©Kamalova / Images.com I n April 1983, the National Commission on Excellence in Education, commissioned by Secretary of Education T. H. Bell, began its report with these words: “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 commission’s report, titled A Nation At Risk, with its alarming rhetoric and clarion call for change, turned the national spotlight on the need for educational reform and gave impetus to reform efforts over more than two decades. Now another commission, this one appointed by Secretary of Education Margaret Spellings, has sounded similar alarms about higher education in its report, A Test of Leadership. Is this, to quote Yogi Berra, “deja vu all over again”? Might educators and policymakers be forgiven for expressing “reform fatigue” and wondering whether another commission report can make any difference? “Reform fatigue” is understandable, but it is not forgivable. Political and educational leaders need to reflect on what we’ve learned since 1983, digest this report, consider its implications, and then act to meet their responsibilities. Paul E. Lingenfelter is president of the State Higher Education Executive Officers (SHEEO) organization. Previously he was vice president for the program on human and community development at the John D. and Catherine T. MacArthur Foundation and, prior to that, deputy director for fiscal affairs at the Illinois Board of Higher Education. He retains the copyright for this article. 13 HOW SHOULD STATES RESPOND TO A TEST OF LEADERSHIP? B y Pau l E . L i n g e n f e lt e r What Have We Learned Since A NATION AT RISK? First, the global knowledge economy has arrived as predicted, and it is gathering steam. In The World is Flat, Tom Friedman persuasively explains how technology and business innovation have given us, for the first time, a truly global economy. Capital now skips from country to country in search of able workers at the lowest possible price. And that’s not just at the low end of the economic spectrum—people around the globe are acquiring advanced knowledge and skills as the means to a better life. Just like U.S. factory workers, our knowledge workers must be worth their cost in the world economy or their jobs will inexorably move offshore. A Nation At Risk got some of the details wrong, however. For instance, it worried about competition from Japan. In 1983 few expected that by the beginning of the next century, the fastest-growing economies in the world would be in Brazil, Russia, India, and China. Goldman Sachs now predicts that by 2050, their collective economies will be larger than the combined economies of the G-6—the largest industrialized nations today —the United States, Japan, the U.K, France, Germany, and Italy. Second, we’ve learned that complacency about educational attainment is dangerous and unwarranted. The earlier report took comfort in our wide lead over European nations in postsecondary participation, but the U.S. now ranks behind six other countries in the percentage of degree attainment for 24-to-35-year-olds. And another threat looms: Neither China Change ● January/February 2007 nor India was mentioned in A Nation At Risk, but each now produces, from its larger population base, roughly three times as many college graduates as the U.S. Our comfortable advantage over other nations was lost in a single generation. Without intensified effort and renewed determination, the next generation will fall well behind our global competitors. Third, what we considered “aboveaverage” educational attainment a generation ago has become mediocre today. In 1946 the goal of universal education beyond high school seemed idealistic when it was enunciated by the Truman Commission, which the President set up to explore the responsibilities of U.S. higher education in post-war society. Now, the average American must have the knowledge and skills formerly needed by only the top 20 percent of students. In developed countries, universal postsecondary education has become essential for individual and national prosperity. Fourth, we’ve learned that educational progress is slow and hard. The American people did not ignore A Nation At Risk. Twenty years of effort have made a difference, even though other nations have improved more rapidly than the U.S. But we’ve discovered no quick fixes or easy solutions. We’ve struggled with denial and resistance and learned that every reform strategy has what Paul Hill and Mary Beth Celio, in Fixing Urban Schools, call a “zone of wishful thinking,” in which reformers assume that once a single aspect of educational practice is changed, other essential conditions will automatically fall into place. To the contrary, assembling and implementing all the ingredients of a successful intervention is painfully slow, at best. Educational progress seems to take all the wisdom, discipline, and perseverance we can muster. Fifth, the issues identified in A Nation At Risk—the content of school curricula, student aspirations, time on task, and teaching— still are relevant and require attention. Although it took 20 years for us to address curricular issues seriously, many state and national initiatives now motivate or require students to prepare for college or work by taking a rigorous high-school curriculum. Student expectations have risen (80 percent of high-school sophomores expect to 14 get a baccalaureate degree), but the aspirations and participation of able students in low-socioeconomic-status families still lag well behind those of their more advantaged peers. Despite progress in the elementary grades, we still fail to require or inspire high school students to devote adequate time to instruction and homework. Since A "Reforms" that fail to touch what students and faculty do and how they do it won't change the results of the system. Nation At Risk we have accumulated compelling evidence that good teaching makes a difference; we have developed a robust consensus on the essential components of good teaching; and we have learned how to prepare, employ, and retain good teachers. But we still have failed to implement broadly the changes necessary for widespread teaching excellence. Why is the Commission's Report Important? A Test of Leadership contains few surprises for those who have followed higher-education policy in the United States over the past quarter century. Its findings and recommendations focus on six familiar issues: access, cost and affordability, financial aid, learning, transparency/accountability, and innovation. The report’s importance lies not in fresh analysis but in calling for an end to complacency. Public discourse about higher education has been astonishingly shallow. Many educators are in the habit of quoting The Economist and other supporters who congratulate the United States for having the “world’s finest system” (or non-system) of higher education, while warning that it will deteriorate without more money. In response, policymakers, blithely accepting the claim of world leadership, have been dismissing the call for additional resources as special pleading from a valued, but notoriously insatiable, interest group. They note that The Economist (using statistics of dubious validity from the Organization for Economic Cooperation and Development) also reports that U.S. higher education spends twice as much per student as the OECD average. Higher education does get a lot of attention in the United States, but the national media, and too often policymakers, have focused obsessively on admissions policies and costs at the most selective institutions. These institutions are an invaluable asset, but most of the Change ● January/February 2007 nation is educated elsewhere. A recent McKinsey analysis indicates the top private institutions educate only 2 percent and public research universities 7 percent of undergraduates. And although their market share is larger in graduate education, even there the most selective institutions educate only 22 percent of the total. Significant improvement in the education of the average American is the most urgent imperative of the 21st century for higher education. But the most spirited public discourse has been about money. Rising tuitions and concomitant demands for more student financial aid have prompted intemperate public exchanges between educators and members of Congress. And the commission report weighs in on this topic, opining that “public concern about rising costs may ultimately contribute to the erosion of public confidence in higher education.” While money is important, neither less money spent nor more money provided is the answer. The bottom line is whether the American system of higher education can deliver the level of educational attainment needed by the people of the United States in the 21st century. That bottom line will surely take more money, but it will just as surely require changes in how higher education sees and performs its mission. What Should States Do? Ultimately, of course, learning and the advancement of knowledge depend on students, faculty, and the institutional context in which they do their work. “Reforms” that fail to touch what students and faculty do and how they do it won’t change the results of the system. But the primacy of faculty and students does not diminish the responsibility of the states to create the conditions necessary for their success. Whether or not American higher education passes A Test of Leadership depends a great deal on how the states respond. Although both federal and state policies and investments shape the conditions under which students and faculty work, the states—the “owner-operators” of public institutions—have more influence on what happens locally. State standards and policies shape preparation for college. State appropriations provide most of the support for instruction in public institutions, and state policies The Commission’s Recommendations To the disappointment of some and the relief of others, the commission’s recommendations stop well short of a detailed set of mandates for reforming higher education. But they do outline the critical issues and point toward the necessary changes. For one key question—what the maximum Pell Grant should be—the commission even sets a specific, ambitious target—70 percent of the average in-state public tuition (up from 48 percent in 20042005), to be reached in five years. Briefly, the commission’s recommendations are as follows: Access. The nation should commit to “improving student preparation and persistence, addressing non-academic barriers and providing significant increases in aid to low-income students.” Steps should include strengthening high-school preparation, aligning high-school work with college-level expectations, expanding administration of the 12th-grade version of the National Assessment of Educational Progress to allow the calculation of state-level results, and reducing barriers to transfer. Cost and financial aid. Here the advice is that “the entire student financial aid system be restructured and new incentives put in place to improve the measurement and management of costs and institutional productivity.” Change ● January/February 2007 The process of applying for financial aid should be simplified, and substantially more need-based aid should be provided from federal, state, and institutional programs. Suggestions for how to improve productivity and manage costs include eliminating regulatory and accreditation barriers, providing financial incentives for institutions that increase access and cut costs, and reducing regulatory burdens. Transparency and accountability. “Higher education must change from a system primarily based on reputation to one based on performance.” The Department of Education should collect and provide information on institutional outcomes and student performance; provide annual reports on college revenues and expenditures; and establish a privacy-protected information system that collects and analyzes student-level data as a tool for accountability, policymaking, and consumer choice. In addition, the report recommends that student learning outcomes be measured and reported at the institutional and state levels and that the National Assessment of Adult Literacy be administered at five-year intervals—to a sample large enough to provide state-by-state results. Finally, accreditation agencies should make performance outcomes the core of their institutional evaluations. Innovation. The Fund for the Improvement of Postsecondary Education (FIPSE) should be revitalized as one of several means of building a “culture of continuous innovation and quality improvement.” In addition, the use of information technology in instruction should be encouraged; federal investments in educational innovation should be coordinated; and new, interdisciplinary models of curriculum development and delivery should be employed. Life-long learning. The Secretary of Education, in partnership with states and other federal agencies, should develop a national strategy to create “better and more flexible learning opportunities, especially for adult learners.” The report urges the integration of policy, incentives for innovation, new delivery mechanisms, and the enhancement of student mobility, subject to rigorous quality standards. Global leadership in knowledgeintensive professions. To achieve this, increases are needed in federal and state investments in science and engineering; in collaboration among federal agencies; and in foreign-language training. Immigration policies should encourage study in the United States and should permit students with advanced degrees in needed fields to remain in the country. 15 Accountability for Better Results A little more than a year before A Test of Leadership was released, the National Commission on Accountability in Higher Education, under the auspices of the State Higher Education Executive Officers (SHEEO), issued its report, Accountability for Better Results: A National Imperative for Higher Education. Not surprisingly, both commissions called for a new sense of urgency and in several cases made similar, even identical, recommendations. But their thrusts differ in subtle ways. The SHEEO report reflects the operational perspective of the states, which govern, coordinate, and directly finance the public institutions that enroll three-quarters of the U.S. college students. Accountability for Better Results broadly defines the roles and responsibilities of the federal government, the states, accreditors, trustees, administrators, faculty, and students in improving educational performance. The federal government is respon- deeply influence everything from the operational resources available to institutions to the price of higher education and the aid available to low- and moderate-income students. And states appoint or elect governing and coordinating boards of public institutions, which allocate resources, set priorities, and are responsible for ensuring and increasing institutional effectiveness. Not much will change if the states continue with existing approaches and policies. But if they are determined to improve educational attainment, the steps below will help them reach that goal. • Establish a state agenda Some 40 or 50 years ago the agenda for higher education was clear: educate the baby-boom generation. The typical state strategy was to expand existing institutions and create new ones, especially community colleges. Currently, although the individual circumstances of the states differ, the nation faces a greater challenge: to educate a larger fraction of a still-growing population to a higher level of attainment. Greater scale, higher quality, and deeper penetration are required. But in too many 16 sible for providing educational opportunity and support for research on a national scale. The states play a critical role in building a sense of common purpose; setting explicit state objectives for participation, completion, and student learning; and marshaling state and institutional resources to achieve these goals. Institutions provide the instruction, service, and research to meet state and national purposes. They need resources; a clear focus on changing public needs; better tools for accountability, productivity, and continuous improvement; and the flexibility to do their work well. The SHEEO report argues that achieving better results requires explicit goals, shared responsibility, a division of labor, and shared accountability for improvement. Accountability improves performance, it asserts, only when clear goals and rigorous measurement of outcomes become tools for collaborative selfdiscipline and improvement. . places, higher-education policy has been on “automatic pilot” since the period of rapid expansion ended in the mid-1970s. A Test of Leadership sketches the lineaments of the task. States need to: • Improve the college-going rates of traditionally underserved groups; • Remove financial and non-financial barriers to collegiate participation (which in some states may entail building more institutions whose core mission is to educate large numbers of students well); • Increase institutional cost-effectiveness; • Increase graduation rates; • Insist on the public reporting of results; • Encourage innovation; • Improve the knowledge and skills of adults already in the workforce; • Ensure that learning outcomes meet the needs of employers and society; • Sustain the investments and working conditions in public research universities required for world-class research and the application of knowledge. To respond to this charge, states need a clear sense of purpose and a plan, including specific goals and a thoughtful strategy for pursuing objectives, monitoring progress, and working for improvement. For many states, this will require new initiatives and fresh policy approaches. There are signs that this is beginning to happen. In November 2006, the National Conference of State Legislatures’ Blue Ribbon Commission on Higher Education issued a forceful report urging state legislatures to define a broad higher-education agenda and to address the issues delineated above. In recent years some states—Oklahoma, Indiana, and Kentucky, to name three—have established ambitious educational goals and made measurable progress toward them. Oklahoma is moving toward its goal of being at the national average with respect to the proportion of its citizens with college degrees by 2010; Indiana has dramatically increased the percentage of students completing a rigorous high-school curriculum; and Kentucky is getting more participation, completion, and benefit from higher education after focusing on a broad, but explicit, performance agenda. • Develop policy capacity. A necessary condition of policy change is policy-making capacity. As recently argued by the National Center for Public Policy and Higher Education in its report “The Need for State Policy Leadership,” a strong, relatively independent entity with a clear charge to focus on highereducation policy and increase educational attainment is needed to: • Inform elected officials, educators, and the public about the essential, policy-relevant facts concerning state needs and performance in higher education; • Engage business and civic leaders and keep them involved in public leadership on educational policy; • Facilitate a process through which the state establishes meaningful, ambitious, and attainable educational goals and monitors progress toward them; and • Work with political leaders, educators, and members of governing boards to identify and make the changes necessary to sustain progress. Educational improvement takes time, focus, coherent action, and professional expertise. There is no substitute for gubernatorial and legislative leadership and support, but more is required for sustainable progress. Educational Change ● January/February 2007 State coordinating boards, which do have explicit policy responsibilities, have sometimes been thoughtlessly or deliberately designed, staffed, financed, and used in ways that ensure that they are weak, rather than strong, contributors to the decision-making process. Occasionally such agencies have been too closely controlled by the executive branch, resulting in a staff with a short-term perspective and an agenda with a partisan cast. Good public policy for higher education requires strong, independent leadership and a perspective broader than the particular objectives of any political leader or institution. Both elected officials and institutional leaders have an interest in making sure that statewide boards are populated with able and highly respected citizen Good public policy for higher education requires strong, independent leadership and a perspective broader goals and the machinery for achieving them must transcend terms of office and shifting political agendas and coalitions. The supporting coalition for educational reform must be broad and deep; only a strong, institutionalized policy entity can hold such a coalition together long enough for it to build a working consensus on goals and strategies and pursue them over time. Such responsibilities generally fall within the purview of the existing statewide governing and coordinating boards for higher education. But too often state governing boards have not been explicitly charged with (or have not assumed responsibility for) statewide policy analysis and implementation. And sometimes they have not acquired the staff capacity to be fully credible and effective on state policy issues. Change ● January/February 2007 than the particular objectives of any political leader or institution. leaders; that they are accountable to key parties (governors, legislators, educators, and the public); that they have strong staff leadership; and that they are trusted and used by governors and legislators to advise on public policy. Too often institutional leaders have viewed strong state policy leadership as a threat to their independence and legitimate ambitions. But the opposite is true when a state board maintains a tenacious focus on the public interest in higher education; creates an open process involving educational, political, civic, and business leaders; and demonstrates scrupulous respect for the different roles and responsibilities of institutional leaders and elected officials. After putting in place the tools for setting goals and sustaining progress, the states must focus attention and resources on the most fundamental issues identified by the Spellings Commission: access, cost, and performance. • Increase access. State policymakers must address every barrier to successful participation in postsecondary education. Higher-education boards need to work with their counterparts in K-12 to improve student preparation and to align high-school curricula and assessments with what students need to succeed in college. They also need to inform middle-school students about the importance of preparing for higher education, encourage their aspirations, and monitor their academic progress. Even if the federal Pell Grant reaches the goal of equaling 70 percent of public, four-year tuition, as the Spellings commission recommended, most states will also need to substantially increase their commitment to need-based financial aid to ensure that well-prepared low-income students enroll in, persist in, and graduate from college in a timely manner. While a few states have strong need-based financial-aid programs, most will find it necessary to improve and expand them. At the same time, as the commission so strongly argued, states and the federal government must simplify the process of obtaining financial aid, making sure that low-income students know aid is available before they “self-select” out of higher education. Concomitantly, states should make sure institutional support is sufficient to fund services for all the students who are prepared to enroll. Life-long learning, another focus of A Test of Leadership, is also an important issue for state higher-education policy. Simply educating “college-age” students will not adequately populate the future American workforce with knowledge workers—most of the workforce for the next quarter century is already over 25 years of age. Some states have a large population of adults who lack the basic skills necessary to earn a living, help 17 their children succeed in school, and contribute to the economy. State policy must encourage and support innovative, high-quality approaches to meet this need, such as Kentucky’s virtual university and its aggressively reengineered delivery system for adult basic education. The growing proprietary sector (with substantial public support through student aid) is making a strong contribution in high-demand areas. Nonprofit institutions can benefit from their innovations—such as a tightly structured curriculum for core courses, the use of technology and instructional coaches, and flexible scheduling—to serve a broader constituency more effectively. • Lower costs. According to A Test of Leadership, “Our higher education financing system is increasingly dysfunctional. State subsidies are declining; tuition is rising; and cost per student is increasing faster than inflation or family income.” Educators and policy leaders obviously need to find a new consensus on the question of money. Although some may wish or imagine otherwise, substantial increases in educational attainment will be virtually impossible without more public investment. Equally clearly, no amount of money can make increasing attainment easy or “automatic.” Just as for other sectors of the economy, higher education must strive to become much more productive within existing resources. Because resources are limited, higher education is also obligated to specify the benefits to be generated from any additional investments. State policymakers can help increase productivity in higher education by ensuring the efficient transfer of credits and eliminating regulations that add cost and reduce institutional agility without adding equivalent or greater public value. Policymakers also can increase the system’s productivity by casting a more critical eye on investments in popular but expensive initiatives, such as merit scholarships and new graduate or professional programs. Institutions must reallocate resources from lower to higher priorities and implement more efficient, innovative approaches to routine operations. Publicly visible reallocation and productivity initiatives within institutions send a very positive message to the external supporters of higher education. In the early 1990’s, when the “Priorities-Quality-Pro18 ductivity” initiative in Illinois reallocated resources toward institutional priorities, the state responded by increasing its own commitments. In Maryland this past year, State and institutional goals have no meaning and no effect unless they can be expressed and monitored in terms of measurable outcomes. specific commitments by the university system to increase productivity were followed by more generous state funding. States can contribute to more effective institutional management by assuring that the money saved through productivity gains will be available for other educational priorities. It is unrealistic to expect institutions to do the hard work of increasing productivity if they do not get to use the savings. Finally, educators and policymakers must strike an appropriate balance among the interlocking elements of financial policy: tuition, appropriations, and student aid. The prices students are charged, total state spending per student, and state financial aid vary substantially among the states. In some, increased appropriations and/or increased tuition (balanced with need-based student aid) will surely be required to support growing enrollment demand and to improve outcomes. In others, better outcomes might legitimately be expected by using existing financial resources more effectively, even while restraining tuition increases in order to achieve optimal participation. • Improve performance. A Test of Leadership asserts that “higher education must change from a system based primarily on reputation to one based on performance” and then proposes actions to improve transparency and accountability at the institutional, state, and national levels. Why focus on performance? Because when institutional status is based on reputation, which in turn is based on selectivity, we simply continue to educate the students whom we have always served well. To the extent that competition for stronger students and faculty becomes an end in itself, it makes higher education more expensive without adding more value to society. A Test of Leadership emphasizes the need to develop more extensive consumer information about performance, along with better access to that information for students and parents. How can such information help improve performance? Better information can make students wiser consumers and motivate institutions to focus on important issues. But better consumer information can’t do the whole job. The number and variety of factors affecting student choice and the limited local or regional choices available to many students reduce its power to improve performance. States and institutions need to do more. Both A Test of Leadership and Ac- Change ● January/February 2007 countability for Better Results propose improvements in the availability and use of data as a means of monitoring performance and informing policy and practice in institutions and states. State and institutional goals have no meaning and no effect unless they can be expressed and monitored in terms of measurable outcomes. For higher education, the key outcomes are participation, completion, and student learning. Student preparation and institutional affordability are means to those ends. State policymakers need to monitor all five of these variables. They need to know how many students are adequately prepared for college, how many of them enroll, and whether low- and moderate-income students are enrolling and succeeding at the same rates as similarly well-prepared upper-income students. They also need to know how rapidly and successfully students complete degrees and certificates, and they should be able to track students through the various pathways they take among different institutions of higher education. All of these questions require a student-level data system, which both commissions recommended at the national level. Some critics have opposed such a national system, worrying about the protection of student privacy and/or the extent of federal involvement in the details of higher education. Whether or not a national student-level data system emerges, the states should develop their own capacity for monitoring student progress, including the means of following students through K-12 and into and through higher education. Any serious effort to increase educational attainment will be enhanced by giving states, schools, and colleges feedback on how both the system and individual students are performing. Student learning—the most important performance objective—is the most complex and difficult area to assess, since students pursue many different learning objectives in postsecondary education. It is especially challenging to assess value-added learning, and some of the most important learning objectives—critical thinking and creative problem solving, for instance—are particularly elusive. But we are developing the capacity to address these challenges in a reasonable and productive way. Many professional fields have already done the work of defining learning objecChange ● January/February 2007 tives and assessing whether students have met them. Academic leaders in the Association of American Colleges and Universities have developed well-articulated goals for general education, and useful assessments of general learning have been developed by various psychometric firms. Finally, the National Survey of Student Engagement has proven to be a useful tool for assessing educational process in colleges and universities. The most critical work in assessing student learning must occur at the institutional level. Faculty need to take greater collective responsibility for defining institutional and program learning objectives and choosing the assessment tools they find credible and useful for improving instruction. In response to the growing national and state-level interest in this issue, the National Association of State Universities and Land-Grant Colleges (NASULGC) and the American Association of State Colleges and Universities (AASCU) have launched an initiative to develop and implement voluntary institutional systems for assessing student learning. Comparable assessment of learning at the state level is also necessary for setting public goals and crafting policy. In a project supported by the Pew Charitable Trusts, five states participated in a pilot effort to assess learning for a random sample of students from different types of institutions. The commission recommended that more states launch such projects, and Secretary Spellings has responded by saying that the Department of Education will provide financial support to encourage states to do so. The State Higher Education Executive Officers are preparing to assist and promote such efforts. While systematic and rigorous institutional assessments of student learning are absolutely essential for increasing authentic educational attainment, it is equally essential for state policymakers to avoid the temptation of using learning assessments as a fine-grained tool for calibrating institutional effectiveness. Institutions are naturally motivated to admit students who learn easily and to exclude those who are less likely to succeed. It would be counterproductive to the larger public purpose of increasing educational attainment to create additional incentives for excluding students who require additional attention and assistance. Conclusion Like A Nation At Risk 23 years ago, A Test of Leadership sounds an alarm to be ignored only at the peril of future generations. Without question, the states, the federal government, colleges and universities, and the American people have the capacity to respond to these challenges and create an even better future. With a strong sense of common purpose among public leaders and educators, clear goals, measured results, and shared responsibility and accountability for performance, we will succeed. C Resources Hill, P., Celio, M.B. (1998). Fixing Urban Schools. Washington, DC: Brookings Institution Press. Miller, M.A., Ewell, P.T. (2005). Measuring Up on College-Level Learning. The National Center for Public Policy and Higher Education. Boulder, CO. National Center for Public Policy and Higher Education (2005). The Need for State Policy Leadership. San Jose, CA. National Commission on Accountability in Higher Education (2005). Accountability for Better Results—A National Imperative for Higher Education. Boulder, CO: State Higher Education Executive Officers. Pathways to College Network (2004). A Shared Agenda, A Leadership Challenge to Improve College Access and Success, Boston, MA State Higher Education Executive Officers (2003). Student Success: Statewide P-16 Systems, Boulder, CO. Western Interstate Commission for Higher Education (2003). Policies in Sync: Appropriations, Tuition, and Financial Aid for Higher Education, A Compilation of Selected Papers. Jones, D., Mortimer, K.P., Brinkman, P.T., Lingenfelter, P.E., L’Orange, H.P., Rasmussen, C., Voorhees, R.A. Boulder, CO. 19
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