (only 38 have their own pre-kindergarten programs, however), two facts stand out: few programs meet all of the quality benchmarks established for such programs; and together they account for modest effects at best (presumably related to their uneven quality). International studies also support the value of early childhood programs, but here too, program quality has been shown to be uneven. Based on their review of evidence, they recommend expansion of public programs that include such features as qualifi ed teachers; a validated child development curriculum; a strong parent involvement component; and a strong, competent educational leader.

Jones and Schneider review several major studies that have examined how schools and other institutions stratify educational opportunities for students, focusing specifi cally on studies in which the scope and rigor of the work appears to be linked to major educational policies over the last 50 years. They begin by examining the early contributions of sociologists to the study of social stratifi cation, focusing on the ways in which family background characteristics interact with experiences that impact students’ educational attainment. The authors then explore the mechanisms of stratifi cation that emerge between schools (e.g., racial segre-gation) and within schools (e.g., tracking, ability grouping), and document how neighborhoods have unique effects on educational experiences and outcomes. They conclude with a discussion of strategies that policy makers have taken to raise the educational expectations of young people from disadvantaged backgrounds, as well as directions for future reforms. They advocate the steady accumulation of policies that together might promote greater social and educational mobility.

Another differentiating phenomenon that has emerged worldwide but with particular emphasis in Asian countries is “shadow education,” defi ned as a complementary educa-tional (or supplementary tutorial) program—often privately funded—that operates independently of the formal system. Lee, Park, and Lee describe the emergence and effects of shadow education which has attracted considerable policy attention in countries like Korea, Japan, China (Hong

Introduction 13

Kong), and others. They describe how the dramatic rise in private tutoring is associated with credentialism and high-stakes entrance examinations that determine admittance into prestigious universities that have highly selective limited enrollments. Explanations for this development can thus be explained at institutional, organizational, and individual lev-els. Policy concerns include the effects of shadow education on student achievement and performance; inequalities in access to private tutoring; and the potential for undercutting or corrupting public school systems as shadow education gains in power and infl uence. Evidence on these matters has been mixed and so too have government policies that range from turning a blind eye, to prohibitions, to recognition and regulation, or active encouragement. Given the growing importance of this development, they advocate for studies that allow for stronger causal inferences about the demand and effects of shadow education.

If issues of access begin in early childhood, they also are crucial at the transition from secondary to post-secondary education. Recognition of this has prompted considerable policy attention to so-called “K–16 transitions” and access to higher education. Williams, in her chapter, reviews the issues, research, and policy on K–12 transitions around fi ve themes: readiness for college; improving access to higher education, assisting students with transitions to college, college completion, and partnerships that link K–12 to higher education. Across these topics research shows marked disparities by race, gender, and class (as Jones and Schneider also demonstrate) attributable to a range of factors that include information about and access to fi nancing; social and academic integration of students from diverse backgrounds; counseling and placement services; and others. Two distinct problems emerge from this work: adequacy of preparation for postsecondary education, and inequities in access to higher education. Williams describes the many policy initiatives underway to address these problems, while calls for more urgent and systematic attention to them.

Stephan and Rosenbaum provide a complementary perspective on these issues. First, they note that while disparities exist (as Williams emphasizes), the pattern over the past 30 years has been increasing enrollments among minority groups in various forms of postsecondary education. Then, they present a conceptual framework for the analysis of evidence and policies on pathways to and through higher education for different groups of students. Two factors appear to encourage and sustain the transition process—permeability (defi ned as ease of movement into and within higher education); and transparency (ease of understanding pathways from enrollment to completion). Their chapter documents how the U.S. system has changed from low permeability but high transparency (also known as “known limits”) to high permeability but low transpar-ency (also known as “uninformed choice”). They examine how this development has played out with respect to three policies—high school counseling, community college open admission and fi nancial aid policies. Overall, they show

that the United States has an elaborate, complex system of choices and options for higher education that extends oppor-tunity on one hand, while on the other, making navigation of the system diffi cult, particularly for low income families who possess limited social and cultural capital. Conceding that this perspective places heavy emphasis on the role of information, they conclude by noting topics this framework suggests for further study and policies that might improve the transparency of pathways to higher education.

Hearn and Lacy then examine how policies and politics have affected the organization of higher education systems. The authors show how state and federal governments have infl uenced core organizational features of colleges and universities, despite our country’s decentralized and market-driven approach to higher education. They document that the policy context of higher education has changed in sev-eral important ways, including: the rapid evolution in fi nanc-ing systems; increased enrollments and college aspirations among a wider, more diverse student clientele; a policy shift from equity and access issues toward emphasis on a market orientation and matters of educational quality; and the turn toward greater accountability in higher education. Three themes dominate the research literature in this area: federal and state roles in research and graduate education; state governance and policy issues; and legal issues involving such matters as affi rmative action, open meeting laws, and privacy. The chapter’s concluding section recommends an expansion of the research agenda around methods, topics, and theoretical approaches.

The volume’s fi nal chapter focuses again on the global theme of world education culture as a context for under-standing issues of access and differentiation. Baker charts the cross-national development of education that reveals convergence on a common pattern from small, decentralized formal educational systems to mass state systems of edu-cation. The author discusses one line of infl uential theory that regards this world-wide phenomenon not as a product, e.g., of economic development but of cultural attitudes and beliefs in personal achievement and collective progress. In this account, transnational infl uences have played a power-ful role in the development of a distinctive model of formal education (see also Mundy and Ghali). Discourse on the “common culture” of worldwide education has focused on four elements: equal opportunity and social justice, de-velopment of education for the common good, dominance of academic intelligence, and meritocratic achievement and credentialism. Taken together, these four ideas form a global “cultural faith” that helps explain specifi c instances of policy development and reform, as Baker illustrates with the cases of diploma expansion and efforts to reform U.S. science and mathematics education. Today, the availability of international comparative data on education systems and outcomes abets the trend toward a global orientation around images of competition at all levels. “Thinking globally, acting locally” takes on new meanings for researchers and policy makers alike as the many chapters of this handbook now attest.

14 Gary Sykes, Barbara Schneider, and Timothy G. Ford

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