第八讲教育政策实施过程的研究 ( 二 )

第八讲教育政策实施过程的研究(二) 北京师范大学教育研究方法讲座系列 (2): 教育政策研究

(B)Beyond Top and Bottom Dichotomy:The 3rd Generation of Implementation Theory

Distinction between policy-centered and action-centered approaches: In reviewing the studies of policy implementation before the 1980s, Barrett and Fudge classify them into two approaches Policy-centered approach: This approach takes the policy mandate as the foundation and crux of the implementation process. It defines the process of implementation is the logic and administrative lock-steps of "putting the policy into effect". The approach accepts the perspectives of the policy makers as the primary concerns and implementation is but the act of carrying out the policy-makers' prescription to the full. Accordingly, implementation is construed as a purely administrative task of imposing of control and soliciting compliance Barrett and Fudge's Action-Centered Approach (1981)

Distinction between policy-centered and action centered approaches: Action-centered approach: It defines policy implementation as series of actions, i.e. a project or an agency, through which "getting something done" or "making something happen" is the primary goal rather than simply securing the compliance of the "street-level bureaucrats" The approach conceived policy implementation as performancerather than conformance. The performance or action is environment-dependent and context-dependent, hence constraints imposed by the environment as well as perspectives held by interaction partners must be taken into consideration as the implementation process unfolds in the field According, implementation is conceived as both a negotiating process as well as responsive process Barrett and Fudge's Action-Centered Approach (1981)

Policy implementation as process of structuration Susan Barrett specifically underlines the influence of Giddens' Theory of Structuration on her formulation the Policy-Action Model. (2004, p. 256-257) Barrett and Fudge's Action-Centered Approach (1981)

Policy implementation as process of structuration Three conceptual constituents in the Theory of Structuration (Giddens, 1984) The agency and the agent: Agency is conceived as a flow of intentional action, i.e. a project: Agent is defined as knowledgeable human actor, who possesses the capacity of carrying out intentional action The Structure: Structure refers to those rules and resources, which "make possible for discernibly similar social practices to exist across varying spans of time and space.' (Giddens, 1984, p.17) In other words, it refers to "rules and resources recursively implicated in the reproduction of social systems." (Giddens, 1984, p. 377) Barrett and Fudge's Action-Centered Approach (1981)

Three conceptual constituents in the Theory of Structuration Structuration: "Analysing the structuration of social systems grounded in the knowledgeable activities of situated actors who draw upon rules and resources in the diversity of action contexts, are produced and reproduced in interaction. …The constitution of agents and structures are not two independently given sets of phenomena, a dualism, but represent a duality. According to the notion duality of structure, the structural properties of social systems are both medium and outcome of the practices they recursively organized. Structure is not 'external' to individuals: as memory traces, and as instantiated in social practices, it is in a sense more 'internal' than exterior to their activities…. Structure is not to be equated with constraint but is always both constraining and enabling." (P.25) For example, the structure of a language system both constraints and enable agents, who are knowledgeable to that language, expressing herself and communicating with other agents in daily interactions. Barrett and Fudge's Action-Centered Approach (1981)

Policy implementation as action-and-response process By applying the duality of structure and theory of structuration to the study of policy implementation, policy and its implementation can be reformulated as follows: Policy can be conceived as a structure, i.e. rules and resources implicating the recurrence of particular sets of social practices. To take EMI policy as an example, it implicates that teachers and students will recursively adopt English as medium of instruction in their lessons. The duality of the structure can be illustrated by the fact that EMI policy as a structure is both the medium and the outcome of implementation process. Barrett and Fudge's Action-Centered Approach (1981)

Policy implementation as action-and-response process Accordingly, policy implementation can no longer be conceptualized as a single linear progression of but as a recursive and ongoing process of actions and responses. Barrett and Fudge's Action-Centered Approach (1981) Policy Action (Structure) (Agent)

S Paul A. Sabatier’s Advocacy Coalition Framework Sabatier (1986/1993) puts forth the “advocacy coalition framework” as a means to synthesize the top-down and bottom-up models in policy implementation. By advocacy coalition, Sabatier refers to “actors from various public and private organizations who share a set of beliefs and who seek to realize their common goals over time” in a specific policy system (domain). (Sabatier, 1993, p. 284; and Sabatier and Jenkins-Smith, 1999, p. 120) From this definition, four essential features of advocacy coalition can be deduced.

From this definition, four essential features of advocacy coalition can be deduced. The composition of an advocacy coalition is made up of a variety of groupings: (Sabatier and Jenkins-Smith, 1999, p. 118-119) administrative agencies, legislative committee, interest groups, journalists, researchers, and policy analysts, and actors at all levels of government active in policy formulation and implementation. Paul A. Sabatier’s Advocacy Coalition Framework

From this definition, four essential features of advocacy coalition can be deduced. The unit of analysis of policy implementation is neither the top-down officials and their policy directives nor the street-level bureaucrats and their accommodating strategies, but is the advocacy coalitions in a specific policy problem or issue, i.e. policy subsystem, such as higher education or air pollution control. (Sabatier, 1993, 284) Paul A. Sabatier’s Advocacy Coalition Framework

From this definition, four essential features of advocacy coalition can be deduced. The delineative line or the integrative force of an advocacy coalition is its belief system, which can be differentiated into three levels. (Sabatier, 1993, p. 287; and Sabatier, 1999, p. 133) The deep core: Fundamental normative and ontological axioms The policy core: Fundamental policy position concerning the basic strategies for achieving core values within the subsystem Instrumental decisions and information searches for necessary to implement policy core Paul A. Sabatier’s Advocacy Coalition Framework

From this definition, four essential features of advocacy coalition can be deduced. A longer time frame, i.e. a decade or more should be adopted in policy implementation so as to allow the policy process “to complete at least one formulation/implementation/reformulation cycle, to obtain a reasonably accurate portrait of success and failure, and to appreciate the variety of strategies actors pursue over time.” (Sabatier, 1993, p. 119) Paul A. Sabatier’s Advocacy Coalition Framework

Based on the conception of advocacy coalition, Sabatier constructs a advocacy coalition framework for policy implementation into three dimensions The exogenous factors: In connection to the top-down approach of policy implementation, Sabatier organizes the exogenous factors into two sets Relative stable parameters External (system) events The intermediate factors: It includes another two sets of factors Constraints and resources of subsystem actors (advocacy coalitions) Degree of consensus needed for major policy change Paul A. Sabatier’s Advocacy Coalition Framework

Based on the conception of advocacy coalition, Sabatier constructs a advocacy coalition framework for policy implementation into three dimensions The dynamics within the policy subsystem: Based on the bottom-up approach, the framework put strong emphasis on the strategies and conflicts played out by different advocacy coalitions found in the policy subsystem under study. This part of the framework consists of Identifying the major advocacy coalitions (about 3 to 4) at work in the policy subsystem Analyzing strategies adopted by advocacy coalitions to construct the policy outcome in accordance with their own “belief systems”. Analyzing the mediating process, through which the conflicts among coalition can be mitigated, compromised or even resolved by means of the work of the policy brokers. Paul A. Sabatier’s Advocacy Coalition Framework

RELATIVELY STABLE PARAMETERS • Basic attributes of the problem area (good) • Basic distribution of natural resources • Fundamental socio-cultural values and social structure • Basic Constitutional structure (rules) Degree of consensus needed for major policy change POLICY SUBSYSTEM Coalition A Policy Coalition B Brokers a. Policy beliefs b. Resources a. Policy beliefs b. Resources Strategy A1 re guidance instruments Strategy B1 re guidance instruments Constraints And Resources Of Subsystem Actors Decisions by Governmental Authorities EXTERNAL (SYSTEM) EVENTS • Changes in socio-economic conditions • Changes in public opinion • Changes in systemic governing coalition • Policy decisions and impacts from other subsystems Institutional Rules, Resource Allocations, and Appointments Policy Outputs Policy Impacts (Sabatier, 1999, Figure 6.4)

The concept of governance To understand the concept of governance, it is better to contrast it with the concept of government. “Governance…is accomplished through in ‘informal authority’ of diverse and flexible networks”, while “government…is carried out through hierarchies or specifically within administrations and by bureaucratic methods.” (Ball, 2012, P.3) In other words, the landscapes of public policy and public administration in the US and UK since 1980s, have witnessed a shift from “the government of a unitary state to governance in and by networks” (Bevir and Rhodes, 2003; Quoted in Ball, 2012, P. 2) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of governance… In the field of policy making and implementation, the traditional bureaucratic model, which is characterized by clear and definite rules and regulations, consistent and routine procedures, and well-defined lines of authority and chains of commands, has been replaced to a substantial extent by the model commonly called “policy network.” The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: To have a comprehensive understanding of the concept of policy network, we can begin with the idea of network logics and its effects on human society. The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The constitution of the network logics “The Atom is the past. The symbol of science for the next century is the dynamical Net … Whereas the Atom represents clean simplicity, the Net channels the messy power of complexity. …The only organization capable of nonprejudiced growth, or unguided learning is a network. All other typologies limited what can happen. A network swarm is all edges and therefore open ended any way you come at it. Indeed, the network is the least structured organization that can be said to have any structure at all. …In fact a plurality of truly divergent components can only remain coherent in a network. No other arrangement – chain, pyramid, tree, circle, hub – can contain ture diversity work as a whole.” (Kelly, 1995, p.25-27 quoted in Castells, 19976, note71, p. 61-62) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The constitution of the network logics… “Network can now be materially implemented, in all kinds of processes, and organizations, by newly available information technologies. Without them, the networking logic would be too cumbersome to implement. Yet this networking logic is needed to structure the unstructured while preserving flexibaility, since the unstructured is the driving force of innovation in human activity” (Castells, 1996, p. 62) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The definitive features of network: The fluid structure of the network and its IT infrastructure have constituted numbers of features which is novel if not totally foreign to the bureaucratic structure of modern society. Flexibility Convergence Mobility and autonomy The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The definitive features of network: … Flexibility: By flexibility, it refers to the state of affairs in which “not only processes are reversible, but organizations and institutions can be modified, and even fundamentally altered, by rearrangeing their components. What is distinctive to the configuration of the new technological paradigm is its ability to reconfigure, a decisive feature in a society characterized by constant change and organizational fluidity. ….Flexibility could be a liberating force, but also a repressive tendency if the rewriters of rules are always the powers that be. As Mulgan wrote: ‘Networks are created not just to communicate, but also to gain position, to outcommunicate.’” (Castells, 1996, p. 62) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The definitive features of network: … Convergence: Built on the above-mentioned features of IT network, the network also equips with high degree of compatibility and convergeability, with other systems. Mobility and autonomy: As informational technology and mass communication turn from “wired” to “wireless”, they have become much more mobile. IT and communication apparatuses are no longer confined or pinned down to a definite location. As a result, they have allowed their users to liberate from particular physical localities and even social institutions, such as families, workplaces, offices, and schools, etc. (Castell, 2008, Pp448-449) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … According to Castells analysis, two of the essential consequences that the advent of the IT paradigm and network logic brings to bear on human relationship are Space of flow Timeless time The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … …two of the essential consequences …bear on human relationship Space of flow: Brought about by the global-informational infrastructure is the separation of simultaneous social practices from physical contiguity, that is time-sharing social practices are no long embedded in locality of close proximity and/or within finite boundary. As a result, the traditional notion of space of places has been transformed into space of flows. In informational network, such as the internet, "no place exists by itself, since the positions are defined by flows." There Manuel Castells (1996) underlines that one of the profound features is practically no boundary, no concepts of center or periphery, no beginning or end. It is all but flows. The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … …two of the essential consequences …bear on human relationship Timeless time: Castells also underlines that the global-Informational infrastructure has also transform the conception of time in human society. Time is no longer comprehended in terms of localities around the globe according to the international time-zones. Human activities around the global can be coordinated "simultaneously" in disregard of conception of local time, such as morning, evening, late at night, etc. Furthermore, with the aid of IT, the conventional linear, sequential, diachronic concepts of time has been disturbed. "Timing becoming synchronic inflate horizon, with no beginning, no end, no sequence." (Castells, 1996, p. 74) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The concept of network society: As a result, the modern society that we are so familiar with and used to, i.e. a configuration of social institutions, such as economy, polity, culture, and even social identity, built on definite physical locality and duration in time, has dissolved if not evaporated. In its replacement is a set of social institutions that are organized around the logic of network, namely operated in the flow of space and timeless time. The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The concept of policy network: By policy network, it refers to non-governmental and/or quasi-governmental organizations, which are independent and autonomous from one another but are connected in terms of resource-exchanges, contracting-in or out, partnership, strategic alliances, etc. They would jointly and collaboratively deliver services and achieve objectives prescribed in public policies. (Ball, 2012, P. 1-12) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The concept of policy network:… It has been conceived that policy network as a form of governance that can be located between the continuum of Hierarchy and Market. As a form of governance, it “is characterized by the plurality of autonomous actors, as they are found within markets, and the capacity to pursue collective goals through deliberately coordinated actions, which is one of the major elements of hierarchy.” (Raab and Kennis, 2007, 191) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The network governance and its effects The hybrid structure of the network governance: Stephen J. Ball summarizes his study of Networks, New Governance and Education in UK that “what is emerging here is a new hybrid form or mix of networks + bureaucracy + markets that is nonetheless fashioned in the shadow of hierarchy.” (Ball, 2012, P. 133) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The network governance and its effects … The operative principle of the network governance: Ball underlines that working underlying the emerging form of network governance is “the interplay or dialectic of performance management and deconcentration” (Ball, 2012, P. 133) It refers to mechanism of steering (in contrast to rolling) at a distance, such as policy mechanism of output accountability, value for money, quality assurance inspection, performance auditing, etc. “This is the means of ‘governing through governance’―the state becomes a contractor, performance monitor, benchmarker and target setter, engaging in managing.” Ball, 2012, P. 133) As a result, the role of the in policy delivery has undergone “a shift from ‘directing bureaucracy’ to ‘managing networks’.” (Ball, 2012, P. 134) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The network governance and its effects … Thefoundational epistemology of the network governance: Ball points out that emergence from “the mix of market, hierarchies and network” in network governance is a new type of player in policy and service delivery, what he called the “new philanthropy”. By new philanthropy it refers to “the direct relation of ‘giving’ to ‘outcome’ and the direct involvement of givers in philanthropic action and policy community. …This new sensibilities of giving are based upon the increasing use of commercial and enterprise models of practice as a new generic form of philanthropic organization, practice and language.” (Ball, 2012, P. 49) …. The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The network governance and its effects … The foundational epistemology of the network governance: ….As a result, in the domain of network governance, “public sector education, philanthropy and business are increasingly blurred and increasingly convergent in relation to a ‘foundational epistemology’―which is ‘pragmatic entrepreneurialsim’.” (Ball, 2012, P. 135) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The network governance and its effects … Etho-politics of responsible self-government: Ball further asserts that “new governance is a moral field in a dual sense. (i) There is a bottom-up morality expressed in form of charitable giving and hands-on philanthropy and CSR (corporate social responsibility)―a taking on of responsibility for social problems. ….(ii) There is also a top-down morality expressed and enacted―incitements to responsibility for yourself and others―in forms like volunteering participation in local voluntary association and mutualism.” (Ball, 2012, P. 135) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The network governance and its effects … Etho-politics of responsible self-government: …. “Together, these commitments and incitements constitute a very particular version of what Rose …calls ‘etho-politics’…. Self-government or mutual government replaces state government: ‘etho-politics concerns itself with self-techniques necessary for responsible self-government. Government, or either governance, acts upon ‘the ethical formation and the ethical self management of individuals’ (Rose, 199, P. 475) as individual take on social responsibilities that were formerly the domain of the state.” (Ball, 2012, P. 136) The Conception of Governance and Policy Network: New Form of Policy Implementation

The concept of policy network: … The network governance and its effects … In conclusion, Ball paraphrases Trainafillou that “‘we could broadly characterize network governance as the diverse governmental rationalities, technologies and norms that seek to govern by promoting the self-steering capacities of individuals and organizations.’” (Traintafillou, 2004, Quoted in Ball, 2012, P. 140) Furthermore, Ball reiterates that “the change we are describing here are situated in relation to a boarder set of practical techniques of government that have in part the aim and effect of producing new kinds of ‘active’ and responsible, entrepreneurial citizens and workers.” (Ball, 2012, P. 140) The Conception of Governance and Policy Network: New Form of Policy Implementation

State Managerialism Evaluationism Of the Competition State Accountability & Auditing Culture Of Consumerism Assault on Professionalism Market Consumerism Professionalism

Market of Neoliberalism Different-steering state of New Managerialsim Accountability & Auditing Culture Of Consumerism Evaluationism of the Competition State Responsible, Self-governing & Entrepreneurial Citizenship Assault on Professionalism Abolition of GTCE (2000-2011) Policy Network of New Philanthrophy

"Since the 1990s, implementation researchers have increasingly come to see the problem of educational policy implementation as one of teacher learning." (Coburn & Stein, 2006, p. 25). Within the third generation of education-policy implementation, researches on policy learning and cognition have grown into one of the prominence school within the field. Policy Implementationas Learning Process

At individual level, researches on teacher learning and cognition have revealed that as primary implementers of policy, teachers do not mechanically comply with policy directives but they would interpret and make sense of the objectives, measures, outcomes and consequences of the policy to be implemented. What researches on policy implementation and cognition revealed "is not simply that implementing agents choose to respond to policy but also what they understand themselves to be responding to. …The fundamental nature of cognition is that new information is always interpreted in light of what is already understood. An individual's prior knowledge and experience, including tacitly held expectations and beliefs about how the world work, serve as lens influencing what the individual notices in the environment and how the stimuli that are noticed are processed, encode, organized, and subsequently interpreted." (Spillane et al., 2006, p. 49) Policy Implementationas Learning Process

At community level, recent researches on educational policy implementation also revealed that "sense-making is not a solo affair; an individual's situation or social context fundamentally shapes how human cognition affects policy implementation." Education-policy learning by definition as well as by nature takes place in institutional setting, i.e. schools. In other words, "social agents' thinking and action is situated in institutional sectors that provide norms, rules, and definition of the environment that both constrain and enable action." (Spillane et al, 2006, p. 56) As a result, researches on professional community practice and learning community formation have become a prominent area of study in the field of education-policy implementation. (Odden, 1991; Honig, 2006) Policy Implementationas Learning Process

At community level, …. One of the important approaches to teacher learning as a professional community is Etienne Wenger’s theory of social learning theory (Wenger, 1998) To Wenger learning is not just a cognitive activity of information acquisition and processing undertaking by a single individual. By social learning, it emphasizes the social and interactive dimension of learning. … Policy Implementationas Learning Process

At community level, …. …..As a result, learning is more than a process of information acquisition, it is a complex process consisting of lived experiences of sense making and meaning constructing; mutual engagement of practicesof knowledge and skills and constituting standards of excellence of competence in a craft, a trade and a profession; built on the shared meanings and practice, a common culture, a community and lifeworld will emerge among fellow workers; members of the craft and profession will nurture a sense of belong and commitment to the trade and the community of practice, i.e. an identity. This social learning process can be represented as follows. Policy Implementationas Learning Process

At school-organization level, policy implementation represents a process of dissemination of policy imperatives, task specifications and working routines within the ranks and files of the implementing organization. As a result, organizations, school-organizations in particular have be studied as the learning organization. Among the proliferating approaches to learning organization, three of the more representative are outline as follows Policy Implementationas Learning Process

Ikujiro Nonaka’s Knowledge-Creation Organization Two dimensions of knowledge creation Epistemological Ontological Policy Implementationas Learning Process

第八讲 教育政策实施过程的研究 ( 二 )