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A procedural framework for reflective problem setting in policy research : the case of schools Owen-Clarke, Patricia 1989

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A PROCEDURAL FRAMEWORK FOR REFLECTIVE PROBLEM SETTING IN POLICY RESEARCH: THE CASE OF SCHOOLS By PATRICIA OWEN-CLARKE A., The University of S h e f f i e l d (England), 1955 .Ed., The University of V i c t o r i a (B.C.), 1977 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENT FOR THE DEGREE OF DOCTOR OF EDUCATION in THE FACULTY OF EDUCATION (Department of Administrative, Adult and Higher Education) We accept t h i s thesis as conforming to the required standard THE UNIVERSITY OF BRITISH COLUMBIA July 1989 ® P a t r i c i a Owen-Clarke, 1989 In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. Department of R^«*,Ws\vfaJti K/C J A*J ufiJt" Q_*U-3 IWakfl-f £< «^*aa-fc«on The University of British Columbia Vancouver; Canada DE-6 (2/88) ABSTRACT T h i s s t u d y was prompted by t h e c u r r e n t l y t r o u b l e d s t a t e o f p u b l i c s c h o o l i n g i n Canada and t h e U n i t e d S t a t e s ; and by t h e p e r c e i v e d need f o r an a n a l y t i c a l t e c h n i q u e t h a t would e n a b l e p o l i c y m a k e r s t o pay c o n s c i o u s a t t e n t i o n t o t h e t a s k o f problem s e t t i n g — a s a c r i t i c a l l y i m p o r t a n t p r e c u r s o r t o t h e t a s k o f problem s o l v i n g . I n q u i r y was, t h e r e f o r e , d i r e c t e d a t d e v e l o p i n g , and a p p l y i n g t o t h e case o f s c h o o l s , an approach t o r e f l e c t i v e problem s e t t i n g proposed by R e i n and SchOn (1977) . Premised on t h e n o t i o n t h a t t h e f r a m i n g o f problems depends upon m e t a p h o r s t h a t a r e o f t e n u n w i t t i n g l y , and c o n s e q u e n t l y , u n c r i t i c a l l y used t o make sense of t r o u b l e -some s o c i a l s i t u a t i o n s - - t h i s a p p r o a c h i s c o n c e r n e d w i t h s u b j e c t i n g t o s c r u t i n y t h e deep metaphors found t o u n d e r l i e t h e ' s t o r i e s ' t o l d a b o u t p r o b l e m a t i c s o c i a l s i t u a t i o n s . A c c o r d i n g l y , a p r o c e d u r a l f r a m e w o r k was d e v e l o p e d f o r u n c o v e r i n g , and a n a l y s i n g such metaphors, and f o r exa m i n i n g t h e i r p o l i c y - r e l a t e d u t i l i t y . T h e s e p r o c e d u r e s w e r e a p p l i e d — i n t h e c a s e o f s c h o o l s - - t o t h e a n a l y s i s o f a m a j o r po1 i c y - i n f l u e n c i n g document o f our t i m e s , namely, t h e 1983 Rep o r t by t h e U.S. N a t i o n a l Commission on E x c e l l e n c e i n E d u c a t i o n t i t l e d , "A N a t i o n a t R i s k : The I m p e r a t i v e f o r E d u c a t i o n a l Reform." The. f i n d i n g s of t h i s a n a l y s i s suggested t h a t the Commission had ( m e t a p h o r i c a l l y ) v i e w e d t h e s c h o o l as an i n d u s t r i a l workplace w i t h a mass production mode of technology: one whose l e v e l and standard of p r o d u c t i v i t y had s l i p p e d , and whose need was f o r the i m p l e m e n t a t i o n of more r i g o r o u s q u a l i t y c o n t r o l measures. I n r e s p o n s e t o t h e c r i t i c a l a p p r a i s a l o f t h i s metaphoric frame, the problem of schools was reframed as one i n v o l v i n g the need f o r second-order system change; t he school being seen (metaphorically) as a mass production workplace i n need of gea r i n g - u p t o a ' p r o c e s s ' mode of technology (focussed on the continuous 'flow' of l e a r n i n g ) . The o r g a n i z a t i o n a l c h a r a c t e r i s t i c s found i n w o r k p l a c e s h a v i n g a 'p r o c e s s ' mode of t e c h n o l o g y were p r o j e c t e d t o suggest the a n a l o g i c a l i m p l i c a t i o n s f o r the s c h o o l of tomorrow. Given the p o s i t i v e nature of these i m p l i c a t i o n s , i t was concluded t h a t t h i s metaphor f o r change merited the a t t e n t i o n o f e d u c a t i o n a l p o l i c y m a k e r s ; and t h a t t h e p r o c e d u r a l framework used t o frame i t w a r r a n t e d f u r t h e r i n v e s t i g a t i o n by p o l i c y a n a l y s t s . i i i TABLE OF CONTENTS Page LIST OF TABLES x v i i LIST OF FIGURES x v i i i ACKNOWLEDGEMENTS xxi Chapter 1. INTRODUCING THE STUDY 1 OVERVIEW 2 The "ProblenTof Schools . . . 2 "Getting the Problem Right" for Policymaking . 4 Problem Framing . . 6 PURPOSE OF THE STUDY 8 Knowledge Related to the Policymaking Process 9 Assumptions 9 Policymaking process-related questions . . . 10 Policy-Issue Related Knowledge 10 Assumptions 10 School policy-issue related questions . . . 11 STRUCTURE AND ORGANIZATION OF THE STUDY . . . . 11 I: Framework for the Integrated Study 12 General perspective 12 Organization 13 II: An Approach to Reflective Problem Setting in Policy Research 13 Chapter Page General p e r s p e c t i v e 13 Organization 14 I I I : The Case of Schools 14 General p e r s p e c t i v e 14 Organization 15 2. FRAMING THE METHODOLOGICAL PROBLEMS OF REFLECTIVE PROBLEM SETTING . . . 17 The Approach to Problem S e t t i n g Proposed by Rein and Schttn 18 The 'Methodological Problem' 19 APPROACHING THE QUESTION OF PROBLEM SETTING . . 19 Assumptions 19 The Problem-Setting Process 20 Problem S e t t i n g as Unconscious Reasoning . . . 20 Framing the problematic s i t u a t i o n 20 Co n c e p t u a l i z i n g the process of unconscious problem s e t t i n g 22 Generative Metaphor 25 I n t e r p r e t i n g Problem-Setting S t o r i e s 28 Surface metaphors 28 Deep metaphors 2 8 Bounding the Problematic S i t u a t i o n 29 Preparatory Research Tasks 30 DISCOVERING THE PROBLEM FRAME 31 Examining the Story 31 Procedural Considerations 33 SPELLING OUT THE GENERATIVE METAPHOR 34 v Chapter Page Seeking A n a l o g i c a l S t r u c t u r e 34 Procedural Considerations 35 ELABORATING THE ASSUMPTIONS OF THE METAPHOR . . 36 Using Theories and Models 36 De f i n i n g theory 37 De f i n i n g model 38 Procedural Problems . . . . 38 JUDGING THE ADEQUACY OF THE PROBLEM FRAME . . . 39 The C r i t e r i a f o r D e f i n i n g Adequacy 39 Procedural Considerations 39 CONFIRMING/REFRAMING THE PROBLEM TO BE ADDRESSED 42 The Process of Reframing 42 De l i b e r a t e frame r e s t r u c t u r i n g . . . . . . 42 The p e r s i s t e n c e of o l d metaphors 43 Procedural Considerations 44 CHAPTER SUMMARY 45 Preparatory Research Tasks 45 Sub-Problems 45 3. FRAMING THE PROCEDURES FOR REFLECTIVE PROBLEM SETTING 4 6 PREPARATORY RESEARCH TASKS 47 Bounding the Problematic S i t u a t i o n 47 S e l e c t i n g the Documentation to be Analysed . . 48 A v a i l a b i l i t y of r e l e v a n t problem-s e t t i n g s t o r i e s 48 Research requirements 51 v i Chapter Page UNCOVERING THE GENERATIVE METAPHOR UNDERLYING THE PROBLEM FRAME 53 Sub-Problem [1]: G u i d e l i n e s f o r I d e n t i f y i n g Relevant (Metaphoric) Data 53 "Schema r e c o g n i t i o n " 54 Schema pattern-seeking 55 SPELLING OUT THE UNDERLYING GENERATIVE METAPHOR 57 Sub-Problem [2]: Framework For S p e l l i n g Out A Generative Metaphor 57 Examining Normative Assumptions 58 ELABORATING THE ASSUMPTIONS OF THE METAPHOR . . 59 Sub-Problem [3]: Framework f o r E l a b o r a t i n g the Assumptions of The Metaphor 61 Kaplan's P a t t e r n Model 62 EXAMINING THE POLICY-RELATED UTILITY OF THE PROBLEM FRAME 64 Sub-Problem [4]: Bases f o r the S e l e c t i o n of C r i t e r i a f o r Examining the U t i l i t y of A Given Problem Frame 64 C r i t e r i a f o r judging the p o l i c y - r e l a t e d u t i l i t y of program e v a l u a t i o n . . . . . . 64 C r i t e r i a f o r judging frame adequacy i n the f i e l d of s o c i a l science 65 Sub-Problem [5]: C r i t e r i a f o r Judging the ' V a l i d i t y ' of I n t e r p r e t i v e Accounts . . . 68 Sub-Problem [6]: C r i t e r i a f o r Examining the U t i l i t y of A Given Problem Frame . . . 70 The p l a u s i b i l i t y of a (metaphoric) frame . . 70 The (metaphoric) appropriateness of a frame 71 The u t i l i t y of a problem frame 72 Sub-Problems [7] & [8]: Procedural Framework f o r Examining A Problem Frame and f o r Reframing the Problem 72 v i i Chapter Page CONFIRMING/REFRAMING THE PROBLEM . 76 CHAPTER SUMMARY 77 4. BOUNDING THE PROBLEMATIC SITUATION: THE CASE OF SCHOOLS 79 BOUNDING THE PROBLEMATIC SITUATION 81 S u p p o s i t i o n s U n d e r l y i n g the Framing of t h e Research Q u e s t i o n o f t h e Study . . . 81 P r e - S u p p o s i t i o n s About Problem Framing f o r P o l i c y Purposes 82 The t r a d i t i o n a l method of problem f r a m i n g . 82 A systems approach t o problem f r a m i n g . . . 84 Some I m p l i c a t i o n s o f The Systems Approach .. . 86 The systems approach t o i n q u i r y 86 The's c h o o l as seen from a systems p e r s p e c t i v e 87 The D e l i m i t a t i o n s o f t h e Study 88. L i m i t a t i o n s Imposed by t h e R e s e a r c h e r ' s Frame o f R e f e r e n c e 89 The documentation t o be a n a l y s e d 89 The approach t a k e n t o t h e i n q u i r y 89 The q u e s t i o n s asked 90 The n a t u r e of the f i n d i n g s 91 SELECTING THE.DOCUMENTATION TO BE ANALYSED . . 91 Bounding t h e Source 91 I d e n t i f y i n g t h e Res e a r c h Requirements . . . . 91 Making a S u p p o r t a b l e C h o i c e 92 CHAPTER SUMMARY 94 v i i i Chapter Page 5. UNCOVERING AND SPELLING OUT THE GENERATIVE .METAPHOR USED TO FRAME THE PROBLEM OF SCHOOLS 9 5 UNCOVERING THE GENERATIVE METAPHOR UNDERLYING THE PROBLEM FRAME 96 SPELLING OUT THE UNDERLYING GENERATIVE METAPHOR 98 The Case of Schools 99 Procedural Format 99 Commission's Findings Regarding "Content" . . 100 I n t e r p r e t a t i o n of surface metaphors . . . . 101 A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor 102 Recommendations Regarding "Content" 103 I n t e r p r e t a t i o n of surface metaphors . . . . 104 A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor 104 Commission's Findings Regarding "Expectations" 105 I n t e r p r e t a t i o n of surface metaphors . . . . 107 A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor 10 7 Recommendations Regarding "Expectations" . . . 108 I n t e r p r e t a t i o n of surface metaphors . . . . 109 A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor 110 Commission's Findings Regarding "Time" . . . . 112 I n t e r p r e t a t i o n of surface metaphors . . . . 113 An a l o g i c a l i m p l i c a t i o n s of the deep metaphor 113 Recommendations Regarding "Time" 114 i x Chapter Page I n t e r p r e t a t i o n of surface metaphors . . . . 115 A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor 115 Commission's Findings Regarding "Teaching" . . 117 I n t e r p r e t a t i o n of surface metaphors . . . . 118 A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor 118 Recommendations Regarding "Teaching" 118 I n t e r p r e t a t i o n of surface metaphors . . . . 119 A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor 119 OVERVIEW 121 6. ELABORATING THE ASSUMPTIONS OF THE METAPHOR "SCHOOL AS AN INDUSTRIAL WORKPLACE" 123 TOWARD A PATTERN MODEL OF THE INDUSTRIAL WORKPLACE 125 The Woodward Studies 12 6 Findings 127 Conclusion 134 Open Systems C h a r a c t e r i s t i c s i n the I n d u s t r i a l Workplace 136 R e l a t i o n s h i p with the environment 136 Need to maintain a "steady s t a t e " 137 The work of a system 13 8 Inputs 138 Str u c t u r e 144 Process 144 Process as technology 145 Orgware 14 7 Output • 7x Chapter Page Tendency toward d i f f e r e n t i a t i o n and e l a b o r a t i o n 149 'Change' i n systems 150 A Systemic P a t t e r n Model of the I n d u s t r i a l Workplace 153 IMPLICATIONS OF THE METAPHOR 158 Mass Production Hardware: P l a n t and Tool M a t e r i e l 158 Mass Production Software 158 Operating procedures 158 Feedback mechanisms 160 Mass Production Orgware 160 The s t r u c t u r e of i n t e r - r e l a t e d f u n c t i o n s . . 160. Expectations of workers 161 Worker remuneration 162 Mass Production Thruput 162 CHAPTER SUMMARY 162 7. EXAMINING THE POLICY-RELATED UTILITY OF THE PROBLEM FRAME USED IN THE CASE OF SCHOOLS . . . 164 PLAUSIBILITY OF THE PROBLEM FRAME 166 Evidence to Support the Researcher's I n t e r p r e t a t i o n 166 Evidence to Support the General A c c e p t a b i l i t y of the Frame 168 I t s p o s i t i o n as the dominant metaphor . . . 168 L i t e r a t u r e references 169 New d i s c o v e r i e s i n systems theory 171 Conclusion 171 APPROPRIATENESS OF THE PROBLEM FRAME 172 x i Chapter Page Correspondence Between the I n t e r n a l P r o p e r t i e s of the Metaphor '. . 172 Hardware 173 Software 177 Orgware 180 Thruput 184 Conclusion 185 Correspondence Between the Change P r o p e r t i e s of the Metaphor 186 The change p r o p e r t i e s of an e n t i t y 186 The change p r o p e r t i e s of the v e h i c l e of the metaphor 187 Schools and change i n the past century . . . 189 Schools and change i n the next century . . . 192 Conclusion 194 "Change" p o t e n t i a l i n the metaphor 195 CHAPTER SUMMARY 197 8. REFRAMING THE PROBLEM OF SCHOOLS 19 8 UNCOVERING AND SPELLING OUT THE GENERATIVE METAPHOR USED TO REFRAME THE PROBLEM OF SCHOOLS 19 9 S p e l l i n g Out The Re-Structured Generative Metaphor 201 Normative Ideas About Process Technology . . . 204 ELABORATING THE ASSUMPTIONS OF THE METAPHOR . . 207 R e f i n i n g The Concept of Process Technology . . 207 The Hardware of Process Technology . . . . . 209 The Software of Process Technology 210 The Orgware of Process Technology 210 x i i Chapter Page R e l a t i o n s h i p among system-wide managerial f u n c t i o n s . . . 211 R e l a t i o n s h i p among managerial r o l e s and fu n c t i o n s w i t h i n the production p l a n t . . 212 R e l a t i o n s h i p between workers and t h e i r ' t o o l s ' 217 R e l a t i o n s h i p between workers and supervisory s t a f f 218 The Thruputs of Process Production 219 Summary 219 Conclusion 221 9. EXAMINING THE REFRAMED PROBLEM OF SCHOOLS . . . . 222 PLAUSIBILITY OF THE REFRAMED PROBLEM . . . . . 223 Evidence to Support the Researcher's I n t e r p r e t a t i o n 223 The reform proposals as m a n i f e s t a t i o n of f i r s t - o r d e r change 224 The environmental imperative f o r second-order change 226 Evidence to Support the General A c c e p t a b i l i t y of the Reframed Problem . . . 228 Conclusion 233 APPROPRIATENESS OF THE NEW PROBLEM FRAME . . . . 234 Correspondence Between the I n t e r n a l P r o p e r t i e s of the Metaphor 23 4 An overview 237 The thruput of process production schools . 237 The hardware of process production schools . 240 The software of the process production school 240 The orgware of process production schools . 244 x i i i Chapter Page Correspondence Between the Change P r o p e r t i e s of the Metaphor 248 Some assumptions about change 248 The Newtonian Legacy 249 Beyond the Newtonian Legacy . . . . . . . . 250 Education as a system f a r - f r o m - e q u i l i b r i u m . 252 Conclusion 254 UTILITY OF THE REFRAMED PROBLEM 255 A c c e p t a b i l i t y of the Value I m p l i c a t i o n s of the Metaphor 255 The values i m p l i e d by process production . . 257 P o t e n t i a l f o r a c t u a l i z a t i o n . . . 258 Promotion of s e l f - r e g u l a t i o n 259 Increased production 260 Decreased ( f i n a n c i a l and human) costs . . . 261 Capacity of the Reframed Problem to Lead to A c t i o n 262 Evidence of " P " o l i t i c a l support 263 Evidence of " p " o l i t i c a l support 264 Evidence of a c t i o n begun 266 Conclusion 268 10. IMPLICATIONS OF THE REFRAMED PROBLEM FOR POLICYMAKING 270 EXAMINING THE IMPLICATIONS OF THE METAPHOR FOR CHANGE 2 71 I m p l i c a t i o n s f o r Society 272 Beyond the Newtonian Legacy 273 Environmental c o l l a p s e 274 P r i v a t i z a t i o n of education . 275 x i v Chapter Page I m p l i c a t i o n s f o r Educational Policymaking . . 276 The l i n k between system s u r v i v a l and the s h i f t from a Newtonian to an h o l i s t i c worldview 277 Im p l i c a t i o n s f o r education of the consequences of i n c r e a s i n g t e c h n o l o g i c a l complexity 278 Im p l i c a t i o n s of e s t a b l i s h i n g new organized technology 279 Reco n c e p t u a l i z a t i o n of the school's r o l e and mission 281 Hardware 281 Software 282 Orgware 283 Im p l i c a t i o n s f o r Schools 285 A changed r o l e and mission 285 A changed view of the school's thruputs . . 288 A change i n organized technology 289 CHAPTER SUMMARY . . 2 9 0 11. REFLECTING UPON THE STUDY 291 AN OVERVIEW OF THE STUDY 292 Framework f o r The Integrated Study 294 The dual purpose 294 The problem 294 A Procedural Approach to R e f l e c t i v e Problem S e t t i n g i n P o l i c y Research 295 Background 295 Toward a methodology f o r problem s e t t i n g . . 296 The Case of Schools 297 xv C h a p t e r Page U n c o v e r i n g and s p e l l i n g out t h e g e n e r a t i v e metaphor used t o frame t h e problem o f s c h o o l s 297 E l a b o r a t i n g t h e assumptions o f t h e metaphor "School as an i n d u s t r i a l w o r k p l a c e " . . . 298 Examining t h e p o l i c y - r e l a t e d u t i l i t y o f t h e problem frame used i n t h e case of s c h o o l s 300 Reframing t h e problem o f s c h o o l s . . . . . . 302 Examining t h e r e f r a m e d problem 302 EXAMINING THE UTILITY OF THE PROCEDURAL FRAMEWORK 30 7 Assessment o f Outcomes 307 Proposed Areas f o r S c h o o l - R e l a t e d R e s e a r c h . . 308 O p e r a t i o n a l O b s e r v a t i o n s 310 C o n t e x t u a l c o n s t r a i n t s . 310 The use o f metaphor-mapping f o r m a t s . . . . 311 The development o f a p a t t e r n model . . . . . . 312 L i m i t a t i o n s 312 I m p l i c a t i o n s f o r P r o c e s s - R e l a t e d R e s e a r c h . . 313 G e n e r a l i z e a b i l i t y o f t h e P r o c e d u r e s 313 C o n c l u d i n g Remarks 314 REFERENCES 315 x v i L I S T OF T A B L E S T a b l e Page 6 . 1 F e a t u r e s o f O r g a n i z e d Management I n f l u e n c e d b y P r o d u c t i o n T e c h n o l o g y . . . . 128 6 .2 I n d u s t r i a l I n p u t s 140 6 .3 The I n d u s t r i a l I n p u t s o f " O r g a n i z e d T e c h n o l o g y " 148 8 . 1 C o m p a r i s o n o f D i f f e r e n t F o r m s o f A d v a n c e d O p e r a t i n g S y s t e m s 208 9 . 1 1 T e c h n o l o g y ' - T i t l e d C a t e g o r i e s o f B u s i n e s s C o u r s e s O f f e r e d b y B . C . l . T . i n t h e F a l l , 1987 230 x v i i LIST OF FIGURES Figure Page 1.1 The Nested Three-Tier S t r u c t u r e of the Study . . 12 2.1 Unconscious Problem S e t t i n g 21 2.2 C o n c e p t u a l i z a t i o n of the Problem-Setting Process 23 3.1 Factors A f f e c t i n g the A v a i l a b i l i t y of Relevant Problem-Setting ' S t o r i e s ' 49 3.2 Framework f o r S p e l l i n g Out a Generative Metaphor . 58 3.3 Framework For C o n c e p t u a l i z i n g The Assumptions That Flow From A Metaphor 60 3.4 Framework f o r E l a b o r a t i n g the Assumptions of the Metaphor 61 3.5 P i c t u r e of Part of An Organized Whole 62 3.6 Bases For The S e l e c t i o n of C r i t e r i a For Examining The P o l i c y - R e l a t e d U t i l i t y Of A Problem Frame 66 3.7 Procedural Framework f o r Examining a Problem Frame 73 5.1 S p e l l i n g Out the Named Feature "Content" of the Generative Metaphor: School as an I n d u s t r i a l Workplace 103 5.2 S p e l l i n g Out the Named Feature "Expectations" of the Generative Metaphor: School as an I n d u s t r i a l Workplace . . I l l 5.3 S p e l l i n g Out the Named Feature "Time" of the Generative Metaphor: School as an I n d u s t r i a l Workplace 115 x v i i i Figure Page 5.4 S p e l l i n g Out the Named Feature "Teaching" of the Generative Metaphor: School as an I n d u s t r i a l Workplace 120 6.1 The R e l a t i o n s h i p Between Hardware, Software, and Orgware i n Organized Technology 146 6.2 A Double-Faceted P a t t e r n Model Of The I n d u s t r i a l Workplace 154 6.3 Systemic P a t t e r n Model of the I n d u s t r i a l Workplace 155 6.4 I m p l i c a t i o n s of the Metaphor 159 7.1 Procedural Framework f o r Examining a Problem Frame 165 7.2 From Examining the P l a u s i b i l i t y to Examining the Appropriateness of The Problem Frame . . . 172 7.3 I m p l i c a t i o n s of the Metaphor "School as A Mass Production Workplace" 174 7.4 Examining the Appropriateness of A Problem Frame 18 6 8.1 Simple Metaphoric Elements of Complex Metaphor (c) 201 8.2 Complex Metaphor (c) "The School of Today Gearing Up to Become the School of Tomorrow as a Mass Production Workplace Gearing Up to Become a Process Production Workplace" . . . . 202 8.3 The r e s t r u c t u r e d Generative Metaphor of the Reframed Problem 203 8.4 S p e l l i n g Out the O r g a n i z a t i o n a l Elements of the Metaphor: School as a Workplace with a Process Mode of Technology 205 8.5 I m p l i c a t i o n s of the Metaphor of the Process Production Workplace 220 9.1 "The Changing Nature of Work" 232 9.2 I m p l i c a t i o n s of the Metaphor "School as a Process Production Workplace" 236 9.3 SOCRATES: Helping C h i l d r e n Learn One-to-One . . 242 x i x F i g u r e P a g e 1 1 . 1 T h e N e s t e d T h r e e - T i e r S t r u c t u r e o f t h e S t u d y . . 2 9 3 1 1 . 2 T h e P r o j e c t e d . I m p l i c a t i o n s o f P r o c e s s T e c h n o l o g y o n t h e O r g a n i z a t i o n o f S c h o o l s . . 3 0 5 xx ACKNOWLEDGEMENTS I should l i k e to acknowledge the f i n a n c i a l a s s i s t a n c e p r o v i d e d by the S o c i a l S c i e n c e s and Humanities Research Council of Canada i n the form of a Doctoral F e l l o w s h i p which enabled me to pursue the study of a c t i o n research at the Tavistock I n s t i t u t e of Human R e l a t i o n s i n the U.K. Many i n d i v i d u a l s have p r o v i d e d encouragement, a s s i s t a n c e , and support of var i o u s k i n d s . P a r t i c u l a r thanks are owed to the members of my committee—to Jamie Wall i n who steered the development of my proposal; to Gaalen E r i c k s o n who gu i d e d my r e a d i n g s on metaphor; t o Tom Sork f o r h i s i n d e f a t i g a b l e support; and to my s u p e r v i s o r , Jean H i l l s , f o r whose sage advice and unflagging encouragement I s h a l l ever be g r a t e f u l . I am i n d e b t e d t o those f r i e n d s , c o l l e a g u e s , and fa m i l y members who have so p a t i e n t l y put up w i t h my decade-long withrawal from t h e i r l i v e s ; and i n p a r t i c u l a r to Peter Clarke without whose f i n a n c i a l and moral support t h i s endeavour would not have been p o s s i b l e . xx i r Chapter 1 INTRODUCING THE STUDY When we examine the problem-setting s t o r i e s t o l d by the an a l y s t s and p r a c t i t i o n e r s of s o c i a l p o l i c y , i t becomes apparent t h a t the f r a m i n g of problems o f t e n depends upon metaphors underlying the s t o r i e s [metaphors] which generate problem s e t t i n g and set the d i r e c t i o n of problem-solving . . . . . . we ought to become c r i t i c a l l y aware of these generative metaphors, to increase the r i g o r and p r e c i s i o n of our a n a l y s i s of s o c i a l p o l i c y problems. . . (Schon, 1979:255-256) This d i s s e r t a t i o n i s concerned w i t h the development of means by which p o l i c y m a k e r s might i n c r e a s e r i g o r and p r e c i s i o n i n the a n a l y s i s of s o c i a l p o l i c y problems and thereby improve the q u a l i t y of t h e i r work. I t was prompted by the c u r r e n t l y t r o u b l e d s t a t e of p u b l i c s c h o o l i n g i n Canada and the United St a t e s ; and by the perceived need f o r an a n a l y t i c a l technique that would help p o l i c y a n a l y s t s (and'Others who c o n t r i b u t e to the for m u l a t i o n of educational p o l i c i e s ) pay conscious and r e f l e c t i v e a t t e n t i o n to the task of problem s e t t i n g (as a precursor to t h e i r focus on problem s o l v i n g ) . In response t o t h i s p e r c e i v e d need, i n q u i r y was d i r e c t e d at o p e r a t i o n a l i z i n g an approach to the a n a l y s i s and p r a c t i c e of problem s e t t i n g advanced by Rein and Schon (1977), and Schfin (1979); and at assessing the u t i l i t y of the proposed procedures by c r i t i c a l l y r e f l e c t i n g upon t h e i r t r i a l a p p l i c a t i o n to the case of schools. 1 The f i r s t s e c t i o n of t h i s i n t r o d u c t i o n provides an o v e r v i e w of the s i t u a t i o n t h a t prompted the s t u d y , and e x p l a i n s the general perspectives from which the purpose of the i n q u i r y may be viewed. Subsequent s e c t i o n s o u t l i n e the purpose of the study, and the o r g a n i z a t i o n of the chapters i n the t h e s i s . OVERVIEW The 'Problem' of Schools Whether or not we accept the c l a i m t h a t there i s now a g e n e r a l ' c r i s i s of c o n f i d e n c e ' i n the p u b l i c s c h o o l systems of Canada and the United S t a t e s , i t i s apparent that they have become the s u b j e c t of. i n c r e a s i n g l y w i d e s p r e a d p u b l i c c o n c e r n , s c r u t i n y , and d i s a p p r o b a t i o n . While opinions concerning 'what i s wrong 1 and 'what needs f i x i n g 1 are as v a r i e d as the c o n s t i t u e n t i n t e r e s t s they represent, t h e r e i s one t h i n g about which everyone does seem i n a greement—public schoo l i n g i s i n t r o u b l e , and i t i s up to those r e s p o n s i b l e f o r d e v e l o p i n g e d u c a t i o n a l p o l i c y t o b r i n g about the much-needed school reform. How those so charged w i l l a c c o m p l i s h t h i s t a s k remains t o be seen; b u t , i n the U n i t e d s t a t e s , where a c t i v i t y to t h i s end has been p a r t i c u l a r l y marked over the l a s t few years (with some 30 n a t i o n a l and more than 250 s t a t e - w i d e r e p o r t s h a v i n g been i s s u e d on the s t a t u s of s c h o o l i n g ) , i n d i c a t i o n s are t h a t the policymakers may now be. f i n d i n g themselves i n t r o u b l e . I t would seem t h a t the c a p a c i t y of t h e i r proposed p o l i c i e s to d e l i v e r fundamental school r e f o r m — a s p r o m i s e d — i s being viewed from a number of informed q u a r t e r s w i t h c o n s i d e r a b l e s k e p t i c i s m . S h a p i r o (1984:12-13). f o r example, complains that the reform measures represent " l i t t l e more than a set of proposals f o r s c h o o l i n g as u s u a l . " And, i n l i k e v e i n , Leonard (1984:48) observes t h a t even i f e v e r y t h i n g proposed i n a l l the r e p o r t s on school reform were put i n t o e f f e c t , "the r e s u l t i n g school would be f u n d a m e n t a l l y no d i f f e r e n t from the s c h o o l of today." Indeed, he p o i n t s out how i t would, i n f a c t , be much l i k e the school of a hundred years ago: Teachers would s t i l l be s t a n d i n g or s i t t i n g i n f r o n t of some twenty t o t h i r t y - f i v e m o s t l y p a s s i v e s t u d e n t s o f t h e same age and g i v i n g o u t t h e same i n f o r m a t i o n a t the same time t o a l l t h e s e s t u d e n t s , r e g a r d l e s s of t h e i r i n d i v i d u a l a b i l i t i e s , c u l t u r a l backgrounds, or l e a r n i n g s t y l e s . (Leonard, 1984:48) As Leonard sees i t , the needs of our s o c i e t y i n a "space age" w i l l not be met by what he c a l l s "horse and buggy" educational reforms. And, he i s c e r t a i n l y not alone i n suggesting t h a t what w i l l be r e q u i r e d i s a thorough r e -s t r u c t u r i n g of the schools. However, the p e r s i s t e n c e of the s t r u c t u r a l and o r g a n i z a t i o n a l f e a t u r e s t h a t have c h a r a c t e r i z e d N o r t h American s c h o o l i n g f o r the p a s t century (Cuban, 1982b; Hart, 1983; Goodlad, 1983) bespeaks a r e s i s t e n c e to fundamental s t r u c t u r a l change th a t would appear to be a c h a r a c t e r i s t i c feature of s o c i a l systems i n general (Watzlawick, Weakland, and F i s c h , 1974). To date, concern w i t h educational change might be seen as having focussed l a r g e l y on the question of how to ensure the s u c c e s s f u l implementation of in n o v a t i v e p r a c t i c e s (e.g. F u l l a n , 1982; Common, 1985). However, complaints i n the U. S. about the i n e f f e c t i v e n e s s of r e c e n t l y announced reform measures to d e l i v e r " r e a l " change are now being made w e l l b e f o r e the stage of p o l i c y i m p l e m e n t a t i o n — i n some c a s e s , even b e f o r e t h e p o l i c y has been c o m p l e t e l y formulated. They are, moreover, being made on the grounds t h a t proposed s o l u t i o n s are d i r e c t e d a t the problem of g e t t i n g school performance "back on t r a c k " , r a t h e r than of improving school performance i n new and b e t t e r ways. Such c r i t i c i s m s suggest t h a t the recent proposals f o r school reform are seen as addressing the wrong problem—a s i t u a t i o n t h a t would appear to be endemic i n the f i e l d of s o c i a l p o l i c y ; f o r , as Ackoff (1974) p o i n t s out, "we f a i l more o f t e n because we solve the wrong problem than because we get the wrong s o l u t i o n to the r i g h t problem." 'Getting the Problem Right' f o r Policymaking I t would, indeed, seem t h a t the mechanisms whereby policymakers 'get' and 'set' ( i . e . understand and define) the problems t h a t t h e i r p o l i c i e s subsequently seek to solve i s not at a l l w e l l understood. As observed by Dunn: Problem s t r u c t u r i n g , which i s t h a t phase i n the process of i n q u i r y where a n a l y s t s grope toward p o s s i b l e d e f i n i t i o n s of a problematic s i t u a t i o n , i s no doubt the most c r u c i a l but l e a s t u n d erstood a s p e c t of p o l i c y a n a l y s i s . (Dunn, 1981:98) That the policymaking e n t e r p r i s e h a s — a s suggested by Schfln ( 1 9 7 9 ) - - f o r some twenty y e a r s been viewed almost e n t i r e l y as a problem-solving a c t i v i t y , might account f o r the l a c k of a t t e n t i o n t o t h i s c r u c i a l t a s k of problem d e f i n i t i o n . A review of the l i t e r a t u r e r e l a t e d to p o l i c y -making would c e r t a i n l y bear out SchOn's (1979) contention t h a t the p u b l i c p o l i c y f i e l d i s dominated by a preoccupation with s o l u t i o n - s e e k i n g . As noted by Schfln (1979:260-261), the problems themselves are g e n e r a l l y assumed to be given. The assumption seems t o be t h a t "we know, or can e a s i l y v o i c e , the problems of c i t i e s , the problems of the economy, the problems of po p u l a t i o n c o n t r o l , but t h a t we cannot yet solve them." Ac c o r d i n g l y , the r o l e of the policymaker (and the p o l i c y analyst) i s to be a problem-solver; the t a s k — t o f i n d s o l u t i o n s to known problems 1. However, as pointed out by Schfin, problems are not g i v e n , "they are c o n s t r u c t e d by human b e i n g s i n t h e i r attempts to make sense of complex and t r o u b l i n g s i t u a t i o n s . " x Schfln (1979:261) goes on to suggest th a t i f problems are assumed to be give n , t h i s i s i n part because they are always taken to have the same form—one marked by what he c a l l s "an i n s t r u m e n t a l i s t " p o s i t i o n : "Problem-solving c o n s i s t s i n the e f f o r t to f i n d means f o r the achievement of our o b j e c t i v e s , i n the f a c e of c o n s t r a i n t s t h a t make such achievement d i f f i c u l t . A c c o r d i n g t o t h i s i n s t r u m e n t a l i s t p o s i t i o n , there are always o b j e c t i v e s , goals or purposes; these are r o o t e d i n human v a l u e s and a r e , i n a sense, a r b i t r a r y , inasmuch as they depend on what we (or o t h e r s ) want to achieve. There are a l s o c o n s t r a i n t s to the achievement of these o b j e c t i v e s , always i n c l u d i n g the c o n s t r a i n t of l i m i t e d r e s o u r c e s . And f i n a l l y , t h e r e a r e the v a r i o u s a v a i l a b l e means, the o p t i o n a l c o u r s e s of a c t i o n from which we may s e l e c t the b e s t (or at l e a s t an a c c e p t a b l e ) path t o our o b j e c t i v e s . " And, s i n c e the form t h a t t h e s e c o n s t r u c t i o n s t a k e w i l l determine the range of s o l u t i o n s t h a t are then p o s s i b l e , problem s t r u c t u r i n g can be seen to be c e n t r a l to the task of s u c c e s s f u l p o l i c y development. Our a t t e n t i o n i s , thus, drawn to the need i n p o l i c y -making f o r a much greater awareness of, and emphasis on, the processes by which the problems ( f o r which the problem-s o l v i n g p o l i c i e s a r e s o u g h t ) become s t r u c t u r e d , o r 'framed,' i n the f i r s t p l a c e . In r e l a t i o n to the problem of schools, then, we might ask: Given that problem structuring has been i d e n t i f i e d as the most c r u c i a l , but l e a s t understood aspect of p o l i c y analysis—how might the educational policymaker set about ' f r a m i n g ' the problem of s c h o o l s f o r p u r p o s e s of developing educational reform p o l i c i e s that are attuned to improving school performance i n new and better ways? Problem Framing. For R e i n and Schon ( 19 7 7 ) , p r o b l e m f r a m i n g i s t r i g g e r e d by a problematic s i t u a t i o n — t h i s i s a s i t u a t i o n i n which u n c o m f o r t a b l e , w o r r i e d , or i r r i t a t e d f e e l i n g s are experienced. Judgment about what i t i s t h a t i s a c t u a l l y problematic r e q u i r e s a way of 'seeing' the s i t u a t i o n t h a t gives i t meaning—that s t r u c t u r e s the s i t u a t i o n i n terms of an understandable problem; a problem being represented by the d i f f e r e n c e between one's perception of the s i t u a t i o n as i t i s and one's conception of how i t 'ought' to be. 7 According to Rein and Schfln (1977), i t i s a g e n e r a l l y a c c e p t e d n o t i o n t h a t we l e a r n and 'know' by means of o r g a n i z i n g our s e n s o r y p e r c e p t i o n s i n t o " m e a n i n g f u l a g g r e g a t e s " — i . e . i n t o i n t e r p r e t i v e frameworks of concepts ( p e r h a p s what we sometimes r e f e r t o as "f r a m e s o f r e f e r e n c e " ) t h a t a r e b a s e d on p r e v i o u s p a t t e r n s o f experience. This process of c a r r y i n g over our frames of r e f e r e n c e from one domain of e x p e r i e n c e t o a n o t h e r - - t h e p r o c e s s of ' s e e i n g ' something we don't know i n terms of something we do - - l e a d s t o what has been c a l l e d by Schfin (1979:254) a "generative metaphor." As Schon sees i t , generative metaphors provide our perspe c t i v e s of the world; f o r they shape how we t h i n k about t h i n g s , make sense of r e a l i t y , and set the [ s o c i a l p o l i c y ] problems we l a t e r t r y to s o l v e . His concern i n t h i s context i s not t h a t we ought to t h i n k m e t a p h o r i c a l l y about s o c i a l p o l i c y problems, but t h a t we a l r e a d y do; and t h a t the metaphors we employ to frame and make sense of otherwise disaggregated worries and concerns are not always apparent t o u s . As a r e s u l t , we n e g l e c t t o c h e c k t h e i r appropriateness, and may f i n d ourselves paying the p r i c e through i n a p p r o p r i a t e l y framed p o l i c i e s . The remedy, suggests Schon (1979 : 255) , i s t o seek out the problem-s e t t i n g frames t h a t people have used t o un d e r s t a n d and describe a p a r t i c u l a r problematic s i t u a t i o n , and to " s p e l l out the metaphor, elaborate the assumptions which flow from i t , and examine t h e i r a p p r o p r i a t e n e s s i n the p r e s e n t s i t u a t i o n . " 8 The conduct of such analyses i s viewed by Rein and Schon (1977) as a c r i t i c a l l y important aspect of p o l i c y research; and they make a strong case f o r i t s i n c l u s i o n i n t h e p o l i c y m a k i n g p r o c e s s . However, w h i l e t h e i r "methodology f o r problem s e t t i n g " (Rein and Schfln, 1 9 7 7 : 2 3 7 ) a p p e a r s t o h o l d p r o m i s e , i t i s — from an o p e r a t i o n a l s t a n d p o i n t — o n l y rough-hewn. I t poses a number of procedural q u e s t i o n s t h a t beg p u t t i n g t o the t e s t of p r a c t i c a l a p p l i c a t i o n . To conduct such a t e s t , and to see whether the approach t o problem s e t t i n g advanced by Rei n and Schfln might, thus, be s u c c e s s f u l l y honed i n t o a demonstratably a p p l i c a b l e a n a l y t i c a l ' t o o l ' - - o n e t h a t c o u l d h e l p educational policymakers b e t t e r understand 'the problem of schools'—was the main o b j e c t i v e of t h i s study. PURPOSE OF THE STUDY Within the overarching purpose of seeking p o l i c y knowledge t h a t might c o n t r i b u t e to the d i s c i p l i n e of p o l i c y science , the purpose of the study was twofo l d . On the one hand i t sought knowledge about a p a r t i c u l a r aspect of the p o l i c y m a k i n g p r o c e s s , namely, the p r o c e s s of problem s e t t i n g ; and, on the other hand i t sought knowledge r e l a t e d to a p a r t i c u l a r s o c i a l p o l i c y i s s u e , namely, 'the problem of schools.' S p e c i f i c a l l y , i t sought: ^ For Dror ( 1 9 6 8 : 8 ) , p o l i c y science can be p a r t l y described as " . . . t h e d i s c i p l i n e t h a t s e a r c h e s f o r p o l i c y knowledge, t h a t seeks general p o l i c y - i s s u e knowledge and policymaking knowledge, and i n t e g r a t e s them i n t o a d i s t i n c t study." Knowledge Related to the Policymaking Process To see i f a p r o c e d u r a l framework f o r c o n d u c t i n g problem-setting frame analysis could be developed (along the l i n e s suggested by Rein and SchOn) and shown, through p r a c t i c a l a p p l i c a t i o n to the case of schools, to have s u f f i c i e n t c l a r i t y (and g e n e r a l i z e a b i l i t y ) that i t might be deemed of use to p o l i c y analysts i n general. Assumptions• I m p l i c i t i n t h i s purpose are the f o l l o w i n g assumptions: o That the approach to problem s e t t i n g advocated by Rei n and Schfln p r o v i d e s a p r o m i s i n g and f e a s i b l e foundation f o r the development of a ' p r a c t i c e ' of conscious and r e f l e c t i v e problem s e t t i n g i n p o l i c y a n a l y s i s ; and, o That i n order to o p e r a t i o n a l i z e such an approach, the key concepts expounded by Rein and Schfln r e q u i r e f u r t h e r e x p l i c a t i o n ; and, t h e i r broadly conceived approaches t o : — uncovering the problem frame, — making e x p l i c i t the underlying metaphor, — e l a b o r a t i n g the assumptions and i m p l i c a t i o n s of the metaphor, — examining the adequacy of the problem frame, and — confirming/reframing the problem to be addressed, r e q u i r e refinement. Policymaking p r o c e s s - r e l a t e d questions. Answers were sought to such policymaking p r o c e s s - r e l a t e d questions as: How can the researcher most u s e f u l l y 'bound' the p r o b l e m a t i c s i t u a t i o n — r e c o g n i z i n g t h a t any such d e l i m i t a t i o n must employ a researcher-imposed frame of reference? How can the i n q u i r e r go about: — d i s c o v e r i n g the problem-setting frame used i n a p a r t i c u l a r p o l i c y document? — making e x p l i c i t the generative metaphor under-l y i n g t h a t frame? — e l a b o r a t i n g the assumptions of tha t metaphor? In r e l a t i o n to what c r i t e r i a might the ap p r o p r i a t e -ness of any given problem-setting frame be assessed? How m i g h t t h e u t i l i t y t o p o l i c y m a k e r s o f a p a r t i c u l a r p r o b l e m - s e t t i n g frame be judged i n p r a c t i c e ? and, What p r i n c i p l e s might be used to guide e f f o r t s at reframing a s o c i a l p o l i c y problem? P o l i c y - I s s u e Related Knowledge To see what m i g h t be l e a r n e d — b y a p p l y i n g s u c h a n a l y t i c a l procedures t o some (selected) p o l i c y - r e l e v a n t document of our t i m e — a b o u t 'the problem of schools.* A s s u m£ t i o n s^ . I m p l i c i t i n t h i s p u r p o s e i s t h e f o l l o w i n g assumption: o That the f i n d i n g s d e r i v i n g from the a p p l i c a t i o n of the proposed procedures to the problem of schools w i l l be of i n t e r e s t t o those concerned w i t h educational policymaking. S c h o o l p o l i c y - i s s u e r e l a t e d q u e s t i o n s . A n s w e r s w e r e s o u g h t t o t h e f o l l o w i n g p o l i c y - i s s u e r e l a t e d q u e s t i o n s : What d o e s an a n a l y s i s o f t h e d e s c r i p t i o n s u s e d i n some ( s e l e c t e d ) p o l i c y - r e l e v a n t d o c u m e n t o f o u r t i m e r e v e a l a b o u t t h e p r o b l e m - s e t t i n g f r a m e ( s ) g u i d i n g t h e s c h o o l r e f o r m p r o p o s a l s ? G i v e n an a n a l y s i s o f t h e a s s u m p t i o n s c a r r i e d b y i t s u n d e r l y i n g g e n e r a t i v e m e t a p h o r , how a p p r o p r i a t e i s t h i s p r o b l e m - s e t t i n g f r a m e a s a b a s e f o r t h e d e v e l o p m e n t o f v i a b l e s c h o o l r e f o r m p o l i c i e s ? * How m i g h t t h e c u r r e n t l y e x p e r i e n c e d p r o b l e m o f s c h o o l s be a l t e r n a t i v e l y f r a m e d , o r r e f r a m e d ? * W h a t w o u l d b e t h e p o l i c y i m p l i c a t i o n s o f s u c h a n a l t e r n a t i v e ? STRUCTURE AND ORGANIZATION OF THE STUDY The e x p l o r a t i o n s w i t h w h i c h t h e s t u d y i s c o n c e r n e d c a n be s e e n t o be o f two d i f f e r e n t o r d e r s o f d i s c o u r s e , e a c h w i t h t h e p o t e n t i a l f o r c o n t r i b u t i n g t o p o l i c y s c i e n c e w i t h p o l i c y - r e l a t e d k n o w l e d g e o f a d i f f e r e n t k i n d ( i . e . t h e p o l i c y i s s u e o f s c h o o l s ; a n d t h e p o l i c y p r o c e s s o f p r o b l e m s e t t i n g ) . I n t u r n , t h e f r a m e w o r k o f t h e d i s s e r t a t i o n — w i t h i n w h i c h t h e s e two s e t s o f e x p l o r a t i o n s a r e i n t e g r a t e d t o f o r m a d i s t i n c t p o l i c y s t u d y — c o n s t i t u t e s a t h i r d , o v e r a r c h i n g , o r d e r o f d i s c o u r s e . I t i s u s e f u l t o ' s e e ' t h e s e t h r e e o r d e r s o f d i s c o u r s e a s b e i n g s y s t e m i c a l l y n e s t e d (as d i a g r a m m a t i c a l l y r e p r e s e n t e d i n F i g u r e 1.1); a n d , as p r o v i d i n g a t h r e e - t i e r s t r u c t u r e — r a t h e r l i k e a s e t o f C h i n e s e b o x e s — f o r o r g a n i z i n g t h e c o u r s e o f t h e s t u d y . • FRAMEWORK •(Introducing the r a t i o n a l e f o r the inq u i r y ) of INTEGRATED STUDY A PROCEDURAL APPROACH TO REFLECTIVE PROBLEM SETTING IN POLICY RESEARCH a s a p p l i e d to III THE CASE OF SCHOOLS ( R e f l e c t i n g upon the i m p l i c a t i o n s of the fi n d i n g s ) Figure 1.1 The Nested Three-Tier S t r u c t u r e of the Study I: Framework f o r the  Integrated Study General p e r s p e c t i v e . Impetus f o r the study was l e n t by the c u r r e n t l y t r o u b l e d s t a t e of p u b l i c s c h o o l i n g , and the p e r c e i v e d l a c k of consensus and c l a r i t y c o n c e r n i n g what a c t u a l l y c o n s t i t u t e s "the problem of schools." The stimulus to pursue problem s e t t i n g , or problem framing/reframing, as p o l i c y r e l e v a n t research stemmed from the work of Rein and Schon who note t h a t ; When consensus has eroded and the n a t u r e of the problem i s i n doubt, then the e x p l o r a t i o n of problem s e t t i n g becomes most urgent. (Rein and Schon, 1977:237) A c c o r d i n g l y , i n q u i r y was d i r e c t e d at " t r y i n g out" an approach to problem s e t t i n g (suggested by Rein and Schfln, 1977) by r e f i n i n g i t and applying i t to the case of schools-- t h e r e b y examining how the problem of s c h o o l s has been framed ( i n the case under study) , and how i t might be reframed. Or g a n i z a t i o n . As i l l u s t r a t e d i n Figure 1.1, the framework f o r i n t e g r a t i n g i n q u i r y concerning a p o l i c y issue and a p o l i c y p r o c e s s envelops the study as a whole. D i s c o u r s e a t t h i s l e v e l i n c l u d e s d i s c u s s i o n ( i n t h i s chapter) of the r a t i o n a l e f o r the study; and r e f l e c t i o n upon the i m p l i c a t i o n s of the f i n d i n g s of the study as they r e l a t e ( i n Chapter 10) to the reframed problem of schools, and ( i n Chapter 11) to an assessment of the u t i l i t y of the procedures developed f o r problem-setting frame a n a l y s i s . I I : An Approach to R e f l e c t i v e Problem  S e t t i n g i n P o l i c y Research General p e r s p e c t i v e . I t i s supposed t h a t the way i n which the i n t e r p r e t a t i o n of a p r o b l e m a t i c s i t u a t i o n i s configured i s dependent upon the nature of the 'frame' that i s employed f o r a g g r e g a t i n g , and making sense o f , the troublesome sensory data. And t h a t , while from among the array of p o s s i b l e frames t h a t might be s e l e c t e d f o r such a purpose none can be claimed as the 'true' or ' r i g h t ' o n e — i t i s l i k e l y t h a t some p a r t i c u l a r p r o b l e m - s e t t i n g frames possess greater i n t e r p r e t i v e power, and u t i l i t y f o r p o l i c y purposes, than others. Based on such suppositions, inquiry i n t h i s phase of the study was directed at developing a blueprint for (a) guiding the course of a conscious and r e f l e c t i v e practice of problem framing/reframing, and (b) f o r a s s e s s i n g the appropriateness and p o l i c y - r e l a t e d u t i l i t y of a given frame. Organization. This phase of the study consists of two chapters (Chapters 2, and 3). The methodological problems of the study are framed i n Chapter 2, which provides an i n t e r p r e t i v e overview of the approach to r e f l e c t i v e problem s e t t i n g suggested by Rein and Schon (1977) and Schon (1979), and i d e n t i f i e s ( i n the form of preparatory research tasks and sub-problems) the operational questions i t evokes. A procedural framework designed to address these o p e r a t i o n a l requirements i s developed i n Chapter 3. T r i a l application of t h i s procedural framework to the case of schools leads to a d i f f e r e n t l e v e l of analysis, as conducted i n the 'core' phase of the study. I l l : The Case of Schools General p e r s p e c t i v e . It i s supposed that i f we examine the " s t o r i e s " people t e l l about l i f e in schools and classrooms, and about the things that they think there need " f i x i n g , " we may discern the generative metaphors that frame the problems to which t h e i r problem solving a c t i v i t i e s are subsequently directed. As Bates (1982) notes, there exists i n our everyday language about children and schooling a variety of powerful, and c o n f l i c t i n g , metaphors: Metaphors of the c h i l d as f l o w e r , nigger, enemy, cog, m a c h i n e , c h a m e l e o n , m i n i a t u r e a d u l t , p s y c h o p a t h , gentleman, or reasoner, are common currency i n staffrooms as are our metaphors of the school as f a c t o r y , c l i n i c , or bureaucracy. (Bates, 1982:8) I t i s , then, w i t h the uncovering of such metaphoric data from documentary s o u r c e s — a n d w i t h the a n a l y s i s of the problem-setting frames t h a t they g e n e r a t e — t h a t t h i s p a r t of the study i s concerned. The b l u e p r i n t developed (Chapter 3) f o r d e a l i n g w i t h such an a n a l y s i s i s a p p l i e d to the case of schools, as i t i s represented by the " s t o r i e s " t o l d about schoo l i n g i n what i s considered t o be a major p o l i c y - i n f l u e n c i n g document of our t i m e , namely, a (1983) r e p o r t by the (U.S.) N a t i o n a l Commission on Excellence i n Education t i t l e d , "A Nation at Risk: The Imperative f o r Educational Reform." Or g a n i z a t i o n . The s i x .chapters (Chapters 4, 5, 6, 7, 8, and 9) t h a t make up t h i s phase of the study advance the i n q u i r y through the successive stages of r e f l e c t i v e problem f r a m i n g / r e f r a m i n g — a c c o r d i n g t o the p r o c e d u r a l framework p r o p o s e d i n C h a p t e r 3. A c c o r d i n g l y , t h e p r e p a r a t o r y r e s e a r c h t a s k s of "bounding the p r o b l e m a t i c s i t u a t i o n , " and " s e l e c t i n g the documentation f o r a n a l y s i s , " are d e a l t w i t h i n Chapter 4, "Bounding the P r o b l e m a t i c S i t u a t i o n i n the Case of S c h o o l s . " Chapter 5 i s concerned w i t h "Uncovering and S p e l l i n g Out the Generative Metaphor(s) Used to Frame the Problem of S c h o o l s " — a s i t i s 'seen' by t h i s i n q u i r e r / i n t e r p r e t e r i n the s e l e c t e d document, "A Nation at Risk". And Chapter 6, p r o v i d e s an i n - d e p t h e x p l o r a t i o n of t h i s f i n d i n g by "E l a b o r a t i n g the Assumptions of the Metaphor 'School as an I n d u s t r i a l Workplace'." The extent to which t h i s metaphor might be considered to have provided educational p o l i c y -makers w i t h an appropriate and u s e f u l problem-setting frame i s a n a l y s e d and d i s c u s s e d i n Chapter 7, "Examining the Problem Frame Used In The Case of Schools." An a l t e r n a t i v e way of framing the problem of schools i s proposed i n Chapter 8, "Reframing The Problem Of S c h o o l s . " T h i s a l t e r n a t i v e frame i s g e n e r a t e d by r e s t r u c t u r i n g t h e (what m i g h t be c o n s i d e r e d t o be dominantly-held) metaphor, so that instead of simply viewing the school as a ki n d of mass production manufactory ( i n t e n t upcn t u r n i n g out a p p r o p r i a t e l y packaged and l a b e l l e d graduates) , the school can be seen as a system t h a t i s i n need of 'gearing up' from a mass production to a 'process' mode of t e c h n o l o g y ( f o c u s s e d on the c o n t i n u o u s f l o w of learning) . The problem of schools i s hereby reframed i n such a way th a t the perceived need f o r very r e a l (second-order) s t r u c t u r a l c h a n g e — t h a t i s , change of r a t h e r than merely changes i n the school system—can be addressed. The p l a u s i b i l i t y , a p p r o p r i a t e n e s s , and u t i l i t y o f t h i s r e s t r u c t u r e d metaphor i s discussed i n Chapter 9, "Examining the Reframed Problem of Schools"; and the i t s i m p l i c a t i o n s f o r policymaking are examined i n Chapter 10. Chapter 11 provides an overview of the study, and discusses the i m p l i c a t i o n s suggested by i t s f i n d i n g s . Chapter 2 FRAMING THE METHODOLOGICAL PROBLEMS OF REFLECTIVE PROBLEM SETTING What i s t o be r e s i s t e d i s the n o t i o n t h a t the c u l t i v a t i o n of methodology i s e i t h e r n e c e s s a r y or s u f f i c i e n t f o r s u c c e s s f u l s c i e n t i f i c endeavour. I t i s s u r e l y not n e c e s s a r y . Methodology, Weber ( 1 3 5 : 1 1 5 ) r i g h t l y says, "can only b r i n g us r e f l e c t i v e understanding of the means which have demonstrated t h e i r v a l u e i n p r a c t i c e by r a i s i n g them t o the l e v e l of e x p l i c i t consciousness; i t i s no more the p r e c o n d i t i o n of f r u i t f u l i n t e l l e c t u a l work than the knowledge of anatomy i s the p r e c o n d i t i o n f o r c o r r e c t walking." This i s to say t h a t methodology provides a reconstructed l o g i c , from which the l o g i c - i n - u s e may be q u i t e independent. Yet e x p l i c i t consciousness can improve what i s being done without f u l l awareness. (Kaplan, 1 9 6 4 : 2 4 ) Based on the c o n v i c t i o n t h a t our understanding of s o c i a l p o l i c y i ssues i s dependent upon the metaphors we u n c o n s c i o u s l y use t o make sense of troublesome s o c i a l s i t u a t i o n s , R e i n and Schfin ( 1 9 7 7 : 2 3 7 ) propose t h a t we "discover the t a c i t frames t h a t organize our i n s i g h t s and then t h a t we challenge them." The approach they suggest as a ' f i r s t step' toward a methodology f o r problem s e t t i n g i s l a i d out i n what they c a l l "a nonf orma 1 i s t i c way." The development of t h e i r s u g g e s t i o n s and i d e a s i n t o a more for m a l i z e d procedural framework i s , here, envisaged—and a t t e m p t e d — a s a n e c e s s a r y 'second s t e p ' f o r t h e a c t u a l i z a t i o n of such a "methodology." 1 7 18 The Approach to Problem S e t t i n g  Proposed by Rein and Schfln The "methodology f o r problem s e t t i n g " proposed by R e i n and Schfln (1977:237) i n t e g r a t e s a d i s c u s s i o n of u n c o n s c i o u s p r o b l e m - s e t t i n g p r o c e s s e s w i t h p r o p o s a l s concerning conscious s t r a t e g i e s f o r t r a n s l a t i n g w orries i n t o problems. Some of t h e s e s t r a t e g i e s are r e t r o s p e c t i v e i n nature (e.g. examining e x i s t i n g s t o r i e s , maps, t h e o r i e s , and m o d e l s ) ; o t h e r s m i g h t be t e r m e d p r o s p e c t i v e ( e . g . d i s a g g r e g a t i n g w o r r i e s , a g g r e g a t i n g w o r r i e s , thought experiments t h a t work back from p o s s i b l e s o l u t i o n s t o p o s s i b l e problems). In a l l , the ideas presented by Rein and Schon o f f e r a s t i m u l u s and a guide r a t h e r t h a n a d e f i n i t i v e methodology. However, w h i l e t h e r e are no " s t e p s ' per se, a d i s t i l l a t i o n of the ideas presented by Rein and Schfln (1977) and Schfln (19 79 ) , does s u g g e s t t h a t t h e c o n d u c t of conscious, r e f l e c t i v e , problem s e t t i n g could be viewed as i n v o l v i n g f i v e p r o c e d u r a l s t a g e s . These s t a g e s might be envisaged as: (1) d i s c o v e r i n g the problem frame t h a t has been used to give meaning to a problematic s i t u a t i o n ; (2) s p e l l i n g out the generative metaphor that u n d e r l i e s ( i . e . generative of) t h i s problem frame; (3) e l a b o r a t i n g the assumptions of t h a t metaphor; then, (4) judging the adequacy of the problem frame ( i n the l i g h t o f t h e a s s u m p t i o n s of t h e u n d e r l y i n g generative metaphor, and i n the context of the given s i t u a t i o n ) ; and (5) confirming or reframing the problem to be addressed. 19 The 'Methodological Problem' How the p o l i c y a n a l y s t i s to approach the question of problem s e t t i n g , and t o a c t u a l l y go about each of t h e s e procedural tasks c o n s t i t u t e s the 'methodological problem 1 of t h i s study. A c c o r d i n g l y , what i s understood to be i n v o l v e d i n approaching the task, and o p e r a t i o n a l i z i n g each of these stages i s , next, reviewed; preparatory research tasks are noted; and o p e r a t i o n a l questions are i d e n t i f i e d as sub-problems. These preparatory research tasks and sub-problems are subsequently addressed, i n the form of a procedural framework, i n the f o l l o w i n g chapter. APPROACHING THE QUESTION OF PROBLEM SETTING Assumptions The questions asked i n t h i s chapter are addressed to the o p e r a t i o n a l a s p e c t s of Re i n and Schfln's proposed approach t o r e f l e c t i v e problem s e t t i n g . They are not concerned w i t h the a r t i c u l a t o r y s t y l e used by these authors; nor are they d i r e c t e d at quest i o n i n g the e p i s t e m o l o g i c a l bases upon which t h e i r proposal i s seen to be p r e d i c a t e d . This does, of course, r a i s e the question as to whether the researcher's apperception of these e p i s t e m o l o g i c a l bases t r u l y r e f l e c t s those intended by Rein and Schfln. I t would, t h e r e f o r e , seem only prudent t h a t these p e r c e p t i o n s , and other assumptions about t h e i r proposal be made as e x p l i c i t as p o s s i b l e at the outset. To t h i s end, the r e s t of t h i s s e c t i o n i s dedicated to an i n t e r p r e t i v e overview of what are seen to be the key concepts expounded by Rein and Schfln. 20 The Problem-Setting Process The problem-setting process described by Rein and Schfln seems to encompass both that which occurs i n the natural course of p o l i c y decision-making—the ' i s , ' as i t were, of policy analysis; and that which they advocate as a d e l i b e r a t e l y s t r u c t u r e d problem-setting agenda f o r the policy research process—what might be thought of as the 'ought' of p o l i c y development. For purposes of t h i s study, a d i s t i n c t i o n has been made between the ' i s ' and the 'ought' of problem s e t t i n g . The n a t u r a l l y o c c u r r i n g process i s thought of as "unconscious reasoning"; and the d e l i b e r a t e l y structured problem-setting agenda, as n o n f o r m a l i s t i c a l l y set out by Rein and Schfln, i s termed " r e f l e c t i v e problem set t i n g . " Problem Setting as Unconscious Reasoning According to Rein and Schfln, the problem-setting p r o c e s s b e g i n s w i t h a p r o b l e m a t i c s i t u a t i o n ; one characterized by d i f f u s e , i n t u i t e d discomfort, concern, and i r r i t a t i o n — i . e . worries that elude an orderly formulation of what the problem i s a l l about. Framing the problematic s i t u a t i o n . The judgment about what i t . i s that i s actually problematic i s seen as r e q u i r i n g the a p p l i c a t i o n of a frame to the f i e l d of experience. This frame w i l l highlight c e r t a i n worries as s i g n i f i c a n t , and ignore others as t r i v i a l or i r r e l e v a n t — i t w i l l "bind together the s a l i e n t features of the s i t u a t i o n , i n c l u d i n g the r e l e v a n t w o r r i e s , i n t o a p a t t e r n that i s 21 coherent and graspable" (Rein and Schon, 1977:239). It might be helpful to conceptualize these stages of unconscious problem setting as, for example, depicted in Figure 2:1. SOCIAL SETTING Undifferentiated Phenomenological Experience Problem Frame Policy T B ) Salient features framed Figure 2:1 Unconscious Problem Setting Figure 2.1 shows the u n d i f f e r e n t i a t e d phenomeno-l o g i c a l experience of a p a r t i c u l a r s o c i a l setting (A3 as d i f f u s e concerns/worries that become t r a n s l a t e d i n t o an a r t i c u l a t e d problem frame CB). What t h i s picture of the unconscious process of problem s e t t i n g f a i l s to show, however, are the linkages between state {A3 and state £B3. It does not show what happened to those features in state {A3 that are omitted i n the problem frame (B3; nor does i t show why the f e a t u r e s h i g h l i g h t e d i n the frame (B3 are considered to be s a l i e n t , and to f i t together as they do. SUB CONSCIOUS WORLD VIEW (A) Diffuse concerns/worries 22 To f i l l i n the gaps l e f t by an unconscious process r e q u i r e s both r e f l e c t i o n and s p e c u l a t i o n ; f o r there do not appear t o be d e f i n i t i v e answers t o the e p i s t e m o l o g i c a l questions thus posed. I t does, however, seem (as noted by Rein and Schon) to be a g e n e r a l l y accepted n o t i o n t h a t we le a r n and 'know' by means of aggregating sensory perceptions i n t o 'patterns' t h a t have meaning f o r us; and, tha t we are able to accomplish t h i s by v i r t u e of 'seeing' something we don' t know i n terms of something we d o — i . e . by means of a metaphor-making p r o c e s s ( W i t t g e n s t e i n , 1953; N i e t z s c h e , 1968; von B e r t a l a n f f y , 1981; Bateson, 1977; Bates, 1982). C o n c e p t u a l i z i n g the process of unconscious problem  s e t t i n g . One way of c o n c e p t u a l i z i n g the problem-setting p r o c e s s i s t o imagine the 'unconscious (mind)' as a r e p o s i t o r y of memory 'tapes.' And, t o imagine these 'tapes' as c a r r y i n g e x p e r i e n t i a l l y gathered i n f o r m a t i o n i n the form of some isomorphic^ - code. In t h i s way, the unconscious mind might (metaphorically) be thought of as a memory bank of apprehended patterns t h a t represent coded, c a t e g o r i z e d , and stored 'knowings' about the w o r l d — a s shown i n Figure 2:2. 1 Von B e r t a l a n f f y (1981:104) p o s t u l a t e s an isomorphism between c o n s t r u c t s of psychology and neurophysiology. By isomorphism he does not mean a simple s i m i l a r i t y between p s y c h o l o g i c a l and b r a i n - p h y s i o l o g i c a l processes, but some kind of code " l i k e a punched computer program tape, or the genetic code of p r o t e i n s ynthesis contained i n the n u c l e i c a c i d s of the chromosomes" whose program i s i s o m o r p h i c , w i t h o u t t h e r e h a v i n g t o be any d i r e c t s i m i l a r i t y or resemblance (Clarke, 1982b:24). 23 SOCIAL SETTING U n d i f f e r e n t i a t e d P h e n o m e n o i o g i c a l i . ^ E x p e r i e n c e P r o b l e m s e t t i n g / s o l v i n g by ^ P o l i c y means o f t h e p r o b l e m "f rame" "SUB" CONSCIOUS WORLD VIEW i r r e l e v a n t f e a t u r e s " j u n k " (A) D i f f u s e c o n c e r n s and w o r r i e s S t e p " X " P a t t e r n r e c o g n i t i o n (B) S a l i e n t f e a t u r e s c o n f i g u r e d as i n p a t t e r n " B " FEELINGS D i s c o m f o r t i r r i t a t i o n UNCONSCIOUS f ^ MEMORY BANK OF APPREHENDED, "PATTERNS" F i g u r e 2 :2 C o n c e p t u a l i z a t i o n o f t he P r o b l e m - S e t t i n g P r o c e s s 24 As i l l u s t r a t e d i n Figure 2:2, i t might be imagined t h a t between s t a t e [A] and s t a t e CB) t h e r e i s a "sub" conscious step i n the problem-setting p r o c e s s — s t e p "X." During step "X," the phenomenological experience of CA) i s recognized i n terms of a past experience: one t h a t has been coded as "pattern B." M e t a p h o r i c a l l y speaking, CA) i s seen as CB). However, CA) i s not a c t u a l l y CB), i t i s only l i k e i t i n c e r t a i n r e s p e c t s . Therefore, some of the f e a t u r e s e x p e r i e n c e d i n s t a t e CA) do not have a c o u n t e r p a r t i n "pattern B." However, as Ronco and Schon (1977:49) note, "We l e a r n to become s e l e c t i v e l y i n a t t e n t i v e to e r r o r ; we d e v i s e c u l t u r a l l y a c c e p t e d junk c a t e g o r i e s i n o r d e r t o e x p l a i n anomoly away." A c c o r d i n g l y , i t can be expected t h a t such features w i l l e i t h e r be c a s t out as junk, or ignored as i r r e l e v a n t . I t might, moreover, be imagined t h a t the t r a n s i t i o n from s t a t e CA) to s t a t e CB) i s s i g n a l l e d by a concomitant change i n e x p e r i e n c e d ________. The d i s c o m f o r t and i r r i t a t i o n f e l t i n s t a t e CA) g i v e way t o the "ah-ha" of i n s i g h t w i t h the r e c o g n i t i o n of a meaningful p a t t e r n i n step "X"; and t h i s , i n t u r n , becomes a confirmatory "mmh" as an acceptable frame puts c l o s u r e around otherwise i r r i t a t i n g uncertainty/, i n s t a t e CB). A 'metaphor' has been born. i • For Schon (1979:254), "'metaphor' r e f e r s both to a c e r t a i n kind of p r o d u c t — a p e r s p e c t i v e or frame, a way of l o o k i n g a t t h i n g s - - a n d t o a c e r t a i n k i n d of p r o c e s s — a process by which new p e r s p e c t i v e s on the world come i n t o e x i s t e n c e . " This process of SEEING-AS (the "meta-pherein" 25 or " c a r r y i n g over" of frames or p e r s p e c t i v e s from one domain of experience to another) Schfln c a l l s "generative metaphor." Generative Metaphor A metaphor i s "generative" (Rein and Schfln, 1977:241) when i t p r o v i d e s "a b a s i s f o r making the n o r m a t i v e l e a p [from f i n d i n g s to recommendations] by p r o j e c t i n g onto un-f a m i l i a r s i t u a t i o n s f a m i l i a r n o t i o n s t h a t are a l r e a d y evaluated." To i l l u s t r a t e , Rein and Schfln c i t e the case of a housing o f f i c i a l who, i n t a l k i n g about "decaying housing s t o c k " as opposed t o " h e a l t h y s t o c k , " can be seen t o be framing h i s worries i n terms of a metaphor of disease and pathology. In accordance w i t h such a frame the o f f i c i a l i s l i k e l y to consider remedies i n terms of " a r r e s t i n g decay," and " r e h a b i l i t a t i n g o l d stock" e t c . That we are d e a l i n g here w i t h a metaphor becomes c l e a r when we c o n s i d e r t h a t houses are not l i t e r a l l y e i t h e r healthy or diseased. Indeed, one man's "decay" may be another man's o l d w o r l d charm. That we are d e a l i n g w i t h an o p e r a t i o n a l , r a t h e r than a d e c o r a t i v e metaphor, becomes c l e a r i f we observe t h a t the housing o f f i c i a l pays a t t e n t i o n to j u s t those phenomena t h a t f i t h i s metaphor and ignores the r e s t , and i f we observe t h a t the remedies he espouses, and c o n s i d e r s o b v i o u s , are those t h a t f l o w from the metaphor and would not seem obvious (indeed, might seem wrong) i f considered from the p o i n t of view of a d i f f e r e n t metaphor. That we are  d e a l i n g w i t h a generative metaphor becomes c l e a r i f we  observe t h a t the metaphor sets the d i r e c t i o n of remedial  a c t i o n i n the very process by which i t s e l e c t s out events  and e x p l a i n s them. Once we have been able to see houses as d i s e a s e d or h e a l t h y , a whole s e t of p r e s c r i p t i o n s present themselves f o r a c t i o n . (emphasis added) . Because we b e l i e v e t h a t i t i s b e t t e r t o be healthy than diseased, the h e a l t h metaphor i s generative of d i r e c t i o n s of s o l u t i o n f o r the problem of housing. (Rein and Schfln, 1977:241) 26 According to Schon (1979), the generative metaphors we employ to frame and make sense of otherwise disaggregated data are not always apparent to us. As a r e s u l t , we neglect t o check t h e i r a p p r o p r i a t e n e s s , and may f i n d o u r s e l v e s paying the p r i c e through i n a p p r o p r i a t e l y framed p o l i c i e s . P a r t of t h i s n e g l e c t may be due t o our r e l i a n c e on some rath e r commonly used generative metaphors, suggest Rein and Schon (1977:241-243) . Some commonly used generative metaphors, l i k e the HEALTH/DISEASE metaphor, are i n such good currency i n our c u l t u r e t h a t we can be bl i n d e d by the very "obviousness" of the s o l u t i o n s they suggest. There i s , f o r example, the commonly found metaphor which frames the p r o b l e m a t i c s i t u a t i o n i n terms of " d e p a r t u r e s from a p r o t o t y p i c a l i d e a l . " H e r e , p r o b l e m s a r e i d e n t i f i e d as FLAWS — abnormal i t i e s t h a t need t o be c o r r e c t e d i n o r d e r f o r normality to be regained. Another v a r i a t i o n of t h i s theme sees the i d e a l i n terms of the s i t u a t i o n "as i t used to be"; and the problem, as one of how best to r e t u r n t h i n g s to the way they once were. [The clamour f o r educational reform based on a 'back to the b a s i c s ' r h e t o r i c might be viewed as i l l u s t r a t i v e of such a metaphoric i n f l u e n c e . ] Another commonly found metaphor i s tha t which sees the s i t u a t i o n as one i n which e s s e n t i a l NEEDS remain unmet; the remedy r e q u i r i n g a way to meet such needs. [Perhaps s o c i a l welfare p o l i c i e s aimed at a l l e v i a t i n g the hardships s u f f e r e d by the poor and handicapped might be seen as 27 r e l a t e d to t h i s p a r t i c u l a r problem-framing metaphor.] And, f i n a l l y , where i t i s p o s s i b l e t o i d e n t i f y v i l l a i n s , v i c t i m s or heroes, the s i t u a t i o n may be seen i n terms of BATTLE and VICTORY. [Such a metaphor would seem to u n d e r l i e t h e p r o b l e m - s e t t i n g f r a m e s a d o p t e d by t h e "opposing" management/labour " s i d e s " of i n d u s t r i a l r e l a t i o n s d i s p u t e s ; and, undoubtedly, i t c h a r a c t e r i z e s the a d v e r s a r i a l approach to governance a s s o c i a t e d w i t h party p o l i t i c s . ] In such ways, the generative metaphors contained i n the frames we use t o s e t problems can j u s t as e a s i l y imprison us by t h e i r obviousness as they can f r e e us f o r c r e a t i v e work. As Bates a s s e r t s : Metaphors a l l o w us to s t r u c t u r e and create meaning out of experience. They may a l s o act l i k e f l y b o t t l e s , to keep us trapped i n i n v i s i b l e p r i s o n s . They can, moreover, m i s l e a d us when we a p p l y i n a p p r o p r i a t e metaphors t o s i t u a t i o n s b e t t e r understood i n other ways. (Bates, 1982:7) Bates' statement i s referenced to Nietzsche (1968), who argued t h a t the use of metaphor i s b a s i c to the i n t e l l e c t u a l processes we use to e s t a b l i s h t r u t h and meaning; and to W i t t g e n s t e i n (1953) who ( c i t e d i n Bates 1982:6) l i k e n e d "the bewitchment of our i n t e l l i g e n c e by means of language" to the f l y t h a t i s trapped i n a b o t t l e . I t i s , suggests Schfln (1979:266), the very sense of obviousness about what i s wrong, and what i t takes to f i x i t , t h a t i s "the h a l l m a r k of g e n e r a t i v e metaphor i n the f i e l d o f s o c i a l p o l i c y . " The way t o d i s s o l v e t h i s obviousness, of course, i s to become aware of, and to focus 28 a t t e n t i o n upon, the generative metaphors which u n d e r l i e our p r o b l e m - s e t t i n g s t o r i e s . However, s i n c e g e n e r a t i v e metaphors are o r d i n a r i l y t a c i t , t h i s i s not as easy as i t sounds. In order to b r i n g generative metaphors to r e f l e c t i v e and c r i t i c a l awareness, Schon (1979:267) suggests t h a t we c o n s t r u c t them, "through a k i n d of p o l i c y - a n a l y t i c l i t e r a r y c r i t i c i s m , from the givens of the problem-setting s t o r i e s we t e l l . [For] i t i s through s t o r y t e l l i n g t h a t we can b e s t d i s c o v e r our frames and the generative metaphors i m p l i c i t i n our frames." I n t e r p r e t i n g Problem-Setting S t o r i e s Schon cautions t h a t i n the process of p o l i c y - a n a l y t i c l i t e r a r y c r i t i c i s m i t i s important to d i s t i n g u i s h between what might be c a l l e d "surface" and "deep" metaphors. Surface metaphors may be found i n the language i n which the s t o r y i s t o l d ; but these may or may not r e l a t e , or o f f e r c l u e s t o the g e n e r a t i v e metaphor which ' s e t s ' the problem of the s t o r y . In other words, the surface language of the s t o r y need not c o n t a i n any obvious metaphoric clues to the un d e r l y i n g deep metaphor. Deep metaphors. I t i s the deep metaphor which accounts f o r what i s named, and what omitted i n a problem-s e t t i n g s t o r y . I t i s the deep metaphor t h a t makes i t understandable why c e r t a i n assumptions are taken as true when evidence would suggest otherwise; and, i n p a r t i c u l a r , 29 why the normative c o n c l u s i o n s are found t o f o l l o w so o b v i o u s l y from the f a c t s , the way they do. SchOn ( 1 9 7 9 : 2 6 7 ) s u g g e s t s t h a t we i n t e r p r e t a p r o b l e m - s e t t i n g s t o r y by c o n s t r u c t i n g the deep metaphor which i s generative of i t — " w e give i t a 'reading, 1 i n a sense very much l i k e the one employed i n l i t e r a r y c r i t i c i s m . And our i n t e r p r e t a t i o n i s , to a very c o n s i d e r a b l e extent, t e s t a b l e against the givens of the s t o r y . " I t i s important to recognize, however, t h a t the s t o r y which we subject to p o l i c y - a n a l y t i c i n q u i r y represents only one of any number of ways i n which the elements of a p r o b l e m a t i c s i t u a t i o n might be framed; and the p o l i c y a n a l y s t w i l l need to be a l e r t to the f a c t that d i f f e r e n t frames w i l l a f f e c t not only what i s seen as the problem of a problematic s i t u a t i o n , but the very elements t h a t c o n s t i t u t e the problematic s i t u a t i o n i t s e l f . Bounding the Problematic S i t u a t i o n As Rein and Schfin (1977:239) p o i n t out, " d i f f e r e n t frames, and t h e i r a s s o c i a t e d names, may be used to i n t e g r a t e e x p e r i e n c e s i n d i f f e r e n t ways." Indeed, i t i s apparent t h a t : Frames d i f f e r i n scope, i n the number and v a r i e t y of worries and other features of the s i t u a t i o n they subsume, and i n the degree to which they reduce c o l l e c t i o n s of w o r r i e s t o a mode of u n d e r s t a n d i n g c o n s i s t e n t w i t h a s i n g l e d i r e c t i o n of a c t i o n . (Rein and SchOn, 1977:240) I t would seem, t h e r e f o r e , t h a t there i s no d e f i n i t i v e set of concerns and worries t h a t go to make up a problematic 30 s o c i a l s i t u a t i o n . In which case, a l a b e l such as "urban housing s i t u a t i o n , " or " p u b l i c s c h o o l i n g " can be seen to impose an a p r i o r i frame on the context and scope ( i . e . the systemic boundaries) of a p o l i c y a n a l y s t ' s i n q u i r y — f o r the problematic s i t u a t i o n t h a t i s , today, r e f e r r e d to as one of "urban housing" may, tomorrow, be a question r e l a t e d to the " d i s t r i b u t i o n of n a t i o n a l income"; and, today's problematic " p u b l i c s c h o o l i n g , " become tomorrow's worry about the " d e l i v e r y of educational s e r v i c e s . " However, i n r e c o g n i t i o n o f t h e need f o r some way of d e l i m i t i n g the scope of a p o l i c y a n a l y t i c i n q u i r y , i t i s c l e a r t h a t some such p a r a m e t e r - d e f i n i n g l a b e l s are r e q u i r e d . But, how the i n q u i r e r (mindful of the need to minimize the r e s t r i c t i v e i n f l u e n c e of a researcher-imposed frame of r e f e r e n c e ) i s t o so 'bound' the p r o b l e m a t i c s i t u a t i o n , i s a question t h a t s/he w i l l need to address. C l o s e l y a l l i e d to the dilemma of "whose l a b e l l i n g of the problematic s i t u a t i o n w i l l be taken as 'given'?" i s the question of "whose problem-setting s t o r y about t h a t given s i t u a t i o n w i l l be s e l e c t e d f o r a n a l y s i s ? " Since the e f f e c t of both t h e s e d e c i s i o n s i s t o narrow the f o c u s of the subsequent i n q u i r y , the r a t i o n a l e upon which they are based w i l l , c l e a r l y , need t o be c a r e f u l l y thought t h r o u g h (as preparatory research tasks) i n advance of the i n q u i r y . Preparatory Research Tasks The f o l l o w i n g research tasks are seen, t h e r e f o r e , as p r e c u r s o r s t o the f i v e s t a g e s of i n q u i r y mooted f o r the 31 p r a c t i c e of problem s e t t i n g i n p o l i c y research: (a) Bounding the problematic s i t u a t i o n . How i s the i n q u i r e r t o d e l i m i t what i s t o be considered as f a l l i n g w i t h i n the purview of a given problematic s i t u a t i o n — r e c o g n i z i n g that d e l i m i t a t i o n r e q u i r e s the i m p o s i t i o n of some i n t e r p r e t i v e frame? (b) S e l e c t i n g the documentation t o be analyzed. Upon what bases s h o u l d the s e l e c t i o n of the documentation t o be a n a l y z e d be made? ( i . e . whose ' s t o r i e s ' should be analyzed, and why?) DISCOVERING THE PROBLEM FRAME Examining the Story To d i s c o v e r , or uncover, a problem frame r e q u i r e s the examination of documentation—or, what Rein and Schon r e f e r to as a "story"'"—that " t e l l s about" what has been taken as the g i v e n p r o b l e m a t i c , s i t u a t i o n . A c c o r d i n g t o Schon (1979:264), the clues f o r d i s c o v e r i n g a t a c i t problem frame are to be found i n the words (and perhaps surface metaphors) used to name the " t h i n g s " of a problem-setting s t o r y ; f o r they have been, used by the s t o r y t e l l e r because they f i t the frame t h a t s/he has s e l e c t e d t o make s e n s e o f t h e p r o b l e m a t i c s i t u a t i o n . [The term "problem frame" i s understood as meaning the framework provided by the deep metaphor t h a t i s a n a l o g i c a l l y u sed t o e l u c i d a t e t h e ' problematic s i t u a t i o n . ] To i l l u s t r a t e what he means by the "complementary process of naming and framing," Schon c i t e s the f o l l o w i n g 32 'story' about the urban housing s i t u a t i o n : The experts concluded t h a t i f the community were to be h e a l t h y , i f i t were not to r e v e r t again to a b l i g h t e d or slum a r e a , as though possessed of a c o n g e n i t a l disease, the area must be planned as a whole. I t was not enough, they b e l i e v e d , to remove e x i s t i n g b u i l d i n g s t h a t were u n s a n i t a r y or u n s i g h t l y . I t was i m p o r t a n t t o redesign the whole area so as to e l i m i n a t e the c o n d i t i o n s t h a t cause s l u m s — t h e overcrowding of d w e l l i n g s , the lack of parks, the lack of adequate s t r e e t s and a l l e y s , the absence of r e c r e a t i o n a l areas, the lack of l i g h t and a i r , the presence of outmoded s t r e e t p a t t e r n s . I t was b e l i e v e d t h a t the piecemeal approach, the removal of i n d i v i d u a l s t r u c t u r e s t h a t were o f f e n s i v e , would be only a p a l l i a t i v e . (SchOn, 1979:262) 2 Schfln f i r s t maps the f e a t u r e s t h a t are named (e.g. "community," "slum area," " b l i g h t e d , " "congenital disease," e t c . ) (Rein and Schfln [1977:245] d e s c r i b e mapping as "a f i r s t order attempt at the f o r m a l i z a t i o n of the s t o r y . " As they see i t , a map helps to p i n - p o i n t the v a r i a b l e s t h a t are oper a t i v e i n a s i t u a t i o n — o r g a n i z i n g and l o c a t i n g them i n context, as "an o r d e r l y arrangement of landmarks.") Within t h i s map, the main characters of the s t o r y are i d e n t i f i e d as the "community" and the "experts (planners)." The once healthy community i s seen by the experts as now " b l i g h t e d " and "diseased." These 'named' features can be seen to f i t the p r o b l e m - s e t t i n g frame s e l e c t e d t o make sense of the problematic urban housing s i t u a t i o n ; f o r i t i s a frame based z This account (from the n i n e t e e n - f i f t i e s ) i s drawn from J u s t i c e Douglas's opinion on the c o n s t i t u t i o n a l i t y of the (U.S.) F e d e r a l Urban Renewal Program i n the D i s t r i c t of Columbia—as quoted i n , Urban Renewal: People, P o l i t i c s and  Planning, Jewel Bel lush and Murray Hausknecht (eds.) (Garden C i t y , New York: Doubleday. 1967:62) 33 on the commonly used generative metaphor of HEALTH/ DISEASE - - i n which the community as a whole i s p e r s o n i f i e d , and SEEN-AS having a diseased body. Procedural Considerations Now, c l e a r l y , r e c o g n i t i o n of the problem frame i s f a c i l i t a t e d where the 'named' f e a t u r e s of the problem-s e t t i n g s t o r y are as e x p l i c i t l y r e f l e c t i v e of the deep metaphor as they are i n t h i s example of Schon's—where the terms "healthy," " b l i g h t e d " and "congenital disease" provide such unambiguous (metaphoric) c l u e s . I t might, however, be supposed t h a t , i f we are g e n e r a l l y unaware of the metaphors w i t h i n which we t a c i t l y frame s o c i a l p o l i c y problems, i t i s because—more o f t e n than n o t — t h e terms used to describe the 'things' of our problem-setting s t o r y are taken as being ' l i t e r a l . 1 I f t h i s i s the case, i t r a i s e s the question as to how the i n q u i r e r - i n t e r p r e t e r i s to i d e n t i f y (from a very wide range of p o t e n t i a l candidates) i n a problem-setting s t o r y , those words and (surface) metaphors th a t are to be taken as c o n s t i t u t i n g r e l e v a n t metaphoric data. To f a c i l i t a t e d i s c u s s i o n and procedural r e s o l u t i o n of t h i s concern ( i n the next c h a p t e r ) , i t i s , here, presented as Sub-problem [1]: G u i d e l i n e s f o r i d e n t i f y i n g r e l e v a n t (metaphoric) data. How i s the i n q u i r e r to i d e n t i f y from a l l the p o t e n t i a l (metaphoric) data i n a given problem-setting s t o r y those which are i n d i c a t i v e of the deep (generative) metaphor? 34 SPELLING OUT THE GENERATIVE METAPHOR A f t e r r e c o g n i z i n g the metaphor t h a t i s generative of a (problem-setting) s t o r y ' s problem frame, i t i s necessary to work through the elements of the analogy i t suggests. Seeking A n a l o g i c a l S t r u c t u r e T h i s i s understood t o mean making e x p l i c i t the f e a t u r e s , a t t r i b u t e s , or 'predicate subschemata 1 (Ortony, 1979b) of the more f a m i l i a r l y understood metaphoric term (or 'vehicle') ( B 3 — n o t i n g the correspondence between these and the named fea t u r e s and a t t r i b u t e s of the subject term (or 'tenor') [A] t h a t they are intended to e l u c i d a t e . In the course of t h i s process, the i n q u i r e r needs not only to pay a t t e n t i o n to those features t h a t appear s a l i e n t because they are "named" i n the d e s c r i p t i o n , but to be on the a l e r t f o r those t h a t are o m i t t e d , f o r they may t a c i t l y c a r r y an importance t h a t renders the analogy i n a p p r o p r i a t e . The i n q u i r e r w i l l a l s o need t o be a l e r t , s uggests Schfin (1979:265), to the p o s s i b i l i t y t hat amongst the un-named f e a t u r e s of the metaphor CB3 t h a t get t a c i t l y c a r r i e d -over as an e x p l a n a t o r y d e s c r i p t i o n of the p r o b l e m a t i c s i t u a t i o n ( A 3 , there may be a c o n s t e l l a t i o n of normative ideas a s s o c i a t e d w i t h (B3. ( I t i s , according to Rein and Schon, these t a c i t l y held values and b e l i e f s t h a t render the s o l u t i o n to problematic s i t u a t i o n s "obvious," and i n need of more c r i t i c a l evaluation.) In r e f e r e n c e , f o r example, t o the s t o r y a l r e a d y mentioned concerning the problem of urban slums, he notes 35 t h a t no matter whether we see slum areas i n terms of disease, or (as i n the view portrayed by another metaphor) of n a t u r a l community, there i s already, w i t h these idea s , a [ c u l t u r a l l y conditioned] e v a l u a t i o n — " a sense of the good which i s to be sought and the e v i l which i s to be avoided. When we see {A} as £B], we c a r r y over to [A) the e v a l u a t i o n i m p l i c i t i n CB}" (Schon, 1980:265).) As he e x p l a i n s : Once we are able to see a slum as a b l i g h t e d area, [ f o r example] we know t h a t b l i g h t must be removed ("unsanitary and u n s i g h t l y b u i l d i n g s " must be t o r n down) and the area returned to i t s former s t a t e (redesigned and r e b u i l t ) . The metaphor i s one of d i s e a s e and c u r e . Moreover, the cure must not be a "mere p a l l i a t i v e " ; a p a r t i c u l a r , w h o l i s t i c view of medicine i s i n v o l v e d i n t h i s metaphor. I t would not be enough, the experts s a i d , t o remove o f f e n s i v e s t r u c t u r e s p i e c e m e a l . E f f e c t i v e p r o p h y l a x i s r e q u i r e s an " i n t e g r a t e d and balanced" p l a n . J u s t as i n medicine one must t r e a t the whole man, so one must " t r e a t " the whole community. (Schon, 1979:265) Procedural Considerations C l e a r l y , t h e e x t e n t t o w h i c h t h e s t r u c t u r a l c h a r a c t e r i s t i c s , and normative e v a l u a t i o n s i m p l i c i t i n £B3 are appropriate i n the case of (A3 cannot be judged i f they remain as unrecognized assumptions. Some kin d of a n a l y t i c a l template would, t h e r e f o r e , seem to be c a l l e d f o r i n order to f a c i l i t a t e the mapping of such a n a l o g i c a l correspondence, as c a l l e d f o r i n Sub-problem [2]: Framework for s p e l l i n g out a generative metaphor. How might an a n a l y t i c a l framework f o r guiding the process of " s p e l l i n g out a generative metaphor" be a r t i c u l a t e d ? 36 ELABORATING THE ASSUMPTIONS OF THE METAPHOR To accomplish t h i s r e q u i r e s developing i n d e t a i l the h i t h e r t o unrecognized l o g i c a l and e m p i r i c a l r e l a t i o n s h i p s t h a t might be seen to obta i n between the elements of the analogy ( t h a t i s suggested by the u n d e r l y i n g g e n e r a t i v e metaphor). For such a purpose, Rein and Schfln (1977:245-246) recommend the use of t h e o r i e s , and models. Using Theories and Models Theories and models, l i k e maps, are constructed i n an attempt to provide a s i m p l i f i e d p i c t u r e of r e a l i t y , but, u n l i k e maps, they not only i d e n t i f y s t r a t e g i c v a r i a b l e s , but s p e c i f y how these dynamically r e l a t e to each o t h e r 3 . As Rein and SchOn see i t , s t o r i e s , maps, t h e o r i e s and models are a l l means by which an i n q u i r e r might a r r i v e at an under-standing about the nature of a problematic s i t u a t i o n ; and, while they note t h a t there i s no sharp or r i g i d demarcation between these means, the developmental process of problem s e t t i n g t h a t Rein and Schfln present as a "kind of i d e a l type [process]" does suggest a progression i n a p p l i c a t i o n : Then we may conceive of the problem-setting process as moving from the d i f f u s e d e t e c t i o n of a worry, to the t e l l i n g of a s t o r y about the problematic s i t u a t i o n , to the c o n s t r u c t i o n of a t h e o r y t h a t makes e x p l i c i t the c a u s a l l i n k a g e s s u g g e s t e d i n t h e s t o r y , t o t h e for m u l a t i o n of a model that d i s p l a y s the h i e r a r c h i c a l i n t e r r e l a t i o n s h i p s of the e s s e n t i a l elements of the theory. (Rein and Schfln, 1977:244-245) 3 Rein and Schfln do note [1979:245-246], however, t h a t , "some models seek o n l y t o p r o v i d e an a c c o u n t i n g o r d e s c r i p t i o n on how the variance of complex events can be p a r t i t i o n e d . Here a model i s l i k e a map . . ." 37 D e f i n i n g theory. The term "theory" i s here taken as meaning "a symbolic c o n s t r u c t i o n " (Kaplan, 1964:296) th a t i s used i n everyday, as w e l l as i n s c i e n t i f i c , a f f a i r s as "a way of making sense of a d i s t u r b i n g s i t u a t i o n " (Kaplan 1964:295). I t i s i n essence ( i . e . i n an a b s t r a c t sense), then, considered to be of the same s t u f f of which metaphors are made. Indeed, as observed by S c h e f f l e r : The l i n e , even i n scien c e , between s e r i o u s theory and metaphor, i s a t h i n one i f i t can be drawn at a l l . there i s no obvious p o i n t at which we must say, "Here the metaphors stop and the t h e o r i e s begin." ( S c h e f f l e r , 1960:47) Now, although the phrase " c o n s t r u c t i o n of a theory" might be und e r s t o o d as meaning t h a t we d e v i s e some hypothesis to account f o r the p a t t e r n of things and events t h a t have been described i n the s t o r y — i t w i l l be r e c a l l e d t h a t the p a t t e r n of t h i n g s and events d e s c r i b e d by the s t o r y t e l l e r i s presumed to r e f l e c t the metaphoric frame s/he has a l r e a d y c o n s t r u c t e d t o account f o r the p r o b l e m a t i c s i t u a t i o n . A c c o r d i n g l y , the phrase " c o n s t r u c t i o n of a theory" i s , here, taken to mean 'construing the elements, and the r e l a t i o n s h i p between the elements, of the unde r l y i n g generative metaphor'—where the metaphor i m p l i c i t l y (and metaphorically) serves AS DOES A THEORY to account f o r what has caused the p r o b l e m a t i c s i t u a t i o n , and t o p r e d i c t / p r e s c r i b e what should (therefore) be done to remedy i t . f I t i s to s p e l l out the i m p l i c a t i o n s of the metaphor so as to make of i t a theory. 38 D e f i n i n g model. To move from the c o n s t r u c t i o n of a t h e o r y t o the " f o r m u l a t i o n of a model" i s u n d e r s t o o d as r e q u i r i n g a more elaborate s p e l l i n g out of the i m p l i c a t i o n s of the metaphor/theory. [Indeed, as noted by Brown (1976:170) "a model may be thought of as a metaphor whose i m p l i c a t i o n s have been s p e l l e d out."] The e f f e c t of t h i s e l a b o r a t i o n i s to ' f l e s h out' what i s known about the metaphoric term [ B 3 so t h a t i t becomes an ' i d e a l i z e d ' v e r s i o n against which the analogous fe a t u r e s of a generic example of the problematic s i t u a t i o n [A3 can be mapped f o r correspondence. The r e l a t i o n s h i p between these two a b s t r a c t i o n s i s thus seen to d i s p l a y "the h i e r a r c h i c a l i n t e r r e l a t i o n s h i p s of the e s s e n t i a l elements of the theory" (Rein and Schon, 1977:245). Procedural Problems The t a s k of e l a b o r a t i n g the assumptions of the metaphor i s seen as r e q u i r i n g a w e l l a r t i c u l a t e d conceptual framework. The purpose of such a framework would be to i l l u s t r a t e what i s u n d e r s t o o d t o be meant by " t h e h i e r a r c h i c a l i n t e r r e l a t i o n s h i p s of the e s s e n t i a l elements of the theory,", and to f a c i l i t a t e the process of e l a b o r a t i n g t h e a s s u m p t i o n s o f t h e m e t a p h o r i c t e r m [ B 3 . T h i s requirement i s framed under the r u b r i c of Sub-problem [3]: Framework f o r e l a b o r a t i n g the assumptions of the metaphor How might an a n a l y t i c a l framework f o r guiding the process of " e l a b o r a t i n g the assumptions of the metaphor" be a r t i c u l a t e d ? 39 JUDGING THE ADEQUACY OF THE PROBLEM FRAME The C r i t e r i a f o r D e f i n i n g Adequacy In d i s c u s s i n g the features of a frame t h a t render i t adequate f o r problem s e t t i n g , Rein and SchOn (1977:248-251) suggest t h a t , "The c r i t e r i a f o r d e f i n i n g adequacy go deeply i n t o the axioms on which s o c i a l s c i e n t i f i c i n q u i r y r e s t s . " And they note t h a t there are d i f f e r e n t weighting schemes f o r judging the adequacy of a problem frame: We may judge such a frame by i t s p l a u s i b i l i t y and con s i s t e n c y , by i t s c a p a c i t y to lead t o a c t i o n , by i t s value i m p l i c a t i o n s , by i t s "beauty," and f i n a l l y , by i t s t e s t a b i l i t y — i t s openness t o l e a r n i n g t h r o u g h the c o r r e c t i o n of thought by experience. (Rein and Schon, 1977:250) Procedural Considerations Now, Rein and SchOn give no i n d i c a t i o n of whether they consider a l l named c r i t e r i a to provide necessary and/or s u f f i c i e n t , and/or equal grounds f o r t e s t i n g the adequacy of a problem frame f o r p r a c t i c a l policymaking purposes. Nor do they o f f e r any s u g g e s t i o n s upon which a r a t h e r more systematic approach to t h i s aspect of frame a n a l y s i s might be based. * Rein and SchOn footnote (1977:251): "That t r u t h i s not the o n l y way t o e v a l u a t e the q u a l i t y of s p e c u l a t i o n i s , of course, not a new id e a . Lave and March i n an i n t e r e s t i n g d i s c u s s i o n of the iss u e argue th a t one never f u l l y r e s o l v e s the c o n f l i c t between t r u t h , beauty, and j u s t i c e as c r i t e r i a f o r judging t h e o r i e s and ideas." Charles Lave and James C. March, The S o c i a l Science (New York: Harper and Row, 1975), Chapter 3, pp. 51-78. 40 Moreover, t h e i r advocacy of r e f l e c t i v e examination of the i n t e r p r e t i v e accounts of problematic s o c i a l s i t u a t i o n s r e n d e r e d by v a r i o u s s t o r y t e l l e r s does not i n c l u d e any reference to the need f o r s i m i l a r examination of (e.g. the v a l i d i t y / p l a u s i b i l i t y of) the i n t e r p r e t i v e account of these s t o r i e s provided by the i n q u i r e r . As a consequence, much i s l e f t to be considered i n the development of a framework f o r guiding r e f l e c t i v e p r a c t i c e i n t h i s regard. G i v e n , f o r e x a m p l e , t h e p r a g m a t i c c o n t e x t o f policymaking, i t would seem important th a t the c r i t e r i a used f o r making judgments about problem frames s a t i s f y not only the r i g o r - d r i v e n axioms of the s o c i a l s c i e n t i f i c community i n r e s p e c t t o frame adequacy, b u t , a l s o , the r e l e v a n c e -d r i v e n d i c t a of the p o l i c y f i e l d i n r e s p e c t t o frame u t i l i t y . To t h i s end, i t i s proposed t h a t the term " p o l i c y -r e l a t e d u t i l i t y " be used as an umbrella l a b e l to cover an i n t e g r a t i o n of the concepts a s s o c i a t e d w i t h s c i e n t i f i c adequacy and p o l i c y - r e l a t e d relevance. Furthermore, since the u l t i m a t e r e s p o n s i b i l i t y f o r making a judgment about the u t i l i t y of a p r o b l e m - s e t t i n g frame r e s t s w i t h the policymakers concerned, i t would seem only f i t t i n g t h a t the a n a l y s t ' s c o n t r i b u t i o n i n t h i s regard be i n the form of an examination, ra t h e r than a "judgment." The f o u r t h procedural stage of r e f l e c t i v e problem s e t t i n g i s , a c c o r d i n g l y , seen i n terms of examining the  p o l i c y - r e l a t e d u t i l i t y of the problem frame, and as g i v i n g r i s e to the f o l l o w i n g sub-problems: 41 Sub-problem [4]: Bases fo r the s e l e c t i o n of c r i t e r i a for examining the p o l i c y - r e l a t e d u t i l i t y of a problem frame. On what c r i t e r i a might the concept of p o l i c y - r e l a t e d  u t i l i t y be based? Sub-problem [5]; C r i t e r i a for judging the " v a l i d i t y * of i n t e r p r e t i v e accounts. On t h e b a s i s o f what k i n d s o f e v i d e n c e m i g h t t h e ' v a l i d i d t y ' o f i n t e r p r e t i v e a c c o u n t s ( e i t h e r o f s t o r y t e l l i n g observers, or of a n a l y t i c a l i n q u i r e r s ) be assessed? Sub-problem [6]; C r i t e r i a f o r examining the p o l i c y - r e l a t e d u t i l i t y of a given problem frame On what bases might the c r i t e r i a f o r ( s c i e n t i f i c a l l y ) j u d g i n g frame adequacy be i n t e g r a t e d w i t h those f o r judging u t i l i t y i n the p o l i c y f i e l d ? Sub-problem [7]: Procedural framework for examining a problem frame. How might the c r i t e r i a s e l e c t e d f o r examining the p o l i c y -r e l a t e d u t i l i t y of a problem frame be ordered to form a comprehensive procedural framework f o r guiding p r a c t i c e i n t h i s r espect?; Now, whether or not the course of r e f l e c t i v e problem s e t t i n g i s considered to be completed w i t h the conduct of t h i s "examination" w i l l , no doubt, depend upon the r o l e and mandate of the a n a l y s t , and the r e s u l t s of h i s / h e r a n a l y s i s . I t does, however, seem reasonable to suppose th a t i n q u i r y 42 would continue u n t i l (at le a s t ) an 'adequate' problem frame had been d i s c o v e r e d — e i t h e r i n already documented accounts of the p r o b l e m a t i c s i t u a t i o n , or as a r e s u l t of the an a l y s t ' s e f f o r t s to re-frame the problem. CONFIRMING/REFRAMING THE PROBLEM TO BE ADDRESSED The Process of Reframing To re-frame a problem i s to f i n d a new way of SEEING ( i . e . of p e r c e i v i n g and e v a l u a t i n g ) t h e p r o b l e m a t i c s i t u a t i o n . The process of re-framing i s t h u s — a s SchOn (1979:278) n o t e s - - s i m i 1 a r t o the making of a g e n e r a t i v e metaphor. I t might, s i m i l a r l y , occur as the r e s u l t of some spontaneous f l a s h of i n s i g h t , or of a c o n s c i o u s and d e l i b e r a t e attempt t o b e t t e r u n d e r s t a n d a complex and t r o u b l i n g s i t u a t i o n . 5^Ii^££i^__ll£!!£_I^^iIH£iH£i£2 • T n e need f o r d e l i b e r a t e frame r e s t r u c t u r i n g can be considered w i t h i n the context of two d i f f e r e n t sets of circumstances. The f i r s t occurs when the p a r t i c i p a n t s concerned w i t h a p a r t i c u l a r s o c i a l p o l i c y b r i n g to the debate " d i f f e r e n t and c o n f l i c t i n g frames, [ones] g e n e r a t e d by d i f f e r e n t and c o n f l i c t i n g metaphors"; so tha t what i s needed i s a way of reframing the problem t h a t w i l l r e c o n c i l e opposing views (Schfln, 1979). The second circumstance a r i s e s when frames t h a t have been i n good currency go out of s t y l e . 43 According to Rein and Schon (1977:240) , a good deal of o r d i n a r y discourse among people t r a f f i c s i n frames, so t h a t our way of seeing t h i n g s , and c o n c e p t u a l i z i n g ideas, are drawn from a common r e s e r v o i r of c u l t u r a l l y developed^ frames. However, when o l d frames seem to have l o s t t h e i r u t i l i t y (perhaps as a r e s u l t of a s h i f t i n the standards of e x p l a n a t i o n , or of s i t u a t i o n a l changes) so t h a t they no l o n g e r p r o v i d e a c o n s e n s u a l b a s i s f o r a c t i o n , then i t becomes n e c e s s a r y t o s e l e c t or c o n s t r u c t new frames. But, t h i s may be more e a s i l y s a i d than done; f o r as Smith (1982) c a u t i o n s , One problem w i t h how we t h i n k about phenomenon i s th a t once we have chosen a set of metaphors and a p p l i e d them to a p a r t i c u l a r context, they slowly become r e i f i e d and i t i s hard to t h i n k of t h a t phenomenon independent of the metaphors and metonymies [ c o n t e x t s ] we have been using as the v e h i c l e of our t h i n k i n g . (Smith, 1982:331) The p e r s i s t e n c e of o l d metaphors. Smith goes on to note t h a t when we do manage to generate new metaphors, they are most l i k e l y to be mapped on to the o l d ones, r a t h e r than on to the o r i g i n a l [experience of the] t e r r a i n — m a k i n g them "second-level maps as opposed to a genuinely a l t e r n a t e map 3 B.E.F. Beck (1978) suggests that the c u l t u r e w i t h i n which i n d i v i d u a l s are reared w i l l i n f l u e n c e the development of t h e i r semantic codes towards c e r t a i n h i g h l y valued, sense-based c o n f i g u r a t i o n s (or " c u l t u r a l root metaphors"). And, by way of i l l u s t r a t i n g how d i f f e r e n t e n v i r o n m e n t a l c o n d i t i o n s may give r i s e to d i f f e r i n g metaphor c l u s t e r s , she c i t e s (1982:11) a w e l l known study by S e g a l l , Campell, and Herskovits (1966) i n which "they show tha t persons l i v i n g i n 'carpentered environments' have h a b i t s of v i s u a l perception t h a t d i f f e r s i g n i f i c a n t l y from persons accustomed t o 'uncarpentered, n a t u r a l ' environments." 44 o f t h e t e r r a i n , a l t h o u g h i t i s h o p e d t h a t t h e s e c o n d map w i l l r e f l e c t t h e [ e x p e r i e n c e o f t h e ] t e r r a i n b e t t e r t h a n t h e o r i g i n a l . " ( p . 3 3 1 ) P r o c e d u r a l C o n s i d e r a t i o n s T w o o t h e r d i f f i c u l t i e s m a y b e a s s o c i a t e d w i t h a n a t t e m p t t o r e - v i e w s o m e p h e n o m e n o n b y m e a n s o f a n a l t e r n a t i v e m e t a p h o r , s u g g e s t s S m i t h . T h e f i r s t c a n h a p p e n w h e n t h e o r i g i n a l m e t a p h o r h a s b e c o m e " a c e n t r a l p a r t o f a m u c h l a r g e r r e a l i t y s t r u c t u r e [ w o r l d v i e w ] t h a t c o u l d b e f r a c t u r e d o r d i s e q u i 1 i b r i a t e d i f i t w e r e s i g n i f i c a n t l y a l t e r e d . " T h e s e c o n d o c c u r s w h e n t h e p h e n o m e n o n i n q u e s t i o n i s g o i n g t h r o u g h c h a n g e s . I n s u c h a c a s e , w a r n s S m i t h , I f a r e l a t i o n s h i p i s * c h a n g i n g , t h e m e t a p h o r b e i n g -u s e d t o c a p t u r e t h a t r e l a t i o n s h i p m u s t a l s o h a v e t h e c a p a c i t y t o [ r e p r e s e n t ] c h a n g e i n w a y s s i m i l a r t o t h e d y n a m i c p r o p e r t i e s o f t h e p h e n o m e n o n [ i n o r d e r t o s e r v e a s a u s e f u l m e t a p h o r ] . ( S m i t h , 1 9 8 2 : 3 3 3 ) C l e a r l y , s u c h d i f f i c u l t i e s w i l l n e e d t o b e t a k e n i n t o c o n s i d e r a t i o n w h e n i t c o m e s t o d e v e l o p i n g g u i d e l i n e s f o r t h e r e f r a m i n g o f t h e p r o b l e m , a s r e q u i r e d i n S u b -p r o b l e m [ 8 ] : Guidelines f o r problem reframing. W h a t g u i d e l i n e s m i g h t b e d e v e l o p e d f o r a s s i s t i n g t h e a n a l y s t i n t h e t a s k o f p r o b l e m r e f r a m i n g ? 45 CHAPTER SUMMARY W i t h r e s p e c t t o t h e d e v e l o p m e n t o f a p r o c e d u r a l f ramework f o r t h e r e f l e c t i v e p r a c t i c e o f p r o b l e m s e t t i n g i n p o l i c y r e s e a r c h , t h e f o l l o w i n g p r e p a r a t o r y r e s e a r c h t a s k s and s u b - p r o b l e m s w e r e f o r m u l a t e d ( i n t h i s c h a p t e r ) f o r d e v e l o p m e n t a l a t t e n t i o n : P r e p a r a t o r y R e s e a r c h Tasks (a) B o u n d i n g t h e p r o b l e m a t i c s i t u a t i o n . (b) S e l e c t i n g t h e d o c u m e n t a t i o n t o be a n a l y z e d . S u b - P r o b l e m s [1] G u i d e l i n e s f o r i d e n t i f y i n g r e l e v a n t ( m e t a p h o r i c ) d a t a . [2] Framework f o r s p e l l i n g o u t a g e n e r a t i v e me tapho r . [3] Framework f o r e l a b o r a t i n g t h e a s s u m p t i o n s o f t h e me tapho r . [4] Bases f o r e x a m i n i n g t h e p o l i c y - r e l a t e d u t i l i t y o f a p r o b l e m f r ame . [5] C r i t e r i a f o r j u d g i n g t h e ' v a l i d i t y ' o f i n t e r p r e t i v e a c c o u n t s . [6] C r i t e r i a f o r e x a m i n i n g t h e p o l i c y - r e l a t e d u t i l i t y o f a g i v e n p r o b l e m f r a m e . [7] P r o c e d u r a l f ramework f o r e x a m i n i n g . a p r o b l e m f r a m e . [8] G u i d e l i n e s f o r p r o b l e m r e f r a m i n g . Chapter 3 FRAMING THE PROCEDURES FOR REFLECTIVE PROBLEM SETTING As long as men must make hypotheses to solve t h e i r problems, they w i l l seek analogies to s t i m u l a t e t h e i r i n v e n t i o n , and when these analogies generate explanatory c a t e g o r i e s , these immediately f u n c t i o n as explanatory metaphors. (Pepper, 1982:200) . we e x p l a i n by i n s t i t u t i n g or d i s c o v e r i n g r e l a t i o n s . . . The p a r t i c u l a r r e l a t i o n s t h a t h o l d c o n s t i t u t e a p a t t e r n , and an element i s e x p l a i n e d by being shown to occupy the place t h a t i t does occupy i n the p a t t e r n . (Kaplan, 1964:334) Of the methodological issues i d e n t i f i e d i n the l a s t c h a p t e r , two p r e p a r a t o r y r e s e a r c h t a s k s were seen as r e q u i r i n g a t t e n t i o n before the work of r e f l e c t i v e problem s e t t i n g c o u l d be advanced. The f i r s t s e c t i o n of t h i s c h a p t e r d e a l s , t h e r e f o r e , w i t h the p r e p a r a t o r y r e s e a r c h tasks o f : (a) Bounding the Problematic S i t u a t i o n , and (b) S e l e c t i n g the Documentation to be Analysed. Subsequent s e c t i o n s o u t l i n e the procedures developed i n t h i s study f o r addressing the o p e r a t i o n a l concerns ( i d e n t i f i e d i n the l a s t chapter as sub-problems) a s s o c i a t e d w i t h each of the f i v e procedural stages of problem s e t t i n g (as, here, 46 47 f o r m u l a t e d on t h e b a s i s o f i d e a s g l e a n e d from R e i n and Schon [1977], and Schfln [ 1 9 7 9 ] ) , namely: (1) UNCOVERING THE GENERATIVE METAPHOR UNDERLYING THE PROBLEM FRAME (2) SPELLING OUT THE GENERATIVE METAPHOR (3) ELABORATING THE ASSUMPTIONS OF THE METAPHOR (4) EXAMINING THE POLICY-RELATED UTILITY OF THE PROBLEM FRAME (5) CONFIRMING/REFRAMING THE PROBLEM. PREPARATORY RESEARCH TASKS Bounding t h e P r o b l e m a t i c S i t u a t i o n In o r d e r t o impose o r d e r on t h e s u b j e c t o f a p o l i c y a n a l y t i c i n q u i r y , t h e p o l i c y a n a l y s t ( l i k e any o t h e r r e s e a r c h e r ) must d e l i m i t t h e scope o f h i s / h e r i n q u i r y . To d e l i m i t i s t o p l a c e an a r b i t r a r y boundary between what i s , and what i s n o t , t o be i n c l u d e d w i t h i n t h e p u r v i e w o f t h e s t u d y . Such a boundary s e r v e s , i n t h e same way as does a p r o b l e m - s e t t i n g f r a m e , t o c i r c u m s c r i b e t h e p a r t i c u l a r p e r s p e c t i v e , o r p o i n t - o f - v i e w o f t h e i n q u i r e r . I t , s i m i l a r l y , a c t s t o l i m i t what t h e i n q u i r e r may d i s c o v e r about t h e phenomenon under i n v e s t i g a t i o n — f o r t h e r e s u l t s we o b t a i n a r e c o n d i t i o n e d by t h e q u e s t i o n s we ask. Moreover, i n a d d i t i o n t o t h e c o n s t r a i n i n g i m p e r a t i v e s of sound r e s e a r c h i n t h i s r e g a r d , i t i s supposed t h a t our v e r y a p p r e h e n s i o n o f phenomena i s d e p e n d e n t upon o u r a d o p t i n g some p e r s p e c t i v e , some " p o i n t o f view," (Brown, 1976 :169) . 48 I t would seem, t h e r e f o r e , t h a t the o n l y way t o m i n i m i z e the i n f l u e n c e of an i n e s c a p a b l y s u b j e c t i v e and l i m i t i n g bounding of a problematic s i t u a t i o n i s t o ensure th a t the researcher's frame of reference i s (a) c o n s c i o u s l y chosen ( f o r i d e n t i f i a b l e reasons) ; and (b) t h a t i t i s a r t i c u l a t e d i n the context of a systemic framework (which, a t l e a s t , e n a b l e s t h e s i m u l t a n e o u s r e c o g n i t i o n of some a l t e r n a t i v e p e r s p e c t i v e s (as i l l u s t r a t e d i n the f i r s t s e c t i o n of Chapter 4, which d e a l s w i t h bounding the problematic s i t u a t i o n i n 'the case of s c h o o l s ' ) . S e l e c t i n g the Documentation to be Analysed The q u a n t i t y and type of 'story' documentation t h a t might be s e l e c t e d f o r a n a l y s i s i n problem s e t t i n g are seen as being a f u n c t i o n of (a) the a v a i l a b i l i t y of (what are deemed to be) r e l e v a n t problem-setting ' s t o r i e s ' , and (b) t h e r e s e a r c h r e q u i r e m e n t s o f t h e p a r t i c u l a r c a s e i n question. A v a i l a b i l i t y of r e l e v a n t problem-setting ' s t o r i e s ' . The a v a i l a b i l i t y of r e l e v a n t p r o b l e m - s e t t i n g s t o r i e s i s viewed as a product of such f a c t o r s as (i) the 'age' of the problematic s i t u a t i o n ( i . e . whether i t i s so new t h a t i t awaits i n v e s t i g a t i o n , or has been around long enough to have been the subject of p o l i c y research, 'problem' f o r m u l a t i o n , and p o l i c y development/review), and ( i i ) the reason why such p o l i c y research i s considered necessary. Three such reasons are considered, here, to be r e l e v a n t i n the case of research i n t o problem s e t t i n g . They are: 49 (1) t h e p r o b l e m a t i c s i t u a t i o n i s so new and u n i q u e t h a t no r e l e v a n t p o l i c y e x i s t s t o d e a l w i t h i t , (2) t h e e x i s t i n g p o l i c y , o r a s s o c i a t e d p o l i c i e s a r e g e n e r a l l y viewed as b e i n g i n need o f r e v i e w , i n o r d e r t o meet c h a n g i n g e n v i r o n m e n t a l / s o c i e t a l c o n d i t i o n s , (3) t h e e x i s t i n g p o l i c y i s t h e s u b j e c t o f s t r o n g l y - f e l t c o n f l i c t i n g (and d i v i s i v e ) v i e w s . The r e l a t i o n s h i p between t h e s e f a c t o r s i s seen as d e t e r m i n i n g t h e q u a n t i t y , and k i n d , o f r e l e v a n t m a t e r i a l t h a t w i l l l i k e l y be a v a i l a b l e f o r s e l e c t i o n by t h e r e s e a r c h e r , as suggested i n F i g u r e 3.1. 'AGE' DT PROBLEMATIC SITUATION REASON WHY RESEARCH IS NEEDED T NEWLY lEMERGING BEEN FELT FOR SOME TIME 10 15 y e a r s OF LONG STANDING DURATION r#i- NO EXISTING POLICY few ( i f any) 1 s t o r i e s 1 #2 POLICY GENERALLY SEEN AS IN NEED OF UPDATING TO MEET CHANGING ENVIRON-MENTAL CONDITIONS few ( i f any) ' new' s t o r i e s o l d a c c o u n t s some new s t o r i e s / c a r t o o n s I commissioned s t u d i e s and r e s e a r c h r e p o r t s r#3 POLICY SUBJECT OF CONTROVERSIAL DEBATE a few many c o n f l i c t i n g a c c o u n t s / s t o r i e s F i g u r e 3.1 F a c t o r s A f f e c t i n g t h e A v a i l a b i l i t y o f R e l e v a n t P r o b l e m - S e t t i n g ' S t o r i e s ' 50 In c a s e #1, f o r e x a m p l e , o f a n e w l y e m e r g i n g p r o b l e m a t i c s i t u a t i o n , i t i s more than l i k e l y t h a t no r e l e v a n t s o c i a l p o l i c y e x i s t s , and t h a t few ( i f any) problem-setting ' s t o r i e s ' have been documented. Problem c o n c e p t u a l i z a t i o n might be seen i n i t s infancy i n such an insta n c e ; and the p o l i c y researcher may f i n d i t necessary to begin h i s / h e r i n q u i r y w i t h the c o l l e c t i o n of accounts by v a r i o u s s t a k e h o l d e r s (and, where a p p r o p r i a t e , t e c h n i c a l experts) . Where (as i n case #2) a problematic s i t u a t i o n emerges as the r e s u l t of a p o l i c y (or a set of p o l i c i e s ) t h a t i s no longer e f f e c t i v e ( e i t h e r because the s o c i a l s i t u a t i o n , , or t h e e n v i r o n m e n t a l c o n t e x t , has c h a n g e d ) , t h e n ' o l d ' ( t r a d i t i o n a l ) a c counts may be found — ones t h a t w i l l (at lea s t ) r e f l e c t the dominant generative metaphor und e r l y i n g the c u r r e n t p o l i c y . And, i f the problematic s i t u a t i o n has been emerging f o r some t i m e , i t i s p o s s i b l e t h a t 'new' s t o r i e s have already been c o l l e c t e d (and perhaps analyzed) by other researchers; or even, . th a t l a r g e - s c a l e s t u d i e s have been commissioned th a t w i l l provide secondary analyses of the s i t u a t i o n , and some f o r m u l a t i o n ( i n the form of p o l i c y recommendations) of the problem. I f the s i t u a t i o n has more r e c e n t l y become p r o b l e m a t i c , the r e s e a r c h e r , h i m / h e r s e l f , may f i n d i t n e c e s s a r y t o undertake the c o l l e c t i o n of s t o r i e s t h a t describe people's concerns and w o r r i e s . I d e a l l y , s u c h d o c u m e n t a t i o n w o u l d t a k e an e t h n o g r a p h i c f o r m , and n o t be g u i d e d / i n f 1 u e n c e d by 51 r e s e a r c h e r - c h o s e n (problem) t o p i c s . Another f r u i t f u l source of r e l e v a n t metaphoric m a t e r i a l i s , as suggested by Beck (1982:10), "the cartoons of a c u l t u r e . . [for] They capture, i n a s u c c i n t way, some of the paradox inherent i n c u l t u r a l values and imagery." Where a problematic s i t u a t i o n i s occasioned by the f a c t t h a t people have brought d i f f e r e n t , and c o n f l i c t i n g , s t o r i e s to the p o l i c y debate (as i n case #3) , the i n q u i r e r w i l l need (for purposes of reframing the problem) to be able to l o c a t e a r e p r e s e n t a t i v e sampling of the s t o r i e s t o l d by the v a rious p r o t a g o n i s t s . Since, f o r the c o n f l i c t to be evident, such accounts must already e x i s t , t h i s should not prove d i f f i c u l t — a l t h o u g h , c l e a r l y , the number and v a r i e t y of such s t o r i e s are l i k e l y t o r e f l e c t the 'age' of the controversy. Research requirements. The r a t i o n a l e upon which the s e l e c t i o n of documentation f o r a n a l y s i s might be based i s seen as b e i n g d r i v e n by the unique r e q u i r e m e n t s , and circumstances of each i n d i v i d u a l case 'study.' However, as a g e n e r a l i z a t i o n , i t might be assumed th a t under 1 A 1984-1985 study undertaken by the B r i t i s h Columbia M i n i s t r y of Education t i t l e d "Let's Talk About Schools," a s k e d p a r t i c i p a n t s t o r e s p o n d t o a d i s c u s s i o n p a p e r th a t had been developed by an Advisory Committee appointed f o r that task. Respondents' opinions and preferences were, t h e r e f o r e , sought on a number of r a t h e r s p e c i f i c p r e -determined problem i s s u e s — a n d were, c l e a r l y , o r i e n t e d to problem s o l u t i o n ( i . e . the problems were taken as 'given'). The r e s u l t i n g r e p o r t does not provide the k i n d of data that i s u s e f u l f o r research i n t o problem s e t t i n g . A t r a n s c r i p t of the Advisory Committee's d e l i b e r a t i o n s while i t attempted to formulate the problem issues might, however, have provided a much more ' t e l l i n g ' t a l e ! 52 c i r c u m s t a n c e s where t h e r e i s no e x i s t i n g p o l i c y , a thorough r e p r e s e n t a t i o n of viewpoints would be s o u g h t — w i t h a view to framing the problem so t h a t i t can accommodate as wide a range of c o n s t i t u e n t w o r r i e s and concerns as p o s s i b l e . (Thoroughness [of representation] might be judged as h a v i n g been a c h i e v e d when a d d i t i o n a l s t o r i e s y i e l d nothing t h a t i s new.) In c a s e s where e x i s t i n g p o l i c i e s , o r p r o p o s e d p o l i c i e s , are seen as r e q u i r i n g a t t e n t i o n (e.g; as i n cases #2 and #3, above), r e p r e s e n t a t i v e (and c o n f l i c t i n g ) views may be found to have been already expressed i n the various ' s t o r i e s ' t o l d by h i g h p r o f i l e ' o p i n i o n l e a d e r s ' (e.g. p o l i t i c i a n s , w r i t e r s , media p e r s o n a l i t i e s , researchers and i n s t i t u t i o n a l agents). Because such ( o p i n i o n - i n f l u e n c i n g ) s t o r i e s about p r o b l e m a t i c s o c i a l s i t u a t i o n s tend t o be s o c i e t a l l y accepted as accounts of ' r e a l i t y , ' they provide important sources of t a c i t metaphoric d a t a — i . e . w i d e l y -h e l d , dominant, explanatory metaphors—that need, as noted by R e i n and SchOn, t o be made e x p l i c i t and s u b j e c t e d t o c r i t i c a l s c r u t i n y . While some ( p a r t i c u l a r l y l e s s well-known) accounts may embody explanatory metaphors t h a t are generative of more p r o m i s i n g p r o b l e m - s e t t i n g frames (and the p o l i c y a n a l y s t may be mandated to b r i n g these to the a t t e n t i o n of the policymakers) , the chances are (as cautioned by Smith, 1982 : 331) t h a t they w i l l have l i t t l e a c c e p t a b i l i t y as a l t e r n a t i v e s i f they do not e a s i l y map on to the c u r r e n t 53 way of v i e w i n g the problem ( i . e . on t o the dominant explanatory metaphor). UNCOVERING THE GENERATIVE METAPHOR UNDERLYING THE PROBLEM FRAME Having s e l e c t e d the document(s) to be analyzed, the f i r s t t a s k i s t o l o c a t e the p a r t i c u l a r p a r t ( s ) t h a t describes the problem ('bounded1 f o r the i n q u i r y ) , and t e l l s 'what i s wrong' and 'what i n need of f i x i n g . ' The next step i s to i d e n t i f y , and 'surface,' the deep metaphor t h a t the s t o r y t e l l e r has used to makes sense of the problem: a task (as noted i n sub-problem #1) r e q u i r i n g the i d e n t i f i c a t i o n of r e l e v a n t metaphoric data. Sub-Problem [13: G u i d e l i n e s f o r I d e n t i f y i n g  Relevant (Metaphoric) Data There are s e v e r a l ways i n which the i n q u i r e r might be 'cued' to the deep metaphor which i s generative of a given problem frame. A surface expression or metaphor(s) t h a t has been used to h i g h l i g h t some 'thing' (as i n the case of the " b l i g h t e d " [slum] community) or a c t i o n i n the problem d e s c r i p t i o n , might, f o r example, serve as a c l u e . However, u l t i m a t e l y , the discernment of a deep metaphor i s going to be dependent upon the schema (pattern) r e c o g n i z i n g a b i l i t y of the i n q u i r e r - i n t e r p r e t e r . ^ B e r l i n e r (1986: 11) notes th a t i t i s s a i d t h a t "experts have e x t r a o r d i n a r i l y f a s t and accurate p a t t e r n r e c o g n i t i o n c a p a b i l i t i e s . These r e c o g n i t i o n s k i l l s appear to act l i k e schema i n s t a n t i a t i o n s [concrete instances t h a t represent abstracted p a t t e r n s ] . The r e c o g n i t i o n of patterns reduces the c o g n i t i v e p r o c e s s i n g l o a d of a p e r s o n . 54 "Schema r e c o g n i t i o n " Rumelhart (1979) suggests t h a t schema r e c o g n i t i o n a c c o u n t s f o r our p r o d u c t i o n and comprehension of speech utterances whether these utterances be intended by the s t o r y t e l l e r to be taken as l i t e r a l or m e t a p h o r i c J . As R u m e l h a r t (1979:88) a s s e r t s , i t i s d i f f i c u l t i n both cases to determine what i s being conveyed simply from the meanings of the " i n d i v i d u a l l e x i c a l items of the u t t e r a n c e . " And, he notes t h a t i n both c a s e s , "the i n t e r p r e t a t i o n seems t o depend on knowledge w e l l beyond d e f i n i t i o n s of the terms i n v o l v e d . " He, t h e r e f o r e , p o s i t s a very general account of what he sees as being i n v o l v e d i n the comprehension process f o r both l i t e r a l and f i g u r a t i v e languages a l i k e : The p r o c e s s of comprehension i s i d e n t i c a l t o the process of s e l e c t i n g and v e r i f y i n g conceptual schemata to account f o r the s i t u a t i o n ( i n c l u d i n g i t s l i n g u i s t i c components) t o be u n d e r s t o o d . Having s e l e c t e d and v e r i f i e d t h a t some c o n f i g u r a t i o n of schemata o f f e r s a s u f f i c i e n t account of the s i t u a t i o n , i t i s s a i d to be understood. . 1 . a "schema" i s taken t o be an a b s t r a c t r e p r e s e n t a t i o n of a g e n e r a l i z e d concept or s i t u a t i o n , and a schema i s s a i d to "account f o r a s i t u a t i o n " whenever tha t s i t u a t i o n can be taken as an instance of the general c l a s s of concepts represented by the schema. (Rumelhart, 1979:85) A c c o r d i n g t o R u m e l h a r t (19 7 9:83-84), schema r e c o g n i t i o n (whether i n f i g u r a t i v e o r n o n f i g u r a t i v e language) i s completely dependent upon "knowledge of the world"; and " l i n g u i s t i c utterances are always i n t e r p r e t e d i n some context." J A c c o r d i n g t o M i l l e r (19 7 9:247-248), the p r o c e s s of s t r a i g h t f o r w a r d l i t e r a l comprehension subsumes the process of comprehending metaphors. 55 Schema r e c o g n i t i o n i s , thus, viewed as a p e r s o n a l , h o l i s t i c , experience. I t i s , f o r example, one i n which the p i e c e s of the p u z z l e (whether they be e x p r e s s i o n s i n a ' s t o r y ' , or a p a l e o n t o l o g i s t ' s f i n d i n g s of fragmented dinosaur bone f o s s i l s ) are 'seen' i n r e l a t i o n s h i p to the context i n which they are found (be i t a s t o r y s i t u a t i o n , or a mountain cave) and comprehended i n the l i g h t of w o r l d l y knowledge (of s i m i l a r ' s t o r y ' s i t u a t i o n s , or d i n o s a u r 'models')—at one and the same time. This i s c o n t r a r y , as Rumelhart notes, to the standard approach which assumes the 'bottom up' process of c o n s t r u c t i n g meaning from smaller component meanings. A c c o r d i n g t o t h a t approach, "non l i n g u i s t i c knowledge comes i n t o play only a f t e r the set of p o s s i b l e meanings has been s e l e c t e d " (p.85). Rumelhart's p o s i t i o n i s consonant with t h a t of Hanson who a s s e r t s : One does not f i r s t soak up an o p t i c a l p a t t e r n and t h e n c l a s p an i n t e r p r e t a t i o n on i t — t h e o r i e s and i n t e r p r e t a t i o n s are ' t h e r e ' i n the s e e i n g from the outset. (Hanson, 1965:9-10) And i t i s on such e p i s t e m o l o g i c a l grounds th a t the approach taken to problem s e t t i n g i s , i n t h i s study, p r e d i c a t e d . Such an approach recognizes the s u b j e c t i v i t y of the researcher's schema r e c o g n i t i o n and i n t e r p r e t a t i o n ; and r e q u i r e s him/her to a l s o undertake a r e f l e c t i v e assessment of these e f f e c t s . Schema p a t t e r n p a t t e r n - s e e k i n g used - s e e k i n g . The p r o c e s s of schema i n t h i s study (to uncover the deep 56 metaphor generative of the problem-setting frame employed i n the case of schools) would, i n r e t r o s p e c t , seem to have been pr e d i c a t e d on the f o l l o w i n g set of t a c i t 'understandings' / r a t i o n a l i z a t i o n s : (1) Problems r e p r e s e n t the d i f f e r e n c e between one's p e r c e p t i o n of the s i t u a t i o n as i t i s and one's conception of how i t 'ought' to be. (2) "Problems are d e f i n e d by h y p o t h e t i c a l s o l u t i o n s ; [ f o r ] the problem's f o r m u l a t i o n and the proposed s o l u t i o n are p a r t of the same hypothesis i n which thought and a c t i o n are fused" (Wildavsky, 1979:83). (3) The " s o l u t i o n s " provided i n a problem-setting s t o r y w i l l s e r v e as d a t a on t h e b a s e s of w h i c h t o p o s t u l a t e the s t o r y t e l l e r s ' s conception of how the s i t u a t i o n 'ought' ' i d e a l l y ' to be. (4) I f the s t o r y does not i n c l u d e an e x p l i c i t l i n g u i s t i c 'model'1 (e.g. i n the form of an analogy or s i m i l e ) to represent t h i s ' i d e a l , ' then the model must be-i m p l i c i t . For, without such a conception of how the s i t u a t i o n 'ought' to be, there i s no 'seeing' of the problem. (5) I f the model i s i m p l i c i t , then i t serves, as does a metaphor, to generate understanding. (In t h i s sense a l l words are s y m b o l i c c o n s t r u c t i o n s t h a t can be s a i d t o be m e t a p h o r i c , f o r they c a r r y meaning without s i g n a l l i n g t h a t they do so.) (6) I t i s t h i s p o s t u l a t e d ( m e t a p h o r i c a l l y used) conception t h a t i s s o u g h t — n o t something t h a t looks l i k e a l i n g u i s t i c metaphor. (7) Because the ( t a c i t l y used) c o n c e p t i o n i s w e l l understood (even i f i t i s not recognized by the user to be a c t i n g as a model i n the circumstances) , the s o l u t i o n s i t provides f o r remedying the problematic s i t u a t i o n w i l l seem to be obvious. (8) I t i s h e l p f u l , then, to ask, "to what p r o b l e m — i n some o t h e r c o n t e x t ( t h a t i s f a m i l i a r t o t h e s t o r y t e l l e r ) — i s t h i s (recommended course of action) a l s o an obvious s o l u t i o n ? " (9) I t i s a l s o h e l p f u l to ask, " i n what other contexts ( f a m i l i a r to the s t o r y t e l l e r ) might the normative ideas underpinning these s o l u t i o n s be found?" 57 (10) "The p e r c e p t i o n of a p a t t e r n i s what g i v e s the ' c l i c k of r e l a t i o n s ' spoken of i n connection w i t h the norms of coherence f o r the v a l i d a t i o n of a theory. The e x p l a n a t i o n i s sound when everything f a l l s i n t o p l a c e " (Kaplan, 1964:334-335). (11) F a i l u r e t o a c h i e v e t h i s " c l i c k of r e l a t i o n s " p o s s i b l y s i g n a l s a ' c u l t u r a l ' gap between the i n q u i r e r and the s t o r y t e l l e r ( i . e . a lack of working knowledge of the b e l i e f . s , customs, or s o c i a l / l i n g u i s t i c forms of the s t o r y t e l l e r ' s 'world'). SPELLING OUT THE UNDERLYING GENERATIVE METAPHOR Having i d e n t i f i e d the most p l a u s i b l e deep metaphor of the problem s e t t i n g s t o r y ( i . e . h a v i n g i d e n t i f i e d the v e h i c l e CB} t h a t has been used [metaphorically, as a model] to e l u c i d a t e the subject of the problematic s i t u a t i o n [A3), the next task i s to p l o t the corresponding features of the analogy suggested by the metaphor—so that we might construe t h e " t h e o r y t h a t makes e x p l i c i t t h e c a u s a l l i n k a g e s suggested i n the s t o r y " (Rein and SchOn, 19 7 7:24 4-245). This task i s seen as being f a c i l i t a t e d by the p r o v i s i o n of a 'template,' or framework, f o r g u i d i n g analogy c o n s t r u c t i o n (as i d e n t i f i e d i n sub-problem #2). Sub-Problem [2]: Framework For S p e l l i n g  Out A Generative Metaphor The framework that i s , here, proposed f o r s p e l l i n g out a g e n e r a t i v e metaphor i s founded on the a b s t r a c t e d "metaphor-theme" ( i . e . the metaphor of [A3 as £B} [Black, 1979]) of the i d e n t i f i e d generative metaphor—as shown i n Figure 3.2. According to t h i s framework, [A3 symbolizes our newly apprehended image of t h a t which, formerly, we found 58 problematic; f o r [ A 3 i s now seen "as i f " i t were C B 3 — o r r a t h e r , i n terms of the image we have of the more f a m i l i a r l y known C B 3 . However, [A3 i s not [ B 3 ; i t can only be l i k e [ B 3 i n c e r t a i n r e s p e c t s . Those ways i n which [A3 seems most l i k e [B3 are named i n the s t o r y ; and these named features serve as a bridge to l i n k the h i g h - s a l i e n t a t t r i b u t e s of [ B 3 w i t h what had been l o w - s a l i e n t features of [A3. Figure 3:2 Framework f o r S p e l l i n g Out a Generative Metaphor Examining Normative Assumptions The framework ( i l l u s t r a t e d i n F i g u r e 3.2) a l s o provides f o r an examination of the r e l a t i o n s h i p between the expressed problem s o l u t i o n s f o r [A3 and any normative ideas t h a t may have t a c i t l y been c a r r i e d from what i s 'known' about d e a l i n g w i t h such'problems i n the context of [B3. The purpose of such an a n a l y s i s i s to surface any normative 59 assumptions t h a t might be t a c i t l y undergirding the analogy suggested by the generative metaphor, so t h a t they can be elaborated and examined f o r appropriateness i n r e l a t i o n to CA}. ELABORATING THE ASSUMPTIONS OF THE METAPHOR I t w i l l be r e c a l l e d t h a t Schon (1979:255) exhorts us t o " s p e l l o u t t h e me t a p h o r , [and t o ] e_labo r a t e t h e assumptions which flow from i t " [ s i c ] . E l a b o r a t i o n of "the assumptions which flow from" a metaphor i s understood as r e q u i r i n g us to make e x p l i c i t those assumptions upon which the ' u n d e r l y i n g assumption' of the metaphor i s , i t s e l f , p r e d i c a t e d . These assumptions are about the r e l a t i o n s h i p s that are b e l i e v e d to ob t a i n among the concepts incorporated i n t h e metaphor — c o n c e p t s t h a t a r e r e l a t e d a t two h i e r a r c h i c a l l y - o r d e r e d l e v e l s of the metaphoric c o n s t r u c t , as i l l u s t r a t e d i n Figure 3.3. At the l e v e l immediately below the metaphor of 'the pa t t e r n of CA) as the p a t t e r n of CB}' i s the r e l a t i o n s h i p of correspondence t h a t i s assumed between the concepts t h a t form the c o n s t i t u e n t elements of p a t t e r n CA} and of p a t t e r n CB}, when these are forced i n t o an a n a l o g i c a l r e l a t i o n s h i p by the metaphor (e.g. Cal} i s to CA} what Cbl} i s to CB}). And, at a l e v e l below t h i s , are the assumptions t h a t are h e l d about the n a t u r e of the metaphoric term C B } — i . e . about the way i t s c o n s t i t u e n t elements (of Cbl}, Cb2}, and Cb3}; of concepts, values , and b e l i e f s ) are ('in tru t h ' ) r e l a t e d to each other. 60 p a t t e r n of [A3 i R p a t t e r n of [B3 (seen as) t a-, i s to [A3 what b x i s t o [B3 J -r-A " i s view of [A3 dependent upon understanding of p a t t e r n of [B3 THEREFORE WHEN THE PATTERN OF [B3 IS SEEN THUSLY: _L, [A3 IS SEEN THUSLY IF [ B 3 WERE SEEN THUSLY: T THEN [A3 WILL BE SEEN THUSLY Figure 3.3 Framework For C o n c e p t u a l i z i n g The Assumptions That Flow From A Metaphor 61 Because the assumptions t h a t are held about the nature of a metaphoric term w i l l a f f e c t the r e l a t i o n s h i p of correspondence that can be assumed between the constituent elements of CA) and CB), the framework devised f o r (sub-problem #3) elaborating the assumptions of the metaphor i s seen as needing, f i r s t , to provide for the development of a generalized (ideal type) model of the metaphoric term CB). Sub-Problem [3]: Framework for Elaborating  the Assumptions of The Metaphor The primary focus i n t h i s framework i s , accordingly, on the i d e n t i f i c a t i o n and a r t i c u l a t i o n of the pattern of relationships that i s assumed (from what we think we 'know') to obtain for CB)'s in general. From t h i s generalized (ideal type) model of the metaphoric term CB), the implications of the metaphor (for i t s subject CA}) can, i n an ' i d e a l ' generalized sense, be subsequently drawn. The s t e p s c o n j e c t u r e d as b e i n g i n v o l v e d i n thi s stage of problem setting are shown i n Figure 3.4. They might be viewed as flowing from the framework used f o r 'spelling out the underlying generative metaphor.' unknown 'pattern' of CA} ? 7 ? Figure 3.4 Framework for Elaborating the Assumptions of the Metaphor IMPLICATIONS FOR CA) ideal type •model' of CB} c h a r a c t e r i s t i c features 62 A model th a t thus aims t o show the c o n f i g u r a t i o n of the elements t h a t go to make up our i m p l i c i t , and e x p l i c i t , understanding of the ' i d e a l i z e d ' v e r s i o n of the metaphoric term CB] i s l i k e n e d here to Kaplan's "pattern model." Kaplan's P a t t e r n Model. A c c o r d i n g t o Kaplan (1964), t h e r e a r e two models which provide understanding, and thereby e x p l a n a t i o n . "Very roughly, we know the reason f o r something e i t h e r when we can f i t i t i n t o a known p a t t e r n [the 'pattern model'], or e l s e when we c a n deduce i t f r o m o t h e r known t r u t h s [ t h e 'deductive model']" (p.332). And i t would seem t h a t w h i l e some s i t u a t i o n s lend themselves more a p p r o p r i a t e l y to one model, and some t o the o t h e r , "both may serve, a u s e f u l purpose i n methodology"(p.333). According to the p a t t e r n model, then, something i s e x p l a i n e d when i t i s so r e l a t e d t o a s e t of o t h e r elements t h a t together they c o n s t i t u t e a u n i f i e d system. We understand something by i d e n t i f y i n g i t as a s p e c i f i c p a r t i n an organized whole. (Kaplan, 1964:333) Kaplan goes on to i l l u s t r a t e h i s po i n t by d e s c r i b i n g a drawing t h a t c o n s i s t s of a "long v e r t i c a l s t r a i g h t l i n e w i t h a short one branching upwards from i t near the top, and a short curved l i n e j o i n i n g i t on the same side near the bottom"—as might be p i c t u r e d i n Figure 3.5. Figure 3.5 P i c t u r e of Part of An Organized Whole 63 As Kaplan s a y s , the drawing i s meaningless u n t i l i t i s explained. I t represents "a s o l d i e r w i t h f i x e d bayonet, accompanied by h i s dog, disappearing around the corner of a b u i l d i n g (the curved l i n e i s the dog's t a i l ) . As Kaplan (1964:334) e x p l a i n s : We understand the f i g u r e [drawing] by being brought t o see t h e whole p i c t u r e , o f w h i c h what i s t o be e x p l a i n e d i s o n l y a p a r t . I t i s i n t h i s way t h a t f a m i l i a r i t y may come i n t o pl a y : the unknown i s i d e n t i f i e d w i t h something known, though not by way of i t s l o c a l p r o p e r t i e s but i n terms of i t s p l a c e i n a network of r e l a t i o n s . .we e x p l a i n by i n s t i t u t i n g or d i s c o v e r i n g r e l a t i o n s . . . These r e l a t i o n s may be of v a r i o u s d i f f e r e n t s o r t s : c a u s a l , purposive, mathematical, and p e r h a p s o t h e r b a s i c t y p e s , as w e l l as v a r i o u s combinations and d e r i v a t i v e s of these. The p a r t i c u l a r r e l a t i o n s t h a t hold c o n s t i t u t e a p a t t e r n , and an element i s explained by being shown to occupy the place t h a t i t does occupy i n the p a t t e r n . (Kaplan, 1964:334) Having developed a p a t t e r n model f o r purposes of c l a r i f y i n g our understanding of CB), the next step i s to c o n s t r u c t another, higher order, p a t t e r n m o d e l — f o r purposes of s h a r p e n i n g our a p p r e c i a t i o n o f t h e ( m e t a p h o r i c ) r e l a t i o n s h i p between CB) and CA). T h i s i n v o l v e s the matching up of c h a r a c t e r i s t i c features and change p r o p e r t i e s of the i d e a l type model developed f o r CB), w i t h analogous f e a t u r e s , and change needs, t h a t are described i n the s t o r y about the problematic s i t u a t i o n CA), and i n other documented cases of ( s i m i l a r , or generic) CA)-type s i t u a t i o n s . I t i s , then, from an examination of the a n a l o g i c a l correspondence seen (or not seen, as the case may be) to 64 o b t a i n between the patterns of r e l a t i o n s h i p s thus revealed f o r CB} and f o r CA} t h a t a judgment might be made about the u t i l i t y , f o r policymaking purposes, of the a n a l o g i c a l model thus suggested by the (analysed) deep metaphor. EXAMINING THE POLICY-RELATED UTILITY OF THE PROBLEM FRAME Sub-Problem [4]: Bases f o r the S e l e c t i o n  of C r i t e r i a f o r Examining the U t i l i t y  of A Given Problem Frame Given the pragmatic nature of policymaking, i t was suggested ( i n Chapter 2) t h a t the c r i t e r i a f o r judging a problem-setting frame should, f o r policymaking purposes, i n c o r p o r a t e not o n l y the axioms i d e n t i f i e d by R e i n and Schfln as undergirding s o c i a l science i n q u i r y , but should a l s o take i n t o account the p o l i c y m a k e r s ' penchant f o r p r a c t i c a l i t y . To t h i s end, i t might be i n s t r u c t i v e t o consider "the c r i t i c a l examination of a given problem frame" as s e r v i n g a s i m i l a r s e r v i c e f o r p o l i c y m a k e r s as t h a t provided them by "an e v a l u a t i o n of a program"; and to note the c r i t e r i a suggested by Wholey (1978) f o r governing the "usefulness" of t h a t k i n d of an 'examination.' C r i t e r i a f o r judging the p o l i c y - r e l a t e d u t i l i t y of  program e v a l u a t i o n . According to Wholey, f o r an e v a l u a t i o n of a program to be u s e f u l f o r p o l i c y purposes i t needs to be r e l e v a n t , r e l i a b l e , v a l i d , o b j e c t i v e , understandable, and t i m e l y . By r e l e v a n t he means th a t the e v a l u a t i o n i s seen as both " a p p l i c a b l e " and "acceptable." By r e l i a b l e he means 65 t h a t , given the same i n f o r m a t i o n , others would come t o the same c o n c l u s i o n . By v a l i d he means t h a t supportive evidence i s " s o l i d , " "strong" [many people would a g r e e ] — s o t h a t i t i s s a f e [ i n a p o l i t i c a l sense] f o r p o l i c y m a k e r s t o pay a t t e n t i o n to the f i n d i n g s . By o b j e c t i v e he means f r e e from e v a l u a t o r b i a s . By u n d e r s t a n d a b l e he means " f r e e of j a r g o n " — t h a t i s , w r i t t e n i n p l a i n language [and w i t h deep metaphors] t h a t can be understood by p o l i c y makers. And t i m e l y i s used i n two senses. The f i r s t r e q u i r e s t h a t the e v a l u a t i o n be provided before d e c i s i o n s have to be made. The second r e f e r s to the p r o v i s i o n of inf o r m a t i o n t h a t i s t i m e l y because i t r e f l e c t s , c a p s u l i t e s , or c o n n e c t s w i t h w i d e r s o c i e t a l concerns t h a t are i n good currency. Now, juxtaposing these c r i t e r i a w i t h those noted by Rei n and Schon ( f o r d e f i n i n g the adequacy of a problem-s e t t i n g frame) does suggest a congruency and complementarity th a t would support t h e i r being considered (together) as bases f o r examining the p o l i c y - r e l a t e d u t i l i t y of a given problem frame (as re q u i r e d f o r the r e s o l u t i o n of sub-problem #4). This perceived relatedness i s i l l u s t r a t e d i n Figure 3.6 by means of i n t e r - c o n n e c t i n g arrows between the u t i l i t y — focussed c r i t e r i a proposed by Wholey (on the right-hand s i d e of the f i g u r e ) , and the adequacy-focussed c r i t e r i a advanced by Rein and Schfln. C r i t e r i a f o r judging frame adequacy i n the f i e l d of  s o c i a l s c i e n c e . As shown (underlined) on the l e f t - h a n d side of Figure 3.6, these c r i t e r i a can be seen to r e l a t e to a 66 CRITERIA HELD BY SOCIAL SCIENTISTS FOR 'JUDGING' . (from Rein and SchOn, 19 7 7) PLAUSIBILITY (Having face v a l i d i t y ) CONSISTENCY ( I n t e r n a l s t r u c t u r e having a p p r o p r i a t e correspondence.) (C o n s t r u c t u r a l v a l i d i t y . ) (Consistent w i t h l a r g e r b e l i e f system.) VALUE IMPLICATIONS (Is m orally acceptable) CAPACITY TO LEAD  TO ACTION (Can lead to implementable p o l i c i e s . ) 4 CRITERIA HELD BY LAY POLICYMAKERS FOR 'JUDGING' . . (according to Wholey, 1978) RELEVANCE APPLICABILITY i ACCEPTABILITY UNDERSTAND-ABILITY (Metaphoric language i s w i t h i n experience.) 1 i VALIDITY (Has 'good' supporting evidence.) 1 1 1 RELIABILITY OBJECTIVITY (Others would (Seen to be come to same f r e e from conclusion.) evaluator bias.) I 1 TIMELINESS (Can use i n f o f o r decision-making) (Issue c u r r e n t — has p o l i t i c a l momentum.) Figure 3.6 Bases For The S e l e c t i o n of C r i t e r i a For Examining The P o l i c y - R e l a t e d U t i l i t y Of A Problem Frame 67 frame's PLAUSIBILITY; CONSISTENCY ( i . e . i t s c a p a c i t y t o draw t o g e t h e r a l a r g e number of f a c t s and " w o r r i e s " - -r e l a t i n g them i n a network of p l a u s i b l e causation so t h a t there i s coherence both between the p r o p o s i t i o n s contained w i t h i n the frame, and between the frame and other sets of b e l i e f s held by the i n q u i r e r ) ; VALUE IMPLICATIONS ( i . e . i t s c a p a c i t y to lead to a morally acceptable p o s i t i o n ) ; and i t s CAPACITY TO LEAD TO ACTION (through implementable p o l i c i e s ) . "Beauty" i s omitted from t h i s l i s t on the grounds tha t beauty, l i k e ' t r u t h , ' i s ' i n the eye of the b e h o l d e r ' — and i s , consequently, more l i k e l y to be conceived, i n the p o l i t i c a l l y s e n s i t i v e arena of policymaking, i n terms of economic, than of t h e o r e t i c a l , "parsimony"! The c r i t e r i o n of " t e s t a b i l i t y " i s a l s o omitted. I t i s so on the grounds t h a t the purpose of r e f l e c t i v e p r a c t i c e [as attempted i n t h i s study] i s t o seek, : and c o n f i r m , useful/workable ways of r e s o l v i n g p r a c t i c a l p roblems—not to seek a ' t r u t h ' that i s 'out there to be found' and to be subjected to e m p i r i c a l t e s t s aimed at d i s c o n f i r m a t i o n . Rein and Schon [1977:249] note, "by the c r i t e r i o n of t e s t a b i l i t y , problems are g a m b l e s — r i s k - t a k i n g ventures i n which we make an i n f o r m e d g u e s s — b u t we must be p r e p a r e d t o be judged wrong by the evidence." Now, w h i l e "wrong" i s , here, taken to mean t h a t the problem frame s e l e c t e d by the p o l i c y m a k e r s i s found, i n r e t r o s p e c t , to have not been the most u s e f u l way of 'seeing' [making sense of] the experienced problematic s i t u a t i o n — R e i n and Schon's use of the term does r a i s e q u e s t i o n s 68 concerning the c r i t e r i a upon which i n t e r p r e t i v e accounts are to be judged and t e s t e d as v a l i d i n the sense of ' c o r r e c t ' [as i d e n t i f i e d i n sub-problem #5]. Sub-Problem [5]; C r i t e r i a f o r Judging the  ' V a l i d i t y ' of I n t e r p r e t i v e Accounts C r i t e r i a f o r judging the v a l i d i t y of i n t e r p r e t i v e accounts are seen, here, to p e r t a i n to two d i f f e r e n t orders (or l e v e l s ) of i n t e r p r e t a t i o n . At one l e v e l they r e l a t e to q u e s t i o n s about the match between a.troublesome s o c i a l s i t u a t i o n — a s i t i s experienced by the 'actors' i n v o l v e d — and a problem-setting s t o r y about th a t s i t u a t i o n — a s i t i s 'seen' by the s t o r y t e l l e r . This set of questions i s aimed at judging the 'correctness' of the problem-setting frame i n the sense of the aptness, f i t , or appropriateness of the analogy suggested by i t s u n d e r l y i n g generative metaphor. I t i s t h i s l e v e l of appropriateness t h a t i s of i n t e r e s t to Rein and SchOn; and i s the focus of a t t e n t i o n i n t h i s s e c t i o n . A t a n o t h e r l e v e l o f i n t e r p r e t a t i o n , however, questions of 'correctness' r e l a t e to the match between the c o n c e p t u a l i z a t i o n of the problematic s i t u a t i o n — a s framed by the s t o r y t e l l e r ( s ) — a n d the i n t e r p r e t i v e c o n c e p t u a l i z a t i o n of t h a t s t o r y t e l l e r ' s conceptual f r a m e — a s 'seen' by the a n a l y t i c i n q u i r e r . The question t h a t i s , here, asked i s , "how can the 'correctness' of an i n t e r p r e t a t i v e account of a given t e x t — t h a t i s i t s e l f an i n t e r p r e t i v e account of some p r o b l e m a t i c s i t u a t i o n — b e judged?" I t i s , t h e r e f o r e , a question concerning the v a l i d i t y of i n t e r p r e t i v e i n q u i r y at 69 a meta l e v e l ; and i s , a c c o r d i n g l y , seen here as the hallmark of r e f l e c t i v e p r a c t i c e — b o t h as i t r e l a t e s to the i n q u i r e r ' s own i n t e r p r e t a t i o n of t e x t u a l m a t e r i a l , and t o h i s / h e r c r e a t i v e e f f o r t s i n respect to problem reframing. Now, a c c o r d i n g t o Smith (1984:386), the b a s i s of t r u t h or t r u s t w o r t h i n e s s i n i n t e r p r e t i v e i n q u i r y i s " s o c i a l agreement." I t would, t h e r e f o r e , seem reasonable t o suppose t h a t v e r i f i c a t i o n of the i n q u i r e r ' s i n t e r p r e t a t i o n of a problem-setting s t o r y would be sought (at the o u t s e t ) — i f not from the source i t s e l f — from o t h e r , i ndependent, s t o r y t e l l e r s . S i m i l a r l y , i t i s s u p p o s e d t h a t t h e researcher would seek evidence (from the p a r t i c i p a n t s and stakeholders i n v o l v e d i n the s i t u a t i o n ) to confirm h i s / h e r conclusions regarding frame a d e q u a c y / u t i l i t y . Of course, such c r o s s - r e f e r e n c i n g becomes more p r o b l e m a t i c i f the a n a l y s t takes on a p a r t i c i p a n t r o l e , and engages i n some independent problem framing/reframing. For, as noted by Smith (1984:387) and Smith and Heshusius (1986:9), there i s a c i r c u l a r i t y to the i n t e r p r e t i v e (hermeneutical) process which Taylor puts thus: U l t i m a t e l y , a good exp l a n a t i o n i s one which makes sense of the behaviour; but then to appreciate a good ex p l a n a t i o n one has to agree on what makes good sense; what makes good sense i s a f u n c t i o n of one's readings [of the s i t u a t i o n ] and these i n t u r n are based on the k i n d of sense one understands. (Taylor, 1971:14) Ac c o r d i n g l y , i t might be concluded t h a t — i n the f i n a l a n a l y s i s — t h e "proof of the i n t e r p r e t e r ' s pudding" i s to be found i n the t a s t e experience of the policymaking d i n e r s f o r whom i t was intended! 70 Sub-Problem [6]: C r i t e r i a f o r Examining  the U t i l i t y of A Given Problem Frame The c r i t e r i a here proposed f o r examining the p o l i c y -r e l a t e d u t i l i t y of a given problem frame are: (a) b a s e d on an amalgam of t h e two s e t s o f c r i t e r i a shown i n Figure 3.6; and (b) defined i n a p u r p o s e - s p e c i f i c way ( i . e . they are t a i l o r e d t o r e l a t e s p e c i f i c a l l y t o t h e assessment of the generative metaphor th a t frames the problem of a problem-setting s t o r y ) . The p l a u s i b i l i t y of a (metaphoric) frame. This . i s seen as the f i r s t , and most c r u c i a l c r i t e r i o n . I t might be understood (as suggested i n Figure 3.6) i n terms of 'face v a l i d i t y ' — i . e . i n terms of the extent to which i t i s seen to be 're l e v a n t ' / 'apply'/ 'make sense of'/ ' t e l l the t r u t h about' a problematic s i t u a t i o n , i n a way t h a t the r e c i p i e n t f i n d s ( i n t e l l e c t u a l l y and emotionally) acceptable. As i n d i c a t e d by t h e c o n n e c t i n g a r r o w s , t h e p l a u s i b i l i t y of a given problem frame i s seen as r e s t i n g upon the extent to which the frame can s a t i s f y a l l the other 'bases' i d e n t i f i e d i n Figure 3.6. For, the extent t o which a problem frame i s found a p p l i c a b l e i s s u r e l y dependent upon the r e c i p i e n t ' s , (i) understanding the a n a l o g i c a l i m p l i c a t i o n s of the generative metaphor—which assumes h i s / h e r c u l t u r a l f a m i l i a r i t y w i t h the metaphor; ( i i ) ' s e e i n g ' t h e frame as a p p r o p r i a t e t o t h e c i r c u m s t a n c e s — i . e . as m e t a p h o r i c a l l y ' f i t t i n g ' (or possessing c o n s t r u c t u r a l v a l i d i t y ) ; ( i i i ) f i n d i n g the frame s u f f i c i e n t l y c o n s i s t e n t w i t h h i s / her l a r g e r b e l i e f system (worldview) t h a t i t i s considered ' v a l i d . ' (As noted by Smith and Heshusius [1986:9] "Within the q u a l i t a t i v e paradigm, v a l i d i s a l a b e l a p p l i e d to an i n t e r p r e t a t i o n or d e s c r i p t i o n w i t h which one agrees.") 71 Concomitantly, the extent to which a problem frame i s found a c c e p t a b l e i s seen as b e i n g dependent upon the r e c i p i e n t ' s , (a) c o n s i d e r i n g the value i m p l i c a t i o n s of the frame to be acceptable ( i . e . morally d e f e n s i b l e ) ; and (b) c o n c e i v i n g i t to have the c a p a c i t y to lead to a c t i o n ( b e c a u s e i t can be r e l i e d upon t o h a v e / g a i n w i d e s p r e a d a c c e p t a n c e and s u p p o r t , a n d / o r i s perceived to be p o l i t i c a l l y t i m e l y ) . (c) r e g a r d i n g the frame t o be f r e e of ( a d v e r s a r i a l ) ' p o l i t i c a l ' b i a s . The (metaphoric) appropriateness of a frame. This i s c o n c e p t u a l i z e d as an a l l - e n c o m p a s s i n g c r i t e r i a t h a t incorporates a l l those conceptual bases shown i n Figure 3.6 t o s u p p o r t a f r a m e ' s ' a p p l i c a b i l i t y ' i n t e r m s of c o n s i s t e n c y . These i n c l u d e the n o t i o n of c o n s t r u c t u r a 1 v a l i d i t y as i t r e l a t e s (a) t o the s t r u c t u r a l correspondence of the frame's i n t e r n a l elements; and (b) to i t s congruence wi t h the l a r g e r b e l i e f system or worldview of which i t i s , seemingly, a c o g n i t i v e l y systemic p a r t . F u r t h e r m o r e , s i n c e t h i s u n d e r s t a n d i n g o f c o n s t r u c t u r a l v a l i d i t y can, i t s e l f , be seen to r e s t on the metaphor of 'the problem frame as a system (of ideas nested i n a c o g n i t i v e suprasystem t h a t i s embedded i n some environmental c o n t e x t ) 1 — t h e c r i t e r i o n of frame a p p r o p r i a t e -ness a l s o r e l a t e s to "whether the i n t e r n a l aspects of the metaphor can change i n concert w i t h the i n t e r n a l changes i n the phenomenon i t i s being a p p l i e d t o " (Smith, 1982:333). 72 The u t i l i t y of a problem frame. This i s regarded as the t h i r d and f i n a l c r i t e r i o n . I t embraces, and focusses on, the p r a c t i c a l c o n s i d e r a t i o n s a s s o c i a t e d w i t h (a) the value i m p l i c a t i o n s of the frame, and (b) i t s c a p a c i t y to lead to a c t i o n . Sub-Problems [7] & [83: Procedural Framework  f o r Examining A Problem Frame and f o r  Reframing the Problem The procedural framework developed i n t h i s study ( i n response to sub-problem #7) f o r examining the p o l i c y - r e l a t e d u t i l i t y of a problem frame t a k e s the form of a yes/ no d i r e c t i o n a l f l o w - c h a r t , as shown i n F i g u r e 3.7. I t provides f o r a s e q u e n t i a l assessment of the p l a u s i b i l i t y , appropriateness and u t i l i t y of the problem f r a m e — w i t h an a l t e r n a t i v e d i r e c t i o n a l sequence to accommodate a negative response at any stage i n the process. Since the a l t e r n a t i v e to a negative response at any given stage i s to reframe the problem, t h i s framework can be seen t o p r o v i d e a s e t of g u i d e l i n e s f o r reframing the problem, (as c a l l e d f o r i n sub-problem #8.) I t should be noted t h a t , i n p r a c t i c e , the processes of i n t e r p r e t i n g and examining and a n a l y s i n g are i n t e g r a t i v e and ongoing. They are not d i s c r e t e a c t i v i t i e s t h a t lend themselves t o b e i n g suspended u n t i l a c e r t a i n p o i n t i s reached i n the p r o c e e d i n g s . However, f o r purposes of e x e r c i s i n g a n a l y t i c a l r i g o r , and of being able to present the f i n d i n g s i n some c o h e r e n t manner, a l i n e a l approach becomes necessary. J p L A U S I B I L I T Y A P P R 0 P R I A T E N E S S PROBLEM FRAME AS INTERPRETED Is there support f o r the researcher's i n t e r p r e t a t i o n ? Is there evidence t h a t the frame might o b t a i n general acceptance ? Is there correspond-ence between the i n t e r n a l p r o p e r t i e s of the metaphor ? Is there correspond-ence between the change p r o p e r t i e s of the metaphor ? NO NO Reframe the problem of the i n q u i r y , REFRAME THE PROBLEM OF THE PROBLEMATIC SITUATION: Find another way of framing the problem & repeat a n a l y s i s Can p l a u s i b l e correspondence be found i f the metaphor i s r e -s t r u c t u r e d to focus on the problem at a d i f f e r e n t l e v e l ? <N0 U Are the value i m p l i c a t i o n s of the metaphor acceptable? •^ NO^ ) I L I Has the frame the c a p a c i t y to lead to a c t i o n ? H • ( N O ) Confirm the u t i l i t y of the problem frame f o r p o l i c y purposes Figure 3 .7 Procedural Framework f o r Examining a Problem Frame 74 As i n d i c a t e d i n F i g u r e 3.7, the assessment of p l a u s i b i l i t y i s a p p l i e d , f i r s t (and i t i s recommended, w e l l ahead of any d e t a i l e d a n a l y t i c a l work), i n respect to the ' c o n s t r u c t u r a l v a l i d i t y ' of the researcher's pronouncement of what c o n s t i t u t e s the problem frame of the ' s t o r y . ' Such a s s e s s m e n t i s made by a s s e m b l i n g (where p o s s i b l e ) c o r r o b o r a t i n g evidence from the i n t e r p r e t a t i o n s of other researchers/commentators of the same s t o r y . ( I f there i s no evidence t o support the researcher's i n t e r p r e t a t i o n , s/he may chose to reframe the problem of the i n q u i r y to focus on the question of why t h i s might be so.) Secondly, the p l a u s i b i l i t y of a given problem frame i s a s s e s s e d i n r e s p e c t t o i t s p e r c e i v e d 'face v a l i d i t y ' ( i . e . the extent to which i t i s l i k e l y to make, sense t o , and be a c c e p t e d by, the p o l i c y m a k e r s c o n c e r n e d ) . S i n c e a c c e p t a b i l i t y i s c o n s i d e r e d t o hinge upon f a m i l i a r i t y , evidence i s sought to show th a t the problem frame i s ' i n k e e p i n g ' w i t h , or e a s i l y 'maps o n t o 1 (Smith, 1982:331), other problem-setting frames that enjoy good currency w i t h i n the c u l t u r e . In the absence of evidence to suggest t h a t the frame might be found a c c e p t a b l e by the p o l i c y m a k e r s concerned, i t would seem s e n s i b l e f o r the a n a l y s t to l o c a t e (or create) an a l t e r n a t i v e (more ' p l a u s i b l e ' ) way of framing the problem—one t h a t , perhaps, maps on to a frame t h a t i_s more l i k e l y to be found acceptable. Assessment of the frame's appropriateness i s based on the question of whether or not appropriate correspondence can be found to o b t a i n between the i n t e r n a l p r o p e r t i e s of 75 the metaphor—as previously spelled out, and elaborated; and, between the change properties (of the subject and the v e h i c l e ) of the metaphor. A negative assessment of correspondence between the i n t e r n a l p r o p e r t i e s of the metaphor would point to the need for an a l t e r n a t i v e way of f r a m i n g the problem. But, a p o s i t i v e assessment of correspondence between the metaphor's internal properties, followed by a negative assessment of i t s change properties, would suggest that a restructuring of the metaphor—to focus on the problem at a d i f f e r e n t systemic l e v e l — m i g h t f r u i t -f u l l y be explored. If each of the preceding assessments were found to have been p o s i t i v e to t h i s stage, the u t i l i t y of the frame would then be examined i n respect to (a) the a c c e p t a b i l i t y of the 'value' implications of the metaphor, and (b) the capacity of the frame to lead to action. Of course, the p l a u s i b i l i t y of the frame would have been negated at the outset i f either of these factors had (at that time) been considered questionable. However, i t i s always possible t h a t , i n the course of s p e l l i n g out, or e l a b o r a t i n g the assumptions of the generative metaphor, some hitherto unkown c h a r a c t e r i s t i c might emerge that i t i s r e a l i z e d w i l l cast a shadow over the value implications of the frame, or i n h i b i t i t s capacity to lead to action. On the b a s i s of these c o n s i d e r a t i o n s , then, the p o l i c y - r e l a t e d u t i l i t y of the frame would be e i t h e r confirmed or rejected. 76 CONFIRMING/REFRAMING THE PROBLEM Because the process of problem framing i s e s s e n t i a l l y a c r e a t i v e one (and t h e r e f o r e c i r c u l a r , r a t h e r than l i n e a r i n nature [ H i c k l i n g , 1976]), t h i s step might j u s t as w e l l be viewed as a beginning one, as an ending one. Indeed, t h i s p o i n t i s brought home by Wildavsky (1979:83), who says, i n the context of p o l i c y a n a l y s i s , "Problems are not so much solved as superseded." Consequently, i t i s to be expected t h a t — i n the f i n a l a n a l y s i s — t h e end-product of t h i s (or any other such) study w i l l simply represent a ste p p i n g - o f f p o i n t f o r a new round of p r o b l e m - s e t t i n g a c t i v i t i e s . C o n c o m i t a n t l y , R e i n and SchOn's s t a r t i n g p o i n t of concerns and w o r r i e s might be viewed as s i g n a l l i n g the cul m i n a t i o n of an e a r l i e r problem-s e t t i n g p e r i o d ; one whereby p a r t i c u l a r f e e l i n g s o f d i s c o m f o r t were r e c o g n i z e d as a t t e n d a n t upon p a r t i c u l a r p henomenological e x p e r i e n c e s , and were i d e n t i f i e d as b e l o n g i n g t o some p a r t i c u l a r genre of concern or worry. But, since each such concern and worry had thus come i n t o perceptual r e c o g n i t i o n by v i r t u e of some metaphor (which had given i t meaning), i t i s l i k e l y t h a t each was i d e n t i f i e d as a whole problem i n i t s own r i g h t , (rather than as a m i n i -problem i n a l a r g e r p r o b l e m a t i c s i t u a t i o n ) . An o v e r v i e w of these i d e a s suggests t h a t problem s e t t i n g f o r p o l i c y purposes i s an i t e r a t i v e process; one i n w h i c h t h e w o r r i e s and c o n c e r n s o f y e s t e r d a y become aggregated and framed t o form the problem of today; and 77 whereby these problems-of-the-day get t o be recognized as merely mini-problems of a l a r g e r problematic s i t u a t i o n — o n e s t h a t r e q u i r e aggregating and re-framing i n order to become the problem of tomorrow; and so on, ad i n f i n i t u m . CHAPTER SUMMARY This chapter has been concerned w i t h o u t l i n i n g , , and d i s c u s s i n g the r a t i o n a l e f o r , the procedures developed i n t h i s study f o r conducting problem-setting frame a n a l y s i s . I t was suggested t h a t , as a p r e p a r a t o r y r e s e a r c h t a s k , researchers pay r e f l e c t i v e a t t e n t i o n to the way they 'bound the problematic s i t u a t i o n ' — r e c o g n i z i n g , and acknowledging the s u b j e c t i v e " p o i n t of view" which must ( u n a v o i d a b l y ) serve to b i a s the questions they ask, and to d e l i m i t the d i s c o v e r i e s they might make. In c o n s i d e r a t i o n of a second preparatory research t a s k , a comprehensive r a t i o n a l e was provided f o r guiding the s e l e c t i o n of documentation to be analysed. The procedures o u t l i n e d i n respect to each of f i v e s t a g e s o f r e f l e c t i v e p r o b l e m s e t t i n g d e s c r i b e d t h e e x p e r i e n t i a l r e s o l u t i o n of the sub-problems i d e n t i f i e d ( i n Chapter 2) i n connection w i t h each stage. The g u i d e l i n e s presented f o r "uncovering the generative metaphor u n d e r l y i n g the problem frame," f o r example, describe the process of schema p a t t e r n r e c o g n i t i o n t h a t , i n r e t r o s p e c t , was considered to have been used to uncover the deep metaphor unde r l y i n g the problem-setting frame found i n the case of schools. 78 The framework f o r " s p e l l i n g out the g e n e r a t i v e metaphor" was d i a g r a m m a t i c a l l y i l l u s t r a t e d t o form a 'template' f o r guiding analogy c o n s t r u c t i o n . This framework was e x t e n d e d — f o r purposes of " e l a b o r a t i n g the assumptions of the metaphor"—to a r t i c u l a t e the p a t t e r n of r e l a t i o n s h i p s o b t a i n i n g among the elements t h a t go t o make up our i m p l i c i t , as w e l l as e x p l i c i t , u n d e r s t a n d i n g o f t h e ' i d e a l i z e d ' form of the metaphoric term. I t was shown, by reference to Kaplan's p a t t e r n model, how such a g e n e r a l i z e d ( i d e a l type) model could serve to r e v e a l the i m p l i c a t i o n s of the metaphor f o r i t s s u b j e c t . Two sets of c r i t e r i a were proposed to serve as. the bases f o r examining the p o l i c y - r e l a t e d u t i l i t y of a problem frame. One s e t , suggested by Wholey (1978) f o r judging the p o l i c y - r e l a t e d u t i l i t y of program e v a l u a t i o n , i s focussed on co n s i d e r a t i o n s of p r a c t i c a l u t i l i t y and relevance to l a y policymakers. The other s e t , i d e n t i f i e d by Rein and Schfln (1977), represents the r i g o r - f o c u s s e d axioms a s s o c i a t e d w i t h s o c i a l science i n q u i r y . An amalgam of these c o n s i d e r a t i o n s (of p l a u s i b i l i t y , appropriateness, and u t i l i t y ) was proposed to provide a comprehensive set of c r i t e r i a f o r examining a given problem frame. These were set w i t h i n the framework of a s e q u e n t i a l yes/no d i r e c t i o n a l f l o w c h a r t so t h a t a negative response at any stage of the chart would lead to a reframing of the problem, and a p o s i t i v e response throughout would culminate i n c o n f i r m a t i o n of the u t i l i t y ( for p o l i c y purposes) of the problem frame i n question. Chapter 4 BOUNDING THE PROBLEMATIC SITUATION: THE CASE OF SCHOOLS We presuppose, i n every i n q u i r y , not only a set of data but a l s o a set of g e n e r a l i z a t i o n s , both about our m a t e r i a l s and about the instruments by which they are to be transformed i n the c o g n i t i v e e n t e r p r i s e . We draw our p r e s u p p o s i t i o n s from e a r l i e r i n q u i r i e s , from o t h e r s c i e n c e s , from everyday knowledge, from the experiences of c o n f l i c t and f r u s t r a t i o n which motivated our i n q u i r y , from h a b i t and t r a d i t i o n , from who knows where P r e s u p p o s i t i o n s are brought t o the p r o b l e m a t i c s i t u a t i o n . There are, besides, b e l i e f s a r i s i n g i n and p e r t a i n i n g to the s i t u a t i o n , as i n q u i r y gets under way. We may c a l l them s u p p o s i t i o n s . They are the b e l i e f s t h a t make the s i t u a t i o n problematic, e i t h e r because we cannot c l e a r l y a r t i c u l a t e them i n the conceptual frame already a v a i l a b l e , or because they are i n c o n f l i c t w i t h one a n o t h e r , o r b e c a u s e t h e y c o n t r a d i c t some o f our pr e s u p p o s i t i o n s . (Kaplan, 1964:87) "I create r e a l i t y by how I look at i t . " Caveat emptor. (A l l e n d e r , 1986:181) Rein and Schon (1977) have drawn a t t e n t i o n to the need f o r us t o become aware o f , and t o s c r u t i n i z e , the problem-setting frames t h a t policymakers use to make sense of problematic s o c i a l s i t u a t i o n s ; f o r such frames d e l i m i t , or 'bound,1 what the policymakers are then able to 'see' of that s i t u a t i o n . A no l e s s urgent need was i d e n t i f i e d , i n Chapter 2, f o r us to become aware o f , and to make e x p l i c i t , the problem-setting, frames that c i r c u m s c r i b e the approach 79 80 we—as i n q u i r e r s — t a k e i n the study of such matters. In other words, wh i l e we are r e f l e c t i n g upon, and s p e c u l a t i n g about, how others are t h i n k i n g , i t behoves us to remember Schfln's c a u t i o n , and t o s e t about d i s c o v e r i n g the t a c i t frames t h a t guide our own t h i n k i n g . F o r , as noted by Kaplan: . the s c i e n t i s t has va l u e s , and f o r the b e h a v i o r a l s c i e n t i s t the subject-matter gives h i s values an unavoidable relevance. The d i s t o r t i o n s of observation which may r e s u l t are e l i m i n a t e d or canceled only w i t h the g r e a t e s t d i f f i c u l t y . Discounting them by making them e x p l i c i t and by i n c o r p o r a t i n g the s c i e n t i s t ' s values i n the scope of h i s study i s r a t h e r more promising. (Kaplan, 1964:138-139) Moreover, as M i l e s and Huberman comment: Most r e s e a r c h e r s would agree t h a t , t o know what you're doing, you need to know how your model of knowing a f f e c t s what you are doing. (Miles and Huberman, 1984:20) Ac c o r d i n g l y , the f i r s t s e c t i o n of t h i s chapter i s concerned w i t h making e x p l i c i t the model of k n o w i n g — r e p l e t e w i t h suppositions and presuppositions (Kaplan, 1964:87)— that frames, and thereby t a c i t l y imposes delimitations on, t h i s researcher's perception of what i s problematic about "the 'problem' of schools." This i s followed by a review of the l i m i t a t i o n s t h a t such a frame can be expected to impose ( i n t h i s study) upon: * the s e l e c t i o n Of documentation to be analysed, * the approach taken i n the i n q u i r y , * the questions t h a t w i l l be asked, and 81 * t h e n a t u r e o f t h e f i n d i n g s t h a t w i l l r e s u l t . The f i n a l s e c t i o n o f t h e c h a p t e r d e a l s w i t h t h e s e l e c t i o n o f d o c u m e n t a t i o n f o r a n a l y s i s , and p r o v i d e s t h e r a t i o n a l e f o r t h e c h o i c e t h a t was made. BOUNDING THE PROBLEMATIC SITUATION S u p p o s i t i o n s U n d e r l y i n g t h e F r a m i n g  o f t h e R e s e a r c h Q u e s t i o n o f t h e S tudy F i r s t , i t i s supposed t h a t t h e a p p r o a c h d i s c u s s e d i n C h a p t e r 3 f o r u n c o v e r i n g a p r o b l e m - s e t t i n g frame can j u s t as w e l l be u sed t o u n c o v e r t h e t a c i t l y h e l d s u p p o s i t i o n s u n d e r l y i n g t h e f r a m i n g o f a p r o b l e m i n t h e f i e l d o f r e s e a r c h , as i t can i n t h e f i e l d o f s o c i a l p o l i c y . F o r , t h e i n q u i r e r — l i k e t h e s o c i a l p o l i c y a n a l y s t — h a s t o have had some way o f ' s e e i n g ' ( i . e . o f ' m a k i n g s e n s e ' ) o f t h e p r o b l e m a t i c s i t u a t i o n t h a t s p a w n e d h i s / h e r r e s e a r c h q u e s t i o n . The way t h e p r o b l e m o f t h i s s t u d y was f ramed (Chap t e r 1 : 6 ) c a n be s e e n , a s f o l l o w s , t o h a v e ' b o u n d ' t h e p r o b l e m a t i c s i t u a t i o n w i t h w h i c h t h e q u e s t i o n o f t h e s t u d y was t o d e a l : G i v e n t h a t p r o b l e m s t r u c t u r i n g has been i d e n t i f i e d as t h e most c r u c i a l , b u t l e a s t u n d e r s t o o d a s p e c t o f p o l i c y a n a l y s i s — h o w m i g h t t h e e d u c a t i o n a l p o l i c y m a k e r s e t abou t f r a m i n g t h e p r o b l e m o f s c h o o l s f o r p u r p o s e s o f d e v e l o p i n g e d u c a t i o n a l r e f o r m p o l i c i e s t h a t a r e a t t u n e d t o m e e t i n g s c h o o l p e r f o r m a n c e i n new and b e t t e r w a y s ? I m p l i c i t i n t h i s p r o b l e m - s e t t i n g frame i s t h e s u p p o s i t i o n t h a t e d u c a t i o n a l r e f o r m p o l i c i e s a r e f a i l i n g t o b r i n g abou t 82 r e a l change i n the structure of schools/schooling because p o l i c y m a k e r s are ' g e t t i n g the problem wrong'; and undergirding t h i s supposition i s the pre-supposition that e d u c a t i o n a l p o l i c y m a k e r s are g e t t i n g the problem of s c h o o l s / s c h o o l i n g 'wrong' because of the way they have, t r a d i t i o n a l l y , gone about (or not gone about) the task of problem framing. Pre-Suppositions About Problem  Framing for Policy Purposes The t r a d i t i o n a l method of problem framing. In time-honoured f a s h i o n , problem f r a m i n g has i n v o l v e d the c o l l e c t i n g of data (very often by means of some form of needs assessment); the analysing and counting of findings according to some predetermined (or emergent) c l a s s i f i c a t i o n of issues; and the focussing of problem-solving attention to each i n turn of the most commonly perceived of problem i s s u e s (e.g. s c h o o l d i s c i p l i n e ; academic s t a n d a r d s ; streaming/tracking; class s i z e ) . This approach appears to be based on a b e l i e f that problems e x i s t as concrete objective states for which "a solution" can be found; and th a t , as such, they can be e f f e c t i v e l y d e a l t with i n a piecemeal fashion. That the solution to some of our most commonly held concerns in education apparently requires the i n s t i t u t i o n of quite contradictory operational practices, has to be ignored by those who take t h i s approach. There i s , for example, considerable ambiguity about whether teachers should focus 83 on h e l p i n g students meet cu r r i c u l u m e x p e c t a t i o n s , and simply " f a i l " p u p i l s who cannot "make the grade"; or whether t e a c h e r s s h o u l d work on m o d i f y i n g c u r r i c u l u m t o meet i n d i v i d u a l student a b i l i t i e s , i n an attempt to provide a p o s i t i v e and continuous l e a r n i n g experience f o r a l l t h e i r p u p i l s (Clarke, 1982). C l e a r l y , teaching p r a c t i c e s t h a t focus on attending to the l e a r n i n g needs of a l l students, and those t h a t c e n t r e on the c o m p l e t i o n of c u r r i c u l u m requirements are premised on i r r e c o n c i l a b l y d i f f e r e n t frames of reference. As pointed out by Husen (1983: 460), i n h i s attempt to "diagnose" what he c a l l s the malaise t h a t besets formal education i n h i g h l y i n d u s t r i a l i z e d s o c i e t i e s , "the problems stem from g o a l c o n f l i c t s t h a t tend t o be i g n o r e d or o b f u s c a t e d by r h e t o r i c . " He p o i n t s t o the f o l l o w i n g examples: Formal e d u c a t i o n i n our t e c h n o l o g i c a l s o c i e t y e x i s t s t o impart competencies, and i s , t h e r e f o r e , c r e a t i n g d i f f e r e n c e s . The s c h o o l — p a r t i c u l a r l y i n a t e c h n o l o g i c a l l y s o p h i s t i c a t e d s o c i e t y — c a n n o t at once s e r v e as an e q u a l i z e r and as an i n s t r u m e n t t h a t e s t a b l i s h e s , r e i n f o r c e s , and l e g i t i m i z e s d i f f e r e n c e s . Such goal c o n f l i c t s make i t extremely d i f f i c u l t f o r the school to pursue genuine educational goals conducive to s e l f - f u l f i l l m e n t and s o c i a l e d u c a t i o n , g o a l s t h a t t r a d i t i o n a l l y p l a y a prominant r o l e i n c u r r i c u l a r r h e t o r i c . On the one hand, the school i s expected to pursue i n t r i n s i c g o a l s , to f o s t e r " i n q u i r i n g minds" t h a t enjoy l e a r n i n g f o r i t s own sake. On the other hand,, the rewards f o r p u r s u i n g l e a r n i n g are e x t r i n s i c t o the l e a r n i n g process: grades, degrees, jobs. Again, on the one hand, the school i s expected to f o s t e r a cooperative s p i r i t , p r i m a r i l y through group work. On the other hand, t h e r e w a r d s a l m o s t a l w a y s go t o i n d i v i d u a l accomplishments. (Husen, 1983:461) 84 I t i s , t h e r e f o r e , pre-supposed th a t the t r a d i t i o n a l approach to the framing of problems f o r p u b l i c school system a d m i n i s t r a t i o n ( i . e . as i f problematic issues e x i s t e d as d i s c r e t e l y s o l v a b l e e n t i t i e s ) has been found wanting. And, t h a t i s s u e s such as ' d i s c i p l i n e ' and ' s t a n d a r d s ' are (metaphorically speaking) e f f e c t s of a p r o b l e m — r a t h e r l i k e the symptoms of a disease. As a consequence, what i t i s tha t i s a c t u a l l y problematic about our p u b l i c school systems i s seen as yet to be framed i n a whole, systemic, and  s a t i s f a c t o r i l y explanatory way. Ac c o r d i n g l y , i t i s pre-supposed th a t what would help e d u c a t i o n a l p o l i c y m a k e r s "get the problem ( t h a t t h e i r p o l i c i e s seek to solve) ' r i g h t ' " i s a systems approach to problem framing. y A systems approach to problem framing. This approach takes the p o s i t i o n t h a t , "problems e x i s t only as a b s t r a c t s u b j e c t i v e c o n s t r u c t s " (Ackoff, 1980:29). As such, they are viewed as a b s t r a c t elements of a system of p r o b l e m s — a system that Ackoff f o n d l y r e f e r s to as "a mess." In these terms, the " s o l u t i o n " to a mess i s not the simple sum of the s o l u t i o n s to the problems (or mini-messes) t h a t can be e x t r a c t e d from i t ; f o r no s i n g l y conceptualized problem element w i l l have an independent e f f e c t on the mess as a whole. As a consequence, messes have to be d e a l t w i t h s y n t h e t i c a l l y , as a system of problems, an approach which Ackoff p o i n t s out i s an e s s e n t i a l property of pla n n i n g , as opposed to problem s o l v i n g . 85 Now, while Rein and SchOn (1977) do not e x p l i c i t l y reference t h e i r p o s i t i o n to a systems way of t h i n k i n g , the congruency between t h e i r p e r s p e c t i v e and t h a t of Ackoff i s r e f l e c t e d t h r oughout t h e i r w r i t i n g . I t i s p a r t i c u l a r l y evident i n t h e i r c r i t i c i s m of the view t h a t defines the task of p o l i c y research as "instrumental problem s o l v i n g , where s o l u t i o n s e n t a i l d i s c r e t e p o l i c y d e c i s i o n s " (Rein and Schfln, 1977:235); and might be i n f e r r e d from the c r i t e r i a they present i n respect to problem frames: . . . a l l frames used to set problems must serve both explanatory and normative f u n c t i o n s . They must enable the i n q u i r e r to group a d i s t r i b u t e d set of worries i n terms of phenomena t h a t are sequenced a c c o r d i n g t o b e f o r e - a n d - a f t e r , then-and-now. They must a l l o w the i n q u i r e r t o o r d e r e v e n t s i n t h e f i e l d o f s o c i a l experience so as to permit e x p l a n a t i o n of l a t e r events i n terms of e a r l i e r ones — t h a t i s , they must permit the l o c a t i o n of events i n a causal space so t h a t questions of "Why?" and "What i f . . . ?" can be addressed to a c t i o n s i n t h i s space w i t h the p o s s i b i l i t y of a d e t e r m i n a t e answer. Moreover, frames must c o n t a i n a b a s i s f o r a c t i o n . They must permit the i n q u i r e r not only to e x p l a i n the phenomena as s o c i a t e d w i t h h i s w o r r i e s , but to set the d i r e c t i o n s of a c t i o n s designed to reduce them. In t h i s sense, frames must f a c i l i t a t e what we have c a l l e d the normative leap from f i n d i n g s to recommendations. (Rein and Schfln, 1977:240) I t would indeed seem a r g u a b l e t h a t the n o t i o n of aggregating "a d i s t r i b u t e d set of w o r r i e s " i n t o a "whole" problem f r a m e — a frame th a t at once e x p l a i n s , diagnoses, and contains the p r e s c r i p t i o n of d i r e c t i o n f o r remedial a c t i o n — i s one with the h o l i s t i c , systems, view of "problems," as expounded by Ackoff. I t i s c e r t a i n l y consonant w i t h the view expressed by Immegart and P i l e c k i . t h a t : 86 Phenomena i n t h e systems p e r s p e c t i v e a r e viewed n ot as i s o l a t e d e v e n t s b u t i n s t e a d a r e a s s e s s e d i n t o t a l i t y , i n c o n t e x t , and i n a c h r o n o l o g i c a l sequence. Put a n o t h e r way, t h e s y s t e m s p e r s p e c t i v e p l a c e s i m p o r t on t h e e v o l u t i o n a l a s p e c t s o f a l l e v e n t s and prob l e m s , and i s concerned w i t h t h e t o t a l i t y of b e h a v i o u r o r f u n c t i o n i n an u n f o l d i n g time sequence. I t i s concerned w i t h l i n k a g e s and p a t t e r n s i n t i m e - s p a c e . Immegart and P i l e c k i (1973:6) Upon r e f l e c t i o n , t h e n , i t can be r e c o g n i z e d t h a t t h e a p p r o a c h t o t h i s i n q u i r y r e s t s on an e p i s t e m o l o g i c a l f o u n d a t i o n t h a t i s c h a r a c t e r i z e d by t h e t e n e t s o f g e n e r a l s y s t e m s t h e o r y . S i n c e s u c h a m o d e l o f k n o w i n g w i l l i n f l u e n c e , n o t o n l y t h e meanings t h a t a r e a t t a c h e d t o d a t a and t h e way r e l a t i o n s h i p s between them a r e p e r c e i v e d , b u t th e v e r y way i n which t h e r e s e a r c h t a s k i s approached and c o n c e p t u a l i z e d — s o m e o f t h e i m p l i c a t i o n s o f t h i s approach s h o u l d be i d e n t i f i e d . Some I m p l i c a t i o n s o f The Systems Approach The s y s t e m s a p p r o a c h t o i n q u i r y . A c c o r d i n g t o Immegart and P i l e c k i (1973), "the systems approach" i s not a t h e o r y but a mode o f t h o u g h t . T h i s mode i s c h a r a c t e r i z e d as b e i n g h o l i s t i c and c o n t e x t u a l i n n a t u r e — m e a n i n g t h a t i t i s p r e o c c u p i e d w i t h a s y n t h e t i c r a t h e r t h a n an a n a l y t i c way o f t h i n k i n g . F o r , as A c k o f f (1980) r e m i n d s u s , i n t h e a n a l y t i c mode, an e x p l a n a t i o n o f t h e whole i s d e r i v e d from e x p l a n a t i o n s of i t s p a r t s — w h i l e , i n s y n t h e t i c t h i n k i n g , t h a t which i s t o be e x p l a i n e d i s viewed as p a r t o f a l a r g e r system and i s e x p l a i n e d i n terms of i t s r o l e i n t h a t l a r g e r whole. Katz and Kahn (1966) put i t t h u s : 87 . . . the f i r s t step [of research i n the systems mode] should always be to go to the next higher l e v e l of system o r g a n i z a t i o n , t o study the dependence of the system i n question upon the supersystem [or suprasystem] of which i t i s a p a r t , f o r the supersystem s e t s the l i m i t s of variance of behaviour of the dependent system. More a n a l y t i c study can then explore the c o n t r i b u t i o n s of subsystems to t h i s l i m i t e d range of va r i a n c e . (Katz and Kahn, 1966:58) In terms of the s u b j e c t of i n v e s t i g a t i o n of t h i s s t u d y , t h e r e i s a d i s t i n c t advantage i n b e i n g a b l e t o apprehend the o r g a n i z a t i o n of schools and sc h o o l i n g from the systems p e r s p e c t i v e : f o r i t permits the i n v e s t i g a t o r to scan the o r g a n i z a t i o n of schooling from d i f f e r e n t vantage p o i n t s --or l e v e l s of a n a l y s i s . The school as seen from a systems p e r s p e c t i v e . F i r s t , the school may be perceived as an e n t i t y t h a t possesses the c h a r a c t e r i s t i c s of a r e l a t i v e l y autonomous "system", w i t h s u b s y s t e m f u n c t i o n s of i t s own ( e . g . w i t h c l a s s r o o m a c t i v i t i e s s e r v i n g as i t s production f u n c t i o n ; and school a d m i n i s t r a t o r s s e r v i n g the managerial f u n c t i o n ) . From t h i s p e r s p e c t i v e , the s c h o o l — a s a s y s t e m — c a n be seen t o be "nested" (along w i t h other schools) w i t h i n the (super-, or) suprasystem s t r u c t u r e of the l o c a l School D i s t r i c t . From the perspec t i v e of an a l t e r n a t i v e systemic view, the school can be seen as a subsystem of the educational suprasystem ( i . e . as f u l f i l l i n g the production f u n c t i o n of the l a r g e r e d u c a t i o n a l s y s t e m — e i t h e r a t the D i s t r i c t , P r o v i n c i a l and/or State l e v e l of o p e r a t i o n s ) . In o t h e r words, the s c h o o l can be s e e n — f r o m the pe r s p e c t i v e of any l e v e l of a n a l y s i s — a s a systemic part of 88 a system of s c h o o l i n g . And t h i s system of sch o o l i n g can, i n t u r n , be seen as se r v i n g (part of) the maintenance sub-system f u n c t i o n of the l a r g e r s o c i e t a l system. What i s to be understood by the term "school" i s f u r t h e r defined under the r u b r i c of the d e l i m i t a t i o n s of the study. The D e l i m i t a t i o n s of the Study The study i s d e l i m i t e d to a conceptual a n a l y s i s of those f a c t o r s t h a t are seen as c o n t r i b u t i n g to the problem s e t t i n g (as opposed to problem solving) f a c e t of p o l i c y -making; and to the o p e r a t i o n a l i z a t i o n of an approach to problem s e t t i n g (suggested by Re i n and Schon, 1977)--conducted i n the context of p u b l i c s c h o o l i n g . In r e f e r e n c e t o the case of s c h o o l s , the term "school" i s understood as a generic term standing f o r an i d e a l - t y p e m o d e l 1 of the i n s t i t u t i o n a l o r g a n i z a t i o n of p u b l i c educational programmes and s e r v i c e s at the primary, elementary, and/or secondary l e v e l s — a s found i n Canada and the United States of America. T As e x p l a i n e d by A l l i s o n (1980; 23-24) , who devoted considerable a t t e n t i o n to developing a model embodying the features c h a r a c t e r i s t i c of a l l d i f f e r e n t kinds of schools: . . . i d e a l - t y p e models are a b s t r a c t i o n s from r e a l i t y i n which s e l e c t e d generic features are exaggerated to a l o g i c a l extreme so as to make them c l e a r and subject to subsequent a n a l y s i s . I t f o l l o w s t h a t t h e s e f e a t u r e s appear i n i d e a l - t y p e s i n a manner which w i l l r a r e l y , i f ever, be found i n t h e i r e m p i r i c a l r e f e r e n t s . . . . I d e a l -types are not intended to be exhaustive, nor are they meant to in c l u d e a l l features of the su b j e c t , but they are intended to present a c l e a r s p e c i f i c a t i o n of features of i n t e r e s t . 89 L i m i t a t i o n s Imposed by the Researcher's  Frame of Reference The documentation to be analysed. In s e l e c t i n g the documentation to be analysed, i t can be recognized t h a t the choice w i l l be i n f l u e n c e d by the researcher's need to put her ( t a c i t ) h y p o t h e s i s — t h a t educational policymakers have been g e t t i n g the 'problem' of schools 'wrong' because of the way they have framed the p r o b l e m a t i c s i t u a t i o n t o be a d d r e s s e d — t o the t e s t . This i s r e f l e c t e d i n the f o l l o w i n g research q u e s t i o n : * What does an a n a l y s i s of the d e s c r i p t i o n s used i n some (selected) p o l i c y - i n f l u e n c i n g document of our time r e v e a l about the p r o b l e m - s e t t i n g frame(s) g u i d i n g the school reform proposals? Furthermore, the d e l i m i t a t i o n of the i n q u i r y to the sphere of p u b l i c education i n the contexts of Canada and the United States can be seen to put l i m i t a t i o n s on the number, and source, of p o l i c y - i n f l u e n c i n g documents th a t might be considered f o r s e l e c t i o n . (The framing of the study w i t h i n the context of a d i s s e r t a t i o n imposed c o n s t r a i n t s of space and time t h a t f u r t h e r l i m i t e d the s e l e c t i o n and a n a l y s i s t o one document.) The_appr oa c h _ t a k e n _ t o_th____SH__Y_ • 1 1 can be expected (as already noted i n the context of 'the systems approach') that data w i l l , pre-dominantly, be ordered f o r t h e p u r p o s e of s y n t h e s i s — i n t o s y s t e m i c c o n c e p t u a l f rameworks — r a t h e r t h a n f o r p u r p o s e s o f d e t a i l e d ( r e d u c t i o n i s t - t y p e ) a n a l y s i s . 90 Indeed, t h i s 'systems approach' to i n q u i r y can be seen t o c h a r a c t e r i z e t h e u n d e r l y i n g e p i s t e m o l o g i c a l " o r g a n i c i s m i c ^ worldview" (Pepper, 1942) of the researcher--as e v i d e n c e d i n the c o n c e p t u a l i z a t i o n of the o v e r a l l s t r u c t u r e of t h i s study as a set of nested Chinese boxes. The questions asked. I t can be expected t h a t , i n r e s p e c t t o the q u e s t i o n s asked, t h e r e w i l l be f u r t h e r evidence of the systems (or organicismic) approach. For, what w i l l be sought i n the a n a l y s i s of ( i d e n t i f i e d ) generative metaphors w i l l be the r e l a t i o n a l correspondence between the networks of e l e m e n t a l p a r t s t h a t c o n s t i t u t e whole (metaphorically compared) patterns (as per Kaplan's pa t t e r n model of knowing). I n d e s c r i b i n g the f o u r b a s i c systems of knowledge i n W e s t e r n t h o u g h t t h a t P e p p e r , i n h i s (1942) "World Hypotheses," suggested had proved s u f f i c i e n t l y f r u i t f u l to provide a r e l a t i v e l y adequate i n t e r p r e t a t i o n of the f u l l scope of the world's f a c t s — H a r r e l l (1982:224) notes: O r g a n i c i s m - - i n which the b a s i c o p e r a t i o n i s t o compose a s t r u c t u r e and the p r i m a r y c o g n i t i o n i s the r e l a t i o n s h i p of pa r t s to w h o l e — i s an hypothesis derived from the r e c o g n i t i o n t h a t an organism i s somehow more than the sum of i t s p a r t s . The other three c a t e g o r i a l sets proposed by Pepper can be c a p s u l i z e d as: Formism—basic o p e r a t i o n , c l a s s i f i c a t i o n ; c o g n i t i o n , the r e l a t i o n s h i p of the p a r t i c u l a r to the g e n e r a l . Mechanism—basic o p e r a t i o n , c o r r e l a t i o n ( e s p e c i a l l y i n the sense of causal i m p l i c a t i o n s ) ; c o g n i t i o n i d e n t i f i e s the r e l a t i o n s h i p between p a r t i c u l a r s . . C o n t e x t u a l i s m - - b a s i c o p e r a t i o n , a c t of a t t e n t i o n ; c o g n i t i o n concerned w i t h figure-ground r e l a t i o n -s h i p s . The i d e n t i t y of a p a r t i c u l a r t h i n g or event i s a l t e r e d by what i s attended to i n i t s context ( t h u s — n o s t a b l e , u n i v e r s a l c a t e g o r i e s ) . 91 The nature of the f i n d i n g s . I t can, l i k e w i s e , be expected t h a t the f i n d i n g s of the study w i l l be framed i n a way t h a t , i s congruent w i t h the systems p e r s p e c t i v e — i . e . w i t h i m p l i c a t i o n s drawn f o r the a t t e n t i o n of educational p o l i c y m a k e r s and a d m i n i s t r a t o r s t h a t l a r g e l y f o c u s on a higher l e v e l of system o r g a n i z a t i o n than the sch o o l . SELECTING THE DOCUMENTATION TO BE ANALYSED Bounding the Source As already noted, the d e l i m i t a t i o n of the i n q u i r y to the sphere of p u b l i c education i n the contexts of Canada and the U n i t e d S t a t e s puts a l i m i t a t i o n on the number, and s o u r c e , of pb1 i c y - i n f 1 u e n c i n g documents t h a t might be considered f o r s e l e c t i o n . Furthermore, as no nation-wide study of sch o o l i n g had been conducted i n Canada si n c e the 1975 O.E.C.D. E x t e r n a l Examiners' Report on E d u c a t i o n a l P o l i c y i n Canada, and no p r o v i n c i a l study of n a t i o n a l repute since the 1969 H a l l , Dennis Report of O n t a r i o ^ — i t seemed only reasonable t h a t the f i e l d of candidates be narrowed to those t h a t were American i n o r i g i n . I d e n t i f y i n g the Research Requirements In reference to Figure 3.1 (p. 49), the p a r t i c u l a r circumstances of t h i s case 'study' can be i d e n t i f i e d w i t h J The S u l l i v a n Report on the Royal Commission on Education i n B r i t i s h Columbia t i t l e d "A Legacy f o r Learners" ( 1 9 8 8 ) — which may w e l l become a n a t i o n a l l y - r e f e r e n c e d study—was not commissioned u n t i l three years a f t e r the commencement of t h i s study. 92 b oth s i t u a t i o n s #2 and #3. F o r , as i n #2, e x i s t i n g e d ucational p o l i c i e s ( i n both Canada and the United States) are g e n e r a l l y seen as b e i n g i n need of u p d a t i n g t o meet changing environmental c o n d i t i o n s ; and, as i n #3, major educational reform p o l i c i e s proposed f o r U.S. schools i n recent times to address such needs have become the subject of some considerable debate. To s a t i s f y the requirements of both these sets of circumstances, i t would seem c l e a r t h a t the documentation to be s e l e c t e d f o r a n a l y s i s should: (a) r e f l e c t the most wide l y - h e l d view p o s s i b l e of what c o n s t i t u t e s 'the problem' of s c h o o l s / s c h o o l i n g i n the context of what are seen to be changing environmental c o n d i t i o n s , and (b) i n c l u d e those proposed s o l u t i o n s t h a t have been the subject of debate. Making a Supportable Choice Based on a l l of the above-mentioned c o n s i d e r a t i o n s , the p o l i c y - i n f l u e n c i n g document to be s e l e c t e d f o r a n a l y s i s i n t h i s study had, c l e a r l y , to be. one of the h i g h - p r o f i l e s t u d i e s of American schoo1s/schoo1ing t h a t c o n t a i n e d c o n t r o v e r s i a l l y - r e c e i v e d p r o p o s a l s f o r s c h o o l r e f o r m . A c c o r d i n g l y , the document so s e l e c t e d was the r e p o r t by the (U.S.) N a t i o n a l Commission on E x c e l l e n c e i n E d u c a t i o n t i t l e d , "A Nation at Risk: The Imperative f o r Educational Reform" (1983) . 93 Chosen f r o m amongst s e v e r a l r e s e a r c h and commissioned s t u d i e s on s c h o o l i n g i n the United S t a t e s , t h i s r e p o r t — w h i c h embodied numerous other commissioned s t u d i e s and r e p o r t s — w a s judged to have re c e i v e d the g r e a t e s t amount of p u b l i c a t t e n t i o n , and t o have s t i m u l a t e d the w i d e s t debate and l e g i s l a t i v e response i n t h a t country. According to Feinberg (1985:134), f o r example, "reform documents are not a l l equal. A Nation at Risk i s a s l i m manuscript, but page f o r page i t i s c l e a r l y the most i n f l u e n t i a l of the recent proposals." And, i t heads the l i s t of e i g h t such r e p o r t s and books s e l e c t e d by T e t r e a u l t and Schmuck (1985:45) on the grounds t h a t : .the r h e t o r i c i n which they are embedded i s l i k e l y to shape educational debate f o r the next two decades. Prepa r e d by i n f l u e n t i a l p o l i c y groups and prominent e d u c a t o r s , t h e p r o p o s a l s c a r r y w e i g h t w i t h t h e educational community and the p u b l i c . " R h e t o r i c " i s , here, taken as meaning the embodiment of metaphoric u t t e r a n c e s w i t h which the a u t h o r s of the r e p o r t convey t h e i r u n d e r s t a n d i n g of "the problem of schools" and by which they make sense of "the problematic s i t u a t i o n . " F u r t h e r m o r e , i t i s s u p p o s e d t h a t t h e c h a r a c t e r i s t i c s of the r h e t o r i c used i n the American r e p o r t , "A N a t i o n a t R i s k , " i s not d i s s i m i l a r t o t h a t i n which d e b a t e on t h e s u b j e c t o f s c h o o l i n g i s c o n d u c t e d by Canadians; and, t h a t there e x i s t s a s o c i a l l y constructed p e r c e p t i o n o f " t h e s c h o o l " t h a t i s f u n d a m e n t a l l y g e n e r a l i z a b l e w i t h i n the broad context of contemporary North American c u l t u r e . 94 CHAPTER SUMMARY The f i r s t s e c t i o n of t h i s chapter was devoted to a r e f l e x i v e examination of the problem-setting frame used by t h i s i n q u i r e r to make sense of what i s problematic about the way 'the problem of s c h o o l s ' has been framed f o r p o l i c y p u r p o s e s . T h i s e x a m i n a t i o n r e v e a l e d t h e u n d e r l y i n g s u p p o s i t i o n t h a t p a s t e f f o r t s t o b r i n g about r e a l ( i . e . s u b s t a n t i a l s t r u c t u r a l / o p e r a t i o n a l ) change i n schools have f a i l e d because proposals f o r school reform have not been a d d r e s s i n g t h e ' r i g h t ' p r o b l e m . I t was, f u r t h e r , conjectured t h a t policymakers have been g e t t i n g the problem 'wrong' b e c a u s e of t h e p i e c e m e a l a p p r o a c h t h a t has t r a d i t i o n a l l y been taken i n the f i e l d of s o c i a l p o l i c y to assessing what i s wrong and what i n need of f i x i n g . Based on t h i s p r e - s u p p o s i t i o n , i t was suggested that a ( h o l i s t i c ) systems approach to problem s e t t i n g / s o l v i n g might be more f r u i t f u l . And, the congruence between a such an approach and t h a t suggested by Rein and Schfln f o r r e f l e c t i v e problem s e t t i n g was n o t e d . I t was, moreover, observed t h a t the o v e r a l l approach to i n q i r y taken i n t h i s study r e f l e c t e d the tenets of general systems t h e o r y — a n d what, i n p h i l o s o p h i c a l terms, was described by Pepper (1942) as an "organismic" worldview. A s e c o n d s e c t i o n d e a l t w i t h t h e s e l e c t i o n o f documentation f o r a n a l y s i s ; and provided a r a t i o n a l e f o r supporting the choice of the 1983 (U.S.) Commission Study "A Nation at Risk" f o r purposes of t h i s study. Chapter 5 UNCOVERING AND SPELLING OUT THE GENERATIVE METAPHOR USED TO FRAME THE PROBLEM OF SCHOOLS . . . the metaphorical statement does not a c t u a l l y s t a t e the analogy, even where a r e l e v a n t l y important one e x i s t s . I t i s r a t h e r i n the nature o f f an i n v i t a t i o n t o search f o r one, and i s i n p a r t judged by how w e l l such a search i s rewarded. ( S c h e f f l e r , 1960:48) We conclude that d e c l i n e s i n educational performance are i n large p a r t the r e s u l t of d i s t u r b i n g inadequacies i n the way the e d u c a t i o n a l p r o c e s s i t s e l f i s o f t e n conducted. . . . (U.S. N a t i o n a l Commission on E x c e l l e n c e , 1983:18) The c o n t e n t s of t h i s c h a p t e r were p r o d u c e d by applying to the document, "A Nation at Risk," the procedural framework ( o u t l i n e d i n Chapter 3) f o r u n c o v e r i n g the g e n e r a t i v e metaphor u n d e r l y i n g the problem frame of a problem-setting s t o r y , and f o r ' s p e l l i n g out' tha t metaphor. I t should be noted t h a t , w h i l e the r e p o r t i n g of these analyses i s n e c e s s a r i l y conducted i n a l i n e a r ( f i r s t t h i s , t h e n t h a t ) f a s h i o n , t h e i r c o n t e n t i s e x p e r i e n t i a 11y discerned i n a much more ( h o l i s t i c ) " a l l at once" way. As a consequence, the a n a l o g i c a l i m p l i c a t i o n s suggested by the named features of the generative metaphor are more ' t e l l i n g ' when viewed, i n r e t r o s p e c t , as a whole, than when assessed, en route, i n piecemeal sequence. 96 UNCOVERING THE GENERATIVE METAPHOR UNDERLYING THE PROBLEM FRAME The p a r t of the Commission's ' s t o r y ' t h a t d e a l s s p e c i f i c a l l y w i t h the problem of schools ( i . e . what i s seen as wrong, and i n need of f i x i n g i n the school system) i s found i n the Report, "A Nation at Risk," under the r u b r i c of "Findings" and "Recommendations." I t i s best summed up by the Commission's c o n c l u s i o n (page 18) tha t what i s wrong i s "de c l i n e s i n educational performance," and t h a t what needs f i x i n g i s "the way the educational process i t s e l f i s [often] conducted." We conclude t h a t d e c l i n e s i n educational performance are i n large p a r t the r e s u l t of d i s t u r b i n g inadequacies i n the way the e d u c a t i o n a l p r o c e s s i t s e l f i s o f t e n conducted. The f i n d i n g s t h a t f o l l o w , c u l l e d from a much more extensive l i s t , r e f l e c t four important aspects of the educational process: content, e x p e c t a t i o n s , time, and teaching. (Commission F i n d i n g s , para. 37:18) This a r t i c u l a t i o n of the problem i s , c l e a r l y , devoid o f any h e l p f u l s u r f a c e m e t a p h o r s ; and t h e p r o p o s e d ' s o l u t i o n s ' are not referenced to any e x p l i c i t model th a t e x e m p l i f i e s the ' i d e a l ' s t a t e which i s sought. T h i s suggests t h a t the model used by the Commissioners to make sense of t h e i r f i n d i n g s i s such a f a m i l i a r one to them (and, no doubt, to us) tha t i t i s not recognized as such, so that what i s 'seen' to be the problem i s taken to be a l i t e r a l ' t r u t h ' — a n d the s o l u t i o n s , obvious. Answers were, a c c o r d i n g l y , sought to the f o l l o w i n g questions: .97 * "To what p r o b l e m — i n some o t h e r c o n t e x t ( t h a t i s f a m i l i a r to the s t o r y t e l l e r s ) — a r e these recommended courses of a c t i o n a l s o obvious s o l u t i o n s ? " and * "In what o t h e r c o n t e x t s ( f a m i l i a r t o the s t o r y -t e l l e r s ) might the normative ideas underpinning these s o l u t i o n s a l s o be found?" Viewed i n r e l a t i o n to the whole problem-setting s t o r y of the r e p o r t , these q u e s t i o n s e l i c i t e d a " c l i c k of r e l a t i o n s " — f o r the c o u r s e s of a c t i o n proposed by the Commission were seen as r e m i n i s c e n t of the t r a d i t i o n a l management con s u l t a n t ' s c a l l f o r t i g h t e r q u a l i t y c o n t r o l to combat d e c l i n i n g p r o d u c t i v i t y i n the workplace. F i n d i n g documentary evidence to support the seeming p l a u s i b i l i t y of the researcher's i n t e r p r e t a t i o n (see Chapter 7:166-168), i t was determined t h a t a strong case could be made f o r assuming t h a t the Commission had made sense of i t s f i n d i n g s by 'seeing' the educational system as i f i t were a b u s i n e s s e n t e r p r i s e ; and the " s c h o o l as ( i f i t were) an i n d u s t r i a l workplace." When the school i s viewed as an i n d u s t r i a l workplace, " d e c l i n e s i n educational performance" can be i n t e r p r e t e d as meaning, 'decreases i n s c h o o l p r o d u c t i v i t y ' ; and the expression, "the conduct of the educational process," as meaning 'the way schoo l i n g i s managed by a d m i n i s t r a t o r s , and c a r r i e d out by teachers.' Under such a view, the o v e r a l l problem of s c h o o l s i s seen as h a v i n g been framed, q u i t e s i m p l y , as a problem of w o r k p l a c e management. The question to be answered thus becomes, "What changes have to be made to school system o r g a n i z a t i o n i n order to improve p r o d u c t i v i t y and the q u a l i t y of system performance?" 98 Now, given that we 'know' how to c o r r e c t the problem of poor p r o d u c t i v i t y and standards of performance i n other (product-oriented) workplaces, the s o l u t i o n to the problem of schools i s obvious. C o r r e c t i o n s need to be made to the key r e s u l t areas of the educational p r o c e s s — j u s t as they would i n the m a n u f a c t u r i n g p r o c e s s of some i n d u s t r i a l w o r k p l a c e . And, g i v e n t h i s ' o b v i o u s n e s s , 1 i t i s not s u r p r i s i n g t h a t the four key r e s u l t areas of the educational p r o c e s s which are p i n p o i n t e d by the Commissioners t o be t a r g e t t e d f o r reform can be found to p a r a l l e l key r e s u l t areas t h a t have, t r a d i t i o n a l l y , been of concern i n the i n d u s t r i a l (manufactoring) s e c t o r , as i l l u s t r a t e d i n Figures 5.1, 5.2, 5.3, and 5.4. SPELLING OUT THE UNDERLYING GENERATIVE METAPHOR The framework devised f o r s p e l l i n g out a generative metaphor (Chapter 3) p r o v i d e s a mechanism whereby the c o n c e p t u a l images c o n j u r e d up ( i n t h e mind o f t h e i n t e r p r e t e r ) by the "named" features of a problem-setting s t o r y — a l o n g w i t h the normative ideas they evoke—can be made e x p l i c i t ; and whereby the i n f l u e n c e these exert on the way we come t o 'see' the s u b j e c t of the metaphor can be tr a c e d . I t s a p p l i c a t i o n i s demonstrated i n respect to the s p e l l i n g out of the g e n e r a t i v e metaphor, " s c h o o l as an i n d u s t r i a l workplace," (as shown i n Figures 5.1, 5.2, 5.3, and 5.4) which i s presented as the generative metaphor used i n the case of schools. 99 The Case of Schools Four aspects of the educational p r o c e s s — " c o n t e n t , " "expectations," "time," and "teaching"—were s e l e c t e d by the Commissioners to be t a r g e t t e d f o r reform. In applying our a n a l y t i c a l framework to these f o u r named f e a t u r e s , the conceptual images conjured up ( i n the i n t e r p r e t e r ' s mind) by each have, f i r s t , to be mapped. The purpose of such a map i s to i l l u s t r a t e the analogous r e l a t i o n s h i p s t h a t might be seen to o b t a i n between them as elements of the o r g a n i z a t i o n of s c h o o l s , and as elements of the o r g a n i z a t i o n of the t r a d i t i o n a l l y operated i n d u s t r i a l workplace. Secondly, what i s 'known' about the o p e r a t i o n of an e f f i c i e n t and e f f e c t i v e i n d u s t r i a l workplace, and what are recommended as ' s o l u t i o n s ' t o the problem [of d e c l i n i n g e d u c a t i o n a l performance/productivity] of schools have to be i n s e r t e d , so as to i l l u s t r a t e the t a c i t r e l a t i o n s h i p t h a t can be seen to o b t a i n between them. Procedural Format. In o r d e r t o accommodate the d i s p l a y of a l l t h i s m a t e r i a l ( w i t h i n the l i m i t a t i o n s imposed by page s i z e ) , each of the f o u r p r o c e s s a s p e c t s named by the Commission i s analysed s e p a r a t e l y (as shown i n Figure 5.1 f o r "contents"; Figure 5.2 f o r "expectations"; Figure 5.3 f o r "time"; and F i g u r e 5.4 f o r t e a c h i n g ) . For each, the " F i n d i n g s " and "Recommendations" of the Commission are presented ( i n boxed form) i n the accompanying t e x t , w i t h the surface metaphors tha t are seen of relevance i n the e x p l i c a t i o n of the deep 100 metaphor i d e n t i f i e d i n boldface p r i n t . An i n t e r p r e t a t i o n of these (boldfaced) surface metaphors (where found), and the a n a l o g i c a l i m p l i c a t i o n s of the deep ( g e n e r a t i v e ) metaphor are then developed f o r each i n t u r n . Commission's Findings Regarding "Content" Findings Regarding Content By content we mean the very " s t u f f " of education, the c u r r i c u l u m . Because of our concern about the c u r r i c u l u m , the Commission examined patterns of courses high school students took i n 1964-69 compared wi t h course patterns i n 1976-81. On the b a s i s of these analyses we conclude: o Secondary school c u r r i c u l a have been homogenized, d i l u t e d , and d i f f u s e d to the p o i n t t h a t they no longer have a c e n t r a l purpose. In e f f e c t , we have a c a f e t e r i a - s t y l e c u r r i c u l u m i n which a p p e t i z e r s and d e s s e r t s can e a s i l y be mistaken f o r the main courses. Students have migrated from v o c a t i o n a l and c o l l e g e p r e p a r a t o r y programs t o " g e n e r a l t r a c k " courses i n large numbers. The p r o p o r t i o n of students t a k i n g a general program of study has increased from 12 percent i n 1964 to 42 percent i n 1979. o T h i s c u r r i c u l a r s m o r g a s b o r d , combined w i t h extensive student choice, e x p l a i n s a great deal about where we f i n d ourselves today. We o f f e r intermediate a l g e b r a , but only 31 percent of our recent high school graduates complete i t ; we o f f e r French I, but only 13 percent complete i t ; and we o f f e r Geography, but only 16 percent complete i t . C a l c u l u s i s a v a i l a b l e i n schools e n r o l l i n g about 60 percent of a l l students, but only 6 percent of a l l students complete i t . o Twenty — f i v e p e r c e n t of the c r e d i t s earned by general t r a c k high school students are i n p h y s i c a l and h e a l t h education, work experience outside the s c h o o l , r e m e d i a l E n g l i s h and mathematics, and personal s e r v i c e and development courses, such as t r a i n i n g f o r adulthood and marriage. (A Nation at Risk:para. 38:18-19) 101 I n t e r p r e t a t i o n of surface metaphors. The "content" of the educational process i s seen as being made up of " s t u f f " ( i . e . i n f o r m a t i o n a l matter) r e l a t i n g to p a r t i c u l a r s u b j e c t s . In an educational s e t t i n g these subjects c o n s t i t u t e what i s r e f e r r e d to as "curriculum." The subjects, of a school's c u r r i c u l u m are m e t a p h o r i c a l l y l i k e n e d (by the Commission) to foods t h a t are served at mealtimes to students. Expanding on t h i s analogy, the Commission r e v e a l s a normative b i a s i n i t s b e l i e f s about the r e l a t i v e value of various s u b j e c t s ; f o r i t l i k e n s the c u r r i c u l u m o f f e r i n g s (and program expectations) of yesteryear to a t r a d i t i o n a l meal t h a t i s served i n a (normatively 'proper') sequence— the (academically-oriented) main course being considered of greater n u t r i t i o n a l value than the (non-academic) a p p e t i z e r s or d e s s e r t s . The c o n t e n t and o r g a n i z a t i o n of today's educational process i s , i n c o n t r a s t , l i k e n e d to t h a t of a (normatively i n f e r i o r ) c a f e t e r i a where the c l i e n t s are f r e e to chose from amongst a smorgasbord array of (curriculum) o f f e r i n g s t h a t are unmarked and unordered i n r e s p e c t t o t h e i r r e l a t i v e n u t r i t i o n a l v alue. Students are seen as having moved i n droves ( l i k e m igrating b i r d s ) from the more demanding c o l l e g e preparatory programs to the l e s s demanding general t r a c k s because of t h i s freedom of choice; and because the system assigns equal rewards ( i n the form of c r e d i t p o i n t s to be gained) to those choosing the e a s i e r (to d i g e s t ) , and perhaps more t a s t y , non-academic subjects as i t does to those s e l e c t i n g the more 102 d i f f i c u l t (to d i g e s t ) , and perhaps more n u t r i t i o u s , academic c o u r s e s — c o u r s e s t h a t are considered (by the Commission) to be e d u c a t i o n a l l y 'good' f o r them. They a r e , as a c o n s e q u e n c e , m e t a p h o r i c a l l y seen as p a r t a k i n g o f an homogenized educational meal whose n u t r i t i o n a l value has been d i f f u s e d and d i l u t e d . A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor. As shown i n Figure 5.1, the element of educational process t h a t the Commission l a b e l s as "content" i s e x p l i c i t l y s t a t e d as meaning " c u r r i c u l u m " i n the c o n t e x t of s c h o o l s . ( I t i s l i k e n e d t o f o o d s t u f f t h a t i s s e r v e d ' i d e a l l y ' as the p r e s c r i b e d 'courses* of a t r a d i t i o n a l meal, and 'non-i d e a l l y , ' as a "help y o u r s e l f " c a f e t e r i a - s t y l e smorgasbord.) In the i n d u s t r i a l c o n t e x t , the c o n t e n t of the production process would r e f e r to 'what i s done' ( i . e . the process procedures t h a t are ' l a i d on' or 'fed') to the raw m a t e r i a l d u r i n g the course of i t s t r a n s f o r m a t i o n (or manufacture) i n t o a f i n i s h e d p r o d u c t . By a n a l o g y , t h i s would suggest t h a t students are 'seen' as the raw m a t e r i a l of the school's production process; and t h a t by being 'fed' t h e ' s t u f f ' o f t h e p r o c e s s ( c u r r i c u l u m ) , t h e y a r e moved a l o n g the a s s e m b l y - l i n e ( t r a c k / s t r e a m ) t o become transformed, stage by stage (e.g. course by course; grade by grade) i n t o a f i n i s h e d (educated) product (graduate). 103 school [B] i n d u s t r i a l workplace Figure 5.1 S p e l l i n g Out the Named Feature "Content" of the Generative Metaphor: School as an I n d u s t r i a l Workplace Recommendations Regarding "Content" We recommend th a t State and l o c a l high school graduation  requirements be strengthened and t h a t , at a minimum, a l l s t u d e n t s s e e k i n g a diploma be r e q u i r e d t o l a y the  f o u n d a t i o n s i n the F i v e New B a s i c s by t a k i n g the  f o l l o w i n g c u r r i c u l u m during t h e i r A years of high school:  (a) _ years of E n g l i s h ; (b) 3_ years of mathematics; (c) _3 years of science; (d) 3^  years of s o c i a l s t u d i e s ; and (e)  o n e - h a l f year of computer s c i e n c e . For the c o l l e g e - bound, 2 years of f o r e i g n language i n high school are  s t r o n g l y recommended i n a d d i t i o n to those taken e a r l i e r . Whatever the student's educational or work o b j e c t i v e s , knowledge of the New Basics i s the foundation of success 104 f o r the a f t e r - s c h o o l years and, t h e r e f o r e , forms the core of the modern c u r r i c u l u m . . A h i g h l e v e l of shared education i n these B a s i c s , together w i t h work i n the f i n e and performing a r t s and f o r e i g n languages, c o n s t i t u t e s the mind and s p i r i t of our c u l t u r e . [ I t a l i c s i n t e x t . ] (A Nation at Risk: par. 47, 48:24) I n t e r p r e t a t i o n of surface metaphors. [None r e l e v a n t . ] A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor. As already noted, the process element of 'content' might be t a k e n , i n the c o n t e x t of the i n d u s t r i a l w o r k p l a c e , t o inc l u d e a l l those t h i n g s t h a t are ' l a i d on' or 'fed' t o the raw m a t e r i a l to transform i t i n t o a standardized f i n i s h e d product. Now, we know th a t the development (over the past c e n t u r y ) of h i g h l y r a t i o n a l i z e d m a n u f a c t u r i n g p r o c e s s e s has gone 'hand-in-glove' w i t h the accumulation of abstracted knowledge about what i s considered to be 'the best way' t o proceed f o r o p t i m a l p r o d u c t i o n r e s u l t s ( i n the sense of o b t a i n i n g the g r e a t e s t economic r e t u r n on investment of money, time, and e f f o r t ) . This knowledge might be seen as rep r e s e n t i n g a set of normative ideas ( p r e s c r i p t i o n s ) t h a t i s a p p l i e d i n the i n d u s t r i a l workplace (and o f t e n , perhaps unconsciously, i n other o r g a n i z a t i o n a l s e t t i n g s ) . I f such p r e s c r i p t i o n s d i d not e x i s t (or were ignored by workers) everyone would be f r e e t o do t h e i r j o b s i n any way they pleased. The variance i n procedures (process content) t h a t would be followed as a r e s u l t could be expected to lead t o v a r i a n c e i n outcome, and an o v e r a l l l o w e r i n g of production standards and e f f i c i e n c y . 1 0 5 I f , t h e r e f o r e , the problem of d e c l i n i n g productivity-i s viewed as being the r e s u l t of variance i n the procedures used to process raw m a t e r i a l s (as i t would seem to be i n the case of schools, where the standard of output i s considered t o have become mediocre/shoddy p a r t l y as a r e s u l t of a l l o w i n g choice i n the c u r r i c u l u m [process content] to be ' l a i d on' the students) then the s o l u t i o n i s to reformulate, and more t i g h t l y r e g u l a t e , the p r o c e s s p r o c e d u r e s t o be f o l l o w e d — a s i l l u s t r a t e d by the Commission's recommendation to introduce a more p r e s c r i b e d c u r r i c u l u m around a core of New B a s i c s . Commission's Findings Regarding "Expectations" Findings Regarding Expectations We d e f i n e expectations i n terms of the l e v e l of know-ledge, a b i l i t i e s , and s k i l l s school and college graduates should possess. They a l s o r e f e r to the time, hard work, b e h a v i o u r , s e l f - d i s c i p l i n e , and m o t i v a t i o n t h a t are e s s e n t i a l f o r high student achievement. Such expectations are expressed to students i n s e v e r a l d i f f e r e n t ways: o by g r a d e s , which r e f l e c t the degree t o which s t u d e n t s demonstrate t h e i r mastery of s u b j e c t matter; o t h r o u g h h i g h s c h o o l and c o l l e g e g r a d u a t i o n requirements, which t e l l students which subjects are most important; o by the presence or absence of rigorous examinations requiring students to demonstrate t h e i r mastery of content and s k i l l before receiving a diploma or a degree; o by college admissions requirements which reinforce high school standards; and o by the d i f f i c u l t y of the s u b j e c t matter s t u d e n t s confront i n t h e i r t e x t s and assigned readings. 1 06 Our a n a l y s e s i n each o f t h e s e a r e a s i n d i c a t e n o t a b l e d e f i c i e n c i e s : o The amount o f homework f o r h i g h s c h o o l s e n i o r s has d e c r e a s e d ( t w o - t h i r d s r e p o r t l e s s t h a n 1 h o u r a n i g h t ) and grades have r i s e n as average student achievement has been d e c l i n i n g . o In many o t h e r i n d u s t r i a l i z e d n a t i o n s , c o u r s e s i n m a t h e m a t i c s ( o t h e r t h a n a r i t h m e t i c o r g e n e r a l m a t h e m a t i c s ) , b i o l o g y , c h e m i s t r y , p h y s i c s , and geography s t a r t i n grade 6 and a r e r e q u i r e d o f a l l s t u d e n t s . The ti m e spent on t h e s e s u b j e c t s , . based on c l a s s h o u r s , i s about t h r e e t i m e s t h a t s p e n t by even t h e most s c i e n c e - o r i e n t e d U.S. s t u d e n t , i . e . , th o s e who s e l e c t 4 y e a r s o f s c i e n c e and mathematics i n secondary s c h o o l . o A 1980 S t a t e - b y - S t a t e s u r v e y o f h i g h s c h o o l d i p l o m a r e q u i r e m e n t s r e v e a l s t h a t o n l y e i g h t S t a t e s r e q u i r e h i g h s c h o o l s t o o f f e r f o r e i g n language i n s t r u c t i o n , b u t none r e q u i r e s s t u d e n t s t o t a k e t h e c o u r s e s . T h i r t y - f i v e S t a t e s r e q u i r e o n l y 1 y e a r o f mathematics, and 36 r e q u i r e o n l y 1 y e a r o f s c i e n c e f o r a d i p l o m a . o I n 13 S t a t e s , 50 p e r c e n t o r more o f t h e u n i t s r e q u i r e d f o r h i g h s c h o o l g r a d u a t i o n may be e l e c t i v e s chosen by t h e s t u d e n t . G i v e n t h i s freedom t o choose the s u b s t a n c e o f h a l f o r more o f t h e i r e d u c a t i o n , many s t u d e n t s o p t f o r l e s s d emanding p e r s o n a l s e r v i c e c o u r s e s , such as b a c h e l o r l i v i n g . o "Minimum competency" e x a m i n a t i o n s (now r e q u i r e d i n 37 S t a t e s ) f a l l s h o r t o f what i s n e e d e d , as t h e "minimum" t e n d s t o become t h e "maximum," t h u s l o w e r i n g e d u c a t i o n a l s t a n d a r d s f o r a l l . o O n e - f i f t h o f a l l 4 - y e a r p u b l i c c o l l e g e s i n t h e U n i t e d S t a t e s must a c c e p t e v e r y h i g h s c h o o l g r a d u a t e w i t h i n t h e S t a t e r e g a r d l e s s o f program f o l l o w e d o r g r a d e s , t h e r e b y s e r v i n g n o t i c e t o h i g h s c h o o l s t u d e n t s t h a t t h e y can e x p e c t t o a t t e n d c o l l e g e even i f t h e y do not f o l l o w a demanding c o u r s e o f s t u d y i n h i g h s c h o o l o r p e r f o r m w e l l . o About 23 p e r c e n t o f our more s e l e c t i v e c o l l e g e s and u n i v e r s i t i e s r e p o r t e d t h a t t h e i r g e n e r a l l e v e l o f s e l e c t i v i t y d e c l i n e d d u r i n g t h e 1 9 7 0 ' s , and 29 p e r c e n t r e p o r t e d r e d u c i n g t h e number o f s p e c i f i c h i g h s c h o o l c o u r s e s r e q u i r e d f o r a d m i s s i o n ( u s u a l l y by d r o p p i n g f o r e i g n language r e q u i r e m e n t s , which a r e now s p e c i f i e d as a c o n d i t i o n f o r a d m i s s i o n by o n l y o n e - f i f t h o f our i n s t i t u t i o n s o f h i g h e r e d u c a t i o n . 107 o Too few e x p e r i e n c e d t e a c h e r s and s c h o l a r s , a r e i n v o l v e d i n w r i t i n g t e x t b o o k s . D u r i n g t h e p a s t d e c a d e o r so a l a r g e number o f t e x t s have been " w r i t t e n down" by t h e i r p u b l i s h e r s t o e v e r - l o w e r r e a d i n g l e v e l s i n r e s p o n s e t o p e r c e i v e d m a r k e t demands. o A r e c e n t s t u d y by E d u c a t i o n P r o d u c t s I n f o r m a t i o n Exchange r e v e a l e d t h a t a m a j o r i t y o f s t u d e n t s were a b l e t o master 80 p e r c e n t o f t h e m a t e r i a l i n some o f t h e i r s u b j e c t - m a t t e r t e x t s b e f o r e t h e y had e v e n opened th e books. Many books do not challenge the students t o whom they are assigned. (A N a t i o n a t R i s k : p a r s . , 39 + 40:19-21) I n t e r p r e t a t i o n o f s u r f a c e metaphors. In t h e c o n t e x t o f e d u c a t i o n , " e x p e c t a t i o n s " a r e s e e n q u a n t i t a t i v e l y i n terms o f t h e degree of d i f f i c u l t y o f knowledge, a b i l i t i e s , and s k i l l s s t u d e n t s s h o u l d p o s s e s s (as f i n i s h e d p r o d u c t s ) . There a l s o appears, t o be a q u a l i t a t i v e a s p e c t t o t h e n o t i o n o f e x p e c t a t i o n s . I t r e f e r s t o the b e h a v i o u r s and m o t i v a t i o n r e q u i r e d o f s t u d e n t s w h i l s t i n t h e p r o c e s s o f a c q u i r i n g t h e " s t u f f " o f e d u c a t i o n . In a g e n e r a l , and somewhat n o r m a t i v e , way, s t u d e n t s a r e s e e n as c o n t e n d e r s i n a c o n t e s t where s u c c e s s depends upon overcoming, c o n q u e r i n g ( i . e . showing mastery over) t h e c h a l l e n g e s t h a t a r e d e s i g n e d (whether i n t h e f o r m o f s u b j e c t m a t t e r , a d m i s s i o n r e q u i r e m e n t s , o r e x a m i n a t i o n s ) t o ' t r y ' t h e i r m e t t l e [ s i c ] . A n a l o g i c a l i m p l i c a t i o n s o f t h e deep metaphor. As noted i n F i g u r e 5.2, " e x p e c t a t i o n s " might be t a k e n i n the i n d u s t r i a l c o n t e x t t o mean t h e e x p e c t a t i o n s h e l d by management i n r e s p e c t t o (a) t h e observance by w o r k e r s of t h e s t a n d a r d s (code) o f c o n d u c t e s t a b l i s h e d t o c o n t r o l v a r i a n c e s i n t h e q u a l i t y and q u a n t i t y o f t h e i r performance 108 outputs, and (b) the achievement by workers of high l e v e l s of q u a l i t y - c o n t r o l l e d output. In the school s e t t i n g , t h i s would t r a n s l a t e i n t o concern that students deport themselves (as q u a l i t y raw m a t e r i a l s / ' g o o d ' workers) a c c o r d i n g t o standards t h a t are considered conducive to the achievement of h i g h s t a n d a r d s of graduate performance, and t h a t the. s c h o o l s / c o l l e g e s (and w o r k e r - t e a c h e r s ) e s t a b l i s h h i g h standards f o r such conduct and achievement. Recommendations Regarding "Expectations" Standards and Expectations We recommend th a t s c h o o l s , c o l l e g e s , and u n i v e r s i t i e s  adopt more r i g o r o u s and measurable standards, and higher  e x p e c t a t i o n s , f o r academic performance and s t u d e n t  conduct, and t h a t 4-year c o l l e g e s and u n i v e r s i t i e s r a i s e  t h e i r r e q u i r e m e n t s f o r a d m i s s i o n . T h i s wi 11 h e l p  students do t h e i r best e d u c a t i o n a l l y w i t h c h a l l e n g i n g  m a t e r i a l s i n an environment t h a t supports l e a r n i n g and  authentic accomplishment. Implementing Recommendations 1. Grades should be i n d i c a t o r s of academic achievement so they can be r e l i e d on as evidence of a students's readiness f o r f u r t h e r study. 2. Four-year c o l l e g e s and u n i v e r s i t i e s should r a i s e t h e i r a d m i s s i o n s r e q u i r e m e n t s and a d v i s e a l l p o t e n t i a l a p p l i c a n t s of the standards f o r admisssion i n terms of s p e c i f i c courses r e q u i r e d , performance i n t h e s e a r e a s , and l e v e l s o f a c h i e v e m e n t on standardized achievement t e s t s i n each of the f i v e B a s i cs and, where a p p l i c a b l e , f o r e i g n languages. 3. S t a n d a r d i z e d t e s t s o f achievement (not t o be confused w i t h a p t i t u d e t e s t s ) should be administered a t m a j o r t r a n s i t i o n p o i n t s f r o m one l e v e l o f s c h o o l i n g t o a n o t h e r and p a r t i c u l a r l y from h i g h school t o c o l l e g e or work. The purposes of these t e s t s w o u l d be t o : (a) c e r t i f y t h e s t u d e n t ' s c r e d e n t i a l s ; (b) i d e n t i f y the need f o r r e m e d i a l i n t e r v e n t i o n ; and (c) i d e n t i f y the opportunity f o r 109 advanced or a c c e l e r a t e d work. These t e s t s should be a d m i n i s t e r e d as p a r t of a n a t i o n w i d e (but not f e d e r a l ) system of S t a t e and l o c a l s t a n d a r d i z e d t e s t s . This system should i n c l u d e other d i a g n o s t i c p r o c e d u r e s t h a t a s s i s t t e a c h e r s and s t u d e n t s evaluate student progress. 4. Textbooks and other tools of learning and teaching s h o u l d be upgraded and updated t o a s s u r e more rig o r o u s content. . . . 6. Because no textbook i n any subject can be geared to the needs of a l l s t u d e n t s , funds s h o u l d be made a v a i l a b l e t o s u p p o r t t e x t development i n " t h i n -market" a r e a s , such as those f o r d i s a d v a n t a g e d students, the l e a r n i n g d i s a b l e d , and the g i f t e d and t a l e n t e d . • • • (A Nation at Risk: pars. 59-63, & 65:27-28) I n t e r p r e t a t i o n of surface metaphors. The Commission recommends th a t schools, c o l l e g e s and u n i v e r s i t i e s employ s t r i c t e r , l e s s f l e x i b l e , and more p r e c i s e methods of determining (through assessment of student achievement) the e f f e c t i v e n e s s of ' l a y i n g on the content.' C l e a r l y , student performance i s conceptualized as something to be rated i n numerical terms and equated w i t h a ' l e v e l ' of attainment (as a rung reached on a h i e r a r c h i c a l ' l a d d e r ' ; or a volume amount of l i q u i d s i g n i f i e d by a mark on a graduated beaker). The amount of l e a r n i n g possessed by the student i s seen as something t h a t should be evidenced by h i s / h e r grade l e v e l — whether i t be i n the form of a l e t t e r grade, assigned by a teacher i n assessment of student performance on a p a r t i c u l a r e x e r c i s e , or to the c l a s s Grade l e v e l assigned by the school as a r e s u l t of a student's aggregated marks f o r an annual program of s c h o l a s t i c achievement. 110 In k e e p i n g w i t h the v i e w p o i n t t h a t the s t u d e n t ' s engagement w i t h l e a r n i n g i s a contest designed to challenge (and t h e r e b y promote g r e a t e r f e a t s of p e r f o r m a n c e ) , the s c h o o l s , c o l l e g e s and u n i v e r s i t i e s are c a l l e d upon t o e s t a b l i s h more demanding c r i t e r i a ( s t a n d a r d s ) i n t h e i r expectations f o r student performance and conduct; and the 4-year p o s t - s e c o n d a r y i n s t i t u t i o n s t o r a i s e t h e i r e n t r y requirements. A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor. Further t o the r a t i o n a l i z a t i o n t h a t d e c l i n e s i n the amount of l e a r n i n g 'contained' by students r e s u l t from d e f i c i e n c i e s i n what they have been ' f e d ' , as are d e c l i n e s i n the p r o d u c t i v i t y of a m a n u f a c t u r i n g i n d u s t r y the r e s u l t of d e f i c i e n c i e s i n the a p p l i c a t i o n of p r o c e s s c o n t e n t — t h e e x h o r t a t i o n t o employ s t a n d a r d i z e d achievement t e s t s a t "major t r a n s i t i o n p o i n t s from one l e v e l of s c h o o l i n g t o another and p a r t i c u l a r l y from h i g h s c h o o l t o c o l l e g e or work" i s analogous t o a demand f o r q u a l i t y c o n t r o l of product outputs at each c r i t i c a l t r a n s i t i o n stage i n the manufacture of mass-produced goods. The analogy between educational and manufacturing p r o d u c t i o n p r o c e s s e s i s f u r t h e r r e i n f o r c e d by t h e c o n s i d e r a t i o n of textbooks and other l e a r n i n g / t e a c h i n g media as t o o l s ; and by a l l u s i o n to the f a c t t h a t textbooks cannot be "geared" to accommodate variance i n student populations as [say] can machine-tools t h a t are able to handle variance i n t h e i r processing of d i f f e r e n t types of raw m a t e r i a l s . I l l [ A ] school t image standards f o r student behaviour and graduate achievement i C B } i n d u s t r i a l workplace problem s o l u t i o n s r a i s e standards for students i n earning grades and promotion i n s t i t u t e standardized t e s t i n g of students at major t r a n s i t i o n p o i n t s from one l e v e l of schooling t o another. image standards f o r c o n t r o l of worker e f f o r t & product output. normative ideas about i f we r a i s e production quotas we get workers t o work harder have to t i g h t e n q u a l i t y c o n t r o l at each stage of production, to c o r r e c t / r e j e c t as c l o s e to source as p o s s i b l e any variance (from the standard) i n output, Figure 5.2 S p e l l i n g Out the Named Feature "Expectations" of the Generative Metaphor: School as an I n d u s t r i a l Workplace The Commission's recommendation c o n c e r n i n g the a d o p t i o n of more r i g o r o u s and measurable s t a n d a r d s f o r d i s t i n g u i s h i n g between "top of the l i n e " and l e s s e r q u a l i t y (graduate) products (through the awarding of l e t t e r grades, and Grade promotion) i s advanced by the Commissioners as 112 s u p p o r t i n g " l e a r n i n g and a u t h e n t i c a c c o m p l i s h m e n t s . " I t m i g h t be seen as s temming f rom t h e t r a d i t i o n a l l y h e l d b e l i e f t h a t w o r k e r s w i l l be m o t i v a t e d t o expend g r e a t e r work e f f o r t on t h e i r a l l o t t e d t a s k s i f t h e y a r e o f f e r e d e x t r i n s i c r e w a r d s t h a t a r e c o n s i d e r e d o f v a l u e because t h e y a r e i n s c a r c e s u p p l y ( o r , i f t h e y a r e t h r e a t e n e d w i t h t h e l o s s o f such r e w a r d s — a s when, f o r e x a m p l e , t h e number o f " p i e c e s " o f work r e q u i r e d t o be done f o r a g i v e n r a t e o f r e w a r d i s i n c r e a s e d ) . [ T h i s does s u g g e s t some a m b i g u i t y c o n c e r n i n g t h e a n a l o g i c a l r o l e o f t h e s t u d e n t who can be seen a t some t i m e s t o be c o n s i d e r e d as raw m a t e r i a l , and a t o t h e r t i m e s , as w o r k e r . ] S i m i l a r l y , t h e c a l l t o i n s t i t u t e t h e a p p l i c a t i o n o f s t a n d a r d i z e d t e s t s o f a c h i e v e m e n t a t major t r a n s i t i o n p o i n t s -from one l e v e l o f s c h o o l i n g t o a n o t h e r , m i g h t be seen as s temming f rom t h e p r a c t i c e o f t i g h t e n i n g q u a l i t y c o n t r o l measures a t each s t a g e o f an i n d u s t r i a l p l a n t ' s p r o d u c t i o n p r o c e s s i n o r d e r t o l o c a t e ( a n d e l i m i n a t e , t h r o u g h c o r r e c t i o n o r r e j e c t i o n ) o u t p u t v a r i a n c e as c l o s e t o i t s s o u r c e as p o s s i b l e . C o m m i s s i o n ' s F i n d i n g s R e g a r d i n g "T ime"  F i n d i n g s R e g a r d i n g Time E v i d e n c e p r e s e n t e d t o t h e Commis s ion d e m o n s t r a t e s t h r e e d i s t u r b i n g f a c t s abou t t h e use t h a t A m e r i c a n s c h o o l s and s t u d e n t s make o f t i m e : (1) compared t o o t h e r n a t i o n s , A m e r i c a n s t u d e n t s spend much l e s s t i m e on s c h o o l w o r k ; (2) t i m e s p e n t i n t h e c l a s s r o o m and on homework i s o f t e n used i n e f f e c t i v e l y ; and (3) s c h o o l s a r e n o t d o i n g enough t o h e l p d e v e l o p e i t h e r t h e s t u d y s k i l l s r e q u i r e d t o use t i m e w e l l o r t h e w i l l i n g n e s s t o spend more t i m e on s c h o o l w o r k . 113 o In England and other i n d u s t r i a l i z e d c o u n t r i e s , i t i s not unusual f o r academic h i g h s c h o o l s t u d e n t s t o spend 8 hours a day at sch o o l , 220 days per year. In the United S t a t e s , by c o n t r a s t , the t y p i c a l day l a s t s 6 hours and the school year i s 18C days. o In many schools, the time spent l e a r n i n g how to cook and d r i v e counts as much toward a high school diploma as the time spent s t u d y i n g mathematics, E n g l i s h , chemistry, U.S. h i s t o r y , or b i o l o g y . o A study of the school week i n the United States found th a t some schools provided students only 17 hours of academic i n s t r u c t i o n during the week, and the average school provided about 22. o A C a l i f o r n i a study of i n d i v i d u a l classrooms found t h a t because of poor management of classroom time, some elementary students r e c e i v e d only o n e - f i f t h of t h e i n s t r u c t i o n o t h e r s r e c e i v e d i n r e a d i n g comprehension. o In most schools, the teaching of study s k i l l s i s h a p h a z a r d and u n p l a n n e d . C o n s e q u e n t l y , many s t u d e n t s complete h i g h s c h o o l and e n t e r c o l l e g e without d i s c i p l i n e d and systemic study h a b i t s . (A Nation at Risk: para. 41:21-22) I n t e r p r e t a t i o n of surface metaphors. [None r e l e v a n t . ] A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor. Time, as a process element, i s seen (Figure 5.3) i n the school s e t t i n g as a matter concerning the e f f e c t i v e and e f f i c i e n t a p p l i c a t i o n of s t u d e n t time t o academic work. I t i s c o n s i d e r e d i n t h i s c o n t e x t , as i t i s i n the i n d u s t r i a l m i l i e u where worker time i s f a c t o r e d as a production c o s t , to be so c a u s a l l y c o r r e l a t e d w i t h amounts of p r o d u c t i v i t y t h a t i t r e q u i r e s 1 management 1--in much the same way as worker time i s ' s c i e n t i f i c a l l y managed' f o r maximum output i n an i n d u s t r i a l or business workplace. 114 Recommendations Regarding "Time" Recommendation C: Time We recommend th a t s i g n i f i c a n t l y more time be devoted t o l e a r n i n g the New B a s i c s . T h i s w i l l r e q u i r e more  e f f e c t i v e use of the e x i s t i n g school day, a longer school  day, or a lengthened school year. Implementing Recommendations 1. Students i n high schools should be assigned f a r more homework than i s now the case. 2. I n s t r u c t i o n i n e f f e c t i v e study and work s k i l l s , which are e s s e n t i a l i f school and independent time i s t o be used e f f i c i e n t l y should be introduced i n the e a r l y grades and c o n t i n u e d t h r o u g h o u t the student's s c h o o l i n g . 3. Schools d i s t r i c t s and State l e g i s l a t u r e s should s t r o n g l y consider 7-hour school days, as w e l l as a 200- to 220-day school year. 4. The time a v a i l a b l e f o r l e a r n i n g be expanded t h r o u g h b e t t e r c l a s s r o o m management and o r g a n i z a t i o n o f t h e s c h o o l day. I f n e c e s s a r y , a d d i t i o n a l time s h o u l d be found t o meet the s p e c i a l needs of slow l e a r n e r s , the g i f t e d , and others who need more i n s t r u c t i o n a l d i v e r s i t y than can be accommodated during a conventional school day or school year. 5. The burden on teachers f o r maintaining d i s c i p l i n e should be reduced through the development of f i r m and f a i r c o d e s o f s t u d e n t c o n d u c t t h a t a r e e n f o r c e d c o n s i s t e n t l y , and by c o n s i d e r i n g a l t e r n a t i v e classrooms, programs, and schools to meet the needs of c o n t i n u a l l y d i s r u p t i v e students. 6. Attendance p o l i c i e s w i t h c l e a r i n c e n t i v e s and sanctions should be used t o reduce the amount of t i m e l o s t t h r o u g h s t u d e n t a b s e n t e e i s m and t a r d i n e s s . 7. A d m i n i s t r a t i v e burdens on the teacher and r e l a t e d i n t r u s i o n s i n t o the school day should be reduced to add time f o r teaching and l e a r n i n g . 8. Placement and g r o u p i n g o f s t u d e n t s , as w e l l as promotion and g r a d u a t i o n p o l i c i e s , s h o u l d be guided by the academic progress of students and t h e i r i n s t r u c t i o n a l needs, r a t h e r than by r i g i d adherence t o age. (A Nation at Risk: pars. 68, 70, & 72-76:29-38) 1 1 5 IB} i n d u s t r i a l workplace the level of productivity of an i n d u s t r i a l plant can be raised by increasing the time spent by workers on the production 1 ine • 5 . 3 Spelling Out the Named Feature "Time" of the Generative Metaphor: School as an Industrial Workplace Interpretation of surface metaphors. [None relevant.] Analogical implications of the deep metaphor. The recommendations regarding "time" can be seen as n a t u r a l extensions of the viewpoint that sees academic achievement as a correlate of the time spent on academic work; and the time spent by students in school as requiring 'management.1 116 For example, the per s p e c t i v e of time as a c r i t i c a l f a c t o r i n c o s t - e f f e c t i v e ( i . e . e f f i c i e n t ) p r o d u c t i v i t y can be r e a d i l y recognised as a feat u r e t h a t tends to preoccupy management i n the workplace. S i m i l a r l y , c o n c e r n f o r t h e m a i n t a i n a n c e o f d i s c i p l i n e , and the c o n s i s t e n t enforcement of (normative) codes of conduct f o r s t u d e n t s i n s c h o o l s can be seen as analagous t o the p r e o c c u p a t i o n of management i n o t h e r w o r k p l a c e s w i t h t h e c o n t r o l o f w o r k e r s t h r o u g h t h e enforcement of d i s c i p l i n e , and s t r i c t codes of expected conduct (as patterned on the m i l i t a r y model). [ I t might, a l s o be seen i n terms of the handling of r e c a l c i t r a n t raw ma t e r i a l s . ] In l i k e v e i n , the Commission's recommendation f o r c o n t r o l l i n g student absenteeism and t a r d i n e s s can be seen as a d i r e c t r e f l e c t i o n o f t h e a p p r o a c h t h a t h a s , h i s t o r i c a l l y , been t a k e n t o c o n t r o l w o r k e r s i n t h e i n d u s t r i a l s e c t o r . Those recommendations t h a t would lengthen the school day, the school year, and the percentage of time t o be spent on academic subjects can, l i k e w i s e , be i d e n t i f i e d w i t h an i n d u s t r i a l s e c t o r demand f o r longer work hours i n order to increase p r o d u c t i v i t y . And, the c a l l f o r s t u d e n t s t o be grouped, promoted and gra d u a t e d according to t h e i r academic progress, and on the b a s i s of t h e i r i n s t r u c t i o n a l ( r a t h e r than on t h e i r s o c i a l [age-r e l a t e d ] ) needs i s analogous to the c a l l f o r workers to be ranked f o r r e m u n e r a t i o n and promotion on the b a s i s of merited performance r a t h e r than on years of s e r v i c e . Commission's Findings Regarding "Teaching"  Findings Regarding Teaching The Commission found t h a t not enough of the academically a b l e s t u d e n t s are b e i n g a t t r a c t e d t o t e a c h i n g ; t h a t t e a c h e r p r e p a r a t i o n programs need s u b s t a n t i a l improvement; t h a t the p r o f e s s i o n a l w o r k i n g l i f e of teachers i s on the whole unacceptable; and t h a t a s e r i o u s shortage of teachers e x i s t s i n key f i e l d s . o Too many teachers are being drawn from the bottom q u a r t e r of graduating high school and c o l l e g e students. o The teacher p r e p a r a t i o n c u r r i c u l u m i s weighted h e a v i l y w i t h courses i n "educational methods" at the expense of.courses i n subjects to be taught. A survey of 1,350 i n s t i t u t i o n s t r a i n i n g teachers i n d i c a t e d t h a t 41 p e r c e n t o f t h e t i m e o f elementary school teacher candidates i s spent i n e d u c a t i o n c o u r s e s , which reduces the amount of time a v a i l a b l e f o r subject matter courses. o The average s a l a r y a f t e r 12 years of teaching i s o n l y $17,000 per y e a r , and many t e a c h e r s are r e q u i r e d to supplement t h e i r income w i t h part-time and summer employment. In a d d i t i o n , i n d i v i d u a l teachers have l i t t l e i n f l u e n c e i n such c r i t i c a l p r o f e s s i o n a l d e c i s i o n s as, f o r example, textbook s e l e c t i o n . o D e s p i t e w i d e s p r e a d p u b l i c i t y a b o u t an overpopulation of teachers, severe shortages of c e r t a i n kinds of teachers e x i s t : i n the f i e l d s of mathematics, s c i e n c e , and f o r e i g n languages; and among s p e c i a l i s t s i n education f o r the g i f t e d and t a l e n t e d , language m i n o r i t y , and handicapped students. o The s h o r t a g e of t e a c h e r s i n mathematics and science i s p a r t i c u l a r l y severe. A 1981 survey of 45 S t a t e s r e v e a l e d s h o r t a g e s of mathematics teachers i n 43 S t a t e s , c r i t i c a l shortages of earth s c i e n c e s t e a c h e r s i n 33 S t a t e s , and p h y s i c s teachers everywhere. o Half of the newly employed mathematics, s c i e n c e , and E n g l i s h teachers are not q u a l i f i e d to teach these s u b j e c t s ; fewer than o n e - t h i r d of U.S. high schools o f f e r physics taught by q u a l i f i e d teachers. (A Nation at R i s k : para. 42:22) 118 Interpretation of surface metaphor. Newly graduating high school and c o l l e g e students are seen as the major source of personnel for teacher recruitment. This source of personnel i s conceptualized as a 'pool' from which teacher r e c r u i t s are drawn—as i s water from a w e l l . The Commission found teachers to be drawn from the pool of graduating high school and college students as [sediment-laden, less 'good'] water drawn from the bottom of a well. Analogical implications of the deep metaphor. As i l l u s t r a t e d i n Figure 5 . 4 , such issues as teacher r e c r u i t -ment, s e l e c t i o n , t r a i n i n g , c a r e e r advancement, and remuneration can e a s i l y be i d e n t i f i e d with the broad range of concerns that f a l l , i n workplaces (other than schools), under the rubric of personnel (or, in more recent years, of human resource management). Such resources have, t r a d i t i o n a l l y , not been managed in the school system i n any integrated way. Recruitment and selection for t r a i n i n g have come under the purview of c o l l e g e s / u n i v e r s i t i e s ; c e r t i f i c a t i o n by some other sta t e / p r o v i n c i a l agency; and career advancement has tended to have been on an ad hoc basis. Recommendations Regarding "Teaching"  Recommendation D; Teaching This recommendation c o n s i s t s of seven p a r t s . Each i s  intended to improve the preparation of teachers or to make teaching a more rewarding and respected profession.  Each of the seven stands on i t s own and should not be  considered s o l e l y as an implementing recommendation. 119 1. Persons preparing to teach should be r e q u i r e d to meet high educational standards, to demonstrate an a p t i t u d e f o r t e a c h i n g , and t o d e m o n s t r a t e competence i n an academic d i s c i p l i n e . Colleges and u n i v e r s i t i e s o f f e r i n g t e a c h e r p r e p a r a t i o n programs s h o u l d be judged by how w e l l t h e i r graduates meet these c r i t e r i a . 2. S a l a r i e s f o r the t e a c h i n g p r o f e s s i o n s h o u l d be i n c r e a s e d and s h o u l d be p r o f e s s i o n a l l y c o m p e t i t i v e , m a r k e t - s e n s i t i v e , and performance-based. S a l a r y , promotion, tenure, and r e t e n t i o n d e c i s i o n s s h o u l d be t i e d t o an e f f e c t i v e e v a l u a t i o n t h a t i n c l u d e s peer r e v i e w so t h a t s u p e r i o r teachers can be rewarded, average ones encouraged, and poor ones e i t h e r improved or terminated. 3. School boards should adopt an 11-month c o n t r a c t f o r t e a c h e r s . T h i s w o u l d e n s u r e t i m e f o r c u r r i c u l u m and p r o f e s s i o n a l development, programs f o r s t u d e n t s w i t h s p e c i a l needs, and a more adequate l e v e l of teacher compensation. 4. School boards, a d m i n i s t r a t o r s , and teachers should cooperate to develop career ladders f o r teachers t h a t d i s t i n g u i s h among the beginning i n s t r u c t o r , the experienced teacher, and the master teacher. 6. I n c e n t i v e s , such as grants and loans, should be made a v a i l a b l e to a t t r a c t outstanding students to the t e a c h i n g p r o f e s s i o n , p a r t i c u l a r l y i n those areas of c r i t i c a l shortage. 7. Master teachers should be i n v o l v e d i n designing teacher p r e p a r a t i o n programs and i n s u p e r v i s i n g teachers during t h e i r probationary years. (A Nation at R i s k : paras. 80, 81:31) I n t e r p r e t a t i o n of surface metaphors. [None r e l e v a n t . ] A n a l o g i c a l i m p l i c a t i o n s of the deep metaphor. The p r o f e s s i o n a l s t a t u s of teachers (as c r e d e n t i a l l e d 'masters') i s r e c o n c e p t u a l i z e d by the Commission so t h a t i t t a c i t l y provides a b e t t e r ' f i t ' w i t h the p r e - i n d u s t r i a l model of the craftsman. For the career of teaching i s r e c o n c e p t u a l i z e d as a l a d d e r w i t h h i e r a r c h i c a l l y p l a c e d 'rungs' t o mark 120 CA) s c h o o l more a b l e g r a d u a t e s n e e d t o be a t t r a c t e d t o t e a c h i n g p r e p a r a t i o n p r o g r a m s n e e d much i m p r o v e m e n t p r o f , work l i f e i s u n -a c c e p t a b l e / t e a c h i n g ( t o o many t e a c h e r s d r a w n f r o m b o t t o m o f g r a d s ) CB) i n d u s t r i a l w o r k p l a c e i m a g e p e r s o n n e 1 i s s u e s o f s t a f f : r e c r u i t m e n t s e l e c t i o n t r a i n i n g l i c e n c i n g p r o m o t i o n r e t e n t i o n , p r o b l e m s o l u t i o n s h i g h e r s a l a r i e s f o r t e a c h e r s g r a n t s & l o a n s f o r o u t s t a n d i n g r e c r u i t s m e r i t p a y & c a r e e r l a d d e r s n o r m a t i v e i d e a s a b o u t i n c e n t i v e s n e e d e d t o h e l p r e c r u i t &( r e t a i n more a b l e s t a f f . e . g . - -s u b s i d i e s f o r t r a i n e e s , a n d b e t t e r s a l a r y a n d c a r e e r a d v a n c e m e n t o p p o r t u n i t i e s F i g u r e 5 .4 S p e l l i n g O u t t h e Named F e a t u r e " T e a c h i n g " o f t h e G e n e r a t i v e M e t a p h o r : S c h o o l a s an I n d u s t r i a l W o r k p l a c e 121 g r a d u a t e d s t e p s t h a t c a n be c l i m b e d - - a s f r o m a p p r e n t i c e ( b e g i n n i n g t e a c h e r ) , t o journeyman ( e x p e r i e n c e d t e a c h e r ) , t o master c r a f t s m a n (master t e a c h e r ) . In k e e p i n g w i t h t h i s metaphor, recommendations r e h i g h e r s t a r t i n g s a l a r i e s f o r t e a c h e r s , g r a n t s and l o a n s f o r o u t s t a n d i n g r e c r u i t s ; m e r i t pay, and p r o m o t i o n a l o p p o r t u n -i t i e s f o r 'master' t e a c h e r s can a l l be seen t o stem from the i n d u s t r i a l / b u s i n e s s model where ( i n c o n t r a s t t o s e r v i c e s e c t o r o r g a n i z a t i o n s ) i n c e n t i v e s — i n t h e form of a t t r a c t i v e pay s c a l e s and p r o m o t i o n a l o p p o r t u n i t i e s — a r e used t o h e l p an o r g a n i z a t i o n r e c r u i t (and keep) more a b l e s t a f f . OVERVIEW The f o r e g o i n g a n a l y s e s s e r v e t o d e m o n s t r a t e t h e a p p l i c a t i o n o f an a n a l y t i c a l framework t o t h e ' s p e l l i n g o u t ' o f a g e n e r a t i v e metaphor; and t o i l l u s t r a t e t h e e x t e n t t o w hich t h e 'problem of s c h o o l s ' can be u n d e r s t o o d as b e i n g p r o j e c t e d i n t h e r e p o r t , "A N a t i o n a t R i s k , " i n terms of t h e i n d u s t r i a l o r f a c t o r y model. I t a l s o h e l p s r e v e a l how t h e n o r m a t i v e i d e a s c o n n e c t e d w i t h what i s 'known' a b o u t t h e r u n n i n g o f an i n d u s t r i a l w o r k p l a c e s e r v e t o t a c i t l y i n f l u e n c e t h e s o l u t i o n s t h a t a r e recommended f o r ' f i x i n g ' what i s 'wrong' w i t h t h e s c h o o l s . Those p r o b l e m - s o l v i n g p o l i c i e s t h a t c a l l f o r e d u c a t i o n a l r e f o r m by way o f "more d i s c i p l i n e i n the s c h o o l s , " "more s t a n d a r d i z e d t e s t i n g o f s t u d e n t s , " and "more 122 r i g o r o u s grading/promoting p r a c t i c e s " might, thus, be seen as r e p r e s e n t i n g t a c i t l y transposed judgments about c o n t r o l requirements: requirements t h a t are g e n e r a l l y considered a necessary p a r t of the 'good' management p r a c t i c e s we have come to expect from a s u c c e s s f u l l y operated i n d u s t r i a l or business workplace. No doubt t h i s way of framing the problem of schools i s as w i d e l y a c c e p t e d as i t i s because i t i s viewed as l i t e r a l l y 'true.' I t would c e r t a i n l y seem to represent a c l a s s i c example of a problem frame t h a t has remained u n c h a l l e n g e d because the a n a l o g i c a l i m p l i c a t i o n s of the generative metaphor which undergird i t have not been s p e l l e d out, nor the assumptions which flow from these i m p l i c a t i o n s subjected to c r i t i c a l s c r u t i n y . Whether or not i t i s u s e f u l f o r policymakers to frame what i s problematic about schools i n t h i s way remains to be examined. But, before any problem frame i s subjected t o such assessment, i t would seem o n l y prudent t h a t the images p r o j e c t e d by i t s unde r l y i n g generative m e t a p h o r — i n t h i s case, of the i n d u s t r i a l workplace—be 'fleshed out' ( i . e . e l a b o r a t e d ) ; and, th a t the i m p l i c a t i o n s these suggest f o r i t s s u b j e c t — h e r e , the s c h o o l — b e made e x p l i c i t . This task i s undertaken i n the next chapter. Chapter 6 ELABORATING THE ASSUMPTIONS OF THE METAPHOR "SCHOOL AS AN INDUSTRIAL WORKPLACE" Effectiveness, yes. But this?) The Canadian School Executive. March 1984 31 As i l l u s t r a t e d i n the l a s t chapter, the authors of the Commission Report, "A Nation at Risk,"appear t o 'make sense' of what i s problematic about the U.S. educational system by ' s e e i n g ' i t s component (subsystem) s c h o o l s , c o l l e g e s , and u n i v e r s i t i e s as i f they were (metaphorically speaking) product-manufacturing p l a n t s whose standards and l e v e l s of p r o d u c t i v i t y are i n d e c l i n e , and whose o p e r a t i o n a l p r a c t i c e s are, thereby, i n need of reform. The s o l u t i o n to the problem of schools i s thus (by v i r t u e of the frame's u n d e r l y i n g g e n e r a t i v e metaphor) rendered ' o b v i o u s ' — t o w i t , apply to schools the same 'good' 123 124 o r g a n i z a t i o n a l p r a c t i c e s t h a t are found to o b t a i n i n the conduct of an e f f e c t i v e , and e f f i c i e n t l y run, manufacturing p l a n t i n the i n d u s t r i a l s e c t o r . The recommendations proposed by the Commission a r e , a c c o r d i n g l y , seen as being d i r e c t e d at reforming c e r t a i n a d m i n i s t r a t i v e p r o c e s s e s found i n s c h o o l s ( r a t h e r t h a n p e d a g o g i c a l ones, as might be i n f e r r e d from the term "educational p r o c e s s " ) . And, as noted ( i n Chapter 5 ) , the four process elements t h a t are t a r g e t t e d by the Commission f o r reform can r e a d i l y be i d e n t i f i e d w i t h p r a c t i c e s found i n the i n d u s t r i a l workplace (under the r u b r i c of "procedural or process r e g u l a t i o n s , " , " q u a l i t y c o n t r o l , " " e f f i c i e n t use of time," and "human resource management"). Now the Commission's proposals seem to be p r e d i c a t e d on an assumption. This assumption, which i s inherent i n the metaphor seen ( t a c i t l y ) t o have been used t o frame the problem of schools, i s t h a t an a p p r o p r i a t e (and i n s i g h t f u l ) correspondence e x i s t s between the p a t t e r n of f e a t u r e s t h a t c h a r a c t e r i z e s a product-manufacturing i n d u s t r i a l p l a n t and the p a t t e r n of fe a t u r e s t h a t c h a r a c t e r i z e s an e d u c a t i o n a l i n s t i t u t i o n such as a secondary s c h o o l . And i t i s , of course, f o r the purpose of checking the ' v a l i d i t y ' of such an u n d e r l y i n g assumption t h a t SchOn (1979:255) exhorts us t o " s p e l l out the metaphor, e l a b o r a t e the assumptions which f l o w from i t [ s i c ] , and examine t h e i r appropriateness i n the present s i t u a t i o n . " Having s p e l l e d out the metaphor ( i n Chapter 5), we are now ready to elaborate the assumptions t h a t flow from 125 i t , using the procedural framework developed i n Chapter 3 f o r t h a t purpose. I t i s , then, w i t h the task of applying t h i s p r o c e d u r a l framework t o t h e e l a b o r a t i o n o f t h e assumptions of the metaphor " s c h o o l as an i n d u s t r i a l workplace" t h a t the r e s t of t h i s chapter i s concerned. The next s e c t i o n d e a l s , a c c o r d i n g l y , w i t h the development of a " p a t t e r n model" ( K a p l a n , 1964) of the (metaphoric term) ' i n d u s t r i a l workplace.' I t i s followed by an overview of the model so developed; and a review of the i m p l i c a t i o n s such a c o n c e p t u a l i z a t i o n a n a l o g i c a l l y suggests f o r our under-standing of (the subject of the metaphor) 'the sch o o l . ' TOWARD A PATTERN MODEL OF~ THE INDUSTRIAL WORKPLACE Before attempting to develop a model of the p a t t e r n of r e l a t i o n s h i p s o b t a i n i n g among the s a l i e n t elements of the s e t t i n g termed 'the i n d u s t r i a l workplace,' i t would seem prudent to check out the g e n e r a l i z a b i l i t y of the image of the i n d u s t r i a l workplace (as a mass production manufactory) th a t i s suggested by the features of o r g a n i z a t i o n a l process th a t are t a r g e t t e d f o r reform by the Commission. The i n d u s t r i a l - b a s e d r e s e a r c h of Woodward (1958, 1965, 1970) i s i n s t r u c t i v e i n t h i s regard. And, because i t p r o v i d e s a p r o m i s i n g base upon which t o found a p a t t e r n model of the i n d u s t r i a l w o r k p l a c e , an o v e r v i e w of the f i n d i n g s of the Woodward st u d i e s are, next, presented i n some d e t a i l . 1 2 6 The Woodward S t u d i e s Between 1953 and 1957, s u r v e y s were conducted i n a w i d e v a r i e t y o f m a n u f a c t u r i n g f i r m s i n S o u t h E s s e x ( E n g l a n d ) , t o a s c e r t a i n t h e e x t e n t t o which t h e p r a c t i c e o f "management t h e o r y " - - a s e s p o u s e d and „taught i n b u s i n e s s c l a s s e s i n t h e l o c a l c o l l e g e s — m i g h t be c o r r e l a t e d w i t h b u s i n e s s s u c c e s s . B u t , when t h e f i n d i n g s o f t h e s u r v e y s were t a b u l a t e d , a number o f d i f f e r e n t p a t t e r n s o f management p r a c t i c e emerged: p a t t e r n s which c o u l d be r e l a t e d n e i t h e r t o b u s i n e s s s u c c e s s , t h e s i z e o f t h e f i r m , nor t h e t y p e o f i n d u s t r y c o n c e r n e d . However, when t h e f i r m s were grouped a c c o r d i n g t o s i m i l a r i t y o f o b j e c t i v e s and t e c h n i q u e s o f £ £ £ _ l H £ _ _ £ I l - ~ a n < ^ c l a s s i f i e d a c c o r d i n g t o an o r d e r o f t e c h n i c a l c o m p l e x i t y — e a c h p r o d u c t i o n system was found t o be a s s o c i a t e d w i t h a c h a r a c t e r i s t i c p a t t e r n of o r g a n i z a t i o n (Woodward, 1958). D e f i n i n g t e c h n o l o g i c a l c o m p l e x i t y as t h e e x t e n t ( a l o n g a s i n g l e c o n t i n u u m ) t o w h i c h c o n t r o l c o u l d be e x e r c i s e d over t h e p h y s i c a l l i m i t a t i o n s o f p r o d u c t i o n , t h e r e s e a r c h e r s f i n a l l y c o l l a p s e d t h e o r d e r o f t e c h n o l o g i c a l c o m p l e x i t y ( t h a t t h e y had obser v e d i n the f i r m s s t u d i e d ) i n t o t h r e e d i s t i n c t s t a g e s . These were: (1) u n i t o r s m a l l b a t c h (e.g. made-to-order goods such as custom s u i t s , machine t o o l s ) ; (2) l a r g e b a t c h , assembly, and mass p r o d u c t i o n (e.g. mass-produced c l o t h i n g , a u t o m o b i l e s ) ; and (3) " f l o w " o r " p r o c e s s " p r o d u c t i o n (e.g. o i l , c h e m i c a l s ) . 127 F i n d i n g s . The Woodward f i n d i n g s suggested t h a t the t e c h n i c a l method used by a f i r m t o produce the goods i t manufactured was the s i n g l e most i m p o r t a n t f a c t o r i n determining o r g a n i z a t i o n a l s t r u c t u r e and i n s e t t i n g the tone of human r e l a t i o n s i n s i d e the f i r m ; and t h a t an e s s e n t i a l requirement f o r business success was a match between the o r g a n i z a t i o n a l p a t t e r n used to manage the f i r m as a whole, and the technology (typed as ' u n i t , ' 'mass,1 'process') employed i n the production process. Such f i n d i n g s put i n doubt the v a l i d i t y of those c o l l e g e courses t h a t had been espousing 'the p r i n c i p l e s ' of business management on the (widely accepted) assumption t h a t there was one set of p r i n c i p l e s f o r e f f e c t i v e management which h e l d f o r a l l types of p r o d u c t i o n p r o c e s e s . The p r i n c i p l e s t h a t were being taught were indeed v a l i d — b u t only i n the case of firms employing a mass production mode of t e c h n o l o g y . They d i d not h o l d f o r f i r m s u s i n g s m a l l batch or flow technology, because the s i t u a t i o n a l demands 1 of these technologies were d i f f e r e n t . (The major features of o r g a n i z a t i o n a l management t h a t were seen as b e i n g i n f l u e n c e d by the s i t u a t i o n a l demands of these t h r e e d i f f e r e n t modes of production technology are d i s p l a y e d i n annotated form, f o r comparative purposes, i n Table 6.1.) • For example, each t e c h n i c a l s i t u a t i o n was seen as r e q u i r i n g a d i f f e r e n t kind of cooperation between members of the management team. Therefore, the communication system used to l i n k them needed to be d i f f e r e n t from one s i t u a t i o n t o a n o t h e r , depending on the n a t u r e of the p r o d u c t i o n technology i n use. Table 6.1 Features of Organized Management Influenced by Production Technology FEATURES UNIT PRODUCTION TECHNOLOGY MASS PRODUCTION TECHNOLOGY PRODUCTION THROUGH PROCESS TECHNOLOGY 1) The chronological sequencing of basic managerial functions. Marketing Development | DEVELOPMENT | Production 1 PRODUCTION 1 Marketing Development |MARKETING| Production 2) The degree of coordination needed between the managerial functions on a day-to-day operational basis. D a i l y c o o r d i n a t i o n i s necessary. 1 1 R & D a high l e v e l a c t i v i t y ; separate from o t h e r f u n c t i o n s or may not e x i s t . Day-to-day i n t e g r a t i o n o f f u n c t i o n s not necessary (seen as d i s r u p t i v e ) j but c o o p e r a t i o n e s s e n t i a l i n ex-change <tf i n f o . Development people work i n conjuction with Marketing to cr e a t e new products (together with new process) f o r which they have assured long-tern, large volume markets. They are always well ahead (( Independent) of Production. Development i Production o f t e n i n d i s t i n g u i s h a b l e . 3) The relative importance of managerial functions to the success and survival of the business. DEVELOPMENT is central and most important. The s k i l l and ingenuity of those responsible for development is critical to the success of the firm. PRODUCTION i s central and most important. Success depends upon the e f f i c i e n c y of administration & production; & on the p r o g r e s s i v e r e d u c t i o n o f u n i t c o s t s . MARKETING is central and most important. Success is very dependant upon existence of a market waiting to absorb the product as storage difficult or impossible. 4) There is a high INSPECTION Inspection is The manner in which sense of is a c r i t i c a l l y less important the tasks associated responsibility important function as with each of the basic & satisfaction of production self-correcting managerial functions when producing management as devices become is operationalized, individual units unit costs increasingly e.g. so craftsmen have to be kept incorporated into 1 inspection 1 monitor their under the production own standards. CONTROL. process itself. 129 Perhaps the most s u r p r i s i n g o r g a n i z a t i o n a l d i f f e r e n c e the researchers found concerned the c h r o n o l o g i c a l sequencing  of b a s i c m a n a g e r i a l f u n c t i o n s . Management t h e o r y had i d e n t i f i e d "Development," "Production," and "Marketing" as managerial f u n c t i o n s t h a t were b a s i c t o any manufacturing e n t e r p r i s e ; and s i n c e i t had seemed l o g i c a l to suppose t h a t one f i r s t developed a product, then produced i t , and f i n a l l y marketed i t , t h i s sequencing of b a s i c f u n c t i o n s had been assumed as 'given. 1 However, as shown i n Table 6.1, the l o g i c of t h i s s e q u e n c i n g h e l d o n l y i n the case of f i r m s u s i n g a mass production mode of technology. I t was found t h a t the f u n c t i o n to be attended t o f i r s t by companies producing i n d i v i d u a l or small batch made-to-order goods was t h a t of marketing; f o r they had, f i r s t , t o ' s e l l ' a p r o s p e c t i v e c l i e n t on the idea t h a t they could produce what was wanted. A c c o r d i n g l y , i n t h i s case, the f u n c t i o n of development d i d not occur u n t i l a f t e r the order was secured, and u n t i l the i n d i v i d u a l requirements of the customer c o u l d be a s c e r t a i n e d . Moreover, the d e s i g n f u n c t i o n was sometimes found to be i n d i s t i n g u i s h a b l e from p r o d u c t i o n i t s e l f (e.g. custom t a i l o r i n g where the garment was designed as i t was being f i t t e d on the customer). Companies employing 'process' technology were found, l i k e mass p r o d u c t i o n f i r m s , t o have begun f i r s t by developing the product they were now manufacturing. But, u n l i k e t h e i r mass production c o u n t e r p a r t s , they had not at t h i s stage embarked upon pr o d u c t i o n . They had, i n s t e a d , proceeded from the f u n c t i o n of development t o t h a t of 130 m a r k e t i n g — f o r , only a f t e r securing the kind of long-term market (e.g. 20 years) t h a t could ensure a p r o f i t a b l e r e t u r n on the enormous c a p i t a l o u t l a y i n v o l v e d i n (the 'tooling-up' r e q u i r e d f o r ) p r o c e s s t e c h n o l o g y c o u l d they a f f o r d t o contemplate the production f u n c t i o n . The second fea t u r e of o r g a n i z a t i o n a l management t h a t was found by the Woodward research team to be i n f l u e n c e d by t h e s i t u a t i o n a l demands of t h e d i f f e r e n t p r o d u c t i o n t e c h n o l o g i e s was (as shown i n Table 6.1) the degree of co- O r d i n a t i o n needed between the managerial f u n c t i o n s on a day- to-day b a s i s . For, the amount of c o o r d i n a t i o n r e q u i r e d between the managerial f u n c t i o n s was found to decrease as the l e v e l of t e c h n o l o g i c a l complexity i n c r e a s e d . I n u n i t / s m a l l b a t c h f i r m s , f o r e x a m p l e , t h e managerial f u n c t i o n s were h i g h l y inter-dependant, r e q u i r i n g o p e r a t i o n a l c o o r d i n a t i o n on a day-to-day b a s i s ; and, as already noted, the f u n c t i o n s of development and production were o f t e n found to be i n d i s t i n g u i s h a b l e . A greater degree of independence was found between the managerial f u n c t i o n s i n the mass production f i r m s , p a r t i c u l a r l y i n respect to the development f u n c t i o n i n companies having t h e i r own Research and Development D i v i s i o n (which was o f t e n located r i g h t away from the production p l a n t [ s ] ) . However, whi l e the d a i l y c o o r d i n a t i o n of operations d i d not appear to be necessary, and was, indeed, f e l t to be d i s r u p t i v e , co-operation i n ex-c h a n g i n g i n f o r m a t i o n (e.g. from M a r k e t i n g t o P r o d u c t i o n about customers' c o n c e r n s , and t o R & D about market response to product design) was seen as e s s e n t i a l . 131 An even g r e a t e r degree of independence was found between the f u n c t i o n s i n fi r m s using process technology. For, as already noted, the marketing was done, ahead of pro d u c t i o n , on a long-term b a s i s ; and, research was l a r g e l y d i r e c t e d at the development of e n t i r e l y new products that were independant of both e x i s t i n g production f a c i l i t i e s and customer requirements. The t h i r d f e a t u r e of o r g a n i z a t i o n a l management (shown i n Table 6.1) t h a t Woodward found c o r r e l a t e d w i t h the s i t u a t i o n a l demands of the d i f f e r e n t p r oduction t e c h n o l o g i e s was the r e l a t i v e importance of the managerial f u n c t i o n s to  the success and s u r v i v a l of the business. In the case of each of the three modes of technology, the most c r i t i c a l f u n c t i o n was found to be t h a t which was c e n t r a l l y l o c a t e d i n t h e c h r o n o l o g i c a l s e q u e n c i n g of f u n c t i o n s : i . e . 'development' i n u n i t / s m a l l batch f i r m s ; 'production' i n mass production e n t e r p r i s e s ; and 'marketing' i n p l a n t s using p r o c e s s t e c h n o l o g y . B u s i n e s s s u c c e s s was, a c c o r d i n g l y , found to r e s t almost e n t i r e l y , i n the case of u n i t / s m a l l b a t c h t e c h n o l o g y , upon the s k i l l and i n g e n u i t y of tho s e r e s p o n s i b l e f o r development; i n the case of mass pro d u c t i o n , upon the e f f i c i e n c e y of the a d m i n i s t r a t i o n of pro d u c t i o n and the progressive r e d u c t i o n of u n i t production c o s t s ; and, i n the case of process technology, upon the a v a i l a b i l i t y of a market t h a t could absorb the proposed new product (for the volume of product t h a t 'flows' from process technology can be d i f f i c u l t , or i m p o s s i b l e , to hold i n s t o r a g e ) . 132 As shown i n Table 6.1, the f i n d i n g s of the Woodward st u d i e s a l s o suggested t h a t the production technology used by a f i r m d i r e c t l y a f f e c t e d the manner i n which tasks  a s s o c i a t e d w i t h each of the b a s i c managerial f u n c t i o n s (such  as decision-making and i n s p e c t i o n ) were o p e r a t i o n a l i z e d . For example, o r g a n i z a t i o n s having a mass prod u c t i o n mode of technology were found t o be s i n g u l a r l y c h a r a c t e r i z e d by a m a n a g e r i a l p r e o c c u p a t i o n w i t h i s s u e s of " c o n t r o l " and " i n s p e c t i o n . " As Woodward d e s c r i b e s them, t h e mass production workplaces were c o n t i n u o u s l y working t o push back l i m i t a t i o n s ; there was, a c c o r d i n g l y c o n s i d e r a b l e pressure put on employees as production t a r g e t s were set higher and higher. However, she notes t h a t , although i n c e n t i v e s were o f f e r e d employees to increase t h e i r output, the p a c e — i n the l a s t r e s o r t — w a s a c t u a l l y set by the operators themselves. This preoccupation w i t h i n c r e a s i n g managerial c o n t r o l was not seen t o o b t a i n where the t e c h n o l o g i c a l l y l e s s complex u n i t / s m a l l batch mode of production was concerned; here, the r e s p o n s i b i l i t y f o r the q u a l i t y of the product was l a r g e l y i n the hands of c r a f t s m e n - w o r k e r s who were r e l a t i v e l y w e l l - s k i l l e d , autonomous, and s e l f - m o t i v a t e d (no one, f o r example, attempted to " h u s t l e " the engineers who were working on a complicated machinery d e s i g n ) . L i k e w i s e , where the mode of production was c h a r a c t e r i z e d by the more complex p r o c e s s t e c h n o l o g y , t h e r e was l i t t l e need f o r managerial concern about c o n t r o l i s s u e s . Here, the q u a l i t y of the product, l i k e the t i m i n g , and the t e s t i n g , was b u i l t i n to the h i g h l y automated (and s e l f - r e g u l a t e d ) p r o c e s s i n g . 133 Now, i n a d d i t i o n to the f e a t u r e s of o r g a n i z a t i o n a l management t h a t are noted i n Table 6.1, a number of other o r g a n i z a t i o n a l c h a r a c t e r i s t i c s were measured and found by Woodward to be c o r r e l a t e d w i t h the k i n d of technology used by a f i r m t o process i t s products. When p l o t t e d along the c o n t i n u u m o f t e c h n o l o g i c a l c o m p l e x i t y , t h e measures a s s o c i a t e d w i t h each of these o r g a n i z a t i o n a l c h a r a c t e r i s t i c s can be seen to f a l l i n t o one or other of three d i r e c t i o n a l 'trends. 1 For example, the measures a s s o c i a t e d w i t h some c h a r a c t e r i s t i c s were found to i n c r e a s e , along w i t h increased t e c h n o l o g i c a l c o m p l e x i t y — f r o m ' u n i t * t o 'mass' to 'process' p r o d u c t i o n — a s i n the case of the f o l l o w i n g f e a t u r e s : — t h e number of l e v e l s of a u t h o r i t y i n the management h i e r a r c h y , — t h e span of c o n t r o l of the c h i e f executive o f f i c e r , — t h e r a t i o of managers and s u p e r v i s o r y s t a f f to t o t a l p ersonnel, - - t h e r a t i o o f i n d i r e c t t o d i r e c t l a b o u r , and o f a d m i n i s t r a t i v e and c l e r i c a l s t a f f t o h o u r l y p a i d workers, and, --the p r o p o r t i o n of graduates among sup e r v i s o r y s t a f f engaged on production. On the other hand, the measures a s s o c i a t e d w i t h the f o l l o w i n g f e a t u r e s were found to i n c r e a s e from ' u n i t ' to 'mass' p r o d u c t i o n , to peak with mass production, and then to decrease i n the case of 'process' technology: — t h e span of c o n t r o l of f i r s t - l i n e s u p e r v i s o r s , 134 - - o r g a n i z a t i o n a l f l e x i b i l i t y ( i . e . t h e number o f d i f f e r e n t p e r m u t a t i o n s of arrangements t h a t can be t r i e d to increase p r o d u c t i v i t y and lower costs) —amount of w r i t t e n as opposed to v e r b a l communication, — s p e c i a l i z a t i o n between f u n c t i o n s of management, — s e p a r a t i o n of a d m i n i s t r a t i o n and the s u p e r v i s i o n of production, — n e g a t i v e tone of i n d u s t r i a l r e l a t i o n s , and of a t t i t u d e s and behaviours, of management and supervisory s t a f f . One o r g a n i z a t i o n a l f e a t u r e was found to decrease as the l e v e l of t e c h n o l o g i c a l complexity increased from 'unit* to 'mass' to 'process' p r o d u c t i o n — i t was the percentage of the t o t a l budget th a t was spent on labour c o s t s . Conclusion. In view of the f a c t t h a t the f i n d i n g s of the Woodward st u d i e s have proved seminal to the study of i n d u s t r i a l o r g a n i z a t i o n , i t would make sense to conclude that there i s no s i n g l e set of s t r u c t u r a l r e l a t i o n s h i p s t h a t can, i n a g e n e r a l i z e d way, be s a i d t o c h a r a c t e r i z e the i n d u s t r i a l workplace. Therefore, and i n r e c o g n i t i o n of the three sets of o r g a n i z a t i o n a l r e l a t i o n s h i p s found i n the i n d u s t r i a l workplace by Woodward (and i d e n t i f i e d by her as r e f l e c t i n g the s i t u a t i o n a l demands of ' u n i t , ' 'mass,' and 'process' technology), i t i s proposed th a t the p a t t e r n model of the i n d u s t r i a l workplace be conceptualized as a general case w i t h three s p e c i a l c a s e s — o r , as a framework t h a t would ( m e t a p h o r i c a l l y s p e a k i n g ) s e r v e as a s u p r a s y s t e m t o i n c o r p o r a t e , and s y s t e m i c a l l y r e l a t e , the t h r e e s e t s of o r g a n i z a t i o n a l r e l a t i o n s h i p s found i n the Woodward schema. 135 Now, to 'see' a "model of Woodward's schema of the i n d u s t r i a l w o r k p l a c e as [ i f i t were] a g e n e r a l (supra) system" i s t o employ a metaphor. T h i s metaphor i s pred i c a t e d on the unde r l y i n g assumption t h a t an appropriate (and i n s i g h t f u l ) correspondence e x i s t s between the pa t t e r n of i n d u s t r i a l workplace features represented i n the Woodward schema, and the p a t t e r n of systemic f e a t u r e s a s s o c i a t e d w i t h r e p r e s e n t a t i o n s of open s o c i a l systems i n a general (supra) system framework. In t u r n , t h i s " u n d e r l y i n g a s s u m p t i o n " i s p r e d i c a t e d on t h e a s s u m p t i o n t h a t corresponding r e l a t i o n s h i p s o b t a i n between the c o n s t i t u e n t parts of these two patterns when they are for c e d i n t o an a n a l o g i c a l r e l a t i o n s h i p by the metaphor. And, the i n s i g h t s t h a t can be deriv e d from the c o n s t r u c t i o n of a model th a t i s premised on such an analogy w i l l depend, i n t u r n , upon the assumptions undergirding our understanding of open s o c i a l systems. Because t h i s understanding underpins the metaphor on which our p a t t e r n model of the i n d u s t r i a l workplace i s to be cons t r u c t e d , i t would seem important that the assumptions upon which i t r e s t s be made e x p l i c i t . To t h i s end, the common c h a r a c t e r i s t i c s of open systems (as found i n Katz and Kahn, 1966; Buckley, 1967; Immegart and P i l e c k i , 1973; A c k o f f , 1974) are rev i e w e d i n the next s e c t i o n ; and i l l u s t r a t e d w i t h examples of analogous f e a t u r e s — a s they m i g h t be 'seen' i n i n d u s t r i a l w o r k p l a c e s f o u n d i n Woodward's schema. 136 Open Systems C h a r a c t e r i s t i c s  i n the I n d u s t r i a l Workplace According t o Immegart and P i l e c k i (1973:31), systems are of two b a s i c types, "open" and "c l o s e d . " They continue: Open systems are those which exchange matter and energy w i t h t h e i r environment. Closed systems are s e l f -contained, and are unaffected by other systems or t h e i r environment. A l l c l o s e d systems (best e x e m p l i f i e d by c e r t a i n chemical r e a c t i o n s or people i n advanced stages of psychic disorder) move toward entropy, a "death-state" of i n e r t i a . Open systems, since they i n t e r a c t w i t h and use t h e i r environment, combat entropy and thus e x i s t i n a dynamic " l i f e s t a t e , " t y p i f i e d by i n c r e a s i n g o r d e r , d i f f e r e n t i a t i o n , v a r i a t i o n , and complexity. R e l a t i o n s h i p w i t h the environment. According to Katz o and Kahn (1966), a l l s o c i a l o r g a n i z a t i o n s are open systems . They are, a c c o r d i n g l y , a f f e c t e d by the environment i n which they f i n d themselves, and upon which they must depend f o r sustenance. They do, however, i n t u r n , have e f f e c t s on the environment of which they form a f u n c t i o n i n g p a r t . In the case, f o r example, of a s o c i a l system engaged i n the mass production of (say) woolen c l o t h , there are (at l e a s t ) t h r e e k i n d s o f e n v i r o n m e n t s upon w h i c h t h e manufacturing p l a n t must depend, and upon which i t has an e f f e c t . There i s the p h y s i c a l environment from which the p l a n t r e q u i r e s c e r t a i n amounts of raw m a t e r i a l , labour, and other power (that i s cheap, r e l a t i v e to the market p r i c e of the f i n i s h e d product); and which, i n t u r n , i s a f f e c t e d by ^ I t m i g h t be n o t e d t h a t t h i s v e r y ' l i t e r a l ' c a t e g o r i z a t i o n o f . s o c i a l o r g a n i z a t i o n s as open systems r e s t s on the metaphoric use of a ' s c i e n t i f i c model'; f o r i t i s the model provided by general systems theory t h a t allows us t o 'see' s o c i a l o r g a n i z a t i o n s as i f t h e y were open systems. 137 the p h y s i c a l presence of the p l a n t — e i t h e r i n b e n e f i c i a l ways (e.g. a t t r a c t i v e and/or community-accessible b u i l d i n g s , gardens, wharves, p l a y i n g a r e a s , e t c ) or i n d e l e t e r i o u s (e.g. u n a t t r a c t i v e and/or dangerous areas, b u i l d i n g s , docks, cesspools, slag/waste heaps, etc) and/or p o l l u t i n g ways. There are, s i m i l a r l y , economic and s o c i a l environments upon which the p l a n t must depend f o r favourable f i n a n c i a l and l e g i s l a t i v e support; and upon which i t , i n t u r n , has e i t h e r favourable or unpopular e f f e c t s . I t would seem s a f e t o assume t h a t the e x t e n t t o which an i n d u s t r i a l e n t e r p r i s e impacts on i t s environment i s d i r e c t l y r e l a t e d to the s c a l e of i t s operations; and t h a t t h i s might be seen to increase e x p o n e n t i a l l y as one moves from ' u n i t , ' to 'mass,' to 'process' technology. Need t o m a i n t a i n a "steady s t a t e " . Open systems have a tendency t o l i m i t t h e i r openness, so t h a t the modifying i n f l u e n c e s of e x t e r n a l f o r c e s may be prevented from changing the c h a r a c t e r i s t i c f u n c t i o n i n g of t h e i r o r g a n i z a t i o n i n any r a d i c a l way. T h i s i s a 'normal' r e a c t i o n ; f o r open systems which s u r v i v e are c h a r a c t e r i z e d by a "steady s t a t e . " This s t a t e i s dynamic i n nature r a t h e r than s t a t i c . In other words, i t i s not a motionless or true e q u i l i b r i u m . There i s a continuous i n f l o w and outflow, but the r a t i o of energy exchanges, and r e l a t i o n s h i p between p a r t s r e m a i n t h e same so t h a t — g r o w t h and e x p a n s i o n n o t w i t h s t a n d i n g — t h e 'essence' of the system remains v i r t u a l l y unchanged. 138 Our w o o l e n m i l l w i l l , a c c o r d i n g l y , r e m a i n recognizable as a cloth-producing o r g a n i z a t i o n , no matter how much i t may grow i n the s i z e and scope of i t s c l o t h -making operations. And, our f i r m of custom t a i l o r s w i l l , presumably, s t i l l continue to produce garments—even i f i t changes i t s modus operandi from small to large batch (mass) production. The work of a system. A woolen m i l l works t o transform, by some process (e.g. spinning and weaving), the matter and energy (e.g. bales of raw wool, dyes, etc) which i t t a k e s i n as i n p u t s from the environments, i n t o some output, or product form (e.g woven woolen c l o t h ) , which i s c h a r a c t e r i s t i c of the system (e.g. H a r r i s Tweed). I n p u t s . J u s t as a b i o l o g i c a l organism can o n l y a s s i m i l a t e c e r t a i n t h i n g s from the environment by way of nourishment, so can a s o c i a l system only make use of energic and i n f o r m a t i o n a l i n p u t s t h a t are a p p r o p r i a t e t o i t s purpose. The mechanism by which a system s e l e c t s , r e j e c t s , or t r a n s l a t e s p o t e n t i a l inputs of energy and inf o r m a t i o n i n t o a usable form, i s termed "coding." The form of t h i s c o d i n g w i l l be a f f e c t e d by the n a t u r e of the f u n c t i o n s performed by the system; and, once e s t a b l i s h e d , the form which the c o d i n g t a k e s w i l l h e l p p e r p e t u a t e the type of f u n c t i o n i n g t h a t c h a r a c t e r i z e s the system. The raw m a t e r i a l i n p u t s of a t e x t i l e m i l l , f o r example, w i l l be coded according to i t s production f u n c t i o n -- t h a t i s , according to whether i t f u n c t i o n s to produce c l o t h 139 c h a r a c t e r i z e d a s , s a y , c o t t e n , o r l i n e n , o r w o o l . Furthermore, the cloth-making f u n c t i o n may be l i m i t e d to the p r o c e s s i n g of o n l y c e r t a i n q u a l i t i e s - - r e q u i r i n g more s p e c i f i c c o d i n g of the raw m a t e r i a l s . For i n s t a n c e , a p a r t i c u l a r woolen m i l l may f u n c t i o n s o l e l y to produce low-grade c l o t h : e.g. c l o t h made from reclaimed wool t h a t i s 'coded' as e i t h e r "mungo" ( i . e . of poor q u a l i t y and very short s t a p l e ) , or "shoddy" ( i . e . reclaimed from m a t e r i a l s t h a t are not f e l t e d , and of b e t t e r q u a l i t y and l o n g e r s t a p l e than mungo). And, since other i n p u t s — e . g of storage c o n t a i n e r s , looms, s p i n d l e s , bobbins, e t c — w i l l be s e l e c t e d on the b a s i s of t h e i r b e i n g a p p r o p r i a t e l y coded f o r the given production f u n c t i o n , t h e i r s e l e c t i o n w i l l serve to p e r p e t u a t e t h a t m i l l ' s c h a r a c t e r i s t i c f u n c t i o n i n g (and product output o f , say, "shoddy.") In a broad sense, s o c i a l system i n p u t s might be c l a s s i f i e d as being e i t h e r of a m a t e r i a l , i n f o r m a t i o n a l , or energic nature. However, i n the context of an i n d u s t r i a l w o r k p l a c e , i t i s p o s s i b l e t o s u b - c a t e g o r i z e t h e s e broad types of inputs as shown i n Table 6.2. Two d i f f e r e n t kinds of m a t e r i a l i n p u t s are necessary f o r the f u n c t i o n i n g of an i n d u s t r i a l workplace. The f i r s t , l a b e l l e d i n Table 6.2 as "mat e r i e l i n p u t s , " r e q u i r e s an i n i t i a l c a p i t a l expenditure (or output); f o r i t secures such b a s i c ( i n p u t ) i t e m s as t h e p l a n t ( w h i c h h o u s e s t h e 'machinery') and the tools/machines themselves. I t can be expe c t e d t h a t , as the l e v e l of t e c h n o l o g i c a l c o m p l e x i t y i n c r e a s e s , so w i l l the output of c a p i t a l by v i r t u e of which Indu T a b l e 6 .2 s t r i a l I n p u t s \ M a t e r i e l I n p u t s MATERIAL \ PLANT INPUTS / TOOLS \ 'INFORMATIONAL^ \ INPUTS \ I n f o r m a t i o n I n p u t s TECHNICAL ( ' know-how ' ) ) PROGRAM FEEDBACK ENERGIC INPUTS E n e r g i c I n p u t s PERSONNEL IN WORK ROLES A d m i n i s t r a t i v e I n p u t s ORGANIZATIONAL MANAGEMENT MATERIAL INPUTS Raw M a t e r i a l I n p u t s SOMETHING CHANGED ) BY PRODUCTION PROCESS TO FORM OUTPUT 141 inputs are acquired, and the s p e c i f i c i t y of p l a n t design r e q u i r e d (e.g. the p r o c e s s i n g machinery of a [ p r o c e s s technology] h y d r o - e l e c t r i c p l a n t i s an i n t e g r a l p a r t of the dam s t r u c t u r e which houses i t ) . L a b e l l e d i n Table 6.2 as "raw m a t e r i a l i n p u t s , " the second k i n d of m a t e r i a l i n p u t needed by an i n d u s t r i a l workplace i s t h a t which i s 'put through' the t r a n s f o r m a t i o n (or c o m b i n a t o r i a l , value-added) process to form the b a s i s of the system's o u t p u t . The n a t u r e of t h i s ('thruput') m a t e r i a l w i l l a f f e c t the k i n d of technology t h a t can be used to change i t i n t o an acceptably f i n i s h e d product. The more v a r i a b l e and u n p r e d i c t a b l e i t i s , f o r example, the l e s s s u i t a b l e i t becomes f o r large batch, assembly-line, type processing (e.g. diamonds t h a t r e q u i r e to be cut by hand). In some cases a p l a n t may have t o engage i n the p r e -p r o c e s s i n g of i t s raw m a t e r i a l s , so t h a t they can be brought to the standardized s t a t e r e q u i r e d f o r i n g e s t i o n by the processing machinery. M o r e o v e r , i t s h o u l d be n o t e d t h a t t h e r e i s a d i f f e r e n c e i n type between the i n t e g r a l ( d i s c r e t e u n i t ) type raw m a t e r i a l used i n u n i t / s m a l l b a t c h and a s s e m b l y - l i n e technologies to produce i n t e g r a l products (such as cars and c l o t h e s ) , and the dimensional type raw m a t e r i a l (experienced i n t e r m s of volume or c a p a c i t y ) t h a t i s — a t l e a s t , c u r r e n t l y - - r e q u i r e d f o r the use of ' f l o w ' or ' p r o c e s s ' t e c h n o l o g y , i n the p r o c e s s i n g of such t h i n g s as o i l , e l e c t r i c i t y , and i n f o r m a t i o n . [ I t might be a n t i c i p a t e d that 142 w i t h advances i n the development of a r t i f i c i a l i n t e l l i g e n c e and r o b o t i c s , h i g h l y automated p r o c e s s e s w i l l , i n the f u t u r e , a l s o be a v a i l a b l e f o r the processing of i n t e g r a l -type products.] As shown i n T a b l e 6.2, " i n f o r m a t i o n i n p u t s " are r e q u i r e d by an i n d u s t r i a l workplace i n (at l e a s t ) two forms. To s t a r t w i t h , the system has need of some ' b l u e p r i n t ' or 'program' ( l i k e the D.N.A. of a b i o l o g i c a l organism) t o guide i t s f u n c t i o n i n g . Such i n f o r m a t i o n might be considered as coming i n t o a s o c i a l system i n the form of the t e c h n i c a l 'know-how' po s s e s s e d by s k i l l e d c r a f t s m e n / t e c h n i c i a n s ( e s p e c i a l l y i n custom p r o d u c t i o n ) , and i n the i n c r e a s i n g l y complex (computerized) p r o c e s s i n g programs a s s o c i a t e d w i t h h i g h l y automated machine design. (Information might a l s o be seen t o come i n t o the system i n the form of a v a l u e system and normative order, e.g. a u t h o r i t y . ) Secondly, because an i n d u s t r i a l workplace i s an open s y s t e m , i t needs i n f o r m a t i o n a b o u t e n v i r o n m e n t a l c o n d i t i o n s , a n d about how i t i s d o i n g i n r e l a t i o n t o i t s e n v i r o n m e n t . Such i n f o r m a t i o n a l i n p u t i s known as "feedback." The s i m p l e s t type of such input i s negative feedback. ( I t i s c a l l e d negative because i t represents the d i f f e r e n c e between a c t u a l output and what i s r e q u i r e d as output f o r the o r g a n i z a t i o n to maintain i t s 'steady s t a t e . ' And i t i s by the ' p u t t i n g i n ' ( f e e d i n g back) of t h i s d i f f e r e n c e t h a t the system c o r r e c t s f o r i t s d e v i a t i o n s from course.) 143 Now, as can be r e c o g n i z e d i n the c o n t e x t of our woolen m i l l , the o r g a n i z a t i o n ' s continued s u r v i v a l i n a 'steady s t a t e ' w i l l depend upon i t s r e c e i v i n g (and, of course, a c t i n g upon) t i m e l y i n f o r m a t i o n (feedback) about the market a c c e p t a b i l i t y of the woolen goods i t has produced ( i . e . about the match between consumer exp e c t a t i o n s and the q u a l i t y and q u a n t i t y o f what i t h a s , and i s s t i l l p r oducing). Whatever the mode of technology i n use, the system w i l l be run wi t h the aim of minimizing c o s t s (to a degree c o n s i s t e n t w i t h a g i v e n q u a l i t y of p r o d u c t ) . T h i s w i l l i n c l u d e c o n t r o l l i n g f o r production e r r o r s as c l o s e t o t h e i r source as p o s s i b l e . However, as has been noted, the problem of q u a l i t y c o n t r o l i s g r e a t e s t w i t h mass pr o d u c t i o n . The problem of q u a n t i t y c o n t r o l i s , s i m i l a r l y , only r e a l l y an i s s u e w i t h mass production; f o r i n both custom and process t e c h n o l o g y the p r o d u c t i s marketed ahead of p r o d u c t i o n . However, si n c e the c e n t r a l preoccupation i n mass production o r g a n i z a t i o n s i s wi t h maximizing production (and, of course, w i t h maintaining the steady state) the marketing arm has the u n e n v i a b l e t a s k of r e c o n c i l i n g o u t p u t and market demand ' a f t e r the event.' I f p r o d u c t i o n f a l l s s h o r t of market demand, i t i s the sa l e s f o r c e t h a t has to deal w i t h i r r a t e customers; i f production exceeds market demand i t i s the Marketing D i v i s i o n t h a t has t o spend more of i t s budget on a d v e r t i z i n g and sa l e s promotions (that i t might otherwise spend on market c r e a t i o n and market r e s e a r c h ) . 144 The e n e r g i c i n p u t s r e q u i r e d t o a c c o m p l i s h the production f u n c t i o n of an i n d u s t r i a l workplace are provided, as shown i n Table 6.2, by the a c t i v i t i e s of "personnel i n work r o l e s . " While these r o l e s are s p e c i f i c to the tasks i n v o l v e d w i t h the production f u n c t i o n s of t h a t p a r t i c u l a r i n d u s t r y , they can be g e n e r a l i z e d across o r g a n i z a t i o n s t o c o v e r s u c h t a s k s a s , f o r e x a m p l e , m a i n t e n a n c e ( e . g . j a n i t o r i a l , and machine r e p a i r r o l e s ) and production (e.g. s k i l l e d and s e m i - s k i l l e d t e c h n i c a l , and u n s k i l l e d , l a b o u r ) . However, since the energy of personnel i n some work r o l e s i s d i r e c t e d toward a t a s k t h a t i s a l l i e d t o , but separate from, the production f u n c t i o n — i . e . toward b r i n g i n g order and c o o r d i n a t i o n to the o v e r a l l o r g a n i z a t i o n — a case can be made f o r c o n s i d e r i n g these " a d m i n i s t r a t i v e i n p u t s " as a sub category of energic i n p u t . Taken as a whole, these two kinds of input can be seen to provide the s t r u c t u r e of an open system. S t r u c t u r e . The s t r u c t u r e of an open s o c i a l system i s a network of i n t e r r e l a t e d (and i n t e r d e p e n d e n t ) r o l e r e l a t i o n s h i p s ; i t i s , according to Katz and Kahn (1966), a s t r u c t u r e of events or f u n c t i o n i n g s (such as 'development,' 'production,' and 'marketing) r a t h e r than of s t a t i c r o l e p o s i t i o n s (such as P r o d u c t i o n Manager and D i r e c t o r of Sales and Marketing) as i l l u s t r a t e d i n most o r g a n i z a t i o n a l c h a r t s . Process. A s o c i a l system may process m a t e r i a l s to create new products, or t r a i n people to do something, or 145 provide a s e r v i c e . The processes i t employs to f u l f i l i t s purpose can be seen to be those things i t does to change something ( i t imports as ah input) i n t o an output. The t h i n g s t h a t an i n d u s t r i a l w o r k p l a c e does t o transform i t s inputs of raw m a t e r i a l i n t o a f i n i s h e d product i t does through the use of something c a l l e d "technology." P r o c es_ s__a s__ t e c h n o_l o g y_. Now, w h i l e t h e t e r m "technology 1 i s s t i l l sometimes used to mean merely the t o o l s and m a c h i n e s — o r the h a r d w a r e — e m p l o y e d i n the production process, i t i s becoming more and more f r e q u e n t l y used to connote a systemic p e r s p e c t i v e t h a t a l s o i n c l u d e s t h e p r o c e s s e s and p r o c e d u r e s — o r s o f t w a r e i n v o l v e d . Moreover, as suggested by Roy and Cross (1975), the meaning of technology may a l s o be extended to i n c l u d e systems: These are o r g a n i z e d a s s e m b l i e s of t e c h n i c a l and human elements such as the t e l e p h o n e network, a bus s e r v i c e , or a computer system that i n c l u d e both hardware and software components. (Roy and Cross, 1975:14) They quote Schfln's (1967:20) d e f i n i t i o n of technology as, any t o o l or technique, any product or process, any p h y s i c a l equipment or method of doing or making by which human c a p a b i l i t y i s extended. In a s i m i l a r v e i n , T o f f l e r (1974:42) suggests t h a t t e c h n o l o g y i n c l u d e s t e c h n i q u e s as w e l l as the machines necessary to apply them? i t i n c l u d e s "ways to make chemical r e a c t i o n s occur, ways to breed f i s h , p l a n t f o r e s t s , l i g h t t h e a t r e s , count votes, or teach h i s t o r y . " 146 For Dobrov (19 79), t e c h n o l o g i c a l systems acquire the f e a t u r e s of a s p e c i a l form of o r g a n i z a t i o n he c a l l s "organized technology." An organized technology can be con c e p t u a l i z e d i n terms of i t s "hardware" (graded by Dobrov a c c o r d i n g t o i t s degree of f l e x i b i l i t y and c a p a c i t y f o r change); i t s "software" (scaled, s i m i l a r l y to the Woodward "model", a c c o r d i n g t o the degree of c o m p l e x i t y of the pr o c e s s e s i n v o l v e d ) ; and what Dobrov r e f e r s t o as i t s "orgware" (which he c h a r a c t e r i z e s i n terms of s t a b i l i t y [ i n a s s o c i a t i o n w i t h u n i t / s m a l l b a t c h s o f t w a r e ] , r e g u l a t e d f l e x i b i l i t y [ i n r e l a t i o n to mass production sotware], and a d a p t a b i l i t y [ i n connection w i t h h i g h l y automated process s o f t w a r e ] ) . F i g u r e 6.1 i l l u s t r a t e s the r e l a t i o n s h i p between these concepts as a general trend i n t e c h n o l o g i c a l change. HARDWARE; LEVELS OF CHANGEABILITY OF THE TECHNOLOGICAL OPTIONS Dynamic technology oriented towards the use of self-improving cybernetic systems Programmed changeability (self-adaptation) Current science-based technology using automatic machine-tools Designed changeability (modifications) Stable technology mainly based on the use of human abilities Stability of orgware M '-^ Regulated > flexibility of orgware m r * 1 Adaptability! of orgware Manual Machine-tools Technological Contiguous Advanced processing processing lines processes (computerized) technological — • r 1 processes Figure 6.1 SOFTWARE: LEVELS OF C0HPLEX1TY OF THE TECHNOLOGICAL PROCESS The R e l a t i o n s h i p Between Hardware, Software, and Orgware i n Organized Technology (From Dobrov, 1979:600) 147 Orgware. The n o t i o n of orgware i s u n d e r s t o o d as i n t e n d i n g t o r e p r e s e n t t h e p a t t e r n ( o r mode) of o r g a n i z a t i o n a l operations t h a t i s designed to achieve the optimal combination of human, t e c h n i c a l , and methodological resources r e q u i r e d (and, presumably, a v a i l a b l e ) t o get the job done; and intended to ensure optimal i n t e r a c t i o n between the system and other systems of a d i f f e r e n t nature. I t i s expected t h a t such o p t i m i z a t i o n w i l l take i n t o account every conceivable contingency, i n c l u d i n g the frequency w i t h which i n n o v a t i o n i s l i k e l y to be r e q u i r e d . Now, Dobrov's c o n c e p t u a l i z a t i o n of " o r g a n i z e d t e c h n o l o g y " might be seen as analogous t o ' p r o c e s s ' i n systems terms; and to encapsulate a l l the systemic inputs a s s o c i a t e d w i t h i n d u s t r i a l e n t e r p r i s e (as- l i s t e d i n Table 6.2) i n the form of hardware, s o f t w a r e , orgware, and t h r u p u t — a s i l l u s t r a t e d i n Table 6.3. O u t p u t s ^ Whatever t h e p r o c e s s (or o r g a n i z e d technology) used to produce the system's output, the f i n a l product i s exported i n t o the environment, and the system re-energized by renewed importation of energy. I t i s worth noting t h a t there are sometimes s o c i a l system outputs f o r which no r e - e n e r g i z i n g ( i n p u t ) r o l e can be found. F o r , along w i t h i t s intended end products (e.g. nuclear energy), a system (e.g. a n u c l e a r power p l a n t ) w i l l produce un-i n t e n d e d — a n d sometimes, undesirable--'waste' products (e.g. r a d i o a c t i v e m a t e r i a l s ) . I f no other system can f i n d a use f o r such wastes ( i . e . they cannot anywhere be s u c c e s s f u l l y Table 6.3 The Industrial Inputs of "Organized Technology" INDUSTRIAL INPUTS ORGANIZED TECHNOLOGY Materiel Inputs PLANT TOOLS Information Inputs TECHNICAL ('know-how1) • PROGRAM FEEDBACK Energic Inputs PERSONNEL IN WORK ROLES Administrative Inputs ORGANIZATIONAL MANAGEMENT Raw Material Inputs SOMETHING CHANGED BY PRODUCTION PROCESS TO FORM OUTPUT 149 r e - c y c l e d as system inputs) they end up g e t t i n g 'dumped* i n t o the environment. The products of i n d u s t r i a l workplaces are exchanged i n the marketplaces of the environment f o r money, which i s used t o purchase the i n p u t s needed t o c o n t i n u e the trans f o r m a t i o n process. Unless the c y c l e of a c t i v i t i e s i s thus continued, the "chain of events" which c o n s t i t u t e s the c h a r a c t e r i s t i c o r g a n i z a t i o n of systemic s t r u c t u r e i s broken, and the s o c i a l system i s no more. Tendency toward d i f f e r e n t i a t i o n and e l a b o r a t i o n . In the c o u r s e of the system's exchange p r o c e s s t h e r e i s a tendency f o r the system to r e t a i n some of the energy (or order) which i t has produced, so tha t i t may have a b u f f e r against 'rainy days.' As a consequence of t h i s and c e r t a i n i n t e r n a l dynamics, the open system tends toward a p a t t e r n of growth and expansion. This growth f a c t o r manifests i t s e l f i n the development of i n c r e a s i n g l y d i f f e r e n t i a t e d p a r t s . The development of more and more h i g h l y s p e c i a l i z e d f u n c t i o n s (such as Customer S e r v i c e s , Planning) represent e x a m p l e s o f s u c h d i f f e r e n t i a t i o n i n t h e i n d u s t r i a l workplace. Again, i t might be assumed th a t d i f f e r e n t i a t i o n of f u n c t i o n s i n c r e a s e s i n the i n d u s t r i a l w o r k p l a c e i n conj u n c t i o n w i t h increased t e c h n o l o g i c a l (and environmental) c o m p l e x i t y , and w i t h an i n c r e a s e d s c a l e of economic o p e r a t i o n . I t might a l s o be assumed t h a t as a system expands and d i f f e r e n t i a t e s i t s f u n c t i o n s i n t o separate sub-system p a r t s , i t w i l l experience c e r t a i n systemic change. 150 'Change' i n systems. In d i s c u s s i n g the i s s u e of change i n systems, Watzlawick, Weakland, and F i s c h (1974, 1980) c a l l upon the t h e o r y of g r o u p s , and the t h e o r y of l o g i c a l t y p e s (as drawn from the f i e l d of m a t h e m a t i c a l l o g i c ) t o p r o v i d e a c o n c e p t u a l framework t h a t i s most i n s i g h t f u l . Without going i n to the d e t a i l s of t h e i r argument, the y p r e s e n t a case f o r the e x i s t e n c e of two k i n d s of change. The f i r s t , r e l a t i n g t o the theory of groups, r e f e r s to changes t h a t can only occur w i t h i n the group—where there may be c h a n g e a b i l i t y i n p r o c e s s , but where t h e r e i s i n v a r i a n c e i n outcome (as, f o r example, with the ongoing o p e r a t i o n a l changes made by a manufacturing p l a n t i n i t s e f f o r t s t o maintain an optimal [steady] s t a t e ) . This k i n d of change, where "plus ca change, plus c'est l a meme chose" ("the more th i n g s change, the more they remain the same") they l a b e l f i r s t - o r d e r change. The second k i n d of c h a n g e — w h i c h r e l a t e s t o the theory of l o g i c a l t y p e s — s i g n a l s a change i n the k i n d of  change t h a t has c h a r a c t e r i z e d the system's previous e f f o r t s t o maintain s t a b i l i t y . L a b e l l e d second-order change, i t i s the k i n d of change th a t transcends a given system or frame o f r e f e r e n c e , f o r i t " e n t a i l s a s h i f t , a jump, a d i s c o n t i n u i t y or t r a n s f o r m a t i o n " (Watzlawick et a l , 1974:9). Watzlawick et a l use the case of an automobile w i t h a conventional gear s h i f t as an analogy t o i l l u s t r a t e the d i f f e r e n c e between f i r s t and second-order change: 151 The performance of the engine can be changed i n two very d i f f e r e n t ways: e i t h e r through the gas pedal (by i n c r e a s i n g or d e c r e a s i n g the s u p p l y of f u e l t o the c y l i n d e r s ) , or by s h i f t i n g g e a r s . L e t us s t r a i n t h e analogy j u s t a l i t t l e and say t h a t i n each gear the. car has a c e r t a i n range of "behaviors" ( i . e . of power output and c o n s e q u e n t l y of speed, a c c e l e r a t i o n , c l i m b i n g c a p a c i t y , etc) . Within t h a t range ( i . e . t h a t c l a s s of behaviors) , a p p r o p r i a t e use of the gas pedal w i l l produce the d e s i r e d change i n performance. But i f the r e q u i r e d performance f a l l s o u tside t h i s range, the d r i v e r must s h i f t gears t o o b t a i n the d e s i r e d change. G e a r - s h i f t i n g i s thus a phenomenon of a higher l o g i c a l type than g i v i n g gas, and i t would be p a t e n t l y nonsensical to t a l k about the mechanics of complex gears i n the language of the thermodynamics of f u e l supply. (Watzlawick, Weakland and F i s c h , 1974:9) T h i s a n a l o g y o f t h e g e a r - s h i f t c a r m i g h t be s t r e t c h e d even f u r t h e r , and u s e d — a s f o l l o w s — a s a metaphor f o r i l l u s t r a t i n g the d i f f e r e n c e between f i r s t and second-order change i n the i n d u s t r i a l workplace. The performance of a m a n u f a c t u r i n g p l a n t can be changed i n two v e r y d i f f e r e n t ways: e i t h e r through the e x i s t i n g o r g a n i z e d t e c h n o l o g y (by i n c r e a s i n g or d e c r e a s i n g the s u p p l y of 'coded' i n p u t s ) , or by s h i f t i n g t o a new l e v e l of organized t e c h n o l o g i c a l complexity ( i . e . by changing the whole system of production from u n i t / s m a l l batch t o mass pr o d u c t i o n , or from l a r g e batch/mass p r o d u c t i o n t o p r o d u c t i o n t h r o u g h process technology). To make o r g a n i z a t i o n a l c h a n g e s ______ t h e c o n s t r a i n t s imposed by a given organized technology i s to re-formulate a l l o w a b l e orgware o p t i o n s 4 , and to engage i n 4 I t w i l l be r e c a l l e d t h a t Woodward found a g r e a t e r degree of o r g a n i z a t i o n a l f l e x i b i l i t y i n f i r m s using mass production than those engaged i n e i t h e r u n i t / s m a l l batch or process technology. 152 f i r s t - o r d e r change. Such re f o r m u l a t i o n s do not, however, c o n s t i t u t e r e a l 5 s t r u c t u r a l change; f o r the s t r u c t u r e (or orgware) of a v i a b l e ( s y s t e m i c ) b u s i n e s s o p e r a t i o n i s r e q u i r e d t o match t h e mode o f p r o d u c t i o n t e c h n o l o g y i n v o l v i n g the hardware and software i n use. To make o r g a n i z a t i o n a l changes ___ond t h e c o n s t r a i n t s imposed by a given organized technology i s to re-design the system. This would i n v o l v e the re-coding of hardware, s o f t w a r e , and orgware i n p u t s , and the t h r u p u t m a t e r i a l s t o be used; i t i s t o engage i n second-order change This double-layered c o n c e p t u a l i z a t i o n of systemic change^ p r o v i d e s an ' i d e a l ' framework w i t h i n which t o 3 According to Watzlawick, Weakland and F i s c h (1974:11), "when we t a l k about change i n c o n n e c t i o n w i t h problem formation and problem r e s o l u t i o n we always mean second-order change." ^ B u c k l e y (1967) uses the terms m o r p h o s t a s i s and morphogenesis i n d i s c u s s i n g such changes i n the context of s o c i o c u l t u r a l systems: [Morphostasis] r e f e r s to those processes i n complex system-environment exchanges t h a t tend to preserve or maintain a system's given form, o r g a n i z a t i o n , or s t a t e . Morphogenesis w i l l r e f e r to those processes which tend to elaborate or change a system's given form, s t r u c t u r e , or s t a t e . Homeostatic processes i n organisms, and r i t u a l i n s o c i o c u l t u r a l systems are examples of 'morphostasis'; b i o l o g i c a l e v o l u t i o n , l e a r n i n g , and s o c i e t a l development are examples of 'morphogenesis.' (Buckley, i n Lockett and Spear, 1980:39) He notes t h a t c o n s e r v i n g , d e v i a t i o n - c o u n t e r b a l a n c i n g p r o c e s s e s , such as n e g a t i v e feedback have come t o be "emphasized i n the l i t e r a t u r e at the expense of s t r u c t u r e -e l a b o r a t i n g , deviation-promoting processes t h a t are c e n t r a l t o an u n d e r s t a n d i n g of h i g h e r l e v e l systems such as the s o c i o c u l t u r a l " (p.39). 153 l o c a t e the three forms of organized technology found i n the Woodward schema. For, the i n t r a - o r g a n i z a t i o n a l exchanges t h a t Woodward found c h a r a c t e r i z e d each form of ( ' u n i t , ' 'mass,' and ' p r o c e s s ' ) t e c h n o l o g y can be seen as man i f e s t a t i o n s of the f i r s t - o r d e r (ex)changes r e q u i r e d to maintain the s t r u c t u r a l s t a t u s quo of t h a t "system"; and the p a t t e r n of s t r u c t u r a l d i f f e r e n c e s t h a t Woodward found among the, forms might be seen as manifestations of the second-o r d e r change t h a t would be r e q u i r e d t o s h i f t a s o c i a l system from i t s s t a t u s quo to a new and more complex form of organized technology. G i v e n , t h e n , t h i s u n d e r s t a n d i n g of the common c h a r a c t e r i s t i c s of open systems—as they might r e l a t e to the o r g a n i z a t i o n a l c h a r a c t e r i s t i c s of i n d u s t r i a l w o r k p l a c e s (found i n the Woodward schema)—we can proceed to the task, of p r o j e c t i n g a systemic p a t t e r n model of the i n d u s t r i a l workplace. A Systemic P a t t e r n Model of  the I n d u s t r i a l Workplace The proposed general (supra) system framework f o r i l l u s t r a t i n g the p a t t e r n of systemic r e l a t i o n s h i p s t o be found w i t h i n each of (Woodward's) three d i f f e r e n t forms of o r g a n i z e d t e c h n o l o g y , and t h e p a t t e r n of s y s t e m i c r e l a t i o n s h i p s to be found among them, i s shown i n Figures 6.2 and 6.3 . In order to i l l u s t r a t e the d i f f e r e n c e i n l o g i c a l type between these two sets of r e l a t i o n s h i p s , Figure 6.2 154 r e p r e s e n t s t h e model i n a d o u b l e - f a c e t e d f o r m . The o r g a n i z a t i o n a l elements of an i n d u s t r i a l workplace ( i . e . the systemic inputs t h a t combine to form the i n g r e d i e n t s of some p a r t i c u l a r form of organized technology) are shown on one f a c e t ; and the three forms of organized technology found i n today's i n d u s t r i a l workplace (and l a b e l l e d by Woodward as ' u n i t , ' 'mass,' and 'process' technology) are symbolized as d i s c r e t e ( i . e . discontinuous) stages along the continuum of t e c h n o l o g i c a l complexity, which i s represented by the other f a c e t . i n p u t s m a t e r i e l i n f o . energic admin. raw mat. O r g a n i z a t i o n a l of t e c h n o l o g i c a l complexity, elements. Figure 6. 2 A Double-Faceted P a t t e r n Model Of The I n d u s t r i a l Workplace In Figure 6.3, the model i s p r o j e c t e d onto a s i n g l e plane i n order to overcome the l i m i t a t i o n s imposed by page I n d u s t r i a l ; Inputs Materiel PLANT TOOLS Information TECHNICAL i'know-how') PROGRAM FEEDBACK Energ vc PERSONNEL IN WORK ROLES Administrative ORGANIZATIONAL MANAGEMENT Raw Material SOMETHING CHANGED DY PRODUCTION PROCESS TO FORM OUTPUT ^Elements of • Organized ^Technology I f " " UNIT PRODUCTION TECHNOLOGY ^ " " r = " : Human s k i l l s simple, stable hand & machine t o o l s . 3C Manual and machine tool processing M D Functions highly i n t e r -dependent: Stable , MASS i J PRODUCTION 1 ! TECHNOLOGY , " = = " ¥ = " " i j M o d i f i a b l e j automatic •j machine i t o o l s . 3L" Assembly 1 ines D M Functions r e l a t i v e l y independ-ent: Regulated f l e x i b i l i t y K PROCESS . PRODUCTION TECHNOLOGY 'JL Dynamic s e l f -improving c y b e r n e t i c sys terns. Continuous t & advanced computer-ized processes D M Functions h i g h l y independ-ent Adaptable Limited volume of varying q u a l i t y i n t e g r a l material Large volume of standardized q u a l i t y i n t e g r a l material V. great volume of standard q u a l i t y dimensional ma t e r i a l Figure 6.4 Systemic Pat tern Model of the I n d u s t r i a l Workplace 156 s i z e . However, while t h i s format allows f o r some of the r e l a t i o n a l aspects contained w i t h i n each form of organized technology to be annotated by way of i l l u s t r a t i o n , most of the r e l e v a n t d e t a i l i s noted i n the preceding s e c t i o n s . The s y s t e m i c p a t t e r n model of t h e i n d u s t r i a l w o r k p l a c e i l l u s t r a t e d i n Figure 6.2 i s to be taken, t h e r e f o r e , as p r o v i d i n g m e r e l y a t h u m b n a i l s k e t c h o f t h e model as i t i s to be understood from the f o r e g o i n g . This model c l e a r l y demonstrates t h a t the nature of the i m p l i c a t i o n s a s s o c i a t e d w i t h 'seeing' the school as an i n d u s t r i a l workplace i s dependent upon the nature of the o r g a n i z e d t e c h n o l o g y t h a t the v i e w e r a s s o c i a t e s w i t h s c h o o l i n g . For, the viewer who 'sees' s c h o o l i n g as a unit/, small batch e n t e r p r i s e w i l l view both the problems, and the s o l u t i o n s to those problems, i n q u i t e a d i f f e r e n t way from t h e v i e w e r who ' s e e s ' s c h o o l i n g as e i t h e r a mass production, or a continuous process, e n t e r p r i s e . However, since the viewpoint of i n t e r e s t , here, i s t h a t contained i n the Report "A Nation at R i s k , " i t i s the type of organized technology t h a t the Commissioners a s s o c i a t e w i t h s c h o o l i n g t h a t i s the subject of our examination. From t h e e v i d e n c e , a c a s e can be made fo r -c o n s i d e r i n g each of the Commission's recommendations as being aimed at i n c r e a s i n g q u a l i t y c o n t r o l i . e . as aiming t o gain more c o n t r o l over: (a) the q u a l i t y of p l a n t management (more p r e s c r i p t i o n f o r process c o n t e n t ) , 157 (b) the q u a l i t y of op e r a t i o n a l - t i m e management (more productive use of time i n workplace, e.g. more time on t a s k ) , (c) the q u a l i t y of s t a f f (teachers to be r e c r u i t e d from t h e a c a d e m i c a l l y more a b l e , and t o be b e t t e r t r a i n e d , t r e a t e d , and remunerated), (d) the q u a l i t y of output (higher standards f o r accept-ance of output at each stage of production [ i . e . at each grade l e v e l ] as w e l l as of end-product [ i . e . of g raduates]). As has been seen, such managerial concern over i s s u e s of c o n t r o l i s s i n g u l a r l y c h a r a c t e r i s t i c of mass p r o d u c t i o n e n t e r p r i s e s . I t would, t h e r e f o r e , seem r e a s o n a b l e t o suppose t h a t the Commission's f r a m i n g of the problem of schools r e s t s on a generative metaphor of "the school as. an i n d u s t r i a l w o r k p l a c e w i t h a mass p r o d u c t i o n mode o f organized technology." Now, the extent to which such a problem frame might be deemed a p p r o p r i a t e , and as h a v i n g u t i l i t y f o r p o l i c y p u rposes, w i l l be judged a c c o r d i n g t o the degree of correspondence t h a t can be found between the o r g a n i z e d t e c h n o l o g y of mass p r o d u c t i o n and the o r g a n i z a t i o n of sc h o o l i n g . In prepa r a t i o n f o r such examination ( i n the next c h a p t e r ) , the i m p l i c a t i o n s suggested by (the e l a b o r a t e d assumptions of) the metaphor are reviewed i n the next s e c t i o n . 158 IMPLICATIONS OF THE METAPHOR With the a i d of the systemic p a t t e r n model of the i n d u s t r i a l w o r k p l a c e , the a n a l o g i c a l elements t h a t are im p l i e d i n the metaphor of an i n d u s t r i a l workplace w i t h a mass production mode of technology can be set out under the r u b r i c of 'hardware,' 'software,' 'orgware,' and 'thruput,' as i l l u s t r a t e d below, and i n the annotated schema shown i n Figure 6.4. Mass Production Hardware:  Pl a n t and Tool M a t e r i e l . I t might be s a i d t h a t the i n d u s t r i a l w o r k p l a c e c l a s s i f i e d by Woodward (1958) as having a mass production mode of t e c h n o l o g y w i l l be c h a r a c t e r i z e d by a s c a l e of economy th a t i s aimed at maximizing r e t u r n on a considerable c a p i t a l i n v e s t m e n t i n p l a n t and ( m o d i f i a b l e ) a u t o m a t i c machine t o o l s , and on s u b s t a n t i a l day-to-day o p e r a t i n g c o s t s . Return on investment w i l l be maximized through increased r a t i o n a l i z a t i o n of jobs, and p l a n t use. Mass Production Software Operating procedures. Operating procedures w i l l tend to r e f l e c t the residue of " s c i e n t i f i c management" theory, as expounded by Freder i c k Taylor (1911). A c c o r d i n g l y , the work of trans-forming raw m a t e r i a l i n t o f i n i s h e d goods w i l l be broken down i n t o d i s c r e t e a c t i v i t i e s , and a "one best way" adopted as the standard method f o r performing each. In t h i s way, i t w i l l be p o s s i b l e f o r s i m p l e r t a s k s t o be 159 | F _ _ = = = _ = = = = = = „ Ii MASS PRODUCTION TECHNOLOGY JJ !>= = = = = = = = = = = = = = = = = = = = = = - - = = = = = - = = = = -- = = - = = = = = - = = = = II P l a n t i n v o l v e s c o n s i d e r a b l e c a p i t a l investment. Machine T o o l s — a u t o m a t i c and m o d i f i a b l e . ' B l u e p r i n t ' f o r Operating Procedures — j o b s broken down to s i m p l e s t p o s s i b l e t a s k s , — w o r k