Prospects: quarterly review of education, XXII, 4...

prospects quarterly review of education

Editor: Zaghloul Morsy

Prospects is also available in the following languages:

French

perspectives revue trimestrielle de l'éducation (ISSN 0304-3045), U N E S C O

Spanish

perspectivas revista trimestral de educación (ISSN 0304-3053), U N E S C O

u Arabic

(ISSN 0254-119-X), U N E S C O

Russian

nepcneKTMBbi Bonpocbi o6pa3oeaHHM

(ISSN 0207-8953), M o s c o w

Chinese

(ISSN 0254-8682), Beijing

Subscription requests for the different editions (see the Order Form at the end of this number) should be sent to the UNESCO national distributor in your country, who will furnish prices in local currency.

prospects Vol. XXII, N o . 4, 1992 (84)

Landmarks 403

VIEWPOINTS/COiVri?0 VERSIES

Education and structural adjustment Jandhyala B. G. Tilak 407

OPEN FILE

Monitoring the quality of education worldwide: IL A few national examples of IEA's impact

Interests and modes in research utilization: the Finnish IEA

experience Kimmo Leimu 425

Hungarian experiences in international student achievement

surveys Zoltán Báthory 434

Using evaluation research for policy and practice in Botswana

Serara Moahi 441

Dominican Republic: the study on teaching and learning of

mathematics Eduardo Luna 448

H o w Japan makes use of international educational survey

research Ryo Watanabe 455

What does Kuwait want to learn from the Third International

Mathematics and Science Study (TIMSS)? Mansour G. Hussein 463

The IEA project on preschool education: preliminary surveys in

Portugal and China David P. Weikart, Shi Hui Zhong and

Joaquim Bairrao Ruivo 469

W h a t does the United States want to learn from international

comparative studies in education? Jeanne E. Griffith and

Elliott A. Medrich 476

TRENDS/CASES

Language, interculturalism and human rights: three European

cases Norma Tarrow 489

Alternatives in formal education: Colombia's Escuela Nueva

programme Rosa Maria Torres 510

Profiles of educators: Plato (428-348 B . C . ) Charles Hummel 521

Index to Volume XXII, 1992 533

ISSN 0033-1538

Landmarks

Dear Readers and Dear Authors, known to me and unknown,

This is the eighty-fourth and last 'ordinary' issue of'your journal which

I have edited. Four other issues will follow — even though less 'ordinary',

completely different in fact - for which I shall claim at least conceptional

responsibility.

Why, you may wonder, do I adopt this unusual tone? For one reason

only: I have reached retirement age, and so I leave you, or will have done so

by the time this issue reaches you.

What then, you ask, will become of the journal? Do not worry: it will be

in excellent hands. In the first place, it will be transferred to Geneva - to the

International Bureau of Education (IBE), which, as you know, is an integral

part of UNESCO. Next, and most importantly, the new Editor will be Mr

Juan Carlos Tedesco, Director of the IBE. In close co-operation with him, we

shall do our best to see that the transition is carried out as smoothly and as

rapidly as possible.

Even non-Latin-American readers know Mr Tedesco well. He was good

enough to write two articles for the journal - 'Education and Employment:

The Case of the Industrial Sector in Argentina' (Vol. IX, No. 1, 1979) and

'The Role of the State in Education' (Vol. XIX, No. 4, 1989). He was also

Guest Editor of an 'Open File', Tntercultural Bilingual Education in Latin

America', that acquired considerable, renown.

As for our readers in Latin America and the Caribbean, I would not

insult them by presuming to introduce Mr Tedesco to them. In that region, his

publications have become benchmarks, and his work, particularly as Director

of the UNESCO Regional Office for Education in Latin America and the

Caribbean (OREALC), has been highly appreciated by practitioners and

decision-makers alike.

After twenty-two years given over entirely to Prospects, / should like to

thank the some 2,000 specialists who entrusted me with their contributions,

and express my regrets to all those whom I did not feel able to publish.

My thanks go also to the universities, foundations, research institutes,

ministries of education, international governmental and non-govemmental

organizations and National Commissions of UNESCO, and of course my

colleagues from the whole United Nations family, who have always been

unstinting in their co-operation.

I wish also to thank all the members of the teams who, in Moscow,

Beijing, Santiago, Beirut, Sofia, Bucharest, Pyongyang, Warsaw, Berlin,

Rome, Budapest, Belgrade and Bangkok, have always worked hard to trans

late, print and disseminate the journal - either in complete 'ordinary' editions

or in anthologies — in their respective languages and countries. It is a source of

great satisfaction for UNESCO and personal pride for me.

Prospects, Vol. XXII, N o . 4 , 1992 (84)

Landmarks

And I would certainly not wish to leave out my colleagues here at UNESCO

Headquarters, who have translated, revised, prepared, composed and printed

some tens of thousands of pages, nor José Maria Domínguez and Antoine

Khoury, who, in friendship and with great professionalism, have prepared the

Spanish and Arabic editions of the journal for many years.

Perhaps before all else I should have expressed my gratitude to my assist

ant and secretary, Miss Hilary Platman, without whom this quarterly - things

being what they were - might have become a bi-annual, or even an annual!

I shall say nothing on education here. Is not all that I have said un

commissioned all these years enough? I am quite sure that theses and disserta

tions will be written on the UNESCO Quarterly Review of Education in

due course. I would simply add, as a tentative triple metaphor, that education

today is (and very likely always has been) simultaneously Sisyphus's rock,

Pandora's box and Penelope's web. I do not know of any one myth that could

combine these three metaphors into one unlikely whole. But, to lump all meta

phors together, if an educator ignites a spark in the mind of a child in southern

Morocco, the Andes Cordillera, a remote island in the Pacific, Bosnia or

Harlem, it is for me as if he or she is giving hope to all the children of the

world, the deprived . . . and the others. If you think back to your own expe

rience, I am sure you will understand what I am trying to say.

Thus, as I take my leave of you, I request readers and authors to send

any correspondence as from now to my successor: Mr Juan Carlos Tedesco,

Editor, Prospects, International Bureau of Education, Case postale 199,

1211 Geneva 20 (Switzerland). Fax: (41) (22) 798 14 86.

Z . M .

VIEWPOINTS

CONTRO VERSIES

Education and structural adjustment*

Jandhyala B . G . Tilak

The attention of national and international policy

makers has shifted from long-term goals to short-

term financial and adjustment concerns. The in

ternational community is more interested in ensur

ing the timely payment of debts and interest rates

than in seeking to eradicate poverty and in strength

ening the human dimension of development. Thus,

anti-poverty and human development programs have

been pushed aside. Poverty can wait, the banks

cannot! - H a q and Kirdar, 1986 , p p . xv-xvi

Structural adjustment lending . . . can be seen as

both a sign of deteriorating conditions working against

educational development as well as an instrument

which, at least in the short term, makes educa

tional development extremely difficult to put into

effect. - Jones , 1 9 9 2 , p . 168

The most serious effect that adjustment can have

on primary education is to reduce the (central) gov

ernment's allocation to education in general and to

primary education in particular. - Lockheed et

al., 1991, p. 35

Jandhyala B . G . Tilak (India). Senior Fellow and Head, Educational Finance Unit at the National Institute of Educational Planning, 17 B Sri Aurobindo Marg, New Delhi 110 016 (India). His publications include Economics of Inequality in Education (Sage, 1987), Educational Finances in South Asia (UNCRD, 1988), Educational Planning at Grassroots (Ashish, 1992), and Education for Developm e n t in Asia (Sage, in press). He has also taught at the universities of Delhi and Virginia, and worked at the World Bank.

Structural adjustment

and economic stabilization

India was classified only a couple of years ago

in a World Bank study (Kakwani et al, 1990)

as a 'non-adjusting country', along with sixteen

otfier countries that did not need adjustment

measures of the kind suggested by the World

Bank (IBRD) and the International Monetary

Fund (IMF), and as the one that experienced

an increase in the growth rate of its average

annual gross domestic product ( G D P ) per capita

during the period 1980-87. Within a year the

situation had changed completely. India has had

to resort to 'adjustment' loans, and is battling

with the adjustment policies. The new economic

policies of the government are n o w well known

as 'adjustment' policies, with both short-term

and long-term implications for almost all sec

tors of the economy. Adjustment policies being

followed in India and other countries include

policy changes, involving two types of policies:

the short-term stabilization policies of the I M F ,

and the long-term structural adjustment poli

cies of the World Bank. Stabilization policies

* This is a revised version of the paper circulated in the U N E S C O Consultative Meeting of Experts on Education, Adjustment and International Co-operation, held in Paris from 21 to 24 September 1992. The author benefited from the discussions held during the meeting in the revision of the paper. The comments of N . V . Varghese are also gratefully acknowledged. Usual disclaimers apply.

Prospects, Vol. XXII, [, N o . 4 , 1992 (S4)

408 Jandhyala B. G. Tilak

rely on d e m a n d management and include sus

tainable reductions in budgetary deficits, in the

current account of the balance of payments, in

inflationary gaps, etc. They include devalua

tion of the national currency and trade liberali

zation. T h e y are viewed essentially as short-

term demand-oriented devices to reduce

macroeconomic imbalances. They involve cuts

in government spending. T h e most direct con

sequence is a drastic reduction in public subsi

dies, across the board, although the reduction

need not necessarily be, and most often is not,

uniform across all the sectors. In contrast to

these short-term policies, the structural adjust

ment policies and reforms aim at long-term struc

tural reform, including improvement in produc

tivity of resources, improvement in allocation

of resources and an increase in economic effi

ciency; they m a k e the economy more flexible,

and thereby expand growth (World Bank, 19882>;

T h o m a s and Chhibber, 1989). Without the

adjustment policies, distortions in allocations

would take place, and inefficiency at macro level

might increase. In theory and in practice, both

are related:

If you do not solve the problems of stabilization then you cannot by definition start the process of restructuring your economies. If there is widespread excess demand in the system, if inflation is not brought under control, if government deficits keep on growing year after year fanning inflational expectations, in that sort of environment, it is very difficult to assume that you adopt structural policies . . . (Singh, 1992, p. 108).

Adjustment loans are mostly preceded by

stabilization policies; they are viewed as a single

package.

T h e objectives of the adjustment policies

that accompany structural adjustment loans of

the World Bank and the I M F have been to sta

bilize the economy, to improve allocation of

resources, and thereby raise the level of output

and income, and to achieve higher levels of sav

ings and a more efficient use of investments in

order to increase the rate of growth. T h e policy

is, as Emmerji (1987, pp . 3-4) rightly noted,

'non-interventionist in spirit' and 'concentrates

on increasing the efficiency of market signals as

a guide to an improved allocation of resources'.

T h e World Bank started disbursement of such

loans in 1980, and it is reported that as m a n y as

eighty countries have so far taken such loans,

and have undergone or have been undergoing

the process of structural adjustment. Second-

generation structural adjustment loans are n o w

being designed by the World Bank and by gov

ernments of various countries (Fuller and Habte,

1992, p . 12). T h u s there are very few develop

ing countries which have not experimented to

varying degrees with adjustment policies. In this

sense, the whole developing world is in the process

of adjustment, and one can simply refer to this

as a 'global adjustment' period. T h e adjustment

programmes have been found to have mixed

effects on the national economies, as regards

both social and economic sectors. With respect

to economic growth, only a few countries have

been found to have 'done well whilst most have

not only not done well but their performance

has actually deteriorated, in some cases, quite

severely, compared to the pre-reform period'

(Sobhan, 1992, p . 72). In general, structural

adjustment policies have been found favour

able to export growth and the external account;

their effect on aggregate investment is almost

everywhere negative; their influence on national

income and on financial flows from overseas is,

on balance, neutral; their effects on distribution

are also at best neutral; and their effects on the

living standards of the poor are adverse (Mosley

et al, 1991, pp . 301-2) .

H u m a n development and adjustment are

believed to be antithetical. Accordingly, the

adverse effects of adjustment policy are believed

to be damaging severely the h u m a n develop

ment sectors such as education. Hence , at this

stage, a review of the more than ten years of

experience will be very useful for, on the one

hand, the countries that are 'potential candi

dates' for such loans and, on the other, the World

Bank and the I M F , in addition to the countries

that are currently undergoing the process of

adjustment. W h a t are the lessons that India, which

has just become an 'adjusting' economy, can

learn from international experience? H o w can

Education and structural adjustment 409

h u m a n development be protected along with the structural adjustment programmes? This article addresses some of these questions. T h e discussion is mostly confined to adjustment policies, including structural and sectoral adjustment and stabilization policies, as it is felt that the effects of adjustment policies need special attention. General investment loans for education and/or for other purposes have a variety of other positive and adverse effects, ranging from a positive contribution to economic growth to an increase in donor dependency, some of which are well documented in the literature (Tilak, 1988; Weiler, 1984). These are important, but are not discussed here. Similarly, the adjustment policies discussed in this paper refer mostly to the World B a n k / I M F policies, unless otherwise stated; the adjustment-like policies of the other multilateral and bilateral agencies are not specifically referred to here.

T h e following section gives a brief description of the nature of the loans of the two Bretton W o o d s institutions, the World Bank and the I M F . T h e next outlines the context of the newly adjusting Indian economy. T h e following section looks at the research, and country evidence on the effects of adjustment on education, which are then summarized. After that w e examine ways of reducing the adverse impact of adjustment policies on education and in the final section w e attempt to outline some such measures and to present some alternative models of adjustment.

The World Bank/IMF loans

T h e loans that flow from the World Bank and the International Monetary Fund are of various types, most with some policy conditionality.1

They are briefly described below.

SPECIFIC INVESTMENT LOANS

These are the oldest and the most frequently used instrument for the World Bank's support for education, in the form of support for specific programmes, projects, works, goods and services over a period of five to seven years.2

Such programme- or project-based loans are probably a m o n g the more successful, as they can be more easily and better managed than others.

SECTOR INVESTMENT LOANS

Sector investment loans, the other traditional form of loans, finance a share of a country's sectoral investment programme for a period of three to seven years, leaving the borrowing country more freedom in design of the project and in its appraisal and supervision.

While the distinction between the specific and sector investment loans - both of which are generally referred to as orthodox investment strategies of the World Bank - is not obvious, the former seem to focus more narrowly on a given project, while the latter apply broadly to the sector as a whole. T h e latter focus more on policy and institutional objectives, and also enable the World Bank to exert a strong influence on overall country approaches to the sector in question. T h e success of sector investment loans requires a higher level of efficiency in managing the programmes and policies at local level, compared to project-/programme-based loans.

STRUCTURAL ADJUSTMENT LOANS

T h e 1980s were a period of economic crisis and adjustment. T h e short-term stabilization policies, including the austerity measures of the I M F , came into conflict with the long-term policy requirements as viewed by the World Bank. T h e structural adjustment loans are, in a sense, the World Bank's response to mis conflict. They signify the World Bank's n e w lending and investment strategies, and aim at correcting fun-


damental long-term weaknesses in borrowing

countries; they focus on the macro economy,

include non-sector-specific policy reforms, and

are not intended to address sectoral concerns.

T h e conditions that are attached to such loans

are macroeconomic, such as a reduction in fis

cal imbalances and deficits, macroeconomic

efficiency, containment of the wage bill, and an

employment freeze, besides trade liberalization,

currency devaluation, etc. They rarely include

conditions relating to social sector reforms.3 These

loans, however, aim at providing finance m u c h

more quickly than conventional loans, to assist

the economy on a long-term basis. They pro

vide, however, scope for even more interven

tion by the World Bank in that they address the

need perceived by the Bank for comprehensive

economic reform across the board.

SECTOR ADJUSTMENT LOANS

B y the mid 1980s the structural adjustment

programmes were being heavily criticized for

their severe impact on h u m a n development sec

tors (Cornia et al., 1987, 1988), and 'adjust

ment with a h u m a n face' became the slogan of

m a n y . T h e recognition of the inadequacy of

structural adjustment loans, and their weaknesses

in the form of their adverse impact on social

sectors, led to the introduction in 1986 of a

fourth type of loan (in education), called a sec

tor adjustment loan, which is more closely tied

with implementation of policy conditions, and

is contemporaneous with structural adjustment

loan-supported macroeconomic programmes.

These loans support comprehensive reform of

a country's education system. They aim at policy

reforms leading to more efficient allocation of

resources and financing, including the protec

tion of investment in a particular sector (for

example, primary education) and certain items

of expenditure (such as textbooks and learning

materials). These loans have the same purpose

as the structural adjustment loans, but they are

confined to a given sector, i.e. education, and

thereby address the comprehensive reform of a

country's entire education system. While struc

tural adjustment loans do not refer to equity,

access, etc., these aspects could be covered by

the sectoral adjustment loans.

HYBRID LOANS

Lastly, by the end of the 1980s, hybrid loans

began appearing, combining the investment

components of specific or sector investment loans

with sector adjustment loans.4 These loans sup

port investment in a project or a group of projects,

usually with conditions on sector-specific re

forms. They are essentially designed for poor

countries, where deterioration in the already low

coverage of the education system must be ar

rested and improvement in quality urgently at

tempted; this requires both the broad reforms

included in the sector adjustment loans and in

vestment to support implementation of these

reforms.5

O f the various types, it is believed that sec

tor investment loans will be the 'instruments

most commonly used for education lending

during the 1990s . . . these will be the instru

ments most suited to provide the type of assist

ance required to support the World Confer

ence on Education For All ( W C E F A ) targets'

(Fredriksen, 1990, p . 15); however, sector loans

were found to have 'best suited those borrow

ers least in need of it' Qones, 1992, p . 170),

and the shift seems to be in favour of project

support. T h e sector specificity and the World

Bank's 'non-intervention' in the identification,

design, appraisal and supervision of the project

to the country concerned seem to be important

advantages of the sector investment loans. In

general, structural adjustment loans form the

largest chunk of the World B a n k / I M F loans and

credits.6 They m a y , however, have conditions

regarding the education sector. Almost all such

loans - that is, structural adjustment loans with

conditions regarding education policies - are of

recent origin (post-1985). T h e conditions re

late to budgetary cost and financing policies;

very rarely do they focus on the external effi

ciency of education and labour market rewards

(Stevenson, 1991, p . 15).


T h e Indian context

It is generally feared that structural adjustment

and stabilization policies will affect employment

and poverty unfavourably, as these policies are

'almost opposite to those designed to tackle the

problem of poverty' (Emmerji, 1987, p. 4). T h e

poorer and weaker sections of the population,

including w o m e n and children, bear the brunt

of the burden of adjustment policies (ILO, 1987;

Afshar and Dennis, 1992). In the case of India,

for example, Mundle (1992) estimated that the

volume of employment will decline substantially;

and while in a normal scenario the rate of un

employment would be about 4 per cent by 1993-

94, owing to the n e w economic policies it could

increase to 5 or 7 per cent, reflecting alternative

scenarios of low and high growth. These fig

ures do not include likely retrenchments in the

organized sector following the n e w economic

policies. It was also noted that the high-growth

scenario would require successful policies re

garding the substitution of imports by domestic

production and the reduction of the current

account deficit. M o r e interestingly, it has been

estimated that employment in the organized sector

would stagnate at 28 million during the period

1990 to 1994. T h e adjustment policies are also

found to be adversely affecting not only e m

ployment, but also poverty and the living con

ditions of the people (Ghose, 1992, p. 95). It is

generally felt that such trends are not u n c o m

m o n during periods of stabilization and adjust

ment, that these trends will be only for a short

period, and that in the long run they will be

corrected and the situation will improve with

respect to poverty, income distribution, and

h u m a n development in general (Heller et al,

1988).

Under conditions of adjustment, it is feared

that the share of education in the budgetary

resources in India will decline in the near fu

ture, and the government's 1992-93 annual

budget has already indicated trends in this di

rection. T h e cuts m a y be both in plan and non-

plan budgets. A reduction in plan budgets for

education, which are already very small, will

hamper the growth of the system. A reduction

in the non-plan budgets for education will seri

ously jeopardize the very maintenance of the

system. T h e full implications of adjustment

policies for education in India are difficult to

predict. As India has had no experience with

structural adjustment, it has to learn from oth

ers' experiences. W h a t does the international

experience look like?

International experience: a review

A large number of developing countries can be

found 'adjusting' their economies, having taken

structural adjustment loans from international

agencies, the World Bank, the I M F , and other

multilateral and bilateral donor organizations.

T h e Bretton W o o d s institutions, that is, the World

Bank and the I M F , play a dominant role a m o n g

all these organizations. T h e structural and sectoral

adjustment programmes of the World Bank

during the last half the 1980s have been heavily

focused on Africa. Asia received 40 per cent of

all education sector loans during 1988-90, few

of which included policy conditionality. Several

of the Asian countries (for example, Thailand

and the Republic of Korea), having received

structural adjustment loans earlier (in the early

1980s), have later had to resort to traditional

investment loans or education sector investment

loans without explicit policy conditionalities (as

was the case with Bangladesh) (Stevenson, 1991,

p. 5).

About one-quarter of the World Bank's

lending n o w goes for adjustment (macroeconomic

or sector) activities. Between 1970 and 1990

the World Bank invested $ 11 billion on educa

tion (Verspoor, 1991). Half of the World Bank

loans for education contain policy measures, and

in a sense they are education sector adjustment

loans (Fuller and Habte, 1992). Structural ad

justment has forced governments to reveal their

expenditure priorities, and unfortunately m a n y

governments have revealed, in practice, a very


low priority for h u m a n development activities.

They considered 'it was easier or more expedi

ent to reduce expenditure on h u m a n develop

ment than on other items' (Griffin and Knight,

1990, p . 22).

Several surveys of the literature, as well as

country evidence - cross-country and country

case-studies - clearly suggest that public ex

penditure on education and enrolment ratios

(gross) are negatively related to adjustment

policies. T h e Latin American and African coun

tries that rely extensively on structural adjust

ment loans from the World Bank and the I M F

were to effect significant cuts in public budgets

for education during the structural adjustment

and readjustment processes. Analysing the data

on Latin American countries, Tilak (1989a,

1989è) has shown that, while under normal

economic conditions the allocation of resources

to education might not be influenced by eco

nomic conditions, economic difficulties experi

enced during painful adjustment and recession

periods adversely influence education develop

ment. It is further shown that, under these con

ditions, primary education suffers more than

higher education, and that popular sociopoliti

cal pressures result in the quality of education

being traded off for quantitative expansion. Public

investment in education in current prices de

clined from U S $ 8 8 in 1980 to U S $ 6 7 in 1985

in the region as a whole, and real growth in

total expenditure on education was negative, at

-0 .5 per cent per a n n u m . Between 1970 and

1980, the relative share of higher education in

the total (recurrent) expenditure on education

increased from 16 to 24 per cent, while for pri

mary education it declined from 57 to 51 per

cent. T h e share of education in G N P declined

in ten out of twenty countries in the region be

tween 1980 and 1985, a period characterized

by adjustment. In Costa Rica and Venezuela,

capital expenditures were disproportionately cut,

public expenditure on basic education declined,

enrolments in private schools increased while

those in public schools declined, and the qual

ity of school education deteriorated, with an

increase in the number of repeaters and in pupil-

teacher ratios (Reimers, 1991a, 199le). In all,

Cornia et al. (1987) found that in 65 per cent

of the Latin American countries education was

vulnerable, while it was 'highly protected' in 30

per cent of cases.

In sub-Saharan Africa, a similar experi

ence was documented: a decline in total public

investment in education in absolute terms, and

also as a percentage of total government ex

penditure (World Bank, 1988a). T h e decreases

could be noted as total external debt increased

(Tilak, 1990è). T h e impact of debt service pay

ments on government expenditure on educa

tion as a percentage of total government ex

penditure was found to be negative and significant

in another cross-country study (Psacharopoulos

and Steier, 1987). All these factors contributed

to declining enrolments. In 1991 the Secretary-

General of the United Nations attributed to

adjustment policies the significant fall in gross

enrolment ratios at the primary level (from 77

per cent in 1980 to 72 per cent in 1987), the

more drastic fall for girls, the fall in survival

rates in primary schools, the decline in the quality

of education, and the increase in the number of

illiterates in Africa from 133.6 million in 1985

to 138.8 million in 1990: ' T h e severe resource

cuts to the education sector, as well as the ad

justment policies of cost-recovery and contain

ment, were largely responsible for these declines'

(United Nations, 1991, p . 750; emphasis added).

Cornia (1987, pp. 24-6) found, during the

adjustment process, a steep decline in educa

tional attainment in six countries (Brazil, Ghana,

Jamaica, Peru, the Philippines and Sri Lanka)

on which indicators on educational attainment

were available, in addition to a decline in access

(enrolment ratios) in Chile, the Philippines and

Sri Lanka. While no change in enrolment ratios

was observed in Ghana and Peru, the Republic

of Korea and Zimbabwe, where special targeted

programmes were initiated, registered an increase.

In one of the best and methodologically

most sophisticated studies of its kind on the

impact of structural adjustment on living con

ditions, Kakwani et al. (1990) classified coun

tries into five categories, on the basis of their

adoption of adjustment policies: 'intensely ad

justing' countries, which have had relatively long


experience of adjustment policies and processes,

having taken three or more structural adjust

ment loans by 1989, starting in or before 1985

(twenty-five countries); 'pre-1986 adjusting'

countries, which have received fewer than three

structural adjustment loans, but were included

in the programme before 1985 (eleven coun

tries); 'post-1985 adjusting' countries, which

received adjustment loans between 1986 and

1988 (nineteen countries); 'non-adjusting' coun

tries, which do not need IMF/Wor ld Bank ad

justment measures, and which had an increase

in average annual per capita G D P growth dur

ing 1980-87 (seventeen countries, of which India

was one); and 'non-adjusting' countries, which

were 'potential candidates' for World Bank ad

justment loans, with a decline in the average

annual per capita G D P growth during 1980-

87, and were 'probably the closest to the coun

ter factual non-adjusting countries' (fourteen

countries).

S o m e of the results obtained by Kakwani

et al. (1990) are worth reporting. In eleven in

tensely adjusting countries, public expenditure

on education as a percentage of G D P declined

from 3.5 in 1980 to 2.9 in 1986, while in twelve

non-adjusting countries the corresponding pro

portion increased from 10 per cent to 12.1 per

cent during the same period. Per capita expendi

ture on education (in 1980 purchasing power

parity (PPP) dollars) declined in the intensely

adjusting countries from $81.2 in 1980 to $73.2

in 1986, while in the non-adjusting countries it

increased from $48.7 to $90.8. T h e enrolment

ratio in primary education declined on average

from 94.2 per cent in 1980 to 90.1 per cent in

1985 in twenty-five intensely adjusting coun

tries, while it increased from 89.9 to 98.3 per

cent in eighteen non-adjusting countries of the

type described above, and marginally increased

from 81.3 to 82.6 per cent in another fifteen

'potential candidates'. T h e rate of growth of

enrolments in primary education also declined

in the intensely adjusting countries. O n the whole,

intense adjustment is associated with declines

in almost all the indicators on educational de

velopment.

Lockheed et al. (1991, p . 35) s u m m e d up

the available evidence, stating that the share of

education in total government expenditures

declined between 1980 and 1986 in twelve out

of thirteen intensely adjusting countries, but in

only three out of twelve non-adjusting coun

tries with similar levels of economic develop

ment. T h e decline in the share of education

was from 15 to 12 per cent in intensely adjust

ing countries, and the increase was from 10 to

12 per cent in non-adjusting countries. Fur

thermore, in nine out of the twelve intensely

adjusting countries per capita spending on edu

cation declined in constant terms.

In an elaborate and comprehensive survey

of the literature on the impact of adjustment on

education, Noss (1991) presented an impres

sive review of several individual country expe

riences as well as a critical review of country

and cross-country studies conducted by World

Bank staff and others, and in the process evalu

ated the experience of the World Bank itself.

Noss underlines the strong association between

adjustment and decline in the educational indi

cators in several adjusting countries, and also

the improvement in educational indicators in

non-adjusting countries during comparable pe

riods, but questions the causality factor: whether

the declines could be attributed to adjustment

policies, and the positive growth to the non-

adjustment policies. H e argues that it would be

difficult to isolate the effect of adjustment, as

the countries that adjusted were those that needed

to do so owing to severe economic problems. It

is possible that the outcomes might have been

worse, if not the same, if the countries had not

resorted to adjustment. Noss argues that 'al

though adjustment policies do have certain di

rect and indirect implications for education,

current trends often have their roots in pre-

adjustment mismanagement or economic reces

sion' (Noss, 1991, p . 4).

Supporting the findings of Kakwani et al.

(1990), Noss (1991, p . 23), however, quotes

some more evidence from a World Bank study

that while in ten intensely adjusting countries

the share of education in the government's dis

cretionary public expenditure declined from 17.6

per cent in 1980 to 16.2 per cent in 1986, during


the same period it increased in five non-intensely

adjusting countries from 10.9 per cent in 1980

(8.7 per cent in 1975) to 12.9 per cent in 1986,

and in another five 'other' (non-intensely) ad

justing countries it increased from 11.7 per cent

to 12.7 per cent. In the other adjusting coun

tries, governments deliberately 'protected' the

education sector (see also Cornia et al., 1987).

T h e real rate of growth of public expenditure on

education per capita came d o w n , in the intensely

adjusting countries, to about 1 per cent per annum

during the 1980s from 10.8 per cent in the 1970s,

while in the non-adjusting countries it increased

from 6.7 per cent in the 1970s to 9.7 per cent in

1985-87 (after declining to 0.3 per cent in 1981-

84) (Noss, 1991, p . 27).

A few other interesting statistics, reported

in several World Bank studies and summarized

by Noss (1991), on some countries that have

undergone or have been undergoing the pro

cess of adjustment m a y be noted: in the Philip

pines the expenditure per student in tertiary

education in 1985 was only 45 per cent of the

1980 level. In Costa Rica the expenditure on

primary education per student had declined by

1986 to two-thirds of the 1980 level, while it

was up to 90 per cent only in the case of terti

ary-level education (p. 28). In Ghana the en

rolment ratio in primary education declined from

80 per cent in 1980 to 71 per cent in 1987

(p. 26). Several country-specific studies also came

to similar conclusions.7 O n the whole, the im

pact of adjustment policies on education in Asian

countries has not been so severe as it has in

African and Latin American countries.

W h y and h o w does education suffer under

'adjusting' processes? Public investment in edu

cation declines significantly, in absolute and/or

relative terms, in the adjusting countries because

the debt burden, and correspondingly the debt

service payments, increase dramatically; gov

ernments are therefore forced to reduce public

spending. It is easier to reduce expenditure on

education than on other sectors. Hence the axe

falls more severely on education, even though it

m a y fall on most other sectors as well.

Balancing the balance of payments becomes

an important goal of the national economies,

and under adjustment programmes currency

devaluation becomes an important instrument

for achieving this. A s Noss (1991, p . 23) has

noted, currency devaluation m a y induce shifts

in the allocation of public budgets towards sec

tors that are more import- or foreign exchange-

intensive, and as education does not belong to

either category it finds itself starved of public

resources.

Real expenditure on education m a y decline,

as education is a labour-intensive sector, with

as m u c h as 95 per cent of the education budget

being allocated for teachers' salaries. Teachers'

wages m a y increase in nominal terms because

of the inflationary tendencies of the adjustment

programmes, but they do not increase enough

to keep pace with the increase in prices.

Lastly, incomes and prices are affected by

adjustment policies, and the demand for educa

tion is influenced by incomes and prices (Behrman

and Deolalikar, 1991, p. 292). A s incomes and

living conditions are seriously affected during

the process of adjustment, demand for educa

tion m a y fall. This is more true of the weaker

sections of society. D e m a n d for education m a y

fall owing to changes in the labour market -

increased levels of unemployment, reduced earn

ings and earnings differentials, a corresponding

increase in the need for participation in the la

bour market, and the increased cost of educa

tion (although opportunity costs m a y decline)

(Woodhall, 1991, pp. 28-9).

Effects of adjustment on education

Macroeconomic adjustment and education are closely related through the budgetary mechanism. T h e level of resources available for education m a y be linked in principle to the success of the macroeconomic reforms, and lack of success m a y lead to further deterioration in spending on education. Economic adjustment and budget restructuring reduce public spending on


education; and declining budgets for education

m a y affect the quantity and quality of the gradu

ates of the education system, which will have a

negative impact on macroeconomic growth and

adjustment (Stevenson, 1991, pp. 19-20). N o t

only the macroeconomic choices, but also the

meso and micro choices, were significantly in

fluenced by adjustment policies, and the influ

ence has been, on the whole, negative (see Cornia

and Stewart, 1990).

T o predict the effect of adjustment poli

cies on education is difficult. However, given

the international experience, the prospects for

education in India appear to be bleak, if not

dismal. In general, early evidence of success of

structural adjustment policies was confined to

middle-income countries, and countries whose

o w n capacities for negotiation and policy analysis

were adequate, but this was not so in the poorer

and weaker countries, notably the sub-Saharan

African countries (Jones, 1992, pp. 166-7). T h e

adjustment policies that do not explicitly take

into account the education sector tend to treat

education not as an investment activity in hu

m a n capital that raises productivity, but as a

sector of public spending, and public spending

has to be reduced in all sectors, including edu

cation. In fact, the adverse impact is found to

be 'heavier' on education than on other sectors

(Emmerji, 1987, p . 8; Stevenson, 1991, p . 20).

T h e isolation and measurement of the ef

fects of adjustment are difficult and problem

atic (Lourié, 1992), not to speak of differentia

tion between the effects of World Bank structural

adjustment policies and those of I M F stabilization

policies, as they are most often presented as a

package of reforms. S o m e of the research re

viewed here,8 however, adopted sophisticated

methodologies and attempted to isolate the ef

fects of adjustment on education. It has been

found that the adverse effects of adjustment

policies on education are likely to be very se

vere. Decline in public investment, in gross

enrolment ratios and in quality of education,

particularly at primary level, have been found

to be strongly associated with adjustment poli

cies. Adjustment leads to squeezes on public

budgets in most sectors, including education.

T h e effect on education m a y indeed be heavier

than on others.

Total public expenditure on education in

current and, more specifically, in real prices is

found to have declined in some countries dur

ing adjustment. T h e declines are more pro

nounced in terms of per student expenditures.

T h e relative priority given to education in the

development framework - expenditure on edu

cation as a percentage of G N P , and as a per

centage of total government expenditure - has

been found to decline in a large number of coun

tries.

Within education, it m a y be easier during

the adjustment process to reduce public spend

ing on primary education than to reduce that

on higher education, for familiar reasons (see

Tilak, 1986, 1990a). Hence basic education and

mass education programmes such as literacy

programmes m a y be more severely affected than

higher education. Higher education m a y receive

'protection' from the governments, the bureauc

racy and politicians.

Further, within education, the capital budg

ets m a y be sacrificed in favour of recurrent

budgets. Buildings, furniture, equipment and

so forth m a y be traded off in favour of addi

tional teachers. Within the recurrent budgets,

because of the pressures of teachers' unions,

etc., teachers' wage bills tend to be less affected.

Even w h e n fiscal retrenchment is effected, the

salaries of teachers and other staff cannot be

cut for various reasons - in fact, they m a y even

increase (in current market prices at a rate less

than inflation), and schools and colleges m a y

even be opened without the necessary buildings

and equipment.

T h e most serious casualty m a y be quality

of education, and investment in those inputs

that have a stronger relationship with quality,

such as textbooks and other teaching-learning

materials. T h e axe falls on the petty amounts

being invested in teaching-learning materials,

including classroom materials in primary schools,

books and journals in libraries, consumable

material in laboratories and other quality-

improvement programmes in secondary schools,

colleges and universities. There is reason to believe


that the provision of materials and supplies will

drop more than overall budgets, and this will

cause more damage to educational development.

A s Fuller and Habte (1992, p . 4) confirm, ef

forts to increase recurrent spending on text

books are 'stymied at times by overall spending

ceilings negotiated with I M F or World Bank

economists'. Quality of education m a y deterio

rate with an increased number of students per

teacher, reduced numbers of books, etc. D r o p

out and repetition rates m a y increase. During

the process of adjustment, short-duration edu

cation and crash courses m a y be preferred to

long-duration education programmes, short-term

training programmes to long-term training,

untrained teachers to trained teachers, etc. T h e

proportion of young, inexperienced, temporary

and untrained teachers m a y increase. All this

will have serious negative effects on the quality

of education in the long run.

A n equally important concern should be

equity in education. Given the tendencies of

increased cost recovery, equity will also be af

fected. A n important outcome of the adjust

ment policies is introduction of more measures

for cost recovery. Measures such as students'

fees have been introduced even at the primary

level (for example in Malawi, and recently in

Tanzania), although recent discussions on cost

recovery are confined to post-primary levels of

education. Student fees and student loans are

the two most favoured measures of cost recov

ery. S o m e even suggest full cost recovery, par

ticularly at the tertiary level of education. A s

such measures are introduced, and direct and

indirect subsidies in education are subject to

cuts, access to education m a y be seriously re

stricted, and inequities m a y increase in terms of

lower enrolment rates for w o m e n (see United

Nations, 1989) and other weaker sections of

the population.

Adjustment policies directly and indirectly

contribute to restoration of the market mecha

nism in general and privatization of education

in particular - directly, as adjustment policies

specifically include privatization and marketi-

zation, and indirectly, through a reduction in

government subsidies. A s public budgets for

education shrink, privatization will increase, with

all its ill effects (see Tilak, 1991). Private enrol

ment and private investment will increase, but

the increase will not balance the decrease in

public investment, and as a result social invest

ment in education will be less than optimal.

Governments and private enterprise feel that

this is the best time to sell any argument in

favour of privatization. A s a result, even ethi

cally and constitutionally illegal institutions -

for example, the capitation-fee colleges in India

- m a y find support (Tilak, 1992). There m a y

be forces with vested interests that try to exploit

the situation characterized by adjustment poli

cies, and the growth in capitation-fee colleges

m a y be attributed to these forces. Secondly, simi

lar forces also help in the growth of private edu

cation institutions that rely m o s d y not on pri

vate finances, but on those from the public

exchequer: this can be described as 'pseudo-

privatization' (Tilak, 1991). Voluntary or non

governmental organizations that rely heavily on

government funds also belong to this category.

Adjustment policies play a catalytic role in all

this.

Under restructuring, enrolment rates, school

quality and priority for educational investment

suffer, and there are obstacles to an increase in

internal efficiency. At the same time there is a

need for purposeful effort to preserve alloca

tion to education, for the reallocation of resources

- including the targeting of public subsidies -

and for cost recovery. T h e role of the private

sector will increase.

It is not only the h u m a n and financial in

puts into education and the learning process

that are sacrificed: the output of the education

system m a y also be affected, given the high lev

els of educated unemployment. This m a y re

sult in a greater 'brain drain' - an outflow of an

educated workforce, and an escalation in the

qualifications demanded for jobs (Lourié, 1987,

p . 170).

In all, short-run expediency seems to domi

nate public policy-making during the adjust

ment process, and the long-term socio-economic

benefits of public investment do not seem to

carry any weight.


All these effects m a y be only in the short

term. In the long term, economic growth m a y

help education, improving, a m o n g other things,

efficiency in education. But education is a long-

term activity, and perhaps cannot be brought

back onto the rails in a short period of time

w h e n funds are available, once it has gone off

the tracks owing to paucity of funds. Further

more , the world's experience of these matters is

very limited, and the 'long-term results [of ad

justment policies] are yet to be observed' (Fuller,

1992, p . 43). S o m e of the adverse consequences

m a y be due to the fact that policy changes un

der adjustment are guided by political rather

than efficiency considerations (Noss, 1991, p . 3).

However , it m a y be that the cuts inflicted

on education budgets would be more severe

but for the adjustment policies, as these policies

are resorted to because of severe economic prob

lems. In other words, one m a y argue that the

severe economic difficulties m a y have forced

the government to cut its spending on educa

tion drastically, that the adjustment policies helped

in reducing the cuts and that, 'without some

form of adjustment, the situation would have

been worse' (Cornia et al., 1987).9 This is only

a hypothesis, still to be empirically checked.

However , it m a y be tenable to argue that while

adjustment m a y not be the cause of the prob

lem, it m a y not be the solution either.

Prospects

T h e most fundamental weakness of the struc

tural adjustment policies is in the underlying

assumption that not only short-term macro-

economic stabilization but also, more impor

tantly, long-term structural adjustment of the

economy is possible without education; that the

education sector can be ignored, or the invest

ments in education can even be reduced during

adjustment. This goes against the World Bank's

o w n policies favouring h u m a n development in

general, and development of education in par

ticular. This structural weakness needs to be

corrected. T h e orthodox adjustment policies

cannot succeed. A n alternative model of adjust

ment is needed.

First, in large economies, and in sectors

where the effects of structural adjustment are

mixed and controversial, if not totally adverse,

structural reforms should be started on an ex

perimental basis on a small scale, and in a form

that is reversible and modifiable, if necessary.

T h e application of large-scale and irreversible

reforms is costly.

In a situation characterized by economic

difficulties there is a tendency towards myopia:

the short-term savings become more attractive,

and the long-term costs of underinvestment in

h u m a n capital, particularly education, are over

looked. It is rarely realized that 'the high esti

mates of social rates of return to investment in

both the quantity and the quality of education

suggest that education can be important in achiev

ing structural adjustment and long-run economic

growth' (Knight, 1990, p . 71).

T h e undesirable consequences of adjust

ment policies on social sectors could be reduced

if a two-pronged effort were m a d e : (a) by the

adjusting countries and (b) by the World Bank

and the International Monetary Fund . F r o m the

point of view of the adjusting countries, it is

necessary, as the International Labour Organi

sation (ILO) (19926) suggests: that legal and

fiscal protection is guaranteed to sectors like

education, so that drastic cuts in public expendi

ture are not inflicted on it; that the political

mobilization of groups interested in education

take place, so that they become an organized

force that is more vocal and powerful ' w h e n the

threat of adjustment' is 'seen to be serious'; and

that a well-trained bureaucracy is built up in

vulnerable areas like education, so that budgets

for education are defended competently.

Reduction in the severely adverse effects

of adjustment policies on social sectors requires

structural adjustment policies to include explic

itly the protection of social and h u m a n devel

opment sectors (Haq, 1990; Ribe et al, 1990a,

1990&). In fact, the World Bank seems to have

understood this, and has exhibited considerable,

though not sufficient, flexibility in its lending


strategies. T h e relationship between macro-

economic adjustment (through a structural ad

justment programme) and education seems to

have been at least partly taken into account by

the World Bank, as reflected in its changing

strategies. It appears that over the years the Bank's

investment loans have become somewhat flex

ible in responding to the vastly different situa

tions prevailing in various countries. For exam

ple, w h e n structural adjustment loans, which

were later regarded as 'experimental and based

upon insufficient economic and institutional

analysis' (Stevenson, 1991, p . 27), were severely

criticized for causing serious damage to the so

cial sectors, sectoral adjustment loan programmes

specifically for social sectors were taken up.10

In a good number of countries, structural ad

justment loans were supplemented by educa

tion sector lending sectoral adjustment or tradi

tional type of investment loans. However, the

World Bank's efforts to protect the education

sector started only after the macroeconomic

reforms had begun, and these latter resulted in

a long decline in education finances. T h e

macroeconomic reforms in the initial years paid

little attention to the social sectors. O n the whole,

a variety of experiments were noted: out of a

sample of twenty-one countries, in eight of them

structural adjustment programmes were sup

plemented by education sector loans (sectoral

adjustment or traditional investment loans);11

five countries, including Bangladesh, received

only education sector loans, but not structural

adjustment loans; and another eight relied on

structural adjustment reforms only (Stevenson,

1991, p . 7) . Furthermore, w h e n a given situa

tion demanded more than one type of invest

ment loan at the same time, hybrid loans were

introduced. W h e n countries were found to be

capable of designing their o w n projects and

managing them (including appraisal and super

vision), sector investment loans that provide for

the transfer of responsibilities to the borrowing

country replaced some of the specific invest

ment loans, for which World Bank staff used to

be deeply involved in the identification, design,

appraisal and supervision of projects. There has

been considerable change, but the persistence

of the problems, for example in the form of the

adverse effects of structural adjustment loans

on h u m a n development, shows that the change

is not adequate. A s Jones (1992, p . 171) has

observed, the World Bank failed to design n e w

educational approaches to poverty alleviation

during the 1970s, and during the 1980s it failed

'to adjust to a sufficient extent [its] theoretical

understanding of education and development'.

If government spending on education is

low, the World Bank should support higher levels

of spending though sector loans or sectoral ad

justment loans, which are preferable to specific

investment project loans. Only then is 'adjust

ment with a h u m a n face' possible. A s the World

Bank has noted: 'priority social and poverty

programmes must be protected at the expense

of other alternatives' (World Bank, 1989, p . 18).

Adjustment policies should allow an increase in

public spending on h u m a n development sec

tors like education.12 Education, particularly el

ementary education, should receive a 'protec

tive package' in the adjustment programmes

(Sanyal, 1992). This is also reflected in the

changing policies of the World Bank in financ

ing education.

Since the first education loan by the World

Bank to Tunisia in 1962, nearly 400 projects in

about a hundred countries have received loans.

Although a late entrant into the World Bank

system, education became an important sector

of it. T h e World Bank is the single largest do

nor of external finance for education (Tilak,

1988), providing one-fifth to one-quarter of the

external aid for education in the world. During

the initial years, the Bank's investment loans

concentrated on secondary education, particu

larly diversified and vocational and technical edu

cation. A s m u c h as 84 per cent of the education

loans between 1963 and 1968 was for second

ary education, with nothing for primary educa

tion. It was during the first half of the 1970s

that primary education began to receive atten

tion. But still, secondary education, and then

higher education, received larger shares of total

education loans. With the beginning of the 1990s,

primary education has been given top priority

in education lending, with a share of nearly one-


quarter. Adult and non-formal education that

did not figure in the World Bank projects in the

earlier years is also being supported by the World

Bank, which is taking 'Education For A H ' as an

important goal. This is yet another important

change in the Bank's policies on financing edu

cation.

T h e World Bank's programmes include not

only structural adjustment loans for macro-

economic adjustment but also sectoral adjust

ment loans specific to a sector, as already noted;

these include social sector and 'safety net' pro

grammes, which m a y be more appealing, po

litically acceptable and feasible, and which in

fact protect a particular (social) sector from

budget cuts in addition to addressing macro-

economic problems and increasing efficiency at

sectoral level (Noss, 1991, p . 7). Sectoral ad

justment policies in education clearly favour an

increase in enrolments in education (particu

larly at primary level), quality of education and

the allocation of resources to primary educa

tion, and the safety net programmes protect the

poor under the adverse circumstances created

by structural adjustment and external shocks. A

proper mix of structural adjustment and social

sector adjustment policies, along with pro

grammes such as the 'safety net' ones, is neces

sary.

T h e adjustment policies, including the

sectoral adjustment policies in education, en

compass a variety of policy reforms relating to

costs, financing, quality, equity, access, and the

internal and external efficiency of education.

T h e adjustment policies clearly insist on increased

cost recovery in education (higher education in

particular), a policy that is difficult to imple

ment in m a n y countries, notably the poor sub

sanaran African states. Without huge public

subsidies, the higher education system m a y col

lapse in some of the poor countries. W h a t is the

opt imum mix of public subsidies and cost re

covery? This is yet to be identified. It needs to

be determined according to prevailing socio

economic conditions, as well as the education

situation in the economy. However, it should

be noted that there is no case either theoreti

cally or empirically for the total withdrawal of

public subsidies, or for 100 per cent cost recov

ery in education.

Lastly, adjustment policies also clearly in

volve an increased role for the market and pri

vatization, and a reduced role for the state, while

h u m a n development in developing countries

requires state intervention and support. This

tendency is also seriously questioned by m a n y .

T h e World Bank is aware of the problem, and

openly admits that markets alone generally do

not ensure that people, especially the poorest,

receive adequate education, and that 'govern

ment intervention is essential for development'

(World Bank, 1991). Adjustment policies have

yet to reflect this change in outlook. A s Mosley

et al. (1991, p . 305) argue, structural adjust

ment policies should embrace, where appropriate,

'policies to expand the economic role of the

state'. In conclusion, the World Bank's invest

ment and lending strategies have, as already

noted, evolved over the years; they have re

sponded to various changing situations. But the

changes do not seem to be adequate. There is

a need for more dynamism and flexibility in

the World Bank's policies to match the various

existing socio-economic, cultural and political

contexts. •

Notes

1. See, for more detail, Fredriksen (1990), Stevenson (1991) and Jones (1992). Stevenson (1991, pp. 5 3 -5) also presents in tabular form the policy content of the several loans.

2. During the 1950s and 1960s, the World Bank concentrated on project financing. Specific investment loans were its main instrument. Non-project financing or financing for general purposes was little known.

3. Only 2 per cent of all structural adjustment loans between 1979 and 1989 included conditions relating to social sector reforms (Stevenson, 1991, p . 15).

4. Hybrid loans, it appears, do not include the components of structural adjustment loans.


5. Only Mali was reported to have been given a hybrid loan that has a human resource sector component.

6. During the period 1980-90, the total value of structural adjustment loans was around S 10,442.4 million, compared to 84,324.5 million investment loans/credits, and 8400.5 million education/sector adjustment/hybrid loans (Stevenson, 1991, p. 52).

7. See, for example, Behrman and Deolalikar (1991), Hinchliffe (1989), several other papers in the IDS Bulletin Qanuary 1989), and Carnoy and Samoff (1990).

8. Most of the literature reviewed here is research conducted by the World Bank staff. There is need for more detailed studies from the point of view of the adjusting countries, and for a comparison between the two kinds of research.

9. For the same reason, Squire (1991, p. 182) argues that any analysis of the effects of structural adjustment must compare the outcomes not with the pre-adjustment period, but with the outcomes that could be expected from alternative policies that would have been economically and politically feasible under such difficult economic conditions.

10. In addition, one m a y note two important projects/ programmes of the World Bank. First, the Emergency Social Fund, first established in Bolivia in 1986, represents 'one of the first World Bank-funded efforts to address the social costs of adjustment through creating a separate compensatory program, rather than by modifying the implementation of a structural adjustment program in the light of the expected social costs' ( N e w m a n et al., 1991, p . 367). It helps to cushion the impact of the adjustment on the poor. Secondly, the Bank's Social Dimensions of Adjustment Project, started in 1987, is yet another major programme that aims to reduce the impact of structural adjustment programmes on the social sectors. However, it could also be integrated into structural adjustment loans, or sectoral adjustment loans. T h e project, however, concentrates on sub-Saharan Africa.

11. For example, Malawi's education sector programme was found to be comprehensive and integrated with the macroeconomic programme (Stevenson, 1991, p. 17).

12. Education sectoral adjustment programmes in eight out of fourteen countries recommended that education's share in the budget be held constant, and in the other six countries that it be increased; most of them suggested quantitative targets as well (Stevenson, 1991, p. 25).

References

A F S H A R , H . J D E N N I S , C . (eds.). 1992. Women and Adjustment Policies in the Third World. London, Macmillan.

B E H R M A N , J. R . ; D E O L A L I K A R , A . B . 1991. The Poor and

the Social Sectors during a Period of Macroeconomic Adjustment: Empirical Evidence for Jamaica. World Bank Economic Review, Vol. 5, N o . 2, pp. 291-313.

C A R N O Y , M . ; S A M O E E , J. 1990. Education and Social Transition in the Third World. Princeton, N.J., Princeton University Press.

C H A P E L I E R , G . ; T A B A T A I , H . 1989. Development and

Adjustment: Stabilization, Structural Adjustment and UNDP Policy. N e w York, U N D P . ( U N D P Policy Paper.)

C O L C L O U G H , C.J G R E E N , R . H . 1988. D o Stabilization

Policies Stabilize? Editorial, IDS Bulletin, Vol. 19, N o . 1, pp. 1-6.

C O R N I A , G . 1987. Economic Decline and H u m a n Welfare in the First Half of the 1980s. In: G . Cornia, R . Jolly and F. Stewart (eds.), Adjustment with a Human Face, Vol. I, pp. 11-47. Oxford, Clarendon Press.

C O R N I A , G . J J O L L Y , R.J S T E W A R T , F . (eds.). 1987, 1988.

Adjustment with a Human Face, Vols. I and II. Oxford, Clarendon Press.

C O R N I A , G . A . J S T E W A R T , F . 1990. T h e Fiscal System,

Adjustment, and the Poor. Florence, U N I C E F , International Child Development Centre. ( I N O C E N T I Occasional Paper N o . 11.)

E M M E R J I , L . 1987. O n the Nature of Adjustment Policies and H u m a n Development. In: K . H a q and U . Kirdar (eds.), Human Development, Adjustment and Growth, pp. 3-13. Islamabad, North South Roundtable.

F R E D R I K S E N , B . J. 1990. Increasing Foreign Aid for Primary Education: The Challenge for Donors. W a s h ington, D . C . , World Bank. ( P H R E E Background Paper Series, PHREE/90 /30 . )

F U L L E R , B . 1992. Lessons Learned? A Colorful Rainbow of Viewpoints. In: B . Fuller and A . Habte (eds.), Adjusting Educational Policies: Conserving Resources while Raising School Quality, pp. 43-7. Washington, D . C . , World Bank. (Discussion Paper N o . 132.)

F U L L E R , B.J H A B T E , A . 1992. Education Policy Adjustment: Defining Central Strategy, Assessing Local Effects. In: B . Fuller and A . Habte (eds.), Adjusting Educational Policies: Conserving Resources while Raising School Quality, pp. 1-13. Washington, D . C . , World Bank. (Discussion Paper N o . 132.)

(eds.). 1992. Adjusting Educational Policies: Conserving Resources while Raising School Quality. W a s h ington, D . C . ; World Bank. (Discussion Paper N o . 132.)

G H O S E , A . K . 1992. Economic Restructuring, Employment and Safety Nets: A Note. In: I L O , Social Dimensions of Structural Adjustment, pp. 94-101. N e w Delhi, I L O - A R T E P .


GRIFFIN, K . ; K N I G H T , J. 1990. H u m a n Development:

The Case for Renewed Emphasis. In: K . Griffin and

J. Knight (eds.), Human Development and the Interna

tional Development Strategy for the 1990s, pp. 9-40.

London, Macmillan.

(eds.). 1990. Human Development and the Interna

tional Development Strategy for the 1990s. London,

Macmillan.

H A Q , M A H B U B U L . 1990. H u m a n Dimension in Devel

opment. In: K . Griffin and J. Knight (eds.), Human

Development and the International Development Strat

egy for the 1990s, pp. 249-58. London, Macmillan.

H A Q , K . ; K I R D A R , U . (eds.) 1986. Human Development:

The Neglected Dimension. Islamabad, North South

Roundtable.

. (eds.) 1987. Human Development, Adjustment and

Growth. Islamabad, North South Roundtable.

H E L L E R , P. S.; B O V E N B E R G , A . L . ; C A S T S A M B E R S , T . ;

C H U , K - Y . ; S H O M E , P. 1988. The Implications of Fund

Supported Adjustment Programs for Poverty. Washing

ton, D . C . , International Monetary Fund. (Occasional

Paper N o . 58.)

HINCHLIFFE, K . 1989. Economic Austerity, Structural

Adjustment and Education: The Case of Nigeria. IDS

Bulletin, Vol. 20, N o . 1, pp. 5-10.

INTERNATIONAL L A B O U R O R G A N I S A T I O N (ILO). 1987.

Structural Adjustment: By Whom, for Whom: Employ

ment and Income Aspects of Industrial Restructuring in

Asia. N e w Delhi, International Labour Office, Asian

Regional Team for Employment Promotion (ILO-

ARTEP).

. 1992a. Social Dimensions of Structural Adjustment.

New Delhi, ILO-ARTEP. . 19926. Adjustment and Human Resources Develop

ment. Geneva, ILO. (Report VI: International Labour

Conference, 79th Session.)

JONES, P. W . 1992. World Bank Financing of Education:

Lending, Learning and Development. London,

Routledge. K A K W A N I , N . ; M A K O N N E N , E.; VAN DER G A A G , J. 1990.

Structural Adjustment and Living Conditions in D e

veloping Countries. Washington, D . C . , World Bank.

(PRE Working Paper N o . W P S 467.)

K N I G H T , J. 1990. Educational Policy Issues in a Period

of Stabilization and Structural Adjustment. In:

K . Griffin and J. Knight (eds.), Human Development

and the International Development Strategy for the 1990s,

pp. 59-72. London, Macmillan.

LF.WIN, K . 1987. Education in Austerity. Paris, U N E S C O -

IIEP.

L O C K H E E D , M . E . ; V E R S P O O R , A . M . ; and associates.

1991. Improving Primary Education in Developing Coun

tries. N e w York, Oxford University Press.

L O U R I E , S. 1987. The Impact of Recession and Adjust

ment on Education. In: K . Haq and U . Kirdar (eds.),

Human Development, Adjustment and Growth, pp. 163-

74. Islamabad, North South Roundtable.

. 1992. Are Consequences of Adjustment Policies

on Education Measurable? Journal of Educational

Planning and Administration, Vol. 6, N o . 4.

M O S L E Y , P.; HARRINGAN, J.; T O Y E , J. 1991. Aid and

Power: The World Bank and Policy-based Learning.

London, Routledge.

M U N D L E , S. 1992. The Employment Effects of

Stabilization and Related Policy Changes in India

1991-92 to 1993-94. In: ILO, Social Dimensions of

Structural Adjustment, pp. 25-40. N e w Delhi, ILO-

ARTEP. N E W M A N , J.; JORGENSEN, S.; PRADHAN, M . 1991. How

Did Workers Benefit from Bolivia's Emergency Social

Fund? World Bank Economic Review, Vol. 5, N o . 2,

pp. 367-93.

Noss, A . 1991. Education and Adjustment: A Review of

Literature. Washington, D . C . , World Bank. (PRE

Working Paper N o . W P S 701.)

P S A C H A R O P O U L O S , G . ; STEIER, F. 1987. Foreign Debt and

Domestic Spending: An International Comparison. Wash

ington, D . C . , World Bank.

R E I M E R S , F. 1991a. The Economic Impact of Economic

Stabilization and Adjustment on Education in Latin

America. Comparative Education Review, Vol. 35, N o . 2,

pp. 319-53.

. 1991 b. Adjustment and Education in Latin America.

Journal of Educational Planning and Administration,

Vol. 5, N o . 3, pp. 249-58.

RIBE, H . ; C A R V A L H O , S. 1990a. Adjustment and the

Poor: Experience from the Bank's Learning for Struc

tural Reforms. Finance and Development, Vol. 27,

N o . 3, pp. 15-17.

RIBE, H . ; C A R V A L H O , S.; L I E B E N T H A L , R . ; N I C H O L A S , P.;

Z U C K E R M A N , E . 19906. H o w Adjustment Programs

Can Help the Poor: The World Bank's Experience.

Washington, D . C . , World Bank. (Discussion Paper

N o . 71.)

S A N Y A L , B . C . 1992. Education in a Period of Change

and Adjustment: Some International Perspectives.

Journal of Educational Planning and Administration,

Vol. 6, No. 2. SINGH, M . 1992. Keynote Address. In: ILO, Social

Dimensions of Structural Adjustment, pp. 108—14. N e w

Delhi, I L O - A R T E P .

S O B H A N , R . 1992. Rethinking the Market Reform Para

digm. Economic and Political Weekly, Vol. 27, N o . 30

(25 July).

SQUIRE, L . 1991. Introduction: Poverty and Adjustment

in the 1980s. World Bank Economic Review, Vol. 5,

N o . 2, pp. 177-85.

S T E V E N S O N , G . 1991. Adjustment Lending and the

Education Sector: The Bank's Experience. Washing

ton, D . C . , World Bank, Education and Employment

Division. ( P H R E E Background Paper Series.)

T H O M A S , V . ; C H H I B B E R , A . (eds.). 1989. Adjustment

Lending: How It Has Worked, How It Can Be Improved.

Washington, D . C . , World Bank.


T I L A K , J. B . G . 1986. Political Economy of Investment

in Education in South Asia: A Reply. International

Journal of Educational Development, Vol. 6, N o . 3,

pp. 209-14.

. 1988. Foreign Aid for Education. International

Review of Education, Vol. 34, N o . 3, pp. 313-35.

. 1989a. Economic Slowdown and Education Re

cession in Latin America. IDS Bulletin, Vol. 20, N o . 1,

pp. 31-40.

. 19896. The Recession and Public Investment in

Education in Latin America. Journal of Inter

American Studies and World Affairs, Vol. 31, Nos. 1-

2, pp. 125-46.

. 1990a. Political Economy of Education in India.

Buffalo, N . Y . , State University of N e w York.

. 1990è. External Debt and Public Investment in

Education in Sub-Saharan Africa. Journal of Educa

tion Finance, Vol. 15, N o . 4, pp. 470-86.

. 1991. Privatization of Higher Education. Pros

pects, Vol. 21, N o . 2, pp. 227-39.

. 1992. The Capitation Fee Colleges. University

News, N o . 30 (December).

U N I T E D N A T I O N S . 1989. World Survey on the Role of

Women in Development. U N , N e w York.

. 1991. The United Nations on the Social Situation

in Africa, A Report of the Secretary-General. (Repro

duced in Population and Development Review, Vol. 17,

N o . 4, pp. 749-51.)

V E R S P O O R , A . 1991. Lending for Learning: 20 Years of

World Bank Support for Basic Education. Washing

ton, D . C . , World Bank. (PRE Working Paper N o .

W P S 686.)

W E I L E R , H . N . 1984. The Political Economy of Interna

tional Cooperation in Education Development. In:

R. M . Garett (ed.), Education and Development, pp. 123-

56. London, Croom Helm. W O O D H A I . I . , M . 1991. Education and Training under

Conditions of Economic Austerity and Restructuring.

Paris, U N E S C O , Operations Policy and Sector Analysis

Division. (Working document.)

W O R L D B A N K . 1988a. Education in Sub-Saharan Africa:

Policies for Adjustment, Revitalization and Expansion.

Washington, D . C . , World Bank.

. 19886. Adjustment Lending: An Evaluation of Ten

Years of Experience. Washington, D . C . , World Bank,

Country Economics Department. (Policy and Re

search Report 1.)

. 1989. Sub-Saharan Africa: From Crisis to Sustain

able Growth. Washington, D . C . , World Bank.

. 1991. World Development Report 1991. Washing

ton, D . C . , World Bank.

OPEN FILE

Monitoring the quality of education worldwide:

II. A few national examples of IEA's impact

Interests and m o d e s in research utilization: the Finnish I E A experience

Kimmo Leimu

Education is a lifelong collection of experiences.

S o m e experiences are incidental, without nota

ble purpose, and guided by more or less i m m e

diate environmental needs. M o r e purposeful and

systematic learning experiences are provided

through the programmes of formal schooling,

which constitute important societal services ben

efiting both the individual and society. These

benefits are related to the economic, social and

cultural functions of education. M o r e specifi

cally, they are related to educating a competent

labour force, the perpetuation and recreation of

core social institutions, and providing for cul

tural continuity and enrichment by offering stu

dents opportunities to develop personal values,

interests, skills and knowledge. In short, educa

tion offers important survival skills to both so

ciety and the individual.

In this article, I will sketch for the reader

several dimensions of the research paradigm to

demonstrate h o w complicated issues can be

c o m e . After noting some of the domains and

K i m m o Leimu (Finland). Senior researcher at the Institute for Educational Research, University of Jyväskylä (Finland). His main academic interests are in curriculum issues, educational evaluation and educational indicators. He has been involved in comparative multinational studies on educational achievement since 1967.

ways of looking at research, I will discuss the

International Association for the Evaluation of

Educational Achievement (IEA) studies in

Finland and suggest h o w these have helped

Finland, which has a small critical mass of

educational researchers, sort out educational

problems by drawing on a comparative interna

tional context.

Multidimensional research

In economic terms, formal education everywhere

constitutes a large and complex social system,

an 'industry' which demands considerable hu

m a n and material resources with the expecta

tion of positive returns in the future. In general,

formal education is viewed as an 'investment in

h u m a n capital', as an instrument for economic

growth, h u m a n well-being and sociocultural

development. Having established itself as a major

societal service to the nation, education can be

seen as a dynamic field of activity which seeks

to develop its o w n goals and modes of work on

a continuous basis, according to need, but al

ways constrained by available resources.

Considering the importance and pervasive

ness of the education effort, it is evident that

such a major undertaking cannot be left to chance,

but has to include some means of monitoring

Prospects, Vol. XXII, I, N o . 4, 1992 (84)

426 Kimmo Leimu

and evaluation. This implies a coherent system

for obtaining and using feedback information.

It is evident that the more open attitude to plan

ning and decision-making brought about by the

continuous development efforts in m a n y coun

tries has increased the demand for systematic

and reliable information to serve accountability

and provide a better understanding of what is

meaningful in education. This pursuit is often

linked with the more practical goals of judicious

decision-making at various levels of the educa

tional system. However, if such monitoring is

to be reliable, it cannot be far removed from

bona fide research work in the field of educa

tion, especially where policy-makers are eager

to use such information. Thus the issue of re

search utilization has both scholarly and practi

cal applications.

T h e study of education has m a n y aims and

domains. In a large and complex system, re

searchers must by necessity work with several

levels of operation and specialized expertise, which

together determine system definition, problems

and communication style. Thus one m a y focus

on system-level issues and regard other societal

structures and processes as peripheral to edu

cation. Alternatively, one m a y examine pro

gramme-level or local-level issues related to

organizational and curriculum concerns. Or ,

perhaps, one m a y develop an interest in indi

vidual-level interactions involving teaching and

learning. For a complete understanding of edu

cation, all levels are necessary.

Again, the basic purpose of collecting, ana

lysing and interpreting survey data stems from

an interest in changing education, whereby one

comes to a decision usually by monitoring and

evaluating the consequences of previous deci

sions and resulting practices. Such results are

usually needed quickly by policy-makers. O n

the other hand, information sought by educators

m a y be conclusion-oriented, related to the study

of education in more general terms in that it

attempts to conceptualize, describe and inter

pret observations in a theoretical framework

(Cronbach and Suppes, 1969; Bassey, 1992).

It is also necessary to take into account the

various research modes used to communicate

feedback to different audiences, and notably

within and between various levels of decision

makers. Without necessarily linking any of the

communication m o d e s to particular system

operation levels, the following categories have

been identified by Bassey (1992):

T h e formal level, which uses public forms of

communication intended for large and dis

tant audiences. Here the personal inter

pretative and interactional element is mini

mal and spontaneous issues cannot be

handled.

T h e informal-interactive level, wherein the in

formation is shared with others (orally and

written). Here the choice of participants in

the sphere of dissemination, as well as the

prevailing professional and interpersonal

atmosphere, become important.

T h e personal level, wherein the sphere of shared

interests is narrow, perhaps restricted to

close colleagues, or to researchers alone.

Here again, judgements and conclusions

m a y be very informal, reflective or even

speculative, perhaps never achieving any

formal status.

While some additional dimensions might be

useful, the three introduced above will suffice

to produce a many-sided framework for struc

turing the research utilization process. For pur

poses of simplicity, however, three main forms

of utilization are introduced. These distinctions

have been m a d e by Lampinen (1985), based

on work by Gurvitch (1972) and Weiss (1979,

1980), and completed by the work of Husén

and Kogan (1984). Subsequently, other major

research perspectives are discussed in additional

detail in order to demonstrate both the c o m

plexity and the potential in a consideration of

the problems and content of comparative inter

national research in education.

Three main forms and aims of research

usage can be identified:

Instrumental utilization considers research re

sults as directly applicable to distinct prob

lems. Essentially, this approach is m a n

agement-oriented, as its main focus is on

solving practical problems which are con

ceptually straightforward.

Interests and m o d e s in research utilization: the Finnish I E A experience 427

Conceptual utilization employs information to

enlighten the researcher by providing a

better understanding of the problem,

thereby affecting the way in which plans

and decisions are taken.

Political utilization employs educational strate

gies for social action. This approach con

stitutes a rather complicated field of appli

cation, since issues related to values enter

the picture. T h e utilization process m a y

involve a process of choice among m a n y

conflicting points of view, something not

u n c o m m o n in education. This utilization

issue becomes a profoundly h u m a n judge

ment which is selective and m a y result in

what is called tactical or symbolic utiliza

tion (Lampinen, 1985, p . 13).

T h e above distinctions represent 'ideal types'

which are somewhat accentuated and m a y not

be easily found in everyday life. However, they

m a y be used heuristically in considering vari

ous research strategies. O n e such framework is

given in Table 1.

S o m e modes of utilization presented by

Havelock et al. (1971), Weiss (1979) and Husén

and Kogan (1984) have been inserted loosely

into Table 1, although it should be understood

that each model is not necessarily amenable to

m y classification. Thus , for example, it m a y be

noted that neither Havelock's 'linkage model'

nor Weiss's 'research-oriented' model can be

unambiguously placed in any single cell because

as all-encompassing emancipatory strategies they

permeate several types of utilization and c o m

munication modes . Yet other dimensions for

categorizing information use can be found in

Braybrooke and Lindblom (1963) and

Stufflebeam (1976).

T h e general message emerging from the

above elaboration suggests that the utilization

of research knowledge is not a straightforward

matter which only depends on a simple choice

of strategy, or the merits of available informa

tion. A n y successful endeavour will depend on

additional frameworks such as the recognition

of problem uniqueness, the extent and quality

of knowledge required, and the capability and

willingness of persons involved to use the data.

S o m e of these considerations are interrelated to

the purposes and problems adopted by the evalu

ation model, while still others are related to the

culture and ethos of the decision-makers w h o

will use the data.

Expectations concerning multinational educational

research

S o m e examples of those expectations related to

various utilization interests are given below. While

user needs have been listed, some grouping has

been attempted according to the most general

type of utilization displayed in Table 1 : policy,

conceptual and techno-managerial. In review

ing these perspectives, readers should think in

terms of their o w n country.

T A B L E 1. Approaches to educational research

Information use Communication style employed

Formal Interactive

Technical/instrumental

Conceptual/professional

Political/emancipatory

R & D model

Enlightenment model

Political model

Problem-solving model Co-operative sharing model

Invisible college model (Linkage/percolation model)

(Research-oriented model)

428 Kimmo Leimit

POLICY INTERESTS IN RESEARCH

Cultural perspective. W h a t are the undercur

rents of education? W h a t is the status and

role of formal education in different cul

tures at different levels of societal develop

ment? H o w can the structures, contents,

practices and outcomes of education in

Finland be understood in this context?

Historical perspective. Empirical descriptions of

schooling in a time perspective allow the

past to be compared with the present.

These concerns also highlight the impor

tance of the historical timing of I E A stud

ies - especially regarding major educa

tional developments in a particular country.

International comparison perspective. H o w can

the Finnish system of education be viewed

from without and conclusions drawn re

garding both its strengths and weaknesses

in relation to other educational systems?

Futurological perspective. Representing the other

end of the historical time-frame, expecta

tions m a y be extended to the ability of the

school system to meet its challenges in the

future. They are likely to be related to the

nation's survival and developmental needs,

as well as the maintenance of its distinctive

culture.

Accountability perspective. W h a t can be said

about the quality or level of educational

effort in Finland? Is it acceptable? W h e r e

did w e go wrong, contrary to aims and

expectations? W h a t strategies can be sug

gested for providing reliable evaluation of

progress towards educational goals? W h a t

would constitute valid and feasible indica

tors regarding the status of the educational

system?

Economic perspective. Is Finnish education ef

fective, efficient and productive in its ca

pacity for providing the trained and edu

cated labour needs of society? W h a t are its

public and private costs?

Policy perspective. W h a t indications are avail

able to help one to draw conclusions on

the effects of current policy on education

and its outcomes? W h a t suggestions for

policy revision can be derived from re

search?

Administrative perspective. Problems of imple

mentation and leadership require ques

tions about h o w the educational system

functions as a multilevel, co-ordinated or

ganization involving planning, decision

making and management. H o w well are

aims and principles communicated across

levels? D o decisions at one level matter

more than at another?

CONCEPTUAL AND SCIENTIFIC RESEARCH

INTERESTS

Theoretical perspective. H o w can education be

understood and explained as a complex,

multilevel societal system? W h a t concepts

are valid in describing its characteristics

and processes? W h a t causal relationships

are postulated and observed? H o w are the

results interpreted theoretically? W h a t link

ages does comparative education have with

other disciplines and applications?

Structural perspective. W h a t are the effects of in-

and out-of-school factors in explaining

educational phenomena, such as student

learning? W h a t importance do certain back

ground conditions (for example, h o m e

environment, or administrative practices,

curriculum, teachers and school facilities)

have on the quality of educational out

comes found a m o n g different societal

groups?

Curriculum perspective. H o w do social structure

and processes in Finnish society affect the

level and distribution of educational serv

ices and outcomes? W h a t functions does

education serve as a social institution, and

what short- and long-term effects does it

have on the society?

Psychological perspective. W h a t are student learn

ing experiences like? W h a t is the prevail

ing conception of 'a student' as a h u m a n

being, or 'learning' as a process in the

Finnish classroom? W h a t kind of h u m a n

Interests and modes in research utilization: the Finnish IEA experience 429

relations are prevalent? W h a t attitudes are

developed? W h a t are the h u m a n costs of

performing versus not performing well?

Methodological perspective. W h a t research para

digm has been adopted by IEA and why?

H o w does one ensure comparability? W h a t

are the operative techniques and related

errors in sampling, measurement and analy

ses? W h a t is the basic nature and quality

of the data and what does it represent?

TECHNICAL AND MANAGEMENT INTERESTS

Timing perspective. H o w m u c h time is required

to carry out systematic project evaluation

from start to finish? W h a t complications

are added w h e n the multinational dimen

sion is included? At the micro level, what

amount of time is required by students

taking the tests and answering the

questionnaires? These experiences are im

portant w h e n determining the feasibility of

the research programme in the school and

nation.

Resource perspective. W h e n projects have multi

ple purposes, it m a y be difficult for na

tional funding agencies to see the overall

importance of evaluation research. Funders

should be reminded, however, that such

efforts need to be seen in the light of the

total system operation, because it is rea

sonable to expect some monitoring infor

mation for system-level and curriculum

interests. Costs are not high w h e n dis

counted over several years and pro-rated

according to the m a n y outcomes pro

duced, such as international and national

reports, curriculum and sampling docu

ments, k n o w - h o w , experience and the lat

est technology derived from multilevel re

search activities. Although the exact value

m a y be difficult to determine, it is safe to

say that countries can learn m u c h from

such co-operation.

Organizing perspective. H o w does one manage

and supervise large-scale survey research,

which presumes co-operation from school

authorities, teachers, students and parents

in a variety of cultural settings? H o w should

researchers organize the m a n y logistical

facets of the research process - such as

instrumentation, sampling, fieldwork, data

analysis, archiving, reporting and dissemi

nation, with the variety of expertise avail

able? Enabling people from different parts

of the world to work together to arrive at a

consensus of their cultural, conceptual-

theoretical and practical viewpoints is a

sensitive issue which always requires c o m

promise in the context of cultural inter

change.

Dissemination perspective. H o w does one enable

research results to become part of the

national and international experience con

cerning education? H o w does one reach

the user with research findings? H o w should

data for policy-making, theoretical con

ceptualizing and practitioner use be pre

sented, communicated and implemented?

H o w does one organize and document the

research data for future use? These mat

ters of dissemination and eventual response

are not easily resolved.

If a nation is truly to benefit from comparative

multinational research, then three main perspec

tives - policy, conceptual and technical - must

ideally be considered prior to starting any project

The IEA experience in Finland

Finland was one of the founding member s of

IEA, participating in twelve out of fifteen major

I E A studies, including the first pilot experiment

in 1959. Throughout, the seat of the Finnish

National IEA Centre has been at the Institute

for Educational Research, University of Jyväskylä.

Other Finnish universities have been involved

either in project co-ordination (Joensuu), or as

separate users of I E A data, mainly for academic

work (Turku and Joensuu). Apart from these

universities, the main funding agencies have been

the Ministry and the National Board of Educa-

430 Kimmo Leimu

tion, and the A c a d e m y of Finland. Together, a

widening circle of researchers, administrators,

teacher educators and teachers have directly

experienced these international co-operative

ventures. Thus , one m a y inquire about the role

and concept of I E A studies in Finland: H o w

can m e I E A research venture be seen in Fin

land in the light of the experiences, needs and

expectations observed above?

Traditionally, w h e n painting a picture of

the overall educational effort in Finland, the main

professional benefits expected from international

comparisons concern the quality of inputs, pro

cesses and outcomes of education. In this re

spect, models which help to explain outcomes

within and across countries are valued highly,

as these have the potential for revealing system

structure and curricular arrangements which have

validity in a variety of educational settings. R e

searchers are especially eager to examine effec

tive patterns across countries and to assess them

in the light of their national policy and curricu

lum implications.

W h e n polling Finnish researchers involved

in the early I E A activities, two interests were

recorded: the technical issue of h o w to assess

educational outcomes, particularly instrument

development; and a more general and scholarly

interest in contributing towards the success of a

co-operative study. It is noteworthy that early

Finnish interests did not include the production

of substantial national analyses, as it was thought

sufficient to rely on the c o m m o n international

reports. In later studies, the need for supple

mental national reports became clear. O n e can

view this as the first step toward the need for

enhanced research utilization.

While a formal system of research utiliza

tion has not been established in Finland, the

basic strategy that has been followed in making

use of IEA results has necessarily taken into

account the relatively few resources devoted to

conducting and following up each individual

project. Since it has not been possible to pro

duce comprehensive and timely national reports

which would enable formal, visible dissemina

tion across broad levels of the education c o m

munity, more reliance has been given to what

have been termed 'interactive' strategies. Instead

of seeking short-lived publicity, an attempt has

been m a d e to approach planners, policy-makers

and national working groups with I E A results

or special analyses tailored to particular deci

sion-making needs. While policy-makers take

professional responsibility for developing their

o w n mandate and action plan, researchers are

able to judge the relevance of their o w n data in

shedding light on policy problems.

This activity between policy-maker and

researcher often takes the form of commissioned

reports, which are problem-oriented. Such strat

egies have been applied in Finland to develop

principles of testing and evaluation, including

the final examination system, the upper sec

ondary school curriculum and, more recently,

proposals for mathematics and science educa

tion throughout the formal education system.

T h e more research co-operation can be inte

grated with the development process, the better

the possibilities for researchers to contribute to

important developments through their work and

judgement. A good deal more might be done

along these lines in terms of a highly focused

interactive enlightenment model discussed ear

lier.

International research co-operation has

provided important empirical evidence which

has served policy discussion at the national level,

asking questions about the state of education in

Finland. In fact, I E A studies have often been

found to provide the only representative e m

pirical data for purposes of system monitoring

w h e n an international perspective is required.

Even at the national level, m u c h of the general

curriculum and policy evaluation work either

constitutes or relies on models and approaches

received or adapted from the IEA. These influ

ences are examples of open sharing, based on

c o m m o n international collaboration. A s the

mission of most national-level research shares a

strong orientation towards the future, it m a y be

stated that the I E A has helped point Finnish

educators to the future.

System-level evaluation strategies apply to

both general and specific curriculum issues on

levels: defining subject-area content and objec-

Interests and modes in research utilization: the Finnish IEA experience 431

tives, monitoring implementation, or in obtain

ing performance profiles. In Finland, initial na

tional interests are often related to such policy

and curriculum needs, while further analyses

tackle the theoretical issues. This situation is

qualified by two considerations: timeliness and

general appropriateness of data. Regarding time

liness, with rapid change all around it is possi

ble that the results of long-term research work

are hopelessly outdated by the time they are

released. This is what happened in Finland to

data from the six-subject study collected under

the traditional education system but analysed

and released only after the introduction of the

comprehensive school reforms. While it is u n

derstandable that there was little immediate in

terest in such results, however, access to re

peated studies over the years has led educators

to realize the unique historical value of previ

ously collected data.

Furthermore, one has to judge the appro

priate domain and level of application to I E A

findings. While, typically, system- and curricu

lum-level interests have determined the approach

and the content of these studies, it is true that

I E A data are best suited for exactly these pur

poses. This is not to say that certain I E A infor

mation should not be used (for example, for

instructional purposes) or cannot serve individual

or school-level needs. In fact, positive examples

m a y be taken from the I E A Written Composi

tion Study, where meaningful instructional sup

port was provided to teachers. In short, there is

a wide range of potential research interests in

education with the most suitable approaches.

Early decisions linking policy to methodology

can avoid unnecessary problems after the study

is in progress.

For researchers, the existence of an 'invis

ible college' of researchers with like interests, all

sharing a c o m m o n conceptual framework, is of

particular importance, as it permits not only

comparison of results but actual co-operative

wyrk in a practical sense (see Bloom, 1974;

Husén, 1979, 1988). Such co-operation m a y

be more or less direct, ranging from formal

partnership in special studies to making data

available. M u c h work has been possible using

multinational data which allow each participat

ing system to benefit from comparative studies

pursued elsewhere. Useful learning has also

occurred through more informal exchanges of

views, experiences and technical solutions, all

of which strengthen the quality of research it

self. At this point, one should not underesti

mate the added importance of subjective expe

rience gained by young researchers w h e n they

encounter prominent world-class researchers in

the workplace. Views and advice are keenly

absorbed, and a good deal of state-of-the-art

knowledge is transferred. These contacts are also

likely to build a sense of personal growth and

enhance motivation. All of the above contribu

tions m a y warrant a place in the above utiliza

tion framework.

In Finland, research procedures and meth

odological frameworks have also been used by

teachers wishing to k n o w the latest research find

ings. Together with actual findings, these ex

amples provide teachers with contextual knowl

edge and understanding useful for professional

growth and educational debate. In this connec

tion, professional teacher organizations have

proved both interested in and capable of pro

viding opportunities for publicity and debate,

particularly in the fields of literature, mathematics

and science. Dissemination efforts have ben

efited from links that have been built between

national interest groups by including their m e m

bers on IEA national study committees. This

m a y be taken as the second aspect of the Finn

ish utilization scene, wherein benefits accrue

mainly through interactive enlightenment strat

egies. O f course, it m a y also happen that pro

fessional union interests enter the picture, as it

is possible to use study outcomes w h e n arguing

for better provisions. In such a case one m a y

recognize the existence of a political role played

by teachers organized by discipline (e.g. read

ing, science or mathematics).

Likewise, secondary effects on other re

searchers have been evident, as judged by adopted

principles and academic debates emanating from

IEA research. I E A standards have improved

awareness of sampling requirements and sharp

ened conceptual model-building and instrumen-

432 Kimmo Leimu

tation. In particular, national assessment efforts

have benefited from the IEA experience. In terms

of academic work, m a n y doctoral dissertations

and other graduate research work have been

produced using Finnish IEA data.

In Finland's eyes, IEA data banks offer

information which is timeless, as each data bank

represents an empirical snapshot of structural,

curriculum and instructional circumstances which

have historical value in that they depict educa

tional change. In the research domain, the uti

lization of I E A models and data has been both

direct and indirect, formal and personal. This

is a field where several utilization models m a y

be operative at once, ranging from the technical

linear model and the problem-solving model

found in Table 1 to co-operative sharing.

Equally obvious, but having more direct

effects on students, were those conceptual models

educators learned about through IEA work, which

have influenced the development of curriculum

and learning materials. Thus , n e w conceptuali

zations of learning, as opposed to objectives

standards, have found their w a y into national

curriculum guidelines and even served as the

theoretical background to widely used sets of

learning material.

Suggestions for the future

In general, comparative education research has

provided m a n y rich lessons to Finnish educa

tors by offering opportunities to view one's o w n

system from the outside and, in return, to make

openly available to the international c o m m u

nity information about Finnish educational ef

forts. A s IEA-type research is planned for the

1990s and beyond, it will be important to con

sider carefully the full range of needs and

potentials surrounding comparative multinational

studies.

First, it should be possible to delineate the

projected costs and strategies needed to both

implement and disseminate research. In this

regard, project length and complexity are cru

cial considerations, since it m a y be difficult to

justify long-term research projects, particularly

if the pay-back is not immediate. O n the other

hand, shortfalls in quality standards can no longer

be tolerated. A s a consequence, two different

styles of projects are proposed for the future:

quick and efficient, problem-oriented surveys

which employ already existing instruments and

can serve recurrent follow-up needs using edu

cational indicators; and innovative experimen

tal studies focusing on a set of different cultural

and system contexts.

It is conceivable that future I E A research

might be embedded in a more dynamic con

text. This could be achieved by making reports

more readable and appealing to a variety of

audiences. N e w studies would require provi

sions for national and international follow-up

work, which takes the form of intensive second

ary analysis. Such activities would benefit from

problem-oriented approaches organized around

international team effort, with high-level exper

tise and governmental support. Utilization might

also be enhanced through more interactive strat

egies, using projects which engage researchers

to look for c o m m o n cross-national issues rel

evant to all.

A s is evident from the variety of expecta

tions mentioned above, IEA-type research calls

for insight from experts in m a n y different fields

of knowledge. It becomes crucial that teamwork

and shared responsibilities receive constant at

tention during project planning and analyses.

T h e underlying concern here is for improved

theoretical sophistication, which should then

become evident in the problem definition, hy

potheses tested and data analysed. As IEA al

ready has first-class prominence in international

comparative education research, special effort

should be m a d e to raise the general level of

public understanding by stressing quality stand

ards.

T o s u m up, educational research can aid

those accountable for schools. Survey research

ers have ambitions to capture a useful snapshot

of educational effort, which can be used to un

derstand better h o w education functions. Even

as greater decentralization occurs in Finland,

Interests and modes in research utilization: the Finnish I E A experience 433

IEA work still m a y be expected to help educa

tors understand the educational process. This

article has offered a multitude of approaches to

research that upon first view suggest that edu

cation is a very complex domain. However, rather

than allow themselves to be overwhelmed by

problems, researchers should consider the full

potential of survey research - the potential to

see all the pieces of the puzzle which make up

the educational landscape. •

References

B A S S E Y , M . 1992. Creating Education through R e search. British Educational Research Journal, Vol. 33, N o . 3, pp 183-93.

B L O O M , B . S. 1974. Implications of the IEA Studies for Curriculum and Instruction. School Review, Vol. 82, N o . 3, pp. 413-35.

B R A Y B R O O K E , D . ; Lindblom, C . 1963. A Strategy of Decision: Policy Evaluation as a Social Process. N e w York, T h e Free Press.

C R O N B A C H , L . J.; S U P P E S , P . (eds.). 1969. Research for Tomorrow's Schools. N e w York, Macmillan.

G U R V I T C H , G . 1972. The Social Frameworks of Knowledge. N e w York, Harper & R o w .

H A V E L O C K , R . , et al. 1971. Planning for Innovation through Dissemination and Utilization of Knowledge. A n n Arbor, Mich., Institute for Social Research.

H U S É N , T . 1979. A n International Research Venture in Retrospect: The IEA Surveys. Comparative Education Review, Vol. 23, N o . 3, pp. 371-85.

. 1988. Educational Research and Policy Making. In: J. Keeves (ed.), Educational Research, Methodology, and Measurement. Oxford, Pergamon Press.

H U S É N , T . ; Kogan, M . 1984. Educational Research and Policy: How Do They Relate? Oxford, Pergamon Press.

L A M P I N E N , O . 1985. Yhteiskuntatieteelisen tutkimuksen hyodyntaminen poliittis-hallinnollisessa paatoksenteossa. S u o m e n Akatemian julkaisuja. Helsinki, Valtion Painatuskeskus.

S T U F F L E B E A M , D . 1976. Evaluating the Context, Input, Process and Product of Education. Paper presented at the International Congress of Physical Education, Jyväskylä, Finland.

W E I S S , C . 1979. The M a n y Meanings of Research Utilization. Public Administration Review, Vol. 39, pp. 426-31.

. 1980. Knowledge Creep and Decision Accretion. Knowledge, Vol. 1, N o . 3, pp. 381-404.

Hungarian experiences in international student

achievement surveys Zoltán Báthory

Hungary has been participating in international

educational research in close co-operation with

the International Association for the Evaluation

of Educational Achievement (IEA) since 1968.

During this period of twenty-four years, I E A

studies have become an integral part of educa

tional thinking, practice and research.

Hungary enjoyed a rather peculiar situa

tion in Eastern Europe in the 1970s and 1980s.

In spite of all the political and ideological con

straints, it was able to nurture fairly strong rela

tions with the Wes t in the fields of economy,

culture and sciences. Besides, the Hungarians

had a high standard of living, so they could

travel to the W e s t more freely, compared to the

citizens of other 'socialist' countries in the re

gion. M a n y expressions were coined to charac

terize this strange political phenomenon : it was

Zoltán Báthory (Hungary). Professor of education at the University of Miskolc (Hungary) and Head of the Centre for Evaluation at the National Institute for Public Education (Budapest). His fields of interest include issues of teaching and learning (didactics), curriculum and evaluation and research methodology. His most recent published books (in Hungarian) are: Tanítás és tanulás (Teaching and Learning) and Tanulók, iskolák - külonbségek (Students, Schools - Differences). He has also published several articles in his fields of interest, in both Hungarian and English.

said that Hungary had developed a 'refrigerator socialism', that it was ruled by a 'sloppy dictatorship' and that it had been the 'jolliest barrack in the c a m p ' . I E A activities fitted well into this picture.

International co-operation in the field of education was practically u n k n o w n in Eastern Europe. Poland m a d e an unsuccessful start with I E A in 1970. Data related to science had already been collected but the information had not been sent to I E A . Romania took part in the assessment of French taught as a foreign language which turned out to be laborious and unsuccessful. In Jena (in the former G e r m a n Democratic Republic), I was once requested by colleagues to provide them with I E A science tests. I answered that there already existed translated G e r m a n versions and these could be obtained from Frankfurt. T h e response to m y advice was that it would be better for them to translate the Hungarian version into G e r m a n themselves.

In the mid 1970s, an awkward attempt was m a d e to establish an East European I E A . This was an agreement based on the necessity of carrying out a maths survey in the Eastern European context. At the last minute, however, the survey was cancelled because some insisted that, as a first step, the theoretical basis for evaluation had yet to be worked out. Later a survey was carried out but the results were never widely disseminated.

Prospects, Vol. XXII, I, N o . 4 , 1992 (84)

Hungarian experiences in international student achievement surveys 435

Benefits of international survey

participation

Hungarian education benefited from interna

tional studies in three areas: (1) methodological

advances; (2) contact with the West (the so-

called 'window effect'); and (3) introduction to

system-level analyses.

METHODOLOGY

IEA studies served as methodological innova

tions for all kinds of assessment surveys and

studies. Since the research methodology of IEA

was developed by researchers with an interna

tional reputation from around the world, H u n

gary did not have to invest in its o w n research

effort to develop the n e w positivist-empirical

methodology. This is a fairly serious gain for

any small and developing country. In mis sense,

IEA has proved an important postgraduate school

in evaluation research for the young generation

of educational researchers in Hungary and else

where in the region. W h a t was brand-new and

unusual for people like m e twenty years ago has

become natural to today's young Hungarian

educational researchers.

International comparisons, secondly, initi

ated national surveys and helped to set bench

marks for these studies. Alongside IEA meth

odology in 1980, 1986, and March 1991, cyclic

studies were carried out with the aim of moni

toring knowledge and skills in the basic fields of

education, such as reading comprehension,

mathematics and computer literacy. These sur

veys and assessments played an invaluable role

from the viewpoint of getting people acquainted

with and evaluating the mechanism of Hungar

ian education. Without these surveys, the H u n

garian desire to be a part of a greater Europe

could only be a dream.

THE 'WINDOW EFFECT'

International studies, as an aggregate effect, m a d e

it possible to avoid the ever-present danger of

provincialism in education. I E A opened a 'win

d o w ' on Western Europe and the wider global

world of education in an age of Eastern Euro

pean isolationism.

I E A studies have accumulated a rich fund

of background information on curriculum con

tent and on the conditions of education in a

sample of countries throughout the world, es

pecially in the developed regions. Because of

this wider context, this kind of information is

invaluable to Hungary whenever major educa

tional policy decisions are required. In critical

situations, it also makes it easier to judge whether

a crisis is the result of national policy on educa

tion or whetiier it has more to do with world

wide educational problems.

SYSTEM-LEVEL ANALYSIS

Over a period of more than twenty years, nine

IEA surveys were carried out (science, 1970,

1983; mathematics, 1980; reading comprehen

sion, 1971; English as a foreign language, 1971;

classroom environment, 1983; written c o m p o

sition, 1986; computers in education, 1991; and

reading literacy, 1991). T h e main results of these

studies are grouped below according to content

field.

Reading comprehension

T h e findings of the Reading Comprehension Study indicated that Hungarian student achievement scores in all tested grades were generally inferior to those of other IEA countries. In rank order by national average, Hungarian students were placed next to the bottom at the Grade 4 and 12 levels while they took eighth place (out of twelve) at the Grade 8 level. Consequendy, instruction in the Hungarian language and c o m munication skills constituted one of the least effective fields of study. Subsequent national

436 Zoltàn Báthory

reading comprehension studies conducted in

1979, 1980 and 1986 corroborated these earlier

findings.

T h e poor achievement results in reading

comprehension shocked the Hungarian Minis

try of Education. Both professionals and the

public reacted sharply. Experts considered mainly

changes in teaching methods and, as a result,

silent reading was emphasized. It is also be

lieved that the IEA findings contributed to the

spread of diverse teaching methods for reading from

the late 1970s onward. Until then, only one

method of teaching initial reading had been used,

in compliance with the central curriculum. Those

early research findings, along with other fac

tors, contributed to the considerable innovation

of education in Hungarian language and c o m

munication skills.

Mathematics

In the I E A mathematics survey, Grade 8 and

12 student achievement was measured in 1980.

Unfortunately, owing to a misunderstanding,

the Hungarian Grade 12 sample did not corre

spond to that of other countries, thereby limit

ing scope for comparisons.

T h e rank order of national averages indi

cates that Hungarian students in Grade 8 are

placed well above the international average and,

at Grade 12, the top 5 per cent scores fifth out

of twelve. These findings clearly indicated the

effectiveness of Hungarian maths education in

a period w h e n traditional arithmetic and ge

ometry teaching was being replaced by the n e w

mathematics of the 1970s.

Science

T h e first and second international science stud

ies took place in 1970 and 1983 respectively

(Comber and Keeves, 1973; Postlethwaite and

Wiley, 1991). Both IEA science studies indi

cated, at least according to the achievement scores

posted, that this field of education in Hungary

was indeed effective. Hungarian science is c o m

parable with that of Japan on the basis of rank

orderings.

In 1970, the fourth-graders were placed in

the middle rankings while the eighth-graders

scored second. In 1983, they were ranked fifth

and first respectively out of twenty-three coun

tries. T h e twelfth-graders scored 7 out of 19 in

1970, while thirteen years later Hungarian up

per secondary students did even better.

T h e relatively high achievements of Hungarian

students resulted from several factors. T h e most

conspicuous one was the political and profes

sional (academic) concern for making science

the premier curriculum. It was widely accepted

that the 'building' of socialism needed high tech

nology and scientifically trained labour. Conse

quently, more teaching time was devoted to

science education in the central curriculum and

the quality of teaching materials (textbooks,

curricula) also surpassed the average of those

in other educational branches. At the same time,

humanistic and language studies had to accept

a marginal position. T h e balance of the cur

riculum was wrongly conceived. Overall research

findings regarding the level of mathematics and

science were substantiated by an international

mathematics and science test conducted in 1991

with Hungary by the International Assessment

of Educational Progress (the international branch

of the Educational Testing Service in the United

States).

General conclusions

Hungary's experience with I E A is a valuable

source for restructuring the public education

system in the wake of political changes. S o m e

of these experiences could also be adopted in

developing ways to influence educational re

forms throughout Eastern Europe. First, I would

like to focus on the necessity of changing the

theoretical framework of education (ideology

versus reality). Second, I consider the implica

tions for the operation of the system (the cen

tralization-decentralization trade-off). Finally,

I raise the issue of provincialism versus globalism.


I D E O L O G Y V E R S U S REALITY

During the past forty years of Soviet rule in

Eastern and Central Europe, Marxist-Leninist

ideology imprinted itself on all walks of life; and

this applied extensively to education. In con

trast to positivist and humanistic paradigms, the

Soviet model of educational philosophy came

to be called the 'ideological paradigm'. This

paradigm, which prevailed east of the Elbe river,

was based on the assumption that education

could create socialist personalities. Thus , ad

herents of this philosophy disregarded h u m a n

and social differences, ignored reality and tended

to consider the ideological set of educational

aims as absolute. Ideology infiltrated the entire

education system: curriculum content, teach

ing, school organization and training. T h e cen

trally designed and approved curriculum played

an important role in uniting these school pro

cesses.

According to the 'ideological paradigm',

the output of education should be coherent with

educational aims - otherwise it was thought that

something was wrong with the process. But the

paradigm itself, never wrong, always remained

applicable. Consequently, all positive results of

I E A studies (especially science) were officially

welcomed and thought to complement the domi

nant paradigm. But what was one to do with

the negative outcomes (for instance, reading

comprehension)? Luckily, positive and nega

tive results appeared alongside each other in

Hungary back in the 1970s w h e n the outcome

of the six-subject study was reported. Thus ,

critical implications about methodology and

design could not be raised in one regard (lan

guage) but ignored in another (science and

maths). Ultimately, Hungarian education policy

was forced to acknowledge the negative non-

science achievement results. It is ironic - and

paradoxical - that it was probably the negative

findings from the IEA studies, rather than the

positive ones, that helped to transform educa

tional thinking and re-establish respect for real

ity. T h e ruling educational policy had suffered

its first blow.

In this ideological context, two groups of

research findings had far-reaching effects: (a)

comparisons involving between-school variations;

and (b) h o m e and school effects on learning.

Between-school variance in achievement

During the 1986 I E A General Assembly meet

ing in Stockholm, Sixten Marklund, a Swedish

researcher, displayed an especially thought-pro

voking table, based on his secondary analysis of

the 1970 science education survey (see Table

1). T h e data in the table unequivocally indi

cated that, while the differences measured by

percentage of student variance between S w e d

ish schools were rather minor, they were strik

ing in the case of Hungary. H o w interesting it

was, I thought at the time, that education policy

had set the aim of creating equal school oppor

tunities in both countries, but, given resources,

time and energy, this objective was realized m u c h

more in Sweden than in Hungary.

T A B L E 1. Percentage ratio of between-school variance to overall achievement variance in First IEA Science Study

Country 10-year-olds

England 19 Finland 28 Hungary 40 Japan 18 Netherlands 23 Scodand 29 Sweden 15 United States 32 Federal Republic of Germany 27

Country average 26

Source: Marklund (1986).

14-year-olds

33 20 34 20 40 43 12 28 30 29

Data indicating differences between schools and classes in science and reading comprehension clearly showed that differences between schools were large in Hungarian schools c o m pared to schools in other developed countries. At the same time, it could also be determined that between-school differences were negligible in Finland and Japan. All this led to the conclu-

438 Zoltán Báthory

sion that there exist differences across countries

in the way school opportunities are distributed.

These differences must be determined in part

by national educational policy. In any event,

large Hungarian achievement differences between

schools remained an irritant to the ideological

paradigm.

Home and school influences

on student achievement

Regression analysis applied to IEA data helped

Hungarian researchers to understand better the

influence exerted by h o m e and school factors

on various types of achievement across age lev

els. Generally speaking, analysis of the IEA data

revealed that for those children undergoing c o m

pulsory schooling, h o m e factors were responsi

ble for a greater part of the student achieve

ment variation than were the schools themselves.

Furthermore, the differences found were greater

in non-science than in science and mathematics

and at lower grade levels. Table 2 presents se

lected results.

B y comparing the variations due to these

factors as witnessed in Hungary with the varia

tions in European countries, and Sweden in

particular, two important conclusions could be

drawn. In the case of Hungary, h o m e back

ground influences on reading achievement in

the early grades were greater than the variances

for m a n y other IEA countries and certainly for

Sweden. In brief, Hungarian family influences,

such as father's occupation, mother's educa

tion, books in the h o m e and the like, influenced

student achievement more than in Sweden - a

country claiming to comprise a homogeneous

society.

This finding contradicted official expecta

tions because, according to the ideology of the

day, Hungary too had a homogeneous society

like Sweden and so the influence of the family

should not affect student learning. In a word,

w h y should some Hungarian families influence

student learning w h e n all families are of the

same social level?

In summary, looking at the data, the ef

fects of Hungarian learning conditions on both

science and reading were similar to those in

Western Europe. Hungarian schools by and large

operated in the same way as schools in the highly

developed countries. If this was a reason for

dissatisfaction, so be it!

If there is still a problem raised by these

data, it has to do with the failure to offer a good

explanation as to h o w such badly paid Hungar

ian teachers could have produced such rela

tively excellent Hungarian students. According

to the 1983 science data, Hungarian teachers

received an average salary far below the total

average earnings in other European countries -

in some cases 200 per cent less.

T A B L E 2. Influence of home versus school on reading and science scores in Sweden and Hungary (percentage explained variance)

H o m e influence

Subject Sweden

9-10-year-olds

Science

Reading

13-14-year-olds

Science

Reading

17-18-year-olds

Science

Reading

16 12

18 16

18 4

Hungary

11 19

14 19

12 7

IEA Average

14 18

19 19

16 8

School influence

Sweden

5 3

4 2

20 2

Hungary

7 4

5 4

10 5

IEA Average

6 3

5 3

20 5


T o s u m up , I want to touch on the impor

tance of paying attention to reality. Empirical

research is only one tool in the accomplishment

of this aim. However, countries with an ideo

logical paradigm should be aware that empirical

research m a y result in data that oppose the para

digm. Looking back over twenty-four years of

participation in comparative international sur

veys, I can at last understand w h y IEA was con

sidered as the 'extended arm of imperialism' in

the Eastern bloc. F r o m their viewpoint, inter

national empiricism constituted a real danger.

CENTRALIZATION VERSUS

DECENTRALIZATION

East and Central European policy-makers for a

long time believed that effectiveness of school

ing - educational quality in today's terminology

- was closely related to the measure of centrali

zation in educational administration. This opinion

used to be shared by some Western I E A theo

reticians, w h o backed up their beliefs by point

ing to excellent Hungarian achievement in sci

ence and mathematics. T h e examples of Japan

and, later, of the Asian 'tigers' also provided

convincing evidence. At the same time, h o w

ever, the progressive Hungarian researchers did

their utmost - especially from the early 1980s -

to loosen the exaggerated centralism of educa

tional administration by liberalizing its centrally

prescribed curricula. In the Education Act of

1985, significant results were attained in this

direction. Researchers never considered centrali

zation, at least in its extreme version as it ap

peared in the region, as an important variable

to study. Researchers did agree that school ef

fectiveness was an important outcome to be

measured and researched.

I do not believe that international surveys

proved to be a clinching argument in settling

the dispute about h o w centralization influenced

school quality. Both sides had ample evidence.

N o serious pedagogical arguments were ever

put forward to show that the preservation of

centralized authority would enhance school ef

fectiveness.

In the 1990s, in the midst of changes oc

curring in East and Central Europe, it is not

centralization that is the danger, but, rather,

extreme decentralization. I a m afraid that m a n y

of us misunderstand the West even in this re

gard as w e drift from one extreme to another.

Through the Western 'window' opened to us

by participation in comparative international

studies, it is possible to monitor the relative flex

ibility of teaching staff with respect to teaching

content, and the degree of centralized authority

over the curriculum and teacher certification.

In some ways, a central administration is needed

to regulate m i n i m u m standards, especially in

times w h e n m a n y Eastern European systems

are moving toward major reforms.

In Hungary, in 1990, the educational ad

ministration broke away entirely from the prac

tice of extreme centralization and began to cre

ate the conditions of a balanced curricular

regulation similar to that found in m a n y Euro

pean countries. For example, as part of this

process, a national core curriculum was elabo

rated, and a public examination system was cre

ated. T h e national core curriculum should en

sure a c o m m o n basic level of education,

compulsory for every school (Nagy and Szebenyi,

1990). Beyond the core curriculum, schools are

free to decide h o w they want that core and local

curriculum taught.

PROVINCIALISM VERSUS GLOBALISM

In the course of changing the political and so

cial system of Hungary, the questions of what

to keep and what to throw away cause m u c h

debate. Should Hungary try to merge with greater

Europe or seek to emphasize national cultural

traditions? T h e liberals emphasize adjustment

to Europe while the conservatives stress national

cultural traditions (Báthory, 1992).

In addressing these questions, I believe each

national system of education automatically per

petuates national traditions. Themselves authori

tarian, educational administrations wish to de

termine the values and content of education;

this applies even more to those countries that

440 Zoltän Báthory

for m a n y decades sat on the sidelines of E u

rope, with no opportunities for genuine inter

national relations. Participation in international

research activities can offer opportunities to

become involved in the international network,

as past membership of I E A allowed some an

early orientation to European educational is

sues. It will be difficult to convince conserva

tive national political leaders in the former Eastern

bloc countries about the direct and indirect ben

efits of international co-operation. In this re

spect, it m a y be advisable to look first for allies

a m o n g educational researchers.

Beyond the general approach to provin

cialism versus globalism, there exists a more

concrete reason for participating in international

research. Measurement instruments elaborated

during I E A workshops by a wide range of edu

cational researchers from around the world (dif

ferent statistical analysis techniques, sampling,

test construction, curriculum grids, data m a n

agement, etc.) m a y turn out to represent a truly

international world curriculum design. T h e at

tainments, skills, abilities and attitudes arrived

at by nearly every participating country during

a study must count for something.

A n y international achievement test or ques

tionnaire whose content, if it is to be valid, can

only be elaborated after a m i n i m u m partial con

sensus arrived at by all countries, does indeed

represent a tangible product of international co

operation. These tests and questionnaires pro

vide a c o m m o n orientation for curriculum de

velopers in their quest to find something truly

global. Consequently, IEA instruments are worth

investing in, even if a system of education can

not or does not wish to participate in the actual

survey. •

References

B Á T H O R Y , Z . 1992. Some Consequences of the 'Change in Regime' in Hungarian Public Education. Recent Trends in Eastern European Education. Frankfurt a m Main, German Institute for International Research.

C O M B E R , L . C ; K E E V E S , J. P. 1973. Science Education in

Nineteen Countries. Stockholm, Almqvist & Wiksell. M A R K L U N D , S. 1986. An Unfinished Audit? IEA, 27th

General Assembly Meeting in Stockholm. Stockholm, Swedish National Board of Education.

N A G Y , J.; SZEBENYI, P . 1990. Hungarian Reform: T o

wards a Curriculum for the 1990s. Curriculum Journal, Vol. 1, N o . 3.

P O S T L E T H W A I T E , T . N . ; W I L E Y , D . E . 1991. Science

Achievement in Twenty-one Countries. Oxford, Pergamon Press.

Using evaluation research for policy

and practice in Botswana

Serara Moahi

Over the last two decades it has become in

creasingly apparent in most countries that there

is a need to incorporate empirical research into

the process of educational planning on both a

long- and a short-term basis.

Policy-makers gradually develop national

philosophies or guiding principles in education.

Next, they set goals and allocate resources to

accomplish those goals, though, often, little time

is spent thinking about ways to evaluate suc

cess. T h e n the process is repeated. Somewhere

in the process, there comes a point where w e

need to evaluate our efforts and ask ourselves

h o w far these policies and programmes have

gone towards achieving our goals. Only from

such evaluations can our policies, and the er

rors in current practice, be revised.

Policy planners n o w recognize the need

for monitoring and feedback because educa-

Serara Moahi (Botswana). Senior Research and Testing Officer in the Research and Testing Centre of the Department of Curriculum Development and Evaluation, Ministry of Education (Botswana). Former National Research Co-ordinator for the IEA Reading Literacy Study; is currently working on the Criterion Referenced Testing programme in Botswana.

tional changes have been so rapid. Even long-

term policies have been m a d e obsolete and ir

relevant before they could be implemented. Fi

nally, the trend away from quantitative expansion

of the educational system to the qualitative di

mension - looking at what happens in the class

room - makes evaluation research more impor

tant today.

T h e purpose of this article is to share the

experience Botswana gained from the research

commissioned by the Ministry of Education,

and show h o w research was used as a basis for

formulating policy in educational areas formerly

untouched by national survey research. T h e article

continues by examining h o w research covering

a certain number of research needs has served

policy-makers, planners, testing officers, and

educational practitioners.

Botswana is a country located in the southern

cone of Africa. According to U N E S C O , Bot

swana's per capita G N P was $1,010 annually

in 1991, with agriculture and mining as the key

economic sectors. T h e country had 1.3 million

inhabitants in 1990, 25 per cent of them living

in urban areas, with a net enrolment ratio in the

early grades near 97 per cent. B y 1988, public

expenditure on education equalled 8 per cent

of GNP.

Prospects, Vol. XXII, [, N o . 4 , 1992 (84)

442 Serara Moahi

Past educational research conducted in

Botswana played a significant role in the for

mulation of current educational policy. For ex

ample, current education policy in Botswana,

referred to as 'Education for Kagisano', is based

on the recommendations of a national commis

sion on education, created by the government

in 1975. O n e of the national concerns facing

education twenty-five years ago was inscribed

in the Education for Kagisano report (Botswana,

1977):

Botswana has not, until now, had a comprehensive review of its education system in the 10 years since independence. The numbers of schools and students have increased rapidly - some would say too rapidly - but quantitative growth has had a bad effect upon quality. Little has been done about what happens inside the schools.

In 1975, the Education Commission was con

cerned about the massive expansion of the for

mal education system, aimed at satisfying the

increasing demand for formal schooling but

without accompanying improvements in the

quality of schooling. T h e appointed commis

sion deemed it necessary to collect empirical

information on some important aspects of the

system through a national survey. T h e main

aim of the survey was to evaluate qualitatively

the outcomes of instruction at both primary and

secondary levels of schooling and, using an in

put/output model, to relate the outcomes to school

inputs such as school facilities and teacher and

student background.

H o w did the commission proceed?

T h e commission decided to draw upon the ex

perience gained by the International Associa

tion for the Evaluation of Educational Achieve

ment (IEA) from their first international studies

in the 1960s and 1970s. Cognitive instruments

from the IEA six subject survey (civics, litera

ture, science, reading, English and French as a

foreign language) and mathematics were exam

ined and test items from the reading compre

hension, mathematics and science tests were given

to Botswanan Standard VII (last year of pri

mary), Fo rm III (lower secondary) and F o r m V

(upper secondary) students. T h e research task

before the Education Commission was to uti

lize decision-taking research to help educators

consider ways and priorities for improving the

day-to-day operation of school teaching (Cooley

andBickel, 1986).

T h e comprehensive evaluation of the

Botswanan educational system by the Educa

tion Commission not only provided the basis

for government policy on education, but also

demonstrated a commitment to the use of edu

cational research and evaluation in seeking so

lutions to educational problems in Botswana.

This sentiment is still expressed today, as wit

nessed by an official government document

entitled 'Improving the Quality of Basic Educa

tion in Botswana', presented to the Eleventh

Conference of Commonwea l th Ministers in

October 1990 in Barbados. According to the

report, efforts toward improving the country's

research capacity should include financing worthy

research via government and donor funds and

the establishment of a computerized data unit

within the Ministry of Education, along with a

planning and policy unit.

Developing data baselines

T h e 1976 national survey provided the country with baseline data for the school system; these served as a benchmark for checking the effects of implementing national education policy. While no study since 1976 has exactly replicated the original study, intervening studies have always contained c o m m o n areas of evaluation, allowing for observation of change across time. For example, the 1982 primary education survey used national tests to measure student achieve-

Using evaluation research for policy and practice in Botswana 443

ment at Standard VII. This 1982 Primary E d u

cation Improvement Project (PEIP) was also

intended to provide baseline data on school fa

cilities, teacher and pupil background informa

tion and pupil achievement. In designing these

questionnaires and tests, some of the questions

and test items from the earlier 1976 national

testing programme were included to compare

changes in student learning and learning condi

tions over time. This trend analysis of change

in student achievement between 1976 and 1982

was the first time such data were analysed in

Botswana. Keeping in mind the subjective na

ture and variability of tests drawn up by teach

ers, prior achievement scores based on grades

were never really possible.

T o s u m up, if people do not k n o w where

they are going or what they are doing, they will

be unable to discover whether they have arrived

or what they have accomplished. C o m m o n sense

tells us that if people do not k n o w the starting

point of their journey, they will never k n o w h o w

far they have come . T h e baseline data obtained

from the 1976 and 1982 education surveys did

allow educational planners to establish some

reference points for measuring school facilities,

teacher training, in-service programmes and the

like.

T h e international Reading

Literacy Study

In 1989, the Examination Board of the Minis

try of Education in Botswana joined the IEA

Reading Literacy Study operating from H a m

burg. In the beginning there were close to fifty

countries in the study, m a n y of them located in

Asia, North Africa and Latin America. T h e

Botswanan Testing Unit was interested in sur

vey research technology - especially in devel

oping tests based on test scaling models that

could both guarantee reliability within a coun

try like Botswana and allow educators to c o m

pare item difficulty across countries. Botswana

was particularly interested in comparing itself

with Zimbabwe, the other regional country par

ticipating, along with Nigeria, Kenya and se

lected countries around the world.

T h e international Reading Literacy study

was designed to accomplish two tasks: (1) to

develop and administer a set of measures by

which educational leaders could describe the

types and levels of reading literacy attained by

various segments of the school population within

each nation; and (2) to examine the impact of

varying educational policies and programmes,

as well as h o m e influences, on reading literacy.

Internationally scaled reading comprehension tests

in narrative, expository and document reading,

along with word recognition in English, were

employed in Botswana and other countries. Stu

dent and teacher questionnaires were also ad

ministered to elicit information about the stu

dent h o m e reading environment and school

attitudes and activities related to teaching and

instruction.

O n the basis of these test instruments, a

testing programme for 9- and 14-year-olds, a

sampling plan, a data programme, and a time

table were developed that would allow Botswana

to pilot test in 1990 and test several thousand

students in 1991. Data were subsequently

cleaned and data file sets developed at the

Ministry's Examination Unit. T h e overall ra

tionale of the study is presented in Figure 1,

which shows the kinds of background infor

mation (home language, gender, geographical

residence, family economic status, etc.), school

inputs such as teacher education, experience

and reading activities; school policy inputs such

as emphasis on homework , reading in class,

access to reading materials, etc.; all based on

the child's reading literacy. Figure 1 serves as

a m e n u from which any country might choose

in order to investigate relations between the

various boxes.

T h e value of this reading literacy model

lies in its ability to investigate h o w students of

varying backgrounds utilize good teachers and

schools to learn h o w to read in their instruc

tional language. T h e model allows researchers

to examine the wider process of schooling in a

444 Serara Moahi

BACKGROUND VARIABLES

SCHOOL INPUTS SCHOOL/TEACHER POLICIES

IV OUTCOMES

1

2

3

4

S

Economic status

H o m e literacy resources

H o m e language

Pupil gender

Urban/rural

6

7

8

9

10

II

12

13

14

15

16

17

18

19

20

21

22

23

Teacher gender

Teacher education

Teacher training

Teacher in-service

Teacher experience

Instructional time (total)

Instructional time (languages)

Instructional time (reading)

Teacher readership

Reading materials in class

Reading materials in school

School pupil-teacher ratio

Class size

Pupil-special teacher ratio

Public/private

Principal's experience

Principal's time in school

U n m e t remedial demand

24

25

26

27

28

29

30

31

32

33

34

35

36

Comprehension instruction

Skills instruction

Literature emphasis

Assessment emphasis

H o m e w o r k (teacher)

H o m e w o r k (student)

Reading in class

Access to reading materials

Frequency of library visits (class)

Frequency of borrowing books

Encouragement to parents

School reading initiatives

Principal's level of engagement

37

38

39

40

Composition achievement

Composition-reading

Document-reading

Voluntary reading

FIG. 1. Conceptual framework for reading literacy: a menu.

national context while focusing on just a few

relationships. Data analysis allows researchers

to investigate reasons w h y some children, per

haps children in rural areas or those starting

school late, seem to lack motivation or fail to

study hard, and thereby perform poorly on read

ing skills.

Instrumentation for the study was care

fully developed over two years - first by screen

ing test items from around the world, and next

by inspecting and then pilot-testing these items.

For example, an item from the word recogni

tion test given to 9-year-olds is offered to show

the reader the kind of test administered to chil

dren. This non-verbal test measures h o w fast

children can recognize words and is correlated

with reading effectiveness as measured by scores

on tests of reading passages and graphs (Fig. 2) .

policy and practice in Botswana 445 Using evaluation research for

Boy

0 ^

_Ä

JSgfg

¿f

Fingers

©<§

4 #

ñ FIG. 2. Word recognition test items (after IEA Reading Literacy Study, Hamburg).

Stimulating innovation

Concerning the concept of school efficiency,

the Botswanan Ministry of Education believes

the kinds of hypotheses developed using the

I E A reading literacy model will prove useful in

making its o w n national report. Furthermore,

the findings - both academic findings and school-

level indices of resource levels - will also be

examined and compared to similar items in

cluded in earlier national surveys carried out in

Botswana. Returning to the concept of baseline

data, it is n o w clear that the database derived

from the 1991 testing in reading literacy can

serve as a further database. In fact, surveys are

n o w under w a y to replicate the 9- and 14-year-

old surveys on adjacent age levels for assess

ment purposes, using the latest test-construc

tion technology.

Botswana and other developing nations such

as Z i m b a b w e are n o w entering a period in which

their Ministries of Education are localizing re

search, in concrete terms through the establish

ment of research units based within the minis

try, and conceptually by internalizing research

within their o w n policy-planning and evalua

tion units. A s Ross and Mahlck (1990, p . 11)

stress:

Decision-makers in the 1990s will demand that proposals for change put forward by educational planners should have a reasonable chance to improve educational outcomes and/or improved student flows, and these improvements should be of a magnitude that can be defended in terms of the costs of making the changes.

In an earlier citation of the paper presented to

the Eleventh Conference of C o m m o n w e a l t h

Ministers, Botswana's education sector was shown

to consume 16.9 per cent of the total govern

ment budget in 1982/83 and 18.3 per cent in

1990/91. T h e financial context offered by these

numbers suggests that while the education sec

tor has only increased slightly over the decade,

it is expected to remain very flat for the next

five years, as the government finds it more and

more difficult to provide additional resources

for education.

Under tight budgets, the issue of financial

accountability stares us in the face each time

the education minister presents his budget. There

must be convincing evidence showing that scarce

government resources spent on education do

indeed contribute toward the overall goals of

national education. This author continues to argue

that n e w directions in educational planning will

present n e w challenges, such as: the establish

ment of a clear conceptual education frame

work; the establishment of linkages between

educational system data and the quality of edu

cation indices; the development of sound meas

urement and testing techniques; and the estab

lishment of cost scenarios noting the conditions

likely to cause anticipated change.

Botswana's Ministry of Education admit

tedly set a precedent in gathering information

to provide feedback for policy adjustments when ,

in 1976, it undertook the Botswanan I E A R e p

lication Study, followed by the 1981 Primary

Education Survey, the 1985 Junior Secondary

Survey and, finally, the I E A Reading Literacy

Study in 1991. It is fifteen years since the pub

lication of the Education for Kagisano policy

statement - a statement that still guides educa

tional development in Botswana. Over these years

there have been a number of reports in Bot

swana about the state of education. For e x a m -

446 Serara Moahi

pie, m a n y schools have been built and school

fees have been abolished to increase access.

Teacher-training colleges have increased and

university-level primary education departments

been set up to improve the status of teacher

training. Teacher in-service workshops are taken

seriously. N e w teaching approaches have been

introduced to promote learner-centred ap

proaches to education. T h e school curriculum

has been refocused to reflect national goals and

a practical skills orientation, including vocational

education. Examinations and testing units are

being asked to respond to n e w theories and tech

nologies by emphasizing individual student c o m

petence. A d d e d together, each of the above in

novations should contribute to better teaching

and better learning.

Recent research in Botswana is providing

information on the status of die education sys

tem in the light of ongoing curriculum, instruc

tional and organizational changes in schools.

Inferential and descriptive studies on classroom

research report that teachers are unlikely to

implement innovation enthusiastically unless they

are part of the development process and have

been allowed to acquire the required skills. Class

room-level studies also suggest that teachers are

not encouraging reasoning and discovery learn

ing in Botswanan schools. These findings sug

gest mat as school systems turn their focus away

from books, desks and teacher qualifications as

means of altering student learning, the cultural

context of the classroom must be taken into

account in planning intervention programmes

throughout Botswana. Snyder and Ramatswi

(1990, p . 15) raise these very important issues

in the context of policy formation at the sec

ondary-school level:

School improvement initiatives assume that teachers and classrooms are resources to be used (to meet schooling needs). W e rarely think about the dynamics of schools - the pre-existing daily scripts and methods employed by teachers in the engagement of their classroom tasks. W e implicitly see the classroom as a simple setting to be changed or modified as directed and not as a complex organization, resiliently enveloped within its material and h u m a n constraints.

Such classroom research does not give us solu

tions to the problems facing education in Bot

swana, though it helps to emphasize relevant

issues in the African region which can be in

cluded on questionnaires developed for large-

scale surveys.

T h e role of national education

researchers

T o strengthen education in Botswana, planners

should view inputs and outputs in the educa

tion system as dependent on the social, cul

tural, financial and h u m a n contexts that shape

education systems. Each factor should be built

into the general research design, because any

policy intended as one form of school system

intervention cannot be isolated from the work

ings, practices and conventions of the other fac

tors. In other words, cost considerations are tied

closely to student and teacher attitudes and

behaviours, and these in turn are tied to lan

guage and custom, etc.

If educational planners work more closely

with practitioners at all levels, then policy-re

lated issues can be more precisely identified,

and appropriate information gathered and ana

lysed. If researchers work well they can help

bridge this gap between the planner and the

practitioner. In fact, whenever a researcher makes

a careful study for the ministry, every oppor

tunity should be m a d e to communicate pur

poses and rationale to classroom teachers. T h e

benefits to research are twofold: first, the teach

ers are more likely to support the data-collection

efforts, and, second, they m a y be able to offer

some very pragmatic suggestions to improve

the study.

Using evaluation research for policy and practice in Botswana 447

Subregional co-operation

in research

Recently there was some talk about offering IEA

survey research training to countries in the south

ern Africa region, as the U N E S C O Harare of

fice had indicated that such training was valu

able. T h e intended purpose of this activity was

to acquaint African researchers with steps in

the survey research process and, more impor

tantly, to see if there was enough support in the

region to undertake some form of large-scale

cross-national evaluation research. T h e think

ing behind this idea had m u c h to do with trying

to initiate regional co-operation whereby Bot

swana and Zimbabwe, for example, might un

dertake a comparative study with South Africa,

Swaziland, Lesotho, Namibia and Zambia.

In a way, this is a good idea because Bot

swana is more likely to compare its education

system to those of its African neighbours rather

than to America, Europe or even Asia. T h e rea

sons are simple. Well and poorly educated la

bour from Botswana must eventually compete

with similar persons from neighbouring coun

tries in the region. If primary education in

Swaziland or Namibia is significantly better at

producing educated Standard VII graduates than

is Botswana, w e would not only like to know

this but, more importantly, to know why . If the

curricula of neighbouring education systems are

somehow better, Botswana should find out why ,

especially if its neighbours' curriculum pro

grammes are equally priced.

In conclusion, international research in

education is valuable to Botswana, especially if

research comparisons can be m a d e selectively

between similar countries such as Botswana,

Zimbabwe, Swaziland or developing countries

outside Africa. At the same time, Botswana is

interested in reviewing those countries where

achievement is exceptionally high in order to

seek explanations which might be applicable to

the Botswanan context. If mat were to happen,

the investment in international comparative

research would pay for itself m a n y times over. •

References

B O T S W A N A , R E P U B L I C O F . 1977. Education for Kagisano. Report of the National Commission on Education. Gabarone.

C O O L E Y , W . ; B I C K E L , W . 1986. Decision-oriented Educational Research, pp. 3-6. Boston, Kluwer-Nijhoff.

F U L L E R , B . 1990. What Investments Raise Achievement in the Third World? In: D . W . Chapman and C . A . Carier (eds.), Improving Educational Quality: A Global Perspective, pp. 17-33. N e w York, Greenwood Press.

Ross, K . N . ; M A H L C K , L . 1990. A N e w Mission for Educational Planning. In: K . N . Ross and L . Mahlck (eds.), Planning the Quality of Education: The Collection and Use of Data for Informed Decision-making, pp. 7-12. Paris, U N E S C O .

S N Y D E R , C . W . ; R A M A T S W I , P. T . (eds.). 1990. Curriculum in the Classroom: Context of Change in Botswana's Secondary School Instruction Programme, Preface. Gabarone, Macmillan.

Y O D E R , J. H . ; M A U T L E , G . 1991. The Context of

Reform. In: M . Evans and J. H . Yoder (eds.), Patterns of Reform in Primary Education: The Case of Botswana. Gabarone, Macmillan.

Dominican Republic: the study on teaching

and learning of mathematics

Eduardo Luna

In the foreword to Improving Primary Education

in Developing Countries: A Review of Policy Op

tions, A n n Hamilton, Director of the Depart

ment of Population and H u m a n Resources at

the World Bank, states:

A nation's children are its greatest resource. In only a few decades the prosperity and quality of life of all nations will be determined by today's children and their abilities to solve the problems that face them, their families, communities and countries. Education unlocks these abilities, and investment in children's learning is the most important contribution to a better future. The cen-trality of children's learning is widely recognized.

This 'investment in children' concept has slowly

gained acceptance in m a n y developing coun

tries over the last decade. Its recognition by Latin

Eduardo Antonio Luna (Dominican Republic). Professor of Mathematics at Barry University, Miami (United States) and at the Pontificia Universidad Católica Madre y Maestra, Santiago (Dominican Republic). President of the Inter-American Committee on Mathematics Education and member of the Executive Committee of the International Commission on Mathematical Instruction.

American countries has resulted in significant

increases in educational opportunities for pri

mary school children. With school enrolment

ratios nearing 100 per cent in m a n y Latin Ameri

can countries during the 1980s (Lockheed and

Verspoor, 1990), it has been suggested most

nations in the region have achieved the quanti

tative goal of enough places in primary schools

to serve the relevant school-age population.

Information on quality -

insufficient or non-existent

A less sanguine picture emerges w h e n one

looks at the quality of education provided to

students once in school. For example, most

policy-makers do not k n o w the educational

achievement scores in mathematics and lan

guage attained by students spending a few

years in the classroom. Therefore they do not

k n o w if the quality is better or worse over time.

Unfortunately, m a n y Latin American countries

still lack national evaluation systems to deter

mine curriculum areas that need improvement


Dominican Republic: the study on

- systems that can generate innovative and

viable programmes to improve instruction and

learning in the various curriculum subjects. In

fact, it is often left to the teacher alone to

determine whether a student should be pro

moted to the next primary grade. Under this

system, h o w can one be sure whether standards

in one school are the same as standards in

another?

In M a y 1978, the Government of Ven

ezuela, through F O N I N V E S , a foundation de

voted to promoting scientific and technical edu

cation, and the Venezuelan National Centre for

the Improvement of Science Teaching

( C E N A M E C ) , sponsored a conference attended

by representatives from nine Latin American

countries. T h e attendees were seeking informa

tion about the Second International Mathemat

ics Study (SIMS) organized by the IEA (Inter

national Association for the Evaluation of

Educational Achievement). This conference,

endorsed by the Inter-American Committee on

Mathematics Education ( I A C M E ) , led to dif

ferent national projects, including 'The Teach

ing and Learning of Mathematics in the D o

minican Republic' ( T L M D R ) - a project I will

discuss shortly.

In 1980, a group of professors of the

Pontificia Universidad Católica Madre y Maestra

( P U C M M ) , Santiago (Dominican Republic),

initiated the T L M D R project. Dominican pro

fessors decided to pool their knowledge in dif

ferent areas to focus on a neglected but impor

tant aspect of education - the evaluation of

classroom teaching and learning. O n e reason

for interest in classroom mathematics teaching/

learning was the perception that educators did

not know h o w well scientific and technological

knowledge appropriate to Latin America was

being produced in the classroom. T h e lack of

sufficient Dominican Republic college students

interested and competent in the sciences could

also be traced to poor teaching of basic sciences

and mathematics in primary and secondary

schools. In fact, educators had very little reli

able information concerning the quantity and

quality of mathematics learned by students in

the Dominican Republic. Moreover, very little

and learning of mathematics 449

was known about the way teachers taught daily

mathematics classes.

It was against this background that the IEA

International Mathematics Study provided the

opportunity to share access to expertise, expe

rience and technological know-how accumulated

by IEA since the late 1960s. National expecta

tions for the study were to receive empirical

data which could be used to design new strate

gies to improve the teaching and learning of

mathematics in the Dominican Republic. T h e

strategies would be based on information ob

tained from national samples of both teachers

and students interacting with each other in the

instructional framework. Comparisons with other

education systems, both similar to and different

from the Dominican Republic, could show h o w

well students were doing on the basis of 'the

international yardstick'.

T h e remainder of this article describes h o w

the mathematics study was carried out, the chal

lenges overcome and the outcomes revealed.

This earlier study, carried out in the 1980s, has

paved the way for participation in the newer

international mathematics and science study n o w

being conducted in over fifty countries by IEA,

with an international centre in Vancouver

(Canada).

Framework of the study

Like all international comparative studies,

T L M D R was conceived as a broad-based, c o m

parative investigation of the mathematics cur

riculum as prescribed, taught and learned. For

the purposes of the study, the mathematics cur

riculum was seen to consist of three dimen

sions: intended (official documents), implemented

(classroom teaching) and attained (student

achievement gain on a pre- and post-test de

sign). In addition to the curriculum analysis,

the design allowed the study of several non-

school factors, such as family influences, since

it is always more appropriate to study an edu

cation system within its social context.

450 Eduardo Luna

Methodology

T L M D R mathematics tests were administered

at the beginning and end of the school year to a

random sample of 5,342 students in the target

populations (13- and 17-year-olds). Achieve

ment tests consisted of a forty-item core and

four rotated forms of thirty-five items each, from

which students answered the core items and

one rotated set of questions.

T h e mathematics test items were selected

from an item data bank consisting of translated

questions developed internationally by IEA.

Dominican Republic researchers certified that

each item was appropriate for Latin American

use in testing arithmetic, algebra, geometry,

elementary statistics and measurement. T h e

items were pilot-tested several times, ending

with a final selection of 180 items, including

116 from the final set employed in the S I M S

international survey.

In addition to the mathematics test, a

student questionnaire was developed to gather

information about parental occupation and edu

cation, students' nutritional practices, the occu

pational expectations of students and attitudes

toward school and learning. Similarly, a ques

tionnaire was developed for teachers, request

ing information about academic training, teacher

workload, instructional materials and practices,

opinions about the mathematics process and

attitudes toward mathematics. A classroom proc

ess questionnaire was developed to gather in

formation about methods and procedures used

to teach algebra, geometry, measurement, etc.

Finally, a questionnaire was developed which

gathered information about the opportunities

students had had during their current or previ

ous school year to learn the mathematics needed

to answer the test items.

Sampling

W h e n T L M D R was carried out in 1984, there

were two mathematics curriculum programmes

that lower and upper secondary-school students

could study: traditional and reform programmes.

T h e traditional programme had been developed

in 1950 and corresponded to mathematics pro

grammes taught in the United States during the

1950s, with an emphasis on arithmetic and

measurement, and some sets and statistics also

included. T h e reform programme had been re

cently introduced and corresponded to the cur

riculum developed by mathematics experts

emphasizing both algorithms and their justifi

cation. Students following either programme were

eligible to participate in the study.

T h e sampling design for the Dominican

replication of the IEA mathematics study was

designed to facilitate in-depth national compari

sons rather than international comparisons. Local

researchers were encouraged to assist in deter

mining substantially relevant strata for the study.

In the case of the Dominican Republic, there

was an interest in comparing the major urban

areas, including the capital, with small towns

and rural areas, because, as with most nations,

geographic differences are associated with eco

nomic development. Second, there was an in

terest in comparing school types, because these

were known to serve different social groups and

to employ teachers with different levels of ex

perience and access to school facilities. Conse

quently, urban schools were differentiated as

public primary and intermediate schools; pub

lic traditional and reformed high schools; pri

vate and semi-official schools; and authorized

or not aumorized by the Ministry of Education

to offer examinations. Urban schools were also

categorized by population (for example, Santo

Domingo , Santiago, cities with populations be

tween 50,000 and 100,000, between 15,000 and

50,000, and less than 15,000).

In rural areas only one type of school was

considered because rural schools are more ho

mogeneous than urban schools. Once schools

Dominican Republic: the study on teaching and learning of mathematics 451

had been sampled, students from appropriate

grades were sampled in sufficient quantity to

permit comparisons between school type and

demographic area. In all, 116 schools repre

senting thirty-six sampling strata were drawn.

Data collection and analysis

At the time T L M D R was initiated, researchers

recognized the importance of effective c o m m u

nication with each of the schools in the sample in

order to obtain all student and teacher informa

tion. This strategy required four site visits to

each school in the sample. While this quality-

control measure increased the cost of the survey,

it was felt necessary since it is almost impossible

to establish effective communication w h e n face-

to-face contact is lacking. A team of fifteen fourth-

year college students, under the supervision of

the research team, administered the question

naires and tests. Data collection proceeded well

and all schools submitted their materials to the

national centre. At the time, both teachers and

students wrote their answers in the questionnaire

booklets because in the 1980s multiple-choice

test formats were n e w and it was thought that

separate answer sheets might present undesir

able complications in retrieving data.

S o m e findings from the study are reported

in Table 1, where percentages of correct an

swers on a post-test score (ninety-three-item

test for 5,342 students from schools, 160 class

rooms, over 31 school settings of various types)

are shown. T h e national average across all schools

is presented along with an international average

of the twenty countries that participated in the

earlier survey. F r o m Table 1, the reader can see

just h o w well students from each of the school

types performed in each of the content areas.

All school types in the Dominican Republic were

below the international norms, with the private

school students performing best among the school

types in the country. In fact, the pre-test aver

age score in the private school group was higher

than the post-test score in all the other school

forms.

Activities stemming from the

achievement survey

A great deal of concern was expressed about

the poor performance of the Dominican stu

dents in the international achievement test re

sults, and educators wished to understand w h y

this was and what to do about it. A team of

mathematics educators from the University of

British Columbia was invited to assist in identi

fying possible causes for underachievement and

to help m a k e recommendations for appropriate

remedial action. A programme of classroom

observations, videotaping of lessons and inter-

T A B L E 1. Grade 8 percentage correct score by school type and mathematics topic (Dominican Republic)

Natural numbers

C o m m o n fractions

Decimals

Ratio-proportion

Algebra

Geometry

Statistics

Measurement

Public lower

secondary

30 22 18 20 21 25 19 20

Public traditional secondary

36 21 18 21 20 24 22 21

Public modern

secondary

38 20 20 21 24 27 24 21

Private certified

secondary

57 35 33 34 28 40 38 32

Private non-certified

secondary

41 26 22 22 21 26 27 22

Rural secondary

37 21 16 18 20 23 18 20

National average

37 22 19 21 21 25 22 21

International average

66 51 48 50 47 53 54 53

452 Eduardo Luna

views with teachers and principals in twelve

randomly selected schools representing the vari

ous school types was chosen. During a two-

week period all lessons taught to a specific class

were observed in each of the twelve schools.

T h e purpose of the classroom observations and

teacher interviews was to get a more complete

picture of the teaching of mathematics at the

Grade 8 level and to supplement and amplify

die data obtained through the classroom pro

cess questionnaires. T h e goal was to be able to

make explicit the kinds of instruction and learning

procedures taking place in various schools, to

examine the range of instructional processes and

to relate them to the aggregate results obtained

from the national survey.

Results from the videotaping did provide

a context for a better understanding of the na

ture of classroom instruction across schools.

Schooling sessions in the Dominican Republic

take place in the morning, afternoon and evening.

Students attend one of these sessions and teachers

m a y teach during any or all of the sessions, with

a typical teaching load of forty-eight periods

(forty-five minutes each) per week. Typical class

room instruction is restricted to copying lecture

notes from the blackboard and writing h o m e

work exercises in a notebook. Such practice

restricts the amount of time available for other

instructional activities like guided practice or

problem-solving, independent work, etc. Reli

ance on note-taking based on copying was not

monitored for accuracy, with teaching load most

often cited by teachers as the reason for little

monitoring and feedback.

Employing curriculum development and in-service

training

Results obtained from T L M D R classroom observations led to a decision to attack die problems in two ways: (1) a curriculum development centre for mathematics was needed to

prepare high-quality materials appropriate to the

Dominican context, which would enable teach

ers better to instruct pupils in mathematics; (2)

it was clear m a n y Dominican teachers needed

to upgrade their teaching skills; for this purpose

an in-service education programme was imple

mented.

THE CURRICULUM DEVELOPMENT

INTERVENTION

T o aid m e curriculum development centre, a

desktop publishing system including Macintosh

microcomputers, laser printers and several soft

ware packages was acquired for the Dominican

centre w i m funds provided by the International

Development and Research Centre ( I D R C ) in

Ottawa (Canada). This equipment, maintained

locally, resulted in the production of low-cost,

easy-to-use teaching materials which could be

reproduced in large quantity for distribution to

teachers. T w o mathematics curriculum units of

the Grade 8 content on which students scored

particularly poorly (Luna et al., 1991) were

chosen, and Spanish-language versions of the

units were developed, produced in consumable

form and distributed to schools.

IN-SERVICE PROGRAMMES

O n e Grade 8 mathematics teacher from each of forty-eight schools in the Santiago area was invited to participate in the in-service education programme in the summer of 1987, m a k ing use of the two units described in die previous paragraph. Participants were randomly assigned to either a short (three-day) or long (three-week) training session. During the long session, teachers were introduced to teaching models that supported the structure of the lessons developed. They watched presentations and in turn presented lessons which were videotaped. M u c h time was spent discussing the mathematical content of the lessons, since m a n y teachers lacked an understanding of mathematics.

Both groups of teachers were later observed

Dominican Republic: the study on

teaching mathematics in their classroom, and

rated on the basis of adjustment to the teacher

model and knowledge of lesson content. Like

wise, a pre- and post-test on the subjects for the

two units were administered to the students of

the in-service teachers. In all cases, those teach

ers attending the longer training programme,

and their students, were rated highest.

Since the establishment of the Curriculum

Development Centre, designed to examine rea

sons for the uneven achievement performance

in the Dominican Republic, financial assistance

from the Canadian International Development

Agency ( C I D A ) , joint efforts with the Univer

sity of British Columbia, the Ontario Institute

for Studies in Education, and the Latin Ameri

can Centre for Research and Development of

Mathematics Education have been provided so

that the curriculum centre can continue to in

vestigate the teaching and learning of mathematics

in the Dominican Republic.

Looking to the 1990s

T h e following passage, from the preface of a

World Bank report, is relevant here: 'There are

two ways educational systems can be organ

ized. O n e is to keep teaching children without

any feedback on what students learn. T h e other

is to institute a national assessment system to

monitor student learning for feedback and im

provement' (Horn et al., 1991).

Although most educational systems in the

world today follow the first approach, the situ

ation is rapidly changing. M a n y countries, in

cluding several in Latin America, have c o m e to

realize the potential for measuring student

achievement for the purpose of improving school

quality. Chile, Costa Rica and Mexico are coun

tries in the vanguard of this movemen t . Educa

tional programmes in Belize, Brazil (Northeast

and Säo Paulo), Colombia, the Dominican R e

public, Ecuador and Jamaica have already in

cluded proposals to establish educational assess

ments. Implementing educational assessment is

and learning of mathematics 453

not easy: to be done properly, it requires tech

nical expertise, financial resources and institu

tional and government commitment.

Experience in international comparative

education studies by Dominican researchers has

proved that the technical experience of IEA,

combined with a local commitment to enrich

country analysis, can yield viable, low-cost strat

egies to improve the teaching and learning of

school subjects. At present, Latin American

countries working on the Third International

Mathematics and Science Study ( T I M S S ) in

clude Argentina, Brazil, Chile, Colombia, Costa

Rica, the Dominican Republic, Ecuador, G u a

temala, Mexico, P a n a m a , Peru and Venezuela.

National Project Co-ordinators from each of

these countries me t in Caracas in April 1991,

and again in Santo D o m i n g o in February 1992,

to discuss the survey framework, instruments

and sampling design. A product of these meet

ings has been the agreement to participate in

T I M S S at least at the lower secondary-school

level; to complete the questionnaires sent out

by the international co-ordinating centre; to

participate in the pilot-testing of the open-ended

items; and to conduct a pilot study on math

ematics and science using the instruments de

veloped.

This joint venture represents the first time

that a study of this type will be conducted in a

large number of Latin American countries. In

the past, Latin American participation in I E A

studies has been limited, owing to the costs in

volved in the development of test and question

naire instruments relevant to Spanish-speaking

culture, in collecting and processing data and

in analysing and reporting findings. It is hoped

that this n e w co-ordinated effort of Latin Ameri

can countries to participate in the N e w M a t h

ematics and Science Study represents renewed

regional interest and will be seen as a contribu

tion to the internationalization of this large fifty-

country study of mathematics and science learn

ing. •

454 Eduardo

References

H O R N , R . ; W O L F F , L . ; V Ê L E Z , E . 1991. Developing Edu

cational Assessment Systems in Latin America. A Review of Issues and Recent Experience. Washington, D . C . , World Bank.

L O C K H E E D , M . E . ; V E R S P O O R , A . M . (eds.). 1990. Im

proving Primary Education in Developing Countries: A Review of Policy Options. Washington, D . C . , World Bank.

L U N A , E . ; G O N Z A L E Z , S.; W O L F E , R . 1991. The Under

development of Educational Achievement: Mathematics Achievement in the Dominican Republic Eighth Grade. Journal of Curriculum Studies, Vbl. 22, N o . 4 , pp. 361-76.

L U N A , E . ; G O N Z A L E Z , S.; Y U N E N , R . 1982. Selección de

items cognoscitivos utilizados en el estudio, La Enseñanza y el Aprendizaje de la Matemática en la República Dominicana. Santiago, Centro de Investigaciones PUCMM.

R O B I T A I L L E , D . ; G A R D E N , R . 1989. The IEA Study of

Mathematics II: Contexts and Outcomes of School Mathematics. Oxford, Pergamon Press.

SECRETARIA D E E S T A D O D E E D U C A C I Ó N , BELLAS A R T E S Y

C U L T O S ( S E E B A C ) . 1979. Diagnóstico del sector educativo en la República Dominicana. Santo Domingo, Editora Educativa Dominicana.

W O L F E , R.; L U N A , E.; Y U N E N , R.; GONZALEZ, S. 1982.

Informe sobre el muestro utilizado en el estudio, La Enseñanza y el Aprendizaje de la Matemática en la República Dominicana. Santiago, Centro de Investigaciones, P U C M M .

H o w Japan makes use of international

educational survey research

Ryo Watanabe

This article attempts to explain, with some il

lustrative examples, the reasons w h y Japan has

participated in the international co-operative

studies sponsored by the International Associa

tion for the Evaluation of Educational Achieve

ment (IEA), and to present a variety of impacts

that have both influenced educational practices

in general and advanced the educational research

community in Japan. T h e article goes on to

describe h o w interpretation of international data

and research experiences gained from partici

pation in I E A studies has been useful in im

proving Japanese education, and h o w these re

sults have been shared with other countries.

Japanese educators want to see h o w suc

cessful they are in helping youth become useful

Ryo Watanabe (Japan). Chief, Section for International Co-operation in Education at the National Institute for Educational Research (NIER), Tokyo; formerly educational technology specialist at the UNESCO Regional Office for Asia and the Pacific. Author of several books including International C o m parison of Computers in Education: Results of IEA Computers in Education Study (in Japanese) and Teachers' View Towards Instructional M a terials and Their Use, and author of a chapter on Japan in R. M . Thomas and T. N. Postlethwaite's Schooling in East Asia.

and productive adults. Setting high standards is

not enough. Society must also be able to c o m

pare its overall standards with those of other

nations as well as to review patterns found within

its national boundaries. National or individual

science standards should not imply just one

average score, but rather various measures of

cognitive learning (creative and critical think

ing, factual recall and problem-solving) and at

titudes toward school and learning. These pat

terns found in Japan and other countries can

help Japanese educators find better ways of pro

viding a balanced education. Pattern differences

m a y also be used by other nations seeking to

learn h o w to improve their o w n systems, with

countries borrowing freely from each other in

the market-place of pedagogical ideas. This

sharing is what international surveys are all about.

The IEA and Japan

Japan joined the I E A in 1961, and the National Institute for Educational Research ( N I E R ) , one of the national educational research institutes established by the Ministry of Education, Science and Culture, has since then been the m e m b e r

Prospects, Vol. XXII, I, N o . 4 , 1992 (84)

456 Ryo Watanabe

institution representing Japan. Immediately af

ter joining IEA, Japan was involved in the First

International Mathematics Study (FIMS) , con

ducted in the early 1960s. W h e n the research

design was first announced, N I E R decided to

participate in F I M S , with due recognition of

the remarkable opportunity that IEA was offer

ing to the international research community, and

with the expectation that F I M S would contrib

ute to the identification of the weaknesses and

strengths of Japanese mathematics education.

This decision was also m a d e with the earnest

hope and the confidence that concrete and valu

able data would be m a d e available for the im

provement of education in Japan within an in

ternational context.

Improvement of mathematics education and

its modernization was an urgent concern for

Japan at that time. Although the findings of

experimental studies on mathematics education

conducted outside Japan had been introduced,

it was not clear to what extent they could be

generalized to the Japanese educational context.

Therefore, it was expected that F I M S would

m a k e it possible better to understand the way in

which social background and pedagogical prac

tices affected the learning of mathematics, in

cluding student achievement and teaching and

learning practices. Objective data drawn nationally

from thousands of students and hundreds of

schools, and measuring daily practices and class

room observations, would, it was reasoned, pro

vide ways to improve mathematics education.

A number of nationwide, large-scale achieve

ment surveys covering mathematics achievement

had already been conducted in Japan, but F I M S

had three significant differences: first, it was

conducted internationally and it attempted to

measure student achievement adjusted for con

tent area studied and not studied; second, it

examined a very broad and comprehensive cur

riculum content; and, third, it employed a vari

ety of conditional factors thought to influence

mathematics performance. National project lead

ers thought it especially important to measure

student attitudes toward mathematics and

achievement. Japanese data derived from this

early mathematics survey, along with those from

other surveys, m a d e teachers pay more atten

tion to the ways in which students learn, and

not just to the content of mathematics.

Since the 1960s, Japan has participated in

several projects among the studies sponsored

by IEA, recognizing the benefits to Japanese

education. These included the First International

Science Study (FISS) conducted in the early

1970s, the Second International Mathematics

Study (SIMS) conducted in the late 1970s, the

Second International Science Study (SISS) con

ducted in the early 1980s, and n o w the C o m

puters in Education Study ( C O M P E D ) and

Third International Mathematics and Science

Study (TIMSS) currently under way. Data from

the Mathematics and Science Study collected

over time reveal certain trends, showing the

improvement in student achievement from decade

to decade.

T h e Computers in Education Study was

planned as a two-stage study, starting in 1987,

with data collection from school principals and

teachers in 1989. Currently, the project has

entered stage 2, with data collection in mid-1992

among students as well as school principals and

teachers. T I M S S started in 1991, with data

collection scheduled for early 1994.

W h y Japan participates in

international studies

Participation in international studies has brought

about both visible and intangible impacts on

education policies, curriculum and educational

practice, and the methods of educational re

search in Japan. International studies sponsored

by IEA are primarily intended for the collection

of necessary and important data to improve

individual education systems. Each country can,

therefore, decide whether or not to take part in

any study on the basis of the expected benefit

from such participation. International and na

tional options m a y also be added to the major

survey, and these additions provide extra value

H o w Japan makes use of international educational survey research 457

to countries by allowing them to tailor survey

designs to their o w n needs. In the Second Sci

ence Study, a practical skills test was included

as an international option. Japan administered

this kind of test for the first time, together with

a few other countries, in order to compare the

achievement of students performing, reasoning

and investigating in a practical setting with that

of students carrying out paper and pencil tests.

A s stated in its mission statement, IEA's

mission is 'the conduct of comparative studies

focusing on educational policies and practices

in order to enhance learning within and across

systems of education' (Hayes, 1991). This state

ment m a y , of course, be applicable not only to

I E A studies but also to international compara

tive studies initiated by other organizations.

However , I E A studies are unique in their plan

ning and implementation, as they are co-opera

tively designed and implemented by the partici

pating countries, and their data are analysed

cross-nationally and m a d e available to identify

the characteristics of a given education system.

O n e major benefit from Japan's participa

tion in international studies has to do with the

identification and testing of a set of core meas

ures thought to affect learning (for example,

school resources, teaching practices, curriculum

organization and student and teacher attitudes).

Early on, these measures are agreed upon by all

participating countries as relevant to their o w n

system of education. W h e n one looks at the

results for each country, interesting patterns reveal

themselves and researchers can start trying to

explain w h y , for example, teacher in-service

training affects students in one country but not

in another. Another benefit is that Japanese re

searchers w h o participate in the planning and

carrying out of the studies, including data analysis,

improve their o w n skills as well as observe h o w

others from around the world benefit from the

research process.

Involvement in the process of determining

a c o m m o n framework for research, clarifying

issues and problems and identifying a sampling

design is a unique and valuable opportunity for

researchers to discover the trends of education

in the world in general and the scientific situa

tion in individual countries. Through informa

tion exchange and the relation of experiences

a m o n g the world community of researchers,

people learn from each other, which leads to a

better understanding of educational research

practice. N e w ideas and information on educa

tion that work in one country can be debated

and adapted in another if appropriate.

In studies such as mathematics and sci

ence achievement, I E A divides the curriculum

into three categories, namely: intended curricu

lum, referring to the curriculum plan at the macro

level, which m a y be laid d o w n in official docu

ments or which m a y exist as a shared concep

tion of the main curriculum content; implemented

curriculum, which is the one actually taught in

the classroom, or the content, time allocations,

instructional strategies, etc., that the teacher

realizes in his/her lessons; and achieved curricu

lum, which is the outcome of student learning,

or the cognitive skills and attitudes of students

that result from teaching and learning. These

three curricula are interlocked, but each can be

measured separately.

In I E A studies, the above three curricula

are separately treated and analysed in relation

to such factors as students' attitudes and be

haviour, which are often correlated with them.

Before participation in the I E A , this kind of

approach had not been tried in Japan, and few

research studies had been undertaken, on the

one hand, to examine the correlations between

the scientific attitudes, perceptions and knowl

edge students on the one hand and their level of

achievement, on the other. N o w that mese inno

vations have been incorporated in the design of

I E A studies, a longitudinal study on qualitative

changes in scientific attitudes and science learning

a m o n g elementary and secondary school chil

dren has been implemented in Japan.

T h e results of international studies, which

involve the participation of culturally diverse

countries, each with their o w n education sys

tem and practices, are sometimes very useful in

the process of revising the curriculum and im

proving teaching methods. Apart from the dif

ficulty generally encountered, owing to the con

servative nature of education, in introducing

458 Ryo Watanabe

changes or innovations in content and meth

ods, voluminous data obtained from a compre

hensive survey m a y not be easy to analyse and

interpret. In order to develop concrete propos

als for the improvement of education using large-

scale surveys, it is necessary to focus on a few

key educational factors which are important in

one's o w n country. Researchers can then care

fully h o m e in on a few points k n o w n to be im

portant and utilize data from the survey over

several years in order to answer research ques

tions that arise from year to year. Similarly, w h e n

surveys are carried out over several decades, it

is possible to examine trends.

Impact on curriculum and teaching methods

In Japan, the school curriculum is prescribed as

courses of study for elementary, lower second

ary, and upper secondary schools, and is used

to plan classroom instruction. T h e courses of

study are regularly revised, almost every ten years

since the end of the 1940s. T h e elementary

curriculum was most recently revised and put

into operation in April 1992; the dates for the

lower secondary and upper secondary curricula

are 1993 and 1994 respectively.

Revisions of these courses of study are based

on discussions among educational personnel and

subject specialists, the results of which were fi

nally published by the Ministry of Education

and implemented by teachers. In the process of

deciding the content and emphases of the re

vised courses of study, die results of research,

including IEA studies, are taken into considera

tion, reflected upon and where relevant acted

upon.

A s for science education, Japan has been

criticized for providing students with a too nar

row teacher-centred, recall-based style of in

struction. S o m e say that students lack the skills

and attitudes to tackle inquiry learning. Such

criticisms are supported by results from a sur

vey of science achievement conducted by the

Ministry of Education as well as by the I E A

science studies. T h e IEA Second Science Study

revealed that scores for practical skills tests were

lower than those for paper and pencil tests

(Keeves, 1992). Teachers also indicated they

spent less time on experiments and observation

as children progressed through the grades. In

brief, Japanese students m a y suffer from defi

ciencies in investigating and inquiry skills, in

spite of their high content-of-knowledge scores.

In view of these findings and others, Japa

nese educators have looked into the develop

ment of skills and attitudes a m o n g students in

order to be able to nurture the kinds of indi

viduals required in the twenty-first century -

individuals w h o , endowed with a broad-based

humanity, can respond to the demands of a

changing society. In the revision of the Japa

nese courses of study, it was decided to e m p h a

size observation and experiments, especially in

lower and upper secondary schools, and to at

tempt to develop and foster spontaneous in

quiry activities and scientific thinking skills.

T h e teaching content of science education

prescribed in the old courses of study tended to

emphasize the pure sciences. For example, the

I E A Second Science Study demonstrated, us

ing analyses of test items, that students did poorly

on items with direct relevance to daily life. A n

other potential problem arising from an over-

abstract approach suggests that, while it is wise

to allow all students w h o have the ability in

science or w h o are interested in science to pur

sue physics, chemistry and biology, the oppo

site m a y not be true. For those students w h o

are not good at science and mathematics, per

haps study content ramer than rigorous abstract

principles and rules should be adapted. For this

group of students, it might be better to let them

develop their scientific talents - scientific point

of view, good judgement, and decision-making

skills - through an understanding of natural phe

nomena based closely on their daily life. In or

der to make this possible, it was considered

necessary to incorporate practical subjects into

the curriculum at the national level, thus pro

viding content relevant to daily life.


While considering the impact of interna

tional studies, one cannot ignore the impact on

parents and teachers as well as that o n the cur

riculum. Japanese parents should be satisfied

that, according to the I E A test results, their

children do well by international standards. F r o m

the perspective of curriculum specialists and

researchers, there are still a n u m b e r of prob

lems to be resolved in trying to improve achieve

m e n t in mathematics and science. Howeve r ,

international comparisons, regardless of overall

achievement level, still point out areas of weak

ness and can be used to address educational

problems.

Japanese teachers were also relieved to hear

that their students do well on international tests.

These teachers, w h o see themselves as respon

sible for student performance, are n o w using

the results of the national report to diagnose

problems in teaching and learning in order to

improve instruction. S o m e teachers are even

using the correct response rates of Japanese stu-

Hungary

Israel

Japan

Republic of Korea

Singapore

United States

wmmíTm)¿^7777i ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^

V7777777/7/77777?///////////77A

^ ^ ^ ^ ^ ^ ^ ^ ^

W/7777/7X

^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ M 77777777777777777777777>A

y7777777777777?/////////////A

WS//77777/77//////////A — i — i — i — i — i — i 1 — i — i —

0 10 20 30 40 50 60 70 80 90 100

Percentage correct score

FIG. 1. Performance on practical skills test (14-year-olds, 1983-84) (after Keeves, 1992).

Practical total (69)

Science achievement (72)

Performing (76)

Reasoning (57)

Investigating (86)



Performing (81 )

Reasoning (48)

Investigating (87)


Science achievement (61 )

Performing (63)

Reasoning (34)

Investigating (28)



Performing (70)

Reasoning (65)

Investigating (70)



Performing (64)

Reasoning (42)

Investigating (79)



Performing (61)

Reasoning (39)

Investigating (68)

460 Ryo Watanabe

dents for each test item to identify the level of

their o w n students' performance in comparison

with the overall standard of Japanese students,

regarding both knowledge of and liking for

mathematics and science. Furthermore, some

very active teachers make use of IEA results in

applying n e w and varied teaching methods to

replace chalk-and-talk instruction.

Urgent future issues

Apart from mathematics and science studies,

IEA initiated the Computers in Education Study

( C O M P E D ) , because as computers come to be

widely used in schools, the nature of mathematics

and science and other instruction will change.

W h e n this study was proposed in the middle of

1980, the number of computers in Japanese

schools was limited. Findings from a nation

wide survey conducted by the Ministry of E d u

cation in March 1987 showed that only 6.5,

22.8 and 86.3 per cent of public elementary,

lower and upper secondary schools respectively

were equipped with at least one computer.

Owing to the low diffusion rate of c o m

puters at that time, especially in elementary and

lower secondary schools, there was an argu

ment among Japanese educators, some deem

ing that it was not beneficial for Japan to par

ticipate in the study for the present. There was

also an argument that computers needed to be

introduced and used in schools, and this would

have to be realized in the very near future. Since

so little information was available, Japan was

keen to learn from the experiences of other coun

tries in regard to the kinds of problems faced in

introducing computers and using them for teach

ing and learning. A s a result, Japan finally de

cided to join the C O M P E D study, with the

expectation that valuable comparative informa

tion would be forthcoming, since some other

countries in the study had already attained wide

spread adoption of computers in schools.

In the old courses of study, computers were

not treated as part of the teaching content, ex

cept in the curriculum of vocational upper sec

ondary schools. But in the process of curricu

lum revision, it gradually became clear that c o m

puters must be introduced into schools at all

levels. A decision was then taken to equip all

public elementary, lower and upper secondary

schools with computers by 1994 with budget

ary support from both national and local gov

ernments. A s a result, computers are rapidly

being installed and, as of March 1992, 30.9,

58.9, and 97.8 per cent of public elementary,

lower and upper secondary schools respectively

had at least one computer.

Although planners are aware that m u c h

needs to be learned about the extent and use of

computers for learning in schools, useful infor

mation from the IEA C O M P E D study will be

forthcoming soon. These results are expected

to provide the basis for the establishment of

guidelines for the effective use of computers in

schools. Finally, data collected from teachers in

1989 and again in 1992 will provide informa

tion about changes in attitudes and availability

of computer hardware and software over the

years.

O n e implication that can be drawn from

the current study has to do with the positioning

of computers in schools. According to the find

ings, those countries, like the United States, that

have relatively long experience of computers in

schools tend to place them in ordinary class

rooms and make constant use of them. In con

trast, Japanese data show that computers tend

to be kept in special rooms. This m a y occur

because Japanese schools tend to arrange c o m

puters in computer laboratories away from the

classroom. If computers are to be fully used

and integrated into the teaching and learning

process, they will need to be judiciously located.

In the current computer study, a functional

information technology test assessing the stu

dents' knowledge of computers was included

for international testing. During the piloting of

that test, Japanese teachers pointed out that

computer teaching had never been included in

the curriculum syllabus and therefore it would

be difficult or impossible - even unfair - to ask

Japanese children to take such tests. However,


drawing on the IEA international paradigm and

past results from the computer study, as well as

noting that the mathematics and science sur

veys included items that had not been taught,

researchers were quick to point out that the

uncharted nature of computer use in schools

demanded that some form of testing be carried

out. Besides, it was revealed that some children

learn about computers outside school. After some

discussion, teachers and other concerned per

sonnel agreed that the results of such testing

could be used to identify the direction of future

computer teaching/learning developments, as well

as to help formulate future guidelines for c o m

puter education in Japan.

Joint efforts for the promotion of

international co-operation

N I E R has been involved in the activities of in

ternational co-operation and exchange in vari

ous forms apart from the IEA. T h e relationship

between N I E R and U N E S C O is worthy of special

mention, as the co-operation between these two

organizations has existed for twenty-five years.

N I E R started its U N E S C O - N I E R Regional

Programme for Educational Research in Asia

and the Pacific in 1967 at the request of

U N E S C O , and has been collaborating with

U N E S C O since then in the building and strength

ening of the research capabilities of countries,

especially in the region of Asia and the Pacific.

In collaboration with the U N E S C O Principal

Regional Office for Asia and the Pacific ( P R O A P )

in Bangkok, N I E R has been organizing two or

three regional seminars and workshops every

year in order to provide opportunities for joint

comparative studies, the sharing of experiences

and information concerning critical issues in

education, and the joint preparation of possible

strategies for solving educational problems.

N I E R has, therefore, collaborated with other

countries in the mutual strengthening of educa

tional research capabilities for more than a quarter

of a century, not only with the countries par

ticipating in IEA projects, but also with other

countries, especially those in the region of Asia

and the Pacific. N I E R , by taking advantage of

opportunities for organizing regional activities,

has also shared experiences and information

gained from participation in IEA research projects

with other countries participating in the

U N E S C O - N I E R regional activities. At the same

time, because of the high achievement level at

tained by Japanese students in IEA studies, other

Asian-Pacific policy-makers are keen to learn

more about Japanese successes in curriculum,

teaching, and other educational areas which m a n y

see as a prerequisite to their national develop

ment.

As for the building and enhancement of

research capabilities, IEA, in connection with

its projects, has also provided training opportu

nities for countries that are participating in a

study for the first time or those not familiar

with large-scale research. In this respect, over

the years N I E R has had the opportunity to or

ganize training and studies, and to accumulate

k n o w - h o w in the implementation of large-scale

survey research, which it has shared with coun

tries in the Asia-Pacific region (NIER, 1990).

It is evident that there are m a n y advan

tages to be gained by countries that participate

in international studies. However, it is equally

true that m a n y problems and difficulties accom

pany such research, as it is difficult to develop

a c o m m o n research framework or design that

covers diverse cultural backgrounds and educa

tional systems, and also asks the relevant re

search questions applicable to all countries at a

given time. However, participation in interna

tional research certainly facilitates the process

of mutual understanding - a process requiring

compromise solutions. Furthermore, education

is a very complex process of h u m a n endeavour,

and so it is too optimistic to expect miracle pre

scriptions or quick remedies to solve educational

problems around the world in one study, even

w h e n that study is undertaken internationally

and has comprehensive coverage and scope.

Under these circumstances, it can be said

that sincerity and enthusiasm on the part of

462 Ryo Watanabe

policy-makers, educators and educational re

searchers in the everlasting pursuit of clues for

the improvement of education are the key to

the successful implementation of international

studies. A good example has been set by the

implementation of IEA's research projects, and

this is the most significant effect of such stud

ies. In other words, I E A activities, being inter

national and co-operative efforts for the enhance

ment of learning, with the aim of preparing young

people for the future, are of lasting value to

countries which, like Japan, participate in inter

national research. •

References

H A Y E S , W . A . (ed.). 1991. IEA Guidebook 1991: Activities, Institutions and People. T h e Hague, International Association for the Evaluation of Educational Achievement (IEA).

K E E V E S , J. 1992. Learning Science in a Changing World. T h e Hague, IEA/Flinders University of South Australia.

N I E R . 1990. Tomorrow's Tools Today: The State of Educational Computing in Asia and the Pacific. Tokyo, National Institute for Educational Research (NIER).

What does Kuwait want to learn from

the Third International Mathematics and

Science Study (TIMSS)? Mansour G . Hussein

Because schooling affects society as a whole,

the educational process is easily criticized, of

ten harshly, by both teachers and parents, by

those directly involved with schooling as well as

those w h o have little direct contact with schools.

T h e reason w h y so m a n y criticize educational

processes has to do with individuals viewing

the issues from varying vantage-points. If par

ents find out that one of their children lags be

hind in school studies, the teacher and school

officials are most often blamed. If teachers feel

the burden of educational shortfalls, their frus

tration is directed at the whole educational sys

tem, or at parents and students. W h e n students

do poorly, they often blame themselves, which

leads to lower self-esteem.

T h e educational process is criticized in both

developing and developed countries because

Mansour G . Hussein (Kuwait). Assistant Under-Secretary for Student Affairs at the Ministry of Education (Kuwait). His particular academic interests are in mathematics teaching and curriculum development. Author of a series of mathematics textbooks with teachers' guides.

education is a basic factor in the planning pro

cess. W h e n nation-building goes slowly, the school

system is felt to have failed society. In brief,

education is blamed w h e n national scores are

low or students fail to learn skills needed in the

labour market. While society certainly has the

right to criticize the education system, only in

ternational comparisons a m o n g similar educa

tion systems can offer solid evidence of school

ing's failure or success in a society. Large-scale

student surveys yield results which can be used

to diagnose educational weaknesses so that they

can be corrected and the system improved.

Non-evaluated programmes

Over the last thirty years, Kuwait and the Gulf

Co-operation Council states ( O m a n , Saudi Ara

bia, Bahrain, Qatar and the United Arab Emir

ates) have carried out m a n y educational and

scientific programmes. S o m e of them have con

tinued until today, while others were abandoned


464 Mansour G. Hussein

soon after implementation. Those which lasted

did not necessarily do so as a result of scientific

evaluation. Their continuation depended on

personal expert opinions, or limited feedback

from educators w h o were using their o w n judge

ment, though sometimes without statistical back

up. O n the other hand, those education projects

and experiments that were terminated often did

not receive scientific scrutiny beyond the ad

vice of a few experts and educational authori

ties.

O n e such project was a mathematics pro

g r a m m e presented to the Arab countries by

U N E S C O , starting in 1970/71 and ending two

years later in 1972/73. T h e author witnessed

the implementation of this project from begin

ning to end. It involved the use of textbooks in

Grades 10, 11 and 12, each text being intro

duced on an experimental basis in the first year

and then being m a d e compulsory the following

year. This project was never formally evalu

ated. Rather, evaluation relied on individual

opinions and feedback from teachers, without

any systematic survey.

Another education project concerns the

introduction in 1981 of an English-language

programme to replace a traditional English-lan

guage programme used in the 1970s through

out the Gulf region. N o formal evaluation was

ever carried out to assess the effectiveness of

either programme other than a quick poll of

teachers.

Starting in m e 1980s, the State of Kuwait

and the Gulf Co-operation Council states started

implementation of a unified mathematics and

science programme under the sponsorship of

the Arab Bureau for Educational Research for

the Gulf States. T h e headquarters of the Arab

Bureau is located in Riyadh, Saudi Arabia. T h e

Educational Research Centre for the Gulf States

is located in Kuwait.

T h e main interest of the Educational R e

search Centre is to develop all aspects of edu

cation in the Gulf region. In 1981, a mathematical

programme was initiated in the first grade of

elementary school. T h e first mathematics text

was experimentally introduced in two elemen

tary schools in each Gulf state, followed the

next year by a general introduction of the n e w

curriculum and tests to all Grade 1 classes. T h e

process was continued through to the ninth grade.

Similar plans are in progress for mathematics

classes up to the twelfth grade. T h e same pro

cedure was followed with both the unified texts

in mathematics and science. If questions were

ever to be asked about the criteria used to intro

duce a given text, the answer would be the fol

lowing: 'The steering committee for the text

book project believes that the text is suitable for

introduction.'

T h e steering committee consists of: the

Chairman, usually a professor from Kuwait

University or the Public Authority for Applied

Education and Training; a m e m b e r of the Cur

riculum and School Textbook Department; and

one or two instructional supervisors. T h e c o m

mittee members usually visit schools experiment

ing with the text, perhaps twice or three times

per year. T h e committee attends some classes

and, depending on the impression it receives

during these visits, m a y conclude that the book

can be introduced more widely to the whole

grade level. This is the way the evaluation sys

tem for mathematics and science has worked in

the State of Kuwait and other Gulf Arab states

- an education system that relies heavily on the

personal judgement of school experts.

The need for evaluating h o w well schools teach mathematics

and science

Educational planners in the ministries of edu

cation throughout the states of the Gulf C o

operation Council present curricula to schools

with the sincere belief that such curricula both

develop and reflect the most advanced educa

tional trends in the subject-matter. Here the

following kinds of questions are raised:

Are there comparative studies (for example,

control and experimental schools) which

indicate to what extent the implementa-

What does Kuwait want to learn from the

tion of curricula and textbooks follows the

given planning schedule?

T o what extent do students comprehend the

content of these curricula?

T o what extent are the aims and goals of the

n e w curricula achieved?

Mathematics and science curricula m a y be viewed

as comprising three components:

T h e intended curriculum: the curriculum that

is defined by the Ministry of Education

and found in the textbooks and teacher

syllabus.

T h e implemented curriculum: the curriculum

that is taught by teachers in their class

rooms and influenced by personal point of

view, knowledge and experience.

T h e attained curriculum: the curriculum that is

assimilated by students according to their

attitudes toward the subject, and indi

vidual study habits which can be meas

ured using student testing.

If the curriculum assimilated by students can

be tested, then it can be judged in comparison

to h o w well teachers cover the intended cur

riculum. Relating intended curriculum to im

plemented and attained curriculum can only be

evaluated through an extensive monitoring and

evaluation design which the educational systems

of Kuwait and the Gulf Co-operation Council

states desperately need.

Monitoring and improving

teachers' methods

All educators agree that successful learning de

pends on effective teaching methods. If effec

tive methods of teaching were applied by all

teachers, taking into account students' socio

logical and psychological learning needs, then

teachers unquestionably would be able to raise

student standards. This applies to education

across the board. If educators can find out what

teaching methods are followed by teachers, it

becomes possible to develop methods which are

International Mathematics and Science Study 465 ¡S)?

more suitable to some students than to others.

Comparison of teaching methods by student

characteristics (ability, previous subject profile,

motivation, learning style, etc.) can lead to re

finements in the way mathematics and science

are taught and learned in the Gulf states. With

out scientific evaluation studies, which currentiy

are not well developed in the Gulf Co-opera

tion Council states, it will remain difficult to

assess student learning and teacher instruction.

Without such assessment, improvement in school

ing is less likely to take hold.

Using student achievement scores

to monitor curriculum success

Education officials usually consider the grades

(either numeric or letter scores) students obtain

in their examinations as a clear indication of the

success or failure of the school curriculum, teach

ing instruction and student learning. Usually it

is very important for school officials to set high

standards in marking students, even though it

is taken for granted that the high percentage

does not m e a n m u c h by itself. If one class at

tains a 70 per cent pass rate, and another class

a 90 per cent pass rate, the class with the higher

pass rate can probably be seen to have come

closer to achieving the planned aims of the cur

riculum than the class with the lower average.

In fact, it is probable that most of the students

in the 90 per cent class have received high grades

while the majority of the students in the 70 per

cent class received low grades.

But beyond these aggregate examination

score percentages obtained for each student, there

is a great need for psychometric evaluation to

determine student achievement levels for each

mathematics and science topic or concept. Fur

thermore, student assessment by mathematics

and science skills and thinking skills needs to be

measured. Subscores in algebra, geometry, c o m

putation and statistics, which can be equated to

the curriculum programme, are required. Sei-


ence topics and skills such as observation, meas

urement, problem-solving, data interpretation

and formulation of generalizations must be ob

tained. T h e aggregate percentage score for each

student n o w obtained is of limited value in evalu

ating the success or failure of the curriculum,

even though the score has some value for deter

mining student placement in further education.

What does Kuwait expect

from its participation in IEA's

Third International Mathematics

and Science Study (TIMSS)?

Before trying to answer what Kuwait expects

from comparative international educational re

search, it m a y be helpful to shed some light on

the education and evaluation systems in K u

wait, so that the reader can visualize the reasons

behind Kuwait's decision to participate in in

ternational survey research.

T h e education system in Kuwait is con

sidered to be centralized in its planning but

decentralized in its implementation. T h e M i n

istry of Education determines management regu

lations inside and outside schools. T h e ministry

also develops curricula, selects the authors to

write textbooks, prints these textbooks and gives

them to students free of charge.

T h e Ministry of Education plans for in-

service teacher training. It also evaluates differ

ent aspects of the educational system, including

instruction and school processes as well as the

organizational structure of the delivery system

itself. Kuwait follows an educational model with

4-4—4 years, which implies four years each of

primary, intermediate and secondary schooling.

In addition, two years of non-compulsory kin

dergarten attendance is almost universal.

T h e system for evaluating student achieve

ment in Kuwait for the purposes of promotion

from one grade to another requires a m i n i m u m

score of 50 per cent on each subject taught.

These total scores are attained through daily

quizzes and monthly exams, in addition to the

grade obtained by students during their final

examination. N o students are promoted from

one class to the next unless they get 50 per cent

of the total grade in all subjects studied. If they

fail to obtain at least 50 per cent in two of the

subjects they study, they will be given another

chance two months later to achieve 50 per cent

overall. O n the second attempt, if they are un

able to get the 50 per cent m i n i m u m in the

subjects failed on the first try, they will repeat

the same class the following year. If any student

failed to obtain the 50 per cent m i n i m u m in

more than two subjects, they would normally

not be given the previously mentioned chance.

They would be considered a failure and required

to repeat the same class. Table 1 indicates the

subjects that are required from each student at

every stage of the educational cycle.

At the end of every school year, standard

ized examinations are administered to all stu

dents in intermediate and secondary schools. In

the primary grades, the examinations are left

completely to the teacher's discretion without

any external interference. In both the interme

diate and secondary cycle, the headteacher pre

pares the final examination in consultation with

the school instructional supervisor, w h o visits

the school several times each year.

T h e final examination for twelfth graders

(the end of the secondary-school cycle) is pre

pared by the Ministry of Education in secret.

T h e ministry also plans the examination sched

ule without notifying teachers in advance. It then

forms special committees, m a d e up of teachers,

w h o mark the examination papers by number

(because of the importance of these examina

tions for future student success). If any student

receives 60 per cent or more average across all

subjects, he/she will be eligible to attend K u

wait University or one of the colleges of the

Public Authority for Applied Education and

Training. If any student gets 80 per cent or

higher average across all subjects, he/she be

comes eligible to compete for a full scholarship

to attend one of the foreign universities for five

or six years. Such scholarships are usually in

the United States, the United K i n g d o m or in

What does Kuwait want to learn from the Third International Mathematics and Science Study 467 (TIMSS)?

T A B L E 1. School subjects taught in Kuwait

Subjects

Islamic education Arabic English French Mathematics Science Physics Chemistry Biology Geology Social science1

Geography History Sociology Philosophy Fine arts Physical education Music H o m e economics2

1. Fourth-year primary.

2. Girls only.

Primary

X X

X X

X

X X X

Intermediate

X X X

X X

X

X X X X

1

X X X

X X

X

X X

X

2

X X X

X

X X X X X

X X

X

Secondary (year)

3

Science

X X X

X

X X X X

X

Arts

X X X X X X

X X X X X

X

4

Science

X X X

X

X X X

X

Arts

X X X X X

X X X X X

X

another Arab country. T h e above description

offers the reader some idea of h o w important

the final examination is in determining the fu

ture of Kuwaiti students.

Having sketched the education system and

the methods of evaluation used to promote stu

dents in Kuwait and the Gulf states, w e can

n o w return to our earlier question: W h a t does

Kuwait expect from participation in the Third

International Mathematics and Science Study

being carried out by the IEA?

It is most important for Kuwait to discover

to what extent the country is mastering curricu

lum content reflecting international developments

in science and mathematics. Researchers also

want to find out the extent to which Kuwait or

the Gulf countries are achieving the planned

educational and scientific goals proposed by the

ministry, w h e n examined in the context of the

combined goals of educational systems around

the world. Since Kuwait is a good representa

tive of the Gulf countries, an international study

- such as the one in mathematics and science -

is of great value and importance, not only for

Kuwait but also for other countries in the re

gion.

In this context, the international study in

mathematics and science provides comparisons

between countries in the Gulf region and those

elsewhere in the Arab world and beyond to

Europe and Asia. Therefore, it has great poten

tial for determining curriculum impact on Arab

mathematics and science learning during the

coming years. T h e international study completes

first testing of 9- and 13-year-olds in 1994 and

tests these same age-groups again four years

later in 1998. T h e design of the study enables

comparisons to be m a d e over two time periods,

allowing 9- and 13-year-old trend analyses.

T h e performance of Kuwaiti students, w h o

are not unrepresentative of other Gulf Arab stu

dents, m a y be poor w h e n compared interna

tionally. If this turns out to be true, Kuwait

wishes to k n o w w h y in order to have an indica

tion of where reforms are needed. Making se

lective comparisons with over fifty countries


around the world allows Kuwait to see precisely

where its students fit on an international scale.

But, more importantly, participation will allow

educators to examine national efficiency in stu

dent performance. Those countries which per

form well m a y offer insights as to w h y that is

so, and other countries are free to assess whether

such programmes would work in their o w n coun

tries.

In addition, analyses of cognitive profiles

for students in Kuwait can show h o w students

perform at various cognitive levels (for exam

ple, recall, application of mathematics and sci

ence), leading to guidelines for reforming math

ematical objectives in the Gulf states.

In summary , participation by Kuwait in

international comparative survey testing in math

ematics and science can address the following

questions: Are students in Kuwait taught the

same curricula as the students in other coun

tries participating in the study? D o students in

Kuwait learn mathematics to a level that could

be considered of a reasonably high international

standard? Are there any marked differences in

performance between Kuwaiti students and stu

dents from other comparable countries in the

study?

In the light of the final question, it is espe

cially important to note several key long-term

generalizable benefits that Kuwaiti education has

received from participation:

Promotion of assessment research through n e w

survey technologies and methodologies

related to sampling, test construction, cur

riculum analyses, statistical analysis, etc.

Monitoring the achievement of students of

tiiree cohorts.

Supplying a framework and procedures for

writing test items for future local studies.

Providing a framework for interpreting and

analysing the results and findings of simi

lar studies in the region in the future.

F r o m these known benefits, and from m a n y others

that will become apparent during the course of

the study, Kuwait values highly participation in

international educational survey research. •

The IE A project on preschool education

Preliminary surveys in Portugal

and China

David P . Weikart, Shi Hui Zhong and Joaquim Bairrao Ruivo

Early childhood experience plays a crucial role

in the development of young children's later

school success, social responsibility and work

productivity. Research studies in some coun

tries have found that young children living in

poverty w h o participate in high-quality preschool

programmes are significantly more likely to gradu

ate from high school and get a job and signifi

cantly less likely to commit crimes. Although

governments and parents today generally rec

ognize the value of preschool services, includ-

David P . Weikart (United States). President and founder of the High/Scope Educational Research Foundation (Ypsilanti, Michigan) specializing in early childhood education. Author of H o w Nations Serve Young Children: Profiles of Child Care and Education in 14 Countries and Challenging the Potential: Programs for Talented Disadvantaged Youth.

Shi Hui Zhong (People's Republic of China). Professor and Head of the division conducting national surveys on early childhood education for China's National Institute of Educational Research.

Joaquim Bairrao Ruivo (Portugal). Professor in the Faculty of Psychology and Educational Sciences, University of Porto (Portugal).

ing kindergarten programmes, unfortunately, to

date, only a limited number of societies have

invested heavily in high-quality early childhood

programmes. But as more and more mothers

with preschool-aged children enter the workforce,

and as parents increasingly recognize preschool's

impact on children's social, cognitive and physical

development, early childhood care and educa

tion services take on added value. Worldwide,

parents are beginning to ask governments to

help provide early childhood services.

W h y study preschool children?

W h y should government officials be concerned

whether preschool-aged children attend early

childhood programmes such as those provided

by child-care centres or kindergartens? T h e

answer is simple: such attendance can provide

the boost in cognitive and social skills that the

next generation needs to guarantee its success

in later life. It appears that both advantaged

and disadvantaged children benefit from such

programmes and that the advantages c o m p o u n d

over the life of each individual. With growing

recognition of the value of preschool services,


470 David P. Weikart, Shi Hui Zhong and Joaquim Bairrao Ruivo

middle-class families will make sacrifices to pay

for these services should governments not pro

vide them free or at low cost. Other families,

even though they m a y value such services highly,

will not be so fortunate. In this sense, w e need

to debate h o w best to serve socio-economic strata,

and this debate will require empirical findings

from actual studies.

A s the social d e m a n d for preschooling

grows, most government agencies are searching

for information to guide them in developing

n e w cost-effective services as well as in improv

ing current ones. Guiding information about

such programme characteristics as group size

and adult/child ratio (structural characteristics)

is available, but there is little information about

the process characteristics of programmes (the

interactional processes a m o n g children and

adults). Consequently, it is difficult to make any

policy recommendations on h o w to improve

services to enhance children's readiness to en

ter the formal school system.

Educators and educational researchers in

various countries have likewise been quick to

endorse comparative international preprimary

research. They are interested in recording the

availability of early childhood services and die

possible effects of services on children's future

schooling. Countries involved with the Interna

tional Association for the Evaluation of Educa

tional Achievement (IEA) in such research at

the present time are Belgium, Finland, Germany,

Greece, Italy, Poland, Portugal, Romania ,

Slovenia, Spain, H o n g K o n g , Thailand, Indo

nesia, the People's Republic of China, the R e

public of Korea, Russia, Nigeria, and the United

States. T h e researchers from these countries see

a cross-national study of preprimary schooling

as valuable for educational planners because it

allows researchers to explore the experiences of

preschoolers under varying national and cul

tural conditions. Whereas process understandings

are not always possible to arrive at by a study of

any single system, a study over m a n y systems

reveals certain behavioural consistencies under

varying cultural norms. Thus , 'world of pre

schoolers' serves as a natural laboratory to dis

entangle relationships influencing child devel

opment and learning. For this reason, the edu

cation field is very interested in carrying out

international comparisons of h o w preprimary

care/education services are provided to young

children in various countries and what effects

they have on socializing young children into

their national cultures.

The IEA Preprimary Project

T h e IEA study just referred to is k n o w n as the

IEA Preprimary Project, and it is being carried

out in conjunction with the High/Scope Educa

tional Research Foundation in Ypsilanti, Michi

gan. So far, eleven of the countries involved

have undertaken Phase 1 of the project, a de

scriptive survey (in 1988) using household sur

vey techniques to gather information from families

about their use of early childhood care and edu

cation services. In 1991, samples of the early

childhood settings identified in the 1988 survey

were selected, and n o w , in Phase 2 of the project,

observations and interview questionnaires are

being used to investigate the quality of young

children's experiences in these preschool envi

ronments in sixteen countries. In addition, a

subsample of children from each type of setting

has been assessed in terms of their cognitive,

physical and social development. In years to

come , in Phase 3, these same children will be

reassessed using direct assessment, examination

of school records and information from parents

and teachers to follow their developmental

progress over time.

Phase 2: the study design

Phase 2 of the I E A Preprimary Project, which is being carried out in sixteen countries around the world, is guided by an ecological approach that views the development of young children as the product of interactions between the child

The IEA project on preliminary surveys i:

and the socialization settings of the immediate

environment. Y o u n g children participate in a

variety of settings that are significant for their

development: preschools, child-care centres, day

care h o m e s and their o w n h o m e s . These set

tings are in turn affected by certain aspects of

the broader social and cultural environment. T h e

Phase 2 study evaluates the effects of different

socialization settings on a child's development

by exploring the relationships a m o n g : the struc

tural features of settings; the socialization proc

esses occurring within settings; various features

of the child's social and cultural background;

and the child's developmental status.

Phase 2 data collection includes gathering

site background information about each child's

country, city and neighbourhood, as well as family

background information from a family inter

view (including information on parental expec

tations for the child). Teacher interviews pro

vide similar information, as do questionnaires

administered to the administrators of each pre

school setting. Observations of adult-child and

child-child interactions are recorded and, finally,

cognitive, linguistic, social competence and

physical development measures are administered

to subsets of children. Data-collection instru

ments are summarized below:

Observations of the following, conducted at

both in-home and out-of-home settings:

children's activities; adult behaviours; and

adults' organization of children's time.

Assessment of children's developmental status

in the following areas: language skills; cog

nitive skills; social skills; and fine-motor

skills.

Interviews and questionnaires to gather the

following information: structural charac

teristics of settings; family background data;

teacher/caregiver/parent expectations for

children; and national-level information.

In their 1988 household survey, I E A preprimary

researchers contacted over 15,000 families with

4-year-old children to collect information about

their use of early childhood care/education serv

ices. In each of the eleven countries conducting

that survey, project staff located a national prob

ability sample of families. In the present phase

preschool education: 471 n Portugal and China

of the I E A Preprimary Project - the observa

tional study - participating countries are inves

tigating the types of settings that were identi

fied by families in the household survey. Project

staff have conducted observations in these set

tings, have interviewed families and teachers/

caregivers and have administered the develop

mental status measures to children from each

identified setting. Each country is studying from

two to five types of settings, and a m i n i m u m of

100 children will be observed/assessed in each.

T h e children selected for observation/assessment

in the current phase of the project will in a later

phase be followed and assessed again, at age 7 .

Current issues in preprimary child care

Three issues predominate in the early child

hood field worldwide: availability, sponsorship

and quality of services. If government planners

can collect data on current supply and d e m a n d

and determine h o w well programmes are work

ing, they m a y be able to determine the best m i x

of private and public agency support for early

childhood services and take steps to improve

the overall quality of services.

AVAILABILITY

There are several factors worldwide affecting the supply and d e m a n d of early childhood services. In rich and poor countries alike, where mothers with small children mus t enter the workforce, out-of-home settings to care for children are inadequate. In those countries where the needs/resources gap stems primarily from low economic development, rising demographics and limited capital, any large-scale early childhood programmes will be difficult to implement, regardless of sponsorship. Previously, in m a n y of these countries, extended family m e m b e r s could care for children in the h o m e , but this

472 David P. Weikart, Shi Hui Zhong and Joaquim Bairrao Ruivo

type of care is often unavailable n o w . Tradi

tional ways of caring for the young have broken

d o w n while alternative systems have not been

created. Governmental programmes are few in

number for cost reasons, and private programmes

are few in number because of families' inability

to pay for them. Over the next decade, the bal

ance between public and private providers will

shift as early childhood services gain in impor

tance and incentives for private settings increase.

SPONSORSHIP

In m a n y countries, preprimary provisions fall

under a wide variety of agencies - health, pub

lic welfare, social services, public assistance or

religious. In most countries either the Ministry

of Education or the Ministry of Social Affairs

assumes major sponsorship. In countries in which

the Ministry of Education sponsors the early

childhood services, kindergarten programmes

employing thematic and activity approaches to

learning seem to predominate. W h e n the M i n

istry of Social Affairs serves as the sponsor, the

focus is more often on child care with learning

through play.

T h e different views of the purpose of early

childhood services (education versus care) af

fect m u c h of the way in which programmes are

organized and supervised, since funding, staff

ing, curriculum, ancillary services and links to

other systems can vary dramatically. T h e pres

ence of multiple agencies as sponsors for early

childhood services in m a n y countries has led to

problems regarding standardization and quality

control.

QUALITY IN DELIVERY OF SERVICES

Improving the quality of early childhood serv

ices requires training and certifying staff and

personnel, providing parents with valid infor

mation, developing curriculum programmes

appropriate to children and merging child de

velopment theory with day-to-day activities car

ried out in preschool settings.

If it is true that the younger the pupil be

ing taught, the more likely it is that teachers

have inadequate training, salary and status, then

the public's belief that the care of young chil

dren requires little if any special preparation on

the part of the teacher must be altered dramati

cally. This means that programmes to educate

policy-makers, parents and the public at large

are necessary.

Early childhood professionals and practi

tioners need to continue to combine informa

tion from child development research studies

with information about the daily practices in

early childhood settings. For example, n e w find

ings about physical development need to be

considered w h e n planning the purchase and use

of playground equipment, and new findings about

cognitive and language development need to be

considered w h e n planning the daily pre-literacy

and pre-numeracy activities for young children.

Another issue involves h o w to balance group

size with programme costs to provide high-quality

programmes efficiently.

These three issues - availability, sponsorship

and quality - represent commonalities noted in

the first phase (1988) of the I E A Preprimary

Project from information gathered in Asia, Af

rica, Europe and North America, in rich and

poor countries alike. These issues serve as pre

dictors of future concerns facing the child-care

field. W e n o w turn to two case-studies to show

h o w these issues are translated into national

policies in Portugal and China.

The Portuguese case-study: expanding kindergarten coverage

Portugal is one of the countries conducting a

national study within the cross-national

preprimary project. Under the leadership of the

co-authors of this article, faculty and advanced

students in the psychology and education de

partments at the University of Porto, as well as

The IEA project on preliminary surveys i:

other national researchers, participated in the

study.

In Portugal the type of early childhood

service typically used by families with 4-year-

olds is a kindergarten p r o g r a m m e sponsored by

either the Ministry of Education or the Minis

try of W o r k and Social Security. In Ministry of

Education kindergartens there is an 'educational'

p r o g r a m m e , which operates for approximately

six hours per day, with a forty-five-day s u m

m e r break. Usually, however, only 60 per cent

of spaces in these kindergartens are occupied

by children. There are children where there are

no kindergartens, and there are kindergartens

where there are not enough children. In Minis

try of W o r k and Social Security kindergartens

there is a 'social welfare' p rog ramme , which

operates for about ten to twelve hours per day,

with a one-month break that coincides with the

national holiday period. Both ministries' kin

dergartens include both public and private pro

g r a m m e s ; the Ministry of W o r k and Social Se

curity programmes also include other types, such

as factory-operated programmes. Because of this

involvement of two ministries, the country's

establishment of n e w kindergarten programmes

requires m u c h co-ordination.

In the 1988 household survey that was part

of the I E A Preprimary Project, Portuguese re

searchers interviewed 581 families about their

use of early childhood services. T h e y found that

approximately 30 per cent of parents typically

provided the sole care for their 4-year-old chil

dren during the week, while the remaining 70 per

cent of parents typically enrolled their children

in one or m o r e extraparental early childhood

settings during the week (these included s o m e

settings other than kindergartens). Those chil

dren enrolled in extraparental settings spent an

average of forty to forty-five hours per week in

these settings.

T h e researchers asked all the families what

type of care/education arrangements they would

like to have for their 4-year-old children if they

had a choice. Eighty-one per cent of the par

ents w h o were the sole caretakers for their chil

dren stated that they would like their children

to attend kindergartens, while 95 per cent of

preschool education: 473 n Portugal and China

the parents w h o s e children attended s o m e

extraparental setting other than kindergarten

stated that kindergarten would be their first choice.

A t the outset of Portugal's participation in

the I E A study, the Portuguese Ministry of E d u

cation had announced its plans to expand the

rate of kindergarten coverage and to devise pro

g r a m m e s better suited to the particular charac

teristics and needs of specific regions of the

country (better suited, for example, to the den

sity of population or the nature of parental

employment in urban versus rural areas). T h e

findings of the study confirm that parents would

value this expansion and improvement of serv

ices, since it would increase the likelihood that

they could enrol their children in kindergarten

programmes.

The Chinese case-study: encouraging prompt results

Chinese early childhood educators see their role

in the modernization of the country as provid

ing appropriate environments for young chil

dren that will lay a solid foundation for an over

all improved quality of life. O n e of the co-authors

of this article and her staff from the Central

Institute of Educational Research in Beijing

carried out the Chinese national study within

the I E A Preprimary Project with the support of

the Ministry of Education and the International

Development Research Council, and with tech

nical support from the University of H o n g K o n g .

T h e 1988-89 Chinese household survey con

tacted 24,000 families in ten provinces in China

- 12,000 families with 4-year-old children and

12,000 with 6-year-old children.

China's interest in preprimary education

follows a long tradition of looking at ways to

understand h o w young children learn, which

dates back to the eleventh century B . C . In the

early twentieth century, T a o Xingzhi and C h e n

Heqin influenced both the theory and practice

of early childhood education in China. Their

474 David P. Weihart, Shi Hui Zhong and Joaquim Bairrao Ruivo

work resulted in the creation of kindergartens

to serve the children of workers and peasants

and in the development of a set of guidelines

for the operation of early childhood programmes;

these include, for example, the belief that both

kindergarten and family should take responsi

bility for the child's education and that play

and games are the major approach for teaching

children in kindergartens.

T h e 1988-89 household survey in China

was important because researchers gathered data

directly from parents as well as from early child

hood settings. Thus , the data collection included

families whose children were not attending early

childhood settings as well as ones whose chil

dren were attending settings. With the house

hold survey data, the researchers were able to

look at the lack of services as well as the con

cerns about services currently being offered.

T h e household survey revealed that, in ur

ban areas, 75 per cent of 4-year-old children

typically attended an early childhood setting or

were cared for by someone other than a parent

during the week. Nearly all of the urban chil

dren w h o were receiving extraparental care/edu

cation attended an organized group setting such

as a kindergarten. In rural areas, only 25 per

cent of 4-year-olds attended a setting or were

cared for by others. A s in the urban areas, w h e n

children did receive extraparental care/educa

tion, the most frequently used setting was an

organized group. Since approximately 80 per

cent of China's population lives in rural areas,

this results in a 45 per cent rate of extraparental

care for 4-year-olds nationally.

In China, a variety of organizations/agen

cies sponsor organized group settings, and the

major sponsors are different for urban and for

rural areas. Table 1 presents the percentage of

organized group settings sponsored by various

organizations/agencies.

T h e findings indicate that in urban areas

the major sponsor is state enterprise, while in

the rural areas the major sponsors are boards of

education for rural towns and village councils

for rural villages. In China, increasing the number

of organized group settings in the different types

of urban and rural areas has been set as a goal.

T A B L E 1. Percentage of early childhood organized group settings sponsored by various organizations/ agencies in urban and rural areas

Sponsor Urban Rural town

Rural village

Board of education 8 34 6 Collective enterprise 20 3 7 Government institution 15 22 21 Neighbourhood 18 7 2 Private 3 4 2 School/university 3 2 8 State enterprise 33 20 0 Village council 0 8 54

Clearly, in order to meet this goal, it will be

necessary to involve actively the m a n y different

sponsors of these settings.

O n e set of questions in the 1988-89 house

hold survey asked directors of organized set

tings about equipment and materials present in

their settings. Table 2 shows the percentage of

urban and rural settings with various types of

equipment and materials.

T h e data reveal that most group settings

have simple educational toys and that approxi

mately half of the settings have materials to m a k e

toys. A m u c h smaller percentage of settings have

other types of equipment and materials, espe

cially in rural areas. S o m e types of equipment

(for example, a sandbox) are fairly inexpen

sive, while other types of materials (big blocks)

m a y require greater expenditure. However, in

both urban and rural areas, more settings have

big blocks than have sandboxes. Also, materials

for children to use to m a k e toys are usually

quite inexpensive, but only about half of the

T A B L E 2. Percentage of urban and rural early childhood organized group settings having various equipment and materials

Item

Simple educational toys Materials for making toys Balance beam Big blocks Rocking horses Sandbox

Urban

99 58 55 48 54 22

Rural

91 48

7 10 21

6

T h e IEA project on preschool education: preliminary surveys in Portugal and China

475

settings have these items. These findings raise

the question of what early childhood staff un

derstand about the use of equipment and mate

rials in teaching young children.

Another set of questions in the 1988-89

household survey asked parents about their

methods of dealing with various behaviours

exhibited by their children. W h e n the research

ers compiled the findings for these questions

and shared the data with officials in the appro

priate government agencies, the decision was

m a d e to develop a parent education programme

and to require the parents of young children to

participate in this educational venture.

In summary, China has so far used the

findings from Phase 1 of the IEA Preprimary

Project in three different ways. First, it found

that there were fewer organized group settings

available than it had expected, especially in ru

ral areas, and it has therefore set a goal of in

creasing the number of such settings by work

ing with the various sponsoring organizations/

agencies. Second, because of the findings about

equipment and materials, teacher-training in

stitutions will provide additional training to di

rectors and staff in early childhood settings about

the use of equipment and materials in the teaching

of young children. Finally, government officials

have developed a parent education programme

to provide parents with child-rearing informa

tion and techniques.

W e have provided some general information

about the I E A Preprimary Project and described

two case-studies that convey the impact of the

findings from the first phase of the study. Data

collection for the second phase of the study is

n o w under way . This includes observations in

early childhood settings, interviews and assess

ment of children's developmental status. T h e

findings from the 1991-92 study (Phase 2) will

allow for the comparison of the quality of chil

dren's experiences across various types of set

tings (kindergartens, day-care homes) as well

as across various countries. In addition, the re

lationships a m o n g such variables as teacher-

child interactions, family characteristics, cultural

setting and child developmental status will be

examined. As the social demand for preschool

services rises, national policy-makers and plan

ners will have at their disposal a potent force to

reshape the future generation of citizens. •

Bibliography

O L M S T E D , P.; W E I K A R T , D . 1989. How Nations Serve

Young Children: Profiles of Child Care and Education in 14 Countries. Ypsilanti, Mich., High/Scope Press.

SECRETARIADO NACIONAL DE REBILITAÇAO. 1983.

Experiencias ¿novadoras no campo da integraçâo. Um projecto de educaçâo-integraçâo na comunicade. Lisbon.

W h a t does the United States want

to learn from international comparative

studies in education? Jeanne E . Griffith and Elliott A . Medrich

W h y do the IEA's activities

interest the United States?

While surveys of international achievement have always been of some interest within the American education community, these studies are n o w

Jeanne E . Griffith (United States). Associate Commissioner for Data Development, National Center for Education Statistics, US Department of Education. Formerly Senior Analyst in Social Legislation at the US Library of Congress and Demographer at the Office of Statistical Policy, US Office of Management and Budget.

Elliott A . Medrich (United States). Currently working at Management Planning Research Associates, Inc., in Berkeley, California. Author or co-author of works on education statistics and primary and secondary education policy, including The Serious Business of Growing U p : A Study of Children's Lives Outside School and, with Jeanne E. Griffith, International Science and Mathematics Assessments: W h a t Have W e Learned?

Prospects, Vol. XXII

attracting considerable attention a m o n g more general audiences of policy-makers. There are several reasons w h y this is so.

First, Americans have c o m e to understand that important changes are occurring in the market-place and in the workplace, and that the kinds of changes taking place will have a significant impact on the rising generation - and on the schools they attend. A strong connection between education and economic competitiveness has arisen over the last decade out of concern about the balance of trade, the quality of workers and the educational composition of the workforce.

A s early as 1983, the National C o m m i s sion on Excellence in Education gave special urgency to the matter of schooling and international competition in their landmark report, A Nation at Risk (US Department of Education, 1983). In January 1990, seven years after the National Commission's report, President Bush and the nation's governors highlighted the larger international context within which American education must be viewed (US Department of Education, 1990, p . 1):

[, N o . 4 , 1992 (84)

What does the United States want to learn from international comparative studies in education? 477

Our people must be as knowledgeable, as well trained, as competent, and as inventive as those in any other nation. All our people, not just a few, must be able to think for a living, adapt to changing environments, and to understand the world around them. They must understand and accept the responsibilities and obligations of citizenship. They must continually learn and develop new skills throughout their lives.

This concern with the economic implications

of educational performance was not felt by the

United States alone. Along the same lines, a

report of the Organization for Economic C o

operation and Development ( O E C D ) articu

lated the reasons w h y the United States, like all

other countries, will need a well-educated la

bour force, capable of adjusting to the demands

of a society in which technology and informa

tion hold the key to competitiveness ( O E C D ,

1989, p . 5):

. . . our societies are going through a period of rapid and far-reaching change. The signs of this are manifold . . . Technological progress, international trade, the speed of communications, world competition . . . these are just some aspects of m e change which is posing crucial questions for our societies, structures and habits . . . T h e analyses undertaken in the O E C D , as elsewhere, in order to assess the effect of structural changes on economic performance, all point to the decisive and fundamental importance of education systems. It is they that hold the key to possible progress and that determine each country's medium and long-term prospects in world competition.

Second, international achievement comparisons

n o w receive widespread coverage in the Ameri

can press, and the results have become the sub

ject of intense public debate and discussion. W h e n

survey results are released, articles assessing the

performance of American students compared with

students from other nations appear on the front

pages of newspapers throughout the country.

Third, international achievement compari

sons are n o w associated with America's national

education goals. In 1990, the President and the

nation's fifty state governors adopted a set of

six national education goals. This was a major

innovation for this country, in which educa

tional policy is highly decentralized. In conjunc

tion with the goals, both the President and the

governors have recognized that measuring and

evaluating student success in the classroom re

quires both national and international perspec

tives. Their interest in international policies,

practices and outcomes has increased dramati

cally, and they n o w seek information on state

performance in an international context. This

represents a distinctly n e w and expanded view

of the American educational system.

Fourth, it is becoming clear to American

policy-makers that international achievement stud

ies can give information on a great variety of

issues, and that it m a y be appropriate to aban

don the insular view of schooling that has hereto

fore left the United States on the periphery of the

international education community. In this re

gard, a committee of the National Research C o u n

cil wrote (Bradburn and Gilford, 1990, p . 4):

. . . comparative research on education . . . increases the range of experience necessary to improve the measurement of educational achievement; it enhances confidence in the generalizability of studies that explain the factors important in educational achievement; it increases the probability of dissemination of new ideas to improve the design or management of schools and classrooms; and it increases the research capacity of the United States as well as that of other countries. Finally, it provides an opportunity to chronicle practices and policies worthy of note in their o w n right.

International assessments provide access to in

formation across different countries and cul

tures about a wide variety of education policies,

programmes and practices that can help us

improve our o w n educational system. T h e sur

veys represent important opportunities to think

about and examine m a n y aspects of schooling

in the United States by means of comparison.

Fifth and finally, international achievement

studies are n o w valued for far more than test

scores. Increasingly, policy-makers are interested

in the contextual detail that accompanies these

surveys. Information on the cognitive, social,

478 Jeanne E. Griffith and Elliott A. Medrich

economic and public goals of other education

systems; descriptions of curriculum and teach

ing methods; descriptions of the ways students

(and teachers) use time in and outside school;

analyses of parent and student attitudes toward

education; motivation to learn and perform well;

explorations of h o w countries deal with students

of varying ability levels; and comparisons of the

socio-economic context of education systems -

these topics are representative of the kinds of

comparative education studies that are attract

ing increasing attention.

Taken together, these factors have elevated

international achievement assessments to a level

of high salience in American policy-making cir

cles. In the future, they will surely influence

h o w the United States thinks about curriculum

and teaching practice in American schools. For

that reason, it is essential that the studies be

conducted to the highest level of quality, so that

the data can effectively support the policy process.

While the United States has been a willing par

ticipant in m a n y previous international assess

ments - those sponsored by both the Interna

tional Association for the Evaluation of

Educational Achievement (IEA) and the Inter

national Assessment of Educational Progress

(IAEP) - growing interest in the results of these

studies and the data associated with them places

n e w burdens on those w h o organize, conduct

and administer these projects.

This paper reviews some concerns that have

been raised about prior assessments, discusses

h o w the Third International Mathematics and

Science Study ( T I M S S ) is addressing these is

sues, and suggests some long-range questions

that could profitably become part of the interna

tional education research agenda in the future.

Data quality: a persistent problem

Given the level of attention directed at interna

tional achievement assessments in the United

States, the issue of data quality is especially

important. Policy-makers in the Office of the

President, the U S Congress and the offices of

the nation's governors are all sensitive to charges

of poor quality. Policy-makers frequently voice

concern about what w e really k n o w and what

m a y be an artefact of a poorly designed study

or a study designed for other purposes. Appar

ently minor flaws in some studies are used to

reject robust findings across m a n y studies. If

the findings of these studies are to play a role in

the American educational policy debate, it is

essential that the research adhere to rigorous

statistical standards. In this regard, w e focus

here on matters of sampling and data collection

which, from our point of view, should be a cen

tral concern a m o n g those w h o organize and

manage the international assessments.

International achievement surveys are based

on samples; hence the data are susceptible to

both sampling and non-sampling errors which

affect the accuracy of the results. Sampling er

rors are of special import because the interna

tional survey results are based on samples of

students, not on surveys of entire student

populations. In reviewing the previous I E A stud

ies, three data-quality issues with significant

implications for data analysis require special

attention: response rates, comparability of sam

ples and non-sampling error.

RESPONSE RATES

T h e response rate is the ratio of those w h o ac

tually participated in the survey to those se

lected to participate. While there is no formal

statistical basis for defining the adequacy of re

sponse rates, a high response rate increases the

likelihood that the data truly reflect achievement

a m o n g the target population. A low response

rate makes it less likely that the findings are

accurate estimations of student performance.

At the least, high levels of non-response m a y

have a significant impact on h o w findings are

interpreted. At the U S National Center for

Education Statistics ( N C E S ) , domestic surveys

and surveys like those conducted by the I E A

must achieve response rates of at least 85 per

cent (the standard by which N C E S evaluates

Wh

at does th

e U

nited

States w

ant to

learn from

intern

ational co

mparativ

e stu

dies in

educatio

n?

47

9

is o tí

¡2 otal

H

hiev* u

O

^ bC

tin ra

.&

•Ü

enoi i cnt

o?

u-i

00

W)

G

<u

T3 s stu ath,

£ o

<N

en

eu

TJ

3

•C ths s

S

c

o

c

111

H «

áll

PS

VD

•*

o E

»

-H

-H

IN

o>

r̂ t̂

r̂

WD

U

«

e

(U ath

S

T3 C O

>, Itud

w c!

'u c/3 S

•a

^ C

/Î

ÛJ

u

(U

T3

tí O

ïlïliï

X B 5

^

g -S .3

-g

1111 S Il

11

K

S

3

=

Ë

«

Ë s a

£

•a -a

-3

£

„ •S Z

3 ins

o

cd

•ö

1

I •=

I « W S

3

•a

o

2;

à

& £

-o

1 F, N

S 'S.

& for

<LÍ

§

1 h

Í

.g ai

•g z; s

s s

co

--í 1 b

u

á K

!!

>'

'S

u- C

E S -

m

u.

^

t5

PH

K S

O

a

tí y

i>

tí 3

O

Ë 1 syste

«

y

•s. s* ft

a

£

B. rea, of Ko

.S

a

•s-

~ j=

fc rlan

•S

z

•S

u

•c

u

S

Ü

s not nd did

•c rit

S

fi E

not id did

E

S c:

3

•a

•a S ed dati

II lia

K

i J

a

•9

19

=

" Z

fS

55 Z

£

P-,

in tu

c/î

lá

lllllll

(N

m

•<* v

> v

o t-- o

o


the quality of its o w n surveys). Non-response

begins to matter a great deal as the assessments

receive substantial exposure and as the perform

ance of students from different countries is c o m

pared. Lower response rates invariably reduce

confidence in survey results that are reported.

In the absence of any other information de

scribing non-response bias, a high response rate

is crucial because there is no other way of knowing

if non-response is proportionately distributed

across the sample population.

Table 1 summarizes our findings about the

adequacy of response rates in prior assessments

of mathematics and science. Based on an 85 per

cent standard, few countries achieve the level of

adequacy that N C E S would require before it

published and disseminated data from similar

types of studies. This is not a criticism of the

quality of work of other countries; in fact, the

United States meets the standard only one time.

Since studies of non-response were not pub

lished by the IEA, the impact of these sampling

issues on the results of these surveys is not known.

In fact, m a n y countries, including the United

States, have had real difficulty in achieving high

response rates, thereby raising questions about

sample representativeness. In our view, the en

tire set of questions surrounding sampling and

data collection should represent a priority for

the IEA, as future international assessments will

surely receive even more attention than these

earlier studies in the United States and in other

countries. Hence the accuracy of estimates is a

real concern.

SAMPLE COMPARABILITY

If the performance of populations on the inter

national assessments is to be compared, there is

an expectation on the part of users of our infor

mation that the samples from country to coun

try will capture approximately the same range

of students. In fact, achieving sample compara

bility has been an elusive goal.

O n e aspect of comparability relates to age-

level and grade-level comparisons. These rep

resent very different ways of designing and col

lecting international survey data. In the broad

est sense, age-level comparisons describe entire

population cohorts, while grade-level compari

sons describe in-school population cohorts.

Age-level comparisons can provide cohort

profiles, without regard to whether or not the

population surveyed consists of students in-school

or out-of-school, although more frequently they

are drawn only from the in-school populations.

T h e IEA studies historically have sampled age-

groups in the pre-secondary-level surveys, but

not in the secondary-level surveys. At the pre-

secondary level almost everyone in the focal age-

groups is in school (and can be sampled without

difficulty), but at the secondary level, in systems

with lower school retention rates, large numbers

of students eligible to attend school are not en

rolled. Hence, at the secondary level, age-level

testing poses a complicated and costly design,

sampling and survey administration problem.

Grade-level comparisons are limited to stu

dents attending school, and to students at specified

levels of schooling. Their strength is that they

offer the opportunity to relate classroom char

acteristics (for example, classroom processes and

teacher practice) to student performance in ways

that would not be possible with an age-based

sample. However, since students in different

systems start school at different ages, grade-

level testing controls for years of education, but

not for differences in the ages (and consequent

maturation) of students at a particular grade

level. A 13-year-old m a y be at one grade level

in one system, and at another grade level in

another system (and m a y not have been ex

posed to the same number of years' schooling,

or the same curriculum as a 13-year-old from

another system). Samples of students in the 'last

year of compulsory schooling' are particularly

problematic, for they do not even control for

years of education. For example, in some sys

tems, by the last year of secondary school stu

dents m a y have had thirteen years of education;

in other systems they m a y have had twelve years,

or fewer. Grade-level comparisons, however,

permit descriptions of h o w students are faring

at different points in their educational careers,

as defined by the system.


Other educational policies that interfere with

simple international comparability are related

to treatment of students of varying ability lev

els. This can stem from cognitive abilities, socio

economic disadvantage, immigration or language

proficiency. Whatever the sources of variabil

ity, countries handle such students in different

ways - with streaming or tracking, with special

classes or total immersion. W h e n regions, schools

or classes are sampled, the potential for system

atic exclusion arises, with potentially severe con

sequences for sample comparability.

Recognizing that these distinctions define

analytical parameters and the types of descrip

tion that can be achieved, all participating edu

cational systems must strive to assure repre

sentative samples of the same student populations.

This becomes complicated, however, because

from country to country major differences exist

in age/grade relationships, in the handling of

students of varying ability and in the schooling

of immigrant students or students w h o speak

second languages. T h e international assessments

should be able to support accurate inferences

about a cohort, and samples could, with some

difficulty, be designed to ensure that they cap

ture the range of individual, school and class

r o o m variation in each educational system.

Design questions associated with sample

comparability are important in terms of deriv

ing samples that are analytically equivalent across

participating educational systems. Under any

circumstances, the objective should be to seek

accurate comparisons of achievement between

systems and across populations, without regard

to different national policies that m a y affect the

selection and retention of students in school.

W h e r e inherent educational policy differences

disallow strict comparability, information must

be included in reports and analyses to permit

the reader to m a k e informed inferences about

the statistics provided.

NON-SAMPLING ERROR

Non-sampling errors pose a particularly daunt

ing dilemma in the international arena. N o n -

sampling errors are the result of m a n y factors

which are difficult to control and describe, but

a m o n g them are these: inability to obtain c o m

plete and correct information from and about

participants and non-participants; participant

non-response to questions; mistakes in record

ing or coding data once it has been collected;

and errors in collecting, processing, sampling

and estimating data. In international studies, the

special problem of differences in meaning is

introduced w h e n test instruments are translated

into different languages, and this can be an

important source of non-sampling error. Subtle

differences in national procedures in test ad

ministration or the handling of missing data can

also lead to substantial non-sampling error. N o n -

sampling errors are difficult to estimate, but they

m a y result in bias and non-reliability of the data

themselves. While efforts m a y be m a d e to c o m

pensate for non-response, without special analyses

it is not possible to k n o w with certainty that

non-sampling errors, and the impact they m a y

have on the data, have been adequately taken

into account.

Strategies to improve data quality: the T I M S S response

A s policy-makers are referring to international

studies to a greater extent, useful studies of the

future will need to respond to the requirements

for higher quality information associated with

public decision-making. Information is attain

ing a 'high stakes' quality because it is being

used not only for academic research (although

that use remains highly important and stim

ulative), but also for setting national and sub-

national policies and practices in m a n y coun

tries. If cross-national comparisons are to be

scientifically credible, at least seven questions

concerning the data must be addressed (Medrich

and Griffith, 1992):

1. T o what extent do the samples meet the

study design requirements?


2 . Are there differences a m o n g countries in

h o w the eligible survey populations are

defined? Did each participating entity fol

low identical procedures?

3. H o w are modifications to the sample han

dled? For instance, w h e n countries legiti

mately sample target populations that are

not thoroughly comparable with those of

other nations participating in the research,

are these non-comparable circumstances

articulated and justified, and their implica

tions discussed?

4 . Are the response rates adequate on a

country-by-country, stratum-by-stratum

basis?

5. D o the characteristics of those declining to

participate (or excluded from testing) dif

fer substantially from country to country?

Within countries, does this affect the de

gree to which the sample that is achieved

represents the eligible 'target' population?

6. D o the age distributions of test samples

differ substantially a m o n g participating

educational systems, and, if so, what are

the analytical implications?

7 . H o w have issues of non-sampling error

been addressed?

These questions pertain both to sample design

procedures and to the adequacy of the data-

collection outcomes. Institutions collecting in

ternational survey data have recognized the sig

nificance of these issues, and issues that will

affect data quality in T I M S S are being addressed

in a deliberate manner . O f special importance,

T I M S S is working with more adequate resources,

and with considerably m o r e participation of

education ministries. This will facilitate the en

tire planning process for the policy uses of the

data. A t the same time, continued involvement

of highly skilled researchers assures creative

developments to stimulate future policy debates

that cannot yet be anticipated. Furthermore, a

Sampling and Methodology Committee of the

T I M S S Co-ordinating Committee and an O p

erations Committee are designing materials that

should assure carefully refereed samples and

adequate oversight of the data-collection pro

cess (Griffith et al., 1991).

T h e I E A Reading Literacy Study provides

evidence of progress on data quality issues that

is worth mentioning here, as these procedures

are to be replicated in T I M S S . First, the s a m

pling manuals and data-collection instructions

were considerably more precise and easier to

follow than had been the case in prior studies.

Strong data collection requires procedures that

all can apply and that enable reconciliation of

'exceptional' circumstances that m a y arise. Sec

ond, involvement of education ministries facili

tated the process of drawing and executing s a m

ples. T h e impact of increasing government

involvement was certainly evident in the United

States. At the fourth-grade level, school and

student response rates were 87 per cent, while

at the ninth-grade level they were 86 per cent.

T h e final data-quality test for the Reading

Literacy Study and for T I M S S , however, will

be determined by comparability of the samples

across participating educational systems; by the

nature of discussions of field execution prob

lems; by careful questionnaire and test design

to minimize non-sampling error; and by disclo

sure and discussion of sampling issues that af

fect h o w data are interpreted.

Beyond student performance rankings: an agenda for the future

Cross-national surveys of student achievement are only one w a y of evaluating the product of the educational enterprise. While the objectives of these assessments have been m a n y and varied, the American press, policy-makers and, consequently, most Americans focus rather single-mindedly on h o w students score on the performance tests and h o w the United States ranks against other countries - as though the surveys represent a kind of intellectual Olympics.

But as the scores from various studies have begun to appear somewhat redundant, policy-makers have started to ask questions about the systems - educational and otherwise - that produce these relatively poor perform-


anees. Under what circumstances do United

States students perform more or less poorly?

W h a t are the effects of curricular differences

a m o n g countries? H o w does motivation to learn

and to perform affect our measures of student

performance? D o student, parent and teacher

expectations have a major effect on student

outcomes? W h a t are the effects of parental

support on educational performance? W h a t

about other social effects, such as health, in

c o m e , housing and peer influences - what are

their effects on educational performance?

O n e of the more important contributions

of the international achievement surveys is that

they can help us learn more about the corre

lates of achievement associated with excellent

school performance. In our estimation, the fo

cus of future studies should not be: ' W h o ' s

number one?'; the point should be: ' W h a t makes

a difference?' and what can w e learn from dif

ferent educational structures and institutional

practices that could support efforts in this country

to improve the performance of students and

improve the quality of the schools?

In that spirit, w e identify some general is

sues w e feel are appropriate for the interna

tional agenda. They go beyond questions asso

ciated with the current set of achievement

assessments. O u r intention is to describe issues

which w e feel are important to policy-makers in

the United States and which are amenable to

consideration in the international forum.

O n the basis of the discussion in the pre

ceding sections of this article, w e begin by speci

fying conditions which international education

research should strive to achieve:

Research should be focused, well designed and

administered in a w a y that assures a high

level of quality. International studies are

expensive, whether they are large and c o m

plex as in the I E A tradition, or small and

experimental as in numerous comparative

studies documented in the professional

literature. In the current environment of

tight budgets w e can ill afford to support

research that does not meet reasonable

technical standards that enable accurate

cross-national comparisons.

Project participants should be identified early

on, so that there is ample time to structure

the work to the satisfaction of both those

undertaking the research and those w h o

will use the results.

Research objectives should be realistic and

carefully bounded - purposeful, and not

so ambitious as to become unmanageable

and, therefore, less likely to produce cred

ible and useful results. In other words, a

great deal of effort needs to be invested 'at

the front end'.

Taking these three conditions as operating prin

ciples, there are at least six kinds of studies for

the long-term research agenda that represent

areas of exceptional substantive interest in the

United States and, w e believe, cross-nationally:

curriculum research; studies of classroom prac

tice at different stages of the educational pro

cess; studies of societal support for and interest

in education; studies of adult educational achieve

ment to reflect the entire educational experi

ence; large-scale longitudinal studies aimed at

illuminating transitions and contextual factors

in education; and studies of special subjects such

as foreign language proficiency and schooling

in student non-native languages. W e briefly

describe some of the questions associated with

each subject area below.

CURRICULUM STUDIES

W e believe that it would be useful to undertake

broader curriculum studies than those associ

ated with opportunity-to-learn variables, which

w e recognize as one of the cornerstones and

most important contributions of the I E A pro

gramme. These variables on opportunity-to-learn

have historically focused on a particular set of

test items or the targeted subject of a test. F r o m

the perspective of national policy-makers, there

is a real need for information about the time

students spend being exposed to the full pano

ply of particular subjects at each educational

level, and the substance of the curriculum - this

as a way of understanding differences in cur

ricular priorities. Such information reflects dif-


ferences in educational goals and approaches.

W e need better data so that w e can understand

h o w our curriculum compares with the curricu

lum of other educational systems, and consider

what these different priorities yield in terms of

student outcomes.

CLASSROOM PRACTICE

A s noted in the IEA's classroom environment

study (Anderson et al., 1989), educational sys

tems organize for learning in different ways.

Descriptions of schools and classrooms - in

cluding, for example, analyses of management

practice, classroom instructional processes and

student and teacher time use, and staff training

and in-service training - offer especially useful

information that can be applied in policy set

tings across educational systems. While educa

tional practice is in part the product of system-

specific social, cultural and economic

circumstances, there are m a n y opportunities to

share and borrow strategically. T h e O E C D In

ternational Education Indicators Project (INES)

represents one effort to develop these broader

contextual elements and to provide comparably

based, descriptive measures of school and class

r o o m organization.

SOCIETAL SUPPORT FOR EDUCATION

A recent publication of the U S National Center

for Education Statistics ( U S Department of

Education, 1991, p . 23) notes:

. . . w e need a m u c h better understanding of the conditions of families with young children, and of children's readiness to learn as they enter the formal educational system. . . . If the public is to understand not only educational performance but also the environment in which schools and colleges pursue their mission, it is essential that w e have a m u c h better understanding of [family support for learning, community and cultural support, and financial support].

It is clear from small-scale case-studies like those

of Stevenson et al. (1986) that the purpose of

education, schooling and culture is viewed in

very different ways from country to country.

This, in turn, seems to have a great deal to do

with students' attitudes toward education, h o w

hard they work at school, teachers' expectations

for students from widely varying backgrounds,

the level of national support for education and

so forth. T h e I N E S Project is attempting to

describe attitudes and expectations towards

schools and schooling a m o n g parents, teachers,

the general public, students and employers cross-

nationally. This m a y yield a productive approach

to understanding the role of education in the

larger social order, and help distinguish the

national education 'psyche' across countries and

cultures. Ultimately, effective research m a y re

quire intensive case-studies.

STUDIES OF ADULT EDUCATIONAL

ACHIEVEMENT

In m a n y countries that participate in interna

tional achievement surveys, significant propor

tions of the adult population achieve some level

of post-secondary education. Parallel to studies

of adult literacy, it would be useful to explore

the overall levels of achievement, attainment and

work- and life-related skills attained by adult

populations. This is one w a y of exploring the

relationship of various aspects of educational

experiences to such outcomes in different coun

tries. In an international context, studies of adult

educational achievement can inform policy

makers w h o want to compare the return on in

vestment associated with commitments to post-

secondary education.

LARGE-SCALE LONGITUDINAL STUDIES

Longitudinal studies of cohorts of youth con

tribute to our understanding of factors associ

ated with m o r e or less successful transitions

between phases of schooling; of relationships

between students' experiences inside and out

side of school and their educational and other

W h a t does the United States want to learn from international comparative studies in education? 485

performance; of the effects of various behav

iours on educational commitment , involvement

and attainment; of the relationships between

students, parents and teachers; and of the influ

ences on and effects of motivation and engage

m e n t in education. A longitudinal perspective

in such studies would contribute greatly towards

our understanding of h o w these relationships

react to varying educational systems and insti

tutional practices with a broader variety of situ

ations on which to draw inferences.

SPECIAL L A N G U A G E - R E L A T E D STUDIES

Changes in the international economy and im

migration policies are creating n e w challenges

for the schools. For example, second-language

studies should receive more attention. There

are two types of studies of second languages

that are needed. T h e first should address h o w

well schools are preparing students to live and

work in a multilingual world. Will there be suf

ficient numbers of young people trained in the

languages of emerging nations? T h e second is

h o w well nations are dealing with the increasing

numbers of students for w h o m the national tongue

is a second language. Both are issues of real

significance, and w e k n o w too little of the cross-

national experience. W e note that the I E A in

tends to introduce a language-testing cycle, and

yielding valuable comparative data will be a

challenge for these assessments.

There are m a n y ways in which international

education assessments can help us better u n

derstand the role of schooling in society, and

the effectiveness of schools as institutions with

broad social functions. These initiatives deserve

a special place in future programmes. Perhaps

the important point is that the historic testing

areas ought not to be the sole focus of the I E A

effort.

In the demanding, competitive environment

of the n e w century, educational policy-makers

in the United States will need to evaluate the

quality and outcomes of schooling against both

national and international criteria. Comparative

studies in education can have a powerful im

pact on the ways in which American educators

think about education policy, on the organiza

tion and curriculum of schools and classrooms

and on the connections between schools and

families. But to inform the policy process it is

essential that cross-national data be high-qual

ity and comparable. While the stage is set for

integrating data from comparative studies into

future debates, technical difficulties inherent in

cross-national research must be satisfactorily

addressed, and the studies must respond to the

needs of m a n y audiences with m a n y different

interests. •

References

A N D E R S O N , L . ; R Y A N , D . ; SHAPIRO, B . 1989. The IEA

Classroom Environment Study. Oxford, Pergamon Press. B R A D B U R N , N . ; G I L F O R D , D . (eds.). 1990. A Framework

and Principles for International Comparative Studies in Education. Washington, D . C . , National Academy Press.

GRIFFITH, J. E.; O W E N , E.; PEAK, L.; MEDRICH, E. 1991.

National Education Goals and the Third International Mathematics and Science Study. Paper presented at the Annual Meetings of the American Statistical Association, Atlanta, G a . , August 1991.

M E D R I C H , E . A . ; GRIFFITH, J. E . 1992. International

Mathematics and Science Assessments: What Have We Learned? Washington, D . C . , U S National Center for Education Statistics.

O R G A N I Z A T I O N FOR E C O N O M I C C O - O P E R A T I O N A N D D E

V E L O P M E N T ( O E C D ) . 1989. Education and the Economy in a Changing Society. Paris, O E C D .

STEVENSON, H . W . ; A Z U M A , H . ; H A K U T A , K . 1986. Child

Development and Education in Japan. N e w York, W . H . Freeman & Co.

US DEPARTMENT OF EDUCATION. 1990. National Goals for Education. Washington, D . C . , Superintendent of Documents.

. NATIONAL CENTER FOR EDUCATION STATISTICS,

SPECIAL STUDY PANEL O N EDUCATION INDICATORS.

1991. Education Counts: An Indicator System to Monitor the Nation's Educational Health. Washington, D . C , Superintendent of Documents.

. N A T I O N A L C O M M I S S I O N O N E X C E L L E N C E IN E D U C A

TION. 1983. A Nation at Risk. Washington, D . C , U S National Center for Education Statistics.

TRENDS/CASES

Language, interculturalism and

h u m a n rights Three European cases

Norma Tarrow

In the closing years of the twentieth century, all

across the globe, nations and their educational

systems are having to recognize and respond to

the increased heterogeneity of their societies. A

variety of terms have been used to describe these

responses - for example, multicultural, inter-

cultural, bilingual, development and h u m a n rights

education, ethnic studies, anti-racist and preju

dice reduction education. This plethora of ter

minology is redundant and/or confusing. In ad

dition, programmes are often developed without

a strong theoretical underpinning and are over

simplified in their presentation - frequently ig

noring more significant and broader issues. Yet,

taxonomic frameworks for analysis do exist in

the field of multicultural/intercultural education1

N o r m a Tarrow (United States). Professor of Education at California State University. Her research interests include human rights and intercultural education specializing in the education of indigenous minority groups. She is the editor of H u m a n Rights and Education and the author (with Sara W. Lundsteen) of Guiding Young Children's Learning: A Comprehensive Approach to Early Childhood Education and Activities and Resources for Guiding Young Children's Learning. She has also authored chapters in several recent volumes in her fields of competence.

and recent work has postulated an oscillation

model to account for its history (Gundara and

Jones, 1991). This article is based on a develop

mental paradigm viewing societies as moving

sequentially and (in spite of occasional regres

sions) invariantly through three major stages.

A s the opposing forces of supra-national

amalgamation and ethno-linguistic separation

rivet attention on both Eastern and Western

Europe, more attention is belatedly being paid

to territorial (indigenous) groups, several of w h o m

are actively engaged in linguistic and cultural

revitalization, often pitting these subordinate

groups against the dominant or majority groups

in the nation-state.2 Progressing from paradigm

to practice, in the fields of language retrieval,

interculturalism and h u m a n rights, the model

will be applied to three indigenous groups - the

Welsh in the United K i n g d o m and the Basques

and the Catalans in Spain.

The paradigm

T h e reality of multicultural societies is being

met with approaches which appear to be based

on three different ideologies: assimilation, ac-

Prospecls, Vol. XXII, [, N o . 4, 1992 (84)

490 Norma Tarrozv

commodation and 'interculturation'.3 T h e first,

in its pure form, envisions a monocultural soci

ety and implies non-recognition or non-accept

ance of the reality and permanence of

multiculturalism until forced to do so (usually

by some traumatic events), as well as the non-

equality of dominant and subordinate groups.

T h e second, in its early phase, is still based on

the non-equality of dominant and subordinate

groups with compensatory programmes to ac

commodate (to some degree) to the needs and

values of the latter. Since the goal, however, is

still one of assimilating (or at best, integrating)

members of the subordinate groups into the domi

nant society, these compensatory programmes

can be viewed only as a transitional phase be

tween assimilation and accommodation. A s the

vision of a monocultural society is reluctantly

relinquished and replaced with a cultural-plural

ist perspective, the ideology progresses to one of

accommodation. This cultural-pluralist view of

society and its accommodation ideology permit

(in addition to the transmission of the language

and culture of the dominant group) attention to

the language and culture of the subordinate

groups. Thus , at this level, there is a prolifera

tion of minority language and culture programmes

- ethnic studies, bilingual education, alternative

religious studies, etc. All of these programmes

are directed at and for the members of minority

groups, permitting the maintenance of separate

identities and (ideally) shared participation in

the dominant society: a kind of balancing act

between the competing goals of cultural diver

sity and social cohesion that constitutes the 'plu

ralist dilemma' referred to by Bullivant (1981).

Responses based on the concept of shared par

ticipation are designed to equalize access and

include affirmative action and equal opportu

nity programmes. T h e last phase of this level,

which serves as a transition to the next, calls for

legitimizing the language and culture of the sub

ordinate groups on the part of all members of

society. Thus , schools develop and implement

multicultural education programmes requiring

the delicate balancing of the goals of cohesion,

equality and diversity - each of which, carried to

its extreme, is incompatible with the others

(Schools Council, 1982). Multicultural educa

tion programmes introduce all students to some

of the more visible aspects of the group identifi

cation of all component groups - history, tradi

tions, language, heroes and heroines, etc.

It remains for the third level, however, based

on the ideology of interculturation, to achieve

(or at least have as a goal) a truly intercultural

perspective. In the educational environment,

proponents of this viewpoint have become cham

pions of such programmes as prejudice reduc

tion, anti-racist education and h u m a n rights

education. It is at this level that concepts of

interaction, interdependence, interchange and

reciprocity emerge and that programmes are

directed at all members of the society. In the

school, 'all members of society' signifies all chil

dren, teachers, administrators, etc., and the afore

mentioned concepts have relevance both for

content and for the structure and environment

of the school itself. Building upon the under

standing of the characteristics of different indi

vidual cultures (provided by multicultural edu

cation), education at this level advances to a

consideration of the quality of the interaction

between cultures and nations, an appreciation

of the mutual enrichment provided by inter

change, an understanding of the concepts of

reciprocity and interdependence, and, tJirough

related processes such as co-operative learning

and conflict resolution, to education for inter

national comprehension, peace and h u m a n rights.

This article is based on the assumption that

arriving at the ideology of interculturation is a

developmental process - that societies m o v e

sequentially through each of these various phases

in the same w a y that a child sits, crawls, stands

and walks. Just as one doesn't expect the child

to run before standing and walking, it is unreal

istic to expect societies to implement intercultural

approaches if they have not yet adopted a cul

tural-pluralist perspective, with its implied le

gitimization of the language and culture of other

groups. A n d just as a toddler often takes a step

or two and then retreats to crawling for several

weeks before daring to take a few more steps,

special cases in various societies or specific events

m a y propel a jump to a later phase, but usually

Language, interculturalism and human rights: 491 three European cases

this is short-lived unless this point has been ar

rived at from an ideology that has matured steadily

and developmentally through each of the pre

ceding phases.

T h e paradigm appears to be applicable to

a number of different countries, at times with

minor modifications. S o m e societies seem to

m o v e smoothly through its various stages; oth

ers seem to 'get stuck' or fixated at certain points

along the way before they m o v e on to the next

phase or make a jump to a later phase in re

sponse to specific situations; while still others

appear occasionally to take a long step back

wards! T h e model seems to be applicable in the

United States as it responds to its treasure of

native population, settlers, long-standing and

recent immigrants and the variety of languages

and cultures that have drawn from and enriched

it. Educational response to the increasing

pluralization of society in the early years of the

twentieth century was frankly assimilationist. In

the 1940s and 1950s the intergroup education

movement added a focus on tolerance and mutual

understanding, while the 1960s introduced a

sequence of educational responses based on the

valuing of cultural pluralism. First, ethnic stud

ies programmes (geared primarily to members

of various ethnic and racial groups) focused on

famous personalities, cultural traditions and ethnic

pride. Later, bilingual education programmes

added an emphasis on the rights of different

ethnic groups to be educated in their primary

language. Recognizing the need for all children

to understand cultures other than their o w n ,

multicultural education programmes became the

byword of the 1970s. Early programmes took

the 'Holidays and Heroes' or 'Tacos on Tues

day' approach, but more recently there has been

an emphasis on more general, universally ap

propriate concepts of intercultural and anti-racist

education (United Kingdom) , prejudice reduc

tion (United States) and h u m a n rights educa

tion (Canada, Australia and Council of Europe)

programmes, with more radical theorists claim

ing that none of these will be effective without

structural changes in the power relationships

between dominant and subordinate groups.

Spain and the United Kingdom present

interesting challenges to the paradigm. They

each have within their borders indigenous groups

with their o w n languages and cultures, w h o are

a majority in their respective regions, and whose

languages and cultures have only recently been,

to some degree, revitalized. Moving from para

digm to practice, this paper represents a pre

liminary attempt to apply the proposed model

to Catalonia and the Basque Autonomous C o m

munity ( B A C ) and to approach the task in ref

erence to Wales. All three have had to learn

h o w to crawl (to return to the child develop

ment analogy) after having been gagged by a

national policy that totally repressed their lan

guages and cultures in an unremitting policy of

assimilation. T h e premise of this paper is that,

in societies subjected to such attempts at cul

tural and linguistic genocide, the intensive ef

forts required to reverse that situation will pre

clude awareness and attention to the needs and

rights of 'others' as long as the indigenous lan

guage and culture are still perceived as vulner

able, and policy-makers and practitioners are

more concerned with the 'self than the 'other'.

The three regions

CATALONIA AND THE BASQUE AUTONOMOUS

COMMUNITY (BAC)

Catalonia and the B A C are the two most indus

trialized areas of the Spanish state. During the

period of major industrial expansion (which

coincided with the Franco era of harsh repres

sion of Catalan and Basque language and cul

ture), massive immigration from other parts of

Spain was encouraged by the central govern

ment. These people, w h o are members of the

dominant group in the nation-state, are, in ef

fect, a minority (both in number and in their

perception of access to the power structure)

within the Catalan and Basque regions - even

though they speak the national language and

are citizens of Spain. They c rammed into what

had been small towns encircling Barcelona and

Bilbao, creating entirely Castilian-speaking c o m -

492 Norma Tarrow

munities enjoying almost full employment in

the 1950s and 1960s. Thus , both regions and,

in particular, these 'immigrant' communities are

hard hit by the present unemployment rate of

approximately 20 per cent (one of the highest

in Europe). T h e Basque region is even more

affected since the threat of terrorist activity has

deterred any new industry or investments in

the region. Spain also has a long-standing gypsy

minority, with its o w n culture, which has re

sisted all attempts at assimilation and has a sig

nificant presence in both regions. Spain's new

role as a country of immigration has brought

minority groups from other Western nations as

well as from Third World countries in Latin

America, Asia, Africa and the Middle East (as

an outcome of the world economic crisis and

political chaos). Their presence is just begin

ning to be acknowledged - particularly in the

belts surrounding Barcelona and Bilbao.

T h e ideology of the newly democratized

Spanish state has become one of accommoda

tion of the languages and cultures of indigenous

minorities, with delegation of the authority to

do so to the autonomous governments. Thus ,

these until recently oppressed subordinate groups

are n o w in a somewhat ambiguous position. While

they function as dominant groups in their re

gions, they are still constrained by parameters

established by the state, operating very m u c h

like minorities in relation to the central govern

ment.

WALES

T h e heyday of Welsh industrialization in the nineteenth and early twentieth centuries quadrupled the population of Wales, and drastically altered its character. Here, too, large numbers of the dominant national group came to the newly industrialized areas of Glamorgan and Gwent . W h e n the slate, coal and steel industries of the south closed d o w n , m a n y of these English and English-speaking immigrants chose to remain. After a hiatus of several decades, immigration has begun again. T h e settled immigrants are n o w being joined by others from

India, Pakistan, Bangladesh, the Arab nations

and China (as well as Chinese from H o n g Kong) .

Labour Force Surveys, completed between census

polls, indicate that they constitute 1.2 per cent

of the total population (of Wales) and a m u c h

greater percentage in the areas of Swansea and

Cardiff, as well as Bangor in the north - al

though their presence has not been widely ac

knowledged.

Language

CATALONIA

Catalonia's widely shared language and culture

played a critical role in fostering the movement

for autonomy, which (except for a small con

tingent of extremists) has been largely viewed

in linguistic and cultural forms. For centuries,

Catalan, closely related to other R o m a n c e lan

guages, was the language of the intellectual and

commercial community, whose nineteenth-cen

tury literary revival sparked the movement for

autonomy. In fact, Catalonia represents an ex

ample of reverse diglossia, a bilingual situation

where the minority language is the prestige lan

guage.

T h e Catalan language evolved from the

popular Latin of R o m a n settlers w h o , starting

in the second century, substituted Latin for the

indigenous languages (except in the western

Pyrenees where Euskara, the Basque language,

remained unchanged). In the tenth century, Latin

disintegrated into the Romance languages. After

the Arab conquest and the Christian reconquest,

several languages crystallized and were reduced

to Galician, Castilian and Catalan. Catalan was

firmly planted in Catalonia and its conquered

areas. F rom the twelfth to the fourteenth centu

ries, Catalan and Castilian vied for prominence

and inspired literary movements, but Castilian

steadily advanced while Catalan influence

lessened. W h e n Aragon lost political power in

the fourteenth century, Catalan literature and

official use waned and continued to wane under

the unification begun by King Ferdinand and

Language, intercultui three Eui

Queen Isabella. T h e eighteenth century saw the

repression of all languages except Castilian.

Catalan underwent a nineteenth-century ren

aissance, a brief revival under the Second R e

public, and forty years of total repression in the

twentieth century. During this period, the use

of Catalan in schools, newspapers, religious serv

ices, media, business and public administration

was officially banned. After years of maintain

ing the language and culture in semi-secrecy, it

became a voluntary subject and, with the resto

ration of the Generalität (Catalonian national

legislature) in 1977, a compulsory subject in

primary and secondary schools. Today, the In

stitute of Catalan Studies is charged with en

suring the vitality of the language. Within Cata

lonia, there are two main varieties of the language

(eastern and western) plus Aráñese (spoken in

the Valley of Arañes). Siguan estimates that about

50 per cent of Catalonia's 6 million residents

speak Catalan as a mother tongue and another

30 per cent speak or understand it (Siguan, 1989).

THE BASQUE AUTONOMOUS COMMUNITY

Euskara is an ancient and non-Indo-European

language, with a paucity of written literature,

whose speakers tended to be located in the ru

ral and less educated segment of the popula

tion. Although maintained through the Middle

Ages and the early years of Spanish unification,

it did not expand. Considered archaic, and handi

capped by its diglossic situation in relation to

Castilian, it had begun to disappear by the nine

teenth century, w h e n it underwent a literary spurt

not nearly as extensive or popular as the Catalan

renaissance. Basque nationalism has leaned heav

ily on a shared ethnic background with strong

expression of the desire for complete political

independence, and the Basque language as its

badge of nationhood. T h e Franco regime's con

certed programme of cultural repression, intended

to crush the nationalist spirit, focused particu

larly on the language. T h u s the last 100 years

have witnessed an attempt to revive the lan

guage, followed by a period of severe repres

sion, a second clandestine revival movement and,

; m and human rights: 493 ean cases

since the granting of autonomy in 1978, the

compulsory learning of Euskara at all levels of

the educational system. T h e A c a d e m y of the

Basque Language has, to some degree, over

c o m e the fragmentation resulting from the vari

ants and dialects of the language by developing

a standardized and unified Euskara Batua. T h e

total number of Euskara-speaking persons has

remained fairly constant, but, since the popula

tion of the Basque provinces has more than tri

pled in the past 100 years the net effect is a

sharp decline in the proportion of the popula

tion of the region that speaks the language (Clark,

1981). Siguan estimates that about 25 per cent

of the 2 million people in the B A C speak Euskara

(Siguan, 1989).

WALES

Welsh belongs to the Brythonic branch of Celtic,

which began to separate into independent lan

guages in the middle of the sixth century. B y

the Middle Welsh period (1150-1400) a stand

ardized language had been developed by bardic

poets and was used by gentry. T h e process of

language shift began with the Act of Union of

England and Wales in 1536, from which time

Welsh was restricted to the family, the c o m m u

nity and religion - primarily amongst the rural

poor. Although Welsh was banned from public

life, translation of the Bible in 1588 guaranteed

the survival of the language. Circulating and

chapel Sunday schools in the eighteenth and

nineteenth centuries, respectively, provided in

struction in the Welsh language but the inferior

status of the language was accepted, even by its

speakers. In the nineteenth century there were

strenuous efforts to eliminate the language, aided

by large-scale immigration and emigration. T h e

1847 Report of the Commissioners says: ' T h e

Welsh language is a vast drawback to Wales,

and a manifold barrier to the moral progress

and commercial prosperity of the people. . . . It

dissevers the people from intercourse which would

greatly advance their civilization, and bars the

access of improving knowledge to their minds. '

B y the end of the century, demands for the use

494 Norma Tarrow

of Welsh began to surface, with the Welsh Lan

guage Act of 1967 ultimately giving English and

Welsh equal validity within Wales. In terms of

numbers of Welsh speakers, at the beginning of

the twentieth century there were 977,400 (al

most 45 per cent according to the 1911 cen

sus). B y 1981 this had dropped to 500,000

( 19 per cent). T h e decision to speak Welsh within

families appears to cut across social class and is

related primarily to the perceived usefulness of

the language (Edwards, 1991).

Thus , all three regions are currently absorbed

in efforts to achieve reverse language shift (RLS),

defined by Fishman (1991, p . 81) as 'an at

tempt on the part of authorities that are recog

nized by the users and supporters of threatened

languages to adopt policies and to engage in

efforts calculated to reverse the cumulative pro

cesses of attrition that would otherwise lead to

their contextually weak language-in-culture be

coming weaker, while its competitor, a strong

language-in-culture, becomes even stronger.'

Status of the indigenous

languages

CATALONIA A N D THE BASQUE A U T O N O M O U S

C O M M U N I T Y

It has been little more than a decade since the

normalization of language and culture in Cata

lonia and the Basque region has been seriously

under way. In that brief period, what has been

accomplished? T h e autonomous languages are

n o w co-official with Castilian in the relevant

regions, a major accomplishment in the light of

modern history. For Siguan (1989), this im

plies that the regional language is the appropri

ate language of the educational system. H e also

points out the following:

T h e laws in both (Spanish) regions state that,

at the end of compulsory education, stu

dents will be able to use both languages

with facility.

If the child's mother tongue is one of the two

official languages, parents have the right

to insist on education in their o w n lan

guage.

Separation into two different education sys

tems has been explicitly rejected.

Teachers are expected to k n o w the official

languages; this has required a gradual ac

quisition of the regional language for m u c h

of the teaching force.

Teacher training has been directed at the goal

of being able to teach in the regional

language.

At university level, the right of members of the

university community to use either of the

two languages has been confirmed.

In analysing the process of normalization, this

observer notes that the presence of Catalan is

increasingly being felt in every aspect of life.

For those familiar with Spanish, Catalan is not

difficult to read, and thus a great deal of printed

matter is disseminated monolingually - in Catalan

only. Understanding and speaking the language

can be accomplished with relative ease - thus

m a n y public events are conducted only in Catalan.

T h e prestige of the language is high, its value in

the society is evident and thus, although there

has been some resistance, for the most part people

are willing to learn and use it, or have their

children learn it as a means of getting ahead.

Mos t Catalans k n o w the language, and its use

as mother tongue has always been high and is

growing, even in the non-Catalan segment of

society. W h a t Woolard (1986) calls the 'poli

tics of persuasion' seems to have paid off. Cata

lonia's goal of having Catalan as the official lan

guage, with Spanish as a complementary second

language, is clear, progress in that direction is

evident and its realization is a reasonable ex

pectation.

T h e Basque situation is quite different and

the language is still quite vulnerable. There has

been success in terms of language spread. M o r e

people k n o w the language but, other than in

heavily Basque-speaking rural areas, its pres

ence is not felt in the shops, on the streets, in

recreational activities, etc. Euskara is a difficult

language to learn and knowledge of Spanish


does not help one to read it. Thus , although

great efforts are m a d e to disseminate informa

tion in Euskara, it is always accompanied by a

translation in Spanish (or, often, in English).

This bilingual situation (while obviously neces

sary) reduces the need to achieve full compe

tency in Euskara. If the Basques are striving for

the same goal as the Catalans - a unilingual

society with bilingual (Spanish) functionalism

- it appears unlikely that this will be accom

plished. If they are willing to work with each

succeeding generation to achieve second-lan

guage competency in Euskara, it seems reason

able that they will be able to ensure the survival

and transmission of their unique and historic

language and culture.

WALES

Assessment of progress in the revitalization of

Welsh language and culture must take into ac

count that, in contrast to Catalonia and the B A C ,

there is no overall national or regional language

policy. Policies of individual local education

authorities range from highly anglicized Gwent ,

which only recently opened its first Welsh-

m e d i u m secondary school, to Dyfed's contro

versial language policy. Five major accomplish

ments include:

• Growth in the number of pupils studying

subjects in Welsh.

• Increase in the number of subjects taught in

Welsh to C S E , O and A levels of second

ary education.

• Setting up of an examination system for Welsh-

language proficiency.

• Production of a range of textbooks and learn

ing materials.

• Setting up of resource centres for support of

Welsh-language instruction (Thomas,

1986).

T h e Education Reform Act (1988) for Eng

land and Wales requires the Secretary of State

for Education to establish the National Cur

riculum by specifying appropriate attainment

targets, programmes of study and assessment

arrangements for each of the foundation sub

jects. Welsh language has been recognized as a

foundation subject and each of the four key

stages of compulsory schooling must offer ei

ther Welsh or Welsh Second Language. Thus

an additional accomplishment is the develop

ment and phased implementation of the N a

tional Curriculum attainment targets, pro

grammes of study and assessment arrangements

for Welsh and Welsh Second Language (Welsh

Office, 1990).

It remains for the yet-to-be-released 1991

census results to indicate whether the decline in

numbers of Welsh speakers (continuing even

to the 1981 census) has been slowed or reversed.

There has been some evidence that, for the first

time, in the under-5 age-group, there has been

an increase in the number of Welsh speakers.

In brief, therefore, although, as noted, their lev

els and type of normalization are different,

Euskara, Catalan and Welsh are no longer on

the 'endangered species list' of minority lan

guages. A s their languages and cultures have

been strengthened, the Basques, the Catalans

and the Welsh have developed a more secure

sense of the 'self - the prerequisite to a positive

concept of the 'other'. T h e Basques and the

Catalans, both minorities in Spain, and the Welsh,

a minority in the United Kingdom, are not and

do not function as minorities within their re

gions. O f the three, Catalonia is by far in the

strongest position and, thus, presumably most

open to responding to the needs of subordinate

groups in the region. T h e first and crucial step

is, of course, the recognition of the existence of

these communities, their linguistic, cultural and

religious differences and their problems in their

adopted lands.

Interculturalism

According to the paradigm, early responses to the needs of subordinate groups tend to take the form of compensatory programmes. These are usually designed to assimilate the child into

496 Norma Tarrow

the majority culture - often by focusing on needed

language skills, and often at the expense of his

or her o w n language and culture. As already

noted, compensatory programmes m a y be seen

as a transition between the ideology of assimila

tion and the next level of accommodation, when

minority language and culture programmes le

gitimize and possibly safeguard the linguistic

and cultural heritage of subordinate groups.

MINORITY POPULATIONS

Gypsies

Estimates of the gypsy population of Catalonia

indicate that there are about 2,000 families c o m

prising 13,000 to 15,000 individuals, of w h o m

about 6,000 are school-age children. Forty per

cent live in the province of Barcelona, with 15 per

cent in Lleida, 20 per cent in Girona and 25 per

cent in Tarragona. Department of Education

policy permits schools to restrict admission of

gypsy children to no more than 5 per cent of

their population. According to the only gypsy

in the European Parliament, access for gypsy

children to normal schools is restricted by the

opposition of school administrators to their ad

mission (Ramirez Heredia, as cited in Capella,

1987).

In the Basque Autonomous Communi ty ,

there seems to have been no interest until re-

cendy in ascertaining the demographics of the

gypsy population. O n the basis of interviews

with a sample of the gypsy population, Grupo

Pass (1987a, 1987e) estimates that there are

approximately 7,000 gypsies in the B A C . Cur

rently three studies (in Álava, Guipúzcoa and

Vizcaya) have received financial support from

the regional government, as they attempt to find

out h o w m a n y reside in the B A C , where they

are and what their needs are. O n e of these has

been carried out by a dedicated group of young

teachers in the Escuela Puente Gitana of

Guipúzcoa. They can account for over 300 chil

dren in forty-eight different schools and esti

mate that there are at least another 100 school-

age children not attending school, according to

reports of such children by sixteen different

schools and nine municipalities (Seminario

Escolarización, 1989).

Although Wales also has a gypsy popula

tion, centred in Merthyr Tydfil, information about

its size and educational provisions has not read

ily been available.

Immigrants from the dominant culture

T h e arrival of more than 2 million non-Catalans

in Catalonia between 1950 and 1975 created

extremely serious problems, ranging from the

erection of shanty towns to meet immediate

housing needs to vastly overstretched educa

tion and health services. Formerly tranquil towns

on the outskirts of Barcelona n o w have

populations in which the vast majority is non-

Catalan, comprising almost half of the total

population of the province. T h e majority of these

people represent a monolingual Castilian work

ing class from the impoverished agricultural

regions of Andalucia. According to Strubell, the

compulsory use of Catalan by authorities was

built up by politicians into a perceived confron

tation between Catalan- and Spanish-speaking

populations - which is precisely what the gov

ernment strived to avoid. 'There being no ra

cial, religious, or other unsurmountable differ

ences between immigrant population and host

population, the Paîsos Catalans are therefore

an open society. T h e cultural differences can,

in time (and in theory) be overcome' (Strubell,

1984, p . 103).

According to García-González (1986), the

same immigration wave (1950-75) brought some

200,000 persons to the Basque region. H e points

out that there has not been a serious global study

of the situation of these immigrants, because of

either a lack of sensitivity or unwillingness to

acknowledge problems. Seventy per cent are

working class, with low-level education and

qualifications. They live in industrial belts, are

subemployed or unemployed, ethnically bifur

cated, socially rejected and subject to ethnocen

tric prejudice, linguistic and cultural difficulties

and social conflict - without any special meas

ures being taken to promote or preserve

Language, intercultur three Eur

ethnocultural pluralism and diversity. Their

children represent 27.5 per cent of the popula

tion (varying according to municipalities). García-

González recommends an in-depth study and

creation of special services for both first- and

second-generation immigrants, as well as pro

grammes to foster comprehension and respect

for different cultures and value systems.

Specific information on the numbers of

English settled in Wales has not been available.

It is evident, however, that the urban, industri

alized areas of all three regions have been heav

ily infiltrated by immigrants from other parts of

the nation. Since these people are speakers of

the dominant language, in each case they have

contributed to the diminution of indigenous lan

guage and culture.

Foreign immigrants

Territorially based minorities in Europe (such

as the Basques and the Welsh) have long been

oppressed by the nation-states in which they

are located. Their response to oppression has

often been one of nationalistic antagonism, which

m a y easily become a chauvinistic parochialism.

However, the fact of the territorial base makes

their position significantly different from those

minorities without one. F e w doubt that they

belong; their feeling of oppression is based on

other factors, principally linguistic, cultural, re

ligious and economic. For the other minorities,

w h o share these oppressions, a further one is

added. This is the widely held view that these

minorities not only do not belong but should

not be in Europe (Jones and Kimberly, 1986,

p . 22).

T h e Basques, the Catalans and the Welsh

have been through a difficult period. N o one,

however, ever doubted that they 'belonged'. This

oppression is, however, the lot of a relatively

n e w group in all three regions. It must be real

ized that, until relatively recently, Spain was

traditionally a country of emigration. In the mid

1970s, however, Spain began experiencing a

fair amount of immigration, primarily from Latin

America, Africa, the Middle East and Portugal.

This was induced by several factors, including

im and human rights: 497 ean cases

the restrictions on immigration by other West

ern European nations, Canada and the United

States; political and economic events; the ces

sation of internal rural-urban migration; and,

until 1985, very loose border controls. Govern

ment statistics for 1986 indicate a foreign resi

dent population of 293,208 - mainly from the

United States and Western European countries.

A different picture is provided by the I O E study

(Caritas Española, 1987), which is the most

complete work on foreign immigrants in Spain,

as well as the work cited by most investigators

in the field. They estimate, on the basis of ex

trapolation of data, that the actual foreign resi

dent population is closer to 720,000, with about

73 per cent (526,000) from Third World coun

tries and at least half of these undocumented

(Bier, 1988). However, neither of these figures

can be accorded credibility, since the research

group responsible for the Caritas study (Colectivo

I O E ) has acknowledged a statistical error which

would lower the estimate of foreign immigrants

to approximately 360,000 (La Serna, 1989).

In July 1985, the L a w on the Rights and

Liberties of Foreigners was implemented in Spain.

While stabilizing the rights of legal immigrants

with permission to work, its effect was also to

reinforce the marginalization and insecurity of

the undocumented immigrants. N o t only are

the data on a national level questionable, but

there are no available data breaking d o w n the

immigrant population by provinces or regions.

Thus , it is difficult to estimate h o w m a n y of

these have found their w a y to Catalonia or the

B A C . In the B A C there do appear to be at least

5,000 Portuguese, an indeterminate number of

gypsies (many also Portuguese), an Arab popu

lation (primarily in Bilbao) and a sizeable Fili

pino community. Catalonia reportedly houses

45,000 Arab Muslim immigrants from North

Africa (primarily Moroccans), Central Africa,

the Middle East and South East Asia (Losada,

1988).

T h e Moroccan immigration dates largely

from the 1960s and was primarily a consequence

of the ending of immigration by the French

government in 1967, economic development in

Spain and the consequent availability of jobs.

498 Norma Tarrow

T h e Middle Eastern (primarily Palestinian, Ira

nian and Iraqi) and Central African immigrants

are m u c h more recent arrivals. T h e immigra

tion of the former (often for political motives)

began in 1968 and until 1972 comprised pri

marily single m e n , with an influx of family groups

starting in 1986 (Caritas Española, 1987; Losada,

1988). T h e most recent immigrant group to

arrive is a colony of black Central Africans

working as agricultural labourers in the Maresme

district. T h e first wave of this group was also

m a d e up of single m e n (immigrating for eco

nomic motives) w h o created little stir. As wives

and young children have begun to appear in

the communities involved, however, there has

been some discriminatory community reaction.

This received a great deal of coverage, being

reported on radio, television and in the press,

with the United Nations Association of Spain

condemning the occurrences in Santa Coloma

de Farners as racist (El Pais, 1989).

Information as to the extent of 'foreign in-

migration'4 to Wales and its character, obtained

from the literature as well as personal interviews,

indicates that most of those concerned with

education believe in-migration virtually ceased

with the onset of industrial decline in the 1960s

and 1970s, are convinced that the children of

those w h o came to Wales at that time are n o w

thoroughly integrated into Welsh society and,

unless directly involved in schools receiving these

children, are unaware of the existence of pock

ets of recent immigrants in need of special as

sistance. Estimates of populations of different

ethnic groups obtained from the Office of Popu

lation and Census Statistics indicate that the

largest numbers of these immigrants to Wales

c o m e from India, Pakistan and Arab nations.

T h e Glamorgan Racial Equality Council

reports an ethnic minority population of about

6 per cent in Cardiff, primarily from the Indian

subcontinent. T h e next highest group are de

scendants of seamen from Arab nations and

China. While this group is a long-established

population with no language needs, racism is

still a significant factor in their education expe

rience. They evidence the highest level of un

employment and the lowest levels of school

achievement. T h e group that does have lan

guage needs includes the more recent Somali

immigrants (Austin, 1992). During an inter

view, D r Austin stated emphatically: 'I a m fully

supportive of Welsh language but wish the L o

cal Education Authorities (LEAs) would sup

port other community languages. There are more

Urdu language speakers in Cardiff than Welsh

language speakers!'

In Gwent , the Racial Equality Council re

ports that 85 per cent of the immigrant popula

tion is Muslim. Since the census merely asked

country of origin, the language needs of m a n y

second generation, non-English-speaking immi

grants w h o indicate the United K i n g d o m as

country of origin have been overlooked by offi

cial census statistics (Mineur, 1992).

EDUCATIONAL POLICIES

Educational responses in the autonomous c o m

munities should (at least in theory) be bound

by international agreements, as well as by na

tional and regional legislation. A s members of

the Council of Europe, the United K i n g d o m

and Spain have a responsibility to carry out the

recommendations and directives of its various

component organizations. For more than two

decades the Council of Europe has pioneered

in the area of intercultural education - first con

cerning itself with the problems of nomads ,

migrants and minority language groups and,

recently (recognizing the significant role of teach

ers), with the training of teachers in the con

tent, processes and perspective of intercultural

education. Box 1 summarizes major recommen

dations and directives in these areas.

In practice, the step between the signing

of these agreements and the implementation of

programmes appropriate for carrying them out

seems to be missing. T h e Spanish Ministry of

Foreign Affairs generally brings agreements with

educational implications to the attention of the

Ministry of Education, where efforts m a y be

m a d e to implement them, to some extent, in

regions directly under their authority. In the

autonomous Basque and Catalan regions, h o w -

Language, interculturalism and h u m a n rights: 499 three European cases

Box 1. International agreements: language and culture of minorities (accommodation level)

1961: Recommendation 285 on the Rights of National Minorities. Adopted by the Consultative Assembly of the

Council of Europe (28 April):

'Persons belonging to a national minority shall not be denied the right, in community with the other

members of their group and as far as compatible with public order, to enjoy their o w n culture, to use

their o w n language, to establish their o w n schools and receive teaching in the language of their choice

or to profess and practise their o w n religion.'

1975: Resolution 13 Containing Recommendations on the Social Situation of Nomads in Europe. Adopted by the

Committee of Ministers (22 May):

' R e c o m m e n d s that all m e m b e r states take measures to implement policies delineated and inform the

Secretary General of the Council of Europe of such actions taken to:

1. Stop any form of discrimination against nomads.

2. Counteract prejudice by giving the settled population better information about the origins, ways

of life, living conditions and aspirations of nomads.

3. Include nomads in the preparation and implementation of measures concerning them.

4 . Safeguard the cultural heritage and identity of nomads.

5. Promote schooling by the most suitable methods designed to integrate children of nomads into

the normal educational system.'

1976: Recommendation of the Council of Ministers of Education of the Council of Europe. Adopted by the

Council of Ministers (9 February):

'With the collaboration of h o m e country, efforts should be m a d e to teach children in their maternal

language and culture.'

1977: Directive of the Council of Europe (legally binding on member states):

' M e m b e r states should take measures, in collaboration with country of origin, to teach language and

culture of that country to children of migrant workers.'

1981: Recommendation 928 on the Educational and Cultural Problems of Minority Languages and Dialects in

Europe. Adopted by the Parliamentary Assembly of the Council of Europe (7 October):

' R e c o m m e n d s gradual adoption of children's mother tongues for their education.'

1983: Resolution on Measures Favouring the Languages of Cultural Minorities. Adopted by the Parliament of

Europe (14 March):

'Calls for measures to protect minority languages.'

/ 988: Resolution 192 on Regional or Minority Languages in Europe. Adopted by the Standing Conference of

local and regional authorities of Europe (16 March):

'Defines minority languages as "languages belonging to the European cultural heritage that are

traditionally spoken within a territory by nations of the state w h o form a group numerically smaller

than the rest of the state's population and different from the language or languages spoken by the

rest of the state's population". Calls for agreement on measures to promote the use of regional or

minority languages in education, public services, media, cultural facilities and activities, economic and

social life. Parties are expected to submit a report every two years to the Secretary General of the

Council of Europe.'

500 Norma Tarrow

ever, there appears to be little awareness of these

agreements on the part of educational adminis

trators and, thus, little or no planned efforts at

developing related curriculum, materials or

necessary teacher training. In Wales, also, there

appears to be little awareness of the terms of

these international agreements, although the

United Kingdom is officially committed to their

implementation.

In terms of national legislation in Spain,

the 1970 L a w of Education (Article 51) left an

open door in respect to creation of special tran

sition schools for marginalized children, and a

number of these were created from 1971 to

1978. In 1978 an agreement was reached be

tween the national Ministry of Education and

Science and the National Gypsy Secretariat for

the creation of such schools (escuelas puente)

and thus a significant number were established

between 1979 and 1981. T h e theory was that

these were to serve as a bridge (puente) over a

one- or two-year period, preparing gypsy chil

dren to enter the regular school system. In prac

tice, this was not the case, as very few children

m a d e the transfer.

O n the national level, in 1983, a Royal

Decree on Compensatory Education provided

the basis for resources directed at compensa

tory education for disadvantaged groups within

the regular school system. With its passage, the

escuelas puente began to be phased out, although

some still exist. B y 1986, 83 per cent of gypsy

children in the Ministry of Education and Sci

ence ( M E C ) territory were in regular schools

(Diaz, 1987). A n d , in the educational territo

ries administered by the autonomous c o m m u

nities, thirty-two escuelas puente disappeared

(Cuadernos de Pedagogía, 1988). B y 1987-88,

the Department of Compensatory Education was

co-ordinating the work of schools in M E C ter

ritory with a budget of 770 million pesetas

(Martinez, 1987). Under the auspices and fi

nancing of the European Community, a study

was undertaken to determine the educational

problems of the Portuguese colony (many of

them gypsies) estimated at 70,000, with 14,000

school-age children. T h e goal is to develop bi

lateral agreements for the education of these

children in their country of residence (in this

instance, Spain) with support from the h o m e

country for classes in h o m e language and cul

ture. Support is also being provided by the

Ministry of Education and Science for c o m

pensatory programmes for gypsy children initi

ated by the autonomous communities.

In the United Kingdom, the policies of the

1970s and 1980s represented a gradual accept

ance of cultural pluralism, culminating in the

Swann Report. Its main recommendations were

disregarded, however, with the move to the right.

Under the new National Curriculum 'the lack

of importance attached to community languages

and the emphasis given to standard written and

spoken English seem likely to operate towards

an uncompromising assimilation of children w h o

are, or could become, bilingual to the dominant

language' (Gundara and Jones, 1991, p . 23).

Lynch (1989) points out that the major prob

lem facing pluralist societies is inadequate ac

commodation of social to cultural systems. S o m e

focus on the language issue, some with a 'trin

kets and tokens' approach and others through

the h u m a n rights dimension. F e w have tried a

co-ordinated global set of initiatives to achieve

systematic and deliberate change towards agreed-

on goals with a national covenant of acceptable

norms and values (as per the international agree

ments). Lynch sees the United Kingdom as

hampered by archaic values and structures, an

outdated Parliament, a system of 'public schools'

(which are not public), exclusive universities, a

socially narrow judiciary, a socially and intellec

tually skewed civil service and fatuous snob

bery, and calls for a national Charter of H u m a n

Rights and Liberties.

As an example of the situation in Wales,

Swansea has at least two schools with recent

immigrants accounting for almost half of the

student population. This rapidly altered char

acter of the school and city has taken place within

the last ten years. Problems of racial prejudice

are bubbling under the surface and, under the

principle of parental choice, m a n y parents have

moved their children to a nearby church school.

There are no efforts being m a d e for c o m m u

nity education. Teachers are having to deal with


m a n y more learning difficulties, behaviour prob

lems and non-English-speaking children, plus

the revolution of the National Curriculum.

A National Foundation for Educational

Research survey indicated the existence of lan

guages other than Welsh and English in Welsh

schools. However, 'none of the responding L E A s

had conducted language surveys of their schools

and awareness of linguistic diversity appeared

low' (Bourne, 1990, p. 177). They concluded

that although the number of immigrants is small,

it is considerably larger than believed, that little

thought has been given to the place of these

other languages, and that none of the Welsh

L E A s claimed to have provided any in-service

training on linguistic diversity or 'on support

ing bilingual pupils' learning in the mainstream

where their stronger languages were other than

Welsh or English' (Bourne, 1990, p. 178).

T h e G w e n t Racial Equality Council has

been seeking equity through the courts on the

basis of the 1976 Race Relations Act (which

has limited impact in the field of education)

and an amendment of a 1936 Public Order, as

well as section 11 of the 1966 Local Govern

ment Act. It is also basing claims on the Euro

pean documents (for example, the Convention

of 1950 and the Directive on Minority Lan

guages of 1977), which, it believes, are not be

ing implemented in the United Kingdom, al

though that country is a signatory to these

agreements (Mineur, 1992).

In his review of the development of

multicultural education, Verne (1987) notes that,

in the early phase, the question is simply one of

integrating minorities into the majority. Often

this takes the form of intensified teaching of the

official language (or languages, in the case of

the autonomous regions) - better k n o w n as

compensatory education. A s the majority be

gins to tolerate or accept the domestic use of

the minorities' o w n language and culture, and

even begins to consider mother-tongue instruc

tion at school and some attention to the minor

ity culture, programmes such as bilingual and

bicultural education or ethnic studies begin to

appear. Both of these represent the a c c o m m o

dation level, and w e next consider h o w pro

grammes in Catalonia, the B A C and Wales adhere

to the sequence within that level proposed by

the model (that is, compensatory-minority lan

guage and culture-multicultural programming).

EDUCATIONAL PROGRAMMES

Catalonia

In terms of compensatory programmes, Cata

lonia took the lead in Spain, in 1982, by creat

ing a special section (Junta de Promoció Educativa

d'Escoles d'Acció Especial) to deal with prob

lems of marginalization of all kinds and, in January

1983, this group presented a report on the edu

cational situation of gypsy children to the Council

of Education of the Generalität, describing the

current status and suggesting that high priority

be given to needed improvements. Since then

there have been attempts to introduce several

programmes at the accommodation level, pro

viding resources and materials related to m i

nority languages and culture. Several projects

supported by the European Communi ty involve

Catalonia. In Barcelona, gypsy groups are par

ticipants in a plan to co-ordinate social services

(Interface, 1992a) and, in Gerona, in a voca

tional training programme (Interface, 1992c).

T h e resources and results of several other E u

ropean Communi ty projects based in Madrid

m a y also affect the lives of gypsies in the au

tonomous regions.

There is, in Catalonia, some recognition of

the need to teach all children about other cul

tures - primarily on the part of people involved

in compensatory education programmes, the

press, etc. This recognition has not, however,

been converted into action, except on the basis

of individual initiative. A group of about ten

faculty from the Education Institute (ICE) and

Department of Anthropology of the Autono

m o u s University of Barcelona have begun to

include workshops about minority cultures in

their reciclatge programmes (in-service) for teach

ers in the field. They have been able to arrange

for released time for teachers w h o have gypsy

children in their classes for a one-day workshop,

502 Norma Tarrow

with the municipality paying for a substitute. In

terms of pre-service programmes, questionnaires

distributed by this investigator to third-year

(graduating) students and interviews with the

Director of the magisterio of the University of

Barcelona indicated that there is nothing in the

present teacher-preparation curriculum to pre

pare future teachers for the reality of teaching in

the multicultural classrooms of this region. In

collaboration with a colleague at this institution,

a pre-service intercultural education model was

developed and presented at a national confer

ence of magisterios (Cueva and Tarrow, 1989).

T h e majority of educators w h o responded to a

questionnaire on the need for intercultural edu

cation (as well as those interviewed) tended to

focus only on the provision of compensatory

programmes to assimilate the immigrants into

Catalan language and culture - rather than ef

forts to help them preserve their o w n languages

and cultures. Although there are several pro

grammes of the latter type being offered, they

are certainly not the norm, but, perhaps, a step

towards an ideology of accommodation.

Basque Autonomous Community

Authorities in the Basque region appear to have been so focused on the problems of their o w n vulnerable language and culture that they have only recently begun to attend to the needs of other minorities. They have just dipped a toe into the waters of compensatory programming with several programmes beginning in September 1989. In some of these cases the government appears to play a reactive role - recognizing the problem and providing some support after the initiative has been taken by non-official agencies or groups. Interviews, questionnaires, examination of curriculum guides, texts, etc. reveal no attempt to teach non-minority children (or educate teachers) about minority cultures. Educational responses in reference to minority groups are still largely based on an assimilation ideology, with some new (compensatory) programmes representing the transition to accommodation. It appears that the next step m a y be a long time in coming.

Wales

T h e major barrier to effective policies is the

widely held belief that there is little representa

tion in Wales of groups other than English, Welsh

and long-standing assimilated ethnic minorities,

and that multicultural policies are not called for

in schools with little minority representation.

W h e n faced with numbers of immigrant chil

dren, the approach appears to be one of pro

viding some form of compensatory program

ming with the aim of rapidly assimilating these

youngsters into the host society. T h e most c o m

m o n technique is for a support teacher to go

into the classroom and work with small groups.

If extra funds are available, the priority seems

to be to hire a home-school worker. School heads

in Swansea indicate that Welsh-medium schools

receive 10 per cent extra in their budgets to

cover the costs of teaching all subjects in Welsh,

while schools with large numbers of minority

children are entitled to no extra funding to deal

with language and cultural differences. Pro

grammes initiated by university faculty working

with these schools deal with the customs and

traditions of various religions. Efforts are also

m a d e to maintain communication with the head

of the local mosque. Individual teachers have

utilized drama, art and writing activities to bring

in the culture of their students.

In Gwen t , community-based mosque

schools in Urdu, Arabic and Bengali are serv

ing about 350 youngsters, whose needs are not

being met by the state system. A recent survey

indicated that forty schools in G w e n t are re

ceiving funds for English as a Second Language

(ESL) programmes, thus confirming the extent

of the language needs of immigrant populations

(Mineur, 1992). In Glamorgan, community lan

guages have no place in the curriculum offered

in the mainstream schools. A n y work done in

this area is done by community groups them

selves and through their o w n resources (Aus

tin, 1992). As for multicultural education, D r

Austin claims that Cardiff is 'extremely back

ward'. There are only one or two schools with a

positive regard for the celebration of diversity. Several projects (supported by the Euro-

Language, intercultur three Eut

pean C o m m u n i t y ) aimed at improving the op

portunities of gypsy children are under way in

the United K i n g d o m and m a y directly or indi

rectly affect the gypsy community of Wales.

These include teacher training (Interface, 1992a),

access to secondary education and vocational

training, and development of intercultural teach

ing materials and distance learning (Interface,

19926). Information packs directed at students

and teachers and parent-teacher networking

programmes are also being implemented (In

terface, 1992c).

In summary , in all three regions the formerly

oppressed subordinate group has, in effect, be

c o m e the dominant group. There has been some

awakening to the needs of the other groups,

and to educational responses that attend to their

cultural, linguistic and religious differences.

Catalonia, from a more secure position in terms

of the recuperation of its o w n language and

culture, has m a d e m o r e progress in this area

and is beginning to develop some programmes

with a multicultural emphasis. T h e B A C is just

entering the transition phase with compensa

tory programming focused primarily on assimi

lation of subordinate groups. In Wales, there

appears to be a need to recognize the existence

of these minority groups before educational plan

ning, policies and practices can meet their needs.

W h a t , then, is being done at the third level -

from a truly intercultural perspective and in the

areas of prejudice reduction, and education for

international understanding, peace and h u m a n

rights?

Human rights

Saunders (1980) describes a situation in which each minority (and majority) will have sufficiently strong feelings of identity not to be intimidated by the proximity of other cultures. This is the premise of an 'interculturation' ideology. At this level, one finds intercultural education and education for peace, h u m a n rights

sm and human rights: 503 iean cases

and international understanding - each of which

tends to overlap the others and has stronger

bases in different societies.

Intercultural education is no longer directed

solely to minority groups but to the community

at large. It builds upon the knowledge and atti

tudes conveyed by multicultural education (the

traditions, languages, values and norms of the

different cultures comprising society) and moves

to the level of interaction and interchange be

tween cultures. In the process it also deals with

such concepts as discrimination and stereotyp

ing, requiring that all members of the c o m m u

nity examine their o w n attitudes, beliefs and

behaviour in relation to other cultures. Included

in the field of intercultural education are such

programmes as prejudice reduction (in the United

States) and anti-racist education (in the United

Kingdom) .

Clearly, then, intercultural education goes

beyond the subject-matter taught to the types

of learning processes used, the structure and

total climate of the school (Buergenthal and

Torney, 1976). It is understood that trust, open

ness and mutual respect must be the accepted

rule between administrators and teachers and

between teachers and students. 'Intercultural

education concerns all children, all teachers, the

whole school community and the whole of school

life, all the subjects taught and all parents and

partners in education . . .' (Rey, 1986, p . 14).

It must imply the denunciation of all one-

sidedness (however sincere); if not, the concept

is effectively invalidated, giving w a y to pater

nalism, ethnocentricity and even racism. Impli

cations for both pre- and in-service training of

teachers were recognized by the Council of

Europe in its Recommendation R (84) 18 (see

B o x 2).

It is important that training should prepare teachers to welcome and understand pupils, families and colleagues from other parts of the world, to respect the diversity of languages, lifestyles, ambitions, behaviour patterns and religions, and to cope with conflicts which break out and overcome them so as to ensure the cultural enrichment of all. Teacher training is the real key to intercultural education. (Rey, 1986, p. 37)

504 Norma Tarrow

H u m a n rights education m a y be defined as the

conscious effort, both through specific content

as well as process, to develop in students an

awareness of their rights (and responsibilities),

to sensitize them to the rights of others, and to

encourage responsible action to secure the rights

of all. For those countries that 'subscribe to in

ternational agreements dedicated to guarantee

ing h u m a n rights and to democratic govern

ment, teaching h u m a n rights is a moral and

legal imperative' (Tarrow, 1988, p. 1). Educa

tion in this field is seen as the best guarantee

and ultimate sanction of h u m a n rights (Ray and

Tarrow, 1987, p . 3).

T h e objectives for education for h u m a n

rights, peace and international understanding

have been anticipating universal acceptance and

implementation probably since the dawn of civi

lization, but certainly since the adoption of

U N E S C O ' s Recommendation Concerning Edu

cation for International Understanding, C o - o p

eration and Peace and Education Relating to

H u m a n Rights and Fundamental Freedoms in

1974 (see B o x 2).

Each of these movements tends to deal with

a broad spectrum of global issues including Third

World development, East-West relations, the

international economic order, the arms trade,

resource depletion, terrorism, regional violence,

environmental issues, hunger and h u m a n rights.

All place an emphasis on educational process

as well as content - encouraging students to

examine their o w n attitudes and values, build

ing a sense of trust, co-operation and openness,

developing multiple perspectives, dealing with

conflict resolution and fostering the active in

volvement of students. A n d all are based on the

premise that this type of education begins not

at the high-school level but in earliest childhood

- pervading both the curriculum and the cli

mate of the schools.

Interestingly enough, although there ap

pears to be very little interest in multicultural or

intercultural education (in all three regions, to

some degree), there does seem to be some in

terest in the fields of international comprehen

sion, h u m a n rights and/or peace education -

although most of the initiative seems to be coming

from outside the formal educational system. T h e

organizations dedicated to Third World issues

are very concerned about the rights of people

in Africa, in the Middle East and in Latin

America, and in getting this concern across to

schoolchildren. They claim no interest, h o w

ever, in the rights of people from Africa, the

Middle East or Latin America w h o are right in

the community and in the schools or in educa

tional programmes dealing with issues raised

by their presence in the community.

In Catalonia there are numerous organiza

tions committed to each of these themes, some

producing or disseminating materials to schools

and some working direcdy with schoolchildren

and/or teachers to raise awareness (and funds)

for developing nations, but they are not adapt

ing these materials to sensitize students and

teachers to the needs of Third World children

in their classes. Although there is feverish activ-

Box 2. International agreements: intercultural and human rights education (interculturation level)

1974: Recommendation Concerning Education for International Understanding, Co-operation and Peace and Education Relating to Human Rights and Fundamental Freedoms; U N E S C O . Adopted by the General Conference (19 November):

'Objectives include: an international dimension at all levels of education, understanding and respect for all peoples, awareness of increasing global interdependence, ability to communicate with others, awareness of duties towards one another, understanding of the necessity for international solidarity and co-operation, readiness to participate in solving community, national, and world problems.

National policy, planning and administration should take the necessary steps to carry out concerted programmes of action from an interdisciplinary, problem-oriented perspective.

Language, interculturalism and h u m a n rights: 505 three European cases

Special attention should be paid to the development of attitudes in preschool and to the preparation

of parents.

Teacher training should include preparation for their role relevant to the objectives, as well as

opportunities for study abroad and international exchanges.'

1978: Resolution (78) 41 on the Teaching of Human Rights. Adopted by the Committee of Ministers

(25 October):

' R e c o m m e n d s that governments of m e m b e r states take whatever measures are appropriate "to ensure

that the teaching of H u m a n Rights and fundamental freedoms is given an appropriate place in

curricula of teaching and training, initial and in-service, at all levels".'

1984: Recommendation No. R (84) 18 on the Training of Teachers in Education for Intercultural Understanding!

Migration; Council of Europe. Adopted by Committee of Ministers (25 September):

'Considering population movements irreversible and generally positive, the presence of millions of

schoolchildren from foreign cultural communities, and the essential role of the teacher, the training of

teachers should equip them to adopt an intercultural approach. R e c o m m e n d s that the governments of

m e m b e r states encourage development of materials to support an intercultural approach, include

preparation for teaching the host language more effectively, and m a k e the intercultural dimension a

feature of initial and in-service teacher training.'

/ 985: Recommendation No. R (85) 7 on Teaching and Learning about Human Rights in Schools; Council of

Europe. Adopted by the Committee of Ministers (14 May):

' R e c o m m e n d s that the governments of m e m b e r states (within the context of their national education

systems and their legislative basis) encourage teaching and learning about h u m a n rights in line with

the following suggestions: —

1. H u m a n rights in the school curriculum

A s part of social and political education involving intercultural and international understanding.

Based on concepts acquired from the earliest ages.

With more abstract concepts introduced in secondary-school subjects such as history, geography,

moral and religious education, language and literature, current affairs and economics.

Using international agreements as a point of reference, with teachers careful to avoid imposing

personal convictions.

2. Skills

Intellectual skills, including written and oral expression, ability to listen and discuss, defend one's

opinions (including those involving judgement - such as using multiple sources, analysis, and

identification of bias, stereotypes, prejudice and discrimination).

Social skills, including recognizing and accepting differences, resolving conflict, taking responsibility,

understanding the means of protection of h u m a n rights at all levels.

3. Knowledge

Including topics such as categories of h u m a n rights, various forms of injustice, people, movements

and key events, international declarations and conventions.

Emphasizing the positive.

Providing opportunities for involvement in h u m a n rights issues and expression of feelings.

4 . Climate of the school

A democratic setting where participation is encouraged, views expressed openly, interactions based

on fairness and justice.

5. Teacher training in the content and processes of h u m a n rights teaching.'

506 Norma Tarrow

ity and publicity surrounding the unification of

Europe in 1993, there is very little emphasis on

this theme in the schools. It is treated in some of

the texts used in upper-grade social studies

classes, and the subject of h u m a n rights does

appear at several places in the social studies

curriculum (depending on which text a teacher

selects). Mos t schools mention h u m a n rights,

but although it is in the official national curricu

lum, very few schools actually do any in-depth

study. At present, approximately twenty schools

in Catalonia belong to the Associated Schools

network, several of which are actively involved

in h u m a n rights issues. A number of curriculum

resources are available (primarily at the second

ary level) but there is a big leap from the

production of materials to their dissemination -

and an even further one to their actual imple

mentation in the classroom. N o n e of the organi

zations has prioritized workshops for teachers

to provide either or both the content knowledge

and/or the didactic skills and methodology that

would allow diem to feel comfortable introduc

ing these diemes in the classroom. T h e majority

of the teachers interviewed were unaware of the

existence of most of these materials. In addition,

one must realize mat teacher training in Spain

prepares future teachers to follow a text rigidly.

There is little or no emphasis on the kinds of

processes inherent in h u m a n rights education -

an open classroom, active co-operative learn

ing, teaching of multiple perspectives, etc. Thus ,

it appears that education in these fields is

limited to a relatively small number of teachers

w h o , due to their o w n personal system of values

and interest, are motivated to search out and

introduce young people to these themes.

In m e somewhat insulated Basque region,

education for international comprehension has

not been as significant as it is in other parts of

the world. A number of organizations outside

m e formal educational system are the 'movers'

in the fields of h u m a n rights and peace educa

tion. T h e Association for H u m a n Rights of

Euskadi, Gernika Gogoratuz (Remember

Guernica), the educational resource centre of

Irun and Educators for Peace are some of the

major groups. T h e Basque government tends

to subsidize m a n y such activities. S o m e m u

nicipal governments have also supported par

ticular programmes.

As party to the National Curriculum, teachers

in Wales will be able to compensate for its na

tionalist tone and introduce themes of interna

tional co-operation, peace and h u m a n rights within

the context of cross-curricular themes. Devel

opment Education Centres, the Early Years

Trainers Anti-Racist Network, the H u m a n Rights

Education Network and major conferences pro

moted by the National Children's Bureau and

the Commonweal th Institute all appear to be

continuing the work begun before implementa

tion of the National Curriculum;. T h e participa

tion of educators from Wales in mese activities

needs to be encouraged. T h e Curriculum Council

of Wales has produced a resource guide for

teachers on the theme of 'Communi ty Under

standing'. It is aimed at fostering active citizen

ship and understanding of h u m a n rights with a

focus on conflict resolution, appreciation of cul

tural diversity and equity in the distribution of

resources. T h e National Curriculum Council

has produced material on 'Education for Citi

zenship' and the Northern Ireland Council for

Educational Development has produced a guide

on 'Education for Mutual Understanding' - all

of which are also available to teachers in Wales.

Troyna and Hatcher (1991) optimistically note

that the National Curriculum contains statements

endorsing multicultural education and racial

equality and mat there is still space for teachers

to continue to develop anti-racist work. They

caution, however, that mese themes appear to

be 'afterthoughts', that there m a y be a resulting

innovation overload on teachers and that the

precedence of parental choice over the statutory

duty of L E A s and their schools not to discrimi

nate can lead to a white flight backlash.

Conclusion

This article has provided examples of present

policies and practices in Catalonia, the Basque

Autonomous Communi ty and Wales in refer-


ence to a tri-level model of intercultural educa

tion. In analysing progress through the devel

opmental stages of the model, w e have taken

into account the unique characteristics of these

three cultures - which have, in a relatively short

period of time, been transformed from oppressed

subordinate groups within the nation to their

somewhat ambiguous status as perceived domi

nant groups in their respective regions. Follow

ing a lengthy period of linguistic and cultural

repression based on an assimilation ideology,

each has instituted assertive policies to recoup

its o w n language and cultural heritage. Legisla

tion, educational programmes, teacher prepa

ration and curriculum materials have been uti

lized in implementing these policies, within the

parameters imposed by national legislation and

directives. Evaluation studies have been utilized

to justify intensification of efforts in these ar

eas. It is clear that there has not been unani

m o u s approval of language normalization pro

grammes in any of the three regions, although

protests have not escalated and there is an ap

preciable change in attitude on the part of Cas-

tilian-speaking residents, particularly in Catalo

nia, and English-speaking residents in Wales.

T h e difference in the linguistic situation in Cata

lonia, the B A C and Wales can be traced to a

number of historical, socio-economic, geographic

and political factors, in addition to the charac

teristics of the three languages. It is not simply

a situation of the Catalans being 'ahead' of the

Basques and the Welsh. It appears that Catalo

nia can reasonably expect to reach its goal of

Catalan as the official language of the schools

and society, with Spanish as a second language

linking it to the rest of the nation and the out

side world. T h e Basques m a y need to establish

functional bilingualism in a bilingual society as

their ultimate goal. Without widespread mother-

tongue usage, this would m e a n repeating the

normalization process with each generation. T h e

Welsh emphasis on language shift through pro

grammes aimed at young mothers and preschool

children and strong support of Welsh youth

groups and cultural activities, as well as Welsh-

m e d i u m instruction at all levels, m a y ultimately

result in a bilingual society.

A s for the languages and cultures of sub

ordinate or minority groups in Catalonia, the

Basque region and Wales, relatively little has

been done on an official basis. It m a y be a case

of short memories, insensitivity, 'pecking order'

or insecurity and defensiveness in regard to their

o w n language and culture, but whatever the

reason, the same assimilation ideology previ

ously employed by the central government (and

so odious to all three societies) has been pur

sued in relation to other cultural groups. C o m

pensatory programmes tend to afford a feeling

of self-righteousness, of 'doing something' for

'them', but the ultimate goal is usually assimila

tion into the dominant culture. Legitimation of

other cultures and languages is in its infancy in

Catalonia and has yet to be conceived in the

Basque region and Wales. Multicultural and

intercultural education appear to be non-exist

ent in all three. National legislation guided by

fears of being ' swamped ' by immigrants is as

difficult to reconcile with interculturalism as is

regional policy that permits public schools to

refuse admittance to citizens w h o are members

of particular minority groups. Lynch eloquently

presents a rather pessimistic view:

As long as the task is seen as the socialization of immigrants - or even ethnic minorities - to the dominant culture, and the perpetuation of an inherently unequal social hierarchy, the prospects for the development of an appropriate multicultural and intercultural education addressed to issues of educational equality in a culturally diverse society, desirous of the h u m a n rights of individuals and groups, committed to freedom from discrimination, and recognizing the issues of power and access to rewards and resources involved, remain relatively bleak. (Lynch, 1986, p. 148)

Yet, in all three regions there is some attention to programmes concerned with h u m a n rights, peace, development issues, etc. These are far more prevalent in Catalonia than in the B A C or Wales. Again, this m a y be understood in terms of the very different backgrounds of these three regions - Catalonia is further along and more secure in restoring its o w n language and culture than the Basque region or Wales. But it is also

508 Norma Tarrow

m u c h easier to deal with and be charitable to

Africans and Asians 'out there' than it is to deal

with and extend equality to African and Asian

immigrants 'right here'. T o do so would m e a n

opening one's o w n culture to change resulting

from interaction and reciprocity. It would re

quire viewing such change as an enrichment

rather than a problem and a willingness to make

structural changes assuring equality of access

and opportunity and shared power.

T h e international agreements and recom

mendations cited are standard-setting. They were

not intended as a description of what exists, but

rather as goals to be reached. T o reach them

requires taking the ideas they express m u c h more

seriously than appears to be the case at present;

using them as a basis for educational programmes

and policies; capitalizing on some of the out

standing programmes already in existence to

serve as training models; and assuring a signifi

cant place in pre- and in-service teacher educa

tion for current and future teachers to examine

their o w n beliefs and attitudes, build their o w n

knowledge about other cultures, and provide

opportunities for them to have the practical

experiences that will permit them to advance

from policies and practices based on assimila

tion or accommodation models to the interac

tion and interchange implicit at the level of

interculturation. •

Notes

1. Lynch (1986) reviews a number of these paradigms. 2. T h e words 'dominant' and 'subordinate' are used,

rather than 'majority' and 'minority', as it is access to power, rather than number of people, that is the relevant factor.

3. Watson (1979) uses the terms 'assimilation', 'adjustment' and 'integration'. Banks (1988) uses 'acculturation' for the third category. However, 'acculturation', in some societies, means just the opposite of what is intended here - the socializing of an individual into the norms and values of the dominant group rather than the process of interchange and

enrichment of each culture by the other. Thus, the term 'interculturation' is used in this article to refer to the interaction between members of dominant and subordinate groups.

4. A term considered more appropriate by the Welsh authorities in reference to people from other parts of the United Kingdom.

References

A U S T I N , R . 1992. Glamorgan Racial Equality Council, personal interview.

B A N K S , J. 1988. Multiethnic Education. Newton, Mass. , Allyn & Bacon.

BIER, A . G . 1988. Mass Media and the Foreign I m m i grant in Spain. Unpublished manuscript.

B O U R N E , J. 1990. Moving into the Mainstream. Windsor, National Foundation for Educational Research ( N F E R ) / Nelson.

B U E R G E N T H A L , T . ; T O R N E Y , J. 1976. International Hu

man Rights and International Education. Washington, D . C . , United States National Commission for U N E S C O .

B U L L I V A N T , B . 1981. The Pluralist Dilemma in Education. North Sydney, Allen & Unwin .

C A P E L L A , D . 1987. Nuevo golpe a la integración en Cataluña. El País, 29 September, p. 3.

C A R I T A S E S P A Ñ O L A . 1987. Los inmigrantes en España. (Documentación social: revista de estudios sociales y de sociología aplicada, N o . 66.)

C L A R K , R . P. 1981. Language and Politics in Spain's Basque Provinces. Western European Politics, p. 85-103.

C U A D E R N O S D E P E D A G O G Í A . 1988. 'Enseñanza con gitanos'

(special number), N o . 156, pp. 87-97. C U E V A , M . J.; T A R R O W , N . B . 1989. Una propuesta para

incluir educación intercultural en la formación del profesorado de E G B . Paper presented at the Fourth National Conference of Magisterios, Soria, Spain, M a y 1989.

D Í A Z , C . 1987. Las minorías. El Pais, 29 September, p. 1.

E D W A R D S , V . 1991. The Welsh Speech Community. In: S. Alladinea and V . Edwards (eds.), Multilingualism in the British Isles: The Older Mother Tongues and Europe. London, Longman .

E L PAÍS. 1989. Condena al racismo. 31 January, p. 19. F I S H M A N , J. 1991. Reversing Language Shift. Clevedon,

Multilingual Matters. G A R C Í A - G O N Z A L E Z , J. A . 1986. Inmigración e integración.

In: Department of Labour, Sanitation and Social Security, Psicosociologia del adolescente Vasco. Vitoria,

Language, interculturalis: three Europe

Central Publications Service of the Basque Government.

G R U P O P A S S . 1987a. La comunidad gitana de Donostialdea. Orinoco Artes Gráficas.

. 19876. La comunidad gitana del gran Bilbao. Orinoco Artes Gráficas.

G U N D A R A , J.; J O N E S , C . 1991. Nation States, Diversity and Interculturalism: Issues for British Education. In: M . Alladin and K . Bacchus (eds.), Education, Politics and State in Multicultural Societies. Needham Heights, Ginn Press.

I N T E R F A C E . 1992a. N o . 4 . Clichy (France), Gypsy R e search Centre, Université René Descartes.

. 19926. N o . 5. Clichy (France), Gypsy Research Centre, Université René Descartes.

. 1992c. N o . 6. Clichy (France), Gypsy Research Centre, Université René Descartes.

J O N E S C ; K I M B E R L Y , K . 1986. Intercultural Education: Concept, Context, Curriculum Practice. Strasbourg, Council of Europe.

L A S E R N A , J. 1989. Muchos menos 'ilegales'. El Pais, 12 March.

L O S A D A , T . 1988. La inmigración árabo-musulmana en los últimos veinte años. Paper presented at the Arab-Catalan Congress on Immigration, Barcelona, September 1988.

L Y N C H , J. 1986. Multicultural Education Approaches and Paradigms. Nottingham, University of Nottingham School of Education.

. 1989. Cultural Pluralism, Structural Pluralism and the United Kingdom. Paper presented at joint seminar of the Commission for Racial Equality and the Runnymede Trust, 9 October 1989.

M A R T I N E Z , C . 1987. El papel del intelectual gitan. El País, 29 September, p . 3.

M I N E U R , J. 1992. Gwent Racial Equality Council, personal interview.

R A Y , D . ; T A R R O W , N . 1987. H u m a n Rights and Education: A n Overview. In: N . B . Tarrow (ed.), Human Rights and Education, pp. 3-16. Oxford, Pergamon.

R E Y . , M . 1986. Training Teachers in Intercultural Education. Strasbourg, Council of Europe.

S A U N D E R S , M . 1980. The School Curriculum for Ethnic Minority Pupils: A Contribution to a Debate. International Review of Education, N o . 26, pp. 31-47.

S C H O O L S C O U N C I L . 1982. Multicultural Education. London, Schools Council.

S E M I N A R I O E S C O I . A R I Z A C I Ó N . ,1989. Situación y

problemática de la escolarización de niños/as de la minoría étnica gitana de Guipúzcoa. Unpublished manuscript.

S I G U A N , M . 1989. Lenguas y educación en el ámbito del Estado Español. Paper presented at the First Congress of the Basque Public Schools, Bilbao.

S T R U B E L L , M . 1984. Language and Identity in Catalonia. International Journal of the Sociology of Language, N o . 47, pp. 91-104.

and h u m a n rights: 509 i cases

T A R R O W , N . B . 1988. The Autonomous Basque C o m munity of Spain: Language, Culture and Education. In: C . Brock and W . Tulasiewicz (eds.), Cultural Identity and Educational Policy, pp. 244-70. London, Croom Helm.

T H O M A S , B . 1986. Schools in Ethnic Minorities: Wales. Multilingual and Multicultural Development, Vol. 7, Nos . 2 and 3, pp. 169-86.

T R O Y N A , B . ; H A T C H E R , R . 1991. British Schools for

British Citizens? Oxford Review of Education, Vol. 17, N o . 3, pp. 301-16.

V E R N E , E . 1987. Multicultural Education Policies: A Critical Analysis. In: Centre for Educational Research and Innovation (ed.), Multicultural Education, pp. 2 6 -63. Paris, Organization for Economic Co-operation and Development.

W A T S O N , K . 1979. Educational Policies in Multicultural Societies. Comparative Education, Vol. 15, N o . 1, pp. 17-31.

W E L S H O F F I C E . 1990. Welsh in the National Curriculum. Cardiff, Welsh Office.

. 1991. Statistics of Education in Wales. Cardiff, Welsh Office. (Schools, N o . 5.)

W O O L A R D , K . 1986. The Politics of Language Status Planning: 'Normalization' in Catalonia. In: N . S. Schweda-Nicholson (ed.), Languages in the International Perspective, pp. 91-104. Norwood, N.J., Ablex.

Alternatives in formal education

Colombia's Escuela Nueva

programme

Rosa María Torres

T h e Escuela N u e v a ( E N ) or N e w School pro

g r a m m e of Colombia has become a standard

reference in the educational publications of in

ternational organizations. A m o n g the main or

ganizations, U N E S C O , the World Bank and

U N I C E F have lent their support to the pro

g r a m m e , promoting it and recommending it as

a model experiment. U N E S C O has described

it as 'an experience of unquestionable interna

tional value', while the World Bank has stated

that the lessons to be drawn from it deserve to

be widely disseminated a m o n g educational plan

ners and policy-makers in the developing world.

Study and observer missions have travelled to

Colombia to find out more about it. Several

countries are interested in replicating it, both in

and outside the region.1

W h a t is it that makes E N so special? Broadly

speaking: the very fact that E N is an innovation

and an alternative within the formal education

Rosa Maria Torres (Ecuador). Teacher, linguist and educational journalist. Researcher, adviser on various programmes and author of numerous publications on education. Director of Research at the Instituto Fronesis in Quito. Currently working as an educational adviser for UNICEF, New York.

system; the long period over which it has evolved

and matured; the systematic approach adopted;

the emphasis placed on the curriculum and teach

ing component as the linchpin of the whole

system; and the tangible results that the pro

g r a m m e is producing. W e shall go on to exam

ine these five points, including both their strengths

and weaknesses, and conclude with some con

siderations about the programme's potential for

replication in other contexts.

Escuela Nueva: an alternative

within formal education

It is often thought - even in Latin America it

self - that E N is a non-formal education pro

g ramme or even a non-governmental programme,

like other programmes singled out by interna

tional organizations as successful models of basic

education (such as the B R A C rural primary

education programme in Bangladesh). But E N

is neither of these. Perhaps its greatest merit

and most promising aspect is that it is not, in

fact, an alternative to formal or state education

¡'raspeas, Vol. XXII, I, N o . 4 , 1992 (84)

Alternatives in formal education: Colombia's Escuela Nueva programme

511

but an alternative within the formal and public

education system.

In education, there is a tendency to see

non-formal education as 'alternative'. It is thought

to have a number of virtues in contrast to the

perceived flaws in formal education. This has

given rise to the well-known list of opposites:

inflexible/flexible, vertical/horizontal, monologue/

dialogue, irrelevant/relevant, uncritical/critical,

authoritarian/participatory, divorced from real

ity/rooted in real life, set apart from the c o m

munity/integrated with the community, etc.

Formal education, nowadays impugned

throughout the world for its poor quality and

inefficiency, is considered by m a n y to have had

its day, while non-formal education is thriving,

expanding and becoming increasingly diversi

fied. Neither, however, has a monopoly of

merits or flaws. Within formal education there

have been significant changes. Colombia's

Escuela Nueva is one indication, among others,

that such change is possible, and that there are

alternatives not only to formal education but

within it.

Escuela Nueva:

from local project to national

policy

'Pilot projects' have lost their credibility, since

so m a n y so-called 'pilot' projects have failed to

be anything more than local experiments that

began and ended without achieving the ex

pected wider extension or impact. Meanwhile,

there has been a proliferation of one-off, m a s

sive-scale programmes or programmes that have

rushed ahead without going through a testing,

maturing and development process. F r o m this

point of view, E N has proved an exceptional

experience. That it has risen from the ranks of

micro experiment to a feature of national edu

cation policy is one of its outstanding merits

and one of the major reasons for its popularity.

T h e beginnings of E N date back to the

early 1960s, with the introduction of the Uni

tary School system, promoted at the time by

U N E S C O and adopted in several Latin Ameri

can and Third World countries. T h e first Uni

tary Rural School in Colombia was set up in

Pamplona in the department (administrative

district) of Santander. T h e teacher in charge of

the school at the time was to be the E N N a

tional Co-ordinator. B y the mid 1960s, the small

school had blossomed out into 150 pilot schools.

In 1967, the Colombian Government decided

to extend the Unitary School methodology to

all the single-teacher schools in the country.

In 1975, the Escuela Nueva programme

was founded on the basis of this experience.

Between 1975 and 1978, with the support of

the Agency for International Development

( U S A I D ) , the E N programme was implemented

in 500 schools in three departments. Between

1982 and 1986 the programme expanded to

the Pacific Coast. In 1985, by which time there

were 8,000 E N schools across the country, the

Colombian Government decided to adopt E N

as a strategy to achieve universal rural primary

education. A period of rapid expansion ensued

from 1987 onwards, with the introduction of

the programme in 17,984 schools by 1989. In

1991, some 20,000 of the 27,000 rural schools

in the country were involved in the programme,

with an estimated coverage of one million chil

dren, the goal for 1992 being 28,000 schools. It

has thus taken some two decades, following at

least one decade of experience accumulated

beforehand, to complete the process that has

built up that initial local project into the present

nationwide, internationally recognized pro

gramme.

Escuela Nueva: a system approach

E N is not - as is often thought - a methodology. It is an integrated system combining four c o m ponents: curriculum, training, administration and

512 Rosa María Torres

community. N o n e of these components stands

on its o w n . Their interrelationship is what makes

the model both coherent and feasible.

THE CURRICULUM COMPONENT

Considerable emphasis is placed on curriculum-

related issues in the E N programme. K e y fea

tures are the active method employed, the learning

materials k n o w n as 'learning guides', the work

or study corners, the school library, the school

or student government and flexible promotion.

T h e E N curriculum is geared to rural ar

eas and to multigrade teaching. O n e or two teach

ers are in charge of all grades in primary educa

tion, which in Colombia lasts for five years. T h e

children study in small groups using the guides,

supplied by the state free of charge. T h e guides

are divided by subject-matter (mathematics,

natural science, social studies and language) and

by grade (from the second to the fifth grade,

there being no guides for the first grade). They

are designed for self-instruction, with graded

activities and exercises and detailed instructions

about h o w to do them, so that the pupils can

work to a large extent on their o w n , helping one

another. T h e aim is to save time and to place

less of a burden on the teacher, to lessen the

need for highly qualified teaching staff and to

enable pupils to progress at their o w n pace.

Teachers are trained to adapt the content of the

guides to the specific characteristics of the chil

dren and the local environment, and also to the

community's needs and parents' expectations.

T h e work corners are arranged by field of

study and comprise objects collected or m a d e

by the children themselves or provided by the

parents and the community.

Each school has a small library, which is

central to the learning process and is part of a

strategy to encourage reading in the children,

the teacher and the community. T h e libraries

n o w have a stock of about seventy books, in

cluding reference books by subject, more gen

eral reference works (encyclopedias, dictionar

ies, atlases), works of literature and collections

of books on community-related topics.

E N attaches great importance to the school

government, a student council responsible for

organizing the children's school activities, its

purpose being to involve the children as respon

sible partners in school management, initiate

them in civic and democratic behaviour, and

foster attitudes of co-operation, comradeship

and solidarity as well as developing their poten

tial for leadership, decision-making, public speak

ing, teamwork and so on. T h e school govern

ment, comprising a President, Vice-President,

Secretary, Committee Leaders and Assistants

for each grade, is elected by the pupils accord

ing to strictly democratic procedures, and is

renewed periodically to enable different chil

dren to gain experience of leadership.

Assessment and grade promotion differ

substantially from the conventional school sys

tem. Assessment is part of the learning process,

its main function being to m a k e teachers and

pupils aware of areas needing reinforcement.

Promotion to successive objectives or grades is

flexible, not automatic. Each child is moved on

to the next grade w h e n he or she achieves the

educational objectives set, which can take more

(or less) time than a normal academic year. This

means that it is the school that fits in with the

timetable and needs of the children and their

families, and not the reverse. A n y children tem

porarily absent from school can resume their

studies without having to drop out.

T h e actual learning environment extends

beyond the classroom. E N schools have a veg

etable patch and a garden, and sports grounds

and community facilities form part of the wider

school environment. T h e interior design pro

vides adequate space for the work corners, li

brary, kitchen, dining-room and washroom fa

cilities. Teachers are often housed on the school

premises. T h e natural environment is the main

object of study and provides most of the re

sources for teaching and learning.

TEACHER TRAINING

In the E N approach, teachers begin to work as

facilitators in relation to their pupils - guiding,


513

directing and evaluating learning - and as c o m

munity leaders and organizers. Both roles in

volve major changes of attitude. For this rea

son, changes of attitude-pedagogical and social -

play a key part in E N teacher training.

Initial training (for n e w teachers) is pro

vided through three sequentially designed work

shops, each of one week's duration: initiation,

methodology and organization and use of the

library. After the first and the second work

shops there is a six-month and a three-month

interval, respectively, to give teachers time to

put what they have learnt into practice in their

schools. Attendance at the first workshop is a

prerequisite for inclusion of the school in the

E N programme and for a teacher to start work

ing with it. A basic E N principle is to repro

duce in teacher training not only educational

content but also methods and real-life situa

tions that the teachers themselves will encoun

ter in their classrooms and in their relations with

their pupils.

In-service training takes place through what

are known as 'Rural Micro-Centres', where teach

ers can exchange, update and upgrade their

knowledge and experience on an ongoing basis;

they are organized on the initiative of the teach

ers themselves and operate with groups of ten

to fifteen teachers from neighbouring areas.

THE ADMINISTRATIVE COMPONENT

T h e administrative component is the part that

has received least attention in current literature

produced by and concerning E N . It is obvi

ously a crucial and complex area, involving

political and institutional factors that go beyond

strictly administrative considerations.

Administration 'has more to do with giv

ing direction than with controlling' (Ministry of

Educat ion-UNICEF, 1990), which means that

administrative officials, too, have to familiarize

themselves with the programme's objectives and

components, and especially with its pedagogi

cal aspects.

E N is designed as a decentralized pro

g r a m m e . At the centre of the structure, a co

ordinator and a small team (of ten persons in

1991, most of them involved with E N in lead

ership positions since its inception) are respon

sible for co-ordinating and designing policies

and technical strategies, and evaluating pro

g r a m m e implementation. At the departmental

level, the structure comprises a representative

committee, a co-ordinator and a team of multi

plier agents. F r o m 1987 onwards - w h e n the

Plan for the Universalization of Rural Primary

Education was launched and the E N expansion

process began - a series of changes were intro

duced in the administrative structure, with e m

phasis on decentralization as a strategy. T w o

n e w structures were established - a committee

on universalization at the national and depart

mental levels, and the educational units - for

purposes of decentralization and institutional

support (Ministry of Education-UNICEF, 1990).

THE SCHOOL-COMMUNITY RELATIONSHIP

T h e E N school is expected to operate as an

information centre and focal point for c o m m u

nity integration. T h e school-community rela

tionship is basically one of mutual benefit, with

parents and the community joining in school

activities, and the school promoting activities to

foster local development and improve the qual

ity of life of the population.

In order to enable teachers to gain a better

understanding of the community and local con

ditions E N recommends the use of a series of

tools: the family record (information about the

families connected with the school), the agri

cultural calendar (information about the agri

cultural activities of the area and the correspond

ing seasons), the neighbourhood m a p and the

district monograph, all of them designed with

the participation of the children, their parents

and the community. Under the teacher's guid

ance, all these tools are key resources for the

planning of educational activities.

There are various ways in which E N at

tempts to involve parents in their children's learn

ing activities and stimulate the children's inter

est in learning more about their parents and


their lives. T h e library, the school premises and

the cultural and recreational activities are al

ways open to community participation. Achieve

ment Days - days w h e n academic results are

announced and the school government reports

on its activities - are used as an opportunity for

sharing school and community activities.

Demonstration Schools, organized and lo

cated in each department in which the programme

operates, are a full-scale E N institution. They

are schools in which these four components can

be 'seen' to be working in exemplary condi

tions. For this reason, a visit to a Demonstra

tion School is a key element in the strategy of

teacher motivation and training.

Escuela Nueva:

a pedagogical innovation

Educational innovations often give prominence

to organizational features and neglect the peda

gogical aspects. M a n y innovative experiences

of national and international renown are recog

nized as such for the changes they introduce in

administrative management, planning and evalu

ation, n e w services provided, infrastructure,

spatial organization and the introduction of n e w

curriculum content. Yet teaching and learning

methods, the cornerstone of any educational

change, are often overlooked. T h e central role

of pedagogical innovation in the programme is

one of E N ' s most remarkable features.

E N has drawn on and combined various

features of progressive educational theory and

practice, basing its programme on the philoso

phy of the Unitary School (itself derived from

the Active School), some of whose principles

were the preservation of the complete primary

school approach through multigrade teaching,

individualized instruction enabling pupils to

advance at their o w n pace, active learning, edu

cational materials designed to enable the teacher

to work with several groups at once, and auto

matic promotion.

E N ' s methodology focuses on learning by

doing, linking theory and practice, individual

and group work, study and play, guidance and

self-instruction. T h e learning activities develop

in children an ability to think for themselves,

and to analyse, investigate and apply what they

have learnt. T h e study corners, the library, work

in small groups, the use of self-instructional

materials, the student government, the teacher-

training workshops and the rural micro centres

have all been designed to foster active learning,

not only by the pupils but also by the teachers.

T h e conventional duties of the teacher-instruc

tor are shared out a m o n g the learning guides

(contents and methods), the library (an addi

tional reference source), the study corners (ob

servation and experiment areas), the group of

pupils (who work together and help one an

other) and the school government (where pu

pils learn for themselves the values and atti

tudes for democratic life in society).

In teacher training, pride of place is given

to teaching methods and to motivation and the

capacity to innovate. T h e micro centres are de

signed in effect to meet criteria considered cru

cial to any teacher-training strategy - the need

for continuing and in-service training, based on

contact and teamwork among teachers, the pool

ing of experience and critical analysis by teach

ers of their o w n teaching practices.

E N ' s slogan, ' M o r e and better primary

education for children in rural areas', sums up

this attempt to reconcile quantity with quality.

It is a matter not just of providing children in

rural areas with greater access to education, but

of offering them a better education. T h e en

deavour to depart from conventional teaching/

learning practice - top-down, authoritarian, rote

and passive learning - and the attainment of

higher levels of achievement than in conven

tional schools have been crucial, constant ele

ments in E N ' s development.


515

Escuela Nueva:

a programme that gets results

In the final analysis, the merits of a programme

are assessed not on its philosophy or stated

objectives, but on its results.

Recent evaluations (Psacharopoulos et al.,

1992) have found that E N pupils have higher

achievement scores than their counterparts in

conventional rural schools (except in fifth-grade

mathematics), as well as significant achievements

in terms of self-esteem, creativity and civic be

haviour such as a sense of co-operation, respon

sibility and solidarity. E N has increased c o m

munity participation in school-related activities

and has reduced the probable drop-out rate

a m o n g children completing the fifth grade

(though not the third grade). Another study

(Rojas and Castillo, 1988) found that E N has

had a significant impact on adult education,

agricultural extension, athletic competitions,

health campaigns and community celebrations.

E N has changed the face of rural educa

tion in Colombia. It is proving that it is possible

not only to take schooling into rural areas and

substantially improve its quality, but also to design

an educational model specifically tailored to the

rural context, without forfeiting quality and ef

ficiency. Moreover, E N seems to be showing

that the traditional disadvantages of rural areas

can be perceived and turned to account as positive

factors - ample space, contact with nature, natural

resources, linkages with the community, the

central role played by the school and the teacher

in community life, the climate of co-operation

to which the multigrade school lends itself, the

particular pace of rural life, etc.

Weaknesses of Escuela Nueva

A s in the case of other internationally acclaimed innovative experiences, there is a tendency to present E N as a problem-free venture, or at

any rate to minimize any problems there might

be. Recognizing contradictions and weaknesses

seems to be viewed as being inconsistent with

'success'. In fact, there is nothing to be gained

from idealizing these programmes, either for

the programmes themselves - which, on the

contrary, lose their credibility - or for those hoping

to draw inspiration from them as a model to be

followed. It is a well-known fact that there are

always considerable discrepancies between a

model and its implementation. It is to the credit

of E N and its co-ordinating team that they are

always willing to acknowledge such discrepan

cies and are constantly at pains to identify and

remedy them.

A study trip to see E N operating in the

field in 1991 gave m e first-hand experience of

the magnitude of both the programme's strengths

and its weaknesses (Torres, 1991). So far I have

referred to the former; I shall n o w review the

latter.

There is r o o m for improvement in all the

components and elements described. T h e pro

gramme ' s co-ordinating team itself is not satis

fied with the guides, the teacher training, the

school government and the school-community

relationship. T h e guides require thorough revi

sion (three revisions have been carried out to

date) as regards both content and methods, es

pecially in mathematics and grammar . M a n y of

the contents and activities do not appear to be

geared to the actual circumstances and needs of

a rural child. Furthermore, not m a n y teachers

have been making use of the adaptation m e c h a

nism built into the guides, highly thought-pro

voking and interesting though it is. There is still

some w a y to go in terms of instructional design,

which is still too formal and inflexible for the

requirements of do-it-yourself learning mate

rials such as these.

There are still shortcomings in teacher train

ing as regards both coverage and quality. T h e

rural micro centre strategy is not yet fully u n

derstood or established in all areas. School gov

ernments are not always set up or, where they

are, not always as planned. A n unduly control

ling or paternalistic approach by teachers and

adherence to form and ritual - so deeply in-


grained in the classroom culture - often prevail,

thus defeating the objective of school govern

ment. T h e active stimulation of the school-com

munity relationship depends to a great extent

on the teachers, and to that extent their charac

teristics, training and personal motivation de

termine the quality of that relationship, which

in fact often replicates the familiar models of

the conventional school.

T h e teaching of reading and writing - ba

sic skills and the factor which largely determines

the children's academic future - is still one of

E N ' s main shortcomings in terms of curricu

lum and pedagogy. T h e guides, as has been

said, are designed for use from the second grade

onwards, leaving teachers free to choose the lit

eracy methods and techniques they deem most

appropriate.2 This is clearly an open invitation

to a conventional teaching approach and to the

outdated methods that prevail in this field. O n e

of the major challenges facing E N is to come

forward with new ideas for the teaching of reading

and writing, drawing on knowledge and experi

ence gained in the region in recent years.

T h e n e w teacher-pupil relationship pro

posed by E N has yet to be completely accepted

and applied by all teachers. While there are some

teachers w h o have fully grasped their new teaching

role, there are others of the old school w h o con

tinue to apply the frontal teaching approaches,

demonstrating in fact that it is possible for a

progressive educational philosophy to coexist

alongside conservative, outmoded educational

practice. In such cases, E N principles and strat

egies (active teaching methods, student govern

ment, flexible promotion, etc.) are accepted in

theory while the teaching practices questioned

by these principles and strategies m a y be kept

intact. In other words, w e can see precisely w h y

E N has survived and continued to exist and

even to progress, but also h o w it can get bogged

d o w n and grow stale and bureaucratized, drained

of its substance and innovative force.

E N requires its teachers and its schools to

perform two main functions: a teaching func

tion and a community function. It is certainly

not easy to strike a balance between the two,

and what seems to be happening is that the

Demonstration Schools are placing more e m

phasis on the community role than on teaching.

In fact, what the Demonstration Schools should

show is that it is possible both to provide edu

cation efficiently without forfeiting its c o m m u

nity and social base, and to establish a close

school-community relationship without forfeit

ing the quality of the teaching process. T h e y

should show that it is possible to have good

teachers w h o , without neglecting their primary

teaching role, are also prepared to become good

community leaders.

O n e of the conflictual aspects glossed over

in the literature about E N is the institutional

question and, in particular, the relationship with

the Ministry of Education, characterized by

mistrust and conflict of various kinds and never

fully clarified. Faced with anything from open

boycott to passive resistance, E N has often had

to swim against the tide or operate on the fringes

of the system, falling back of necessity or by

choice on the support of international organi

zations and private organizations in Colombia

itself. Its precarious situation and lack of insti

tutional legitimacy as part of the state structure

are, in effect, weakening the programme's ca

pacity for consolidation and expansion.

A long evolutionary process such as the

one E N has witnessed can be conducive to de

velopment and progress, but it can also cause a

programme to stagnate and grow stale unless

steps are taken to rejuvenate it continually. T h e

ageing of Escuela Nueva is a recurrent concern

a m o n g those directly involved in the programme

and is increasingly emphasized in connection

with its present growth phase.

Expansion has, in fact, brought with it both

an aggravation of old problems and a series of

n e w ones. As stated (Ministry of Education-

U N I C E F , 1990), the 'cost of going for scale'

has included 'inevitable sacrifices in terms of

effectiveness and efficiency' and has resulted in

'a reduction in the number of days spent on

training workshops or, in some places, a failure

to provide the study guides in time for the training

sessions. O n e consequence of these problems

is, of course, a weakening of experiential learn

ing in teachers' training, added to teacher apa-


517

thy and criticism of the programme'. T h e n e w

administrative structure that has emerged as a

result of the programme's expansion has led to

conflict with the technical teams, w h o have not

always been consulted, and has caused a sharp

rise in the number of administrative officials,

with training demands that the programme is

unable to meet. Elsewhere, the absence of any

such machinery for local management has led

to situations of inefficiency and uncertainty as

regards the expansion and follow-up of the pro

g r a m m e .

Another factor to be borne in mind is the

proliferation of Demonstration Schools during

the expansion phase. Although such schools are

considered to be one of the strategies needed to

maintain quality, their introduction on a m a s

sive scale appears to be having the opposite

effect. Introducing demonstration on a grand

scale m a y well entail discrediting excellence and

losing out on quality.

Is Escuela Nueva a model

that can be replicated?

Replicability is a topical subject. In the world

strategy of 'Education for All', in which access

and quality go hand in hand (at least in theory),

the combination of innovation and replicability

has taken on great importance. Innovative ex

periences are expected to be capable not only

of expansion, but also of flexibility and adapt

ability to other contexts. In this perspective, E N

is seen internationally as a highly attractive and

promising experiment. W e have a few comments

on this.

In the first place, the specific nature of E N

as w e k n o w it and as it has been developed in

Colombia must be borne in mind. It is a for

mal, public, rural primary education programme

basically geared to the problems of multigrade

teaching. These characteristics, which are the

model's specific hallmarks, must not be over

looked w h e n considering possible adaptations

or variants. N o r must it be forgotten that E N is

a system organized on the basis of four inter

locking components - curriculum, training, ad

ministration and community - and not an as

sortment of separate elements. It is important

that these two considerations are borne in mind

by those w h o might have a superficial under

standing of what the programme entails and are

looking for a magic formula, and might there

fore be tempted to apply a 'carbon copy' of this

experience to any other type or level of educa

tion, or to pluck out of it one or other of its

features (learning guides, teacher training, school

government, flexible promotion, etc.) in the mis

taken belief that, in so doing, they can replicate

the model and introduce substantive changes in

the system.

There are a number of factors which are

intrinsically bound up with the historical devel

opment and distinctive character of E N , some

of them unique and not readily available or

replicable in other contexts. T o begin with, the

'rural school' is a concept that means m a n y dif

ferent things in different places. T h e type of

'rural schools' that E N in Colombia is talking

about is schools that are well endowed with in

frastructure and equipment. They usually have

solidly built school buildings, with plenty of space

and pleasant surroundings, and are properly

equipped with furniture and other fittings. M a n y

of them have accommodation for the teacher.

They m a y have a kitchen, a dining-room, wash

rooms, running water, electricity and even tel

evision. In short, they are rural schools that are

privileged in comparison to those usually found

in Third World countries, including Latin Ameri

can countries.3

Colombia is a linguistically homogeneous

country. This means that the E N programme is

at an incomparable advantage in having to cope

with only one language: Spanish. This factor

alone greatly simplifies the task - curriculum

design, methods, teacher training, production

of materials, teaching and learning - and has

left its mark on each and every part of the pro

g ramme . A n y attempt to introduce a similar

model in bilingual or multilingual situations such

as those prevailing in rural areas in m a n y Third


World countries means venturing into entirely

n e w territory.

According to a recent study on E N carried

out by the World Bank (Psacharopoulos et al.,

1992), most E N teachers have secondary or

university education. In addition, as compared

with conventional rural schools in Colombia it

self, there are more E N teachers living on the

school premises. Both factors - teachers' previ

ous level of education and teachers living in -

have a positive impact on pupil achievement (a

university education was associated with better

cognitive outcomes, and teachers' residing on

the school premises was also related to better

scores in creativity and civic behaviour).

E N has c o m e into being through a long

and very distinctive process. This point is e m

phasized in the programme literature:

In Escuela Nueva, the necessary technical conditions have been met, since the programme has been designed and put to the test over a period of fifteen years. . . . Furthermore, the present government has fulfilled the necessary political conditions. In addition, adequate financial conditions have been assured through the allocation of government funds, a loan from the World Bank and the co-operation of U N I C E F , which has lent its support to maintain the quality of the Escuela Nueva programme as it expands. (Ministry of Education-UNICEF, 1990)

W h a t countries can offer such a combination

of technical, political and financial circum

stances?

With regard to the technical conditions,

w e shall mention only one crucial, outstanding

component of E N : the learning guides. A s the

World Bank has acknowledged, developing good

textbooks calls for highly specialized technical

competence that is not easy to come by: 'trans

lating curriculum specifications into good text

books requires considerable expertise. Textbooks

must have the appropriate content and reading

level; be consistent in approach, method and

exposition; be properly sequenced; motivate the

students; and, finally, be readily taught by less

qualified teachers, yet allow good teachers

to expand upon them' (Neumann , 1980).

'Throughout the world, few individuals possess

the sort of expertise required for writing good

textbooks' (Lockheed and Verspoor, 1991). H o w

m a n y programmes can avail themselves of such

h u m a n and technical expertise?

In addition to government funds channelled

through the Ministry of Education, E N has been

receiving regular financial support from vari

ous international agencies - U S A I D , I D B ,

U N I C E F and the World Bank - and from a

number of private organizations in Colombia.

T h e estimated cost of E N is between 5 and

10 per cent higher than that of conventional

schools (Schiefelbein, 1991), while teacher train

ing costs at least three times more (Psacha

ropoulos et al.j 1992). C a n similar financial

support be expected in other countries? Is it

realistic to think in terms of long-term processes

that go beyond the urgent, short-term concerns

of governments and international organizations

in the educational field? C a n E N itself expect

sustained support to enable it to continue to

expand while improving its quality?

In a world where policies and programmes

are swept in on a tide of fashionable international

thinking and come to an end with national gov

ernments, E N stands out as an exceptional in

novative experience that has succeeded in holding

its o w n for nearly two decades. H o w has E N

been able to survive the changes of government

and administration and the political and admin

istrative instability characteristic of Latin America?

Perhaps for want of a more thorough analysis,

E N ' s success has been attributed to 'a mixture

of advertisement, strategic support, academic

standing of the developers and simple luck'

(Schiefelbein, 1991). T h e 'luck' factor no doubt

covers a wide range of unpredictable, inexpli

cable and non-reproducible factors.

Various studies conducted worldwide have

shown that one of the characteristics of suc

cessful programmes and effective schools is the

part played in them by specific individuals with

drive, vision, leadership qualities, charisma,

perseverance, etc. T o some extent this is true of

E N as well. T h e initial team has remained rela

tively stable and cohesive. Individuals in key

positions and in the right place at the right time


519

have had a decisive impact on the programme's

development, not only nationally but also at the

intermediate and local levels. A s has been pointed

out: 'Today, even though Escuela Nueva has

been institutionalized in die whole country, the

support it receives in some of the provinces

largely depends on the personal preferences of

local administrators' (Psacharopoulos et al., 1992,

p. 19).

T e n years elapsed between E N ' s official

establishment as a programme in 1975 and its

adoption as a national education policy in 1985,

when it began its expansion phase. There have

been three stages in this process (Ministry of

Education-UNICEF, 1990): learning to be ef

fective (1975-78), learning to be efficient (1979-

86), and learning to expand (1987 to the present

day). Even with the time and planning that went

into the programme's development and the tech

nical, political and financial support it received,

there is every indication that E N was not equipped

to cope with its present rapid expansion, at least

not without jeopardizing its quality and the con

solidation of its achievements. If this is what

happens with so carefully prepared and moni

tored a programme as E N , what can be ex

pected of precarious, newly launched pro

grammes that are required to expand and even

achieve universal implementation without hav

ing gone through the stages and met the re

quirements essential to their very survival? T h e

pressure that such programmes are under to

day from governments and international organi

zations to cater for record numbers, show good

results and become successful models m a y well

be helping to undermine any possibility of change

and of tangible, steady progress in the educa

tional field.

There is a great deal that other countries

and Colombia itself can still learn from E N ,

from both its potential and its weaknesses. There

is also a great deal that can be done to consoli

date and improve the programme, while pro

tecting it from the hazards of fashion and the

risks inherent in any model and strengthening

its domestic, national role for the very purpose

of reinforcing its external, international role. T h e

fact is that E N is clearly pointing a way, setting

an example that is not necessarily reproducible

but undoubtedly encouraging and inspiring.

T h e radical change required in education

today takes second place to the need to broaden

access and m a y consequently be confined to

cosmetic changes or piecemeal reforms. While

achieving universal education is the major task

ahead, universalizing it without changing it

amounts to delivering more of the same, with

more of the same in terms of drop-out, repeti

tion, academic underachievement, wastage of

resources, a decline in professional standards,

demoralization and inefficiency.

Transforming formal education is, with

out a doubt, the great challenge. Schooling

must be m a d e less formal and more flexible,

relevant, useful, creative, enjoyable, responsive

to pupils' intelligence and personal inquiry,

respectful of diversity, attentive to children's

needs, responsive to teachers' needs, open to

participation by parents and the community

and accountable to society for the results

achieved. This is precisely what E N is endeav

ouring to do. A n d this is w h y it is worth

supporting the programme, understanding it

better and learning from it. •

Notes

1. In Latin America, Chile, El Salvador, Honduras and Guatemala are n o w actively engaged in trying out this system, under U N I C E F auspices.

2. Several attempts have been made in the past (proposals for new methodologies, guides, etc.), but, for various reasons, none has materialized.

3. Under a plan for the promotion of education in rural areas and less densely populated centres, and with resources funded by the World Bank, Colombia undertook to improve the physical infrastructure of the country's rural primary schools in the late 1970s and early 1980s; this included rebuilding classrooms, supplying drinking water and providing sanitary installations and desks and chairs for pupils and teachers (Ministry of Education-UNICEF, 1990).


References

L O C K H E E D , M . ; V E R S P O O R , A . 1991. Improving Primary Education in Developing Countries. Washington, D . C . , Oxford University Press/World Bank.

M I N I S T R Y O F E D U C A T I O N - U N I C E F . 1990. El Programa

de Escuela Nueva. Más y mejor educación primaria para los niños de las zonas rurales. Bogotá.

N E U M A N N , P. H . 1980. Publishing for Schools: Textbooks and the Less Developed Countries. Washington, D . C . , World Bank. (Staff Working Paper 398.)

P S A C H A R O P O U L O S , G . ; R O J A S , C ; V Ê L E Z , E . 1992. Achieve

ment Evaluation of Colombia's Escuela Nueva. Washington, D . C . , World Bank.

R O J A S , C ; C A S T I L L O , Z . 1988. Evaluación del programa Escuela Nueva en Colombia. Bogotá, Instituto S E R .

SCHIEFELBEIN, E . 1991. In Search of the School of the XXI Century: Is the Colombian Escuela Nueva the Right Pathfinder? Santiago, U N E S C O - U N I C E F .

T O R R E S , R . M . 1991. Escuela Nueva: una innovación desde el Estado. Quito, Instituto Fronesis.

Profiles of educators Plato (428-348 B . C . )

Charles Hummel

Plato was born in 428 B . C . , towards the end of

that extraordinary period in h u m a n history w h e n

the foundations of spiritual life were being for

mulated by Lao Tse (at the turn of the sixth

century), Confucius (551-479), Buddha (c. 5 5 0 -

480) and Socrates (469-399) and the Upanishads

were being written (at the turn of the fifth cen

tury) .

H e was born to a family that belonged to

the top ranks of the Athenian aristocracy. His

father was a descendant of Codrus, last king of

Athens. T h e brother of one of his mother's

ancestors was Solon, the great Athenian states

m a n and law-maker, and one of Plato's uncles,

Critias, was to become a m e m b e r of the C o u n

cil of Thirty. Plato was thus predestined to play

an active role in Athenian politics. In his sev

enth Letter he explains w h y he chose not to take

that path. Instead, he formulated the most sig

nificant political theory of ancient times and

with it founded the science of politics.

Plato was born soon after the death of

Pericles, w h o had been a friend of the family

Charles H u m m e l (Switzerland). Studied philosophy at the Universities of Basle (with Karl Jaspers), Rome and Zurich. Permanent Delegate of Switzerland to UNESCO, 1970-87. Member of the Executive Board of UNESCO. Member and President of the Council of the IBE (International Bureau of Education). Representative of Switzerland on the Council for Cultural Co-operation (Strasbourg). Ambassador to Ireland, 1987-92. Author o/Nicolas de Cuse, Education Today for the World of Tomor row and many articles on philosophical and educational topics.

and w h o had carried Athens to the heights of its

power, prosperity and culture. Sophocles and

Euripides were a m o n g the great playwrights of

the time w h o delighted the public, and the young

Plato must certainly have met them.

But Plato was also destined to witness the

decline ofthat Athens to which he was so dearly

attached. A s a young m a n he endured, prob

ably as a soldier, the defeat of his city in the

Peloponnesian W a r and experienced the ensu

ing decline of the Athenian democracy. T h e

twilight of the Classical A g e of Greece was ap

proaching and with it the demise of the inde

pendent Greek city-states, which were supplanted

by the Alexandrian empire. Plato lived in the

period of transition between Classical Greece

and the Hellenistic era that opened a n e w chap

ter in the history of the West .

Plato's life

A s a child, Plato undoubtedly received the edu

cation that was c o m m o n l y given to boys of his

age. H e attended a private school in Athens

accompanied by a slave, or 'tutor' (there were

no public schools at that time). There he stud

ied reading, writing and arithmetic, following

which he committed to m e m o r y a considerable

part of the corpus of Greek poetry, above all

the works of H o m e r , w h o m the Greeks consid

ered the educator par excellence. H e also learned

the songs of the lyrical poets and to play the

lyre, two skills that, as he put it in his Protagoras,

Prospects. Vol. XXII, [, N o . 4 , 1992 (84)

522 Charles Hummel

'familiarize the minds of children with the rhythms

and melodies' by which 'they become more civi

lized, more balanced, and better adjusted' {Pro

tagoras, 326b).1 Naturally, Plato also attended

the gymnasium, for physical training: for 'they

are sent to a trainer, so that a good mind m a y

have a good body to serve it, and no one be

forced by physical weakness to play the coward

in war . . .' (Protagoras, 326b-c). It m a y be added

that Plato's sister did not go to school; she re

ceived her education, as was customary at the

time, exclusively at h o m e .

T h e decisive event in Plato's life was his

meeting with Socrates. At the age of 20, this

rich young aristocrat became the most faithful

disciple of Socrates, son of a stonemason and a

midwife. Plato stood by Socrates to the end,

w h e n his master was condemned to death and

executed by the Athenian democracy (399 B . C . ) .

It was a traumatic experience that marked Plato

for life and reinforced his low opinion of de

mocracy. T h e pages Plato wrote as Socrates's

defence (The Apology) and on the last hours of

Socrates's life are a m o n g the most moving in

world literature.

After Socrates's death Plato left Athens on

a long voyage that took him first to Megara,

where he visited Euclid (the philosopher, not

the mathematician), and then almost certainly

to Egypt and Cyrene, on the coast of present-

day Libya. H e also travelled to M a g n a Graecia,

in southern Italy, where he frequented Pythago

rean circles, spending time notably with Archytas

in Tarentum. F r o m there he went to Sicily to

the court of Dionysius I, tyrant of Syracuse,

w h o was fond of surrounding himself with the

company of famous m e n in order to boost his

o w n prestige. There Plato argued his view that

kings should be philosophers and should de

vote their lives to the service of the highest moral

values rather than to their personal aggrandize

ment and interests, but to no avail. After twelve

years of travel Plato returned to Athens, where

he founded his Academy.

During his stay in Syracuse, Plato had

formed a friendship with Dionysius's brother-

in-law Dion, w h o struck him as being a poten

tial philosopher. W h e n Dionysius the Elder died,

Dion recalled Plato to Syracuse to tutor the young

Dionysius. Once again Plato thought he would

be able to have his ideas on the role of educa

tion and philosophy in politics put into prac

tice. Accordingly, he went again to Syracuse,

where he was very well received, and set him

self to the task of educating Dionysius II, teach

ing him mathematics, which he regarded as the

royal road to philosophy. Plutarch, in his biog

raphy of Dion, relates h o w the entire court at

Syracuse took up geometry, covering every room

in the tyrant's castle with sawdust, upon which

they drew triangles, circles and other forms. T h e

young Dionysius, however, was not a very bright

pupil and tired quickly of the lessons of his

demanding tutor. Furthermore, he was jealous

of Dion, w h o m he sent into exile. Plato returned

to Athens and the Academy. In 361 B . C . he

succumbed for the third time to the temptation

to go to Syracuse, but with no happier results:

once again he encountered humiliation. It was

only with the help of Archytas that he managed

to get back to Athens, where in 348 B . C . he

died, at the age of 80.

Plato's works

T h e works of Plato have reached us virtually intact. They consist of twenty-eight Dialogues and thirteen others of variously uncertain authorship. There are also thirteen Letters, three of which (VI, VII and VIII) are generally recognized as having been written by Plato. Plato's Dialogues cover a wide range of subjects: duty, courage, virtue, justice, love, beauty, science, nature, rhetoric and the harmony of words with Being and with Ideas; the nature of humankind, wisdom, kingship, legislation, etc. With the single important exception of Laws - Plato's last work and the one in which he set out in detail his ideas on education policy - Socrates is, directly or indirectly, cast as one of the protagonists of the Dialogues. It is the only time a disciple has ever identified himself so closely with his master as to put his o w n words into his

Profiles of educators: Plato (428-348 B . C . ) 523

master's mou th . It is extremely difficult to draw

the demarcation line between the ideas of Soc

rates and those of Plato. Philologists have at

tempted to do so by sorting Plato's Dialogues

into several groups., ranging from the m o r e S o -

cratic to those that clearly depart from the thought

of the real Socrates and are considered to be

distincdy Platonic. W e cannot enter into the

philological subtleties in this article and shall

treat the Socrates w h o appears so true to life in

Plato's Dialogues as part of the latter's 'profile'.

In fact, it is as teacher that Plato most re

sembles his master. Socrates appears in the works

of Plato as the archetypal teacher, even though

he insists that he is not one. Accordingly, the

object of most if not all of Plato's Dialogues is

essentially educational: his whole work was written

in the service of paideia.

Plato was an extremely serious, moralizing

and austere thinker w h o disapproved of the most

innocent pleasures, even the reflex of laughter

(The Republic, 388e and Laws, 732c). H e was

also a writer of exceptional literary skill, w h o

drew his characters with a fine economy of de

tail in the m a n n e r of the great Chinese painters,

creating in a few sentences a true-to-life atmos

phere, and his works contain countless e x a m

ples of superb subtlety and a flair for irony. O n

the other hand, his Dialogues contain long pas

sages of laborious and sometimes formalistic,

punctilious and, it must be admitted, frankly

tiresome dialectics. Plato's writings have had a

determining influence on all aspects of Western

philosophy (and even perhaps on all aspects of

its culture). In fact the European philosophical

tradition can be characterized as a long series of

dialogues with Plato or, as the great American

philosopher A . N . Whitehead put it, as 'a series

of footnotes to Plato'.

Plato's philosophy

In order to understand Plato and to p l u m b the depths of his thought one mus t keep closely in m i n d the fact that his philosophy is not in any

sense a doctrine. Plato did not set u p a philo

sophical system in the m a n n e r of Hegel, for

example. T h e distinguishing feature of Plato's

philosophy is the progression or process by which

his ideas are formed - his so-called dialectical

method, which does not involve solitary, hence

unilateral, reflection, but is rather a collective

exercise by which friends, as in The Sympo

sium, or adversaries, as in Gorgias, m o v e for

ward in argument. Moreover, Plato's Dialogues,

which often deal with the clarification of a con

cept - such as beauty, duty, love, justice or pleas

ure - do not usually c o m e to a final conclusion

on the subject or end on universal agreement.

T h e initial question is left open. T h u s Protagoras

concludes with the following statement, 'Well,

w e will talk of these matters [which w e have just

been discussing] at s o m e future meeting . . .'

(Protagoras, 36le).

Plato sums u p his approach in his seventh

Letter.

O n e statement at any rate I can m a k e in regard to all w h o have written or w h o m a y write with a claim to knowledge of the subject to which I devote myself [philosophy] . . . Such writers can in m y opinion have no real acquaintance with the subject. I certainly have composed no work in regard to it, nor shall I ever do so in future, for there is no way of putting it in words like other studies. Acquaintance with it must c o m e rather after a long period of attendance on instruction in the subject itself and of close companionship, when , suddenly, like a blaze kindled by a leaping spark, it is generated in the soul and at once becomes self-sustaining. (341b-d)

Attentive readers of Plato's Dialogues will find

that they are participants in this sudden, vision

like dawning of knowledge. H o w e v e r , w e mus t

qualify this passage (which is rather discourag

ing for commentators on Plato!) with the ob

servation that towards the end of the phi

losopher's life a touch of dogmatism crept into

his work, which gives the sudden impression

that one is attending an ex cathedra lecture by

the A c a d e m y professor.

Plato was relentless in his analysis of the

conditions and limitations to the acquisition of

knowledge imposed by a world that was elusive

524 Charles Hummel

because it was in constant movement. H e be

lieved that all h u m a n beings, with the exception

of true philosophers, lived in a world of appear

ances. This is w h y the Socrates of his Dialogues

incessantly demonstrates to his interlocutors h o w

m u c h their claims to knowledge are illusory

because based on unfounded opinions or on

prejudices. In Laches, to cite but one example,

two prominent generals are obliged to admit

that they do not k n o w the meaning of courage.

O n the one hand, led by his certainty of

the absolute, he explored the h u m a n condition

as it related to the supreme values of beauty,

truth and goodness. O n the other hand, haunted

by his experience of the decline of Athens and

convinced that all change carried within itself

the seeds of corruption, he looked to perma

nence as the sole guarantor of absolute values.

H e considered that he had discovered in the

concept of 'Ideas' the incorruptible reality he

regarded as the foundation of being, and he

illustrated that concept by his fascinating and

celebrated myth of the cave {The Republic, 514a-

517a).

It is only through a proper education and

through the pursuit of philosophy that h u m a n

beings can free themselves from the chains of

their senses, desires, ambitions (such as wealth

and power) and passions and that they can ac

cede, progressively, passing from one level of

enlightenment to the next, to true knowledge

and, ultimately, to the vision of the Agathon, the

Final G o o d . Plato's thought is centred on the

h u m a n being and, more particularly, on the ethical

problems the h u m a n being has to face. T h e

questions of right, justice and the individual's

place in society, that is in the polis, the Greek

city-state, are among the ethical questions that

concern him to the highest degree. Plato, like

his pupil Aristotle after him, considered the

h u m a n being a political animal. H e devoted two

of his most important works, The Republic and

Laws, to politics, of which ethics is an essential

dimension.

In the course of his examination of the

h u m a n being, Plato developed a new 'science'

of the soul. His psychology (another discipline

he fathered) m a y seem to the modern reader to

be somewhat naive and elementary. Neverthe

less, it has some interesting features. For exam

ple, on the subject of young Charmides's head

ache, in the dialogue of the same name , Socrates

states that 'all good and evil, whether in the

body or in the whole m a n , originates . . . in the

soul' (Charmides, 156e). T h e care of the soul is

essential for a person's future. It is no accident

that Socrates asks young Hippocrates, w h o in

tends to entrust his education to Protagoras the

Sophist: ' D o you understand that you are going

to entrust the care of your soul to a m a n w h o is,

in our o w n words, a Sophist, though I should

be surprised if you k n o w just what a Sophist is.

A n d yet if you don't know that, you don't k n o w

to w h o m you are entrusting your soul, nor

whether he represents something good or bad'

(Protagoras, 312c).

Lastly, with his theses concerning the im

mortality of the soul, Plato also broached the

area of religion.

Plato's anti-Sophism

T h e ideal Platonic educator or teacher is the antithesis of the Sophist. T h e passages in Plato's works in which Socrates criticizes or disputes with the Sophists are legion. It was, as Karl Jaspers puts it, the battle of philosophy against non-philosophy. T h e Sophists in Plato's time were itinerant teachers of higher education. They rented rooms and there gave lessons for an often quite substantial fee to the scions of the aristocracy, w h o normally c o m pleted their elementary studies in private schools at or about the age of 16. Plato himself almost certainly attended the courses of eminent Sophists such as Gorgias and Protagoras.

T h e Sophists taught the widest range of subjects; but they were best k n o w n as teachers of rhetoric, the art of manipulating the masses. T h e oratorical art, explains Gorgias in the dialogue which bears his name , is ' T h e power to convince by your words the judges in court, the senators in Council, the people in the Assem-


bly, or in any other gathering of a citizen body'

(Gorgias, 452e). T h e eminent Protagoras as

serts with great pride: ' F r o m m e [the student]

will learn . . . the proper care of his personal

affairs, so that he m a y best m a n a g e his o w n

household, and also of the State's affairs, so as

to become a real power in the city, both as speaker

and m a n of action' (Protagoras, 319a). Plato's

grand indictment of the Sophists is contained

in the dialogue of the same n a m e . His critique

is presented as a sort of counterpoint to an au

thoritative lecture on Being, highlighting the abyss

that divides true philosophy from non-philoso

phy. Here is the hardly complimentary portrait

he draws of the Sophist: ' T h e hired hunter of

rich young m e n , . . . a sort of merchant of knowl

edge about the soul, . . . A retail dealer in the

same w a r e s , . . . an athlete in deba te , . . . a con

troversialist', one w h o instils in young people

the opinion that he is, personally and in all matters,

the wisest of m e n ; he is a magician and a mimic

w h o has appropriated the 'shadow play of words '

as an art (Sophist, 23Id, 232b and 268c).

O n the other hand, 'the philosopher, whose

thoughts constantly dwell u p o n the nature of

reality, is difficult to see because his region is so

bright, for the eye of the vulgar soul cannot

endure to keep its gaze fixed on the divine' (Soph

ist, 254a-b) .

These passages on the Sophists show that

Plato d e m a n d e d a deep sense of moral respon

sibility o n the part of the true teacher, on w h o m

lay responsibility for the sound health and fate

of his pupil's soul. It was his duty to protect his

disciples against false knowledge and guide them

o n the path to truth and virtue. H e mus t never

be a mere peddler of materials for study and of

recipes for winning disputes, nor yet for pro

moting a career.

Is it not a terrible historical irony that by

democratic vote the citizens of Athens sentenced

Socrates to death o n the charge that he was , of

all things, a Sophist and that he was corrupting

the city's youth?

The Socratic

teaching method

Socrates is presented as the archetypal educa

tor. This is already apparent in Laches, which is

about two eminent generals w h o are looking for

a tutor for their sons; and Werne r Jaeger, in his

Paideia, a classic work on education in the an

cient world, calls Socrates the mos t influential

teacher in all European history.

Only Socrates asserts the contrary, as, for

example, in The Apology: ' [ S o m e people are

saying] that I try to educate people and charge

a fee, [but] there is no truth in that either . . . I

think that it is a fine thing if a m a n is qualified

to teach, as in the case of Gorgias of Leontini

and Prodicos of Ceos and Hippias of Elis' (The

Apology, 19c and e). W h a t is the cause of this

apparent contradiction?

Socrates refuses to be taken for a teacher

of the Sophist sort. H e believed that in order to

be qualified to teach one must k n o w the subject

taught. O n e must k n o w h o w to m a k e shoes before

teaching another the shoemaking art, and to be

able to train a physician one mus t be acquainted

with the various diseases and their cures. A s a

true philosopher, Socrates makes no claim to

k n o w anything; indeed, he is conscious of all

that he does not k n o w and, consequently, is

always searching for knowledge, whereas the

others - both the Sophists and the people in the

street with w h o m he converses and w h o m he

'examines' - live in the illusion m a t they pos

sess knowledge. In fact, exposing that illusion is

the first step in the process of learning to live a

good life, represented as a harmonious relation

ship between a person and his or her final des

tiny, which is moral and political in nature.

In the prologue to The Symposium there is

a delightful episode that serves as a good illus

tration of the Socratic method. Socrates is late

in arriving because, as he occasionally did, he

has paused on the w a y , caught u p in his o w n

thoughts ( The Symposium, 174c). Agathon, the

host, invites Socrates to sit next to h i m because

'I want to share this great thought that's just

526 Charles Hummel

Struck you in the porch next door.' At which

Socrates replies to Agathon: 'I only wish that

wi sdom were the kind of thing one could share

by sitting next to someone - if it flowed, for

instance, from the one that was full to the one

that was empty, like the water in two cups

finding its level through a piece of worsted'

(The Symposium, 175d). T h e Socratic method

is to be distinguished, therefore, from the tradi

tional method of teaching, in which teachers

seek to transmit their knowledge to their pupils,

w h o are expected to assimilate it, on the whole

passively. T h e Socratic method is an interac

tive method in which teacher and pupil co

operate in the pursuit of knowledge through

dialogue. A series of questions and answers

involve the two parties in the same cognitive

pursuit (Plato occasionally uses images taken

from the hunt). This is yet another reason - a

methodological one - w h y Socrates does not

want to be described as one w h o possessed

knowledge.

This dialectical method runs through the

entire work of Plato. T h e reader is drawn into

the discussion as an active observer. Plato the

educator takes his readers, entangled in their

desires and illusions, and leads them, patiently

and through a critique suffused with irony, to

the point of reflection and independence.

In The Apology, Socrates insists that he has

been entrusted with his teaching role by Apollo

himself: ' G o d appointed m e . . . to the duty of

leading a philosophical life, examining myself

and others' (The Apology, 28e). A s to whether

he would renounce his role of 'examiner' should

he be acquitted, he declares:

Gentlemen . . . I owe a greater obedience to G o d than to you, and so long as I draw breath and have m y faculties, I shall never stop practising philosophy and exhorting you and elucidating the truth for everyone that I meet. I shall go on saying, in m y usual way, ' M y very good friend, you are an Athenian and belong to a city which is the greatest and most famous in the world for its wisdom and strength. Are you not ashamed that you give your attention to acquiring as m u c h money as possible, and similarly with reputation and honour, and give no attention or thought to truth and under

standing and the perfection of your soul?' (The Apology, 29d and e)

Accordingly, in Plato's mind , philosophy and

education are one and the same discipline. T h e

Socratic method of teaching has often been

characterized as a 'maieutic' method, or one in

which the teacher assumes the role of a mid

wife. A deciphering of this method is contained

in Meno. There, Plato's Socrates argues that

'mere is no such thing as teaching, only recol

lection' (Meno, 82a) and maintains that teach

ers should play the role of midwife in order to

deliver their pupils of the knowledge they u n

consciously possess. T o illustrate this original

method, Socrates conducts an educational ex

periment: by questioning a young slave, he leads

him to self-discovery of the solution to a rela

tively complicated problem in geometry (Meno,

82b-85b) . F r o m this experiment Socrates con

cludes as follows:

So a m a n w h o does not know has in himself true opinions on a subject without having knowledge . . . This knowledge will not come from teaching but from questioning. H e will recover it for himself . . . A n d the spontaneous recovery of knowledge that is in him is recollection . . . If then there are going to exist in him, both while he is and while he is not a m a n , true opinions which can be aroused by questioning and turned into knowledge, m a y w e say that his soul has been forever in a state of knowledge? Clearly he always either is or is not a m a n . (Meno, 85c and d, 86a)

Maieutics is based on a concept of the i m m o r

tality of the soul and of metempsychosis, which

of course goes beyond the thought of the his

torical Socrates.

This doctrine of knowledge acquired be

fore birth is also developed in Phaedo (72b et

seq.), while the maieutic method described in

detail, but less speculatively, in Tlieaetetus (148e-

151d) is perhaps that of the historical Socrates.


The Academy

W h e n Plato founded the A c a d e m y around 385

B . C . he was just over 40 years old. H e set u p his

establishment on gardened premises not far from

Athens. T h e A c a d e m y is often described as the

first university in history - which is not exactly

true. It resembled the medieval universitas m o r e

than the m o d e r n university. It was a centre of

study and research, but nothing is k n o w n of the

details of its organization. It was m o r e of a sci

entific communi ty than a school. T h e Acad

e m y w a s probably modelled after the Pythago

rean communities Plato had visited in M a g n a

Graecia. Legally, it was established in the form

of a thiasos, or religious confraternity. It was

dedicated to the M u s e s . Teachers and pupils

lived there in a communi ty atmosphere that was

enhanced by a dialectical method of teaching,

in which doctrinal presentations are followed

by discussion.

Plato remained head of the A c a d e m y for

die rest of his life. This meant that for s o m e

forty years he was the driving force and princi

pal teacher of this intellectual centre of ancient

Greece. T h e A c a d e m y remained open until

A . D . 529, that is, for almost 900 years after Pla

to's death.

According to an old tradition, there was an

inscription over the portal of the A c a d e m y pro

claiming that a knowledge of geometry was a

requirement for entry. Plato probably developed

a passion for mathematics during his encoun

ters with the Pythagoreans - especially Archytas

of Tarentum, w h o was a brilliant mathemati

cian. Plato, himself a seasoned mathematician,

invited other scholars accomplished in this dis

cipline to teach at the A c a d e m y . These included

Eudoxas, w h o was a mathematician, astrono

m e r , geographer and physician.

Science also had its place at the A c a d e m y .

This fact tends to be forgotten, so firmly im

planted in tradition is Plato's image as the great

master of ethics and metaphysics. Timaeus, his

great dialogue concerning Nature, testifies to

the scientific work done at the A c a d e m y and

the encyclopedic scope of the scientific knowl

edge it housed. A n amusing fragment of a c o m

edy by Epicrates has survived, in which one of

the characters tells what he had heard while

passing by the A c a d e m y garden: ' T h e y were

trying to define the differences between the life

processes of animals and the growth of trees

and vegetables. A m o n g other matters they were

trying to determine to what species pumpkins

belonged . . .'.

Politics, the main subject of the A c a d e m y ,

was studied and taught on a regular basis. T h e

A c a d e m y o w n e d a collection of the written con

stitutions of a large n u m b e r of states. Politi

cians, statesmen and specialists in constitutional

law were educated at the A c a d e m y ; and the

long list of its disciples w h o were called u p o n to

act as political and legal consultants in the Greek

states is a good indicator of the extent of its

influence.

Plato's dream was to educate in his A c a d

e m y those 'philosopher kings' about w h o m he

wrote so copiously in his two works, The Re

public and The Statesman, which, together with

Laws, contained the cream of the results of the

A c a d e m y ' s studies and research in political sci

ence.

Philosophy, of course, took pride of place

in the A c a d e m y ' s curriculum. T h e founding of

the A c a d e m y opened a n e w period in Plato's

thought. It marked his departure from the philo

sophical approach of Socrates. T h e Pythago

rean doctrines began to rival the example of his

former and still venerated master as his source

of inspiration. This shift was already noticeable

in Meno (as mentioned above) and in Gorgias,

and became more pronounced right up to Laws.

With the exception of this last (posthumous)

work, Socrates remained a central character of

Plato's Dialogues. Howeve r , his works became

m o r e doctrinal in tone. This, it would seem,

was not only a natural consequence of his daily

life as a teacher at the A c a d e m y but also the

sign of a conscious affirmation of his philosophical

conclusions.

T h e educational issues with which he dealt

also changed in emphasis. T h e y had first been

primarily didactic, if not methodological in

emphasis, strongly inspired by the personality

528 Charles Hummel

of Socrates - the educator - but with the Acad

e m y the emphasis became almost exclusively

social and political. T h e focus of interest moved

towards educational policy.

Educational policy in the ideal state

Plato developed his concept of educational policy

in his two largest works, The Republic and Laws.

In The Republic Plato developed his concept of

the ideal state, which embodied justice. It was a

sort of Utopia. (For Plato, however, the world

of ideas, because permanent, is more 'real' than

the world of facts, which is in a state of con

stant flux!) Rousseau believed that 'Plato's The

Republic . . . is the best treatise on education

ever written' (Emile, Book I). In Laws Plato drew

up a highly detailed system of laws for a pro

posed colonial city-state. While the themes of

these two Dialogues would seem to be almost

identical, there are considerable differences be

tween them. T h e differences, however, do not

touch upon educational issues. The Republic is a

pure theory of the ideal state, whereas Laws is a

practical application to a hypothetical concrete

case.

In The Republic the inhabitants are divided

into three distinct classes: slaves, w h o are the

subjects of special provisions in Laws, crafts

m e n and merchants (generally alien, without

rights of citizenship) and, lastly, 'guardians', w h o

are responsible for the security and administra

tion of the state. T h e guardian class is itself

divided into two groups: the 'auxiliaries' and

the 'perfect' guardians, or regents - the first, in

principle the youngest, having responsibility for

internal and external security (including the police

and the army), while the second group, the 'sages',

watch over the smooth functioning and har

m o n y of the state. At the head of the state is a

'philosopher-king' (such as Archytas of Taren-

tum) - an idea that is taken up again in The

Statesman but abandoned in Laws, in which a

'nocturnal council' assumes the responsibilities

of the highest authority.

T h e ideal society for Plato is as immutable

as a Doric temple; for, in an ideal state, change

can bring about only decadence and corruption

(Laws, 797d). Society must therefore be pro

tected from all that could upset the civic order

and induce change. T h e guardians must devote

themselves entirely to the service of the state.

They m a y not possess material riches (which

give rise to jealousy and conflict); they m a y not

indulge in frivolities (which could compromise

their integrity); nor m a y they entertain private

ambitions. All they have must be held in c o m

m o n : room, board, wives and children.

O n e of the tasks of education in the Pla

tonic state is to preserve the status quo. All in

novation is taboo. Contrary to most modern

educational principles, education must stand

guard against all change and all forms of sub

version.

Despite his extreme conservatism, however,

Plato had some highly innovative ideas. For

example, he espoused equality of the sexes at a

time when w o m e n , with the exception of courte

sans, were relegated to the household. In the

Platonic state girls, like boys, do their gymnas

tics in the nude and are expected to go to war

clad in the same armour as the m e n . They share

the boys' education, with no discrimination be

tween them. Moreover, Plato prescribes c o m

pulsory education for all, that is, for all m e m

bers of the guardian class. This idea, however,

was not to receive application until m u c h later,

at the time of the French Revolution. C o m p u l

sory schooling goes far beyond an elementary

education; yet Plato has very little to say about

the education of craftsworkers and merchants,

which consists of no more than a simple ap

prenticeship, and slaves receive no mention at

all.

Plato, indeed, was the first to formulate a

complete education system, covering every as

pect from its administration to a detailed cur

riculum. In Laws Plato describes h o w educa

tion should be organized and administered. T h e

whole education system should be headed by a

'Supervisor of Education', 'far the most impor-


tant of the highest offices in the State', w h o

would supervise all aspects of education for

children of both sexes. H e should be 'a m a n of

not less than 50 years, and the father of a legiti

mate family, preferably of both sexes' (Laws,

765d and e). H e will have working under h im

'superintendents of gymnasiums and schools in

charge of their seemly maintenance as well as

of the education given and the . . . supervision

of attendances and accommodation for children

of both sexes, together with judges of perform

ers contending in both musical and athletic c o m

petitions' (Laws, 764c and d ) . These competi

tions are important because the careers of the

guardians are determined by their results.

T h e education of the guardians - a life

long education that stretches from before birth

to retirement age - is described in detail in The

Republic (especially Books II-V and VII) and in

Laws (especially Books I, II and VII). In Laws,

however, the p r o g r a m m e of studies is abbrevi

ated. Having abandoned the idea of the phi

losopher-king, Plato did not dwell any further

o n the teaching of philosophy, as he had done

in The Republic. After introducing the concept

of 'guardians', he goes o n to say: 'But the rear

ing of these m e n and their education, h o w shall

w e m a n a g e that? A n d will the consideration of

this topic advance us in any w a y toward dis

cerning what is the object of our entire enquiry

- the origin of justice and injustice in a State . . .?'

(The Republic, 376c-d) . T h e object of Platonic

education is therefore moral and political; it is

not an apprenticeship for k n o w - h o w but an

education in life skills.

Since the health and beauty of both body

and m i n d are essential goals of Platonic educa

tion (see Laws, 788c), education, in keeping

with Greek custom, is divided into two parts:

gymnastics and music (= culture).

Physical education begins before birth.

Pregnant w o m e n are advised to walk around

and m o v e about as m u c h as possible, for 'every

sort of shaking and stirring [communicates] health

and beauty, to say nothing of robustness' to the

unborn infant (Laws, 789d) .

Preschool education is the responsibility

of parents (whereas in The Republic children

are raised collectively and do not k n o w w h o

their parents are!), w h o are enjoined to treat

them with measured discipline, for 'while spoil

ing of children makes their tempers fretful, peevish

and easily upset by mere trifles, the contrary

treatment, the severe and unqualified tyranny

which makes its victims spiritless, servile, and

sullen, renders them unfit for the intercourse of

domestic and civic life' (Laws, 791c) .

T h e teaching of culture begins very early

on, through the stories parents tell their chil

dren. Plato attaches the greatest importance to

the content of these stories, for first impres

sions shape the still malleable minds of children

and determine their character. Consequently,

such stories mus t pass the censors' scrutiny.

Plato places a strong and oft-repeated stress on

censorship, not sparing even H o m e r .

Next to stories, games should contribute

to the education of children. ' H e w h o is to be

good at anything as a m a n mus t practise that

thing from early childhood, in play as well as in

earnest . . . T h u s , if a boy is to be a good . . .

builder, he should play . . . at building toy

houses . . .' (Laws, 643b) . F r o m the ages of 3

to 6 children should play together under the

supervision of w o m e n assigned to that task.

Children enter school at the age of 6. T h e y

first learn to read, write and count. 'For reading

and writing three years or so, from the age of

10, are a fair allowance of a boy's time, and if

the handling of the lyre is begun at 13, the three

following years are long enough to spend o n it.

N o boy, no parent shall be permitted to extend

or curtail this period from fondness or distaste

for the subjects . . .' (Laws, 809e-810a) .

Together with this literary and musical

education, students of the Platonic state engage

in all sorts of sports, including horse-riding and

weapons training. T h e balance between culture

and gymnastics should be maintained as per

fectly as possible (The Republic, 411c et seq.).

A t the age of 18, at the end of this basic

education period during which they will have

undergone m a n y contests and examinations of

all sorts, young people - both boys and girls -

are required to devote themselves exclusively

for a period of two to three years to physical

530 Charles Hummel

and military training, as the traditional ephebe

did.

At the age of 21 pupils selected on the basis

of their past performance go on to higher stud

ies. It is here that Plato's curriculum differs fun

damentally from the tradition of employing Soph

ists for the purpose. It is this level of studies,

which leads to philosophy and, at the same time,

to the highest offices in the state, that concerned

Plato the most. In fact, they formed the subject

of the teaching at his Academy. Education, then,

was compulsory until the age of 20. Plato rec

o m m e n d e d that 'all this study . . . must be pre

sented . . . not in the form of compulsory in

struction . . . because . . . a free soul ought not

to pursue any study slavishly'. Moreover 'noth

ing that is learned under compulsion stays with

the mind ' (The Republic, 536d-e).

These higher studies, which stretch over a

period of ten years, consist of a systematic as

semblage and arrangement of the knowledge

acquired in past studies: 'They will be required

to gather the studies which they disconnectedly

pursued as children in their former education

into a comprehensive survey of their affinities

with one another and with the nature of things'

(The Republic, 537c). This is essential for an

understanding of dialectics, 'for he w h o can view

things in their connection is a dialectician' (The

Republic, 537c). It is probably also at this stage

that Laws would be studied as a manual of poli

tics, social sciences and comparative law (Laws,

811c-d).

Special stress is next placed on the study

of the four disciplines that prepare the student

for philosophy: arithmetic, geometry, astronomy

and harmony. These disciplines lift the soul to

the level of the immutable. Mathematics - arith

metic and geometry - liberate the mind from

sensation, familiarize it with the world of pure

thought and turn the soul towards the heights

of the world of ideas. 'Geometry is the knowl

edge of the eternally existent' (The Republic,

527b). It is through geometry that one learns

h o w to manipulate concepts (The Republic, 5 1 0 -

511). Astronomy initiates the soul to the order

and immutable harmony of the cosmos. Har

m o n y , a sister science of astronomy's, focuses

on the search for and knowledge of the laws of,

and the order in, the world of sound. T h e influ

ence of the Pythagoreans here is obvious. Plato

repeated with insistence that w e must 'prevent

our fosterlings from attempting to learn any

thing that does not conduce to the end w e have

in view' (The Republic, 530e).

At the age of 30, and not before, Plato's

students finally begin to study philosophy or

dialectics. After pursuing this course for five

years they must then 'return once again to the

cave' and serve for fifteen years in the army

and the civil service, where they are constantly

put to the test. 'At the age of 50 those w h o

have . . . approved [sic] themselves altogether

the best in every task and form of knowledge'

will be able to behold the good; 'and w h e n they

have thus beheld the good itself they shall use it

as a pattern for the right ordering of the State'

(The Republic, 540a). T h e y will then devote the

rest of their lives alternately to philosophy and

public life.

W h e n they retire, these state officials will

have the leisure time to devote themselves en

tirely to the delights of philosophy - this being

their sole reward.

Plato's polis is essentially an educational

community. It is created by education. It can

survive only on condition that all its citizens

receive an education that enables them to m a k e

rational political decisions. It is up to education

to preserve the state intact and to defend it against

all harmful innovations. T h e aim of education

is not personal growth but service of the state,

which is the guarantor of the happiness of its

citizens for as long as they allow it to be the

embodiment of justice. •

Note

1. Quotations are from T h e Collected Dialogues of Plato, edited by E . Hamilton and H . Cairns, Princeton, N.J., Princeton University Press, 1973. T h e line numbers, as is customary, are those established by the Stephanus edition (1578).


Select bibliography

B L A T T N E R , F . Geschichte der Pädagogik. Heidelberg, Quelle & Meyer, 1968.

B R U N , J. L'Académie. In: Encyclopédie de la Pléiade, Histoire de la philosophie, Vol. I. Paris, Gallimard, 1969.

. Platon et l'Académie. 10th éd. Paris, Presses Universitaires de France, 1991. ('Que sais-je' collection.)

C A S T L E , E . B . Ancient Education and Today. 2nd éd. London, Penguin, 1962.

C R O S S , R . C ; W O O Z L E Y , A . D . Plato's Republic. A Philosophical Commentary. London, Macmillan, 1991.

F E R B E R , R . Platos Idee des Guten. Sankt Augustin, Academia Verlag Richarz, 1989.

G A U S S , H . Handkommentar ZU den Dialogen Piatos. Bern, Herbert Lang, 1952-67. 7 vols.

G I G O N , O . Sokrates. Bern, A . Francke, 1979. G R U B E , G . M . A . Plato's Republic. Indianapolis, Hackett,

1986. G U I L L E R M I T , L . Platon par lui-même. Combas, Éditions

de l'Éclat, 1989. JAEGER, W . Paideia. Die Formung des griechischen Menschen.

4th ed. Berlin, Walter de Gruyter, 1959. 3 vols. JEANNIERE, A . Lire Platon. Aubier, 1990. M A R C U S E , L . Plato und Dionys. Berlin, Blanvalet, 1968. M A R R O U , H.-I. Histoire de l'éducation dans l'antiquité. 7th

ed. Paris, Seuil, 1976. N I E T Z S C H E , F. Introduction à la lecture des Dialogues de

Platon. Combas, Éditions de l'Éclat, 1991. P I C H T , G . Piatons Dialoge 'Nomoi' und 'Symposion'.

Stuttgart, Klett-Cotta, 1990. PIETRI, C . Les origines de la 'pédagogie'. Grèce et

R o m e . In: Histoire mondiale de l'éducation, Vol. I. Paris, Presses Universitaires de France, 1981.

P L A T O N . Säntliche Werke. With an introduction by Olof Gigon; trans. R . Rufener. Zürich, Artemis, 1974.

P O P P E R , K . R . The Open Society and Its Enemies. Vol. I: Plato. 5th ed. London, Routledge, 1991.

R U G G I E R O , G . D E . La filosofía greca. 6th ed. Bari, Laterza, 1946. 2 vols.

V L A S T O S , G . Socrates. Cambridge, Cambridge University Press, 1991.

W A H L , J. Platon. In: Encyclopédie de la Pléiade, Histoire de la philosophie, Vol. I. Paris, Gallimard, 1969.

W Y L L E R , E . A . Der späte Platon. Hamburg, Felix Meiner, 1970.

Index N o . 1, 1992 (81), pp. 3-119

Volume XXTT 1QQ2 No 21992 (82) pp 123_251

V U1U111C ^Y^VJ.A3 LWL, N o 3) 1992 (g3)j p p 255-399 N o . 4, 1992 (84), pp. 403-531

A D A M S , Arvil V. ; M I D D L E T O N , John; ZIDERMAN,

Adrian. The World Bank's policy paper

on vocational and technical education and

training, 127.

A G U E R R O N D O , Inés. Educational reform in Latin

America: a survey of four decades, 353.

B A I R R A O R U I V O , Joaquim; W E I K A R T , David P. ;

S H I H U I Z H O N G . The IEA project on pre

school education: preliminary surveys in

Portugal and China, 469.

B A R R I E R , Emilie; M U N C K , Ingrid. Analysing edu

cational outcomes using international data,

334.

B Á T H O R Y , Zoltán. Hungarian experiences in

international student achievement surveys,

434.

B E C C H I , Egle. Pluralistic education in Western

Europe on the threshold of 1993, 216.

B O R S T E L , Federico von. A theoretical frame

work for productive education, 265.

B R U N N E R , José Joaquín. The new educational

pluralism in Latin America, 213.

D U B R E U C Q , Francine. Profiles of educators: Jean-

Ovide Decroly (1871-1932), 379.

F O S T E R , Philip. Vocational education and train

ing: a major shift in World Bank policy,

149.

F U E N L A B R A D A , Irma; T A B O A D A , Eva. Curricu

lum and educational research: innovation

proposed for basic education, 93.

GRIFFITH, Jeanne E . ; M E D R I C H , Elliott A . W h a t

does the United States want to learn from

international comparative studies in edu

cation? 476.

H E P B U R N , Mary A . Multiculturalism and social

cohesion in a democratic society: is the

United States experience a model or an

example? 80.

H U M M E L , Charles. Profiles of educators: Plato

(428-348 B . C . ) 521.

H U S S E I N , Mansour G . W h a t does Kuwait want

to learn from the Third Internationa] Math

ematics and Science Study (TIMSS)? 463.

I R W I N , Colin. Integrated education: from theory

to practice in divided societies, 67.

J O L I B E R T , Bernard. Profiles of educators:

Condorcet (1743-94), 241.

K O Z A K I E W I C Z , Mikolaj. The difficult road to

educational pluralism in Central and East

ern Europe, 207.

L A W S O N , M a x . Profiles of educators: N . F . S.

Grundtvig (1783-1872), 113.

L E I M U , K i m m o . Interests and modes in re

search utilization: the Finnish IEA experi

ence, 425.

L O X L E Y , William. Introduction, 275.

. Managing international survey research,

289.

L U N A , Eduardo. Dominican Republic: the study

on teaching and learning of mathematics,

448.

M A C K E Y , William F . Mother tongues, other

tongues and link languages: what they

mean in a changing world, 41.

M A C L E A N , Rupert. Innovations and reforms in

schooling in Asia's developing countries,

366.

M E D R I C H , Elliott A . ; GRIFFITH, Jeanne E . W h a t

does the United States want to learn from

international comparative studies in edu

cation? 476.

M I D D L E T O N , J.; A D A M S , Arvil V . ; Z I D E R M A N ,

Adrian. The World Bank's policy paper

on vocational and technical education and

training, 127.

M I T T E R , Wolfgang. Multicultural education:

basic considerations in an interdisciplinary

approach, 31.

M O A H I , Serara. Using evaluation research for

policy and practice in Botswana, 441.

Prospects, Vol. XXII, r, N o . 4, 1992 (84)

534 Index

MoATASSiME, A h m e d . Cultural pluralism and

education in the Maghreb, 171.

M O U R A C A S T R O , Claudio de. Training policies

in the World Bank: putting the act to

gether, 141.

M U L U S A , T h o m a s . Pluralistic education in sub

sanaran Africa: an overview, 159.

M U N C K , Ingrid; B A R R I E R , Emilie. Analysing edu

cational outcomes using international data,

334.

P E L G R U M , Willem J. International research on

computers in education, 341.

P L O M P , Tjeerd. Conceptualizing a comparative

educational research framework, 278.

P R E T O R I U S , Fanie. Comparative education: per

spectives in a changing South Africa, 102.

Ross, Kenneth N . Sample design for interna

tional studies of educational achievement,

305.

R O Y S I N G H , Raja. Changing education for a

changing world, 7.

R O L C K E R , Tobias. Multicultural education, cur

ricula and strategies for their reform, 53.

R W O M I R E , Apollo. Education and development:

African perspectives, 227.

S Á R K Á N Y , Mihály. Modernization, cultural plu

ralism and identity: an approach from

cultural anthropology, 21.

SHI H U I Z H O N G ; W E I K A R T , David P.; BAIRRAO

RUIVO, Joaquim. The IEA project on pre



SCHLEICHER, Andreas; U M A R , Jahja. Data man

agement in educational survey research,

317.

S C H M I D T , William H . TIMSS curriculum analy

sis: topic trace mapping, 326.

S H U K L A , Sureshachandra. Pluralism and edu

cation in India: problems and possibilities,

195.

T A B O A D A , Eva; F U E N L A B R A D A , Irma. Curricu

lum and educational research: innovation

proposed for basic education, 93.

T A R R O W , N o r m a . Language, interculturalism

and h u m a n rights: three European cases,

489.

T I L A K , Jandhyala B . G . Education and struc

tural adjustment, 407.

T O R R E S , Rosa Maria. Alternatives in formal

education: Colombia's Escuela Nueva pro

gramme, 510.

U M A R , Jahja; S C H L E I C H E R , Andreas. Data m a n

agement in educational survey research,

317.

W A T A N A B E , Ryo. H o w Japan makes use of

international educational survey research,

455.

W E I K A R T , David P.; SHI H U I Z H O N G ; BAIRRAO

RUIVO, Joaquim. The IEA project on pre



W I L E Y , David E.; W O L F E , Richard G . Major

survey design issues for the IEA Third

International Mathematics and Science

Study, 297.

W O L F E , Richard G . ; W I L E Y , David E. Major

survey design issues for the IEA Third

International Mathematics and Science

Study, 297.

Z I D E R M A N , Adrian; A D A M S , Arvil V . ;

M I D D L E T O N , J. The World Bank's policy

paper on vocational and technical educa

tion and training, 127.

T o place your subscription prospects

T o place your subscription to Prospects' Arabic, English, French or Spanish editions, send in the order form below. Post it, with a cheque or money order in your national currency, to your national distributor, w h o is listed at the end of this review. (For the subscription price in your currency, consult your national distributor.)

Y o u m a y also send the order form to: Subscription Service, U N E S C O , 1 rue Miollis, 75732 Paris Cedex 15, France, accompanied by payment in the form of (a) a cheque in French francs m a d e out to U N E S C O ; (b) an international money order in French francs made out to U N E S C O , Subscription Service; or (c) U N E S C O international book coupons for the equivalent amount.

T o m y national distributor (or Subscription Service, U N E S C O , 1 rue Miollis, 75732 Paris Cedex 15, France). Please enter m y subscription (4 numbers per year) to Prospects, Quarterly Review of Education

al Arabic edition D English edition D French edition D Spanish edition

T h e s u m of

Annual subscription rates: D Institutions: 150 F D Individuals: 125 F D Institutions in developing countries: 125 F D Individuals in developing countries: 110 F

is enclosed in payment.

(For the price in your national currency, consult your national distributor.)

Name

Address

(Please type or print clearly)

Signature

T o m y national distributor (or Subscription Service, U N E S C O , 1 rue Miollis, 75732 Paris Cedex 15, France). Please enter m y subscription (4 numbers per year) to Prospects, Quarterly Review of Education.

D Arabic edition D English edition D French edition D Spanish edition

T h e sum of

Annual subscription rates: D Institutions: 150 F D Individuals: 125 F D Institutions in developing countries: 125 F D Individuals in developing countries: 110 F

is enclosed in payment.

(For the price in your national currency, consult your national distributor.)

Name

Address

(Please type or print clearly)

Signature

Announcing an important n e w book jointly published by

UNESCO Paris and Advent Books New York

HIGHER EDUCATION IN INTERNATIONAL PERSPECTIVE:

Toward the 21st Century Edited by Zaghloul Morsy and Philip G Altbach

Editor, PROSPECTS Professor and Director

UNESCO's Quarterly Comparative Education Center

Review of Education State University of New York,

Paris Buffalo

ISBN 0-89891-066-8 $37.50 Published January 15, 1993

A unique volume not only for the range of topics discussed but also in the diversity of the authors

and the fresh perspectives they bring. U N E S C O ' s "invisible college" of scholars around the world

was instrumental in permitting the editors to reach beyond the usual confines of Western scholarship.

Further, U N E S C O ' s translation facilities allowed them to reach out to authors writing in Arabic,

French, Spanish and Russian as well as in English.

Contents

Preface by Philip G Allbach. Introduction by Zaghloul Morsy

Part 1: Situation, Challenges and Prospects The Idea of the University: Changing Roles, Current Crisis and Future Challenges: Torsten Husénl Patterns in Higher Education Development: Toward the Year 2000: Philip Altbachl Autonomy and Accountability in Higher Education: Orlando Albornoz! Open Universities: A Comparative Approach: Tony Kaye & Greville Rumble! Privatization of Higher Education: Janhyala B G Tilakl University, Research, Development: Abdallah Larouil Universities and National Development: Issues and Problems in Developing Countries: Lawrence J Sahal Rethinking the Financing of Post-Compulsory Education: Jean-Claude Eicher & Thierry Chevaillier.

Part 2: Case Studies French-Speaking Universities in Sub-Saharan Africa: François Orivell Latin America: Higher Education in a Lost Decade: Simon Schwartzman! The Problems of Higher Education in the Arab States: Raj i Abou-Chacral Higher Education and Development: The Experience of Four Newly Industrializing Countries in Asia: Jasbir Sarjit Singh! The Development of Higher Education in Eastern and Central Europe in the Aftermath of Recent Changes: Jan Sadlakl 'Soviet' Higher Education in a Changing Political, Social and Economic Context: Stanislav Merkurievl Changing Higher Education Policy: Three Western Models: Osmo Kivinen & Risto Rinne! Higher Education in the United States in the Year 2000: D . Bruce Johnstone! Promoting Higher Education's Contribution to the Developing European Community: Hywel Ceri Jones.

INDEX

Order from Advent Books, Inc. 141 East 44th Street, New York, N Y 10017, U.S.A.

National Distributors of U N E S C O Publications

ALBANIA: 'Ndermarrja e perhapjes se librit', TIRANA.

A N G O L A : Distribuidora Livros e Publicaçôes, Caixa postal 2848, L U A N D A .

A N T I G U A A N D B A R B U D A : National Commission of Antigua and Barbuda, c/o Ministry of Education, Church Street, S T J O H N S , Antigua.

AUSTRALIA: Educational Supplies Pty Ltd, P .O. Box 33, B R O O K V A L E 2100, N . S . W . , fax: (612) 905 52 09; Hunter Publications, 58A Gipps Street, C O L L I N G W O O D , Victoria 3066, tel.: (613) 417 53 61, fax: (3) 419 71 54. For scientific maps and atlases: Australian Mineral Foundation Inc., 63 Conyngham Street, G L E N S I D E , South Australia 5065, tel.: (618) 379 04 44, fax: (618) 379 46 34.

A U S T R I A : Gerold & C o . , Graben 31, A-1011 W I E N , tel.: 55 35 0140, fax:512 47 3129-

B A H R A I N : United Schools International, P . O . Box 726, B A H R A I N , tel.: (973) 23 25 76, fax: (973) 27 22 52.

B A N G L A D E S H : Karim International, G . P . O . Box 2141, 64/1 Monipuri Para, Tejgaon, Farmgate, D H A K A 1215, fax: (880) 28 33 120.

B A R B A D O S : University of the West Indies Bookshop, Cave Hill Campus, P . O . Box 64, B R I D G E T O W N .

B E L G I U M : Jean D e Lannoy, Avenue du Roi 202, 1060 B R U X E L L E S , tel.: 538 51 69, fax: 538 08 41.

B O T S W A N A : Botswana Book Centre, P . O . Box 91, GABORONE.

BRAZIL: Fundaçâo Getúlio Vargas, Serviço de Publicaçôes, Caixa postal 9.052-ZC-02, Praia de Botafago 188, Rio D E JANEIRO (RJ) 2000, tel.: (21) 551 52 45, fax: (5521) 551 78 01; Livraria Nobel, S.A., Rua da Balsa, 559, CEP 02910 SÂo P A U L O , SP, tel.: 876 28 22, fax: (5511) 284 17 89.

C A M E R O O N : Commission nationale de la République du Cameroun pour l 'UNESCO, B.P. 1600, Y A O U N D E ; Librairie des Éditions Clé, B.P, 1501, Y A O U N D E .

C A N A D A Renouf Publishing Company Ltd, 1294 Algoma Road, O T T A W A , Ont. K1B 3 W 8 , tel.: (613) 741-4333, fax: (613) 741-5439. Bookshops: 61 Sparks Street, O T T A W A , andll 1 Yonge Street, T O R O N T O . Sales office: 7575 Trans Canada Hwy, Ste 305, S T L A U R E N T , Quebec H4T 1V6.

C H I N A : China National Publications Import and Export Corporation, 16 Gongti E. Road, Chaoyang District, P.O. Box 88, BEIJING, 100704, tel.: (01) 506 6688, fax: (861)506 3101.

C R O A T I A : Mladost, Ilica 30/11, Z A G R E B .

C Y P R U S : ' M A M ' , Archbishop Makarios 3rd Avenue, P .O . Box 1722, NICOSIA.

C Z E C H REPUBLIC: S N T L , Spalena 51, 113-02 P R A H A 1; Artia, V' Smeckach 30, P .O . Box 790, 111-27 P R A H A 1; INTES-PRAHA, Slavy Hornika 1021, 15006 P R A H A 5, tel.: (422) 522 449, fax: (422) 522 449, 522 443.

D E N M A R K : Munksgaard Book and Subscription Service, P . O . Box 2148, DK-1016, K O B E N H A V N K, tel.:

33 12 85 70, fax: 33 12 93 87. E G Y P T : U N E S C O Publications Centre, 1 Talaat Harb

Street, CAIRO, fax: (202) 392 25 66.

ETHIOPIA: Ethiopian National Agency for U N E S C O , P.O. Box 2996, A D D I S A B A B A .

FINLAND: Akateeminen Kirjakauppa, Keskuskatu 1, SF-00101 HELSINKI 10, tel.: (358) 01 21 41, fax: (358)

01 21 44 41; Suomalainen Kirjakauppa O Y , Koivuvaarankuja 2, SF-01640 V A N T A A 64, tel.: (358) 08 52 751, fax: (358) 085-27888.

F R A N C E : University bookshops «««/UNESCO Bookshop,

U N E S C O , 7, place de Fontenoy, 75352 PARIS 07 SP, tel.: (1) 45 68 22 22. Mailorders: Promotion and Sales Division, U N E S C O Publishing, U N E S C O , 7, place de Fontenoy, 75352 PARIS 07 SP, fax: (1) 42 73 30 07, telex: 204461 Paris. For periodicals: Subscription Service, U N E S C O , 1, rue Miollis, 75732 Paris Cedex 15, tel.: (1) 45 68 45 64/65/66, fax: (1) 42 73 30 07, telex: 204461 Paris.

G E R M A N Y : UNO-Verlag, Poppelsdorfer Allee 55, D - W 5300 B O N N 1, tel.: (0228) 21 29 40, fax: (0228) 21 74 91; S. Karger G m b H , Abt. Buchhandlung, Lörracher Strasse 16A, D - W 7800 F R E I B U R G , tel.: (0761) 45 20 70, fax: (0761) 452 07 14; L K G m b H , Abt. Internationaler Fachbuchversand, Prager Strasse 16, D - O 7010 LEIPZIG. For scientific maps: Internationales Landkartenhaus GeoCenter, Schockenriedstr. 44, Postfach 800830, D-70565 S T U T T G A R T , tel.: (0711) 788 93 40, fax: (0711) 788 93 54. For The UNESCO Courier': Deutscher UNESCO-Vertrieb, Basaltstrasse 57, D - W 5300 B O N N 3.

G H A N A : Presbyterian Bookshop Depot Ltd, P . O . Box 195, A C C R A ; Ghana Book Suppliers Ltd, P . O . Box 7869, A C C R A ; The University Bookshop of Ghana, A C C R A ; The University Bookshop of Cape Coast; T h e University Bookshop of Legon, P . O . Box 1, L E G Ó N .

G R E E C E : Eleftheroudakis, Nikkis Street 4 , A T H E N S , tel.: (01) 3222-255, fax: (01) 323 98 21; H . Kauffmann, 28 rue du Stade, A T H E N S , tel.: (03) 322 21 60, (03) 325 53 21, (03)

323 25 45; Greek National Commission for U N E S C O , 3 Akadimias Street, A T H E N S ; John Mihalopoulos & Son S.A. , 75 Hermou Street, P . O . Box 73, T H E S S A L O N I K I , tel.: (01) 3222-255, fax: (01) 323 98 21.

G U I N E A - B I S S A U : Instituto Nacional do Livro e do Disco, Conselho Nacional da Cultura, Avenida Domingos Ramos n.° 10-A, B .P . 104, BISSAU.

H O N G K O N G : Swindon Book Co., 13-15 Lock Road, K O W L O O N , tel.: 366 80 01, 367 87 89, fax: (852)

739 49 75.

H U N G A R Y : Kultura-Buchimport-Abt., P .O.B. 149, H -1389 BUDAPEST 62.

ICELAND: Bokabud, Mais & Menningar, Laugavegi 18,101 REYKJAVIK, tel.: (354-1) 242 42, fax: (354-1) 62 35 23.

INDIA: Orient Longman Ltd, Kamani Marg, Ballard Estate, B O M B A Y 400038; 17 Chittaranjan Avenue, C A L C U T T A 700013; 160 Anna Salai, Mount Road, M A D R A S 600002; 80/1 Mahatma Gandhi Road, B A N G A L O R E 560001; 3-6-272 Himayatnagar, H Y D E R A B A D 500029 (AP); Oxford Book & Stationery Co., 17 Park Street, C A L C U T T A 700016, andScindh House, N E W D E L H I 110001, tel.: 331 58 96,331 53 08, fax: (9111) 332 26 39; U B S Publishers Distributors Ltd, 5 Ansari Road, P .O . Box 7015, N E W D E L H I 110002, fax: (9111) 327 65 93; T .R. Publications Private Ltd, P M G Complex, II Floor, 57 South Usman Road, T . Nagar, M A D R A S 600017.

INDONESIA: P T Bhratara Niaga Media, Jalan. Oto Iskandardinata 111/29, JAKARTA 13340, tel./fax: (6221) 81 91 858; Indira P.T., P .O . Box 181, Jl. Dr Sam Ratulangi 37, JAKARTA PUSAT, tel./fax: (6221) 629 77 42.

IRAN, ISLAMIC REPUBLIC O F : Iranian National

Commission for U N E S C O , Shahid Eslamieh Bldg, 1188 Enghelab Avenue, P .O . Box 11365-4498, T E H R A N 13158, tel.: (9821) 640 83 55, fax: (9821) 646 83 67; A S H K A N 3 Co. Ltd, P .O. Box 15875-1787, 123 Dr Mofateh Avenue, T E H R A N 15717, fax: (6221) 629 77 42.

I R E L A N D : T D C Publishers, 28 Hardwicke Street, D U B L I N 1, tel.: 74 48 35, 72 62 21, fax: 74 84 16; Educational Company of Ireland Ltd, P . O . Box 43A, Walkinstown, DUBLIN 12.

ISRAEL: Steimatzky Ltd, 11 Hakishon Street, P . O . Box 1444, B N E I B R A K 51114, fax: (9723) 579 45 67; R . O . Y . International, 41 Mishmar Hayarden Street, T E L Aviv 69865 (postaladdress: P . O . Box 13056, T E L A V T V 61130), tel.: (9723) 49 61 08, fax: (9723) 648 60 39.

ITALY: L I C O S A (Librería Commissionaria Sansoni S.p.A.), via Benedetto Fortini, 120/10 (ang. via Chiantigiana), 50125 F I R E N Z E , tel.: 64 54 15/16, fax: 64 12 57; via Bartolini 29, 20155 M I L A N O ; P A O Bookshop, via delle Terme di Caracalla, 00100 R O M A , tel.: 57 97 46 08, fax: 578 26 10; ILO Bookshop, Corso Unità d'ltalia 125, 10127 T O R I N O , tel.: (011) 69 361, fax: (011) 63 88 42.

J A M A I C A : University of the West Indies Bookshop, M o n a , K I N G S T O N 7, tel.: (809) 927 16 60-9, ext. 2269 and

2325.

J A P A N : Eastern Book Service Inc., 37-3 Hongo 3-chome, Bunkyo-ku, T O K Y O 113, tel.: (033) 818-0861, fax: (8133) 818-0864.

J O R D A N : Jordan Distribution Agency, P . O . Box 375, A M M A N , tel.: 63 01 91, fax: (9626) 63 51 52; Jordan Book Centre C o . Ltd, P . O . Box 301, Al-Jubeiha, A M M A N , tel.: 67 68 82, 60 68 82, fax: (9626) 60 20 16.

K E N Y A : Africa Book Services Ltd, Quran House, Mfangano Street, P . O . Box 45245, N A I R O B I ; Inter-Africa Book Distributors Ltd, Kencom House, 1st Floor, Moi Avenue, P . O . Box 73580, N A I R O B I .

K O R E A , R E P U B L I C O F : Korean National Commission for U N E S C O , P . O . Box Central 64, S E O U L , tel.: 776 39 50/47 54, fax: (822) 774 39 56.

K U W A I T : The Kuwait Bookshop C o . Ltd, AI Muthanna Complex, Fahed El-Salem Street, P . O . Box 2942, Safat 13030, K U W A I T , tel.: (965) 242 42 66, 242 46 87, fax:

(965) 242 05 58.

L E S O T H O : Mazenod Book Centre, P . O . Box 39, M A Z E N O D 160.

LIBERIA: National Bookstore, Mechlin and Carey Streets, P .O. Box 590, M O N R O V I A ; Cole & Yancy Bookshops Ltd, P . O . Box 286, M O N R O V I A .

M A L A W I : Malawi Book Service, Head Office, P .O. Box 30044, Chichiri, BLANTYRE 3.

MALAYSIA: University of Malaya Co-operative Bookshop, P .O. Box 1127, Jalan Pantai Bahru, 59700 K U A L A L U M P U R , fax: (603) 755 44 24; Mawaddah Enterprise Sdr. Brd., 75, Jalan Kapitän Tarn Yeong, Seremban 7000, N . SEMBILAN, tel.: (606) 71 10 62, fax: (606)

73 30 62.

M A L D I V E S : Asrafee Bookshop, 1/49 Orchid Magu, M A L E .

M A L T A : L. Sapienza & Sons Ltd, 26 Republic Street, VALLETTA.

MAURITIUS: Nalanda Co. Ltd, 30 Bourbon Street, P O R T -LOUIS.

M E X I C O : Librería 'El Correo de la U N E S C O ' S.A., Guanajuato n.° 72, Col. Roma, C.P. 06700, Deleg. Cuauhtemoc, M É X I C O D.F., tel.: 574 75 79, fax: (525)

264 09 19; Librería Secur, Av. Carlos Pellicer Cámara s/n, Zona C I C O M , 86090 VILLAHERMOSA, Tabasco, tel.: (93) 12 39 66, fax: (52931) 12 74 80.

M O Z A M B I Q U E : Instituto National do Livro e do Disco (INLD), Avenida 24 de Julho, n.° 1927, r/c, and n.° 1921, 1.° andar, M A P U T O .

M Y A N M A R : Trade Corporation N o . (9), 550-552 Merchant Street, R A N G O O N .

NEPAL: Sajha Prakashan, Pulchowk, K A T H M A N D U .

N E T H E R L A N D S : Roodvelt Import b.v., Brouwersgracht 288, 1013 H G A M S T E R D A M , tel.: (020) 22 80 35, fax:

(020) 25 54 93; S D U Uitgeverij Plantijnstraat, Externe Fondsen, Postbus 20014, 2500 EA 's G R A V E N H A G E , tel.: (070) 378 98 80, fax: (070) 347 57 78. For periodicals: Faxon-Europe, Postbus 197, 1000 A D A M S T E R D A M .

N E T H E R L A N D S A N T I L L E S : Van Dorp-Eddine N . V . , P . O . Box 3001, W I L L E M S T A D , Curaçao.

N E W Z E A L A N D : G P Legislation Services, 10 Mulgrove Street, P . O . Box 12418, Thorndon, W E L L I N G T O N , tel.: 496 56 55, fax: (644) 496 56 98. Retail bookshops: Housing Corporation Bldg, 25 Rutland Street, P . O . Box 5513 Wellesley Street, A U C K L A N D , tel.: (09) 309 53 61, fax: (649) 307 21 37; 147 Hereford Street, Private Bag, C H R I S T C H U R C H , tel.: (03) 79 71 42, fax: (643) 77 25 29;

Cargill House, 123 Princes Street, P . O . Box 1104, D U N E D I N , tel.: (03) 477 82 94, fax: (6424) 477 78 69;

33 King Street, P . O . Bax 857, H A M I L T O N , tel.: (07) 846 06 06, fax: (6471) 846 65 66; 38-42 Broadway Ave., P.O. Box 138, P A L M E R S T O N N O R T H .

NIGERIA: Obafemi Awolowo University, ILE IFE; The University Bookshop of Ibadan, P .O. Box 286, IBADAN; The University Bookshop of Nsukka; The University Bookshop of Lagos; The Ahmadu Bello University Bookshop of Zaria.

N O R W A Y : Akademika A / S , Universitetsbokhandel, P .O . Box 84, Blindem 0314, O S L O 3, tel.: 22 85 30 00, fax:

22 85 30 53; Narvesen Info Center, P .O. Box 6125, Etterstad, N-0602 O S L O 6, tel.: 025 73 30, fax: 02 68 19 01.

PAKISTAN: Mira Book Agency, 65 Shahrah Quaid-E-Azam, P .O. Box 729, L A H O R E 54000, tel.: 66839, telex: 4886 UBPLK; U N E S C O Publications Centre, Regional Office for Book Development in Asia and the Pacific, P.O. Box 2034A, ISLAMABAD, tel.: 82 20 71/9, fax:

(9251) 21 39 59, 82 27 96. Sub-agent: Tayyab M . S . Commercial Services, P .O. Box 16006, A-2/3 Usman Ghani Road, Manzoor Colony, K A R A C H I 75460.

PHILIPPINES: International Book Center (Philippines), Suite 1703, Cityland 10, Condominium Tower 1, Ayala Ave., corner H . V . Delà Costa Ext., Makati, M E T R O M A N I L A , tel.: 817 96 76, fax: (632) 817 17 41.

P O L A N D : ORPAN-Import, Pake Kultury, 00-901

W A R S Z A W A ; Ars Polona-Ruch, Krakowskie Przedmiescie 7, 00-068 W A R S Z A W A .

Q A T A R : U N E S C O Regional Office in the Arab States of the Gulf, P .O. Box 3945, D O H A , tel.: 86 77 07/08, fax: (974) 86 76 44.

RUSSIAN F E D E R A T I O N : Mezhdunarodnaja Kniga, Ul. Dimitrova 39, M O S K V A 113095.

SAINT VINCENT A N D T H E GRENADINES: Young Workers' Creative Organization, Blue Caribbean Building, 2nd Floor, R o o m 12, K I N G S T O W N .

S A U D I A R A B I A : Dar Al-Watan for Publishing and Information, Olaya Main Street, Ibrahim Bin Sulaym Building, P . O . Box 3310, R I Y A D H , fax: (9661) 462 61 24.

S E Y C H E L L E S : National Bookshop, P . O . Box 48, M A H É .

S I N G A P O R E : Chopmen Publishers, 865 Mountbatten Road, N o . 05-28/29, Katong Shopping Centre, S I N G A P O R E 1543, fax: (65) 344 01 80.

SLOVAKIA: Alk Verlag, Hurbanovo nam. 6, 893-31 BRATISLAVA.

SLOVENIA: Cancarjeva Zalozba, Kopicarjeva 2, P .O. Box 201-IV, 61001 LJUBLJANA.

SOMALIA: Modern Book Shop and General, P .O . Box 951, M O G A D I S C I O .

S O U T H AFRICA: Van Schaik Bookstore (Pty) Ltd, P .O . Box 2355, BELLVILLE 7530.

SRI L A N K A : Lake House Bookshop, 100 Sir Chittampalam Gardiner Mawata, P .O . Box 244, C O L O M B O 2.

S U R I N A M E : Suriname National Commission for U N E S C O , P .O . Box 3017, PARAMARIBO, tel.: (597)

618 65, 46 18 71, fax: (597) 49 50 83 (attn. U N E S C O Nat. Com.) .

S W E D E N : Fritzes Informations Center,

Utbildningsdepartementet, Ministry of Education and Science, S-103 33 S T O C K H O L M {postaladdress: S 106 47), tel.: 468-690 90 90, fax: 468-20 51 21. For periodicals: Wennergren-Williams Informationsservice, Box 1305, S-171 25 S O L N A , tel.: 468-705 97 50, fax: 468-27 00 71; Tidskriftscentralen, Subscription Services, Norrtullsgatan 15, S-102 32 S T O C K H O L M , tel.: 468-

3120 90, fax:468-30 13 35.

S W I T Z E R L A N D : A D E C O , Case postale 465, C H - 1 2 1 1 G E N È V E 19, tel.: 943 26 73, fax: 943 36 05; Europa

Verlag, Rämistrasse 5, C H - 8 0 2 4 Z Ü R I C H , tel.: 261 16 29; United Nations Bookshop (counter service only), Palais des Nations, C H - 1 2 1 1 G E N È V E 10, tel.: 740 09 21, fax: (4122) 917 00 27. For periodicals: Naville S.A., 7, rue Lévrier, CH-1201 G E N È V E .

T H A I L A N D : U N E S C O Principal Regional Office in Asia and the Pacific ( P R O A P ) , Prakanong Post Office, Box 967, B A N G K O K 10110, tel.: 391 08 80, fax: (662)

391 08 66; Suksapan Panit, Mansion 9, Rajdamnern Avenue, B A N G K O K 14, tel.: 281 65 53, 282 78 22, fax:

(662) 281 49 47; Nibondh & C o . Ltd, 4 0 ^ 2 Charoen Krung Road, Siyaeg Phaya Sri, P . O . Box 402, B A N G K O K G . P . O . , tel.: 221 26 11, fax: 224 68 89; SuksitSiam Company, 113—115 Fuang Nakhon Road, opp. W a t Rajbopith, B A N G K O K 10200, fax: (662) 222 51 88.

T R I N I D A D A N D T O B A G O : Trinidad and Tobago National Commission for U N E S C O , Ministry of Education, 8 Elizabeth Street, St Clair, P O R T O F SPAIN, tel./fax: (1'809) 622 09 39.

T U R K E Y : Haset Kitapevi A . S . , Istiklâl Caddesi N o . 469, Posta Kutusu 219, Beyoglu, I S T A N B U L .

U G A N D A : Uganda Bookshop, P . O . Box 7145, K A M P A L A .

U N I T E D A R A B E M I R A T E S : Al Mutanabbi Bookshop, Madina Zaid, Building n°4387, doot 14 to 16, A B U D H A B I , tel.: 34 03 19, fax: (9712) 31 77 06; The British Council Book Shop, near Rashid Hospital, D U B A I , tel.: 37 62 24.

U N I T E D K I N G D O M : H M S O Publications Centre, P . O . Box 276, L O N D O N S W 8 5 D T , fax: 071-873 2000; telephone orders only: 071-873 9090; general inquiries: 071-873 0011 (queuing system in operation). HMSO bookshops: 49 High Holborn, L O N D O N W C 1 V 6 H B , tel. 071-873 0011 (counter service only); 71 Lothian Road, E D I N B U R G H E H 3 9 A Z , tel. 031-228 4181; 16 Arthur Street, B E L F A S T B T 1 4 G D , tel. 023-223 8451; 9-21 Princess Street, Albert Square, M A N C H E S T E R M 6 0 8AS, tel. 061-834 7201; 258 Broad Street, B I R M I N G H A M Bl 2 H E , tel. 021-643 3740; Southey House, Wine Street, B R I S T O L BS1 2 B Q , tel. 027-226 4306. For scientific maps:

McCarta Ltd, 15 Highbury Place, L O N D O N N 5 1 Q P ; GeoPubs (Geoscience Publications Services), 14 Orleston M e w s , Highbury, L O N D O N N 7 8LL, tel.: 071-607 90 57, fax: 071-607 50 37, and4<) Halfway Avenue, L U T O N LU4 8RA.

U N I T E D REPUBLIC O F T A N Z A N I A : Dar es Salaam Bookshop, P .O . Box 9030, D A R ES SALAAM.

U N I T E D STATES O F A M E R I C A : U N I P U B , 4611-F Assembly Drive, L A N H A M , M D 20706-4391, tel. toll-free: 1-800-274-4888, fax: (301) 459-0056; United Nations Bookshop, N E W Y O R K , N Y 10017, tel.: (212) 963-7680, fax: (212) 963-4970.

V E N E Z U E L A : Oficina de la U N E S C O en Caracas, 7. a avenida entre 7. a y 8.a transversales de Altamira, C A R A C A S , tel.: (2) 261 13 51, fax: (582) 262 04 28 (postal

address: Apartado 68394, Altamira, C A R A C A S 1062-A); Librería del Este, Av. Francisco de Miranda 52, Edificio Galipán, Apartado 60337, C A R A C A S 1060-A; Editorial Ateneo de Caracas, Apartado 662, C A R A C A S 10010; Fundación Kuai-Mare del Libro Venezolano, Calle Hípica con Avenida La Guairita, Edificio Kuai-Mare, Las Mercedes, C A R A C A S , tel.: (02) 92 05 46, 91 94 01, fax:

(582) 92 65 34.

Y U G O S L A V I A : Nolit, Terazije 13/VIII, 11000 B E O G R A D .

Z A M B I A : National Educational Distribution C o . of Zambia Ltd, P . O . Box 2664, L U S A K A .

Z I M B A B W E : Textbook Sales (Pvt) Ltd, 67 Union Avenue, H A R A R E ; Grassroots Books (Pvt) Ltd, Box A 2 6 7 , HARARE.

A complete list of all the national distributors can be obtained on request from: Promotion and Sales Division, U N E S C O Publishing, U N E S C O , 7, place de Fontenoy, 75352 P A R I S 07 SP, France, fax: (1) 42 73 30 07, telex: 204461 Paris.

U N E S C O B O O K C O U P O N S can be used to purchase all books and periodicals of an educational, scientific or cultural character. For full information, please write to: U N E S C O Coupon Office, U N E S C O , 7, place de Fontenoy, 75352 P A R I S 07 SP (France).

All correspondence should be addressed to the Editor

prospects International Bureau of Education,

Case postale 199, 1211 Geneva 20 (Switzerland)

Authors are responsible for the choice and the presentation of the facts contained in signed articles and for the opinions expressed therein, which are not necessarily those of U N E S C O and do not commit

the Organization.

T h e designations employed and the presentation of material in Prospects do not imply the expression of any opinion whatsoever on the part of

U N E S C O concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or

boundaries.

© UNESCO 1992 Published texts may be freely reproduced and translated (except where

reproduction or translation rights are reserved, indicated by ©), provided that mention is made of the author and source.

U N E S C O publications (books, periodicals and documents), including out-of-print titles, are available on microfiche.

Please address your inquiries to: Micrographie Service, Section of Archives and Micrography ( D I T / I R / A M ) ,

U N E S C O , 7 place de Fontenoy, 75352 Paris 07 S P (France).

Published by the United Nations Educational, Scientific and Cultural Organization,

7 place de Fontenoy, 75352 Paris 07 S P (France) Typeset by Éditions du Mouflon, Le Kremlin-Bicêtre (France)

Printed by Imprimerie des Presses Universitaires de France, V e n d ô m e .

Date post:	04-Oct-2018
Category:	Documents
Upload:	dinhnga
View:	215 times
Download:	0 times