Learning and Doing Policy Analysis in Education

COMPARATIVE AND INTERNATIONAL EDUCATION:

A Diversity of Voices
Volume 16

Series Editors
Allan Pitman
University of Western Ontario, Canada
Vandra Masemann
University of Toronto, Canada
Miguel A. Pereyra
University of Granada

Editorial Board
Mark Bray, International Institute for Educational Planning, Paris, France
Ali Abdi, University of Alberta, Canada
Christina Fox, University of Wollongong, Australia
Steven Klees, University of Maryland, USA
Nagwa Megahed, Ain Shams University, Egypt
Crain Soudain, University of Cape Town, South Africa
David Turner, University of Glamorgan, England
Medardo Tapia Uribe, Universidad Nacional Autónoma de Mexico

Scope

Comparative and International Education: A Diversity of Voices aims to provide a

comprehensive range of titles, making available to readers work from across the
comparative and international education research community. Authors will represent
as broad a range of voices as possible, from geographic, cultural and ideological
standpoints. The editors are making a conscious effort to disseminate the work of
newer scholars as well as that of well-established writers. The series includes
authored books and edited works focusing upon current issues and controversies in
a field that is undergoing changes as profound as the geopolitical and economic
forces that are reshaping our worlds. The series aims to provide books which
present new work, in which the range of methodologies associated with comparative
education and international education are both exemplified and opened up for
debate. As the series develops, it is intended that new writers from settings and
locations not frequently part of the English language discourse will find a place in
the list
Learn
ning and Doing
D Policy Analyssis in Educcation
Examin
ning Diverse Approaches
A to
o Increasing E
Educational A
Access

Editor:
Maria Teresa Tatto
Michiga an State Univerrsity

Contribuutors:
Justin Brruner
Fida Hussain Chang
Corvell George
G Cranfield
Tara Miyyoko Kintz
Nai-Cheeng Kuo
Sandra Kurtti
K Pylvaineen
Andleebb Sharif
Maria Teresa Tatto
Michigaan State Univerrsity
A C.I.P. record for this book is available from the Library of Congress.

ISBN: 978-94-6091-931-2 (paperback)

ISBN: 978-94-6091-932-9 (hardback)
ISBN: 978-94-6091-933-6 (e-book)

Published by: Sense Publishers,

P.O. Box 21858, 3001 AW
Rotterdam, The Netherlands
https://www.sensepublishers.com/

Printed on acid-free paper

All Rights Reserved © 2012 Sense Publishers

No part of this work may be reproduced, stored in a retrieval system, or transmitted in any
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otherwise, without written permission from the publisher, with the exception of any material
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for exclusive use by the purchaser of the work.
 TABLE OF CONTENTS

Acknowledgement vii

1. On Constructing a Framework for Policy Analysis in

the Global Era 1
Maria Teresa Tatto

2. Is Poverty Reduction Enough? 13

Justin L. Bruner

3. The Effectiveness of Policy and Practice for “Universal

Primary Education” Within Education for All 41
Fida H Chang

4. School Capacity the Neglected Paradigm in EFA Movement 61

Andleeb Sharif

5. Achieving Education for All –Together 93

Nai-Cheng Kuo

6. The Effect of the No Child Left Behind Accountability

Mechanisms on Middle School Mathematics Teaching
and Student Performance 117
Tara Kintz

7. Teacher Perceptions of Curriculum Under No Child Left Behind 163

Sandra K. Pylvainen

8. The Implementation of Mathematical Literacy as a New

Subject in the South African Curriculum 207
Corvell Cranfield

9. The Reach and Possibilities of Educational Reform for the

Rural Poor in Mexico 233
Maria Teresa Tatto

10. Scholarly Teaching 253

Maria Teresa Tatto, Justin Bruner, Fida Hussain Chang,
Corvell Cranfield, Tara Miyoko Kintz, Nai-Cheng Kuo,
Sandra Pylvainen and Andleeb Sharif

Appendix 267

Notes on Contributors 295

v
 Acknowledgement

We acknowledge the valuable help of Dr. Douglas Campbell of the College of

Education's Office of Student Writing Assistance for helping us improve our
manuscripts.

vii
 CHAPTER 1

MARIA TERESA TATTO

On Constructing a Framework for Policy Analysis in

the Global Era
The Effects Of The Global Introduction Of Performance Standards And
Regulations To Promote And Improve Education For All

How is education policy made? What choices are preferable, for whom, in what
context, and for what purpose? How are competing choices investigated before
they are made into policy? In other words, how are current and potential policies
analyzed to produce “usable knowledge”? How does policy analysis serve to
enlighten current thinking, future policy studies, and prospective policy making?1
This book originated in a policy analysis class taught during 2010, “TE 919:
Policy Analysis in Education2,” a course that seeks to engage doctoral students
with the conception, generation, and analysis of educational policies in a
number of contexts, such as diverse levels of governance across national
settings, and it includes the examination of the ethics, uses and limitations of
policy analysis.
In this course the professor follows a “problem centered” approach to engage
students individually and as a group with policy analysis. The approach is based on
the idea that students learn better from their own experiences as they select a policy
issue and then actively struggle to understand the complexity of designing,
implementing, and assessing social policy, within the learning community of the
class. The first day of class, the professor and students agree to create a course
designed to represent a reflective and grounded experience in policy analysis on a
current and relevant issue with global ramifications; we begin by exploring
policies that have been developed at the global level and implemented locally. In
this class in particular, we investigated the surge of globally developed standards
and regulations in an effort to improve education for all.
Our goal was to learn cross-nationally about policies that promote
standardization in education such as the Millennium Development Goals (MDGs),
Education for All (EFA) and its cousin in the United States of America, No Child
Left Behind (NCLB), and similar policies that seek to reform curriculum and
instruction under efficiency and global competitiveness arguments.
We knew our work would be bounded by the time available in a one-semester
class, and by resource constraints. We did exploratory inquiry supported by

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 1–12.
© 2012 Sense Publishers. All rights reserved.
MARIA TERESA TATTO

literature reviews, reports of rigorous research studies, and in one case an

exploratory case study.
The policies we chose to explore, such as MDGs, EFA and NCLB, offered us
the opportunity to examine current reform tendencies that provide access to quality
education for all children, prepare teachers and organize schools to accommodate
children in response to vague policy mandates, and affect different constituencies
and stakeholders. The effects of these and other policies were difficult to track as
the research on them is scant, and decisions are often made based on
impressionistic information, ideology or political persuasion.
Our purpose was to begin to explore the critical issues that originate such
policies, and to investigate how much the effectiveness with which they have
achieved their intended outcomes has been documented. Similarly, we worked to
investigate the factors that seem to interfere with successful implementation.
We began with the idea that policy analysis relies on the assumption that policy
actors are rational, and that if available they would use valid and reliable
information to design or improve policy, staying away from approaches that have
proven untenable. Thus, this course explored what it takes to produce “usable
knowledge” within the frameworks of the social sciences.
We uncovered in examinations of the available literature that rigorous policy
studies are scarce, and when they are available they often fail to assess
comprehensively the effectiveness of the policy in question. Through engagement
with on-going (or “living) policies, we learned that there are not ready-set
frameworks for policy analysis but that rather these have to be constructed
according to the issues that emerge from lived experiences as policies when
implemented are adjusted to fit local contexts and needs.
As waves of educational reform bring about the development of innovative
ways to address the many shortcomings of schooling, there is increased public
interest in understanding whether and how old and current policy have had the
expected results, and whether the social investment in these innovations is cost-
effective. The call to document the projected and actual effectiveness of policies at
all levels of the system in the context of shrinking resources has rapidly evolved
into systems of accountability and regulation, a global dynamic that is bound to
increase over the next decade.

ON THE EMERGENCE OF PERFORMANCE STANDARDS AND REGULATIONS

The nature of policy making in the USA and globally is changing dramatically.
Increasing requirements for accountability at all levels of education systems
necessitate not only that policy be informed by valid and reliable data but that once
implemented, policies be subject to scrutiny through systematic analysis,
assessment, and evaluation. What we will call in this book the “new culture of
accountability” in education, is emerging as a global phenomenon.
A key tool for the implementation of accountability cultures in policy making is
the assessment of outcomes; and assessment systems are also of a global character.
For instance, a number of international evaluations of student progress have shown

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 A FRAMEWORK FOR POLICY ANALYSIS IN THE GLOBAL ERA

that high achieving countries also have a more knowledgeable teaching force and a
more coherent and centralized curriculum. These results, however, also show that
success is heavily dependent on context, culture and content. National policy in
countries across the world has become increasingly reliant on these global trends
that have been uncovered by IEA studies such as TIMSS, PIRLS, ICCS, and
TEDS-M and by OECD studies such as PISA and TALIS, and policy makers have
turned to the development of curriculum standards and regulations used by high
achieving systems as policy tools to improve their educational system’s
performance. But while these studies concentrate on measuring outcomes, the
processes of policy implementation are not as readily documented (the IEA has
taken an important step in that direction by sponsoring the TEDS-M study that
explored both process and outcomes). Thus exploring processes and how these are
linked with outcomes is an important and under researched area susceptible to
policy study. The study of policy implementation—as the process of
implementation is on-going—is a crucial step in producing “just in time useable
knowledge” likely to provide feedback to policy makers as the study progresses, in
what Tatto calls the production of reflective usable knowledge (Tatto, 2011).

ON THE ROLE OF POLICY ANALYSIS

Consultation of rigorous policy studies unfortunately has not always been

considered a requirement to generate and inform policy development and
implementation. But even if consultation were to be deemed a requirement,
existing studies may fail to inform due to a variety of causes, which can range from
the poor conceptualization of the study to its poor methodology and/or execution.
In this class one important lesson we learned is that policy analysis is necessary not
only prior to the development and execution of a policy but also prior to the full
conceptualization and execution of a policy study itself.
Three key ideas were pursued in this course: the conceptualization of policy
analysis as producing useable knowledge to inform decision making, program
implementation and improvement, and the design of future policy studies; the use
of theory: institutional, governance, and global to frame policy analysis; and the
notion that policy analysis must be based on rigorous policy studies that have used
the methods of the social sciences.

THE FOCUS OF THIS BOOK

This book examines education access policies some see as “soft mandates,” such as
EFA and others that are backed up by legislation, such as NCLB, and that operate
in a context of increased accountability as a result of globalization influences
mediated by the state, local institutions and individuals. While all these policies are
concerned with increasing access to education or improving educational quality,
they take different forms. Consistent with the influence of globalization, the
chapters in this book explore the effects of introducing performance standards via
the MDG, EFA, and similar policies such as the NCLB in the USA.

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MARIA TERESA TATTO

This book is not a synthesis of the policy analysis literature. With the exception
of the section that immediately follows this section and the course syllabus
included in the appendix to this chapter, the book does not provide a detailed
description on how to do policy analysis. Instead, the authors share the results of
actually doing policy analysis and engaging with “living policies” while grappling
with the available research and following the good advice from authorities in the
field.
Much can be learned from this book by studying how each contributor has
engaged the analysis of a selected policy. Two important overall insights from the
analysis presented in the chapters are worth highlighting. First, the policies under
analysis represent ongoing challenges for many governments, consume a
large amount of financial and human resources, and affect millions of people. Yet
we know little about their effectiveness, as a sense of urgency built within these
policies pushes for quick implementation, often lacking a deliberate evaluation
process to monitor progress toward goals. Typically reports of progress
are submitted to comply with funding agencies requests but these often are
impressionistic and do little to provide useful feedback to those who are in charge
of implementing the policy. Second, and paradoxically while the number of policy
studies has increased as a result of accountability mandates, many of these do not
follow rigorous methodologies to answer questions as to whether and how policies
are having the desired effect. In sum, rigorous and valid formative and summative
feedback on policy implementation is a problem. This book provides feedback on
how to think about policy making and implementation—interestingly, a common
conclusion of the analyses across the chapters in the book is that lack of policy
specificity on the process of policy implementation should be a source of concern
across these policies.

OUR APPROACH TO DOING POLICY ANALYSIS

In the course we follow a progressive approach to policy analysis in which each

phase of the analysis materializes into a paper, which is then integrated into a full
final paper (see syllabus in the appendix). We follow three key strands in our work.

Conceptualization of the Policy Problem and its Context

Students begin by identifying a policy that they are interested in analyzing, this
task is followed by a more challenging task, namely, the identification of the
social problem that the policy is designed to address. The guiding texts required to
inform this task are Bardach (2000) and Weiss (1998), and students are required
to collect documents describing the policy–and/or program that has resulted from
the policy in question. A condition for policy selection is that students either have
experience with the policy (many are foreign students who work in the ministry of
education of their home country, and thus policy selection also means that they
will find a more immediate use for their policy analysis paper) or are willing to
engage in understanding the policy with enough depth during a semester course

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 A FRAMEWORK FOR POLICY ANALYSIS IN THE GLOBAL ERA

(e.g., some see the policy as an area that they would like to pursue in their
doctoral work, such as in future course work or in their dissertation research).
Achieving clear understandings of the history and social context of the policy is
considered an essential part of the policy analysis process, and this includes
finding answers to a series of questions such as (a): How did the policy come to
be and what was happening (locally & globally) at the time that made it necessary
for the policy to originate? (b) What are the social and political contexts in which
the policy is operating? (c) How effectively (or not) has this policy addressed the
problem so far (according to the research and other accounts that are readily
available)? (d) What changes or adjustments have been made to the original
policy? Relevant texts we use in this phase are Darling-Hammond (2010),
Kingdon (2010), Brighouse (2006), and relevant policy documents describing the
policy and/or program.

The Role of Theory in Policy Analysis

While establishing the origin, history, and context of the policy is a demanding and
necessary task, the most challenging phase of the analysis begins with the
identification of the policy-theory-in-action, or in other words, documenting how
the policy is expected to work. This is a key contribution of policy analysis because
policies are usually stated in vague and general terms, and with Lipsky (1980) we
understand that policy only fully comes into being once it is implemented
(e.g., when it becomes what Weiss, 1972, calls a program). Thus a policy may take
different forms once on the ground, and it may indeed end up addressing problems
different to those for which it was designed. Thus the identification of the policy’s
theory-in-action becomes a normative task and the framework that will be used to
judge its (potential or actual) effectiveness. The position in this course is that this
normative task precedes a policy study (and should ideally precede policy
implementation) and needs to gather input not only from official policy documents,
but also from those who have and will participate in any of the stages of policy
design, development, implementation, and evaluation. While in this course we are
limited by time and resources and can rarely go to the field, students who use the
course to develop their practicum or dissertation proposals do engage participants
in the interactive process of exploring the policy’s theory-in-action. The guiding
texts in this phase of the policy analysis process are Majchrzak (1984), Resnick
et al. (2007), and Weiss (1998).
In addition to the policy-theory-in-action, we explore the role of another kind
of theory. While the literature on policy analysis rarely mentions the need to
outline perspectives or theoretical frameworks used to analyze policies, the
framework or view point of the analysis is essential because one important
assumption in this course is that policy analysis is influenced by multidisciplinary
perspectives which bring assumptions as to what is and is not relevant to the
analysis task. Perspectives that frame the analysis may emerge from theories
originating in disciplines such as sociology, economics, anthropology, and
psychology, among others. Relevant texts we use for this theoretical section on

5
MARIA TERESA TATTO

policy analysis are: Anderson-Levitt (2003), Cummings (1999), Kjaer (2004),

Stromquist and Monkman (2000), Tatto (2008), Tatto (2009), and Perrow (1986),
among others.

UNDERSTANDING THE METHODS AND MODES OF INQUIRY

OF THE SOCIAL SCIENCES

Because in this course we have limited time to implement an actual research study
on the policies of interest, our source of data are findings from policy studies found
in the relevant literature. This class therefore requires that students have a thorough
understanding of the methods and modes of inquiry of the social sciences. In
addition, it is necessary for them to understand the standards for what is an
acceptable research report (see Shavelson and Towne, 2002) to be included as a
“data source” or “evidence” to support the analysis. Relevant texts we use to guide
us in this phase of the analysis are Booth, Colomb and Williams (2008), Shavelson
and Towne (2002), Weiss (1998), and Pallas (1993), for examples of how to do a
rigorous literature review. Students then undertake a literature review of rigorous
policy studies with guidance from MSU librarian Kate Corby.
The results of the policy analysis coalesce in the phase on reflection and
recommendations for policy. Next to the definition of the policy problem, the
definition of the policy-theory-in-action, and the collection of sound research
studies, this phase of policy analysis is the most important contribution of the
analysis. The recommendations for policy must emerge from valid and reliable
information, such as the analysis of research reports within the frameworks
provided by the policy-theory-in-action and by relevant theory. This section of the
policy report that each student produces includes the description of the challenges
to goal attainment and of the possible alternatives to the current policy. Relevant
texts we use are Bardach (2000), Resnick et al. (2007), and Weiss (1998); we also
use Shavelson and Towne (2002) and Tatto (2002) to describe the scientific or
scholarly significance of the policy analysis.
At the end students in this class have achieved remarkable progress in their growth
as emergent policy scholars. As their papers will show they are able to conceptualize a
policy problem, state researchable questions, develop a well grounded theory of
action, find rigorous evidence in recognized databases, analyze critically the resulting
studies according to the standards of the social sciences (e.g., possible threats to
validity, sample representativeness, etc.), come up with viable policy alternative based
on evidence from research studies existing in the field, and are able to conceptualize
possible further research on specific and important yet under-studied issues.

THE CONTENTS OF THIS BOOK

The framework of the book is organized according to the main threads in the
process of policy analysis described above: conceptual, theoretical, and
methodological aspects. In this chapter, (Chapter 1) entitled On Constructing a
Framework for Policy Analysis in the Global Era: the Effects of the Global

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 A FRAMEWORK FOR POLICY ANALYSIS IN THE GLOBAL ERA

Introduction of Performance Standards and Regulations to Promote and Improve

Education for All, Maria Teresa Tatto introduces these strands and the overall
approach to policy analysis she uses in her course. Each chapter applies the
approach to a particular country case.
In Chapter 2, entitled Is Poverty Reduction Enough? Lessons from Bolsa Familia
in Brazil, Justin Bruner argues that while the improvement of the human condition,
especially in developing countries, has been an explicit and universal policy aim
(UDHR) for more than 60 years, we still know surprisingly little about ways to
effectively impact the living conditions of the poorest citizens, as evidenced by the
millions of people still living in poverty. The Millennium Declaration has renewed
the global focus on human development by looking at conditions as they pertain to
income, education, health, and discrimination. Many nations have now aligned their
development programs in this vein, and Brazil is one such example with the
program called Bolsa Familia, which seeks to leverage poverty reduction, increased
education, increased health, and increased income all in a single program. This
chapter reviews evidence available from policy documents and national statistics,
and it concludes that while the program has been successful in poverty reduction,
the other effects are muted at best. The results of this policy analysis suggest that
before considering an additional expansion of the politically popular program, more
research should be conducted around the program’s long run impact, quality of
services, and the sustainability of Bolsa Familia in the Brazilian context. Analysis
of the Brazilian case suggests that further research is needed on the comparative
effects of conditional cash transfers programs in a global context.
In Chapter 3 The Effectiveness of Policy and Practice for “Universal Primary
Education” within Education for All: the Case of Pakistan, Fida Hussein Chang
argues that amid the intense drive around the world to achieve education for all for
close to a decade, Pakistan is still struggling to achieve significant success in
providing “universal primary education”. Hence, to make well-informed future
policy decisions and actions at this critical juncture, it is imperative to study what
worked, what did not work, and why. This chapter presents the results of an
analysis of the effectiveness of national policies and plans to achieve “universal
primary education” within the framework of EFA goals in Pakistan, with the goal
to inform future policy decisions and research. The data came from analysis of
documents, including Government of Pakistan policy/plan documents, UNESCO
reports and data bases, and published empirical sources. The analysis reveals low
achievement on the target of “universal primary education,” as indicated by a net
primary enrollment of 66%, and a primary completion rate of 56%, with
remarkable disparities among urban and rural and male and female groups (2007–
2008). It appears that different reasons account for low achievements, such as
inefficiency to attend the poverty-stricken population, failure to address resistance
to the aims of EFA from traditional segments of society, failure to devolve
administrative power at the grassroots level, low allocation and under-utilization of
the education budget, and bureaucratic governance of education dominated by
political interest groups. The chapter concludes with recommendations for future
policy and research within the Pakistani context.

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MARIA TERESA TATTO

In Chapter 4, Andleeb Sharif continues the examination of the successes and

challenges of EFA, this time in Bangladesh. The chapter, entitled The Impact of
Education for All on Educational Development at the Primary Level: the Case of
Bangladesh, outlines the two major policies developed by the government
of Bangladesh, namely the National Plan of Action I (1990–2000) and the National
Plan of Action II (2003–2015), to meet EFA’s goal of universal primary education
in terms of access, retention, and quality of education for every child at the primary
school level regardless of gender, ethnicity, and socio-economic class. Recent
reports indicate that Bangladesh has made tremendous progress in achieving the
target of increased enrollment (97.65%) with gender parity. However, increasing
drop out ratios (50.5%) and evidence of poor educational quality, particularly in
economically underprivileged areas, are still a challenge. The analysis presented in
this chapter was aimed at evaluating the effectiveness of the National Plan of
Action II (2003–2015) and identifying the factors which might have hindered
attaining the goals of retention and quality of education at the primary level using
the method of document analysis, policy documents issued by the government of
Bangladesh and statistical reports from UNESCO, UNICEF, and the World Bank.
The concept of School Capacity was used to frame the analysis presented in this
chapter. The conclusion argues for the need to build school capacity as a key policy
instrument to increase school enrollment while achieving the goals of retention and
quality in Bangladesh.
In chapter 5, entitled Achieving Education for All–together: A Comparative
Study on Inclusive Education Policies in the United States and in Taiwan, N.C.
Kuo argues that the goals of EFA are to provide education to all people, from
children to adults, yet the question as to whether special populations are receiving
inclusive education under EFA has not been fully explored. According to
UNESCO (2010), inclusive education is “based on the right of all learners to a
quality education that meets basic learning needs and enriches lives…[f]ocusing
particularly on vulnerable and marginalized groups, it seeks to develop the full
potential of every individual.” Inclusive education has been clearly identified as a
strategy to reach the EFA goals in the Dakar Framework for Action. This chapter
presents the results of an analysis of the formation and enforcement of laws for
inclusive education under EFA. The data used included historical, theoretical, and
policy documents concerning inclusive education in the U.S. and Taiwan. The
analysis examined the inputs, process, outcomes, and context of inclusive
education policies in the two countries. Three research questions are addressed in
this chapter: 1) what are the historical and theoretical backgrounds underlying the
policies of inclusive education in the U.S. and in Taiwan; 2) what are the practices
that fulfill the requirements of the policies of inclusive education in the U.S. and in
Taiwan; and 3) what are the challenges for policy-makers in inclusive education in
the U.S. and in Taiwan? Recommendations for improving the effectiveness of
inclusive education policies and for achieving the EFA goals in the U.S. and
Taiwan are provided.
In Chapter 6, on The Effect of No Child Left Behind Accountability Mechanisms
on Middle School Math Teaching and Student Performance, Tara M. Kintz

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 A FRAMEWORK FOR POLICY ANALYSIS IN THE GLOBAL ERA

examines the No Child Left Behind policy in the USA. On March 13th, the Obama
Administration released its blueprint for the revision of the Elementary and
Secondary School Act (also known as the No Child Left Behind Act, NCLB), a
policy that seeks to reform education using a standards-based model; it is based on
the belief that setting uniformly high standards for all students will improve their
performance. NCLB established the requirement for all states to create assessments
aligned to challenging state standards in order to receive federal funding. This
chapter analyzes the impact of the NCLB’s accountability mechanisms on middle
school mathematics teaching and learning. The ultimate outcome of NCLB is to
promote improved student achievement and to reduce the achievement gap among
student groups. The reform aims to achieve this goal through aligning curriculum
and instructional practices with standards and assessments. A review of the current
academic research up to fall 2010, on the impact of NCLB accountability
mechanisms on student scores in middle school mathematics, on teaching, and on
the alignment of content with the standards, showed that it is difficult to determine
the impact of NCLB on student learning, given the general rise in National
Assessment of Educational Progress scores over time. The limited rigorous studies
available show few changes in teaching practices; however, more specific evidence
is presented on the importance of teacher knowledge and related proxies of teacher
quality. Recommendations are made for policy and for further research on the
influence of NCLB accountability mechanisms.
In chapter 7, Sandra K. Pylvainen continues the examination of the No Child
Left Behind policy by using a critical perspective and by asking a group of local
teachers about their views. In her chapter, entitled Teacher Perceptions of
Curriculum Reform under No Child Left Behind, she documents how the push to
produce data to demonstrate compliance with NCLB mandates has resulted in
test-aligned-curricula at the expense of teacher input on instruction tailored to
pupils’ learning needs. This chapter looks at the theoretical basis for test-aligned
curricula and follows the process from inputs to intended outputs: effective
instruction and student learning. The chapter compares the reform’s intended
outcomes to actual data results from one Michigan school district whose secondary
schools have increasingly incorporated test-aligned curricula for the past five years.
In addition, results from a survey on teachers’ perceptions of the test-aligned
curriculum are analyzed. Findings indicate that the curriculum has not proven
significantly effective, according to the state’s standardized Michigan Educational
Assessment Program (MEAP) scores, in improving student learning. Furthermore,
the survey of teacher perceptions indicates that the reform may be detrimental to
teacher morale due to the pressure of prescribed curriculum that is tied to tests on a
closely-paced basis. The results of this policy analysis suggest that the USA policy
to increase quality must find a balance between developing lean standards and
supporting highly proficient, educated teachers.
In chapter 8, Corvell G. Cranfield discusses the introduction of an outcomes
based mathematics curriculum and its implications in South Africa, in his chapter
entitled The Implementation of Mathematical Literacy as a New Subject in the
South African Curriculum. In 2008 the first cohort of matriculates from the

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MARIA TERESA TATTO

National Senior Certificate (NSC) wrote the first Mathematical Literacy (ML)
examination. The introduction of an Outcomes-Based Education paradigm via ML
as a new subject in the South African curriculum in 2006 posed a range of
challenges to both teachers and students. Two years after the introduction of this
curriculum, many educators questioned the utility and academic value of ML and
others remarked that teachers do not have the capacities to engage and teach this
new curriculum. The analysis revealed that the structure of the ML curriculum
(both in design and in mathematical content) focuses more on reaching the
minimum achievable standards in the South African context for both teachers and
students, than on providing students with the mathematical knowledge and skills
required for equal access to a wide range of future career choices. The success of
this policy to support the goals of providing better and equal education to all
South African citizens is at best tenuous, given the narrow way in which it was
conceptualized. The data for this chapter came from policy documents, and the
analysis of the new curriculum used the NCTM standards. The chapter concludes
with the recommendation that a systematic and rigorous study is needed to
understand better the impact of the new curriculum against the goal of improving
the mathematical proficiency of students to compete in a global economy.
In Chapter 9, Maria Teresa Tatto reprints a chapter entitled The Reach and
Possibilities of Educational Reform for the Rural Poor in México, which examines
Mexico’s policies to provide education for all, in particular for children of the rural
poor. She questions assumptions about education that apply more to urban
populations and examines how these assumptions have failed to provide access to
education for rural populations. She suggests that compulsory early childhood
education is one obvious avenue for these children (complementing policies such
as Federalizacion3 and others part of the National Agreement to Modernize Basic
Education) to correct centuries of injustice and neglect. She discusses the
implications of this analysis within the context of the decentralization of education
and the growing discontent among the rural poor. In an addendum to this chapter,
she points out that current research on cognition shows the importance of early
childhood education, thus giving fresh support to her recommendations.
In Chapter 10, Maria Teresa Tatto and her students present their collective
reflections as a community of learners in TE 919 in their chapter entitled Scholarly
Teaching: Learning and Doing Policy Analysis in Education. We document how
this course and this book are attempts at contributing to developing both scholarly
teaching, and a scholarship of teaching and learning (Shulman, 2000). According
to Shulman “scholarly teaching is teaching that is well grounded in the sources
and resources appropriate to the field. It reflects a thoughtful selection and
integration of ideas and examples, and well-designed strategies of course design,
development, transmission, interaction and assessment. Scholarly teaching should
also model the methods and values of a field, avoiding dogma and the mystification
of evidence, argument and warrant.” (2000, p. 50); further he argues that “we
develop a scholarship of teaching when our work as teachers becomes public,
peer-reviewed and critiqued, and exchanged with other members of our
professional communities so they, in turn, can build on our work” (2000, p.50).

10
 A FRAMEWORK FOR POLICY ANALYSIS IN THE GLOBAL ERA

AUDIENCE FOR THIS BOOK

The book is designed for faculty and advanced doctoral students in education who
are interested in understanding diverse frameworks for policy analysis, and to those
in the general public who are interested in the policies we analyze here. The book
introduces important and current research on education policy as a shared context
for learning, and it contributes to increasing the depth and breadth of understanding
educational issues within the methods of the social sciences.

NOTES
1
According to the Oxford English Dictionary (2011) the following terms are used: policy: “a. The
art, study, or practice of government or administration; the conduct of public affairs; political
science; A principle or course of action adopted or proposed as desirable, advantageous, or
expedient; esp. one formally advocated by a government, political party, etc. Also as a mass noun:
method of acting on matters of principle, settled practice; policymaker: n. a person responsible for
or involved in policy-making; policy-making: n. and adj. (a) n. the devising of policies, esp. by a
government or political party; (b) adj. that makes or is associated with the making of policy”
(Oxford English Dictionary Online [http://www.oed.com; consulted 11/26/2011]. According to
Hambrick (1998), policy studies could be defined as the combination of policy analysis and
program evaluation, and according to Nagel (1980) it “involves systematically studying the nature,
causes, and effects of alternative public policies, with particular emphasis on determining the
policies that will achieve given goals” (p. 391).
2
The official description in the MSU catalogue reads: “Conception, generation, and analysis of
educational policies [in] contexts such as governance levels, national setting, and legislative forms;
[u]ses, limitations, and ethics of policy analysis.”
3
In 1992, the President of the Republic, the Secretary of Education, the governors of each of the 31
Mexican states, and the teachers’ union signed the National Agreement to Modernize Basic
Education (ANMEB). The signing of this agreement formally initiated the movement to “federalize”
or decentralize the basic and normal education systems to the states. The major assumption of the
decentralization reform was that a local level management of education would be more effective in
addressing local needs, managing resources, and improving education. For a full account of the
decentralization policy in Mexico see Tatto (1999).

REFERENCES

Anderson-Levitt, K. (2003). Local meanings, global schooling. New York, NY: Palgrave McMillan.
Bardach, E. (2000). A practical guide for policy analysis: the eightfold path to more effective problem
solving. New York: Chatham House Publishers.
Booth, W.C., Colomb, G.G., & Williams, J.M. (2008). The craft of research. Chicago: The University
of Chicago Press.
Brighouse, H. (2006). On education. New York, NY: Routledge.
Cummings, William K. 1999. The Institutions of Education: Compare, Compare, Compare!
Comparative Education Review 43 (November): 413–37.
Darling-Hammond, L. (2010). The flat world and education: How America’s commitment to equity will
determine our future. New York, NY: Teachers College Press.
Hambrick, R. (1998). Building the policy studies enterprise: A work in progress. Public Administration
Review, 58, 6 (p. 533–539).
Kingdon, J.W. (2010). Agendas, alternatives, and public policies. New York, NY: Longman.
Kjaer, A.M. (2004). Governance. Cambridge, UK: Polity Press.

11
MARIA TERESA TATTO

Lipsky, M. (1980) Street-level bureaucracy: Dilemmas of the individual in public services. New York:
Russell Sage Foundation.
Majchrzak, A. (1984). Methods for policy research. Newbury Park, CA: Sage Publications.
Nagel, S. S. (1980). The policy studies perspective. Public Administration Review, 40, 4 (391–396).
Oxford English Dictionary Online (2011). “Definition of policy” [http://www.oed.com; consulted
11/26/2011].
Pallas, A. (1993). Schooling in the course of human lives: The social context of education and the
transition to adulthood in industrial society. Review of Educational Research, 63, 4.
Perrow, C. (1986). Complex organizations: a critical essay. New York: Random House.
Resnick, L., Besterfield-Sacre, M., Mehalik, M., Sherer, Z. J., & Halverson, E. (2007). A framework for
effective management of school system performance, in Yearbook of the National Society for the
Study of Education, 106 (1), 155–185.
Shavelson, R. J., Towne, L., & the Committee on Scientific Principles for Education Research. (Eds.).
(2002). Scientific research in education. Washington, DC: National Academy Press.
http://www.nap.edu/catalog.php?record_id=10236; at the MSU Library: this is an online book
http://catalog.lib.msu.edu/record=b3907220. Paper copy is also available QA11. S35 2002
http://catalog.lib.msu.edu/record=b3912776
Shulman, L. (2000). From Mink to Pinsk: Why a scholarship of teaching and learning? Journal of
Scholarship of Teaching and Learning 1 (1), 48–53.
Stromquist, N. and Monkman, K. (2000). Globalization and education. Langham, MD: Rowman &
Littlefield.
Tatto, Maria Teresa. 1999a. Education Reform and State Power in México: The Paradoxes of
Decentralization. Comparative Education Review 43: 251–82.
Tatto, M. T. (2008). Teacher policy: a framework for comparative analysis. Prospects: Quarterly
Review of Comparative Education, XXXVIII (38), 4 / 148, p. 487–508.
Tatto, M.T. (2007). Reforming teaching globally. Oxford, UK: Symposium Books. Reprinted in 2009
by Information Age Publishers.
Weiss, C. (1972). Evaluation research: Methods of assessing program effectiveness. Englewood Cliffs,
N.J., Prentice-Hall.
Weiss, C.H. (1998) Evaluation: Methods for studying programs and policies. 2nd edition. Upper Saddle
River: Prentice Hall (digitized 2007).

12
 CHAPTER 2

JUSTIN L. BRUNER

Is Poverty Reduction Enough?

Lessons From Bolsa Familia In Brazil

“… deeper analysis of the surprisingly weak relationship between economic

growth and improvements in health and education and careful consideration
of how the multidimensionality of development objectives affects
development thinking are just two examples [of challenges facing human
development policy makers].”
(UNDP Human Development Report 2010)
The improvement of the human condition, especially in developing countries, has
been an explicit and universal policy aim (UDHR) for more than 60 years, yet we
still know surprisingly little about ways to effectively impact the living conditions
of the poorest citizens, as evidenced by the millions of people still living in
poverty. The Millennium Declaration has renewed the global focus on human
development by looking at conditions pertaining to income, education, health, and
discrimination. Many nations have now aligned their development programs in this
vein, and Brazil is one such example with the program called Bolsa Familia, which
seeks to leverage poverty reduction, increase education, improve health, and
increase income all in a single program. This chapter reviews evidence available
from policy documents and national statistics and concludes that while this
program has been successful in poverty reduction, the other effects are muted at
best. The results of this policy analysis suggest that before considering an
additional expansion of the politically popular program, more research should be
conducted around the long run impact, quality of services, and sustainability of
Bolsa Familia in the Brazilian context. Further, research is needed on the
comparative effects of conditional cash transfer programs in a global context.
The concept of human development and poverty alleviation is by no means a
recent idea, it dates back to the end of World War II. However despite this long-
term focus our world still contains a “bottom billion” living on less than a dollar a
day to survive. The Millennium Declaration has brought about a renewed focus on
the idea of human development. Reaffirmed in 2000 by all UN members, the
Millennium Declaration considers all aspects of poverty, not just income, and in
2001 the Millennium Development Goals (MDG) were officially adopted as a

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 13–40.
© 2012 Sense Publishers. All rights reserved.
JUSTIN L. BRUNER

metric to track progress at the national level. The United Nations Development
Program (UNDP) puts out an annual report related to development to allow for
monitoring on an annual basis by interested stakeholders.
The result of this framework has been realignment in national policies for combating
poverty and increasing development. Programs are now being designed at a national
level in the frame of the Millennium Declaration. Funding for these programs is
provided by large organizations such as the World Bank to assist developing nations in
getting development programs started. But the alarming question is: Will all this be
enough to alleviate poverty and increase development? The objective of this chapter is
to explore this question in greater detail, using Brazil as a national case study.
The Federative Republic of [B]razil is considered a transitioning nation, often
cited as a ‘BRIC nation’ for the growth in its economy that resembles other
transitioning nations such as the [R]ussian Federation, Republic of [I]ndia, and
People’s Republic of [C]hina which are all moving toward more developed
economies. To further this transition, Brazil is seeking to tackle the poor living
conditions that many of its citizens face. In 2003 Brazil created a landmark policy
tool known as the Bolsa Familia Program (BFP) to meet their development
obligations under the Millennium Declaration. This innovative idea is a conditional
cash transfer (CCT) program that pays qualifying low-income households a monthly
stipend, provided that their children attend school at an 85% rate and receive routine
health check-ups. “The program has two main areas: cash transfer programs and
additional conditionalities. The income transfer promotes immediate poverty relief.
Conditionalities are designed at enhancing access to basic social rights in education,
health and social care. The programs aim to further the development of families, so
that beneficiaries can overcome the situation of vulnerability” (Bolsa Familia, 2010).
The World Bank estimates that there are now 28 nations with some type of CCT
program in place, whereas in 1997 there were only three programs, in Mexico,
Bangladesh, and Brazil (Fiszbien and Schady, 2009). Mexico’s PROGRESA (later
renamed Oportunidades) program is perhaps the most researched because it was
the first mainstream program of its kind. While it was very successful in reducing
poverty and transferring income, Santiago Levy (2009), the creator, has noted that
the program struggled to break through some of the bureaucracy in Mexico and
suffered from a lack of institutional quality in delivering services to the Mexican
people. Levy noted that CCT programs are not a silver bullet and that impact
evaluations are needed. As this analysis unfolds it will be clear that similar findings
are present in Brazil, suggesting improved program design may be needed and that
Mexico’s problems may not be context specific.
This policy analysis paper explores three questions: First, how is the global
Millennium Development Policy implemented at a national level in Brazil through
Bolsa Familia? Second, how do these findings relate to the decision by the new
Brazilian Government and The World Bank to expand Bolsa Familia into a second
phase? Third and more specifically, on what basis was this expansion made and, as
this chapter’s title suggests, will this expansion be enough?
Since there are several actors in place, this paper will be organized along two
tracks throughout the analysis: (1) the international level, which includes the

14
 IS POVERTY REDUCTION ENOUGH?

UNDP, World Bank, and global development policies; and (2) the national level,
which includes the Federal Government of Brazil, the municipalities of Brazil, and
the Bolsa Familia CCT program. The chapter will start by providing a description
of what is taking place at the national and international levels, using literature,
primary documents, and national indicators. Once a description is in place, the
analysis will move to an evaluation phase by examining what worked, what did not
work, and what can be learned. Finally, some areas for future research and policy
recommendations will be suggested based on the analysis.

FRAMEWORK AND PERSPECTIVES

Framework
On the surface the idea of human development appears to be a simple concept – help
improve the lifestyles of our most disadvantaged citizens so they can enjoy a
minimum standard of living. However, reducing development to this single phrase is
a gross oversimplification. Within the field of international development are multiple
actors, policies, programs, and theories. The framework developed below (figure 1)
shows how these different dynamics interact within the scope of this analysis.
This analysis will view the Millennium Development policy from the perspective
of the theory of human capital, that investments in people will increase the capacity
of a nation. An extensive explanation of human capital theory is in the next section
and is shown in the process stage of figure 1. Influencing this process are the
UNDP and the World Bank. The UNDP is responsible for the creation,
implementation, and measurement of MDGs. The World Bank is the lender that
provides loans for developing nations to implement their development programs.
Both the UNDP’s and the World Bank’s roles are explained in more detail as well.
Finally, as seen in Figure 1, the government of Brazil must create and implement
the Millennium Declaration with the assistance of these international actors and
using the idea of human capital to invest in its citizens. Unlike the World Bank and
the UNDP, Brazil has responsibilities at all stages of the process whereas the
World Bank and the UNDP play a role at the input and measurement stages only.

Human Capital Theory and Investments in People

Theodore Schultz began the idea of human capital by arguing in the 1960s that
“…human capital accounts for most of the rise in the real earnings per worker”
(Schultz, 1961). On the surface, the idea of human capital is very simple:
investments by a Government in health, education, and infrastructure will give its
citizens a greater worth, both monetarily and intellectually, which allows them to
make better contributions to the economy. The key assumptions are that these
investments will provide a future return by foregoing present consumption, and
that these investments produce something of value. Not surprisingly, the
Millennium Development Goals (MDG) include elements of health, education, and
infrastructure within their analysis in a nod to the idea of human capital.

15
JUSTIN L.
L BRUNER

Figure 1. Fra
amework of Milllennium Declaraation and Bolsa F
Familia.

Howeveer, the theory of human capitaal is not that sim mple, as can be seen by multtiple
amendm ments to Schulttz’s work. Onee notion is thatt if human cappital theory waas to
hold, theen gender or raace should not be factors in tthe labor markeet or in the hum
man
capital market.
m As Martin
M Carnoy pointed out, these things ddo in fact maatter
(Carnoy, 1996). Women are paid lesss than men inn many labor m markets, peoplle of
minorityy status have less access to o services thann those of maajority status, and
thereforee they are not competing eq qually in the laabor market. C Carnoy noted that
expandin ng the supply of schooling to disadvantageed groups mayy not be enouggh if
labor maarkets discouraage the consummption of schoooling through reduced wagees or

16
 IS POVERTY REDUCTION ENOUGH?

fewer opportunities for disadvantaged people. In other words, there is often a

disincentive to attend school if you are a person subject to some type of
discrimination in the labor market. For example in many developing contexts, girls
are frequently discouraged from attending school because their job prospects are
less than those of boys in many cases.
Another amendment is the idea of “correspondence theory”, created by Bowles
and Gintis that argues that schooling does not just add cognitive skills but rather
prepares kids for the workplace by socializing them through rewards and
punishments to the conditions they will face (Bowles and Gintis, 1976). By taking
this stance, investments in human capital are limited as to how much they impact a
student’s abilities, and factors outside of education play a role, such as a family’s
Social-Economic Status (SES), because students are socialized to external
conditions. This stance brings into the fold the idea of measurements and how the
return on an investment in human capital can be both measured and traced back to
the investments. Currently, international exams such as TIMMS, PIRLS, and PISA
are used to compare national achievement as measured by testing, but the
relationships of these exams and investments in human capital are much more
complicated. How can we link back a human capital investment to a test score?
Questions arise such as what drives the scores: Money? Teachers? Resources?
Policy?
The idea of tracing knowledge to investments in human capital has also been
questioned by Weiss, who argued that more consumption of education does not
mean more productivity (Weiss, 1995). Weiss argued that people with more
education are not necessarily smarter but they are ‘signaling’ certain qualities to
their employer. Weiss contended that educational attainment is what signals
these qualities. For example, a person who consumes more schooling is
signaling they are more motivated than an individual who consumed less
schooling. This, according to Weiss, creates a sorting mechanism, by
which individuals sort themselves based on the amount of education they
consume, and it explains why rates of return to education exceed cognitive skills
(Weiss, 1995).
Despite some of the externalities to investing in human capital, such as
distortions in the labor market, socializing rather than educating children, and the
sorting of children, they do not mean that these investments are not worth making
in developing countries such as Brazil. In fact, George Psacharopoulos, in his
extensive work linking the returns of education to investments, found that returns
to education are highest in developing countries and that primary education offered
higher returns than secondary or tertiary education (Psacharopoulos, 1985).
According to Psacharopoulos, the rate of return to educational investments declines
with national income producing diminishing returns. As a result, primary education
is a major focus in the educational strategy of developing countries, not only
because of the need for a starting point for citizens but also because primary
education offers the highest rate of return.
Consequently, the next question for a developing nation such as Brazil is where
to invest money within primary education to get this high rate of return.

17
JUSTIN L. BRUNER

Furthermore, what combination of investments will provide the optimal outcome?

The findings of research have so far been inconclusive, and as a result there is no
blueprint that can be used. This makes determining human capital investments
more difficult for developing countries. Further complicating these decisions is the
fact that there are great inequities present within societies as well as spillover
effects from other sectors, such as health and labor markets. Human capital theory
is very simple on the surface: invest in people to increase productivity. However,
as the theory is unpacked and exposed to complex realities, it raises several
questions as to who, what, where, and when that are not easily answered. Exploring
the actors involved in executing elements of human capital theory will shed some
light on these questions.

International Actors – UNDP and World Bank

The UNDP is a branch of the larger United Nations body that “is the UN’s global
development network, an organization advocating for change and connecting
countries to knowledge, experience and resources to help people build a better life”
(UNDP, 2010). The UNDP is also responsible for overseeing the Millennium
Development Goals, including their implementation, providing annual progress
reports, and supplying representatives in each member nation with technical
assistance.
The Millennium Development Goals (MDG) consist of 8 goals, 18 targets, and
48 assessment metrics (see Appendix 1). The Millennium Development Goals were
officially introduced in 1990, and in 2000 the Millennium Declaration officially
affirmed the global commitment to the MDG (UNDP, 2010). The MDG lend
support to Carnoy’s argument that there are distortions within labor markets that
limit opportunities for disadvantaged citizens. To account for this, the MDG
include metrics for reducing inequality, empowering women, and combating
diseases (UNDP, 2010).
As noted in the outputs and evidence boxes in Figure 1, the UNDP puts out
annual progress reports that provide a global snapshot of development trends as
well as country level data on the development indicators. These annual reports
serve as a global accountability mechanism, and many nations now align their
development programs within the UNDP framework. The case study here of
Brazil is one such example, as Brazil has aligned their Bolsa Familia program
within this scope and tracks the progress of Bolsa Familia using UNDP
indicators.
The other multi-national actor within this analysis is the World Bank, which is
not as much involved in policy formulation like the UNDP, but rather is more
focused on funding development initiatives and reporting on their progress. The
World Bank describes itself as “a vital source of financial and technical assistance to
developing countries around the world. Our mission is to fight poverty with passion
and professionalism for lasting results and to help people help themselves and their
environment by providing resources, sharing knowledge, building capacity and
forging partnerships in the public and private sectors” (World Bank, 2010).

18
 IS POVERTY REDUCTION ENOUGH?

Since the World Bank relies on external donor funding, the idea of
accountability is becoming very important to the bank. To revisit Schultz, investors
want to know how well their money is performing. This has led to an increasing
number of country reports, lending documents, and program guides, all of which
are designed to make the loan process more transparent. The World Bank has
issued two phases of loans to Brazil for their Bolsa Familia program. The first
phase ran from 2004 until 2009, to help launch the Bolsa Familia program, and the
second phase has been authorized to run from 2010 until 2015, to expand the Bolsa
Familia program (World Bank 2004, 2010). What drove this expansion will be
explored later in the analysis.

National Actor – Brazil

With the international framework in place, the Brazilian national context can now be
explored as it pertains to how Bolsa Familia came about. As noted in the
introduction, Brazil is becoming a larger player on the global stage as its economy
continues to grow. However, one of the greatest problems facing Brazil as it begins
to expand is the massive inequality present in the country. According to the Gini
index, which measures inequality, Brazil is one of the most unequal societies in the
world, ranking the 10th most unequal, with 26% of the population living below the
poverty line (CIA Factbook, 2008). Most of the wealth in Brazil is concentrated in
the urban southeast, while the rural north contains the greatest population of poorer
Brazilians. Because of this inequality, not all of Brazilian society is able to participate
in the labor market, so Brazil is attempting to tackle this problem and continue
growth by investing in health and education and by reducing income inequality.
The Workers Party in Brazil has just been elected to the presidency for a third
consecutive term. The Brazilian Constitution only allows for two consecutive terms
by an individual. The first two, terms from 2002–2006 and 2006–2010, were
served by Luis Ignacio Lula da Silva, while the most recent term will be served by
his former Chief of Staff, Dilma Rousseff. The Workers Party draws much of their
support from the poorer citizens of Brazil. This dynamic contributes to the
popularity of Bolsa Familia because the program is aimed at the poorer citizens of
Brazil. Table 1 from Fenwick (2009) illustrates the breakdown of voters from the
2006 election by income. As can be seen, the majority of President Lula’s support
came from the poorer community, so Bolsa Familia has become a popular program
for Workers Party politicians who can use the carrot of expanding Bolsa Familia to
garner support from their base.
The constitution of Brazil specifically creates a legal framework for creating a
more equitable society, while there are specific laws (10.836/04) and decrees
(5.209/04) that use this constitutional provision to implement Bolsa Familia
(Government of Brazil, 2010). The constitution of Brazil also requires each new
administration to institute a “Multi-year Plan” for approval to the new assembly.
Since the new administration has not taken office yet, the new plan is not available,
but indications from Ms. Rousseff are that Bolsa Familia will continue to be
expanded.

19
JUSTIN L. BRUNER

Table 1. Brazilian Election Results by Income.

Family income Lula (%) Alckmin {%)

Until R$ 350 >1 min. salary 55.6 18.5
R$ 350–700: 1–2 min. salaries 63.2 11.4
R$ 700–950: 2–3 min salaries 71.3 16
3–5 min. salaries 47.4 30.9
5–10 min. salaries 62.2 26.7
10–20 min. salaries 18.8 62.5
20–30 min. salaries 0 66.7
Region
Northeast 69.3 11.9
North/Center-West 70.4 16
Southeast 51.7 26.7
South 34.4 36.4
Source: Fenwick, 2009.
So what exactly is Bolsa Familia and what does it aim to do? Bolsa Familia is a
nod to the human capital work by Schultz, Carnoy, and others, as well as a nod to
the Millennium Declaration Policy put out by the UNDP. Brazil is attempting to
invest in its most disadvantaged citizens by giving them access to income,
education, and health, with the larger hope that improving their access to the
economy can help Brazil continue to grow. Brazil is targeting these investments in
line with the MDG. The overarching aim of Bolsa Familia is to reduce poverty.
Brazil accomplishes this through a Conditional Cash Transfer (CCT) program.
While Brazil started conditional cash transfers in 1996, Bolsa Familia was created
in 2003 by combining four separate programs: Bolsa Escola, Bolsa Alimentação,
Cartão Alimentação, and Auxilio Gas (Brazil Ministry of Social Development,
2010). Bolsa Familia provides a monthly cash transfer to low-income families,
provided that the children attend school at an 85% rate and that children are current
on their vaccinations (Lindert et al. 2007). As seen in Figure 1, the rationale is that
forcing families to invest in their children will help to reduce the generational cycle
of poverty by raising incomes of households and allowing children the chance to
get an education and have a healthy life. The next section provides greater detail as
to how this exactly works.

METHODS, TECHNIQUES, AND MODES OF INQUIRY

Inputs
As can be seen in Figure 1, the inputs to implementing the Millennium Declaration
Policy in Brazil are very simple – conditional cash transfers. The cash transfer
from the World Bank to Brazil is conditional on using it for Bolsa Familia (World
Bank, 2010). Within Brazil the cash transfer to their citizens is conditional on
recipients being within the two lowest income brackets (see Table 3 from Lindert
et al. 2007) and having children attend school and receive current health care.

20
 IS POVERTY REDUCTION ENOUGH?

Brazil is using Bolsa Familia as the policy tool to implement the Millennium
Declaration policy.

Table 2. Phase 2 Loan Allocations for Bolsa Familia.

Percent of Total World Bank Contribution

Conditional Cash Transfer 97.7% $510M
Governance 0.5% $3M
Graduation 1.0% $5M
Monitoring 0.8% $4M
Total 100% $522m
Source: World Bank Phase 2 Loan Documents.

A portion of the cash for Bolsa Familia comes from the Brazilian Government and
a portion comes from the World Bank. Table 2 highlights the breakdown of how
the phase two loan (2010–2015) from the World Bank is being spent, as well as
how the Brazilian Government matches the loan amounts with its own
contributions. As can be seen, almost all of the money for Bolsa Familia is
allocated for the citizens who receive the CCT.

Process
How is Bolsa Familia actually implemented within Brazil? There are two main
levels of implementation of the program: at the federal level and at the municipal
level. One of the interesting elements of Bolsa Familia is that the program largely
bypasses the states in an attempt to eliminate bureaucracy and waste. Both the
federal and municipal governments have a very large role to play in the
implementation of Bolsa Familia.
At the federal level Brazil created the Ministry of Social Development to oversee
and carry out Bolsa Familia (Brazil Ministry of Social Development, 2010). This
was done to prevent fighting between ministries as happened in Mexico with a
similar program. Since Bolsa Familia contains elements of education, health, and
finance, each ministry is competing for resources and has to coordinate its efforts
with the other ministries. By having a single ministry, these conflicts can be
reduced. The Brazilian Ministry of Social Development is mainly charged with
organizing, collecting, and reporting data related to the program. There is a central
database called the Cadastro Único (Unified Register), in which all of the
information and transactions within Bolsa Familia are recorded, which allows for
better monitoring, targeting, and evaluation by the Federal Government. The
Cadastro Unico database is essential for coordinating between levels of government
as well as allowing for the identification of eligible Bolsa Familia citizens.
The municipalities are mostly charged with screening and giving the actual
payouts. The monthly payout to families depends on two levels of income: poor
and extreme poor. Then families can receive an additional payout for each child
they have, up to three. The Government of Brazil caps the payout of children at

21
JUSTIN L. BRUNER

three to help assist in slowing population growth. Table 3 highlights the actual
amounts available. What is interesting to note is that families can literally double
their income through Bolsa Familia.

Table 3. Bolsa Familia Payouts.

Level of Monthly per Number of children Quantity and type of Bolsa Familia
poverty capita family 0–15, pregnant or benefit benefit received
income breast-feeding
mothers
Poor R$ 60-120 1 (1) variable R$15
2 (2) variable R$ 30
3 or more (3) variable R$ 45
Extreme Up to R$ 60 0 Base benefit R$ 50
poor 1 Base + (1) variable R$ 65
2 Base + (2) variable R$ 80
3 or more Base + (3) variable R$ 95
Source: Lindert et al., 2007 from Federal Government of Brazil.

Each municipality has a program officer who reports directly to the Ministry of
Social Development and acts as the liaison between the municipality and the
Federal Government. Within each municipality are program offices where the
residents of Brazil can go to update their information, provide proof of meeting
conditions, and collect their payout. Information is entered into the Cadastro Unico
by the municipality, and the payout is given to residents. The Government of Brazil
reports that 93% of the recipients of the CCT are women, and that the money is
generally used for primary household goods rather than alcohol or cigarettes
(Ministry of Social Development, 2010).

Outputs
More detailed analysis of outputs will be done in the evaluation stage of this
chapter (see Part 3 below) but a few observations stand out. First, income shows by
far the greatest gains in terms of percentage, which is most likely a result of the
cash transfer to the poorest citizens. Second, education and health also show gains,
but in a smaller comparative proportion than income. Finally, school enrollment
actually dipped between 2003 and 2009. This is a worrisome trend because
increasing enrollment in schools is one of the conditions stipulated by Bolsa
Familia for the cash transfer.

DATA AND EVIDENCE

With Bolsa Familia being such a new program within Brazil, there has been very
little empirical policy research on the program. Most of the work available comes

22
 IS POVERTY REDUCTION ENOUGH?

from the UNDP, the World Bank, and other NGOs. However, there is some
available monitoring research that provides snapshots of different aspects of the
program, such as the structure or targeting metrics, but none of these studies
evaluates the long-term impact or is able to link Bolsa Familia to changes in
the development environment within Brazil. These two elements will need to be
explored in future research. However, as noted earlier in the case of Mexico, there
are some similar struggles around quality and sustainability in Brazil, but Brazil’s
creation of a development ministry may have bypassed the bureaucracy trap
Mexico encountered.
Fenwick (2009) attributed a great deal of the success of Bolsa Familia to the
ability of the program to bypass the states, eliminating the bureaucracy. Fenwick
illustrated how the majority of the funding for different elements of the Bolsa
Familia program is almost entirely allocated to the Federal Government or to the
local Municipalities, with the States getting the lowest percentage of funding in
each case. The decentralization of Bolsa Familia is one of the highlights of the
program, and it allows for the very precise targeting that would not otherwise be
possible at the federal level.
Barientos and DeJong (2006) focused on Bolsa Familia along with
Oportunidades in Mexico and South Africa’s CCT program, addressing how well
these programs have impacted child poverty. As has been the case in both Mexico
and Brazil, the authors confirmed the findings that poverty in both countries has
been reduced as a result of the CCT programs (Barientos and DeJong, 2006).
However, just as Levy noted in Mexico, and will be discussed for Brazil later,
Barientos and DeJong noted that these types of CCT programs are not effective on
their own; they need additional supporting programs to succeed (Barientos and
DeJong, 2006).
Finally, Hall (2006) exclusively explored the impact of Bolsa Familia in the
first Lula administration (2003–2006). His findings mirror those of other CCT
studies across the globe. First, while there was a reduction, it is unclear as to how
much of the poverty reduction can be directly attributed to the Bolsa Familia
program (Hall, 2006). Second, the program needs greater assessment as to the
larger social and economic impacts within Brazil (Hall, 2006). Finally, there is an
absence of the long-term prospects of Bolsa Familia for promoting development or
creating expensive government dependence (Hall, 2006). While the focus of this
study is on Brazil, similar arguments of dependency and sustainability have been
made for other programs and countries as well.
Based on available data, what has worked well within the Bolsa Familia
program? As noted in the literature, one of the consistent praises for Bolsa Familia
is how well the program has identified and targeted the highest-need citizens. This
targeting can largely be attributed to two main aspects: the decentralized
implementation and the Cadastro Unico database that allows for two-way sharing
of information. The municipalities have largely been responsible for qualifying
citizens for the Bolsa Familia program, using the parameters established by the
Federal Government. This allows for local responsibility in identification and
citizen monitoring, which is more responsive to local needs than the Federal

23
JUSTIN L.
L BRUNER

Governm ment could be. The other maain source of suuccess in the ttargeting relatees to
informattion sharing beetween all leveels of Governm ment. This is ddone by usingg the
Cadastroo Unico databaase that housess all Bolsa Fam milia related information. Citizen
registries, payouts, annd tracking aree all available for the Federral Governmennt to
monitor and evaluatee in order to o monitor muunicipalities foor compliancee in
implemeentation. This means inform mation is pushhed from the bbottom up by the
municipalities, but the Federal Goverrnment can als o make changees that would ppush
informattion or parametters from the toop down.
This targeting is ev vident in the reductions
r in ppoverty withinn Brazil that hhave
taken pllace. Regardleess of what metric
m of poverrty is used, thhere is a comm mon
indicatio
on that povertyy reduction is taking place. Fiigure 2 illustraates an examplle of
the poveerty reduction.
A seccondary streng gth of the acclaimed targetiing of Bolsa F Familia has too do
with how w income has increased witthin Brazil. Ass was noted inn Table 4 and can
be seen in Figure 3, GDP
G per capitaa has shown a very strong iincrease in Braazil,
but how w much is duee to Bolsa Fam milia is uncleear. GDP per ccapita could bbe a
misleadiing statistic siimply because it could be a case of the rrich getting riccher
and the poor
p getting poorer. To gainn a greater undderstanding of who is gettingg the
increaseed income with hin Brazil, a quuick snapshot of the Gini inndex was obserrved
through the same tim me period. As previously nooted, Brazil is one of the m more
unequal societies in the t world. Acccording to thhe CIA Factboook, this gap has
decreaseed from 1998 (60.7) to 2005 (56.7), but oonly by aboutt 6.5%. While the
increasinng income sttatistics are encouraging, tthey may be a false posittive,
because the indication ns are that Braazil is still a faairly unequal society in term
ms of
income distribution.

Figurre 2. Poverty Red

duction. Source:: Fenwick, 20099.

24
 IS
S POVERTY RED
DUCTION ENOU
UGH?

Table 4. Human Devvelopment Indiccators in Brazil.

19
998 20033 Changge 20099 Changee
HDI 0.7
747 0.792 6.0%
% 0.8133 2.60%%
GDP/Capiita $6,6625 $7,79
90 17.50%
% $9,5677 22.80%
%
Gross Primmary
Enrollmennt 92.4% 91.5%
% –.97%
% 95.1%
% 3.93%
%
Adult Literracy 84.5
50% 88.400% 4.60%
% 90% 1.80%
%
Life Expecctancy 67 Years
Y 70.5 Years 5.20%
% 72.2 Years 2.40%
%
Source: UNNDP, 2000, 2005, 2010.

Fig
gure 3. GDP per Capita. Source:: UNDP, 2010.

Fig
gure 4. Life Expeectancy. Source: UNDP, 2010.

On a mo ore positive noote is an increaase in life exppectancy in Braazil, from the pre-
Bolsa Fa amilia period to the present day,
d as illustratted by Figure 44. However, jusst as
with GD DP, it is unclearr how much off this change caan be attributedd to Bolsa Fam milia.
Since Bo olsa Familia requires
r regulaar check-ups off pregnant moothers, infants, and
current vaccinations
v off children, it can
c be assumedd that some off this increase can
be attribbuted to Bolsa Familia in ex xpanding acceess to health services. Howeever,
there is not
n a causal linkk between the in ncreases in life expectancy annd the expansionn of

25
JUSTIN L.
L BRUNER

Figure
F 5. Brazil HDI.
H Source: UN
UNDP, 2010.

Bolsa Familia.
F It is also possible that some o f this increasse stems from m an
increasee in the quality of health services in B Brazil, not jusst from increaased
access.
Know wing that improvements havee taken place in income andd life expectanncy–
two of th he three human n development indicators–witthin Brazil, it w would be expected
that the overall human n developmentt index would increase. In faact, an increasse in
human development
d is present with hin Brazil, butt at a lower raate than increaased
observed d in income an nd life expectan ncy. This mayy be attributed to the lesser ggains
within education,
e to be
b discussed in i the next secction. Figure 5 illustrates thhese
increases.
It is of
o great imporrtance to note that on the sur urface these inccreases may seeem
substanttial; however, contrary to Go overnment claiims, it is impoossible to say hhow
much im mpact the Bolssa Familia pro ogram has hadd with respect to these increaases
so thesee claims shoulld be taken with w caution. T To illustrate thhis point, Brazzil’s
2004 MD DG monitoring g report lists work
w by 14 diff
fferent NGOs bbesides the UN NDP
and Wo orld Bank (G Government of o Brazil, 20004). The Miinistry of Soocial
Develop pment also ru uns programs related to foood security, eemployment, and
nutrition n in addition tot Bolsa Familia, so there may also be spillover impacts
from these programs. While theree are positive movements around HDI, life
expectan ncy, and inco ome since the implementaation of Bolsaa Familia, thhese
increasees may be the result of facto ors outside of Bolsa Familiaa. It is also worth
mention ning again thaat Bolsa Fam milia is a connsolidation off four previouusly
independ dent programs that are stiill winding ddown, so the impact of Boolsa
Familia is difficult to o gage due to the presence oof these previoous programs.. To
illustratee this point, the income increase
i appeears to be moore the resultt of
increasees in the higherr income brack kets than the loower income bbrackets, basedd on
the poorrest citizens’ share of the wealth
w remainning flat since 1990, as seenn in
Figure 6. 6

26
 IS
S POVERTY RED
DUCTION ENOU
UGH?

Figure 6. Poo
orest Brazilians Share of Wealthh. Source: UNDP
P, 2010.

Figure 7. Adult Literacy Rate

R in Brazil. So
Source: UNDP, 22010.

On askin ng what has not

n worked, the educational elements withhin Bolsa Fam milia
leave a great deal mo ore to be explored. Quite ssimply put, chhildren did geet to
school, but what took k place once th hey were theree remains uncclear and in m many
ways is of great conccern. An initiaal glance at thhe increase in the adult literracy
own in Figure 7, gives the impression
rate, sho i thaat schooling inn Brazil is onn the
rise.
Howeever the enrollment picture is one starting point of conceern. While currrent
enrollmeent in Brazil is higher than n the pre-Bollsa levels, it hhas begun to dip
(Figure 8). This could be due to a nu umber of reasoons, all of themm of great conccern.
It may mean
m school haas become inacccessible for soome students, which also meeans
that they
y are unable to o meet the con nditions set ouut by Bolsa Faamilia. It may also
mean thaat the quality of
o schooling is not worth the children’s timee, that they aree not
learning anything while in school (addressed latter). A final ppossibility is that
parents do not see th he value of seending their chhildren to schhool because tthey
will not be able to utiliize the benefitss of receiving aan education inn the labor marrket.

27
JUSTIN L.
L BRUNER

Figurre 8. Enrollment in Brazil. Sourcce: UNDP, 20100.

Carnoy (2007) notes in n his speech to o the Center foor Latin Ameriican Studies att the
Universiity of Californnia Berkeley th hat Brazil’s higghly decentraliized system woorks
well for those from more
m affluent faamilies, but noot very well foor those from less
affluent families. These are all hypoth heses that needd further investtigation.
When n looking at stuudent performaance within Brrazil, some ligght can be shedd on
the educcation compon nent of Bolsa Familia withh respect to qquality. All Bolsa
Familia mandates is that children n attend schoool; there are no performaance
requiremments within thhe program. In a most extrem me example, a cchild could sim mply
show up p to school and still meet th he conditionaliity. This quotee from a Braziilian
mother isi very telling:: “My children n know that whhen we receivee the money, tthey
will havve more to eat,, and that mak kes them happiier. And they ddon’t skip schhool;
because they know th hat the money depends on thheir going” (W World Bank Boolsa
Familia Page, 2010). While
W this is only
o one exampple, a concernn arises that schhool
is seen as a job, someething to do or o somewhere to go for monney, rather thaan a
chance for
f increased future
f opportu unity. A study of the attitudees of both parrents
and childdren towards schooling in Brrazil would sheed more light oon this hypotheesis.
Brazil does not paarticipate in in nternational asssessments succh as TIMMS S or
PIRLS, but they do participate in n PISA, whicch is put outt by the OECD.
Unfortun nately the ressults bear out the low quaality of educaation children are
receivingg in Brazilian schools. As Figure
F 9 show
ws, the 2006 P PISA results place
Brazil near
n the botto
om in overall science profi ficiency; for ccomposite scieence
proficien nks 6th from thee bottom (PISA
ncy, Brazil ran A, 2006) of parrticipating nations.
Braziliann students are also
a below thee mean for scieence-efficacy (P PISA, 2006). AAlso
in line with
w the inequaality present in Brazilian socieety, variance bbetween schoolls in
Brazil iss also higher than
t the OECD D average. Braazil also has oone of the higghest
SES imp pacts on test scores
s (PISA, 2006), meaninng that higher SES studentss are

28
 IS POVERTY REDUCTION ENOUGH?

more likely to perform well in school. This is manifested in the high concentration
of low-performing students, because over 40% of students are performing at the
lowest level.

RESULTS

Four main lessons have been learned from this policy analysis:

Lesson One – Complementarities in Development Matter

The first main lesson is that development is more than just a single field or theory,
and Bolsa Familia is representative of that. As Levy noted (2007) in his
experiences in Mexico, one of the biggest successes was being able to exploit
complementarities within different fields. This approach appears to have been more
successful than attempting to tackle problems in isolation, a common development
program problem of the past. For example, children will not attend school if they
are not healthy enough or if their family cannot afford it.
Instead, Bolsa Familia recognizes that none of the issues within development
happen in isolation. Children may not attend school because their family cannot
afford it, creating a relationship between income and access to education. A disease
may also keep a child out of school, creating a relationship between health and
education. While it is difficult to attribute these changes directly to Bolsa Familia,
Brazil has clearly improved some elements of health care, income, and education.
Bolsa Familia is the primary program for each of these fields and is designed to
exploit these inter-related elements.

Lesson Two – Quality Matters

The second takeaway from this study is that quality matters. Going to a health
clinic or a school will not improve conditions if there are not good doctors and
teachers present. Bolsa Familia has a long way to go in this regard, and there are
serious economic impacts of not addressing this element of quality. Consider
Figure 10 from Hanushek and Woessmann (2007). The first figure shows the
relationship between test scores and economic growth within nations from 1960–
2000, while the second figure shows the relationship between years of schooling
and economic growth during the same 40-year period. The first figure, using test
scores as they pertain to economic growth, shows a much stronger relationship.
The second figure shows a much weaker relationship between years of schooling
and economic growth.
This is of importance to Brazil because this finding reinforces concerns about
the lack of an educational quality component in Bolsa Familia. As Bolsa Familia
and the larger Millennium Development Policy stand, the focus is on years of
schooling (primary completion), which translates into the lower growth seen in the
second figure. A focus on quality, as represented in test scores, shows much greater
long-term economic growth, but current policy is devoid of school quality metrics.

29
JUSTIN L.
L BRUNER

Figure 10. Economic growth versus tesst score and yearrs of schooling. Source: Hanushhek
and Woessmann
W 20077.

30
 IS POVERTY REDUCTION ENOUGH?

Why does this matter? Bolsa Familia is a very expensive and high stakes
intervention, so the long-term consequences of ignoring quality could greatly
hamper opportunity and economic growth within Brazil. The evidence presented so
far shows that Bolsa Familia represents more of the quantity aspect (such as going
to school), which fosters low growth, as compared to the quality aspect (such as
doing well in school), which fosters greater economic growth.

Lesson Three – Equality Matters

The third part of the lesson is that equality matters. Brazil will need to address its very
severe problem of inequality. The targeting of Bolsa Familia has been repeatedly
lauded for how well it identifies disadvantaged citizens, but clearly the impact in
leveling the playing field has not been enough to equal out resources. Also from
Hanushek and Woessmann (2007), Figure 11 shows how inequality in income leads to
inequality in educational outcomes. While the figure contains OECD nations, there is
clearly a relationship between inequality in earnings and in schooling. This relationship
is important for Brazil because of its unequal society as it stands. As shown by Gini
metrics and Figure 6, this is also born out in the PISA statistics that highlight the
inequalities in Brazilian schools, so the impact of this in terms of earnings should be
noted. Couple this inequality with the impact of poor schooling (from Figure 9) on
growth, and the problems for disadvantaged citizens are quickly compounded.

Lesson Four – Accountability Matters

The final lesson is the importance of having an end-goal and long-term
assessment. Bolsa Familia explicitly states it is committed to the cause of poverty
alleviation. The question becomes, what does that entail? If Bolsa Familia is
expanded to all the citizens in Brazil, it would be true that they would be out of
poverty, but would such a program be sustainable or realistic? Bolsa Familia has
done well to raise the poverty floor, but the ceiling remains largely in place. One
critique of Bolsa Familia is that it is creating a dependency on the government,
and while this situation may be a bit over-stated, it is worth addressing. The
incoming administration in Brazil is talking about expanding Bolsa Familia, but it
is silent about expanding opportunities for Bolsa Familia eligible citizens to
provide for themselves. The “final mile” of the road should be built to allow
disadvantaged citizens a way out of Bolsa Familia and a chance to provide for
themselves. An open-ended commitment from Bolsa Familia is not sustainable or
desirable.

CONCLUSIONS

It is almost impossible to have a conversation about international development

without the Millennium Development Goals being a part of that conversation.
The influence of the UNDP and the World Bank is evident in national
policies, international funding agreements, and annual development progress reports.

31
JUSTIN L.
L BRUNER

Figure 11. Earnings and Education Ineequality. Source:: Hanushek and Woessmann, 20007.

The immportance of having an in nternational ddialogue and framework that

addressees minimum sttandards of livving for globall citizens cannnot be emphasiized
enough, because the global
g commun nity has set ouut in pursuit oof these outcom
mes.
Clearly the theory of o developmeent has moveed forward frrom modernizzing
economiies to increaasing income, and to the present day of seeking out
complemmentary elemeents of incom me, education,, and health that combine for
human development.
d
Bolsa
a Familia is th
he manifestatioon of pursing tthese outcomess within Brazil by
implemeenting a CC CT program to exploit the complem mentarities wiithin
developmment. The pro ogram has draawn on lessonns from the U UNDP in whaat it
measurees and from PROGRESA
P in
i Mexico in how it targeets citizens w while
bypassin
ng bureaucracyy. The indicatorrs clearly show
w that Bolsa Faamilia has reduuced
poverty, improved heaalth access, increased incomee, and raised acccess to educattion.
Bolsa Faamilia should be
b celebrated inn how well it hhas done what it was designeed to
accompllish.

32
 IS POVERTY REDUCTION ENOUGH?

The question remains: Is this enough? As the small body of work to date
suggests, the long-term impact of the Bolsa Familia program has yet to be seen.
However, as Levy (2007) noted in Mexico, “The distortions in the labor markets
are a cause for concern” and “CCT programs are not a long term solution.” The
same appears to hold true for Bolsa Familia; although it is too early to say,
questions around the long-term sustainability of Bolsa Familia should be
investigated under the question of “what next?” If Bolsa Familia has really
reached the high proportion of citizens as it claims, then future policy should look
to move from eliminating poverty to creating opportunities and empowering
citizens.
The World Bank has already issued its phase two loan for Bolsa Familia, and the
new administration in Brazil is already on record to expand the program. The
administration will have a four-year term and the World Bank loans are until 2015,
so corrective action for now is too late. However before considering a further
expansion beyond 2015, some very serious questions need to be answered in this
small window of opportunity around sustainability, quality, and opportunity. Bolsa
Familia is an extremely large commitment in both time and money. It now is of the
utmost importance that all stakeholders be sure that this large commitment becomes
sustainable and not wasted as many development initiatives of the past have been.

REFERENCES

Barrientos, Armando and DeJong, Jacelyn. (2006). Reducing Child Poverty with Cash Transfers: A
Sure Thing? Development Policy Review, Vol. 24, No. 5, pp. 537–552.
Brazil Ministry of Social Development (2010). Bolsa Familia Program. Available at:
http://www.mds.gov.br/bolsafamilia
Bowles, Samuel and Gintis, Herbert. (2002). Schooling in Capitalist America Revisited. Sociology of
Education, Vol. 75, No. 1, pp. 1–18.
Carnoy, Martin. (1996). Race, Gender, and the Role of Education in Earning Inequality: An
introduction. Economics of Education Review. Vol. 15, No. 3, pp. 207–212.
Carnoy, Martin (2007) Speech to Center for Latin American Studies at Berkley. Available at:
http://www.clas.berkeley.edu/Events/fall2007/10-11-07-carnoy/index.html
De La Briere, Benedicte and Rawlings, Laura B. (2006). Examining Conditional Cash Transfer
Programs: A Role for Increased Social Inclusion? The World Bank Social Protection Paper
No. 0603.
Federal Republic of Brazil (2010). Portal Brazil. Available at: http://www.brasil.gov.br/
Fenwick, Tracy Beck. (2009). Avoiding Governors The Success of Bolsa Familia. Latin American
Research Review, Vol. 44, No. 1, pp. 102–131.
Fiszbien, Ariel and Schady, Norbert. (2009). Conditional Cash Transfers: Reducing Present and Future
Poverty. World Bank Policy Research Report.
Government of the Federated Republic of Brazil. (2004). Brazilian Monitoring Report on the
Millennium Development Goals. Institute for Applied Economic Research (coordinated by).
Hall, Anthony. (2006). From Fome Zero to Bolsa Familia: Policies and Poverty Alleviation under Lula.
Journal of Latin American Studies, Vol. 38, pp. 689–709.
Hanushek, Eric and Woessmann, Ludger. (2007). Role of School Improvement on Economic
Development.
Lindert, Kathy, Linder, Anja, Hobbs, Jason, and de la Briere, Benedicte. (2007). The Nuts and Bolts of
Brazil’s Bolsa Familia Program: Implementing Conditional Cash Transfers in a Decentralized
Context. The World Bank Social Protection Paper No. 0709.

33
JUSTIN L. BRUNER

Levy, Santiago. (2009). IFPRI Forman Lecture. Given April 17th, 2009.
Morgan, Richard (Chair). (2009). MDG Good Practices. United Nations Development Group Task
Force on the MDGs.
Psacharopoulos, George. (1985). Returns to Education. Journal of Human Resources. Vol. 20, No. 4,
pp. 583–604.
Schultz, Theodore. (1961). Investments in Human Capital. The American Economic Review. Vol. 51,
No. 1, pp. 1 – 17.
Soares, Fabio Veras, Ribas, Rafael Perez, and Osorio, Rafael Guerreiro. (2007). Evaluating the Impact
of Brazil’s Bolsa Familia: Cash Transfer Programmes in Comparative Perspective. United Nations
Development Program International Poverty Center.
Soares, Fabio Veras, Soares, Sergei, Medeiros, Marcelo, and Osorio, Rafael Guerreiro. (2006). Cash
Transfer Programmes in Brazil: Impacts on Inequality and Poverty. United Nations Development
Program International Poverty Center.
UNESCO, (2010). Education and the Millennium Development Goals. Available at:
http://www.unesco.org/en/efa/education-and-the-mdgs/
UNDP, (2010). United Nations Development Program. Available at: http://www.undp.org/
Weiss, Andrew. (1995). Human Capital vs. Signaling Explanations of Wages. Journal of Economic
Perspectives. Vol. 9, No. 4, pp. 133–154.
The World Bank, (2010). Bolsa Familia First Phase. Available at: http://web.worldbank.
org/external/projects/main?pagePK=64283627&piPK=73230&theSitePK=40941&menuPK=228424
&Projectid=P087713
The World Bank, (2010). Bolsa Familia Second Phase. Available at: http://web.worldbank.
org/external/projects/main?pagePK=64283627&piPK=73230&theSitePK=40941&menuPK=228424&
Projectid=P101504
The World Bank, (2007). Control and Accountability Mechanisms in Conditional Cash Transfer
Programs: A Review of Programs in Latin America and the Caribbean. The World Bank Social
Protection and Human Development Department.
The World Bank, (2010). Country Profile: Brazil. Available at: http://web.worldbank.org/WBSITE/
EXTERNAL/COUNTRIES/LACEXT/BRAZILEXTN/0,,menuPK:322347~pagePK:141159~piPK:1
41110~theSitePK:322341,00.html

ANNOTATED BIBLIOGRAPHY

Barrientos, Armando and DeJong, Jacelyn. (2006). Reducing Child Poverty with Cash Transfers: A
Sure Thing? Development Policy Review, Vol. 24, No. 5, pp. 537–552.

In this journal article Barrientos and DeJong analyze three different CCT programs
globally using economic analysis. They argue that CCTs are an effective tool in reducing
childhood poverty when targeted appropriately. More specifically, Barrientos and DeJong
show that more schooling is consumed by children in the presence of CCTs than without
CCTs present.

Brazil Ministry of Social Development (2010). Bolsa Familia Program. Available at:
http://www.mds.gov.br/bolsafamilia

This is the website of the Bolsa Familia Program which is administered through the Brazilian
Ministry of Social Development. This webpage contains several resources which will allow for a
full review of the program. There is access to the laws and decrees creating Bolsa Familia, FAQs
for citizens, and a library section to gain information about how the program works and is
administered.

Bowles, Samuel and Gintis, Herbert. (2002). Schooling in Capitalist America Revisited. Sociology of
Education, Vol. 75, No. 1, pp. 1–18.

34
 IS POVERTY REDUCTION ENOUGH?

This paper fosters the creation of what the authors call “correspondence principal” in which they
argue that schooling is merely a socialization of students for the workplace. In other words, schooling
does help children build knowledge as much as it teaches them the rules and norms for society.
Carnoy, Martin. (1996). Race, Gender, and the Role of Education in Earning Inequality: An
introduction. Economics of Education Review. Vol. 15, No. 3, pp. 207–212.
Carnoy makes an amendment to the theory of human capital arguing that simply investing in
people through training is not the only determinant of earnings. If this were true race, gender,
and university would not drive wages but clearly these factors matter. As a result human capital
investments must also take these factors into account.
Carnoy, Martin (2007) Speech to Center for Latin American Studies at Berkley. Available at:
http://www.clas.berkeley.edu/Events/fall2007/10-11-07-carnoy/index.html
Carnoy shares his findings of a comparative study between Cuba, Brazil, and Chile to understand
why Cuban students outperform their Latin American counterparts. Carnoy argues that the
centralization of Cuba helps to equal out the delivery of educational services while more
decentralized systems in Brazil and Chile tend to be more beneficial for more affluent families.
De La Briere, Benedicte and Rawlings, Laura B. (2006). Examining Conditional Cash Transfer
Programs: A Role for Increased Social Inclusion? The World Bank Social Protection Paper No. 0603.
De La Briere and Rawlings present an analysis of CCTs by looking at programs in Mexico,
Brazil, Jamaica, and Colombia. They find that CCT programs do stimulate demand from the
targeted populations but only when a supply is present such as education or health services. They
argue that CCTs can be improved by having less centralized control and improve employment
prospects of recipients.
Federal Republic of Brazil (2010). Portal Brazil. Available at: http://www.brasil.gov.br/
This is the webpage of the Brazilian Government which will be used to gain an overview of how
the Brazilian Government is structured, what policies are in place, and gain access to official
Government statistics around Bolsa Familia.
Fenwick, Tracy Beck. (2009). Avoiding Governors The Success of Bolsa Familia. Latin American
Research Review, Vol. 44, No. 1, pp. 102–131.
Similar to the findings of De La Briere and Rawlings, Fenwick specifically argues that the
success of the implementation of Bolsa Familia was that it allowed for local implementation and
federal administration. Fenwick argues that the minimal role of Brazilian States is important in
fostering a bottom-up push in policy implementation where local governments have been able to
influence federal policy.
Fiszbien, Ariel and Schady, Norbert. (2009). Conditional Cash Transfers: Reducing Present and Future
Poverty. World Bank Policy Research Report.
This is a comprehensive exploration of conditional cash transfer programs globally. Details are
provided as to the arguments for, structures, and impact of different CCT programs globally. The
authors conclude with policy and design suggestions.

Government of the Federated Republic of Brazil. (2004). Brazilian Monitoring Report on the
Millennium Development Goals. Institute for Applied Economic Research (coordinated by).
This is an extremely detailed report that was put out by the Government of Brazil to comment of
how the nation has progressed around the MDGs. There is a chapter detailing progress on each
goal within Brazil. The fact that the Government puts out this report is useful to gain an inside
perspective as well as access Government data.
Hall, Anthony. (2006). From Fome Zero to Bolsa Familia: Policies and Poverty Alleviation under Lula.
Journal of Latin American Studies, Vol. 38, pp. 689–709.

35
JUSTIN L. BRUNER

In this Journal article Hall takes a much more cautious approach toward the success of Bolsa
Familia. Specifically Hall looks at how much Bolsa Familia has reduced poverty, the political
aspects of the program, and the criticism that the program creates government dependency at the
expense of development. Hall also expresses concerns with the implementation of the program
with respect to how effective it has been.

Hanushek, Eric and Woessmann, Ludger. (2007). Role of School Improvement on Economic
Development.
In this work the authors uses economic analysis to highlight the relationship of economic growth to
school quality and years of schooling. Using longitudinal data from 1960 to 2000 the authors
highlight how school quality has had a much greater impact on economic growth then years of
schooling.

Lindert, Kathy, Linder, Anja, Hobbs, Jason, and de la Briere, Benedicte. (2007). The Nuts and Bolts of
Brazil’s Bolsa Familia Program: Implementing Conditional Cash Transfers in a Decentralized
Context. The World Bank Social Protection Paper No. 0709.
A detailed analysis of the Bolsa Familia program that begins at the history of the program, how
it was designed, how it is implemented, monitored, and financed. This is designed to be an
introductory survey for anyone interested in the Bolsa Familia program.

Levy, Santiago. (2009). IFPRI Forman Lecture. Given April 17th, 2009.
This is a reflective lecture given by Levy as he highlights what he has learned during his
management of the PROGRESA program in Mexico. Levy talks about successes of the program
as well as limitations of CCT programs in general.

Morgan, Richard (Chair). (2009). MDG Good Practices. United Nations Development Group Task
Force on the MDGs.
This is chapter 2 in the series put out by the UNDP that outlines best practices around the MDGs.
Chapter 2 specifically focuses on achieving universal primary education. The chapter uses
examples from different nations around the world to identify problems and solutions to create the
best practice framework.

Psacharopoulos, George. (1985). Returns to Education. Journal of Human Resources. Vol. 20, No. 4,
pp. 583–604.
Dr. Psacharopoulos is well known for his human capital work, specifically as to how levels of
education impact lifetime earnings. His work is done within an international context. In this
paper returns for primary, secondary, and tertiary investments in education are explored. Primary
education offers the highest rate of return on education so developing countries should initially
invest in primary resources.

Schultz, Theodore. (1961). Investments in Human Capital. The American Economic Review. Vol. 51,
No. 1, pp. 1 – 17.
This work is the foundational piece for human capital theory that sparked the idea. The premise
is that workers productivity will increase with increased investments in their education and
health. This creates a multiplier effect where the increased productivity increases efficiency and
earnings leading to greater economic contributions.

Soares, Fabio Veras, Ribas, Rafael Perez, and Osorio, Rafael Guerreiro. (2007). Evaluating the Impact
of Brazil’s Bolsa Familia: Cash Transfer Programmes in Comparative Perspective. United Nations
Development Program International Poverty Center.
This is a quick program evaluation paper that contains a heavy concentration of statistics around
Bolsa Familia. The paper finds that Bolsa Familia has impacted poverty and kept families afloat

36
 IS POVERTY REDUCTION ENOUGH?

however it needs to be matched with supply-side aspects such as quality of schooling. This is
another finding in support of the idea that Bolsa Familia needs supply-side support.
Soares, Fabio Veras, Soares, Sergei, Medeiros, Marcelo, and Osorio, Rafael Guerreiro. (2006). Cash
Transfer Programmes in Brazil: Impacts on Inequality and Poverty. United Nations Development
Program International Poverty Center.
This paper examines all the CCT programs in Brazil not just Bolsa Familia. The research
confirms that Brazil has experienced a reduction in inequality as measured by the Gini Index as a
result of these programs. However in attempting to use some Government data the authors noted
some gaps which limited some of their analysis.
UNESCO, (2010). Education and the Millennium Development Goals. Available at:
http://www.unesco.org/en/efa/education-and-the-mdgs/
This website contains information about the Education For All Program including links to the
eight Millennium Development Goals and the six Education for All Goals. The primary uses of
this website will be to define the Education for All goals and access the statistics and reports at a
country level around Education for All progress.
UNDP, (2010). United Nations Development Program. Available at: http://www.undp.org/
The UNDP is the UN body that oversees the Millennium Declaration Policy and Millennium
Development Goals. There are eight MDGs, all of which are defined through the UNDP. UNDP
statistics can be used to track nation-level progress over time on MDG indicators. UNDP reports
will present a more detailed analysis of region and nation performance around the MDG.
Weiss, Andrew. (1995). Human Capital vs. Signaling Explanations of Wages. Journal of Economic
Perspectives. Vol. 9, No. 4, pp. 133–154.
In another modification to the idea of Human Capital Theory, the author argues that in addition
to education workers are also signaling their employers by how much education they are
choosing to consume. For example, a person who consumes greater amounts of education is
signaling their levels of motivation and determination. This signaling also drives wage and hiring
decisions with education.
The World Bank, (2010). Bolsa Familia First Phase. Available at: http://web.worldbank.org/
external/projects/main?pagePK=64283627&piPK=73230&theSitePK=40941&menuPK=228424&Pr
ojectid=P087713
This is the official page of what the World Bank defines as the First Phase of funding for
the Bolsa Familia Program. This phase lasted from June 2004 until December 2009. Here
there is access to all official World Bank documents related to this phase of the program
such as: Overviews, appraisals, safeguards, financial statements, and implementation
reports.
The World Bank, (2010). Bolsa Familia Second Phase. Available at: http://web.worldbank.org/
external/projects/main?pagePK=64283627&piPK=73230&theSitePK=40941&menuPK=228424&Proj
ectid=P101504
This is exactly like the phase one program of Bolsa Familia but for phase two which started in
September 2010 and runs until December 2015.
The World Bank, (2007). Control and Accountability Mechanisms in Conditional Cash Transfer
Programs: A Review of Programs in Latin America and the Caribbean. The World Bank Social
Protection and Human Development Department.
This paper is less an analysis on the worthiness of CCT programs and more a look at the best
ways to implement and manage CCT programs across Latin America. The main elements of the
review are around design, targeting, payment, and auditing of various CCT programs in Latin
America.

37
JUSTIN L. BRUNER

The World Bank, (2010). Country Profile: Brazil. Available at: http://web.worldbank.org/WBSITE/
EXTERNAL/COUNTRIES/LACEXT/BRAZILEXTN/0,,menuPK:322347~pagePK:141159~piPK:1
41110~theSitePK:322341,00.html
This is the World Bank’s country profile page for Brazil. This page contains World Bank reports
and statistics related to Brazil. It also contains press releases and summaries of projects within
Brazil. Most of the data used for this paper will be related to country statistics and Bolsa Familia
specific reports.

38
 IS
S POVERTY RED
DUCTION ENOU
UGH?

Ap
ppendices

APPENDIX
A 1

Source: UNDP,
UN 2010.

39
JUSTIN L. BRUNER

APPENDIX 2

Literature Sources
Institution Evidence
World Bank Phase 1 Loan Documents
Phase 2 Loan Documents
Brazil Country Strategy Papers
Bolsa Familia Loan Reports
UNDP Millennium Declaration Policy Paper
Annual Human Development Reports
Brazil Country Profile
Human Development Indicators
Government of Brazil Bolsa Familia Program Page
Government Action Plans
Ministry of Social Development Data
Ministry of Social Development Reports

APPENDIX 3

Brazil 1999 2000 2001 2002 2003 2004 2005 2008

2.1 Net enrolment ratio in
primary education
Total net enrolment ratio
in primary education, both 92.4 92.5 94.5 92.9 91.5 94.5 95.6 95.1
sexes
Source: UNDP, 2010.

40
 CHAPTER 3

FIDA H CHANG

The Effectiveness of Policy and Practice for “Universal

Primary Education” Within Education for All
Case Study Of Pakistan

Education is a basic human right. Like all human rights, it is universal and
inalienable – everyone, regardless of gender, religion, ethnicity or economic
status, is entitled to it.
(UNICEF, 2008)

The purpose of this study was to evaluate the effectiveness of the national policies
and plans to achieve “universal primary education” within the framework of EFA
(Education for All) goals in Pakistan as well as to inform future policy decisions
and research. An intense drive around the world to achieve education for all,
particularly “universal primary education”, has completed a decade. Nations of the
world have been successful at different levels, ranging from highly successful to
poorly successful. Pakistan is still struggling for significant success in achieving
“universal primary education”. Hence, to make well-informed future policy
decisions and actions at this critical juncture, it is imperative to study what worked,
what did not work, and why. This chapter analyzed official policy and plan
documents issued by the government of Pakistan, UNESCO reports and data bases,
and published empirical sources. The analysis revealed low achievement on the
target of access to “universal primary education” (in 2007–08 the net primary
enrollment was 66%, and the primary completion rate was 56% with remarkable
disparities among urban and rural as well as male and female groups in the
population). It appears that different reasons account for these results such as
inefficiency in attending the poverty-stricken population, resistance from
traditional segments of society, failure to devolve power at the grassroots level,
low budget allocation to education, and bureaucratic governance of education
under heavy political influence. Recommendations are made for future policy
decisions and research.
In 2000, Pakistan along with other nations of the world committed to achieve
Education for All (EFA) goals, as stated in the “Dakar Declaration”, by 2015.
Hence, Pakistan’s National Government in 2002 developed the National Plan of

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 41–60.
© 2012 Sense Publishers. All rights reserved.
FIDA H CHANG

Action on Education for All 2001–2015, to achieve the EFA goals in Pakistan.
The National Education Policy (NEP) 1998–2010 and NEP 2009 also contained a
significant proportion of EFA goals, particularly directed at increasing access to
“universal primary education”. Thus, the Pakistan Government has been
implementing EFA-based policies and plans for almost ten years.
The problem encountered in these attempts is reflected by the EFA assessment
report of Pakistan (Saleem, 2000), which shows very poor indicators of enrollment
at the primary level. The net intake rate for primary grade one was 59.7%, with
remarkable gender-based and province/region-based disparities. The quality
indicators were also very low. For example the highest percent of students
achieving a curriculum objective was 19% for math grade three, 33.3% for science
grade three, and 33% for English grade three. In 2002, to address the problems of
very low primary enrollment, low quality of students’ achievement, and low
primary completion rate, the Education for All National Plan of Action 2002- 2015
was developed by the Ministry of Education in the Government of Pakistan. In this
chapter I analyze the effectiveness of this policy in terms of achieving the EFA
goal of universal primary education as well as developing suggestions for future
policy decisions and actions. This chapter focuses on my analysis of the
implementation of the policy aimed to achieve “universal primary education” by
2015. The analysis was conducted by comparison of the targets achieved over the
ten years as well as how different factors, situations or conditions, and
relationships between actors and conditions led to what the policy has achieved.
The policy analysis was guided by following research questions and hypotheses:

RESEARCH QUESTIONS:

1. How does the EFA policy address the problems of low enrollment, low
completion rate, and low quality of primary education in Pakistan?
2. What characterizes the implementation of this policy and how effective has it
been in its goal to achieve universal primary education in Pakistan?
3. What does the analysis of the policy and its implementation with regard to
achievement of universal primary education suggest for future policy decisions
and actions?
The analysis explored two main hypotheses in an attempt at explaining the low
achievement of the EFA policy to date: one the failure to achieve the policy stated
goals is due to the poor governance in the education department which can be
attributed to its highly bureaucratic structure and to being consistently under
political influence; and two because the policy inadequately addresses the root
causes for the poor achievement in primary education such as poverty; irrelevance
of education; tribal and community based resistance to modern education; shortage
of schools, teachers, and resources in remote areas; and low quality of teaching.

PERSPECTIVES AND FRAMEWORKS

Pakistan, situated in South Asia, is one of the low-income and highly populated
developing countries in the world. Pakistan is surrounded by India in the east,

42
 THE EFFECTIVENESS OF POLICY AND PRACTICE

China in the north-east, Afghanistan in the north-west, Iran in the west and Arabian
Sea in the south. According to the Ministry of Education of the Government of
Pakistan (2009) estimate, the population would be about 177 million by 2010. The
per capita income is 2,942 $US and about 23% of the population lives in poverty.
According to The World Bank (2010), Pakistan is ranked 125th on human
development index (HDI).
The diverse geographic landscape, different cultures and languages, and
different ways of living in different provinces/regions constitute the social fabric of
Pakistani society. Pakistan has four provinces (Punjab, Sind, Baluchistan, and
Khyber Pakhtunkhwa) and four federally administered areas (Islamabad, Federally
Administered Tribal Areas, Federally Administered Northern Areas, and Azad
Kashmir). Each province has a different language whereas Urdu is the national
language and English is used as official language. About 40% of the population
lives in urban areas and 60% in rural areas. The ways of living are different in
different areas/regions, ranging from very conservative traditional to quite liberal
ways of living in some parts of the mega cities such as Karachi, Islamabad, Lahore,
Faisalabad, and Peshawar.
The political history of Pakistan reflects a continuous power struggle between a
strong military establishment and civilian politicians. More than half of the time
the military has been in power, whereas the rest of the period reflects struggling
and unsustainable civilian governments, either by liberal pro-democracy or by
conservative political groups. Scholar and political analyst Hoodbhoy (1998)
claimed that the military has been very influential in shaping national policies even
in the times it was not directly in the government.
The education system, mostly inherited from British India, continues
demonstrating stratification of the society on the basis of socio-economic, rural /
urban and religious factors by including three parallel systems of schooling in
Pakistan. The three different systems obviously reflect different basis for the
education. The public sector comprises about 66% of the student population. It
is generally considered traditional; instruction is given in Urdu/regional
languages; teaching is telling; and learning is memorization. It lacks physical
facilities such as buildings, toilets, drinking water, and playgrounds. It also
lacks human resources such as competent teachers, learning coordinators, and
administrators. The private sector comprises about 28% of the student
population, mostly in urban areas. The private school system varies from highly
developed elite schools to small schools in working-class neighborhoods
(Andrabi, Das and Khwaja, 2008). The elite or middle-class private schools
usually instruct in English and follow foreign syllabuses adapted from Oxford,
Cambridge, or other Western Universities, whereas the private schools in poor
neighborhoods instruct in Urdu or in regional languages and follow the national
curriculum, including government published textbooks and learning materials.
The Madarsa school system constitutes about 6% of the nation’s education and
is run by different charity organizations. It is populated by children from
religious conservative segments of society and emphasizes the religious values
of different sects.

43
FIDA H CHANG

Table 1. Comparison of School Types in Pakistan (2007–08).

School Type (primary No. of No of Students No. of Teachers Students

to higher secondary) Schools per
Enrollment % of
teacher
total
Private 58,064 7,610,991 28 527,541 14.5
Government 166,534 18,322,552 66 623,089 29.4
Madarsa 12,085 1,558,000 6 53,986 28.9
Source: Ministry of Education Government of Pakistan (2009).

THEORY OF THE POLICY

For a good analysis of a policy, it is important to understand the underlying theory

of the policy as well as other theories that represent successful practices in the
policy area in order to determine whether the program was successful or
unsuccessful, why and how. Weiss (1998) argued that “To make a respectable
contribution to such a discussion, it helps if the evaluator understands-and
investigates- the program/policy’s explicit and implicit theory” (p. 55). The
underlying theory in EFA policy seems to be the notion that “education leads to
human development and human development leads to economic prosperity”. On
these lines, Pakistan’s National Education Plan for EFA goals (Ministry of
Education Government of Pakistan, 2002) takes development in education as part
of the wider macro-economic growth strategy in Pakistan.
Another aspect of looking at the theory of a policy is what Weiss (1998) terms
“Implementation Theory” or “Program Theory” which reflects how the policy
theorizes the successful implementation of the policy/plan. Pakistan’s National
Plan for EFA does not demonstrate explicitly the theory for its successful
implementation of the policy; however it can be derived from looking at its
major three objectives (on page vii), which demonstrate an assumption that the
EFA target of universal primary education (and others) can be achieved “by
reaching out the disadvantaged groups of population, involving community in
educational management at grassroots level, and enhancing relevance and quality
through learning achievements of the children”. This chapter analyzes the
implementation of the EFA policy in Pakistan according to four elements: (i)
program inputs, (ii) program activities, (iii) interim outcomes, (iv) and desired
end results (Weiss, 1998).

METHODS AND SOURCES OF DATA

Thorough analysis of the research questions suggests that both quantitative and
qualitative data is required to answer them. Quantitative data is required to
identify different quantitative indicators set in the policy, such as primary
enrollment rates over the years (from 2000 to 2010), primary completion rates
over the years, and the number of physical facilities in schools. Qualitative data
helps to analyze what the policy actions are, how they have been implemented,

44
 THE EFFECTIVENESS OF POLICY AND PRACTICE

and what the views are about the implementation process of the policy as well as
level of achievement of targets.
The sources of data include published reports, different data bases, policy
documents, and research papers about school education in Pakistan. Hence, the
nature of the research questions leads to drawing upon “an ideal combination
[which] is to use both qualitative and quantitative methods” (Majchrzak,
1984, p.66).
The methods of study are mostly based on what Majchrzak, (1984) described as
“Focused Synthesis”, which “…is somewhat akin to traditional literature review by
involving the selective review of written material and existing research findings
relevant to the particular research question” (p. 59). However, focused analysis
differs from a traditional literature review because it discusses information
gathered beyond published sources, such as personal experiences of the researcher,
discussions with experts, media sources, and so on. Another method of analysis of
existing information also seems relevant to use along with focused synthesis. This
method was termed by Majchrzak (1984) “secondary analysis” which “…refers to
the analysis and reanalysis of exiting data bases” (p. 60). It is useful to answer
some of the questions which require multiple analyses of the data bases related to
the indicators about primary education in Pakistan. Such data bases include annual
enrollment figures compiled by the Ministry of Education in Pakistan and
UNESCO data bases about Pakistan.
I derived methods and criteria for the analysis of the EFA based policy in
Pakistan (2000 to 2010) from the “analytic tasks in evaluation” described in Weiss
(1998, p. 273) and the models described in Resnick et al. (2007). The analysis
mostly focused on “describing” actors, activities, services, conditions of operation
and on “comparing”, achievement indicators and conditions before, during, and
after 10 years of policy implementation. Three questions as mentioned in Weiss
(1998; p. 273) guided the analysis strategies: (a) what went on in the program over
time? (Describing), (b) how closely did the program follow its original plan?
(Comparing), and (c) what combinations of actors, services, and conditions are
associated with success and failure? (Profiling).
The nature of the policy analysis is evaluative-comparative; as Weiss (1998)
argued, “comparison is the heart of the evaluation enterprise” (p. 286).
Comparison of the situation, before, during, and after the policy has been
implemented for ten years leads to a comprehensive analysis. Weiss (1998)
argued that comparison leads to understanding “… if there were changes, then
the analysis will concentrate on how much change there was, how the …
[policy] worked, who benefited the most, and which components of the …
[policy actions] were most effective” (p. 288). The comparison included the
changes taking place over the period of ten years (from 2000 to 2010) in the
three areas of the EFA goal of achieving “universal primary education” in
Pakistan, as mentioned in the analytical framework below. Three key indicators
used in the analysis presented in this chapter include primary enrollment,
primary completion rate, and quality of primary education (in terms of
students’ achievement scores on the national assessment). The analytic framework was

45
FIDA H CHANG
C

Figure
F 1. EFA Pa
akistan Analytic Framework.

developeed (as describ

bed in the Nattional Plan on EFA) for thee analysis of E
EFA
policy/p
plan to achieve “universal priimary educatioon” in Pakistann.
Results
As menttioned earlier, my
m analysis off EFA policies focused on thee three areas unnder
the overrall goal to proovide “Universsal Primary Edducation” in Pakistan. The thhree
areas include: primary y enrollment (measured
( as Net Enrollmeent Rate), prim mary
completiion rate (meassured as percenntage completiing primary edducation-grade V),
and quaality of primarry education (measured
( in tterms of studeents’ achievemment
scores onn national asseessments).
In my y analysis of this policy’s outcomes
o I foollowed the annalytic framew work
defined earlier while using an evaluative logic as described bby Weiss (1998):
“Outcom mes define what
w program [policy] intennds to achievve” (p.117). The
policy/plan projected outcomes at the end of tthe three phasses of the poolicy
implemeentation, as deescribed in National Plan oof Action in E Education for All
2000–20 015 by the Ministry of Educcation of the G Government off Pakistan (20002).
The threee phases inclluded Phase I: 2000 to 20055, Phase II: 22005 to 2010, and
Phase IIII: 2010 to 201 15. Since the latest
l data avaailable was forr year 2007–08 in
differentt reports, I avveraged out thhe targeted ouutcomes for 22005 and 20100 to
determin ne the targets for
f 2007–08 so o that results ccould be comp ared to the tarrgets
for this year.
y

46
 THE EFFECTIVENESS OF POLICY AND PRACTICE

ENROLLMENT RATE

Results show a gradual increase in net enrollment rate (NER) at the primary
level; however the achievement is much lower than the targeted level which
indicates a high possibility of failing to achieve the target of hundred percent net
primary enrollments by 2015. Data on the achievement of net primary enrollment
is available up to the 2007–08 academic year (by the National Education Policy
2009, Educational Statistics by the Ministry of Education of the Government of
Pakistan, 2009, and UNESCO Mid-Term Report 2008). The policy targeted
achieving 100% NER for boys and 80% for girls by 2010, but the results show
that Pakistan is still lagging behind the target. The comparative analysis of the
targeted NER and achieved NER (see Table 1) shows that Pakistan was 11
percentage points behind the target by 2005 and 16 percentage points behind the
target by 2007–08.

Table 1. Comparative Analysis of the NER Targets and Achievements.

Year 2000 2005 2007–08 2010 1015

Overall Targeted Net 66% 79% 86% 93.5% 100%
Primary Enrollment
Rate (NER)
Overall Achieved 57% 68% 70% N-A N-A
Net Primary
Enrollment Rate
(NER)
Source: Ministry of Education Government of Pakistan (2002 and 2009).

DISPARITIES IN ENROLLMENT

The NER is not only below the targeted, as mentioned above, but demonstrates
disparities on the basis of gender, region (provinces as well as rural and urban),
and wealth distribution (see Figure 2). The figure shows that there is a wide gap
between girls’ enrollment and the boys’ enrollment in four provinces, and almost
half the rate of boys in the case of Khyber Pakhtunkhawa (formerly called
NWFP) and Baluchistan. However, the most severe gender-based disparity is at
the wealth level. There is almost no gender based disparity among the 20%
richest segment of the population, but 20% of the poorest segment of the
population shows girls’ NER less than half the rate of boys. The disparity on
the basis of wealth is alarming as the difference between the richest 20% of the
population and poorest 20% is more than 50 percentage points (I address this
further in the discussion section). Moreover, the comparison between the
provinces also shows disparities as two provinces (Sind and Baluchistan)
are below the national average and the other two are above the national average.
Further disparity can be seen on the basis of the rural and urban divide, as the
rural NER is much lower than the urban.

47
FIDA H CHANG
C

Figuree 2. Disparities on
o the basis of reegions, gender, aand wealth levell. Source: Adapteed
from UNESCO (20 009) Educationall Digest 2009.

PRIMARY COMPLETION
N RATE

The prim mary school com mpletion rate is quite low, whhich puts the coountry in a poool of
the high risk nations in n terms of achieving the goaal of universal primary educaation
by 2015. The data is notn available fo or the targeted years of the prrimary compleetion
rate, exccept 2007–08. According to UNESCO (20009), in 2007 thhe survival ratte to
grade 5 (final grade fo or primary edu ucation) was 700% (68% for bboys and 72% % for
girls), buut only 55% of o boys and 42 2% of girls couuld complete pprimary educaation
against the
t targeted 72 2% for boys an nd 69% for girrls (see Table 2 for comparaative
analysis)). The achieved d target (in 200
07–08) was ev en lower than the target in 20000,
which means
m the policy
y is almost sevven years behinnd the targets. T
Thus, it seems that
it will bee very hard to achieve
a the targ
get of 80% by 22010 and 100% % by 2015.

QUALITY
Y OF EDUCAT
TION

Measurees for quality of education are not well--defined in thhe EFA policyy in
Pakistan
n; however, stu
udent achievem
ment scores on national assesssments indicatee an
improvement but also lower
l achievem
ment than the m
minimum targett. The policy ddoes

48
 THE EFFECTIVENESS OF POLICY AND PRACTICE

Table 2. Gender-wise comparison between targeted and achieved primary completion rates.

Year 2000 2005 2007–08 2010 2015

Male Targeted 54% 65% 72% 80% 100%

Achieved N-A N-A 55% N-A

Female Targeted 46% 59% 69% 80% 100%

Achieved N-A N-A 42% N-A

Source: Ministry of Education Government of Pakistan (2000 & 2009) and UNESCO (2009).

not clearly indicate projections for improvement in quality. However, the policy
describes the mechanism of monitoring quality through national assessment of
students’ achievement by the National Education Assessment System (NEAS). In
addition, the policy calls for a yearly exam to be conducted by district government
examination boards to measure the improvement at the district level. There is no
data available on the district level exams of student achievements; however
according to the national assessment 2006 report by the National Education
Assessment System (2006), in all the major subjects at the primary level national
assessment scores remained lower than 500 (50% of the total score); the minimum
quality benchmark score for this year. In 2006, the national averages were 382 in
Language (Urdu and Sindhi), 404 in Math, 496 in Social Studies, and 467 in
General Science (see Figure 3). These scores show an improvement in comparison
to the scores at the beginning of the policy, where the highest score was 33% for
science and English. However, these scores are still lower than the targeted
minimum quality benchmark of 50% for year 2006. In addition, non-availability
of data on student achievement scores (by NEAS) for the succeeding years
indicates poor implementation of the policy (I discuss this further in the
discussion section).
The other studies conducted during this period of time also showed similar
results in students’ performance on test scores. In 2005–06, research by Shami and
Hassan (2006), cited in Bano (2007), used a test based on the national curriculum
standards to study a national sample of 1902 students of grade 5 in eight districts
(two from each of the four provinces) of Pakistan. The study found that students’
average test scores were a little above fifty percent only in Urdu (54%), whereas
test scores in math and science were 44% and 46% respectively. Such studies
found even a worse situation in rural areas. Das, Pandey, and Zajonic (2006)
studied a sample of students in three rural districts of Punjab (the highest populated
province). They took one district from each of its regions (north, central, and
south) and found that learning was quite low in comparison to the curriculum
standards. The tests results showed that a majority of the students in grade 3 could
only perform equal to grade 1 standards of the mathematics curriculum, and only 31%
could correctly form a sentence in Urdu using the word “school”. These studies clearly
document that the quality of education at the primary level is still a problem,
especially in public schools.

49
FIDA H CHANG
C

Figure 3.
3 National avera
age test scores of grade 4 studennts in 2006 (maxximum score is 1000
annd minimum quality benchmark forf this year wass 500). Source: N NEAS (2006).

DISCUSS
SION OF RESU
ULTS

The resuults show that thhere has been gradual

g increasse in enrollmennt, completion rrate,
and quality of education n at the primaryy level in Pakisttan; however, tthe targets havee not
been achhieved. This plaaces Pakistan in n the pool of hhigh-risk nationns (as mentioneed in
UNESCO O reports) to acchieve the goal of universal prrimary educatioon by 2015. Heence,
the question is, why haas EFA policy in Pakistan faiiled to achieve its targets? In this
section I discuss this whhile drawing up pon different reeports and otherr literature sourrces,
howeverr the literature, particularly emmpirical literatuure, is very lim
mited because thhere
have nott been encourag gement and poliicies to promotee research in Paakistan.
One way of lookiing at the failure of the ppolicy to achieve its targetts is
evaluatinng how effecttively the policcy has attendeed to the basicc reasons for low
achievemment in primarry education in n Pakistan. Succh reasons werre identified inn the
national assessment report in 2000 (aat the outset off the policy). IIt seems the poolicy
failed to
o address the four basic reeasons for hisstorically low w achievementss in
primary education in Pakistan.
P This policy has haad no concretee plan to bringg the
children of poverty-rid dden segmentss of the populaation to the scchools; it also has
had no plan
p to address opposing belieefs of the tradiitional segmentts of society abbout
modern education, esp pecially about girls’ educatioon; it has faileed to eliminatee the
scarcity of schools orr facilities in remote
r areas; and it has faiiled to allocatee an
appropriiate budget as well as utilizze the allocate d budget efficciently becausee of
bureaucrratic managem ment which is un nder heavy pollitical influence.

POVERTY
P

According to differentt reports (UNEESCO, 2009 an and 2010, Miniistry of Educaation

Governm ment of Pakistan, 2002 and 2009),
2 about 220% to 23% off the population of
Pakistann has been livin
ng in poverty in the last deccade (2000–20 10). This segm ment
of the poopulation has not gotten eveen the basic neecessities for llife, such as foood,
shelter, clothing etc., appropriately
y; therefore it is very hard for them to ssend

50
 THE EFFECTIVENESS OF POLICY AND PRACTICE

their children to school, which requires parents to provide school dress, books
and other stationary, and transport in most cases. The mid-term report on EFA
goals by UNESCO (2008) showed that the possibility of sending children to
school and their completing primary schooling was more than double for the
richer families compared to the poorer. As shown earlier in Figure 2, the lowest
enrollment rate was in the rural areas, which are much poorer than the urban
areas. However, among the wealthier families (whether in rural or urban areas),
there was a high rate (around 90% NER), and there was no difference on the
basis of gender. Pakistan’s Integrated Household Survey (1998/99), cited in
Khalid and Mukhtar (2002), found that 18% to 34% (22.5% on average) of
parents reported dropping their children from school because it was too
expensive for them and they could not bear the cost. This clearly indicates that
poverty is one of the significant factors for not enrolling children. In addition,
Sawada’s (n.d) study of households in Pakistan found similar results. The
households having a motorcycle or tractor (which is an indicator of prosperous
income) in rural areas were three times more likely to send their children to
school than the poor households.
The above discussion clearly indicates that policy needs to address the problem
of poverty (as an obstacle to increasing enrollment) through providing a reasonable
stipend for the children of poverty-ridden families, or providing for all necessities
required for children to be in school. Because of very low income, these families
prefer to engage their children in labor in order to add a little more to the earnings
of the family rather than sending them to school. This means that providing only
the necessities for school is not enough to ensure the children of these families will
stay in school; rather there is a need of some financial incentives for families to
send their children to school so they won’t lose their income. But the EFA-based
policies/plans by the government in Pakistan have not taken any such measures to
bring these children to school.

TRADITIONAL BELIEFS

Another factor related to the above mentioned problem, is the traditional beliefs
of some segments of society who do not want to have modern education for
their children, especially for girls (Warwick 1995, and Zafar, 2007). Policy
seems to attend to this very lightly and non-logically. Policy assumes that
involving the communities in the management of school (which itself has been
done very ineffectively- I take this on later) will motivate parents to send their
children to school. Moreover, the curriculum reflects modern ideas of the
educated middle-class or elite class, which are quite opposed to the beliefs of
such communities. Hence, policy is needed to localize the curriculum and to
value as well as incorporate the traditions of such communities so they will be
motivated to send their children to school. Further, it might not have been
enough to just value the traditions of such communities in school and the
curriculum; a financial incentive for these families, combined with localizing
the curriculum, would better motivate such parents to send their children to
school.

51
FIDA H CHANG

SHORTAGE OF ADEQUATE SCHOOL FACILITIES

The third basic problem in Pakistan is shortage of schools and facilities in schools,
particularly in the remote areas. This policy has targeted to open new schools and
improve the existing ones for functioning in double shifts (morning and evening), but
on the ground the situation still reflects the scenario as it was before the policy was
implemented in 2000. According to the National Education Policy 2009 (Ministry of
Education Government of Pakistan, 2009) and PILDAT (2010), many of the schools
lack adequate classrooms since 70% of government schools are one-room or two-
room schools, more than half of the schools do not have electricity, about 55% of
schools either do not have toilet or they do not function, and about one-fourth do not
have proper drinking water facilities. Similar conclusions were drawn by Bano
(2007) while analyzing the data base of education provided by federal and provincial
governments in Pakistan (see Table 3 below). Hence, many parents can not send their
children to schools, because either there are no schools in their areas or schools don’t
have building and other physical facilities. Classrooms are usually crowded, which
negatively affects the primary completion rate and quality of education.

Table 3. State of missing facilities in public schools by 2006.

Facilities within government primary schools Total No. of 105,526

Primary Schools
No. of schools without Electricity 64,954 (61%)
No. of schools without Gas 102,884 (97%)
No. of schools without Drinking Water 36,125 (34%)
No. of schools without Telephone 100,778 (95%)
No. of schools without Blackboard 10,411 (1%)
No. of schools without Text Books 24,870 (23%)
Source: Bano (2007).

INEFFICIENT ALLOCATION AND UTILIZATION OF RESOURCES

Such a state of affairs emerges from the low allocation and low utilization of funds
for education. According to UNESCO reports, Pakistan stands among the lowest
countries of world in terms of spending a percentage of its GDP on education; this
ranges from 1.7% to 2.28% in the last ten years. Comparison with other countries
in the region clearly shows that the countries which spend more of their budget on
education have achieved much higher literacy rates and are better than Pakistan in
terms of human development (as per HDI scores). There is a positive correlation
between GDP and HDI as demonstrated in table 4 (PILDAT, 2010). Table 4 shows
that as the public expenditure of GDP go higher, the indicators of HDI and the
literacy rate also go higher. For example, Sri Lanka, Iran, and the Maldives have
high rates of literacy and better HDI than other South Asian countries because they
spend more than 5% of their GDP on education.

52
 THE EFFECTIVENESS OF POLICY AND PRACTICE

Table 4. Comparative analysis of HDI, expenditure on education, and literacy rate.

Country Human Development Public Expenditure on Literacy Rate %

Index Ranking Education as % of GDP (15+ years)
India 134 3.3 66
Iran 88 5.6 82
Pakistan 141 2.8 54
Sri Lanka 102 5.4 91
Maldives 95 8.3 97
Nepal 144 3.8 57
Bangladesh 146 2.4 53
Source: PILDAT 2010.

OVERLY BUREAUCRATIC STRUCTURE AND POLITICAL INFLUENCE

In addition to the problems discussed above, the highly bureaucratic structure of

educational governance, affected by corruption and political influence, has resulted
in failure to achieve the targets. Policy targeted decentralizing the management of
schools, but as Shah’s (2003) report reveals, it was not decentralized in a real sense.
It just moved the power-center from provincial governments to district governments
but the nature of management still remained very bureaucratic. Most of the officers
were favored by local politicians, and the establishment of school management
committees was highly influenced by politicians to bring their favored people to the
committees. Since the politician-favored officers were not competent enough and
lacked planning skills, resource mobilization skills, and commitment (Shah, 2003);
they did not focus on improvement in the system through implementing policy
actions. Hence, the result was very poor utilization of the allocated funds. As per the
Ministry of Education of the Government of Pakistan mid-term report on EFA
(2008), the budget consumption rate for education development programs remained
low: around 56% of the allocated budget in Sindh, 67% in Punjab, and 78% in
Khyber Phakhunkhawa (formerly NWFP).
The low expenditure on education and less utilization of the budget indicate the
lack of commitment at the high political level which is one of the reasons
(probably the most important) for poor educational achievements in Pakistan.
Historically, only one five-year plan out of about eleven plans so far achieved its
targets in Pakistan, but this indicates a very important phenomenon. This plan
achieved 183% of its targets but utilized only 42% of the allocated budget because
of high commitment of the top political leadership at that time, as Bengali (1999)
concluded on the basis of analysis of fifty years of policy implementation in
Pakistan. In this vein, lack of commitment is obvious from recent observations of
government. The federal minister of education, while announcing the recent policy
NEP 2009, repeated the government’s rhetoric to increase the budget for education
immediately to 4% of GDP and take it up to 7% of GDP in five years. On the
contrary, in reality the government ended up reducing the education budget from
2.8 of GDP to 2.4 of GDP by the end of fiscal year 2009–10. It is common for
political governments (whether military or civilian) to disguise themselves through

53
FIDA H CHANG

verbal promises, but they have hardly made a concrete effort to keep or fulfill
them. As Bengali’s (1999) analysis shows that historically every political
government promised to eradicate illiteracy, through substantive increase in budget
for education and through educational reforms towards improving governance,
teaching practices, and curricula, but in reality it remained a political rhetoric.

POLICY IMPLICATIONS

The low achievements of targets and the evaluation of the failure of the policy to
achieve the targets lead one to think about the implications for the future policy
work. The implications need to drive us to address all the basic problems through a
comprehensive and well-defined mechanism for reforms in the education sector.
Below are alternative ways to consider revising the course of action for existing
policies as well as for future policies:
o There is immediate need to increase the budget for education, to take it up to 5% of
GDP and then gradually to increase it to 8% of GDP as it is required to overhaul
the existing structure of education and put it on course for consistent improvement.
The fact that spending more than 5% of GDP on education can bring better results
is evident from the comparison of South Asian countries in Table 4.
o Primary education should be enforced through law which defines punishment
for parents for not sending children to school and provides incentives for
sending children to school. This was the feature of the only successful
policy/plan in the history of Pakistan, which achieved 183% targets (mentioned
earlier Bengali, 1999). However a proper stipend should be given to the children
from poverty-stricken families, to provide them all the necessities and to give
extra incentive (in terms of addition into their parents income) to be in school.
o Comprehensive reforms in the governance of the education department are
essential to create a facilitative environment for the functioning of schools and
their further improvement. Chapman (2008) argues that developing countries
which reform their education management systems end up with high
achievements because the functioning of the school system depends on quality,
wisdom, and commitment of administrators who manage and guide actions
taking place in the system. Drawing upon Shah’s (2003) recommendation on the
basis of his analysis of how decentralization of the education management
initiative failed, and reasons described in the UNESCO monitoring report 2009,
which focused on good governance to overcome inequality, the reforms in
educational governance are suggested as follows:
o To bring competent human resources in the management of education, there
is need to enact a law which clearly defines merit and open competition-based
appointments of officers through a public service commission: composed of
representatives of public, private, and civil society organizations with
educational background. Preference should be given to those having teaching
or learning leadership experience at the relevant school level.
o The work of government first and second tier officers (head teachers/principals
and district officers) should be confined to create facilitative environments for

54
 THE EFFECTIVENESS OF POLICY AND PRACTICE

teaching and learning rather than disbursing and spending budgets. They
should provide only monitoring support for curriculum implementation,
teaching, learning, and assessment. This will filter those people who ask to get
into the management office because it can give them opportunities to
misappropriate the funds.
o All construction, physical facilities related work, provision of stipends, and
provision of teaching and learning resources should be done through private
organizations. On the one hand, this will help unburden government offices
from such work so that they can use their time to provide support for
teaching and learning; on other hand it will help to stop the
misappropriations of funds.
o Parents should evaluate the general functioning of the schools on an annual
basis, which should be done through private organizations or NGOs and the
results should be published. Parents also should evaluate all the
infrastructure development work done in schools (building new rooms and
toilets, provision of furniture and electricity, etc). Since they are the direct
beneficiaries of such developments, they can keep more honest and better
check on the quality of work.
o An intensive two-month professional development (PD) program for all
teachers (focusing on content knowledge, pedagogy, and community
mobilization skills) should be initiated immediately along with establishing
professional development centers at the school or cluster level for
continuous professional development (CPD) of teachers and other staff.
Teacher unions should be involved in coordination of PD programs and
professional development centers, in order to create collaboration among
teachers as well as self-evaluation and self-responsibility towards their own
professional development.

• A national campaign should be launched to mobilize communities through print

and electronic media and door-to-door communication, with the involvement of
NGOs and other international organizations.
• The curriculum should be made flexible to accommodate values and traditions
in the local culture as well as to engage children to develop skills to be
successful in their further education.
• The educated mass in urban areas, particularly females, should be utilized for
the education of girls and disadvantaged groups in rural areas, where there is a
severe shortage of educated women.
• There is also a severe shortage of empirical evidence to guide policies,
development, and reforms in education. A national level Institute for Research
should be developed which can launch, sponsor, and coordinate research on
education in Pakistan. The research should be aligned with policy and reform
initiatives to make informed decisions while implementing policies, as well as
for developing new policies.
A note of caution: since there is lack of empirical evidence in Pakistan, many
recommendations made here are not based on empirical evidence. Hence, it is

55
FIDA H CHANG

necessary to establish empirical evidence to evaluate their effectiveness as well as

make evidence-informed policy decisions in future.

CONCLUSION

The EFA policy in Pakistan has resulted in gradual increase in enrollment and
completion rates at the primary level; however, there have been lower
achievements than targeted by the policy. The literature evidence shows that the
low achievement of the targets is because of not overcoming the basic problems
historically prevalent in Pakistan. Policy cannot succeed until it is grounded in the
context and addresses the basic problems of poverty, lack of infrastructure, lack of
appropriate funds, poor governance, and cultural or social barriers to girls’
education. Any effort deviating away from such problems will result in failures,
causing waste of time and energy and a lack of development. However, political
commitment is required in the first place to initiate the reforms recommended here
to address the basic problems on the ground.

REFERENCES

Andrabi, T., Das, J., & Khwaja, A., I., (2008). A dime a Day: Possibilities and Limits of Private
Schooling in Pakistan. Comparative Education Review. 52, (3), 329–255.
Bano, M (2007). Pakistan Country Case Study. Country profile prepared for the Education for All
Global Monitoring Report 2008 Education for All by 2015: will we make it? Retrieved from:
http://unesdoc.unesco.org/images/0015/001555/155503e.pdf
Bengali, K (1999). History of educational policy making and planning in Paksitan. Islamabad:
Sustainable Policy Development Institute (SDPI).
Das, J., Pandey, P. & Zajonc, T. (2006). Learning Levels and Gaps in Pakistan. The World Bank
working paper 4067. Retrieved from: http://www.worldbank.org.pk/WBSITE/EXTERNAL/
COUNTRIES/SOUTHASIAEXT/PAKISTANEXTN/0,,contentMDK:21608863~pagePK:141137~
piPK:141127~theSitePK:293052,00.html
Hoodbhoy, P. (1998). Education and the State – Fifty Years of Pakistan. London: Oxford University
Press.
Khalid, H. S. & Muktar E. M. (2002). The Future of Girls Education in Pakistan. Islambad: UNESCO
Offfice
Majchrzak, A. (1984). Methods for Policy Research. Sage Publications: London
Ministry of Education Government of Pakistan. (2009). National Education Policy. Retrieved from
http://www.moe.gov.pk/
Ministry of Education Government of Pakistan Ministry of Education (2009). Pakistan Education
Statistics 2007–08. Retrieved from http://www.moe.gov.pk/
Ministry of Education Government of Pakistan (2008). Education for All: Mid-term Assessment
Pakistan. Retrieved from http://www.moe.gov.pk/
Ministry of Education Government of Pakistan (2002). National Plan of Action on EFA (2000-2015).
Retrieved from: http://www.moe.gov.pk/
National Education Assessment System (2006). National Assessment 2006. Retrieved from: http://
www.neas.gov.pk/Document%20Center.html
PILDAT (2010) Financing Quality Basic Education for All in Pakistan. Islamabad: Pakistan.
Rensick et al (2007) A Framework for Effective Management of School System Performance. In P. A.
Moss (Ed.). Evidence and Decision Making: 106th yearbook of the national society for the study of
education (NSSE) Part one. Malden, MA: BlackWell.

56
 THE EFFECTIVENESS OF POLICY AND PRACTICE

Saleem, M. (2000). Education for All, The Year 2000 EFA Assessment Report, Country Report
Pakistan. Retrieved from: http://www.unesco.org/education/wef/countryreports/pakistan/contents.
html#cont
Sawada, Y. & Lokshin, M. (n.d). Household Schooling Decisions in Pakistan. Komaba: University of
Tokyo.
Shah, D. (2003). Country report on decentralization in the education system of Pakistan: Policies and
strategies. Ministry of Education Government of Pakistan: Islamabad.
Shami, P.A. and Hussain, K.S. (2006). Learning Achievement: Quantitative and Qualitative Data.
Islamabad: Academy of Education Planning and Management, Ministry of Education, Pakistan.
The World Bank (Sept 23, 2010). Education in Pakistan. Retrieved from: http://www.worldbank.
org.pk/WBSITE/EXTERNAL/COUNTRIES/SOUTHASIAEXT/PAKISTANEXTN/0,,contentMDK
:21608863~pagePK:141137~piPK:141127~theSitePK:293052,00.html
UNESCO (2010). EFA Global Monitoring Report 2010. Retrieved form http://www.unesco.org/en/
efareport/reports/2010-marginalization/
UNESCO (2010). Global Education Digest 2009. Retrieved form http://www.unesco.org/en/efareport/
reports/2010-marginalization/
UNESCO (2007). EFA Global Monitoring Report 2008. Education for All by 2015: Will We Make It?
Retrieved from http://www.unesco.org/en/efareport/reports/2008-mid-term-review/
Unicef (2008). Education For All. Retrieved from: http://www.unicef.org/education/index_44870.html
Warwick, D. P. & Reimers, F. (1995). Hope or Despair? Learning in Pakistan’s Primary Schools.
Preager: Westport.
Weiss, C. H. (1998). Evaluation: Methods for Studying Programs and Policies. Prentice Hall:
New Jersey
Zafar, F. (2007). Achieving Education for All: Pakistan. Commonwealth Secretariat: UK.

ANNOTATED BIBLIOGRAPHY

Andrabi, T., Das, J., & Khwaja, A., I., (2008). A dime a Day: Possibilities and Limits of Private
Schooling in Pakistan. Comparative Education Review. 52, (3), 329–255.
This study is focused to understand how private schools have rapidly increased in last two
decades in Pakistan. The researchers used data collected through different government
organizations as well as used survey to collect primary data. In this article, they present a
comparative analysis of differences between private and public schools with regard to fee
structure, teachers’ qualifications and salaries, concentrations of two types of schools in
different geographic locations, and achievement of students in core subject areas. They find
significant differences between different aspects of two types of schools. Further they discuss
about the possibilities of addressing the problems of high illiteracy and low quality of
education through private schooling, as well as limitations for private sector in education
system of Pakistan.
Bano, M (2007). Pakistan Country Case Study. Country profile prepared for the Education for All
Global Monitoring Report 2008 Education for All by 2015: will we make it? Retrieved from:
http://unesdoc.unesco.org/images/0015/001555/155503e.pdf
This paper presents country profile of Pakistan which was used for the EFA global monitoring
report 2008. The paper sketches up the progress in education for all (EFA) goals in Pakistan
since the Dakar Declaration of 2000. Further it presents comparison of enrollment at primary
level between private and public sector, comparison of expenditures between public sector and
private sector, and state of school in the two sectors. The author argues that there has been a
gradual growth in enrollment and literacy; however Pakistan is still at risk to achieve the
millennium development targets by 2015. It claims that private sector have had a positive effect
of enrollment whereas government has not improved the public school system to increase the
enrollment and completion of basic education.

57
FIDA H CHANG

Bengali, K (1999). History of educational policy making and planning in Paksitan. Islamabad:
Sustainable Policy Development Institute (SDPI).
This is a brief working paper which summarizes the history of education policy making and
achievement of targets specified within particular policies. In a chronological order, it covers
policies from the birth of Pakistan (1947) through education policy 1998–2010. It simply
presents main targets of the policies, allocated resources, and utilized resources. The author
concludes that targets have been continuously revised in each policy because policies have failed
to achieve the targets.
Booth, C. W., Colomb, G. G. and Williams, J. M. (2008). The Craft of Research. The University of
Chicago Press, London.
The above mentioned book gives comprehensive information on research process; from thinking
research topic to the publication of research report. Each of the five parts of the book discusses a
major aspect of the research process. First part talks about how research and researcher, as well
as researcher and readers can best be related or connected. Second part describes asking
questions to plan a research project, and comprehensively discusses; how to move from broader
topic to specific research questions, sources of data or evidence and how to engage sources for
data generation. Third part focuses on “assembling research argument” to put the claims,
reasons, evidence and warrants in a coherent and persuasive structure. Fourth part gives a
comprehensive view of how to plan, draft, and revise a research report. Fifth part talks about the
other considerations of research such as research ethics, references, and indexes. The book
appears a very helpful resource for my policy analysis research as it comprehensively informs
about different stages of my research process.
Das, J., Pandey, P. & Zajonc, T. (2006). Learning Levels and Gaps in Pakistan. The World Bank
working paper 4067. Retrieved from: http://www.worldbank.org.pk/WBSITE/EXTERNAL/
COUNTRIES/SOUTHASIAEXT/PAKISTANEXTN/0,,contentMDK:21608863~pagePK:141137~
piPK:141127~theSitePK:293052,00.html
This is a policy research working paper sponsored by The World Bank. The paper focuses on
understanding the learning level of grade three students with comparison to the set national
curriculum standards in Pakistan. They report that most of the children from affluent families go
to private schools whereas most of the children from poor families go to government schools.
They found that the achievement gap between is twelve times higher in affluent families than
children from poor families. Overall, student achievement is lower than international standards
as grade three students show mastery of grade one level curriculum only.
Khalid, H. S. & Muktar E. M. (2002). The Future of Girls Education in Pakistan. Islambad: UNESCO Offfice
This study was conducted to assess the state of girls education in Pakistan as well as illuminate
constraints in girls education. While reviewing the policies and programs to enhance girls
education in 1990s, the study highlighted the barriers in increasing girls enrollment and retention
in the primary schools. Next, it analyzed the education policy of 1998–2010 with regard to how
it is addressing the existing problems. Finally, it made recommendation for future programs to
address the existing problems in girl education.

Majchrzak, A. (1984). Methods for Policy Research. Sage Publications: London Cummings, W. K. and
Williams, J. H. (2008). Policy-Making for Education Reforms in Developing Countries. Policy
Options and Strategies. Rowman & Littlefield Education: USA
In addition, the above mentioned two books are also helpful in formulating the research process
and analysis. Methods for Policy Research (Majchrzak, 1984) particularly provide a thorough
account of how to carry “technical analysis of data” and how to develop recommendations. Two
chapters in Cummings and Williams (2008) (Chapter 3: Policy Options for Access and Equity in
Basic Education, and Chapter 7: Policy Tools to Improve Teaching) can be helpful reference for
analysis of access for primary education and teacher quality issues related to EFA policies in
Pakistan since these both chapters give examples from developing contexts including Pakistan.

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 THE EFFECTIVENESS OF POLICY AND PRACTICE

POLICY DESCRIPTION AND ANALYSIS RESOURCES

Ministry of Education Government of Pakistan. (2009). National Education Policy 2009. Retrieved
from http://www.moe.gov.pk/
Ministry of Education Government of Pakistan (2008). Education for All Mid-decade Assessment.
Country Report Pakistan. Retrieved from http://www.moe.gov.pk/
Ministry of Education Government of Pakistan (2002). National Plan of Action on Education for All
(2001 - 2015). Retrieved from http://www.moe.gov.pk/
Ministry of Education Government of Pakistan (2000). National Education Policy 1998–2010.
Retrieved from http://www.moe.gov.pk/
The above-mentioned documents are available at the Ministry of Education Government of Pakistan
website (under the policy and plans heading) and are good primary resource about the EFA policies and
plans in Pakistan. Two policies (National Education Policy 1998–2010, and National Education Policy
2009) provide evidence about policy targets and actions on EFA goals in Pakistan. Whereas, the
National Plan of Action on Education for All (2001–2015) provides data on the programs and projects
that are being implemented to achieve the EFA policy objectives. In addition, the Country Assessment
document provides data on the educational indicators at the off-set of the policy/plans in Pakistan. In
essence, these documents are a valuable resource for providing comprehensive description of the
policies/plans, their implementation, and achievements in last ten years (2000–2010).

MULTIPLE DATA (EVIDENCE) SOURCES

UNESCO (2010). EFA Global Monitoring Report 2010. Reaching the Marginalized. Retrieved form
http://www.unesco.org/en/efareport/reports/2010-marginalization/
UNESCO (2009). EFA Global Monitoring Report 2009. Overcoming Inequality: Why Governance
Matters. Retrieved from: http://unesdoc.unesco.org/images/0018/001866/186606E.pdf
UNESCO (2007). EFA Global Monitoring Report 2008. Education for All by 2015, Will we make it?
Retrieved from http://www.unesco.org/en/efareport/reports/2008-mid-term-review/
UNESCO (2007). EFA Global Monitoring Report 2005. The Quality Imperative. Retrieved from:
http://unesdoc.unesco.org/images/0013/001373/137333e.pdf
The UNESCO monitoring reports provide plenty of data (evidence) on achievements and challenges to
EFA goals in developing countries including Pakistan. The different reports focus different aspects of
the EFA policy implementation which is helpful in accumulating evidence about the policy
implementation in Pakistan. The UNESCO monitoring report 2010 compares the education indicators
around the world, which is helpful in analyzing the achievements and challenges to Pakistan related to
first two EFA goals (focus of this research) in comparison to other countries especially with developing
countries. The monitoring report 2009 focuses on inequalities in achieving the goals and factors
involved, and the monitoring report 2005 focuses on quality issues with a comprehensive provision of
data on Pakistan. Thus, these all reports are a very important and fundamental resource for collecting
evidence for the evaluation of the effectiveness of the EFA policies in Pakistan.

MORE DATA SOURCES (PARTICULARLY IN QUALITY ISSUES)

PLDAT (2010). Financing Quality Basic Education for All in Pakistan. Retrieved from:
http://www.pildat.org/Publications/publication/EFA/Financing%20Quality%20Basic%20Education
%20for%20All%20in%20Pakistan%20-%20Briefing%20Paper.pdf
The above paper is a recent analysis of financing basic education for all in Pakistan. It looks at the
activities done so far to achieve “education for all” and compares with other developing nation in the
region. It mainly focuses on evaluating financial expenditures on education for all as well as required
finances to achieve the goals in Pakistan from the perspective of socio-economic situation in Pakistan. It
concludes with projects for future based on the current trends. This paper provides the data for the
analysis of socio-economic aspect of my policy analysis especially with regard to universal primary
education and quality of primary education in Pakistan.

59
FIDA H CHANG

Zafar, F. (2007). Achieving Education for All: Pakistan. Promising Practices in Universal Primary
Education. Commonwealth Secretariat: Marlborough House.
The above-mentioned publication is a commonwealth publication which describes the promising
practices related to achieve universal primary education in Pakistan. Generally, Pakistan lacking at
successful practices to achieve the target of universal primary education; however the publication
highlights some of the successful practice to accelerate quality primary education in some parts of
Pakistan. Hence, the publication provides important evidence as well as a reference framework of
successful practices to use for evaluating the EFA policy practices in Pakistan.

60
 CHAPTER 4

ANDLEEB SHARIF

School Capacity the Neglected Paradigm in EFA

Movement
A Case Study Of Educational Development In Bangladesh At The Primary
Level In EFA Contex

“Blindness to the poverty of classrooms has been so typical that

development assistance agencies–in many cases the largest source of
education development capital-have allocated a high proportion of their
education resources to ‘reforming’ curriculum and teacher training
techniques. The result has been new curricula and new techniques for
teaching but classrooms left unchanged”
(Heyneman, 1984, p.296).
Bangladesh has achieved the target of increased enrollment with gender parity
(97.65%). However reports show that the quality of education is still poor and that
the dropout rate has increased from 47.2% in 2005 to 50.5% in 2007 indicating
major future challenges (see school census information on the primary education
dropout rate in Government Primary Schools (GPS) and in Registered Non-
Government Primary Schools (RNGPS)” (DPE2009, pg VI). This study evaluates
the effectiveness of the National Plan of Action II (2003–2015) and identifies the
major factors that may be hindering school retention and quality at the primary
level in Bangladesh. The analysis used the method of document analysis, policy
documents issued by the government of Bangladesh and statistical reports from
UNESCO, UNICEF, and the World Bank. The School Capacity Model was used as
a conceptual framework. The analysis shows that a focus on increasing school
enrollment without building school capacity is a barrier to achieving the goals of
retention and quality. Bangladesh needs to build the capacity of its schools and
school personnel to meet the challenges imposed by increased school enrollment.
To meet the goal of universalization of primary education, Bangladesh has been
committed to the International Declaration of Education for All (EFA) since 1990
(Jomtein). This commitment was reaffirmed in the EFA 2000 (Dakar) Declaration.
The government of Bangladesh devised two major policies in the EFA context
namely, National Plan of Action I (NPA-I, 1990–2000) and National Plan of Action

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 61–92.
© 2012 Sense Publishers. All rights reserved.
ANDLEEB SHARIF

II (NPA-II, 2003 -2015). These policies were meant to meet the goals of EFA in
terms of access, retention, and quality of education for every child at the primary
school level regardless of gender, ethnicity and socio economic class. Recent reports
have indicated that Bangladesh has made tremendous progress in achieving the
target of increased enrollment with gender parity (97.65%) however reports also
indicate that the dropout rate is significant (50.5%) and that the poor quality of
education is still n ongoing challenge. This chapter presents an evaluative analysis
of the available documentation on the National Plan of Action II (2003–2015) in
terms of its goals, input, and processes of implementation. The analysis used the
school capacity frame work to identify the likely factors which might have hindered
the success of the plan to achieve its targets of improved retention and increased
quality of education at the primary level. The chapter provides suggestions that may
help improve the achievement of EFA targets in the next five years.
Specifically the questions this policy analysis seeks to answer are:
1. What mechanisms has the Government of Bangladesh devised to build school
capacity in terms of the number and training of teachers, the school physical,
structural, and instructional resources, and training and support of school
principals, in order to meet the challenges of growing school enrollment and to
sustain the quality of education?
2. What is the impact of NPA II (2003–2015) policy on school capacity and in turn
quality of education within the Bangladesh context?
There is evidence to support that a mere focus on increased enrollment without
building adequate school capacity could be an important limitation to achieving the
EFA goals in terms of quality and retention.

PERSPECTIVES AND THEORETICAL FRAMEWORK

Table 1. Socio economic context of Bangladesh.

Indicators Bangladesh
POVERTY and SOCIAL
Population. mid-year (millions) 160.00
GNI per capita (Atlas method, US$) 520
Average annual growth, 2002–08
Population (%) 1.5
Labour Force (%) 2.4
Most recent estimate (latest year available, 2002–08)
Poverty (% of population below national poverty line) 40
Urban population (% of total population) 26
Infant mortality (per 1.000 live births) 43
Child malnutrition (% of children under 5) 41
KEY ECONOMIC RATIOS
GDP (US$ billions) 76.4
Gross capital formation/GDP 242
Source: World Bank (2009). Bangladesh at a Glance.

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 SCHOOL CAPACITY THE NEGLECTED PARADIGM IN EFA MOVEMENT

According to the World Bank (2009) Bangladesh is ranked as the seventh most
populous country with a total population of 160.00 million of which 26% lives in urban
areas. In terms of demographics more than 80% of the population practices Islam. It is a
mono-lingual country, in that Bangla is a dominant language spoken by 98% of the
population (Government of Bangladesh, 2002). According to one estimate, 40%
population lives below the poverty level. The following Table 1, from the World Bank
(2009), provides a broader overview of the social and economic context of Bangladesh.
EDUCATIONAL CONTEXT (PRIMARY EDUCATION) AND STRUCTURE

In Bangladesh the government is responsible for providing primary education to its

people. In 1973, the government of Bangladesh nationalized all primary schools
and in the constitutional Act of 1990 primary education was announced as free and
compulsory. Initially this plan was implemented in 68 Upazilas and afterward in
the whole country in 1993. Then efforts were made to extend this provision to the
remaining areas of the country (Ministry of Primary and Mass Education, 2010).
The administration of educational provision falls under separate directorates. For
primary education, a separate directorate was established in 1992.This directorate
is responsible for the formulation, regulation implementation, and monitoring of
projects, plans and policies for pre primary and primary education. Secondary and
tertiary education is administered by Ministry of Education (mopme.gov.bd).
Bangladesh has been committed to Education for All since 1990, and as a result it
has made remarkable progress in the field of education although Bangladesh
spends only 2.2% of its GDP on education (UNESCO, 2008).
Table 2. Structure of Education in Bangladesh.

Stages of general education Duration Official Age

Early childhood education 3–5 years
Primary education (1–5) 5 years 6–10 years
Junior secondary education (6–8) 3 years 11–14 years
Secondary Education (9–10) 2 years 15–16 years
Higher Secondary (11–12) 2 years 17–18 years
Bachelor Degree 2, 3or 4 years 19–22 years
Master Degree(general education) 1or 2 years 21–24 years
Source: UNESCO (2008) Asia and Pacific Education for All (EFA) Mid Decade Assessment: South Asia
Sub region Synthesis Report.

According to The Annual Sector Performance Report (ASPR)-2009, gross

enrollment at the primary level increased from “93.7% in 2005 to 97.65% in 2008”
and the same growth was observed in net enrollment which has increased from
“87.2% in 2005 to 90.8% in 2008 with gender parity” (DPE 2009, pg 6). In order to
ensure access, retention and quality education for every child, regardless of gender,
ethnicity, and geographical restrictions the government of Bangladesh devised two
major policies for Education for all: National Plan of Action I from 1990–2000 and
National Plan for Action II from 2003–2015 (Government of Bangladesh,
2002).The increased enrollment and gender parity prove the commitment and
sustainability of the Bangladesh government towards achieving the targets of EFA.

63
ANDLEEB
B SHARIF

However, the latest stu udies reveal a low

l retention rrate, and a highh repetition ratte at
the primmary level, as indicated by the school ceensus informaation “the prim mary
educatioon dropout rate in Governmen nt Primary Schhools (GPS) annd Registered N Non-
Governm ment Primary Schools
S (RNGP PS) has increassed from 47.2% % in 2005 to 500.5%
in 2007”” (DPE 2009, p. p VI), and low w quality of edducation has aalso been reporrted.
NPA II (2003–2015)
( iss expected to acchieve standarddized quality.
Whilee the first Natioonal Plan of Acction was formuulated for the yyears 1990 to 22000
and was based on Jomttein Declaration n of education 11990, the Natioonal Plan of Acction
II which is the continuaation of Plan I is based on the D Dakar, 2000 deeclaration. National
Educatioon Plan phase II (2003–2015 5) basically seeeks to addresss problems of low
access, lo
ow enrollment, and high reten ntion rate at prim
mary level alonng with maintainning
of qualitty of education n and improvin ng adult literaccy. The target ppopulation for this
policy is particularly chiildren from agee 3 to 10 (Goverrnment of Banggladesh, 2002).
The main
m thrust of this t National Plan
P of Action (2003–2015) regarding prim mary
educatioon is to:
1. ensurre equity in acccess to educatio
onal opportunitties
2. Provide access to standardized quaality of educatiion for all childdren.
3. Ensurre retention of all children off age 6–10 reggardless of gennder, ethnicity, and
disabilities in primaary education and
a through quuality educationn. (Outlining N NPA
II 200
03–2015).

Figuree 1. Theoretical framework

f of NPA
NP II (2002–20115). Source: Figgure adapted from
m
Ressnick et (2007).

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 SCHOOL CAPACITY THE NEGLECTED PARADIGM IN EFA MOVEMENT

The theory behind this National Plan of Action II (2003–2015) is informed by

human capital theory, as it has as its main objective to overcome poverty
by improving knowledge and skills of masses by universalization of
Primary Education. Basically this policy seeks to address issues of quality, gender
parity, and retention at the primary level by providing free and compulsory primary
education.

DEVELOPING SCHOOL CAPACITY

The purpose of using school capacity as an analytic framework is to bring to light

the significance of organizational factors that are considered critical to the effective
implementation of EFA with respect to the goal of increasing educational quality.
The dual dimensions “resources” and “productivity” of school capacity given by
Malen and Rice (2004) were used, for the analysis of the National Plan of Action II
(2000–2014).
Resource Dimension: This dimension includes all those resources that are
fundamental or significant for schools to perform their instructional functions such
as human capital (knowledge and skills of school staff), physical resources,
information resources (opportunities to learn and development of school academic
staff) and instructional resources (Rice & Malen, 2004).
Productivity Dimension: This dimension deals with the ability and potential of
schools to implement desired reforms for achieving expected outcomes. Rice and
Malen (2004) explain by quoting Corcoran and Goertz (1995) these phenomena as
“maximum amount of production that can be obtained from a given set of
resources and organizational arrangements” (p.g 635).

RESOURCE DIMENSION

Human Capital: This includes the knowledge and experiences of teachers and
principals. Adequate knowledge and number of teachers are considered significant
to improve the quality of instruction (Newman & King, 2004: Corcoran & Gertz,
1995; Malen & Rice, 2004).
School Physical Resources: Research studies indicate that school buildings
impact the learning of students (Mcgufy, 1982). A study conducted by Uline &
Moran (2007) indicated that “as schools move from poor to fair, average
achievement scores increased” (p. 56). These researchers while sharing the
findings of different studies regarding the relationship of school building/facilities
and students academic scores claim that “building age, climate control, indoor air
quality, lighting, acoustical control, design classifications, and overall impression”
are some of the features of school physical structure that impact students’
achievement (p.g 58).
Another study conducted by Thomas Davis (2009) directs attention towards the
role of school physical facility by claiming “ most teaching take place in school
buildings and qualities of these facilities influences the ability of teachers to teach

65
ANDLEEB SHARIF

and students to learn” (2009, p. 20). It is believed that there is a need to consider
the role of physical facilities as a critical factor as this might limit the success of
education reform (Crampton et al 1995, p.g 634).Ventilation, indoor air quality,
playgrounds, availability of clean water and toilets these variables were used to
analyze the adequacy of schools’ physical facilities in different areas of
Bangladesh.
Instructional resources: The literature on school capacity also indicates the
availability and adequacy of instructional resources as important factors to
ensure effective implementation of reform efforts (Corcoran & Goertz, 1995;
Newman, King, & Youngs, 2001. Corcoran and Goertz (1995) identified class
size, instructional time and the provision of new and improved resources as
critical to facilitate reform efforts. All these indicators were used to evaluate
NPAII.
School leadership was considered as an important instructional resource. This
well trained, strong leadership is critical for building school capacity for
effective implementation of any reform effort (Newman, King & Youngs,
2000).

PRODUCTIVITY DIMENSION

Within this dimension the construct of resource alignment given by Rice and Malen
(2004), was used. This construct can be defined as “the degree of correspondence
between the resources that are available and the resources that are required to
accomplish organizational goals” (Rice & Malen 2004, p.636). For example if reform
efforts have been focused on curriculum development without ensuring the training
of teachers to implement these reforms then there is misalignment and therefore there
are fewer chances for the schools to produced the desired output.

CONNECTING POLICY, SCHOOL CAPACITY AND INSTRUCTIONAL QUALITY

A research study conducted by Newman and King (2001) identified the role of
policy and its impact on school capacity and the quality of instruction. As claimed
by Newman & King (2001) “The quality of instruction and student learning
depend on a variety of human, social, technical and structural resources which
themselves are affected by community context and policies and programs” (p. 87).
For this analysis school capacity was an effective theoretical lens to address the
question on how its interaction with policies such as EFA might restrict or
facilitate schools’ ability to achieve the policy goals (i.e. increased quality for all).
In order to assess quality I used three indicators given in a list of key performance
indicators (KPI) devised by Government of Bangladesh. These indicators are
retention, completion and dropout rate. The analytical framework is presented in
Figure 2.

66
 SCHO
OOL CAPACITY THE NEGLECTE
ED PARADIGM IIN EFA MOVEM
MENT

Figure
F 2. Concep
ptual Frameworrk: EFA and schoool capacity in B
Bangladesh.
Source:: (Newman, King
g & Youngs, 200
00: Rice and Maalen, 2004; Ulinee & Moran(20077);
Goertz
G & Corco
oran, 1995 & Daavis, 2009 ).

67
ANDLEEB SHARIF

METHODS, TECHNIQUES AND MODES OF INQUIRY

The purpose of the analysis of NPA II (2003–2015) was to find out to what extent
the national plan of action has been successful in achieving the targets of access,
retention and standardized quality at the primary level, and to identify the barriers
which might have hindered the achievement of these objectives in order to provide
some policy strategies to improve the policy. The method was evaluative and
intended “to measure the effects of program [policy] against the goals it set out to
accomplish as a mean of contributing to subsequent decision making about the
program [policy] and improving future programming [policy making]”
(Weiss1972,b” p.4). The document data was analyzed using the evaluative
framework of Shavelson et al., (2002) and asked:
Whether the program caused improvements in the outcome or outcomes of
interest (is there a systematic effect?) It also can involve detailed descriptions of
the way the program is implemented in practice and in what contexts (what is
happening?) and the ways that program services influence outcomes (how is it
happening?). (pg 100)
Descriptive analysis (“what is happening”) was used to provide details
regarding trends in enrollment, retention rate, teacher pupil ratios in order to
better understand the existing situation. Also an analytical lens (“is there a
systematic effect”) was used to get insight in order to evaluate how some
practices are facilitating the success and some are hindering the achievement of
EFA goals in Bangladesh and which will further help to identify some
alternatives. Because this policy analysis is based on existing documents no
inferences can be made regarding cause and effect instead, this paper will seek to
make informed recommendations for future rigorous and systematic evaluation
of the EFA policy.
The following design and questions for evaluation research given by Shavelson
et al. (2002) were used to evaluate the NPA II (2003–2015):
• What is happening? (policy/descriptive )
This part explains and describes in detail what the context of the policy is, and
what the current situation of Bangladesh is in term of what the trends in
enrollment, retention, teacher- pupil ratio are in order to get detailed information
for the analysis.
• How is it happening?(practice)
Information and data were gathered about the process of implementation, program
activities, and mechanisms. This part provides us with insights on how policy is
supposed to work.
• What are the effects of policy: (analytical )
Information gathered through the process of “what “ and “ how” provides us with
the details regarding the impacts of policy on desired outcomes, in order to assess
which practices have improved the program and which practices might have
hindered the achieving the success. This helps to suggest alternatives for improving
the policy (see Figure 3).

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 SCHO
OOL CAPACITY THE NEGLECTE
ED PARADIGM IIN EFA MOVEM
MENT

Figure 3. Steps involveed in Evaluating of NPA II (20033–2015). Sourcee: Shavelson, R. JJ.,

Towne, L.,
L & the Committee on Scientificc Principles for EEducation Reseaarch. (Eds.). (20002).

DATA SOU
URCES OR EVID
DENCE

For the analysis of “E Education for All

A National P Plan of Actionn II (2003–2015)”,
secondarry source dataa was used as defined by B Booth et al (2008) as “reseaarch
reports that
t use primarry data to solve research prooblems, writtenn for scholarly and
professioonal audiencess” (p. 69); and documents whhich are definedd as “standardiized
artifacts,, statistics, annnual reports” (Wolff,
( 2000 inn Flick 2006, p. 246) were also
used as evidence
e to suppport the analyysis.
Two types
t of docum ments were useed such as, govvernment docum ments that incllude
researchh studies and su urvey reports issued
i by the G
Government of Bangladesh, and
internatiional documen nts/non govern nment documeents such as rreports issuedd by
UNESCO, UNICEF, World Bank, USAID, and non governm ment organizations.
Availablle data were ev valuated through the criteria of “relevancee” and “reliabillity”
(Booth ete al., 2008, 76)).
The following
f criteeria (Scott, 199
90 in Flick, 20006) were useed in the selecction
and colleection of docum ments:

• Authenticity: The source

s of each document sho uld be authenttic and reliable..
• Credibility: Each document
d should be accurate and free of errrors.
• Mean
ning: Refers too clarity of exprression and easse of compreheension (p. 248)).
Criteria for Analysis of
o Data: The following
f criteeria based on tthe componentts of
school capacity
c weree used for the analysis off the Nationall Plan of Acction
(2003–2015).

69
ANDLEEB
B SHARIF

Tablee 3. Criteria for analysis

a of NPA II (2002–2015).

Newman, King & Youngs,

Source: (N Y 2002: Ricee and Malen, 20044; Uline & Moran((2007); Goertz &
Corcoran, 1995).

The metthod of “docum ment analysis” was used to aanalyze the repports, accordinng to
the criteeria in Table 3, in order to ev
valuate the poolicy and to adddress the reseaarch
questionns. In this methhod, documentts were used aas “a way of ccontextualizingg the
informattion” because the
t documentss were the onlyy source of datta and informaation
(Flick 20 006, p.249).

RESULTS

Physical Infrastructuure
NPA III (2003–2015)) identifies th he needs and importance of school physsical
structuree in terms of adequate
a numbers of classroooms, toilets, annd playgroundss, to
ensure equity in edu ucational oppo ortunities for all students (Governmentt of
Banglad desh, 2000). But
B descriptive analysis of rrecent reports indicates that the
governmment of Banglaadesh has failed to achieve thhe targets of eequitable accesss to
educatioonal opportunitties and the pace of developm ment in this seector has also bbeen
quite slo
ow. According to recent Educcation Watch (22008) report,
The government
g prrimary schoolss had, on an aaverage, 3.8 cllassrooms in 11998
which inncreased to 4.6 in 2008. The non-governme
n ent schools hadd 3.0 classroomms in
1998 and d 3.2 in 2008. No change waas observed in the non-formaal primary schoools,
which were
w always sin ngle room schools (p. 80).
Accorrding to The Annual
A Sector Report (2009) , “the proportiion of schools that
had no toilet in 2005 was
w 8.8% (10.5 5% in governm ment primary scchools (GPS) aand

70
 SCHO
OOL CAPACITY THE NEGLECTE
ED PARADIGM IIN EFA MOVEM
MENT

Figu
ure 4. Proportion
n of school witho
out toilet, 2005–22008 (%). Sourcce: DPE (2009).
Bangladessh primary educaation: Annual seector progress reeport.

Figuree 5. Number of students

s per toileet, 2005–2008. SSource: DPE (20009). Bangladesh
prim
mary education: Annual sector pprogress report.

5.5% in registered non n-government primary

p schoools (RNGPS)). The proportionn of
schools without a toileet fell to 5% by b 2008 (5.6% % in GPS and 33.8% in RNGP PS)”
(p. 40). This study also
a highlights that in Chitttagong and Dhhaka division the
numberss of schools without toilets arre higher (DPE E, 2009).
The same
s performaance report(2009) issued by the governmeent of Bangladdesh
indicatess that there haas been an deccrease in per thhe toilet / studdent ratio, but still
there is a need to accelerate the efforrts to increase the number off toilets, accordding
to study results per toillet student ratio
o is 1:50,whichh is still very hhigh (p. 42).

71
ANDLEEB
B SHARIF

Figurre 6 Schools with

h working and arrsenic free tube wells, 2005–20008. Source: DPE
E
(2009). Banglaadesh primary education:
e Annuaal sector progres
ess report.

Regardin ng the availabiility of safe waater, there has been improveement in accesss, in
the case of Arsenic in drinking waterr, the annual reeport (2009) inndicated that thhere
has beenn decrease from m 14% to 9%, in number of schools havingg arsenic in waater,
even thoough this is still high (p. 44).The followingg graph shows the percentagge of
schools having tube well,
w safe drinking water, andd without arsennic in the wateer. If
we criticcally analyze thhe graph we will
w find that thhe % of schools whose waterr has
not beenn tested in 2008 has increased d, and the % oof school with arsenic water also
seems too have increaseed.
A carreful analysis of the reportss shows that th the Bangladeshh government has
failed to
o achieve the taarget of provid ding standardizzed school faccilities, in termms of
access too safe water, to
oilets, play gro
ounds, well spaaced class room ms; indeed mosst of
the reseaarch studies rev
viewed for thiss paper indicatee that there is iinequality in teerms
of schoo ol infrastructurre across the country.
c Accoording to one w world South A Asia
(2009) report,
r the goveernment still needs
n to establiish the more 30,000 schools and
60,000 new
n class room ms in the existinng schools in oorder to reach tthe deprived arreas.
The samme facts also haave been reveaaled in Daily Sttar newspaper,, which sharedd the
results of
o a recent midterm base lin ne survey of P PEDP II show wing that 40 too 80
children share same claass rooms in 28 82 Upazilas.
In summ analysis of different evalu uation reports clearly indicatte that the pace of
developm ment in this seector is slow annd inequality sstill exists at a large scale accross
the counntry.

QU
UALITY AND QUANTITY
Q OF
F TEACHERS

NPI (19990–200) raised d the challengees of teacher shhortages, and thhe inadequacy and
poor quaality of teacheers’ professionaal training. In response to thhese problemss the

72
 SCHO
OOL CAPACITY THE NEGLECTE
ED PARADIGM IIN EFA MOVEM
MENT

governmment of Banglaadesh decided to raise the quualifications off primary teachhers

to that of
o a bachelor degree, but no n adequate poolicy actions w were suggestedd to
resolve the
t issues of teacher shortag ge, and the impprovement of teachers’ trainning.
On the basis of my y analysis, I found that thhe inadequacyy of professioonal
developmment and the sh
hortage of teacchers still remaain as challengees.
• Studeent teacher ratioo:
In termms of the teaacher studentt ratio variattions are fouund in the ddata;
governm ment reports inndicate that the teacher studdent ratio has bbeen decreased to
1:48, (GGovernment of o Bangladesh h, 2009) but rreports other than governm ment
sources claim that it is still higherr, according too Education W Watch (2008) the
“averagee number of teachers per government pprimary schoool increased fr from
4.4 in 1998 to 5.2 in 2008. No chaange was obse rved in the noon-governmennt or
the non-formal schoo ols” (p.45). Thhe report direects attention toward the w weak
internal efficiency in primary educcation, accordiing to this repport the reduction
in the teeacher- pupil ratio
r is due to the high numbber of studentt dropouts (p. 442).
The teaccher shortage is being reporrted mostly inn inaccessible areas. One off the
major reeasons for thee teacher shorrtage and abseence is low saalary and lackk of
incentivves.

The info
ormation from these reports indicates
i the ggovernment’s innability to adddress
the issuees of teacher shortage and ineffectivenesss of its policyy towards teaccher
recruitm
ment in disadvanntaged areas.
• Teach hers’ training:
NPA 11(2002–2015) identifies the role and impoortance of tea cher training as a
significaant factor for improving
i the quality of eduucation and suuggests enhanccing

Figuree 7. Teachers vieews on status and salary. Sourcee: SIDA (2009). Listening to pooor
peoples’ realities about primary Health and primary edducation: Banglaadesh Reality check
Annuaal report, (P.89)).

73
ANDLEEB
B SHARIF

teachers’ qualificationss and professio onal developm ment in all areass of Bangladessh to
ensure sttandardized qu uality of educattion. But recennt evaluation reeports indicate that
there are variations regarding opportunities
o and duration of professioonal
developm ment according g to type of scchool and geoographical areaas as found byy the
Educatio on Watch (2008) report.
Teach her training varied
v from system
s to sysstem. For insttance, it is a 10
months long course for f the govern nment and nonn-governmentt school teachhers,
but mucch shorter (2/3 3 weeks) for th he non-formal school teacheers. There wass no
obligatio on of training g and thus non provision oof it for the madras teachhers
(p. 35).
This finding
f reflects the weakness of policy to devise a compprehensive plann of
teachers training to en nsure a supplyy of qualified and trained teeachers across the
country.
The slow
s pace of development in terms of tteacher traininng is also anoother
critical factor
f that show ws the failure of policy in im mproving educcation, as repoorted
in Education Watch (2008)( “at the national levell, 62.3% of thhe primary schhool
teachers were trained in 1998 whiich marginallyy increased to 64.7% in 20008”
(p. 41).
Secon ndly, within thhe paradigm off teacher traininng in terms off duration and ttype
such as subject
s -based and methods of o teaching dissparities also eexist. Accordinng to
a reportt issued by th he governmen nt of Bangladeesh (2009), thhere has beenn an
increase in teachers’ professional development,
d in terms of ssubject-based and
cluster training
t but treends towards improving
i classsroom teachinng have decreaased
(p. 50)
Althoough there is an increase of subject-bassed training tthe percentagee of
teachers who do not gain subject based b trainingg is still high,, as found by the
Educatio on Watch (200 08) report “neaarly 40% of thhe female teachhers and 58.5% % of
the malee teachers had no n subject-baseed training” (p .45).

Figuree 8. Proportion of
o teachers who received in servvice training. Souurce: Bangladessh
Primary Education.
E Annu
ual sector perforrmance report 2009.

74
 SCHO
OOL CAPACITY THE NEGLECTE
ED PARADIGM IIN EFA MOVEM
MENT

As far as duration of teachers’

t traininng is concerneed most of the training progrrams
are shortt term, coverin
ng six days or a week, so thee quality of theese opportunitiees is
also maatter of concerrn, according to SIDA (20009), and teachhers seems too be
unsatisfiied with the quality
q of theirr training. Thee SIDA(2008) report, shares the
Governm ment school teeachers’ conceerns, who feeel that “traininng lacks practtical
applicatiion”(pg 78–79)).The same con ncern was sharred by a princippal of rural cenntral
GPS wh ho thinks traaining of C-iin education is irrelevant, and impracttical
(SIDA 2009,
2 p. 86).
Overaall analysis off this componeent of school ccapacity indicaates that althoough
there has been improv vement in termms of teacher trraining and stuudent teacher rratio
the pace of this improvvement is quitee slow. Howeveer, the student-- pupil ratio is still
m slum areas, rural areas and inaccessiible areas. So, there is a neeed to
high in most
address the issue of adequate
a numb bers of qualiffied and traineed teachers onn an
urgent basis to ensure the
t achievemen nt of the EFA ggoal in terms oof quality.

INSTRUCT
TIONAL RESOU
URCES

Corcoran n & Goertz (1995) consideer school time,, class size, aand availabilityy of
teachingg material as paart of instructio
onal resources (p28). Althouggh the Bangladdesh
governmment has sough ht to increasee contact hourrs by establishhing new schoools,
recent reeports indicate that the processs of school coonstruction has been slow, annd as
a result in many schoo ols students stilll get minimumm time for schhooling. Accordding
to the annnual sector performance
p reeport(2009), it was recommeended to raise the
proportioon of single shift
s schools, up to 28%, bbut due to thee slow processs of
construcction only 0.8% % of that targ get was achieeved between 2005 (9.2%) and
2008(10%).

Figure 9.. Share of singlee shift schools, 20

005–2008. Sourc
rce: Bangladesh Primary Educattion.
Annual sector performance
p repport 2009.

75
ANDLEEB SHARIF

The annual sector report (2009) also highlighted the issue of less utilization of time
in schools. According to the report, “while the average timetable in double shift
schools is 3 hours, in practice Grades 1–2 only receive 2 hours of lessons, while
Grades 3–5 receive 3.5 hours of lessons”(p 45).
Lack of schools, shortage of teachers, and teachers’ absenteeism are the
major factors responsible for fewer contact hours for teaching (p. 45). The
Government of Bangladesh takes the responsibility for distributing
instructional kits, teachers’ guide, and supplementary material but assessment
reports indicate that the process of distribution is slow, and there is unequal
access to instructional resources. These reports further indicate the failure of
the government to address the challenges of large classroom size and teachers’
high work load. As, reported by Education Watch (2008), “the teachers under
the survey had to take varied number of classes ranging from zero to twelve,
such variation occurred more in urban schools than in rural schools of all types
except the non-formal schools” (p. 39). In terms of student teacher ratio the
report claims,

Overall, the ratio was found 39:1 in 2008. It reduced from 73:1 in 1998 to
49:1 in 2008 in the government schools and from 55:1 in 1998 to 50:1 in
2008 in the non-government schools. Very small change was noticed in the
non formal schools and the madrasas as well” (Education Watch, 2008,
P. XXXI)

The syntheses of literature from different evaluation reports indicate the slow
progress of Bangladesh in ensuring equitable access to improved instructional
resources.
• School Principal:
The NPA 11(2003–2015), places special emphasis on increasing the qualifications
of head principals. The following figure provides the trends in head teach training.
The figure shows that there has been a decreasing trend in training opportunities
since 2005.

Table 4. Proportion of head teachers who received training, 2005–2008.

2005 2006 2007 2008

GPS School management 37 31 46 37
Teacher support and supervision 31 22 20 21
Community mobilisation and participation 30 22 28 21
RNGPS School management 31 21 31 28
Teacher support and supervision 28 18 25 19
Community mobilisation and participation 27 18 24 19
Source: Bangladesh Primary Education. Annual sector performance report 2009.

The reports explain that the policy does not provide any mechanism and standard
for the principal’s role and responsibilities. Lack of accountability measures for

76
 SCHOOL CAPACITY THE NEGLECTED PARADIGM IN EFA MOVEMENT

head teachers has impacted the functioning of school. Teacher absenteeism,

improper utilization of funds, and negligence toward school instructional
requirements, show the irresponsible attitude of principals. In a study conducted
by SIDA (2008), teachers’ irresponsible behavior has been reported, “Government
teachers lateness is ‘normal’ and they waste a lot time gossiping, smoking, eating,
on their mobile phones and attending to non school business; beatings (stick
across the palm) are common and acceptable for bad behavior but not for things
the child cannot control (such as not doing homework because they do not have
light (p. 45).
Teacher’s absenteeism is one of the most significant factors in defining quality
and the report of Education Watch (2008) notes that the issue of teachers’
absenteeism has been severe since 1998 which indirectly indicates the
government’s inability to address this issue. As the report indicates “No change
was observed in teachers’ absenteeism; it was about 12–13% in both 1998 and
2008 (World Watch, 1998, p 45).Cases of absenteeism and the late arrival of
principals have also been reported in different assessment reports. All this shows
that there is a need to strengthen school management by training of head teachers
and by introducing monitoring systems.

RESOURCE ALIGNMENT

Resource alignment is defined as “the degree of correspondence between the

resources that are available and the resources that are required to accomplish
organizational goals (Malen & Rice, 2004, P.636).
Statistical reports clearly indicate a massive growth in primary education
enrollment since 1990, particularly after implementation of EFA, this trend in
increased growth at the primary level also demands increase in instructional
resources, an adequate physical infrastructure and adequate number of qualified
teaching staff. An analysis of the evaluation reports of NPA II (2003–2015)
however indicates the inability of the government of Bangladesh to devise a
coherent plan of action to reduce the discrepancies between supply and demand in
terms of adequate school capacity to meet the goal of standardized quality of
education for all.
The problems identified above of teacher shortage, lack of instructional
resources, fewer contact hours, lack of classrooms, large class room size, high
teacher-pupil ratio, irresponsibility of head teachers and teachers absenteeism
show the weakness of NPA II(2002–2015) in addressing the issues of adequate
school capacity in terms of resource alignment to facilitate the effective
implementation of EFA. The lack of a coherent approach in designing policy
strategies is another major problem that needs to be addressed. For example,
teacher training during working hours, as indicated by SIDA (2009), has had the
unintended consequence of contributing to teacher absenteeism. According to
SIDA (2009), teacher training impacted the smooth implementation of instruction,
as “other teachers have to cover for those absent teachers in training for the
complete school year” (p. 45).

77
ANDLEEB SHARIF

For the first time Bangladesh introduced public exams at grade 5 in 2008.
Research studies indicate that not enough time was given to teachers to prepare
their students, but that teacher’s recommendations regarding the exam items were
also not welcomed by authorities (SIDA, 2009, p. 80). Schools’ working
conditions for teachers also reflect the inability of policy to ensure resource
alignment, this fact has been revealed in DPE (2009) report, which shared the
concern of a teacher: “We have more than ninety students in grade one which is
much more than the room can accommodate; the back benchers can hardly pay
any attention and become poor performers; these boys and girls drop out in the
long run” (p. 18).
Resource alignment that defines the “ magnitude of productivity” and extent of
success for any program seems to be a neglected part of NPA II (2002–2015), the
above findings direct attention toward the significant role of resource alignment in
achieving the goal of standardized quality of education for all.

INTERRELATIONSHIP OF QUALITY AND SCHOOL CAPACITY

There is no uniform definition of quality of education across the world and the
same is the case in Bangladesh. In order to measure the level of quality in
education the government of Bangladesh set some standards using KPI (key
performance indicators ) and PSQL (primary school quality level) indicators to
monitor the level of quality in education (see Appendix 1 and 2).While these
indicators provide a long list for this chapter the analysis was limited to three
indicators: dropout rate, retention rate, and completion rate. Growing trends in
dropout rates and repetition indicates poor quality of education. A recently
published report by DPE(2009) Bangladesh, shares the results of the school census
information which shows “that the primary education dropout rate in Government
Primary Schools (GPS) and Registered Non-Government Primary Schools
(RNGPS) has increased from 47.2% in 2005 to 50.5% in 2007” ( p Vi).
The figures show that there has been decrease in the number of students who
complete five years of education. Although Bangladesh has achieved increased
enrollments, it has failed to ensure the quality of education, as trends in dropout
rate and repetition rate are not encouraging. Similar facts have also been revealed
by Education Watch (2008), according to which:
The average dropout and repetition rates were respectively 5.6% and 8% in
1998 which became 4.9% and 8.1% in 2000. These rates increased over time
and reached at respectively 11.5% and 10.9% in 2008. The dropout rate
almost doubled during the past 10 years. The overall promotion rate from one
class to another was about 87% during 1998–2000 which decreased to 77.6%
in 2008. The survival rate at class V was estimated as 76.6% in 1998 which
increased to 80.6% in 2000; however, decreased to 58.4% in 2008 (p.g 88).
Most of the studies indicate that poor school physical infrastructure teacher
shortages, and overcrowded classrooms are main reason for high rates of student’s
dropout and repetition rate. As, identified by DPE (2008) report

78
 SCHO
OOL CAPACITY THE NEGLECTE
ED PARADIGM IIN EFA MOVEM
MENT

Figure 10.
1 Percentage of repetition and
d dropout rate (2 005 to 2008). Soource: DPE (20009).
Participatory Evaluatiion: Causes of pprimary Drop ouut.

79
ANDLEEB
B SHARIF

Figure 11
1. Determinants of drop out in reelation to schoo l level factors. SSource: DPE (20009).
Participatory Evaluatiion: Causes of pprimary Drop ouut.

The abo ove indicators reflect the facct that school capacity in teerms of resourrces,
infrastru
ucture, and teaching force afffects the studeent retention nnegatively as ddoes
the availlability of child
d employment.
The need
n to strengtthen different components oof school capaccity has also bbeen
identifieed by teacherrs in a recen nt published report titled “Exploring low
performaance in educattion: The case of Sylhet divission” by Educaation watch 20009–
2010. In response to t the questio on of improvving low quaality and studdent
performaance the teach hers identified the followingg important facctors as criticaal to
improvee quality of edu ucation.

Table 5. Percentagee of teachers by main

m obstacles tto improve qualiity of education
and strata.

Obstaclees to improve Strata (P

(Primary) A
ALL
quality Rural Rural Rurral Rurall Urban
Sylhet Sunamganj Habigigani Moulvibaazar areas
Lack of adequate numbeer 73.1 65.4 844.6 76.9 80.8 76.2
of teacheers
lnadequaate physical 46.2 61.5 466.2 46.2 57.7 51.5
facilitiess in school
Lack of awareness
a of pareents 46.2 30.8 500.0 50.0 34.6 42.3
Mass poverty in a section 26.9 26.9 23 .1 15.4 30.8 24.6
of population
Absenteeeism of studentss 19.2 38.5 7..7 23.1 15.4 20.8
Lack of co-curricular 3.8 7.7 199.2 26.9 15.4 14.6
activitiess
lack of teeaching aids and d 7.7 19.2 3..8 3.8 15.4 10.0
non-attraactive teaching
method
Source: Ed
ducation Watch Ed
ducational instituttion Survev, 2010.

80
 SCHOOL CAPACITY THE NEGLECTED PARADIGM IN EFA MOVEMENT

On the basis of the analysis of NPAII (2003–2015) it can be assumed that NPA II
(2003–2015) has failed to improve school capacity, which in turn has resulted in
poor quality of education in Bangladesh.
The need to develop school capacity to improve the quality of education is
shared widely among different teachers. Table 6 reflects the views of teachers in
the Sylhet District regarding improvement of education.

Table 6. Percentage of primary teachers by the measures that can be taken improve overall
quality of schools and strata.

Measures for improvement Strata All

of nchool Rural Rural Rural Rural Urban
Sylhet Sunamganj Habiganj Moulvibazar areas
Increase number of 69.2 57.7 92.3 76.9 80.9 75.4
teachers in schools
Increase awareness among 42.3 38.5 46.2 57.7 34.6 43.8
the parents through regular
communication with them
Expand physical facilities 42.3 42.3 38.5 23.1 53.8 40.0
in schools
Increase co-curricular 11.5 0.0 11.5 30.8 15.4 13.8
activities in schools
Improve communication 11.5 23.1 11.5 19.2 0.0 13.1
facilities
Free supply of stationeries 15.4 26.9 11.5 7.7 3.8 13.1
to students
Increase teachers 11.5 11.5 11.5 15.4 11.5 12.3
remuneration
Source. Education Watch Educational Institution Survey, 2010.

CONCLUSION

After analyzing the National Plan of action In Bangladesh, I conclude that the
objective of “Education for All” has resulted in increased enrollment, but at the
expense of quality. Bangladesh is one of the South Asian developing countries
which have achieved the targets of increased enrollment with gender parity. But it
has failed to ensure standardized quality for every child. Increased enrollment and
inclusion of disadvantaged groups in education has burdened the schools, which
seem to be incompetent to meet the need of every child especially those from
disadvantaged backgrounds. There is a need to think and reflect upon the EFA
goals, locally and globally, if we want to educate every child and to bring them into
the mainstream of society. There is a need to establish good schools which reflect
the needs of every child regardless of gender, race, ethnicity, or socio economic
class. Schools are the only social institution which serves the purpose of training
and educating the future generations. Overcrowded classrooms, high pupil teacher
ratios, culturally irresponsive teaching, misuse of students’ stipends, and teacher
shortages cannot ensure quality, if the objective of education is to ensure the

81
ANDLEEB SHARIF

participation of every child in order to close the socioeconomic gaps between

different segments of society. There is also a need to define clear objectives and
mechanisms that can ensure equity in access and quality in education. We have to
decide how to achieve good schools which are responsive to the needs of every
child, or thousands of students will be sitting under broken roofs of schools with
little hope of getting a quality education.

POLICY IMPLICATIONS AND ALTERNATIVE MODEL

After an intensive literature review and studying various research reports, I

concluded that NPA II (2003–2015) has been more focused on enrollment rather
than improving school capacity to meet EFA goals. While the policy identifies all
aspects of school capacity, but does not specify the mechanisms needed to
improve them, if the purpose of education is to provide quality education, then
there is a need to revise and reshape school practices, because we need good
schools in order to ensure equity and quality in education for every child
regardless of geographical restriction. My proposed alternative model suggests the
following measures.
• Specify school capacity as target not just ‘enrollment’:
We can say that free but poor quality education makes little difference in children’s
lives. Inequities in schooling are exacerbated by the provision of a poor
curriculum, ineffective pedagogical practices, and poorly appointed schools. There
is a need to build schools, which have the potential to meet the needs of children.
Schools are the “production stage” like a factory they also need manpower,
equipment, resources, and conducive environments (Resnick, et al, 1997). Recent
studies by the Government of Bangladesh and a report issued in newspapers
indicate that teacher shortage, poor quality of education, lack of instructional
resources, and incompetent school leadership, are determinants of the poor quality
of education and high numbers of drop out (DPE, 2009; UNESCO, 2008). These
factors indicate that schools are overwhelmed and incompetent due to lack of
instructional resources, and lack of qualified staff to meet the goals of equity and
quality. Therefore, there is a need to reform schools, in order to ensure equity, and
quality education for all children, which is their basic right. The effects of high
enrollment without building schools has also been identified by Cummings &
Williams (2008) in their book Policy Making for developing countries in which
they indicate that
Increased access has been realized at the expense of educational quality:
student teacher ratio has increased to alarming levels in some systems,
teachers are not trained, and students’ donot have text books, or other
learning materials. The shortage of critical resources has led to what might be
called low mass quality education” (p. 183)
These researchers support the argument that to ensure quality education there is a
need to resolving issues of demand and supply, by providing teachers, school and
instructional resources (p. 65). Based on my analysis, I suggest that there is a need

82
 SCHOOL CAPACITY THE NEGLECTED PARADIGM IN EFA MOVEMENT

to revise existing practices, and efforts should be made to sustain the quality of
education along with increased enrollment. As, indicated by Newman &Youngs
(2000), teachers competencies, school leadership, and availability of technical
resources impact student achievement through quality instruction, thus to resolve
the issue of supply and demand and poor quality of education in developing
countries it is necessary to build schools, develop effective leadership, and provide
instructional resources and qualified teachers (Cumming and Williams, 2008,
p.65). Cumming & Williams (2008), indicate that “in many development and
educational reform efforts, there is little attempt to enforce the critical quality
standards necessary for effective teaching and learning. These include: restricting
class sizes, assuring teachers show up on time, and teaching classes as scheduled,
providing learners with appropriate and sufficient instructional materials (p. 158).

Table 7. Analytical framework for analysis of NPA II (2002–2015) using a capacity

development framework to achieve desired goals.

Context Goals Process: Capacity Development Outcomes

Conditions: Universalization of Indicators of school capacity Equal access
EFA as a global primary education to education
movement Completion of 5 Teachers for all
years of primary Teachers’ qualification. (6–10years)
Bangladesh education Teacher pupil ratio children
Education is the Quality Education Teacher attendance
responsibility of Policy tools as High
The central and inputs: Resource alignment retention
local Free and compulsory Adequacy of teaching staff, rates
governments education and instructional resources
Challenges: Free instructional Training of head teachers High quality
Inequality in tools Provision of adequate school teaching and
access to school Recruitment of physical facilities learning
facilities qualified teachers
Shortage of and head teachers Instructional resources Increased
Teachers Decentralization: Availability of instructional scores in
Teacher Local school resources, achievement
Absenteeism management tests
Pupil drop out New improved School Physical structure
Poor quality of curriculum No and size of classrooms
education Improved school Student population
Teacher/pupil physical Playgrounds
ratio 1:66 infrastructure Access to clean drinking water
Introduction of pupil Adequate number of toilets
assessment
Monitoring, School principals
supervision, and Qualification and training. Criteria
management regarding role, responsibilities and
school performance (enrollment,
retention, student assessment)
Source: (Newman, King & Youngs, 2000: Rice and Malen, 2004; Uline & Moran(2007); Goertz &
Corcoran, 1995).

83
ANDLEEB
B SHARIF

Table 7 shows the an nalytical frameework that I uused for the annalysis of NPA A II
(2002–2015) using a capacity devellopment frameework to achieeve desired gooals.
Figure 12
1 below show ws the alternatiive model I haave developedd and calls forr the
developm ment of a com
mprehensive plaan consideringg “school capaacity” as centraal to
this proccess. The goveernment of Banngladesh needss to devise stanndards for schools
by consiidering all commponent of sch hool capacity analyzed in thhis chapter andd to
implemeent monitoring strategies to ennsure equity annd quality of edducation provision
across th
he country.

Figure 12.
1 Alternative Model.
M Source: The
T figure is adaapted from Resniick, L., Besterfieeld-
sacre, M.,
M. Mehalik, M., Sherer,
S J. Z., & Halverson,
H E., (22007). The data is taken from NPPAII
(2003–2 2015), Bangladeesh.

RE
EFERENCES

Booth, W.C.,
W Colomb, G.G G., Williams, J.MM.(2008). The craaft of research. UUniversity of Chiicago
Press
CAMP E (2010).
( Educationn Watch ( 2009–20 010). Exploring L
Low performance iin education. The case
of Sylh
het dision retrie http://www.campe
h ebd.org/download//EW2009–10FullR ReportEnglish.pdff ved
from
CAMP E (2010). Education n Watch ( 2008–2 2009).State of prim
mary Education inn Bangladesh:progress
mad ch hallenges remaineed. retrieved from m http://www.cam mpebd.org/downlooad/EW2008FullR Report
English
h.pdf
Cummingss, W.K. and Willliams, J.H. Policy y making for eduucation reform in developing counntries.
Policy options and strategies.
Corcoran, T. C., and M. Goeertz. “Instructionaal Capacity and Higgh Performance S
Schools.” Ed researrcher
24, no. 9 (1995): 27–31.

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Church, Robert L. & Sedlak, Michael W. (1976). Education in the United States: An interpretive
History. New York: Free Press
Crampton, F. E., Thompson, D. C., & Hagey, J. M. (2001). Creating and sustaining
school capacity in the twenty-first century: Funding a physical environment conducive to student
learning. Journal of Education Finance, 27,633–652.retrieved from http://www.jstor.org/pss/
20764024
Davis, T (2009).Disparities in school facilities across communities: Scope, cause, and solutions. School
business management 21(1): 21–26
DPE (2009). Participatory Evaluation: Causes of Primary School Drop out.Retrieved
fromhttp://www.dpe.gov.bd/pdf/Drop%20Out%20Report09.pdf
Education for All: National Plan of Action II(2003 – 2015). Retrived from http://planipolis.iiep.
unesco.org/upload/Bangladesh/Bangladesh%20NPA%20EFA.pdf
Government Of Bangladesh(2009). Bangladesh Primary Education. Annual sector performance report.
Retrieved from http://www.mopme.gov.bd/index.php?option=com_docman&task=doc_download&
gid=315&Itemid=236
Government of Bangladesh: Mass and primary Education (2009). Participatory Evaluation: Causes of
Primary School Dropout. Retrieved fromhttp://www.dpe.gov.bd/pdf/Drop%20Out%20Report09.pdf
Huberman, M. (1995). Networks that alter teaching: Conceptualizations, exchanges, and experiments.
Teachers and Teaching: Theory and practice, 1(2), 193–211.
Heyneman, S ( 1984).Research on Education in developing countries. International journal of education
development.4:293–304. retrieved from http://www-new.vanderbilt.edu/peabody/heyneman/
PUBLICATIONS/198403.pdf
Newmann, F.M., King, M.B., & Youngs, P. (2000). Professional development that addresses school
capacity: Lessons from urban elementary schools. American Journal of Education, 108(4),
259–299.Retrieved from http://ed-share.educ.msu.edu/scan/te/pyoungs/TE920_SS10/Newmann_
King_Youngs.pdf
Newman, F., Smith, B., Allens worth, E. & Bryk, A.(2001b). School instructional program coherence:
Benefits and challenges. Chicago, IL: Consortium on Chicago School Research. Retrieved from
http://ccsr.uchicago.edu/publications/p0d02.pdf
Shavelson, R. J., Towne, L., & the Committee on Scientific Principles for Education Research. (Eds.). (2002).
SIDA(2007). Listening to poor peoples’ realities about primary Health and primary education:
Bangladesh Reality check Annual report. Retrieved from http://www.grminternational.com/hiBand/
news/documents/SIDA_Bangladesh_Reality_Check.pdf
SIDA(2007). Listening to poor peoples’ realities about primary Health and primary education:
Bangladesh Reality check Annual report. Retrieved from
http://www.sida.se/Global/Countries%20and%20regions/Asia%20incl.%20Middle%20East/Bangladesh
/SIDA61258en_Reality%20Check%20Bangladesh_%20Web%20.pdf
The Daily Star (2009). “Govt faces big task to get total literacy”. Retrieved from http://www.
thedailystar.net/newDesign/news-details.php?nid=76180
Resnick et (2007). A framework for effective managementof school system performance. In P. A. Moss
(Ed.). Evidence and decision making: The 106th yearbook of the National Society for the Study of
Education (NSSE) (Part I).Malden, MA:Blackwell.
SIDA(2009).Bangladesh reality Check: Listening to Poor People’s Realities about Primary Healthcare
and Primary Education– Year 3.Retrieved from http://www.sida.se/Global/Countries%20and%
20regions/Asia%20incl.%20Middle%20East/Bangladesh/SIDA61258en_Reality%20Check%20Ban
gladesh_%20Web%20.pdf
Unicef (2008).Child labour and education in Bangladesh: Evidence and Policy Recommendations
.retrieved from http://www.ilo.org/wcmsp5/groups/public/–-asia/–-ro-bangkok/–-ilo-dhaka/
documents/publication/wcms_107508.pdf
Uline, Cynthia and Megan Tschannen-Moran ( 2007). The Walls Speak: The Interplay of Quality
Facilities, School Climate, and Student Achievement. The Journal of Educational Administration.
46(1).55–73

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Weiss, C.(1972). Evaluation Research: Methods of Assessing Program Effectiveness Scientific research
in education. Washington, DC: National Academy Press.

ANNOTATED REFERENCES

Ahmed, M., Ahmed, K.S., Khan, N.I. and Ahmed, R. (2007). Access to education in Bangladesh:
country analytic review of primary and secondary education. Dhaka: Consortium for Research on
Educational Access, Transitions & Equity (CREATE). http://eprints.sussex.ac.uk/1870/01/
Bangladesh_CAR_Main_Document.pdf

This report has been prepared by CREATE, a research program which works in collaboration with the
UK Department for International Development (DFID). Objective of this research program is to conduct
research in developing countries and to analyze problems of access in education. The above report is
based on a study that was conducted by CREATE in Bangladesh. This comprehensive report is based on
the issue of educational “access” in Bangladesh, and addresses questions such as how access is defined
and interpreted in different areas. It also discusses how and in what ways increased enrollment has
impacted the quality of education in Bangladesh. The purpose of this review paper is to identify causes
of dropping out, and exclusion at the school level, in order to suggest some practical measures to
improve completion rates. This paper will help me analyze issues of access in different areas of
Bangladesh, to better understand the situation, problems, and disadvantages of the relationship between
quality and increased enrollment, and the role of government interventions; and it will provide detailed
statistical information related to variables pertinent to my study.

Ali, Z. (2006). Do Child Labourers Come from the Poorest? Evidence from NCLS and 64-Village
Census Plus’. PRCPB Working Paper 11. Dhaka: Program for Research on Chronic Poverty in
Bangladesh. Retrieved from http://www.prcpb-bids.org/documents/workingpaper/wp11fulltext.pdf

This report was prepared by the Bangladesh Institute of Development Studies (BIDS), and provides
details regarding the origin of child labor in terms of social class. It also focuses on changing trends in
child labor by comparing national survey reports of child labor for 1995–96 and 2002–2003. Findings
suggest that large segments of child labor come from the “land poor” and the “poorest households”.
This report will help me better understand the problems of child labor in Bangladesh.

Al-Samarrai, S. (2007). Education spending and equity in Bangladesh”. Background Paper for the
World Bank Poverty Assessment. Retrieved from http://siteresources.worldbank.org/
INTBANGLADESH/416523-1188902683421/21520434/07_Education-spending-and-equity-in-
Bangladesh-SamerAl-Samarri-March2007.pdf

This study is part of the World Bank’s project on poverty assessment and has been conducted by Samarrai. By
using “conventional benefit incidence analysis,” the researcher Samarrai analyzed the distribution of
government expenditures in education in year 2005 and concluded that government expenditure is not “pro
poor”. This study will help me analyze problems and issues related to fund allocations and distribution of
resources for the education sector in Bangladesh for different segments of society (urban vs. rural).

Al-Samarrai, S. (2009). The impact of governance on education inequality: evidence from Bangladesh.
Public Administration and Development 29(3): 1–13.Retrieved from http://onlinelibrary.wiley.com
/doi/10.1002/pad.529/pdf
This study highlights issues related to governance such as unequal distribution of resources, weak
management and poor budgeting, and the lack of accountability, due to which government has not
succeeded in achieving the target of educating the poor and disadvantaged. For me it is a good source
for understanding problems related to issues of governance in Bangladesh.
Baulch, Bob (2010). The Medium-Term Impact of the Primary Education Stipend in Rural Bangladesh:
International Food Policy Research Institution Discussion Paper 00976.Retrieved from
http://www.chronicpoverty.org/uploads/publication_files/baulch.pdf

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 SCHOOL CAPACITY THE NEGLECTED PARADIGM IN EFA MOVEMENT

This study investigated the impact of the primary education stipend program from 2000–2006 in rural
Bangladesh at both the individual level and the household level in terms of primary school enrollment,
expenditure and ‘protein consumption’. Results of this study indicate that the impact of PES is not very
encouraging due to “limited covering” and “lack of geographical targeting” of this program.

Bangladesh Country Report (2006). Review of child labour, education and poverty Agenda. Retrieved
from http://www.iccle.org/images/bangladesh-report.pdf
This report, prepared by “Global March against Child Labour” is based on assessment of the ongoing
programs, policy and projects to analyze the situation of child labor in Bangladesh in order to identify
gaps between policy and implemented programs and to inform future policy and programs to resolve the
problem of child labor, which is a barrier to achievement of EFA goals in terms of primary enrollment
and adult literacy.
Booth, W.C., Colomb, G.G., Williams, J.M. (2008). The craft of research. University of Chicago
Press.
This book has five sections and can be considered as a rich source of information for novice researchers.
It guides the novice from the first step of the research process, which is “selection and identification of
the problem,” to the stage of “planning and drafting of research proposal”. This book provides clear and
comprehendible guidelines related to the formulation of definite research problems and selection of
relevant data by using different sources, using evidentiary warrant to make a logical argument, drafting
a proposal, and referencing with APA and MLA styles.
Chaudhury, N., Hammer, J., Kremer, M., Mularidharan, K.,Rogers, H.( 2004). Roll Call Teacher
Absence in Bangladesh. World Bank, Washington, DC.Retrieved from http://siteresources.
worldbank.org/DEC/Resources/36721_Absenteeism.Bangladesh.Teachers.June.2004.pdf
This report discusses reasons for teacher absenteeism in Bangladesh at the primary and secondary level,
and its impact on student test scores. It concludes that teachers’ absenteeism affects students’
performance at the primary level. This source will help me analyze policy in relation to the quality of
education at the primary level because the teacher is the key indicator for quality.
Education for All: National Plan of Action II(2003 – 2015). Retrived from http://planipolis.iiep.
unesco.org/upload/Bangladesh/Bangladesh%20NPA%20EFA.pdf
This document, issued by the government of Bangladesh, provides details regarding the objectives of
National plan of Action -II, desired targets, policy actions, and a framework for the implementation of
policy to achieve the goals of EFA.
Flick, Uwe. (2006). Using Documents as Data. An Introduction to Qualitative Research. London: Sage
Publications.
Using Documents as Data is the 19th chapter of the book “Introduction to Qualitative Research”. It
draws on features of documents, criteria for their selection, and “practicalities of using documents”.
Khanam, R (2006). Child Labor in Bangladesh: Trends, Patterns and Policy Options. Asian
Profile, 34(6). 593–608.Retrieved from http://mpra.ub.uni-muenchen.de/8008/1/MPRA_paper_
8008.pdf
This study provides information regarding trends of child labor in Bangladesh and sheds light on
government initiatives to address the issue of child labor, and it suggests some policy implications to
decrease the ratio of child labor.

Ministry of primary and mass education Bangladesh. Outlining NPA (2003–2015): Vision of basic and
primary education by 2015.Retrieved from http://www.mopme.gov.bd/
This is the official website of the government of Bangladesh for primary and mass education, and it
provides detailed information regarding ongoing projects, implemented programs, and details of
educational policies for primary and mass education.

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ANDLEEB SHARIF

Malen, B., & Rice, J. K. (2004). A framework for assessing the impact of education reforms onschool
capacity: Insights from studies of high-stakes accountability initiatives. Educational Policy, 18(5),
631–660
Newmann, F.M., King, M.B., & Youngs, P. (2000). Professional development that addresses school
capacity: Lessons from urban elementary schools. American Journal of Education, 108(4), 259–
299.Retrieved from http://ed-share.educ.msu.edu/scan/te/pyoungs/TE920_SS10/Newmann_King_
Youngs.pdf
This is two a year study and was conducted in nine urban elementary schools in USA. The study
indicated the variation in schools’ practices of professional development in relation to school capacity.
External factors and school initiatives both affect the practices of Professional development. It was
found that “comprehensive professional development” is strongly related to school leadership and “
initial school capacity” and less related to external policies and factors.

Raynor, Janet, Wesson, Kate (2006). The Girls’ Stipend Program in Bangladesh. Journal of Education
for International Development 2:2. Retrieved from http://www.equip123.net/JEID/articles/
3/Bangladesh.pdf
This paper provides details regarding the effectiveness of The Girls’ Stipend program in Bangladesh for
achieving the target of gender parity and female enrollment in primary schools.
RTM International (2009). Participatory Evaluation: Causes of Primary School Drop out.Retrieved
from http://www.dpe.gov.bd/pdf/Drop%20Out%20Report09.pdf
This is very comprehensive study, which has been conducted by RTM international in collaboration
with Directorate of Primary Education and UNICEF, Bangladesh. Purpose f study was to find out
the root cause of the drop out and provide suggestions to overcome this problem by taking school
community’s’ views in this regard. The results of study reveal that problem of drop out are
common in remote, poor and rural areas. Poverty is one of the major reasons for drop out.
Tariquzzaman, Sheikh & Naomi Hossain (2009). The Boys Left Behind: Where Public Policy has failed
to Prevent Child Labour in Bangladesh. IDS Bulletin, Vol. 40, No. 1, pp. 31–37. Retrieved from
http://onlinelibrary.wiley.com/doi/10.1111/j.1759-5436.2009.00005.x/pdf
This study directs attention towards the inadequacy of policies to reduce the amount of child labor
which is a big hurdle in achieving increased enrollments and completion rates. According to the article
the policies which have been successful in achieving gender parity have failed to reduce boys’ exclusion
from schools. There is a need to pay attention to sanctions of child labor. Child labor is one of the key
variable for my analysis, so for me this is an informative and reliable source to assess trends in child
labor in Bangladesh.
The World Bank (2009). Education At a Glance: Bangladesh. Retrieved from http://siteresources.
worldbank.org/EXTEDSTATS/Resources/3232763-1171296190619/3445877-1172014191219/BGD.pdf
This web source, created by the World Bank, provides detailed education statistics of Bangladesh. It
will help me analyze the existing situation of education in Bangladesh in terms of progress in
education, fund allocations, literacy rate, trends in enrollment, retention, gender parity, teacher-pupil
ratios, etc.

The World Bank (2009).Bangladesh at a glance. Retrieved from http://devdata.worldbank.

org/AAG/bgd_aag.pdf
This web page was created by the World Bank and provides authentic demographic information on
Bangladesh. It will be a great source to understand the contextual situation of Bangladesh in terms of
economy, overall population, distribution of population (urban vs. rural), etc.
Transparency International Bangladesh (2008). Administration and Management of Primary Education:
Problems and the Way Out. Retrieved from http://www.ti-bangladesh.org/research/PrimEducation-
ExecSum_English.pdf

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This report has been provided by TIB, which is an organization working with schools and local
authorities in Bangladesh to improve school practices at the local level. This is a diagnostic study
to identify issues related to administration and management which are hindering the goal of quality
of education at the primary level. This study draws on the problems related to teacher shortages,
teacher retention, corruption at the management level, and improper and unequal funding. On the
basis of its findings, this study concludes with recommendations to overcome these problems. For
me it is a good source to get “an insider” perspective related to issues of governance in Bangladesh
at the local level.
UNESCO (2009). EFA Global Monitoring Report: Overcoming inequality. Why governance matters.
Retrieved from http://unesdoc.unesco.org/images/0017/001776/177683e.pdf
This report, prepared by UNESCO, draws on the issue of “equity” and the role of governance to ensure
equitable distribution of resources to bring the disadvantaged and poor into the main stream. The
monitoring report suggests a need for reforms in present practices of governance and proposes devising
a “pro-poor” policy to achieve the goals of EFA by 2015.
UNESCO (2000): Education for All Goals. Retrieved from http://www.unesco.org/en/efa/efa-goals/
This web page, created by UNESCO, provides background details of EFA goals. It also elaborates
the goals in terms of their scope, implementation, and the role of government and other world
organization for the achievement of EFA goals.

UNESCO (2010). EFA Global Monitoring Report: Reaching the marginalized. Retrieved from
http://www.unesco.org/en/efareport/reports/2010-marginalization/

This global report indicates that at least “72 million children” are deprived of their right to education
due to family socio-economic status. Millions of students leave education without completion. The
purpose of this paper is to direct the attention of countries to help the poor and to introduce the system
of “inclusive education” to bring the marginalized into the mainstream.

USAID Bangladesh: Current conditions Education. Retrieved from http://www.usaid.gov/bd/

programs/education.html

This web page was created by the World Bank as a country profile for Bangladesh; it provides detailed
demographic information and educational statistics.

World Bank. (2008). Education for all in Bangladesh: Where does Bangladesh stand in achieving the
EFA goal by 2015? Bangladesh Development Series 24. Washington, D.C.: World Bank. Retrieved
from http://siteresources.worldbank.org/INTBANGLADESH/Resources/education24.pdf

This report, prepared by the World Bank, provides detailed information regarding the existing situation
of education in Bangladesh in terms of primary education enrollment, retention, gender parity, adult
literacy, and the quality of education. The purpose of this report is to assess ongoing plans and programs
in Bangladesh, and to find out the weaknesses and hurdles which can affect the achievement of EFA
goals in Bangladesh. Factors related to financing, quality, and the progress of ongoing programs has
been analyzed. This study suggests recommendations related to financing education, good governance,
and the quality of education to fill the gap between the desired objectives of the EFA policy and its
plans and projects in Bangladesh.

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APPENDIX 1
Primary school quality levels (PSQL) indicators

Following are supposed to be achieved by 2010

1. Increasing the number of children admitted in schools.
2. Increasing the number of children with special needs admitted in school.
3. Reduce the number of pupils per class to 40.
4. Reduce the pupil-teacher ratio in schools to 46:1.
5. Built 30,000 new classrooms all over the country
6. Ensure properly constructed classrooms with durable materials: sufficient size of at least
26’ x 19” well-lighted: properly ventilated: and accessible by physically disabled students.
7. Ensure that the classrooms are furnished to suit the age and size of the children: haw a
chaltboan size ^i^; and have secure storage,
8. Ensure that schools have proper hygienic separate latrines for girls and boys and accessible
by physically disabled
9. Ensure that schools have a potable water supply for both male and female staff and students.
10. Ensure that schools provide and promote ideals of good health and hygiene for all students.
11. Ensure 900 contact hours per annum for the students of each grade.
12. Make sure that the students receive textbooks from the first day of each academic year.
13. Ensure textbooks for all subjects for each of the students.
14. Ensure supply of teaching aids: supplementary books and learning materials to each school.
15. Provide basic minimum mining {Certificate-in-Education or E-in-Ed) to all teachers.
16. Allocate one trained teacher to each class’section.
17. Provide various in service training to all the teachers.
18. Provide all necessary materials to each of the teachers. The matenals may include teacher
editioi textbooks, teacher guides, and basic package of teaching aids and equipment.
19. Provide following training to the head teachers: school management; teacher support and
supervisi and community mobilization and participation.
20. SMC receives regular training to undertake its specified functions and meet the needs of the
school community.

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APPENDIX 2
List of Key performance indicators (KPI)

Following are supposed to be achieved by 2010

1. Public expenditure oa education increased at least to 2.8% of gross natioail product (GNP).
2. Per student public expenditure at primary level increased to 10% of GNP.
3. Ensure 47-4£% of total public expenditure on education for primary education.
4. Gross intake ratio (GIR) increased to 103%.
5. Net intake rate (SIR) increased to 90%.
6. Gross enrolment ratio (GER.) increased at 107%.
7. Net enrolment rate (NEK) increased at 88%.
8. Decrease of pupil-teacher ratio to 1:46.
9. Number of schools operating a single shift system increased ro 50% and ensure 900 hours per
year for all classes.
10. Proportion teachers with professional training (C-in-Ed) increased to 95%.
11. Teacher absenteeism without leave reduced to 10%.
12. Teacher attendance on time increased to 90%.
13. Repetition rates in all classes less than 20%.
14. Survival rate to Grade 5 (percentage of the pupil cohort reaching and completing Grade 5)
32%.
15. Coefficient of efficiency (ideal number of pupil years needed for a cohort to complete the
primary cycle, expressed as a percentage of the actual number of pupil-years) 116° a. or a
cycle time of 5.8 years.
16. Percentage of pupils having readied at least Grade 4 of primary’ schooling and who master a
set of nationally defined learning competencies 50%.
17. The number of disabled children out of school reduced by 30%.
18. Student absenteeism reduced to 20%. with no discrepancy between boys and girls.
19. Education achievement of girls improved to at least the same level as boys.
20. The number of pupils achieving acceptable levels of literacy and numeracy (as measured by
National Assessment instruments) increased by 50%.
21. The proportiou of Class 5 students entering for the Primary Education Scholarship
Examination increased to 50%.
22. The proportion of Class 5 students achieving the Primary Education Scholarship Examination
pass level increased ro 60%.
23. The transition rate from Class 5 to Class 6 increased to 40%. with gender parity7.
24. The number of students achieving a defined level of competency based learning achievement
to reach 65%.

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NAI-CHENG KUO

Achieving Education for All –Together

A Comparative Study On Inclusive Education Policies In The United States
And In Taiwan

“Human rights are not brought into existence by treaties or laws, but through
the efforts of ordinary people to correct the injustices they experience or see
in the world around them. This means making sensitivity to human rights–our
own and others’.”
– Daisaku Ikeda, 2011
Education for All (EFA) is a global movement led by the United Nations
Educational, Scientific and Cultural Organization (UNESCO). The goals of EFA
are to provide education to all people, including children, youth, and adults.
However, although the opportunity of receiving education is increasing, we need to
be cautious if people receive education in discriminatory environments. Susan
Peters (2004) suggested that we should promote not only education for all, but also
education for all together. That is, an inclusive learning environment. Inclusive
education has been recognized as a strategy to reach the EFA goals in the Dakar
Framework for Action (Peters, 2004). Through this comparative study of inclusive
education in the United States and in Taiwan, we can learn how different countries
are taking action to deal with similar educational challenges. Three research
questions are addressed in this paper: (a) what are the historical and theoretical
backgrounds underlying the policies of inclusive education in the U.S. and in
Taiwan; (b) what are the practices that fulfill the requirements of the policies of
inclusive education in these two countries; and (c) what are the challenges for
policy-makers in inclusive education in these two countries? Recommendations for
achieving the EFA goals in the U.S. and in Taiwan are provided.
Education for All (EFA) is a global movement led by the United Nations
Educational Scientific and Cultural Organization (UNESCO). Although the goals
of EFA are to provide education to all people from children, youth, to adults, some
people may receive education in discriminatory environments, such as special
schools, resource rooms, or self-contained classes. Inclusive education should be
emphasized while we are reaching the goals of EFA. According to UNESCO

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 93–116.
© 2012 Sense Publishers. All rights reserved.
NAI-CHENG KUO

(2010), inclusive education is “based on the right of all learners to a quality

education that meets basic learning needs and enriches lives. Focusing particularly
on vulnerable and marginalized groups, it seeks to develop the full potential of
every individual.” The Dakar Framework for Action adopted by the World
Education Forum has clearly identified that inclusive education is a key strategy
for realizing education for all (Peters, 2004).
The philosophy of inclusive education is that when children can learn together
in school, it is more likely that they can work better with diverse people in society
(Council for Exceptional Children, 2005). In order to prepare students to grow in
an environment that resembles the real world, schools should not separate students
with disabilities from mainstream education. Armstrong (2003) recognized that the
role of schools is not only to deliver knowledge, but also help all students cultivate
character throughout their schooling years.
In addition to providing education for all people regardless of their abilities,
inclusive education encourages people to make a conscious movement from
education for all to education for all together (Peters, 2004). The Salamanca
Statement and Framework for Action on Special Needs Education states:
Schools should accommodate all children regardless of their physical,
intellectual, social, emotional, linguistic or other conditions. This should
include disabled and gifted children, street and working children, children
from remote or nomadic populations, children from linguistic, ethnic or
cultural minorities and children from other disadvantaged or marginalized
areas or groups. (UNESCO, 2010)
From a policy perspective, “inclusive education means taking a holistic approach
to education reform and thus changing the way the educational system tackles
exclusion” (UNESCO, 2010). In the Policy Guidelines on Inclusion in Education
developed by UNESCO in 2009, inclusive education involves changes and
modifications in “content, approaches, structures and strategies, with a common
vision that covers all children of the appropriate age range and a conviction that it
is the responsibility of the regular system to educate all children” (p. 9). The
justifications for inclusive education are educational, social, and economic
(UNESCO, 2010). Inclusive education can raise people’s awareness that educating
students with special needs is not a separate responsibility, but a shared
responsibility between general and special education. Research shows that
educating students with special needs in inclusive education is less costly than
grouping students through a series of eligible examining processes (Peters, 2004).
This chapter focuses on the policies of inclusive education in the U.S. and in
Taiwan. According to Wu (2007), the first inclusive education movement in
Taiwan can be traced back to the support from UNESCO in 1967, which was the
first time that many visually impaired students were able to learn in mainstream
education. In the years following 1967, Taiwan has continued to develop its own
laws and policies to promote the movement of inclusive education. This chapter
will compare U.S. and Taiwan’s policies on inclusive education to think critically
about the implications of these differences. Three questions are addressed in this

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paper: (a) What are the historical and theoretical underpinnings of inclusive
education in these two countries? (b)What are the practices that fulfill the
requirements of the policies of inclusive education in the U.S. and in Taiwan? (c)
What are the challenges for policy-makers in inclusive education in these two
countries?

PERSPECTIVES AND FRAMEWORKS

The impetus to inclusive education is different in the U.S. than it is in Taiwan. The
policy of inclusive education in the U.S. is mainly affected by civil rights
movements, while the policy of inclusive education in Taiwan is influenced by the
trends in U.S. education (Liu, 2004). Additional influences in Taiwan include
global movements in special education. In the following sections, the development
of inclusive education in the U.S. and in Taiwan is summarized.

In the U.S.
According to Brownell, Sindelar, Kiely, and Danielson (2010), the first teacher
education program in special education in the U.S. was directed by some
pioneering clinicians such as Seguin, Gallaudet, and Itard. A series of public laws
focused on preparing high-quality teachers in special education began in the 1960s
and 1970s. The categorical orientation to disabilities dominated special education
until the 1970s, and then shifted to the non-categorical approach in the 1980s. That
is, a special education teacher should know more than one type of disability as well
as co-morbidity. By the late 1990s and early 2000s when the No Child Left Behind
Act (NCLB) and the Individuals with Disabilities Education Act (IDEA) addressed
issues about the rights of education for people with special needs, inclusive
education started to draw more attention from educators and policymakers. Lian
(2005) traced the historical development of inclusive education in the U.S. and
provided a summary as follows:
The original special education programs and related services in the United
States were mostly brought in by pioneer practitioners who acquired early-
year experiences in Europe, based on which a number of self-contained
special education schools were established mainly in the east coast…Ten to
20 years later, there were the first three states that passed a law to provide
public education to students with mental retardation: New Jersey in 1911,
New York in 1917, and Massachusetts 1920...Since then, there had been
increasing number of programs for pupils who had sensory, physical, mental
and multiple impairments—mainly in isolated residential or self-contained
school or classroom settings…This created a dual system of co-existing but
separated general and special education programs and services…which had
been challenged since the early 1990s. (Lian, 2005, pp. 1–2)
Since the early 1900s, there have been many court cases and decisions regarding the
education of students with special needs in general schools. Table 1 shows the

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NAI-CHENG KUO

landmark court cases between 1919 and 1972, and Table 2 shows the court decisions
since the late 1980. Lipsky and Gartner argued that the court decisions since the late
1980s especially help to clarify the intent of legislation for inclusive education.

Table 1. Landmark court cases and decisions in inclusive education in U.S. (1919–1972).

• Beatti vs. Board of Education of the City of Antigo (1919):

The court ruled that the right of a school-age child to attend public school should not
be insisted if his appearance is “harmful” to the best interest of the school.
• State vs. Christ (1936):
The court ruled that a child with polio had to stay in a special school because
his ability did not meet the learning standards set for all pupils in the ordinary school.
• State Board of Education vs. Petty (1950):
The court decided that a deaf child should attend the special school, because of his
physical defects and need to receive “a different format of instruction.”
• The Brown vs. Board of Education (1954):
The federal court ruled that, if the state provided educational opportunities to some
school-aged children, it should provide the same opportunities to all students, based
on the equal opportunity mandate of the U.S. Constitution.
• Department of Public Welfare vs. Haas (1958):
The judge started a court law, that only those with “capacity to learn” got to receive
mainstream school education–general education schools had no responsibility to
provide learning opportunities to students with disabilities.
• Hobson vs. Hansen (1967):
The court ruled that the tracking system in school was unconstitutional and should be
prohibited.
• The PARC vs. the Commonwealth of Pennsylvania (1971):
The court ruled that children with mental retardation had a right to public education.
• Mills vs. Board of Education (1972):
The court continued to protect the rights of children with mental retardation plus all
other disabilities for enrolling in general education schools.
Note: Adapted from “Backgrounds and Efforts in Enhancing Inclusive Education in Hong Kong,
Taiwan, and the United States” by Ming-Gon John Lian, 2008, paper presented at International
Conference on Inclusive Education: Innovations in Inclusive School Development, p. 92.

These representative cases and decisions show that many parents of children with
disabilities had appealed over the years to have their children learn in general
schools, while many schools at that time tended to reject students with special
needs. In most cases, because schools could not present persuasive evidence to
prove that educating children with special needs would bring any obvious loss to
the schools or to other students in general education, the courts rejected the idea of
segregating students with disabilities from public schools. The decisions were: (a)
regardless of the degree of the disability, schools must consider the placement for
all students with special needs in general education; (b) in addition to placement
schools must provide appropriate instruction; (c) schools should provide necessary
supports and supplementary aids; and (d) the standard for denying students with
special needs should be avoided (Lipsky & Gartner, 1997).

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 ACHIEVING EDUCATION FOR ALL –TOGETHER

Table 2. The court decisions in inclusive education in U.S. (since the late 1980s).

• Daniel R.R. v. Board of Education (1989):

This involved a child with mental retardation. The first step in determining the
appropriate placement for a child, the court stated, is to “examine whether the state
[i.e., the local school district] has taken the steps to accommodate the handicapped
child in regular education.” The next step, the court held, is to determine whether the
child with a disability will benefit from this modified general education program.
Finally, the court stated that school districts may examine the effect of the presence of
a child with a disability on other children; the standards for this examination were
narrowly drawn.
• Greer v. Rome City School District (1991):
This involved a kindergarten student with severe cognitive disabilities whose parents
sought an inclusive placement for her despite the school district’s refusal. The court
stated, “Before the school district may conclude that a handicapped child should be
educated outside the regular classroom, it must consider whether supplemental aids
and services would permit satisfactory education in the regular classroom.” The
school district may consider the cost of such services, the court held; however, mere
incremental additional costs are not a sufficient basis to deny the child placement in
the general education class. Only when such costs “would significantly impact upon
the education of other children in the district” may such a placement be denied the
child with a disability.
• Oberti v. Board of Education (1993):
This involved an 8-year-old boy with Down syndrome whose parents wanted him
placed in a general classroom despite the school district’s refusal. The court stressed
that many of the special education techniques used in separate classes can be
successfully imported into a general classroom and that the general classroom
teacher could be trained to apply these techniques. It also pointed to the “reciprocal
benefits of inclusion to the nondisabled students in the class.” This was the first time
that a court at the appellate level had focused on the benefits to students without
disabilities.
• Sacramento City Unified School District v. Rachel H. (1994):
This involved an 8-year-old girl with mental retardation requiring limited supports
whose parents wanted her placed in a general education classroom despite the school
district’s refusal. It held that the school district had failed to meet its burden of
showing that the special education class was at least equal or superior to the general
class in providing academic benefit. In terms of cost, the court held that the district
failed to present any persuasive or credible evidence that educating Rachel in a
general classroom with appropriate services would be significantly more expensive
than educating her in a separate class.
Note: Adapted from “Inclusion and school reform: Transforming America’s classrooms” by D. K.
Lipsky, and A. Gartner, 1997, Baltimore, MD: Brooks, pp. 85–88.

Federal legislation shows the U.S. government’s commitment to eliminate

discrimination against persons with special needs in schools and communities.
Table 3 shows the legislation and laws that have had significant influences on the
development of inclusive education policy in the U.S.

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NAI-CHENG KUO

Table 3. Landmark legislation of inclusive education in the U.S.

• The American National Standards Institute Act of 1973, which mandated that
accommodations should be made, i.e., ramps, elevators, wide doorways,
accessible bathrooms, and Braille letters for persons with physical and/or visual
impairments.
• P.L. 93–112, the 1973 Amendments to the Vocational Rehabilitation Act, which
included Section 501, to assure employment of persons with disabilities;
Sec. 502, to remove architectural and transportation barriers; Sec. 503, to
mandate affirmative action, including private business to receive USD$2,500 or
more in federal fund if it searched out and employed persons with disabilities;
and Sec. 504, to protect persons with disabilities from being discriminated in, or
excluded from, any program receiving federal funds. The law also assured right
to rehabilitation programs and services, including free, appropriate, public
education in the least restrictive environment for 3 to 21-year-old children with
disabilities.
• P.L. 93–380, the 1974 Amendments to the Elementary and Secondary Education Act,
which mandated to include students with disabilities in school education and
protected their right through due process hearings.
• P.L. 93–644, the 1974 Amendments to the Head Start Legislation, which required
that at least 10% of enrollment in the early childhood Head Start program be reserved
for preschoolers with disabilities.
• P.L. 94–142, the Education for All Handicapped Children Act of 1975, which
continued to mandate free, appropriate, public education for children with disabilities,
aged 3 to 21, with nondiscriminatory assessment and IEP to be implemented in the
LRE, due process, parent involvement, and periodic evaluation.
• P.L. 101–336, the Americans with Disabilities Act (ADA) of 1990, which provided
operational definitions of physical, mental, emotional/behavioral, and learning
disabilities, including AIDS, and protected the 43 million persons with such disabling
conditions in the U.S. from education-, employment-, and other public services-
oriented discriminations.
• P.L. 101–476, the Individuals with Disabilities Education Act of 1990, which gave
amendments to P.L. 94–142 to revise the title of the law from the “Education of All
Handicapped Children Act” to the “IDEA” and added autism and traumatic brain
injury as two new categories of disabling conditions, and rehabilitation counseling
and social work services to the list of related services.
• P.L. 105–17, the Reauthorization of IDEA of 1997, which continued to protect
disabled students’ right to education in the LRE, and made it more clearly defined as
the neighborhood school programs a learner with disabilities, would attend as if
he/she were not disabled.
• The No Child Left Behind (NCLB) Act of 2001, which included all learners with
special needs as well as other disadvantaged conditions for them to have appropriate
and supported educational programs and related services.
Note: Adapted from “Backgrounds and Efforts in Enhancing Inclusive Education in Hong
Kong, Taiwan, and the United States” by Ming-Gon John Lian, 2008, paper presented at
International Conference on Inclusive Education: Innovations in Inclusive School Development,
p. 93–94.

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In recent years, NCLB and IDEA play crucial roles in removing the barriers that
separate students who have special needs from general education, and thus the two
laws are often cited in inclusive education. In NCLB, all students in grade three
through grade twelve should take reading and math assessments to determine their
progress and achievement. For students whose first language is not English,
language instruction should be given before they receive assessments. By the end
of the 2013–2014 school years, schools should demonstrate that all of their
students are making appropriate progress, called adequate yearly progress (AYP).
In addition, all students must be taught by highly qualified teachers (Friend, 2008).
In IDEA, schools must ensure that they provide students with special needs
appropriate education and prepare them for further education or employment.
Schools must protect the rights of students with special needs and parents of such
students. Schools must assist educational service agencies, localities, states, and
federal agencies to provide early intervention services for students with disabilities,
and monitor their progress (LD Online, 2010).

IN TAIWAN

The Special Education Act in Taiwan was first signed into law in 1984 and two
amendments to this law were completed in 1997 and 2001 respectively (Ministry
of Education in Taiwan, 2011). Although Taiwan’s special education has a history
of over 100 years, the idea of inclusive education gained more attention from
educators and researchers only about fifteen years ago (Wu, 2007). Comparing the
amendment of Special Education Act of 2001 in Taiwan with the IDEA in the U.S.,
there are several similarities in the two Acts, such as inclusive learning
environments, IEPs, the least restrictive environments, earlier intervention,
multiple assessments, and supportive systems for parents and schools of children
with special needs. However, the IDEA of 2004 provides public services for
children with disabilities from birth until the age of twenty-one, while the
amendment of the Special Education Act of 2001 in Taiwan provides public
education for preschool children with disabilities mainly from three years old to
their compulsory education age (K-12). Table 4 summarizes related inclusive
education legislation in the Enforcement Rules to the Act of Special Education.
In summary as per the legislation stated in the Enforcement Rules to the Act of
Special Education, inclusive education in Taiwan involves the following key
issues: (a) special needs children should be educated together with non-disabled
peers especially in preschool education stage; (b) schools should develop
comprehensive individualized education program plans for students with special
needs; (c) schools should develop assessments for gifted students with disabilities
or social-economic disadvantages; (d) professional teamwork is needed to
accommodate the needs of students with disabilities; and (e) schools should
develop transition plans that cover from preschool to elementary school, from
elementary school to junior high school, from junior high school to senior and
vocational high school, as well as from senior and vocational high school to higher
education or employment.

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Table 4. The Enforcement Rules to the Act of Special Education in Taiwan.

Article 7: In principle, special needs children shall be educated together with non-disabled
peers during the phase of preschool education.
Article 13: Students attending special education may, in accordance with Article 13 of the
Act, be placed in special education classes of regular schools. Teachers of these
classes shall gain professional knowledge concerning special education through
attending training sessions and shall be provided with consultation services
offered by special education teachers or professionals specializing in special
education or related fields.
Article 14: Schools shall develop individualized education program for individual gifted
student based on the student’s needs.
Article 15: Schools shall assist gifted students in transferring to regular classes or regular
school should the need arise and hand over the student’s profile to the school or
class concerned for the purpose of follow-up counseling.
Article 18: The “individualized education program” described in Article 27 of the Act refers
to special education or other related programs developed through professional
teamwork to accommodate the needs of individual special needs student. The
program shall cover the following areas:
• The student’s ability concerning cognition, communication, mobility, emotion,
and interpersonal relations, as well as sensory functions, physical health, self-
help behaviors, and performances in subjects like Chinese and mathematics
• The student’s family background
• The impact of disabilities on the student’s academic performance and
general adjustment in regular classes
• Ideal means of assessment for the student
• Strategies of management and administrative support as the student’s
learning is halted by his or her behavioral problems
• Annual goals and instructive objectives
• Special education and related professional services needed by the student
• Activities and amount of time per day the student participates in regular
schools/classes
• Date and criteria concerning the assessment of whether the student has
achieved annual goals and instructive objectives
• Assistances in transitions from preschool to elementary school, from
elementary school to junior high school, from junior high school to senior
(vocational) high school, as well as from senior (vocational) high school
to college/university
Article 19: The individualized education program described in the previous article shall be
developed by the school within one month after the semester begins and shall
be subjected to review and conducted at least once per semester.
Article 20: Education programs developed for gifted students with disabilities and/or
social-economic disadvantages as described in Article 29, Paragraph 2 of the
Act shall maintain the maximum flexibility, consist of least restriction on the
number of participants, and can be jointly carried out by more than one school.
Schools shall develop education programs for gifted students with
disabilities and/or social-economic disadvantages and offer necessary support
based on the students’ physical and mental conditions.
Source: Ministry of Education in Taiwan, 2011, http://www.edu.tw/.

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More practical attempts to implement inclusive education in Taiwan are

summarized by Wu (2007) and provided in Table 5. This summary shows that the
support from the Taiwanese government and university professors play important
roles in the promotion of inclusive education in Taiwan.

Table 5. The development of inclusive education in Taiwan.

• 1967: A mainstreamed program for the visually impaired was initiated under the
sponsorship of UNESCO. To date, most of the students who are visually impaired are
integrated into the regular classes with itinerary services; only a few are educated in
special schools.
• 1975: A resource room-based mainstreamed program was initiated for students with
hearing impairments, and soon it was expanded to those with physical handicaps,
learning disabilities, speech disorders, and emotional disorders.
• 1980s: The inclusive movement was introduced. The integrated programs for students
with mental retardation, autism, and multiple handicaps started to develop and the
term inclusive education was designated.
• 1989: Five preschoolers with disabilities were integrated with eleven normal
preschoolers in a class together in a pilot project initiated by professor Shwu-Mey Wu
at the affiliated experimental elementary school of National Xinchu Teachers College
(now the National Hsin-chu University of Education).
• 1992: Professor Wu formally set up inclusive classes in 1992. The experimental
program was extended to the primary school level in 1994 in Pei-men Primary School.
• 1996: The Ministry of Education, after evaluating the experimental inclusive program,
approved it as an inclusive class program to be extended year by year.
• 2000: S. M. Wu established the first junior high school inclusive program at Yu-sian
Junior High School in Xinchu.
• 2002: To promote inclusive education, the Inclusive Education Newsletter, edited by S.
M. Wu, has been published since 2002.
• 2004: S. M. Wu established the Fulung Inclusive Education Foundation with the hope
that the foundation would promote inclusive schooling in Taiwan.
Note: Adapted from “Inclusive education in Taiwan” by W. T. Wu, 2007, Chinese Education & Society,
40 (4), pp. 87–88.

The literature above shows that the U.S. and Taiwanese governments put
significant effort in the promotion of inclusive education. The language in their
laws has a powerful influence on the rapid growth of inclusive education. In
addition, university professors who took the initiative in organizing inclusive
programs also contributed to realize the goals of inclusive education.

METHODS AND DATA SOURCES

The framework for my analysis is adapted from Resnick, Besterfield-sacre,

Mehalik, Sherer, and Halverson’s (2007) A framework for effective management of
school system performance (See Figure 1). I first reviewed the evidence from the
government databases in the U.S. and in Taiwan to see what inputs regarding
inclusive education policies are invested in the two countries. Second,

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NG KUO

I summaarized the evideence to understtand how the U U.S. and Taiwaanese governm ments
proceed as planned froom their inputs. I then review wed evidence too evaluate how w the
policies of inclusive education in thee two countriees reached the EFA goals. Iff the
outcomees showed that their policies did not meet tthe expected ggoals of EFA, it is
importannt to explore whether
w any corrrective actionss had been unddertaken or willl be
undertakken from the crross-national leevel, national llevel, district llevel, school leevel,
and the classroom level. The criteriaa for this anallysis include (aa) input: are thhere
sufficien
nt inputs for im
mplementing thet policies; (bb) process: do the policies sstate
how to implement
i incllusive educatio
on; and (c) outtcome: have thhe policies reacched
their exp
pected outcomees? If not, any corrective
c actioons?

Feedback on
Actual Resultts

Figure 1. Analytical
A Frameework.

Adapted frrom “A Frameworrk for Effective Maanagement of Schoool System Perforrmance” by L. Ressnick,
M. Bessterfield-sacre, M. Mehalik, J. Z. Sheerer, and E. Halveerson, 2007, Yearbbook of the Nationaal
Society for the Studyy of Education, 1066 (1), 155–185.

THE INPUT
T-PROCESS-OU
UTCOME-CONT
TEXT FRAMEW
WORK

To effecctively examinee the research-p policy-practice interface of innclusive educattion,

Peters (22004) argued that
t there is a need to look “at the micro--level (schools and
commun nities), at the meso-level
m (eduucational systeems and externnal agency suppport
services)), and at the maccro-level (natio
onal/internationaal policy and naational legislatioon)”
(p. 8). Peters (2004) alsso argued that the input of innclusive educatiion policy incluudes
school faactors, student characteristics,, and family annd community characteristics;; the

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 ACHIEVING EDUCATION FO
OR ALL –TOGET
THER

process of inclusive education

e policcy includes scchool climate, and teaching and
learning. The outcomee of inclusive policy includees achievemennt, attainment, and
standardss. These three categories are affected
a by commplex contextuual factors. Peteers’s
(2004) frramework of inpput-process-outtcome-context iis shown in Figgure 2.

Figuree 2. An input-pro
ocess-outcome-coontext frameworrk.

Adapted from “Inclusive Education: An EF

FA Strategy for Alll Children” by S. P
Peters, 2004, Worrld
Bank, p. 14.

Peters’s (2004) four-p part frameworrk is used fo r input, proceess, and outcoome
analysess, and contextu
ual factors are used for undeerstanding the challenges off the
policies of inclusive education
e in th
he U.S. and Taaiwan. In termms of input, Peeters
(2004) argued that inputs to inclusive educaation should include multtiple
dimensioons, such as th
he demand for students with special needs, motivation too go
to schoools, the characteristics of stu
udents with sp ecial needs, teeacher attitudees in

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NAI-CHENG KUO

classrooms, conditions of teachers’ work, retention and drop-out rates, etc. In terms
of process, it is important to note that the process of inclusive education is not
simply an in-school or whole-school action, but involves collaboration with the
community (Peters, 2004). In terms of outcomes of inclusive education, inclusive
education programs “are beginning to place more emphasis on continuous
evaluations as inputs (e.g., assessments of needs and feasibility studies), process
(both formative and summative evaluations of the implementation activities) and
outcomes/impacts of inclusive education (IE) programs” (Peters, 2004, p. 21). Like
Resnick et al.’s framework for effective management of school system
performance, Peters’ framework shows that the policy analysis of inclusive
education is a cyclical and unceasing process of educational evolution, and
therefore is not linear.

RESULTS

The summary and analyses of the collected data from input, process, output, and
contextual factors of inclusive education in the U.S. and in Taiwan are presented
below.

IN THE U.S.

Although each state has its own policy of inclusive education, all states still need to
align their policies with federal laws, such as NCLB and IDEA. In terms of input,
IDEA has established six main principles that govern the education for students with
special needs: 1) zero reject, including discipline for equal treatment, no cessation,
special circumstances, short-term removals, manifestation determinations, response
to no manifestation, response to manifestation, services in interim alternative
educational settings, and weapon, drugs, and injury; 2) nondiscriminatory evaluation
requirement, including screening, pre-referral, referral, and nondiscriminatory
evaluation; 3) appropriate education, including an Individualized Education
Program (IEP) for students from ages 3 through 21, and Individualized Family
Services Plan (IFSP) for student from birth through age 2; 4) least restrictive
environment, including a presumption in favor of inclusion, access to general
education curriculum, setting aside the presumption, the continuum of services, and
extracurricular and nonacademic inclusion; 5) procedural due process; and 6)
parent-student participation (Turnbull, Turnbull, & Wehmeyer, 2007, pp. 11–18).
There are also six main principles in NCLB. They include: 1) accountability for
results, a rule to enhance student academic outcomes; 2) school safety, a rule to
keep schools safe and drug-free; 3) parental choice, a rule to provide options to
parents to transfer their children; 4) teacher quality, a rule to improve teacher
credentials; 5) scientifically based methods of teaching, a rule to increase the
delivery of research-based instruction; and 6) local flexibility, a rule to increase
local decision making (Turnbull et al., 2007, p. 27). The principles of NCLB and
IDEA cover many components discussed in Peters’ (2004) framework. To put
these inputs into the process, UNESCO (2009) provided a process of developing
inclusive education systems, which is shown in Figure 3.

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OR ALL –TOGET
THER

Figure 3. Gu
uidelines for the implementation of Inclusive Eduucation.
Adapted
A from “Dev
veloping Inclusive Education System
ms” by UNESCO, 22009, n, p. 15.

Figure 3 shows that th

he process of im
mplementing iinclusive educaation goes beyyond
in-schoo
ol or whole-sschool prograams. As it sttates in this policy guideeline
documen nt, “looking at
a education thhrough an incllusive lens imp
mplies a shift ffrom
seeing th
he child as the problem to seeing the eduucation system
m as the problem”

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NAI-CHENG KUO

(p. 14). Therefore, it is the entire education system which has the full
responsibility for protecting the right of education for students with special needs
(UNESCO, 2009).
In terms of outcomes, this paper evaluated the aspects of achievement,
attainment, and standards proposed by Peters (2004) and the aspects of the EFA
goals, including early childhood care and education, primary education, learning
and life skills, gender, and quality of education included in the policy statements
in both countries the U.S. and Taiwan. The U.S. Human Development Index
(HDI) serves as an indicator for the outcome analysis. The 2010 HDI was released
in a Human Development Report in November 2010. This whole list of the HDI
covers 169 UN member states. Table 6 shows the HDI for the U.S. The categories
include expected years of schooling, gender inequality index, life expectancy at
birth, mean years of schooling, population with at least secondary education
(female/male ratio), and the adult literacy rate. The adult literacy rate was not
available in 2010. However, the U.S. Central Intelligence Agency’s World Fact
book had a report in 2006 that the United States had a 99% literacy rate based on
census data.
While complying with accountability mandates has become an urgent need,
available data is still the most underdeveloped part in the input-process-outcome-
context framework (Peters, 2004). The underdeveloped areas include the outcomes
about good citizenship, personal development, diplomas and qualification,
preparation for adult life, official and school-level learning objectives, and impact
on family and community. Furthermore, many studies about the outcomes of
inclusive education are related to explore teachers’ attitude toward inclusive
education (e.g., Scruggs & Mastropieri, 1996) or to evaluate the effectiveness of
inclusive education based on student achievement (e.g., Daniel & King, 1997). The
majority of the research regarding the achievement of students with special needs
used single-subject methods or case studies, and thus large-scale quantitative
studies are still needed in order to obtain more precise data about the outcomes of
inclusive education.

Table 6. The U.S. human development index.

Expected Years of schooling (of children) (years) 15.7

Gender Inequality Index (updated) 0.457
Life expectancy at birth (years) 79.6
Mean years of schooling (of adults) (years) 12.4
Population with at least secondary education,
1.009
female/male ratio (Ratio of female to male rates)
Adult literacy rate (both sexes) (% aged 15 and above) Data not available
Note: Adapted from Human development reports (2010).

Contextual factors, such as political stability and fiscal policies (Peters, 2004),
are challenging to the success of inclusive education. Taking Michigan for an
example, the state made significant progress from a high rate of using separated
schools to becoming one of the leading states for inclusive education in the early

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1990s, only to drop to the bottom one-third of states for inclusive placements in
the 2000s (Smith, 2010). Smith argued that “leadership change at the department
[of education] and within the various education associations brought in new
priorities, and the direct funding of technical assistance to schools as well as the
focus on policy and practice supports disappeared” (p. 110). Additional
challenges of inclusive education policy include attitudinal change, inclusive
curricula, teachers and learning environments, and supportive resources
(UNESCO, 2009).

IN TAIWAN

The U.S. education trends have significant influence on Taiwan’s educational

systems, especially inclusive education. According to the IEA’s Trends in
International Mathematics and Science Study (TIMSS) in 2003 and the Program in
International Student Assessment (PISA) in 2006, Taiwan has some of the highest
academic performance in the world. With the ongoing development of general
education at all school levels, the Taiwanese government has also been putting
efforts to protect the rights to education for students with special needs in general
schools.
In terms of inputs, Wu (2007) argued that to align with the amendments of the
Special Education Act in 1997 and 2001, supportive strategies, such as the least
restrictive environment, downsizing inclusive classes, free transportation services,
appropriate services for examination, professional teamwork, teaching aids and
related services, parental involvement, and due process are urgent in Taiwan. Wu
(2007) provided detailed information about these strategies and their linkage with
the legislations as follows.

1. “Least restrictive environment: Placement of disabled students in appropriate

schools shall be carried out with the premises of satisfying the students’ learning
requirements and placing students in the least restrictive environment. Local
government agencies in charge of education administration shall conduct annual
reassessment of the appropriateness of placement. (Article 13)
2. Downsizing inclusive classes: Adequate placement and counseling services shall
be offered to disabled students attending regular classes at schools…In order to
enable teachers of regular classes to tend to the needs of both disabled students
and other students, regular classes consisting of a disabled student shall be
downsized. (Article 14)
3. Free transportation services: All levels of government agency shall offer free
transportation services to disabled students who have difficulties commuting to
and from school while attending compulsory education. Transportation
subsidies may be offered instead should there be great difficulty in offering free
transportation services. (Article 19)
4. Appropriate services for examination: All levels of school divisions in charge of
examination administration shall offer disabled examinees appropriate services
depending on the type and degree of handicap. (Article 21)

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5. Professional teamwork: Diagnosis and instruction concerning education for the

disabled shall be conducted by professionals through teamwork. Professionals
specializing in fields like medical treatment, education, social welfare, and
career counseling shall be assembled to offer advice concerning learning, daily
life activities, and career transition to disabled citizens. (Article 22)
6. Teaching aids and related services: Special education schools/classes and
regular schools/classes shall offer disabled students essential teaching aids and
related services such as barrier-free learning environments, resource rooms,
recording and reading services, reminders, sign language translation, frequency
modulation (FM) hearing aids, note-taking, computers for the blind, visual field
expanders, magnifying glasses, materials written in Braille, assistance in daily
life activities, rehabilitation treatment, family counseling, and parent counseling
based on the students’ needs. (Article 24)
7. Parental involvement: At least one member of the school-parent association
shall be the parent of a special needs student (Article 26). All levels of school
shall design an individualized education program for each disabled student and
invite the student’s parents to participate in program design and education
placement. (Article 27)
8. Due process: In order to ensure the right to education for students with special
needs, an official channel shall be established to address any complaint
concerning special education. (Article 31)”
(Wu, 2007, 84–85)

Compared with the six principles of both NCLB and IDEA, the inputs and process
to inclusive education in Taiwan mostly overlapped with these principles.
However, religious and cultural issues are not emphasized in Taiwan’s special
education laws probably because Taiwan is not as multi-dimensional as it is in the
U.S. in regards to the diversity of races, culture, and religions. In addition, there is
still limited evidence emerging from the evaluations of staff morale and
commitment in Taiwan’s inclusive education.
In terms of process, the Taiwanese government plays an important role in the
promotion of inclusive education. According to Lian (2005), the main strategy that the
Taiwanese government used was to work together with frontline practitioners. By
doing so, the government could better understand teachers’ needs, and further provide
them with workshops, training programs, and services regarding inclusive education. In
addition, special education scholars’ contribution in initiating and leading inclusive
education is also important to the promotion of inclusive education in Taiwan.
Nowadays, each city and county in Taiwan has its own policies for educating students
with special needs (Liu, 2004). On top of this, two policy statements announced by the
Ministry of Education are also influential: “1) New teachers must take a three-credit
introductory special education course, and 2) special education related subjects/courses
shall be incorporated into the in-service education programs” (Wu, 2007, p. 85).
According to Education in Taiwan (2006), the Ministry of Education in Taiwan
has been putting efforts into the reform of its legislation, administration, and
educational institutions to help students with special needs. These efforts include:

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1) preparing the annual budget in accordance with the special education law;
2) satisfying the educational needs of the physically and mentally challenged children
from the age of 3 to 5; 3) carrying out the 12-year special education placement for
students with special needs; 4) assisting the physically and mentally challenged
students to get into higher education; 5) providing financial assistance, including
scholarships (NT$2,000 ~ NT$40,000), especially for the physically and mentally
challenged students; and 6) assisting the physically and mentally challenged students
to study abroad (Education in Taiwan, 2006, p. 33). Additional efforts of Taiwan’s
government were summarized by Lian (2005), which shown as follows:
The ministry of Education proposed and tried to help carry out the policies
and strategies of sound administrative measures: flexible schooling system—
realizing lifelong learning; balancing teacher supply and demand—upgrading
quality of personnel; improving assessment and evaluation; flexible
curriculum; priority on technical and vocational skills; special physical
education for physical and mental health; parent-teacher collaboration;
strengthening support system; and special education networking. While at the
same time, the frontline workers engaged their efforts of classroom
arrangements…; individualized educational planning (IEP) and effective
instructional strategies…; environmental arrangement…; supporting services,
…; assistive technology…; flexible assessment and evaluation system;
parental involvement; administrative support; and the necessary staff. (Lian,
M-G. J., 2005, Inclusive education for students with learning difficulties in
Hong Kong, Taiwan, and the United States, p. 18–19).
Unlike the U.S., full inclusion in Taiwan has not been accepted by all people,
including special education teachers (Wu, 2007). The principles of placement for
students with special needs are mainly determined by the students’ degree of
disability. In general, students with a mildly to moderately disability can be placed
in general schools. Depending on their degree of disabilities, these students will be
placed in regular classes, resource rooms, or special rooms, respectively. However,
students with severe and profound disabilities will generally not be placed in
general schools. Most of them are placed in self-contained classes, special schools,
or home schools (Wu, 2007).
In terms of outcomes, because Taiwan has not become one of the member countries
in the United Nations (UN), data about Human Development Index (HDI) in Taiwan
has not been documented by the UNESCO. However, the Taiwanese government
calculated its HDI based on the national standards proposed by the UNESCO. In the
Taiwanese government’s report, its HDI is 2007 was 0.943 based on the following
data: life expectancy of 78.4 years, adult literacy rate of 97.6%, combined gross
enrollment rate of 101.9%, and GDP per capita of US$30,352 (Ministry of Education in
Taiwan, 2011). Furthermore, like the situation in the U.S., large-scale empirical studies
about the outcomes of inclusive education in Taiwan are currently limited.
Contextual factors, such as systematic knowledge transfer (Peters, 2004),
are challenging to many general education teachers, for example according to
Wu “dealing with the serious disruptive behaviors in the inclusive class

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(EBD students), is obviously a great challenge to not only classroom teachers but
school administration as well” (Wu, 2007, p. 90). In short, general education
teachers still need more opportunities to learn how to teach students with special
needs in the general education classroom.

CONCLUSION

The analysis presented in this chapter shows that both the U.S. and Taiwan have
national laws to promote inclusive education. In the U.S., NCLB and IDEA are
often cited in inclusive education policy documents and research papers. In
Taiwan, Special Education Act, Amendments of Special Education Act, and the
Enforcement Rules to the Act of Special Education all include regulation about the
rights of education for students with special needs in general education. In
addition, it is found that civil rights movements and court decisions have profound
influences on NCLB and IDEA in the U.S., and many of the principles of NCLB
and IDEA have been adopted in special education laws in Taiwan. Moreover, the
U.S. has a nationwide policy, such as the Policy Guidelines on Inclusion in
Education published by UNESCO, while Taiwan has not had a nationwide agency
responsible for the promotion of inclusive education (Liu, 2004). Like the situation
in the U.S., local governments in Taiwan have written, stated, and enacted
inclusive education policies based on local needs. However, the U.S. government
has released reports about the cost-effectiveness of their inclusive education, while
the data of cost-effectiveness of inclusive education is not available yet in the
Taiwanese government’s database.
In terms of the practices that fulfill the requirements of inclusive education
policies, the findings of this paper demonstrate that the U.S. and the Taiwanese
governments shared similar concepts of inputs, such as least restrictive
environments, appropriate education and services, nondiscriminatory evaluation,
parent involvement, individualized education programs (IEPs), technology
assistance, teamwork and collaboration, and teacher quality. However, probably
because full inclusion for students with severe disabilities has not been
implemented in Taiwan, the concept of “zero rejection” in the U.S. has not been
fully addressed in policy documents of inclusive education in Taiwan.
It is important to note that research in the U.S. shows that the number of
students with moderate to severe disabilities is increasing in general education
classrooms. Although large-scale quantitative data about full inclusion is still
limited in the U.S., many qualitative studies have proved the successful outcomes
of having students with moderate to severe disabilities in general education
classrooms, which may serve as a reference for Taiwan’s inclusive education in the
future. As Lipsky and Gartner (1997) stated:
While there is little quantitative data of statistical significance to support full
inclusion, there are clear patterns among the research that indicate improved
outcomes as a result of integrated placements. These improved outcomes are
even more noticeable in the qualitative data that exists in human services
research. (Lipsky & Gartner, 1997, p. 785).

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Furthermore, due to differences in culture, both scientifically-based methods of

teaching and diversity issues are not fully addressed in the special education laws
in Taiwan. In Taiwan, effective strategies are emphasized, but its laws do not
explicitly state whether or not the strategies should be scientifically research-based.
In addition, the diversity issues in Taiwan, such as race, language, and religion, are
not as complex as that in the U.S. Therefore, some concerns in NCLB and IDEA
are not frequently discussed in inclusive education policies in Taiwan.
Regarding the achievement of EFA goals (i.e., early childhood care and
education, primary education, learning and life skills, gender, and quality of
education), the U.S. Central Intelligence Agency’s World Fact book reported in
2006 that the United States had a 99% literacy rate based on census data. The
Taiwanese government reported that they had adult literacy rate of 97.6% in 2007
(Ministry of Education in Taiwan). Both the U.S and Taiwan had policies and
reports about their early childhood care and education, primary education, learning
and life skills, gender, and quality of education. In terms of gender, both U.S. and
Taiwan have laws to promote gender equity. For example, Taiwan has the Gender
Equity Education Act and the U.S. has gender equity legislation as well.
In terms of the challenges for policy-makers in inclusive education, there is still
much to be done in both the U.S. and Taiwan, such as policies for stable fiscal
allotment and funding, and supportive resources to improve the condition of
teachers’ work. In Taiwan, a responsible agency that can advocate, organize, and
synthesize the policies for inclusive education is urgently needed. In addition, Wu
(2007) argued that teacher’s confidence and capability, curriculum adaptation, peer
acceptance, and supportive resources are some of the challenging factors that
hinder the implementation of inclusive education in Taiwan.

ALTERNATIVES AND FUTURE STUDIES

Alternatives refer to “policy options, alternative courses of action, or alternative

strategies of intervention to solve or mitigate the problem” (Bardach, 2000, p. 12).
In order to achieve the EFA goals in the U.S and Taiwan by 2015, the alternatives
of inclusive education policies are constructed based on the findings of this
chapter. First, early interventions are important to children with special needs.
Taiwan education policy should include programs for the most vulnerable and
disadvantaged children in early childhood care from birth instead of from age
three. Second, due to the diverse culture in the U.S., the U.S. government should
have policies that ensure the progress of primary education for all children,
particularly girls, children in difficult circumstances and those belonging to ethnic
minorities. Third, simply providing the access to learning and life-skills programs
is not sufficient. Both the U.S. and Taiwanese governments should have criteria in
their policies for evaluating student achievement and the effectiveness of these
programs. Fourth, adult literacy can only represent part of adult education but not
all aspects. For example, adult literacy cannot demonstrate quality of good
citizenship, personal development, positive attitude towards learning, self-
determination and advocacy, self-esteem, diplomas, qualification, school

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NAI-CHENG KUO

objectives, impact on family and community, and supportive government policy,

which are listed in Peters’ (2004) input-process-outcome-context framework.
Therefore, the policy should make clear the expected links between adult literacy
and quality of education for all adults in the U.S. and Taiwan. Fifth, the U.S. and
Taiwanese governments should have comprehensive and clear policies in place to
ensure the access to and accountability of primary and secondary education
programs. Finally, to improve all aspects of the quality of education and ensuring
excellence of all, the U.S. and Taiwanese governments should match their
evaluation criteria and framework to the objectives of the EFA goals. For example,
the adult numeracy ability is in one of the EFA goals, while it has not been fully
addressed in the U.S. and Taiwanese government databases.
In sum, based on the historical background of inclusive education, it is found
that landmark court decisions have reinforced the development of inclusive
education laws and policies in the U.S. The education trends in the U.S. and the
growing global movements for inclusive education have also stimulated the growth
of inclusive education in Taiwan since the 1900s. Although the theoretical
background of inclusive education policy in Taiwan adopted many principles in
NCLB and IDEA, Taiwan and the U.S. have different measures to implement
inclusive education policies. While many challenges remain, the positive impact of
inclusive education policy shows that the move towards inclusion is a key to reach
the EFA goals. For policy makers in the U.S. and Taiwan, more systematic
monitoring progress towards EFA goals and developing effective policies that
align with their national laws are needed. For general and special education
teachers, understanding inclusive education policies, receiving training in inclusive
education and having a strong commitment to the EFA goals are believed to be
significant contributors of high teaching efficacy and educational equity. For
researchers, continuing to engage in scientifically research-based data with
rigorous methods will provide a starting point, reflection and reference to policy-
makers and educators. Overall, the U.S. and Taiwan have made important progress
in educating students with special needs in general education since the 1900s. With
more evidence-based inclusive education policies, and more efforts to learn from
each other’s experiences in education, the two countries may be able to reach the
EFA goals in the near future.

LIMITATIONS OF THIS STUDY

The purpose of this study was to compare the policies of inclusive education in the
U.S. and Taiwan in order to understand their similarities, differences, and
challenges. Given limited time for conducting the study, this study has generated a
detailed profile of the historical and theoretical backgrounds of the policies, and
further explored the inputs, process, outcomes, and contextual factors of the
policies. However, the evidence here presented is limited. More literature review is
needed as well as more research studies are required to provide more concrete
ideas for the coordination of inclusive education policies at the national and cross-
national levels.

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REFERENCES

Armstrong, F. (2003). Spaced out: Policy, difference and the challenge of inclusive education.
Dordrecht, Netherlands: Kluwer.
Bardach, E. (2000). A practical guide to policy analysis: The eightfold path to more effective problem
solving. Chatham House Publishers.
Brownell, M. T., Sindelar, P. T., Kiely, M. T., & Danielson, L. C. (2010). Special education teacher
quality and preparation: Exposing foundations, constructing a new model. Exceptional Children, 76
(3), 357–377.
Council for Exceptional Children (2005). Children that learn together, learn to live together. CEC
Annual Convention and Expo, Baltimore, MD, April 6–9.
Daniel, L. & King, D. (1997). Impact of inclusion education on academic achievement, student behaviour
and self-esteem, and parental attitudes. The Journal of Educational Research, 91(2), 67–81.
Education in Taiwan (2006). Special education. Retrieved December 12, 2010, from
http://english.moe.gov.tw/public/Attachment/692014342771.pdf
Friend, M. (2008). Special Education: Contemporary Perspectives for School Professionals.
Massachusetts: Pearson Education.
Human development reports (2010). Human Development Report 2010 —20th Anniversary Edition.
Retrieved from http://hdr.undp.org/en/reports/global/hdr2010/
Ikeda, D. (2011). Toward a world of dignity for all: Daisaku Ikeda’s peace proposal for 2011. SGI
Quarterly. Retrieved from http://www.sgiquarterly.org/proposal2011Apr-1.html
LD Online (2010). Main features of NCLB. Retrieved December 12, 2010, from
http://www.ldonline.org/index.php
Lian, M-G. J. (2005). Inclusive education for students with learning difficulties in Hong Kong, Taiwan,
and the United States. Proceedings of International Conference of the China-UK Gansu Basic
Education Project (GBEP), Lanzhou, Gansu, China.
Lian, M-G. J. (2008). Backgrounds and efforts in enhancing inclusive education in Hong Kong, Taiwan,
and the United States. Paper presented at International Conference on Inclusive Education:
“Innovations in Inclusive School Development,” Center for Special Needs and Studies in Inclusive
Education, Hong Kong Institute of Education, Tai Po, New Territories, Hong Kong. Retrieved
October 12, 2010, from: http://202.198.141.77/upload/soft/0-article/+0001/2CPP13.pdf
Liu, B.W. (2004). A comparative study on the policies of inclusive education between Taiwan and
U.S.A. Master thesis. Department of Comparative Education at National Chi Nan University
(Taiwan).
Lipsky, D.K., & Gartner, A. (1997). Inclusion and school reform: Transforming America’s classrooms.
Baltimore, MD: Brooks.
Ministry of Education in Taiwan (2011). Introduction of special education. Retrieved December 12,
2010, from http://english.moe.gov.tw/ct.asp?xItem=11631&ctNode=508&mp=1
Ministry of Education in Taiwan (2011). The enforcement rules to the act of special education in
Taiwan. Retrieved December 12, 2010, from http://www.edu.tw/
Peters, S. J. (2004). Inclusive education: An ERA strategy for all children. Washington DC, World Bank.
Resnick, L., Besterfield-sacre, M., Mehalik, M., Sherer, J. Z., & Halverson, E. (2007). A framework for
effective management of school system performance. Yearbook of the National Society for the
Study of Education, 106 (1), 155–185.
Scruggs, T. E., & Mastropieri, M. A. (1996). Teacher perceptions of mainstreaming/inclusion,
1958–1995: A research synthesis. Exceptional Children, 63(1), 59–74.
Smith, P. (2010). Whatever happened to inclusion?: The place of students with intellectual disabilities
in education. New York: Peter Lang.
Turnbull, H.R., Turnbull, A., & Wehmeyer, M. (2007). Exceptional lives: Special education in today’s
schools (5th ed.). Englewood Cliffs, NJ: Merrill/Prentice Hall.
United Nations Educational, Scientific and Cultural Organization (UNESCO) (2009). Policy guidelines
on inclusion in education. Retrieved September 21, 2010, from: http://www.eldis.org/insights

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United Nations Educational, Scientific and Cultural Organization (UNESCO) (2010).

http://www.unesco.org/new/en/unesco/
Wu, W. T. (2007). Inclusive education in Taiwan. Chinese Education & Society, 40 (4), 76–96.

ANNOTATED BIBLIOGRAPHY

Armstrong, F. (2003). Spaced out: Policy, difference and the challenge of inclusive education.
Dordrecht, Netherlands: Kluwer.
The author uses the lens of space, place, and production to research the practices and process of policy
making in inclusive education. The theoretical framework of inclusive education is developed based on
the lens. An Overview of methodology of policy analyses is presented.
Individuals with Disabilities Education Act (IDEA) (2004). Washington, DC: U.S. Department of
Education. Retrieved from http://www2.ed.gov/policy/speced/guid/idea/idea2004.html
The Individuals with Disabilities Education Act (IDEA) is a United States federal law that requires states
to provide early intervention, equal education and services to children with disabilities. Under the law of
IDEA, the federal government provides States with standardized instruction protocols and funding to help
schools better educate students with special needs. IDEA has been reauthorized and amended a number of
times. The most recent is in December of 2004. IDEA has a significant influence on inclusive education
in the United States and all over the world.
Lian, M-G. J. (2005). Inclusive education for students with learning difficulties in Hong Kong, Taiwan,
and the United States. Proceedings of International Conference of the China-UK Gansu Basic
Education Project (GBEP), Lanzhou, Gansu, China.

Lian’s journey in Hong Kong, Taiwan, and the United States inspires him to explore the historical
backgrounds and conceptualization development of inclusive education across regions. Through the
cross-culture lens, Lian described the differences of the historical developments and contemporary
effective approaches for successful inclusion of learners with special education needs (SEN). He further
provided related movements and events in the three regions that have led and will continue to lead
today’s accomplishments of inclusive education.

Taiwan’s Ministry of Education (Special Education) (2011). Retrieved from http://english.

moe.gov.tw

On this website, Taiwan’s Ministry of Education provides detailed information about its history of
special education from the foundation stage (before 1962), the experimentation stage (1962–1983), the
legislation stage (1984–1996), the development stage (1997–2007), to the refinement stage (2008-
present). Moreover, in response to the policy of a 12-year national education and 5-year plan for the
development of special education, a variety of support measures are made available to help students
with special needs in Taiwan.
This website also provides detailed information about the current schools, classes, students, services,
and resources of special education in Taiwan. An analysis shows that the number of schools, classes,
students, services, and resources of special education are growing each year in Taiwan.
Furthermore, key measures for special education in Taiwan are outlined on this website. These
measures include the special education act, preschool stages, barrier-free educational environments,
professional services, rewards and financial assistance, 12-year national education, multiple
admission options, educational program for the gifted, curricula and teachers for disabled students,
social resources, E-administration of special education, and visitation and evaluation. The goals of
Taiwan’s special education are to provide high-quality instruction and services for students with
special needs.
Finally, in the government’s database, this website includes the summary of Taiwan’s education at
all levels, student enrollment in tertiary-by programs, and teaching training programs between 2000
and 2010, which can serve as a good indicator for knowing the development of special education in
Taiwan.

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Peters, S. J. (2004). Inclusive education: An ERA strategy for all children. Washington DC, World Bank.
This document covers many keys issues about inclusive education. The issues include the framework,
input, processes, and outcomes of inclusive education in the United States and in other countries. Nine
critical issues in inclusive education are discussed and suggestions for policy and practices are provided.
U.S. Department of Education (2011). http://www.ed.gov/
The U.S. government provides detailed information about the legislation of NCLB and IDEA, as well as
other related laws concerning inclusive education. Special education placement statistics and history of
U.S. education are also provided.

Wu, W. T. (2007). Inclusive education in Taiwan. Chinese Education & Society, 40 (4), 76–96.
This article describes the current development and practices of inclusive education in Taiwan.
Challenges of conducting inclusive education are also reviewed in this article. Wu found that teacher’s
confidence and capability, curriculum adaptation, peer acceptance, and supporting resources play key
roles in the success of inclusive education in Taiwan.

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 CHAPTER 6

TARA KINTZ

The Effect of the No Child Left Behind Accountability

Mechanisms on Middle School Mathematics Teaching
and Student Performance

“Upon this gifted age, in its dark hour falls from the sky a meteoric shower of
facts;They lie unquestioned, uncombined. Wisdom enough to leech us of our
ill is daily spun, But there exists no loom to weave it into fabric.”
-Edna St. Vincent Millay, “Huntsman, What Quarry?”1939
Reform efforts in education have increasingly emphasized standards and
accountability as the pathway to achieve educational outcomes. The Obama
Administration released a blueprint for the reauthorization of the Elementary and
Secondary School Act (also known as the No Child Left Behind Act, also known
as NCLB) as one of his first acts after assuming the presidency in 2008. The
NCLB policy seeks to reform education using a standards-based model. It is based
on the belief that setting uniformly high standards for all students will improve
their performance. NCLB established the requirement for all states to create
assessments aligned to challenging state standards in order to receive federal
funding. This chapter focuses on the impact of NCLB accountability mechanisms
on middle school mathematics teaching and learning. The ultimate purpose of
NCLB is to promote improved student achievement and to reduce the
achievement gap among student groups. The reform aims to achieve this goal
through aligning curriculum and instructional practices with standards and
assessments. A review of current academic research includes the impact of NCLB
accountability mechanisms on student scores in middle school mathematics, on
teaching, and on the alignment of curriculum content with the established
standards. The findings show that it is difficult to determine the impact of NCLB
on student learning, given the general rise in National Assessment of Educational
Progress scores over time and the limited studies available. Studies surveyed
indicate that there have been some changes in teaching practices; however, more
specific evidence is presented on the importance of teacher knowledge and related
proxies of teacher quality in improved student outcomes. Recommendations are
provided for policy and further research on the influence of NCLB accountability
mechanisms.

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 117–162.
© 2012 Sense Publishers. All rights reserved.
TARA KINTZ

The large achievement gap between low-performing and high-performing

students has resulted in a growing concern of how to promote equitable outcomes
for all students. Globalization, recent economic trends, and the increase of access
to information have led to more pressure on education to prepare students for the
21st century (Suarez-Orozco & Qin-Hilliard, 2004). To ensure progress and the
ability of the nation to face these challenges, federal legislators designed the No
Child Left Behind (NCLB) law to address educational problems. The intention of
NCLB was to close the achievement gap and to ensure that all students reach a
high level of performance. The pursuit of this outcome has been justified by the
need for improved equality in student performance to ensure economic progress
and global competition for the nation (U.S Department of Education, NCLB,
2010).
As the nation approaches the 2014 deadline for all students to demonstrate
proficiency in reading and mathematics on statewide assessments connected to
common content standards, it is important to evaluate the impact of NCLB on
current teaching practices and student performance. The effectiveness of the
law and the discussion of the achievement gap is not merely a statistic on
paper; it is the reality of students’ daily experiences in the classroom.
The shortcomings in producing the desired student outcomes has galvanized
the need to evaluate processes and tools to foster effective pedagogy, promote
teacher and student performance, and accurately assess student learning. After
increasing criticism of the limitations of the law, there is a growing need to
determine the current effect of accountability practices on teaching and
learning.
Accountability systems and testing are a key part of the current educational
framework, with an emphasis on the need to prepare students for college and career
after high school. At the same time, different assessment practices such as
formative assessment have been shown to be associated with increases in student
performance (Black & William, 1998). Examination of the current impact of
NCLB is necessary to understand the effects of current assessment practices and to
inform future decisions about assessment, the curriculum, teaching practices, and
student learning (Cohen & Hill, 2000).
Mathematical knowledge is one of the specific subject areas identified by
NCLB legislation to assess student performance. As a result, an examination of
the effect of NCLB accountability mechanisms in the area of middle school
mathematics will yield important information on the role of NCLB in influencing
teaching practices and improving student outcomes. Middle school students are at
a unique stage between the lower grades’ focus on acquiring mathematical
knowledge and the upper grades’ emphasis on applying mathematical
understanding to specified fields of study within mathematics, such as algebra,
calculus, and geometry.
This chapter explores the effect of NCLB and its associated accountability
mechanisms on middle school mathematics teaching and learning. Through a
review of the literature, this chapter will examine how well NCLB has
succeeded in helping students achieve higher levels of mathematics knowledge

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 THE EFFECT OF THE NO CHILD LEFT BEHIND ACCOUNTABILITY

as measured by achievement tests. In addition, it will include an analysis of the

indicators of how NCLB has impacted teaching as measured by the National
Council for Teaching Mathematics (NCTM) teaching standards (see Appendix
at end of this chapter or consult http://www.nctm.org/standards/default.aspx).
Utilizing the research evidence that is available, this chapter will offer
alternatives for effective assessment practices, given the intended outcomes of
enhanced pedagogy and student learning.

RESEARCH QUESTIONS:

1. What is the impact of NCLB and its associated accountability mechanisms on

middle school students’ mathematics performance? Specifically what do the
results of student achievement tests demonstrate about student knowledge in
mathematics?
2. What is the impact of NCLB and its associated accountability mechanisms on
middle school mathematics teaching? Specifically what is the impact on the
selection of content, the use of teaching methodologies, and the role of
assessment in teaching?
3. What is the effect of NCLB and its associated accountability mechanisms on the
alignment of middle school teaching with the mathematical content standards?
Specifically what is the impact on the breadth and depth of content coverage in
mathematics?

The overall thesis of this policy analysis is that NCLB will not achieve the
desired objectives of aligning teaching with content standards and one hundred
percent middle school student proficiency on mathematics assessments without
attention to the process by which these outcomes can be achieved. For example,
program coherence and organizational capacity are important factors for the
success of teachers and accountability measures (Youngs, Holdgreve-Resendez, &
Qian, forthcoming; Newmann, King, & Rigdon, 1997). In addition, student
assessment involves different forms of assessment and the participation of
individuals at various levels of the educational system. As depicted in Figure 1, a
balanced assessment system involves attention to different types of assessment
practices at the classroom, school, district, state, and federal levels (Stiggins,
2009). At the classroom level, continual assessment feedback provides students
with immediate information on their progress and areas for growth. At the
teacher and administrator level, interim assessment indicates what standards
students have mastered and the areas in which they need further support. At the
school leadership level, annual assessments provide information on whether
students are succeeding and the necessary areas for intervention (Stiggins, 2009).
Teachers are key actors in the implementation of an effective balanced
assessment system. All these aspects contribute to the formation of a coherent
assessment system. Beyond the input and output measures, the process is critical
to effectively implementing educational policy and attaining the desired
objectives.

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TARA KIN
NTZ

Figure 1. Ba
alanced Assessm
ment System. Sourrce: R. Stiggins (2009).

PERSPECTIVES AND FRAM

MEWORK

Driving the educatio on reform agenda is the pursuit of acccountability and

assessment practices thatt will lead to
t increased sttudent perform mance. In addiition
to basic skills, individduals increasingly need to deevelop the abillity to collaborrate,
observe,, and have faccility with opeen ended, innnovative, and ccreative probllem-
solving capacities (Zh hao, 2006). Inccreasingly eviddence and infoormation are beeing
gathered d regarding thee science of coognition and ouur understandiing of the learnning
process. There is a gro owing desire too understand wwhat supports and fosters higgher
levels of
o mathematical knowledge as well as hhow to teach and assess skkills
known as higher-ord der mathematiical skills, inncluding the ability to appply,
monitor, adapt, com mmunicate, create, formulaate, investigatte, develop, and
evaluatee mathematicaal understand ding. Various effective m methodologies are
practiced d in different schools, and many
m teacherss, professors, aand even students
can articculate practicees that promo ote critical thinnking and meeaningful learnning
that relaate to real life situations (Bllack & William m, 1998). How wever, challennges
arise in the creation anda implementtation of policcies that fosterr these skills oon a
national scale.
The NoN Child Lefft Behind legislation of 20001 was intendded to have a far
reaching g impact on pu on through higgh standards aand accountability
ublic educatio
mechaniisms. Signed into i law by Prresident Georgge W. Bush ass an addendum m to
the Eleementary and d Secondary Education A Act of 1965 in its reneewal
authorizzation, this policy set the goaal for all studennts in the Unitted States to reeach
a level ofo proficiency y in the basic skills of readding, mathemaatics, and sciennce.
The Stattement of Purp pose, Sec. 1001 reads, “The purpose of thiis title is to enssure
that all children have a fair, equal, and significannt opportunityy to obtain a high-
quality education and d reach, at a minimum, prroficiency on challenging sstate
academiic achievem ment standard ds and staate academicc assessmennts.”
(U.S. Department
D off Education, Public
P Law 1107–110, 20002, January, pp.1).

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 THE EFFECT OF THE NO CHILD LEFT BEHIND ACCOUNTABILITY

This law demonstrates the increasing attention directed toward ensuring that all
students, including segments of the population that have historically been left
behind, demonstrate academic competence and master specified content
according to set standards. There are many controversies today about the
effectiveness of the educational reforms that the law put into action. Regardless
of which side of the debate is being argued school accountability and assessment
have been impacted by the mandates of the law. Assessment has had a strong
influence on instruction due to the fact that NCLB required teacher evaluations
and school evaluations to be tied to student scores on standardized tests. Sec.
1001 stated that “This purpose [mentioned above] can be accomplished by 1)
ensuring that high-quality academic assessments, accountability systems, teacher
preparation and training, curriculum, and instructional materials are aligned with
challenging state academic standards so that students, teachers, parents, and
administrators can measure progress against common expectations for student
academic achievement” (U.S. Department of Education, Public Law 107–110,
Sec. 1111(b), 2002).
Given the growing concern about the low scores of many students on statewide
tests and the low rank of the United States on international comparative tests
(Darling-Hammond, 2010), the Federal Government took action to create a policy
intended to make a difference for all students. The NCLB legislation sought to
improve learning outcomes by holding states accountable through statewide
assessments (NCLB, 2002). However, the many problems for schools, teachers,
and students that have resulted from NCLB have led to various forms of criticism
of its assessment strategies (Hayes, 2008).
In recognition of the importance of the need to gather valid information on
student learning and to utilize multiple measures in assessments, researchers have
explored the effects of different assessment approaches on teaching and learning.
Balanced assessment practices, including formative and summative systems at the
classroom, school, district, state, and federal levels, have received support from
practitioners, educational researchers, and policy advisors (Darling-Hammond,
2009), and include assessments to provide ongoing feedback and direction in the
learning process. According to Black, Harrison, Lee, Marshall, & William (2003),
formative assessment is one of the interventions with the strongest evidence of
leading to improvements in student performance. Interim assessments can provide
information to students and teachers on progress toward learning targets according
to common standards through the assessment of student learning throughout the
year. Several states are moving toward a more centralized model and a focus on
the effective use of assessments to inform teaching; forty five states have adopted
the Common Core Content Standards and many states are developing plans to
implement a balanced assessment system (CCSO, SBAC, and PARCC, 2010).
Historically, the Elementary and Secondary Education Act of 1965 was a
landmark legislation that shifted the relative power of education from local
control to federal involvement. In addition, the federal government granted or
withheld funds based on the states’ individual implementation of the law. Any
state that did not comply had to forfeit the federal funds. NCLB of 2001 was an

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amendment to this original law. As a result, NCLB followed this same practice of
connecting federal funds to the states’ compliance with the protocol of the
legislation. In addition, sanctions and rewards were outlined in NCLB for schools
to comply with or meet the goals set forth in the law. The NCLB legislation was
passed during a time when criticism of public schools was increasing. Charter
schools were opening up everywhere, which in some states led to privatizing
education, as competition was introduced into the system of public schooling in
an effort to drive up standards. President George W. Bush was responsible for the
educational initiative based on his time as Governor of Texas. Texas had reported
high gains on its state achievement tests, which gained credibility for President
Bush in his educational oversight. The United States was facing growing global
competition and low scores on international comparative tests. Based on national
studies, students were not making progress on several educational indicators,
including literacy and graduation rates, and there was an achievement gap
between high performing and low performing students (Hayes, 2008). The public
schools were becoming increasingly in need of effective education reform. In light
of these pressures, NCLB was signed into law in an effort to address the growing
need to provide quality education to all students. NCLB was an act to “close the
achievement gap with accountability, flexibility, and choice so that no child is left
behind” (U.S. Department of Education, Public Law 107–110, 2002, January,
p.1). As outlined by William Hayes in his book No Child Left Behind: Past,
Present, and Future, NCLB was an act of Congress signed into law shortly after
George W. Bush took office. It was co-authored by Senator Ted Kennedy, who
helped move it through the Senate. The other main actor on NCLB was Kerri L.
Briggs, the Assistant Secretary of Education and the Departments of Education in
each state which took on a growing responsibility for the implementation of
NCLB. The policy continues to focus on children, specifically low-performing
children who are below the expected level of proficiency. Indirectly, the policy is
attempting to affect teachers, administrators, and states to improve public
education.
The law originally received a large amount of bi-partisan support. Currently,
NCLB is supported by many proponents of charter schools, companies
involved in developing the assessments, and several investment foundations.
Those who support NCLB cite improved test scores, increased accountability,
and quality education among other positive claims. The law is opposed by
many teachers, administrators, and parents who find fault in the unrealistic
goals, the problems with standardized tests, and the unmet needs of many
low-performing students (Hayes, 2008). Diane Ravitch is one of the
scholars who has criticized the biased use of statistics and the “gaming” of
the system in which educators find questionable ways to alter test scores
(Ravitch, 2010).
With the intention to provide a quality education for all students, the law
incorporates clauses to provide highly trained teachers, improve school sites,
work with educational agencies that provide resources to schools, and ensure that
states provide clear, unified standards and curriculum. The strong assessment

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legislation ensures that states and schools are held accountable to gather an
accurate measure of student performance and progress. Currently, the Federal
Government has issued a Blueprint for the Reauthorization of the Elementary and
Secondary Education Act, which re-envisions NCLB and the role of the Federal
Government in education. The reauthorization of ESEA by the Obama
administration in the spring of 2011 is often referred to as the Blueprint,
shortened from A Blueprint for Education Reform (U.S. Department of
Education, 2011). Although the legislation carries the same name as the initial
act of 1965 passed by Lyndon Johnson, the 41-page blueprint contains many
changes reflective of the different versions of the policy over the years. The new
ESEA proposal aims for comprehensive, high standards with the goal of having
all students college-ready by 2020. The plan includes student growth and
improvement in evaluating school achievement. The Blueprint builds on previous
reforms and includes four main areas (1) “Improving teacher and principal
effectiveness; (2) Providing information to families to help them evaluate and
improve their children’s schools; (3) Implementing college-and-career-ready
standards; and (4) Improving student learning and achievement in America’s
lowest-performing schools by providing intensive support and effective
interventions” (U.S. Department of Education; A Blueprint for Reform, p. 3,
2011). While the reauthorization of the law envisions collaboration to strengthen
America’s public education system and a renewed federal role in education, the
level of effectiveness in achieving the desired outcomes will depend on how it is
implemented over the next several years.

ASSESSMENT DEVELOPMENT

Under president Obama, the “Race to the Top” contest (2009) awarded grant
money to the SMARTER Balanced Assessment Consortium (SBAC) and the
Partnership for Assessment of Readiness for College and Careers (PARCC) for
their proposals to develop balanced student assessment systems aligned to the
Common Core State Standards (CCSS). The purpose of developing these
assessment systems is to provide a model for states to implement assessments
nation-wide. These proposals have significant implications for the future
direction of the NCLB policy and, in turn, the direction of public education in the
United States.
Theoretical framework
• Theory of the policy (see Figure 2: concept map as originated in the policy).
As Figure 2 shows, the conceptual framework of the NCLB policy seeks to
reform education using a standards-based model. The theory behind this
approach is to create indicators of student learning in various subjects that all
students at a given grade level would be expected to achieve. These common
standards would then be used to develop assessments to determine the level of
mastery each student had achieved through his or her learning. This approach is
based on the belief that setting uniformly high standards for all students will
improve their performance.

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TARA KIN
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Figure 2.
2 ConceptualMa
ap for NCLB Acccountability Pollicy.

NCLB established
e thee requirement for
f all states tto create assesssments aligned to
challeng
ging state stand dministered in grades 3 throuugh 8, in ordeer to
dards, to be ad
receive federal
f funding g. The focus on
o the academiic assessmentss outlined in SSEC.
1111 [M
MTT1] (b) of NCLB states:

(A) INI GENERAL L- Each Statte plan shall demonstrate that the Statte
educaational agency
y, in consultattion with locaal educationall agencies, haas
impleemented a set of
o high-quality
y, yearly studeent academic assessments thaat

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 THE EFFECT OF THE NO CHILD LEFT BEHIND ACCOUNTABILITY

include, at a minimum, academic assessments in mathematics, reading or

language arts, and science that will be used as the primary means of
determining the yearly performance of the State and of each local educational
agency and school in the State in enabling all children to meet the State’s
challenging student academic achievement standards… (U.S. Department of
Education, Public Law, 2002).
The policy specifies that a uniform statewide academic assessment will be used for
all children in the areas of mathematics, reading or language arts, and science.
Furthermore, the assessments will be used to determine students’ yearly
performance on the State’s academic standards. In turn, the assessment scores for
students will be used collectively to determine the Academic Yearly Progress
(AYP) for schools. The legislation goes on to specify the requirements, incentives,
and penalties regarding student learning as represented by the state academic
assessments. One aspect of the law includes the requirement of prompt reporting of
the scores on the assessments to schools, agencies, and teachers so that they can be
used to “improve the educational achievement of individual students” (U.S.
Department of Education, Public Law 107–110, Sec. 1111(b), 2002, January).
Some aspects of the law have been less apparent in the public discussion of
education. For example, there is a clause to “involve multiple up-to-date measures of
student academic achievement, including measures that assess higher-order thinking
skills and understanding” (U.S. Department of Education, Public Law 107–110, Sec.
1111(b), 2002, January). Peer review and the duties of the Secretary of Education are
also spelled out in this section of NCLB. Overall, the section on academic
assessments covers a comprehensive plan extending to charter schools and services
for second language learners and children with exceptional needs. Guidelines are laid
out for states to plan and implement a comprehensive assessment program.

METHODS, TECHNIQUES AND MODES OF INQUIRY

An evaluative approach was used for this policy analysis in order to evaluate the
impact of NCLB accountability mechanisms on middle school mathematics
teaching and learning. As Carol Weiss described in her book Evaluation Research,
“Evaluation attempts to describe, to understand the relationships between variables,
and to trace out the causal sequence” (1997, p.8). Therefore, descriptive methods
as well as analytical methods were used. Descriptive methods provide details about
the current situation regarding the policy. This includes factors such as teaching
practices, student performance, and the relationships between these variables.
Analytical methods explain the cause and effect relationships between the variables
of teacher and student performance as well as between the accountability
mechanisms and teaching and student performance.
The analysis of the NCLB policy in this chapter is exclusively based on
document analysis. The details of the articles used for this analysis are included in
Table 1. Primarily, I referenced articles found through the Education Resources
Information Center (ERIC). The search was performed through the Michigan State
University Library using the key words No Child Left Behind, Middle School, and

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mathematics. I eliminated several articles because they did not comply with the
following criteria: the document must appear in a peer reviewed journal, include
empirical qualitative or quantitative research, and meet the criteria for the analysis
in that it pertains to the impact of NCLB accountability mechanisms on middle
school mathematics teaching and learning. I analyzed the data according to the
inputs, process, and outputs of the system. I focused on the criteria for evaluating
the process. Attention was paid to evaluating each level of the context, from the
classroom to the federal level.

Table 1. Features of primary studies cited.

Study: Author, Questions that Sample Data Source Findings

Title of Guided the Description
Article, Research
Journal
Hill, H., What is the Nationally Selected schools from Mathematical
(2007). impact of representative the National Center coursework,
NCLB and the sample of middle for Educational subject-specific
Mathematical associated school teachers Statistics (NCES) credentials, and
Knowledge of accountability were administered Common Core high school
Middle mechanisms on a survey of Database (CCD). teaching experience
School the alignment of mathematical CCD is a are associated with
Teachers: teaching with knowledge in comprehensive teaching-specific
Implications middle school April-June 2005. national database, mathematical
for the No mathematics The survey was updated annually. knowledge.
Child Left standards? referenced with 1,202 middle schools
Behind Policy other surveys and were selected from the
Initiative. experts in the field. 2002-2003
A 64% response Preliminary School
Education rate was obtained. Universe File. 75% of
Evaluation schools sampled from
and Policy the CCD had a list of
Analysis, 29 teachers from Quality
(95). Education Data
(QED). Michigan
American Institute for Social
Educational Research confirmed
Research the roster in 1,065
Association. schools and randomly
selected 1,000 schools
from that number.
Smith, T., What is the Stratified national Data from 2000 Mathematical
Desimore, L.,impact of probability sample National Assessment knowledge and
Ueno, K. NCLB and the of approximately of Educational proxies for teacher
(2005). associated 16,000 8th graders Progress (NAEP) quality were
accountability and their Mathematics associated with
Highly mechanisms on mathematics Assessment teacher reform oriented
Qualified to the alignment of teachers at 744 questionnaire. teaching.
Do What? The teaching with schools. NEAP is a Comprised of 4th, 8th,
Relationship middle school national data set and 12th grade national
Between mathematics that surveys samples, the study
NCLB standards? teachers about used the 8th grade
Teacher their educational samples

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Quality background,
Mandates and preparation to
the Use of teach specific
Reform- content,
Oriented participation in
Instruction in professional
Middle development
School activities, and use
Mathematics. of a wide range of
teaching strategies.
Educational
Evaluation
and Policy
Analysis, 27
(1).
Washington.
Cwikla, What is the Middle School Details a 5-year Development and
(2007). impact of math faculty qualitative study of a challenges of
NCLB and the working to middle school faculty “communities of
The Trials of associated improve students’ serving predominantly practice” in
a Poor Middle accountability mathematical test economically at-risk response to high-
School Trying mechanisms on scores, use of a students. stakes testing.
to Catch Up in middle school scripted
Mathematics: mathematics curriculum, and
Teachers’ teaching? integrate the
Multiple National Council
Communities for Teachers of
of Practice Mathematics
and the (NCTM)
Boundary Standards.
Encounters.

Education and
Urban
Society, 39
(554).

SAGE
Publications.
Wright, W., What is the Fifth grade Qualitative study over Cambodian
Li, X. (2008).
impact of newcomer a two year period students did not
NCLB and the Cambodian gathering information have the
High-Stakes associated students in a Texas on teacher and student opportunity to
Math Tests: accountability middle school. experiences with high prepare for the
How No Child mechanisms on stakes testing. level of difficulty
Left Behind middle school represented on the
Leaves mathematics tests in classroom
Newcomer student instruction.
English performance?
Language
Learners
Behind.
Language
Policy.

Springer

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TARA KINTZ

Zucker, A. What is the Teachers and Qualitative study on The technology

(2005). impact of students in the the SRI International was implemented
NCLB and the state of Maine. developed, computer effectively as part
Development associated based problem solving of a coherent
and Testing of accountability environment called education program.
Math Insight mechanisms on Math Insight.
Software. middle school
mathematics
Educational teaching?
Technology
Systems, 34
(4).

Baywood
Publishing
Reyes, R. What is the 11 rural, small The students were There is discordant
(2006). impact of community, monitored over two use of district-
NCLB and the suburban, and years using teacher adopted textbooks.
Assessing the associated urban middle surveys, textbook-use This results in a
Impact of accountability schools in 6 diaries, classroom difference in
Standards- mechanisms on different states. observations, teacher students’
based Middle middle school Over 60 different interviews, and table opportunity to
School mathematics middle school of content learn. The “fidelity
Mathematics teaching? teachers and over implementation of implementation”
Curricula on 4000 sixth and 7th records. Achievement determined the
Student grade students. data was also degree of
Achievement collected. Standards-Based
and the Learning
classroom Environment the
Learning students
Environment. experienced, which
was associated with
Report: superior student
National achievement.
Center for
Education
Research,
Institute of
Education
Sciences, U.S.
Department of
Education.
Data collected from the following reports online:
NAEP What is the National sample of 8th Quantitative data on Overall, there has
(1996-2010). impact of grade students. yearly mathematics been an increase in
NCLB and assessment. student scores over
Online the associated the past 14 years.
Report accountability Students in specific
mechanisms groups on average
on middle also scored higher
school than on most
mathematics previous
student assessments.
performance?
Dee, T. & What is the National Association State level panel data Students are not
Jacob, B. impact of of Educational 100% proficient
(2010). NCLB and Progress (NAEP) and the

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the associated samples of 4th and 8th achievement gap

Online accountability grade student data persists.
Report mechanisms
on middle
school
mathematics
student
performance?
Hannaway & What is the An analysis of the Document analysis, There are positive
Hamilton impact of literature including a review of the existing and negative results
(Calder). NCLB and survey of 12,000 empirical research. from high-stakes
the associated teachers in high-stakes accountability
Performance accountability and low-stakes policies on school
-Based mechanisms accountability and classroom
Accountabili on middle environments practices.
ty Policies: school
Implications mathematics
for School teaching?
and
Classroom
Practices.
Parke, C. What is the 6th, 7th, and 8th grade Data from the The study
(2002). impact of students in each of six assessment measures concluded that
Mathematics NCLB and middle schools were used to there are five
Performance the associated involved in national determine the quality important areas in
Assessment: accountability mathematics of mathematics the development
Discovering mechanisms education project performance and use of
Why Some on middle called QUASAR assessment items and performance
Items or school Cognitive Assessment scoring rubrics at the assessments: the
Rubrics mathematics Instrument. middle school level creation of well-
Don’t student based on their defined criteria, the
Measure Up. performance? alignment with consistency of
mathematics reform. applying rubric
Research In criteria across
Middle items, the range of
Level points in the rubric,
Education the mathematical
(RMLE) richness of items,
25(1). and the importance
Retrieved of having sample
11-12-10 scored student
from responses.
http://www.n
msa.org/publ
ications/
RMLEOnlin
e/tabid/101/
Default.
aspx

The National Center for Analysis of Longitudinal Data in Education Research

(CALDER) provided several articles on the overall impact of NCLB, but there
were no articles that related specifically to middle school mathematics. The papers
available from the NCLB Emerging Finding Research Conference present pertinent
findings about NCLB. However, these are working papers that have not yet been

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TARA KINTZ

released for citation because they do not have permission from the author. In
addition, the papers do not directly relate to middle school or mathematics. One
chapter from the book Reforming Teaching Globally (Tatto, 2007), “The New
Accountability and Teachers’ Work in Urban High Schools in the USA,” by
Dorothea Anagnostopoulos, was used as a reference. Of the extensive list of
articles reviewed for the present project, only a few met the standards of rigor and
relevancy associated with empirical research. In addition I searched research
articles that evaluated how the NCLB has impacted curriculum and teaching as
measured by the National Council of Teaching Mathematics (NCTM) teaching
standards and the effect on learning as indicated by state achievement assessments.
• Alternative Theory: (See Figure 3).
The main goal of this chapter is to arrive to an alternative theory that may be
able to help reformulate the original policy to improve the gaps uncovered though
my analysis. The analysis of the literature made evident that enhancing the
potential effects of NCLB accountability policies requires a framework based on
structural and coherence theory. This hybrid theory emphasizes the importance of
understanding how different levels of the system come together to provide a
coherent balanced assessment intervention (Stiggins, 2009). At the classroom level,
teachers would be expected to utilize formative assessments to provide immediate
feedback to students on their progress toward clearly stated learning targets.
“Formative assessment is a process used by teachers and students during
instruction that provides feedback to adjust ongoing teaching and learning to
improve students’ achievement of intended instructional outcomes” (FAST
SCASS, 2007). At the same time, formative assessment provides information to
teachers about the students’ needs, to guide their further instruction (Stiggins,
2009, Black and William, 1998). Interim assessments indicate areas for further
support on the classroom and school-wide level for teachers and administrators.
Annual summative assessments that accurately demonstrate student learning are a
key aspect to providing information to policy makers and educational leaders to
make decisions about interventions (Stiggins, 2009).
Another aspect that calls for coherence in the NCLB policy is the proposed
alignment with the Common Core State Standards, which provides the
foundation for the development of a common curriculum, a framework for
teacher training, a structure to build teacher capacity and knowledge, and the
possibility for standards-aligned teaching and assessment. The emphasis on
coherence shifts the focus of the reform from the product to the process of how
different aspects in education work together to support teaching and learning.
The analysis of the literature thus informs an alternative conceptual model for
NCLB which provides a re-envisioned policy based on considerations of system
structure and coherence and includes taking into account the Common Core Standards
to provide a similar foundation across states to develop aligned curriculum and
assessments. accountability mechanisms on teaching and student learning will be
evaluated in the area of middle school mathematics. The final column is comprised of
the outcomes of the policy in terms of student achievement test scores and changes
in pedagogical practice.

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Figure 3. Alterrnative conceptu

ual Map for NCL
LB Accountabiliity Policy.

The nextt section descriibes the analytical frameworkk in detail.

• Analy ytical Framewo ork.
The Anaalytical Framew work representeed in Figure 4 outlines the appproach to anaalyze
the poten ntial effect of NCLB on miiddle school m mathematics teaaching and student
learning.. The first coluumn outlines th he context leveel of the policyy, from the fedderal
system to o the students inn the school. Th
he second columumn defines the input componeents,
includingg their varying features and ch haracteristics. T
This column inccludes the No C
Child
Left Beh hind legislation as well as the teachers
t and stuudents. The thirrd column pressents
the aspeects of the process. The indicators listed foor teaching annd learning aree the
criteria by
b which the efffect of the NC CLB accountabiility mechanism ms on teaching and
student learning
l will bee evaluated in th
he area of midddle school mathhematics. The ffinal
column is i comprised of o the outcomess of the policy in terms of stuudent achievem ment
test scorees and changes in pedagogicall practice.

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TARA KIN
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Figure 4. NCL
LB Analytical Fra
ramework.

RE
ESULTS: NCLB
B AND ACCOU
UNTABILITY

In the fo
ollowing, I willl discuss the reesults and impaact of the NCLLB’s accountability
policy on middle scho ool mathematiccs teaching andd learning. Ovverall, I analyzeed a
total of twelve journaal articles and white papers.. The findingss represent whhat I
found inn researching thhe impact of NCLB
N on teachhing and learnning middle schhool
mathemaatics. First, I will
w review thee findings on tthe impact of NCLB on studdent
performaance, both natiionally and in various
v specifi
fic case studies. Then, the imppact
on teachhing and speciffically teacher knowledge wiill be outlined.. Finally, evideence
on the alignment
a of cu
urriculum and teaching with the standards will be review wed.
An analysis of the ressults provides the foundatioon for understaanding the currrent
researchh on middle schhool mathematiics teaching annd learning.
To recap, the thesis of this chapter is that policyy and accountab ability mechaniisms
that focu
us on the proceess and supportt of teaching inn relation to stuudent learning will
be most effective.

Qu
uestion 1: Impa
act on Student P
Performance
Whatt is the impactt of NCLB and
d its associatedd accountabiliity mechanism
ms
on sttudents’ perfoormance in middle
m school mathematics?? What do thhe
resultts of student achievement demonstrate aabout student knowledge inn
matheematics?

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The findings of the NCLB accountability mechanisms’ impact on student

performance in middle school mathematics were varied. Overall, there has been an
increase in student scores over the past fourteen years. In the NAEP findings,
“Higher percentages of eighth-graders performed at or above basic and at or above
proficient in 2009 than in all previous assessments” (2010). On average, students
in specific groups (such as race, socio-economic background, English language
learners, and type of school) also scored higher than on most previous assessments.
However, Dee and Jacob’s report of a sample of 4th and 8th grade students’ NAEP
results shows that students are not 100% proficient in mathematics as measured by
NAEP and the achievement gap persists.
As demonstrated in the Table 2, middle school students’ mathematics scores on
the NAEP have improved over the years (NAEP, 2010). In 1990, only fifteen
percent of the students were at or above the established level of proficiency. Nearly
twenty years later, in 2009, thirty-four percent of eighth grade students scored at or
above the established level of proficiency. From 1990 to 2009 the number of eighth
grade mathematics students scoring at the established level of below basic fell from
forty-eight percent to twenty-seven percent, with a relatively consistent decline
over the years. Figure 5 graphically represents the increase in students scoring at or
above a level of proficiency, and a decrease in the level of students scoring at or
below basic level over time. There are many potential explanations for the
improvement in student performance on the NAEP. However, given the overall
trend in improved scores over the years, it is not possible to attribute the recent
improvement in eighth grade students’ mathematics scores to the NCLB
accountability policy.

Table 2. Percentages at or above each achievement level for mathematics, grade 8.

Year Jurisdiction Below Standard At or above Standard At or above

Basic error basic error proficient
2009 National 27 (0.3) 73 (0.3) 34
2007 National 29 (0.3) 71 (0.3) 32
2005 National 31 (0.2) 69 (0.2) 30
2003 National 32 (0.3) 68 (0.3) 29
2000 National 37 (0.9) 63 (0.9) 26
1996 National 39 (1.0) 61 (1.0) 23
1996 National 38 (1.1) 62 (1.1) 24
1992 National 42 (1.1) 58 (1.1) 21
1990 National 48 (1.4) 52 (1.4) 15
Source: U.S. Department of Education, Institute of Education Sciences, National Center for Education
Statistics, National Assessment of Educational Progress (NAEP) (2010).
¹ Accommodations were not permitted for this assessment.

The research findings indicate NCLB accountability policy has not been effective
in achieving the goal of closing the achievement gap. However, the NAEP data
demonstrate increased scores for select groups of students categorized by race,
socio-economic background, English language learners, and type of school
(2010). All of the select groups identified scored higher on average on the NEAP than

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Figure 5. Source: U.S. Department

D of Education,
E Instituute of Education SSciences, Nationnal
or Education Stattistics, National Assessment
Center fo A of Edducational Progrress (NAEP) (20010).

in previo
ous assessmentts (NAEP, 2010). According to the 2010 N NAEP data, eigghth-
grade stu
udents who weere eligible forr the National S School Lunch Program, studdents
who atteended public scchool, and stud dents with disab
abilities scored higher on averrage
in 2009 than in all preevious assessm ments. English language learrners in the eigghth
grade sccored higher ono average in 2009 than in 1996, but low wer than in 20007.
Eighth grade
g students who
w attended Catholic
C or othher private schoools scored higgher
on average than in 1990.1 White, Black, Hispannic, and Asiaan/Pacific Islannder
eighth-g
graders scored higher on aveerage in 2009 than in 2007 aand 1990 (NA AEP,
2010). While
W these results
r show improvement
i iin students’ sscores, other ccase
studies indicate
i that groups
g of studeents have beenn “left behind”” or are “trying to
catch up
p ” (Cwikla, 2007, Wright & Li, L 2008).
Two case studies highlighted
h thee relationship bbetween raisedd expectations and
high-stak
kes testing and specific groupss of students suuch as students with special neeeds
(Cwikla,, 2007, Wrightt & Li, 2008). A significantt impact on stuudents of diffeerent
backgrouunds was found d according to the
t research preesented. In the aarticle High-Staakes

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Math Tests: How No Child Left Behind leaves newcomer English language learners
behind, Wayne Wright and Xiaoshi Li analyzed the policy through the case of
Cambodian students in a Texas middle school. The study concluded that the language
demands of the state tests on mathematics far exceeded the language demands of the
work middle school students were able to do in school. As a result, the students were
not given the opportunity to learn the grade level content before the test. The authors
provided recommendations for U.S. federal policy “which account for the linguistic
demands posed by the tests, and which provides students with opportunities to learn
the expected math content before taking high-stakes tests” (Wright & Li, 2008).
As depicted in Table 3, the results on the achievement gaps between distinct
groups reveal that in middle school mathematics overall, the achievement gap has
narrowed in more states than it has widened. In twenty-six states the achievement
gap has narrowed between African American and white students, while it has
remained unchanged in two states, and widened in seven states, according to the
data collected from thirty-five states in 2007–2008. Similar proportions were
represented for other groups. It appears that the achievement gap is closing,
however, without long-term data on the achievement gap and the corresponding
impact of NCLB in various states it is not possible to determine the exact effect of
NCLB on closing the achievement gap.

Table 3. MIDDLE SCHOOL: Number of states showing various trends in percentage

proficient gaps on state math tests.

Trend African Latino & Native Low-Income Total

American & White American & & Not Low- Trend
White White Income Lines
States in which 26 27 14 30 97
gap narrowed
States with no 2 0 2 3 7
change in gap
States in which 7 8 6 10 31
gap widened
States with 35 35 22 43 135
sufficient trend
data
Source: U.S. Department of Education, Institute of Education Sciences, National Center for Education
Statistics, National Assessment of Educational Progress (NAEP) (2010).

Considerations for Research Question 1:

An important consideration in reviewing the results is the fact that there is a lack of
information on the mathematical knowledge of middle school students in sixth and
seventh grades. The scores are only reported for students’ mathematics performance
in eighth grade; the sixth and seventh grade students’ math performance are not
included. “The NAEP 2009 mathematics assessment was conducted throughout the
nation and states at grades 4, 8, and 12. Approximately 168,800 grade 4 students,
161,700 grade 8 students, and 48,900 students at grade 12 took the assessment”

135
TARA KINTZ

(NAEP, 2010). Therefore is not possible to determine the impact of NCLB on sixth
and seventh grade students’ mathematics performance from the NAEP results.1

Table 4. Average SAT mathematics scores for 12th-grade SAT test-taking population,
by race/ethnicity, 1996-2006.

Year Total White Black Mexican Puerto Other Asian/ American

American Rican Hispanic Pacific Indian/
/Latino Islander Alaskan
Native
1996 508 523 422 459 445 466 558 477
1997 511 526 423 458 447 468 560 475
1998 512 528 426 460 447 466 562 483
1999 511 528 422 456 448 464 560 481
2000 514 530 426 460 451 467 565 481
2001 514 531 426 458 451 465 566 479
2002 516 533 427 457 451 464 569 483
2003 519 534 426 457 453 464 575 482
Source: The College Board, College Board Seniors, 1996–2006.
Note: Scores range from 200-800.

Table 5. SAT Participation and Scores

Year Number of Students Percent of Each Math Scores

Tested Class Tested
2004 1,419,007 48% 518
2005 1,475,623 49 520
2006 1,465,744 48 518
2007 1,494,531 48 515
2008 1,518,859 45 515
2009 1,530,128 46 515
2010 1,547,990 47 516
Source: The College Board
Note: Scores range from 200-800 for each subject tested.

In addition, the test results do not show students’ knowledge in the different
NCTM standards categories. It would be informative to review the test results
based on the specific test questions and mathematical content areas to obtain a
clear picture of students’ strengths and weaknesses in various areas. While they do
show some specific content area results with questions, this information is not
easily interpretable. In addition, no studies were found that focused on the effect of
NCLB on student learning and mathematical knowledge beyond the NAEP results.
Studies of specific content knowledge, student understanding, as well as
motivation and efficacy would provide a broader understanding.
In reviewing the Long Term Trends (LTT) of NAEP over time, it is evident that
more progress has been made in the lower grades than in middle school and high
school.

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 THE EFFECT OF
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Figure 6.
th
Ald
deman, 2010, 12
2 Grade NAEP scores
s show littlle progress, Eduucation Sector.

The best
b way to look at NAEP results r across ggrades is not ffrom single tesst
resultts that get releeased sporadiccally, but to loook at the Lonng-Term Trend
(LTT) assessment th hat’s been in place since 19733. Those resultts show marked
improovement in maath and reading g at the lower grades, but thoose gains fizzlle
out ov ver time. The chart
c (Figure 6)
6 shows the chhange in LTT math scores byy
gradee. A 10–15 poiint gain on NA AEP is equivaleent to one full grade level, so
our naation’s fourth-ggraders are sco
oring about twoo grade levels hhigher than theyy
did in
n 1973. For eigghth-graders, thhe progress is aabout one full ggrade level. Buut
for 17
7 year-olds, thee progress is on
nly a few monthhs (Aldeman, 22010).
The disccrepancy raises the question n of why studeents are makinng progress inn the
lower grrades and not in n the higher graades. Some of the explanationns point to the fact
that it is difficult to maaintain educatioonal progress. OOne necessary ingredient to bbuild
success isi continued su uccess. When students
s do nott experience thiis success theyy are
more lik kely to fall beh hind (Aldeman n, 2010, Stigggins, 2009). In addition, therre is
more cu urriculum agreeement in the lo ower grades thaan in high schhool. However,, the
NCLB K-8 K accountabillity policy is esssentially the ssame for high sschools and faills to
take intoo account that there
t are differrent conditionss in high schoool such as traveeling
to differeent classes, thee workload, and d the content (AAldeman, 20100).
Theree are also discrepancies betweeen the NAEP scores and staatewide assessm ment
results. Students
S often score better ono state accounntability measuures. For exam mple,
seventy--three percent of o the tenth grade students aree proficient andd seven percentt are

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TARA KINTZ

below basic on the state test in Idaho. However, only twenty-three percent are
proficient and thirty-four percent are below basic on the twelfth grade NAEP results
(Aldeman, 2010). It is difficult to establish the cause for the difference. Some
individuals claim that states have lower standards on the statewide tests and
therefore the students perform better. Other individuals state that twelfth grade
students do not perform well on the NAEP due to motivation. Diane Ravitch stated,
“The National Assessment Governing Board (NAGB), which oversees NAEP, has
known for years that twelfth graders don’t try to do well on the tests. The students
know that the tests don’t count, that there are no individual scores, that no one will
ever know if they did well or poorly, and they are not motivated to do their best”
(2010). In reviewing test scores, factors of incentives and motivation are important
to take into account when evaluating the reliability of results.

Summary of Findings for Research Question 1:

Overall, the results show inconsistent and inconclusive evidence of the impact of
NCLB accountability mechanisms on middle school students’ mathematics
performance. NAEP mathematics scores for specific groups and individuals in
eighth grade have improved since 1990. The average NAEP scores show a
relatively consistent improvement in student performance before and after NCLB
was signed into law in 2001. Given the trend of improvement over time of eighth
grade students on the NAEP mathematics assessment, it is difficult to ascertain
whether the recent improvements are attributable to NCLB accountability
mechanisms. As a result, the impact of NCLB on eighth grade mathematics
students is unclear from the assessment results.

Question 2: Impact on Teaching

What is the impact of NCLB and the associated accountability mechanisms
on middle school mathematics teaching? Specifically what is the impact on:
1. The selection of content,
2. The use of teaching methodologies, and
3. The role of assessment in teaching?
The evidence found on the impact of NCLB on teaching underlines the need to
develop learning teams, focus on effective teaching strategies and on fine-tuning
the time allotted to teaching mathematics.
In the study, The Trials of a Poor Middle School Trying to Catch Up in
Mathematics: Teachers’ Multiple Communities of Practice and the Boundary
Encounters, by Julie Cwikla, teachers developed learning teams and communities
of practice to respond to the needs of “predominantly economically at-risk
students” (2007). The article covers a five-year longitudinal study of a middle
school mathematics faculty. The faculty worked together to respond to the
demands of high-stakes testing by forming Lave and Wenger’s “community of
practice.” The article details the importance of groups to have a goal to work

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toward to effectively create a collaborative community. Others have found that an

important element in improving student achievement is the “formation of
communities of instructional practice that are focused on improving the
instructional core of schooling” (Supovitz & Christman, 2005). The author noted
that the work in the teams evolved over the five years; however, various challenges
confronted the groups. Overall, Cwikla concluded that “change is a process, not an
event, and it happens to individuals first, not to organizations; any new intervention
must focus people first on an explicit shared mission and the innovation second”
(2007). A focus on mathematical instructional improvement provided a direction
for middle school communities of practice to effectively collaborate toward the
desired goal.
Several studies found important relationships between NCLB and middle school
mathematics. In one study, the impact of NCLB led teachers to focus on more
effective ways to teach. The RAND survey work in California, Pennsylvania, and
Georgia found that over three-quarters of teachers in each state reported that results
of the state mathematics test led them to search for more effective ways to teach
mathematics by “a moderate amount” or “a great deal” (Hamilton, Berends, and
Stecher, 2005). Another finding showed an increase in the allotment of teaching
time for mathematics. The amount of time spent on instruction in mathematics in
elementary school increased 40 percent from the 1999–2000 to the 2003–2004
school years, according to teacher reports in the Schools and Staffing Survey, as
state and federal accountability plans were implemented (Hannaway, 2007).
“Elementary teachers were more likely than middle school teachers to report
reallocating time, a finding that probably reflects the greater flexibility afforded to
teachers in self-contained classrooms” (Hannaway, 2007). While more time was
allocated to the study of mathematics, there is no evidence on the quality of
instructional time or impact on student learning. Other studies focused on the use
of technology and the development of new technology assisted learning programs
to enhance instruction and assessment (Zucker, 2006).
Several studies have indicated the negative effect of NCLB on instructional
changes due to test based accountability and test format (Ravitch, 2010). However,
in this analysis there were no studies pertaining to middle school mathematics
teaching and learning to provide evidence on the effect of NCLB on the use of data
in instruction or any negative effects such as cheating, narrowing the curriculum,
or tension in relationships. The fact that these articles were not found does not
imply that these effects do not exist. Rather, it is not possible to conclude
definitively about the overall impact of NCLB on middle school mathematics
teaching.

Summary of Findings for Research Question 2:

The findings on the selection of content, the methodology, and the role of
assessment in teaching indicate some changes in teaching practices. Some teachers
formed communities of practice to respond to the demands of high stakes
accountability (Cwikla, 2007). The evidence showed the importance of focusing on

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a goal to improve instructional practice in order to improve student performance. In

another study, the accountability measures led teachers to find more effective ways
to teach (Hamilton, Berends, and Stecher, 2005). Other research findings indicate
teachers allotted more time to mathematics instruction (Hannaway, 2007).
Although scholars have referenced studies on the negative effects of NCLB
accountability policy on teaching practices, no such studies were found involving
middle school mathematics instruction. Overall, there was minimal evidence
available to provide a comprehensive evaluation of the impact of NCLB on middle
school mathematics teaching.

Question 3: Alignment of Content and Teaching

What is the effect of NCLB and its associated accountability mechanisms on the
alignment of middle school teaching with the mathematical content standards?
Reliable evidence was not found on the direct impact of NCLB and its associated
accountability mechanisms on the alignment of middle school mathematics
teaching with the mathematical content standards. However, two empirical studies
were conducted related specifically to teacher knowledge. Thus, the focus of the
research question shifted to: What is the impact of teacher knowledge on middle
school mathematics teaching and learning in relation to NCLB?
Tomas Smith, Laura Desimone and Koji Ueno found that teacher knowledge
was an important factor in reform oriented teaching (Smith et al., 2005). They
defined reform oriented teaching as teaching that is aligned with the NCTM
standards and promotes conceptual learning. In the study: “Highly qualified” to do
what? The Relationship between Teacher Quality Mandates and the Use of
Reform-Oriented Instruction in Middle School Mathematics, the authors looked at
whether the characteristics of a “highly qualified” teacher were associated with the
teaching advocated by standards-based reform. Using the NAEP 2000 data, the
study analyzed the relationship between the defining qualifications of a “highly
qualified” teacher such as certification, a bachelor’s degree, and demonstrated
content knowledge, and the use of reform-oriented teaching practices. Current
reforms in mathematics focus on an increased emphasis on conceptual ideas in
teaching and a decreased emphasis on procedural learning such as memorization
and rote problem solving (Cohen & Ball, 1990; National Council of Teachers of
Mathematics [NTCM]). While there are debates on the balance between conceptual
and procedural learning, conceptual learning has been shown to be related to
improved student performance (Smith, Lee, & Newmann, 2001). Furthermore
conceptual learning is a central aspect of NCLB reforms.
There are studies on the positive effects of conceptual learning strategies that
focus on higher order instruction and teaching for understanding (Smith et al, 2005,
Newman et al, 1996). This approach to teaching is valued for its emphasis on
fostering mathematical reasoning skills (Hiebert et al, 1997). Conceptual learning
includes increased use of strategies that require students to apply their
understandings of the content that they are taught and to develop an appreciation
and understanding of the role of mathematics in everyday life. In addition,

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conceptual instruction focuses on open-ended questions, communication skills, and

the use of investigation to solve problems emphasized in the NCTM standards
(NCTM, 2000). The study found that “preparedness to teach mathematics content
and participation in content-related professional development activities are
associated with reform-oriented teaching, measured here as increased emphases on
conceptual learning goals for students and increased use of reform oriented
strategies” (Smith et al, 2005). These findings show that professional development
contributed to conceptual and reform oriented teaching and teacher knowledge, and
that the qualifications for “highly qualified” teacher are important in the reform
efforts advocated by NCLB.
Another study, conducted by Heather Hill, demonstrated the importance of
teacher quality and related proxies of middle school mathematics teacher
knowledge and the implications for NCLB. The study drew on evidence from a
national representative sample and focused on middle school math teachers’
mathematical knowledge for teaching (Hill, 2007). Hill’s findings show that the
characteristics of teachers as an input must be accounted for in decisions about
teaching and learning (2007). She determined a relationship between teachers’
subject matter preparation, certification type, teaching experience and a higher
level of mathematical knowledge. Evidence from the study shows that experience
is correlated with mathematical performance on a test to measure subject specific
mathematical knowledge for teaching.

Summary of Findings for Research Question 3:

The focus of the third research question shifted from analyzing the impact of
NCLB accountability mechanisms on the alignment of teaching with mathematical
content standards to inquiring into the impact of teacher knowledge on middle
school mathematics teaching and learning in relation to NCLB. Teacher knowledge
was found to be an important factor in reform oriented teaching, which is aligned
with NCTM standards and promotes conceptual learning (Smith et al., 2005). In
addition, teacher quality and related proxies of middle school mathematics teacher
knowledge were found to correlate with teachers’ performance on tests of
mathematical content knowledge. The findings of the two studies together, which
indicate that proxies for teacher quality are associated with higher mathematical
knowledge and are associated with reform-oriented teaching, demonstrate the
central role of teachers’ mathematical knowledge in improving student
achievement and the ability to align teaching with standards.

CONSIDERING STANDARDS

An important note must be made in discussing standards based instruction. There

are many aspects to consider in determining the effect of implementing standards on
student learning. While evaluating whether standards-based instruction leads to
improved student performance is beyond the scope of this chapter, the following
study is mentioned here due to the applicability to the analysis and research

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questions2. In the Success and Struggle in Striving toward “Mathematics for All,” A
Closer Look at Socio-Economic Class3, Sarah Thuele-Lubienski raises many
important considerations regarding equitable mathematics instruction in recent
reform efforts. In pursuit of “Mathematical power for all,” the National Council of
Teaching Mathematics promotes a method for enhancing students’ mathematical
understanding through open-ended questioning and dialogue. The pedagogical
method is delivered to students from different socio-economic backgrounds who
respond differently to instructional approaches and material. The results described in
the study demonstrate the unintended consequences when educational reform efforts
do not address cultural differences arising from socio-economic background.
In an attempt to foster mathematical understanding, the reform effort covered in
the article focused on a unilateral, constructivist approach for all students. The
NCTM promotes open-ended questions and class discussions as one method to
foster “mathematical power for all.” In the study, the students participated in whole
class discussions and solved problems embedded in a context, without a clear
formulaic algorithm to guide them through the process (Lubienski, 1997). Lubienski
asserted that these practices appear to correspond with middle-class culture. Middle-
class cultural norms correspond with an emphasis on learning math content through
solving problems and discussion that is reflective of a conceptual learning approach
which is often associated with progressive reform efforts. In contrast to the reform-
oriented approach, procedural learning such as memorization and rote problem
computation correspond with lower socio-economic cultural norms, which are
associated with a more traditional approach in education (Hirsch, 2009). Lubienski
explained that the reflection of middle-class culture in the constructivist curriculum
enables the students from a middle-class background to be more successful with the
progressive open-ended approach, whereas students from a lower socio-economic
background are confused and frustrated by the process.
In this study, the students’ cultural background determined the students’
response to the instruction and limited the students’ ability to access the
mathematical knowledge. The NCTM curriculum was not critically aware of the
impact of socio-economic background, and it advocated practices that “the
literature suggests are more aligned with middle-class culture” (Lubienski, p.27).
In this way, rather than ensuring “mathematical power for all”, the curriculum
marginalized some students and privileged others. These findings demonstrate only
one of many important areas to address when considering a standards-based
reform. In general, the field would benefit from further research to determine the
extent to which the current mathematics standards, both state and national, lead to
improved student performance. More specifically, it is especially valuable to
determine the factors that support or hinder effective implementation and outcomes
for different student groups.

CONCLUSION

NCLB is a policy focused on outcomes as measured by student performance on

achievement tests. This shift toward accountability-based outcomes represents a

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change in the past twenty years from an earlier emphasis on input and process
(Hannaway & Hamilton, 2010). Given the focus on outcomes, it is important also to
address the process of teaching as one of many factors that affect the inputs, such as
students and teachers, involved in the policy. More specifically, in order to achieve
the educational objectives of NCLB’s accountability policy, attention needs to be
given to the characteristics of students that enhance or inhibit student performance
(Wright & Li, 2008). In addition, it is essential to develop a clear understanding and
consideration of the characteristics of teachers that lead to beneficial or harmful
opportunities for students in schools. Policy decisions that address these factors will
be most effective in improving mathematics teaching and learning.
Furthermore, to achieve the desired goals of elevated standards and equality, it
is important to develop clear processes that ensure success for all individuals to
reach those goals. The NAEP 2002–2009 results and the present achievement gap
demonstrate the current level of student achievement. Although the goal of 100%
student proficiency by the year 2014 in mathematics helped to establish a clear
target, from the current mathematics scores it does not appear that this goal will be
attainable. It is also necessary to address the structure of schools, the aspects of
teaching, and student needs, in order to realize the desired change in outcomes
(Cwika, 2007). Processes need to be in place to address school capacity for the
reform, the given environment of implementation, and the characteristics of the
problem solvers (teachers and students) themselves (Cohen & Moffit, 2002).
Without attention to process, many unintended results may arise that do not lead to
the intended result.
One example is the need for school, teacher and pupil support regarding the use
of accountability measures to improve student learning. A balanced assessment
system focuses on the process that contributes to learning. In this way, teachers and
students are focused on the process that motivates their choices and actions in
meaningful learning experiences, rather than solely on the product. In addition,
formative and interim assessment practices provide a process to assess student
learning along the way and allow students and teachers to gather important data
that will inform teaching and learning. Processes that prepare teachers and support
students contribute to improved learning outcomes (Cwikla, 2007, Hill, 2007,
Smith et al, 2005, Wright & Li, 2008).
There are many costs and benefits involved in the shift toward a more
centralized federal policy regarding accountability in education. A review of the
impact of NCLB accountability mechanisms on middle school mathematics
teaching and learning reveals the importance of teacher knowledge in reform
oriented teaching practices (Smith et al., 2005) and for the improvement in student
achievement as measured by the National Assessment of Educational Progress.
Alignment to the teaching standards, as well as the mathematical standards, is
effected by teacher knowledge (Hill, 2007, Smith et al., 2005). The benefits of a
more centralized system in raising standards and equity regarding middle school
mathematics include more attention to effective ways of teaching mathematics
(Hannaway & Hamilton, 2010), the formation of learning communities
(Cwikla, 2007), and the development of technology for student assessment

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(Zucker, 2006). The costs range from the unmet needs of low-performing students
and second language learners (Cwikla, 2007, Wright & Li, 2008), to the lack of
tools to effect meaningful change, and the support of the practitioners needed to
solve the problems (Cohen & Moffit, 2002). In addition, there are limitations to the
ability to test all mathematical outcomes, and it is difficult to test for all aspects of
student learning.
The implications for future policy decisions as well as efforts to scale up
effective alternative models include the need to focus on inputs, processes, and
outcomes. Policy decisions that lead to change require long-term, sustained efforts
at every level of the system. As demonstrated from the findings, NCLB
accountability mechanisms have not yet achieved the desired outcomes. The focus
on accountability measures without addressing program coherence and a clear
process has not lead to closing the achievement gap. A great deal has been learned
to inform the future of teaching and learning in middle school mathematics. There
is a need to balance the urgency and desire for an immediate solution with the
longitudinal results obtained from consistent effort over time.

LIMITATIONS

The most significant limitation of this analysis is the lack of evidence to effectively
evaluate the impact of NCLB accountability mechanisms on middle school
mathematics teaching and learning. Given the complexity of teaching and learning,
and the variability of the education field, there is an extensive need to have many
different studies to fully evaluate the impact on teaching and learning. There are
many studies on NCLB in general and fewer studies that are specific to middle
school mathematics. In addition, it must be noted that this analysis was conducted
over a limited period of time. Although every effort was made to ensure the
research was exhaustive of the available resources, it is possible that more evidence
exists that has not been included in this policy analysis. It is just as possible that
little or no additional research on the topic exists.

SCHOLARLY SIGNIFICANCE

Overall, evidence was not found to demonstrate that the NCLB accountability
policy was effective in closing the achievement gap in middle school mathematics
to date. While there may be evidence that has not been gathered or found, it is clear
that many students are still far below the expected level of proficiency in middle
school mathematics (NAEP, 2009, Calder presentation, 2010). There are many
places to look to explain the reasons for the success or failure of the policy efforts.
The primary policy implication from this analysis is the need to conduct further
research in order to make sound recommendations for moving forward. First,
future policy efforts will benefit from developing further research on standards in
relation to teaching practices and student learning. Second, deeper understanding
of assessment practices and beliefs, as well as an enhancement of assessment
quality, will be beneficial. Third, methods for developing teacher knowledge and

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capacity are likely to contribute to the overall reform efforts. Fourth, attention to
students’ involvement in the assessment and learning process will bring needed
focus on the key aspect of student improvement. Finally, evaluating the way
feedback is given and the impact on student learning will improve tests
contributions to student success. Research in these areas will support the
development of a process that enables teachers and students to be successful in
meeting the challenging academic standards. A clearer understanding of the extent
to which NCLB facilitates alignment between mathematics standards and teaching
practices can contribute to future efforts to improve instruction and student
learning in other subjects as well.
The extensive Mathematics Achievement in the Middle Years: IEA’s Third
International Mathematics and Science Study (TIMSS) clearly capture important
recommendations for the future. Although the study was conducted before NCLB,
the findings are still relevant:
From TIMSS and other research we gain insights into characteristics of the U.S.
school mathematics curriculum and typical classroom instruction that affect student
learning. It is important to note, however, that many of the TIMSS findings are tied
to deeply rooted education practices in the United States. Thus, the task of
upgrading U.S. mathematics education is challenging and is quite likely to require
a substantial commitment of time and resources, including human and financial
capital. The findings of TIMSS, combined with those of related research, suggest
some pathways along which progress can be made. First, there needs to be a
serious national commitment to improved mathematics learning by all students.
Second, the mathematics curriculum and instructional practices utilized in the
middle grades need to be enhanced. Third, a substantial investment needs to be
made in teacher professional development in order to support a more ambitious
curriculum and more intellectually challenging mathematics instruction, which will
in turn lead to greater student achievement (Beaton et al., 1996).
A national study of the same rigor as the TIMSS study focused on the impact of
NCLB accountability mechanisms and standards based curriculum could yield
valuable evidence to identify processes that will improve mathematics teaching and
learning in the middle grades. The findings of this analysis have illuminated important
policy considerations and research directions that have the potential to shift the future
direction of educational practice and enhance teaching and learning in the USA.

NOTES
1
The Center for Educational Policy has also issued state and national mathematics assessment scores,
however due to the fact that the organization is an advocacy group, the results are not reported here
to eliminate potential bias.
2
There was also a the report on Assessing the Impact of Standards-based Middle School Mathematics
Curricula on Student Achievement and the Classroom Learning Environment for the National
Center for Education Research for the U.S. Department of Education (Reyes, 2006). This report
details a three year project called the Middle School Mathematics Study (MS)2. The study
investigates the use of mathematics curriculum materials on student learning in the middle grades.
Various methods were used including survey data, implementation logs, and achievement data to
determine the use of standards based materials (textbooks) and the effect on student learning.

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Overall, the study found discordant use of the materials by teachers. “Fidelity of implementation”
was an important factor in the differences that occurred in the results. Teachers were more likely to
teach Number and Operation (80% of the lessons from this strand), than Data analysis and
Probability (30–40% of lessons were omitted from this strand) (Reyes, 2006). The degree of the
Standards-Based Learning Environment that the students experienced was another important factor.
The findings indicate that a Standards-Based Learning Environment was more important than the
curriculum. This supports the importance of the teacher and teaching as a central predictor of student
achievement. While these findings are relevant, they were found in a government report and are
therefore included in this section as a footnote.
3
It is important to note that this study was presented at AERA but has not at this point been published
in a top tier journal to my knowledge. In addition, the study took place before NCLB. The purpose
in mentioning the findings is to highlight important considerations and areas for further research in
regards to mathematics standards.

REFERENCES

Aldeman, C. (2010). 12th Grade NAEP Results Show Little Progress, in Accountability. Education
Sector. Retrieved from http://www.quickanded.com/2010/11/12th-grade-naep-results-show-little-
progress.html
Beaton, A., Mullis, I., Martin, M., Gonzalez, E., Kelly, D., Smith, T, (1996). Mathematics chievement
in the Middle Years: IEA’s Third International Mathematics and Science Study (TIMSS). Boston
College, Chestnut Hill, MA.
Cohen, D.K., and Ball, Deborah L. (2007). Educational Innovation and the Problem of Scale, in Schneider
and McDonald (eds), Scale-Up In Education, Vol. 1. Lanham, Maryland: Rowman and Littlefield.
Cohen, D, Hill, H (2000). Instructional Policy and Classroom Performance: The Mathematics Reform in
California. Teachers College Record, 102(2), p. 294–343 Retrieved from http://www.tcrecord.org ID
Number: 10377
Darling-Hammond, L (1994). Performanced-Based Assessment and Educational Equity. Harvard
Education Review, Harvard Education Publishing, 64(1). Retrieved from http://her.hepg.org/
content/j57n353226536276/
National Center for Educational Statistics (2006). Average SAT scores for 12th-grade SAT test-taking
population, by race/ethnicity: 1996–2006, Status and Trends in the Education of Racial and Ethnic
Minorities. Retrieved from http://nces.ed.gov/pubs2007/minoritytrends/tables/table_14_1b.asp
National Council for Teaching Mathematics (2010). Professional Teaching Standards. Retrieved from
http://toolkitforchange.org/toolkit/view.php?obj=1039&link=84
Newmann, F., King, M., & Rigdon, M. (1997). Accountability and school performance; Implications
from Restructuring Schools. Harvard Educational Review, 67, 41–74.
Peca, K. Critical Theory in Education: Philosophical, Research, Sociobehavioral, and Organizational
Assumptions. Education Resource Information Center, Record Details: ED-450057. Retrieved from
http://www.eric.ed.gov/ERICWebPortal/search/detailmini.
Smith, T., Desimone, L., Ueno, K. (2005). Highly Qualified to Do What? The Relationship Between
NCLB Teacher Quality Mandates and the Use of Reform-Oriented Instruction in Middle School
Mathematics. Educational Evaluation and Policy Analysis. Washington: 27 (1) p. 75–109.
Wright, W., Li, X. (2008). High-Stakes math tests: How No Child Left Behind leaves newcomer
English language learners behind. Language Policy.
Youngs, P., Holdgreve-Resendez, R., & Qian, H. (forthcoming). The role of instructional program
coherence in beginning elementary teachers’ induction experiences. Elementary School Journal.
Zhao, Y. (2006). Are we fixing the wrong things? Creativity- not standardization- may be the driving
force behind an effective education system. Educational Leadership, Challenging the Status Quo,
63(8) p. 28–31.
Zucker, A. (2005). Development and Testing of Math Insight Software. Journal of Educational
Teachnology Systems, 34 (4).

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ANNOTATED REFERENCES

Primary Sources:
Council of Chief State School Officers and The National Governors Association (n.d.) Common Core
State Standards. Retrieved from http://www.corestandards.org/about-the-standards
The National Governors Association Center for Best Practices (NGA Center) and the Council of Chief
State School Officers (CCSSO) coordinates the Common Core State Standards initiative. It is a state-led
effort to create common standards for all students. Teachers, school administrators, and experts
collaborated to develop the standards. The intention was to provide clear student learning outcomes
necessary for students to be prepared for the required work of college and a career after high school. A
copy of the standards will be included in the appendix.

SMARTER Balanced Assessment Consortium (2010). Race to the Top Assessment Program
Application for New Grants, Comprehensive Assessment Systems, CFDA Number: 84.395B.
Retrieved from http://www.k12.wa.us/SMARTER/pubdocs/SBACNarrative.pdf
The application for the Race to the Top grant is the proposal of the SMARTER Balanced Assessment
Consortium to develop a balanced student assessment system for students. The proposal includes the
theory of action, the design and development of the assessment system, research and evaluation,
professional design and outreach, technology approach and project management. The goal is to create
high-quality assessments that are aligned to the Common Core State Standards (CCSS) and to guide
states in implementing the assessments that inform instruction and lead to improved learning outcomes
for students. It includes the innovative and efficient use of technology as instrumental in the balanced
assessment system.
Wood, George; Darling-Hammond, Linda; Niel, Monty; Roschewski, Pat (2007). Refocusing
Accountability: Using Local Performance Assessments to Enhance Teaching and Learning for
Higher Order Skills, Briefing Paper Prepared for Members of the Congress of The United States,
Forum for Education and Democracy. Retrieved from http://www.fairtest.org/files/Performance
Assessments.pdf

This document includes a discussion of NCLB Sec. 1111, b, 2,I, vi that calls for multiple measures
that assess higher-order thinking skills and the conflict with the standardized assessment tools used for
federal reporting that focus on lower level thinking. The document discusses the challenges presented
by standardized tests and the benefits of performance based assessments. It includes a
recommendation that the section should be amended to include performance based assessment that is
locally managed.
U.S. Department of Education (2001) No Child Left Behind Act of 2001. Retrieved from
http://www2.ed.gov/policy/elsec/leg/esea02/index.html. The section 1111(b) on assessment:
http://www2.ed.gov/policy/elsec/leg/esea02/pg2.html
The No Child Left Behind Act of 2001, public law 107–110, is an addendum to the Elementary and
Secondary Education Act. It includes areas such as improving academic achievement of the
disadvantaged and preparing, training and recruiting highly qualified teachers to enhancing education
through technology and promoting informed parent choice and innovative programs. Further
information is included in the information on the policy in this chapter.
U.S. Department of Education. (2010). A blueprint for reform: The reauthorization of the Elementary
and Secondary Education Act. Washington, DC: Author. Retrieved from http://www2.ed.gov/policy/
elsec/leg/blueprint/blueprint.pdf
The blueprint builds on the American Recovery Act of 2009. It outlines the need for improving
teaching effectiveness, providing information to families, implementing college and career readiness
standards, and improved student performance. In his introductory letter President Obama explains

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that the effort of the reauthorization is not only to change a flawed law but also to shift the role of
the federal government in education calls for an improvement in education in America so that by
2020 the United States will once again be the leader in college completion. The document includes a
new vision of assessment to inform instruction, assess higher-order thinking skills, and provide an
accurate picture of student learning. A re-envisioned framework for other aspects of the law are also
included.
U. S. Department of Education. (2006, December). No Child Left Behind Act is working. Retrieved
from: http://www.ed.gov/nclb/overview/importance/nclbworking.html
This piece outlines the progress that has been accomplished as a result of NCLB. Points are included
that list ways in which NCLB benefits children, empowers parents, supports teachers and strengthens
schools. It reports that evidence shows that students’ scores are improving.
U.S. Department of Education (1983). A Nation at Risk: The Imperative for Educational Reform.
National Commission on Excellence in Education. Retrieved from http://www2.ed.gov/pubs/
NatAtRisk/index.html
A pivotal document in American educational history, the Nation at Risk reported on the current findings in
education. It alerted the public to the poor academic achievement. The report made recommendations for
more learning time, and improvements to be made regarding content, standards, leadership and fiscal
support and teaching. The National Commission on Excellence in Education was created by President
Reagan. The view of education, American schools and policy were influenced by the findings in the report.

Secondary Sources:
Literature Review on Higher Order Thinking Skills
Arter, J. A. & Salmon, J. R. (1987) Assessing Higher Order Thinking Skills. A Consumer’s Guide,
Report: ED293877, 78.
This book includes information about higher-order thinking skills (HOTS) tests. A review of the tests
and important criteria for selecting tests is included. Although this is an older piece, it provides
interesting information on the selection of tests of higher-order thinking skills. The authors’ discussion
also provides a perspective on the theory and evolution of the conversation regarding higher-order
thinking skills.

Barak, Miri; Dori, Yehudit Judy, (2009). Enhancing Higher Order Thinking Skills among Inservice
Science Teachers via Embedded Assessment, Journal of Science Teacher Education; v.20 n.5
p459–474 Oct.
This article describes a study of graduate students who are in-service science teachers. The learning task
included embedded assessment. The goal was to determine if assessing higher-order thinking skills lead
to fostering higher-order thinking skills among the participants. The study found that higher order
thinking skills in the form of posing questions, forming opinions, creating arguments and demonstrating
critical thinking were enhanced.

Halpern, Diane F. (2001). Assessing the Effectiveness of Critical Thinking Instruction The Journal of
General Education – Penn State University Press, Volume 50, Number 4, 2001, pp. 270–286
The author discusses the importance of teaching students in higher education to think critically. Instruction
of critical thinking skills in higher education involves analyzing, evaluating, synthesizing, questioning and
other higher-order thinking skills. The author presents the common struggles in conversations regarding
critical thinking such as whether to teach these skills as a separate subject and who will teach these classes.
However, one thing is agreed, students need to develop these skills.

Kearney, C. Philip; And Others (1986). Assessing Higher Order Thinking Skills. Report: ERIC-TME-R-
90. 67pp.

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The authors discuss the issue of how to define Higher Order Thinking Skills, whether they should be
taught separately or integrated within subjects. This is the work of four presentations from the Annual
Michigan School Testing Conference on “Assessing Higher Order Thinking Skills.”
Kuhn, D. (2005). Education for thinking. Cambridge, MA: Harvard University Press, 205.
One of the more recent books on higher-order thinking skills and the complexities involved in educating
students to be thoughtful learners. The discussion includes a review of the goals of education, the skills
of inquiry, and learning to learn. The author also outlines the importance of developing argument skills
and the overall aspects of becoming educated. An informational overview of critical thinking, the book
provides theoretical as well as practical insights.

Learning Point Associates / North Central Regional Educational Laboratory (NCREL); (2005).
Implementing the No Child Left Behind Act: Using Student Engagement to Improve Adolescent
Literacy. NCREL Quick Key 10 Action Guide, 24pp.
This article focuses on literacy development over time. Higher-order thinking skills are addressed as an
important aspect in students’ developing a comprehension of the text and critical thinking skills for
analysis of the text and writing. Connections to NCLB and a focus on the needs to adolescent learners
are discussed.
Lin, Hong; Dwyer, Francis (2006). The Fingertip Effects of Computer-Based Assessment in Education.
Springer. New York, NY, TechTrends: Linking Research and Practice to Improve Learning; 50(6),
27–31.
This article discusses the effect of traditional assessment on capturing basic facts and procedural
knowledge, but the cognition and knowledge are often overlooked. The authors describe the effects
of computer-based assessment in education. This is a helpful piece in light of the technology focus
of both of the proposals. It offers useful evidence on the impact of the use of computers in
assessment.
Lombard, B. J. J. (2008). Modelling Critical Thinking through Learning-Oriented Assessment, South
African Journal of Higher Education; v22 n5 p1029–1043.
A discussion of the need to teach critical thinking skills and that they will not simply develop through
maturation. The author looks at two higher-order thinking skills assessments, Cornell Critical Thinking
Test (Level Z) and the Watson Glaser Critical Thinking Appraisal, and describes how the learning-
oriented assessment (LOA) may be used to develop students’ critical thinking abilities.
McNabb, Mary; Freeman, Molly; Cradler, Ruslmary (2002). On the Horizon, Electronic Student
Performance Assessments for Higher-Order Thinking. Learning and Leading with Technology,
International Society for Technology in Society, 30(3), 50–59.
This article looks at the use of technology to promote and assess higher-order thinking skills. It includes
a discussion of the value of balanced measures in assessing higher-order thinking skills, an overview of
tools being developed and current uses of technology in learning experiences. Examples of technology
systems to provide formative assessment and monitor students reasoning are cited. There are many
potential resources in this article that can be used to evaluate the future use of computers for balanced
assessment and for the validity of using computers to assess higher-order thinking skills.
Miri, Barak; Ben-Chaim, David; Zoller, Uri, (2007). Purposely Teaching for the Promotion of Higher-
Order Thinking Skills: A Case of Critical Thinking. Research in Science Education; v37(4)
353–369.
In this longitudinal study of high school students, higher order thinking skills were explicitly taught
within a science framework. The findings indicate that the consistent use of higher-order thinking
strategies lead to a correlation with the development of critical thinking capabilities in students.
Tankersley, Karen, (2007). Tests that Teach: Using Standardized Tests to Improve Instruction
Association for Supervision and Curriculum Development; Alexandria, VA.176pp.

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A description of ways to take test questions from standardized tests and use them to teach and foster
higher order thinking skills that then can be used on the standardized test. This book describes ways to
challenge students thinking so that the end of the year tests will reflect daily instruction. This book has
some useful pieces to connect assessment to classroom instruction. There are also a few aspects that can
be used to look at how tests are used to guide instructional practices.
Wenglinsky, Harold (2004). Facts or Critical Thinking Skills? What NAEP Results Say, Educational
Leadership, Association for Supervision and Curriculum Development, September, pp. 32–35
The author presents the historical argument between teaching facts of teaching for meaning. A
review of NAEP scores is used to determine that teaching critical thinking skills leads to higher
scores on the assessments. The article concludes with implications for policy makers including the
application of the findings to encourage educational leaders to demand autonomy in finding their
own ways to improve student achievement through a focus on of teaching for meaning.
Literature Review on Assessment and Formative Assessment (FA)
Bennett, R. E. (2009). A critical look at the meaning and basis of formative assessment.
Educational Testing Service
Bennett presents a critical perspective in examining formative assessment. He argues that many
different definitions have been proposed to explain formative and summative assessment. The
author argues against the open acceptance of FA because the evidence has not been conclusively
proven. This article provides salient information for the prospective challenges to implement and
measure FA.
Black, P., & Wiliam, D., (1998) Inside the black box: raising standards through classroom assessment.
Phi Delta Kappan, 80(2). 139–148. Retrieved from http://www.pdkintl.org/kappan/kbla9810.htm
Evidence shows that formative assessment is an essential ingredient of classroom work and that its
development can raise achievement standards. Achieving this goal demands a four-point scheme for
teacher development: learning from development, a slow, yet steady dissemination process, reduction of
obstacles, and substantive research efforts.
This is a foundational article that emphasizes the attention that has been paid to the inputs and
outputs of education, and not on the pedagogy and instruction in classrooms. The authors suggest that
teachers must increase students’ expectations of success, engage students in self-assessment, and use
more effective questioning strategies.

Burke, K. (1993) The Mindful School: How To Assess Thoughtful Outcomes. K-College Palatine, IL,
IRI/Skylight Publishing, Inc., 194.
A guide to help educators form their own assessment practices. Includes a review of authentic
assessment practices that foster positive interactions between students and teachers and encourage
learning that can be applied to real life situations. Many forms of assessment and their use are presented.
Dunn, K. E.; Mulvenon, S. W. (2009) Let’s Talk Formative Assessment... and Evaluation? Online
Submission, 16
The authors discuss the reason some teachers experience anxiety from high-stakes tests is because they
lack assessment language to use in their instruction. The article outlines the need for useful direction for
teachers and provides useful vocabulary for formative and summative assessment.
Weinbaum, E. (2008). Learning About Assessment: An Evaluation of a Ten-State Effort to Build
Assessment Capacity in High Schools
The State of Delaware and the Council of Chief State School Officers (CCSSO) partnered with the
Consortium for Policy Research in Education (CPRE) in 2006 to evaluate the initiative focused on
improving assessment practices at the high school level. The goal was to enable states, districts, and
schools to have more familiarity with instruction that uses assessment as part of the learning process, a

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practice known as assessment for learning. The report provides a summary of the evaluation research on
the initiative.
Assessment Matters: Find out What Students Need to Know and Assign Appropriate Learning
Materials–All with the Same Engaging Learning Environment (2005). Technology & Learning;
26(2) This article looks at ongoing assessment, beyond test scores, and its role in
improving student learning and test scores. Specifically, it focuses on the use of LeapTrack[R]
technology in a third grade classroom and the students’ learning gains, especially with low-
income students.
This piece is useful in looking at a specific example of formative assessment that utilizes
technology. The study found positive results in using the technology instruments which provided
feedback to the students. The students using the programs showed improved learning outcomes. It could
also be an interesting piece to look at the difference between teacher directed formative assessment and
computed generated formative assessment. The author of this piece was unclear and will require further
research on this piece.

Neill, M. (2006) Preparing Teachers to Beat the Agonies of No Child Left Behind (NCLB) Education
Digest, 71(8). 8–12.
An article about the preparation of teachers to work with alternatives to NCLB high-stakes testing. The
author discusses the effect of NCLB on schools and on the lives of children. There is also a discussion
on why standardized tests are inadequate to assesses important aspects of learning as well as the impact
of formative assessment.

Otero, V. K. (2006). Moving beyond the “get it or don’t” conception of formative assessment. Journal
of Teacher Education, 57, 247–255.
This article discusses the disconnect between teacher training theory and the application in classroom based
practices. Beginning teachers often view student learning from a framework of students’ fixed knowledge
rather than a continuous view of learning that is central to FA. Otero makes several suggestions to help pre-
service teachers develop the ability to use FA effectively, including Vygotsky’s sociocultural theory. This
article could provide a valuable discussion of the necessary elements of teacher preparation to ensure a
balanced assessment system is successfully implemented.
Shavelson, R. J; Young, D. B; Ayala, Carlos C; Brandon, P. R; Furtak, E. M.; Ruiz-Primo, M. A.;
Tomita, M. K;Yin, Y. (2008). On the Impact of Curriculum- Embedded Formative Assessment on
Learning: A Collaboration between Curriculum and Assessment Developers. Applied Measurement
in Education, 21(4).
This study on embedded formative assessment within a science curriculum includes an exploration of
the outcomes of formative assessment on student performance. The authors discuss the cost
effectiveness of implementing formative assessment for the value of return on student outcomes.
Sharing of information on the challenges and benefits of the study are also presented. This cost-benefit
analysis provides information that could be used against the argument that formative assessment cannot
be taken to scale due to the expense.

Stiggins, R., (2005). From formative assessment to assessment for learning: a path to success in
standards-based schools. Phi Delta Kappen, 87(4), 324–328.
The article discusses the purpose of assessments in U.S. schools and why they should be changed. The
author describes the redefined mission for American schools is to provide standards-based education
and the opportunity for all students to learn in effective schools with pre-specified standards. The
assessment legacy of ranking students with grades has been linked to motivation, but formative
assessment can promote student success.
Stiggins, R., (2007). Assessment through the student’s eye. Educational Leadership, 64 (8), 22–26.
Retrieved from http://tinyurl.com/ctz7vb

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The article addresses the use and purposes of assessment in U.S. education in the early 21st century.
The author notes that historically schools have used assessment to highlight student differences and rank
students by achievement. He adds that, in 2007, schools were using assessment information to help
students meet standards. The author believes that educators must address student confidence and
motivation as well as potential, and he suggests using assessment for learning rather than using it only
to verify learning. He explains that assessment for learning involves sharing information with students,
discussing goals, and providing descriptive feedback to improve performance. He provides suggestions
for professional development.
Stiggins, R., (2007) Five assessment myths and their consequences. Education Week, 27(8).

This article describes five myths about assessment that the author feels have a negative impact on the
improvement of schools. While many views have theoretical explanations, Stiggins presents a practical
approach to understanding assessment and in turn, shift the focus in schools.

Wiliam, D. (2004). Assessment and the regulation of learning.

This article outlines the process of formative assessment to identify the place where students are in their
learning, the target they need to get to, and a plan to reach that goal. The author describes the essential
element for assessments is to provide information that can be used to improve the learning process.
While there are several different definitions of FA, this discussion outlines a clear and concise definition
of FA.

Website:

Assessment Training Institute/Educational Testing Service (ATI/ETI) http://www.assessmentinst.com/

This site provides resources for learning teams on formative assessment. The Assessment Training
Institute was founded by Rick Stiggins, it is now owned and operated by Education Testing Services.

NCLB Policy Evaluation

Commission on No Child Left Behind. (2006, May). Improving achievement for all students: Is NCLB
accountability producing results? The Aspen Institute: Retrieved from http://www.aspeninstitute.
org/policy-work/no-child-left-behind/reports/improving-achievement all-students-ncl

This detailed report, as well as other resources available from the commission, provides information on the
results of the NCLB accountability efforts. A discussion on what will be needed to strengthen NCLB in the
future is provided. Essential elements for the future development of assessment and accountability practices are
included.

Conzemius, A. E. (2010) A Minimalist Approach to Reform, School Administrator; 67(1) 32–36.

This article looks at the broader needs of getting focused and staying focused on the necessary elements
that will ultimately change student outcomes. The author outlines the important wake-up call that
NCLB has been for educators and writes about the importance of planning, goal setting and formative
assessment that will lead to valuable and meaningful learning for teachers and students. A focus on
student outcomes, what has been learned from NCLB and the value of formative assessment provide
several points for the discussion on the benefit of formative assessment and the practical elements that
are necessary to implement assessments that reflect student learning.
Becker, J. P. & Shimada, S. (1997). The Open-Ended Approach: A New Proposal for Teaching
Mathematics, National Council of Teachers of Mathematics,VA. Report: ED419689. 186.
This book primarily looks at a study of Japan’s approach to teaching problem solving, however,
important implications for improving the assessment of problem solving abilities are included.
Blink, R. (2006). Data-Driven instructional leadership, Larchmont, NY, Eye on Education.

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This book provides examples from schools on how to meet student needs, foster a culture of high
expectations and meet the NCLB requirements. There is a section on summative assessment and
formative assessment.
Cohen, D; Moffitt, S; (2009). The Ordeal of Equality, Did Federal Regulations Fix Schools? Harvard
University Press, Cambridge, Massachusetts.
Cohen and Moffitt eloquently describe the challenges involved in the implementation of NCLB. They
discuss the importance of the knowledge required at the local level in implementing policy and the
effect of increasing involvement of the federal or centralized control in education. The authors also
present the need to consider capacity, tools, understanding of the task to be accomplished, and the
existing environment when designing, implementing and evaluating policy. Several criticisms of NCLB
are discussed by the authors.
Darling-Hammond, Linda (2007). Evaluating ‘No Child Left Behind,’ The Nation.
This article covers a review of the promises and problems of No Child Left Behind. The author writes of
the value of bringing attention to the differences in student performance through the statewide assessments
and raising awareness about the inequalities that exist in the educational system. However, the author also
outlines the many problems of the law including the focus on testing, the allocation of funding and the
narrowing of the curriculum. The recommendation to look at the educational needs of the nation is
presented. The author specifies that the education needs to meet the intellectual demands of the 21st
century as well as to balance the inequalities that have been historically inherent in education in the U.S. A
useful piece for the evaluation of NCLB and gathering evidence on the necessary elements for future
policy. The focus on the differences in student performance is also important in the review of the multi-
state proposals and the implementation of the common standards.
Darling-Hammond, L. (2010). The Flat World of Education: How America’s Commitment To Equity
Will Determine Our Future. New York: NY: Teachers College Press.
In this book, the author provides detailed evidence for her argument of the importance for America to
focus on equity in education. She discusses the impact of inequality in education from a variety of
perspectives. In conclusion, several key elements for education are listed including quality teacher
education, revised national standards and curriculum, eliminated examination systems, funded schools
adequately and equitably, developing national teaching policies, support ongoing teacher learning, and
pursue long-term reforms.
Hayes, W. (2008). No Child Left Behind: past, present and future. Lanham: Rowman & Littlefield
Education, 191.
This book provides a complete picture of NCLB. With a comprehensive overview of the history, the
current discussions regarding the limitations and accomplishments, as well a look into the future reform
efforts. The author presents evidence, clear examples as well as contextual and theoretical
considerations regarding the implementation of the law. This is an invaluable resource for the research
on the topic of NCLB and a policy analysis.
Kucerik, E. (2002). The No Child Left Behind Act of 2001: Will it Live Up to Its Promise Georgetown
Journal on Poverty Law and Policy, ix,(2).
This article discusses the challenges of the promise for 100% proficiency set forth by NCLB. It includes
the debate surrounding the accountability measures and standardized testing. It discusses the limitations
of tests and concludes with the need for tests to be aligned with what students are learning and for the
tests to accurately test student learning.

Marcelo M. Suárez-Orozco, Desirée Qin-Hilliard, (2004). Globalization: culture and education in the
new millennium, University of California Press, Berkeley and Los Angeles, California.
A discussion of the pressures of globalization on education and the surrounding culture is presented by
the authors. Although this is not a book about NCLB, it is an important piece to understand the context
in which NCLB legislation, implementation and evaluation is occurring.

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Prince, C. (2004). Changing policies to close the achievement gap. Lanham, Maryland: Scarecrow
Education, 99.
The author identifies how state and local politics widen the achievement gap. She discusses the complex
challenges presented to schools and describes changes that have been made my superintendants and
other school leaders to narrow the achievement disparity. The author argues that changes must be made
to policies to improve student performance.
Ravitch, D. (2010). The Death and Life of the Great American School System: How Testing and Choice
are Undermining Education. New York, NY: Basic Books.
The author reviews the effects of school choice and accountability on public schools. Through her own
experience as former Assistant Secretary of Education for President George Bush, she has a unique
perspective on the reform efforts in education. Many examples of the negative impact of testing and
choice on public schools are presented.
Sunderman, G. L., Kim, J.S., & Orfield, G. (2005). NCLB meets school realities: Lessons from the field.
Thousand Oaks, California: Corwin Press.
Various authors contribute different chapters to this book on the politics and practice of NCLB. An
overview of the history of the law is included as well as discussions of the intentions of the law and the
outcomes. Topics reviewed include test-based accountability and the achievement gap, effects on
underperforming students, supplemental educational services, graduation rate accountability and
rethinking NCLB. This is a useful resource for the central limitations of NCLB. The chapters outline
specific studies regarding NCLB that provide useful evidence in the evaluation of NCLB.
Methods:
Booth, W. C., Colomb, G. G., & Williams, J. M. (2008). The craft of research. Chicago: The University
of Chicago Press.
This book presents a clear, articulate and practical description of the research writing process. A step by
step explanation is given for the notice to advanced researcher to move from selecting a topic to a
completed research paper. This book is an essential companion to my work.
National Research Council (U.S.)., Shavelson, R. J., & Towne, L. (2002). Scientific research in
education. Washington, DC: National Academy Press.
A clear picture of the education of research is provided through thoughtful discussion of the many
factors involved in this type of research. A discussion of the similarities and differences between
scientific research in education and scientific research in other fields helps to create a framework of
principles that all research involves. Specific examples are used as well as an explanation of the specific
factors to consider when engaging in scientific research in education.

PROFESSIONAL STANDARDS FOR TEACHING MATHEMATICS

National Council of Teachers of Mathematics

National Council for Teaching Mathematics (2010). Professional Teaching Standards. Retrieved from
http://toolkitforchange.org/toolkit/view.php?obj=1039&link=84

Summary
Professional Standards for Teaching Mathematics expresses the vision of the
National Council of Teachers of Mathematics (NCTM) for teachers who are well
prepared to teach mathematics. The standards describe a set of principles
accompanied by elaborations and illustrations that can be used to judge what is
valuable and appropriate in mathematics teaching. This vision of mathematics
teaching includes guidance to help elementary and secondary teachers develop

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mathematical power for all students. Teachers need to be proficient in selecting tasks
that engage students’ intellect, deepening students’ understanding, orchestrating
mathematical discourse, using technology and tools to pursue mathematical
investigations, making connections to previous or developing knowledge, and
guiding individual, small group and whole class work. Guidance is also provided to
help teachers shift the emphasis in teaching and learning mathematics towards
classrooms as mathematical communities who use logical reasoning and provide
evidence as verification, make conjectures, invent and solve problems.

Purpose
The standards were designed to complement the Curriculum and Evaluation
Standards for School Mathematics and provide a broad framework to guide reform
in school mathematics. These standards were written to describe what high-quality
mathematics teaching for K-12 students should comprise. They are intended to
guide teachers towards excellence in teaching mathematics and communicate to the
public, government, departments of education, boards of education, policy makers,
and others ways to improve mathematics instruction.
Tool description
The standards for teaching mathematics emphasize the important decisions
teachers need to make in teaching:

• Selecting and using worthwhile mathematical tasks;

• Managing classroom discourse;
• Creating an environment to support teaching and learning, and;
• Analyzing student learning, mathematical tasks, and the environment to make
instructional decisions.

The standards for evaluation of teaching mathematics include the process and
substance of evaluation. Central to these standards is the assumption that
evaluation should result in the professional growth of teachers. The standards for
professional development of teachers focus on what teachers, both pre-service and
in-service, need to know about mathematics and pedagogy to develop
mathematically powerful students.
The document addresses the following areas of professional development:
• Modeling good mathematics teaching,
• Knowing mathematics and school mathematics,
• Knowing students as learners of mathematics,
• Developing as a teacher of mathematics, and
• Teachers’ role in professional development.
Finally, the standards for the support and development of teachers and teaching
address the responsibilities of those who make decisions that affect the teaching of
mathematics. These groups include policy makers, schools and school systems,
colleges and universities, and professional organizations. The standards describe ways
members from the different groups can support mathematics teaching and teachers.

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Contents Include:
Introduction
First Steps
Standards for Teaching Mathematics
Standard 1: Worthwhile Mathematical Tasks
Standard 2: Teacher’s Role in Discourse
Standard 3: Student’s Role in Discourse
Standard 4: Tools for Enhancing Discourse
Standard 5: Learning Environment
Standard 6: Analysis of Teaching and Learning
Standards for the Evaluation of the Teaching of Mathematics
Standard 1: The Evaluation Cycle
Standard 2: Teachers as Participants in Evaluation
Standard 3: Sources of Information
Standard 4: Mathematical Concepts, Procedures, and Connections
Standard 5: Mathematics and Problem Solving, Reasoning, and
Communication
Standard 6: Promoting Mathematical Disposition
Standard 7: Assessing Students’ Understanding of Mathematics
Standard 8: Learning Environments
Standards for the Professional Development of Teachers of Mathematics
Standard 1: Modeling Good Mathematics Teaching
Standard 2: Knowledge of Mathematics
Standard 3: Knowing Students as Learners of Mathematics
Standard 4: Knowing Mathematical Pedagogy
Standard 5: Developing as Teachers of Mathematics
Standard 6: The Teacher’s Role in Professional Development
Standards for the Support and Development of Mathematics Teachers
and Teaching
Standard 1: Responsibilities of Policymakers in Government, Business,
and Industry
Standard 2: Responsibilities of Schools and School Systems
Standard 3: Responsibilities of Colleges and Universities
Standard 4: Professional Organization Responsibilities
Next Steps
References

Background
The standards were drafted by the Commission on Professional Teaching
Standards which was established by the National Council of Teachers of
Mathematics in 1989. The commission and working groups were comprised of
mathematics educators, classroom teachers, supervisors, educational researchers,
mathematics teacher educators, and university mathematicians. Members of the
commission and the three working groups revised these standards in 1990.

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Design principles
The book is organized around five components that contribute to the
professionalism in mathematics teaching.
• Standards for teaching mathematics;
• Standards for the evaluation of teaching mathematics;
• Standards for the professional development of teachers of mathematics;
• Standards for the support and development of mathematics teachers and teaching;
• Next steps
Using the tool
The book can be used for multiple purposes:
• Individual teacher reflection: The book helps a teacher understand what a
mathematics classroom should look like where student understanding and
learning is central to the goals of the teacher. It provides descriptions of
standards that directly impact the teaching practice. Teachers will find the
standards for teaching mathematics to be a valuable guide for analyzing their
current practice and making adjustments to move towards the vision of the
standards. A teacher can read the standards, elaboration and vignettes, try out
some ides, and reflect on ways they can implement the standards. An individual
teacher can benefit from using this tool, but the teacher’s learning would be
greatly enhanced by sharing ideas with a colleague.
• For professional development: Selected readings from the book can be used in
small study groups. A study group can be a comfortable environment and
provide additional support for teachers. Teachers can work in grade level groups
or across grade levels to discuss the important teaching and learning ideas over a
period of time. Leaders of professional development, colleges and universities
can assign readings to highlight different aspects of the teaching practice.
• Evaluative evidence
Strengths
• Describes a vision of what high-quality mathematics teaching should look like
in K-12 classrooms.
NCTM Professional Teaching Standards
• Provides guidance to teachers, administrators, policymakers, governments,
colleges, and universities and others who have a role in developing or
supporting teachers in learning to teach mathematics.
• Provides an overview of each standard followed by the specific standards,
elaboration and vignettes from the classroom to illustrate the standards in
practice.
• Based on research.
Likely challenges
• Teachers will need time to learn and implement the standards into their practice.

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NCTM MATHEMATICS STANDARDS FOR MATHEMATICAL PRACTICE

The Standards for Mathematical Practice describe varieties of expertise that

mathematics educators at all levels should seek to develop in their students. These
practices rest on important “processes and proficiencies” with longstanding
importance in mathematics education. The first of these are the NCTM process
standards of problem solving, reasoning and proof, communication, representation,
and connections. The second are the strands of mathematical proficiency specified
in the National Research Council’s report Adding It Up: adaptive reasoning,
strategic competence, conceptual understanding (comprehension of mathematical
concepts, operations and relations), procedural fluency (skill in carrying out
procedures flexibly, accurately, efficiently and appropriately), and productive
disposition (habitual inclination to see mathematics as sensible, useful, and
worthwhile, coupled with a belief in diligence and one’s own efficacy).
1. Make sense of problems and persevere in solving them.
Mathematically proficient students start by explaining to themselves the
meaning of a problem and looking for entry points to its solution. They analyze
givens, constraints, relationships, and goals. They make conjectures about the
form and meaning of the solution and plan a solution pathway rather than
simply jumping into a solution attempt. They consider analogous problems, and
try special cases and simpler forms of the original problem in order to gain
insight into its solution. They monitor and evaluate their progress and change
course if necessary. Older students might, depending on the context of the
problem, transform algebraic expressions or change the viewing window on
their graphing calculator to get the information they need. Mathematically
proficient students can explain correspondences between equations, verbal
descriptions, tables, and graphs or draw diagrams of important features and
relationships, graph data, and search for regularity or trends. Younger students
might rely on using concrete objects or pictures to help conceptualize and solve
a problem. Mathematically proficient students check their answers to problems
using a different method, and they continually ask themselves, “Does this make
sense?” They can understand the approaches of others to solving complex
problems and identify correspondences between different approaches.
2. Reason abstractly and quantitatively.
Mathematically proficient students make sense of quantities and their
relationships in problem situations. They bring two complementary abilities to
bear on problems involving quantitative relationships: the ability to
decontextualize—to abstract a given situation and represent it symbolically and
manipulate the representing symbols as if they have a life of their own, without
necessarily attending to their referents—and the ability to contextualize, to
pause as needed during the manipulation process in order to probe into the
referents for the symbols involved. Quantitative reasoning entails habits of
creating a coherent representation of the problem at hand; considering the units
involved; attending to the meaning of quantities, not just how to compute them;
and knowing and flexibly using different properties of operations and objects.

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3. Construct viable arguments and critique the reasoning of others.

Mathematically proficient students understand and use stated assumptions,
definitions, and previously established results in constructing arguments. They
make conjectures and build a logical progression of statements to explore the
truth of their conjectures. They are able to analyze situations by breaking them
into cases, and can recognize and use counterexamples. They justify their
conclusions, communicate them to others, and respond to the arguments of
others. They reason inductively about data, making plausible arguments that
take into account the context from which the data arose. Mathematically
proficient students are also able to compare the effectiveness of two plausible
arguments, distinguish correct logic or reasoning from that which is flawed,
and—if there is a flaw in an argument—explain what it is. Elementary
students can construct arguments using concrete referents such as objects,
drawings, diagrams, and actions. Such arguments can make sense and be
correct, even though they are not generalized or made formal until later
grades. Later, students learn to determine domains to which an argument
applies. Students at all grades can listen or read the arguments of others,
decide whether they make sense, and ask useful questions to clarify or
improve the arguments.
4. Model with mathematics.
Mathematically proficient students can apply the mathematics they know to
solve problems arising in everyday life, society, and the workplace. In early
grades, this might be as simple as writing an addition equation to describe a
situation. In middle grades, a student might apply proportional reasoning to plan
a school event or analyze a problem in the community. By high school, a student
might use geometry to solve a design problem or use a function to describe how
one quantity of interest depends on another. Mathematically proficient students
who can apply what they know are comfortable making assumptions and
approximations to simplify a complicated situation, realizing that these may
need revision later. They are able to identify important quantities in a practical
situation and map their relationships using such tools as diagrams, two-way
tables, graphs, flowcharts and formulas. They can analyze those relationships
mathematically to draw conclusions. They routinely interpret their mathematical
results in the context of the situation and reflect on whether the results make
sense, possibly improving the model if it has not served its purpose.
5. Use appropriate tools strategically
Mathematically proficient students consider the available tools when solving a
mathematical problem. These tools might include pencil and paper, concrete
models, a ruler, a protractor, a calculator, a spreadsheet, a computer algebra
system, a statistical package, or dynamic geometry software. Proficient students
are sufficiently familiar with tools appropriate for their grade or course to make
sound decisions about when each of these tools might be helpful, recognizing
both the insight to be gained and their limitations. For example, mathematically
proficient high school students analyze graphs of functions and solutions

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TARA KINTZ

generated using a graphing calculator. They detect possible errors by

strategically using estimation and other mathematical knowledge. When making
mathematical models, they know that technology can enable them to visualize
the results of varying assumptions, explore consequences, and compare
predictions with data. Mathematically proficient students at various grade levels
are able to identify relevant external mathematical resources, such as digital
content located on a website, and use them to pose or solve problems. They are
able to use technological tools to explore and deepen their understanding of
concepts.
6. Attend to precision.
Mathematically proficient students try to communicate precisely to others. They
try to use clear definitions in discussion with others and in their own reasoning.
They state the meaning of the symbols they choose, including using the equal
sign consistently and appropriately. They are careful about specifying units of
measure, and labeling axes to clarify the correspondence with quantities in a
problem. They calculate accurately and efficiently, express numerical answers
with a degree of precision appropriate for the problem context. In the
elementary grades, students give carefully formulated explanations to each
other. By the time they reach high school they have learned to examine claims
and make explicit use of definitions.
7. Look for and make use of structure.
Mathematically proficient students look closely to discern a pattern or structure.
Young students, for example, might notice that three and seven more is the same
amount as seven and three more, or they may sort a collection of shapes
according to how many sides the shapes have. Later, students will see 7 × 8
equals the well remembered 7 × 5 + 7 × 3, in preparation for learning about the
distributive property. In the expression x2 + 9x + 14, older students can see the
14 as 2 × 7 and the 9 as 2 + 7. They recognize the significance of an existing line
in a geometric figure and can use the strategy of drawing an auxiliary line for
solving problems. They also can step back for an overview and shift perspective.
They can see complicated things, such as some algebraic expressions, as single
objects or as being composed of several objects. For example, they can see 5 –
3(x – y)2 as 5 minus a positive number times a square and use that to realize that
its value cannot be more than 5 for any real numbers x and y.
8. Look for and express regularity in repeated reasoning.
Mathematically proficient students notice if calculations are repeated, and look
both for general methods and for shortcuts. Upper elementary students might
notice when dividing 25 by 11 that they are repeating the same calculations over
and over again, and conclude they have a repeating decimal. By paying attention
to the calculation of slope as they repeatedly check whether points are on the
line through (1, 2) with slope 3, middle school students might abstract the
equation (y – 2)/(x – 1) = 3. Noticing the regularity in the way terms cancel
when expanding (x – 1)(x + 1), (x – 1)(x2 + x + 1), and (x – 1)(x3 + x2 + x + 1)
might lead them to the general formula for the sum of a geometric series. As

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 THE EFFECT OF THE NO CHILD LEFT BEHIND ACCOUNTABILITY

they work to solve a problem, mathematically proficient students maintain

oversight of the process, while attending to the details. They continually
evaluate the reasonableness of their intermediate results.

CONNECTING THE STANDARDS FOR MATHEMATICAL PRACTICE TO THE

STANDARDS FOR MATHEMATICAL CONTENT

The Standards for Mathematical Practice describe ways in which developing

student practitioners of the discipline of mathematics increasingly ought to engage
with the subject matter as they grow in mathematical maturity and expertise
throughout the elementary, middle and high school years. Designers of curricula,
assessments, and professional development should all attend to the need to connect
the mathematical practices to mathematical content in mathematics instruction. The
Standards for Mathematical Content are a balanced combination of procedure and
understanding. Expectations that begin with the word “understand” are often
especially good opportunities to connect the practices to the content. Students who
lack understanding of a topic may rely on procedures too heavily. Without a
flexible base from which to work, they may be less likely to consider analogous
problems, represent problems coherently, justify conclusions, apply the
mathematics to practical situations, use technology mindfully to work with the
mathematics, explain the mathematics accurately to other students, step back for an
overview, or deviate from a known procedure to find a shortcut. In short, a lack of
understanding effectively prevents a student from engaging in the mathematical
practices. In this respect, those content standards which set an expectation of
understanding are potential “points of intersection” between the Standards for
Mathematical Content and the Standards for Mathematical Practice. These points
of intersection are intended to be weighted toward central and generative concepts
in the school mathematics curriculum that most merit the time, resources,
innovative energies, and focus necessary to qualitatively improve the curriculum,
instruction, assessment, professional development, and student achievement in
mathematics.

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 CHAPTER 7

SANDRA K. PYLVAINEN

Teacher Perceptions of Curriculum Under No Child

Left Behind

“When I walk down a hallway I want to hear one teacher start a sentence, and
another teacher finish it at the other end of the hallway.”
–oft-repeated phrase, attributed to Arne Duncan
Today is a great day! I have looked forward to this day for a long time—and so
have America’s teachers, parents, students, and school leaders. Today is the
day that marks the beginning of the development of a new and much-improved
generation of assessments for America’s schoolchildren. Today marks the start
of Assessments 2.0. And today marks one more milestone, testifying to the
transformational change now taking hold in our nation’s schools under the
courageous leadership and vision of state and district officials.
–Arne Duncan to State Leaders at Achieve’s American Diploma Project
Leadership Team Meeting, September 2, 2010
This article looks at the theoretical basis for test-aligned curriculum and then
compares its intended outcomes to actual data results from one Michigan district’s
secondary schools. In addition, teachers’ perceptions of the test-aligned curriculum
are surveyed and analyzed. Findings indicate that the curriculum has not proven
significantly effective in improving student scores and teacher morale may be
lowering. An alternative to test-aligned curriculum is presented.
In 2002, the United States’ Congress signed Public Law 107–110, commonly
referred to as the No Child Left Behind Act (NCLB), and in so doing, Congress
established a precedent for accountability and effectiveness in education:
The purpose of this title is to ensure that all children have a fair, equal, and
significant opportunity to obtain a high-quality education and reach, at a
minimum, proficiency on challenging State academic achievement standards
and state academic assessments.
Furthermore, the policy goes on to assert:
High-quality academic assessments, accountability systems, teacher
preparation and training, curriculum, and instructional materials are aligned

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 163–206.
© 2012 Sense Publishers. All rights reserved.
SANDRA K. PYLVAINEN

with challenging State academic standards so that students, teachers, parents

and administrators can measure progress against common expectations for
student academic achievement. (Public Law 107–110, 2002)
This policy addresses the problem of falling achievement among the United States’
schools and calls for accountability from all stakeholders, pointing specifically at
standards aligned to assessments, rigorous curriculum, quality teachers and
principals, and systems for collecting data. The NCLB policy seeks to raise student
achievement and ensure educational equity, using standardized test scores as
measurement criteria. The reauthorization of this policy under President Obama
included an incentive program entitled the Race to the Top (RTTT) Assessment
Program (U.S. Department of Education, 2010), which pushes for accountability
through a data collection system. Through both NCLB policy and the RTTT
program the federal government compels states to establish and refine assessment
data collection systems.
The purpose of this study is to look at a prevailing trend in education aimed at
implementing the NCLB policy. To ensure that schools provide quality instruction
of standards-based curricula and thereby raise test scores, some districts began to
develop test-aligned curricula that is prescribed and closely paced.
I have analyzed the test-aligned curriculum movement in schools by taking an
analytical and descriptive approach. I considered the history behind the movement,
the prominent participants in the implementation of the policy, and the outcomes to
American schools if they stay on this path. In addition, I have explored alternatives
to test-aligned curriculum. My research questions are based on principles of
instruction and outcomes:
1. What is the theoretical basis underlying the test-aligned curriculum movement,
what are its intended outcomes, and what empirical research supports it?
2. What are the assumptions about students, teachers and learning that are implicit
in the test-aligned curriculum?
3. What are the policy implications of the test-aligned curriculum program?

PERSPECTIVES AND FRAMEWORK

No Child Left Behind (NCLB) is the name given to the 2001 reauthorization of the
preexisting 1965 Elementary and Secondary Education Act (ESEA). This policy
makeover was explicitly intended to address the United States’ educational
weaknesses; specifically, the 2001 reauthorization was aimed at narrowing the
achievement gap between the nation’s highest and lowest achieving students.
National and international tests such as NAEP and PISA have repeatedly reported
dismal achievement for many of America’s youth, and especially those in urban
and impoverished areas. The low-achieving populations are concentrated in urban
centers, often areas of poverty with high minority populations. Reflecting internal
educational disparities, American students, on average, have been falling far
behind their counterparts globally. While America had previously produced the
most high school graduates, by 2000 the United States had fallen to 14th place in

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 TEACHER PERCEPTIONS OF CURRICULUM

high school graduation rates. By 2006, the picture had not brightened; the United
States still ranked low on PISA mathematics—25th of 30 countries in the
Organization for Economic Cooperation and Development (OECD). At a time
when technological advancement demands an increasingly educated workforce,
only 70% of United States’ students earn a diploma and only a third complete a
college degree (Darling-Hammond, 2010). The global implications are nothing less
than daunting. Darling-Hammond (2010) explained that “the results have been that
the United States is standing still while more focused nations move rapidly ahead,”
(2010, p. 9).
The advent of intensive testing of the United States’ students corresponds to the
passage of NCLB. The federal law requires states to test students in math and
reading every year in grades 3–8 and at least once in high school. This requirement
brings with it a culture of testing to promote accountability, often accompanied by
a narrowing of the curriculum (Crocco & Costigan, 2007, Herman, 2007). Within
that culture, a brisk business developed for testing companies who create the tests
and prepare the data (Olson, 2005). To produce the rapid advances in learning that
the mandate requires, and to prepare students for the high-stakes annual tests,
educators and policy-makers began to presume that testing at even more frequent
and regular intervals would produce the desired effect. A movement toward
increased emphasis on common formative and unit testing claims that teaching
units and tests “provide educators with predictive value of how students are likely
to perform on those summative assessment measures” and allows teachers to adjust
instruction accordingly (Ainsworth, 2010, p 139). Some educators claim that tests
provide the motivation required for students to prepare and advance quickly in
their learning. The motivation to learn quickly, this theory contends, results from
test-anxiety (Lewis, 2000); hence the testing trend spread rapidly, raising hopes
that it would raise student test scores and reduce the achievement gap in America’s
schools.
Along with the high-stakes annual required testing came interim testing and
curriculum tied to those tests. Called “benchmark testing” or “formative testing,”
the interval testing has become a multi-million dollar business in America, and
vendors, suppliers, and test preparation competitors abound. Already in 2005, it
was estimated that the market for benchmark assessments would soon exceed $323
million for vendors annually (Olson, 2005). As part of the data-driven movement
and to prepare students for the federally mandated tests, many districts now create
their own interim tests and develop curriculum leading up to these tests. The course
of implementation of this test-aligned curriculum movement varies among districts;
however, some districts have developed curricula to the extent that classrooms are
even scripted, from teacher’s planning to procedures for each day’s lesson. The
lessons are grouped around essential learning outcomes aligned to state standards.
Content units, typically 2–5 weeks in duration, end in district interim tests, and
finally in district summative exams at semester end. These interim tests and
summative exams are usually multiple-choice, and when districts do not buy them
from one of the many test vendors, the tests and curriculum units are created by
teacher teams. Drawing from theoretical frameworks as well as data collected from

165
SANDRA K. PYLVAINEN

teachers in one Mich higan school district, my sstudy focuses on this trendd of
g teachers to teach
requiring t the test-aaligned curricuulum given theem by the disttrict,
instead of
o their own so
ocially-construccted curriculumm.

THEORETICAL
T FRAMEWORK
K AS GIVEN BY
Y THE FEDERA
AL POLICY

The fourr-column table (Figure 1) outllines the criteriia that I use forr my analysis. The
first colu
umn shows thee national and state
s political ccontexts in whiich the test-aliggned
curriculuum is nested. As
A an implemeentation of thee federal NCLB B policy and sstate
buy-in too the Race to th
he Top (RTTT)) initiative, the curriculum proogram is structuured
such thaat teachers dev velop the currriculum under the direction of principals and
district leaders.
l The curriculum
c alig
gns with the state benchmaark standards and
designatees content andd delivery withiin stated time frames. Each uunit is designeed to
end with h a common disstrict assessmen nt. Teachers annd students aree expected to coover
the mateerial in the tim
me frame speciified on pacinng guides. The ensuing comm mon
assessmeents provide the accountability y data to the diistrict administtrators. This plaan is
being immplemented in many
m districts across
a the state of Michigan.

Figure 1. Thee Analytical Fram

mework.

166
 TEACHE
ER PERCEPTION
NS OF CURRICUL
LUM

My reseearch followed an evaluatiive policy annalysis framew work and useed a

framewo ork similar to those
t used by industrial
i analyysts, conceptuaalizing the flow w of
inputs and
a following the educatio onal process, resulting in student outcomes
(Resnick k et al, 2007). The framewo ork is in Figurre 2 which shoows the policyy as
conceiveed. It portray ys interactionss between thhe actors, inpputs, process and
outcomees involved in the t test-aligned d curriculum prrogram.
Figurre 2 shows thatt the federal an nd state policiees impact the llocal districts, and
that outccomes are depeendent upon what w happens wwithin the Classsroom Instrucction
box. Thiis box, which contains
c the ennactment of thee curriculum, inncludes all teaccher
attributees, the instructiion itself, and the students, w within an unsppecified classrooom
context. This diagram m also shows th hat much is aassumed in ordder to achieve the
intended d outcomes. Stu udent engagem ment is one assuumption, yet fafactors to ensurre or
promotee student engag gement are not designated in the policy fram mework. Indeeed, a
closely paced
p curricullum prescribess that all studeents work at a similar pace and
advance through the curriculum together. t Provvisions for asssisting strugggling
students must be mad de outside of the general ccurriculum insstruction. Anoother
assumption lies with th he teachers; co ontent knowleddge and pedaggogical knowleedge
are present, and teacher beliefs are assumed to suupport the currriculum objecttives
and its pacing. Finallly, because the t context iss unspecified, we note thaat it
is assummed to be a “standard”
“ classsroom, withouut cultural, lan
anguage, or soocio-
economiic factors impaacting studentss, resources, orr procedures inn ways that coould
impact th he flow of insttruction.
My hypothesis
h is th
hat while studeent learning ass measured by achievement ttests
may incrrease under the test-aligned curriculum proogram, the disstrict’s test-aliggned

Figu
ure 2. Conceptua
al Map for Distriict Implementatiion of NCLB andd State Policies.

167
SANDRA K. PYLVAINEN

curriculum may also produce the unintended outcome of lowering teacher morale.
Teachers may feel that the curriculum has been imposed upon them, and that they
have diminished professional autonomy to teach using best practices and as
reflective practitioners, providing the most effective instruction for all learners and
taking into account cultural, language and socio-economic factors that may affect
student learning.
As will become evident in the analysis of the federal policy, important
processes have been ignored and may constitute the breakdown point of this
policy.

METHODS AND DATA SOURCES

I used an analytical method to study the actions of federal, state, and district actors
in the design and mandate to implement test-aligned curriculum, as explained on
the framework in Figure 1 and the process map in Figure 2. The analytical
framework in Figure 1 shows that the federal and state decision to collect data
correlates with the district decisions to create test-aligned curricula. These tests
will produce scores, and thus, reflect accountability for teachers. Teachers,
teaching and the learning process are marginalized in this process, however, as
shown in the conceptual map in Figure 2. Teachers are not required to directly
participate in the design of the test-aligned curricula, an action that effectively
changes the nature of teachers’ work (e.g., if teaching is regarded as a profession
that includes lesson design, reflection, and adjustment within a specific context to
act in the pupil’s best interest).
My research began with a library catalog search using the descriptors NCLB and
curriculum, then appending the terms dictated, scripted, and test-aligned. Linda
Darling-Hammond (2010) uses the word dictated in The Flat World and Education
(2010), though the descriptors scripted and test-aligned are used more commonly
by other researchers, such as Tatto and Plank (2007). These searches produced
varying results, with the preponderance of information gathered from searches of
“NCLB” and “curriculum” and “testing.”
Appendix 1 contains a table, itemizing my sources found using online databases
such as ERIC, Social Sciences Index, and Psychology Index. I used recent articles
from first tier peer-reviewed journals such as Educational Leadership, Peabody
Journal of Education, Journal of Economic Perspectives, Journal of Research in
Science Teaching, Journal for Research in Science Education, and reports from the
National Center for Research on Evaluation, Standards and Student Testing and the
Consortium for Policy Research in Education, since I wished to focus on
curriculum trends since the advent of NCLB.
My literature review encompassed the findings on interim and benchmark
testing under NCLB, forming the basis for my study, since research on test-aligned
curriculum is lacking. Therefore, my findings focused on the impact of testing, the
absence of theory behind the testing movement, and the perspectives of teachers on
the teach-to-the-test phenomenon. The development of test-aligned curriculum
correlates to all of these elements.

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 TEACHER PERCEPTIONS OF CURRICULUM

RESULTS

From the Literature

The literature on curriculum under NCLB reveals that states and districts have been
advancing towards curricula that align with state standards and use standardized
tests to hold schools accountable. As the law requires, states must create and
maintain assessments aligned to standards that can measure schools’ progress, all
tied to Adequate Yearly Progress (AYP) designations, that are in turn tied to
sanctions if not met, and ultimately, to federal dollars (Glatthorn, 2009 ). On many
counts, teachers support the measures drawn by NCLB, especially the attention the
policy has directed at disadvantaged student populations. However, teachers also
express concerns that the curriculum is narrowing under NCLB and the needs of
those who would be best served are instead being underserved (Murnane & Papay,
2010).
Scholarly literature reviewing the current state of accountability measures in
American education (Berliner, 2009 Darling-Hammond, 2010, Ravitch, 2010,
Zhao, 2009) reveals the need for research on the dilemma between two conflicting
modes of NCLB implementation: socially constructed curricula that support
teacher professional autonomy vs. the test-aligned curricula that control instruction
of a prescribed curriculum by placing tests at unit intervals. Shepard (2010) argued
that no research supports the continued use of test-aligned curricula and that some
research shows that test-aligned curricula cause a reversal of academic growth.
In addition, current research shows that terminology matters when discussing
testing in America’s public schools. Benchmark, interim, and formative are terms
which must be clarified in this context. While many school districts feel pressure to
purchase tests from a commercial testing company, the research differentiates
between the external interim or benchmark tests and the internal formative tests
that teachers deliver frequently in their classrooms as part of their instruction.
These formative assessments are designed to inform teachers and help them adjust
instruction as it happens, while the external testing of interim tests predicts how
students will perform on a summative exam later in the year. Researchers question
the assumptions that underpin the administration of the external testing (Burch,
2010, Halverson, 2010), and further argue that the learning theory underlying the
testing cycle should be clearly stated and examined by policymakers before we
advance with more testing (Perie, Marion, & Gong, 2009).
Researchers maintain that in the rush and pressure to test students, educators
must be certain that testing does indeed promote learning. Black and William
(2004) showed that internal formative testing that is embedded in curriculum can
produce results in student learning. However, other recent studies showcasing
external interim testing show mixed results. The study of the Philadelphia school
district’s interim assessment program (Bulkley, Christman, Goertz & Lawrence,
2010), as well as Blanc et al.’s (2010) and Olah, Lawrence and Riggan’s (2010)
studies involving interviews and case studies, show that teachers do re-teach after
seeing the data from external interim testing, and they engage in deep
conversations with colleagues, but the external interim test score data do not result

169
SANDRA K. PYLVAINEN

in instructional makeovers. In fact, teachers seem to gain little insight about their
students’ thinking from interim testing data and thus, do not change their
instructional methods.
One of the central claims of the testing movement is that tests that are aligned to
the curriculum, serve to inform the teacher of student performance, and that
teachers will use the testing data to adjust instruction. Teachers cover the aligned
curriculum unit, and then administer the common test. Upon receiving the scores,
teachers adjust and re-teach the material to all or at least to those who fell short of
the proficiency standard. In Philadelphia, the cycle runs for five weeks: four to
teach, followed by testing and then one more week to re-teach the missed items.
Scholars argue that this cycle of testing relies on unproven assumptions of teacher
capacity, teacher beliefs, and scope and space to teach the necessary lessons
(Goertz, Olah & Riggan, 2009). Some administrators worry about teachers having
the skills to apply test results to classroom instruction, while others note that the
time and space may not be adequate. In any case, the intended impact of test results
on instructional practice has not been significant (Shepard, 2010). Some teachers
only return and re-teach in the same way, and others talk to the failing student
about how important the tests are, but the test scores do not inform the teachers
about what or why the students did not learn the material; hence, the teaching
methods do not adjust to precisely fill the gap. Indeed, highly qualified teachers,
despite education, certification, content knowledge, and professional development,
are not using the testing data to directly inform teaching practice. While many
reasons can be found, including test items not aligning coherently with the
curriculum (Goertz, Olah, & Riggan, 2009), and tests not designed to produce
conceptual and diagnostic insights about student thinking (Burch, 2010), it remains
the case that the testing is less useful for instruction than policymakers of NCLB
had expected. This area demands continued research.
Other voices insist that the very minorities and disadvantaged groups that NCLB
is meant to serve are further disadvantaged by the test-aligned curriculum notion
(Penfield & Lee, 2010). The test-aligned curriculum developed to provide quality
and equity across districts cannot guarantee that the curriculum is taught as
prescribed. In the end, the delivered curriculum experienced by the students will be
determined by the individual teacher (Koriuka, 2009). If, as Deweyan logic
suggests, the test-aligned movement is an attempt to assert dominant power on
teachers and students, the research literature of post-NCLB and RTTT test-aligned
curriculum initiatives shows that direct control of what happens inside classrooms
via tests and test-aligned curriculum is not easily achieved.

FROM A CASE STUDY

My empirical research takes the form of a survey of teachers, who are significant
actors and stakeholders in the educational process (Majchrzak, 1984), within one
school district in southeastern Michigan. I chose the district because it is known
locally for having focused extensively on aligning curriculum. The district has
been working on both horizontal and vertical alignment for years, but in the past

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 TEACHER PERCEPTIONS OF CURRICULUM

three years has seen an actual completion of aligned curriculum for the core subject
areas in three secondary schools: a middle school, a junior high school, and a high
school. Working in Professional Learning Communities (PLCs) on curriculum
alignment, the district has been following the lead of educators such as Reeves, the
Dufours, and Schmoker, whose multiple publications describe aligned curriculum
and common assessments that can inform the teacher of needed adjustments in
instruction (DuFour, Eaker & DuFour, 2005, Reeves, 2005, Schmoker, 2006).
They advocate teacher collaboration to create the curriculum and the assessments,
followed by collective comparison of results from the formative or interim
assessments. The comparing and sharing of results then leads to professional
conversations about best practices. From my personal conversations with teachers,
references to curriculum work and to PLC work indicate that these practices are
followed within the district that I surveyed.
Before designing the survey instrument, I obtained a copy of the district’s
middle school curriculum, which proved that the district has indeed put
considerable effort into test-aligned curriculum (see Appendices). After receiving
IRB approval of my project, I contacted the district’s Superintendent of Instruction
and asked permission to survey the teachers and principals regarding the district’s
curriculum. The superintendent granted permission and helped coordinate the
survey effort. I wrote a letter to the teachers, asking for their participation and
explaining the purpose of my study. I also asked them to contact me if they would
be willing to answer follow-up questions. I then distributed a link to a short online
survey, which contained both quantitative rating questions and opportunities for
open-ended responses (see Appendices). The ten questions in the survey focus on
the teachers’ perceptions of personal involvement and authorship of the current
curriculum in use by the district, and their opinions regarding the impact of the
curriculum on student learning. One week later, the resulting 31 survey responses
were collected. In addition to these surveys, I interviewed one school principal and
the Superintendent of Instruction. These administrators shared with me their
viewpoints and data about the schools’ achievements, grades, graduation rates, and
Michigan Merit Exam (MME) scores since the curriculum implementation (see
Appendix). The district’s MME scores are also available online at Michigan
Department of Education (MDE) website under OEAA.
I analyzed both the quantitative and the qualitative teacher data in multiple
ways. I first reviewed the data in frequency tables, looking for trends and patterns
in teacher perceptions. Key variables, such as school and subject, were used to
create crosstabs of the survey data, revealing several interesting trends. Using a
statistical software package, exploratory analyses were conducted to see whether
any quantitative variables were significantly correlated. After finding several
significant correlations, a series of one-way ANOVA’s with Tukey post-hoc tests
were conducted to verify the statistical significance and identify the specific
relationships between teachers’ survey responses. The results are included in the
Appendices.
After analyzing the scaled responses, I studied the 15 open-ended responses
volunteered by teachers at the end of the survey. In these, I noticed a trend in

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SANDRA K. PYLVAINEN

commennts that correlatted to professional autonomyy issues. Basedd on this findinng, I

then deecided to inv vestigate furth her correspondding issues rregarding teaccher
autonom
my.

REVISITIN
NG THE QUEST
TIONS

Using an n evaluative an
nalytical frameework (Weiss, 1998), I returnned to my origginal
research
h questions, usiing my review of literature aand data from oone school disstrict
to identiify the assumpptions of the th
heoretical fram
mework and pootential unintennded
consequences of the test-aligned curriculum
c moovement, inclluding how thhese
assumptions could inflluence the outccomes, stated aas goals of NCLLB and RTTT..

Resea
arch Question 11:
What is the theoreticaal basis underrlying the test--aligned curricculum movem ment,
what aree its intended outcomes, and whatw empiricall research suppports it?
The four-column
f tab
ble (Figure 1) shows the critteria that I useed for my analyysis.
Process evaluation is based
b on the ou
utcomes meetinng the desired goals and therreby
solving the policy pro oblem, in this case the probllem of teacherr accountabilityy to
produce student achiev vement (Bardacch, 2009).
The data
d reflecting these criteria are the Michiigan Merit Exaam (MME) scores
from thee past three yeears, when the curriculum w was showing aliignment, althoough
all alignment of curricculum and asseessments were not yet in placce, since this is an
on-going g task.
Figurre 3 MME scorres show that th he English Lannguage Arts (E ELA), science, and
social sttudies have no ot risen since 2007. Mathem matics, however, rose to 666.8%
from 65 5% in 2007, and a in the 20009–10 Adequuate Yearly P Progress (AYP P), a
measuree of graduatio on rates and MME scorees, this district scored 95.5%
proficienncy for both Math
M and ELA proficiency.
p Thhe overall AYP P scoring for thhis

Figure 3. One districct in Michigan’s MME scores. SoSource: Michigann Department off
Educcation website an nd the school disstrict’s website.

ure 4. AYP reporrt Source: Michiigan Departmentt of Education w

Figu website. Source:
Michigan
M Departtment of Educatiion website and tthe school distriict’s website.

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 TEACHER PERCEPTIONS OF CURRICULUM

district is reflected in Figure 4. The district had an 88% graduation rate, as reported
for AYP, yet AYP was not achieved for the high school in 2010 because of
inadequate progress in the math and reading scores for students with disabilities
and for economically disadvantaged students.
In agreement with Black and William’s research on formative assessments
within aligned curriculum (2004), some rise in student learning resulted.
This district’s scores have shown mixed results in the past three years while the
district has been implementing the new curriculum. The AYP results and
district MME scores are similar to neighboring districts in this county of
suburban schools which may or may not have implemented test-aligned
curriculum. Clearly, it is not certain that this same rise in achievement would
not have occurred without the new curriculum. Hence, the data does not show
that instruction is of a higher quality, nor that student learning has improved. In
the case of this particular district, the AYP results and the varied MME scores
are accompanied by mixed teacher opinions that signal unintended
consequences.

Research Question 2:
What are the assumptions about students, teachers, and learning that are implicit in
the test-aligned curriculum?
The learning criteria used for my analysis were predetermined by the original
policy: the NCLB law. The law requires that, “all children have a fair, equal,
and significant opportunity to obtain a high quality education….” (107th
Congress, 2002). Since children are the selected beneficiaries of NCLB, and
specifically children who are disadvantaged, it is appropriate to determine
whether these children are best served by the implementation of test-aligned
curriculum under NCLB. In the case of test-aligned curriculum, it appears that
children who are not able to maintain the pace of the curriculum, or who are not
ready for the curriculum, may not be best served by this instructional program.
Students who require extra help or time or other accommodations may, in fact,
be left behind. The MME data in Figure 3 show that many students are not
achieving proficiency on the state test in one Michigan district. Furthermore, of
the 31 teachers surveyed in that district, eight reported that the curriculum helps
reach all students to some extent, and six reported that the curriculum does not
help them reach all students. Although the test-aligned curriculum movement
has assumed that all students can be engaged in test-aligned instruction in a
standard way, the findings from my case study and the available data do not
support this.
Another actor in this policy implementation is the teacher, here assumed to be of
standard capabilities and dispositions. Under NCLB, all teachers are required to
fulfill the “highly qualified” status. However, even if highly qualified, the most
relevant question is: are all teachers capable of teaching the test-aligned unit, thus
ensuring that all students will equally benefit? The capacity to teach a unit of study
includes content knowledge and pedagogical knowledge, and the teacher’s

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SANDRA K. PYLVAINEN

inclination to teach th he unit. Teach her beliefs maay not supporrt the test-aliggned
curriculuum, as is assu umed in by th he policy as shhown on the concept map (see
Figure 2).
2 If a teacher believes that another
a approaach, sequencingg, or other conntent
material will better suiit the classroom
m context, thenn she may feell imposed uponn by
the requuired curriculum m. A loss of professional aautonomy can produce a losss in
morale and
a may result in teachers leaaving the distri rict or the profeession complettely.
Furthermmore, if teacheers feel imposed upon, and are working aas conduits off the
state currriculum, this could indicatte a breach inn a basic prinnciple of effecctive
organizaations, that of the
t learning co ommunity. Teaachers, who aree most involveed in
the instru
uctional process, should be full
f participantss in the decisioon-making process
that affects their daily tasks.
t
My fiindings from my m survey of on ne Michigan ddistrict’s seconddary schools shhow
that teacher perceptio ons are mixed. Of the 311 teachers whho responded, 15
expresseed that the currriculum was impacting
i studdent learning iin a positive w
way.
These may
m be teacherrs who said th hey were invoolved in creatinng the curricuulum
(Figure 5). The other 15 expressed concerns
c aboutt the curriculum m not reachingg all
students as intended (F Figure 6).
Includded in the survvey were writtten comments about wishes for change. Thhese
commen nts revealed opinions
o regarrding represseed professionaal autonomy (see
Appendiix 7 for all com mments), and they echo studdies of teacherrs in other settiings
who ex xpress feeling gs of imposition (Andersson-Levitt & Alimasi, 20001,
Smagoriinsky, Lakley & Johnson, 2002) and thoose teachers w who protect ttheir
autonom my by implemeenting “bound dary work” as a response too reform measuures
(Anagno ostopoulos, 200 07). Other finddings show how w bottom-up pprograms incullcate
good will
w with teach hers (Mantilla, 2001). Thesse studies shoow that teachhers’
responsees are not mon nolithic, yet th
he need for auttonomy appearrs as a continuuing
theme.

Figuree 5. One district’s teachers respo

onse about curriiculum developm
ment involvemennt.

174
 TEACHE
ER PERCEPTION
NS OF CURRICUL
LUM

Figu
ure 6. School disstrict teachers’ response
r regardiing curriculum’ss impact on all.

To implement the testt-aligned curricculum, the asssumption has bbeen that teachhers
and studdents are all reaady for the currriculum instruuction at a standard time and in a
set sequeence, and are willing
w w a prescribedd plan. Yet, thiss survey as well as
to follow
the existting literature shows that teaachers are not all in support of the curricuulum
changes under NCLB. Although the survey samplee here is limiteed to a third off the
core subbject teachers inn the three secoondary schoolss of this districct, the answers and
written responses
r cast light on a possible trend witthin the staff att this district. T
This
trend is an unintendeed consequence of the adm ministrative pollicy directive that
produced d this curricullum in this district, and sim milar trends arre reflected in the
literaturee covering impplementation off NCLB.

Resea
arch Question 33:
What po olicy implicatio ons accompany y the test-aligneed curriculum movement?
As thhe Common Co ore State Stand dards (CCSS) eenter the picturre, more emphhasis
will be on curriculum m delivery in the school disstricts (Musickk, 2010, Polikkoff,
Porter & Smithson, 2009).2 Already y, many distriicts in Michiggan are discussing
alignmen nt to the CCSS S, and this is beeing done withh aligned units tthat end in inteerim
tests. Fuurthermore, testing initiativees are being ddrafted, fundeed federally unnder
RTTT (U U.S. Departmeent of Educatio on, 2010, Dunccan, 2010). Thhese new tests will
be nation nal tests for an
nnual assessment of the CCSS S. In addition, a series of inteerim
tests aree also being drrawn up to accompany the nnew national curriculum. M Many
states haave already ag greed to adopt the common sstandards and to join the tessting
programm (U.S. Departtment of Education applicaation). This trransition from the
decentraalized United States’
S educatio onal tradition eevolved withouut legal challenge.

175
SANDRA K. PYLVAINEN

The advent
a of a common nation nal curriculumm and a call ffor accountability
points too a dilemma inn implementatio on. The choicee of curriculum
m delivery willl fall
within the
t range betw ween two diffferent models . One model can be foundd in
Colombiia, where the successful
s Escuuela Nueva proogram operatees, using a dictaated
curriculuum within sch hools. The Esscuela Nueva program prom motes teacherss as
facilitato
ors of the scripted curriculuum, which conntains the conccept of interacctive
textbook ks and learningg guides (Escu uela Nueva Fooundation ). Faactors commonn to
developiing countries contribute to the decision tto implement scripted curriccula
like Esccuela Nueva. Columbia hass a number oof these factorrs, such as unnder
qualifiedd teachers, lacck of accounttability amongg teachers annd principals, and
national and internaational tests (Grindle, 22004, Schiefeelbein, Leiva &
Schiefelbein, 2007). Another
A model contrasting tto the Escuelaa Nueva modeel is
represennted by the educational
e sy
ystem in Finlaand. Within tthis industrialiized
country, the education nal system is notable for prroficient teachhers and studeents,
principaal-teacher trust and inter-acco
ountability, andd national and international ttests
(Jyrhamma et al, 2008, Kumpulainen n, 2008). Educcation scholarrs also report that
accountaability within the Finnish ed ducation systemm comes with closely reflecctive
and colllaborative praactice between n teachers andd principals w within a buildding
(Darlingg-Hammond, 2010,
2 Sahlbergg, 2007). Teachhers’ competeence to reflect and
to contiinue their ow wn profession nal developmeent contributees to the oveerall
collaborrative school culture,
c which includes inneer-accountabiliity (Nevalainenn &
Kimonen n, 2009).
The Dynamics
D of Global
G Educatioonal Reform Q Quadrant (Figurre 7) from Tattto &
Plank (22007) provides a way to view the issue of teeacher professioonalism.

Fig
gure 7. Tatto & Plank’s
P quadran
nt showing profeessional autonom
my of teachers.

176
 TEACHER PERCEPTIONS OF CURRICULUM

In Figure 7, Quadrant A denotes educational systems which have both formal

systems of control and teachers trained as procedural facilitators. Quadrant B
indicates formal systems of control and teacher professionalism that is teaching as
critical reflection. Quadrant C comprises systems that have organic systems of
control where the teacher is a professional, and Quadrant D is the area of
professional teachers who practice procedural teaching. The United States’
progression is shown by Tatto & Plank to be moving from Quadrant C towards the
Quadrant A. This corresponds to the findings of my study. The test-aligned
curriculum is an element of the Quadrant A. Furthermore, the survey’s report of
teachers’ perceptions of their test-aligned curriculum shows that the teachers are
split between functioning as bureaucrats or practicing professionally.
For the future of education in the United States, the choice lies ahead: one
pathway (that exemplified by Escuela Nueva) reflects an effective solution for
a developing nation that lacks quality teacher preparation and educational
infrastructure; the other pathway (that of Finland) reflects education as an
intellectual, reflective process within an industrialized, democratic nation with
a public education system staffed by highly proficient teachers. The United
States’ political history and its economic resources align it with Finland and
other developed nations, suggesting that teacher professionalism might be at
stake in a system closer to that of the developing nation. Policy-makers in the
United States need to consider the potential toll that test-aligned curriculum
may take on teacher professionalism, therefore impacting teacher quality in the
long run.

CONCLUSION

System wide implementation of accountability measures such as test-aligned

curriculum and its results need further research. Although test-aligned curriculum
may produce a rise in student test scores, it has not been proven that this particular
curriculum trend has produced improved scores above pre-NCLB improvements.
Furthermore, the unintended consequences of test-aligned curriculum may be a loss
of teacher morale, leading to teacher quality reduction. Alternatives to test-aligned
curriculum include lean standards taught by educated, certified, proficient teachers
who are accountable to principal and teaching colleagues. These highly qualified
teachers can be supported with professional development and a positive working
environment. Accountability, an important and political issue, needs to be balanced
carefully. Alternative methods for ensuring accountability should be researched;
these include peer councils and the “intelligent accountability” favored in countries
that choose to hire, support, and trust professional educators.

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formative assessment as a part of good teaching over the past two decades. The knowledge base of
formative assessment has expanded, promising great gains in classroom learning culture.
Smagorinsky, Peter, Lakley, Andrea & Johnson, Tara Star. (2002). Acquiescence, accommodation, and
resistance in learning to teach within a prescribed curriculum. English Education, 34, 3, 187.
Following the 2-year student teaching and induction of a new teacher, this study examines the
tension between a prescribed curriculum and student-centered best practices. The article includes
an example of how this first year teacher rejects the prescribed curriculum pacing and instead
teaches a student-centered lesson about poetry.
Tatto, Maria Teresa, and Plank, David N. (2007). Dynamics of global teaching reform. In Reforming
teaching globally.pp. 267–277. Tatto, M. T. (Ed). United Kingdom: Symposium Books. This
concluding chapter of Tatto’s book, outlines the dilemmas faced by governments to improve teacher
quality and student achievement. Tatto and Plank explain how countries are crossing paths as they
shift policies.
U.S. Department of Education.(2010) A blueprint for reform: The reauthorization of the Elementary and
Secondary Education Act. www2.ed.gov/policy/elsec/leg/blueprint/. This is an official government
document explaining the No Child Left Behind reform for 2010.
U.S. Department of Education. (n.d.) Application: Race to the Top. Retrieved Dec. 1 from www2.ed.
gov/programs/racetothetop/phase1 – application/Michigan.pdf. This application form outlines
criteria for states that compete for federal RTTT dollars.
Zhao, Yong. (2009). Catching up or leading the way: American education in the age of globalization.
Alexandria,VA: ASCD. This book explores differences between the Chinese and American
education systems. Zhao attempts to clarify the challenges China faces in undoing the damage
caused by testing and standardization. Zhao argues against American centralization of its
curriculum.

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APPENDIX 1

Table. NCLB, Curriculum, and Testing.

Author/year/ title Research question Data Source /Methods Findings

Black and William Is there evidence that Analysis of 250 Formative testing
(1998) classroom assessments studies that address produces greater effect
Assessment and (feedback) contribute teaching practices than other practices,
classroom learning. to learning? Meta-analysis between. 4 and .7
What can be learned Metacognitive skills
about theory and learned through
practice associated with formative feedback help
assessments? low-achievers.
Black and William How do formative Lit review of 21 Positive impact of
(2004) assessments and studies embedded formative
The formative accompanying Meta-analysis assessments, with
purpose: strategies affect student average gain of .46
Assessment must learning? deviation
first promote
learning.
Blanc, Christman Under what conditions Interviews and case When principal and
Liu, Mitchell And are benchmark data studies of low- teacher leaders were
Travers (2010) used to inform performing schools committed, benchmark
Learning to learn instruction? assessment data are used
from data: to inform instruction.
Benchmarks and
instructional
communities.
Bulkley, Christman, Is a district’s use of Case study: Findings vary across
Goertz and interim assessments Philadelphia district schools, but some benefit
Lawrence (2010) producing student Use Perie et al. is evident
Building with learning and raising framework to evaluate
benchmarks: the teacher quality?
role of the district
in Philadelphia’s
benchmark
assessment system.
Burch (2010) How do vendors and Literature review
The bigger picture: educational leaders Identifies pressures that
Institutional intend for interim Analysis of lead to growing sales of
perspectives on assessments to work? marketplace Interim vendor assessment
interim assessment What forces pull assessments packages, that then
technologies. private vendors and become curriculum.
school leaders together Poses questions about
via interim curriculum quality.
assessments?
Crocco and How has prescribed 200 interviews Accountability
Costigan. (2007) curriculum and scripted movement produced
The narrowing of lessons affected new Data analysis unintended
curriculum and teachers in NYC? consequences, such as
pedagogy in the age teacher loss of morale.
of accountability
How has NCLB Compares NAEP Accountability has
affected student math scores of states produced gains in math
achievement? that had similar but not in reading.

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policies prior to
NCLB
Analysis
Halverson (2010) How can formative Case studies: 4 Model describes ideal
School formative feedback be planned schools use of data to improve
feedback and accessed ? descriptive model of instruction.
Systems formative feedback
system
Kaniuka (2009) How is the delivered Lit review Delivered curricula may
NCLB, school- curriculum impacted Descriptive analysis be impacted by NCLB
based instructional by NCLB policy. Those intended
policy and accountability to help may experience
decision-making: A measures? a less rigorous
proposed research curriculum.
agenda.
Murname & Papay What are teachers’ Survey, interviews Teachers support NCLB
(2010) views on and focus groups of generally, but some
Teachers views on Testing, sanctions, and Massachusetts unhappy with testing
No Child Left “highly qualified” educators. focus, sanctions, and
Behind: Support requirements. Descriptive analysis problems with “highly
for the principles, qualified” req.
concerns about the
practices.
Nabors Olah, What insights do Interviews of 25 Teachers gain little
Lawrence, teachers gain from teachers in 5 schools insight from benchmark
and Riggan (2010) benchmark testing data:
Learning to learn data? Descriptive analysis only 2 of 25 connected
from benchmark testing data to the
assessment data: curriculum taught.
How teachers
analyze results.
Penfield & Lee What are the benefits Literature review Students considered to
(2010) and pitfalls to test- Descriptive analysis be the primary
Test-based based accountability beneficiary of NCLB,
accountability: for minority students? may be hurt.
Potential benefits
and pitfalls
Of science
assessment with
student diversity.
Perie, Marion, and How can interim Evaluative Theory of action needed
Gong (2009) assessments be defined framework to properly choose
Moving toward a and evaluated? assessment product for
comprehensive Discussion each context and
assessment system: purpose.
A framework for
considering interim
assessments.
Schorr, Firestone, Can state test results Interviews and Teachers reported that
&Monfils (2003). inform teachers when observations of 63 they had changed
State testing and other support is not teachers practice after analyzing
mathematics provided? data; however, direct
teaching in New Descriptive analysis observation did not
Jersey: The effects confirm this.
of a test without
other supports.

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Shepard (2010) How have interim and 11 research articles, 1 Principals and teachers
What the benchmark case study who are highly
marketplace has assessments impacted committed can bring
brought us:Item- student learning and Review of research results with test-aligned
by-item teaching teachers’instruction? curriculum. More
with little insight frequently, test results
not used by teachers in
reflective way.
Shepard (2008) What is the history and Overview of Formative assessment as
Fornative current use of research, feedback has been
assessment:Caveat formative link to replaced too often by
emptor assessment? learning theory interim testing.
Smagorinsky, How do progressive Interviews, Teacher felt conflicted
Lakly &Johnson teachers respond to observations of one in her views of what
(2002) prescribed curricula? novice teacher was best for students.
Acquiescence, Teacher acquiesced,
accommodation, Ethnography accommodated, and
and resistance in resisted—but held on,
learning to teach and curriculum loosened
within a prescribed each ensuing year.
curriculum.

APPENDIX 2

November 2010.
Dear Deputy Superintendent of Instruction,
This interview is part of a policy analysis directed towards understanding how
curriculum changes made under No Child Left Behind have impacted teachers and
student learning. Your responses will help me understand how the curriculum has
been developed and how it was put into implementation. If you have time, I would
also be interested in any comments you may have about the future of your district’s
curriculum development.
The interview was designed to take about 15 minutes. I want to clearly state that
your participation in this study is completely voluntary. You can refuse to answer
any question as well as stop participating in the study at any time. If at any point
during the interview you wish to discontinue, the information collected will not be
used in the analysis and results of this project.
To ensure confidentiality, your name or any identifying information about you
will not be exposed in any way and only a research record number will be used in
data analysis. Every effort will also be made to protect the confidentiality of the
information provided in this questionnaire. All materials will be kept in a secure
and locked location. In case individual data is needed, pseudonyms will be used
to disguise personal identifiers in any written reports, publications, and
presentations.
You indicate your voluntary agreement to participate by completing [and
returning] this interview [questionnaire] or survey.

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APPENDIX 3

November 2010.
Dear Principal,
This interview is part of a policy analysis directed towards understanding how
curriculum changes made under No Child Left Behind have impacted teachers and
student learning. Your responses will help me understand how the curriculum has
been developed and how it was put into implementation. If you have time, I would
also be interested in any comments you may have about the future of your district’s
curriculum development.
The interview was designed to take about 15 minutes. I want to clearly state that
your participation in this study is completely voluntary. You can refuse to answer
any question as well as stop participating in the study at any time. If at any point
during the interview you wish to discontinue, the information collected will not be
used in the analysis and results of this project.
To ensure confidentiality, your name or any identifying information about you
will not be exposed in any way and only a research record number will be used in
data analysis. Every effort will also be made to protect the confidentiality of the
information provided in this questionnaire to the maximum extent allowable by
law. All materials will be kept in a secure and locked location. In case individual
data is needed, pseudonyms will be used to disguise personal identifiers in any
written reports, publications, and presentations.
You indicate your voluntary agreement to participate by completing [and
returning] this interview [questionnaire] or survey.

APPENDIX 4

November 2010
Dear Teaching Colleague,
This survey is part of a policy analysis study directed towards understanding how
curriculum changes made under No Child Left Behind are perceived by teachers.
Your responses will help me understand how the curriculum has been put into
implementation in your building, and how you think that has impacted lesson
planning, instruction, and student learning. If you have time, I would also be
interested in any comments you may have about future curriculum development or
changes you would wish to see.
The survey was designed to be completed in 10 minutes. The specific time you
may require, however, may vary. To make it as easy as possible for you to respond,
many items offer choices for you to check off.
I want to clearly state that your participation in this study is completely
voluntary. You can refuse to answer any question as well as stop participating in
the study at any time. If at any point during the study you wish to discontinue, the
information collected will not be used in the analysis and results of this project.
To ensure confidentiality, your name or any identifying information about you
will not be exposed in any way and only a research record number will be used in
data analysis. Survey data will only be reported in the aggregate so no individual

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information will be singled out, unless a separate interview is arranged, as

explained below. Every effort will also be made to protect the confidentiality of the
information provided in this questionnaire. All materials will be kept in a secure
and locked location. In case individual data is needed, pseudonyms will be used to
disguise personal identifiers in any written reports, publications, and presentations.
You indicate your voluntary agreement to participate by completing [and
returning] this interview [questionnaire] or survey.
In some situations, I may want to contact you for future follow up and a possible
short interview; this may be done on the phone. Note that your name below will be
kept separate from the data collection results; therefore, there will be no connection
of your identity to the survey. If you are willing to participate in a follow up to this
survey, please provide your name and your phone number and hours I may contact
you below:
Name______________________________________________________________
Phone number:_________________________ Hours
available:_____________________

APPENDIX 5

TEACHER SURVEY
Hello. I am a teacher at Waterford Kettering High School and doctoral student
in the Curriculum, Instruction, and Teacher Education program at Michigan
State University. For my TE 919 Policy Analysis course, I am conducting a
study of teacher perceptions regarding curriculum changes after No Child Left
Behind.
Since the advent of No Child Left Behind (NCLB) and accelerating with Race
to the Top (RTTT), districts have altered their curriculum to ensure accountability
and equity in instruction and content. To this end, some districts are aligning and
mapping their curriculum in order to assess students’ learning in a common time
frame and using a common assessment. Others have chosen alternative
instructional improvement avenues.
Please answer the short survey that follows. Please indicate your response, and
feel free to write any comments that you think would help me understand your
opinion.
1. What subject do you teach?
____Mathematics
____English Language Arts
____Science
____Social Studies
____Other
2. What school do you teach at?
___Middle School
___Junior High
___High School

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3. Current developments in curriculum are labeled and described in a variety of

ways. In your view, which of the following best describe your district’s
curriculum goals? (Check all that apply.)
___suggested/ modeled
___aligned
___dictated
___prescribed/required
___scripted
___other, please describe:___________________________________________
4. What best describes your involvement in the development of your curriculum?
___I helped develop it
___I was consulted, but did not help develop it
___I was informed about the development
___I was asked my opinion about the development
___It was given to me with no prior information, consultation, nor direct
participation
5. How well does your curriculum prepare students for state testing?
(Rating scale)
Very well moderately well poorly very poorly
6. What impact do you think this curriculum will have on student learning overall?
(Rating Scale)
Large positive impact moderate pos. impact no impact negative impact
7. To what extent does this curriculum help you to reach all students?
(Rating Scale)
To a great extent to a fair extent to some extent does not help me reach all
8. How often do you work with other teachers in the implementation/interpretation
of the school curriculum?
(Rating Scale)
Always (daily or almost daily) Often(about once a week) Sometimes (once or
twice a month) seldom(about once a semester) rarely/never
9. In your opinion, how has curriculum developed under No Child Left Behind and
Race to the Top impacted teaching and student learning?
(Rating scale)
Very positive impact somewhat positive impact somewhat negative impact very
negative impact
Please explain here:
10. What changes, if any, would you like to see in future curriculum?
Please describe changes here:

Thank you for taking this survey.

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APPENDIX
A 6

District Curriculum: EL
LA Middle Sch
hool

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APPENDIX 7

Survey Results:
R

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 CHAPTER 8

CORVELL CRANFIELD

The Implementation of Mathematical Literacy as a New

Subject in the South African Curriculum

“History will judge us by what we do today for our beloved country. Success
is our only option because Africa depends on us; South Africa depends on us;
our communities and learners depend on us. All will follow our progress very
closely believing that we will not let them down”
Opening address by Deputy Minister of Education, Mr Mosibudi
Mangena, to the second Autumn Clinic, Baxter Theatre, Cape Town, 31
March 2003
In 2008 the first cohort of matriculants from the National Senior Certificate (NSC)
wrote the first Mathematical Literacy (ML) examination. The introduction of an
Outcomes-Based Education paradigm via ML as a new subject in the South
African curriculum in 2006 posed a range of challenges to both teachers and
students. Two years after the introduction of this curriculum, many educators
question the utility and academic value of ML, and others remark that teachers do
not have the capacities to engage and teach this new curriculum. My analysis of the
ML curriculum revealed that its structure (both in design and mathematical
content) focuses on reaching the minimum achievable standards in the South
African context for both teachers and students rather than on providing students
with the mathematical knowledge and skill required for equal access to a wide
range of future career choices. The success of this policy to support the goals of
providing better and equal education to all South African citizens is at best
tenuous, given the narrow way in which it was conceptualized. The data for this
chapter came from policy documents, and the analysis of the new curriculum was
conducted using NCTM standards. The chapter concludes with the
recommendation that a systematic and rigorous study is needed to understand
better the impact of the new curriculum in improving the mathematical proficiency
of students for competing in a global economy.
The following excerpt typify reactions to the findings of reports and studies
evaluating and exploring mathematical competency in South Africa (PISA,
2003; TIMSS & TIMSS-R, 2004; SACMEQ II, 2000 and WCED, 2004).

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 207–232.
© 2012 Sense Publishers. All rights reserved.
CORVELL CRANFIELD

“South Africa was again rated last in the Third International Mathematics and
Science Study” (HSRC, 1998); “SA pupils are the dunces of Africa, Minister
responds to shock survey with radical plans for maths” (Sunday Times, 16
July 2000); and recently “no one excepts blame for poor math results”
(Business Day, 12 May 2009).
Common findings in all these studies are that the country’s students do not
measure up globally in mathematical competencies. In fact, South Africa
participated in TIMSS (1999) and TIMSS-R (2003), showing a -11 difference
between the two cohorts, in average mathematics scale scores in the eighth-grade
studies. Howie (2002) used secondary analysis of the South African data
generated by the TIMSS study to show not only a poor picture of performance in
reasoning and application in mathematics, but also that no obvious growth
occurred in mathematical proficiency after many years of additional mathematics
instruction.
South Africa is also ranked as one of the countries with the poorest pass rate for
Grade 12 mathematics. The implications of such results are that school leavers
enter the workplace and/or attempt to enter tertiary education without the
knowledge and skills required by either. The reality is that the results of our
learners are still grossly unsatisfactory and prohibit black students from obtaining
quality education in most disciplines, particularly in Mathematics, Science, and
Technology. Education during apartheid was characterized by the under-
development of human potential (Mji & Makgato, 2006), vast race inequalities,
and a curriculum that encouraged rote learning. Consequently, the educational
sector of post-apartheid South Africa inherited the legacy of best ‘educated’ as
being predominantly innumerate.
It is these realities that resulted in the introduction of Outcomes-Based
Education and the National Curriculum (OBE) policy statements contained in the
document: Department of Education South Africa, National Curriculum
Statement Grades 10–12 (General), Mathematical Literacy, 2003.
Mathematical literacy (or ML) was introduced in schools in the Further Education
and Training (FET) phase (grades 10–12, for all students aged 15–18) in South
Africa in January 2006, as an alternative option to the traditional mathematics
curriculum. Mathematical Literacy is defined in the curriculum statement in the
following terms:
Mathematical Literacy provides learners with an awareness and
understanding of the role that mathematics plays in the modern world.
Mathematical Literacy is a subject driven by life-related applications of
mathematics. It enables learners to develop the ability and confidence to
think numerically and spatially in order to interpret and critically analyze
everyday situations and to solve problems. (DoE, 2003, p.9)
While on the surface this definition seems acceptable, a deeper analysis reveals
serious issues. The definition emphasizes “awareness and understanding of the
role that mathematics plays in the modern world”, not of the nature and processes
of mathematics, or of becoming knowledgeable in mathematics. ML is driven by

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life-related applications of mathematics. It is clear that the applications of

mathematics that include an understanding of mathematical language,
conventions, algorithms, theorems, logical arguments, reasoning, proof, and
practices play a secondary role to the context1 of everyday life, in which
mathematics is learned. In fact the policy emphasizes that these everyday situated
contexts should enable and drive mathematical learning (DoE, 2003). As teachers,
the underlying challenge is clearly on how teachers use these contexts to uncover
the underlying mathematics, while simultaneously using the mathematics to make
sense of these contexts (DoE, 2006).
Rather than emphasizing deep learning and engagement with mathematics
concepts, the main goal of this curriculum is to enable all learners to become
“informed consumers” of mathematics, meaning the practical ability to make sense
of numbers. This includes enabling them to think numerically with confidence, in
“order to interpret and critically analyze everyday situations and to solve
problems” (DoE, 2003, p. 9). This stated goal challenges the beliefs and
understandings of mathematics teachers who were trained under very different
assumptions regarding the teaching of mathematics. In fact, the unwritten objective
behind this ML policy is political in nature and is not necessarily for the best
interests of learners, because this curriculum is viewed as “a people’s subject, a
subject that relates to the context in which people find themselves” (Bopape &
Volmink, 1998, p.78). According to Sidiropoulos (2008), teachers understand ML
as “watered down” mathematics a fact supported by the refusal of many
universities to recognize the ML curriculum for certain degrees, such as
accounting, actuarial science, and the sciences in general.
The focus in this study is to analyze the policy that gave origin to the ML
curriculum and to evaluate the intended and unintended consequences of its
implementation in South Africa. The following questions guide the content of this
chapter:
1. What are the salient features of the EL curriculum? In particular, what is the
main goal of this curricular change? Why did it come about?
2. How is this new subject in the curriculum similar to or different from that which
teachers were taught as students and as teachers? If there are significant
differences, how are these likely to challenge teachers’ knowledge, skills, and
dispositions?
3. Will this policy accomplish its objectives of creating a more numerate
citizenship? What are possible alternatives that may better accomplish this
objective while providing access to mathematics-based careers in higher
education?
The hypothesis guiding the analysis presented in this chapter is that the structure
of the ML curriculum (both its design and mathematical content) focuses more on
reaching the minimum achievable standards in the South African context for both
teachers and students than on providing students with the mathematical
knowledge and skill required for equal access to a wide range of future career
choices.

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PERSPECTIVES AND FRAMEWORK

The process designed to implement the ML policy included a framework and an

implementation plan, namely, the Policy Framework for Education and Training
and the Implementation Plan for Education and Training (IPET), which was more
an indicative rolling plan than a prescriptive and fixed plan. This rolling plan
involved phasing in of the curriculum after systematic piloting, testing, and
refining (Greenstein, 2003). The aim of the national piloting was to test the
practicalities of implementing Outcomes-Based Education or OBE. The
implementation plan for curriculum change suggests a radical shift from
‘apartheid’-based education.
Brief overview of the characteristics of the apartheid system of education,
focusing particularly on mathematics education
During apartheid education was characterized by large-scale overcrowding,
resulting in the decline of quality education (Mokhaba, 2005); most teachers were
not qualified to teach mathematics and science (Howie, 2002; Howie, 2005); and
the cycle of mediocrity was reinforced by an unsuitable mathematics curriculum
(Howie, 2002). The need for curriculum change was based on the view that the
apartheid curriculum was too structured, and prescriptive, and not easily adaptable;
curriculum emphasis was on an academic education to the exclusion of skills
education; the curriculum was content-based; the curriculum was teacher-centered,
and the learners memorized; and the curriculum measured achievement in terms of
symbols and percentages (Pretorius, 1999; Mokhaba, 2005).
In addition a number of factors adversely influenced achievement or
performance in mathematics including inadequate subject knowledge of teachers;
inadequate communication ability of learners and teachers in the language of
instruction; inadequate or lack of instructional materials; inadequate classroom
management skills; inadequate professional leadership; inadequate instructional
time because of pressure to complete examination-driven syllabi; and inadequate
support of professional staff in the education department (Taylor & Vinjevold,
1999; Khan, 1993). Teachers were asked to prepare their students for the final
grade 12 matriculation examinations–considered a high-stakes examination in the
South African context. For example, 1) standard-grade mathematics students wrote
two three hour examinations worth 150 points each, a paper 1 (Algebra, Graphs,
and Calculus) and a paper 2 (Euclidean Geometry, Analytical Geometry, and
Trigonometry); and 2) higher-grade mathematics students also wrote two three-
hour papers, worth 200 points for each paper. The higher-grade paper included the
same mathematical topics as the standard-grade, and a few extra topics that were
considered important for entrance into tertiary institutions. These examinations
were open-ended, and in some cases only included about 10 multiple-choice
questions, which accounted for approximately 20 points out of a possible 150
points. Students needed a score of 33.3% (100 out of 300) to pass the math exam at
the standard-grade, and they needed a score of 40% (160 out of 400) to pass the
math exam at the higher-grade.
Every year teachers, students, parents, researchers, government officials, and
policymakers would get “involved in the debate around the matriculation

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examination with the most frequently asked questions being: Did the pass rate go
up? Are standards dropping? Are the results real or have they been manipulated?
How is our education system doing? Are we meeting the development goals? What
should the matriculation examination of the future look like?” (HSRC, 2006).

BRIEF OVERVIEW OF THE REASONS FOR AN OUTCOMES-BASED CURRICULUM

Outcomes-Based Education was adopted as the foundation for education policy

aimed at improving the quality of education for all citizens in South Africa, by
providing a vision of what teaching and learning should look like according to
societal objectives. Originally Outcomes-Based Education (OBE) within the South
African context placed emphasis on the development of critical thinking as the
basis for mathematical proficiency, as specified in the Education Department’s
learning program that “promote learners’ ability to think logically and analytically”
(DoE, 1997, p. 10). Within this outcomes-based model, specific reference was
made to competence models, as opposed to mathematical proficiency, where
“competence is described in precise, transparent and observable terms, to predict
the specific outcome of effective action” (Kraak, 1999, p. 47). In a straightforward
narrow sense, outcomes-based education clearly stated what a student should be
able to do successfully after some instructional experience. The end product was
clearly defined at the beginning of the learning process, and students are deemed
successful when they demonstrate the intended learning outcomes. These
demonstrations are expected to happen in real settings and are influenced by those
settings or contexts. This implied a shift from test scores to a visible, observable
demonstration of what the learners can do (Mokhaba, 2005).
Proponents of OBE argued that outcomes require complex mental processing
and the ability to carry out these processes (Spady & Marshall, 1991; Spady,
1994). These processes include the ability to describe, explain, design, negotiate,
organize, and produce, while demonstrating ability to draw on skill, competence,
and performance. Within the OBE debate the focus was shifting to the
inseparability of competence and mathematical understanding (Wolf, 1989;
Mansfield, 1989) and to “integrate the development of skill ‘competencies’ and
‘knowledge and understanding’ constructs” (Kraak, 1999, p.51).
OBE differs from the apartheid system by viewing knowledge as negotiable and
changeable, meaning that “today’s knowledge might be irrelevant to tomorrow’s
needs and circumstances” (Mokhaba, 2005, p. 31). In addition, OBE is theorized to
be learner centered; opposed to the content-laden and examination-oriented style of
education that encouraged rote learning without understanding (DoE, 1997;
Mokhaba, 2005; Howie, 2005).

BRIEF OVERVIEW OF THE POLICY ACTORS

The current national education policy was determined by the Minister of Education
in accordance with the Constitution of South Africa, in this way giving the
Minister sweeping powers to heal the divisions of the past and to establish a

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CORVELL CRANFIELD

society based on democratic values, social justice, and fundamental human rights.
The Minister was required to consult broadly with consultative bodies as stipulated
by law (White Paper, 1995; Mokhaba, 2005)2. Consultations had to include the
Council, which included the Education Minister, the deputy, and the provincial
Ministers of Education; national organizations representing the college rectors, but
at the discretion of the Minister of Education; the organized teaching profession
and national organizations representing parents, but at the discretion of the
Minister of Education; national organizations representing students, but at the
discretion of the Minister of Education; and other national stakeholder bodies.

BRIEF OVERVIEW OF THE HISTORICAL CONTEXT AND ITS IMPACT ON

EDUCATION POLICY

It is important to see 1990 as a critical turning point in curriculum discourse and

debate in South Africa, which were characterized by political and economic
pressures from the liberation movements, namely the African National Congress
(ANC) and the Pan African Congress (PAC), as well as the international
community; according to Jansen (1999) “[c]ompeting social movements and
political actors vehemently began to stake their curriculum positions” (p. 4). The
National Education Coordinating Committee (NECC) – an alliance of progressive
education and labor stakeholders – established The National Education Policy
Investigation (NEPI) with the intent to develop education policy options for the
new South Africa. They provided the broad values framework for the democratic
education policy, which emphasized non-racism, non-sexism, democracy, equality,
and redress. During these early debates and discussion documents, “integrationist
and competency discourses” (Jansen, 1999, p. 7) were elaborated. However, in
1996 the OBE proposal was accepted, and suddenly teachers were confronted with
“a curriculum discourse completely foreign to their understanding and practices”
(Jansen, 1999, p. 7). According to Jansen (1999), teachers claimed that they were
not consulted during the course of developing this outcomes-based approach to
education. Interestingly, there was “heavy reliance on the Spadyean3 OBE as the
justificatory framework for an outcomes-based approach in South Africa, a
framework very different from the Australian one” (Jansen, 1999, p. 8). South
Africa consulted widely with foreign experts coming from Scotland, Australia,
New Zealand, England, and USA, but the Spady version dominated the discourse.
Kraak (1999) identified three distinct policy discourses which shaped the
debates about alternatives to apartheid education policy. First, this policy analysis
focused on the “radical People’s Education movement” that was established during
the apartheid era as a people’s struggle against apartheid. In this struggle the school
classroom was seen as a central site of struggle against apartheid and as an
alternative to ‘Bantu Education’. Kraak compared apartheid education to people’s
education using the lens of political project, curriculum framework, role of learner,
role of teacher, and role of community (1999, p. 23). People’s education was
characterized by an educational pedagogy involving development of critical
thinking, interdisciplinary curriculum content, learner-centeredness, participatory

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teaching methods, community involvement, and a focus on linking formal

education with the world of work (Kraak, 1999).
Second, Kraak referred to the demise of ‘People’s Education’ discourse and the
rise of a ‘Systemic’ discourse, but there still existed continuities between these two
discourses, especially as they related to the “demands for a single non-racial
national system of education and training” and “the dilution of the deep historical
divisions between mental and manual labour” (1999, p. 24).
Third, Kraak referred to the rise and dominance of OBE discourse. The rise of
OBE discourse is the result of three historical antecedents: 1) the ascendancy of
competency-based modular education and training; 2) adoption of ‘outcomes’
models in policy development; and 3) the resurrection of the radical People’s
Education. At the heart of OBE is the overwhelming emphasis on placing the
learners first through the learner-centered approach, resulting in teachers forced to
make a paradigm shift in their thinking about both learning and teaching. This is a
shift away from their own teacher training model that concentrated on a curriculum
that was based on the traditional syllabus-oriented and content-based teaching
model, to a new competency and outcomes-based one.
Figure 1 provides a schematic view of the salient features of the ML curriculum.
The key categories are context, processes and input, and expected results and
outcomes (for more detailed explanations see the ML curriculum document
(Department of Education South Africa, National Curriculum Statement Grades
10–12 (General), Mathematical Literacy, 2003)].

METHODS AND DATA SOURCE

In this analysis I use the method of focused synthesis (Majchrzak, 1984), which is
basically a literature review, but includes information drawn from a variety of
sources beyond published articles. I used this in combination with secondary
analysis of the policy’s development implementation (Majchrzak, 1984), which is
seen as the use of existing information and is considered the most cost effective
method.
Jansen (2006) suggested that the best evidence should be “derived from
systematic reviews (also called research synthesis or meta-analysis)” (p 33).
This is in synergy with Majchrzak’s (1984) focus on the synthesis method. I
used the key words “mathematical literacy, outcomes-based education,
curriculum reform, learning outcomes, and assessment standards” to collect data
via electronic searches including peer reviewed research papers, conference
proceedings, other research papers, and panel discussion papers. I used all
policy documents relating to the ML curriculum, plus the revisions to the
original policy document; policy documents on the use of Outcomes-Based
Education, the framework in which the ML policy is located; research reports
emerging out of school-based work from the Universities of Stellenbosch, Cape
Town, and Witwatersrand; and conference proceedings and research papers,
especially from the national AMESA (Association for Mathematics Education
of South Africa, 2008, 2009, 2010).

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CORVELL
L CRANFIELD

Fiigure 1. Theoretiical Frameworkk for Analysis.

RESULTS

The intrroduction of the ML policcy (Departmennt of Educatiion South Afrrica,

Nationall Curriculum Statement
S Graades 10–12 (GGeneral), Matheematical Literracy,
2003) must
m always bee seen in the light of five ddecades of apartheid educattion,
which prrohibited black m obtaining quuality educationn in math, science,
k students from
and tech
hnology, thus post-apartheid
p South
S Africanss inherited a leegacy of schoooling
toward innumeracy.
i Black
B students, in particularr, were discouuraged from dooing

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 THE IMPLEMENTATION OF MATHEMATICAL LITERACY

mathematics as a Senior Certificate subject. The specific aim of the ML policy is to

redress this legacy of apartheid. But even when the aim is clear there are a series of
challenges to overcome, the two most important ones according to the literature are
definition and implementation issues.

DEFINITION ISSUES

The concept of mathematical literacy is the subject of widely contested definitions.

These definitions are intertwined within the capacity to deal effectively with the
quantitative view of life, and as a consequence these quantitative abilities have
been ascribed a host of different names: quantitative literacy, numeracy,
mathematical literacy, quantitative reasoning, or just plainly mathematics (NCED,
2001).
Numeracy or to be numerate: According to Cockcroft (1982), a student is
numerate if the student displays an “at homeness” with numbers, an ability to make
use of mathematical skills to cope with real life demands, and an ability to
appreciate and understand information presented in mathematical terms. The
United Kingdoms’ National Numeracy Task Force (Department for Education and
Employment) re-fashioned the definition as follows: “... an understanding of the
number system, a repertoire of computational skills and an inclination and ability
to solve number problems in a variety of contexts. Numeracy also demands
practical understanding of the ways in which information is gathered by counting
and measuring, and is presented in graphs, diagrams, charts and tables” (1998,
p. 11). According to the Australian Association of Mathematics Teachers Inc, “to
be numerate is to use mathematics effectively to meet the general demands of life
at home, in paid work, and for participation in community and civic life” (1997,
p. 15). Furthermore, “in school education, numeracy is a fundamental component
of learning, performance, discourse and critique across all areas of the curriculum.
It involves the disposition to use, in context, a combination of
• underpinning mathematical concepts and skills from across the discipline
(numerical, spatial, graphical, statistical and algebraic);
• mathematical thinking and strategies;
• general thinking skills; and grounded appreciation of context.” (Australian
Association of Mathematics Teachers Inc., 1997, p. 15)
The republic of Botswana-Ministry of Education conveniently looked at numeracy
in terms of what it means to be literate through the following definition: “Literacy
is the ability to read and write with understanding, in Setswana, English or both;
and the ability to carry out simple computations in everyday life” (Republic of
Botswana-Ministry of Education, 2005).
Quantitative literacy: The National Center for Education Statistics (1993)
defined quantitative literacy (QL) as the ability to apply knowledge and skills
required to apply arithmetic operations, by using numbers embedded in printed
material4. These knowledge and skills require the ability to locate and use
information extracted from payroll forms, train schedules, maps, tables, and

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graphs. This definition differs from the International Life Skills Survey (ILSS,
2000) definition that views QL as the aggregate of skills, knowledge, beliefs,
dispositions, habits of mind, communication capabilities, and problem solving
skills required by everyone to engage effectively in quantitative situations that arise
in everyday life. Quantitative literacy (QL) is a phenomenon of the late twentieth
century where “merchants learned the value of imposing standardized measures of
length, time, and money on their arts and craft” (NCED, 2001, p. 2). In 1989 the
National Council of Teachers (NCTM) published standards for school mathematics
in answer to the desire for students to learn rich and challenging mathematics.
Consequently, there was greater awareness of quantitative literacy as liberal arts
colleges infused quantitative methods into arts and humanity courses. Accordingly
the historiography of quantitative literacy can be found through many publications,
but there has been no clarity about the precise meaning of QL, especially as it
relates to mathematics, because they “echo the historical dichotomy of
mathematics as academic and numeracy as commercial (NCED, 2001, p. 4).
The NCED referred to QL as a “habit of mind, an approach to problems that
employs and enhances both statistics and mathematics” (2001, p. 4). In this regard
NCED referred to statistics as dealing with uncertainty, to mathematics as dealing
in the realm of abstract structures, and to numeracy as dealing with the logic of
certainty and drawing on data derived from the empirical world. Considering that
“virtually every major public issue-from health care to social security, from
international economics to welfare reform-depends on data, projections, inferences,
and the kind of systemic thinking that is at the heart of quantitative literacy”
(Steen, 2005, p. 35), it becomes unarguable that mathematical literacy must exist.
According to Hallet (n.d) “[a] quantitatively literate person needs to know some
mathematics, but literacy is not defined by the mathematics known” (p.2). She uses
the following example to illustrate this point: “a person who knows calculus is not
necessarily any more literate than one who knows only arithmetic. The person who
knows calculus formally but cannot see the quantitative aspects of the surrounding
world is probably not quantitatively literate, whereas the person who knows only
arithmetic but sees quantitative arguments everywhere may be” (p. 2). Quantitative
literacy then is not only about how much mathematics is known, but how well this
mathematics can be used.
Mathematical literacy: Interestingly, the Programme for International Student
Assessment (PISA, 2000) used a definition similar to ILSS’s to define ML. ILSS
views ML as the students’ ability to identify and understand the role mathematics
plays in the world, the ability to make well-founded mathematical judgments, and
the ability to engage in mathematics in ways that meet the needs of the students’
current and future life. The Southern and Eastern Africa Consortium for
Monitoring Educational Quality (SACMEQ) in the SACMEQ II Project defined
mathematical literacy as “the capacity to understand and apply mathematical
procedures and make related judgments as an individual and a member of a wider
society” (SACMEQ II, 2000). In the South African Department of Education
(2003), ML is defined as follows: “Mathematical Literacy provides learners with
an awareness and understanding of the role that mathematics plays in the modern

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world. Mathematical Literacy is a subject driven by life-related applications of

mathematics. It enables learners to develop the ability and confidence to think
numerically and spatially in order to interpret and critically analyze everyday
situations and to solve problems” (2003, p. 9)
In 2001 the National Council on Education and the Disciplines (NCED) used
such definitions to present a “portrait for quantitative literacy”, which also equates
to ML. These elements include confidence with mathematics, cultural appreciation,
interpreting data, logical thinking, making decisions, and mathematics in context,
number sense, practical skills, prerequisite knowledge, and symbol sense.
According to Julie (2006), the above definitions of ML can be placed on a
continuum, with the extremes placing ML at one end as entry into mathematics,
while at the other end ML is used to interact with mathematical situations within
societal contexts. Kilpatrick et al. (2001) model of “mathematical proficiency” was
viewed as an exemplary definition of entry into mathematics (Julie, 2006).
According to Kilpatrick, et al. (2001, p. 5), mathematical literacy fits very well
within this mathematical proficiency framework, which consists of five interwoven
strands: conceptual understanding (comprehension of mathematical concepts,
operations, and relations), procedural fluency (the skill in carrying out procedures
flexibly, accurately, efficiently, and appropriately), strategic competence (ability to
formulate, represent, and solve mathematical problems), adaptive reasoning
(capacity for logical thought, reflection, explanation, and justification) and
productive reasoning (habitual inclination to see mathematics as sensible, useful,
and worthwhile, coupled with a belief in diligence and one’s own efficacy).
It is precisely this model for mathematical proficiency that I will argue should
be the alternative model for the SA curriculum. Accepting this mathematical
proficiency model with its interwoven and interdependent strands has implications
for “how students acquire mathematical proficiency, how teachers develop that
proficiency in their students, and how teachers are educated to achieve that goal”
(Kilpatrick et al, 2001, p. 5).

IMPLEMENTATION ISSUES

There is a steady trickle of research literature that shows that implementation

problems are focused on teacher beliefs, teacher qualifications, teacher
understandings, teacher emotions, teacher knowledge, and the lack of teachers
(SAARMSTE, 2004; Hargreaves, 1998; Hill et al, 2004). It is therefore significant
to focus on the teacher (Human Capital) as the unit of analysis, since “teachers
figure as a key connection between policy and practice... and what the policy
implies for instruction are both a crucial factor on their practice, and at least an
indirect influence on student achievement” (Hill & Cohen, 2000, p.329). Now that
South Africa has joined the global economy and is intent on seeking ways to
empower and numerate all the people in the country, it is a matter of urgency to
take a critical look at how South Africa has embraced and introduced the
mathematical literacy curriculum (or, as an alternative, the mathematical
proficiency (MP) curriculum). More importantly, South Africa needs to find ways
to improve the design and implementation of ML.

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Teachers’ Views and Support of the Policy

The two key reasons given by teachers and other educators for their lack of
involvement in the ML curriculum, despite its comprehensive goals and content, is
that the ML curriculum is considered a “watered-down” curriculum, and thus, seen
as restricting participation and access to a wide choice of careers in tertiary
institutions. The ML curriculum is thus perceived to go against the spirit of the
reform, which encourages greater participation and access to tertiary education by
black students, a goal articulated by Deputy Minister Mangena in 2003. In this
context the ML Policy can be considered as a “Case of Academic Apartheid”.
Based on preliminary research, teachers, support the policy, but it seems that a
greater percentage of teachers, are against the policy and are demanding a return to
the status quo. Early observations noted that teachers struggled trying to make
sense of what they considered unreasonable policy demands. In particular, teachers
were struggling with the ideology of outcomes-based education, because of the
introduction of new learning areas, new content, and implications of calls for
‘integration’, ‘contextualization’, ‘relevance’, and ‘learner-centeredness’, and other
challenges to teachers’ underlying belief systems (Bennie & Newstead, 1999).
Julie (2006) argued that the teaching of ML is “more a system-level problem than a
teaching problem” (p. 65). The key reason for teachers’ struggles was due to the
fact that they did not even receive the most basic communication or policy
documents regarding the curriculum change in 2005 (Bennie & Newstead, 1999).
The following newspaper report illustrates teachers’ reaction to the ML
curriculum:
A coalition of Western Cape-based mathematics teachers is appealing to the
National Department of Education to suspend the format of the mathematics
curriculum for grade 10 to 12 learners, claiming educators are not adequately
equipped to teach it. The group, Concerned Maths Educators (CME), is
circulating a petition to mathematics teachers countrywide. The new
mathematics curriculum requires learners to take either mathematical literacy
or pure mathematics. There is no higher-grade or standard-grade5 in either
subject and pure maths, which allows learners access to a wider range of
university degrees, is more difficult than the former higher-grade maths,
according to mathematics experts. This is the first year that learners will
write mathematical literacy and pure mathematics at exit level. The CME
expressed grave doubts about the success of the newly introduced
mathematics curriculum, saying it was “rushed through” and completely
ignores the dire shortage of trained and qualified maths teachers in the
country. (Mail and Guardian Online, Aug 03, 2008)
In 1999, Bennie and Newstead (1999) argued that finding time for curriculum
development for in-service teachers has been a huge problem (Bennie & Newstead,
1999). PEI projects pointed to teachers’ low levels of conceptual knowledge, poor
grasp of their subject, and the range of errors made in their content competence and
conceptual understanding (Taylor & Vinjevold, 1999).

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CAPACITY DEVELOPMENT: PREPARATION AND

INSTRUCTIONAL MATERIALS

The demand for adequate training was high and very necessary. The lack of
adequate training has been problematic on at least three levels. First, according to
Julie (2006), there exists a widely held opinion that teaching mathematical literacy
is more difficult than teaching the “normal” “school-going mathematics” (p. 63).
Second, through ML we need to develop analytical competence and action
competence, since ML is “embedded in the applications of mathematics and
mathematical modeling” (p. 65). Third, Julie (2006) argued that by virtue of the
definitions given to ML, attention is given to “desirable contexts to be used in
ML”, deciding which contexts to use in ML “is a complex issue” (p. 66).
Additionally, lack of preparation is compounded by the lack of instructional
materials to guide teaching. Existing curriculum documents are insufficient because
these documents fail to build mathematical progressions into assessment standards
from one grade to another (Graven & Venkat, 2007). Many assessment standards
are unchanged for grade 10–12, with different contextual examples given for each
grade. There is no detail on what makes one context more complex than another, or
what progression within a context entails, as prescribed in the Curriculum (Graven
& Venkat, 2007). Some teachers compensate for this context complexity by
attempting to trim off certain aspects of the context which they feel students are not
ready to deal with, but the unfortunate result of this is that trimming such contexts
ultimately affects the authenticity of the tasks (Graven & Venkat, 2007).
The idea that ML (the content) is so easy that anybody can teach it is dismissed
by Julie’s (2006) analysis of the teaching of ML. His analysis also dismissed the
idea that to use a qualified mathematics teacher to teach ML is a waste of
resources; since there exists a shortage of qualified mathematics teachers, any other
non-mathematics teacher can be used. It also seems that qualified mathematics
teachers are unhappy teaching ML because of its low status in terms of functional
mathematics (Siridopoulos, 2008). These teachers do tend to believe that anyone
can teach ML (Siridopoulos, 2008).

Parents Views and Support of the Policy

Some teachers recommended ML to parents and students because they believed that
ML was relevant and much easier to do compared to ‘pure’ mathematics, this despite
parents enquiring about university attendance after ML. The aim behind this approach
was to give the impression to parents and students that the doors to attending
university were not closed because of choosing ML as a subject (Siridopoulos, 2008).

Students’ Achievement and Assessment Effectiveness

Another result emerging from research is that students who never passed
mathematics in primary school could easily pass ML (Siridopoulos, 2008). This
could be connected to the idea that the ML grade 12 final examinations are too
easy. Sasman (2011) argued that the Education Department’s sets of exemplar

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papers intended to help students prepare for examinations were perceived by many
as ‘easy’. According to North (2010), every examination should as far as possible
assess every topic in the curriculum. Unfortunately the grade 12 examination raised
serious concerns, because there were “large chunks of the primarily grade 12
syllabus that were completely excluded from the examinations” (North, 2010,
p. 223). In addition, the examinations “do not meet DoE stipulations” (North, 2010,
p.223), because “the spread of levels of cognitive difficulty varied greatly”
(Subject Assessment Guidelines, 2008, p. 42). The major concern, according to
North (2010), are “the significantly low percentage of marks allocated to
‘reasoning and reflecting’ questions and the high percentage of marks allocated to
‘routine procedures’ questions” (p. 223).
The quality of mathematics passes is also, according to Sasman (2011), a thorny
issue, because “the quality of performance is often linked to the quality of teaching
and is the subject of much debate” (p. 3). This issue reinforces the perception that
teachers are not trained to teach competently. Teacher knowledge, both in terms of
content and pedagogy, are “essential prerequisites for preparing students appropriately
and to ensure that students require the fundamental skills of mathematical proficiency”
(Sasman, 2011, p. 3). Sasman concluded that after the 2010 results were analyzed,
“the quality of the passes indicates a consistent poor trend and this is a serious cause
for concern” (2011, p. 5), and that students were only able “to handle ‘stimulus-
response’ questions and questions at the lower cognitive levels, but illustrate little
conceptual understanding” (p. 6). Interestingly, the ML teams did not commend their
2008 final examination papers as future model papers (UMALUSI, 2009).
The Centre for Development and Enterprise (2010) reported on the performance
and potential performance of the ML students. The potential performance was
inferred by comparing correspondence tables which assessed “the overall
distributions of marks in HG (Higher Grade Examinations of the previous
curriculum) mathematics in 2007, mathematics in 2008, and mathematical literacy
in 2008” (p. 2). They concluded that tens of thousands of ML students could have
passed mathematics in the 2008 examinations with a pass of more than 50%.
Furthermore, they concluded that the “bottom 75 per cent of schools produced only
17 per cent of the passes, whereas 6.6 per cent of schools produced 50 per cent of
passes” (CDE, 2010, p. 3). This result suggests that the educational situation in
South Africa still remains highly unequal. A comparison of schools across the
country also revealed major variations in performance and showed that
“socioeconomic factors associated with schools are strongly correlated with their
performance” (CDE, 2010, p. 7). In addition, the CDE concluded that the “2008
NSC results were a mix bag, reflecting real progress, grade inflation, and some
worrying chaos in the middle of the schooling system” (p. 11).

RECOMMENDED CURRICULUM CHANGE

Alternative Framework
Figure 2 represents the alternative curriculum framework. The alternative
framework is grounded on teachers’ professional development and premised on the

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 THE IM
MPLEMENTATIO
ON OF MATHEM
MATICAL LITERA
ACY

Figure 2. Alternative Frameework.

idea thaat ML studen nts should be equipped w with functionaal knowledgee of

mathemaatics (the purrpose of matthematics), as well as equuipped with M ML.
Streamliining the policcy in these terrms means an integration off mathematics and
ML into o one subject. This integrattion is possiblle if we incorrporate the moodel
of math hematical pro oficiency as outlined
o by Kilpatrick et al. (2001) and
implemeent changes th hat will impro ove the qualityy of mathemaatics teaching and
learning.
Conceivably for teachers, this will require deep changee, necessitatinng a
paradigmm shift of passt beliefs, und derstandings, aand practices. This change will
require professional developmentt programs ffor teachers to gain a nnew
understaanding of the demands of the t curriculum m. For examplle, a fundameental
change ini teachers’ beeliefs is the no
otion that ML is ‘not real mmath’, that ML is a
‘lesser’ status curricu
ulum, that ML L is a ‘watereed down’ verrsion of the m more
functionnal mathematiccs curriculum. This transitiion would be easier througgh a
deeper and
a better und derstanding of ‘mathematicaal proficiency’’ (MP) that drraws
ML and d functional mathematics
m intto one curricuulum. Anotherr research findding
that proovides preliminary evidencce for a diffferent approacch to curricuulum
implemeentation, and which also seems to peercolate acrosss other reseaarch

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CORVELL CRANFIELD

documents, is given by Siridopoulos, who found that in the responses of the

students in her sample (32 students), “there was no indication that the learners
found instructional practice of ML different from the mathematics instruction
they received in the past” (2008, p. 202). Teachers are implementing ML in a
way that is ingrained in their beliefs and practices about the nature of
mathematics from the past.
The intent of the policy regarding change in teaching and learning is not
translating into changes in teachers’ practice, which is a result of ineffective
training and a curriculum characterized by claims and assumptions that are not
supported by credible and rigorous research. Consequently, the alternative model
I propose as result of my policy analysis is advocating for deeper change that
introduces real mathematics content and restructures the mathematics curriculum
to allow access to STEM career, and provides a new focus on teacher
development.

CONCLUSIONS

Preliminary observations suggest that implementation of ML is largely due to

politicians’ delusions regarding the realities of schools and classrooms, and that the
ML curriculum is symbolically seen as a silver bullet to address the legacy of
apartheid. The key finding of this policy analysis is that ML does not have a strong
theory of action and that the quest for achieving minimum achievable standards is
directly having a detrimental impact on providing students with the mathematical
knowledge and skill required for equal access to a wide range of future career
choices6. The transformation needed to move between mathematics and ML
requires deep change for all educators delivering the curriculum, as well as for all
educational stakeholders.
This preliminary finding suggests that the architecture of the ML policy is still
on shaky ground because it is being built on untested assumptions about outcomes,
teaching, and learning. Consequently, the following recommendations are
suggested as a start to a five-year plan with full consultation with teachers,
education officials, mathematics and mathematics education researchers,
University school-based units, and academics:
Recommendation 1: A committee should be appointed to test-in-use the
framework of ‘mathematical proficiency’7 (MP) proposed by Kilpatrick, et al,
(2001), to incorporate the key principles of ML within functional mathematics.
This can be done by reviewing the structure of the past higher- and standard-
grade curriculum with the intention to provide opportunities for greater access to
a wider range of tertiary studies. A possible point of departure would be to look
at the structure of the common core standards for mathematics, which are
embedded in teaching for MP, recently produced in the USA. Mathematical
proficiency for everyone demands that “fundamental changes be made
concurrently in curriculum, instructional materials, assessments, classroom
practice, teacher preparation, and professional development” (Kilpatrick et al.,
2001, p. 10).

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Recommendation 2: Implementation of a new curriculum requires deep change

in the attitudes, beliefs, and behaviors of teachers. This deep change demands
development in pedagogical content knowledge, as well as a deeper understanding
of the nature and value of the new MP curriculum. Developing teachers must be a
key component of the Human Capital strategy (WCED, 2004). This strategy
requires a radical transformation approach to effective staff development, and new
public discourse to highlight the professionalism of teachers in the context of what
it means to teach for MP. The strategy should include a structured plan to improve
teaching and learning across the schooling system, to align instructional practices
with beliefs, understanding, and the MP curriculum. In particular, Singapore’s
model for teacher development could be a starting point (Sclafani, 2008). This
model8 provides “one of the most coherent systems of teacher education…and
teacher development” (Sclafani, 2008, p. 2). In sum, resources must be put in place
to ensure that teachers are trained well.
Recommendation 3: To achieve the above two recommendations, it is crucial to
address the inequities in schooling, especially in poor and rural areas. These
inequities still exist despite 16 years of democracy and pledges to correct this
legacy as demanded in the policy. Criticism is mounting regarding the
implementation of ML in poor and rural areas, because children from these
classrooms are not learning enough. There must be an urgent upgrade program in
these schools; it is imperative to put quality math teachers in these dysfunctional
areas. Teachers, particularly in these areas, are the key agents in improving the
quality of the education system. Consequently they should not just be treated as
workers in a system, but as members of a profession. There is growing
dissatisfaction among teachers with media displaying negative public images of
teaching. In fact the Human Science Research Council (HSRC) found that 55% of
teachers would leave the profession if they could (ELRC, 2003), a situation South
Africa can ill afford. As a priority we have to engage in this capital investment, by
professionalizing teachers and providing quality professional development. To do
this, the department of Education should draw on the expertise and innovations
emerging out of universities which have made teacher development part of their
core business.
Recommendation 4: The development of curriculum materials to support
teaching and learning, including the critical role of textbooks, is crucial in
supporting the implementation of curriculum, because they aid curriculum
coverage and set out the scope and sequence of topics and mathematical conceptual
logic. Textbooks also offer a planning resource for teachers, for whom gaining
access to appropriate knowledge and skills to teach at the appropriate level is
especially important. The Department of Education must ensure textbooks of very
good quality. These curriculum materials set the expectations for teaching as
required by policy, and influence student learning because teachers are responsible
for mediating the curriculum materials. Students in turn interact with these
materials within a variety of classroom contexts. Changes in curriculum materials
over time is a consequence of reform movements or curriculum restructuring, and
sometimes there are differences between expectations9 for instructional materials

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(set by policymakers) and the curriculum as enacted in the classroom by teachers

and students. Cirillo et al (2009a) referred to factors that impact classroom
practices, including “national, state, and district standards; textbook adoptions,
technological advancements; and research about student learning” (p 59). Lappan
and Phillips (2007) have argued for “retooling mathematics teachers” (p 2).
There is so much at play regarding the implementation of curriculum materials.
The overall challenge or question that should be looked at is: What happens when
teachers are required to implement a mandatory mathematics curriculum whose
purpose is distinctly different from that of the mathematics curricula of the past?
This dilemma impacts both prospective and practicing teachers. Interestingly even
those teachers with deeper understanding do not often reflect this in their teaching
practice (Webb & Webb, 2004). Furthermore, the irony of practice can be seen
through Cohen’s (1990) teacher, for whom the curriculum and instruction materials
were based on the reform classroom, but the teacher used the new materials by
conducting the lesson traditionally. According to Cohen, “It is one thing to
embrace a doctrine of instruction, and quite another to weave it into one’s practice”
(p. 314). This is the challenge for teacher education, to bridge this divide and create
efficient and effective curriculum materials that can be enacted effectively.
Students will only learn the new mathematics if teachers first know the
mathematics, and second, teach it well.
Recommendation 5: Training and building the capacity of mathematics advisors
(curriculum district officials) is important for providing support for teachers and
support in curriculum implementation. These officials have been subjected to the
same degree of change as the teachers. Central to policy implementation is
teachers’ understanding of the policy, and effective district support can alleviate
confusion about policy requirements and lead to a coherent understanding of these
policy demands.

CONCLUSION

South Africa has embarked on an ambitious journey to improve the plight of the
majority of the population that is still recovering from the legacy of apartheid,
through the teaching and learning of mathematics so that many of the new
curriculum goals can be achieved. Undoubtedly, mathematics provides a
foundation for students to access different fields of study, and as a country we need
to move beyond using mathematics as a gatekeeper to success. Through ML as a
new curriculum subject the country is still at risk of disempowering students by
allowing three years of ML learning that does not lead to the opening of doors, but
serves as a dead-end for a number of career choices. A mathematical proficiency
approach is coherent with the Department of Education’s philosophy that every
student has the potential and ability to learn mathematics.
Volmink (1990) captured this idea very well by stating that
... to know and to understand is a basic human right. Mathematics, maybe
more than any other subject, explains things and helps us come to know our
world. It provides us with the means to think thoughts and to create and

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 THE IMPLEMENTATION OF MATHEMATICAL LITERACY

examine ideas that we otherwise could not. It also helps us to articulate these
ideas and images, which would not be expressible in any other way.
Mathematics is therefore a significant means of empowerment. To deny some
students access to the process of mathematics is also to predetermine who in
society will move ahead and who will stay behind, but at the same time
mathematics as it is taught in schools has been disempowering (Volmink,
1990, p. 98).
Volmink touched on the key problem with implementing any curriculum, that is,
the way in which mathematics is taught. This policy analysis supports that idea and
recommends greater Human Capital expenditure in teacher development and
training.

NOTES
1
These contexts, according to Julie (2006) includes issues and situations “such as shopping, baking,
cooking and everyday financial calculations” used “as contexts for mathematical treatment” (p. 67)
2
See Appendix 1, Table 1 for an abridged roadmap of education policies from 1995–2009.
3
For more information see Changing Curriculum: Studies on OBE in South Africa (1999). Eds.
Jonathan Jansen and Pam Christie. Published by Juta and Co.
4
For example tax forms, check books, bank forms, and loan forms.
5
This was the terminology used in the old curriculum.
6
As clarified elsewhere the content in the ML curriculum is insufficient and fails to provide students
with deep mathematics knowledge, because it lacks some key functional mathematics components
that would help students access the gateway subjects/courses at tertiary institutions. In this regard
ML is not a good curriculum, but it is a limiting one and goes against the big policy idea of “access”.
A number of the students writing the matric examinations in ML could have easily passed the
(functional) mathematics exams, thus giving those students an opportunity to access STEM careers,
but now they cannot because they have ML in their transcript and not mathematics as required by
tertiary institutions.
7
Mathematical proficiency has five strands: conceptual understanding, procedural fluency, strategic
competence, adaptive reasoning, and productive disposition (Kilpatrick et al., 2001)
8
The model details issues regarding: 1) High standards for selecting teachers and administrators – and
deep support for them throughout their careers; 2) Serious career management from preparation to
retirement; 3) Strong sense of professionalism among teachers; and 4) Strategic use of financial
resources to attract and retain excellent teachers.
9
These are the objectives set out by the curriculum and referred to as the intended curriculum, which
also includes the scope and sequence charts in textbooks (Stein et al, 2007)

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ANNOTATED REFERENCES

Department of Education. (2003). National Curriculum Statement, grades 10–12 (General),

Mathematical Literacy, Pretoria.
This is the actual policy document and is divided into four key sections: 1) the introduction of the
National Curriculum Statement (NCS) describing the principles and design features of the NCS, as well
as an introduction to the curriculum; 2) the introduction and general orientation of the subject
Mathematical Literacy describing the definition, purpose, career links and Learning Outcomes of the
subject; 3) the introduction of the Assessment Standards for each Learning Outcome describing the
content and contexts for the subject by arranging the standards in such a way as to see the intended
progression from grade 10 to grade 12; and 4) introducing the generic approach to assessment
describing a table of subject-specific competence descriptions required for each grade level.
Department of Education. (1995). White Paper on Education and Training, Notice 196 of 1995,
Parliament of the Republic of South Africa, Cape Town.
This paper provides the background and history of the key issues with reasons for transforming the
legacy of the apartheid past. It provides the context for educational change by emphasizing the purpose
and scope of education and training, by providing the values and principles of education and training
policy through the Reconstruction and Development of Education and Training program. It presents the
constitutional and organizational basis of the new education system by describing the fundamental
rights to education and training, the national and provincial powers, and the transition to new national
and provincial departments of education. The paper describes the funding structures for education and
training by focusing on budget reform and funding requirements of this system. Furthermore the paper
describes the Reconstruction and Development Program (RDP) for the schooling system by
emphasizing school ownership, governance and finance, and importantly describes how to meet the
government’s commitment to free and compulsory general education.

Chisholm. L. & Kgobe, P. (1993). Gearing up for an integrated Education and Training System. In
South African Policy Review. Heineman, p 1–28.
The authors provide a deeper understanding of the historical development of the curriculum as it
pertains to the government’s policy before transformation. They describe the context regarding types of
schools, the difficulties regarding unilateral restructuring of all the ‘apartheid’ education departments
into one national department, the difficulties regarding education expenditure. However, they give an in
depth look at the conflict in education and how this affected student learning and teaching, especially
the results of ineffective training programs and the impact of unions.
Jansen, J. D. (1999). Setting the Scene: Historiographies of curriculum Policy in South Africa. In
Changing Curriculum: Studies on Outcomes-Based Education in South Africa. South Africa: Juta,
Pp 3–19.

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CORVELL CRANFIELD

Jansen sets the scene for the introduction of the new curriculum by tracking the history of the events
leading to the introduction of outcomes-based education (OBE) into the education and training system
by describing the complex and contested origins of OBE. He leads into the discussion of the trajectory
of policy and what we have learned. The details of the debates on OBE is crucial to understanding the
broader issues that is at stake regarding policy making in transforming countries.
Tikly, L. & Motala, S. (1994). Towards transitional governance. In South African Policy Review.
Heineman, pp 1–28.
The authors present a policy framework involving the policy goals, values and principles for education
restructuring emphasizing the structure and governance of education, a National Qualifications
Structure, teacher training, preparation and development, as well as the curriculum, pedagogy and
assessment. The basis of this development and restructuring is through national unity by addressing
issues of cultural diversity, the promotion of learner-centered approaches.
Western Cape Education Department (WCED). Education 2020: A Human Capital Development
Strategy for the Western Cape. Draft Four, 5 September 2004
This is a strategy for policy implementation by one of the provinces in South Africa. It provides insight
into how policy is interpreted at a provincial level, and how they set about dealing with the constraints
(especially financial and physical restructuring of the local offices and local governance structures to
ensure successful implementation of policy goals.
Department of Education. (2009). Report of the task team for the review of the implementation of the
National Curriculum Statement. Presented to the Minister of Education. Pretoria.
This panel identified the challenges and pressure points regarding teachers and learning quality resulting
out of implementation of the new curriculum. They identified the major complaints and identified five
major areas, namely: curriculum policy and the guideline documents; the transition between grades and
phases (meaning foundation phase grades 1–3, intermediate phase grades 4–6, senior phase grades 7–9,
and further education and training phase grades 10–12); assessment (especially the introduction of
continuous assessment); learning and teaching support materials (especially the impact and role of
textbooks); and teacher support and training (especially with the focus on curriculum implementation).
Graven, M. & Venkat, H. (2007). Mathematical literacy: issues for engagement from the South African
experience of curriculum implementation. A core paper prepared for Discussion Group 3 for the
ICME conference (2007) Math education: For what and why. Wits University
Looking at the Mathematical Literacy (ML) from a policy point of view and focusing on the teacher’s
guide. They give an analysis of the agendas that inform the teachers work by focusing on the context
and content driven agendas. Their observations and interviews with teachers lead to a range of issues for
discussion, including, authenticity in the tasks, tension in progression, and language issues.

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APPENDIX 1

Table 1. Roadmap of education policies.

POLICY YEAR PURPOSE COMMENTS

White Paper, Education 1995 This was the Based on the 1994
and Training in a fundamental framework education policy
democratic South of the education system framework of the African
Africa: First steps to National Congress. The
develop a new system main reference for
subsequent policy and
legislative development
The South African 1995 Provides for the The NQF scaffolds the
Qualifications Authority creation of the National national learning system
(SAQA) Qualifications that integrates education
Framework (NQF). and training at all levels
The National Education 1996 Provided for the
Policy Act (NEPA) determination of
national policies in
general and further
education and training
for curriculum,
assessment, language
policy and quality
assurance
The South African 1996 Designed to promote Provides for democratic
Schools Act (SASA) access, quality and school governance
democratic governance through school governing
in the schooling system. bodies and for two types
Provide the funding of schools (independent
norms for redress and and public).
poverty
Curriculum 2005 1997 Aimed to allow greater C2005’s assessment,
mobility between qualifications,
different levels of competency, and skills-
education and based framework was
institutional sites, and aimed at encouraging the
to integrate knowledge development of
and skills through curriculum models based
“learning pathways”. on the NQF in theory and
practice
Further Education and 1998 Provide the basis for They provide for
Training Act, Education developing a nationally program-based funding
White paper 4 on coordinated further and a national curriculum
Further Education and education and training for learning and teaching
Training and National system, comprising the
Strategy for Further senior secondary
Education and Training component of schooling
(1999–2001) and technical colleges.
The Employment of 1998 Instituted to regulate
Educators Act the professional, moral,
and ethical
responsibilities and
competencies of
teachers.
National Department of 2003 ML policy document

231
 CORVELL CRANFIELD
Education. National
Curriculum Statement
Grades 10–12 (general):
Mathematical Literacy
UMALUSI: Council for 2004
Quality Assurance in
General and Further
Education and Training
National Department of 2008
Education. National
Curriculum Statement
Grades 10–12 (general):
Subject Assessment
Guidelines-
Mathematical Literacy
National Department of 2008
Education.
Mathematical Literacy:
Examination Guidelines
National Department of 2008
Education. National
Curriculum Statement
Grades 10–12 (general):
Learning Programme
Guidelines:
Mathematical Literacy
UMALUSI: Council for 2009
Quality Assurance in
General and Further
Education and Training
232
Quality Assurance Investigation into the
Paper Standard of the Senior
Certificate Examination
Provides assessment
guidelines with the
focus on continuous
assessment and the use
of formative assessment
types.
Provides examination
guidelines for teachers
Aim to assist teachers
and schools in their
planning for the
introduction of the
National Curriculum
Statement (NCS). The
statement should be
read in conjunction
with the National
Senior Certificate
policy.
Maintaining Standards
Report.
 CHAPTER 9

MARIA TERESA TATTO

The Reach and Possibilities of Educational Reform for

the Rural Poor in Mexico

INTRODUCTION

After Jomtien1 under the goal of providing “education for all” a great number of
countries made a strong commitment to extend the benefits of education to the
poorest sectors of their population. Efforts have been made in the following years
to fulfill this promise. But the issues associated with understanding and
addressing disadvantaged populations are multiple and complex. Moreover the
strategies followed by a number of countries have been framed under structural
assumptions inherently limiting and undermining the intentions of the policies that
gave them origin. Seeking to understand the challenges and complexities of
change in these contexts, I analyze Mexico’s assumptions framing educational
policy toward the rural and indigenous poor.2 I argue that a number of initiatives
may fail to fully address the needs of these populations due to the assumptions
underlying these policies which end up resting agency to the poor, their children,
and to their teachers and schools. After describing the theoretical framework used
in this chapter and providing a brief description of Mexico’s political economy, I
examine Mexico’s past and current government policies toward the poor and look
at the spaces that have opened up for innovation due to growing relationships with
the global economy and the global community and to relationships between
Mexico’s central and local governments. I suggest that compulsory early
childhood education is one obvious avenue (complementing policies such as
Federalizacion and teacher education) to correct centuries of injustice and
neglect. I discuss the implications of this analysis within the context of the
current decentralization movement and the growing discontent among the rural
poor.

_______________________

‘Suffer the Little Children’: National and International Dimensions of Child Poverty and Public Policy
Advances in Education in Diverse Communities: Research, Policy and Praxis, Volume 4, 231–252
Copyright © 2006 by Elsevier Ltd.

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 233–252.
© 2012 Sense Publishers. All rights reserved.
MARIA TERESA TATTO

THEORETICAL FRAMEWORK

A post structural critique of the policies directed at the education of the

rural/indigenous poor in Mexico is appropriate at this time as new initiatives
continue to emerge as a result of national educational reform movements sweeping
the nation. While the reform promises change and community-based decision
making, the traditionally centralized system of governance in Mexico continues to
reinforce a top-down educational model based on past assumptions of how people
learn and what knowledge is to be valued. Although the traditional model of
Mexican education may have proven adequate for a particular portion of the
population in an specific social and political moment, it has remained inadequate
for those who have been kept at the periphery of social and economic development
(Latapi, 1996).
Historically, policies directed at providing education for the rural poor have
been bounded by a number of enduring policy dilemmas: (a) attention to the
education of those in more urbanized areas at the expense of the education of the
rural poor where emphasis has been on access rather than on quality and relevance;
(b) the pursuit of “mass schooling” strategies (e.g. age graded classrooms, teacher
centered instruction, discipline-structured curriculum, mandated schooling to begin
at age six) at the expense of models tailored to serve the needs of specific poor
and/or rural communities; and (c) the dominance of the hierarchical power
structure in schools permeating all levels of education, from the Secretariat of
Public Education (SEP) to supervisors, principals, teachers and pupils and their
families at the expense of bottom up participation.
The existence of such historical dilemmas raise questions for current practices:
(a) how do historical and power conditions underlying policies for the education of
the rural and indigenous poor have shaped current thought and innovative efforts in
rural education (e.g. the development of a bilingual curriculum for teachers and
their students, the legitimization of one-room multi-grade classrooms as strong
vehicles for learning, the development of strategies to support teachers’ instruction
in one-room schools with multiple grades, and the design of better opportunities to
learn for pupils)? (b) given the prior history of educational neglect among the rural
and indigenous population (Kobayashi, 1992; Loyo, 1992; Martinez Jimenez,
1992; Miranda, 1968; Vazquez de Knauth, 1992), what circumstances make it now
possible to move to a different model of schooling in rural areas if at all? (c) what
conditions seem to support challenges to traditional structures? And conversely,
what conditions seem to reinforce and reproduce traditional structures?
The examination of these questions point to the fact that Mexico’s reforms to
the education of the poor have and continue to operate against a background of
“inherited tradition”3 that limit what can be accomplished vis-a`-vis the particular
needs of poor rural children, their teachers, and their families. A transformation of
this situation would require responses based on visions of what is “beautiful, good,
and true instead of fixed, structured, moral or objective certainties” (Cherryholmes,
1988, p. 151). Transforming the quality and relevance of the education of the poor
may require the development of a new language and set of norms to establish a
dialogue on these issues and to act upon them.

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POVERTY IN MEXICO

Poverty among Mexico’s rural and indigenous population is acute and pervasive. In
spite of the reduction of the proportion of Mexicans who live in rural areas since the
1940s by almost half, in 1992 about 30% of Mexico’s close to 90,000,000 inhabitants
lived in rural areas of whom close to half were indigenous groups. As of 1992, a
large number of inhabitants in rural areas suffered high levels of malnutrition and
infant mortality, more than 50% of its inhabitants lacked decent housing, and close to
75% of the rural population older than 15 years old had not finished primary school.
In 2000, statistical sources indicated improvement in primary and secondary school
attendance and completion.4 The same statistics however indicate that in recent years
the percentage of children in the age range between 12 and 17 are increasingly
combining school and work, and consequently fewer children are attending school on
a full-time basis (Robles-Vasquez & Abler, 2000).
About a third of the poorest people in Mexico is concentrated in three states of
Mexico’s southwest: Chiapas, Guerrero and Oaxaca; in these states about 80% of
the population live in marginal conditions and is economically dependent of
agriculture. Many of these communities lack electricity, drainage and potable
water, phone lines are few and unreliable and roads are few effectively isolating
more than 7 million people. The mean salary for those dedicated to agriculture and
husbandry is well below the average of other economic activities, in addition only
a third of the economically active population perceives a salary and for half of
them the salary is below the minimum legally required. The per capita income is
three times lower than the national average and between 30 and 40% of the
population lack health and education services. Regarding education, children are
lagging behind and there is high inequality in responding to the demands for
education. In these areas student retention is very low across the different
education levels as is the achievement level among those who manage to stay at
school. Another layer of complexity is added by the variety of indigenous people
living in Mexico. At least 9% of the Mexican people has as a mother tongue one of
the 56 indigenous languages spoken in Mexico. The number of people who speak
these languages vary widely, for instance Nahuatl is spoken by about 1 million 400
thousand inhabitants older than 5 years of age compared with Papago spoken by
only 236 people according to the 1980 census. Also according to this census five
languages are spoken by more than 60% of those who speak indigenous languages;
these are: Nahuatl, Maya, Zapoteco, Mixteco and Otomi. The indigenous
population in Mexico during this century has grown from two to eight millions, the
largest in the American continent. They are also the population group who live in
conditions of high marginalization in both rural areas as well as in the greater
Mexico City area (estimated to be close to a million).

EDUCATING THE RURAL POOR: RECENT POLICY RESPONSES

The general tone of the 1995–2000 Educational Development Plan was one of
educational equity and indicated the need to pay special attention to rural and
indigenous communities where marginalization and poverty tend to predominate.

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A number of policies have been put in place over the last decade to facilitate
what is seen as fundamental changes in the current state of education for the poor.
One of these changes concerns the context in which educational equity is to be
achieved and has been defined as educational federalism or decentralization.
Decentralization is a movement to reorganize the Mexican educational system in
the hopes of increasing its efficiency and a more just distribution of resources. This
movement gained momentum in the early 1990s as part of the National Agreement
to Modernize Mexico’s Basic Education. In 1992 the Federal Government
transferred to the states the systems of preschool, primary, secondary, special
education and teacher training. This decentralization movement was to encourage
local governments to strengthen decision making capacity, to build linkages
between local authorities and communities, and to distribute resources to the
localities. The major goal of the decentralization reform was to give responsibility
for the delivery of basic and normal education to the states and as a consequence
bring decision making and planning closer to rural and other marginal zones.5
Nevertheless the central SEP, located in the capital, still maintains core
functions such as setting national curriculum guidelines, controlling the evaluation
and examinations systems, and regulating the flow of resources to the states
claiming that doing so insures equity. The fiscal Coordination Law published in the
Official Gazette of the Federation on December 20, 1997 established that each state
government will receive directly most of the federal resources allocated to basic
education, and that the use and distribution of these resources is under the sole
jurisdiction of the state governments.
In addition to decentralizing the educational system, The National Agreement to
Modernize Education included provisions for the development of the Programa de
Desarrollo Educativo (PDE or Education Development Program) which began in
1995. This program included a number of strategies to improve the quality of
education and to promote equity as part of its compensatory policy: (a) the
reformulation of teaching methods, curricular content and materials; (b) the
formation, upgrading and improvement of teachers; (c) the provision of
infrastructure and educational materials (including the rincones de lectura or
reading corners); and (d) the production and distribution of free textbooks for all
basic levels of education; among others. Arguably the program called for a higher
degree of integration among communities, teachers and school administrators to
facilitate actions and planning that would better suit the local environment.
According to the reform rhetoric, the implementation of these strategies would
improve the coverage, efficiency, and quality of education in the country and
specifically for the rural poor.6

WHAT THE REFORM HAS AND HAS NOT ACCOMPLISHED AND WHY

The stability and effectiveness of the educational reform in Mexico needs to be

discussed within the economic context of a variable economy resulting in declining
and standards of living, and high rates of inflation incomes since 1980 caused in
part by a significant drop in world oil prices and a large external debt. After a short

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recovery at the end of 1994, Mexico had another severe economic crisis this time
as a result of the government’s decision to devalue the peso and move to a free-
floating exchange rate regime. A number of factors have been suggested to help
explain the later crisis such as the global economic crisis created by speculation in
the international financial market, mistakes in the planning and internal
management of the economy, the lack of efficiency and solvency of some members
of the public and private sectors, and the insufficiency of social programs. It was
not until 1998 that the country was able to recover part of its stability and growth.
Faced with this crisis the Mexican government in the early 1990s, launched as
part of the Solidarity Program the “National Modernization Program for the Rural
Poor.” Preceded in April 1989 by the National Justice Commission for Mexico’s
Indigenous Peoples whose principal task was to study the possibility to reform the
Constitution to create the juridical instruments to correct injustices and to promote
the development of Mexico’s indigenous people. After broad public consultation in
the months of October and December of 1989 with indigenous representatives from
the different regions and with more than 2000 presentations, documents and
technical opinions president Salinas de Gortari proposed adding to the Constitution
Article 4 stating: “The Mexican nation is pluricultural a characteristic sustained in
its indigenous peoples. The law will protect and promote the development of their
language, culture, uses, costumes, resources and specific forms of social
organization and will guarantee to its members the effective access to the juridical
system of the State. The agrarian judicial processes of which they may be part will
take into account their juridical practices and costumes in the terms established by
the law” (SEP, 1993).
In spite of the crisis, important changes in educational policy have occurred
since the early 1980s with steady advances in access to education and in the
elimination of illiteracy among the Mexican population. In 1943 of 5,022,422
children (6–14 years old) only 2,352,502 were enrolled in schools attended by
48,817 teachers, while 2,669,920 were unable to enroll in any kind of school. In
1992 of a population of 12,772,000 children 100% enrolled in first level education
(primary education with a duration of six years with 94% reaching 2nd grade and
84% 5th grade due to repetition. In secondary level education (2 cycles of 3 years
each) of a population of 12,159,000 in 1992 only 46% enrolled. The teacher
student ratio is for pre-primary of 25:1, for first level (or primary) 30:1 and for
second level 17:1. The number of illiterates in 1995 was 6,246,000 and the total
estimated adult literacy rate was 10.4 with almost 4 points higher for women than
for men. In 1992 Mexico had a total of 88,187,000 inhabitants 26% lived in rural
areas (UNESCO, 1995, pp. 119–145). In addition during this period important
institutions were created to deal more directly and effectively with issues of
poverty such as El Instituto Nacional Indigenista, la Direccion General de
Educacion Indigena (DGEI) part of the Sub-Secretaria de Educacion Basica y
Normal under SEP, and CONAFE or Consejo Nacional de Fomento Educativo
(National Council to Promote Education) created in the 1970s, to advance
education in disadvantaged regions. Importantly, in 1993 Mexico increased the
compulsory schooling age from grade six to grade nine (elementary education

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1–6 has been free and compulsory since 1934). At the same time however between
1982 and 1986 real public expenditures on education per capita fell by more than
50% (Robles- Vazquez, 2000). Although public expenditures in education have
increased, several generations of school children have been affected by low
educational resources.
In spite of these and other actions taken by the government, conditions for the
rural poor remained unequal compared with the rest of the population. The end of
1994 was marked in Mexico by the uprisings in a remote Indian village in the
southwestern state of Chiapas almost six years to the date in which President
Salinas de Gortari established as a first act of his government the National
Solidarity Program to bring about the welfare of the poorest citizens of Mexico.7
But solidarity was soon in crisis – in part due to the economic adjustment policies
imposed by the international monetary fund (IMF) – creating tension between the
liberals and the neo-liberals who wished to maintain the old.
70-year one party ideology. This tension had the effect of breaking the
hegemony of the PRI (Partido Revolucionario Institucional) – until then
maintained since the post-revolutionary period – and marked the beginning of a
strong democratic movement which in turn has strengthen political representation
of once repressed voices including those of the rural and indigenous poor. The
breakdown of the PRI, which has been seen since the revolution of 1910 as
equivalent to the government, has damaged its legitimacy and thus weakened the
government’s capacity to fulfill the promises made in the past to the poorest sector
of the population.
The Chiapas upraising not only shook the assumptions of the government’s
modernization project whose major concern at that point was globalization and
economic competition but made clear that the pledge of the Solidarity Program had
fallen short of its promises. The national impact of the “Zapatista Movement,” as it
is known, was to put into question the whole idea of modernization by recasting
traditional indigenous values and moving forward the cause of regional autonomy.
From the educational point of view this meant rethinking very seriously the
traditional ideas about the poor, of indigenous people, the aims and means of
education, the values it was to promote, and the legitimacy of alternative
implementation venues.
Within this context, however, many issues directly affecting the education of the
poor have remained ignored. The education for the rural and indigenous poor still
uses as a frame of reference the structure of a general educational system designed
to address the needs of a middle class and the ladino or majority population. This
situation creates a number of discrepancies with the particular needs of rural
children: (a) although rural children could greatly benefit from early childhood
education when this possibility exists in the rural areas it is optional, loosely
organized, under-resourced, lacking in serious academic content, and it is only
available to and only for 4 to 5 year old children; (b) mandatory primary education
officially starts at the age of 6 assuming that all should complete it by the age of 12
but due to repetition children who have not dropped out by then do not finish until
age 14; (c) the lower secondary system has been mandatory since 1983 last 3 years

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and includes an academic and a vocational track which may or many not
correspond to the needs of those in rural areas; and (d) the telesecundaria has
proven an effective learning method for remote areas but it has failed to reach
many as drop out problems actually seem to occur for the most part in the lower
grades.

RESTRUCTURING POLICY: FEDERALIZATION

One of the most important policy instrument through which the Educational
Development Plan had proposed to promote equality among the poorest sectors of
the populations was the Federalization of the educational system. The major
assumption behind federalization is that bringing power and resources closer to the
people for whom the services are intended would increase their efficiency and
relevance. The model of “federalizacion” or decentralization adopted by Mexico
follows that of Maddick in his classic work Decentralization, Democracy and
Development (1963, cited by Street, 1992, p. 60). Maddick’s model assigns a
specific function for each level of government, the model is layered and top down
as the resources move from top to bottom. Each level is expected to provide
material support, technical assistance and manpower to the inferior levels. The
central levels retain accountability functions such as evaluation, and supervision
while the local governments manage the operational level supported by the people
who receive the policies. This policy can be criticized post- structurally as it
provides that the degree to which the center exerts control over the periphery
should be inversely proportional to the maturity of the local governments to
manage their own affairs effectively (Street, 1992, p. 60). By this mere principle
the policy subverts its argued raison d’eˆtre, that is, increased equity, capacity, and
relevance as those entities that are in most need of resources (e.g. where the
indigenous and rural poor are located) are the less likely to get them.
Manifestation of the inequalities exacerbated by the federalization policy are
already evident in Mexico as in the years since the decentralization reform was
declared as “accomplished” (in 1993) those local governments who had reached a
high level of sophistication previous to the reform have taken the lead not only in
the educational but in the political arena as well. The most disadvantaged regions
such as municipalities in Chiapas, Guerrero and Oaxaca find themselves at a
greater disadvantage even in comparison with their situation before the reform
(Schmelkes, 1997).

TEACHER POLICY: THE NEW ROLE OF THE TEACHER AND THE REFORMED
SYSTEM OF TEACHER DEVELOPMENT

As in the past, the reform rhetoric places the teachers and school administrators as
the most important elements in the process of change. Indeed one of the most
important declared goals of the PDE is teacher development. Congruent with this
intention efforts have been made to provide inservice preparation to teachers of
marginal populations not only through “compensatory programs” but also through

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the development of the “pedagogical networks” which are expected to serve as

infrastructures to support teachers much in the way the “misiones culturales” did in
the mid 1900s. More recently the most important institution educating preservice
teachers, the Normal de Maestros, has announced its intention to reform its study
programs “to eliminate redundancy and to align them with current research on
teaching and learning.” The reform of the Normales however is mostly symbolic as
in contrast with a number of Latin American countries who have moved teacher
education to the universities such as Chile, Mexico has decided to leave the
Normales as the “centers of higher education” for teachers – that is, as they were.
A review of the “Plan de Estudios” (Study Plan) published by SEP in 1997 reveals
that teachers will continue to receive a diluted curriculum and poor preparation in
the subject matters, and that program personnel will for the most part remain the
same (SEP, 1997).8
Inservice teachers have received materials designed to support the “new
teaching” advocated by the reform. Many of these materials are characterized by a
constructivist philosophy based on Piaget’s thinking – although Bloom’s taxonomy
and ideas have also maintained their presence in the curriculum. Reformers have
sought to restructure schools and have called for collaborative work among
teachers within and across schools in the same regions. Teachers and
administrators are expected to develop plans for classroom and school
improvement. The relatively new career ladder or “the carrera magisterial” system
designed as part of this reform movement is used as an incentive to encourage
teachers to undertake this demanding change agenda.
In spite of this vigorous reform program little seems to have changed in the rural
classroom.9 As in the past, teachers continue to be excluded from participating in the
conceptualization and development of educational policy. The importance attributed to
rural teachers is still circumscribed to the classroom and limited to the implementation
of policies handed down by others. Although recently all teachers have been
encouraged to participate in their school’s decision making through the “technical
councils” their role is still confined within the SEP’s and SNTE’s hierarchical structure.
This situation is exacerbated for rural teachers who rarely participate in a technical
council and depend mostly on the district supervisor as their only source for guidance.
Thus the influence of rural and indigenous teachers in decision making – if any –
occurs usually through the interpretation that others make of teachers and their
students’ needs. It is no wonder – as we will see later on – that after attempting to
follow the reform guidelines, teachers go back to their old and tried ways, as the initial
impulse and support for change metamorphoses into confusion and solitude. Failure to
implement the reform is seen by the government as teacher resistance and/or
incompetence but rarely as the result of the poor conceptualization of the policy or even
less, as a result of structural constraints present in the classroom and/or schools.
In a previous article I documented the difficulties Mexican teachers are having
in implementing the kind of teaching asked of them (see Tatto, 1999a, b, c). The
reform does not only ask that teachers implement a new curriculum but also to
change their teaching to make it more participatory, and action oriented. Teachers
are expected to construct with the students a conducive learning environment and

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new ways to learn without enough preparation and with little to no support – a
situation that closely parallels past reforms. Teaching in the way proposed by the
reform entails deep changes in teachers’ ways of knowing, thinking and acting,
changes that cannot be produced after admittedly high quality but short, massive
courses. The outcomes of the well conceptualized but hurriedly implemented
methods to educate teachers through in service courses with little to no follow-up,
may have grave consequences for teaching and learning in rural Mexico. From the
teacher’s perspective the new reform which attempted to follow a constructivist
philosophy is now understood among many “as a way to allow children to do
nothing and as an excuse for teachers who rather be ‘lazy’ than teach” (SEP
Education Officer, personal communication, June1999).
But while the government’s efforts to encourage teacher development may have
failed to move in the direction expected by the reform, it has created spaces for
teachers to begin to think and talk about their roles and the possibilities for change
within the rural school context (Tatto, 1999c). In addition and perhaps stimulated
by the decentralization movement the national teachers union, SNTE which lost
some of its power as it also “became decentralized” has begun to reconstruct a new
role in the area of teacher development, especially that of teachers working with
the rural poor. A number of scholars have documented efforts by the teacher union
to support and orient teachers in the complex process of educational reform
sweeping the country (Loyo, 1999; Street, 1999).

CURRICULAR POLICY: THE REFORMULATION OF TEACHING METHODS,

EDUCATIONAL CONTENT AND MATERIALS

The education of teachers needs to be explored simultaneously with the development

of new curricular materials, as the later is usually a justification for the former in the
Mexican policy context. Congruent with the goal to modernize education and the
development of cognitive needs deemed necessary for a global economy, the PDE
argued for a curriculum that would promote critical thinking among all pupils and
more independent learning. The aims of the curricular reform begun in 1992 were
ambitious. The curricular design used a multi-theoretical frame of reference including
the thinking of Piaget, Vygotsky, Cole, Ausubel, Mayer, Anderson, Norman,
Rumlhart and Minsky among others (Moreno et al.,1994, p. 106). The curricular
reform intended to transform in its entirety Me´xico’s basic education (both rural and
urban), including the curricular contents, teaching methods, school organization,
social participation and school connections with the community. It aimed to transform
teaching to a more conceptual level, to open the space for developing collaborative
structures of authority within and across the schools, and to increase relevance by
becoming a more integral part of the community. Knowledge that was considered
essential in the new curriculum was that of the disciplines: reading, writing, and
mathematics followed by the natural and social sciences, including aspects such as
health, nutrition, environment awareness and protection, and issues related to work,
ethics, and creativity. The curriculum also included national culture, history, and
values education. The 1993–1994 curriculum provided the normative criteria that

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shaped study programs and textbooks and required the implementation of inservice
teacher education programs and the development of teacher guides for elementary
school teachers, to be used in conjunction with the educational programs and
textbooks. The teacher guides presented information about basic curricular contents,
suggested activities, and attempted to capture “the accumulated wisdom” of the
Mexican elementary school by using case studies and raising issues derived from
teachers’ and students’ varied classroom experience. The guides were designed to
offer a set of strategies and didactic resources that teachers could use on a day-to-day
basis. A central resource for curriculum implementation, and the backbone of the
reform, were the national textbooks. The textbooks which were changed to reflect the,
more conceptual, curriculum were printed in Spanish for the majority population and
in Nahuatl, Maya, Zapoteca, Mixteco and Otomi for the indigenous population. All
the textbooks are centrally distributed free to all the population enrolled in the first six
grades of basic education and also to secondary education (technical and secondary
via television). The following table shows the text distribution effort of the
government (Table 1).

Table 1. Distribution of Free Textbooks (1997–1998).

Level Number of Copies

Pre-school
Books for pupils 2,300,000
Books for parents 2,300,000
Primary
Textbooks 112,700,000
“Get to know our Constitution” 8,200,000
Primary for indigenous people 941,550
Subtotal pre school, primary and primary indigenous 126,441,550
Secondary
Technical general 2,000,000
T. V. secondary 7,600,000
Subtotal basic education 136,041,550
Books for teachers (primary and secondary) 7,000,000
Total 143,041,550
Source: Comisio’ n Nacional de Libros de Texto Gratuitos, SEP, 1997.

These are no doubt impressive efforts, the impact of which will not be known for
several years. A number of considerations are important however. The first is that in
spite of the sophisticated curriculum design used and the effort spent in redesigning
and distributing textbooks, these met with considerable rejection by teachers –
indeed in 1993 a disgruntled group of teachers in the southern state of Michoacan
literally burned the books in the middle of the town’s plaza in protest against the
Modernization program imposed on teachers by the then Salinas government (SEP
officer, personal communication, 1993). In several schools I visited during that
time, teachers had not open the boxes sent by the SEP and one teacher intimated that
she asked her students to buy textbooks other than SEP’s as she considered the later
difficult to use (the books she liked included pages of worksheets per lesson which

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reinforced her traditional style and sabotaged the SEP’s intentions to introduce a
problem solving oriented text) (Teacher Interview, 1994). The second is that for
those teachers who began to use the texts these became teaching prescriptions, rigid
structures that must be followed – just as previous books have been used.10 The
lack of guidance and support in the classroom as teachers begin to know the
textbooks and to decide whether they will “stick with them” is crucial. A number of
teachers I interviewed argued the books were difficult to understand and follow, and
that older methods worked better (Teacher Interview, 1994). Other teachers seemed
to be using the textbooks successfully and referred to their in-service courses as the
resource that helped them move toward a different way of (thinking about) teaching.
It is, interestingly enough, those teachers I observed in rural areas, teaching in one
room schools with three grades at a time (or what is called a multigrade school or
one room schools with multiple grades) who seemed to be better at adopting the
goals of the reform to their classroom.

COMPULSORY EARLY CHILDHOOD EDUCATION: A POLICY WHOSE

TIME HAS COME?

Empirical support for the contribution of early childhood education to future

education and well being is definitive but scarce and can be found in at least two
important areas: its contribution to the cognitive and social development of
individuals specially those considered as disadvantaged, and its contribution to
school retention and completion (thus higher productivity levels) vis-a-vis
individuals’ early incorporation to the labor market (IEA Pre-primary Project,
2003; Olmsted & Montie, 2001; Olmsted & Weikart, 1989).
There is growing evidence that as Mexican children mature, their school
involvement decreases while their involvement in work activities increase (Post,
2000; Robles-Vazquez & Abler, 2000). Although the rates at which this happens
varies, poor rural children seem to be the most affected as ENIGH data suggests
(e.g. more poor students had to work in 1996 than four years earlier). In addition
unpaid, domestic responsibilities for Mexican girls seem to be a major reason they
don’t go to secondary school.11 Since 1980 enrollment, attendance, school
progress, and other educational indicators have generally improved for Mexican
children less than 12 years old, but actual school attendance and time spent in
school and work among Mexican children aged 12–17 provides an strong argument
to “front-load” education at an early age (Post, 2000; Robles-Vazquez & Abler,
2000). According to Knaul and Parker (1998) the labor force participation rate
among children younger than 12 is below 3 or 4%. Thus the years from 3 to 12
should be seen as prime learning time. Even if common wisdom suggests that
poverty is a cause of low school participation and early incorporation into the labor
force, recent research suggest that poverty has only a small impact. Instead, a
careful econometric analysis by Robles-Vasquez and Abler (2000) shows that, the
largest impact on the probability of being a full time student are age and education:
An increase in the child’s age by one year leads to a reduction in the
probability of being a full time student ranging from about one-tenth to about

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one-fifth... . Holding age constant, an increase in the child’s number of years

of schooling leads to an increase in the probability of being a full time
student... household income has an impact on child labor force participation,
but the impact is very small (pp. 9–11).
The situation is more alarming if one looks at the average number of hours children
work. According to data from ENIGH in 1996 the average number of hours
worked per week among poor children of ages 12–14 was about 33% for urban
boys and 29 for urban girls, 33 for rural boys and 30 for rural girls; among children
of 15–17 years of age the average number of hours per week was 41 for urban boys
and girls, 39 for rural boys and 37 for rural girls. Earnings by these children
accounted for about one-fifth of total family income in 1996 with larger earnings
brought by older children (Robles-Vazquez & Abler, 2000).
Research on the contributions of early childhood education to cognitive and
social development argues that good quality early childhood education (3–5)
improves children’s abilities to be successful at school, and to pursue studies
longer than children who do not participate in such programs (Berrueta-Clement
et al., 1994; Karweit, 1989). In addition research documents that disadvantaged
children who attend early childhood education seem to have lower rates of
delinquency than those who do not (Karweit, 1989). The preschool programs that
have been proven successful in rigorous longitudinal studies such as the Perry
Preschool in Ypsilanti, Michigan for disadvantaged children, programs described
in the international and longitudinal IEA Pre-primary project of the High Scope
Foundation, Head Start in the U.S., and Montessori all used well conceptualized,
highly integrated, very structured, coherent approaches to preschool education.
Unfortunately longitudinal research in early childhood education in Mexico is just
beginning. In order to implement policies such as this, Mexican educators will
need to begin their own empirical investigations as what strategies would work for
poor rural children.

DISCUSSION

The term poor is defined by the dictionaries as “having little or no money, goods,
or other means of support; as dependent upon charity or public support; lacking in
skill, ability or training; deficient in moral excellence, cowardly, abject or mean.”
The word is also synonymous with “needy, indigent, destitute. Poor is the simple
term for the conditions of lacking means to obtain the comforts of life.”
Implicit in this definition is the sense that being poor represents a lack in a
number of areas on the individual, but it rarely reflects on the societal condition that
allow for poverty to exist or on the power mechanisms that help shape how we think
and act toward the poor in relation to ourselves. As Cherryholmes argues (1999)
power materializes in “asymmetrical relationships by which some people are
rewarded and indulged, and others are deprived and sanctioned [...] power circulates
in the transactions that constitute these relationships, and social institutions are
shaped when these relationships become sedimented and routinized – they often
look as natural as trees and rocks” (Cherryholmes, Reading Pragmatism, p. 16).

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Indeed the definition of the poor and the discursive practices a population uses,
will shape policies directed toward the poor. Education policy in Mexico as
elsewhere in the world has undeniably disadvantaged the poor for centuries by
rewarding the rich and depriving the poor. Recently in Mexico, however, the
discourse has shifted in part due to the commitments made after Jomtien to educate
the rural poor, in part due to the mobilization of the poor in the most marginalized
states, in part due to pressure exerted by Mexican educators, intellectuals and
scholars, and in part to the work of international organisms. The result of this shift
is the recognition and legitimization of the rural indigenous population’s costumes,
traditions and language to the point of changing the laws in the Constitution to
acknowledge Mexico’s indigenous diversity; this is a step that begins to pave a
new way of thinking about the indigenous poor in Mexico. Indeed, discursive
practices are not purely and simply ways of producing discourse. They are
embodied in technical processes, in institutions, in patterns for general behavior, in
forms for transmission and diffusion, and in pedagogical forms which, at once,
impose and maintain them (Foucault, Language, counter-memory, practice, 1980,
p. 200).
The dramatically different discourse regarding the rural poor in Mexico has
made possible the creation of institutions to study and address the specific issues
related to their education and other social and economical needs. It has also made
possible to develop a policy of bilingual education responsible for the development
of a whole curriculum and textbooks in several indigenous languages; and the
creation and support of compensatory programs. Yet after almost ten years of these
policies the census still tells a sad story:
According to the XI Population Census, in 1990 there were in Mexico
1,441,277 indigenous people between 5 and 14 years old. Among them only
66.7% attended schools. In general terms, a very small proportion of the
students that begin the first grade of primary education finish their studies in
six years. In 1985–1986 160,396 children enrolled in first grade at the end of
the cycle in 1990–1991 only 40,911 passed six grade. This is only 25.5% of
those who began primary education six years before in contrast with a
national percentage of 56.4% (World Education Data, UNESCO, 1998.
Paradoxically, the very policies that seem so promising for the future reduction of
inequities and in helping communities shape their own education agenda, also
seem to have the capacity to exacerbate disparities:
(a) The policy of decentralization has increased inequalities between
developed and underdeveloped regions. Indeed power still remains at the
center and rural communities attempts at developing social capital are seen
with suspicion and resentment;
(b) Education policy makers insist in applying urban models to rural
problems.
Would it not be possible to begin educating children of the rural poor to learn
arithmetic and reading at age of 3 or 4 using pedagogy that has proven appropriate

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for young children lacking in social and cultural capital? One needs to question the
logic of following a uniform model of schooling across the country if rural children
tend to drop out generally after 3rd grade (why not then begin formal schooling
three years early?). Assuming that all children should begin “formal” schooling at
age 6, benefits only those who will be able to complete elementary schooling.
When so many children cannot finish sixth grade even in the urban areas we have a
big problem which may indeed begin in the early years. Again the problem here
seems to be structuralist-rooted assumptions about when schooling should begin
and what knowledge is valued and for whom;
(c) Although the EDP strongly suggests children should attend preschool
education, it has not yet been made mandatory. In one of the best researched
books produced by PARE in 1994 Analisis curricular de la educacion
primaria, a citation by Bruner (1972, in Moreno, Pulido & Ruiz, 1994, p.49)
justifies this possibility:
... any subject can be effectively thought in an intellectually honest manner,
to any child in any phase of development. This is a daring hypothesis, and
also essential, when thinking about the nature of a study plan. There are no
tests that challenge this hypothesis, and there are a number of confirming
tests that supports it.
Indeed, by the age of six, and even before children enter first grade they should be
able to read and understand important mathematical concepts. One only needs to
enter a Montessori classroom to see children of 3, 4 and 5 years of age engaged in
serious intellectual learning for hours following their own inner habits of mind
that have been formed day after day of consistent and disciplined interaction
between teachers, students and subject matters. Possibly part of the reason for the
lack of a mandatory pre-school education dedicated to teach sound subject matter
to children of the rural poor in an honest intellectual manner is the unwillingness
by the Mexican government – and I would argue many governments everywhere –
to take young children seriously and invest heavily in their education. The
following table shows the distributions of resources across the first four years of
elementary education were the expenses in 1st and 2nd grades are approximately
five times larger than those in pre-school (Table 2).

Table 2. Ordinary Public Expenses Allocated to Elementary Education by Grade (%).

Año Pre-primaria 1er Grado 2do Grado 3er Grado Sin Distribucio´ n
1990 5.6 26.7 29.6 16.5 21.6
1991 – – – – –
1992 – – – – –
1993 6.4 30.8 25.9 13.7 23.3
1994 – – – – –
1995 – – – – –
Source: Anuario Estad´ıstico de la UNESCO, 1996 (gastos del Ministerio de Educacio´ n solamente);
[–] no available data.

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 THE REACH AND POSSIBILITIES OF EDUCATIONAL

This pattern of investment goes against what current research on children’s

cognitive development demonstrate: that important learning occurs between the
ages of 3 and 6 with another major learning period between the ages of 6 and 8
(Bruner, 1972, in Pulido & Ruiz, 1994).
Current government policy for preschool children mandates education through
play and new products have been developed to complement it: the Material para
Actividades y Juegos Educativos (or material for educational activities and play)
accompanied by a guide to the teacher and one to parents explaining the
importance of preschool education.13 It is still an empirical question how well do
these policies reach indigenous and poor children. The stated educational goal at
this level is limited to “finding a balance between oral expression, mathematical
reasoning, and observation and reflection on nature.” Research is needed to
understand how to adjust preschool education to the needs of young children in
rural areas and according to current thinking on child cognition and development.
Old and new thinking about early age learning calls for the introduction of
strategies to develop habits of mind (e.g. perseverance, disciplined thinking,
independence in learning), and genuine learning of subject matter such as reading,
and basic arithmetic (adding, subtracting, multiplication and division) as avenues
to enable young children to become independent learners and critical thinkers.
Young indigenous children represent the highest growth in enrollment at the
preschool level. In 1996–1997 there was an increment of 3.6% compared with the
previous cycle reaching a total enrollment of 280,675 pupils indicating the
willingness and interest of these communities to have young children attend school
at an early age. Mexican policy has yet to respond in kind to this interest by
making preschool education for the rural poor compulsory and well resourced.
(d) Poor rural children encounter not only impoverished classrooms but also
un-trained teachers. The traditional model of schooling still dominates in
these classrooms and the balance of power and authority still favors the
didactic model of teaching. An alternative model tried in rural areas in some
countries in Latin America seeks to enable pupils to learn independently and
for themselves, with each other and their teacher as is the case of Colombia’s
Escuela Nueva.
(e) Multigrade schools in rural areas may provide the solution to the
inflexibility in structure and teaching methods so frequently found in
traditional schools in either urban or rural areas in the world. Organically
emerging from the community itself, the multigrade classroom include
children of different ages in the same learning space. Managed appropriately
the structure of the multigrade classroom has the potential to change not only
the traditional balance of power in the classroom, which typically advantages
the teacher and the more advanced students, but also its learning dynamics
allowing young and older children to learn to work independently and in
groups. In the multigrade classrooms I visited in Mexico – teachers and
pupils engaged in group work and in academic related dialogue rarely seen in
richer and larger schools (Tatto, 1997). These findings are also confirmed by

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ongoing research in multigrade classrooms (Little, 1999). Policy makers’

structuralist assumptions however make it difficult for these environments to
reach their full potential. The curriculum still attempts to keep distinctions
across grades and insists in making teachers the center of learning instead of
letting children learn from the materials, their classmates and indeed their
teachers. Multigrade classrooms are as a consequence seen – under a deficit
model – as a drawback rather than as a viable and real alternative to
traditional and often inefficient models of schooling for rural areas:
Attention to multigrade groups represents difficulty and overloading to the
teacher who has to attend several groups of different grades at the same
time... and has to function as a principal/administrator... this makes it difficult
to offer a quality education for all the children” (Manejo de grupos
multigrado PARE, documento al docente, p. 25).
Still teachers have to function according to the structure provided by SEP, even if it
does not make sense or fails to adjust to the context where the teacher is engaged.
Innovative, teachers have been seen – in the case of Mexico – as reluctant
collaborators with the federal and local governments in the move toward its
modernization strategy. Moreover, teachers as well as children have only been seen
as objects in the policy discourse.
In sum, structuralist thinking strongly permeates the political discourse and
shapes the education policies for the rural poor in Mexico. The Mexican
government needs to evaluate and rethink its policies regarding education for the
rural poor, specifically the structure and content of the curriculum for the first
years of basic education, the preparation of teachers, and the structure of schooling.
International experiences in educating the children of the poor underline the urgent
need to carefully study the possibility of instituting mandatory preschool education
for the rural poor in Mexico in order to increase poor children’s personal capital–
that is their intellectual and emotional capital – before it is too late. I argue that
increasing poor rural children’s personal capital via effective early education
(using approaches such as those recommended by Montessori and Piaget among
others) may be the only way to counteract the pervasive effects of growing up poor
in rural Mexico. Policies that shape educational opportunities for the rural poor
have been historically an area of ideological and political contestation where the
poor has rarely entered in the policy discourse. This is a situation that needs to
change.

NOTES
1
In 1990, an important conference, titled the World Conference on Education for All (WCEFA), was
convened in Jomtien, Thailand by the World Bank, UNESCO, UNICEF and UNDP. The conference
brought together some 1500 people representing 155 governments, 33 intergovernmental bodies,
and 125 non-governmental organizations (NGOs), institutes, and foundations. Organised in response
to the widespread concern over the deterioration of education systems during the 1980s, the
Conference concluded with the unanimous adoption of the “World Declaration on Education for
All” and endorsed a “Framework for Action to Meet Basic Learning Needs.” Through these two

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 THE REACH AND POSSIBILITIES OF EDUCATIONAL

texts, the world community renewed its commitment to ensuring the rights of all people to education
and knowledge (World Declaration on Education for All, March 1990).
2
I use elements of poststructuralism as a framework for analysis. Structuralism is defined by
Cheryholmes as a systematic way of thinking about whole processes and institutions whereby each
part of a system defines and is defined by other parts. Poststructuralist thought attacks structuralist
assumptions and the arguments built upon them and points out their weaknesses, the most important
is that these subvert themselves and fail to deliver on their promises (1988, pp. 13–14). I use the
term rural poor to encompass all those who make their living in areas with less than 2500 inhabitants
(this is according to Mexico’s official definition of “rural”). The term includes peasants or
campesinos, “hired hands” or jornaleros, indigenous peoples, and other disadvantaged groups.
3
This is a term coined by Wittgenstein and quoted by Putnam (1983, p. 240) (in Cherryholmes, 1988,
p. 151).
4
Instituto Nacional de Estadistica, Geografia e Informatica (INEGI) (1999). Encuesta Nacional de
Empleo (1991–1997). Instituto Nacional de Estadistica, Geografia e Informatica (INEGI) (1995).
Perfil educativo del la poblacion Mexicana, Vol. 4. INEGI is the Mexican organization responsible
for integrating at a national level, the systems of information and statistics and geography in Mexico
in addition to promoting and orienting the development of national information in the country.
5
According to the article #37 of the Law for General Education in Mexico, basic education includes
preschool (for children aged 4 and 5), elementary and more recently secondary education. Only
elementary and secondary education are compulsory. The national average of children served by
preschool education was 69.5% for the school year 1999–2000. The largest number of children
served are in the states of Baja California Sur with 92% and Colima with 88.4. One of the lowest is
the Estado de Me´xico with 52.2 in spite of registering significant investment in education.
6
The Plan de Desarrollo Educativo or PDE intended through these normative arrangements to give
more independence to principals and supervisors to make decisions. As these new expectations
demand more qualifications for school administrators a framework of support, incentives, training,
guidance, and monitoring was also envisioned as part of the program. Regarding teacher education
and support, the PDE stated as a priority the formation and upgrading of teachers via the reform of
the Normales de Maestros the primary preservice teacher education institutions, incentives to
encourage existing teachers to learn and adopt new teaching methods and to engage in further
specialization. Strategies for improving teachers’ status included the introduction of the carrera
magisterial (a career ladder), and increasing recognition of the importance of teachers’ social role.
The development of new materials and new in-the-classroom-libraries (or rincones de lectura) were
expected to increase, especially in the rural areas, the population’s ability to read and write and the
capacity to solve mathematical problems. According to the PDE emphasis was to be given not only
to the accumulation of formal knowledge but also to value formation such as the generation of self-
esteem, respect and citizenship. In addition, the program proposed the revision and distribution of
free national textbooks including special versions for the indigenous population; the extension of the
school calendar as well as its adaptation according to local conditions such as weather and harvest
periods in the rural areas; the elimination of tedious and repetitious teaching practices; and allowing
extra time for arts and sports.
7
This is a situation that currently “haunts” current Mexican President Vicente Fox’s government
notwithstanding his initial promise to solve the “Chiapas crisis” as soon as he took power (in
December 2000).
8
An innovation is that teacher candidates will spend a year in the classroom before they graduate
under the guidance of inservice teachers and program personnel, but given the poor condition of
Mexican schools, inservice teacher’s current overload, and lack of experience or preparation as
mentors, the success of this approach remains an empirical question.
9
Changes at a different level are impressive though they do not necessarily reflect an increase in the quality
of teaching and learning. These changes do reflect advances in access to educational services (such as the
significant reduction in illiteracy in the past years, the number of schools created for indigenous
populations, the number of textbooks that have been distributed to these populations, among others).

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MARIA TERESA TATTO

10
This “common” reaction to reform, in which teachers apply or use resources in a mechanical manner
(whether texts or teaching pedagogies) is according to Hall and Loucks (1977) a stage in a process
of teacher development. Achieving technical mastery in the specific texts/pedagogies along with
follow-up seems to facilitate teachers moving out of mechanical responses to more reflective
thoughtful ones.
11
This is a problem that has been widely recognized in Mexico and the government has developed a
program for targeted scholarship programs (such as PROGRESA) which aim to compensate girls for
domestic work. This is yet another argument to provide early childhood education to poor girls
PROGRESA (Programa de Educacio´ n Salud y Alimentacio´ n de Mexico. http://www.ifpri.org/
themes/progresa.htm).
12
Other variables included in the econometric model were: year in which the data was collected,
children’s wage, age, education, number of siblings, relationship with the head of the household,
number of children at different ages, gender and age of head of household, whether the head of
household is working, absent or working on a unsalaried job, household income, assets (e.g.
refrigerator), enterprises, and home production technology, the median number of students per
school in the household’s community, and regional variables.
13
Preschool education in Mexico is under the SEP for rural and urban areas, and for indigenous
populations under the Direccio´ n General de Educacio´ n Ind´ıgena (DGEI, 1993a, b) taught by
bilingual teachers who know the respective languages. Another modality is offered through cursos
communitarios (community courses) coordinated by CONAFE (Consejo Nacional de Fomento
Educativo) and is given to localities that have no elementary schools and have more than 35 school-
age children. Cursos comunitarios are taught by secondary school graduates who receive training as
instructors and are paid by the community, which also provides food and housing.

REFERENCES

Berrueta-Clement, J. R., Schweinhart, L. J., Barnett, W. S., Epstein, A. S., & Weikart, D. P. (1994).
Changed lives: The effects of the Perry Preschool program on youths through age 19.
Monographs of the High/Scope Educational Research Foundation, 8.
Cherryholmes, C. (1988). Power and critricism: Postructural investigations in education. New York:
Teacher College Press.
Cherryholmes, C. (1999). Reading pragmatism. New York: Teachers College Press.
DGEI (1993a). El bilingualismo en la practica docente indigena. Mexico, D.F.: Subsecretaria de
Educacion Basica, SEP.
DGEI (Direccion General de Educacio´ n Ind´ıgena) (1993b). El bilingualismo en la practica docente
indigena. Programa para Abitir el Rezago Educativo. Mexico, D.F.: Subsecretaria de Educacion
Publica.
Hall, S., & Loucks, S. (1977). A developmental model for determining whether the treatment is actually
implemented. American Educational Research Journal, 14, 263–276.
IEA Pre-primary Project (2003). High scope foundation. Ypsilanti, Michigan. http://www.highscope.
org/Research/iea.htm [consulted October, 18, 2004].
Instituto Nacional de Estadistica, Geografia e Informatica (INEGI) (1995). Perfil educativo de la
poblacio´ n Mexicana. Mexico City: INEGI.
Instituto Nacional de Estadistica, Geografia e Informatica (INEGI) (1999). Encuesta Nacional de
Empleo (1991–1997). Mexico City: INEGI. http://www.inegi.gob.mx/inegi/default.asp [consulted
10/18/2004].
Karweit, N. (1989). Effective preschool programs for students at risk. In: R. Slavin, K. Karweit & N.
Madden (Eds), Effective Programs for Students at Risk (pp. 75–102). Needham, MA: Allyn
& Bacon.
Kazuhiro Kobayashi, J. M. (1992). La conquista educativa de los hijos de Asis. In: J. Z. Vazquez de
Knauth (Ed.), La Educacion en la Historia de Mexico (pp. 1–28). Mexico, D.F.: El Colegio de
Mexico.

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Loyo, A. (1999, April 14–18). The voice of basic education teachers in Mexico. Paper presented at the
annual meeting of the Comparative International Education Society, Toronto, Canada.
Loyo, E. (1992). Lectura para el pueblo, 1921–1940. In: J. Z. Vazquez de Knauth (Ed.), La Educacion
en la Historia de Mexico (pp. 243–290). Mexico, D.F.: El Colegio de Mexico.
Martinez Jimenez, A. (1992). La educacion elemental en el Porfiriato. In: J. Z. Vazquez de Knauth
(Ed.), La Educacion en la Historia de Mexico (pp. 105–143). Mexico, D.F.: El Colegio de Mexico.
Miranda, B. A. (1968). La evolucion de Mexico. Mexico, D.F.: Editorial Herrero.
Moreno, F. X., Pulido, O. R. I., & Ruiz, N. C. (1994). Analisis curricular para la educacion primaria.
Mexico, D.F.: Secretaria de Educacion Publica and Universidad Pedagogica Nacional (PARE). Oficial
Gazette of the Federation (1997, December). www.oecd.org/dataoecd/.
Olmsted, P. P., & Montie, J. (Eds) (2001). Early childhood settings in 15 countries: What are their
structural characteristics? Ypsilanti, MI: High/Scope Press.
Olmsted, P. P., & Weikart, D. P. (Eds) (1989). How nations serve young children: Profiles of child care
and education in 14 countries. Ypsilanti, MI: High/Scope Press.
SEP Education Officer, personal verbal communication (1999, June). Conference on Teachers in Latin
America: New Perspectives on their development and performance San Jose, Costa Rica, Organized
by the World Bank.
Street, S. (1992). Maestros en movimiento. Transformacion en la burocracia estatal (1978–1982).
Mexico, D.F.: CIESAS.
Street, S. (1999, April 14–18). Teachers’ work and democratic struggle in Mexico. The challenge to
neoliberal policy. Paper presented at the annual meeting of the Comparative International Education
Society, Toronto, Canada.
Tatto, M. T. (1997). Reconstructing teacher education for a global community. International Journal of
Educational Development, 17(4), 405–415.
Tatto, M. T. (1999a). Improving teacher education in rural Me´xico: The challenges and tensions of
constructivist reform. Teaching and Teacher Education, 15(1), 15–35.
Tatto, M. T. (1999b). Mejorando la educacion de maestros rurales en Mexico: Las tensiones y retos de
la reforma constructivista, Revista Mexicana de Investigacion Educativa (Translation, in press).
Tatto, M. T. (1999c). Education reform and state power in Me´xico: The paradoxes of decentralization.
Comparative Education Review (in press to appear in August 1999).
Vazquez de Knauth, J. Z (1992). La Republica restaurada y la educacion. In: J. Z. Vazquez de Knauth
(Ed.), La Educacion en la Historia de Mexico (pp. 93–104). Mexico, D.F.: El Colegio de Mexico.
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Thailand.http://www.globalmarch.org/gaw/Jomtien.html. World Education Data, UNESCO
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Chapter 9 is a reprint of a chapter published by Maria Teresa Tatto entitled The

Reach and Possibilities of Educational Reform for the Rural Poor in México,
which examines Mexico’s policies to provide education for all, in particular for
children of the rural poor. In it she questions assumptions about rural education
that apply more to urban populations and examines how these assumptions have
failed to provide access to education for rural populations. She suggests that
compulsory early childhood education is one obvious avenue for these children
(complementing policies such as Federalizacion1 and others part of the National
Agreement to Modernize Basic Education) to correct centuries of injustice and
neglect. She discusses the implications of this analysis within the context of the
decentralization of education and the growing discontent among the rural poor. In
this short addendum to this chapter, she includes references from recent research
on cognition showing the importance of early childhood education, thus giving
fresh support to her recommendations.

NOTES
1
In 1992, the President of the Republic, the Secretary of Education, the governors of each of the 31
Mexican states, and the teachers’ union signed the National Agreement to Modernize Basic
Education (ANMEB). The signing of this agreement formally initiated the movement to
“federalize” or decentralize the basic and normal education systems to the states. The major
assumption of the decentralization reform was that a local level management of education would be
more effective in addressing local needs, managing resources, and improving education. For a full
account of the decentralization policy in Mexico see Tatto (1999).

REFERENCES

Davis, Julie (2009). Revealing the research ‘hole’ of early childhood education for sustainability: a
preliminary survey of the literature. Environmental Education Research, 15(2): 227–241.
Gormley, William T. (2011). From Science to Policy in Early Childhood Education. Science, 333
(6045):978–981.
Kalifeh, Phyllis, Coehn-Vogel, Lora, Grass, Saralyn (2011). The Federal Role in Early Childhood
Education: Evolution in the Goals, Governance, and Policy Instruments of Project Head Start.
Educational Policy, 25(1): 36–64.
LeVine, Robert A. (2003). Childhood socialization: Comparative studies of parenting, learning, and
educational change. Hong Kong: Comparative Education Research Centre, University of
Hong Kong. (pp. 273–286).
Loeb, Susanna, Bruce Fuller, Sharon Lynn Kagan, and Bidemi Carrol (2004). Child Care in Poor
Communities: Early Learning Effects of Type, Quality, and Stability. Child Development, 75 (1):
47–65.
Loeb, Susanna, Margaret Bridges, Daphna Bassok, Bruce Fuller, Russell W. Rumberger (2007). How
much is too much? The influence of preschool centers on children’s social and cognitive
development. Economics of Education Review, 26: 52–66.
Odom, Samuel, L. (2002). Evidence-Based Practice in Early Intervention/Early Childhood Special
Education: Single-Subject Design Research. Journal of Early Intervention, 25 (2): 151–160.
Reynolds, Arthur J., Judy A. Temple, Dylan L. Robertson, Emily A. Mann (2001). Long-term Effects of
an Early Childhood Intervention on Educational Achievement and Juvenile Arrest. Journal of the
American Medical Association, 285(18):2339–2346.

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 CHAPTER 10

MARIA TERESA TATTO, JUSTIN BRUNER, FIDA HUSSAIN

CHANG, CORVELL CRANFIELD, TARA MIYOKO KINTZ, NAI-
CHENG KUO, SANDRA PYLVAINEN AND ANDLEEB SHARIF

Scholarly Teaching
Learning and Doing Policy Analysis in Education

In this chapter we present our collective reflections as a community of learners in

this course. We document how this course and this book are efforts at contributing
to scholarly teaching and the scholarship of teaching and learning (Shulman, 2000).
According to Shulman, “Scholarly teaching is teaching that is well grounded
in the sources and resources appropriate to the field. It reflects a thoughtful
selection and integration of ideas and examples, and well-designed strategies of
course design, development, transmission, interaction and assessment. Scholarly
teaching should also model the methods and values of a field, avoiding dogma
and the mystification of evidence, argument and warrant” (2000, p. 50). Shulman
further argues that “we develop a scholarship of teaching when our work as
teachers becomes public, peer-reviewed and critiqued, and exchanged with other
members of our professional communities so they, in turn, can build on our
work” (2000, p.50).
To explore how our work in this course contributes to scholarly teaching of
policy analysis in education, we reflected on three areas. First, we examined how
the course design helped incorporate what students bring with them to the class–
their knowledge and background—in the analysis of an authentic policy issue that
would engage their attention throughout the semester and beyond (e.g., asking
students to select a policy issue according to their own interests generated
commitment and passion in their analysis of policy and made it possible for them
to think about how this activity could extend throughout their doctoral program),
and whether this strategy enhanced the value of the course as a learning experience
(e.g., by challenging previous assumptions and knowledge, and reinforcing the
importance of rigorous inquiry for policy development, implementation and
assessment). Specifically, we reflected on how work in this course helped, in
Shulman’s words (2000, p. 52), foster “learning, deep understandings, passionate
commitments, and civic virtues,” both in the general study of educational policy in
education and in the particular policy analyzed by the student. We were

Maria Teresa Tatto, (Ed.), Learning and Doing Policy Analysis in Education:
Examining Diverse Approaches to Increasing Educational Access, 253–266.
© 2012 Sense Publishers. All rights reserved.
MARIA TERESA TATTO ET AL.

particularly interested in understanding how this course contributed to students’

formation as scholars, now and in the future.
Second, we explored the extent to which the course demonstrated Shuman’s
definition of scholarly teaching: “Teaching that is well grounded in the sources and
resources appropriate to the field […] reflects a thoughtful selection and integration
of ideas and examples, and well-designed strategies of course design, development,
transmission, interaction and assessment. Scholarly teaching should also model the
methods and values of a field, avoiding dogma and the mystification of evidence,
argument and warrant”1 (p. 50).
Third, we discussed how we worked toward developing a scholarship of
teaching. Again using Shulman’s definition, “We develop a scholarship of
teaching when our work [as teachers] becomes public, peer-reviewed and
critiqued, and exchanged with other members of our professional communities so
they, in turn, can build on our work. These are the qualities of all scholarship”
(p.50).

A COURSE DESIGNED TO FOSTER LEARNING, UNDERSTANDING, AND

PASSION

Reflections from Professor Tatto

Social policy has the potential to be an important force for change. Yet most see
policy as an action that occurs in environments that are rarely accessible to the
regular individual who is inevitably the recipient of policy; this is certainly
palpable in the field of education. This course assumed that to be effective, it must
engage students in examining not only what policy and policy analysis are, but also
on the ways in which policy has affected their own lives throughout their own
schooling and currently. In this course one important goal is to help students
progress toward different ways of thinking about human activity in policy arenas.
This new way of thinking needs to be skeptical, critical, rigorous, disciplined, and
informed, and most of all it requires being backed by an underlying commitment to
understanding social justice in an historical and global context. I refer the reader to
this book’s appendix which includes: (a) an annotated syllabus for the course; (b) a
form I use to ask students about themselves and to explore previous knowledge and
assumptions as we begin the course; (c) the outline for the final paper which we
develop progressively throughout the semester with frequent rounds of feedback
from the professor and peer groups; and (d) a grading rubric developed in
collaboration with the students in the class. The reader should be able to appreciate
the course design and the learning experiences designed to initiate students as
novice policy analysts.

Reflections from the Students

Bruner. My background as a student, and as a professional, comes as someone
who was raised and worked in a rural context. As a student, my school district was

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consolidated and I was bussed into the next county, into a wealthy suburban
school. My values and resources were dramatically different than those of my peers
and I learned very quickly about differences. For my peers, access and resources
were often a right rather than a privilege, yet I did not share this perspective. As a
professional I worked as a Social Studies teacher at a rural high school where
students were confronted with similar difficult choices about whether to stay in
their community and accept a lesser opportunity or leave for a different, better
opportunity. I was always disappointed to see such bright young people leaving the
community.
Rural education in the United States is not that different from other places in the
world in that resources and opportunities are not as plentiful compared to cites and
suburbs. This means that often students must make choices about their futures,
parents about their households, and policymakers about distribution. I approached
my work in this course from this perspective, not rural and urban, but rather that
resources and opportunities are distributed in a way that some people, through no
fault of their own, are limited in their options despite being capable of much more
than they are offered.
Coming from a rural background, you quickly learn that some people are
playing the game with more cards than others, so to speak. When working in
international development the easy part is seeing the problems and poking holes in
what has been done. The hard part is finding solutions. Clearly there are
disadvantaged people all over the world, and policies attempting to equalize or
mitigate some of their disadvantages. My work in this course highlighted that the
solutions are complex and multifaceted, just as the problems are. Scholars cannot
look at just the short-run, they must also consider the long-run. Scholars cannot
look to just one field. We must look at the larger picture and interactions of many
fields. My work here on Brazil’s “Bolsa Familia” highlighted the can of worms I
had opened in finding solutions to the problems that mattered to me by doing such
an in-depth analysis. My work here has acted as a springboard into future work as
there is always something more that can be done. Since this work I have produced
an additional follow-up piece for presentation, and I have received funding for a
second piece that is currently in progress. The more I keep digging, the more I
uncover.
Chang. I brought a strong interest and some basic knowledge about policy
development and policy analysis, apart from my conceptual knowledge and
practical knowledge about teaching, curriculum, and teacher education. The course
focused on analysis of policy while using different strategies and lenses of analysis.
The knowledge I brought to course was helpful to find a strong conjunction with
the course themes, which led my way to analyze the EFA policy of Pakistan while
drawing upon the scholarly literature and scholarly conversations presented and
advanced in the course.
Corvell. In 1994, South Africa became a democratic country after more than
forty years of apartheid. In terms of education, this change resulted in
educators being overwhelmed with policy developments. The aim of these
policies was to fundamentally restructure education in South Africa. This

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restructuring of the education system was based on promises of improvements

in all aspects of education, and a general shift from ‘gutter’ education to an
‘education for all’ notion. Policies emerged as discussion documents. The
education policy document “A Policy Framework for Education and Training”
was circulated throughout the country to encourage educationists at all levels to
participate and contribute to this process of educational change before the
policy was finalized for implementation. After reading this policy I realized
that there were problems with the development and implementation of it, but I
did not have the tools to critique or analyze its effectiveness. Consequently, by
engaging in this policy analysis course with its particular curriculum, together
with my passion to learn about policy analysis tools, I feel better equipped to
apply these to any policy.
The learning from this course can definitely be viewed as a conduit for
improving my dissertation proposal, especially my data-collection plan, and
ultimately my dissertation.
Evaluating and assessing each other’s work proved to be a powerful form of
learning. Throughout the course I attempted to navigate between policy
development and policy implementation within the context of teacher training
and education. It is easy to deal with the two phases as separate entities, but to
navigate between the two phases forces policymakers to engage with issues of
implementation, and practitioners to engage with policy. Depending on the
degree of navigation or in terms of my policy analysis, I would in the future
focus on how policy is ‘appropriated’ for local conditions. These will be
determined by (1) an understanding of policy rationale, (2) appreciation for
implementer’s difficulties, (3) synergy between teacher imaging and teacher
identities, (4) levels of collaboration to bridge policy impasses, and (5) positive
educational change. It is very easy to lay the blame on the practitioners when
teacher education reforms fail. In my opinion this is a copout, because who
determines the failure? The answer depends on who is asking the question
and what criteria are used to measure success or failure. I now ask more
questions.
Kintz. The ability to use my background knowledge as a central part of the
course allowed me to build on my knowledge and interests in education. In
addition, I was able to work from my understanding to build new ideas. This
experience enhanced both my engagement in the topics of the course and my
motivation to develop my research skills and capacities. The class activities and
readings became more valuable to me as they supported my learning of a topic
that I had chosen. I felt my preexisting notions were challenged as I worked to
gain new understandings about policy analysis. At the same time, the ownership I
had over my work strengthened my sense of commitment and investment in
pursuing multiple avenues to deepen my understanding of the topic. By
encouraging me to explore my interests and build my background knowledge, the
course fostered deep learning in the information I gathered and in the process
necessary to develop my research interests further. I was able to make mistakes,
try out new ideas, and strengthen my commitment to fundamental ideas that

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continue to guide my work. In addition, the weekly formative feedback on my

writing greatly enhanced my learning and development as a scholar. Dr. Tatto’s
investment of time and straight-forward comments provided clear direction and
actionable steps to improve my work.
The best experience I had in the course was working with other classmates
during class as we shared ideas, read each other’s papers, and presented our visual
schemas of policy to each other. My other favorite experience from the course was
the long hours at the library and at my computer. I gained a great deal from the
design of the assignments and the way Dr. Tatto fostered my investment in
developing me as a scholar.
This course was one of the first courses of my doctoral studies. It had a deep and
lasting impact on both my identity as a scholar and how I approach my work. Dr.
Tatto’s expectation for rigorous methodology influenced the way I select articles
for my own research study, and the way I evaluate the work of others. In addition,
her encouragement of the development of my ideas was foundational to the
subsequent work I have done in my other classes and my research. The books from
the course are references on my bookshelf and I frequently refer to the Craft of
Research (Booth, Colomb, and Williams, 2008) or other resources she shared with
us. I continue to draw from both the content and the approach to learning I
experienced in the class.
Pylvanien. How do policies affect change? When are the implementations of
the policies enacted in ways that bring with them unintended and even counter-
productive side effects? These questions pervaded my thoughts as I began the TE
919 Policy Analysis coursework. As a class we were challenged to identify a
policy or implementation of policy that would sustain and carry our learning as we
proceeded through the steps of policy analysis. I began to focus on district
implementation of closely-aligned and paced curricula, as I had witnessed it being
introduced in Michigan school districts. As a high school teacher and teacher
leader, I personally noted how distressed teachers became when discussing how the
accountability movement brought with it prescribed and closely-paced curricula.
These thoughts led me to want to study teacher perspectives on aligned and closely
paced curricula as a policy implementation.
The course lended itself to such personalization. Early on, Dr. Tatto posed the
constructivist format before us: would we like to approach the course in such a way
that each would embrace his or her own policy issue, pursue it, write about it, and
present it at the end? We agreed; the challenge was in place. However, I found that
before me lay difficult research. Little research existed on policy implementations
that are so current, and what was there was often focused on raising test scores in
certain large districts—often adding to the mix a host of political and social
implications. While I gathered what I found, I also decided to create my own
data—the survey of teachers’ perceptions. Both the research on existing data
sources and the creation of surveyed results proved difficult at times, yet by
consulting resources, I gathered enough data to catalogue and review. The resulting
review of the literature and data is of course preliminary. More research needs to
be done on this ongoing process of close curricular alignment, its outcomes, and

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possible alternative routes to improving teacher quality. Still, this initial analysis
sounds the warning bell for loss of teacher morale.

Reflections from Professor Tatto 2

The design of the course seems to be achieving the goal of incorporating students’
interests as well as challenging them to pursue different critical levels of
knowledge. The course is designed to be demanding and students are at different
levels in their program, some are native to the USA, and some come from different
countries such as Pakistan, South Africa and Taiwan. I provide continuous support
and feedback and weekly meetings, but this may not be enough. I have learned that
this course should have a follow-up course to allow us to achieve a deeper
understanding and longer term engagement of what is entailed in doing policy
analysis.

DEMONSTRATING SCHOLARLY TEACHING

Reflections from Professor Tatto 1

My background and life work has been in the analysis and evaluation of social
policy and programs in the fields of education and health. I am thus a scholar and a
practitioner. Since I came to MSU in 1987 I have endeavored to design experiences
in my courses that integrate current theoretical and methodological developments
in the social sciences with the study of educational policy; implicit in this statement
is the importance of using rigorous methods and forms of inquiry that are designed
to inform policy conceptualization, development, and implementation. We begin
the course by reading what scholars in the field have written (these readings can be
found in the syllabus in Appendix 1) and by following the logical sequence from
problem definition to policy implementation and evaluation. As the reader will
appreciate, the central readings in the course are meant to provide students with an
introduction of how policy analysis and studies can contribute to social justice (we
begin with readings highlighting the UN Declaration of Human Rights, and two
introductory background readings by Linda Darling-Hammond and Harry
Brighouse); and we continue by exploring theoretical, conceptual, methodological,
and applied readings in policy, policy analysis, and policy studies (Bardach, 2000;
Booth, Colomb and William, 2008; Kingdon, 2010; Kjaer, 2004; Majchrzak,1984;
Perrow, 1986; Shavelson, and Towne, 2002; Tatto, 2007; and Weiss, 1998). Many
other readings are suggested in the syllabus in areas relevant to this course (see
pages 8–10 in the TE919 Syllabus in the Appendix).
While my ultimate purpose is to link class projects with real life experiences in
order to help students develop capacity to apply conceptual understandings to real
policy settings, this needs to be accomplished after examination of the current
research and relevant literature. Thus we spend a significant amount of time
immersed in finding national and international published rigorous research and
policy reports on the issues students have selected for investigation (e.g., in this
case a number of policy issues affected by EFA; in similar courses students have

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grappled with examinations of policies such as an HIV awareness campaign in the

public school curriculum in the Philippines; the influence of the Bologna
Declaration on Russian education; and the unintended consequences of high stakes
testing in Indonesia to name only a few). We gain a clearer perspective by reading
research documenting how policy is influenced by globally identified problems and
by investigating how these are conceptualized, developed, and implemented at the
national/local levels. We use real cases of policy issues, we analyze how these are
presented in the media, and we look more carefully at the official reports. An
important activity, which we do in class, is the careful examination of how the
problem has been defined, and how studies are expected to inform policies. We
look for sources of validity and for rigor in research studies. I use a selection of my
own published research (see Tatto,1997, 1999a, 1999b, Tatto, 2002, 2008, Tatto,
Lundstrom-Ndibongo, Newman, Nogle, Sarroub, and Weiler, 2000, Tatto and
Senk, 2011) as points of departure to examine the complexity entailed in analyzing
policy, and I share my own experiences and insights with students. I believe that
real learning occurs through grappling with implementation issues emerging from
both scholarly research and students’ own attempts at doing policy analysis on real
social problems.

Reflections from the Students

Bruner. I think that the course was representative of scholarly teaching by the
systematic nature with which we approached the analysis of our given policies. We
started with examining what problem a policy was trying to address and explored
that. Next, we looked at how the policy was implemented in terms of assumptions,
stakeholders, and tools. This allowed for a thoughtful policy analysis including
measurement, alternatives, and consequences. I feel that this comprehensive
approach and systematic manner allows for our scholarly teaching.
Chang. The course provided appropriate literature resources as well as
opportunities to engage in critical evaluation of policy analysis theories,
frameworks, and practices through discussions and different tasks over the period
of the course. The course also engaged in connecting with problems in practical
contexts as I analyzed the EFA policy of Pakistan while using the contextual
factors in the framework of analysis.
Corvell. One of the key features of good teaching is the impact on student
satisfaction and good learning. This was clearly achieved through a selection of
varied and applicable books and articles that formed the basis for the course
curriculum. Reading these resource materials and classroom interaction promoted
learning. The structure of classroom discourse encouraged active learning,
cooperative learning, and problem based learning. Furthermore, aside from the
teaching, the global international make-up of the students contributed to classroom
discourse that encouraged participation and learning the role of policy, teaching,
and learning from an international perspective. Assessment was characterized by
continuous and consistent feedback that resulted in rigorous reflective practice.

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Kintz. Our course demonstrated scholarly teaching through the content and the
methodology of the course. We used a wide variety of texts to support our learning,
ranging from the cost-benefit analysis literature to various approaches to policy
analysis (Bardach, 2000; Booth, Colomb and Williams, 2008; Majchrzak, 1984;
Shavelson, 2002). The examples drew on both national and international literature,
and were thoughtfully integrated into the design of the course. The resources were
both relevant and appropriate to the field ranging from personal examples of
Dr. Tatto’s work to current studies done in the field. In addition, a variety of
professors from the College of Education visited the class as guest presenters.
Their presentations enhanced the class discussions and the resources we were able
to draw from in our work.
In addition, the methodology of the course included ongoing presentations by
Dr. Tatto that provided recommendations and information to move our thinking
about our independent projects forward. The collaborative group work and
classmate presentations allowed us to learn from each other and support one
another’s development. Dr. Tatto created a variety of activities that allowed us to
engage further in the material. For example, during one class we examined a policy
review based on a set of questions that helped us to gain an understanding of
effective policy analysis. It was also helpful to have Dr. Tatto share her personal
work.
Pylvainen. Tatto’s class held new analysis challenges each week and we
referred to Bardach (2000) and Weiss (1998) to support the development of our
papers. I found that the task of creating a conceptual framework forced me to
consider the issue of aligned curricula in a new way. I had viewed it in an
emotional and defensive way; now, with the framework before me, I saw the
mechanism for what it was intended to be, and I began to identify the flaw in
the conceptual chart. My background as a high school teacher afforded me the
viewpoint of the professional teacher practitioner. I knew that good teachers
must understand the pedagogical moves in a curriculum, and that these
individuals must reflect on student learning before, during, and after the lesson
takes place. The prescribed curricula could help ensure certain content is
delivered in a classroom, but what about the great teaching of it? Here was the
problem, and the conceptual framework helped me clarify my thinking about the
process. To further our thinking, one of the course meetings consisted of a
presentation of all class members’ frameworks. While each displayed the slide
of the framework, we studied, discussed, and suggested new thinking about the
concepts.
Because the course was structured in such a constructivist way, it became a
model of scholarly teaching and learning for all course members. Our own research
became the content with which we learned more, even as we strove to create
knowledge about our topics. Our topics were public from the start; we worked in
small groups of 3 or 4 where we presented our thinking of each topic, and in turn,
these peers probed and questioned our thinking. Such critiques led to a fast-paced
class and steadily growing policy analyses projects—altogether forming a model of
scholarly teaching and learning.

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Reflections from Professor Tatto 2

The readings included in the syllabus seem to serve the purpose of providing
foundational knowledge and shared understandings of norms in the field as well as
course expectations. The additional readings that the students are required to find
and incorporate in their papers help in the learning of the policy process. The
contributions of students to the class by sharing with others their findings from the
research literature, and their sense-making in the evolving understanding of their
policy problem and their conceptualization of their framework for analysis, provide
the most dynamic learning experience of this course. It is during the development
of the framework for analysis that students come head-to-head with assumptions
that require serious examination, because the policy analysis that I teach must be
based on data that can pass rigorous scrutiny and not solely on what Weiss (1991)
calls ideas or arguments.

DEVELOPING A SCHOLARSHIP OF TEACHING

Reflections from Professor Tatto 1

When we discuss at the beginning of the course the parameters for our activities
in the semester, one condition for our work together is that we commit to the idea
that our work will become public, peer-reviewed, and critiqued among ourselves
and by others. This is accomplished by participating in classroom presentations
and peer review sessions, by sharing our work with the larger community in the
College of Education, and by presenting our work in scholarly conferences. This
commitment to engage in scholarly work together (students and professor)
creates a situation in which we see ourselves as partners in learning where
multiple levels of expertise are honored and valued. I mentor students as they
choose to submit a panel proposal for a conference to present the work they
produce in the course. They did so at the 2011 annual conference of the
Comparative International Education Society held in May in Montreal. This book
is yet another attempt at developing a scholarship of teaching product. We
submitted a draft of the book to Sense publishers at the end of the summer, and
we expect to have the book published in time for the next cycle of academic
conferences.

Reflections from the Students

Bruner. A unique contribution of this course was without question the chance to
present and publish our work. I think in most courses the faculty mention turning
their coursework into something more but never provide any support for the
students. It is usually an empty statement, and to date this will be the only course
where the chance to publish has been supported rather than mentioned. The work
for this class was representative of scholarship on both a micro and macro level.
We worked in small teams sharing ideas, and in larger teams presenting our work

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to the class. Many of us also took our work to conferences to share with the larger
scholarly community. Our work also drew on the previous work from scholars
within our field, and I would hope and expect that our work is also utilized and
critiqued. From these vantage points our work was representative of the
scholarship of teaching.
Chang. Further, I had opportunities to review the work of my colleagues as well
as get feedback from my colleagues on my work. This exercise helped in
developing my understanding and skills of academic scholarship. Precisely, the
course was a rich experience in terms of developing insights about policy analysis
and improving academic scholarly skills.
Corvell. We were encouraged to develop and improve our expertise in our
respective fields. The variety of international backgrounds and perspectives were
taken into consideration as the teaching did not only target learning of the content,
but for students to be rigorous researchers in their respective fields of expertise.
The core focus of teaching was to stimulate the interest in improving teaching and
learning in our different countries. Rigor was obtained by engaging in a variety of
research methods that included reflection and analysis, surveys and questionnaires,
interviews and focus groups, content analysis of text, secondary analysis of
existing data, observational research, and case studies. Furthermore, the issue of
evidence was thoroughly discussed. We were encouraged to disseminate all our
work within our departments and to publish through peer reviewed presentations
and journals.
Kuo. This class has impacted me very much on my scholarship of teaching. By
learning educational policies, I am more aware and sensitive of how policies are
formed and implemented as well as how they influence curricula, instruction, and
allocation of educational resources and how goals are aligned with educational
policies. We demonstrated a good scholarship of teaching by presenting our work
to each other and in a scholarly conference.
Sharif. My work was based on the analysis of the implementation of Education
for All in Bangladesh. The course structure and readings helped me to understand
the complexities involved in policy formation and implementation, and the role of
context and school micro-realities that are critical for the success of the EFA
policy. In analyzing the problem of access to primary education in Bangladesh,
I had the opportunity to use different approaches of policy analysis, and read
several statistical reports, and scholarly articles. Consequently engagement with the
above mentioned resources and constantly with my classmates and professor
provided me with a diversity of lenses and insights to carry out the evaluative
analysis of EFA framework, and particularly the exploration of its goals, processes
and desired outcomes. I believe this comprehensive approach that I learnt and
practiced in the course helped me to engage critically in the process of policy
analysis, and led me to identify/explore those neglected factors of school capacity
that have the potential to restrict/facilitate the achievement of EFA in Bangladesh
and more generally by 2014.
Kintz. Dr. Tatto demonstrated the scholarship of teaching in her rigorous
presentation of ideas and her open collaboration with the students of the class in

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developing the materials for the course. In presenting ideas, Dr. Tatto shared her
personal ideas and experiences. She reviewed relevant literature and shared how it
could contribute to the development of our projects. She also set high expectations
for the quality of our work, and the rigor of our research methods- this set a
standard I have used throughout my studies.
In addition, Dr. Tatto met with us individually several times over the course of
the semester- these individual meetings allowed for open sharing, collaboration,
and feedback. The investment Dr. Tatto placed in the course and in my
development supported my learning.
Pylvainen. In this course we learned the burden of rigorous evidence,
methodology, and analysis—and that continuous policy analysis needs to be
conducted before and during the implementation of policy (Bardach, 2000; Weiss,
1998) — our very future depends on it. In an age when so much data is available,
the value of policy analysis is increasing; indeed, this process goes hand in hand
with sound policy-making. I felt a personal satisfaction, because through this
research and thinking, I have come to a balanced way of viewing an issue that
continues to vex my peers in secondary public schools. I used this personal
motivation behind the issue to push my learning farther than I thought I could
within one semester. The format of the course facilitated this scholarship, of
course, but the strength of the course concept is that each student chooses a policy
topic that he or she cares deeply about. Dr. Tatto told me, “You basically have to
want to become an expert on the issue.” This statement covered it well. We each
felt compelled to read everything we could find about our topics, and we shared
websites, articles, and advice.
I’d like to say that we had enough time—we did not, and this is something I
would change if I could. My project was very ambitious, what with procuring IRB
approval, contacting multiple administrators, interviewing, surveying, and
compiling it all, yet it was all accomplished. I now look back and see that it was
done because of the passion I held for the topic and because of the great support
that emanated from the course members and Dr. Tatto; in fact, it is this course
design that I view as the one greatest element of the experience. This Policy
Analysis course gave my doctoral work a platform of rigorous methodical research
from which to see my future scholarship and scholarly teaching. I am a better
scholar and teacher for having taken the course.

Reflections from Professor Tatto 2

The stated purposes of this course are:
1. To help develop students’ understanding of the nature of governance in policy
making and policy analysis in education as framed within a variety of lenses
including: (a) program, (b) local, (c) regional, (d) national, and (e) global.
2. To introduce or reinforce students’ conceptual and methodological skills to
engage in policy analysis/studies relying on the theories and methods of the
social sciences.

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3. To help develop students’ knowledge base for policy studies using rigorous,
valid, and reliable data to allow them to design policy analyses with the goal of
contributing to the improvement of human lives.
I believe we were successful as a group in meeting these goals. Yet as Pylvainen
mentions, often data is not available when students in this class come up with ideas
about a current policy problem of relevance. While this course covers in depth the
various phases for developing sound policy analysis, empirical work of any kind is
demanding and time consuming. This point underlines my view that this should be
a two-semester course.

CONCLUSION

I encourage my students at all levels to write high quality papers and to engage
with rigorous research studies found in the literature. I mentor them in writing
scholarly papers, and I have them present their work in annual conferences of the
American Educational Research Association (AERA) and the Comparative and
International Education Society (CIES). Thus the emphasis in my courses on doing
policy analysis and evaluation research has resulted in publications for the
students, and needed preparation for their future careers. The comparative and
international perspective – central to my courses – can be seen as a space where
students explore what is possible when history, geography, culture, and different
parameters for the construction of societies (and schools) intervene. I will continue,
as I have in the past, working with students to find outlets for the papers they
develop in my courses (see Tatto, 2006/2007; 2007).
My conclusion is that a scholarship of teaching and scholarly teaching must be
intrinsically connected to my research scholarship not only as the main focus of
inquiry but also as the vehicle through which I and my students explore emergent
understandings in the field. My courses and my research consistently seek to
develop the capacity to engage in the rigorous production of knowledge to inform
policy making.

NOTE
1
The syllabus is included in the appendix.

REFERENCES

Bardach, E. (2000). A practical guide for policy analysis: the eightfold path to more effective problem
solving. New York: Chatham House Publishers.
Booth, W.C., Colomb, G.G., & Williams, J.M. (2008). The craft of research. Chicago: The University
of Chicago Press.
Kingdon, J.W. (2010). Agendas, alternatives, and public policies. New York, NY: Longman.
Kjaer, A.M. (2004). Governance. Cambridge, UK: Polity Press.
Majchrzak, A. (1984). Methods for policy research. Newbury Park, CA: Sage Publications.
Perrow, C. (1986). Complex organizations: a critical essay. New York: Random House.

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Shavelson, R. J., Towne, L., & the Committee on Scientific Principles for Education Research. (Eds.).
(2002). Scientific research in education. Washington, DC: National Academy Press. Tatto, M.T.
(2007). Reforming teaching globally. Oxford, UK: Symposium Books. Reprinted in 2009 by
Information Age Publishers.
Shulman, L. (2000). From Minsk to Pinsk: Why a scholarship of teaching and learning? Journal of
Scholarship of Teaching and Learning, 1 (1), p. 48–53.
Tatto, M. T. (2008). Teacher policy: a framework for comparative analysis. Prospects: Quarterly
Review of Comparative Education, XXXVIII (38), 4 / 148, p. 487–508.
Tatto, M.T. (2007). Reforming teaching globally. Oxford, UK: Symposium Books. (Reprinted in 2009
by Information Age Publishers).
Tatto, M.T. (1997). Reconstructing teacher education for disadvantaged communities. International
Journal of Educational Development, 17 (4), 405–415.
Tatto, M.T. (1999). Education Reform and State Power in México: The Paradoxes of Decentralization.
Comparative Education Review, 43 (3), 251–282.
Tatto, M.T. (1999). Improving Teacher Education in Rural México: The Challenges and Tensions of
Constructivist Reform, Teaching and Teacher Education, 15 (1), 15–35.
Tatto, M.T. (2006/2007). Educational reform and the global regulation of teachers’ education,
development and work (Guest Editor). International Journal of Educational Research, 45 (4–5),
Special Issues.
Tatto, M.T., & Senk, S. (2011, March/April). The mathematics education of future primary and
secondary teachers: Methods and findings from the Teacher Education and Development Study in
Mathematics. Journal of Teacher Education, 62, 121–137.
Tatto, M.T., (2002). The value and feasibility of evaluation research on teacher preparation: Contrasting
the experiences in Sri Lanka and Mexico. International Journal of Educational Development, 22 (6),
(p.637–657).
Tatto, M.T., Lundstrom-Ndibongo, V., Neuman, B., Nogle, S.E., Sarroub, L., Weiler, J.M., (2000). The
education of migrant children in Michigan. A Policy Analysis Report. Julian Samora Research
Institute, Michigan State University, East Lansing, MI: Occasional Paper # 72. http://www.jsri.
msu.edu/RandS/research/ops/oc72abs.html
Weiss, C.H. (1991). Policy research: data, ideas or arguments? in Wagner, P., C.H. Weiss, B. Wittrock, &
H. Wollman (Eds.) Social Sciences and Modern States. Cambridge: Cambridge University Press
(pp. 307–332).
Weiss, C.H. (1998) Evaluation: Methods for Studying Programs and Policies. 2nd edition. Upper Saddle
River: Prentice Hall (digitized 2007).

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 TE 919: POLICY ANALYSIS IN EDUCATION1

Instructor: Dr. Maria Teresa Tatto

E-mail: mttatto@msu.edu

The nature of policy making in the USA and globally is changing

dramatically2. Increased requirements for accountability at all levels of education
systems necessitate not only that policy be informed by valid and reliable data but
that once implemented policies be subject to scrutiny through systematic
assessment and evaluation. What we will call in this course the “new culture of
accountability” in education, is a global phenomenon.3 Through global policies
such as UNESCO’s Education for All (EFA), a large number of countries are
currently and continuously undergoing systemic reform as a response to such
global mandates4. Policy analysis has become an essential tool in determining
whether local policy is likely to achieve the desired goals. While policy analysis
has tended to be analytical and descriptive in this course we introduce program
evaluation to policy analysis as we pursue the systematic study of the origin and
characteristics of public policies and assess their effects vis-à-vis their intended
outcomes.5
A key tool in the implementation of accountability cultures on policy effects is
the assessment of policy outcomes. Assessment systems have also developed into
global organizations. For instance regarding the effect of basic education a
number of international evaluations of student progress have shown that high
achieving countries also have a more knowledgeable teaching force and a more
coherent and centralized curriculum. These results however also show that
success is heavily dependent on context, culture and content. National policy in
countries across the world has become increasingly reliant on these global
trends uncovered by policy analysis and program evaluation. Examples of these
tendencies are easily found in the comparative studies carried out by the
International Association for the Evaluation of Educational Achievement such as
TIMSS, PIRLS, ICCS, ICLS, and TEDS-M, and by the OECD such as PISA and
TALIS. These are all examples of large scale rigorous policy studies designed to
inform policy in particular areas of interest in basic and higher education in the
participating countries.6
Policy studies however, are not always considered a requirement to inform
and improve policy. An example is the proposal to adopt the Common Core
Curriculum Standards (CCCS) for mathematics and English Language Arts in
the USA.7 The justification given in the website to encourage states to engage in
this important policy initiative is that “the standards are informed by the
highest, most effective models from states across the country and countries
around the world, and provide teachers and parents with a common
understanding of what students are expected to learn.” Then a claim of the

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expected impact of this policy is made without any empirical data, that
standards …will reflect “the knowledge and skills that young people need for
success in college and careers” and that “[w]ith American students fully
prepared for the future, our communities will be best positioned to compete
successfully in the global economy”. The website does mention the use of
“international benchmarking [as playing] a significant role in both sets of
standards [and that] the college and career ready standards include an appendix
listing the evidence that was consulted in drafting the standards and the
international data consulted in the benchmarking process.” Thus whether we
sympathize or not with such policy, there is clearly a need for at the very least
examining closely the evidence consulted, and for ongoing policy studies
regarding this initiative!
But how is policy made? What are the choices among several that are
preferable, for whom and for what purpose? What is entailed in doing policy
analysis? The idea of policy analysis relies on the assumption that policy actors
need and are willing to use valid and reliable information to both design and
understand the pitfalls of current policies in order to improve education.
As new waves of educational reform bring about the development of innovative
ways to address the many shortcomings of schooling there is increased public
interest in understanding whether and how old and current policy have had the
expected results and whether the social investment in these innovations is cost-
effective. Further while for the most part policy analysis has evolved mostly as an
inquiry undertaking, it is important to explore whether and how it must take
into account the crucial issues of social justice and human rights.8
The need to document the projected and actual effectiveness of policies at all
levels of the system in the context of shrinking resources is upon us and it is bound
to increase over the next decade. The demand for committed and qualified
professionals that understand how to assess the potential and actual impact of
policy to address the complex education needs of global economies is bound to
grow as well.
This course is specifically designed to help doctoral students interested in
education at all levels acquire the skills and abilities that are required to design
sound and responsive policy analysis. Accordingly this course will explore the
conception, generation, and analysis of educational policies using as examples
key education policies at the global level such as policies directed at early
childhood education, curriculum reform, teacher education and the education of
immigrant populations among others. The course will pay particular attention
to the contexts of policy including the evolving conceptualization of global and
local systems of governance. The course will also explore the uses, limitations,
and ethics of policy analysis. The course will also provide students with
elementary knowledge of program evaluation.9
In addition to a number of examples that we will analyze, TE 919 will make
available to students in this course a first exploration into the methods of studies
by the IEA including the TEDS-M Project, as an example of a comparative and
international study that uses qualitative and quantitative research methods to

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analyze teacher education policy and practice in 16 countries including the

United States of America (other countries are: Botswana, Chile, Chinese Taipei,
Georgia, Germany, Malaysia, Oman, Norway, Philippines, Poland, Russian
Federation, Singapore, Spain, Switzerland, Thailand).10
Students will have the option to use available data from IEA and OECD
studies to do work required for the course. The databases typically include data
on country context, education and curriculum policy, the qualifications and
working conditions of teachers, pupils’ background, and the results of
knowledge assessment in the areas explored by the studies (for instance
mathematics, literacy, civics, and instructional technology among others. Students
in this course will also be encouraged to consider using this data to develop
required doctoral work including dissertations.
The overall goal for the course is to enable doctoral students to design policy
analysis in their area of interest using current research on specific education
policy (their own or from other studies) as a shared context for learning.11
This course counts toward the doctoral requirement for courses that contribute to
increasing the depth and breadth of understanding of educational issues within a
qualitative or quantitative research methods framework, and it is one of the
courses in the Policy Analysis Concentration Area. It fulfills 3 credits towards
the requirements for the Doctoral degrees in the College of Education.

Requirements

Students are expected to read all the readings for the course. As the list of
readings indicates there are numerous readings of various lengths that are
required for each class. Students are required to include references to the
readings in their weekly assignments and are also required to summarize each of
the readings in the style of a book review or an article review for their benefit
and that of the whole class. I am however sensitive to the different reading
levels and speeds at which people read. So we will spend sometime during the
first class discussing how to do the readings. You may want to take a look at
this link of an article which shows that PhD students are asked to read an
average of 330 pages per week with a range of 100 to 1500! We at MSU are in
the upper range! 12
http://psychweb.psy.umt.edu/denis/datadecision/front/stat_II_2010/reading_grad
.pdf
In addition students are expected to participate in class discussions, and to
complete a series of papers in a timely manner. No late papers will be accepted.

How to read

All assigned readings should be completed prior to the class in which they will
be discussed. I expect you to be attentive both to the ideas in the readings and
to the formal elements of the texts. For example, as you read, you may want to
pay attention to questions like the following:

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– What does this reading have to do with particular aspects of policy making,
governance and /or policy analysis?
– What is the particular issue under analysis? How is the policy “problem”
defined?
– What is the argument that the author(s) is trying to make?
– What evidence does the author use to support his/her argument?
– In what ways is the argument persuasive or not?
– What has the author failed to consider about the issue?
– Where do you agree or disagree with the author, and why?
– How does the argument relate to other material you have read or to your own
experience?
Class Procedures
The class will have a seminar/workshop format. Under this format students
are expected to thoroughly read the material assigned for the particular session
and share their understanding of these materials with the group. Discussion based
in well-informed arguments will be encouraged throughout the course. Those
who have taken classes with me know that the syllabus is a proposal that I
will bring to you for a plan about how we will spend a semester. Thus the plan
may change once I know your interests and expectations.
Expectations
This is an inquiry-oriented class, with a workshop component where you are
expected to carry out your own policy analysis/study. We will read and discuss
common books and articles, but you are expected to also bring your interests and
your own materials to the class. Readings have been organized according to the main
“spaces” in the process of policy analysis cycle (see Appendix 1 of this syllabus).
Accordingly the readings include three strands: contextual, conceptual,and
methodological. Each week, we will read at least two or three article/chapter/book
from each of the spaces and strands. During class, we will discuss the readings, and
spend some time working in your individual policy analysis project.
We will meet once a week for three hours. Since we expect to develop
understandings together, attendance at these classes is required of all students.
13
I. Eight short papers (of 1–3 pages) are required of students:
1. PAPER 1: The first paper requires you to submit a proposal for an analysis of
an existing policy you will evaluate this term. This proposal should (a)
describe the policy as stated in existing documents (cite the documents and
include links to websites if available), (b) the “problem” your policy analysis
was created to address, and (c) the objectives or purposes of your policy
analysis or program evaluation (relevant texts to use: Bardach, Weiss; your
own documents describing the policy and/or program).
2. PAPER 2: In the second paper I am asking you to describe in detail the history
and social context of the policy you will analyze. This paper should describe
(a): how did the policy came to be, what was happening (locally & globally)

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at the time that made it necessary for the policy to originate? (b) what are
the social and political context in which the policy is operating? (c) how
effectively (or not) has this policy addressed the problem so far (according to
the research available), and (d) what changes or adjustments have been made
to the original policy (relevant texts to use: Darling-Hammond, Kingdon,
Brighouse; your own documents describing the policy and/or program).
3. PAPER 3: In the third paper I am asking you to describe the theory-in-
action of the policy you are analyzing (in other words how is the policy
expected to work (relevant texts to use: Majchrzak, Resnick, Weiss).
4. PAPER 4: In the fourth paper I am asking you to describe your perspective or
theoretical framework (sociology, economics, globalization, organizational,
comparative) you will use for your policy analysis (relevant texts to use:
Kjaer, Tatto 2008, Tatto 2007 [reprint 2009], Perrow; and your own literature
review).
5. PAPER 5: In the fifth paper I am asking you to describe the methods and
modes of inquiry you will use for your analysis, and the data sources you will
use for evidence to support your analysis. Please note that if you do not have
empirical data, your source of data is your list of annotated references,
consequently include the list of references and the annotations (relevant texts
to use: Shavelson, Weiss, Pallas [for an example of how to do a rigorous
literature review]).
6. PAPER 6: In the sixth paper I am asking you to describe your results
including the challenges to goal attainment and the possible alternatives to the
current policy that you may find mentioned in the literature; discuss whether
these alternatives or recommendations make sense to you. What alternative
approaches or gaps in process would need to be considered first for such a
policy to be successful in achieving it goals (relevant texts to use Bardach,
Resnick & Weiss; plus what you learned from Paper 3).
7. PAPER 7: In the seventh paper I am asking you to describe your conclusions
including the scientific or scholarly significance of your policy analysis /
study (relevant texts to use Shavelson and Tatto 2002).
8. PAPER 8: In the eighth and last of the short papers I am asking you to develop
a detailed and annotated outline of your policy analysis report in preparation for
the final paper you will submit at the end of the class (use the material you
have produced in all the seven short papers plus the Booth reading).
II. FINAL PAPER: a final paper integrating the information collected throughout
the semester via the 8 short papers (25 pages, single space). The final paper will:
Contain the analysis of a policy that relates to education at a national or
international level. This is an individual paper, but may be developed
collaboratively in a group.
The individuals or group developing the analysis will present their paper to the
rest of the class and to a group of experts on education policy that could help us
understand whether our analysis "fits" the problem and whether our "prescriptions"
make sense.14

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We will be always looking at whether our work can have broader

dissemination. We may be able to submit the reports as articles or on websites
(see for instance the report written by Tatto, M.T., Lundstrom-Ndibongo, V.,
Neuman, B., Nogle, S.E., Sarroub, L., Weiler, J.M., (2000). The education of
migrant children in Michigan: A policy analysis report. Michigan State
University, East Lansing, MI: Julian Samora Research Institute. http://www.jsri.
msu.edu/RandS/research/ops/oc72abs.html15
Use of the Angel Website
We will use the Angel website regularly as a space for communication regarding
the class or for ongoing discussions in between class meetings.
Final grades in the class will be determined as follows:
• class participation 25%
• papers 1–8 35%
• final paper 40%

Readings:16
The readings are available at Amazon.com or at any other on-line bookstore. I
recommend buying used books in “very good” condition, which sell very
inexpensively. All the articles can be downloaded from the MSU Library System
(E-Resources/Electronic Journals). When readings or other sources are available
directly from the web I have inserted the link for your convenience.
We will read as initial readings:
Brighouse, H. (2006). On Education. New York, NY: Routledge.
Darling-Hammond, L. (2010). The flat world and education: how America’s commitment to
equity will determine our future. New York, NY: Teachers College Press.

We will be using as main texts (available at the MSU main library or from
amazon.com):
Bardach, E. (2000). A practical guide for policy analysis: the eightfold path to more effective
problem solving. New York: Chatham House Publishers.
Booth, W.C., Colomb, G.G., & Williams, J.M. (2008). The craft of research. Chicago: The University
of Chicago Press.
Kingdon, J.W. (2010). Agendas, alternatives, and public policies. New York, NY: Longman. Kjaer,
A.M. (2004). Governance. Cambridge, UK: Polity Press.
Majchrzak, A. (1984). Methods for policy research. Newbury Park, CA: Sage Publications. Perrow, C.
(1986). Complex organizations: a critical essay. New York: Random House.
Shavelson, R. J., Towne, L., & the Committee on Scientific Principles for Education Research. (Eds.).
(2002). Scientific research in education. Washington, DC: National Academy Press. http://www.
nap.edu/catalog.php?record_id=10236; at the MSU Library: this is an online book http://catalog.lib.
msu.edu/record=b3907220. Paper copy is also available QA11 .S35 2002 http://catalog.lib.
msu.edu/record=b3912776
Tatto, M.T. (2007). Reforming teaching globally. Oxford, UK: Symposium Books. Reprinted in 2009
by Information Age Publishers.

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Weiss, C.H. (1998) Evaluation: Methods for Studying Programs and Policies. 2nd edition. Upper
Saddle River: Prentice Hall (digitized 2007).

We will be reading the following articles / chapters (all downloadable from

the MSU Library, from the indicated websites or from the Angel course site):
*Lee, Valerie E. and Tia Linda Zuze (2011). School Resources and Academic Performance in Sub-
Saharan Africa. Comparative Education Review 55 (3), pp. 369–397.
*Mytelka, L.K and Keith Smith (2002). Policy learning and innovation theory: an interactive and co-
evolving process. Research Policy, 31 (8–9) 1467–1479.
*Portes, A. (2000). The hidden abode: Sociology as analysis of the unexpected. American Sociological
Review, 65, 1–18.
Resnick, L., Besterfield-Sacre, M., Mehalik, M., Sherer, Z. J., & Halverson, E. (2007). A framework
for effective management of school system performance, in Yearbook of the National Society for
the Study of Education, 106 (1), 155–185.
*Tatto, M. T. (2008). Teacher policy: a framework for comparative analysis. Prospects: Quarterly
Review of Comparative Education, XXXVIII (38), 4 / 148, p. 487–508.
*Tatto, M.T. (1999). Improving Teacher Education in Rural México: The Challenges and Tensions of
Constructivist Reform, Teaching and Teacher Education, 15 (1), 15–35.
*Tatto, M.T. (1999). Education Reform and State Power in México: The Paradoxes of Decentralization.
Comparative Education Review, 43 (3), 251–282.
*Tatto, M.T., & Senk, S. (2011, March/April). The mathematics education of future primary and
secondary teachers: Methods and findings from the Teacher Education and Development Study
in Mathematics. Journal of Teacher Education, 62, 121–137.
*Tatto, M.T., (2002). The value and feasibility of evaluation research on teacher preparation:
Contrasting the experiences in Sri Lanka and Mexico. International Journal of Educational
Development, 22 (6), (p.637–657).
Tatto, M.T., Lundstrom-Ndibongo, V., Neuman, B., Nogle, S.E., Sarroub, L., Weiler, J.M.,
(2000). The education of migrant children in Michigan. A Policy Analysis Report. Julian Samora
Research Institute, Michigan State University, East Lansing, MI: Occasional Paper # 72.
http://www.jsri.msu.edu/RandS/research/ops/oc72abs.html
Weiss, C.H. (1991). Policy research: data, ideas or arguments? in Wagner, P., C.H. Weiss, B.
Wittrock, & H. Wollman (Eds.) Social Sciences and Modern States. Cambridge: Cambridge
University Press (pp. 307–332).
*Weiss, C.H. (1997).How can theory-based evaluation make greater headway? Evaluation Review,
21(4), (pp. 501–524).

We will be reading the following documents on the web:

IEA Databases and analyzers can be obtained at: http://www.iea.nl/iea_studies_datasets.html
IEA International Civic and Citizenship Education Study: http://www.iea.nl/icces.html
IEA TIMSS & PIRLS http://timss.bc.edu/
NCES (National Center for Education Statistics. USA) http://nces.ed.gov/
OECD PISA http://www.pisa.oecd.org/pages/0,2987,en_32252351_32235731_1_1_1_1_1,00.html
UN “The universal declaration of human rights” http://www.un.org/en/documents/udhr/
UNESCO (2009). "Overcoming Inequality: Why governance matters: http://unesdoc.unesco.org/images/
0017/001776/177683e.pdf
World Declaration on Education for All: http://www.unesco.org/education/efa/ed_for_all/background/
jomtien_declaration.shtml

Other highly recommended books and readings:

A. Policy research methods, theory and databases:

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Cook, T.D. and Campbell, D.T. (1979). Quasi-Experimentation: Design and Analysis Issues for Field
Settings. Boston: Houghton Mifflin.
Hall, G. E., & Loucks, S. F. (1977). A developmental model for determining whether the
treatment is actually implemented. AERJ 14:263–276.
Patton, M.Q. (2002). Qualitative research and evaluation methods. Thousand Oaks, Calif.: Sage
Publications.
Richardson, V. (1996). The case for formal research and practical inquiry in teacher education.
In F. Murray (Ed.). The teacher educator’s handbook (pp. 715–737). San Francisco: Jossey-
Bass.
Weiss, C. (1972). Evaluation Research: Methods of Assessing Program Effectiveness. Englewood
Cliffs, N.J., Prentice-Hall.

B. Policy and policy analysis (USA based):

Cohen, D.K., & Garret, M.S. (1975). Reforming educational policy with applied social research.
Harvard Educational Review 45(1), 17–43.
Graham, P., Lyman, R., Trow, M. (1995). Accountability of colleges and universities. NY:
Columbia University.
Kennedy, M. (1999). The problem of evidence in teacher education. In Roth, R. (Ed.). The role of the
university in the preparation of teachers (pp. 87–107). London: Falmer Press.
Labaree, David F. (1996). The trouble with ed schools. Educational Foundations, 10:3, 1–19.
Lindblom, C. (1980). The policy making process. Englewood Cliffs, NJ: Prentice-Hall.
Putnam, R. and Borko, H. (1997). Teacher learning: Implications of new views of cognition. In B.J.
Biddle, T.L. Good and I.F. Goodson (Eds.) International handbook of teachers and teaching
(Vol. II, pp. 1223–1296). Dordrecht: Kluwer.
Study of teacher education programs. New York: National Center for Restructuring Education,
Schools, and teaching, Teachers College, Columbia University.
Tarrow, S. (2005). The new transnational activism. New York: Cambridge University Press. Wildavsky, A.
(1987). Speaking truth to power. Piscataway, NJ: Transaction Books.

C. Policy and policy analysis (international):

Akiba, M., & LeTendre, G. (2009). Improving teacher quality: The U.S. teaching force in global
context. New York: Teachers College Record. (Chapter 5 (pp.96–121) compares the approaches
to professional learning in the U.S., Australia, and Japan.)
Cummings, W.K. and Williams, J.H. Policy making for education reform in developing countries:
policy options and strategies. Oxford, UK: Scarecrow Education.
Grindle, M. Despite the odds: the contentious politics of education reform. Princeton, N.J.: Princeton
University Press
Grindle, M. S. (2009). Going Local: Decentralization, Democratization, and the Promise of Good
Governance. Princeton, N.J.: Princeton University Press.
Keck, M.E. & Sikkink, K. (1998). Activists Beyond Borders: Advocacy Networks in International
Politics. New York, NY: Cornell University Press
Stuart, J. & Tatto, M.T. (2000). Designs for initial teacher preparation programs: An international
view. International Journal of Educational Research, 33 (493–514).
Sutton, M. and Levinson, B. (2001). Policy as practice: toward a comparative socio-cultural
analysis of educational policy. Westport, CT: Ablex Publishing.
Tatto, M.T. (1997). Reconstructing teacher education for disadvantaged communities. International
Journal of Educational Development, 17 (4), 405–415.

D. Foundational sociology and education:

Coleman, J. The rational reconstruction of society http://www.jstor.org/pss/2096213

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Dewey, J. (1904/1965). The relation of theory to practice in education. In R.D. Archambault (Ed.).
John Dewey on education: Selected writings, 313–338. Chicago: University of Chicago Press.

Learning Goals for Participants:

Due the evolving character of the course I believe that I will need to revise the
guidelines and expectations for the papers and the activities of the course.I
have however delineated the intention of the course, the expectations for the
students, the expected readings and the assignments for the course. Class
meetings will be important in framing more specifically the activities for this
course.

The purposes of this course are:

1. To help develop students’ understanding of the nature of governance in
policy making and policy analysis in education as framed within a variety
of lenses including: (a) program, (b) local, (c) regional, (d) national and (e)
global.
2. To introduce or reinforce students conceptual and methodological skills set to
engage in policy analysis / studies relying in the theories and methods of the
social sciences.
3. To help develop students’ knowledge base for policy studies using rigorous,
valid and reliable data to allow them to design a policy analyses with the goal
of contributing to the improvement of human lives.
Important student information: http://www.reg.msu.edu/ROInfo/HEOAnotices.asp

LIST OF READINGS, ASSIGNMENTS AND CLASS MEETING DATES

September 7 Introduction to Course

Reading for informal discussion: Introduction to the course: Why policy?

Why policy analysis? Examples of policies and policy “problems”

Readings:
Darling-Hammond, L. The flat world and education (all)
Brighouse, H. On education (all)

September 14 The policy making process, public policies and the

“problems” policies are expected to address

Readings:
Kingdon, J.W. Agendas, Alternatives, and Public Policy (pp. 1–113)
Tatto, M.T., Lundstrom-Ndibongo, V., Neuman, B., Nogle, S.E., Sarroub,
L., Weiler, J.M. The education of migrant children in Michigan. A Policy
Analysis Report (all)

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September 21 What is governance and how does it influence policy? What is

policy analysis?
Readings:
Kjaer, A.M. Governance (all)
Bardach, E. A practical guide to policy analysis: The eightfold path to more
effective problem solving (all)
Majchrzak, A. Methods for policy research (pp. 11–42)

PAPER 1 DUE TODAY: A proposal of the policy you will analyze this
term.

September 28 The global and local (social, historical and institutional)

contexts of policy
Readings:
Kingdon, J.W. Agendas, alternatives, and public policies (pp. 116-205)
Perrow, C. Complex organizations: a critical essay (all)
Tatto, M.T. Reforming teaching globally (introduction, conclusion and selected
chapters to be assigned in class)
UNESCO “Overcoming Inequality: Why governance matters http://unesdoc.
unesco.org/images/0017/001776/177683e.pdf
UN “The universal declaration of human rights” http://www.un.org/en/
documents/udhr/
World Declaration on Education for All (EFA) http://www.unesco.org/
education/efa/ed for all/background/jomtien declaration.shtml

October 5 Library Day Building your list of annotated references

PAPER 2 DUE TODAY: Policy context

October 12 The role of the policy’s theory-in-action [how policies are

expected to work]
Readings:
Majchrzak, A. Methods for policy research (pp. 43–54)
Resnick, L. et al. A framework for effective management of school systems
(all).
Weiss, C.H. Evaluation: Methods for Studying Programs & Policies (to be
assigned in class)
Weiss, C.H. How can theory-based evaluation make greater headway? (all)
PAPER 3 DUE TODAY: Policy theory in action

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October 19 Selecting analysis criteria and relevant evidence; the role

of evaluation research

Readings:
Shavelson, et al., Scientific research in education (all)
Weiss, C.H. Evaluation: Methods for Studying Programs & Policies (to be
assigned in class)
[We will explore the IEA documents & databases in class: IEA Databases and
analyzers can be obtained at: http://www.iea.nl/iea_studies_datasets.html ]

October 26 Adopting a framework or perspective (point of view) for

analysis

Readings:
Booth, W.C., Colomb, G.G., Williams, J.M., The craft of research [Read
Sections: I, II, and III]
Majchrzak, A. Methods for policy research (pp. 55–73).
Tatto, M. T. Teacher policy: a framework for comparative analysis (all)
Tatto, M.T. Education Reform and State Power in México: The Paradoxes of
Decentralization
(all)
Tatto, M.T. Improving Teacher Education in Rural México: The Challenges
and Tensions of
Constructivist Reform (all)

PAPER 4 DUE TODAY: Perspective or theoretical framework you will

use for your policy analysis

November 2 Using data-based evidence in policy analysis

Readings:
Lee, Valerie E. & Tia Linda Zuze. School Resources and Academic
Performance in Sub-Saharan
Africa (all)
Tatto, M.T., & Senk, S. The mathematics education of future primary and
secondary teachers: Methods and findings from the Teacher Education and
Development Study in Mathematics Weiss, C.H. Evaluation: Methods for
Studying Programs & Policies (to be assigned in class)

PAPER 5 DUE TODAY: Methods, modes of inquiry and data sources

you will use for evidence to support your policy analysis

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November 9 Projecting the outcomes and confronting the tradeoffs

Readings:
Majchrzak, A. Methods for policy research (pp. 75-89).
Weiss, C.H. Evaluation: Methods for Studying Programs & Policies (to be
assigned in class)

PAPER 6 DUE TODAY: Results of your analysis including the

alternatives to the current policy and justification

November 16 The role of evaluation research: using the theory and

methods of the social sciences as criteria for policy analysis

Readings:
Tatto, M.T. The value and feasibility of evaluation research on teacher
preparation: Contrasting the experiences in Sri Lanka and Mexico (all)
Weiss, C.H. Evaluation: Methods for Studying Programs & Policies (to be
assigned in class)

PAPER 7 DUE TODAY: The scientific or scholarly significance of your

policy analysis

November 30 Knowledge production, innovation, and diffusion

Readings:
Majchrzak, A. Methods for policy research (pp. 91–101).
Mytelka, L.K and Keith Smith. Policy learning and innovation theory: an
interactive and co- evolving process (all)

PAPER 8 DUE TODAY: Policy report outline; discuss how your

policy analysis is an example of “usable knowledge”

December 7 Drafting a policy analysis report: what to keep in mind when

reporting

Readings :
Booth, W.C. et al. The craft of research [Read sections IV and V]
Weiss, C.H. Policy research: data, ideas or arguments? (all)

FINAL PAPER (DRAFT) DUE TODAY: First draft of final policy

analysis report due today for peer review

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December 13 Final Paper: Policy Report and class presentations

FINAL PAPER DUE TODAY: Final draft of final policy analysis report is
due today

Due today: Prepare a 7 minute power point presentation of the final report
for presentation to the class.

Summary Topics, Readings and Assignments

Date Topics Readings and work due on the day the

class is held
September 7 Introduction to the course: Why Readings: Darling-Hammond,
policy? Why policy analysis? Brighouse
No written assignment due today
September 14* The policy making process, Readings: Kingdon, Tatto, M.T.,
Guest Lecturer: public Lundstrom-
policies and the “problems” Ndibongo, V., Neuman, B., Nogle, S.E.,
policies are expected to address Sarroub, L., Weiler, J.M.
No written assignment due today
September 21 What is governance and how Readings: Kjaer, Bardach, Majchrzak
does PAPER 1 DUE TODAY: a proposal of
it influence policy? What is the policy you will analyze this term
policy analysis?
September 28 The global and local (social, Readings: Kingdon, Perrow, Tatto
historical and institutional) (Reforming
contexts of policy teaching) plus UNESCO, UN, and EFA
No written assignment due today
**October 5 Library Day - assembling Begin to build your list of annotated
evidence references
PAPER 2 DUE TODAY: policy context
October 12 The role of the theory-in-action Readings: Majchrzak, Resnick et al.,
of your policy Weiss
(Evaluation), Weiss (How can theory…)
PAPER 3 DUE TODAY: policy theory
in action
October 19 Selecting analysis criteria and Readings: Shavelson, Weiss
relevant evidence; the role of (Evaluation), IEA
evaluation research documents & databases
October 26 Adopting a framework or Readings: Booth et al.; Majchrzak, Tatto
perspective (point of view) for (Teacher
analysis policy…), Tatto (Education reform…),
Tatto
(Improving…)
PAPER 4 DUE TODAY: perspective or
theoretical framework you will use for
your policy analysis

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November 2 Using data-based evidence in Readings: Lee, V. et al., Tatto & Senk,
policy analysis Weiss
(Evaluation)
PAPER 5 DUE TODAY: methods,
modes of inquiry and data sources you
will use for evidence to support your
policy analysis
November 9 Projecting the outcomes and Readings: Majchrzak, Weiss
confronting the tradeoffs (Evaluation)
PAPER 6 DUE TODAY: results of your
analysis including the alternatives to the
current policy and justification
November 16 The role of evaluation research: Readings: Tatto (The value…), Weiss
using the theory and methods of (Evaluation)
the social sciences as criteria for PAPER 7 DUE TODAY: the scientific
policy analysis or scholarly significance of your policy
analysis
November 30 Knowledge production, Readings: Majchrzak, Mytelka & Smith
innovation, and diffusion PAPER 8 DUE TODAY: Policy report
outline; discuss how your policy analysis
is an example of “usable knowledge”
December 7 Drafting a policy analysis Readings: Booth, Weiss (Policy
report: research…)
what to keep in mind when FINAL PAPER (DRAFT): First draft of
reporting final policy analysis report due today for
peer review
Tuesday Final Paper: Policy Report FINAL PAPER: Final draft of final
December 13, policy analysis
5:45–7:45 pm report is due today Prepare a 7 minute
power point presentation of the final
report for the class.

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 APPENDIIXES

NOTES
1
The offficial description
n in the MSU cattalogue reads: “C Conception, generaation, and analyssis of
educatiional policies. Co
ontexts such as go overnance levels, national setting, and legislative foorms.
Uses, limitations,
l and eth
hics of policy anallysis.”
2
While this course can be taught with an a exclusive USA A focus, I introduuce in this coursse an
internaational and compaarative dimension.. This is especiallly useful when te aching policy anaalysis

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because a strategy for analysis is the search for viable alternatives to policy problems in other
contexts or disciplines. An international comparative analysis of how a similar policy problem is
addressed in other settings provides an excellent “laboratory like experience” of what factors, if
considered, may account for the success or a failure of a policy.
3
I explored this phenomenon with colleagues in my book Reforming teaching globally (see Tatto
2007). While we found that indeed accountability arguments are used to encourage compliance with
reformed practices we also found that organizational cultures and traditions are strong forces
challenging reform.
4
EFA is one of the most powerful global policies and the most important attempt at increasing
quality access to education for all sectors of the population across countries. Introducing this
policy as a possible object of analysis in this course has the purpose of (1) examining a
comprehensive reform globally conceived b ut locally implemented; (b) specifically examining
the NCLB (No Child Left Behind) policy which can be seen as the local implementation of EFA
in the USA.
5
In a typical policy analysis course students are expected to learn to be analytical and descriptive of
public policies. However I believe that students should learn to do what is known as “policy
studies”. In general terms “Policy Studies” is a combination of “policy analysis” with the rigorous
methods of “program evaluation.” Because of my expertise in both policy analysis and program
evaluation research I am able to bring these two approaches together in what I consider a unique
course in the College of Education at MSU.
6
By introducing doctoral students to current policy studies by the IEA and OECD I intent to expose
them to high quality research able to produce “usable knowledge” to policy making. I hope to
acquaint them with the use of large databases collected by these studies in a rigorous manner and
from representative samples and introduce the idea of using these databases for their paper in this
course and for future doctoral work.
7
The introduction of the CCCS is likely to be one of the more important policies in USA education
reform. The fact that a policy such as this has become a “mandate” in a number of states without a
policy study should be a cause for concern. My hope is that students may get involved in the study
of the effects of systemic curriculum reform such as the one proposed by CCCS.
8
There are a number of frameworks that can be used to do policy analysis. In this course I
introduce students to thinking about how policy analysis / studies can contribute to social justice; a
good starting point is the UN Declaration of Human Rights, and the two introductory
background readings by Linda Darling-Hammond and Harry Brighouse.
9
There are different approaches to program evaluation. I prefer Carol Weiss (1972, 1998), and
Rossi, Freeman and Lipsey (1999).
10
Because I am the director of the TEDS-M study I will use this opportunity to introduce the
students to the conceptual framework and methods of this IEA large scale policy study. This should
be a unique opportunity to gain an insider’s view on a study such as this.
11
This course is an example of the way I conduct my teaching. I (a) integrate current theoretical
and methodological developments in the field of the social sciences with the study of educational
policy; (b) link class projects with real life experiences as a way to develop students’ capacity to
apply conceptual understandings to real policy settings; (c) integrate international and
comparative perspectives in education with policy analysis / study; and (d) address the
problematic of peripheral populations across cultures. I encourage students to construct their own
understandings of the courses’ subject matter and engage them on manageable research projects
of their own.
12
My course assigns a high number of pages per class. I adjust these in some cases but students are
assigned to read a range of 750–1000 per week.
13
I have used the strategy of “progressively developing” the final paper in this and in other courses
with very good results. I am using again this strategy in this course.
14
I try to make the policy analysis experience for the students as real as possible. Considering the
possibility of publishing our work and presenting it to relevant audiences, makes this an
intense internally and externally- accountable experience.

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 APPENDIXES

15
This monograph is an example of the work my students and I produced as a result of “The
Craft of Policy Analysis” class. The MSU’s Julian Samora Research Institute published this work.
We also presented this paper to the Michigan Department of Education. I am proposing the
possibility of a similar outcome with this class.
16
The readings include theoretical, conceptual, methodological and applied readings in policy,
policy analysis and policy studies.

283
 List name & phone number in class directory? yes no

TE 919 -- Fall 2011

Student Information Form

1. Name
(last) (first)
2. Telephone
Is this a home or work number? ___ home work
e-mail address (if applicable) ____________

3. Please write the name of the program and department in which you are
enrolled (if any)
______________________________________________________________

4. If you are enrolled in a program, during which term did you begin study?
______________________

5. Who is your academic advisor?

6. How many years of work experience do you have in:

a. elementary and secondary teaching?
b. elementary and secondary administration? ______
c. postsecondary teaching? ______
d. postsecondary administration?
e. other teaching? _______
f. other administration?
g. other research? ________

7. If you are currently employed, what is your job title?

_____________________________________________________________

8. What is the name of your employer?

_____________________________________________________________

9. What type of professional work do you hope to be doing five years from now?
_____________________________________________________________

10. Please list below any other courses in policy and on research methods that you
have completed:
___________________________________________________________

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 APPENDIXES

11. Why did you decide to take this course?

12. You probably have some ideas about what’s intriguing regarding policy
analysis. What questions do you think you or others should be addressing in
studying policy and policy analysis?

13. (a) What does “policy” means to you?

(b) What does “policy analysis” means to you?

14. What do you believe good policy is? What are the qualities of good policy
analysis?

15. What do you think that you already know about policy or policy analysis?
How should be a policy informed?

16. What do you hope to learn about education policy in this course?

17. People often use the word "theory" in reference to policy or policy analysis. In
your opinion, what is theory? What is the place of theory in policy
development and implementation? What is the place of theory in policy
analysis?

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APPENDIXES

18. What do you think are important distinctions and connections between policy
and practice? Where does policy analysis fit (policy or practice)?

19. To what can we compare policy or policy analysis? To respond, please

complete the following: Policy is like _________ because .OR Policy
analysis is like____ because ______.

For example, "Policy is like writing a fairy tale, except that the ending ‘and the
recipients of the policy lived happily ever after’ is rarely achieved.” OR “Policy
analysis is like trying to figure out what went in the soup after you have tried the
soup and someone has asked you to give recommendations about how to make the
soup better.”

Please explain why you chose the particular comparison that you constructed.

20. What do you think the primary aim of a policy should be? Why?

21. What do you think the primary aim of policy analysis should be? Why?

22. Some policy analysts argue that policy should be informed by research studies
and that these should be scientific while others argue that policy studies should
seek to be pragmatic. What do you think the terms “scientific” and
“pragmatic” mean in this context? Do you think that one of the terms is more
appropriate in describing what the informational needs of policy should be? If
so, why?

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 APPENDIXES

23. Which of the following do you believe is the most important use of policy
analysis: a) to conceptualize and design a policy; (b) to study how a policy is
implemented; or (c) to assess the utility and effectiveness of a policy upon its
full implementation? Why?

24. Do you think that scientific knowledge, because it is produced by the scientific
method, is more believable than “ordinary” knowledge or common sense?
Why or why not?

25. Some policy studies use quantitative data (i.e., data that take the form of
numbers). Other studies use qualitative data (i.e., data that take the form of text
or words), others use both. Do you believe that one of these types of research
studies is inherently more valid or believable than the other? Why or why not?

Thanks for answering these questions!! They will help me to know you better!

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 TE919
Final Paper Detailed Outline
Tentative Format

1. TITLE.
2. Descriptors: (5).
3. Your name.
4. Your institutional affiliation.
5. Short quotation that signals the orientation or frame of mind for the people
who will read your policy analysis.
6. Abstract / Executive Summary
• This abstract or executive summary may come from your power point
presentation.
7. Introduction
• The objective of this policy analysis paper;
• The name and short description of the policy to be analyzed;
• The description of the “problem” or “problems” the policy seeks to
address;
• The specific research questions your policy analysis will address (in other
words the “so what” of your paper).
8. Literature review
Detailed literature review that contributes to the understanding and history of the
policy. This includes a description of the policy context (including as many of the
following dimensions: educational, economical, social, and political–power
relations and the macro and micro interactions within the global policy arena).
9. Theoretical / analytical frameworks; thesis and hypothesis:
a. Describe the policy “theory of use” (see Weiss; please recall that the theory
of use emerges from the policy). Include here the policy’s concept map.
b. Describe your analytical framework as developed by you (the researcher /
analyst) and based on the original policy theory of use and on critical
perspectives emerging from social science theoretical (see some examples
of these theories below). The analytical framework responds to the
question: “How will you look at the policy?”
• Human capital theory (education as investing in people);

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 APPENDIXES

• Modernization theory (education as moving from tradition to

modernity);
• Liberation theory (education as liberation; raising awareness);
• Critical theory (education as reproducing inequality and perpetuating
dominant power)
c. After you have described the analytical framework introduce your “4
column table” (e.g., the table should include at least the context, input,
processes, and outcomes);
d. Formulate your overall thesis;
e. Formulate your specific hypothesis (usually one hypothesis per each main
research question).
10. Methods
Describe the method and criteria you will use for your analysis (e.g., it could
be one or more of the following):
• Exploratory: What issues pertaining to roles, relationships, and
processes exist which are worthy of examination by research (future or
more in-depth)? What models paradigms or methods might be useful in
designing future research? [mode: generation of new hypothesis or
questions with potential for in-depth research];
• Descriptive: what is the current status of the phenomena? What are the
relationships between variables? [mode: description];
• Analytical: what are the explanations for relationships between
components? Why do actors or systems behave in the way they do?
[mode: cause and effect];
• Evaluative: is program “A” better or more cost-effective than program
“B”? Is the program or policy appropriate for a particular context or
group? [mode: judgment of merit].
11. Data Source or evidence and analysis of this evidence (informs 9b. Analytical
Framework)
Carefully describe the evidence you will use
i. If your evidence comes from research reports or other documents:
• Describe what key words you used;
• Describe what data bases you searched (please note that research
reports that you use as evidence need to come from articles
published in first tier peer reviewed journals);
• Include a table-summary of the research studies you are using for
your evidence including [1st column]: author, title of article, journal,
[2nd column]: questions guided the research, [3rd column]: what was
the method used by the author (e.g., study design (qualitative/

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APPENDIXES

quantitative/ mixed, what instruments were used to collect the

information, the size of the sample or the number of individuals it
th
was collected from, how were they selected), [4 column]: how
was the data analyzed and the findings;
ii. If your evidence comes from empirical work :
• Describe the questions that guided the research;
• Describe the study design (qualitative or quantitative or mixed);
• Describe what was the method used, what instruments were used to
collect the information, the size of the sample or the number of
individuals it was collected from, how were they selected;
iii. Describe how was the data analyzed (this should connect the
analytical framework you developed and the evidence).
12. Results by the different questions that guided your study/analysis.
a. This section follows from the analysis (11.iii above);
b. This section confirms or disconfirms your particular hypothesis and
overall thesis).
c. Limitations of your study.
13. Implications of your policy analysis / discussion (gaps and alternatives) this
may include:
• A summary of the alternatives you have come up with as a result of your
policy analysis and their significance;
• The projected outcomes of your alternative policy in relation with the
tradeoffs (opportunity costs or a cost-effectiveness analysis);
• Implications of taking this policy to scale (if applicable). What
work/research needs to be done to fully grasp the problems or
limitations of the current policy and of your proposed alternatives to
the policy?
14. Policy recommendations and possible areas for future research.
15. References (includes annotated and other references).
16. Appendix.

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 TE919 Policy Analysis in Education Grading Criteria

Overall
The structure, argument and analysis in the paper should be clear and coherent,
the paper must:
• Clear statement of the policy and objective of the policy paper
• Address every aspect of the question(s),
• Provide compelling evidence, reasoning, and support for claims, addressing
a range of counterarguments effectively,
• Provide analysis or synthesis that contributes substantively to the field and it
engages effectively with alternative ways of thinking
Specifically:

Content: What we want to see: Substantive Quality: Criteria

Part 1:
• Clear introduction Statement
of the policy Problem
statement/rational Objective
of study
Research questions
======================
• Literature review
Social, economic, political,
historical
context, geographical…..
• Ideas build from one to the next.
• Writing moves from whole to parts and
back to whole context with ease and
coherence.
• Succinct, while covering all of the
pertinent aspects of the policy.
• Questions are researchable and policy
specific.
========================
• Literature findings are presented in an
accurate and compelling manner.
• Information demonstrates methodological
rigor and validity.

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APPENDIXES
Part 2:
• Theoretical / analytical
frameworks / thesis and
hypothesis
Policy Details: Theory of use
Background /objective of
policy
Current situation Conceptual
map
======================
• Analytical framework as
supported by social science
theories 4 column table
Thesis statement (usually one
for the overall paper)
Particular hypothesis (usually
one per research question)
Part 3:
• Methodology
Method of study
Sources of data (or evidence
if evidence is from the
literature specify criteria for
inclusion—See Pallas
article)
292
• Poignant telling of a story
• Clearly elaborate the aspects of the policy
(e.g., context, input, output, process).
• Portrays information in a holistic, unbiased
overview.
========================
• Explanation of the use of the analytical lens
and framework and why it is being used.
Significance.
• Specify the problem according to the
analytical framework, what is lacking, what
may be the intended and unintended
consequences.
• Thesis and hypothesis are clear; the thesis
reflects the hypothesis; the hypothesis
reflects the research questions.
• Methods are pertinent to the
questions asked.
• A clear description of how
the researcher is using the
methods.
• Criteria provide a demonstrable
means of evaluating the inputs,
processes,
and outcomes within the
policy context.
• Criteria as a whole provides with
enough tools and evidence to
evaluate the questions posed.
 APPENDIXES

Part 4: • Address all research questions

• Analysis • Proper utilization of evidence-
Findings points are supported by evidence.
=============
• Empirical data comes from top
• Conclusion
• Policy implication
tier journals, empirical data.
==========================
• Limitations of study
• Conclusion restates main points
and thesis.
• Uses evidence to
support
recommendations.
• Demonstrates a consideration of
relevant actors, different levels
of context, and long term
implications.
• Thoughtful consideration of past,
present and future trends in the
policy.
• Attention to the engaging the
audience is given throughout the
paper.
• Researcher demonstrates a
strong command of the policy
and the analysis process.

293
 Notes on Contributors

JUSTIN BRUNER is a doctoral student in the Curriculum, Instruction, and

Teacher Education program at Michigan State University in the College of
Education and the Center for the Advanced Study of International Development
(CASID).

FIDA HUSSAIN CHANG is a Pre-STEP/USAID Ph.D. Scholar in the department

of teacher education at Michigan State University and a faculty member at Shah
Abdul Latif University Khairpur Pakistan.

CORVELL CRANFIELD is a Fulbright fellow from South Africa. He was the

Deputy Director of the Schools Development Unit at the University of Cape Town
and is currently completing his doctoral studies in the Division of Science and
Mathematics Education at Michigan State University.

TARA MIYOKO KINTZ is a doctoral student in the Educational Policy program

at Michigan State University in the College of Education.

NAI-CHENG KUO is a doctoral student in the Curriculum, Instruction, and

Teacher Education program at Michigan State University in the College of
Education.

SANDRA PYLVAINEN is a doctoral student in the Curriculum, Instruction, and

Teacher Education program at Michigan State University and also teaches English
Language Arts at the secondary level.

ANDLEEB SHARIF is a Pre-STEP/USAID Ph.D. Scholar in the department of

Teacher Education at Michigan State University USA, as well as faculty member at
Hazara University Pakistan.

MARIA TERESA TATTO is an Associate Professor in the Department of

Teacher Education at Michigan State University, U.S.A.

295