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北京师范大学 教師 教育研究中心 教育研究方法讲座系列 (2)

北京师范大学 教師 教育研究中心 教育研究方法讲座系列 (2). 教育政策研究 Policy Studies in Education TSANG, Wing Kwong wktsang@cuhk.edu.hk www.fed.cuhk.edu.hk/~wktsang/. A Roadmap of Education Research. 1. 教育政策研究的发展：学科、领域与视域的综述 2. 教育政策研究的知识论基础：理论视域的探讨 3. 教育政策研究的历史 - 比较基础：国家理论的综述 4. 教育政策研究的规范基础：政策 價值 争议的综述

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北京师范大学 教師 教育研究中心 教育研究方法讲座系列 (2)

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  1. 北京师范大学教師教育研究中心教育研究方法讲座系列 (2) 教育政策研究 Policy Studies in Education TSANG, Wing Kwong wktsang@cuhk.edu.hk www.fed.cuhk.edu.hk/~wktsang/

  2. A Roadmap of Education Research

  3. 1. 教育政策研究的发展：学科、领域与视域的综述 2. 教育政策研究的知识论基础：理论视域的探讨 3. 教育政策研究的历史-比较基础：国家理论的综述 4. 教育政策研究的规范基础：政策價值争议的综述 5. 教育政策研究的制度基础：政策制度主义的综述 6. 教育政策制订过程的研究 7. 教育政策实施过程的研究(一) 8. 教育政策实施过程的研究(二) 9. 教育政策评估过程的研究 10. 教育政策與教師 ：Object, Subject or Agent 讲题大纲：

  4. 第一讲教育政策研究的发展：学科、领域与视域的综述Discipline, Field, & Perspectives 北京师范大学教育研究方法讲座系列 (2) 教育政策研究

  5. (A)Definition of the Discipline andDefinition of the Field

  6. Definitions of the discipline: Policy Studies Definition of the subject of inquiry Definition of the issue of inquiry Study for policy Study of policy Definition of the method of inquiry Definition of the field: Policy studies in education Study for education policy Study of education policy Policy Studies in Education: An Overview

  7. Policy Studies: Definitions of a Discipline • Definitions of the subject inquiry • Definition of policy • The Oxford English Dictionary: "A course of action or principle adopted or proposed by a government, party, individual, etc.; any course of action adopted as advantageous or expedient." • “Policy is defined as a ‘standing decision’ characterized by behavioral consistency and repetitivenesson the part of both who make it and those who abide by it.” (Eulau & Prewitt, 1973, p. 465) • “Routinization (in complex social life)is achieved through the formulation and implementation of policies. Policies are statements that prescribecourses of actionin organizations. They govern the internal functioning of the organizations, their external relations, and the way they attain their goals.” (Midgley, 2000, p. 3)

  8. Policy Studies: Definitions of a Discipline • Definitions of the subject inquiry • Definition of policy • Policy is “a projected programof goals, values, and practices.” (Lasswell & Kaplan, 1970, p. 71) • "To have a policy is to have rational reasons or argurments which contain both a claim to an understanding of a problem and a solution. It put forward what is and what ought to be done. A policy offers a kind of theory upon whicha claim for legitimacyis made." (Parson, 1995, p. 15)

  9. Policy Studies: Definition of a Discipline • Definitions of the subject inquiry • Definition of public policy • “Public policy is whatever governments choose to do or not to do.” (Dye, 1998, p. 2) • William Jenkins conceptualizes public policy as “ a set of interrelated decisionstaken by a political actor or group of actors concerning the selection of goals and the means of achieving them within a specific situation where those decisions should, in principle, be within the power of those actors to achieve.” (Quoted in Howlett & Ramesh, 1995, p. 5) • David Easton defines public policy as “the authoritative allocation of valuesfor the whole society.” (Easton, 1953, p. 129)

  10. Policy Studies: Definition of a Discipline • Definitions of the subject inquiry • Definition of public policy • Giandomenico Majone “As politicians know too well but social scientists too often forget, public policy is made of language. Whether in written or oral form, argument is central in all stages of the policy process.” (Majone, 1989, p.1) • “The practice of public policy making largelya matter of persuasion. So is the discipline of studying public policy making aptly described as itself being a ‘persuasion’. It is a mood more than a science, a loosely organized body of percepts and positions rather than a tightly integrated body of systemic knowledge, more art and craft and genuine ‘science’.” (Goodin, Rein and Moran, 2006, p. 5)

  11. Policy Studies: Definition of a Discipline • Definitions of the subject inquiry • Definition of public policy • “Public policy is a discursive constructrather than a self-defining phenomenon.” (Fischer, 2003, p. 69) ” “We define policy asa political agreement on a course of action (or inaction) designed to resolve or mitigate problems on the political agenda. This agreement…is an intellectual constructsrather than a self-defining phenomenon. Discursively constructed, there can be no inherently unique decision, institutions, or actors constituting public policy that are to be identified, uncovered, and explained. Public policy, as such, is an analytical categorywith a substantive content cannot be simply researched; more fundamentally, it has to be interpreted.” (p.60)

  12. Policy Studies: Definition of a Discipline • Definitions of the subject inquiry • Definition ofsocial policy • “Social policy …refers to the actual policies and programs of governments that affectpeople’s welfare.” (Midley, 2000, p.4) • “Social policy may be defined as policy activities which influence welfare. Whilst non-state bodies may be described as having policies, a generic expression like ‘social policy’ is primarily used todefine the role of the state in relation to the welfare of its citizens.” (Hill, 1997, p. 1)

  13. Policy Studies: Definition of a Discipline • Definition of issues of inquiry • Harold Lasswell characterizes that “As a working definition, we say that the policy science are concerned with knowledge of and in the decision processes of the public and civic order.” (1971, p.1, original emphasis)

  14. Policy Studies: Definition of a Discipline • Definition of issues of inquiry • Study for policy: • William Dunn indicates that “policy analysis is a problem solving discipline. …Policy analysis addresses five types of questions: • What is the nature of the problem for which solution is sought? • Which of two or more courses of action should be chosen to solve the problem? • What are the outcomes of choosing that course of action? • Does achieving the outcomes contribute to solving the problem? • What future outcomes can be expected if other courses of action are chosen?” (p. 3)

  15. Policy Studies: Definition of a Discipline • Definition of issues of inquiry • Study for policy • Policy Studies generates knowledge for problem-solving - Problem recognition - Agenda-setting - Proposal of solution - Policy formation - Choice of solution - Decision-making - Putting solution into - Policy implementation effect - Monitoring results - Policy evaluation

  16. Policy Studies: Definition of a Discipline • Definition of issues of inquiry • Study of policy • Thomas Dye defines the study of public policy as “the description and explanation of the causes and consequences of government activities, This focus involves • a description of the contentof public policy; • an analysis of theimpactof social, economic, and political forces on the content of the public policy; • an inquiry into theeffect of various institutional arrangements and political processes on public policy; and • an evaluation of theconsequencesof public policies on society, both expected and unexpected.” (p.5)

  17. Policy Studies: Definition of a Discipline • Definition of issues of inquiry • Study of policy • Policy Studies generates knowledge of policy • Study of the policycontents or substances • Study of the policy process • Institutional or systemicstudy of policy • Study of the policyframeand policy discourse • Critical study of ideological implications of policy

  18. Policy Studies: Definition of a Discipline • Definitions of methods of inquiry • The Analytic-technical method • Policy sciencemovement • Political system method • Theinterpretive-politicalmethod • Study of meanings and values invested in policy • Study of text, textuality and intertextuality of policy documents • Study of policy argument • Study of policy frame • Thediscursive criticalmethod • Study of policy discourse • Study of dominant ideology at work in policy

  19. Policy Studies in Education: Definition of a Field • Definition of education policy: Whatever a government choose to do or not to do in education.” • Definition of issues of inquiry • Studyfor education policy • Status-quo study and definition of the education problems • Causality study for policy solution of the education policy • Rational study for choice of solutions • Study of policy implementation • Policy evaluation study

  20. Policy Studies in Education: Definition of a Field • Definition of issues of inquiry • …… • Study ofeducation policy • Study of the substance of the education policy • Study of the process of the education policy • Institutional or systemic studies of the education policy • Study the formation of the policy frame and discourse in education • Critical study of ideological implications of the education policy

  21. (II)The State of the Art: The Overview of the Disciplineof Policy Studies

  22. Journals on Policy Studies • Policy Studies Journal (1971-present), publisher: Policy Studies Organization (US based) • Review of Policy Research, (1981-present), publisher: Policy Studies Organization (US based) • Politics and Policy, (1973-present), publisher: Policy Studies Organization (US based)

  23. Journals on Policy Studies • Journal of Public Policy (1981-present), publisher: Cambridge University Press (UK based) • Journal of European Public Policy (1994-

  24. Journals on Education Policy • Educational Evaluation and Policy Analysis, (1979-present) Publisher: AERA (US based) • Journal of Education Policy, (1986-present) Publisher: Taylor & Francis (UK based) • Educational Policy, (1987-present) Publisher: Sage (US based)

  25. (2006) (2007) (2006)

  26. (1999) (1999) (2009)

  27. Scholarship (Subject, Issue & Method) + _ + Institution (Journal, Department, and Association) _

  28. The State of the Art: The Overview of the Discipline of Policy Studies • Theoretical perspectives in policy studies • Analytic-technical perspective • Interpretive-political perspective • Discursive-critical perspective

  29. (III) Historical Development of Policy Studies as a Discipline

  30. Pre-historical period, from the Enlightenment to the WWI 1500s to 1910s From the Prince’s advisor to social physicist The formative period, between the two world wars The rise to prominence in the post WWII period: The Advent of the policy science From military operation to operation research and management science From war of intelligence to cybernetics to information technology From training camp to learning psychology to marketing research Historical Development of Policy Studies as a Discipline

  31. The challenge of the bounded rationality and the science of muddling through Grand-comprehensive rationality meet with political reality The rise and fall of the policy science in the 1960s to the 1970s The War on Poverty The Vietnam War The Watergate scandals The Energy Crisis The post-modernist period from the 1990s to present The linguistic, argumentative and persuasive turns Historical Development of Policy Studies as a Discipline

  32. From the Prince’s advisor to social physicistFrom Niccolo Machiavilli (1469-1527) The Prince (1532) Thomas Hobbes (1588-1679) Leviathan (1651) to August Comte (1798-1857) Treatise of Sociology (1851) Historical Development of Policy Studies as a Discipline

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

  34. August Comte (1798-1857)

  35. From the Prince’s advisor to social physicistFrom Niccolo Machiavilli (1469-1527) The Prince (1532) Thomas Hobbes (1588-1679) Leviathan (1651) to August Comte (1798-1857) Treatise of Sociology (1851) US Government sponsored the Franklin Institute (1824-) to study the causes of explosions in steamboat boilers in 1832 The rise and fall of the American Social Science Association (ASSA) 1865-1915 Historical Development of Policy Studies

  36. Historical Development of Policy Studies • The initiatives around the WWI: • Upon President Wilson's request, National Research Council was established in 1916 to assist the government to fight WWI • Establishment of the Social Science Research Council in 1923 and the Brookings Institute in December, 1927. • Charles Merriam's advocacy in his Presidential address in American Political Science Association in 1925 for researches of applied and multidisciplinary social science on social problems

  37. Historical Development of Policy Studies • The Post-WWII and Cold-War initiatives: • The success of Operations Research(OR) and Psychology of Warin WWII • The Congress initiated the establishment of National Science Foundation (NSF) in 1950 to serve as instrument to sponsor scientific research informing public policy

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

  39. Historical Development of Policy Studies • Developments of policy orientations from the 1950s to the 1960s • Multidisciplinary Perspective • The theoretical hegemony of the economic analysis, system approach, and/or management science • Robert K. Merton’s call for applied social science research and theories of middle range (1967)

  40. Historical Development of Policy Studies • Developments of policy orientations from the 1950s to the 1960s • Contextual and Problem-Oriented Perspective • Demarcation of knowledgeinandofpolicy process, i.e. policy analysis and policy-process analysis • The growth of policy analysis: the heyday positivist-empiricism and instrumental rationalism • Stuart S. Negal’s conceptualization of policy analysis “Policy analysis can be defined as determining which of various alternative public or governmental policies will most achieve a given set of goals in light of the relations between the policies and the goals.” • Stokey, E. & Zeckhauser, R. (1978) A Primer for PolicyAnalysis. New York: W.W. Norton. • Quade, E.S. (1975) Analysis for Public Decisions. New York: Elsever.

  41. Historical Development of Policy Studies • Developments of policy orientations from the 1950s to the 1960s • Contextual and Problem-Oriented Perspective • David Easton’s conception of political system (1953) • Robert Dahl & Charles Lindblom’s Pluralist challenge • Charles Lindblom’s science of muddling through (1959/1979) • Simon & March’s conception of bounded rationalism (1958) • Aaron Wildavsky’s (1969) critique on program-planning-budgeting system (PPBS)

  42. Historical Development of Policy Studies • Developments of policy orientations from the 1950s to the 1960s • Contextual and Problem-Oriented Perspective • Debate on policy process • Quade's (1975) elements of policy analysis: (1) identification of objectives, (2) specification of alternatives, (3) recommending policy action, (4) monitoring policy outcomes, and (5) evaluating policy performance • May and Wildavsky's (1978) reformulation of policy process: (1) agenda setting, (2) issue analysis, (3) initiation, (4) estimation, and (5) termination.

  43. Historical Development of Policy Studies • Developments of policy orientations from the 1950s to the 1960s • TheNormativePerspective • Neglect of normative perspective by the value-free policy analyst & muddling through theorist • Reinstating values in Policy Studies and challenge from political philosophers, John Rawls (1971) and Robert Nozick (1974)

  44. Historical Development of Policy Studies • Growth and Development of Policy Science through the 1970s • The rise of the welfare state and J.F. Kennedy and L.B. Johnson Administration’s Great Society Project • Robert S.McNaramaand the transplantation of rhetoricProgram, Planning, and Budgetary system from the U.S. Department of Defense

  45. Historical Development of Policy Studies • Growth and Development of Policy Science through the 1970s • The rise of the welfare state and J.F. Kennedy and L.B. Johnson Administration’s Great Society Project • Robert S. McNarama and the transplantation of rhetoric Program, Planning, and Budgetary system from the U.S. Department of Defense • Theexpansion of the policy analysis • The mean-end causal analysis • Public decision analysis • Evaluation analysis • Implementation analysis

  46. Historical Development of Policy Studies • Growth and Development of Policy Science through the 1970s • The contextual reality and constraint (deLeon, 1988) • The War on Poverty • The Vietnam War • The Watergate scandals • The Energy Crisis

  47. Historical Development of Policy Studies • From Policy Analysis to Policy Inquiry: The 1990s and Beyond • The Post-positivist challenge: • Frank Fischer & John Forester (1987) Confronting Valuesin Policy Analysis • John Forester (1989) Planning in the Face of Power • Frank Fischer & John Forester (1993) TheArgumentative Turn in Policy Analysis and Planning. • Schon Donald & Martin Rein (1994) FrameReflection: Toward the Resolution of Intractable Policy Controversies. • The coining of the concept of Design Rationality

  48. Historical Development of Policy Studies • From Policy Analysis to Policy Inquiry: The 1990s and Beyond • From instrumental rationalism to critical and communicative rational approach • From value-free analysis to political philosophy and communicative ethics for policy argument • Argumentative, narrative and discursive (linguistic) turns of Policy Studies • Planning in the face of powerand the governmentality approach to Policy Studies

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