Federal Higher Education Policy Framework - Case Study Example

HIGHER EDUCATION FRAMEWORK In the atmosphere of globalization, there have been inadequacies identified within the educational system, since the U.S. workforce has been found to be lacking in the skills required within the global workplace. There are several factors shaping and affecting the educational environment in the country including Federal and State initiatives. As part of a larger strategy of human capital investment to strengthen the economic base, this paper discusses the relevant federal higher education policies, while drawing more broadly on education bureaucracy and policy expand access to higher education within the State of West Virginia, especially for the state’s most impoverished residents. This framework will develop this framework of some of these factors and through an application of Weiss’ Theory of Action (1998). Higher Education Policy Framework Introduction Increasing globalization has resulted in a competitive environment wherein education plays a vital role in strengthening the economic resources of a nation. For most Western democracies, higher education has become the critical link to future economic success (Alexander, 2000, p 413). In order to enhance competitiveness in the international marketplace, Governments are increasingly focusing on the need to improve the quality of human capital, a product of higher educational institutions. In the past, a high school diploma was considered adequate. However the role of post secondary education has become increasingly important as a factor in enhancing productivity. In the early 1990s, the Government launched an ambitious State based scheme via the No Child Left Behind Act which seeks to make school districts accountable for ensuring that all students are provided with a basic education. But State funding has not kept pace with this development and funding gaps have developed between high poverty and low poverty districts. (Carey,2004, p 1). In 2002-2003, the funding gap for poor students in West Virginia was estimated to be about $417 per student (Carey, 2004, p 5). Numbers can be used as a measure of a policy problem (Stone, 1997) and the funding gap indicates a serious policy problem at state and Federal levels. Poverty in a region is inextricably linked to low wages between $5.75 to $6 per hour, as researchers have shown (Churchill,1995; National Alliance of Business 1997) and the funding gap for education exacerbates the problem of lack of job skills. Workers can acquire such job skills only through improved education (Murnane and Levy, 1997). In small, rural states where the practice of post secondary education is not well established and fragmented public programs (Carnevale, 1999, p 48) have caused increasing numbers of impoverished, inadequately trained adults (National Alliance of Business, 1997). Government has recognized the urgent need to improve educational facilities and training in order to place people from rural states on par with the global marketplace, so that workers possess the job skills that are required in the current global market. The Federal School to Work Opportunity Act was signed into law in May 1994 (Emanoil 2001, p 20). Federal educational policies have been revised and strengthened in past years in order to enhance the skills of American workers through continuing education. The Presidential Budget of 2002 for example, was especially relevant for a State like West Virginia since it mooted further initiatives on the highly successful “No Child Left Behind” Act, which has focused on ensuring that every child is able to acquire at least a basic education. Under this scheme, federal education funding for West Virginia was increased to more than $340.4 million to improve local schools and has increased the Federal Pell Grant to $86.5 million to ensure that more students are able to gain access to a college education (www.whitehouse.gov). The However, funds available to each State are still limited and therefore the Department of Education has initiated many schemes other than the No Child Left Behind (NCLB) scheme to expand access to education. These schemes include increasing grants for students, introducing information technology to expedite and more efficiently process student federal aid applications, streamlining its debt consolidation and other measures to ensure optimum and efficient distribution of funds, special education and rehabilitative services, including online extension of education, teacher training programs, etc.(www.ed.gov). However, the area where there has been the most progress is in introducing financial accountability data integrity and effective financial management. Measures have also been introduced to ensure equal opportunity for everyone in education, irrespective of their gender, nationality, race or ethnic group. The State of West Virginia has also introduced higher subsidies for educational purposes and increased availability of loans and grants to those who wish to continue with their education. For example, grants to local educational agencies for the No Child Left behind educational programs were pegged at $103 million dollars for the year 2005, but the proposed raise for 2006 is to $180.3, while funds for education in rural areas which are currently at $3.3 million are projected to rise to $5.8 million in the 2006 Federal Budget for West Virginia (Report, 2006). The focus of this report and the objective is to prepare a detailed plan of action that could be considered by the State of West Virginia, based upon the factors that may be identified as contributing to the long-term economic health of the State. Two important aspects arise in this respect, as detailed hereunder: (a) Legal decisions of the Courts which have mandated equal opportunity in education and the role of law in developing appropriate standards (b) financial incentives, loans and grants to be secured from Federal and State sources to provide access to higher education to the rural poor in West Virginia. At the Federal level, the case of San Antonio v Rodriguez was contested on the grounds of education being a fundamental right and inequalities in distribution of education finance being tantamount to wealth discrimination.(www.ncsl.org). The case was unsuccessful, however at the State level, Serrano v Priest in California and Robinson v Cahill in New Jersey are examples of cases where the State education Clause mandating a “thorough and efficient education” was found to have been violated. As a result, education reform has set in and legal parameters are being established through the education clause, mandating certain minimum requirements in the education system. On an overall basis, State courts are requiring State Governments to provide the rationale for determining funding levels and to a great extent, the level of Federal funding has become dependent upon performance measures, such as how may students are being successfully educated through the higher education system. Performance based planning and funding by Government that arises out of the measurement of outcomes in order to monitor the effectiveness of colleges, is nothing more than a desire to extract accountability from State Boards (Layzell, 1998, p.104). In fact, many of the proponents of reduced Government funding for education assert that it is a necessary measure to ensure that institutions of higher education become more efficient in their operations (Gumport, Iannozzi, Shaman and Zemsky, 1997). The advances in technology have played a crucial role in this increasing demand for accountability, since the various sectors of higher education are increasingly being viewed by State Governments as the means to enhance worker skills in the use of technology to strengthen the state’s economic position and contribute to increased productivity (Alexander, 2000, p 412). Therefore, in view of the importance of post secondary education in improving job prospects and contributing to the pool of skilled work forces available in the Country, the State of West Virginia would need to develop an educational framework to improve worker skills and ensure the economic health of the State (Heller, No date). Conceptual framework A theory has been defined as “a set of well developed concepts related through statements of relationship, which together constitute an integrated framework that can be used to explain or predict phenomena” (Strauss and Corbin, 1998, p 15). According to the Theory of Action framework laid out by Weiss (1998), the effectiveness of a change that is implemented will depend upon the results that are achieved, therefore this theory proposes a performance based conceptual framework in implementing change. The “Theory of Action” plan of evaluation requires a focus on the results that occur based upon the real operating design utilized in an intervention (Weiss, 1998). The first step in this process is mapping the theory of action and designating the steps for the evaluation process. This involves the identification of significant variables that must be taken into consideration while implementing a change. One of the most significant variables that must be taken into account in framing a realistic and workable policy is the addressing of the social inequities that exist, which have contributed to educational imbalances and consequently economic inequalities. According to Gordon (1984), single motherhood is now so prevalent that it has become a social phenomenon (p 15). They have been perceived thus far from the perspective of welfare recipients not entitled to entitlements than other sections of society, such as the elderly and unemployed received (p 211). Similarly, the interests of certain racial groups such as blacks have not been protected, largely due to the “white notion of welfare” (p 119). This has produced sections of society who have been denied a quality education and the opportunity to pursue their dreams, which is being partly redressed by the No Child Left Behind Act, that provides for basic levels of education for every child. Therefore it is necessary for policy initiatives to draw that distinction between “insurance” and “assistance” that currently exists within the Social Security system in order to develop the system of entitlements in a manner that will be more equitable to the poorer and female sections of the society, so that they can pull themselves out of the category of recipients of ‘charity” and become productive, contributing members of society instead (Gabe and Falk, 1995; Vobejda, 1996). Equal access to education for all social groups is another important aspect that must be considered in designing the framework map. Another significant variable that must be taken into account is the adherence to legal principles that have been set up through legal precedent. The separation of Church and State have been spelt out in several legal cases such as McCollum v. Board of Education (1948), Engel v. Vitale (1962), Abington School District v. Schempp (1963), West Virginia State Board of Education v Barnette (1943) in the implementation of educational policies. Educational reform is being carried out as a function of the Education Clause and therefore, collaboration between the State and the law appears as a viable plan of action to ensure that educational goals set out in the law are met.(Hubert 1999, p 2) Providing equal access to educational opportunities to all racial and ethnic groups is necessary, since under the law as established in the Education Clause makes education an inalienable right. This will therefore be an important aspect of policy making that can be facilitated by making loans, funds and grants available on a more wide ranging basis to enable more students to pursue their higher education (Carey, 2004). In this connection many school-to-work programs have been introduced in order to educate the US workforce better (Emanoil 2001, p 20) and this is yet another variable that must be factored into the framework in order to ensure that education is adequately funded and geared towards acquisition of job skills necessary at the workplace. In West Virginia, in a case that was contested in 1975 on the violation of the right to a “thorough and efficient education” the Courts have laid out the standard for the education system which should “develop, as best the state of education expertise allows, the minds, bodies and social morality of its charges to prepare them for useful and happy occupations, recreation and citizenship, and does so economically" (www.ncsl.org). Legal precedents have also been set out for the provision of equal access to education finance for a greater number of applicants, thereby significantly affecting education reform and establishing the two basic criteria that must be met at the policy levels – (a) schools must be funded equitably and (b) schools must be funded at an adequate level(www.ncsl.org). It may be noted that while equity in education funding at the college level may be in the process of implementation, there is additional litigation being advanced to secure “adequacy” on the basis level of funding that is required for a proper education. This must be spelt out by the State in laying out the basic academic parameters that constitute a thorough education, through the provision of adequate levels of funding to ensure that the minimum standards are met. (www.ncsl.org) The above variables that have been identified can be seen to be dependent upon each other, with the dominant variable being social equity, which must be addressed in the policy framework. According to Hubert (1999) educational equity up to the K12 level can be achieved through active collaboration between lawyers and educators, which will comprise the following steps: (a) setting out the requisite standards (b) the planning stage where deficiencies in the existing system are also identified and existing plans and programs reviewed (c)interaction at state and local levels to design necessary program requirements after taking into account all special needs and requirements (d) program design assessment (e) implementing and monitoring the program (Hubert, 1999, p 362). The variable of entitlements is directly dependent upon economic status, which in turn is conditioned by poverty and racial considerations, thereby creating inequalities in the access to higher education. Therefore, while developing a framework that will be able to address these social needs that have been identified, it becomes necessary to extend Hubert’s proposed framework to the higher education levels and integrate them with the legal principles that have been established mandating equality of access to education finance, so college is removed from the province of an elite few to make it more accessible to the many. (Hubert 2000) One independent variable that occurs in this analysis is the issue of merit that was once the guiding criterion for continuing education. However, even this independent variable is indirectly related to the general framework of implementing equity in education, since there are a large percentage of students who belong to economically disadvantaged sections of society and require equity in access to education funding in order to ensure that the merit is utilized to contribute towards enhancing the productivity of the State of West Virginia. The Education FY 2006 budget has earmarked an additional $33 million to provide enhanced Pell grants for State scholars and an additional $1000 for freshmen who took challenging courses in high school. Additionally $395.8 million dollars have been provided for increased funding of Federal Student loans so that greater access is provided for students to a college education. (Report, 2006) Literature Review The increasing economic pressures have led to the corporatization of higher education and as such are impinging upon the autonomy of educational institutions (Bok, 2003). The traditional methods of student selections made on the basis of merit lead to exclusivity, but in the present day and age, higher education is being made universal through massification (Alexander, 2000, p 413). There are many low-income students with outstanding academic merit, who can succeed through increased funding for low-income applicants and improved access to funding. The Higher Education Act of 1965 established the Basic Educational Opportunity Grants at the Federal level, known as Pell Grants (Heller n.d.). Grants and Scholarships are offered for meritorious students from several private and public sources. The availability of funds from Federal sources has been introduced to help more students acquire a post secondary education (Mumper,1996). Additionally low interest loans are also available from Federal sources (Stafford loans for example), which offer low interest rates and flexibility in repayment schedules. Due to the differences between family resources of white and minority students who are more prevalent in rural West Virginia, poor students often depend upon state and federal funding in order to gain access to a post secondary education (United States Census Bureau, 2002). State based merit scholarships were first initiated through the HOPE scholarship program in Georgia that provided full tuition fee for publicly funded institution and $3000 for private institutions. The State of West Virginia also provides opportunities for poor, meritorious students to gain access to higher education through its PROMISE scholarship which is funded through the lottery and entertainment taxes. In the year 2005, Promise received $10,9 million in general revenue and $27 million from video lottery. Currently, about 10,000 students are benefiting from the promise Scholarship and 3000 incoming freshmen received Promise in 2005. Promise pays tuition and mandatory fees at any public college or equivalent private college and the amount per student was $3326 for the 2005-2006 school year.(www.promisescholarships.org). Since Promise contributes the full tuition fees for a public institution or a comparable amount at a private college, it thereby opens doors of opportunity to students who maintain a high GPA and procure high SAT scores (Keller, n.d., p 5). The reason for the initiating this scholarship has been cited as follows on the State’s website: “Several other studies have found that the quickest and most effective way to motivate students to study harder and to achieve in school is to offer students the opportunity to attend college tuition free” (Promise Scholarship program, 2002). Educational policy cannot fail to take into consideration the non-traditional entrants into the field of higher education – women, older and handicapped students and students from low income and minority backgrounds - if standards of equity are to be met. Effective financial management and allocation of scholarships is now being carried out by the federal department of Education which has provided greater access to financial students for poor students (www.ed.gov). Moreover, West Virginia has been selected as one of four states in a long term strategic planning project for higher education. The aim of this initiative is to identify workable policies and gather support for them, while also identifying the limitations that exist in the current system and making provision for addressing those weaknesses (www.wvhec.org) The educational system is increasingly being found inadequate in producing skilled workers who are able to function effectively in the workplace. Median annual earnings for male high school diploma holders dropped from $28,000 in 1979 to $21,000 in 1997 (Murnane and Levy, 1997), which provides an indication that the gap between worker skills and workplace requirements is increasing. Between 2000-2003, median family income fell by an entire 3%, the largest gap between two series, even going back as far as 1947 (Bernstein 2005). Does college education close this gap and provide students with the additional technological skills to be effective in the present day workplace? The statistics indicate otherwise, because as of the year 1990, 20% of the U.S. workforce held jobs that did not require a college degree (Kangas, n.d.), indicating that there was glut of over qualified people at the top, as a result of which many of them are being displaced downwards, making it even more difficult for non-graduates to secure jobs. As of 2004, only 30% of the workforce held jobs mandating a college degree. (Bernstein, 2005). The welfare reform legislation which was signed into force in 1998, has introduced the Personal Responsibility and Work Opportunity Act, that operates upon the principle of “work first” as opposed to the “training first” option that was in force before. A broad based training policy has proved to be difficult to implement, since the U.S. labor market is fragmented (Carnevale, 1999). Thus, the Workforce Investment Act was also introduced to reform the Government training programs for welfare recipients (Haittiangadi, 1998). The School to Work program was first initiated in Broome County in New York State in 1990, in an effort to implement the German apprenticeship model in the United States school curriculum (Emanoil, 2001), and prepare students better to make the important transition from school to workplace. Subsequently, it has been implemented nationwide as the School-to-Work opportunities Act of 1994 which has introduced vocational and apprenticeship programs as a part of the high school curriculum (Schaffer, 1999). While some laud this effort, there is also opposition to this on the basis that the end result may be only that the child is trained at a menial level job, which may be quite distinct from his visions, dreams and aspirations (Schaffer, 1999, p.29). Typically, students from low income groups are gravitating into this category, since they are disadvantaged in terms of gaining access to funds for college education. Their categorization as those living on “charity” and therefore to be pitied, ensures that they are unable to lift themselves out of the pit of poverty, through the kind of entitlements which are provided to other disadvantaged groups.(Gordon 1995). Parts of West Virginia, comprising a predominantly poor, female populace, are still viewed in this way, as these women are not receiving entitlements and are often not eligible for additional entitlements. The maternalist assumptions behind Mothers Aid were "actively transported" into the ADC by a "coherent network of welfare agitators" (p. 67). But welfare reforms that are being proposed are unlikely address the issue of entitlements and therefore, ensuring adequate distribution of finances arises as the most vital requirement of the Education Framework. A careful consideration of all the factors assessed in the literature review above shows that (a) there is an overwhelming need for education policies to address financial issues in the sphere of education as a result of economic inequalities generated by a variety of factors such as inequitable Social Security entitlements, (b) there is the need to maintain equity and respect for all groups in the dissemination of education, the need for equitable funding access for all groups, not only for higher education but to ensure basic education and (c) the need to design study-work programs on a voluntary basis to increase the skills of the workforce. The overwhelming need that is identified is the lack of funds accessible to students from the poorer sections of society and therefore policies must be tailored to meet this need and address it successfully in order to ensure that the goals of improved skills that is the desired objective, is achieved. Hence the most important aim is the achievement of job skills and equity in education finance is the means to achieve this end. Conclusions and the development of a broad based State education framework How then should the West Virginia workforce be educated to expand access to higher education, particularly for the state’s most impoverished residents? In the context of West Virginia, the best solution would appear to be that of adopting a framework providing for equity in finance education, in order to provide greater access to funds for college. Hubert’s K-12 framework School to work programs can be introduced on a voluntary basis, so that those students who wish to opt for it may. Others retain the freedom to pursue academic education if they should so choose, in order to enhance their academic skills and contribute to the nation in that manner. Education must remain flexible and adjustable to suit the needs of the students and the workplace. Economic development involves training and apprenticeship, however making it voluntary is likely to have a more positive effect than implementing it on a compulsory basis. Applying the Theory of Action (Weiss, 1998) be modeled on a three-point frame as follows: The State level Theory of Action has an effect upon > District and local level theories of action, which are set out in > Equitable education funding including all the low income groups which leads to> Improved skills of workers in the workplace. The Higher Education Plan is affected by> Federal loans and programs which are aided by> State level scholarships and grants which provide for Access to college education for the rural poor. The State of West Virginia education framework will therefore be seen to be the lever that stimulates change at the lower levels and ensures that funds secured at the State level are transmitted down to the local levels in order to implement equity in education finance. Goals that will be identified for evaluation in this Action plan are (a) equitable availability of education finance and (b) improved skills of the emerging workforce. These may also be classified as the targets that are set for change. This may be represented diagrammatically as follows: Figure 1: Theory of action: Figure 2: Theory of Action for Higher Education: In terms of implementation, the basic theory of action framework Plan will operate at a dual level – district and local levels (schools and teachers) and this may be shown as follows: TIER 1: DISTRICT LEVEL Activities 1. Introducing information technology to facilitate accurate assessment of financial need distribution of funds 2. Introduce voluntary study-work programs in curriculum and distribute information on such programs among the public Intended outcomes 1.a. Ensuring accuracy and equity in distribution of funds 1. b. Ensuring efficient financial management 2.a. Impart workplace skills Change Theory 1.a.i. The allocation of funds is not properly structured and managed leading to lack of data integrity and irregular distribution of funds 2.a.i Present system of education inadequate, new framework likely to bring about improvements TIER 2: LOCAL LEVEL Activities Multiple level changes in administration, curriculum and instructional techniques Intended outcomes Improvements in funds access, instruction and skills Change Theory Students will have access to better funds and education including workplace skills, which they dont have now However, at the higher education level, it will be designed as follows: TIER 1: Federal Level Activities 1. Increased Federal Pell and other grants 2. Increased amount of loan monies for distribution Through flexible Stafford loan and private loans Intended outcomes 1. Providing finance for college to more students 2. Improved low interest financial alternatives for college Change Theory 1. Most rural families don’t have money for college So this will provide help for deserving students 2. Rural students cannot close gaps in funds needed For college so loans provide flexible options for repayment TIER 2: State LEVEL Activities 1. Disseminate information about Promise loan 2. Encourage private parties to contribute loans for Poor students Intended outcomes Improvements in access to funds for college Change Theory Students will have access to better funds and education Which will help more students to go to college. The education framework is only a general overall policy goal, however “[P]olicy instruments translate substantive policy goals into concrete actions” (Fowler, 2000, p. 249). There are several ways by which the policy measures can be implemented and Fowler (2000) identifies five of these policy instruments as : mandates, inducements, capacity building, system change and hortatory or persuasion. On the basis of the desired outcomes, some actions can be identified, such as (a) dissemination of information across a wider spectrum of the school going population to make them aware of higher education opportunities – this could be accomplished at the local level by including teachers and counselors (b) introduction of work study programs that would help students to earn some money while they are working (c) introducing more loans and grants which may be available to wider sections of the poor students. However in the implementation of policy on work study programs for example will function as inducements rather than mandates since mandates generate hostility in the public that is forced to comply with them (Fowler 2000). The fact that multiple level organizational and instructional changes are visualized means that there is the capacity building factor that will be involved in the implementation of the programs envisaged, including system changes in order to ensure that all the rigid, old ways of managing education and education finance are restructured to reflect new flexibility to adapt to global changes in the environment. Fowler (2000) advocates capacity building and system change which help to ensure long-term benefits and achievements of the goals that have been set out. References Alexander, King F. (2000). The Changing face of Accountability. Journal of Higher Education, July/August 2000, 71 (4), p 411-432 Abington School District v. Schempp (1963) : 374. U.S. 203 Bernstein, Jared, 2005: Testimony before the Committee of Health: The 21st century workforce: Preparing for tomorrow’s employment trends today. [Online]; available at: http://help.senate.gov/testimony/t312_tes.html; retrieved 10/7/2005 Birnbaum, R. (2000). Policy scholars are from Venus; policy makers are from Mars. Review of Higher Education, 23(2), 119–132. Bok, Derek. (2003). Universities in the marketplace: The commercialization of higher education. Princeton, NJ, Princeton University Press Carey, Kevin, 2004. The Funding Gap 2004: many States still shortchange low income and minority students. Report of the Education trust. [Online0 Accessed 10/5/2005: http://www2.edtrust.org/NR/rdonlyres/30B3C1B3- 3DA6-4809-AFB9-2DAACF11CF88/0/funding2004.pdf Carnevale, Anthony P. (1999). Beyond consensus: Much Ado about job training Brookings review, 17(4) Churchill, N. (1995). Ending welfare as we know it: A case study in urban anthropology and public policy. Urban Anthropology and Studies of Cultural Systems and World Economic Development, 24(1), 5-35. 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(2002) “Welcome to promise” [Online} Available at www.promisescholarships.org. Charleston: West Virginia Report, 2006. President Bush’s Historic Investment in Education :2006 Budget Good News for West Virginia’s Children . [Online]; available at: http://www.ed.gov/about/overview/budget/statefactsheets/westvirginia.pdf Strauss, A and Corbin, J. (1998). Basics of Qualitative research. Techniques and procedures for developing grounded theory, 2nd ed. Thousand Oaks, CA, Sage. Stone, Deborah, 1997. Review of policy Paradox: The Art of Political decision Making. New York: WW Norton Schaffer, Robert W. (1999). The Education system should not emphasize work skills. Excerpted from Q. Is President Clinton’s School to Work program good for students? No. Insight on the news. “The President’s budget and West Virginia”: [Online] Available at: http://www.whitehouse.gov/news/usbudget/states2002/wv.html; accessed 10/3/2005 United States Bureau of the Census. (2002). Table FINC-03, presence of related Children under 18 years old – all families, by total money income in 2000. [Online] Available at http://ferret.bls.census.gov/macro/032001/famine/new03_000.htm) Washington D.C. * Vobejda, B. (1996, September 22). Welfares next challenge: Sustained employment. Washington Post, p. A1, A2, A12. Weiss, C. H. (1998). Evaluation: Methods for studying programs and policies. Upper Saddle River, NJ: Prentice Hall. Chapter 3. West Virginia State Board of Education v Barnette (1943): 319 U.S. 624. West Virginia Higher Education Commission, [Online] Available at: http://www.wvhepc.org/ President Bush’s Historic Investment in Education 2006 Budget Good News for West Virginias Children http://www.ed.gov/about/overview/budget/statefactsheets/westvirginia.pdf Read More