Posted in Books, Higher Education, History of education, Professionalism

Nothing Succeeds Like Failure: The Sad History of American Business Schools

This post is a review I wrote of Steven Conn’s book, Nothing Succeeds Like Failure: The Sad History of American Business Schools, which will be coming out this summer in History of Education Quarterly.  Here’s a link to the proofs.Conn Book Cover

Steven Conn. Nothing Succeeds Like Failure: The Sad History of American Business Schools. Ithaca, NY: Cornell University Press, 2019. 288pp.

            In this book, historian Steven Conn has produced a gleeful roast of the American business school.  The whole story is in the title.  It goes something like this:  In the nineteenth century, proprietary business schools provided training for people (men) who wanted to go into business.  Then 1881 saw the founding of the Wharton School of Finance and Economy at the University of Pennsylvania, which was the first business school located in a university; others quickly followed.  Two forces converged to create this new type of educational enterprise.  Progressive reformers wanted to educate future business leaders who would manage corporations in the public interest instead of looting the public the way robber barons had done.  And corporate executives wanted to enhance their status and distinguish themselves from mere businessmen by requiring a college degree in business for the top level positions.  This was both a class distinction (commercial schools would be just fine for the regular Joe) and an effort to redefine business as a profession.  As Conn aptly puts it, the driving force for both business employers and their prospective employees was “profession envy” (p. 37).  After all, why should doctors and lawyers enjoy professional standing and not businessmen?

            For reformers, the key contribution of B schools was to be a rigorous curriculum that would transform the business world.  For the students who attended these schools, however, the courses they took were beside the point.  They were looking for a pure credentialing effect, by acquiring a professional degree that would launch their careers in the top tiers of the business world.  As Conn shows, the latter perspective won.  He delights in recounting the repeated efforts by business associations and major foundations (especially Ford and Carnegie) to construct a serious curriculum for business schools.  All of these reforms, he says, failed miserably.  The business course of study retained a reputation for uncertain focus and academic mediocrity.  The continuing judgment by outsiders was that “U.S. business education was terrible” (p. 76).

            This is the “failure” in the book’s title.  B schools never succeeded in doing what they promised as educational institutions.  But, as he argues, this curricular failure did nothing to impede business schools’ organizational success.  Students flocked to them in the search for the key to the executive suite and corporations used them to screen access to the top jobs.  This became especially true in the 1960s, when business schools moved upscale by introducing graduate programs, of which the most spectacular success was the MBA.  Nothing says professional like a graduate degree.  And nothing gives academic credibility to a professional program like establishing a mandate for business professors to carry out academic research just like their peers in the more prestigious professional schools. 

            Conn says that instead of working effectively to improve the business world, B schools simply adopted the values of this world and dressed them up in professional garb.  By the end of the twentieth century, corporations had shed any pretense of working in the public interest and instead asserted shareholder value as their primary goal.  Business schools also jumped on this bandwagon.  One result of this, the author notes, was to reinforce the rapacity of the new business ethos, sending an increasing share of business graduates into the realms of finance and consulting, where business is less a process of producing valuable goods and services than a game of monopoly played with other people’s money.  His conclusion: “No other profession produces felons in quite such abundance” (p. 206).

            Another result of this evolution in B schools was that they came to infect the universities that gave them a home.  Business needed universities for status and credibility, and it thanked them by dragging them down to its own level.  He charges that universities are increasingly governed liked private enterprises, with market-based incentives for colleges, departments, and individual faculty to produce income from tuition and research grants or else find themselves discarded like any other failed business or luckless worker.  It’s like business schools have succeeded in redoing the university in their own image: “All the window dressing of academia without any of its substance” (p. 222).

            That’s quite an indictment, but is it sufficient for conviction?  I think not.  One problem is that, from the very beginning, the reader gets the distinct feeling that the fix is in.  The book opens with a scene in which the author’s colleagues in the history department come together for their monthly faculty meeting in a room filled with a random collection of threadbare couches and chairs.  All of it came from the business school across campus when it bought new furniture.  This scene is familiar to a lot of faculty in the less privileged departments on any campus, where the distinction between the top tier and the rest is all too apparent.  In my school of education, we’re accustomed to our old, dingy barn of a building, all too aware of the elegant surroundings  the business school enjoys in a brand new campus paid for by Phil Knight of swoosh fame. 

But this entry point to the book signals a tone that tends to undermine the author’s argument throughout the book.  It’s hard not to read this book as a polemic of resentment toward the nouveau riche — a humanist railing against the money-grubbers across campus who are despoiling the sanctity of academic life.  This reading is not fair, since a lot of the author’s critique of business schools is correct; but it made me squirm a bit as I worked through the text.  It also made the argument feel a little too inevitable.  Read the title and the opening page and you already have a good idea of what is going to follow.  Then you see that the first chapter is about the Wharton School and you just know where you’re headed.  And sure enough, in the last chapter the author introduces Wharton’s most notorious graduate, Donald Trump.  That second shoe took two hundred pages to drop, but the drop was inevitable. 

In addition, by focusing relentlessly on the “sad history of American business schools,” Conn is unable to put this account within the larger context of the history of US higher education.  For one thing, business didn’t introduce the market to higher ed; it was there from day one.  Our current system emerged in the early nineteenth century, when a proliferation of undistinguished colleges popped up across the US, especially in small towns on the expanding frontier.  These were private enterprises with corporate charters and no reliable source of funding from either church or state.  They often emerged more as efforts to sell land (this is a college town so buy here) or plant the flag of a religious denomination than to advance higher learning.  And they had to hustle to survive in a glutted market, so they became adept at mining student tuition and cultivating donors.  Business schools are building on a long tradition of playing to the market.  They just aren’t as concerned about covering their tracks as the rest of us.

David F. Labaree

Stanford University

Posted in Credentialing, Higher Education, History of education, Sociology, Uncategorized

How Credentialing Theory Explains the Extraordinary Growth in US Higher Ed in the 19th Century

Today I am posting a piece I wrote in 1995. It was the foreword to a book by David K. Brown, Degrees of Control: A Sociology of Educational Expansion and Occupational Credentialism.  

I have long been interested in credentialing theory, but this is the only place where I ever tried to spell out in detail how the theory works.  For this purpose, I draw on the case of the rapid expansion of the US system of higher education in the 19th century and its transformation at the end of the century, which is the focus of Brown’s book.  Here’s a link to a pdf of the original. 

The case is particularly fruitful for demonstrating the value of credentialing theory, because the most prominent theory of education development simply can’t make sense of it.  Functionalist theory sees the emergence of educational systems as part of the process of modernization.  As societies become more complex, with a greater division of labor and a shift from manual to mental work, the economy requires workers with higher degrees of verbal and cognitive skills.  Elementary, secondary  and higher education arise over time in response to this need. 

The history of education in the U.S., however, poses a real problem for this explanation.  American higher education exploded in the 19th century, to the point that there were 800 some colleges in existence by 1880, which was more than the total number in the continent of Europe.  It was the highest rate of colleges per 100,000 population that the world have ever seen.   The problem is that this increase was not in respond to increasing demand from employers for college-educated workers.  While the rate of higher schooling was increasing across the century, the skill demands in the workforce were declining.  The growth of factory production was subdividing forms of skilled work, such as shoemaking, into a series of low-skilled tasks on the assembly line.  

This being the case, then, how can we understand the explosion of college founding in the 19th century?  Brown provides a compelling explanation, and I lay out his core arguments in my foreword.  I hope you find it illuminating.

 

Brown Cover

Preface

In this book, David Brown tackles an important question that has long puzzled scholars who wanted to understand the central role that education plays in American society: When compared with other Western countries, why did the United States experience such extraordinary growth in higher education? Whereas in most societies higher education has long been seen as a privilege that is granted to a relatively small proportion of the population, in the United States it has increasingly come to be seen as a right of the ordinary citizen. Nor was this rapid increase in accessibility very recent phenomenon. As Brown notes, between 1870 and 1930, the proportion of college-age persons (18 to 21 years old) who attended institutions of higher education rose from 1.7% to 13.0%. And this was long before the proliferation of regional state universities and community colleges made college attendance a majority experience for American youth.

The range of possible answers to this question is considerable, with each carrying its own distinctive image of the nature of American political and social life. For example, perhaps the rapid growth in the opportunity for higher education was an expression of egalitarian politics and a confirmation of the American Dream; or perhaps it was a political diversion, providing ideological cover for persistent inequality; or perhaps it was merely an accident — an unintended consequence of a struggle for something altogether different. In politically charged terrain such as this, one would prefer to seek guidance from an author who doesn’t ask the reader to march behind an ideological banner toward a preordained conclusion, but who instead rigorously examines the historical data and allows for the possibility of encountering surprises. What the reader wants, I think, is an analysis that is both informed by theory and sensitive to historical nuance.

In this book, Brown provides such an analysis. He approaches the subject from the perspective of historical sociology, and in doing so he manages to maintain an unusually effective balance between historical explanation and sociological theory-building. Unlike many sociologists dealing with history, he never oversimplifies the complexity of historical events in the rush toward premature theoretical closure; and unlike many historians dealing with sociology, he doesn’t merely import existing theories into his historical analysis but rather conceives of the analysis itself as a contribution to theory. His aim is therefore quite ambitious – to spell out a theoretical explanation for the spectacular growth and peculiar structure of American higher education, and to ground this explanation in an analysis of the role of college credentials in American life.

Traditional explanations do not hold up very well when examined closely. Structural-functionalist theory argues that an expanding economy created a powerful demand for advanced technical skills (human capital), which only a rapid expansion of higher education could fill. But Brown notes that during this expansion most students pursued programs not in vocational-technical areas but in liberal arts, meaning that the forms of knowledge they were acquiring were rather remote from the economically productive skills supposedly demanded by employers. Social reproduction theory sees the university as a mechanism that emerged to protect the privilege of the upper-middle class behind a wall of cultural capital, during a time (with the decline of proprietorship) when it became increasingly difficult for economic capital alone to provide such protection. But, while this theory points to a central outcome of college expansion, it fails to explain the historical contingencies and agencies that actually produced this outcome. In fact, both of these theories are essentially functionalist in approach, portraying higher education as arising automatically to fill a social need — within the economy, in the first case, and within the class system, in the second.

However, credentialing theory, as developed most extensively by Randall Collins (1979), helps explain the socially reproductive effect of expanding higher education without denying agency. It conceives of higher education diplomas as a kind of cultural currency that becomes attractive to status groups seeking an advantage in the competition for social positions, and therefore it sees the expansion of higher education as a response to consumer demand rather than functional necessity. Upper classes tend to benefit disproportionately from this educational development, not because of an institutional correspondence principle that preordains such an outcome, but because they are socially and culturally better equipped to gain access to and succeed within the educational market.

This credentialist theory of educational growth is the one that Brown finds most compelling as the basis for his own interpretation. However, when he plunges into a close examination of American higher education, he finds that Collins’ formulation of this theory often does not coincide very well with the historical evidence. One key problem is that Collins does not examine the nature of labor market recruitment, which is critical for credentialist theory, since the pursuit of college credentials only makes sense if employers are rewarding degree holders with desirable jobs. Brown shows that between 1800 and 1880 the number of colleges in the United States grew dramatically (as Collins also asserts), but that enrollments at individual colleges were quite modest. He argues that this binge of institution-creation was driven by a combination of religious and market forces but not (contrary to Collins) by the pursuit of credentials. There simply is no good evidence that a college degree was much in demand by employers during this period. Instead, a great deal of the growth in the number of colleges was the result of the desire by religious and ethnic groups to create their own settings for producing clergy and transmitting culture. In a particularly intriguing analysis, Brown argues that an additional spur to this growth came from markedly less elevated sources — local boosterism and land speculation — as development-oriented towns sought to establish colleges as a mechanism for attracting land buyers and new residents.

Brown’s version of credentialing theory identifies a few central factors that are required in order to facilitate a credential-driven expansion of higher education, and by 1880 several of these were already in place. One such factor is substantial wealth. Higher education is expensive, and expanding it for reasons of individual status attainment rather than for societal necessity is a wasteful use of a nation’s resources; it is only feasible for a very wealthy country. The United States was such a country in the late nineteenth century. A second factor is a broad institutional base. At this point, the United States had the largest number of colleges per million residents that the country has even seen, before or since. When combined with the small enrollments at each college, this meant that there was a great potential for growth within an already existing institutional framework. This potential was reinforced by a third factor, decentralized control. Colleges were governed by local boards rather than central state authorities, thus encouraging entrepreneurial behavior by college leaders, especially in the intensively competitive market environment they faced.

However, three other essential factors for rapid credential-based growth in higher education were still missing in 1880. For one thing, colleges were not going to be able to attract large numbers of new students, who were after all unlikely to be motivated solely by the love of learning, unless they could offer these students both a pleasant social experience and a practical educational experience — neither of which was the norm at colleges for most of the nineteenth century. Another problem was that colleges could not function as credentialing institutions until they had a monopoly over a particular form of credentials, but in 1880 they were still competing directly with high schools for the same students. Finally, their credentials were not going to have any value on the market unless employers began to demonstrate a distinct preference for hiring college graduates, and such a preference was still not obvious at this stage.

According to Brown, the 1880s saw a major shift in all three of these factors. The trigger for this change was a significant oversupply of institutions relative to existing demand. In this life or death situation, colleges desperately sought to increase the pool of potential students. It is no coincidence that this period marked the rapid diffusion of efforts to improve the quality of social life on campuses (from the promotion of athletics to the proliferation of fraternities), and also the shift toward curriculum with a stronger claim of practicality (emphasizing modern languages and science over Latin and Greek). At the same time, colleges sought to guarantee a flow of students from feeder institutions, which required them to establish a hierarchical relationship with high schools. The end of the century was the period in which colleges began requiring completion of a high school course as a prerequisite for college admission instead of the traditional entrance examination. This system provided high schools with a stable outlet for its graduates and colleges with predictable flow of reasonably well-prepared students. However, none of this would have been possible if the college degree had not acquired significant exchange value in the labor market. Without this, there would have been only social reasons for attending college, and high schools would have had little incentive to submit to college mandates.

Perhaps Brown’s strongest contribution to credential theory is his subtle and persuasive analysis of the reasoning that led employers to assert a preference for college graduates in the hiring process. Until now, this issue has posed a significant, perhaps fatal, problem for credentialing theory, which has asked the reader to accept two apparently contradictory assertions about credentials. First, the theory claims that a college degree has exchange value but not necessarily use value; that is, it is attractive to the consumer because it can be cashed in on a good job more or less independently of any learning that was acquired along the way. Second, this exchange value depends on the willingness of employers to hire applicants based on credentials alone, without direct knowledge of what these applicants know or what they can do. However this raises a serious question about the rationality of the employer in this process. After all, why would an employer, who presumably cares about the productivity of future employees, hire people based solely on college’s certification of competence in the absence of any evidence for that competence?

Brown tackles this issue with a nice measure of historical and sociological insight. He notes that the late nineteenth century saw the growing rationalization of work, which led to the development of large-scale bureaucracies to administer this work within both private corporations and public agencies. One result was the creation of a rapidly growing occupational sector for managerial employees who could function effectively within such a rationalized organizational structure. College graduates seemed to fit the bill for this kind of work. They emerged from the top level of the newly developed hierarchy of educational institutions and therefore seemed like natural candidates for management work in the upper levels of the new administrative hierarchy, which was based not on proprietorship or political office but on apparent skill. And what kinds of skills were called for in this line of work? What the new managerial employees needed was not so much the technical skills posited by human capital theory, he argues, but a general capacity to work effectively in a verbally and cognitively structured organizational environment, and also a capacity to feel comfortable about assuming positions of authority over other people.

These were things that the emerging American college could and indeed did provide. The increasingly corporate social structure of student life on college campuses provided good socialization for bureaucratic work, and the process of gaining access to and graduation from college provided students with an institutionalized confirmation of their social superiority and qualifications for leadership. Note that these capacities were substantive consequences of having attended college, but they were not learned as part of the college’s formal curriculum. That is, the characteristics that qualified college graduates for future bureaucratic employment were a side effect of their pursuit of a college education. In this sense, then, the college credential had a substantive meaning for employers that justified them in using it as a criterion for employment — less for the human capital that college provided than for the social capital that college conferred on graduates. Therefore, this credential, Brown argues, served an important role in the labor market by reducing the uncertainty that plagued the process of bureaucratic hiring. After all, how else was an employer to gain some assurance that candidate could do this kind of work? A college degree offered a claim to competence, which had enough substance behind it to be credible even if this substance was largely unrelated to the content of the college curriculum.

By the 1890s all the pieces were in place for a rapid expansion of college enrollments, strongly driven by credentialist pressures. Employers had reason to give preference to college graduates when hiring for management positions. As a result, middle-class families had an increasing incentive to provide their children with privileged access to an advantaged social position by sending them to college. For the students themselves, this extrinsic reward for attending college was reinforced by the intrinsic benefits accruing from an attractive social life on campus. All of this created a very strong demand for expanding college enrollments, and the pre-existing institutional conditions in higher education made it possible for colleges to respond to this demand in an aggressive fashion. There were a thousand independent institutions of higher education, accustomed to playing entrepreneurial roles in a competitive educational market, that were eager to capitalize on the surge of interest in attending college and to adapt themselves to the preferences of these new tuition-paying consumers. The result was a powerful and unrelenting surge of expansion in college enrollments that continued for the next century.

 

Brown provides a persuasive answer to the initial question about why American higher education expanded at such a rapid rate. But at this point the reader may well respond by asking the generic question that one should ask of any analyst, and that is, “So what?” More specifically, in light of the particular claims of this analysis, the question becomes: “What difference does it make that this expansion was spurred primarily by the pursuit of educational credentials?” In my view, at least, the answer to that question is clear. The impact of credentialism on both American society and the American educational system has been profound — profoundly negative. Consider some of the problems it has caused.

One major problem is that credentialism is astonishingly inefficient. Education is the largest single public investment made by most modern societies, and this is justified on the grounds that it provides a critically important contribution to the collective welfare. The public value of education is usually calculated as some combination of two types of benefits, the preparation of capable citizens (the political benefit) and the training of productive workers (the economic benefit). However the credentialist argument advanced by Brown suggests that these public benefits are not necessarily being met and that the primary beneficiaries are in fact private individuals. From this perspective, higher education (and the educational system more generally) exists largely as a mechanism for providing individuals with a cultural commodity that will give them a substantial competitive advantage in the pursuit of social position. In short, education becomes little but a vast public subsidy for private ambition.

The practical effect of this subsidy is the production of a glut of graduates. The difficulty posed by this outcome is not that the population becomes overeducated (since such a state is difficult to imagine) but that it becomes overcredentialed, since people are pursuing diplomas less for the knowledge they are thereby acquiring than for the access that the diplomas themselves will provide. The result is a spiral of credential inflation; for as each level of education in turn gradually floods with a crowd of ambitious consumers, individuals have to keep seeking ever higher levels of credentials in order to move a step ahead of the pack. In such a system nobody wins. Consumers have to spend increasing amounts of time and money to gain additional credentials, since the swelling number of credential holders keeps lowering the value of credentials at any given level. Taxpayers find an increasing share of scarce fiscal resources going to support an educational chase with little public benefit. Employers keep raising the entry-level education requirements for particular jobs, but they still find that they have to provide extensive training before employees can carry out their work productively. At all levels, this is an enormously wasteful system, one that rich countries like the United States can increasingly ill afford and that less developed countries, who imitate the U.S. educational model, find positively impoverishing.

A second major problem is that credentialism undercuts learning. In both college and high school, students are all too well aware that their mission is to do whatever it takes to acquire a diploma, which they can then cash in on what really matters — a good job. This has the effect of reifying the formal markers of academic progress-grades, credits, and degrees — and encouraging students to focus their attention on accumulating these badges of merit for the exchange value they offer. But at the same time this means directing attention away from the substance of education, reducing student motivation to learn the knowledge and skills that constitute the core of the educational curriculum. Under such conditions, it is quite rational, even if educationally destructive, for students to seek to acquire their badges of merit at a minimum academic cost, to gain the highest grade with the minimum amount of learning. This perspective is almost perfectly captured by a common student question, one that sends chills down the back of the learning-centered teacher but that makes perfect sense for the credential-oriented student: “ls this going to be on the test?” (Sedlak et al., 1986, p. 182). We have credentialism to thank for the aversion to learning that, to a great extent, lies at the heart of our educational system.

A third problem posed by credentialism is social and political more than educational. According to credentialing theory, the connection between social class and education is neither direct nor automatic, as suggested by social reproduction theory. Instead, the argument goes, market forces mediate between the class position of students and their access to and success within the educational system. That is, there is general competition for admission to institutions of higher education and for levels of achievement within these institutions. Class advantage is no guarantee of success in this competition, since such factors as individual ability, motivation, and luck all play a part in determining the result. Market forces also mediate between educational attainment (the acquisition of credentials) and social attainment (the acquisition of a social position). Some college degrees are worth more in the credentials market than others, and they provide privileged access to higher level positions independent of the class origins of the credential holder.

However, in both of these market competitions, one for acquiring the credential and the other for cashing it in, a higher class position provides a significant competitive edge. The economic, cultural, and social capital that come with higher class standing gives the bearer an advantage in getting into college, in doing well at college, and in translating college credentials into desirable social outcomes. The market-based competition that characterizes the acquisition and disposition of educational credentials gives the process a meritocratic set of possibilities, but the influence of class on this competition gives it a socially reproductive set of probabilities as well. The danger is that, as a result, a credential-driven system of education can provide meritocratic cover for socially reproductive outcomes. In the single-minded pursuit of educational credentials, both student consumers and the society that supports them can lose sight of an all-too-predictable pattern of outcomes that is masked by the headlong rush for the academic gold.

Posted in Academic writing, History of education, Rhetoric

A Brutal Review of My First Book

In the last two weeks, I’ve presented some my favorite brutal book reviews.  It’s a lot of fun to watch a skilled writer skewer someone else’s work with surgical precision (see here and my last post).  In the interest of balance, I thought it would be right and proper to present a review that eviscerates one of my own books.  So here’s a link to a review essay by Sol Cohen that was published in Historical Studies in Education in 1991.  It’s called, “The Linguistic Turn: The Absent Text of Educational Historiography.

Fortunately, I never saw the review when it first came out, three years after publication of my book, The Making of an American High School: The Credentials Market and the Central High School of Philadelphia, 1838-1939.  Those were the days when I was a recently tenured associate professor at Michigan State, still young and professionally vulnerable.  It wasn’t until 2005 that a snarky student in a class where I assigned my book pointedly sent me a copy of the review (as a way of saying, why are we reading this thoroughly discounted text?).   By then, thankfully, I was a full professor at Stanford, who was sufficiently old and arrogant to have nothing at stake, so I could enjoy the rollercoaster ride of reading Cohen’s thorough trashing of my work.

The book is a study of the first century of the first public high school in Philadelphia, the city where I grew up.  It emerged from my doctoral dissertation in sociology at the University of Pennsylvania, submitted in 1983.  The genre is historical sociology, and the data are both qualitative (public records, documents, and annual reports) and quantitative (digitized records of students in every census year from 1840-1920).  The book won me tenure at MSU and outstanding book awards in 1989 from both the History of Education Society and the American Educational Research Association.  In short, it was a big fat target, fairly begging for a take-down.  And boy, did Sol Cohen ever rise the challenge.

CHS Cover

Cohen frames his discussion of my book as an exercise in rhetorical analysis.  Building on the “linguistic turn” that emerged in social theory toward the end of the 20th century, he draws in particular on the work of Hayden White, who argued for viewing history as a literary endeavor.  White saw four primary story lines that historians employ:  Romance (a tale of growth and progress), Comedy (a fall from grace followed by a rise toward a happy ending), Tragedy (the fall of the hero), and Satire (“a decline and fall from grand beginnings”).  

The Making of an American High School is emplotted in the mode of Satire, an unrelenting critique, the reverse or a parody of the idealization of American public education which, for example, characterizes the Romantic/Comedic tradition in American educational historiography….

The narrative trajectory of Labaree’s book is a downward spiral. Its predominant mood is one of anger and disillusionment with the deterioration or subversion and fall from grace of American public secondary education. The story line of The Making of an American High School, though the reverse of Romance, is equally formulaic: from democratic origins, conflict and decline and fall. The conflict is between egalitarianism and “market values,” between the early democratic aspirations of Central High School to produce a virtuous and informed citizenry for the new republic and its latter-day function as an elitist “credentials market” controlled by a middle class whose goal is to ensure that their sons receive the “credentials” which would entitle them to become the functionaries of capitalist society….

The metaphor of the “credentials market,” by which Labaree means to signify a vulgar or profane and malignant essence of American secondary education, is one of the main rhetorical devices deployed in The Making of an American High School.  Labaree stresses the baneful effect of “market forces” and “market values” on every aspect of CHS and American secondary education: governance, pedagogy, the students, the curriculum. As befits his Satiric mode of emplotment, Labaree attacks the “market” conception of secondary education from a “high moral line,” that of democracy and egalitarianism.

The lugubrious downward narrative trajectory of The Making of an American High School unexpectedly takes a Romantic or Comedic upward turn at the very end of the book, when Labaree mysteriously foresees the coming transformation of the high school. We have to quote Labaree’s last paragraph. “As a market institution,” he writes, “the contemporary high school is an utter failure.” Yet “when rechartered as a common school, it has great potential.” The common public high school “would be able to focus on equality rather than stratification and on learning rather than the futile pursuit of educational credentials.” Stripped of its debilitating market concerns, “the common high school,” Labaree contends in his final sentence, “could seek to provide what had always eluded the early selective high school; a quality education for the whole community.” The End.

Ok, this is really not going well for me, is it?  Not only am I employing a hackneyed plot line of decline and fall and a cartoonish opposition between saintly democracy and evil markets, but I also flinch at the end from being true to my satiric ethos by hastily fabricating a last-minute happy ending.  I spin a book-length tale of fall from grace and then lose my nerve at the finish line.  In short, I’m a gutless fabulist.  

Oh, and that’s not all.

There is something more significant going on in Labaree’s book, however, than his emplotment of the history of American secondary education in the mode of Satire and the formulation of his argument in terms of the metaphor of the market. Thus, the most prominent rhetorical device Labaree utilizes in The Making of An American High School is actually not that of the market metaphor, but that of the terminology and apparatus of Quantitative Research Methodology. Labaree confronts the reader with no less than fifteen statistical tables in what is a very brief work (only about 180 pages of text), as well as four statistical Appendices….

One can applaud Labaree’ s diligence in finding and mining a trove of empirical data (“based on a sample of two thousand students drawn from the first hundred years” of CHS). But there is a kind of rhetorical overkill here. For all his figures and statistics, we are not much wiser than before; they are actually redundant. They give us no new information. What is their function in the text then? Labaree’s utilization of the nomenclature and technical apparatus of quantitative research methodology is to be understood as no more (or less) than a rhetorical strategy in the service of “realism.”

Ok, now here’s my favorite paragraph in the whole review.  I think you’ll find this one worth waiting for.  To make sure you don’t miss the best parts, I’ll underline them for you.

Within the conventions of its genre, The Making of an American High
School, though lacking in grace as a piece of writing, possesses some complexity and depth, if not breadth: it is an acceptable story. But as if Labaree were dissatisfied with the credibility and persuasiveness of a mere story, or with that story’s formal rhetorical properties, its Satiric mode of emplotment, its metaphoric mode of explanation, its fairy-tale ending, or were aware of its writerly deficiencies, he puts on scientistic or Positivist airs. Labaree’s piling on of inessential detail and his deployment of the arcane vocabulary and symbols of quantitative research function as a rhetorical device to counteract or efface the discursivity, the textuality, the obvious literary-ness of The Making of an American High School and to reinforce or enhance the authority of his book and the ideological thrust of his argument.  As if the language of “mean,” “standard deviation.” “regression analysis,” “beta factors.” “dummy variables.” and “homoscedasticity,” vis-a-vis ordinary language, were a transcendent, epistemologically superior or privileged language: rigorously scientific, impartial, objective. From this perspective, the Tables and Appendices in The Making of an American High School are not actually there to be read; they are, in fact, unreadable. They are simply there to be seen; their sheer presence in the text is what “counts.”

Wow, I’m impressed.  But wait for the closing flourish.

The Making of an American High School, within the conventions of its genre, is a modest and minor work, so thin the last chapter has to be fleshed out by a review of the past decade’s literature on the American high school. But the point is not to reprove or criticize Labaree. The Making of an
American High School is a first book. It is or was a competent doctoral
dissertation, with all the flaws of even a competent dissertation. That it was
awarded the Outstanding Book Award for 1989 by the History of Education
Society simply shows which way the historiographical winds are currently
blowing in the United States.

Nuff said.  Or, to use the discourse of quantitative research, QED.  

So how do I react to this review, nearly three decades after it appeared?  Although it’s a bit unkind, I can’t say it’s unfair.  Let me hit on a few specifics in the analysis that resonated with me.

The tale of a fall from grace.  True.  It’s about a school established to shore up a shaky republic and promote civic virtue, which then became a selective institution for reproducing social advantage through the provision of elite credentials.  It’s all down hill from the 1840s to the present.

Markets as the bad guy.  Also true.  I framed the book around a tension between democratic politics and capitalist markets, with markets getting and keeping the upper hand over the years.  That’s a theme that has continued in my work over the years, though it has become somewhat more complex.  As Cohen pointed out, my definition of markets was hazy at best.  It’s not even clear that school diplomas played a major role in the job market for most of the 19th century, when skill levels in the workforce were actually declining while levels of schooling were rising.  The golden days of school leading to a good job did not emerge as a major factor until the turn of the 20th century. 

In my second book, How to Succeed in School without Really Learning, I was forced to reconsider the politics-markets dichotomy, which I outlined in the first chapter, drawing on an essay that remains my most cited publication.  Here I split the idea of credentials markets into two major components.  From one perspective, education is a public good, which provides society with the skills it needs, skills that benefit everyone including those who didn’t get a diploma.  From another, education is a private good, whose benefits accrue only to the degree holder.  I argued that the former constitutes a vision of schooling for social efficiency whereas the latter offers a vision of schooling for social mobility.  The old good guy from the first book, democratic politics, represented a vision of schooling for democratic equality, also a public good.  For many years, I ran with the continuing tension among these three largely incompatible goals as the defining force in shaping the politics of education. 

However, by the time I got to my last book, A Perfect Mess, I stumbled onto the idea that markets were in fact the good guy in at least one major way.  They were the shaping force in the evolution of the American system of higher education, which emerged from below in a competition among private colleges rather than being created and directly controlled from above by the state.  Turns out this gave the system a degree of autonomy that was highly functional in promoting innovation in teaching and research and that helped make it a dominant force in global higher ed.  State dominated systems of higher education tend to be less effective in these ways.

The happy ending that doesn’t follow from the argument in the book.  Embarrassing but also true.  I have long argued that, before a book on education is published, the editor should delete the final chapter.  This is typically where the author pulls back from the weight of preceding analysis, which typically  demonstrates huge problems in education, and comes up with a totally incredible five-point plan for fixing the problem.  That’s sort of what I did here.  In my defense, it’s only one paragraph; and it doesn’t suggest that a happy ending will happen, only that it would be nice if it did.  But I do shudder reading it today, now that I’ve become more comfortable being a doomsayer about the prospects for fixing education.  To wit, my fourth book on the improbability of reform, Someone Has to Fail.

Deceptive rhetoric.  Also true.  The rhetorical move that strikes me as most telling now is not the the way I waved the flag of markets or statistics, as Cohen argued, but another move he alluded to but didn’t pursue.  On the face of it, the book is the history of a single high school.  But that is not something that interested me or interested my readers.  I frame the book as an analysis of the American high school in general, its evolution from a small exclusive institution for preparing citizens to a large inclusive institution for credentialing workers.  But there’s really no way to make a credible argument that the Central case is representative of the whole.  In fact, it was quite unusual. 

Most high schools in the 19th century were small additions to a town’s common schools, usually located in a room on the top floor of the grammar school, taught by the grammar school master, and organized coeducationally.  But for 50 years Central High School was the only high school in the second largest city in the country, and it remained very exclusive because of its rigorous entrance exam, its location in the most elegant educational structure in town (see the picture of its second building on the book’s cover), its authorization to grant college degrees, its teachers who were called professors, and its students who were all male.  In the first chapter I try to wave away that problem by arguing that the school is not representative but exemplary, serving as a model for where other high schools were headed.  Throughout the text I was able to maintain this fiction because of a quirk of the English language.  I kept referring to “the high school,” which left it ambiguous about whether I was referring to Central or to the high school in general.  I was always directing the analysis toward the latter.  On reflection, I’m ok about this deception.  If you’re not pushing your data to the limits of credibility, you’re probably not telling a very interesting story.  I think the evolutionary arc for the high school system that I describe in the book still in general holds up.

Using statistics as window dressing.  I wish.  This is a good news, bad news story.  The good news is that quantitative student data were critically important in establishing an important counterintuitive point.  In high school today, the best predictor of who will graduate is social class.  The effect is large and stable over time.  For Central in its first 80 years, however, class had no effect on chances for graduation.  The only factor that determined successful completion of degree was  a student’s grades in school.  It’s not that class was completely irrelevant.  The students who entered the school were heavily skewed toward the upper classes, since only these families could afford the opportunity cost of keeping their sons out of the workforce.  But once they were admitted, rich kids flunked out as much as poor kids if they didn’t keep up their grades.  Central, counter to anything I was expecting (or even desiring — I was looking to tell a Marxist story), the high school was a meritocracy.  Kind of cool.

The bad news is that the quantitative data were not useful for making any other important points in the book.  The most interesting stuff, at least for me, came from the qualitative side.  But the amount of quantitative data I generated was huge, and it ate up at least two of the four years I spent working on the dissertation.  Sol Cohen complained that I had 15 tables in the book, but the dissertation had more like 45.  I wanted to include them all, on the grounds that I did the work so I wanted it to show in the end result; but the press said no.  The disjuncture between data and its significance finally and brutally came home to me when my friend David Cohen read my whole manuscript and reported this:  “It seems that all of your tables serve as a footnote for a single assertion: Central was meritocratic.”  Two years of my life for a single footnote.  Lord save me from ever making that mistake again.  Since then I have avoided gathering and analyzing quantitative data and made it a religion to look for shortcuts as I’m doing research.  Diligence in gathering data doesn’t necessarily pay off in significance of the results.

Ok, so I’ll leave it at that.  I hope you enjoyed watching me get flayed by a professional.  And I also hope there are some useful lessons buried in there somewhere.  

Posted in Academic writing, Higher Education, History of education

The Lust for Academic Fame: America’s Engine for Scholarly Production

This post is an analysis of the engine for scholarly production in American higher education.  The issue is that the university is a unique work setting in which the usual organizational incentives don’t apply.  Administrators can’t offer much in the way of power and money as rewards for productive faculty and they also can’t do much to punish unproductive faculty who have tenure.  Yet in spite of this scholars keep cranking out the publications at a furious rate.  My argument is that the primary motive for publication is the lust for academic fame.

The piece was originally published in Aeon in December, 2018.

pile of books
Photo by Pixabay on Pexels.com

Gold among the dross

Academic research in the US is unplanned, exploitative and driven by a lust for glory. The result is the envy of the world

David F. Labaree

The higher education system is a unique type of organisation with its own way of motivating productivity in its scholarly workforce. It doesn’t need to compel professors to produce scholarship because they choose to do it on their own. This is in contrast to the standard structure for motivating employees in bureaucratic organisations, which relies on manipulating two incentives: fear and greed. Fear works by holding the threat of firing over the heads of workers in order to ensure that they stay in line: Do it my way or you’re out of here. Greed works by holding the prospect of pay increases and promotions in front of workers in order to encourage them to exhibit the work behaviours that will bring these rewards: Do it my way and you’ll get what’s yours.

Yes, in the United States contingent faculty can be fired at any time, and permanent faculty can be fired at the point of tenure. But, once tenured, there’s little other than criminal conduct or gross negligence that can threaten your job. And yes, most colleges do have merit pay systems that reward more productive faculty with higher salaries. But the differences are small – between the standard 3 per cent raise and a 4 per cent merit increase. Even though gaining consistent above-average raises can compound annually into substantial differences over time, the immediate rewards are pretty underwhelming. Not the kind of incentive that would motivate a major expenditure of effort in a given year – such as the kind that operates on Wall Street, where earning a million-dollar bonus is a real possibility. Academic administrators – chairs, deans, presidents – just don’t have this kind of power over faculty. It’s why we refer to academic leadership as an exercise in herding cats. Deans can ask you to do something, but they really can’t make you do it.

This situation is the norm for systems of higher education in most liberal democracies around the world. In more authoritarian settings, the incentives for faculty are skewed by particular political priorities, and in part for these reasons the institutions in those settings tend to be consigned to the lower tiers of international rankings. Scholarly autonomy is a defining characteristic of universities higher on the list.

If the usual extrinsic incentives of fear and greed don’t apply to academics, then what does motivate them to be productive scholars? One factor, of course, is that this population is highly self-selected. People don’t become professors in order to gain power and money. They enter the role primarily because of a deep passion for a particular field of study. They find that scholarship is a mode of work that is intrinsically satisfying. It’s more a vocation than a job. And these elements tend to be pervasive in most of the world’s universities.

But I want to focus on an additional powerful motivation that drives academics, one that we don’t talk about very much. Once launched into an academic career, faculty members find their scholarly efforts spurred on by more than a love of the work. We in academia are motivated by a lust for glory.

We want to be recognised for our academic accomplishments by earning our own little pieces of fame. So we work assiduously to accumulate a set of merit badges over the course of our careers, which we then proudly display on our CVs. This situation is particularly pervasive in the US system of higher education, which is organised more by the market than by the state. Market systems are especially prone to the accumulation of distinctions that define your position in the hierarchy. But European and other scholars are also engaged in a race to pick up honours and add lines to their CVs. It’s the universal obsession of the scholarly profession.

Take one prominent case in point: the endowed chair. A named professorship is a very big deal in the academic status order, a (relatively) scarce honour that supposedly demonstrates to peers that you’re a scholar of high accomplishment. It does involve money, but the chair-holder often sees little of it. A donor provides an endowment for the chair, which pays your salary and benefits, thus taking these expenses out of the operating budget – a big plus for the department, which saves a lot of money in the deal. And some chairs bring with them extra money that goes to the faculty member to pay for research expenses and travel.

But more often than not, the chair brings the occupant nothing at all but an honorific title, which you can add to your signature: the Joe Doakes Professor of Whatever. Once these chairs are in existence as permanent endowments, they never go away; instead they circulate among senior faculty. You hold the chair until you retire, and then it goes to someone else. In my own school, Stanford University, when the title passes to a new faculty member, that person receives an actual chair – one of those uncomfortable black wooden university armchairs bearing the school logo. On the back is a brass plaque announcing that ‘[Your Name] is the Joe Doakes Professor’. When you retire, they take away the title and leave you the physical chair. That’s it. It sounds like a joke – all you get to keep is this unusable piece of furniture – but it’s not. And faculty will kill to get this kind of honour.

This being the case, the academic profession requires a wide array of other forms of recognition that are more easily attainable and that you can accumulate the way you can collect Fabergé eggs. And they’re about as useful. Let us count the kinds of merit badges that are within the reach of faculty:

  • publication in high-impact journals and prestigious university presses;
  • named fellowships;
  • membership on review committees for awards and fellowships;
  • membership on editorial boards of journals;
  • journal editorships;
  • officers in professional organisations, which conveniently rotate on an annual basis and thus increase accessibility (in small societies, nearly everyone gets a chance to be president);
  • administrative positions in your home institution;
  • committee chairs;
  • a large number of awards of all kinds – for teaching, advising, public service, professional service, and so on: the possibilities are endless;
  • awards that particularly proliferate in the zone of scholarly accomplishment – best article/book of the year in a particular subfield by a senior/junior scholar; early career/lifetime-career achievement; and so on.

Each of these honours tells the academic world that you are the member of a purportedly exclusive club. At annual meetings of professional organisations, you can attach brightly coloured ribbons to your name tag that tell everyone you’re an officer or fellow of that organisation, like the badges that adorn military dress uniforms. As in the military, you can never accumulate too many of these academic honours. In fact, success breeds more success, as your past tokens of recognition demonstrate your fitness for future tokens of recognition.

Academics are unlike the employees of most organisations in that they fight over symbolic rather than material objects of aspiration, but they are like other workers in that they too are motivated by fear and greed. Instead of competing over power and money, they compete over respect. So far I’ve been focusing on professors’ greedy pursuit of various kinds of honours. But, if anything, fear of dishonour is an even more powerful motive for professorial behaviour. I aspire to gain the esteem of my peers but I’m terrified of earning their scorn.

Lurking in the halls of every academic department are a few furtive figures of scholarly disrepute. They’re the professors who are no longer publishing in academic journals, who have stopped attending academic conferences, and who teach classes that draw on the literature of yesteryear. Colleagues quietly warn students to avoid these academic ghosts, and administrators try to assign them courses where they will do the least harm. As an academic, I might be eager to pursue tokens of merit, but I am also desperate to avoid being lumped together with the department’s walking dead. Better to be an academic mediocrity, publishing occasionally in second-rate journals, than to be your colleagues’ archetype of academic failure.

The result of all this pursuit of honour and retreat from dishonour is a self-generating machine for scholarly production. No administrator needs to tell us to do it, and no one needs to dangle incentives in front of our noses as motivation. The pressure to publish and demonstrate academic accomplishment comes from within. College faculties become self-sustaining engines of academic production, in which we drive ourselves to demonstrate scholarly achievement without the administration needing to lift a finger or spend a dollar. What could possibly go wrong with such a system?

 

One problem is that faculty research productivity varies significantly according to what tier of the highly stratified structure of higher education professors find themselves in. Compared with systems of higher education in other countries, the US system is organised into a hierarchy of institutions that are strikingly different from each other. The top tier is occupied by the 115 universities that the Carnegie Classification labels as having the highest research activity, which represents only 2.5 per cent of the 4,700 institutions that grant college degrees. The next tier is doctoral universities with less of a research orientation, which account for 4.7 per cent of institutions. The third is an array of master’s level institutions often referred to as comprehensive universities, which account for 16 per cent. The fourth is baccalaureate institutions (liberal arts colleges), which account for 21 per cent. The fifth is two-year colleges, which account for 24 per cent. (The remaining 32 per cent are small specialised institutions that enrol only 5 per cent of all students.)

The number of publications by faculty members declines sharply as you move down the tiers of the system. One study shows how this works for professors in economics. The total number of refereed journal articles published per faculty member over the course of a career was 18.4 at research universities; 8.1 at comprehensive universities; 4.9 at liberal arts colleges; and 3.1 at all others. The decline in productivity is also sharply defined within the category of research universities. Another study looked at the top 94 institutions ranked by per-capita publications per year between 1991 and 1993. At the number-one university, average production was 12.7 per person per year; at number 20, it dropped off sharply to 4.6; at number 60, it was 2.4; and at number 94, it was 0.5.

Only 20 per cent of faculty serve at the most research-intensive universities (the top tier) where scholarly productivity is the highest. As we can see, the lowest end of this top sliver of US universities has faculty who are publishing less than one article every five years. The other 80 per cent are presumably publishing even more rarely than this, if indeed they are publishing at all. As a result, it seems that the incentive system for spurring faculty research productivity operates primarily at the very top levels of the institutional hierarchy. So why am I making such a big deal about US professors as self-motivated scholars?

The most illuminating way to understand the faculty incentive to publish is to look at the system from the point of view of the newly graduating PhD who is seeking to find a faculty position. These prospective scholars face some daunting mathematics. As we have seen, the 115 high-research universities produce the majority of research doctorates, but 80 per cent of the jobs are at lower-level institutions. The most likely jobs are not at research universities but at comprehensive universities and four-year institutions. So most doctoral graduates entering the professoriate experience dramatic downward mobility.

It’s actually even worse than that. One study of sociology graduates shows that departments ranked in the top five select the majority of their faculty from top-five departments, but most top-five graduates ended up in institutions below the rank of 20. And a lot of prospective faculty never find a position at all. A 1999 study showed that, among recent grads who sought to become professors, only two-thirds had such a position after 10 years, and only half of these had earned tenure. And many of those who do find teaching positions are working part-time, a category that in 2005 accounted for 48 per cent of all college faculty.

The prospect of a dramatic drop in academic status and the possibility of failing to find any academic job do a lot to concentrate the mind of the recent doctoral graduate. Fear of falling compounded by fear of total failure works wonders in motivating novice scholars to become flywheels of productivity. From their experience in grad school, they know that life at the highest level of the system is very good for faculty, but the good times fade fast as you move to lower levels. At every step down the academic ladder, the pay is less, the teaching loads are higher, graduate students are fewer, research support is less, and student skills are lower.

In a faculty system where academic status matters more than material benefits, the strongest signal of the status you have as a professor is the institution where you work. Your academic identity is strongly tied to your letterhead. And in light of the kind of institution where most new professors find themselves, they start hearing a loud, clear voice saying: ‘I deserve better.’

So the mandate is clear. As a grad student, you need to write your way to an academic job. And when you get a job at an institution far down the hierarchy, you need to write your way to a better job. You experience a powerful incentive to claw your way back up the academic ladder to an institution as close as possible to the one that recently graduated you. The incentive to publish is baked in from the very beginning.

One result of this Darwinian struggle to regain one’s rightful place at the top of the hierarchy is that a large number of faculty fall by the wayside without attaining their goal. Dashed dreams are the norm for large numbers of actors. This can leave a lot of bitter people occupying the middle and lower tiers of the system, and it can saddle students with professors who would really rather be somewhere else. That’s a high cost for the process that supports the productivity of scholars at the system’s pinnacle.

 

Another potential problem with my argument about the self-generating incentive for professors to publish is that the work produced by scholars is often distinguished more by its quantity rather than its quality. Put another way, a lot of the work that appears in print doesn’t seem worth the effort required to read it, much less to produce it. Under these circumstances, the value of the incentive structure seems lacking.

Consider some of the ways in which contemporary academic production promotes quantity over quality. One familiar technique is known as ‘salami slicing’. The idea here is simple. Take one study and divide it up into pieces that can each be published separately, so it leads to multiple entries in your CV. The result is an accumulation of trivial bits of a study instead of a solid contribution to the literature.

Another approach is to inflate co-authorship. Multiple authors make sense in some ways. Large projects often involve a large number of scholars and, in the sciences in particular, a long list of authors is de rigueur. Fine, as long as everyone in the list made a significant contribution to research. But often co-authorship comes for reasons of power rather than scholarly contribution. It has become normal for anyone who compiled a dataset to demand co-authorship for any papers that draw on the data, even if the data-owner added nothing to the analysis in the paper. Likewise, the principal investigator of a project might insist on being included in the author list for any publications that come from this project. More lines on the CV.

Yet another way to increase the number of publications is to increase the number of journals. By one count, as of 2014 there were 28,100 scholarly peer-reviewed journals. Consider the mathematics. There are about 1 million faculty members at US colleges and universities at the BA level and higher, so that means there are about 36 prospective authors for each of these journals. A lot of these enterprises act as club journals. The members of a particular sub-area of a sub-field set up a journal where members of the club engage in a practice that political scientists call log-rolling. I review your paper and you review mine, so everyone gets published. Edited volumes work much the same way. I publish your paper in my book, and you publish mine in yours.

A lot of journal articles are also written in a highly formulaic fashion, which makes it easy to produce lots of papers without breaking an intellectual sweat. The standard model for this kind of writing is known as IMRaD. This mnemonic represents the four canonical sections for every paper: introduction (what’s it about and what’s the literature behind it?); methods (how did I do it?); research (what are my findings?); and discussion (what does it mean?). All you have to do as a writer is to write the same paper over and over, introducing bits of new content into the tried and true formula.

The result of all this is that the number of scholarly publications is enormous and growing daily. One estimate shows that, since the first science papers were published in the 1600s, the total number of papers in science alone passed the 50 million mark in 2009; 2.5 million new science papers are published each year. How many of them do you think are worth reading? How many make a substantive contribution to the field?

 

OK, so I agree. A lot of scholarly publications – maybe most such publications – are less than stellar. Does this matter? In one sense, yes. It’s sad to see academic scholarship fall into a state where the accumulation of lines on a CV matters more than producing quality work. And think of all the time wasted reviewing papers that should never have been written, and think of how this clutters and trivialises the literature with contributions that don’t contribute.

But – hesitantly – I suggest that the incentive system for faculty publication still provides net benefits for both academy and society. I base this hope on my own analysis of the nature of the US academic system itself. Keep in mind that US higher education is a system without a plan. No one designed it and no one oversees its operation. It’s an emergent structure that arose in the 19th century under unique conditions in the US – when the market was strong, the state was weak, and the church was divided.

Under these circumstances, colleges emerged as private not-for-profit enterprises that had a state charter but little or no state funding. And, for the most part, they arose for reasons that had less to do with higher learning than with the extrinsic benefits a college could bring. As a result, the system grew from the bottom up. By the time state governments started putting up their own institutions, and the federal government started funding land-grant colleges, this market-based system was already firmly in place. Colleges were relatively autonomous enterprises that had found a way to survive without steady support from either church or state. They had to attract and retain students in order to bring in tuition dollars, and they had to make themselves useful both to these students and to elites in the local community, both of whom would then make donations to continue the colleges in operation. This autonomy was an accident, not a plan, but by the 20th century it became a major source of strength. It promoted a system that was entrepreneurial and adaptive, able to take advantage of possibilities in the environment. More responsive to consumers and community than to the state, institutions managed to mitigate the kind of top-down governance that might have stifled the system’s creativity.

The point is this: compared with planned organisational structures, emergent structures are inefficient at producing socially useful results. They’re messy by nature, and they pursue their own interests rather than following directions from above according to a plan. But as we have seen with market-based economies compared with state-planned economies, the messy approach can be quite beneficial. Entrepreneurs in the economy pursue their own profit rather than trying to serve the public good, but the side-effect of their activities is often to provide such benefits inadvertently, by increasing productivity and improving the general standard of living. A similar argument can be made about the market-based system of US higher education. Maybe it’s worth tolerating the gross inefficiency of a university system that is charging off in all directions, with each institution trying to advance itself in competition with the others. The result is a system that is the envy of the world, a world where higher education is normally framed as a pure state function under the direct control of the state education ministry.

This analysis applies as well to the professoriate. The incentive structure for US faculty encourages individual professors to be entrepreneurial in pursuing their academic careers. They need to publish in order to win honours for themselves and to avoid dishonour. As a result, they end up publishing a lot of work that is more useful to their own advancement (lines on a CV) than to the larger society. Also, following from the analysis of the first problem I introduced, an additional cost of this system is the large number of faculty who fall by the wayside in the effort to write their way into a better job. The success of the system of scholarly production at the top is based on the failed dreams of most of the participants.

But maybe it’s worth tolerating a high level of dross in the effort to produce scholarly gold – even if this is at the expense of many of the scholars themselves. Planned research production, operating according to mandates and incentives descending from above, is no more effective at producing the best scholarship than are five-year plans in producing the best economic results. At its best, the university is a place that gives maximum freedom for faculty to pursue their interests and passions in the justified hope that they will frequently come up with something interesting and possibly useful, even if this value is not immediately apparent. They’re institutions that provide answers to problems that haven’t yet developed, storing up both the dross and the gold until such time as we can determine which is which.

 

Posted in Education policy, History of education, School organization, School reform

Michael Katz — Alternative Forms of School Governance

This post is my reflection on a classic piece by my former advisor, Michael Katz.  It’s a chapter in Class, Bureaucracy, and Schools called “Alternative Proposals for American Education: The Nineteenth Century.”  Here’s a link to a PDF of the chapter.

Katz CBS

The core argument is this.  In American politics of education in the 19th century, there were four competing models of how schools could be organized and governed.  Katz calls them paternalistic voluntarism, democratic localism, corporate voluntarism, and incipient bureaucracy.  By the end of the century, the bureaucratic model won out and ever since it has constituted the way public school systems operate.  But at the time, this outcome was by no means obvious to the participants in the debate.

At one level, this analysis provides an important lesson in the role of contingency in the process of institutional development.  Historical outcomes are never predetermined.  Instead they’re the result of complex social interactions in which contingency plays a major role.  That is, a particular outcome depends on the interplay of multiple contingent factors.

At another level, his analysis unpacks the particular social values and educational visions that are embedded within each of these organizational forms for schooling.

In addition, the models Katz shows here never really went away.  Bureaucracy became the norm for school organization, but the other forms persisted, in public school systems, in other forms of modern schooling, and in educational policies.

This is a piece I often used in class, and I’m drawing on class slides in the discussion that follows.

First, consider the characteristics of each model:

  • Paternalistic voluntarism
    • Pauper school associations as the model (which preceded public schools)
    • This is a top-down organization: we educate you
    • Elite amateurs ran the organization
  • Democratic localism
    • The small- town district school as the model
    • Purely public in control and funding, governed by an elected board of lay people: we educate ourselves
    • Anti-professional, anti-intellectual, reflecting local values
  • Corporate voluntarism
    • Private colleges and academies as the model
    • Independent, local, adaptable; on the border between public and private
    • Funded by student tuition and donations
    • Flexible, anti-democratic
    • Owned and operated by an elite board of directors
  • Incipient bureaucracy
    • An interesting composite of the others
    • As with PV, it’s a top down model with elite administration
    • As with CV, it provides some autonomy from democratic control
    • But as with DL, it answers to an elected board, which exerts formal control

Questions to consider:

    • How have paternalistic voluntarism, corporate voluntarism, and democratic localism persisted in modern schooling?
    • What difference does this make in how we think about schools?

Consider how all of these forms have persisted in the present day:

  • Paternalistic voluntarism
    • Means tests for educational benefits (Chapter I)
    • School reformer’s emphasis on the education of Other People’s Children (e.g., no excuses charter schools)
    • Teach For America
  • Corporate voluntarism
    • Private colleges and private schools continue this model
  • Democratic localism
    • Decentralized control of schools at the district level — 15,000 schools districts that hire teachers, build schools, and operate the system
    • Elected local school boards
  • Incipient bureaucracy
    • Still the most visible element of the current structure of schooling

Katz sees democratic localism as the good guy, bureaucracy as the bad guy

  • Is this true?  Consider the downsides of democratic localism
    • Parochialism, racism, restricted opportunity, weak academics
    • Desegregation of schools relied on federal power to override the preferences of local school boards
  • Katz is critical of ed bureaucracy from the left, a reflection of when he published the book (1971)
  • But the right has more recently developed a critique of ed bureaucracy, which is behind the choice movement: free schools from the government school monopoly;

Question: What is your take on the role that the educational bureaucracy plays in schooling?

My own take is this:

  • Bureaucracy is how we promote fairness in education
    • Setting universal procedures for everyone
  • Bureaucracy is how we promote democratic control over a complex educational institution
    • Setting a common set of standards transmitted by the elected board
  • Bureaucracy is how we protect schools from pure market pressures (see Philip Cusick’s book, The Educational System)
    • As consumers try to manipulate the system for private ends
    • It’s how we protect teachers from the unreasonable demands of parents
  • Thus bureaucracy serves as a bastardized bastion of the public good
  • Consider the modern school system – elected board and bureaucratic administration – as an expression of liberal democracy, with the democratic and liberal elements constraining each other
    • B expresses democratic will and enforces it, restricting individual choice
    • B provides due process for adjudicating individual choice, protecting it from tyranny of majority

Next week I will be publishing a new piece of my own, which picks up this last part of the analysis.  It’s called, “Two Cheers for School Bureaucracy.”  Stay tuned.

Posted in History of education, Meritocracy, Sociology, Systems of Schooling, Teaching

Pluck vs. Luck

This post is a piece I recently published in AeonHere’s the link to the original.  I wrote this after years of futile efforts to get Stanford students to think critically about how they got to their current location at the top of the meritocracy.  It was nearly impossible to get students to consider that their path to Palo Alto might have been the result of anything but smarts and hard work.  Luck of birth never seemed to be a major factor in the stories they told about how they got here.  I can understand this, since I’ve spent a lifetime patting myself on the back for my own academic accomplishments, feeling sorry for the poor bastards who didn’t have what it took to climb the academic ladder.

But in recent years, I have come to spend a lot of time thinking critically about the nature of the American meritocracy.  I’ve published a few pieces here on the subject, in which I explore the way in which this process of allocating status through academic achievement constitutes a nearly perfect system for reproducing social inequality — protected by a solid cover of legitimacy.  The story it tells to everyone in society, winners and losers alike, is that you got what you deserved.

So I started telling students my own story about how I got to Stanford — in two contrasting versions.  One is a traditional account of climbing the ladder through skill and grit, a story of merit rewarded.  The other is a more realistic account of getting ahead by leveraging family advantage, a story of having the right parents.

See what you think.

Pluck vs. Luck

David F. Labaree

Occupants of the American meritocracy are accustomed to telling stirring stories about their lives. The standard one is a comforting tale about grit in the face of adversity – overcoming obstacles, honing skills, working hard – which then inevitably affords entry to the Promised Land. Once you have established yourself in the upper reaches of the occupational pyramid, this story of virtue rewarded rolls easily off the tongue. It makes you feel good (I got what I deserved) and it reassures others (the system really works).

But you can also tell a different story, which is more about luck than pluck, and whose driving forces are less your own skill and motivation, and more the happy circumstances you emerged from and the accommodating structure you traversed.

As an example, here I’ll tell my own story about my career negotiating the hierarchy in the highly stratified system of higher education in the United States. I ended up in a cushy job as a professor at Stanford University. How did I get there? I tell the story both ways: one about pluck, the other about luck. One has the advantage of making me more comfortable. The other has the advantage of being more true.

I was born to a middle-class family and grew up in Philadelphia in the 1950s. As a skinny, shy kid who wasn’t good at sports, my early life revolved about being a good student. In upper elementary school, I became president of the student council and captain of the safety patrol (an office that conferred a cool red badge that I wore with pride). In high school, I continued to be the model student, eventually getting elected president of the student council (see a pattern here?) and graduating in 1965 near the top of my class. I was accepted at Harvard University with enough advanced-placement credits to skip freshman year (which, fortunately, I didn’t). There I majored in antiwar politics. Those were the days when an activist organisation such as Students for a Democratic Society was a big factor on campuses. I went to two of their annual conventions and wrote inflammatory screeds about Harvard’s elitism (who knew).

In 1970, I graduated with a degree in sociology and no job prospects. What do you do with a sociology degree, anyway? It didn’t help that the job market was in the doldrums. I eventually ended up back in Philadelphia with a job at the Federal Reserve Bank – first in public relations (leading school groups on tours) and then in bank relations (visiting banks around the Third Federal Reserve District). From student radical with a penchant for Marxist sociology, I suddenly became a banker wearing a suit every day and reading The Wall Street Journal. It got me out of the house and into my own apartment but it was not for me. Labarees don’t do finance.

After four years, I quit in disgust, briefly became a reporter at a suburban newspaper, hated that too, and then stumbled by accident into academic work. Looking for any old kind of work in the want ads in my old paper, I spotted an opening at Bucks County Community College, where I applied for three different positions – admissions officer, writing instructor, and sociology instructor. I got hired in the latter role, and the rest is history. I liked the work but realised that I needed a master’s degree to get a full-time job, so I entered the University of Pennsylvania sociology department. Once in the programme, I decided to continue on to get a PhD, supporting myself by teaching at the community college, Trenton State, and at Penn.

In 1981, as I was nearing the end of my dissertation, I started applying for faculty positions. Little did I know that the job market was lousy and that I would be continually applying for positions for the next four years.

As someone who started at the bottom, I can tell you that everything is better at the top

The first year yielded one job offer, at a place so depressing that I decided to stay in Philadelphia and continue teaching as an adjunct. That spring I got a one-year position in sociology at Georgetown University in Washington, DC. In the fall, with the clock ticking, I applied to 60 jobs around the country. This time, my search yielded four interviews, all tenure-track positions – at Yale University, at Georgetown, at the University of Cincinnati and at Widener University.

The only offer I got was the one I didn’t want, Widener – a small, non-selective private school in the Philadelphia suburbs that until the 1960s had been a military college. Three years past degree, I felt I had hit bottom in the meritocracy. The moment I got there, I started applying for jobs while desperately trying to write my way into a better one. I published a couple of journal articles and submitted a book proposal to Yale University Press. They hadn’t hired me but maybe they’d publish me.

Finally, a lifeline came my way. A colleague at the College of Education at Michigan State University encouraged me to apply for a position in history of education and I got the job. In the fall of 1985, I started as an assistant professor in the Department of Teacher Education at MSU. Fifteen years after college and four years after starting to look for faculty positions, my career in higher education finally took a big jump upward.

MSU was a wonderful place to work and to advance an academic career. I taught there for 18 years, moving through the ranks to full professor, and publishing three books and 20 articles and book chapters. Early on, I won two national awards for my first book and a university teaching award, and was later elected president of the History of Education Society and vice-president of the American Educational Research Association.

Then in 2002 came an opportunity to apply for a position in education at one of the world’s great universities, Stanford. It worked out, and I started there as a professor in 2003 in the School of Education, and stayed until retirement in 2018. I served in several administrative roles including associate dean, and was given an endowed chair. How cool.

As someone who started at the bottom of the hierarchy of US higher education, I can tell you that everything is better at the top. Everything: pay, teaching loads, intellectual culture, quality of faculty and students, physical surroundings, staff support, travel funds, perks. Even the weather is better. Making it in the meritocracy is as good as it gets. No matter how hard things go at first, talent will win out. Virtue earns its reward. Life is fair.

Of course, there’s also another story, one that’s less heartening but more realistic. A story that’s more about luck than pluck, and that features structural circumstances more than heroic personal struggle. So let me now tell that version.

Professor Robert M Labaree of Lincoln University in southeast Pennsylvania, the author’s grandfather. Photo courtesy of the author

The short story is that I’m in the family business. In the 1920s, my parents grew up as next-door neighbours on a university campus where their fathers were both professors. It was Lincoln University, a historically black institution in southeast Pennsylvania near the Mason-Dixon line. The students were black, the faculty white – most of the latter, like my grandfathers, were clergymen. The students were well-off financially, coming from the black bourgeoisie, whereas the highly educated faculty lived in the genteel poverty of university housing. It was a kind of cultural missionary setting, but more comfortable than the foreign missions. One grandfather had served as a missionary in Iran, where my father was born; that was hardship duty. But here was a place where upper-middle-class whites could do good and do well at the same time.

Both grandfathers were Presbyterian ministers, each descended from long lines of Presbyterian ministers. The Presbyterian clergy developed a well-earned reputation over the years of having modest middle-class economic capital and large stores of social and cultural capital. Relatively poor in money, they were rich in social authority and higher learning. In this tradition, education is everything. In part because of that, some ended up in US higher education, where in the 19th century most of the faculty were clergy (because they were well-educated men and worked for peanuts). My grandfather’s grandfather, Benjamin Labaree, was president of Middlebury College in the 1840s and ’50s. Two of my father’s cousins were professors; my brother is a professor. It’s the family business.

Rev Benjamin Labaree, who was president of Middlebury College, 1840-1866, and the author’s great-great-grandfather. Photo courtesy of the author

Like many retirees, I recently started to dabble in genealogy. Using Ancestry.com, I’ve traced back 10 or 12 generations on both sides of the family, some back to the 1400s, finding ancestors in the US, Scotland, England and France. They are all relentlessly upper-middle-class – mostly ministers, but also some physicians and other professionals. Not a peasant in the bunch, and no one in business. I’m to the manor born (well, really the manse). The most distant Labaree I’ve found is Jacques Laborie, born in 1668 in the village of Cardaillac in France. He served as a surgeon in the army of Louis XIV and then became ordained as a Calvinist minister in Zurich before Louis in 1685 expelled the reformed Protestants (Huguenots) from France. He moved to England, where he married another Huguenot, and then immigrated to Connecticut. Among his descendants were at least four generations of Presbyterian ministers, including two college professors. This is a good start for someone like me, seeking to climb the hierarchy of higher education – like being born on third base. But how did it work out in practice for my career?

I was the model Harvard student – a white, upper-middle-class male from an elite school

My parents both attended elite colleges, Princeton University and Wilson College (on ministerial scholarships), and they invested heavily in their children’s education. They sent us to a private high school and private colleges. It was a sacrifice to do this, but they thought it was worth it. Compared with our next-door neighbours, we lived modestly – driving an old station wagon instead of a new Cadillac – but we took pride in our cultural superiority. Labarees didn’t work in trade. Having blown their money on schooling and lived too long, my parents died broke. They were neither the first nor the last victims of the meritocracy, who gave their all so that their children could succeed.

This background gave me a huge edge in cultural and social capital. In my high school’s small and high-quality classrooms, I got a great education and learned how to write. The school traditionally sent its top five students every year to Princeton but I decided on Harvard instead. At the time, I was the model Harvard student – a white, upper-middle-class male from an elite school. No females and almost no minorities.

At Harvard, I distinguished myself in political activity rather than scholarship. I avoided seminars and honours programmes, where it was harder to hide and standards were higher. After the first year, I almost never attended discussion sections, and skipped the majority of the lectures as well, muddling through by doing the reading, and writing a good-enough paper or exam. I phoned it in. When I graduated, I had an underwhelming manuscript, with a 2.5 grade-point average (B-/C+). Not exactly an ideal candidate for graduate study, one would think.

And then there was that job at the bank, which got me out of the house and kept me fed and clothed until I finally recognised my family calling by going to grad school. After beating the bushes looking for work up and down the west coast, how did I get this job? Turned out that my father used to play in a string quartet with a guy who later became the vice-president for personnel at the Federal Reserve Bank. My father called, the friend said come down for an interview. I did and I got the job.

When I finally decided to pursue grad school, I took the Graduate Record Examinations and scored high. Great. The trouble is that an applicant with high scores and low grades is problematic, since this combination suggests high ability and bad attitude. But somehow I got into an elite graduate programme (though Princeton turned me down). Why? Because I went to Harvard, so who cares about the grades? It’s a brand that opens doors. Take my application to teach at the community college. Why hire someone with no graduate degree and a mediocre undergraduate transcript to teach college students? It turns out that the department chair who hired me also went to Harvard. Members of the club take care of each other.

If you have the right academic credentials, you get the benefit of the doubt. The meritocracy is quite forgiving toward its own. You get plenty of second and third chances where others would not. Picture if I had applied to Penn with the same grades and scores but with a degree from West Chester (state) University instead of Harvard. Would I really have had a chance? You can blow off your studies without consequence if you do it at the right school. Would I have been hired to teach at the community college with an off-brand BA? I think not.

And let’s reconsider my experience at Widener. For me – an upper-middle-class professor with two Ivy League degrees and generations of cultural capital – these students were a world apart. Of course, so were the community-college students I taught earlier, but they were taking courses on weekends while holding a job. That felt more like teaching night school than teaching college. At Widener, however, they were full-time students at a place that called itself a university, but to me this wasn’t a real university where I could be a real professor. Looking around the campus with the eye of a born-and-bred snob, I decided quickly that these were not my people. Most were the first in their families to be going to college and did not have the benefit of a strong high-school education.

In order to make it in academe, you need friends in high places. I had them

A student complained to me one day after she got back her exam that she’d received a worse grade than her friend who didn’t study nearly as hard. That’s not fair, she said. I shrugged it off at the time. Her answer to the essay exam question was simply not as good. But looking back, I realised that I was grading my students on skills I wasn’t teaching them. I assigned multiple readings and then gave take-home exams, which required students to weave together a synthesis of these readings in an essay that responded to a broad analytical question. That’s the kind of exam I was used to, but it required a set of analytical and writing skills that I assumed rather than provided. You can do well on a multiple-choice exam if you study the appropriate textbook chapters; the more time you invest, the higher the grade. That might not be a great way to learn, but it’s a system that rewards effort. My exams, however, rewarded discursive fluency and verbal glibness over diligent study. Instead of trying to figure out how to give these students the cultural capital they needed, I chose to move on to a place where students already had these skills. Much more comfortable.

Oh yes, and what about that first book, the one that won awards, gained me tenure, and launched my career? Well, my advisor at Penn, Michael Katz, had published a book with an editor at Praeger, Gladys Topkis, who then ended up at Yale University Press. With his endorsement, I sent her a proposal for a book based on my dissertation. She gave me a contract. When I submitted the manuscript, a reviewer recommended against publication, but she convinced the editorial board to approve it anyway. Without my advisor, no editor. And without the editor, no book, no awards, no tenure, and no career. It’s as simple as that. In order to make it in academe, you need friends in high places. I had them.

All of this, plus two more books at Yale, helped me make the move up to Stanford. Never would have happened otherwise. By then, on paper I began to look like a golden boy, checking all the right boxes for an elite institution. And when I announced that I was making the move to Stanford in the spring of 2003, before I even assumed the role, things started changing in my life. Suddenly, it seemed, I got a lot smarter. People wanted me to come give a lecture, join an editorial board, contribute to a book, chair a committee. An old friend, a professor in Sweden, invited me to become a visiting professor in his university. Slightly embarrassed, he admitted that this was because of my new label as a Stanford professor. Swedes know only a few universities in the US, he said, and Stanford is one of them. Like others who find a spot near the top of the meritocracy, I was quite willing to accept this honour, without worrying too much about whether it was justified. Like the pay and perks, it just seemed exactly what I deserved. Special people get special benefits; it only makes sense.

And speaking of special benefits, it certainly didn’t hurt that I am a white male – a category that dominates the professoriate, especially at the upper levels. Among full-time faculty members in US degree-granting institutions, 72 per cent of assistant professors and 81 per cent of full professors are white; meanwhile, 47 per cent of assistants and 66 per cent of professors are male. At the elite level, the numbers are even more skewed. At Stanford, whites make up 54 per cent of tenure-line assistant professors but 82 per cent of professors; under-represented minorities account for only 8 per cent of assistants and 5 per cent of professors. Meanwhile, males constitute 60 per cent of assistants and 78 per cent of professors. In US higher education, white males still rule.

Oh, and what about my endowed chair? Well, it turns out that when the holder of the chair retires, the honour moves on to someone else. I inherited the title in 2017 and held it for a year and a half before I retired and it passed on to the next person. What came with the title? Nothing substantial, no additional salary or research funds. Except I did get one material benefit from this experience, which I was allowed to keep when I gave up the title. It’s an uncomfortable, black, wooden armchair bearing the school seal. Mine came with a brass plaque on the back proclaiming: ‘Professor David Labaree, The Lee L Jacks Professor in Education’.

Now, as I fade into retirement, still enjoying the glow from my emeritus status at a brand-name university, it all feels right. I’ve got money to live on, a great support community, and status galore. I get to display my badges of merit for all to see – the Stanford logo on my jacket, and the Jacks emeritus title in my email signature. What’s not to like? The question about whether I deserve it or not fades into the background, crowded out by all the benefits. Enjoy. The sun’s always shining at the summit of the meritocracy.

Is there a moral to be drawn from these two stories of life in the meritocracy? The most obvious one is that this life is not fair. The fix is in. Children of parents who have already succeeded in the meritocracy have a big advantage over other children whose parents have not. They know how the game is played, and they have the cultural capital, the connections and the money to increase their children’s chances for success in this game. They know that the key is doing well at school, since it’s the acquisition of degrees that determines what jobs you get and the life you live. They also know that it’s not just a matter of being a good student but of attending the right school – one that fosters academic achievement and, even more important, occupies an elevated position in the status hierarchy of educational institutions. Brand names open doors. This allows highly educated, upper-middle-class families to game the meritocratic system and to hoard a disproportionate share of the advantages it offers.

In fact, the only thing that’s less fair than the meritocracy is the system it displaced, in which people’s futures were determined strictly by the lottery of birth. Lords begat lords, and peasants begat peasants. In contrast, the meritocracy is sufficiently open that some children of the lower classes can prove themselves in school and win a place higher up the scale. The probability of doing so is markedly lower than the chances of success enjoyed by the offspring of the credentialed elite, but the possibility of upward mobility is nonetheless real. And this possibility is part of what motivates privileged parents to work so frantically to pull every string and milk every opportunity for their children. Through the jousting grounds of schooling, smart poor kids can, at times, displace dumb rich kids. The result is a system of status attainment that provides advantages for some while at the same time spreading fear for their children’s future across families of all social classes. In the end, the only thing that the meritocracy equalises is anxiety.

Posted in Education policy, History of education, School reform, Social Programs

What Schools Can’t Do: Understanding the Chronic Failure of American School Reform

This post is the text of a lecture I gave in 2009 at the University of Berne.  It was originally published in the Swiss journal Zeitschrift für Pädagogische Historiographie and then found its way into my 2010 book, Someone Has to Fail.  Here is the link to the first published version.

It’s about a longstanding problem in American educational policy:  We ask schools to pursue goals that are beyond their capabilities.  Schools are simply not very good at a lot of things we ask them to do.  They can’t promote equality, they can’t end poverty, they can’t create good jobs, they can’t drive economic growth, they can’t promote public health.  Yet we expect them to do all this heavy lifting for us.

Part of the story is about why schools aren’t good at these things.  Another is why we keep giving them such assignments anyway.  The answer to the second, I suggest, is that we pass off on schools social problems that we are unwilling to accomplish through the political process, where the capability for success actually resides.  Instead of addressing these problems directly through political action, we foist them off on schools and then blame them for continually falling short of the desired goal.  Herein lies the reason why school reform has been such steady work.  Read and weep.

.

What Schools Can’t Do:

Understanding the Chronic Failure of American School Reform

Americans have a long history of pinning their hopes on education as the way to realize compelling social ideals and solve challenging social problems.  We want schools to promote civic virtue, economic productivity, and social mobility; to alleviate inequalities in race, class, and gender; to improve health, reduce crime, and protect the environment.  So we assign these social missions to schools, and educators gamely accept responsibility for carrying them out.  When the school system inevitably falls far short of these goals, we initiate a wave of school reform to realign the institution with its social goals and ramp up its effectiveness in attaining them.  The result, as one pair of scholars has put it, is that educational reform in the U.S. is “steady work.”  In this lecture, I want to tell a story:  What history tells us about what schools cannot do.

At its heart, this is a story grounded in paradox.  On the one hand, American schooling has been an extraordinary success.  It started as a small and peripheral enterprise in the 18th century and grew into a massive institution at the center of American society in the 21st, where it draws the lion’s share of the state budget and a quarter of the lives of citizens.  Central to its institutional success has been its ability to embrace and embody the social goals that have been imposed upon it.  Yet, in spite of continually recurring waves of school reform, education in the U.S. has been remarkably unsuccessful at implementing these goals in the classroom practices of education and at realizing these goals in the social outcomes of education.

America, I suggest, suffers from a school syndrome.  We have set our school system up for failure by asking it to fix all of our most pressing social problems, which we are unwilling to address more directly through political action rather than educational gesture.  Then we blame the system when it fails.  Both as a society and as individuals, we vest our greatest hopes in an institution that is manifestly unsuited to realizing them.  In part the system’s failure is the result of a tension between our shifting social aims for education and the system’s own organizational momentum.  We created the system to solve a critical social problem in the early days of the American republic, and its success in dealing with this problem fooled us into thinking that we could redirect the system toward new problems as time passed.  But the school system has a mind of its own, and trying to change its direction is like trying to do a U-turn with a battleship.

Today I will explore the failure of school reform to realize the central social goals that have driven it over the years.  And at the end I explore the roots of schooling’s failure in its role as an agent of social reform.

The social missions of schooling in liberal democracies arise from the tensions that are inherent in such societies.  One of these tensions is between the demands of democratic politics and the demands of capitalist markets.  A related issue is the requirement that society be able to meet its collective needs while simultaneously guaranteeing the liberty of individuals to pursue their own interests.  In the American setting, these tensions have played out through the politics of education in the form of a struggle among three major social goals for the educational system.  One goal is democratic equality, which sees education as a mechanism for producing capable citizens.  Another is social efficiency, which sees education as a mechanism for developing productive workers.  A third is social mobility, which sees education as a mechanism for individuals to reinforce or enhance their social position.

Democratic equality represents the political side of our liberal democratic values, focusing on the role of education in building a nation, forming a republican community, and providing citizens with the wide range of capabilities required to take part in democratic decision-making.  The other two goals represent the market side of liberal democracy.  Social efficiency captures the perspective of employers and taxpayers, who are concerned about the role of education in producing the job skills (human capital) that are required by the modern economy and that are seen as essential for economic growth and social prosperity.  From this angle the issue is for education to provide for the full range of productive skills and forms of knowledge required in the complex job structure of modern capitalism.  Social mobility captures the perspective of educational consumers and prospective employees, who are concerned about the role of educational credentials in signaling to the market which individuals should get the jobs with the most power, money, and prestige.

The collectivist side of liberal democracy is expressed by a combination of democratic equality and social efficiency.  Both aim at having education provide broad social benefits, with both conceiving of education as a public good.  Investing in the political capital of the citizenry and the human capital of the workforce benefits everyone in society, including those families who do not have children in school.  In contrast, the social mobility goal represents the individualist side of liberal democracy.  From this perspective, education is a private good, which benefits only the student who receives educational services and owns the resulting diplomas.  Its primary function is to provide educational consumers with privileged access to higher level jobs in the competition with other prospective employees.

So let me look at how well – or rather, how poorly – American schools have done at accomplishing these three social missions.

Democratic Equality

School systems around the world have been more effective at accomplishing their political mission than either their efficiency or mobility missions.  At the formative stage in the construction of a nation state, virtually anywhere in the world, education seems to have an important role to play.  The key contribution in this regard is that schooling helps form a national citizenry out of a collection of local identities.  One country after another developed a system of universal education at the point when it was trying to transform itself into a modern state, populated by citizens rather than subjects, with a common culture and a shared national identity.  For the U.S. in the early 19th century, the key problem during this transitional period was how to establish a modern social order based on exchange relations and democratic authority out of the remnants of a traditional social order based on patriarchal relations and feudal authority.  A system of public education helps to make this transition possible primarily by bringing a disparate group of youths in the community together under one roof and exposing them to a common curriculum and a common set of social experiences.  The result was to instill in students social norms that allowed them to emerge as self-regulating actors in the free market while still remaining good citizens and good Christians.  Creating such cultural communities is one of the few things that schools can consistently do well.

So the evidence shows that at the formative stage, school systems in the U.S. and elsewhere have been remarkably effective in promoting citizenship and forming a new social order.  This is quite an accomplishment, which more than justifies the huge investment in constructing these systems.  And building on this capacity for forming community, schools have continued to play an important role as the agent for incorporating newcomers.  This has been particularly important in an immigrant society like the United States, where – from the Irish and Germans in the mid-19th century to the Mexicans and South Asians in the early 21st century – schools have been the central mechanism for integrating foreigners into the American experience.

But the ability of schooling to promote democratic equality in the U.S. has had little to do with learning, it has faded over time, and it has been increasingly undermined by counter tendencies toward inequality.  First, note that when schools have been effective at community building, this had little to with the content of the curriculum or the nature of classroom teaching.  What was important was that schools provided a common experience for all students.  What they actually learned in school was irrelevant as long as they all were exposed to the same material.  It could have been anything.  It was the form of schooling more than its content that helped establish and preserve the American republic.

Second, the importance of schooling in forming community has declined over time.  The common school system was critically important in the formative days of the American republic; but once the country’s continued existence was no longer in doubt, the role of the system grew less critical.  As a result, the more recent ways in which schools have come to promote citizenship have been more formalistic than substantive.  This is now embedded in classes on American history, speeches at school assemblies, pilgrim pageants around Thanksgiving, presidential portraits on classroom walls, and playing the national anthem before football games.  What had been the system’s foremost rationale for existence has now retreated into the background of a system more concerned with other issues.

Third, and most important, however, the role of schools in promoting democratic equality has declined because schools have simultaneously been aggressively promoting social inequality.  One of the recurring themes of my book is that every move by American schools in the direction of equality has been countered by a strong move in the opposite direction.  When we created a common school system in the early 19th century, we also created a high school system to distinguish middle class students from the rest.  When we expanded access to the high school at the start of the 20th century, we also created a system for tracking students within the school and opened the gates for middle class enrollment in college.  When we expanded access to college in the mid-20th century, we funneled new students into the lower tiers of the system and encouraged middle class students to pursue graduate study.  The American school system is at least as much about social difference as about social equality.  In fact, as the system has developed, the idea of equality has become more formalistic, focused primarily on the notion of broad access to education at a certain level, while the idea of inequality has become more substantive, embodied in starkly different educational and social trajectories.

Social Efficiency

In the current politics of education, the goal of social efficiency plays a prominent role.  One of the central beliefs of contemporary economics, international development, and educational policy is that education is the key to economic development as a valuable investment in human capital.  Today it is hard to find a political speech, reform document, or opinion piece about education that does not include a paean to the critical role that education plays in developing human capital and spurring economic growth – and the need to reform schools in order to fix what’s wrong with the economy.

Economists Claudia Goldin and Lawrence Katz have made a strong argument for the human capital vision of education in their recent book, The Race Between Education and Technology.  They argue that the extraordinary expansion of the American economy in the 20th century was to a large degree the result of an equally extraordinary expansion in educational enrollments during this period.  It is no coincidence, they say, that what turned out to be the American Century economically was also the Human Capital Century for the U.S.

The numbers are indeed staggering.  In the United States education levels rose dramatically for most of the 20th century.  For those born between 1876 and 1951, the average number of years of schooling rose a total of 6 years, which is an increase of 0.8 years per decade.  This means that the average education level of the entire U.S. population rose from less than 8 years of grade school to two years of college in only 75 years.  The authors estimate that the growth in education in the U.S. accounted for between 12 and 17 percent of the growth in economic productivity across the 20th century, with the average educational contribution at 13.5 percent.  Put another way, they argue that increased education alone accounted for economic growth of about one-third of one percent per year from 1915-2005.

One problem with this claim, however, is that the size of the human capital effect they show is relatively small.  On average they estimate that the growth in educational attainment accounted for less that 14 percent of the growth in economic productivity over the course of the 20th century.  That’s not negligible but it’s also not overwhelming.  This wouldn’t be a concern if education were a modest investment drawing a modest return, because every little bit helps when it comes to economic growth.  But that’s clearly not the case.  Education has long been the largest single expenditure of American state and local governments, which over the course of the 20th century devoured about 30 percent of their total budgets.  In 1995 this came to almost $400 billion in direct payments for elementary, secondary, and higher education.  In short, as costly as education is, it would seem that its economic benefits would need to be more substantial than they are in order to justify these expenses as a solid investment in the nation’s wealth instead of a large drain on this wealth.

Another problem is that it is hard to establish that in fact education was the cause and economy the effect in this story.  The authors make clear that the growth in high school and college enrollments both exceeded and preceded demand for such workers from the economy.  Employers were not begging high schools to produce more graduates in order to meet the needs for greater skill in the workplace; instead they were taking advantage of a situation in which large numbers of educated workers were available, and could be hired without a large wage premium, for positions that in the past had not required this level of education.  So why not hire them?  And once these high school graduates were on the job, the employers may have found them useful to have around (maybe they required less training), so employers began to express a preference for high school graduates in future hiring.  But just because the workforce was becoming more educated didn’t mean that the presence of educated workers was the source of increases in economic productivity.  It could just as easily have been the other way around.

Producing a large increase in high school graduates was enormously expensive, especially considering that the supply of these graduates was much greater than the economic demand for them.  But strong economic growth provided enough of a fiscal surplus that state and local governments were able afford to do so.  In short, it makes sense to think that it was economic growth that made educational growth possible.  We expanded high school because we could afford to.  And we wanted to do so not because we thought it would provide social benefits by improving the economy but instead because we hoped it would provide us with personal benefits.  The authors point out that the growth of high school enrollments was not the result of a reform movement.  Instead, the demand for high school came from educational consumers.  Middle class families saw high school and college as a way to gain an edge – or keep their already existing edge – in the competition for good jobs.  And working class families saw high school as a way to provide their children with the possibility of a better life than their own.  The demand came from the bottom up not the top down.  Administrative progressives later capitalized on the growth of the high school by trying to harness it for their own social efficiency agenda, as expressed in the 1918 Cardinal Principles report.  But by then the process of high school expansion was already well under way, with little help from them.

The major accomplishment of the American school system was not necessarily that it provided education but that it provided access.  The system may or may not have been effective at teaching students the kinds of skills and knowledge that would economically useful, but it was quite effective at inviting students into the schools and keeping them there for an extended period of time.  Early in their book, Goldin and Katz identify what they consider to be the primary “virtues” of the American educational system as it developed before the civil war and continued into the 20th century.  In effect, these virtues of the system all revolve around its broad accessibility.  They include:  “public provision by small, fiscally independent districts; public funding; secular control; gender neutrality; open access; and a forgiving system.”

Note that none of these virtues of the American school system speaks to learning the curriculum.  Instead all have to do with the form of the system, in particular its accessibility and flexibility.  I thoroughly agree.  But for the human capital argument that Goldin and Katz are trying to make, these virtues of the system pose a problem.  How was the system able to provide graduates with the skills needed to spur economic growth when the system’s primary claim to fame was that it invited everyone in and then was reluctant to penalize anyone for failing to learn?  In effect, the system’s greatest strength was its low academic standards.  If it had screened students more carefully on the way in and graded them more scrupulously on their academic achievement, high school and college enrollments and graduation rates never would have expanded so rapidly and we would all be worse off.  This brings us to the third goal of education, social mobility.

Social Mobility

In liberal democracies in general, and in the United States in particular, hope springs eternal that expanding educational opportunity will increase social mobility and social equality.  This has been a prime factor in the rhetoric of the American educational reform movements for desegregation, standards, and choice.  But the evidence to support that hope simply doesn’t exist.  The problem is this:  In the way that education interacts with social mobility and social equality, both of these measures of social position are purely relative.  Both are cases of what social scientists call a zero sum game:  A + B = 0.  If A goes up then B must go down in order to keep the sum at zero.  If one person gets ahead of someone else on the social ladder, then that other person has fallen behind.  And if the social differences between two people become more equal, then the increase in social advantage for one person means the decrease in social advantage for the other.  Symmetry is built into both measures.

Although social equality is inherently relative, it is possible to think of social mobility in terms of absolute rather than relative position.  During the 20th century in the U.S., the proportion of agricultural, manufacturing, and other blue collar workers declined while the proportion of clerical, managerial, professional, and other white collar workers rose.  At the same time the proportion of  people with a grade school education declined while the proportion with more advanced education rose.  So large numbers of families had the experience in which parents were blue collar and their children white collar, parents had modest education and their children had more education.  In absolute terms, therefore, social mobility from blue collar to white collar work during this period was substantial, as children not only moved up in job classification compared to their parents but also gained higher pay and a higher standard of living.  And this social mobility was closely related to a substantial rise in education levels.  This was a great success story, and it is understandable why those involved would attribute these social gains to education.  For large numbers of Americans, it seemed to confirm the adage: to get a good job, get a good education.  Schooling seemed to help people move up the ladder.

At the individual level, this perception was quite correct.  In the 20th century, it became the norm for employers to set minimum educational qualifications for jobs, and in general the amount of education required rose as one moved up the occupational ladder.  Youths overall had a strong incentive to pursue more education in order to reap social and economic rewards.  Economic studies regularly demonstrate a varying but substantial return on a family’s investment in education for their children.  For example, one estimate shows that males between 1914 and 2005 earned a premium in lifetime earnings for every year of college that ranged from 8 to 14 percent.  That makes education a great investment for families – better than the stock market, which had an average annual return of about 8 percent during the same period.

What is true for some individuals, however, is not necessarily true for society as a whole.  As I explained about social efficiency, it is not clear that increasing the number of college graduates leads to an increase in the number of higher level jobs for these graduates to fill.  To me it seems more plausible to look at the connection between education and jobs this way:  The economy creates jobs, and education is the way we allocate people to those jobs.  Candidates with more education qualify for better jobs.  What this means is that social mobility becomes a relative thing, which depends on the number of individuals with a particular level of education at a given time and the number of positions requiring this level of education that are available at that same time.  If there are more positions than candidates at that level, all of the qualified candidates get the jobs along with some who have lower qualifications; but if there are more candidates than positions, then some qualified applicants will end up in lower level positions.  So the economic value of education varies according to the job market.  An increase in education without a corresponding increase in higher level jobs in the economy will reduce the value of a degree in the market for educational credentials.

This poses a problem for the chances of social mobility between parents and children.  After all, children are not competing with their parents for jobs; they’re competing with peers.  And like themselves, their peers have a higher level of education than their parents do.  In relative terms, they only have an advantage in the competition for jobs if they have gained even more education than their peers have.  Educational gains relative to peers are what matter not gains relative to parents.  As a result, rates of social mobility have not increased over time as educational opportunity has increased, and societies with more expansive educational systems do not have higher mobility rates.

Raymond Boudon and others have shown that the problem is that increases in access to education affect everyone, both those who are trying to get ahead and those who are already ahead.  Early in the 20th century, working class parents had a grade school education and their children poured into high schools in order to get ahead; but at the same time, middle class parents had a high school education and their children were pouring into colleges.  So both groups increased education and their relative position remained the same.  The new high school graduates didn’t get ahead by getting more education; they were running just to stay in place.  The new college graduates didn’t necessarily get ahead either, but they did manage to stay ahead.

So school reform in the U.S. has failed to increase social mobility or reduce social inequality.  In fact, without abandoning our identity as a liberal democracy, there was simply no way that educational growth could have brought about these changes.  School reform can only have a chance to equalize social differences if it can reduce the gap in educational attainment between middle class students and working class students.  This is politically impossible in a liberal democracy, since it would mean restricting the ability of the middle class to pursue more and better education for their children.  As long as both groups gain more education in parallel, then the advantages of the one over the other will not decline.  And that is exactly the situation in the American school system.  It’s the compromise that has emerged from the interaction between reform and market, between social planning and consumer action: we expand opportunity and preserve advantage, both at the same time.  From this perspective, the defining moment in the history of American education was the construction of the tracked comprehensive high school, which was a joint creation of consumers and reformers in the progressive era.  That set the pattern for everything that followed.  It’s a system that is remarkably effective at allowing both access and advantage, but it’s not one that reformers tried to create.  In fact, it works against the realization of central aims of reform, since it undermines social efficiency, blocks social mobility, and limits democratic equality.

These three goals, however, have gained expression in the American educational system in at least two significant ways.  First, they have maintained a highly visible presence in educational rhetoric, as the politics of education continuously pushes these goals onto the schools and the schools themselves actively express their allegiance to these same goals.  Second, schools have adopted the form of these goals into their structure and process.  Democratic equality has persisted in the formalism of social studies classes, school assemblies, and the display of political symbols.  Social efficiency has persisted in the formalism of vocational classes, career days, and standards-based testing.  Social mobility has persisted in the formalism of grades, credits, and degrees, which students accumulate as they move through the school system.

Roots of the Failure of School Reform to Resolve Social Problems

In closing, let me summarize the reasons for the continuing failure of school reform in the U.S.

The Tensions Among School Goals:  One reason for the failure of reform to realize the social goals expressed in it is that these goals reflect the core tensions within a liberal democracy, which push both school and society in conflicting directions.  One of those tensions is between the demands of democratic politics and the demands of capitalist markets.  A related issue is the requirement that society be able to meet its collective needs while simultaneously guaranteeing the liberty of individuals to pursue their own interests.  As we have seen, these tensions cannot be resolved one way or the other if we are going to remain a liberal democracy, so schools will inevitably fail at maximizing any of these goals.  The result is going to be a muddled compromise rather than a clear cut victory in meeting particular expectations.  The apparently dysfunctional outcomes of the educational system, therefore, are not necessarily the result of bad planning, deception, or political cynicism; they are an institutional expression of the contradictions in the liberal democratic mind.

The Tendency Toward Organizational Conservatism:  There is also another layer of impediment that lies between social goals and their fulfillment via education, and that is the tension between education’s social goals and its organizational practices.  Schools gain their origins from social goals, which they dutifully express in an institutional form, as happened with the construction of the common school system.  This results in the development of school organization, curriculums, pedagogies, professional roles, and a complex set of occupational and organizational interests.  At this more advanced stage, schools and educators are no longer simply the media for realizing social aspirations; they become major actors in the story.  As such, they shape what happens in education in light of their own needs and interests, organizational patterns,  and professional norms and practices.  And this then becomes a major issue in educational reform.  Such reforms are what happens after schooling is already in motion organizationally, when society seeks to assign new ideals to education or revive old ones that have fallen into disuse, thus initiating an effort to transform the institution toward the pursuit of different ends.  But at that point society is no longer able simply to project its values onto the institution it created to express these values; instead it must negotiate an interaction with an ongoing enterprise.  As a result, reform has to change both the values embedded in education and the formal structure itself, which may well resist.  As I have shown elsewhere, three characteristics of the American school system – loose coupling, weak instructional control, and teacher autonomy – have made this system remarkably effective at blocking reforms from reaching the classroom.

Reformer Arrogance:  Another problem that leads to the failure of school reform is simple arrogance.  School reformers spin out an abstract vision of what school and society should be, and then they try to bring reality in line with the vision.  But this abstract reformist grid doesn’t map comfortably onto the parochial and idiosyncratic ecology of the individual classroom.  Trying to push too hard to make the classroom fit the grid may destroy the ecology of learning there; and adapting the grid enough to make it workable in the classroom may change the reform to the point that its original aims are lost.  Reformers are loath to give up their aims in the service of making the reform acceptable to teachers, so they tend to plow ahead in search of ways to get around the obstacles.  If they can’t make change in cooperation with teachers, then they will have to so in spite of them.  They see a crying need to fix a problem through school reform, and they have developed a theory for how to do this, which looks just great on paper.  Standing in the state capital or the university, they are far from the practical realities of the classroom, and they tend to be impatient with demands that they should respect the complexity of the settings in which they are trying to intervene.

The Marginality of School Reform to School Change:  Finally, we need to remind ourselves that school reform has always been only a small part of the broader process of school change.  Reform movements are deliberate efforts by groups of people to change schools in a direction they value and to resolve a social problem that concerns them.  We measure the success of these movements by the degree to which the outcomes match the intentions of the reformers.  But there’s another player in the school change game, and that’s the market.  By this I mean the accumulated actions of educational consumers who are pursuing their own interests through the schooling of their children.  From the colonial days, when the expressed purpose of schooling was to support the one true faith, consumers were pursuing literacy and numeracy for reasons that had nothing to do with religion and a lot to do with enhancing their ability to function in a market society.

That very personal and practical dimension of education was there from the beginning, even though no one wanted to talk about it, much less launch a reform movement in its name.  And this individual dimension of schooling has only expanded its scope over the years, becoming larger in the late 19th century and then dominant in the 20th century, as increasingly educational credentials became the ticket of admission for the better jobs.  The fact that public schools have long been creatures of politics – established, funded, and governed through the medium of a democratic process – means that they have been under unrelenting pressure to meet consumer demand for the kind of schooling that will help individuals move up, stay up, or at least not drop down in their position in the social order.  This pressure is exerted through individual consumer actions, such as by attending school or not, going to this school not that one, enrolling in this program not some other program.  It is also exerted by political actions, such as by supporting expansion of educational opportunity and preserving educational advantage in the midst of wide access.

These actions by consumers and voters have brought about significant changes in the school system, even though these changes have not been the aim of any of the consumers themselves.  They have not been acting as reformers with a social cause but as individuals pursuing their own interests through education, so the changes they have produced in schooling by and large have been inadvertent.  Yet these unintended effects of consumer action have often derailed or redirected the intended effects of school reformers.  They created the comprehensive high school, dethroned social efficiency, pushed vocational education to the margins, and blocked the attack on de facto segregation.  Educational consumers may well keep the current school standards movement from meeting its goals if they feel that standards, testing, and accountability are threatening educational access and educational advantage.  They may also pose an impediment to the school choice movement, even though it is being carried out explicitly in their name.  For consumers may feel more comfortable tinkering with the system they know than in taking the chance that blowing up this system might produce something that is less suited to serving their needs.  In the American system of education, it seems, the consumer – not the reformer – has long been king.

 

Posted in Education policy, Educational Research, History of education, Teaching, Writing

James March: Education and the Pursuit of Optimism

This post is aabout a 1975 paper by James G. March, which was published in, of all places, the Texas Tech Journal of Education.  Given that provenance, it’s something you likely have never encountered before unless someone actually handed it to you.  I used it in a number of my classes and wanted to share it with you.

March was a fascinating scholar who had a long a distinguished career as an organizational theorist, teaching at Carnegie-Mellon and later at the Stanford business and education schools. He died last year.  I had the privilege of getting to know him in retirement after I moved to Stanford.  He was the rare combination of cutting edge social scientist and ardent humanist, who among his other accomplishments published a half dozen volumes of poetry.

This paper shows both sides of his approach to issues.  In it he explores the role that education has played in the U.S., in particular its complex relationship with all-American optimism.  Characteristically, in developing his analysis, he relies not on social science data but on literature — among others, Tolstoy, Cervantes, Solzhenitsyn, and Borges.

I love how he frames the nature of teaching and learning in a way that is vastly distant from the usual language of social efficiency and human capital production — and also distant from the chipper American faith that education can fix everything.  A tragic worldview pervades his discussion, reflecting the perspective of the great works of literature upon which he draws.

I find his argument particularly salient for teachers, who have been the majority of my own students over the years.  It’s common for teachers to ask the impossible of themselves, by trying to fulfill the promise that education with save all their students.  Too often the result is the feeling of failure and/or the fate of burnout.

Below I distill some of the core insights from this paper, but there is no substitute for reading and reveling in the original, which you can find here.

He starts out by asserting that “The modern history of American education is a history of optimism.”  The problem with this is that it blinds us to the limited ability of social engineering in general and education in particular to realize our greatest hopes.

By insisting that great action be justified by great hopes, we encourage a belief in the possibility of magic. For examples, read the litany of magic in the literature on free schools, Montessori, Head Start, Sesame Street, team teaching, open schools, structured schools, computer-assisted instruction, community control. and hot lunches. Inasmuch as there appears to be rather little magic in the world, great hopes are normally difficult to realize. Having been seduced into great expectations, we are abandoned to a choice between failure and delusion.

The temptations of delusion are accentuated both by our investment in hope and by the potential for ambiguity in educational outcomes. To a substantial extent we are able to believe whatever we want to believe, and we want to believe in the possibility of progress. We are unsure about what we want to accomplish, or how we would know when we had accomplished it, or how to allocate credit or blame for accomplishment or lack of it. So we fool ourselves.

The conversion of great hopes into magic, and magic into delusion describes much of modern educational history. It continues to be a dominant theme of educational reform in the United States. But there comes a time when the conversion docs not work for everyone. As we come to rccognize the political, sociological, and psychological dynamics of repeated waves of optimism based on heroic hopes, our willingness to participate in the process is compromised.

As an antidote to the problem, he proposes three paradoxical principles for action:  pessimism without despair; irrelevance without loss of faith; and optimism without hope.

Pessimism without despair:  This means embracing the essential connection between education and life, without expecting the most desirable outcome.  It is what it is.  The example is Solzhenitsyn’s character Shukov, learning to live in a prison camp.  The message is this:  Don’t set unreasonable expectations for what’s possible, defining anything else as failure.  Small victories in the classroom are a big deal.

Irrelevance without loss of faith:  This means recognizing that you can’t control events, so instead you do what you can wherever you are.  His example is General Kutuzov in War and Peace.  He won the war against Napoleon by continually retreating and by restraining his officers from attacking the enemy.  Making things happen is overrated.  There’s a lot the teacher simply can’t accomplish, and you need to recognize that.

Optimism without hope:  The aim here is to do what is needed rather than what seems to be effective.  His example is Don Quixote, a man who cuts a ridiculous figure by tilting at windmills, but who has a beneficial impact on everyone he encounters.  The message for teachers is that you set out to do what you think is best for your students, because it’s the right thing to do rather than because it is necessarily effective.  This is moral-political logic for schooling instead of the usual utilitarian logic.

So where does this leave you as a teacher, administrator, policymaker?

  • Don’t let anyone convince you that schooling is all about producing human capital, improving test scores, or pursuing any other technical and instrumentalist goal.

  • Its origins are political and moral: to form a nation state, build character, and provide social opportunity.

  • Teaching is not a form of social engineering, making society run more efficiently

  • It’s not about fixing social problems, for which it is often ill suited

  • Instead, it’s a normative practice organized around shaping the kind of people we want to be — about doing what’s right instead of what’s useful.

Posted in Education policy, History of education, School reform, Uncategorized

From Citizens to Consumers — Abbreviated Version with New Conclusion about Why We Keep Trying to Reform Schools

This is an updated and abbreviated version of the lecture I posted on December 2.  It makes for an easier read, plus I’ve added a piece at the end trying to answer the question: Why do we keep trying to reform schools?

Here’s the new conclusion about the endless efforts to reform schools:

 

This still leaves open the question of why reforming American schools has proven to be such steady work over the years.  The answer is that we reform schools in an effort to solve pressing social problems.  And we have to keep coming up with new reform movements because schools keep failing to fix the problems we ask them to fix.  The issue is that we keep asking schools to do things they are incapable of doing.

For example, schools can’t eliminate or even reduce social inequality, racial divisions, or poor health.  These are social problems that require major political interventions to transform the social structure, which we are unwilling to undertake because they will provoke too much political opposition.  If we wanted, we could redistribute wealth and income and establish a universal public health system, but we don’t.  So we dump the problems on schools and then blame them for failing to solve these problems.

In addition, schooling is such a large and complex social institution that efforts to change it are more likely to introduce new problems than to solve old ones.  In U.S. history, the common school movement was the only truly successful reform, which created the social and cultural basis for the American republic.  The others caused problems.  Progressivism created a differentiated and vocationalized form of schooling that required the standards and choice movements to reintroduce commonality and choice.  Desegregation spurred whites to abandon urban schools, which are now as segregated as they ever were.  So we continue to tinker with schools in order to fix problems for which we lack the political will to fix ourselves.  And the work of school reformers is unlikely to ever reach an end.

Posted in Education policy, History of education, School reform, Systems of Schooling

From Citizens to Consumers: Evolution of Reform Rhetoric and Consumer Practice in the U.S.

This post is the text of a lecture I delivered last week in Japan at Kyoto University and Keio University.  It draws on the second chapter of my book, Someone Has to Fail (which has been translated into Japanese), and at the end I try to bring the analysis up to the present.  The subject is the evolving rhetoric of school reform over the course of the history of U.S. education.  At core, I try to explain how a system designed to produce citizens for the republic evolved into a system that seeks to produce human capital for the economy and to provide social opportunity and preserve social advantage for educational consumers.  If you’d like to see the sources, check out the book chapter.

Here’s a link to the text of the lecture, and here’s a link to the slides I used (which provide a useful overview of the argument).

 

From Citizens to Consumers:

Evolution of Reform Rhetoric and Consumer Practice in the U.S.

by

David F. Labaree

Lee L. Jacks Professor of Education, Emeritus

Stanford University

Email: dlabaree@stanford.edu

Web: https://dlabaree.people.stanford.edu

Twitter: @Dlabaree

Blog: https://davidlabaree.com/

Lecture delivered at Kyoto University and Keio University

November, 2019

 

For better and for worse, the American system of education is truly a marvel.  Compared to other countries, public education in the U.S. has been extraordinarily accessible.  It emerged early, expanded quickly, and then rapidly extended access to high school and college.  In the process the United States claimed the distinction of having the first educational system in the world to attain something approaching universal elementary schooling, universal high school attendance, and mass higher education.

But to call American public education a system seems a contradiction in terms, because it also has the distinction of being radically decentralized, with some 14,000 school districts responsible for setting policy and running schools.  Even though the educational role of the federal government has been growing in the last several decades, it is still hard to find any structure of public education in the world that is more independent of national control.  And to applaud the American system of schooling for its great accessibility is to recognize only half the story, since the system balances radical equality of access with radical inequality of outcomes.  Students have an easy time gaining entry to education in the U.S., but they have strikingly different educational experiences and gain strikingly different social benefits from their education.  One other characteristic of the American educational system further dims its luster, and that is the chronically mediocre academic performance of its students.  In world comparisons over the last few decades, American elementary and secondary students have consistently scored at a level that is average at best.

In short, the American system of education is highly accessible, radically unequal, organizationally fragmented, and instructionally mediocre.  In combination, these characteristics have provided a strong and continuing incentive for school reformers to try to change the system, by launching reform movements that would seek to broaden access, reduce inequality, transform governance, and improve learning.  But at the same time that these traits have spurred reform efforts, they have also kept reformers from accomplishing their aims.

For example, every effort to expand access for new students at a given level of the system has tended to provoke counter efforts to preserve the educational advantage of the old students.  When high school enrollment began to expand sharply at the start of the 20th century, the response was to establish curriculum tracking in the high school (with the new students falling into the lower tracks) and to spur the old students to attend college.  But such efforts to preserve educational advantage at a given level of the system and extend it to the next level have tended to provoke counter measures to reduce this advantage by broadening access at the new level.  So by the mid-20th century growing demand for college access brought a flood of new students.  But this just continued the cycle of action and reaction, since the new students largely enrolled in new lower track institutions set up to handle the influx while traditional students concentrated at the established higher status institutions and increasingly moved on to graduate school.

At the same time, the local autonomy of districts, schools, and classrooms in the American educational system has made it hard for reform initiatives to reach the heart of the system where teaching and learning take place, and particularly hard to implement reforms that improve classroom learning.  Exacerbating this tendency has been one additional characteristic of the system, which is that most educational consumers have shown preference for a school system that provides an edge in the competition for jobs more than for one that enriches student learning.  We have continually demonstrated interest more in getting a diploma than getting an education.

In this lecture, I look at the visions that these reform movements projected onto the American school system.  Here I’m focusing not on the impact of reform but on its rhetoric.  As found in major reform documents, the shifting language of reform shows how the mission of the school system evolved over time, as reformers repeatedly tried to push the system to embrace new goals and refine old ones in an effort to solve an expanding array of social challenges.

Shifting the Focus of Schooling from Citizens to Consumers

This is a story about the evolving language of educational reform in the United States.  It starts in the early 19th century with a republican vision of education for civic virtue and ends in the early 21st century with a consumerist vision of education for equal opportunity.  The story is about how we got from there to here, drawing on major reform texts that span this period.  It’s also a story about how we developed the ideas about education that laid the groundwork for the American obsession with schooling.

This rhetorical change consisted of two main shifts, each of which occurred at two levels.  First, the overall balance in the purposes of schooling shifted from a political rationale (shoring up the new republic) to a market rationale (promoting social efficiency and social mobility).  And the political rationale itself evolved from a substantive vision of education for civic virtue to a procedural vision of education for equal opportunity.  Second, in a closely related change, the reform rhetoric shifted from viewing education as a public good to viewing it as a private good.  And the understanding of education as a public good itself evolved from a politically-grounded definition (education for republican community) to a market-grounded definition (education for human capital).

I explore these changes through an examination of a series of reform documents that represent the major reform movements in the history of American education, starting with the common school movement in the mid-19th century and ending with the movements for curriculum standards and school choice in the 21st century.

The evolution of educational rhetoric in the U.S. fits within a larger cross-national pattern in the evolving republican conversation about schooling.  Republican ideas played a foundational role in the formation of public education in a number of countries during the long 19th century.  Although this role varied from one context to another, the republican vision in general called for a system of education that would shape the kind of self-regulating and civic minded citizen needed to sustain a viable republican community.  That system was the modern public school.  At the heart of its mission was the delicate and critical task of balancing two elements at the heart of republican thinking – the autonomous individual and the common good.  The primary contribution of the school was its ability to instill a vision of the republic within future citizens in a manner that promoted individual choice while inducing them to pursue the public interest of their own will.  This effort posed twin dangers:  too much emphasis on individual interests could turn republican community into a pluralist society defined by the competition of private interests; but too much emphasis on community could turn the republic into authoritarian society that sacrificed individual freedom to collective interests.  A liberal republican society requires an educational system that can instill a commitment to both individual liberty and civic virtue.

As I show today, the rhetoric of education in the U.S. shifted over time from a political vision of a civic-minded citizen to a market vision of a self-interested consumer.  But the idea of republican community did not disappear from the educational mission.  Instead the political goal of education shifted from producing civic virtue in the service of the republic to producing human capital and individual opportunity.  The end result, however, was to redirect the republican vision of education sharply in the direction of private interests and individual opportunities.

Competing Social Goals for Schooling

A major factor in the transformation of reform rhetoric was the market.  While a number of reform efforts – the common school movement, the progressive movement, the civil rights movement, the standards movement, and the school choice movement – occupied center stage in the drama of school reform, the market initially exerted its impact from a position off stage.  Over time, however, the market gradually muscled its way into the center of American education, shaping both the structure of the school system (by emphasizing inequality and discounting learning) and more recently the rhetoric of school reform (by emphasizing occupational skills and promoting individual opportunity).  In the current period, when the market vision has come to drive the educational agenda, the political vision of education’s social role remains prominent as an actor in the reform drama, frequently called upon by reformers of all stripes.  (I examine here the way the standards and choice movements both belatedly adopted political rhetoric after originally trying to do without it.)  But the definition of this political vision has become more abstract, its deployment more adaptable, and its impact more diffuse than in the early 19th century, when a well-defined set of republican ideals drove the creation of the American system of common schools.

The language of educational goals arises from the core tensions within a liberal republic.  One of those tensions is between the demands of democratic politics and the demands of capitalist markets.  A related issue is the requirement that society be able to meet its collective needs while simultaneously guaranteeing the liberty of individuals to pursue their own interests.  In the American setting, these tensions have played out through the politics of education in the form of a struggle among three major social goals for the educational system.  One goal is democratic equality, which sees education as a mechanism for producing capable citizens.  Another is social efficiency, which sees education as a mechanism for developing productive workers.  A third is social mobility, which sees education as a mechanism for individuals to reinforce or enhance their social position.

Democratic equality represents the political side of our liberal republican values, focusing on the role of education in building a nation, forming a republican community, and providing citizens with the wide range of capabilities required for effective participation in democratic decision-making.  The other two goals represent the market side of liberal republicanism.  Social efficiency captures the perspective of employers and taxpayers, who are concerned about the role of education in producing the job skills (human capital) that are required by the modern economy and that are seen as essential for economic growth and general prosperity.  Social mobility captures the perspective of educational consumers and prospective employees, who are concerned about the role of educational credentials in signaling to the market which individuals have the productive skills that qualify them for the jobs with highest levels of power, money, and prestige.

The collectivist side of liberal republicanism is expressed by a combination of democratic equality and social efficiency.  Both aim at having education provide broad social benefits, with both conceiving of education as a public good.  Investing in the political capital of the citizenry and the human capital of the workforce benefits everyone in society, including those families who do not have children in school.  In contrast, the social mobility goal represents the individualist side of liberal democracy.  From this perspective, education is a private good, which benefits only the student who receives educational services and owns the resulting educational diplomas.

With this mix of goals imposed on it, education in liberal republics has come to look like an institution at odds with itself.  After all, it is being asked simultaneously to serve politics and markets, promote equality and inequality, construct itself and as a public and private good, serve collective interests and individual interests.  Politically, its structure should be flat, its curriculum common, and enrollment universal; economically, its structure should be hierarchical, its curriculum tracked, and enrollment scaled by high rates of attrition.  From the perspective of democratic equality and social efficiency, its aim is socialization, to provide knowledge that is usable for citizens and workers; from the perspective of social mobility, its aim is selection, to provide credentials that allow access to good jobs, independent of any learning that might have occurred in acquiring these credentials.

In this sense, then, these educational goals represent the contradictions embedded in any liberal republic, contradictions that cannot be resolved without removing either the society’s liberalism or its republicanism.  Therefore when we project our liberal republican goals on schools, we want them to take each of these goals seriously but not to implement any one of them beyond modest limits, since to do so would be to put the other equally valued goals in significant jeopardy.  We ask it to promote social equality, but we want it to do so in a way that doesn’t threaten individual liberty or private interests.  We ask it to promote individual opportunity, but we want it to do so in a way that doesn’t threaten the integrity of the nation or the efficiency of the economy.  As a result, the educational system is an abject failure in achieving any one of its primary social goals.  It is also a failure in solving the social problems assigned to it, since these problems cannot be solved in a manner that simultaneously satisfies all three goals.  In particular, social problems rooted in the nature of the social structure simply cannot be resolved by deploying educational programs to change individuals.  The apparently dysfunctional outcomes of the educational system, therefore, are not the result of bad planning, deception, or political cynicism; they are an institutional expression of the contradictions in the liberal republican mind.

The Common School Movement:  Schools for the Republic

As secretary of the Massachusetts Board of Public Education in the 1840s, Horace Mann became the most effective champion of the American common school movement, which established the American public school system in the years before the Civil War.   Its primary accomplishment was not in increasing literacy, which was already widespread in the U.S., but in drawing public support for a publicly funded and publicly controlled system of education that served all the members of the community.  What was new was less the availability of education than its definition as an institution that both expressed and reinforced community.

Mann’s Twelfth Annual Report, published in 1848, provides the most comprehensive summary of the argument for the common schools.  In it he made clear that the primary rationale for this institution was political:  to create citizens with the knowledge, skills, and public-spirited dispositions required to maintain a republic and to protect it from the sources of faction, class, and self interest that pose the primary threat to its existence.  After exploring the dangers that the rapidly expanding market economy posed to the fabric of republican community by introducing class conflict, he proclaimed:

Now, surely, nothing but Universal Education can counter-work this tendency to the domination of capital and the servility of labor….

Education, then, beyond all other devices of human origin, is the great equalizer of the conditions of men – the balance-wheel of the social machinery….  It does better than to disarm the poor of their hostility towards the rich; it prevents being poor….  If this education should be universal and complete, it would do more than all things else to obliterate factitious distinctions in society.

A few pages later, he summed up his argument with the famous statement, “It may be an easy thing to make a Republic; but it is a very laborious thing to make Republicans; and woe to the republic that rests upon no better foundations than ignorance, selfishness, and passion.”  In his view, then, schools were given the centrally important political task of making citizens for a republic.  All other functions were subordinate to this one.

Emerging Consumerism:  Schools for Social Mobility

Horace Mann and the other leaders of the common school movement were reluctant to portray education as a mechanism for promoting worldly gain, but the students and parents who were consuming this new cultural commodity showed less reluctance in that regard.  Compelled by the need to survive and the ambition to thrive in a market economy, citizens quickly began to think of education as something more than a politically desirable mechanism for preserving the republic; they also saw it as a way to get ahead in society.  Reading, writing, and the manipulation of numbers were essential for anyone who wanted to function effectively in the commercial life of the colonial and early national periods of American history.  Individuals did not need republican theory or compulsory schooling laws to make them acquire these skills, which is one reason why literacy was a precursor rather than an outcome of the common school movement in the U.S.

But this compelling rationale for education – schooling for social mobility – was not something that appeared prominently in the rhetoric of school reform until well into the 20th century.  One reason for this silence was that the idea of education as a way to get ahead was a matter of common sense in a society that was founded in market relations.  It was not the subject of reform rhetoric because this idea was already widely accepted.  Another reason was that people felt a bit embarrassed about voicing such a self-interested motive for education in the face of the selfless political rationale for education that dominated public discussion in the early United States.  But the absence of such talk did not deny the reality that commercial motives for schooling were strong.

This relative silence about an important factor shaping education resonates with an important paradox in the history of school reform identified by David Tyack and Larry Cuban in their book, Tinkering Toward Utopia.  Reform rhetoric swirls around the surface of schools, making a lot of noise but not necessarily penetrating below the surface; while evolutionary forces of structural change may be proceeding powerfully but slowly outside of view, making substantial changes over time without ever necessarily being verbalized or becoming part of a reform agenda.

The story I’m telling in this lecture is about the interaction between these two levels – the changing rhetoric of educational reform in the U.S. over the past 200 years and its relationship with the quiet but increasingly potent impact of market forces on American schools.  I suggest that the rhetorical shifts in subsequent educational reform movements were attempts to reach an accommodation between economy and society through the institution of education, which turned increasingly critical as education itself became more economically useful to both employers and employees in the late 19th and 20th centuries.

By the 1890s, growing clerical and managerial occupations created a defined market for high school graduates.  The result was enormous demand by educational consumers for access to high school, which until them was open only to a small elite.  In response, US high school enrollments doubled every decade for the next 50 years.  The consumer was now king.

Administrative Progressivism: Schools for Social Efficiency

The progressive education movement burst on the scene in the U.S. at the start of the 20th century.  It was a complex movement with a wide range of actors and tendencies embedded within it, but two main strands in particular stand out.  Child-centered progressives (such as John Dewey) focused on teaching and learning in classrooms, advocating child centered pedagogy, discovery learning, and student engagement.  Administrative progressives (such as Edward Thorndike) focused on the structure of school governance and curriculum, advocating a mission of social efficiency for schools, which meant preparing students for their future social roles.  I focus on administrative progressivism here for the simple reason that they won and the pedagogues lost in the competition over exerting an impact on American schools.

In 1918, the Commission on the Reorganization of Secondary Education issued a report to the National Education Association titled Cardinal Principles of Secondary Education, which spelled out the administrative progressive position on education more clearly and more consequentially than any other single document.  The report announces at the very beginning that secondary schools need to change in response to changes in society.

Within the past few decades changes have taken place in American life profoundly affecting the activities of the individual.  As a citizen, he must to a greater extent and in a more direct way cope with problems of community life, State and National Governments, and international relationships.  As a worker, he must adjust himself to a more complex economic order.  This calls for a degree of intelligence and efficiency on the part of every citizen that can not be secured through elementary education alone, or even through secondary education unless the scope of that education is broadened.

Here we see the basic themes of the report:  Schools exist to help individuals adapt to the needs of society; as society becomes more complex, schools must transform themselves accordingly; and in this way they will help citizens develop the socially needed qualities of “intelligence and efficiency.”

This focus on social efficiency, however, didn’t deter the authors from drawing on political rhetoric to support their position.  In fact, the authors framed this report in explicitly political terms.  In a 12,000 word report, they used the terms “democracy” or “democratic” no fewer than 40 times.  (The words “republic” and “republican” are nowhere to be found.)

What do they mean by democracy?  They spell this out in two statements in bold-faced type in a section called “The Goal of Education in a Democracy.”

The purpose of democracy is so to organize society that each member may develop his personality primarily through activities designed for the well-being of his fellow members and of society as a whole….

So democracy is about organizing individuals for the benefit of society, and education is about readying individuals to assume their proper place in that society.  This is as crisp a definition as one can find for socially efficient education.

The commission follows up on this statement principles to spell out the implications for the high school curriculum:

This commission, therefore, regards the following as the main objectives of education: 1. Health. 2. Command of fundamental processes. 3. Worthy home membership. 4. Vocation. 5. Citizenship. 6. Worthy use of leisure. 7. Ethical character.

What a striking array of goals for education this is.  In comparison with Horace Mann’s grand vision of schooling for the republic, we have a list of useful functions that schools can serve for society, only one of which focuses on citizenship.  Furthermore, this list confines the rich array of liberal arts subjects to a single category; the authors give it the dumbed-down and dismissive title, “command of fundamental processes;” and they assign it a parallel position with such mundane educational objectives as “worthy home membership” and “worthy use of leisure.”

Later in the report, the commission spelled out an important implication of their vision of secondary education.  Not only must the curriculum be expanded radically, but it must also be sharply differentiated if it is going to meet the needs of a differentiated occupational structure.  The commission is explaining that their call for a socially efficient education in practice means vocationalism, with the vocational skills required by the job market driving the curriculum and slicing it into segments based on the specific jobs toward which students are heading.  Any leftover space in the curriculum could then be used for “those having distinctively academic interests and needs.”

This report, the keystone of the administrative progressive movement, represents two major transformations in the rhetoric of the common school movement.  First, whereas Mann’s reports used economic arguments to support a primarily political purpose for schooling (preparing citizens with civic virtue), Cardinal Principles turned this upside down, using political arguments about the requirements of democracy to support a vision of schooling that was primarily economic (preparing efficient workers).  The politics of the Cardinal Principles thus serves as a thin veneer on a structure of socially efficient education, dressing up what would otherwise be a depressingly pedestrian vision, without being specified in sufficient depth as to intrude on the newly asserted vocational function of schooling.

Second, in Cardinal Principles the administrative progressives preserved the common school movement’s understanding of education as a public good.  There is no talk in the report about education as a kind of personal property, which offers selective benefits to the credential holder; instead, the emphasis is relentlessly on the collective benefits of education to society.  What is new, however, is this:  Whereas the common school men defined education as a public good in political terms, the progressives defined it a public good in economic terms.  Yes, education serves the interests of society as a whole, said the progressives; but it does so not by producing civic virtue but by producing human capital.

The Civil Rights Movement:  Schools for Equal Opportunity

If the administrative progressive movement marginalized the political argument for education, using it as window-dressing for a vision of education as a mechanism for creating productive workers, the civil rights movement brought politics back to the center of the debate about schools.  In the 1954 decision of the U.S. Supreme Court, Brown v. Board of Education of Topeka, Chief Justice Earl Warren, speaking for a unanimous court, made a forceful political argument for the need to desegregate American schools.  The question he was addressing was whether to overturn the Court’s doctrine of “separate but equal,” established in an earlier decision, as a violation of the clause in the Fourteenth Amendment to the constitution (passed at the end of the Civil War) which guaranteed all citizens the “equal protection of the laws.”

The Court’s reasoning moved through two main steps in reaching this conclusion.  First, Warren argued that the social meaning of education had changed dramatically in the 90 years since the passage of the Fourteenth Amendment.  In the years after the Civil War, “The curriculum was usually rudimentary; ungraded schools were common in rural areas; the school term was but three months a year in many states, and compulsory school attendance was virtually unknown.”  As a result, education was not seen as an essential right of any citizen; but that had now changed.

Today, education is perhaps the most important function of state and local governments….  In these days, it is doubtful that any child may reasonably be expected to succeed in life if he is denied the opportunity of an education. Such an opportunity, where the state has undertaken to provide it, is a right which must be made available to all on equal terms.

This led to the second part of the argument.  If education “is a right which must be made available to all on equal terms,” then the question was whether segregated education could be seen as providing truly equal educational opportunity for black and white students.  Here Warren drew on social science research to argue that “To separate [black students] from others of similar age and qualifications solely because of their race generates a feeling of inferiority as to their status in the community that may affect their hearts and minds in a way unlikely ever to be undone.”

In combination, these two arguments – education is an essential right and segregated education is inherently harmful – led Warren to his conclusion:

We conclude that, in the field of public education, the doctrine of “separate but equal” has no place. Separate educational facilities are inherently unequal.

The argument in this decision was at heart political, asserting that education is a constitutional right of every citizen that must be granted to everyone on equal terms.  But note that the political vision in Brown is quite different from the political vision put forward by Mann.  For the common school movement, schools were critically important in the effort to build a republic; their purpose was political.  But for the civil rights movement, schools were critically important as a mechanism of social opportunity.   Their purpose was to promote social mobility.  Politics was just the means by which one could demand access to this attractive educational commodity.  In this sense, then, Brown depicted education as a private good, whose benefits accrue to the degree holder and not to society as a whole.  The Court’s argument was not that granting access to equal education for blacks would enhance society, both black and white; instead, it argued that blacks were suffering from segregation and would benefit from desegregation.  Quality education was an important form of property that they had been denied, and the remedy was to provide them with access to it.

This is an argument that shows how much schools had come of age more than 100 years after Horace Mann.  Once created to support the republic, in a time when schools were marginal to the practical business of making a living, they had become central to every citizen’s ability to get a good job and get ahead socially.  In the process, however, the political vision of education has changed from a substantive focus on producing the citizens needed to sustain the republic to a procedural focus on providing social opportunities.  The idea of education as opportunity was already visible in Mann, but it was subordinated to the political project; here educational opportunity has become the project, and politics has become the means for asserting one’s right to it.

The Standards Movement 1.0:  Social Efficiency and Commonality

In 1983, the National Commission for Excellence in Education produced a report titled A Nation at Risk, which helped turn the nascent standards effort into a national reform movement.  It is useful to think of this movement in relation to its predecessors, both in the way it drew from them and the way it reacted against them rhetorically.  The standards movement emphasized a core academic curriculum for all students, which in turn stood as a harsh rebuke to the diffuse, differentiated, and nonacademic curriculum posed by Cardinal Principles; yet A Nation at Risk also shows a clear affinity with Cardinal Principles by defining the primary purpose of education as social efficiency.  At the same time, the standards movement’s emphasis on academic content and learning outcomes served as a counter to the civil rights movement, which focused primarily on access to educational opportunity rather than on the substance of learning; and its stress on education as a public good contrasted with Brown’s emphasis on education as a form of individual benefit.

The reports got off to a fast start, levying a dire warning about how bad things were and how important it was to reform the educational system.

Our Nation is at risk. Our once unchallenged preeminence in commerce, industry, science, and technological innovation is being overtaken by competitors throughout the world…. The educational foundations of our society are presently being eroded by a rising tide of mediocrity that threatens our very future as a Nation and a people. What was unimaginable a generation ago has begun to occur – others are matching and surpassing our educational attainments.

This passage set the tone for the rest of the report.  It asserted a vision of education as an intensely public good:  All Americans benefit from its successes, and all are threatened by its failures.  The nation is at risk.  This was in striking contrast with the vision of education in the Brown decision, which depicted education as a private good, one that was critically important to the possibility of social success for every individual.  In that view, it was black educational consumers who were at risk from segregation, not the nation.

But the report represented education as a particular type of public good, which benefited American society by providing it with the human capital it needed in order to be economically competitive with other nations.  The risk to the nation posed here was primarily economic, and the main role that education could play in alleviating this risk was to develop a more efficient mechanism for turning students into productive workers.  In parallel with the argument in Cardinal Principles, A Nation at Risk asserted that the issue of wealth production was the most important motive in seeking higher educational standards.

The report’s first three recommendations spelled out the core substance of the changes at the top of the priority list for the standards movement.  Under the heading, “Content,” the commission recommended “that State and local high school graduation requirements be strengthened.”  Under the heading “Standards and Expectations,” the commission recommended “more rigorous and measurable standards, and higher expectations, for academic performance and student content” measured by means of “Standardized tests of achievement.”  Under the heading, “Time,” the commission recommended “more effective use of the existing school day, a longer school day, or a lengthened school year.”

In stressing the need to refocus attention on a core academic curriculum for all students, A Nation at Risk stands as a rebuke to the differentiated and vocationalized curriculum of the Cardinal Principles, but it embraced the Principles’ vision of education for social efficiency.  It deployed a modest form of political rhetoric to support the standards effort (using some version of “citizen” 18 times and “democracy” two times in a nearly 18,000 word report), but the emphasis here was on education as a way to produce the human capital needed by the nation in global competition rather than Brown’s emphasis on education as a way to promote individual opportunity.  And by focusing on student learning rather than student access, it also represented a turn away from the equal opportunity concerns of the Brown decision.

School Choice Movement 1.0:  Markets Make Effective Schools

The school choice movement had its roots in Milton Friedman, who devoted a chapter to the subject in his 1962 book, Capitalism and Freedom.  But the movement really took off as a significant reform effort in the 1990s, and a major text that shaped the policy discourse of these movement was a book by John Chubb and Terry Moe – Politics, Markets, and America’s Schools – which was published in 1990.  The argument they raised in favor of school choice consisted of two key components.  First, they used the literature on school effectiveness to argue that schools are most effective (that is, they are most efficient at promoting student learning) if they have the greatest degree of autonomy in administration, teaching, and curriculum.  Second, they argued that democratic governance of school systems necessarily leads to bureaucratic control of schools, which radically limits autonomy; whereas market-based governance, based on empowering educational consumers instead of empowering the state, leads to greater school autonomy.  As a result, they concluded, we need to shift from democratic to market control of schooling in order to make schools more educationally effective.

Like the standards movement, the choice movement inverted the rhetorical priorities of the common school movement, putting markets before politics.  But the approach was more radical than the one proposed in A Nation at Risk, because Chubb and Moe argued that democratic politics was in fact the reason that schools performed badly, and the remedy was remove schools from democratic control and hand them over to educational consumers:  “Our guiding principle in the design of a choice system is this: public authority must be put to use in creating a system that is almost entirely beyond the reach of public authority.”   Markets, they argued, are simply more efficient at promoting the school autonomy needed for effective teaching and learning.

The authors welcomed the fact that, by shifting control from a democratic polity to the educational consumer, the proposed school choice system would change education from a public good to a private good.

Under a system of democratic control, the public schools are governed by an enormous, far-flung constituency in which the interests of parents and students carry no special status or weight.  When markets prevail, parents and students are thrust onto center stage, along with the owners and staff of schools; most of the rest of society plays a distinctly secondary role, limited for the most part to setting the framework within which educational choices get made.

In this way, then, the rhetoric of the school choice movement at the close of the 20th century represented the opposite end of the scale from the rhetoric of the common school movement that set in motion the American public school system in middle of the 19th century.  In educational reform texts, we have moved all the way from a political rationale for education to a market rationale, and from seeing education as a public good to seeing it as a private good.  Instead of extolling the benefits of having a common school system promote a single virtuous republican community, reformers were extolling the benefits of having an atomized school system serve the differential needs a vast array of disparate consumer subcultures.

Standards 2.0:  Broadening the Base with a Political Appeal to Equal Opportunity

The start of the 21st century saw an interesting shift in the rhetoric of the standards movement and the choice movement, as both incorporated the language of equal opportunity from the civil rights movement.  Whether these changes represented a change of heart or merely change of strategy is beyond the scope of my argument here.  My focus in this lecture is on the changing rhetoric of reform, and in both cases the change helped broaden the appeal of the reform effort by expanding the reasons for joining the movement.  In their original form, both movements ran into significant limitations in their ability to draw support, and both turned to a very effective political argument from the civil rights movement to add passion and breadth to their mode of appeal.

A Nation at Risk made a strong case for supporting educational standards and accountability on the grounds of social efficiency.  Whereas this approach was necessary and effective in encouraging governors and legislators to pass enabling legislation at the state level, it was not sufficient to gain the support of Congress and the general public for a national standards initiative.  Talking about education as an investment in human capital made the reform sound sensible and prudent as a matter of general policy, but it was difficult to get people excited about this effort.

A Nation at Risk made a political appeal in a manner that was limited and not terribly effective.  Both the first President Bush and President Clinton used this strategy in trying to launch a national standards policy and both failed.  However in January, 2002, the second President Bush signed into law a wide-reaching piece of standards legislation passed with broad bipartisan support.

The title of this law explains the rhetorical shift involved in gaining approval for it:  The No Child Left Behind Act.  Listen to the language in the opening section of this act, which constitutes the most powerful accomplishment of the school standards movement:

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. This purpose 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;

(2) meeting the educational needs of low-achieving children in our Nation’s highest-poverty schools;

(3) closing the achievement gap between high- and low-performing children….

What we find here is a marriage of the standards movement and the civil rights movement.  From the former comes the focus on rigorous academic subjects, core curriculum for all students, and testing and accountability; from the latter comes the urgent call to remediate social inequality by enhancing educational opportunity.  The opening sentence captures both elements succinctly:  “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.”

Choice 2.0:  A Parallel Appeal to Equal Opportunity

The school choice movement had a rhetorical problem that was similar in some ways to the one facing the standards movement ways, and the message of equal opportunity worked just as well for choice reformers as it did for standards reformers.  What was similar about the choice problem was the difficulty in selling choice as an exercise in effectiveness.  Chubb and Moe stressed that market-based schools are more effective than politics-based schools, but effectiveness alone is not the kind of issue that mobilizes the citizenry to support a major change in the way schools are structured.  That is particularly the case for the choice movement, since the proposed transformation was such a radical departure from the time-honored pattern of school governance established in the common school era.  Standards reformers were tinkering with curriculum and tests; choice reformers were attacking the democratic control of schools.  It is hard to win a political fight in the U.S. if you cede the pro-democracy position to your opponents.  Compounding the problem was the possibility that market-based schooling would exacerbate social inequality by allowing schools to segregate themselves along lines of class and race in response to consumer preferences.  If the possible benefits were defined only as greater school effectiveness and the possible costs were defined as a retreat from democracy and equality, then the battle for school choice looked hopeless.  A series of ballot failures in proposals for school vouchers seemed to confirm this judgment.

In the late 1990s, however, the politics of school choice became more complex with the introduction of a new rhetorical approach to the choice movement’s repertoire.  The key change was to introduce the issue of equity in addition to efficiency.  Adding equity changed the valence of the choice argument.  Instead of being seen as a threat to social equality, choice now could be presented as a way to spread social opportunity to the disadvantaged.  One account put the issue this way:

We have always had school choice in the United States, through the right of parents to send their child to a private school and through the ability of parents to pick a public school for their child by choosing where to live.  Clearly, affluent parents have typically been the main beneficiaries of these forms of school choice.

Another added the kicker:

We must give low-income and working-class parents the power to choose schools – public or private, nonsectarian or religious – where their children will succeed.  And we must give all schools the incentives to work to meet children’s needs.

This shift toward a rhetoric of equal opportunity dramatically changed the way the choice argument was received, and also it transformed the political complexion of the effort.  Once favored primarily by libertarians, economists, and free market Republicans, it was now able to pick up support from a variety of sectors.  Adding equal opportunity to the argument helped broaden the appeal of both the standards movement and the choice movement.

Developments since Publication of the Book

Let’s look at the changing landscape of education policy in the United States in the last half dozen years.  On the surface, the changes have been substantial.  In 2015, the federal government passed the Every Student Succeeds Act (ESSA), which replaced the 2001 law known as No Child Left Behind (NCLB).  The latter had, for the first time, thrust the federal government directly into the realm of educational policy, which had traditionally been the responsibility of the 50 state governments.  It constituted the triumph of the movement for educational standards, which had been advancing at the state level since the 1980s.  NCLB compelled states to establish standards for the curriculum used in local schools and to hold schools accountable through state-wide tests that would assess how well student achievement was meeting these standards.  The policy was aimed at accomplishing two goals, to reduce the inequality of schooling available to students from different social and ethnic backgrounds and to promote economic development by raising the level of educational outcomes.  In the language of the book, the first was an expression of the social mobility goal and the second of the social efficiency goal.  I argue that these two goals, along with the democratic equality goal, have framed the politics of education in the U.S. throughout its history over the last 200 years.

ESSA was an effort to ameliorate some of the resistance that had developed to NCLB in the previous decade.  Some of the opposition came from the political right, which saw the law as an egregious intrusion on states’ rights.  Additional opposition came from the educational establishment, which was unhappy with the impact that rigid testing requirements had on the ability of school systems to carry out their work effectively.  ESSA softened the accountability requirements on states and provided greater latitude for state policymakers to craft their own approaches to meeting broad standards for both elevating student achievement and reducing the achievement gap.  At the same time that NCLB was stirring up resistance, so did the effort to develop a Common Core curriculum that would cut across state boundaries.  In response, the Common Core effort continued at the state level, but under conditions that gave more freedom for states to deal with this process on their own terms.

Then came the presidential election and a dramatic change in educational policy that came with the election of Donald Trump.  In the new administration, the federal Department of Education shifted dramatically in favor of school choice, putting its weight behind charter schools and school vouchers.  It also loosened the restrictions on for-profit higher education that had been imposed by the Obama administration.

These policy changes had more impact on the surface of the American educational system than on its core.  Education remains primarily a function under the control of state and local government.  And the basic structure of the system, as spelled out in my book, remains largely the same.  The consumer is still king in shaping the dynamics of the system of schooling at all levels, with government policy playing a secondary role.

Conclusion

This has been a story about the changing rhetoric of American educational reform.  We have seen a transition from a political vision to a market vision of education, from a focus on education as a way to create citizens for an emerging republic to a focus on education as a way to allow citizens to get ahead in a market society.  During this century and a half, however, we have not seen the political argument for education disappear.  Instead, we have seen it become transformed from the argument that education promotes civic virtue among citizens to the argument that education promotes social mobility among consumers.  In the latter form, the political vision of education has retained a strong rhetorical presence in the language of educational reform.  Yet the persistence of a political argument for education has come at a cost.  Gone is the notion that schools exist to promote civic virtue for the preservation of a republican community; in its place is the notion that schools exist to give all consumers access to a valuable form of educational property.  This is a political vision of a very different sort, which transforms education from a public good to a private good, and from a source of political community to a source of economic opportunity.  By undermining education as a public good and empowering educational consumers, this privatized and pragmatic vision of the American school system is directly at odds with the public and communitarian vision of Horace Mann.