Over the past several years, political scientists, sociologists, economists, historians, and scholars of related disciplines have increasingly sought to understand the contributions of conservatives and conservatism to the development of public policy, especially social, regulatory, and tax policy, in the United States. Working from diverse theoretical and empirical perspectives, scholars such as Jacob Hacker and Paul Pierson, Joe Soss, Sanford Schram, and Richard Fording, Larry Bartels, Nolan McCarty, Vesla Weaver, Loïc Wacquant, Jonathan Simon, and many others have identified important political and policymaking dynamics.Footnote 1 They have shown that diverse and sometimes conflicting groups (business and financial leaders, conservative ideologues, religious traditionalists, and citizens concerned about political and demographic shifts) have forged alliances under the banner of the Republican Party that allow them to wield considerable power in American politics. They have also revealed that these groups share an affinity for a certain bundle of policies which, when instituted with the acquiescence or active participation of “New” or “Third Way” Democrats, have significantly altered the workings of the American state. On one hand, these groups have often worked in tandem to challenge the major legacies of the New Deal-Great Society order with new marketizing (sometimes called “neo-liberal”) reforms, calling for retrenchment of major social programs, privatization of government services, deregulation of the economy, and a dramatic reduction in taxes, especially for the wealthy. On the other, the members of this conservative coalition have often advocated the infusion of social programs with new “disciplinary” (sometimes called “paternalistic”) features, which impose more stringent behavioral requirements on beneficiaries, employ testing and reporting to monitor recipient performance, and impose sanctions for non-compliance.Footnote 2
For the most part, the focus of these scholars has been on matters of tax, regulatory, and social policy; they have tended to neglect federal education policy, even though “skills and education are at the core of the welfare state”Footnote 3 and federal education policies have historically targeted disadvantaged groups.Footnote 4 According to prominent students of education policy such as Michael Apple, David Hursh, Pauline Lipman, and others, however, recent developments in education policy, which (led by the federal No Child Left Behind (NCLB) Act of 2002) have heralded a dramatic expansion of federal involvement in the areas of education standards, testing, accountability, and school choice are wholly consistent with the “marketizing” and “disciplining” reforms observed in other areas. As Hursh suggests, “NCLB, like other recent education policies promoting standardized testing, accountability, competition, school choice, and privatization, reflect the rise and dominance of neoliberal and neoconservative policy discourses over social democratic policy discourses.”Footnote 5 Similarly, Apple contends that “multiple fractions of capital”, “neo-conservative intellectuals”, “authoritarian populist religious conservatives”, and “particular fractions of the professionally oriented middle class” are the authors of recent education reforms. He concludes that the “seemingly contradictory discourse of competition, markets, and choice on one hand and accountability, performance objectives, standards, national testing, and national curriculum on the other hand … [actually] reinforce each other and help cement conservative educational positions into our daily lives.”Footnote 6
My purposes here are to determine whether recent policymaking developments in the pivotal area of federal elementary and secondary education policymaking actually conform to the developments skillfully identified by scholars in other areas of social policy; and to consider what an intensive study of federal education policymaking can tell us about broader social policymaking dynamics. Leveraging new archival, interview, and newspaper evidence, I examine the origins of the three most important federal standards, testing, and accountability laws: the Improving America's Schools Act of 1994; the No Child Left Behind Act of 2002; and the Race to the Top initiative of 2009–2010. My findings do not conform to perspectives privileging conservative coalitions and anti-egalitarian movements for marketizing and disciplining reforms. In fact, I show that certain civil rights organizations—which I will call civil rights organizations for standards and accountability, or CROSAs—have played a central role in developing and promoting standards, testing, accountability, and limited school choice policies in order to achieve what they view as fundamentally egalitarian purposes.Footnote 7 Believing that prevailing federal policies failed in their promise and that high standards and accountability for results were necessary to ensure educational opportunities for disadvantaged students, CROSAs such as the Education Trust, the Citizens' Commission on Civil Rights, the National Council of La Raza, the Education Equality Project, the NAACP Legal Defense Fund, and the Leadership Conference on Civil Rights, acted as political entrepreneurs, developing many of the policy initiatives that eventually became enshrined in law, building diverse coalitions in support of these measures, and working closely with presidents and mainly Democratic members of Congress to enact them. These groups, and their Democratic allies, were not simply the handmaidens of regnant conservative forces, or in the thrall of well-heeled corporate campaign contributors. Their approach was genuine, internally coherent, and inspired by an egalitarian vision, though (for reasons to be explained shortly) it also suffered from important limitations.
This is not to say that CROSAs were the only important contributors to the expansion of federal involvement in standards, testing, and accountability. Following previous work, I acknowledge that broader changes, including economic instability, evidence of broader educational difficulties, and the increasing salience of education issues in public opinion also influenced outcomes in federal education policymaking.Footnote 8 Second, I recognize that the entrepreneurship of the CROSAs was shaped by the need to develop new policy proposals in the face of stagnant achievement among disadvantaged students and by the realization that reorganizing federal education programs would help justify continued—indeed, expanded—federal education budgets in an era of fiscal austerity. Third, I acknowledge that the CROSAs' recommendations were contested even within liberal/Democratic circles: indeed, the CROSAs' standards, testing, and accountability agenda diverged from that of many teacher and administrator groups, which focused intently on increasing federal spending on education.
Furthermore, I do not claim that the CROSAs got everything they wanted. Though CROSAs did advocate—and help achieve—a significant expansion of federal spending in education, they did not accomplish a sweeping effort to equalize education spending at the state and local levels. Given the federal government's modest fiscal contribution to education and the nation's historic commitment to decentralized financing, this is not a great surprise. Staunch resistance from Republicans and Democrats—and their constituents at the state and local levels—made such ambitious reforms impossible. While the extent to which increased spending raises academic achievement remains a topic of some debate, there is little doubt that resource inequities (which can be severe) remain an important obstacle to equitable school improvement.
Even so, focusing on the important, if incomplete, contributions of the CROSAs sheds new light on the politics of education policymaking—and social policymaking more generally—in an era often portrayed as one of “Diminished Democracy,” “Unequal Democracy,” “Winner-Take-All Politics,” or even an “American Nightmare.”Footnote 9 While many studies portray Democratic constituencies and policymakers as largely reactive to (or ambivalent participants in) the construction of marketizing and disciplining policies spearheaded by conservative forces, my account shows that CROSAs were capable of developing and successfully advocating standards, testing, and accountability reforms that they genuinely believed would improve outcomes for disadvantaged students. They strongly favored these reforms, even when efforts to equalize funding at the state and local levels were blocked, because they believed that the status quo—which promoted neither equitable funding nor equitable commitment to academics—was much worse. Since these reforms were usually resisted by the great majority of congressional Republicans, my analysis suggests that at least some progressive groups possess the capacity to pursue novel policy paths. My findings also depart from familiar portrayals that depict the left as fragmented between a cadre of small “groups without members” that service the post-material concerns of upscale Democrats and enfeebled labor unions and fraternal organizations that fail to advance the interests of middle- and lower-class citizens. The CROSAs' legislative successes suggest that at least some group representing historically disadvantaged constituencies retain significant—if not complete—programmatic influence in American politics on issues such as education, which affect economic advancement and equality.Footnote 10
The story of the CROSAs' considerable, if incomplete, legislative successes must be tempered with a more judicious assessment of the CROSAs' achievement of their substantive objective of raising the achievement of historically disadvantaged students, however. Arguably, the CROSAs' reforms have promoted much greater attention to the achievement of disadvantaged students and spurred a vigorous debate about how to raise the performance of these groups. The palpable evidence of educational inequalities generated by standards-based assessments, as well as data demonstrating that students in some schools can make impressive gains in the face of obstacles to achievement, creates strong political pressure to address educational inequities. However, recent research suggests these reforms have thus far achieved a mixed record in elevating student achievement among disadvantaged students; positive results, when they appear, occur more frequently in mathematics than in reading, for example, and may be distributed differently among stronger and weaker students and among different racial groups. Standards, testing, and accountability reforms may also narrow the curriculum, encourage rote teacher-directed education, and induce schools to undertake other undesirable behaviors to try to artificially boost student achievement.Footnote 11 Finally, accountability reforms may generate equity concerns insofar as sanctions are concentrated in schools serving disadvantaged students.
The challenges of improving education are further heightened if we step back to consider them in broader context. In part due to the efforts of conservative forces, government involvement in the social and economic spheres has failed to keep pace with important changes that have exposed many Americans to heightened risks.Footnote 12 The weight of such risks—declining or volatile wages, lack of access to adequate health and retirement care, family instability, and so forth—is borne most heavily by fragile families and people of color. In consequence, even the promising features of standards, testing, and accountability reforms are likely to be somewhat blunted by broader social and economic dynamics that are likely to adversely affect the academic achievement of disadvantaged students.Footnote 13
Finally, the CROSAs' legislative successes have also strained the Democratic Party's coalition. Teachers and school administrators, two important constituencies of the Democratic Party, have generally expressed major reservations about federally-led standards, testing, and accountability reforms, especially when unaccompanied by a major transformation of the nation's system of education finance. The institutionalization of standards, testing, and accountability reforms has put teachers and school administrators, and their allies in the Democratic Party, on the defensive. If the story of federal standards, testing, and accountability reforms illustrates the influence of an important Democratic constituency, it is unclear whether it indicates the health of the Democratic Party.
Ultimately, my study suggests both the possibilities and the limitations of social policymaking today. On one hand, it suggests that progressively-minded groups may have opportunities to act as political entrepreneurs, developing ideas, seizing opportunities, and building coalitions to accomplish legislative reforms that they believe will help advance egalitarian objectives. On the other hand, my findings suggest that progressive groups may find achieving important legislative goals easier than accomplishing substantive objectives, especially when the broader social and economic contexts are unfavorable. Furthermore, accomplishing legislative objectives may unleash complex and unpredictable political consequences. There has been considerable policy change promoted by the CROSAs, and some progress in the direction favored by the CROSAs, but fundamental transformations that move education in a more egalitarian direction remain elusive.Footnote 14
Conservatives and Policymaking in the United States
We are currently in the midst of a research boom on conservatives and their impact on American politics. Political scientists, sociologists, economists, historians, and scholars from related disciplines have engaged in a systematic analysis of the origins of modern conservative ideas; the emergence of various conservative factions and the tensions and resonances between them; the forging of organizations and networks to influence elections and policymaking; and the impact of conservative electioneering and lobbying on developments in many areas of policy, especially social welfare, regulatory, and tax policy.Footnote 15
To be sure, considerable debate remains about why conservatives have gained increasing political power; which conservative groups have the most influence; which policy areas are changing most significantly; and what role Democrats and liberals have played in these developments. While it is important to keep these nuances in mind, it is possible to draw several general conclusions from this scholarship. The first is that diverse conservative groups, including corporate and financial leaders, conservative intellectuals, religious traditionalists, and racial conservatives have forged a durable, if occasionally tense, political alliance within the Republican Party to accomplish joint objectives. As Jacob Hacker and Paul Pierson put it in a recent study of the politics of economic inequality, “the leaders of the Christian right have formed an alliance, through the Republican Party, with powerful interests [in the corporate sector and the intellectual conservative movement] deeply committed to advancing a winner-take-all economy.”Footnote 16 The second is that this heterogeneous alliance has made a profound mark on politics and policymaking over the past generation, both by helping to elect majorities favoring shared objectives, and by developing the organizational muscle and ideological wherewithal to lobby effectively for these priorities. As scholars such as Hacker and Pierson, Mark Blyth, Steven Teles, Andrea Campbell, and Mark Smith have shown, the major factions of the conservative alliance have invested heavily in building intellectual, media, fundraising, and grassroots infrastructures that have helped them consolidate control of the Republican Party, elect conservative candidates to office, and lobby for their favored policies.Footnote 17
Third, many scholars agree that the diverse strands of the conservative movement have converged on a practical policymaking approach—increasingly embedded in the contours of public policy—which combines a commitment to marketizing reforms (welfare state retrenchment, economic deregulation, privatization of government services, and tax cuts) with an embrace of the disciplinary power of the state to promote markets and enforce standards of personal conduct. As Hacker, Pierson, Nolan McCarthy, and other scholars have noted, conservatives have subtly challenged universal programs such as Social Security and Medicare by introducing private-sector competitors (such as Individual Retirement Accounts and Health Savings Accounts) or by eroding their fiscal integrity through massive tax cuts. Empowered by a political polarization which has made gridlock a frequent occurrence, they have also largely succeeded in blocking federal government efforts to address risks, such as divorce, unemployment, and income volatility, which have intensified over the past several decades.Footnote 18
At the same time, scholars have suggested, conservatives have sought to transform social programs—especially but not exclusively those serving the poor—so that they operate “according to market logics, become more reliant on market actors to achieve [their] purposes, and can be used affirmatively as a tool for constructing markets, serving well-positioned market actors, and enforcing compliance for poorly-positioned market actors,” in the words of Sanford Schram, Joe Soss, Linda Houser, and Richard Fording.Footnote 19 As Schram, Soss, Fording, and their coauthors show in a series of compelling articles, Temporary Assistance to Needy Families (formerly Aid to Families with Dependent Children) has emerged as a prototypical marketizing/disciplining policy, integrating market mechanisms into welfare provision, shifting the emphasis of welfare from poverty alleviation to work enforcement, and using sanctions to induce compliance with market norms.Footnote 20 Many scholars have noted a marketizing/disciplining turn in criminal justice policy as well. Whether in response to the increasing social marginality of low-income citizens or as a conservative reaction to the civil rights movement, Michael Tonry, Loïc Wacquant, Bruce Western, and Vesla Weaver have traced both an increasingly harsh system of criminal justice and an infusion of the carceral system with marketizing features such as for-profit prisons, private policing, and low-wage prison labor.Footnote 21 The themes of monitoring and punishing are not limited to “welfare” or criminal justice, however; scholars such as Jonathan Simon and David Garland also find them in areas such as domestic relations and the workplace.Footnote 22
Although the “marketizing” and “disciplining” impulses seem tension-ridden in theory, perceptive analysts such as Soss, Schram, and Fording and Wacquant, as well as Wendy Brown and David Harvey, have made a convincing case that they are often consonant in fact.Footnote 23 In contemporary conservatism, the state works actively to promote both a market-oriented economic order in which individuals compete for opportunities and take responsibility for their own self-care, and a conservative political and moral environment emphasizing personal responsibility, self-regulation, and acquiescence to authority. Many agree that these policies and norms have contributed significantly to economic inequality and to the growing marginalization of disadvantaged people, especially those of color.Footnote 24
In short, while there are important nuances and differences of opinion, many analysts have converged on the view that diverse conservative forces have embraced a marketizing/disciplining policy paradigm and significantly reshaped the trajectory of social policymaking in the United States.Footnote 25 However, researchers have also noted the important role of Democrats and liberals in the development of a more marketizing and disciplinary style of social policymaking, though there are some different, albeit complimentary, views on the nature and causes of Democratic contributions. In some renditions, Democrats, led by “New” Democrats, embraced more conservative positions on tax, regulatory, and social welfare matters as a coping strategy to address the party's unpopularity and poor electoral performance in the post-1968 period.Footnote 26 This Democratic drift has been reinforced by party members' increasing reliance on the contributions of corporate leaders and the financial services industry to fund their campaigns.Footnote 27 Another not inconsistent view, pioneered by Theda Skocpol, is that the Democratic coalition has bifurcated in ways that have tended to bring about more conservative outcomes on matters of public policy.Footnote 28 As she explains, “while privileged Americans continue to join membership groups—especially professional associations—blue collar unions and long-standing membership federations involving ordinary citizens have dwindled. Professionally managed “public-interest” advocacy groups seek monetary contributions, not active members, and on balance tend to promote causes of special concern to well-to-do and highly educated Americans.”Footnote 29 With wealthier liberals preoccupied with “quality of life” issues such as environmentalism, good government, and group rights, and membership groups serving progressively-minded middle- and lower-class citizens in decline, conservative efforts to remake tax, regulatory, and social welfare policies along more marketizing/disciplining lines have faced less effective opposition among grassroots Democrats or their elected officials.Footnote 30
Although relatively few political scientists and scholars from related fields have closely studied conservatives' influence on education,Footnote 31 students of education policy have echoed their conclusions in studying the rise of standards, testing, accountability, and choice policies. Michael Apple summarizes many of these claims, describing the rise of a powerful conservative alliance and articulating their primary interests.
A “new” set of compromises, a new alliance, and new power bloc have been formed that have increasing influence in education and all things social. This power bloc combines multiple fractions of capital who are committed to neoliberal marketized solutions to educational problems, neoconservative intellectuals who want a “return” to higher standards and a “common culture,” authoritarian populist religious fundamentalists who are deeply worried about secularity and the preservation of their own traditions, and particular fractions of the professionally oriented new middle class who are committed to the ideology and techniques of accountability, measurement, and “management.” Although clear tensions and conflicts exist within this alliance, in general its overall aims are to provide the educational conditions believed necessary both for increasing international competitiveness, profit, and discipline and for returning us to a romanticized past of the “ideal” home, family, and school.
The objectives in education are the same as those that guide its economic and social welfare goals. They include the dramatic expansion of … the free market; the drastic reduction of government responsibility for social needs; the reinforcement of intensely competitive structures of mobility both inside and outside the school; the lowering of people's expectations for economic security; the “disciplining” of culture and the body; and the popularization of what is clearly a form of Social Darwinist thinking.Footnote 32
As Apple and others such as David Hursh, Kenneth Saltman, Henry Giroux, and Pauline Lipman suggest, this set of commitments has led conservatives to promote reforms in education that parallel those in other areas of social policy.Footnote 33 Rather than strip away government powers in education, the “conservative alliance” has sought to reshape and redirect them toward marketizing reforms such as school vouchers and charter schools, on one hand, and disciplining reforms such as standards, testing, accountability, on the other.Footnote 34 In this perspective, NCLB (and related federal education reforms) represent the culmination of the conservative-led marketizing/disciplining project. According to Pauline Lipman,
with George W. Bush's federal education legislation (endorsed by Congress), the No Child Left Behind Act of 2001 (NCLB), school accountability, high stakes tests, standards, and systems of punishment and reward have been made official policy and the dominant education agenda in the U.S…. These policies are just one aspect of the larger neoliberal project to privatize public institutions and commodify public and private life while increasing state regulation of individuals and institutions through new forms of accountability, testing, standards, and surveillance.Footnote 35
Although Democrats, especially “New” Democrats, may have been forced to acquiesce to (or been co-opted into supporting) these new education policies, the results are profoundly illiberal, according to this view; these policies reinforce economic inequalities and undermine democratic practices by “sorting” students in ways that reify race and class inequities, imposing punishments primarily on schools serving disadvantaged groups, narrowing the curriculum to the study of reading and mathematics, and replacing the broad civic and social missions of schooling with a narrow vocational focus.Footnote 36
Limitations of Prevailing Views
The studies considered above have made important contributions to our understanding of the trajectory of policymaking in the United States over the past several decades. But they are not beyond reproach. Several general limitations, as well as a few empirical problems specific to education policy, deserve mention.
One general difficulty is the tendency of scholars to contrast marketizing and disciplining reforms, usually linked with conservatives and Republicans, with the socializing and enabling policies historically associated with liberals and Democrats (at least, prior to the rise of the New Democrats).Footnote 37 The implication, underscored repeatedly in studies of standards, testing, and accountability reforms in education, is that marketizing and disciplining policies are motivated by fundamentally inegalitarian impulses and generally bring about inequitable results.Footnote 38 But I see no a priori reason to link marketizing and disciplining policy instruments—even in the context of social policy—to one ideology or another. Scholars such as Stephen Skowronek remind us that savvy political actors, seeking to advance their interests or achieve their ideological objectives, can adapt ideas and policy tools to purposes wholly unanticipated by their originators.Footnote 39 What really defines the political meaning of marketizing and disciplining reforms is the intent of the authors, the design of the policies, the targets of government action, and ultimately the results.Footnote 40 To be sure, a given marketizing or disciplining reform may be imbued with inequitable intentions, and it may produce unjust results. But if certain liberal or Democratic groups can reappropriate such policy instruments for their own purposes, perhaps neither of these conditions may hold.
This point dovetails with my second concern about much existing work on conservatism and policymaking: a prevailing tendency to deny liberal and Democratic groups much agency in the politics of contemporary policymaking. In most studies in this genre, liberals and Democrats are either defeated by better-organized and better-funded opponents, lured away from their principles by the demands of electoral competition, co-opted by the promise of campaign funds or special benefits, or fragmented so that they cannot offer effective opposition. In consequence, liberals and Democrats are often portrayed in a reactive mode, coping with their political disadvantages by acquiescing to conservative-led reforms when out of power and adopting them as their own when controlling the reins of government.Footnote 41 But this portrait of Democratic weakness and immobility is difficult to reconcile with the dynamic agency so frequently ascribed to conservative forces. If conservative groups and their elected representatives have been so effective recently in articulating new ideas, crafting novel strategies, raising funds, and mobilizing new constituencies, shouldn't Democrats possess similar agency to reverse their position (or at least exert considerable influence over policymaking)?Footnote 42 After all, at least since William Riker, scholars have known that the losers in a political struggle can regain influence by raising new issues, crafting fresh policy solutions, and building novel coalitions.Footnote 43 It is not my intention to deny historical examples of liberal/Democratic defeat, co-optation, or fragmentation, or to claim that progressively-oriented groups can accomplish any objective. But I find it implausible that liberals and Democrats are inevitably forced into a defensive crouch. I want to suggest that, at least under certain circumstances, liberals and Democrats may be able to craft strategies and policies that are simultaneously (1) motivated by egalitarian values and (2) politically successful.
The case for considering the possibility of liberal and Democratic agency is strengthened when we reflect on two empirical anomalies attending the rise of standards, testing, accountability, and public school choice reforms in federal education policymaking. The first relates to the way that these reforms are structured. Unlike marketizing and disciplining reforms in, say, federal welfare or criminal justice policymaking, recent federal education reforms do not dramatically escalate market provision or values in the context of education, nor do they target socially marginal citizens for discipline and punishment. Although recent federal education reforms promote public charter schools, the role for the private sector remains sharply limited.Footnote 44 More revealingly, rather than seek to manage or harass disadvantaged populations, recent federal education reforms use monitoring and sanctioning techniques in an effort to pressure schools to raise the achievement of disadvantaged students, which has historically lagged that of affluent and white students. Consider the No Child Left Behind Act, the most prominent federal education standards and accountability law. The law mandates that all students achieve academic “proficiency”—as defined by states—by 2014, and requires schools to report the yearly progress of all student groups toward this standard. If a school's disadvantaged students do not make annual academic progress, the school may be subject to an escalating series of sanctions under the law, even if the average student is succeeding. These pivotal features of the law—which the Leadership Conference on Civil Rights views as preserving the “rights of children to obtain a quality education”Footnote 45 —are disciplinary, but not in the way conservatives usually intend. In fact, prominent conservative pundits such as Frederick Hess of the American Enterprise Institute and Chester Finn and Michael Petrilli of the Thomas B. Fordham Institute criticize NCLB precisely because it focuses so much attention on disadvantaged students, thereby diverting attention from higher-performing (and presumably white) ones.Footnote 46 What, then, accounts for the peculiar structure of recent federal standards, testing, and accountability reforms?
Indeed—and this is the second empirical anomaly—conservatives and Republicans, especially those in Congress, have generally opposed the expansion of new federal disciplinary controls in education policymaking (the claims of scholarship reviewed above notwithstanding). While most Republicans vociferously promoted marketizing reforms to federal education policymaking, and supported standards, testing, and accountability reforms voluntarily established at the state level, they consistently resisted efforts to expand federal involvement in education standards, testing, and accountability unless one of their own was president (as was the case with No Child Left Behind). They have been especially skeptical of reforms that have placed the spotlight on the low achievement of disadvantaged students and generated pressure to alter schools serving them. Even in the case of NCLB, Republicans only backed the law because their president had staked his political credibility on it, not because they agreed with its policy features.Footnote 47 From where, then, did the impetus for these reforms come?
CROSA's Political Entrepreneurship and Federal Standards, Testing, and Accountability Reforms
I believe we can begin to answer these questions—and enhance our broader understanding of the dynamics of social policymaking today—by considering how political entrepreneurs can shape politics and policymaking. For several decades, scholars have been turning to political entrepreneurs to help explain important instances of institutional change.Footnote 48 Political entrepreneurs are “individuals whose creative acts have transformative effects on politics, policies, or institutions.”Footnote 49 Seeking to upset existing arrangements and install new institutions that further their ideological and material interests, entrepreneurs engage in an array of creative behaviors to produce political change. First off, entrepreneurs exploit moments of opportunity to draw attention to a new issue or alter the way a salient issue is discussed.Footnote 50 Drawing together normative, causal, and political arguments, entrepreneurs craft a powerful narrative that transforms the brute facts of the situation into a “problem” or “crisis” demanding attention in the political arena.Footnote 51 Having identified a “problem” in need of remediation, entrepreneurs develop a causal story that locates the origins of the problem in some existing set of institutions, discrediting the status quo and setting the stage for a new policy departure.Footnote 52 Entrepreneurs complete the rhetorical circle by proposing a policy “solution” or “blueprint” that explains how to change existing institutions in order to resolve the problem at hand.Footnote 53
A central part of entrepreneurs' rhetorical project is the creative recombination of existing problem and solution ideas. Political actors appropriate claims of authority from diverse sources, combining various ideas to make their purposes resonate.Footnote 54 As Adam Sheingate suggests, creative recombination not only allows for the construction of novel ideas from existing ones; it also “allows entrepreneurs to consolidate their innovations by building robust coalitions in support of institutional change.”Footnote 55 Indeed, effective ideational innovation is tied to entrepreneurial mobilization, organization-building, and coalition formation. Moving from the realm of ideas to the field of action, entrepreneurs undertake the hard work of organizing potentially sympathetic groups and brokering political compromises among contending interests.Footnote 56 Political entrepreneurs also pay the costs of disseminating ideas, developing means for presenting their proposals in an accessible format and conveying them to a broad audience. Identifying potential opportunities with which to pursue an agenda—for example, a sympathetic legislator willing to submit legislation, an effective venue in which to plead one's case—is another important activity that political entrepreneurs may undertake.Footnote 57
These insights form the theoretical backbone of my argument that CROSAs played a pivotal role in crafting federal standards, testing, and accountability reforms in education. Always motivated by the desire to expand educational opportunities for disadvantaged students, CROSAs were spurred to embrace a new agenda of standards, testing, and accountability by profound dissatisfaction with the status quo. Stagnating achievement trends among historically disadvantaged students in the 1990s, evident on the National Assessment of Educational Progress, revealed the inadequacy of existing federal, state, and local policies and stimulated a search for new policy solutions.Footnote 58 The permissive approach of existing federal education policies—nothing happened if the students served by these programs failed to learn—was undermined by its uneven record in improving the achievement of eligible students.Footnote 59 Furthermore, from the 1980s onward, CROSAs amassed copious evidence that (in their view) proved that state and local leaders systematically discriminated against disadvantaged students by holding them to lower standards. This encouraged CROSAs to look to the federal government for accountability leadership.Footnote 60
At a broader level, the rise of marketizing, monitoring, and disciplining themes under the guise of the “New Public Management” provided new, politically potent ways of talking about the reform of public programs, just as CROSAs were becoming disillusioned with the poor performance and lack of accountability of federal, state, and local education policies.Footnote 61 Yet whereas conservative political entrepreneurs were seizing on these policy ideas to reconstruct areas of social policymaking on more conservative, inegalitarian lines, the case studies show that CROSAs intended to adapt them to pressure the federal government and the states to focus on raising the achievement of disadvantaged students and take action if these students did not make progress. Indeed, in one sense, the CROSAs' strategy could be seen as a new twist on the traditional civil rights strategy of attempting to leverage federal authority and resources to overcome states' and localities' habitual tendency to neglect disadvantaged populations in the context of education.Footnote 62 In another sense, however, this approach was different, especially insofar as it placed the emphasis more firmly on performance evaluation and accountability, albeit with a link to increased education spending, rather than on access and resources alone.
This agenda both overlapped with, and departed from, aspects of the agendas of both the Democratic and Republican parties. Democrats had long championed the cause of historically disadvantaged students and endorsed federal efforts to promote their interests, spearheading efforts to build the Elementary and Secondary Education Act and other federal education programs. However, some Democrats have also been influenced by the major teacher unions and education administrator groups, which opposed standards and accountability policies both because they were seen as pedagogically suspect and because they exposed schools to the threat of sanctions. While CROSAs agreed with teachers and administrators that more money was needed for education—and, indeed, fought consistently for expanded education spending at the federal, state, and local levels—they insisted that states, localities, and schools demonstrate that they were using federal funds in an effective manner to raise the achievement of disadvantaged students. Many Republicans claimed to support raising standards and holding schools accountable for results. But Republicans generally preferred promoting private school choice and devolving authority to states and localities, rather than federally-led standards, testing, and accountability reforms, as means to improve schools. In contrast, CROSAs viewed vouchers and block grants as threats to public education and to government efforts to target disadvantaged students for assistance. Given their long experience with state and local governments, CROSAs were especially skeptical of the notion (often voiced by Republican politicians) that states and localities would work hard to improve education for disadvantaged students in the absence of federal pressure.Footnote 63
To negotiate this complex policymaking environment and make their influence felt in national politics, CROSAs acted as political entrepreneurs. First, they worked to shape the education discourse, highlighting the low achievement of disadvantaged and minority students, locating this problem in existing educational institutions, developing novel policy solutions featuring standards, assessments, and accountability for results, and explaining why these reforms served disadvantaged students. Second, they recruited powerful political allies in the executive branch and Congress who could translate their objectives into public policies. Finally, CROSAs helped construct a broad, diverse legislative coalition favoring federal standards, testing, and accountability reforms. Amidst political shakeups that frequently threatened to upend federal standards, testing, and accountability laws, CROSAs repeatedly rallied Democratic officials to support these initiatives. They also forged lasting tactical alliances with powerful business organizations, such as the Business Roundtable and the National Alliance of Business, which hoped that federal standards, testing, and accountability reforms would strengthen the nation's “human capital.”
In what follows, I document my claims through an examination of the historical development of federal standards, testing, and accountability reforms. My analysis centers on the sequential debate and enactment of the three most important reforms: the Improving America's Schools Act of 1994; the No Child Left Behind Act of 2002; and the Race to the Top initiative of 2009–2010.Footnote 64 Drawing on dozens of original interviews, fresh archival evidence, and an analysis of many primary and secondary sources, my approach is historical, tracing the mechanisms by which CROSAs shaped federal standards, testing, and accountability laws over the course of several decades.Footnote 65 To further reinforce the plausibility of my claims, I present evidence that casts doubt on the adequacy of alternative claims about the origins of these policies (i.e., that conservative Republicans spearheaded these reforms, or that New Democrats adopted them as a coping mechanism).Footnote 66 This approach is particularly appropriate for the argument I seek to make. As Paul Pierson explains in a series of compelling works, a historical approach is ideal for “explaining important or surprising patterns, events, or arrangements” rather than very general processes presumed to apply to all times and places; analyzing the complex interplay among various actors and institutions, as opposed to the behavior of one actor or institution; and assessing dynamic processes that unfold over time, rather than those which occur at a particular moment in time.Footnote 67 This “process tracing” approach has additional methodological virtues. Because it examines a process within a case (federal education policymaking in the United States) that plays out over time (i.e., a “within-case” approach), and draws on many pieces of evidence to support the various aspects of my argument, my approach avoids some of the problems of “selection bias” that can confound quantitative and qualitative studies that rely only on cross-sectional variation as the basis for inference (i.e., “cross-case” approaches).Footnote 68
I conclude with a discussion of the broader policy and political consequences of the CROSAs' entrepreneurship. As I suggest, while the CROSAs' contributions to the politics of education policymaking are indisputable, the prospects of advance toward their substantive objectives are less certain.
The Commission on Chapter 1 and The Improving America's Schools Act, 1990–1994
The contribution of CROSAs to federal leadership of standards, testing, and accountability reforms began with their entrepreneurial framing of legislation that would become the Improving America's Schools Act of 1994 (IASA). The IASA reconfigured the Elementary and Secondary Education Act, the premier federal program serving disadvantaged students, to require states to adopt education standards in math and reading, institute aligned tests, develop school report cards, and ensure that all students made progress toward the same high standards.Footnote 69 The IASA thus anticipated the No Child Left Behind Act and the initiatives of the Obama administration, inaugurating both a significant expansion of federal involvement in standards, testing, and accountability and an intensified focus on the academic achievement of historically disadvantaged students.Footnote 70
To grasp why CROSAs advocated such reforms in the early 1990s, some historical context is necessary. Prompted by widespread fears of economic and educational decline, an “excellence in education” movement, featuring more rigorous course requirements, new teacher standards, and expanded education funding, had swept through the states in the 1980s.Footnote 71 Hoping to profit politically from the interest surrounding education, George H.W. Bush styled himself an “education president” and proposed a number of relatively modest reform measures, all of which were rejected by the Democratic Congress.Footnote 72 In any case, Bush's proposed reforms failed to highlight the special challenges facing disadvantaged students or to pressure schools to address these students' needs. During Bush's presidency, the achievement of disadvantaged students began to stagnate; additionally, reputable contemporary studies indicated that teachers still held lower expectations for these students; that these students were exposed to less challenging materials; and that these youths were less satisfied with themselves and their school experiences.Footnote 73
These developments antagonized CROSA leaders such as William Taylor and Dianne Piche of the Citizens' Commission on Civil Rights; Kati Haycock of the Children's Defense Fund; Cynthia Brown of the Council of Chief State School Officers' civil rights unit; Phyllis McClure of the NAACP Legal Defense Fund; and David Hornbeck, a private lawyer (and former Children's Defense Fund chairman), each of whom had a long record of experience in the federal education policy community. These figures were especially frustrated that earlier “excellence in education” reforms did not seem to have made much of a dent in the achievement gap.Footnote 74 Viewing the status quo as unacceptable, they set out to change it. Thus, in December 1990, with support from liberal foundations, they formed a Commission on Chapter 1 (named after the most important chapter of the ESEA) to develop a comprehensive plan for reauthorizing the ESEA which would “use or change Chapter 1 to provide a challenging educational program of deep content to educationally disadvantaged students.”Footnote 75
To bolster the viability of their project, these activists reached out to education policy luminaries (including close confidantes of Arkansas governor and Democratic presidential hopeful Bill Clinton, Marshall Smith of Stanford University, and Marc Tucker of the National Center on Education and the Economy), as well as to representatives of the National Education Association and the American Federation of Teachers. Further broadening their coalition, Commissioners also invited representatives of the Business Roundtable and National Alliance of Business to participate in the Commission's deliberations.Footnote 76
CROSAs not only brought together diverse groups to promote a common purpose; they also recombined ostensibly “liberal” concerns about the achievement of disadvantaged students with ostensibly “conservative” standards, testing, and accountability proposals to craft a novel approach to educating the disadvantaged. Although the Commission's professed target was the federal Elementary and Secondary Education Act, its chief criticism of the law was not that ESEA was internally flawed. Rather, reflecting their native skepticism of states and localities when disadvantaged students were concerned, the CROSAs main complaint was that the ESEA failed to transform state and local policies that discriminated against disadvantaged students by holding them to lower standards. Appropriating the themes of standards and accountability for their own purposes, CROSAs proposed to remedy this situation by leveraging the ESEA to require states and localities to adopt reforms that would hold schools accountable for raising the achievement of disadvantaged students.Footnote 77 As the Commission explained in its report, Making Schools Work for Children in Poverty,
our message to the teachers, principals, and other adults in schools serving poor children is this: You hold in your hands the keys to the future of poor and minority children. If you have high expectations for their achievement, establish clear standards for student work, employ instructional practices with demonstrated effectiveness, and enlist parents and others in reducing barriers to learning, your students absolutely will achieve at much higher levels. The evidence in support of these beliefs is so convincing that we have proposed a new “compact” between the federal government and the schools serving poor children. You make the decisions on how to get students to high standards and how to spend your Chapter 1 [of the ESEA] money. Rather than second guessing your decisions, the government will invest heavily in assuring that your knowledge and skills are at their peak and that you have adequate resources at your disposal, and then hold you accountable for results.Footnote 78
Indeed, anticipating the provisions of NCLB, the Commission proposed that each state set high education standards for all students, as well as performance benchmarks that calculated student progress against the standards; develop assessments that gauged all students' progress toward the standards; establish annual report cards that tracked schools' yearly progress in raising both the achievement of all students and the performance of disadvantaged groups; institute criteria that measured whether students' and schools' yearly academic progress was “adequate”; and implement accountability systems that rewarded or punished districts and schools based on their performance. States would also have to expand investment in teacher professional development and target ESEA funds to disadvantaged districts and schools. Finally, in a reflection of the fear that fiscal differentials would undercut reforms, the Commission recommended that the ESEA induce states and localities to reduce financial inequalities between districts and schools so that all children would have greater opportunity to reach high levels of achievement.
Despite its radical approach, the Commission's report received a warm welcome in Congress, in no small part due to the effective entrepreneurship of Commission members.Footnote 79 The Commission greased the legislative wheels with a well-planned advocacy blitz. It organized numerous briefings with members of Congress and congressional staff; distributed thousands of copies of its report to opinion-makers and elected officials; held regional briefings throughout the United States; and (building on its existing relationships with the Business Roundtable and the National Alliance with Business) consolidated support in the business community. These efforts were supplemented with an organized grassroots campaign, in which Commissioners passed information about their activities to grassroots activists and urged them to write members of Congress and the administration in support of the Commission's recommendations.Footnote 80
With comprehensive legislative language in hand, the Commission possessed considerable legislative advantages over its major competitors—the teacher unions and the education administrator groups, on one hand, and small-government conservative activists, on the other—who had only developed vaguely-worded general principles for reform of the ESEA by the end of 1992. The major teacher and administrator groups, aligned in a “Reauthorization of Hawkins/Stafford Consortium” (named after the most recent reauthorization of ESEA) called for increased spending on traditional federal education programs, as well as for new spending on health and social services.Footnote 81 At the same time, William Taylor recalled that “most Republicans favored block grants to the states and waivers of requirements, ideas that were antithetical to the principle that school authorities should be held accountable for student progress.”Footnote 82
The CROSAs' effective agenda-setting eased Bill Clinton's embrace of the Commission on Chapter 1's agenda as his own. Clinton had amassed an impressive education record during his tenure as governor of Arkansas, and had campaigned on the promise to improve schools during the 1992 presidential campaign to address broader public fears about education and the economy.Footnote 83 He had not, however, articulated a clear agenda for reforming the ESEA.Footnote 84 Lacking an agenda of his own, Clinton borrowed heavily from Making Schools Work for Children in Poverty. Clinton's Secretary of Education, Richard Riley, tapped Commission member Marshall Smith to develop the administration's ESEA reauthorization proposal; Smith subsequently worked closely with Commission members in developing the administration's plan.Footnote 85 In the end, administration officials reassured House Democrats in mid-1993 that “our proposal is generally consistent with the recommendations of the Commission on Chapter 1.”Footnote 86 However, anticipating resistance from both Democrats and Republicans, Clinton's IASA proposal did not detail the testing, reporting, and accountability requirements with the specificity envisioned by the Commission. Furthermore, and much to the chagrin of Commission members, Clinton also dropped the controversial proposal to pressure states to equalize education spending in the face of staunch Republican opposition.Footnote 87
Democrats held a commanding advantage in the House of Representatives (with 258 members) and the Senate (with 57 votes), allowing them to seize the initiative. Initially, some Democrats (and their allies in the teacher union and school administrator groups) expressed misgivings about the changes proposed in the IASA. Their main concerns were that federal standards, testing, and accountability reforms shifted the discussion from school resources to school performance; and that these reforms would tend to narrow the curriculum and alter teachers' pedagogy.Footnote 88 Even without the strong commitment to remediating fiscal inequities at the state and local levels, CROSAs still viewed the IASA as far superior to a status quo which they believed failed to address both fiscal and academic inequities. Consequently, Commission on Chapter 1 members worked to shore up Democrats' support for the IASA, forging ties with top congressional Democrats and lobbying heavily to convince the rank-and-file. Civil rights activists won over the top Democratic education policymakers in the Senate, Edward Kennedy of Massachusetts and Claiborne Pell of Rhode Island, who emerged as early advocates of the IASA. When influential House Education Committee member George Miller of California joined the group, the CROSAs could claim the support of some of the most prominent Democrats.Footnote 89 Meanwhile, former House Education and Labor Committee chief counsel John Jennings explained, “[David Hornbeck, Kati Haycock, and other CROSA leaders] influenced liberals by creating a more open attitude that changes should be made to Title I of the Elementary and Secondary Education Act.”Footnote 90
These efforts proved largely successful: Democrats, not Republicans, provided 230 of the 262 votes in favor of the law in the House, as well as 56 of the 77 favorable votes in the Senate. In the end, the Democrats' allies among teachers and school administrators also grudgingly signed onto the IASA, but more because they wanted to reauthorize federal funding streams than because they favored standards, testing, and accountability reforms.Footnote 91 The demands of legislative compromise whittled away some of the more stringent features of the Commission's framework, as noted above, as well as the most expansive efforts to redress funding inequities. Even so, as the Commission on Chapter 1 had envisioned, the IASA “lay the foundation for a new accountability regime” focused on raising the achievement of historically disadvantaged students, requiring states and localities to adopt high standards and assessments for all students in order to be eligible for ESEA funds.Footnote 92 Immediately after enactment, Commission on Chapter 1 members viewed the law as a major legislative achievement that embodied many of their proposed reforms.Footnote 93
CROSAs and No Child Left Behind, 1995–2002
The IASA, which CROSAs viewed as a major if incomplete victory, was jeopardized however by the “Republican Revolution” of 1994, which put Republicans in control of Congress for the first time in forty years. Contrary to accounts portraying conservative activism as the primary impetus for federal standards, testing, and accountability policies, the new Republican majority vehemently opposed the IASA. Operating under a mandate to “Privatize, Localize, Consolidate, [and] Eliminate,” a Republican House Education Task Force recommended in May 1995 the elimination of the Department of Education and the transformation of the IASA into a block grant.Footnote 94 Facing withering criticism from resurgent Republicans, the administration retreated from enforcement of the IASA, promising that “we will regulate only when absolutely necessary, and then in the most limited, non-burdensome way possible.”Footnote 95 Subsequently, administration officials granted generous waivers to states and localities seeking relief from IASA rules, and turned a blind eye when they failed to meet the act's requirements.Footnote 96
In the absence of vigorous federal oversight, state implementation of the IASA was slow and uneven. Fewer than half of the states had completed work on the standards and assessments required under the IASA by 2001.Footnote 97 Furthermore, many states were “not positioned to hold schools and districts accountable for outcomes of disadvantaged students” due to uneven collection and reporting of student performance data and inappropriate use of exemptions to exclude certain students from accountability tests.Footnote 98 Finally, rather than hold all schools and students to the same high standards, many states established different, usually less rigorous, accountability systems for schools serving concentrations of disadvantaged students.Footnote 99 This development dashed the hopes of CROSAs who had anticipated that the IASA would improve outcomes for disadvantaged students. Indeed, the experience reconfirmed the CROSAs' long-held view that states and localities would not work to raise the achievement of disadvantaged students unless the federal government took a more muscular role. As Kati Haycock later explained, “[Under the IASA], far too often … states fell significantly short in developing the necessary assessment, accountability, and public reporting systems. Most school systems continued to perform at a level that was “good enough” on overall averages, allowing schools to hide the underperformance of some groups beneath school averages.”Footnote 100
While the IASA regime imploded, neither Republicans nor Democrats were particularly focused on federal standards, testing, and accountability reforms. Congressional Republicans remained wedded to a voucher-and-block-grant approach to dealing with education. Their main policy contribution, the “Academic Achievement for All Act” (also known as “Straight A's” or “Super Ed-Flex”), would have created a fifteen-state pilot program allowing participating states to transform fourteen federal education programs into block grants in exchange for a promise to the federal government to improve student achievement over a five-year period.Footnote 101 Most congressional Democrats, along with allies among the teacher and school administrator groups, mirrored Republicans in turning away from federal standards, testing, and accountability reforms. In contrast with Republicans, however, they focused on expanding federal commitments to programs such as Even Start and Head Start, and extending federal support to new teacher hiring, class-size reduction, and school rehabilitation and modernization initiatives.Footnote 102 Given the wide gulf between Republican and Democratic priorities, neither side made much headway.
Frustrated that prevailing political dynamics blocked progress on their favored reforms, CROSAs renewed their entrepreneurial activities to revive support for federal standards, testing, and accountability reforms, along with a major injection of federal education spending. The Citizens' Commission on Civil Rights and the Center for Law and Education published a series of reports condemning the Clinton administration, congressional Republicans, and the states for undermining the IASA. For example, the Citizens' Commission on Civil Rights issued a study in the fall of 1998, Title I in Midstream, which concluded that “the shortcomings of [Title I of the IASA] flow in large measure from the failure of federal, state and local officials to heed the call of the new law to renovate and reform the educational system.”Footnote 103 To bolster the case for renewed federal enforcement of standards, testing, and accountability reforms, CROSA leaders set out to “prove” that these policies raised student achievement among poor and minority students. Kati Haycock's Education Trust administered a survey of 1,200 high-performing schools serving concentrations of poor students in the fall of 1998 to identify the factors contributing to their effectiveness. Analyzing their data, Education Trust concluded that “the findings [of our analysis] seem to validate” high, common standards, aligned assessments, and accountability for results as means for helping disadvantaged students.Footnote 104
As Charles Barone (then a chief legislative assistant for Democratic Representative George Miller) recalls, these analyses helped revive enthusiasm for expanded federal leadership in school reform in Congress, especially among Democrats, by “showing that states were using bad tests and weren't disaggregating their test score trends by race, poverty, and other characteristics,” thereby obscuring the performance of disadvantaged students.Footnote 105 Thus, while most Republicans continued to push voucher and block grant schemes in 1998 and 1999, CROSA organizations such as the Education Trust and the Center on Law and Education built on this intellectual foundation to collaborate with influential Democrats such as Senators Edward Kennedy and Jeff Bingaman and Representative George Miller on plans to reform the IASA.Footnote 106 CROSA leaders and their Democratic allies agreed that the major lesson of the previous few years was that a mere return to the IASA status quo would not suffice. Rather, efforts “to strengthen and improve the law” were needed, the Education Trust explained.Footnote 107 Noting that disadvantaged students were still disproportionately likely to be served by teachers with modest credentials, CROSA leaders also hoped to pressure states and localities to provide these students with “highly-qualified” teachers.Footnote 108 To bolster resources for education and expand their coalition, CROSAs also proposed to significantly increase federal spending on education.
Accordingly, with the support of the Education Trust, Miller championed the “Student Results Act” in 1999, which anticipated No Child Left Behind by mandating that states be held accountable for closing the achievement gap, bringing all students to proficiency within ten years, and assuring that all teachers were well-qualified.Footnote 109 Perhaps surprisingly, given Republicans' continued dominance of the House, the “Student Results Act” proved popular, passing the House in a bipartisan vote. Meanwhile, the Center for Law and Education teamed up with Senator Bingaman to develop extremely specific interventions for schools which repeatedly failed to raise the achievement of disadvantaged students. As education policy scholar Elizabeth DeBray explains, these proposals “would survive into the 107th Congress and become the foundation for the accountability provisions in No Child Left Behind.”Footnote 110
The ideas championed by the CROSAs even shaped the “Public Education Reinvestment, Reinvention, and Responsibility Act” of 1999 (often dubbed the “3R's bill”), a proposal developed by Andrew Rotherham of the Progressive Policy Institute and offered by Senate “New Democrats” that is widely viewed as a precursor of NCLB.Footnote 111 Rotherham assumed that the federal government would “stay the course” on reforms championed by the Commission on Chapter 1 and embedded in the IASA while adding new performance incentives and regulatory relief and expanding federal education spending.Footnote 112 Additionally, the proposal relied heavily on recommendations from the Citizens' Commission on Civil Rights' 1999 missive, Title I in Midstream: The Fight to Improve Schools for Poor Kids, to justify its approach.Footnote 113 The “3 R's” bill also apparently borrowed its accountability language from the plan developed by the Center on Law and Education and Senator Bingaman.Footnote 114 Rather than merely a New Democratic genuflection to conservative education priorities, then, “3R's” was shaped by the CROSAs' view that strong standards and accountability reforms would improve educational outcomes for disadvantaged students.
Meanwhile, CROSAs continued to build support for standards, testing, and accountability reforms with business leaders, as they had in the early 1990s. Coordinating their response, the Business Roundtable, the National Alliance of Business, and other corporate lobbies reinforced the CROSAs' agenda by publicly lobbying for federal reforms that would bolster the IASA.Footnote 115 These corporate organizations were simultaneously encouraging Republican presidential candidate George W. Bush to embrace this agenda.Footnote 116
The 2000 presidential campaign overwhelmed efforts to reauthorize IASA prior to the election. Nonetheless, George W. Bush's close advisor Sandy Kress, widely viewed as a primary author of No Child Left Behind, calls CROSAs the “real intellectual fathers of NCLB.”Footnote 117 In fact, the proposals advocated by the CROSAs and their congressional allies in 1999 and 2000 went further than Bush's “No Child Left Behind” blueprint by insisting that all students make academic progress each year, that all students reach “academic proficiency” within ten years, and that all teachers be “highly qualified” by 2005. Much to the chagrin of congressional Republicans and intellectual conservatives, who questioned the efficacy and desirability of these comparatively stringent federal measures, a version of each of these proposals made it into NCLB.Footnote 118
As CROSAs built the foundation for NCLB with Democrats, Republicans, led by presidential candidate Bush, were slowly backing away from their attack on the federal role in education in response to very strong public opposition to this stance.Footnote 119 During his successful 2000 presidential election campaign, Bush made education a signature initiative, promising to promote sweeping school reforms if elected. Given Republicans' control of Congress, conservatives eagerly awaited a proposal featuring vouchers and block grants; indeed, conservative Republicans' wariness of federal involvement was such that Bush's personal intervention was needed to block a vigorous effort to make abolishing the Department of Education a plank of the Republican platform.Footnote 120 But Bush's “No Child Left Behind” blueprint, which built on the reforms he had pioneered in Texas, much more heavily emphasized the standards, testing, and accountability reforms recommended by the CROSAs eight years earlier through the Commission on Chapter 1 than the voucher and block grant initiatives conservatives prized.Footnote 121 Because the CROSAs and their congressional allies “were already headed in the direction favored by Bush” (according to National Governors Association executive director Ray Scheppach), the stage was set for bipartisan agreement.Footnote 122 Realizing that he needed Democratic votes in the tightly divided Senate, Bush chose to work very closely with Miller and Kennedy during legislative consideration of No Child Left Behind. Indeed, Bush ultimately proved willing to jettison conservative Republicans' favored vouchers and block granting reforms to preserve federal standards, testing, and accountability proposals negotiated with the Democrats.
While Bush whipped ambivalent Republicans into line, the CROSAs consolidated Democratic support with an energetic lobbying campaign.Footnote 123 As Andrew Rotherham explains, organizations such as the Education Trust, the Center on Law and Education, and the National Council of La Raza possessed considerable “moral authority” with liberal Democrats due to their steadfast advocacy of the interests of disadvantaged groups, and thus were effective in convincing Democrats to back the legislation.Footnote 124 CROSAs were particularly important in promoting the view among Democrats, made more plausible in light of the IASA debacle, that vigorous federal enforcement was necessary to ensure that states and localities held schools accountable for the achievement of disadvantaged students. Furthermore, according to Kati Haycock, “some of the anxiety [among NCLB skeptics in the Democratic Party] was resolved” by the CROSAs' advocacy of a dramatic expansion in federal education spending.Footnote 125 In a blow to congressional Republicans, who hoped to moderate federal education spending, CROSAs and Democrats secured the largest budget increase in ESEA's history.Footnote 126 To be clear, though, I do not claim that the CROSAs got everything they wanted on resource/fiscal matters; in particular, as during the Clinton years, muscular federal efforts to pressure states to generate greater fiscal equity were suppressed or defeated, the price of securing more rigorous federal standards, testing, and accountability reforms. Republicans' control of the presidency and the House of Representatives ensured that no bill including strong fiscal equity provisions could prevail.
If the obstacles to fiscal equalization were insurmountable, the CROSAs remained committed to NCLB on the grounds that standards, testing, and accountability reforms, along with a big injection of federal education aid, marked a profound improvement over the status quo. The CROSAs' advocacy of NCLB reforms thus helped pave the way for Democratic support. With Bush (and the CROSAs' allies in the business community) pressuring Republicans to support the initiative, the legislation was passed with virtual unanimity in both houses. NCLB tightened federal standards, testing, and accountability regulations initiated by the IASA, requiring states to establish annual tests in grades 3–8, to monitor schools' annual progress in raising students' achievement, and to implement a series of escalating sanctions against schools whose students failed to make annual academic progress.Footnote 127 Notably, NCLB's approach turned a spotlight on the progress of disadvantaged students, pressuring schools to focus on raising their achievement. Consequently, many CROSA leaders were pleased with these features of the law. In July 2002 testimony, Harvard Law Professor Christopher Edley averred that “for the first time the academic achievement of the major racial and ethnic groups, socio-economically disadvantaged students, English language learners, and children with disabilities, will be at the core of whether our schools are judged to be successful.”Footnote 128
Frustrated that the law neglected school vouchers, limited grant consolidation, and expanded federal involvement in education, conservatives were much less enthusiastic about NCLB. “It's a modest improvement over current law … Nothing to celebrate,” groused the conservative Thomas B. Fordham Foundation's Chester Finn in December 2001.Footnote 129 Krista Kafer of the conservative Heritage Foundation agreed, dubbing NCLB “a small but costly step toward reform.”Footnote 130
However, if conservatives were disappointed by NCLB, teachers and school administrators were hardly enthusiastic. Realizing that many of the teacher and administrator groups opposed expansive federal standards, testing, and accountability initiatives—especially without a concomitant commitment to pressure states and localities to equalize education spending—the chief Democratic and Republican negotiators had worked with considerable success to shield the developing legislation from their purview.Footnote 131 Thus, in the end, the “Unions' Positions [were] Unheeded on [NCLB],” the journal Education Week reported.Footnote 132 This did not bode well for the relationship between the CROSAs and the educational community within the Democratic Party. Whereas the CROSAs hoped to strengthen and expand the law in the future, major teacher and school administrator organizations soon inaugurated a campaign to roll back many of its provisions. By 2003, in fact, the National Education Association initiated what NEA president Reg Weaver described as a “full-court, legislative press to fix and fund” the law in 2003. “I think any pretense of support [for No Child Left Behind] has been swept away,” declared NEA chief counsel Robert Chanin.Footnote 133
CROSAs and Race to the Top
Implementation of NCLB produced widespread consternation. NCLB's standards and accountability provisions affected schools in communities throughout the nation, working to label a growing proportion of schools “in need of improvement” and subject to sanction under the law. Although high-poverty, high-minority, and large urban schools were most likely to be identified for improvement, 15 percent of all schools were so identified in 2006–2007; in some states, however, the proportion of identified schools reached 30, 40, and even 50 percent.Footnote 134 While the Bush administration instituted a series of technical changes between 2003 and 2008 to give states and localities greater flexibility in implementing NCLB's provisions, frustration with the law grew, both among conservative activists and their representatives in Congress, and among teacher and administrator groups and their supporters in the Democratic Party. Contending that NCLB interfered with state and local decisions and encouraged them to “dumb down” their standards, many conservatives called for reforms that would loosen the law's mandates and devolve authority to the states.Footnote 135 Teacher and administrator groups formed an umbrella coalition, the Forum on Educational Accountability, to promote major alterations to NCLB; their primary position was that “rather than making accountability the central component of ESEA, the law must make capacity-building central.”Footnote 136 Advocating a sharp reduction in NCLB's legal requirements, the Forum also called for expanded federal funding to reduce class sizes, promote individualized instruction, and enhance teacher professional development and training.
Meanwhile, and in a parallel with the experience of the IASA, many states implemented NCLB's provisions in ways that were interpreted by CROSA activists as efforts to dilute the law's ability to help disadvantaged students. The Department of Education found that “states used the flexibility provided by NCLB to establish accountability systems that varied in terms of the rigor of their academic standards, the level at which they set proficiency, the type of assessments they use, and the manner in which they calculated AYP and set their annual proficiency targets.”Footnote 137 States and districts also shied away from implementing the most intensive accountability measures.Footnote 138 Equally worrisome to CROSA leaders, some state teacher quality policies lacked rigor, potentially undermining (in the CROSAs' view) their efforts to secure “highly qualified” teachers for disadvantaged students.Footnote 139
Drawing on econometric studies, as well as their own analyses of accountability reforms, these CROSAs remained convinced that standards and accountability reforms worked for disadvantaged students. In their view, states' and localities' failure to adequately implement reforms explained NCLB's relatively modest impact.Footnote 140 CROSAs' commitment to federal standards, testing, and accountability reforms was evident in their response to bipartisan efforts, inspired both by conservative activists and by teacher and administrator groups, to weaken the law. When conservative Republican Sam Graves of Missouri and liberal Democrat Tim Walz of Minnesota cosponsored a proposal that would suspend NCLB's accountability measures in 2008, CROSAs, led by the Leadership Conference on Civil Rights, lobbied successfully to have the measure withdrawn.Footnote 141
While they acknowledged that some technical changes were needed, CROSA leaders advocated reforms that would tighten NCLB's requirements to ensure that standards, testing, and accountability reforms benefited disadvantaged students. First, believing that some states lowered their academic standards in order to achieve proficiency, CROSA activists proposed requiring states to establish standards aligned with college and workplace expectations.Footnote 142 Second, because they believed that NCLB's “highly qualified teacher” provisions failed to motivate states to improve the quality of teachers serving disadvantaged students, CROSA leaders such as Kati Haycock of the Education Trust demanded that “teachers who cannot demonstrate that they can boost student learning should get assistance, but then should not continue teaching if they do not improve.”Footnote 143 Third, to ensure that disadvantaged students were taught by effective teachers, the CROSAs recommended requiring states and localities to develop comprehensive information management systems capable of tracking students' achievement growth and linking it to the performance of school staff.Footnote 144
To promote these goals with Congress and the public, the Education Trust, the Citizens' Commission on Civil Rights; the National Council of La Raza, and the Links, Incorporated (a professional association for women of color) in 2005 once again teamed up with top business lobbies in a new organization, NCLB Works! Footnote 145 The Education Equality Project, a like-minded organization headed by the Reverend Al Sharpton and New York City Schools Chancellor Joel Klein, engaged in similar lobbying and public relations efforts.Footnote 146 Attempts to reauthorize NCLB prior to the 2008 presidential election failed, however, because the deep-seated disagreements between CROSA leaders, teacher unions and school administrators, and conservative Republicans reviewed above could not be resolved.
Because Democratic presidential contender Barack Obama rarely spoke about education during the 2008 campaign, it was unclear how his administration would approach NCLB and other education issues. Since his election, however, Obama has embraced many elements of the post-NCLB CROSA agenda. Obama selected Arne Duncan, a strong advocate of standards and accountability, for Education Secretary over Stanford education scholar Linda Darling-Hammond, who, while an advocate of civil rights, questioned the wisdom of standards and accountability reforms (Darling-Hammond was also the preferred candidate of the major teacher and school administrator groups).Footnote 147 Though Duncan is known for his ties to the business community, he also has a long personal and professional history of working on behalf of disadvantaged students.Footnote 148 Furthermore, during his tenure at the helm of the Chicago School District Duncan had advocated reforms—including basing teacher pay in part on performance, closing chronically struggling schools, and expanding charter schools—which had long been recommended by the CROSAs.Footnote 149 When Duncan was nominated by Obama, the Leadership Conference on Civil Rights wrote to “express our strong support for President-elect Obama's designee Arne Duncan for U.S. Secretary of Education,” and to admonish federal officials to stay the course on standards, testing, and accountability.Footnote 150
It is thus no surprise that the Obama administration's ambitious Race to the Top initiative—which draws on a $4.35 billion discretionary fund from the American Reinvestment and Recovery Act (the largest discretionary fund ever made available for education, and part of a much larger $100 billion grant for education that sought to compensate for state and local education budgets that were devastated by the recession)—embraces many of the proposals recommended by CROSAs during the 2007–2008 NCLB reauthorization debate. RTT encourages states to compete for federal education funds; to be eligible, states have to show that they are working to adopt the kinds of reforms CROSAs (and their business allies) had proposed, such as developing college and career ready standards and assessments; building data systems that link student achievement to teachers and administrators; rewarding effective school personnel; and turning around struggling schools.Footnote 151 The CROSAs cheered Obama's reforms; the Leadership Conference on Civil Rights declared that “we share President Obama and Secretary Duncan's commitment to ensuring that education funding … support real reforms that will actually reach every child in America and help provide them with a first-rate education.”Footnote 152
If the CROSAs generally lauded Obama's approach, however, neither conservative Republicans nor the teacher and administrator groups (and their Democratic allies) were pleased. Predictably, conservative Republicans complained that Obama's approach was too centralizing, limiting states' and localities' flexibility to craft policies that conformed to local conditions. However, teacher and administrator groups were similarly outraged that the Obama administration persisted with the federally-led standards, testing, and accountability reforms that they believed interfered with teaching and put too much accountability pressure on schools and teachers. In the summer of 2010, in fact, the National Education Association voted to take a position of “no confidence” in the Race to the Top program.Footnote 153
Discussion
As the foregoing reveals, CROSAs played an active and highly influential role in the development of federal standards, testing, and accountability reforms in education. Believing that existing federal education policies had not done enough to raise the achievement of disadvantaged students, and that state and local governments could not be trusted with disadvantaged students without federal oversight, CROSAs advocated a novel form of federal education policymaking that they believed put standards, testing, and accountability reforms in the service of improving schools serving poor and minority children. Acting as political entrepreneurs, the CROSAs developed new ideas, built coalitions, and established close working relationships with presidents and important members of Congress to translate their proposals into policy reality.
To be sure, the CROSAs did not get everything that they wanted. In particular, while CROSAs did help significantly expand federal investments in education, they did not accomplish the much more ambitious goal of pressuring states and localities to attain greater equity in school finance. Lack of success in this area can be chalked up to the federal government's limited contribution to education spending, the nation's historic commitment to decentralized education financing, and many citizens' (and, thus, policymakers') unwillingness to radically alter extant arrangements. Even if we take this into consideration, however, the CROSAs made pivotal contributions, especially by successfully advocating federal policies that put the spotlight on disadvantaged students.
My findings enrich our understanding of the potential agency of liberal and Democratic constituencies in an era of conservative influence. They suggest that liberally-minded constituencies may not be doomed to serve as handmaidens for conservative ideologies and interests; instead, they may possess some agency to develop and institute policies that they genuinely believe will promote opportunities for disadvantaged citizens. In particular, my findings highlight the potential influence of political entrepreneurs willing and able to seize ideological opportunities, reframe policy ideas, and build novel coalitions. In an age of economic inequality, it is also significant that CROSAs were able to obtain notable leverage over federal education policy, which Americans generally view as being central to economic and social opportunity.Footnote 154 This suggests that the divisions within Democratic ranks may not inevitably forestall plausible efforts to promote greater equality of opportunity.
While it would be comforting to tell a simple story of CROSAs' legislative achievements, however, things are actually much more complex. If the CROSAs have enjoyed considerable, if not complete, legislative successes, they have faced greater challenges in attaining their substantive goal of raising the achievement of disadvantaged students. According to a recent review by prominent policy analysts Helen Ladd and Douglas Lauen, the general conclusion of much recent research on standards, testing, and accountability policies is that “the introduction of a school-based accountability program generally raises achievement when achievement is measured by the high-stakes test used in the accountability system. Studies also report small positive achievement effects when achievement is measured by a low-stakes test, such as the National Assessment of Education Progress (NAEP).”Footnote 155 However, these studies also suggest that effects are often considerably larger in mathematics than in reading, as Thomas Dee and Brian Jacob confirm in an important recent evaluation of the effects of NCLB on student achievement.Footnote 156 Furthermore, there is considerable ongoing debate about how achievement gains are distributed among students of different races and achievement levels; some studies find that the benefits of accountability are distributed broadly, while others caution that gains may be concentrated among students of certain racial groups, or among those nearest the “proficiency” cut-point.Footnote 157 Standards, testing, and accountability reforms may have undesirable spillover consequences for the ways schools operate, as well. Schools may narrow their curricula and focus on preparation for exams; in the extreme, they may resort to undesirable “gaming” strategies to artificially boost test scores.Footnote 158 If standards, testing, and accountability reforms have accomplished more than their detractors claim, then, they also have achieved less than their supporters have hoped.
Undoubtedly, this is due at least in part to the fact that federal standards, testing, and accountability reforms have been cast against a broader social and economic context that is not especially favorable for student achievement—particularly for historically disadvantaged students. In a context of economic and social instability—intensified by the recession of 2008–2010 and the subsequent slow recovery—the gradual erosion of important public supports has intensified the difficulties facing many American families, especially the most vulnerable.Footnote 159 Consequently, the more promising features of education accountability abrade uneasily against less promising social and economic dynamics, partially blunting the positive aspects of these reforms.
The political consequences of the rise of standards, testing, and accountability reforms are equally complex. The CROSAs' legislative successes have generated tensions within the Democratic Party, pitting advocates of federally-led standards, testing, and accountability against those who believe that decentralized political control and expanded education spending are the keys to stronger schools. While these tensions arguably pale in comparison to the CROSAs' and the teachers' shared animosity toward Republican marketizing and disciplining reforms in other areas of social policy, it is possible that they could make coordination on shared objectives more difficult in the future. A more general conclusion is that the policy victories of the CROSAs, an important Democratic constituency, do not necessarily redound to the members of the Democratic Party as a whole.
Even so, an analysis of the CROSAs' contributions to the rise of standards, testing, and accountability reforms suggests some of the important possibilities, as well as the real limits, of social policymaking today. Rather than a triumphant story of CROSAs' political success or a doleful tale of their failure, my analysis suggests a more ambiguous lesson of partial, and as yet incomplete, policy reform. Much in education policy has changed; some of these changes are arguably desirable; while others are probably unwelcome. This is not inconsistent with my argument about the CROSAs' political influence; rather, it places their influence in the broader context of politics and policymaking in the United States' complex political system. Only time will tell if the constraints on federal education policymaking, not to mention social policymaking in general, will yield to approaches that more fully promote equality of opportunity for disadvantaged citizens.